EFTA01267639.pdf

ST
THOMAS.
VI
00802-1348
6100
RED
HOOK
QTRS
STE
8-3
ATTN:
JEFFREY
EPSTEIN
SOUTHERN
FINANCIAL
LLC
1D
Ameritrade
CONFIDENTIAL
EFTA_0011221160
EFTA01267639

Terms and Conditions
STATEMENT GUIDE
I L.: Are-wade provides mealy Portfolio Reports for amounts ugh acttaty and quanerly repass SeCuntleS taunter Preleelion Capered:4 ('SIPC'). wail protects Spathes Auction Rate Securities ("ART./ Pricing: The market values lb ARS Securities have been
ui act, accounts Mbassets! CuStOMerS 01 in members up to 5500000 ginludng 3250.000 to. etairns fOr cash). Waned. !amiable. from quaroon sondes or ether relependent sc.sces. The orowxyd the
Explthatery &allured available on repeal at evesteldtag. nag ono grated a a rata sawn one matte; TDArtercan cull prxe the ARS posnon.
Portfolio Summary: Track* the Current valued your 0000% aft Of the report dale and tam ine corsiderabon both the badly and underrying credl gushy The ARS market
removes it to Ire POW MOnth.z The nal 00:860n Mendel yOur pa nte dhiersTalion by Additionairy. TD Amara& provide) each Cleft $149.5 mato worth of prOteOlth for cuncntly emenercing a lack of Wary and, as a result. mere can be no assurance that such
investment tics securities and S2 mitten of thotocan ler cash through supplemental coverage Wean Can be SOW under Current market conditions
provided by London mans. In the event Cue a brokerage nsolvency. a diets may
abode at:mations under 5% WM be trouped into the calegey 01-ClIde in the the ChM Margin receive amounts due from the vista in bankruptcy and then SIPC. Supplemereal REGULATORY DISCLOSURES
Early - iota/ accourn EguitylT0011 Long Merginable Value • Teal Short Value) coverage is paid out Mar the comae and SPC payouts and under such coverage
each client is healed to a combined return of $152 million from a trustee. SIPC and All transactions are sUnrot to (lithe consblubon. Mos. regulations. customs and usages el the
Activity Summary: The opening and dosing cash balances aro reconcled hue for yam, quick London usurers. he TO Amebae* supplemental coverage has OA aggregate 'mil 01 exchange or market. and itSdearnahrouse. if any. On weal such ininiacrions are tamped: Pit
relerence. Al account acthily is surtmarde0 lor me current period and yea/40481e $500 melon over al euttemes This poky provides etherage *leonine brokerage federal laws. ndudng to Secunties Act of 1933 and the Secumin Exchange Act el 1934.
inside:any and on MI prated agent less In market value of the securities. oath as amended to data and in the hare. and the nits and regulations promulgated
Income 1 Expertise Summary InOnMAs Only): This section deltun the income and enientie thelettlder. and (A) the rules and rethented CI FNMA andthe Fede al Reserve System
dead from to Actruty Summary and eta:ethos the lax treatment. An InueelMent n 0 Money Mane( MOO 4 tot Mewed et guaranteed by the Federal
Deposit Insurance COVOrallth (FOC) Or any Other goverment agency Although the For an investor brochure that Includes informatiOn detailing MAAS Futtic NCl/Sure
RebteeneM Account Summary (IRAs *My): Review the IRS rinuad transamons for the funds scat to deserve the value of you investment at $I 00 per share. it Is possible to Program. please contact FINFIA at 800489.9999 or HUswrotanta.org.
curare and der years IRS Fenn 5498 lair Man value is based on the current value 55 a lose money by investing m a money market Sand. Paden: are declared they and
December 31 of the pronous year ardwil to furnished lotto Internal Revenue Scnnce. paiMenvested monthly. The prospectus cacaos this and other impc•tant The interest rate span for TO Amerbade Cashretaken from the applcathe interest role der for
information. Road the prospectus carefully bolero investing. Nondeposit investments the Markel Value balance n Me TO Amaryado Cash. as of the siatanom closing date. Simple
Performenee Summary:Monne. your annual portfolio performance and the urrealized gains and held by your brokerdealer we NOT FCC INSURED i NOT BANK GUARANTEED ; interest is named dear/ bated on the inhered rate der epthirotie 10 each daya trainee.
belts '0' your lulure madmen" satilegY. MAY LOSE VALUE.
Mandel Statement NotincatiOn: The statement 01 Mandel COndeth 10i TO Amenuede
Account Positions: View yes Sweennens al the current Market vate and comae the edging The balance in your bank deposit &Ceara' Or Sharer) Of your money Markel Mueual avalable mace a year and may to obtarod as no cost. via the camel at
cod to see uvealezed gains and losses n your panicle Original cod is assigned using the kind fan ta 1.304lited on yeti Order. and me pr0000/08 returned 10 yew spathes Map wive idereledlrede consTnaneWelaternintthrti.
(FiFOI MelhOd. welch Maumee the hill shares yOu set are those you thirehated account or remered to you.
trot. The estimated irtrostment income2 and average cost per &Ave are displayed for your AlletallOn Method: In the event Wry 01 your securities Cue Called Or assigned the Seroxilet
tolerance the oldestpurchase date is shown for an maroon of you holdne penal. Tax Rep:Ming:The pertfOli0 repel IS not a tan document You MI Mahe Form 1099 MI be selected on an impartial, random basis.
for annual lax redone* In compliance will In regulierneMS lineludee WOMB
c A lo c s c i o n u g n c t a A sh c t b iv a i l t a y n : c A e. l scout solidly is (Marty defiled. lend in date order, and atlocled in the i p n a t y e m re e s n t ts O a r r y e il le 6 n .1 d 3 e 00 a p 10 e r d e da g S a S in d . e a la rth in w h w ic e h a n w e B d . b e a n r d e da S c a t l e e d s n p re a b d e a n ti d e ) fl . r e S ill o m ta e x C Fr re e d e i t C ba re la d n i C t B es a n la n y c O e u s r S M a ul n e d 15 in o3 th -2 e 1 O 1 r 3 d ) in : a U r n y d C er a m ne e 0 d 1 e O n u t r p bu ro to te rl c e t s io e n w n h o ic m h . a r w e e p a m y a a y b l u e s t e o t y r O ee u
Trades Pending Settlement Conlirrn you execued Wades tmth a senlemort dale alter month repass. on darned.
End Mete MiniaCtions oil be rellected it the Amount ACenly Sefton next month. Cod Bade: COM-Bata tax tot and PerfOrManee intating and OeinSkeePer are Margin Amounts (Regulation T):If you have a margin account. sue report a a contnaten of
O th n s l i r n a e m C e a n s c h m S r e e r p v o ic rt e in s g T c r o a n n e s d a . c n tio d n u d D n e g ta i O l: C a a k s . h d m e a n n t a c g a e r m d e a n n t d t r A an T s M ac o e d o d rt i s t y m . a a r t e c l l i e s a te re d d i n du d ri a n t g e o fo ff r e r th e e d 0 an 1 d 0 0 e 1 o 4 n s C c t lo S d la t b e y tr I C lly C H a IN th C e O in R e P a O ril R a A bO TE n D T . T O D A A m m e e ro n a d d e e d * a i n s d n i o ts t r I e n s f p a o tu n a s t i i b o l n e h r y i O s a k u r s i r n m a g n a i d r s g i d a n v n n a o a t t a v s r a a . i t n e o n M d e f a o m r p a e a l r d l g i a n n v l e m ri s s t t k n o o r d s r i . s a c A r l x o c h s e i u m m re p = t d O e o e C w u ta n m t t o n T f i r . a th Y d e i o n u g ri s O M k n s a m y a s a O s rg b o t m i a n i M n D e o a d s e c w s o i p t a h y d e r b t l h lio v g g n a i a n s l
order redden; l'PrOvillenn 60 not guarantee the accuracy d the Alameda) and data document by anneling us 81 the number isted on page and your statement.
provided. CCH INCORPORATED IS a separate Company and IS not agitated wth
Online Cash Sernoes Summary: Credit and cam cardamon totals for Me carts statement 11) Anatiade. Payment for Order Flow (SEC Rules 606 and 607): In some crcumstances. TO Amon:rade
roperirg paned are summarized. Indmilid honsactons are not listed. receives CompensaliOn lot dream cenan Oventhe.rounter and 'sled equity or*, flea to
Margin end Options ACCOunt Agree:Mints: Promptly advise IC/Amsted. in Aesop selected mattes. brokers or dealers Mann Centers) Ctropensalion is in the tem d a per
'Coale rounding °dustmen.. thestatement deals may not aim: the an emiaMad of any change in your naves rem el/lathes or financial situation as they avian to share cash payment. n adetion. TO Arnatade also may maw compensate, related to the
:Es:boated Annud Income and Esernaed Annual Yield values are based upon the number ot your Malan Or OpOOM Want agreements A summary CI commissions and Charge) foreign enemy etching!. component of Parsec:lions ntOrogn securities from Markel Centers
steles Craned Or Oared value balance as of the statement dale and the man recent dMderd inWled w(h the exeeuden Of Options traindaenti IS enrold010. execurang sigh barbs. We post quarterly reports disclosing the venues for order roterg
rate er cash geld prcnedet esecudon at wew.Idamerensele Can A /Aden COPY is avalabie unn reared
Curi•M Market Prices: The market values d securities have been Maned. if
GENERAL INFORMATION amiable, hem quotation services and odor independent sources. Values are based It is our pricy. absent clam orders to the contrary. to select breasts, dealers, and market
on the closing price. the mean tohmen the bd and askng prices. or other methods. makers tend on the ally to provide best <aeration end trio Minty 01 seam; price
I x D co A u m n e a a m ur a w de h e p n e n e e c n e O s t s p a r r o y v . id A e s le a a s d ta O nd r a la rd x a m d a v s t. h ). y F i p e r tk a e n e c C e. O p M h O on e y o c u a r le o g m a s l : e Io d n vr s to m r a o y r l C a o x n S o eC m ur a It r y k e o t v s a ib in je i c s t a 1 m 0 i b a e b in le g f n ro e m e d a e q d u e a t s a b l c e n th s .P er n v C ic e e d o ( r N ot M her . in T d h e e p v e a nd le e : n e t l a s n ou O rc n e , y t o h u e r i a m n p d r o w v e e r m eg e u n l t a e r n /1 m m a e r n k t e o t r o ° rd m d o s. n P a ne d e * i t m e p s e t c o fo m r m s e ig m h i s im a p v re a r n om t:a em ux d i n av m al o a a tio n . m arket cow:Hons.
receded for gushy contra and thinatiCOOn iredlintel Ouradere. 1130310 lean are provided as general AformabOn and we 00 not guarantee the
accuracy Of thy Seaman OrCe. Mondani batted peetlan are valued Wing the Tiede COM'mations (Rule 100-10):All cordtmalions are traremilled on tae tranSerdlOn dale
For ID Arnertade MS/MOMS denti, yOur advisor firm is apse* from and not *Misled hal, relnlinIng balance and the Current market plat P00010 report valuated: may not
ID Amanrado. Inc. a TO Metered° Owing. Inc.. and oath I rm is rot response.. or Me represent sans proceeds The secondary marlin for CeileCarifi 01 DP/teals (COs) is Tarn: Transactions in foreign securities (Mauling foreign company ADF1S Mat trade in MO
creams and senscoscd the ether generally aloud and the actual value may be different from the pitches* price. A U.S.) nay include hues and foescharged by the Reath marked or governments. winch may
signficart loss of princpal may result from the sale °feel) pnor to mainly. Bonds be Wanted in the Oda 01 the seedily Or charged as an ndePenden The item
Accuracyor Redone:If you rind any errors or omissions in your account statement you ander Fixed Income Secultos trade differently than emery scarifies and do not trade
should Immediately call us at the number listed en page the of your statement You on a land exchange. Rather they trade in the OTC (over the counter) market and Many Poky Noliflootion: A 000y of the TO Amen:rade Pinny poky is available el
should also contact our Clearing firm. TO Arnentrade Clearing, the. al 600469-3900. unhurt icardty may na coisl for you lo sell your positron prior to mature,. The sale vnsw.Clamertradecorn
of bads prior to inaturey may result in a loss of prriapal
e P r l r e o a r s s e o r r e o v r ie n w su t o h n e s s . t p a l t e e a m se e n n t a c s a ty re a fs C ily li e I n I t y S o e u m O e st n ro re m p , r e 'M se b n t a a n lr y r e li o e r n y S e S a O ' k te c t a O l r b i r t a t n h c e h e e e & re e , a n a y s Non Standard Assets (NSA) are typicaly investments in direct participation program i 1 n .2 0 C 0 a 8 se 6 9. 0 3 1 9 0 E ) r o r r o r W s M O . r u O s u a n l t P lO .O n . t i B o A x b 2 O 2 A 0 9. Y O a m w a h E a l . e c N t E ro n 6 i 8 c 1 0 T 3 r . a a n s s f s e o r o s n T a e s t e y p o h u O c n a e n . u it s yo e u l
s w ta e b t :m as o n T s O A n A y r n o e r a a r l a s d ta e t e G m e e e n i t n s g M . a Ir l c y o i u n h a w v d e ln m g a d M e I N to n u t e o s t ( a 10 id ) d b a e y s c o o n f f ir I m CA ed " r in e c n e a pt g b T th h i e s c se a c o u r r r i e tie d s r y f p p a o rt o n ls e . r s m hp o s a , n ho a s m ed it y la t p h riv y a t c e o d m a p t a e n i o e r s . h o e r d g re e a l A c n i d a s o . N in S v A e s s tm ar e e n t t y tr p u ic s a ts ty /. s th ta e t e em yo e u n r t a st a r t e e c m e e ip n t. t a W e In M e u p d t h is e a w r r o fr n o g m O yo r u ' y r o o u b n l e e e u d t h m a o n r G e O in d lo a r y m s a e ti t o a n a w b e O s u e t n a t t y ra o n u s t f h e e r F On A t S he T
statement MP °Menne be considered COndiroher. Arend investments and do net trade on a natonal socunhes exchange a the Nasdaq statement on which the error or problem appeared.
P T t A h O l c e e W c a F o s r e e u D p n n IC o t a r P t t t t v r y h e o o n i le s l b c c e p l o i C r o v o O n e m r : n e p W c d t k ly e b e iv o y e a f r S a y n n I d P y h e C e e c m ) h ld a u e b n d p g y e e 1 t s a o 1 u ) i 1 n $ n 3 2 y d a 5 e n e 0 k w . t . 0 c N 0 a o 0 n A r . n t e L a y a im o n l u i d i r t t M s T o n D a a n l B r y a o b e o p t* n T e . O U r T S a A r c A a m c n . o s N e u a t A n r c a t t . i d o . o n e a w s r im e n r e e m in r l e s a u h t t h r i e e p a d t d e p r b o e y n y . r m p O f v S r e r o t r a o o n i m g n g c d a i r k n e a g v s r M m e e M m p a n 's u e r o e k r n d n m e c e t i h t . a t . a m a T a s n s e h e d d s e t e m h e p p v o t r h s a e d ic . e l n s u e a a . d e . n e d s i a n d n ia c s c e t t h l . u r u v o d a e M a w i l r n n e n l M I g d d t , a f e o e p b r b r a a i u M t s n n y t p o b o n s v le y n o e a n s t l T u o i d n O e r t e v i n r e A d o t s o M r e t t m t d e b e e d a e e rs l n c t ia o r h t t s d e . h e p a a * i . n r t r r o d a e h V g e t a d a r e p v a l e : u e m u m n e p b d . s a o e e O n t m e n e r n t a l d i b q y P a y u v r p n O a i p d a a l v r u a l a d e I t M i e h 0 s s e 0 a n r d t d l . s e b e i . d y I c a I r r t t t i a h h h e ry e e e n d ( b ( W y ( w 2 3 I u o h ) ) ) e s u y D T T i m w n y o e e o e o l l s e i s l l l u u u e s h i n b s s n a d v e t v t w a e o h l e y s o h e t s t h t v i i r h d g e 1 e r e o a 0 d a l e u t l d e a i r n s o s r r y e o * a o a t r e h m a u n o i l n r s o e r t d . h c u r t w r o e h n a o m e e t c m r c o p w o t t o r f l r h a a i u t t w e h n i n n O e s y a t t f d m W y e a s u u r n y r N n i o o d y p n b o u y e m g u e o C n a r e u t a t h e e r c e a d e d a c e l u m i c r n r n o r a a s o o u t u c n r s a r t i e t n n f a o l y a o k r b e r e t m o h s rr u e a u o t b , r s a e a p m t n o r d o e . c m n o e d p m x t y p l p y o l . o a u i t e n e l t h w a o in s u e k r c l a i i n l s e k v e i a n e m t s e / t o r i a r g r o s e a r y , t t e h o S , O a u . n t c h a 1 a n 0 t
iroblUscn. To team more about FOC coverage go to vratldicgov. Sautes ircludrg egmated value earned be ntablehed through theee mellialS. the valuation may be
mutual funds. held in your Erolumage ACCOunt are of depail8 or abligatiOn8 d. or reflected as Nondrced For addbonal derail regarding valuation for
guaranteed by thy bank. aro 401 FOIC.InStred. and Involve investment riat indudng N SDNY_GM_00011510
pantie Ma el (chant TO Antigen* is a member 01 the SAITO 1501013
EFTA 110122161
EFTA01267640

Statement Reporting Period:
1D Ameritrade
05/01/14 - 05/31/14
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE B-3
PO BOX 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TO Amer'Made Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Margin Loan ($40,921.55) $ • ($40,921.55) $ -
Insrd Dep Acct
Money Market Other
Short Balance 4.5%
Stocks 2,714,051.10 2,714,051.10 800.00
Short Stocks
Fixed Income
Options 1,289,444.13 1,289,444.13
Short Options
Mutual Funds
Other 146,600.00 146,600.00
Total $4,109,173.68 $ 0.00 $4,109,173.88 $800.00 0.0%
Margin Equity 100.0%
Cash Activi Summar Income & Ex .ense Summa Performance Summary
Non
Current YTD Reportable YTD
Reportable
Opening Balance $ 0.00 $ - Income Cost Basis As Of 05/31/14 $4,087,645.57
Securities Purchased (4,676,200.61) (4,676,200.61) Dividends S - $ - Unrealized Gains 371,182.26
Securities Sold 634,755.80 634,755.80 Interest 1.63 1.63 Unrealized Losses (308,732.60)
Funds Deposited 4,000,600.00 4,000,600.00 Other Funds Deposited/(Disbursed)YM 4,000,600.00
Funds Disbursed Expense Income/(Expense)n° (81.15)
Income 1.63 1.63 Interest (82.78) (82.78) Securities Received/(Delivered)"D 0.00
Expense (82.78) (82.78) Fees
Other 4.41 4.41 Other
Closing Balance ($40,921.55) ($40,921.55) Net ($81.15) $0.00 ($81.15)
SDNY_GM_00011511
CONFIDENTIAL
page 1 o142
EFTA_00122162
EFTA01267641

Statement for Account # 867-730320
05/01/14 - 05/31/14
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer $ 4,000,000.00 $ 4,000,000.00
Subtotal 4,000,000.00 4,000,000.00
TOTAL 4,000,000.00 4,000,000.00
Income Summary Detail'
Description Current Year to Date
Interest Income Credit Balance $ 1.63 $ 1.63
Margin Interest Charged (82.78) (82.78)
IDA Interest 4.41 4.41
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These correctons
can include changes made to previous payments and removal of payments reportable In a premus tax year (spillover divcleixts). The year to date totals will accurately reflect your cumulative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
ACCESS PHARMA INC ACCP 204,959 $ 0.425 $ 87.107.58 05/12/14 $ 96280.32 $ 0.47 $ (9,172.74) $ -
COM
AOL INC AOL 3,485 36.28 126.435.80 05/16/14 126,878.64 36.41 (442.84)
COM
ATHERONOVA INC AHRO 10,000 2.80 28.000.00 05/27/14 27/00.00 2.77 300.00
COM
COWEN GROUP INC COWN 53,500 4.13 220.955.00 05/13/14 218,649.35 4.09 2305.65
COM
ELEPHANT TALK ETAK 162.000 0.91 147.420.00 05/12/14 161873.67 1.02 (18.453.67)
COMMUNICATIONS
COM
EMRISE CORP EMRI 4,495 0.88 3.955.60 05/15/14 1774.41 0.84 181.19
COM
GREEN PLAINS INC GPRE 5,000 29.22 146.100.00 05/15/14 131,450.00 26.29 14.65000 800.00 0.5%
COM
HANWHA SOLARONE CO HSOL 20,006 2.48 49.614.88 05/22/14 41833.12 2.34 2.781.76
LTD
ADS
SDNY_GM_00011512
CONFIDENTIAL
page 2 of 42
EFTA_00 I 22 I 63
EFTA01267642

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
INTERCLOUD SYSTEMS ICLD 16.900 5.73 96337.00 05/15/14 81.024.01 4.79 15212.99
INC
COM
LANTRONIX INC LTRX 2.064 1.98 4.086.72 05/23/14 3766.45 1.82 320.27
COM
MODUSLINK GLOBAL MLNK 55.000 3.61 198350.00 05/13/14 200,070.54 3.64 (1.520.54)
SOLUTIONS INC
COM
NET 1 UEPS UEPS 12.000 11.25 135,000.00 05/21/14 128,630.78 10.72 6269.22
TECHNOLOGIES INC
COM
OCLARO INC OCLR 100.000 2.12 212.000.00 05/12/14 179,522.71 1.80 32.477.29
COM
RAINMAKER SYSTEMS RMKR 290.687 0.2499 72.64238 05/12/14 74,366.86 0.26 (1.724.18)
INC
COM
RELM WIRELESS CORP. RWC 53.600 3.8399 205.818.64 05/13/14 174,392.78 3.25 31.425.86
COM
RICEBRAN RIBT 52.600 7.19 378.194.00 05/12/14 290,044.76 5.51 88.149.24
TECHNOLOGIES
COM
TRANSGENOMIC INC TBIO 73.930 3.69 272201.70 05/12/14 298,358.60 4.04 (25.556.90)
COM
ZAZA ENERGY ZAZA 315.000 0.7001 220331.50 05/12/14 196,064.92 0.62 24466.58
CORPORATION
COM
ZIOPHARM ONCOLOGY ZIOP 30.000 3.60 108,000.00 05/14/14 98,020.40 3.27 9379.60
INC
COM
Total Stocks $2,714,051.10 $2,541,702.32 $172,348.78 $800.00 0.0%
SDNY_GM_00011513
CONFIDENTIAL
page 3 01 42
EFTA_00I 22164
EFTA01267643

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Options - Margin
ADVANCED MICRO 1.000 $ 0.8131 $ 81311.00 05/12/14 $ 86.734.00 $ 0.87 $ (5.423.00) $ -
DEVICES INC
AMD Jan 17 15 3.5 C
ADVANCED MICRO 500 0.5136 25.679.30 05/13/14 29.645.01 0.59 (3.965.71)
DEVICES INC
AMD Jun 21 14 3.5 C
AEROPOSTALE INC 550 0.9294 51.117.06 05/13/14 88,815.70 1.61 (37.698.64)
ARO Jan 17 15 3.5 C
AEROPOSTALE INC 250 0.9655 24.137.20 05/27/14 26.393.50 1.06 (2.256.30)
ARO Jul 19 14 3.0 C
AOL INC 150 1.8934 28.401.66 05/23/14 36.517.11 2.43 (8.115.45)
AOL Jul 19 14 36.0 C
APOLLO EDUCATION 150 2.1515 32.272.44 05/23/14 40.709.11 2.71 (8.436.67)
GROUP INC
APOL Jul 19 14 26.0 C
BEAZER HOMES USA INC - 300 2.2629 67.886.19 05/13/14 72.422.20 2.41 (4.536.01)
BZH Jan 17 15 20.0 C
BEST BUY CO INC 100 2.702 27.020.03 05/19/14 16.057.40 1.61 10.962.63
BBY Jun 21 14 25.0 C
BON-TON STORES INC 350 0.3481 12.184.20 05/13/14 14,200.90 0.41 (2.016.70)
BONT Jul 19 14 9.0 P
BUCKLE INC 200 0.4255 8.510.68 05/21/14 14.114.80 0.71 (5.604.12)
BKE Jun 21 14 46.3 C
CENTRAIS ELEC BRAS 400 0.675 27.000.60 05/13/14 39.600.62 0.99 (12.600.02)
EBR Sep 20 14 2.5 C
CORINTHIAN COLLEGES 500 0.075 3.750.10 05/13/14 11.012.00 0.22 (7.261.90)
INC
COCO Aug 16 14 1.0 C
CORINTHIAN COLLEGES 2.000 0.0021 426.40 05/13/14 11.148.00 0.06 (10.721.60)
INC
COCO Aug 16 14 2.0 C
CORINTHIAN COLLEGES 2,097 0.15 31,455.84 05/13/14 62.658.68 0.30 (31,202.84)
INC
COCO Nov 22 14 1.0 C
SDNY_GM_00011514
CONFIDENTIAL
page 4 o142
EFTA 00122165
EFTA01267644

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Options - Margin
DRY SHIPS 750 0.5259 39.446.03 05/12/14 47.830.50 0.64 (8.384.47)
INCORPORATED
DRYS Jan 17 15 3.0 C
FLAMEL TECH 100 3.183 31.829.85 05/14/14 34.057.40 3.41 (2.227.55)
FLML Dec 20 14 10.0 C
FUELCELL ENERGY INC 275 0.2144 5.895.07 05/28/14 8.407.85 0.31 (2.512.78)
FCEL Jul 19 14 2.5 C
FUELCELL ENERGY INC 275 1.3737 37.777.33 05/13/14 35.057.85 1.27 2.719.48
FCEL Oct 18 14 1.0 C
FUELCELL ENERGY INC 350 0.9784 34.244.63 05/12/14 28.740.90 0.82 5.503.73
FCEL Oct 18 14 1.5 C
GREEN PLAINS INC 200 1.0672 21.344.50 05/19/14 19.114.80 0.96 2.229.70
GPRE Jun 21 14 30.0 C
GREEN PLAINS INC 150 4.8254 72.381.56 05/23/14 59.086.10 3.94 13.295.46
GPRE Jul 19 14 25.0 C
HANWHA SOLARONE CO 250 0.725 18.125.28 05/13/14 26,393.50 1.06 (8.268.22)
LTD
HSOL Sep 20 14 2.0 C
HEWLETT PACKARD CO 200 4.0228 80.456.96 05/13/14 79.114.80 3.96 1.342.16
HPQ Jan 17 15 31.0 C
ITT EDUCATIONAL 100 0.0938 937.51 05/20/14 16.457.40 1.65 (15.519.89)
SERVICES INC
ESI Jun 21 14 25.0 C
JETBLUE AIRWAYS CORP 250 2.8687 71.716.58 05/14/14 54.835.51 2.19 16.881.07
JBLU Jan 17 15 7.0 C
MGIC INVT CORP WIS 500 1.3575 67.872.60 05/14/14 76,287.00 1.53 (8.414.40)
MTG Jan 17 15 8.0 C
NET 1 UEPS 150 3.6195 54.292.32 05/22/14 51.036.10 3.40 3.256.22
TECHNOLOGIES INC
UEPS Jan 17 15 8.0 C
NORDIC AMERICAN 600 0.9779 58.674.36 05/15/14 78.344.40 1.31 (19.670.04)
TANKERS LTD
NAT Jan 17 15 8.0 C
SDNY_GM_00011515
CONFIDENTIAL
page 5 of 42
EFTA_00 I 22 I 66
EFTA01267645

Statement for Account # 867-730320
05/01/14 - 05/31 14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description COW Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Options Margin
QUANTUM FUEL 250 1.502 37549.53 05/12/14 27.663.50 1.11 9.886.03
SYSTEMS TEC
QTWW Jul 19 14 3.0 C
FiADNET INC. 950 0.65 61,751.90 05/12/14 72.240.30 0.76 (10.488.40)
RDNT Sep 20 14 7.5 C
RADNET INC. 470 2.0001 94.00253 05/12/14 97.860.82 2.08 (3.858.19)
RDNT Dec 20 14 5.0 C
SEARS HOLDING CORP 90 3.6736 33.062.02 05/19/14 22.336.66 2.48 10725.36
SHLD Jun 21 14 39.0 C
SEARS HOLDING CORP 50 5.0689 25.344.55 05/28/14 11.828.70 2.37 13.515.85
SHLD Jul 19 14 38.0 C
SONY CORP 300 0.0205 614.31 05/12/14 13.732.20 0.46 (13.117.89)
SNE Jun 21 14 18.0 C
SONY CORP 275 0.7626 20,971.91 05/13/14 40.532.85 1.47 (19,560.94)
SNE Oct 18 14 17.0 C
Total Options $1,289,444.13 $1,450,988.17 $(161,544.04) $0.00 0.0%
Other - Margin
RICEBRAN RIBTW 73.300 $ 2.00 $ 146,600.00 05/12/14 $ 94,955.08 $ 1.30 $ 51.644.92 $
TECHNOLOGIES
WARRANT EXP 11/18/2018
Total Other $146,600.00 $94,955.08 $51,644.92 $0.00 0.0%
Total Margin Account $4,150,09523 $4.087545.57 $62449.66 $800.00 0.0%
SDNY_GM_00011516
CONFIDENTIAL
page 6 o142
EFTA 00122167
EFTA01267646

Statement for Account # 867-730320
05/01/14 - 05/31/14
Online Cash Services Transaction Detail
Category Transaction Date Description Amount
CREDITS
Electronic Transfer 05/12/2014 WIRE RECEIVED(INTL):42952771 - SOUTHERN $ 4.000.000.00
Subtotal 4.000.000.00
TOTAL 4,000,000.00
Account Activit
Trade Settle Acct Transaction/ Symbol;
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance $ 0.00
05/12/14 05/12/14 Margin - Funds Deposited WIRE RECEIVED(INTL):42952771 - - $ 0.00 $ 4,000,000.00 4,000,000.00
SOUTHERN
05/12/14 05/12/14 Margin Journal - Funds Deposited Cash Award 0.00 100.00 4,000,100.00
05/12/14 05/12/14 Margin Journal - Funds Deposited Cash Award 0.00 200.00 4,000,300.00
05/12/14 05/12/14 Margin Journal - Funds Deposited Cash Award 0.00 300.00 4,000,600.00
05/12/14 05/13/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC 800 0.85 (68.619.20) 3,931,980.80
AMD Jan 17 15 3.5 C TO OPEN
Commission 600.00
Regulatory Fee 19.20
05/12/14 05/13/14 Margin Buy - Securities Purchased RADNET INC. 250 0.85 (21.443.50) 3,910,537.30
RDNT Sep 20 14 7.5 C TO OPEN
Commission 187.50
Regulatory Fee 6.00
05/12/14 05/13/14 Margin Buy - Securities Purchased FUELCELL ENERGY INC 200 0.75 (15.154.80) 3,895,382.50
FCEL Oct 18 14 1.5 C TO OPEN
Commission 150.00
Regulatory Fee 4.80
05/12/14 05/13/14 Margin Buy - Securities Purchased RADNET INC. 100 0.80 (8.077.40) 3.887,305.10
RDNT Sep 20 14 7.5 C TO OPEN
Commission 75.00
Regulatory Fee 2.40
05/12/14 05/13/14 Margin Buy - Securities Purchased SONY CORP 200 0.45 (9.154.80) 3,878,150.30
SNE Jun 21 14 18.0 C TO OPEN
Commission 150.00
Regulatory Fee 4.80
SDNY_GM_00011517
CONFIDENTIAL
page 7 o142
EFTA_00122168
EFTA01267647

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
05/12/14 05/13/14 Margin Buy - Securities Purchased SONY CORP 100 0.45 (4.577.40) 3.873.572.90
SNE Jun 21 14 18.0 C TO OPEN
Commission 75.00
Regulatory Fee 2.40
05/12/14 05/13/14 Margin Buy - Securities Purchased DRY SHIPS INCORPORATED 750 0.63 (47.830.50) 3,825,742.40
DRYS Jan 17 15 3.0 C TO OPEN
Commission 562.50
Regulatory Fee 18.00
05/12/14 05/13/14 Margin Buy - Securities Purchased QUANTUM FUEL SYSTEMS TEC 100 1.00 (10,077.40) 3.815,665.00
QTWW Jul 19 14 3.0 C TO OPEN
Commission 75.00
Regulatory Fee 2.40
05/12/14 05/13/14 Margin Buy - Securities Purchased RADNET INC. 19 2.10 (4,004.71) 3.811,660.29
RDNT Dec 20 14 5.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.46
05/13/14 05/13/14 Margin Joumal - Other PURCHASE FDIC INSURED 0.00 (3.586,052.90) 225,607.39
DEPOSIT ACCOUNT
05/13/14 05/14/14 Margin Buy - Securities Purchased FUELCELL ENERGY INC 125 1.25 (15.721.75) 209,885.64
FCEL Oct 18 14 1.0 C TO OPEN
Commission 93.75
Regulatory Fee 3.00
05/13/14 05/14/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC 258 0.59 (15.603.20) 194,282.44
AMD Jun 21 143.5C TO OPEN
Commission 375.00
Regulatory Fee 6.20
05/13/14 05/14/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC 242 0.58 (14.041.81) 180,240.63
AMD Jun 21 143.5C TO OPEN
Regulatory Fee 5.81
05/13/14 05/14/14 Margin Buy - Securities Purchased RADNET INC. 81 2.25 (18.287.70) 161.952.93
RDNT Dec 20 14 5.0 C TO OPEN
Commission 60.75
Regulatory Fee 1.95
05/13/14 05/14/14 Margin Buy - Securities Purchased CENTRAIS ELEC BRAS 250 0.95 (23.893.50) 138.059.43
EBR Sep 20 14 2.5 C TO OPEN
Commission 137.50
Regulatory Fee 6.00
SDNY_GM_00011518
CONFIDENTIAL
page 8 o142
EFTA 00122169
EFTA01267648

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activit
Trade Settle Acct Transaction! Symbol,
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
05/13/14 05/14/14 Margin Buy - Securities Purchased HANWHA SOLARONE CO LTD 250 1.05 (26,393.50) 111,665.93
HSOL Sep 20 14 2.0 C TO OPEN
Commission 137.50
Regulatory Fee 6.00
05/13/14 05/14/14 Margin Buy - Securities Purchased AEROPOSTALE INC 300 1.75 (52,672.20) 58,993.73
ARO Jan 17 153.5 C TO OPEN
Commission 165.00
Regulatory Fee 7.20
05/13/14 05/14/14 Margin Buy - Securities Purchased FUELCELL ENERGY INC 125 1.25 (15,696.75) 43,296.98
FCEL Oct 18 14 1.0 C TO OPEN
Commission 68.75
Regulatory Fee 3.00
05/13/14 05/14/14 Margin Buy - Securities Purchased HEWLETT PACKARD CO 200 3.95 (79,114.80) (35,817.82)
HPC) Jan 17 15 31.0 C TO OPEN
Commission 110.00
Regulatory Fee 4.80
05/13/14 05(14:14 Margin Buy - Securities Purchased CORINTHIAN COLLEGES INC 1,000 0.30 (30,574.00) (66,391.82)
COCO Nov 22 14 1.0 C TO OPEN
Commission 550.00
Regulatory Fee 24.00
05/13/14 05/14/14 Margin Buy - Securities Purchased CORINTHIAN COLLEGES INC 500 0.30 (15,287.00) (81,678.82)
COCO Nov 22 14 1.0 C TO OPEN
Commission 275.00
Regulatory Fee 12.00
05/13/14 05/14/14 Margin Buy - Securities Purchased RADNET INC. 150 0.80 (12,086.10) (93,764.92)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 82.50
Regulatory Fee 3.60
05/13/14 05/14/14 Margin Buy - Securities Purchased RADNET INC. 150 2.20 (33,086.10) (126,851.02)
RDNT Dec 20 14 5.0 C TO OPEN
Commission 82.50
Regulatory Fee 3.60
05/13/14 05/14/14 Margin Buy - Securities Purchased SONY CORP 200 1.70 (34,114.80) (160,965.82)
SNE Oct 18 14 17.0 C TO OPEN
Commission 110.00
Regulatory Fee 4.80
SDNY_GM_00011519
CONFIDENTIAL
page 9 of 42
EFTA_00122I 70
EFTA01267649

Statement for Account # 867-730320
05/01/14 - 05/31 14
Account Activit
Trade Settle Acct Transaction,' Symbol,'
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
05/3/4 05/14/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC - 200 0.90 (18,114.80) (179,080.62)
AMD Jan 1715 3.5 C TO OPEN
Commission 110.00
Regulatory Fee 4.80
05/13/14 05/14/14 Margin Buy - Securities Purchased AEROPOSTALE INC 50 1.70 (8,528.70) (187,609.32)
ARO Jan 17 153.5 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
05/13/14 05/14/14 Margin Buy - Securities Purchased FUELCELL ENERGY INC 150 0.90 (13,586.10) (201,195.42)
FCEL Oct 18 14 1.5 C TO OPEN
Commission 82.50
Regulatory Fee 3.60
05/13/14 05/14/14 Margin Buy - Securities Purchased QUANTUM FUEL SYSTEMS TEC 100 1.05 (10,557.40) (211,752.82)
QTWW Jul 19 14 3.0 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
05/13/14 05/14/14 Margin Buy - Securities Purchased BON-TON STORES INC 150 0.40 (6,086.10) (217,838.92)
BONT Jul 19 14 9.0 P TO OPEN
Commission 82.50
Regulatory Fee 3.60
05/13/14 05/14/14 Margin Buy - Securities Purchased CORINTHIAN COLLEGES INC 2,000 0.05 (11,148.00) (228,986.92)
COCO Aug 16 14 2.0 C TO OPEN
Commission 1100.00
Regulatory Fee 48.00
05/13/14 05/14/14 Margin Buy - Securities Purchased BON-TON STORES INC 100 0.40 (4,057.40) (233,044.32)
BONT Jul 19 149.0 P TO OPEN
Commission 55.00
Regulatory Fee 2.40
05/13/14 05/14/14 Margin Buy - Securities Purchased CORINTHIAN COLLEGES INC 145 0.25 (3,708.23) (236,752.55)
COCO Aug 16 14 1.0 C TO OPEN
Commission 79.75
Regulatory Fee 3.48
05/13/14 05/14/14 Margin Buy - Securities Purchased CORINTHIAN COLLEGES INC 500 0.30 (15,287.00) (252,039.55)
COCO Nov 22 14 1.0 C TO OPEN
Commission 275.00
Regulatory Fee 12.00
SDNY_Ght0001 1520
CONFIDENTIAL
page 10 of 42
EFTA_00122171
EFTA01267650

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
05/13/14 05/14/14 Margin Buy - Securities Purchased BEAZER HOMES USA INC 250 2.50 (62,643.50) (314,683.05)
BZH Jan 17 15 20.0 C TO OPEN
Commission 137.50
Regulatory Fee 6.00
05/13/14 05/14/14 Margin Buy - Securities Purchased CORINTHIAN COLLEGES INC 355 0.20 (7.303.77) (321,986.82)
COCO Aug 16 141.0 C TO OPEN
Commission 195.25
Regulatory Fee 8.52
05/13/14 05/14/14 Margin Buy - Securities Purchased RADNET INC. 10 2.05 (2,055.74) (324,042.56)
RDNT Dec 20 14 5.0 C TO OPEN
Commission 5.50
Regulatory Fee 0.24
05/14/14 05/14/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 1.030.449.05 706,406.49
DEPOSIT ACCOUNT
05/12/14 05/15/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 20.000 4.00 (80.000.00) 626,406.49
COM
05/12/14 05/15/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 48.799 1.08 (52.702.92) 573,703.57
COMMUNICATIONS
COM
05/12/14 05/15/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 1.201 1.079 (1.295.88) 572.407.69
COMMUNICATIONS
COM
05/12/14 05/15/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 48.300 1.20 (57.960.00) 514,447.69
WARRANT EXP 11/18:2018
05/12/14 05/15/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 1.700 1.19 (2.023.00) 512.424.69
WARRANT EXP 11/18/2018
05/12/14 05/15/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 480 5.10 (2.448.00) 509,976.69
COM
05/12/14 05/15/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 3.020 5.0999 (15.401.70) 494,574.99
COM
05/12/14 05/15/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 5.000 5.09 (25.450.00) 469,124.99
COM
05/12/14 05/15/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 858 4.83 (4.144.14) 464,980.85
COM
05/12/14 05/15/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 747A 37.526 0.45 (16.886.70) 448,094.15
COM
05/12/14 05/15/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION ZAZA 300 0.449 (134.70) 447,959.45
COM
SDNY_GM_00011521
CONFIDENTIAL
page 11 of 42
EFTA 00122172
EFTA01267651

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
05/12/14 05/15/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 807 0.448 (361.54) 447.597.91
COM
05/12/14 05/15/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 2.000 0.4472 (894.40) 446,703.51
COM
05/12/14 05/15/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 600 0.4471 (268.26) 446.435.25
CAM
05/12/14 05/15/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 42.600 0.20 (8.520.00) 437.915.25
CAM
05/12/14 05/15/14 Margin Buy - Securities Purchased ACCESS PI-IARMA INC ACCP 2.500 0.44 (1.100.00) 436,815.25
CAM
05/12/14 05/15/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 7.500 0.21 (1.575.00) 435,240.25
CAM
05/12/14 05/15/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 500 0.4598 (229.90) 435.010.35
CAM
05/12/14 05/15/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 200 0.4594 (91.88) 434.918.47
CAM
05/12/14 05/15/14 Margin Buy - Securities Purchased OCLARO INC OCLR 5.543 1.75 (9.700.25) 425,218.22
CAM
05/12/14 05/15/14 Margin Buy - Securities Purchased OCLARO INC OCLR 14.567 1.77 (25.783.59) 399,434.63
CAM
05/12/14 05/15/14 Margin Buy - Securities Purchased OCLARO INC OCLR 500 1.765 (882.50) 398,552.13
CAM
05/12/14 05/15/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 1.254 0.47 (589.38) 397,962.75
CAM
05/12/14 05/15/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 115 0.4695 (53.99) 397,908.76
CAM
05/14/14 05/15/14 Margin Buy - Securities Purchased RADNET INC. 100 0.70 (7.057.40) 390,851.36
RDNT Sep 20 14 7.5 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
05/14/14 05/15/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 150 2.20 (33.141.10) 357,710.26
JBLU Jan 17 15 7.0 C TO OPEN
Commission 137.50
Regulatory Fee 3.60
05/14/14 05/15/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 24 2.19 (5.256.58) 352.453.68
JBLU Jan 17 15 7.0 C TO OPEN
Regulatory Fee 0.58
SDNY_GM_00011522
CONFIDENTIAL
page 12 of 42
EFTA_001 22 I 73
EFTA01267652

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
05/14/14 05/15/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 24 2.18 (5.232.58) 347.221.10
JBLU Jan 17 15 7.0 C TO OPEN
Regulatory Fee 0.58
05/14/14 05/15/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 12 2.17 (2.604.29) 344,616.81
JBLU Jan 17 15 7.0 C TO OPEN
Regulatory Fee 0.29
05/14/14 05/15/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 40 2.15 (8.600.96) 336,015.85
JBLU Jan 17 15 7.0 C TO OPEN
Regulatory Fee 0.96
05/14/14 05/15/14 Margin Buy - Securities Purchased CENTRAIS ELEC BRAS 96 1.05 (10.164.81) 325,851.04
EBR Sep 20 14 2.5 C TO OPEN
Commission 82.50
Regulatory Fee 2.31
05/14/14 05/15/14 Margin Buy - Securities Purchased CENTRAIS ELEC BRAS 11 1.04 (1.144.27) 324,706.77
EBR Sep 20 14 2.5 C TO OPEN
Regulatory Fee 0.27
05/14/14 05/15/14 Margin Buy - Securities Purchased CENTRAIS ELEC BRAS 11 1.03 (1.133.27) 323,573.50
EBR Sep 20 14 2.5 C TO OPEN
Regulatory Fee 0.27
05/14/14 05/15/14 Margin Buy - Securities Purchased CENTRAIS ELEC BRAS 32 1.02 (3.264.77) 320,308.73
EBR Sep 20 14 2.5 C TO OPEN
Regulatory Fee 0.77
05/14/14 05/15/14 Margin Buy - Securities Purchased MGIC INVT CORP WIS 500 1.52 (76.287.00) 244,021.73
MTG Jan 17 15 8.0 C TO OPEN
Commission 275.00
Regulatory Fee 12.00
05/14/14 05/15/14 Margin Buy - Securities Purchased FLAMEL TECH 100 3.40 (34.057.40) 209,964.33
FLML Dec 20 14 10.0 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
05/14/14 05/15/14 Margin Buy - Securities Purchased RADNET INC. 75 0.70 (5.293.05) 204,671.28
RDNT Sep 20 14 7.5 C TO OPEN
Commission 41.25
Regulatory Fee 1.80
05/14/14 05/15/14 Margin Buy - Securities Purchased RADNET INC. 10 1.95 (1.955.74) 202.715.54
RDNT Dec 20 14 5.0 C TO OPEN
Commission 5.50
Regulatory Fee 0.24
SDNY_GM_00011523
CONFIDENTIAL
page 13 of 42
EFTA 00122174
EFTA01267653

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
05/15/14 05/15/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 447557.13 650.67257
DEPOSIT ACCOUNT
05/13/14 05/16/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 2.500 5.0999 (12.749.75) 637,922.92
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased OCLARO INC OCLR 2.500 1.7599 (4.399.75) 633,523.17
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 25.000 1.09 (27.250.00) 606.273.17
COMMUNICATIONS
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 3.500 5.1799 (18.129.65) 588.143.52
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased OCLARO INC OCLR 15.000 1.78 (26.700.00) 561,443.52
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 25,000 3.25 (81.250.00) 480,193.52
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased ACCESS PI-IARMA INC ACCP 12,000 0.50 (6.000.00) 474,193.52
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased OCLARO INC OCLR 25.000 1.76 (44.000.00) 430,193.52
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 4.000 4.38 (17.520.00) 412.673.52
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 15.000 3.20 (48.000.00) 364,673.52
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 4.834 4.30 (20.786.20) 343,887.32
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 19.027 0.63 (11.987.01) 331,900.31
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 200 0.6298 (125.96) 331,774.35
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased COWEN GROUP INC COWN 24.000 4.17 (100.080.00) 231,694.35
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 25.000 1.07 (26.750.00) 204,944.35
COMMUNICATIONS
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased MODUSLINK GLOBAL SOLUTIONS MLNK 24.800 3.61 (89.528.00) 115,416.35
INC
COM
SDNY_GM_00011524
CONFIDENTIAL
page 14 of 42
EFTA 00122175
EFTA01267654

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
05/13/14 05/16/14 Margin Buy - Securities Purchased MODUSLINK GLOBAL SOLUTIONS MLNK 200 3.605 (721.00) 114,695.35
INC
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 7.000 4.10 (28.700.00) 85.99535
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 24,000 0.645 (15.480.00) 70.51535
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 200 0.6444 (128.88) 70.386.47
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 700 0.6429 (450.03) 69.93644
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 100 0.6412 (64.12) 69.87232
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 32.360 0.255 (8.251.80) 61,620.52
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION ZAZA 10,000 0.68 (6.800.00) 54.82052
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 3.900 0.6794 (2.649.66) 52,170.86
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 500 0.678 (339.00) 51,831.86
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 2.000 0.6775 (1.355.00) 50,476.86
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 100 0.6772 (67.72) 50,409.14
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 1.500 0.675 (1.012.50) 49.39654
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 3.300 1.30 (4.290.00) 45,106.64
WARRANT EXP 11/18:2018
05/13/14 05/16/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 200 1.289 (257.80) 44.84854
WARRANT EXP 11/18:2018
05/13/14 05/16/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 1.500 1.28 (1.920.00) 42.92854
WARRANT EXP 11/8:2018
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION ZAZA 15.000 0.688 (10.320.00) 32.60854
COM
SDNY_GM_00011525
CONFIDENTIAL
page 15 of 42
EFTA 00122176
EFTA01267655

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
05/13/14 05/16/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 512 5.659 (2.897.41) 29.711.43
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 9.265 4.05 (37.523.25) (7,811.82)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 1.702 0.49 (833.98) (8,645.80)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 1.000 0.4898 (489.80) (9,135.60)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 500 0.4896 (244.80) (9,380.40)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 3.600 5.10 (18.360.00) (27,740.40)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 700 5.099 (3.569.30) (31,309.70)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 166 4.1999 (697.18) (32.006.88)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 1.690 5.10 (8.619.00) (40,625.88)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased ACCESS PlIARMA INC ACCP 11.859 0.48 (5.692.32) (46,318.20)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 9.700 0.53 (5.141.00) (51,459.20)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 998 0.5299 (528.84) (51,988.04)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 2.500 0.239 (597.50) (52.585.54)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 9.850 5.14 (50.629.00) (103214.54)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 10.600 0.57 (6.042.00) (109,256.54)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 300 0.5699 (170.97) (109,427.51)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 1.800 0.5688 (1.023.84) (110,451.35)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 7.900 0.5687 (4.492.73) (114,944.08)
COM
SDNY_GM_00011526
CONFIDENTIAL
page 16 of 42
EFTA 00122177
EFTA01267656

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 493 0.60 (295.80) (115.239.88)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 2.800 0.5999 (1.679.72) (116,919.60)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 182 0.5997 (109.15) (117,028.75)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 3.298 0.599 (1.975.50) (119,004.25)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 200 3.18 (636.00) (119,640.25)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 3.540 0.25 (885.00) (120,525.25)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 4.200 0.2499 (1.049.58) (121,574.83)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 4.900 0.2497 (1.223.53) (122.798.36)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 1.000 1.25 (1.250.00) (124,048.36)
WARRANT EXP 11/18:2018
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 13.795 0.664 (9.159.88) (133,208.24)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 300 0.6637 (199.11) (133,407.35)
COM
05/13/14 05/16/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 29.640 0.255 (7.558.20) (140,965.55)
COM
05/15/14 05/16/14 Margin Buy - Securities Purchased NORDIC AMERICAN TANKERS LTD - 600 1.30 (78.344.40) (219,309.95)
NAT Jan 17 15 8.0 C TO OPEN
Commission 330.00
Regulatory Fee 14.40
05/15/14 05/16/14 Margin Buy - Securities Purchased RADNET INC. 37 1.95 (7,270.89) (226,580.84)
RDNT Dec 20 14 5.0 C TO OPEN
Commission 55.00
Regulatory Fee 0.89
05/15/14 05/16/14 Margin Buy - Securities Purchased RADNET INC. 33 1.94 (6.402.80) (232.983.64)
RDNT Dec 20 14 5.0 C TO OPEN
Regulatory Fee 0.80
SDNY_GM_00011527
CONFIDENTIAL
page 17 of 42
EFTA_00 I 22 I 78
EFTA01267657

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
05/15/14 05/16/14 Margin Buy - Securities Purchased RADNET INC. 3 1.93 (579.08) (231562.72)
RDNT Dec 20 14 5.0 C TO OPEN
Regulatory Fee 0.08
05/15/14 05/16/14 Margin Buy - Securities Purchased RADNET INC. 3 1.92 (576.08) (234,138.80)
RDNT Dec 20 14 5.0 C TO OPEN
Regulatory Fee 0.08
05/15/14 05/16/14 Margin Buy - Securities Purchased RADNET INC. 24 1.91 (4.584.58) (238,723.38)
RDNT Dec 20 14 5.0 C TO OPEN
Regulatory Fee 0.58
05/15/14 05/16/14 Margin Buy - Securities Purchased BUCKLE INC 91 1.20 (10.972.24) (249,695.62)
BKE Jun 21 14 46.3 P TO OPEN
Commission 50.05
Regulatory Fee 2.19
05/15/14 05/16/14 Margin Buy - Securities Purchased RADNET INC. 150 0.65 (9.836.10) (259,531.72)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 82.50
Regulatory Fee 3.60
05/15/14 05/16/14 Margin Buy - Securities Purchased RADNET INC. 100 1.90 (19.057.40) (278,589.12)
RDNT Dec 20 14 5.0 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
05/15/14 05/16/14 Margin Buy - Securities Purchased BEAZER HOMES USA INC 50 1.95 (9.778.70) (288,367.82)
BZH Jan 17 15 20.0C TO OPEN
Commission 27.50
Regulatory Fee 1.20
05/15/14 05/16/14 Margin Buy - Securities Purchased BUCKLE INC 109 1.15 (12.597.57) (300,965.39)
BKE Jun 21 14 46.3 P TO OPEN
Commission 59.95
Regulatory Fee 2.62
05/16/14 05/16/14 Margin Joumal - Other REDEMPTION FDIC INSURED 0.00 438.512.28 137,546.89
DEPOSIT ACCOUNT
05/14/14 05/19/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 1.500 5.95 (8.925.00) 128,621.89
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased OCLARO INC OCLR 6.890 1.7499 (12.056.81) 116,565.08
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased ACCESS PI-IARMA INC ACCP 20.000 0.49 (9.800.00) 106,765.08
COM
SDNY_GM_00011528
CONFIDENTIAL
page 18 of 42
EFTA 00122179
EFTA01267658

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
05/14/14 05/19/14 Margin Buy - Securities Purchased COWEN GROUP INC GOWN 6.000 4.11 (24.660.00) 82.105.08
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 1.000 5.899 (5.899.00) 76,206.08
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 1.800 0.75 (1.350.00) 74,856.08
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 1.500 5.85 (8.775.00) 66.081.08
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 2.500 1.30 (3.250.00) 62,831.08
WARRANT EXP 11/18:2018
05/14/14 05/19/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 1.000 4.14 (4.140.00) 58.691.08
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased COWEN GROUP INC COWN 5.000 4.0899 (20.449.50) 38,241.58
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 7.000 0.26 (1.820.00) 36.421.58
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 7.600 0.6901 (5.244.68) 31.176.90
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 1.400 0.6901 (966.07) 30210.83
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased ACCESS PI-IARMA INC ACCP 25.000 0.475 (11.875.00) 18.335.83
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased MODUSLINK GLOBAL SOLUTIONS MLNK 9.100 3.6899 (33.578.09) (15.242.26)
INC
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased ACCESS PI-IARMA INC ACCP 30.000 0.47 (14.100.00) (29,342.26)
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 100 3.25 (325.00) (29,667.26)
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 1.700 3.249 (5.523.30) (35,190.56)
COM
05/14/4 05/19/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC ZIOP 19.401 3.23 (62.665.23) (97,855.79)
COM
05/4/4 05/19/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC ZIOP 300 3.229 (968.70) (98,824.49)
COM
SDNY_GM_00011529
CONFIDENTIAL
page 19 of 42
EFTA_001.22I80
EFTA01267659

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
05/14/14 05/19/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC ZIOP 99 3.227 (319.47) (99.143.96)
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC ZIOP 200 3.225 (645.00) (99,788.96)
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased COWEN GROUP INC COWN 5.000 4.09 (20.450.00) (120,238.96)
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION ZAZA 10.000 0.651 (6.510.00) (126,748.96)
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION ZAZA 12.000 0.65 (7.800.00) (134,548.96)
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased ACCESS PI-IARMA INC ACCP 30.000 0.466 (13.980.00) (148,528.96)
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 650 5.85 (3.802.50) (152.331.46)
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased MODUSLINK GLOBAL SOLUTIONS MLNK 8.900 3.73 (33.197.00) (185,528.46)
INC
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased MODUSLINK GLOBAL SOLUTIONS MLNK 5.400 3.64 (19.656.00) (205,184.46)
INC
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased MODUSLINK GLOBAL SOLUTIONS MLNK 500 3.6399 (1.819.95) (207,004.41)
INC
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 10,000 0.615 (6.150.00) (213,154.41)
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC ZIOP 5.000 3.1699 (15.849.50) (229,003.91)
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 1.200 5.81 (6.97200) (235,975.91)
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 3.975 0.54 (2.146.50) (238,122.41)
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 4.200 1.20 (5.040.00) (243,162.41)
WARRANT EXP 11/18:2018
05/14/14 05/19/14 Margin Buy - Securities Purchased ACCESS PHARMA INC ACCP 20.000 0.47 (9.400.00) (252,562.41)
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 850 5.79 (4.921.50) (257,483.91)
COM
SDNY_GM_00011530
CONFIDENTIAL
page 20 o142
EFTA 00122181
EFTA01267660

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
05/14/14 05/19/14 Margin Buy - Securities Purchased MODUSLINK GLOBAL SOLUTIONS MLNK 1.100 3.61 (3.971.00) (261.454.91)
INC
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 3.000 0.26 (780.00) (262,234.91)
COM
05/14/14 05/19/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 900 3.23 (2.907.00) (265,141.91)
COM
05/16/14 05/19/14 Margin Buy - Securities Purchased RADNET INC. 75 0.65 (4.918.05) (270,059.96)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 41.25
Regulatory Fee 1.80
05/19/14 05/19/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 270.059.96 0.00
DEPOSIT ACCOUNT
05/15/14 05/20/14 Margin Buy - Securities Purchased INTERCLOUD SYSTEMS INC ICLD 6.500 4.87 (31.655.00) (31,655.00)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased INTERCLOUD SYSTEMS INC ICLD 1.000 4.85 (4.850.00) (36.505.00)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased MODUSLINK GLOBAL SOLUTIONS MLNK 5.000 3.5199 (17.599.50) (54,104.50)
INC
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased OCLARO INC OCLR 10.000 1.86 (18.600.00) (72.704.50)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased COWEN GROUP INC COWN 4.500 3.98 (17.910.00) (90,614.50)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased INTERCLOUD SYSTEMS INC ICLD 3.400 4.6299 (15.741.66) (106,356.16)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased COWEN GROUP INC COWN 4.500 3.92 (17.640.00) (123,996.16)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased GREEN PLAINS INC GPRE 6.544 26.21 (171.518.24) (295,514.40)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased GREEN PLAINS INC GPRE 956 26.1899 (25.037.54) (320,551.94)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased GREEN PLAINS INC GPRE 2.500 26.07 (65.175.00) (385,726.94)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 8.038 0.6229 (5.006.86) (390,733.80)
COM
SDNY_GM_00011531
CONFIDENTIAL
page 21 of 42
EFTA_G0 I 22 I 82
EFTA01267661

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
05/15/14 05/20/14 Margin Buy - Securities Purchased ACCESS PI-IARMA INC ACCP 25.000 0.466 (11.650.00) (402.383.80)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 2.500 4.00 (10.000.00) (412.383.80)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 2.000 3.9999 (7.999.80) (420,383.60)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 1.500 3.2299 (4.844.85) (425,228.45)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased COWEN GROUP INC COWN 3.000 3.87 (11.610.00) (436,838.45)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased GREEN PLAINS INC GPRE 1.200 25.90 (31.080.00) (467,918.45)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 4.900 0.6649 (3.258.01) (471,176.46)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 100 0.6648 (66.48) (471,242.94)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased INTERCLOUD SYSTEMS INC ICLD 3.500 4.7999 (16.799.65) (488,042.59)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 1.200 5.3199 (6.383.88) (494,426.47)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 1.100 4.01 (4.411.00) (498,837.47)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 2.500 3.21 (8.025.00) (506,862.47)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased INTERCLOUD SYSTEMS INC ICLD 1.200 4.8499 (5.819.88) (512.682.35)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 200 4.1799 (835.98) (513,518.33)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 4.390 0.6563 (2.881.11) (516,399.44)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased INTERCLOUD SYSTEMS INC ICLD 282 4.44 (1.252.08) (517,651.52)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 600 3.16 (1,896.00) (519,547.52)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 2.500 0.26 (650.00) (520,197.52)
COM
SDNY_GM_00011532
CONFIDENTIAL
page 22 o142
EFTA 00122183
EFTA01267662

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
05/15/14 05/20/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TWO 347 3.97 (1.377.59) (521.575.11)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased EMRISE CORP EMRI 240 0.83 (199.20) (521,774.31)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased ACCESS PI-IARMA INC ACCP 10.200 0.44 (4.488.00) (526,262.31)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 30.700 0.28 (8.596.00) (534,858.31)
COM
05/15/14 05/20/14 Margin Buy - Securities Purchased ACCESS PI-IARMA INC ACCP 3.000 0.45 (1.350.00) (536,208.31)
COM
05/19/ 4 05/20/14 Margin Buy - Securities Purchased GREEN PLAINS INC 100 1.00 (10.057.40) (546,265.71)
GPRE Jun 21 14 30.0 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
05/19/4 05/20/14 Margin Buy - Securities Purchased GREEN PLAINS INC 100 0.90 (9.057.40) (555,323.11)
GPRE Jun 21 14 30.0 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
05/19/4 05/20/14 Margin Buy - Securities Purchased BEST BUY CO INC 100 1.60 (16.057.40) (571,380.51)
BBY Jun 21 14 25.0 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
05/19/4 05/20/14 Margin Buy - Securities Purchased SEARS HOLDING CORP 50 3.25 (16.278.70) (587,659.21)
SHLD Jun 21 14 39.0 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
05/19/4 05/20/14 Margin Buy - Securities Purchased AEROPOSTALE INC 100 1.35 (13.557.40) (601,216.61)
ARO Jan 17 15 3.5 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
05/19/4 05/20/14 Margin Buy - Securities Purchased BON-TON STORES INC 100 0.40 (4.057.40) (605,274.01)
BONT Jul 19 14 9.0 P TO OPEN
Commission 55.00
Regulatory Fee 2.40
05/19/4 05/20/14 Margin Buy - Securities Purchased BUCKLE INC 50 0.95 (4.778.70) (610,052.71)
BKE Jun 21 14 46.3 P TO OPEN
Commission 27.50
Regulatory Fee 1.20
SDNY_GM_00011533
CONFIDENTIAL
page 23 o142
EFTA 00122184
EFTA01267663

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
05/20/14 05/20/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 610.052.71 0.00
DEPOSIT ACCOUNT
05/16/14 05/21/14 Margin Buy - Securities Purchased GREEN PLAINS INC GPRE 1.800 25.85 (46.530.00) (46,530.00)
COM
05/16/14 05/21/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 1.390 5.67 (7.881.30) (54.411.30)
COM
05/16/14 05/21/14 Margin Buy - Securities Purchased AOL INC AOL 1.880 36.58 (68.770.40) (123,181.70)
COM
05/16/14 05/21/14 Margin Buy - Securities Purchased AOL INC AOL 1.820 36.5799 (66.575.42) (189,757.12)
COM
05/16/14 05/21/14 Margin Buy - Securities Purchased AOL INC AOL 1.700 36.5749 (62.177.33) (251,934.45)
COM
05/16/14 05/21/14 Margin Buy - Securities Purchased AOL INC AOL 1.200 36.5699 (43.883.88) (295,818.33)
COM
05/16/14 05/21/14 Margin Buy - Securities Purchased AOL INC AOL 900 36.56 (32.904.00) (328,722.33)
COM
05/16/14 05/21/14 Margin Buy - Securities Purchased AOL INC AOL 1.500 36.02 (54.030.00) (382.752.33)
COM
05/16/14 05/21/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 20.000 0.31 (6.200.00) (388,952.33)
COM
05/16/14 05/21/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 12.000 0.682 (8.184.00) (397,136.33)
COM
05/16/14 05/21/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 3.588 3.95 (14.172.60) (411,308.93)
COM
05/16/14 05/21/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 1.300 1.3996 (1.819.48) (413,128.41)
WARRANT EXP 11/18:2018
05/16/14 05/21/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 15.000 0.31 (4.650.00) (417,778.41)
COM
05/16/14 05/21/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 1.500 6.15 (9.225.00) (427,003.41)
COM
05/16/14 05/21/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 2.500 3.999 (9.997.50) (437,000.91)
COM
05/16/14 05/21/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 1.000 6.09 (6.090.00) (443,090.91)
COM
SDNY_GM_00011534
CONFIDENTIAL
page 24 o142
EFTA_0012 2 I 85
EFTA01267664

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
05/16/14 05/21/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 10.000 1.01 (10.100.00) (453,190.91)
COMMUNICATIONS
COM
05/6/14 05/21/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 1.500 5.98 (8.970.00) (462.160.91)
COM
05/16/14 05/21/14 Margin Buy - Securities Purchased EMRISE CORP EMRI 3.287 0.83 (2.728.21) (464,889.12)
COM
05/16/14 05/21/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 300 3.29 (987.00) (465,876.12)
COM
05/16/14 05/21/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 1.100 3.289 (3.617.90) (469,494.02)
COM
05/16/14 05/21/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 3.700 3.98 (14.726.00) (484,220.02)
COM
05/20/14 05/21/14 Margin Buy - Securities Purchased ITT EDUCATIONAL SERVICES INC 75 2.00 (15.043.05) (499,263.07)
ESI Jun 21 14 25.0 C TO OPEN
Commission 41.25
Regulatory Fee 1.80
05/20/14 05/21/14 Margin Buy - Securities Purchased AEROPOSTALE INC 50 1.45 (7.278.70) (506.541.77)
ARO Jan 17 15 3.5 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
05/21/14 05/21/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 506541.77 0.00
DEPOSIT ACCOUNT
05/19/14 05/22/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 2.000 1.8399 (3.679.80) (3,679.80)
WARRANT EXP 11/18:2018
05/19/14 05/22/14 Margin Buy - Securities Purchased INTERCLOUD SYSTEMS INC ICLD 1.018 4.819 (4.905.74) (8,585.54)
COM
05/19/14 05/22/14 Margin Buy - Securities Purchased COWEN GROUP INC COWN 1.500 3.8999 (5.849.85) (14,435.39)
COM
05/19/14 05/22/14 Margin Buy - Securities Purchased GREEN PLAINS INC GPRE 1.000 27.77 (27.770.00) (42.205.39)
COM
05/19/14 05/22/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 8.000 0.735 (5.880.00) (48,085.39)
COM
05/19/14 05/22/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 3.500 3.96 (13.860.00) (61,945.39)
COM
05/19/14 05/22/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 8.000 0.732 (5.856.00) (67,801.39)
COM
SDNY_GM_00011535
CONFIDENTIAL
page 25 o142
EFTA 00122186
EFTA01267665

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
05/19/14 05/22/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 10.000 0.981 (9.810.00) (77,611.39)
COMMUNICATIONS
COM
05/19/4 05/22/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 1.600 3.48 (5.568.00) (83,179.39)
COM
05/19/ 4 05/22/14 Margin Buy - Securities Purchased ACCESS PI-IARMA INC ACCP 15.000 0.445 (6.675.00) (89,854.39)
COM
05/19/ 4 05/22/14 Margin Buy - Securities Purchased AOL INC AOL 300 36.839 (11.051.70) (100,906.09)
COM
05/19/14 05/22/14 Margin Buy - Securities Purchased AOL INC AOL 700 36.835 (25.784.50) (126,690.59)
COM
05/19/14 05/22/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 600 6.8996 (4.139.76) (130,830.35)
COM
05/19/ 4 05/22/14 Margin Buy - Securities Purchased OCLARO INC OCLR 8.100 1.89 (15.309.00) (146,139.35)
COM
05/19/ 4 05/22/14 Margin Buy - Securities Purchased OCLARO INC OCLR 1.900 1.8899 (3.590.81) (149,730.16)
COM
05/19/ 4 05/22/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 28.600 0.27 (7.722.00) (157,452.16)
COM
05/19/ 4 05/22/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 6.58 (658.00) (158,110.16)
COM
05/19/ 4 05/22/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 2.400 1.89 (4.536.00) (162.646.16)
WARRANT EXP 11/18:2018
05/19/ 4 05/22/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 1.000 3.85 (3.850.00) (166,496.16)
COM
05/19/ 4 05/22/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 100 3.91 (391.00) (166,887.16)
COM
05/21/14 05/22/14 Margin Buy - Securities Purchased RADNET INC. 50 0.70 (3.528.70) (170,415.86)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
05/21/14 05/22/14 Margin Buy - Securities Purchased BUCKLE INC 100 0.75 (7.557.40) (177,973.26)
BKE Jun 21 14 46.3 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
SDNY_GM_00011536
CONFIDENTIAL
page 26 o142
EFTA 00122187
EFTA01267666

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
05/21714 05/22/14 Margin Sell - Securities Sold BUCKLE INC 4- 2.23 864.38 (177,108.88)
BKE Jun 21 14 46.3 P TO CLOSE
Commission 27.50
Regulatory Fee 0.12
05/21/14 05/22/14 Margin Sell - Securities Sold BUCKLE INC 1- 2.22 221.96 (176,886.92)
BKE Jun 21 14 46.3 P TO CLOSE
Regulatory Fee 0.04
05/21/14 05/22/14 Margin Sell - Securities Sold BUCKLE INC 45- 2.21 9.943.70 (166,943.22)
BKE Jun 21 14 46.3 P TO CLOSE
Regulatory Fee 1.30
05/21/14 05/22/14 Margin Buy - Securities Purchased SEARS HOLDING CORP 15 1.84 (2.768.61) (169,711.83)
SHLD Jun 21 14 39.0 C TO OPEN
Commission 8.25
Regulatory Fee 0.36
05/21/14 05/22/14 Margin Buy - Securities Purchased QUANTUM FUEL SYSTEMS TEC 50 1.40 (7,028.70) (176,740.53)
QTWW Jul 19 14 3.0 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
05/21/14 05/22/14 Margin Buy - Securities Purchased AEROPOSTALE INC 50 1.35 (6.778.70) (183,519.23)
ARO Jan 17 15 3.5 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
05/22/14 05/22/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 183319.23 0.00
DEPOSIT ACCOUNT
05/20/14 05/23/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION ZAZA 19,000 0.6801 (12.921.90) (12.921.90)
COM
05/20/14 05/23/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 15.000 0.23 (3.450.00) (16,371.90)
COM
05/20/ 4 05/23/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 1.445 3.87 (5.592.15) (21,964.05)
COM
05/22/14 05/23/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC - 75 3.30 (24.793.05) (46,757.10)
UEPS Jan 17 15 8.0C TO OPEN
Commission 41.25
Regulatory Fee 1.80
05/22/14 05/23/14 Margin Sell - Securities Sold BUCKLE INC 5- 1.98 962.35 (45,794.75)
BKE Jun 21 14 46.3 P TO CLOSE
Commission 27.50
Regulatory Fee 0.15
SDNY_GM_00011537
CONFIDENTIAL
page 27 o142
EFTA _00122I88
EFTA01267667

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
05/22/14 05/23/14 Margin Sell - Securities Sold BUCKLE INC 1- 1.96 195.96 (45.598.79)
BKE Jun 21 14 46.3 P TO CLOSE
Regulatory Fee 0.04
05/22/14 05/23/14 Margin Sell - Securities Sold BUCKLE INC 44- 1.95 8.578.75 (37,020.04)
BKE Jun 21 14 46.3 P TO CLOSE
Regulatory Fee 1.25
05/22/14 05/23/14 Margin Buy - Securities Purchased ITT EDUCATIONAL SERVICES INC - 25 0.56 (1.414.35) (38,434.39)
ESI Jun 21 14 25.0 C TO OPEN
Commission 13.75
Regulatory Fee 0.60
05/22/14 05/23/14 Margin Sell - Securities Sold BUCKLE INC 50- 1.40 6.971.14 (31,463.25)
BKE Jun 21 14 46.3 P TO CLOSE
Commission 27.50
Regulatory Fee 1.36
05/22/14 05/23/14 Margin Buy - Securities Purchased SONY CORP 75 0.85 (6.418.05) (37,881.30)
SNE Oct 18 14 17.0 C TO OPEN
Commission 41.25
Regulatory Fee 1.80
05/22/14 05/23/14 Margin Sell - Securities Sold BUCKLE INC 50- 1.40 6,971.14 (30,910.16)
BKE Jun 21 14 46.3 P TO CLOSE
Commission 27.50
Regulatory Fee 1.36
05/23/14 05/23/14 Margin Joumal - Other REDEMPTION FDIC INSURED 0.00 30.910.16 0.00
DEPOSIT ACCOUNT
05/21/14 05/27/14 Margin Buy - Securities Purchased OCLARO INC OCLR 10,000 1.85 (18.500.00) (18,500.00)
COM
05/21/14 05/27/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 1.300 6.55 (8.515.00) (27,015.00)
COM
05/21/14 05/27/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 1.600 1.80 (2.880.00) (29,895.00)
WARRANT EXP 11/18:2018
05/21/14 05/27/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 12,900 0.685 (8.836.50) (38,731.50)
COM
05/21/14 05/27/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 100- 27.781 2/78.03 (35,953.47)
COM
Regulatory Fee 0.07
05/21/14 05/27/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 900- 27.78 25.001.44 (10,952.03)
COM
Regulatory Fee 0.56
SDNY_GM_00011538
CONFIDENTIAL
page 28 o142
EFTA 00122189
EFTA01267668

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
05/21/14 05/27/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 1.000- 27.831 27.830.38 1637835
COM
Regulatory Fee 0.62
05/21/14 05/27/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 1.000- 27.91 27.909.38 44.787/3
COM
Regulatory Fee 0.62
05/21/14 05/27/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 4.500 0.93 (4.184.96) 40.602.77
COMMUNICATIONS
COM
05/21/14 05/27/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 4.500 0.9307 (4.187.93) 36.41434
COMMUNICATIONS
COM
05/21/14 05/27/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 1.000- 27.9501 27.949.48 64364.32
COM
Regulatory Fee 0.62
05/21/14 05/27/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 1.200 6.41 (7.692.00) 56.67232
COM
05/21/14 05/27/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 1.300 6.40 (8.320.00) 48.35232
COM
05/21/14 05/27/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 800- 28.021 22.416.30 70.768.62
COM
Regulatory Fee 0.50
05/21/14 05/27/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 200- 28.02 5.603.87 76.372.49
COM
Regulatory Fee 0.13
05/21/14 05/27/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 1.200 6.1999 (7.439.88) 68.93231
COM
05/21/14 05/27/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC UEPS 2.000 10.47 (20.940.00) 47.99231
COM
05/21/14 05/27/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC UEPS 300 10.4699 (3.140.97) 44.85134
COM
05/21/14 05/27/14 Margin Buy - Securities Purchased ACCESS PI-IARMA INC ACCP 400 0.425 (170.00) 44.68134
COM
05/21/14 05/27/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 317 0.89 (282.13) 44.39951
COMMUNICATIONS
COM
05/21/14 05/27/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 3.650 0.26 (949.00) 43.45051
COM
SDNY_GM_00011539
CONFIDENTIAL
page 29 of 42
EFTA 00122190
EFTA01267669

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
05/21/14 05/27/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 470 3.48 (1.635.60) 41.814.91
COM
05/21/14 05/27/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC UEPS 2.300 10.42 (23.966.00) 17.848.91
COM
05/21/14 05/27/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC UEPS 600 10.419 (6.251.40) 11,597.51
COM
05/21/14 05/27/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 400 0.927 (370.80) 11,226.71
COMMUNICATIONS
COM
05/21/14 05/27/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 200 6.15 (1.230.00) 9.996/1
COM
05/23/14 05/27/14 Margin Sell - Securities Sold BUCKLE INC 50- 1.60 7,971.12 17.967.83
BKE Jun 21 14 46.3 P TO CLOSE
Commission 27.50
Regulatory Fee 1.38
05/23/14 05/27/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC 25 3.40 (8,514.35) 9.453.48
UEPS Jan 17 15 8.0 C TO OPEN
Commission 13.75
Regulatory Fee 0.60
05/23/14 05/27/14 Margin Buy - Securities Purchased BUCKLE INC 100 0.65 (6.557.40) 2.896.08
BKE Jun 21 14 46.3 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
05/23/14 05/27/14 Margin Buy - Securities Purchased AOL INC 131 2.43 (31.918.65) (29,022.57)
AOL Jul 19 14 36.0 C TO OPEN
Commission 82.50
Regulatory Fee 3.15
05/23/14 05/27/14 Margin Buy - Securities Purchased AOL INC 19 2.42 (4.598.46) (33,621.03)
AOL Jul 19 14 36.0 C TO OPEN
Regulatory Fee 0.46
05/23/14 05/27/14 Margin Buy - Securities Purchased SEARS HOLDING CORP 25 1.31 (3.289.35) (36,910.38)
SHLD Jun 21 14 39.0 C TO OPEN
Commission 13.75
Regulatory Fee 0.60
05/23/14 05/27/14 Margin Buy - Securities Purchased GREEN PLAINS INC 100 4.00 (40.057.40) (76.967.78)
GPRE Jul 19 14 25.0 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
SDNY_GM_00011540
CONFIDENTIAL
page 30 0142
EFTA_00 I 22 I 9 I
EFTA01267670

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
05/23/14 05/27/14 Margin Buy - Securities Purchased APOLLO EDUCATION GROUP INC - 133 2.71 (36.128.70) (113,096.48)
APOL Jul 19 14 26.0 C TO OPEN
Commission 82.50
Regulatory Fee 3.20
05/23/14 05/27/14 Margin Buy - Securities Purchased APOLLO EDUCATION GROUP INC 7 2.70 (1.890.17) (114,986.65)
APOL Jul 19 14 26.0 C TO OPEN
Regulatory Fee 0.17
05/23/14 05/27/14 Margin Buy - Securities Purchased APOLLO EDUCATION GROUP INC 10 2.69 (2.690.24) (117,676.89)
APOL Jul 19 14 26.0 C TO OPEN
Regulatory Fee 0.24
05/23/14 05/27/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC 20 3.60 (7.211.48) (124,888.37)
UEPS Jan 17 15 8.0 C TO OPEN
Commission 11.00
Regulatory Fee 0.48
05/23/14 05/27/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC 30 3.50 (10.517.22) (135,405.59)
UEPS Jan 17 15 8.0 C TO OPEN
Commission 16.50
Regulatory Fee 0.72
05/27/14 05/27/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 68.050.61 (67,354.98)
DEPOSIT ACCOUNT
05/27/14 05/27/14 Margin Div/Int - Other FDIC INSURED DEPOSIT MMDA1 0.00 4.41 (67,350.57)
ACCOUNT
IDA01 NOT COVERED BY SIPC
Interest: Insured
Deposit Account
Payable: 0513112014
Insured Deposit Accoun 0.71
05/22/14 05/28/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 1.500 3.73 (5.595.00) (72.945.57)
COM
05/22/14 05/28/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 1.000 3.45 (3.450.00) (76,395.57)
COM
05/22/14 05/28/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 30 3.44 (103.20) (76,498.77)
COM
05/22/14 05/28/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC UEPS 1.500 10.6896 (16.034.40) (92.533.17)
COM
05/22/14 05/28/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 1.000 1.57 (1.570.00) (94,103.17)
WARRANT EXP 11/18:2018
SDNY_GM_00011541
CONFIDENTIAL
page 31 o142
EFTA_00 I 22192
EFTA01267671

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
05/22/14 0528/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 11.000 0.9206 (10,126.60) (104,229.77)
COMMUNICATIONS
COM
05/22/14 05/28/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 24.997 0.25 (6.249.25) (110,479.02)
COM
05/22/14 05/28/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC UEPS 200 10.62 (2.124.00) (112,603.02)
COM
05/22/14 05/28/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC UEPS 106 10.6199 (1.125.71) (113,728.73)
COM
05/22/14 05/28/14 Margin Buy - Securities Purchased HANWHA SOLARONE CO LTD HSOL 14.106 2.36 (33.290.16) (147,018.89)
ADS
05/22/14 05/28/14 Margin Buy - Securities Purchased HANWHA SOLARONE CO LTD HSOL 500 2.355 (1.177.50) (148,196.39)
ADS
05/27/14 05/28/14 Margin Buy - Securities Purchased AEROPOSTALE INC 250 1.05 (26.393.50) (174,589.89)
ARO Jul 19 14 3.0 C TO OPEN
Commission 137.50
Regulatory Fee 6.00
05/23/14 05/29/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC ZIOP 2.500 3.449 (8.622.50) (183.212.39)
COM
05/23/14 05/29/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC ZIOP 2.500 3.58 (8.950.00) (192,162.39)
COM
05/23/14 05/29/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 1.200 1.78 (2.136.00) (194,298.39)
WARRANT EXP 11/18.2018
05/23/14 05/29/14 Margin Buy - Securities Purchased TFiANSGENOMIC INC TBIO 700 3.80 (2.660.00) (196.958.39)
COM
05/23/14 05/29/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 200 3.919 (783.80) (197.742.19)
COM
05/23/14 05/29/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC UEPS 994 11.0496 (10.983.30) (208.725.49)
COM
05/23/14 05/29/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC UEPS 1.000 11.02 (11.020.00) (219.745.49)
COM
05/23/14 05/29/14 Margin Sell - Securities Sold AOL INC AOL 1.000- 36.961 36.960.18 (182,785.31)
COM
Regulatory Fee 0.82
05/23/14 05/29/14 Margin Sell - Securities Sold AOL INC AOL 700- 36.981 25.886.12 (156.899.19)
COM
Regulatory Fee 0.58
SDNY_GM_00011542
CONFIDENTIAL
page 32 o142
EFTA 00122193
EFTA01267672

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
05/23/14 05/29/14 Margin Sell - Securities Sold AOL INC AOL 300- 36.98 11.093.75 (145.805.44)
COM
Regulatory Fee 0.25
05/23/14 05/29/14 Margin Sell - Securities Sold AOL INC AOL 1.000- 37.0501 37.049.28 (108,756.16)
COM
Regulatory Fee 0.82
05/23/14 05/29/14 Margin Sell - Securities Sold AOL INC AOL 9- 37.17 334.52 (108,421.64)
COM
Regulatory Fee 0.01
05/23/14 05/29/14 Margin Sell - Securities Sold AOL INC AOL 100- 37.163 3.716.21 (104,705.43)
COM
Regulatory Fee 0.09
05/23/14 05/29/14 Margin Sell - Securities Sold AOL INC AOL 891- 37.161 33.109.71 (71,595.72)
COM
Regulatory Fee 0.74
05/23/14 05/29/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC UEPS 1.500 10.92 (16.380.00) (87,975.72)
COM
05/23/14 05/29/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 1.000- 28.0004 27.999.78 (59,975.94)
COM
Regulatory Fee 0.62
05/23/14 05/29/14 Margin Buy - Securities Purchased TFiANSGENOMIC INC TBIO 1.500 3.9199 (5.879.85) (65,855.79)
COM
05/23/14 05/29/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 1.000- 28.021 28.020.38 (37,835.41)
COM
Regulatory Fee 0.62
05/23/14 05/29/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 1.052 3.5299 (3.713.45) (41,548.86)
COM
05/23/14 05/29/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 11.853 0.69 (8.178.57) (49.727.43)
COM
05/23/14 05/29/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 800 0.689 (551.20) (50.278.63)
COM
05/23/14 05/29/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 624 0.6888 (429.81) (50.708.44)
COM
05/23/14 05/29/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION ZAZA 4 0.6887 (2.75) (50.711.19)
COM
05/23/14 05/29/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 100- 28.10 2.809.93 (47,901.26)
COM
Regulatory Fee 0.07
SDNY_GM_00011543
CONFIDENTIAL
page 33 o142
EFTA 00122194
EFTA01267673

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
05/23/14 05/29/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 900- 28.091 25.281.34 (22.619.92)
COM
Regulatory Fee 0.56
05/23/14 05/29/14 Margin Buy - Securities Purchased HANWHA SOLARONE CO LTD HSOL 5.400 2.2899 (12.365.46) (34,985.38)
ADS
05/23/14 05/29/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC UEPS 1.500 11.11 (16.665.00) (51,650.38)
COM
05/23/14 05/29/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 700- 28.205 19743.06 (31,907.32)
COM
Regulatory Fee 0.44
05/23/14 05/29/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 300- 28.2004 8.459.93 (23,447.39)
COM
Regulatory Fee 0.19
05/23/14 05/29/14 Margin Sell - Securities Sold AOL INC AOL 1.000- 37.1501 37.149.27 13.701.88
COM
Regulatory Fee 0.83
05/23/14 05/29/14 Margin Buy - Securities Purchased AEROPOSTALE INC ARO 10.000 3.45 (34.500.00) (20,798.12)
COM
05/23/14 05/29/14 Margin Sell - Securities Sold AOL INC AOL 15- 37.1501 557.23 (20,240.89)
COM
Regulatory Fee 0.02
05/23/14 05/29/14 Margin Sell - Securities Sold AOL INC AOL 100- 37.155 3715.41 (16,525.48)
COM
Regulatory Fee 0.09
05/23/14 05/29/14 Margin Sell - Securities Sold AOL INC AOL 1.400- 37.15 52.008.85 35.483.37
COM
Regulatory Fee 1.15
05/23/14 05/29/14 Margin Buy - Securities Purchased AEROPOSTALE INC ARO 14.515 3.45 (50.076.75) (14,593.38)
COM
05/23/14 05/29/14 Margin Buy - Securities Purchased AEROPOSTALE INC ARO 400 3.445 (1.378.00) (15,971.38)
COM
05/23/14 05/29/14 Margin Buy - Securities Purchased AEROPOSTALE INC ARO 85 3.4401 (292.41) (16,263.79)
COM
05/23/14 05/29/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION ZAZA 204 0.6786 (138.43) (16,402.22)
COM
05/23/14 05/29/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 200 0.679 (135.80) (16,538.02)
COM
SDNY_GM_00011544
CONFIDENTIAL
page 34 o142
EFTA 00122195
EFTA01267674

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
05/23/14 05/29/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 103 0.6788 (69.92) (16,607.94)
COM
05/23/14 05/29/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 1.212 0.6787 (822.58) (17.430.52)
COM
05/23/14 05/29/14 Margin Buy - Securities Purchased EMRISE CORP EMRI 968 0.875 (847.00) (18277.52)
COM
05/23/14 05/29/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 400 3.51 (1.404.00) (19,681.52)
COM
05/23/14 05/29/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 48 3.5099 (168.48) (19,850.00)
COM
05/23/14 05/29/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 1.174 1.81 (2.124.94) (21.974.94)
COM
05/23/14 05/29/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 585 3.82 (2.234.70) (24.209.64)
COM
05/28/14 05/29/14 Margin Buy - Securities Purchased GREEN PLAINS INC 50 3.80 (19.028.70) (43238.34)
GPRE Jul 19 14 25.0 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
05/28/14 05/29/14 Margin Buy - Securities Purchased FUELCELL ENERGY INC 25 1.45 (3.639.35) (46,877.69)
FCEL Oct 18 14 1.0 C TO OPEN
Commission 13.75
Regulatory Fee 0.60
05/28/14 05/29/14 Margin Buy - Securities Purchased FUELCELL ENERGY INC 200 0.30 (6.114.80) (52.992.49)
FCEL Jul 19 14 2.5 C TO OPEN
Commission 110.00
Regulatory Fee 4.80
05/28/4 05/29/14 Margin Buy - Securities Purchased SEARS HOLDING CORP 50 2.36 (11.828.70) (64,821.19)
SHLD Jul 19 14 38.0 C TO OPEN
Commission 2750
Regulatory Fee 1.20
05/28/14 05/29/14 Margin Buy - Securities Purchased FUELCELL ENERGY INC 75 0.30 (2.293.05) (67,114.24)
FCEL Jul 19 14 2.5 C TO OPEN
Commission 41.25
Regulatory Fee 1.80
05/28/14 05/29/14 Margin Buy - Securities Purchased CORINTHIAN COLLEGES INC 97 0.15 (1.510.68) (68,624.92)
COCO Nov 22 141.0 C TO OPEN
Commission 53.35
Regulatory Fee 2.33
SDNY_GM_00011545
CONFIDENTIAL
page 35 o142
EFTA 00122196
EFTA01267675

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
05/27/14 05/30/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 1.100 6.89 (7.579.00) (76.203.92)
COM
05/27/14 05/30/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 500 7.02 (3.510.00) (79,713.92)
CAM
05/27/14 05/30/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 5.400 0.8898 (4.804.92) (84,518.84)
COMMUNICATIONS
CAM
05/27/14 05/30/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 11 0.8893 (9.78) (84,528.62)
COMMUNICATIONS
CAM
05/27/14 05/30/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 89 0.8856 (78.82) (84,607.44)
COMMUNICATIONS
CAM
05/27/14 05/30/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 3.783 0.8879 (3.358.93) (87.966.37)
COMMUNICATIONS
CAM
05/27/14 05/30/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 1.100 2.13 (2.343.00) (90,309.37)
WARRANT EXP 11/18/2018
05/27/14 05/30/14 Margin Buy - Securities Purchased ATHERONOVA INC AHRO 10.000 2.77 (27.700.00) (118,009.37)
CAM
05/27/14 05/30/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 12.000 0.88 (10.560.00) (128,569.37)
COMMUNICATIONS
CAM
05/27/14 05/30/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 13.000 0.28 (3.640.00) (132.209.37)
CAM
05/27/14 05/30/14 Margin Sell - Securities Sold AEROPOSTALE INC ARO 111- 3.945 437.89 (131,771.48)
CAM
Regulatory Fee 0.01
05/27/14 05/30/14 Margin Sell - Securities Sold AEROPOSTALE INC ARO 200- 3.941 788.18 (130,983.30)
CAM
Regulatory Fee 0.02
05/27/14 05/30/14 Margin Sell - Securities Sold AEROPOSTALE INC ARO 18.259- 3.94 71.938.87 (59,044.43)
CAM
Regulatory Fee 1.59
05/27/14 05/30/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 7.1799 (717.99) (59,762.42)
CAM
05/27/14 05/30/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 690 1.8399 (1.269.53) (61,031.95)
COM
SDNY_GM_00011546
CONFIDENTIAL
page 36 of 42
EFTA_00 I 22 I97
EFTA01267676

Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
05/27/14 05/30/14 Margin Buy • Securities Purchased LANTRONIX INC LT RX 200 1.8599 (371.98) (61.403.93)
COM
05/27/14 05/30/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 1.100 3.85 (4,235.00) (65,638.93)
COM
05/27/14 05/30/14 Margin Buy - Securities Purchased HELM WIRELESS CORP. RWC 100 3.38 (338.00) (65,976.93)
COM
05/27/14 05/30/14 Margin Sell - Securities Sold AEROPOSTALE INC ARO 6.430- 3.97 25,526.53 (40,450.40)
COM
Regulatory Fee 0.57
05/27/14 05/30/14 Margin Buy Securities Purchased TRANSGENOMIC INC TBIO 100 3.90 (390.00) (40,840.40)
COM
05/30/14 05/30/14 Margin Div/Int - Expense MARGIN INTEREST CHARGE 0.00 (82.78) (40,923.18)
Payable: 05/30/2014
05/30/14 05/30/14 Margin Div/Int - Income INTEREST CREDIT 0.00 1.63 (40,921.55)
Payable: 05/30/2014
Closing Balance ($40,921.55)
'For Cash Actwrly totals, refer to the Cash Activity Summary on page one of your statement.
TD Ameritrade Cash Interest Credit/Ex .ense
Begin Margin Credit Number Interest Interest Interest
Date Balance Balance of Days Rate Debited Credited
05/12/14 $ • $ 4,000,600.00 1 0.01 $ 1.09
05/13/14 225,607.39 1 0.01 0.06
05/14/14 706,406.49 1 0.01 0.19
05/15/14 650,672.67 1 0.01 0.18
05/16/14 137,546.89 3 0.01 0.11
05/27/14 (67,350.57) 1 7.50 14.03
05/28/14 (174,589.89) 1 7.25 35.16
05/29/14 (68,624.92) 1 7.50 14.30
05/30/14 (40,840.40) 2 8.50 19.29
Total Interest Income/(Expense) $82.78 $1.63
Insured De•osit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
05/13/14 $ 3,586,052.90 1 0.0100 $ 0.98 $ 0.98 $ -
05/14/14 2,555,603.85 1 0.0100 0.70 1.68
05/15/14 2,107,646.72 1 0.0100 0.58 2.26
SDNY_Gm_00011547
CONFIDENTIAL
page 37 of 42
EFTA_00122198
EFTA01267677

Statement for Account # 867-730320
05/01/14 - 05/31/14
Insured Deposit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
05/16/14 1,669,134.44 3 0.0100 1.37 3.63
05/19/14 1,399,074.48 1 0.0100 0.39 4.02
05/20/14 789,021.77 1 0.0100 0.21 4.23
05/21/14 282,480.00 1 0.0100 0.08 4.31 4.31
05/22/14 98,960.77 1 0.0100 0.03 0.03
05/23/14 68,050.61 4 0.0100 0.07 0.10 0.10
Total interest Income $4.41
Trades Pending Settlement
Account Symbol/ Trade Settle
Investment Description Type CUSIP Quantity Price Date Date Amount
BUY TRANSGENOMIC INC Margin TBIO 470 $ 3.979 05/28/14 06/02/14 $ (1,870.13)
COM
BUY GREEN PLAINS INC Margin GPRE 1.000 27.72 05/28/14 06102/14 (27,720.00)
COM
BUY RICEBRAN TECHNOLOGIES Margin RIBTW 1.000 2.089 05/28/14 06102/14 (2,089.00)
WARRANT EXP 11/18/2018
BUY GREEN PLAINS INC Margin GPRE 1.000 27.46 05/28/14 06/02/14 (27,460.00)
COM
BUY RICEBRAN TECHNOLOGIES Margin RIBTW 700 2.0852 05/28/14 06/02/14 (1,459.64)
WARRANT EXP 11/18/2018
BUY RICEBRAN TECHNOLOGIES Margin RIBT 500 7.10 05/28/14 06/02/14 (3,550.00)
COM
BUY ZIOPHARM ONCOLOGY INC Margin ZIOP 4.000 3.5799 05/28/14 06/02/14 (14,319.60)
COM
BUY ZIOPHARM ONCOLOGY INC Margin ZIOP 100 3.575 05/28/14 06/02/14 (357.50)
COM
BUY LANTRONIX INC Margin LTRX 7.000 1.90 05/28/14 06/02/14 (13,300.00)
COM
BUY ZIOPHARM ONCOLOGY INC Margin ZIOP 4.200 3.51 05/28/14 06/02/14 (14.742.00)
COM
BUY ZIOPHARM ONCOLOGY INC Margin ZIOP 500 3.509 05/28/14 06/02/14 (1,754.50)
COM
BUY ZIOPHARM ONCOLOGY INC Margin ZIOP 300 3.505 05/28/14 06/02/14 (1,051.50)
COM
SDNY_GM_00011548
CONFIDENTIAL
page 38 o142
EFTA 00122199
EFTA01267678

Statement for Account # 867-730320
05/01/14 - 05/31/14
Trades Pending Settlement
Account Symbol! Trade Settle
Investment Description Type CUSIP Quantity Price Date Date Amount
SELL GREEN PLAINS INC Margin GPRE 1.000- 28.2548 05/28114 06102/14 28,254.17
COM
SELL GREEN PLAINS INC Margin GPRE 300- 28.395 05/28/14 06102/14 8,518.31
COM
SELL GREEN PLAINS INC Margin GPRE 114- 28.39 05/28/14 06102/14 3,236.38
COM
SELL GREEN PLAINS INC Margin GPRE 486- 28.381 05/28/14 06/02/14 13,792.86
COM
SELL GREEN PLAINS INC Margin GPRE 100- 28.38 05/28/14 06102/14 2,837.93
COM
SELL GREEN PLAINS INC Margin GPRE 1.500- 28.6301 05/28/14 06102/14 42,944.20
COM
BUY ELEPHANT TALK Margin ETAK 1.000 0.8001 05/28/14 06102/14 (800.10)
COMMUNICATIONS
COM
BUY ELEPHANT TALK Margin ETAK 7.000 0.80 05/28/14 06102/14 (5.600.00)
COMMUNICATIONS
COM
BUY RAINMAKER SYSTEMS INC Margin RMKR 20.000 0.255 05/28/14 06102/14 (5.100.00)
COM
BUY ELEPHANT TALK Margin ETAK 5,000 0.8026 05/28/14 06102/14 (4.012.95)
COMMUNICATIONS
COM
SELL GREEN PLAINS INC Margin GPRE 1,000- 28.6601 05/28/14 06102/14 28.659.46
COM
SELL AOL INC Margin AOL 1,000- 36.4012 05/28/14 06102/14 36,400.39
COM
BUY LANTRONIX INC Margin LTRX 3,400 1.8999 05/28/14 06102/14 (6.459.66)
COM
SELL GREEN PLAINS INC Margin GPRE 500- 28.7412 05/28/14 06102/14 14.370.28
COM
SELL GREEN PLAINS INC Margin GPRE 200- 28.7301 05/28/14 06102/14 5.745.89
COM
SDNY_GM_00011549
CONFIDENTIAL
page 39 o142
EFTA_00122200
EFTA01267679

Statement for Account # 867-730320
05/01/14 - 05/31/14
Trades Pending Settlement
Account Symbol! Trade Settle
Investment Description Type CUSIP Quantity Price Date Date Amount
BUY LANTRONIX INC Margin LTRX 4.100 1.89 05/28/4 06102/14 (7.749.00)
COM
BUY LANTRONIX INC Margin LTRX 594 1.90 05/28/14 06102/14 (1.128.60)
COM
BUY LANTRONIX INC Margin LTRX 500 1.899 05/28/14 06102/14 (949.50)
COM
SELL BEST BUY CO INC Margin 91- 2.76 05/30/14 06/02/14 25.058.25
BBY Jun 21 14 25.0 C
SELL BEST BUY CO INC Margin 9- 2.75 05/30/14 06/02/14 2.474.72
BBY Jun 21 14 25.0 C
BUY TRANSGENOMIC INC Margin TBIO 600 3.6899 05/30/14 06/04/14 (2.213.94)
COM
BUY LANTRONIX INC Margin LTRX 1,500 1.9799 05/30/14 06/04/14 (2.969.85)
COM
BUY LANTRONIX INC Margin LTRX 6,000 1.9752 05/30/14 06104/14 (11.851.20)
COM
BUY ACCESS PHARMA INC Margin ACCP 2.011 0.42 05/30/14 06104/14 (844.62)
COM
BUY RAINMAKER SYSTEMS INC Margin RMKR 34 0.22 05/30/14 06104/14 (7.48)
COM
BUY ACCESS PHARMA INC Margin ACCP 3,000 0.41 05/30/14 06104/14 (1.230.00)
COM
SDNY_GM_00011550
CONFIDENTIAL
page 40 014 2
EFTA_OOI 22201
EFTA01267680

Statement for Account # 867-730320
05/01/14 - 05/31/14
Insured De • osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $ 0.00
05/13/14 05/13/14 Received FDIC INSURED DEPOSIT ACCOUNT $ 247,500.00 247,500.00
IDA01 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
05/13/14 05/13/14 Received FDIC INSURED DEPOSIT ACCOUNT 3,338,552.90 3,586,052.90
IDA01 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
05/14/14 05/14/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (1,030,449.05) 2.555.603.85
IDA01 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/15/14 05/15/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (447,957.13) 2,107,646.72
IDA01 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/16/14 05/16/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (438,512.28) 1,669,134.44
IDA01 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/19/14 05/19/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (270,059.96) 1,399,074.48
IDA01 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/20/14 05/20/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (610,052.71) 789.021.77
IDA01 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/21/14 05/21/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (506,541.77) 282.480.00
IDA01 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/22/14 05/22/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (34,980.00) 247.500.00
IDA01 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/22/14 05/22/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (148,539.23) 98.960.77
IDA01 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
SDNY_GM_00011551
CONFIDENTIAL
page 41 of 42
EFTA_00122202
EFTA01267681

Statement for Account # 867-730320
05/01/14 - 05/31/14
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
05/23/14 05/23/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (30,910.16) 68,050.61
IDA01 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/27/14 05/27/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (68,050.61) 0.00
IDA01 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
Closing Balance $ 0.00
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage accoun are FDIC-insured up to applicable limits and held by TD Bank. N.A. or TO Bank USA. N.A.. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIPC) protection vocable to your brokerage account.
Important Information
The most recent statement of financial condition for TD Ameritrade Clearing. Inc. may be obtained at no cost. via the Internet at http:liwww.tdameritrade.corn,financialstatement.html on
or before June 13, 2014, or by contacting TO Ameritrade Clearing. Inc. at 1-800-237-8692. As of March 31, 2014, TD Ameritrade Clearing, Inc. had net capital and a net capital
requirement of $1.42 billion and $266.6 million, respectively. A copy of the report and comments is currently available for customers' inspection at the principal office of the commission
in Washington DC and the Denver, CO office of the Commission.
SDNY_GM_00011552
CONFIDENTIAL
page 42 of 42
EFTA_00122203
EFTA01267682

ST
THOMAS.
VI
00802-1348
6100
RED
HOOK
QTRS
STE
8-3
ATTN:
JEFFREY
EPSTEIN
SOUTHERN
FINANCIAL
LLC
1D
Ameritrade
CONFIDENTIAL SDNY_GM_00011553
EFTA01267683

Terms and Conditions
STATEMENT GUIDE
nr•:- wade prandes marbly Pordcao Fleeces for accounts with amity and quanerly reams SeConan Inverted' ProWHOA CapthiltOn rSIPC'). valth MIKIS wattles AuttiOn Rate SeanItis ("ARS') Pricing: The morket values Ion ARS securities bare been
er vvcr,0 =courts rah assets.. CuerOMen el id fnernberti up to 3500000 tinflueing 3250.000 rot Clain la 010). warned. e mulatto. from quamon sconcesor other relependcm sources. Tie accuncyd the
Explthatcry Oahu, le available on request al swalliPtide snag c ea guarical n a rocket mkt na "mask; TD Arneruale wit price to MSposition.
Portfolio Summary: Tema. the Current value a yOtir pOnla0 65 Of the teeth dale and taro into consdera0a, both the ligualy and underlying etedi golly. The ARS market is
caroves it to Ire VW MOnth.T The PPM altalien adcelee yOur panel* dIvereftelith by Additbnight. TO Amaral* provides each 0(0 $149.5 Wen oath 01 protases for cunenth, °menacing a lack of lestaty and. as a result. mere can be no assurance that exit
.nvesimen tope see-unties and S2 milton of protocan for cash through supthemonla coverage Meanies can be sold under Curren market Conditions
provided by London imams. In the ovoid of a brokerage nsarency. a diem may
waled dlocalons under 5%stabe grouped into the Megan, 01 -Mee in the pie ChM. Margin receive afriCtlete due from the meta in bankruptcy and then SIPC. Supplemersal REGULATORY DISCLOSURES
Eciuty - Told Account EituThITOISI LOng Magnate Value • Tidal Short Value) coverage is paid cis agar the troves and SPC payouts and under such coverage
each client n limited to a combined return of $152 widen Item a trustee. SIPC and Al transactions are 'Wuxi to CO the cor sblution. roles. regulations. customs and usages d erg
Madly Summery: The opening and dosing cash balances aro reconcloo hue lot yea quick London nSurery. The TO same/bade supplemental coverage tea en ipgreda401Mll el ...change or market and its dearneaduse. if any. On whits such thireactions ate execued: it
reletence Al account activity issummarized lot the current paled and yea/go-dale $500 billion Over al Cush:Men This poky provides coverage *leonine brokerage federal laws. ndudng to Saunas Act of 1533 ace the Stroud*: Exchange Act d 1934,
insolvency and does not protect against loss In market value 01 the securities oath as amended to dam and in the future. and the nubs and regulations promulgated
Income a Expense Summery (noaMAs only): This section Maas the income and endnite thetender. end thi) the rules and ItmAltrescI FiMIA end the Fede el Reserve System
wan hem Mo Acouty Summary and eta:tilos the lax boatmen. An inv./4MM in a money Mane( end 4 tel inland Cr guaranteed by the Festal
Deposit Insurance Corporation (FMC) or any Other government agency Mhough the For an investor brochure that Mack intormation detretrng FINRAS Pudic Cuselasure
Robrernent Account Summary (IRAs orgy): Amore no IRS renuacd transactions for the kinds seek to preserve the value of yew investment at 51 00 per share. II Is pessibb to Program. pease contact FINRA at 800-289.9999 or HUmmittirea.org.
wren and potr years IRS Form 5498 lair mania( value is based on the curtain value as a lose money by investing m a money market fund. Dividend: we declared Maly and
December 31 of the prenous year arelml to furnished tote Thema] Revenue Seam. pakinenvested monthly. The prospectus certain, this and other impaired The interest rate shoran for TO Amerind° Cash* taken Iran the applcatle interest rate See tot
inbrmalion. Road the prospectus carefully belore investing. Nenamesn investments the Market Value balance n the TO Amaiyado Cash. as ol the statemem toting date. Simple
PeclormanosSummary:Monnor your annual portfolio porlormance and the unedited gains and held by your broker-dealer are NOT FMC INSURED i NOT BANK GUARANTEED ; irteresI is mated dab/ toted on the )merest rate See epplbatry 10 Oath day's balance.
tostrestayOue *lure nreaneni sealenY. MAY LOSE VALUE.
Anomie' Statement Notification: The statement 01 financial condition tor TO Amenuale e
ACCOunt Positions: Viewyaw Mahwah el the Current trend value and conthare the Original The Oaten°e in your bank depeell UM.' Or Shand 01 your money market mutual avalablo twat a year and may to emoted at no cast. ma the interned at
cod to sea uvealcred gains and losses n your pentad Original cod is assigned using the kind can be Idultlated on yam' Order, and the p/0000)09 returned 10 yew SeCtrtheS Mlimmvaldersentede COnslintheWelatervienthal.
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Allocation Method: In the event any 01 your securities are Caned Or assigned the Manta
relevance the odast purchase date is shown for an vacation of your baking pen*. Tax RoptinIng: The POMO* report Is not a tax document You wit resew Form 1099 wit be selected on an impartial. random basis.
Sae annual tax repot.® In COMplenCe wall IRS legulteriethIS lineludee Wale
c A lo c s c i o n u g n c t a S sh a b la a r la y n : c A e. l a:cotnt solidly is dead defiled. leled in Ode order, and reflected lithe i p n a te y r m e e st n , ts c a o r v e o e S n A s. K C I a tO pi t r a e l C g ia a T n h S d . e ti W llen e e s tl w e t h h h w a 0 d . b e O M re lle S t a le le d s a p /0 f 0 u 9 la 0 S 0 e 8 q ) u . e S nt o m la e x F Cr r e e d t i t C ba re la d n it c B es a n la n y c o e u s r t ( r R d u O l u e n 1 t 6 ii :3 t - h 2 e 8 P e 3 n ): u u r n y d c e o r u r th se e o p f e O n u t r p W ro a te n c d tio s n w n h i i c ch e . a r w e e M m a a d y e us t e o t y r O ee u
Trades Pending Stoneman!: Conlirrn yew euxund Wades nub a settlement date alter month resorts on darned.
aid. Them transactions wit be tattooed nitro ArmOure Astray Section rat month. Cost Basle: Costaatis. tax tot and performance reporting and OeinTheeDer are Margin Aateunts (Regulation I):II you have a margin account. tas report u a conisnatin of
O tis nl i m ne a C te a r s n h a S l l e C r ia vi a c l e te s ll l T p ra o n n s d a . c n tio d n u D dn e g ta i c l: h C e a s s t h d m e a b n t a c g a e r m d e a n n t d t r A an T s M a c a ti c o u n i s t y t . h a ar t e c l l i e s a te re d d i n du d ri a n t g e o o f r fe r th e e d r a e n l d e b c l o ll n y d u C c r t S ed u lt b a y b l C ity O a I IN th C e O in R fO PO rm R a A tiO TE n D T . T O D A A nn fi e le rr i n ta id d e e a t n o d n i o ts t r I e n s t- p om o a ns tr b o l n e e y tr i o a s u k c r s i n m a g n a i d r s g i i a n s v B n a o C l t a C t b le i * t " a i n a b n l t e h d e f a o m r s p a a e l r l c o i i n a n v l e m re s e l t y o m r d s o i . r s a c A n l o d c s u o u m m re p m l * e a e te c o u t w a m t e o M n f . a th Y ti e n o u g ri s O m k n s a M y 1 6 a o S r b g O t i a n C i n e M la a is d e c w s o e p ti l y l d m e a l a a r IN g n i S d n
prim providers ilhordenr) 00 not guarantee the accuracy a the nimmelco and data document by antatling us at thenumber 'sled on page One 01 your statement.
provided. COI INCORPORATED Is a 64Varate Company and IS not atideoed with
Online Cash Santos Summery: Credit and drat transaction totals to the current statement TO Arnerthade. Payment for Order Flow (SEC Rules 606 and 607): in some cncumstances. TO Anetetatle
repedrg paned are summarized. Indmciad transactons are not listed. receives compensation lot drooling caftan Oventhecounter and 'sled moray rick floe to
Margin end Options 'Meant Alife•Mente: Promptly advise TC)Amelleade In mane selected markets. brokers or dealers (Mean CenterC). Condensation is in the Iona or a per
Use to rounding aduStMente the statement MONS may not equal ad nelemeatoten of any change in your mandril oblectives or financul :dualism as they avian to share cash payment. In ad.:loon. TO Amite:rade also may some compensator) related to the
:Estimated Annual Income and Conned Annual Tleld values ate based upon the number of your Margo Or Options account agreements A fiurninfiry OleCMMISCOnS and VIVO'S foreign °agency euchringe cOmponent of transactions n drogn securities from Markel Calm
stores Craned Or anal value Waned as ol the Madmen dale ad the meat fecal dividend inane* wag the exeeugen a 006008 trainSeCtOnS IS throlbilDle. executive sigh yams. We post quarterly repels CMCKILI/9 the venues for order nixing
tale or cash mild emended execution at smeldamertrade Can A eaten COPY is aialatte upon request
Current Market Prices: The market values a SCrounlitiS have been Obtaltked. if
GENERAL INFORMATION a on m t i h a e b c le lo , s h in e g m p q ri u c o e t . a t t h io e n m s e e a rv n i c b e e s tw a e n e d n o t t h h e e b r i d nd a e n p d e a nd s e k n n t g s p o r u c r e c s e . s o . r O o a th h e e r : m w e e th b o a d s s. e K d m n a is k e o r u s r t p e o n k d y. o a n b s t e h n e t P °b e il n ly o t r o d e p r r s o u to d e t r h e b e c s o t n e tr u a e ry c . u t ti o o n s e a le n c d t b th ro e k e T r he s. o d ry e e o m f s s . e a d n a d n m a a r c ke e t
ID Amethrode does not porde legal Or la advid. Made Costa yaw legal !Wee, or lax no market value is amiable from a qumahon serene or other independent source, the 'roommatm market alas. Poe° rowan:foamis avertable over certain marled conditions.
accountant when nxessary. As a standard inanity prance. acne comersatons may to Urourtly s etbda 10 being Wetted 48 lath.PeCed (earl. The valvalall On your and we regularly molter ituronon: to test for etch imp:comment d avalatle.
recorded lot gushy antra and InindrotiOn veafiGlol purthased POM010 roped ale provided as general olormabon and we Mr not guarantee the
accuracy a any securnes arse* Mortgage backed positions are valued Wing the Trade Conarmetiona (Rule 100-10): All cordrmarons ere transmitted on the transearon dale.
For ID Arnearade nsfilikOnal tient your advisor firm is Separele horn and not *Misled van remanne balance and the Current reader price. gorgolo report valuations may not
ID Amanrado. Inc. a TO Arnersrado Owing. Inc.. and oath I rm Is Mil response.° lot the represent sales proceeds The secondary ;nand for CentiCateS 01 DePOPIS (CCU) lo Teat: Transadons in baron securities (indueing laden comPanY ADRs that Irade in the
creams and same: cd the other. generally aqua and the actual value may be deferent hem the purchase price. A U.S.) ray include hues and feescharged by the Werth makes or governments. vltch may
signecars loss of primeval may result rem the sale °feel) pnor to maunty. Sends be Needed in the cup of the seventy or charged than MdePerettnt ine item
Accuracyel Reports.", you find any errors or omissions in your account MilIment you anat.' Fixed Income Sautes trade datronlly than eerily scarifies arid do not trade
should Immediately call us at the number hated on page one of your statement You on a liquid exchange. Ramer, they trade in the OTC (over the counter) market and Privacy Porky Nolificetion: A Copy of the TO Amertrad? Privary POICY is available
should also contact our Martha firm. TO Arnentrado Clearing. Inc. at 8004654900. stealers 'meaty may net coin for you to sell your position prior to mature,. The sale vnsw.thamenradecorn
of bards prior to inaturry may result in a loss of armed.
F w 10 a 8 s S0 o ! r S o e n/ w sn t o il r e ts s . t p at l e o m w e n n t a C tt a y r e a r t C ily li e I n I t y S o e u a d m ra s w t e em e e w s i e th n t a a n m / o s o e r n y e o e u d r e k n c . a O l r b it i r M d a ie le / f a in re k a n a y s Non Standard Assets (NSA) are typicaly investments in area partionation program i 1 n .2 0 C 0 a 6 s 6 e 9 . 0 39 1 C E O r o ro r r ll s M l a e u 0 s a a 3 l 6 P 6 . 0 O n . $ b o A x L 2 M 2 A 0 9. Y O e m s a h E a l . e c N t E ro n 6 i 8 c 1 0 T 3 r , a a n s s f s e o r o s n T a e s t e y p o h u O c n a e n . t i o t yo e u l
eel es TO Arnatrode Clearing. Irc in with* MINn tee (10) days of Tea fedi% a this saunlies fpartnershps. hided Wally companies, a real estate invest:nen trusts,. thrk your statement a roOept is stone or 4 you need more interrelation abed a transfer On the
statement. Any oral statements that you have made to us slued be confirmed in twang The cairn:dry pods. wale equity. Ovate dots a hedge Ands. NSAs are rypicaly statement a NOMA We Mud hair from you to bier then 60days cuter vie sent you the FAST
statement watt °Menne be considered COOCkght illepd investments and do not trade on a nacznal socunhes exchange a the Nasdaq statement on shishthe error or problem appeared.
y P t A h o l c e e n c a o C s r e e u D p n n C o t a r P t t ( t t v n y o o o t n u t e s b c c e p l o i C o r v o O n e m r : n e p D C d t e k ly p e b o i o v y s e f l i a S y ts n I d P y h e C e e c m l h i d a u e t r d r p g y M e l 7 s e O 1 ) i S n 1 $ 3 2 S y a 5 O e n 0 k a u .0 . r c N 0 e o 0 A n a . t . a L a y c im o n t u d a it l M s T o a a O a n l r y N a o b S o p * n T e . O U r T S a A r c A a m c n . o s N e u a b A n c a t t . io . e o n a * w s r im e n r e e m in r l s e a u / t m t h r e e e e d t d e p r b o e y n y . r m p o v / S n e r r t a o o i o n g m n g c d i a r k n e a g v s r M m e e w m p a n 's a u r o e k r n l n m e i e t e t h t . d t . a m a T a t i i n s e h e d d s e t m h e e p v o t p h a s a d e e c . l s n a u e a . d e a . n e s t i a O n n d c s c t r t s h l , u u v o d a e m a w i l r n n n a n m g d s d . b e a a p b r r r b a k o u t e r s n h t t t p y o b o n s v le y n o e a n s t l T u o i d n O e r ' e m v r e A a O e s O r a M t t m d t b e e a e M e rs n c to r h t O t s e . h a p a * a [ l d r t i r z o e e h V e g p a d e a r v e a s lu e m u n ti e p m d b . s o e e a O n m n e te r t n a l d i b q y p a y u v r p n o i a p d e a v l r a u t i a d t e r l i i i e o s e s d d a n l d d i l . e s b l o a , d y I m a I t t t r e a h h h r e d e e y n b ( W y t ( w 2 3 I u o h ) ) ) o s u y D T T i c n w y e a e e o m 1 o d l e s 1 l a u u u s h i n n b s s a d v e > v y t e r h l e O y , s o e t s u t t h v s h r d e e t / e n o a a d e a u t d m e i r s n o s r y e o d a o a t r o h n e u n o f i n r g s e r t d . o h c r t w r o r e h a o a m e e c m r o c p w o t o o r f l r a a n i u t t w h n i e n n m e s h y t t f n y e a e d k u r u o n y t s m n o d y p n o u y w b e e u o n e . i e , u t a t t h e e r c o a d e d a c e t u r c m r r u n o r a o s o u m t r u n . r a r t i e t n n f a o l y a o k r b e r e t m o s h rr u e a t o t i b e . r a o p a n t n o r n i o e . d c m u o e n p m x t y l p p y o l l . e a u e t n e l t h w a o in s u e k r d l a i b n e k y c e in e o m s y e t o r g a r r a s o e t r y o m o s n a o u . n t c h a 1 a n 0 t
irr.bluun. To learn more about FOC coverage go to vnwridcgov. Secuites. ircludrg essmated value cannel be esiabished through these mettials. the valuation may be
mutual funds. held in your Evoke/age Account are tel deposits or obloblIons ol. or reflected as Nonthrced For addtional detail renaming valuation for
guaranteed by. any bank. are not FDIClnswed. and Invoke Investment ride. inducing N bPaeSytals.Cbo aam.fwOstpprcq not SDNY_GM_00011554
posstie Kea ol prhcpal. TO Amman* is a member 01 the OM ISO ibis
EFTA 00122205
EFTA01267684

Statement Reporting Period:
1D Ameritrade
06/01/14 - 06/30/14
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
PO 80X 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Amer'bade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash ($190.07) ($40,921.55) $40,731.48 $
Insrd Dep Acct 5,059.03 5,059.03 0.01%
Money Market
Short Balance
Stocks 2.528.880.07 2,714,051.10 (185,171.03) (6.8)%
Short Stocks •
Axed Income
Options 1,720,632.38 1,289,444.13 431,188.25 33.4%
Short Options
Mutual Funds
Other 120,984.00 146,600.00 (25,616.00) (17.5)%
Total $4,375,365.41 $4,109,173.68 $266,191.73 6.5% S 0.00 0.0%
Margin Equity 100.0%
Cash Activi Summar Income & Ex r ense Summa Performance Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance ($40,921.55) $ - Income Cost Basis As Of - 06/30/14 " $4,251,760.75
Securities Purchased (1,655,281.11) (6,331,481.72) Dividends $200.00 S - $200.00 Unrealized Gains 545,081.91
Securities Sold 1,701,061.62 2,335,817.42 Interest 1.63 Unrealized Losses (426,346.21)
Funds Deposited 4,000,600.00 Other Funds Deposited/(Disbursed)YM 4,000,600.00
Funds Disbursed Expense Income/(Expense)n° (71.22)
Income 200.00 201.63 Interest (190.07) (272.85) Securities Received/(Delivered)"° 0.00
Expense (190.07) (272.85) Fees **For cost-basis Information. refer to www.tclametitracte.com
Other (5,058.96) (5,054.55) Other
Closing Balance ($190.07) ($190.07) Net $9.93 $0.00 ($71.22)
SDNY_GM_00011555
CONFIDENTIAL
page 1 of 55
EFTA_00122206
EFTA01267685

Statement for Account # 867-730320
06,01/14 - 06/30/14
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer s - $ 4,000,000.00
Subtotal 0.00 4,000,000.00
TOTAL 0.00 4,000,000.00
Income Summary Detail'
Description Current Year to Date
Interest Income Credit Balance $ 0.00 $ 1.63
Margin Interest Charged (190.07) (272.85)
Qualified Dividends 200.00 200.00
IDA Interest 0.07 4.48
'This section displays current and year to date taxation values lor tt, account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable In a provisos tax year (spillover diands). The year to date totals will accurately reflect your cumulative amount for the year.
Account Positions
Symbol! Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
ACCESS PHARMA INC ACCP 255.000 $ 0.295 $ 75,225.00 05/12/14 $ 113.056.99 $ 0.44 $ (37,831.99) $ -
COM
ATHERONOVA INC AHRO 5.014 1.85 9.275.90 05/27/14 11.779.93 2.35 (2.504.03)
COM
COWEN GROUP INC COWN 48.200 4.22 203.404.00 05/13/14 196.548.35 4.08 6.855.65
COM
ELEPHANT TALK ETAK 177.900 0.95 169.005.00 05/12/14 178.915.82 1.01 (9.910.82)
COMMUNICATIONS
COM
EMRISE CORP EMRI 29,410 0.88 25.880.80 05/15/14 24.987.09 0.85 893.71
COM
HAUPPAGE DIGITAL INC HAUP 38,885 0.147 5.716.10 06/13/14 5,827.48 0.15 (111.38)
COM
LANTRONIX INC LTRX 65,000 1.97 128.050.00 05/23/14 127,802.19 1.97 247.81
COM
SDNY_GM_00011556
CONFIDENTIAL
page 2 o155
EFTA_00 I 22207
EFTA01267686

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
MODUSLINK GLOBAL MLNK 55.000 3.74 205.700.00 05/13/14 200.070.54 3.64 5.629.46
SOLUTIONS INC
COM
OCLARO INC OCLR 70.750 2.20 155.650.00 05/13/14 127.827.42 1.81 27.822.58
COM
RAINMAKER SYSTEMS RMKR 428.582 0.175 75.001.85 05/12/14 99.484.45 0.23 (24.482.60)
INC
COM
RELM WIRELESS CORP. RWC 58.000 3.86 223.880.00 05/13/14 191.874.40 3.31 32.005.60
COM
RICEBRAN RIBT 57.000 5.28 300,960.00 05/12/14 320.118.64 5.62 (19.158.64)
TECHNOLOGIES
COM
TITAN ENERGY TEWI 4.582.450 0.0275 126.017.38 06/23/14 78.776.54 0.02 47.240.84
WORLDWIDE INC
COM
TORCHLIGHT ENERGY TRCH 51.700 4.12 213.004.00 06/02/14 216.607.01 4.19 (3.603.01)
RESOURCES
COM
TRANSGENOMIC INC TBIO 79.900 3.74 298.826.00 05/12/14 320.732.08 4.01 (21.906.08)
COM
ZAZA ENERGY ZAZA 220.908 0.88 194299.04 05/13/14 143.718.50 0.65 50.680.54
CORPORATION
COM
ZIOPHARM ONCOLOGY ZIOP 29.500 4.03 118285.00 05/14/14 99,237.50 3.36 19247.50
INC
COM
Total Stocks $2,528,860.07 $2,457,364.93 $71,515.14 $0.00 0.0%
Options - Margin
ADVANCED MICRO 1,075 $ 0.936 $ 100,620.00 05/12/14 $ 93.377.05 $ 0.87 $ 7.242.95 $ -
DEVICES INC
AMD Jan 17 15 3.5 C
SDNY_GM_00011557
CONFIDENTIAL
page 3 o155
EFTA_00 122208
EFTA01267687

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Options - Margin
ADVANCED MICRO 800 0.4109 32.872.00 06/20/14 31,871.20 0.40 1.000.80
DEVICES INC
AMD Jan 17 15 4.5 C
AEROPOSTALE INC 550 0.5698 31.339.00 05/13/14 88.815.70 1.61 (57.476.70)
ARO Jan 17 15 3.5 C
AEROPOSTALE INC 300 0.4906 14.718.00 05/27/14 29.422.20 0.98 (14.704.20)
ARO Jul 19 14 3.0 C
AMAZON.COM INC 250 0.0524 1.310.00 06/09/14 9.490.52 0.38 (8.180.52)
AMZN Jul 19 14 270.0 P
AOL INC 150 3.8828 58.242.00 05/23/14 36.517.11 2.43 21.724.89
AOL Jul 19 14 36.0 C
APOLLO EDUCATION 100 5.25 52.500.00 05/23/14 27.977.54 2.80 24322.46
GROUP INC
APOL Jul 19 14 26.0 C
APOLLO EDUCATION 150 0.1584 2.376.00 06/26/14 4.292.10 0.29 (1.916.10)
GROUP INC
APOL Aug 16 14 36.0 C
APOLLO EDUCATION 120 0.06 720.00 06/16/14 7.460.88 0.62 (6.740.88)
GROUP INC
APOL Jul 19 14 26.0 P
BEAZER HOMES USA INC - 300 2.85 85.500.00 05/13/14 72.422.20 2.41 13.077.80
BZH Jan 17 15 20.0 C
BLACKBERRY LIMITED 101 2.0798 21.005.98 06/27/14 18.845.98 1.87 2.160.00
BBRY Jan 17 15 9.0 C
CENTRAIS ELEC BRAS 475 0.4212 20.007.00 05/13/14 46.018.67 0.97 (26.011.67)
EBR Sep 20 14 2.5 C
CORINTHIAN COLLEGES 575 0.0179 1.029.25 06/24/14 3.211.05 0.06 (2.181.80)
INC
COCO Feb 20 15 1.0 C
CORINTHIAN COLLEGES 500 0.0001 5.00 05/13/14 11.012.00 0.22 (11.007.00)
INC
COCO Aug 16 14 1.0 C
CORINTHIAN COLLEGES 2.000 0.0001 20.00 05/13/14 11.148.00 0.06 (11.128.00)
INC
COCO Aug 16 14 2.0 C
SDNY_GM_00011558
CONFIDENTIAL
page 4 o155
EFTA _00122209
EFTA01267688

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Options - Margin
CORINTHIAN COLLEGES 2.147 0.0164 3.521.08 05/13/14 63.699.38 0.30 (60.178.30)
INC
COCO Nov 22 14 1.0 C
COWEN GROUP INC 250 0.225 5.625.00 06/27/14 7.649.50 0.31 (2.024.50)
COWN Jan 17 15 5.0 C
DRY SHIPS 800 0.6054 48.432.00 05/12/14 51.659.20 0.65 (3.227.20)
INCORPORATED
DRYS Jan 17 15 3.0 C
FLAMEL TECH 80 5.7723 46.178.40 05/14/14 27,245.92 3.41 18.932.48
FLML Dec 20 14 10.0 C
FUELCELL ENERGY INC 400 0.0623 2.492.00 05/28/14 11.366.60 0.28 (8.874.60)
FCEL Jul 19 14 2.5 C
FUELCELL ENERGY INC 275 1.4003 38.508.25 05/13/14 35.057.85 1.27 3.450.40
FCEL Oct 18 14 1.0 C
FUELCELL ENERGY INC 350 0.9442 33.047.00 05/12/14 28.740.90 0.82 4,306.10
FCEL Oct 18 14 1.5 C
GREEN PLAINS INC 95 7.9829 75.837.55 05/23/14 46.660.53 4.91 29.177.02
GPRE Jul 19 14 25.0 C
GREEN PLAINS INC 175 2.15 37.625.00 06/25/14 34.674.45 1.98 2,950.55
GPRE Sep 20 14 35.0 C
HANWHA SOLARONE CO 400 0.9097 36.388.00 05/13/14 35.479.60 0.89 908.40
LTD
HSOL Sep 20 14 2.0 C
HEWLETT PACKARD CO 200 4.05 81.000.00 05/13/14 79.114.80 3.96 1,885.20
HPO Jan 17 15 31.0 C
JETBLUE AIRWAYS CORP 270 3.9146 105.694.20 05/14/14 70,354.16 2.61 35.340.04
JBLU Jan 17 15 7.0 C
JETBLUE AIRWAYS CORP 225 0.8571 19.284.75 06/06/14 15.129.15 0.67 4.155.60
JBLU Jul 19 14 10.0 C
KATE SPADE & COMPANY 157 0.0446 700.22 06/17/14 6.207.12 0.40 (5.506.90)
KATE Jul 19 14 34.0 P
MGIC INVT CORP WIS 500 1.8072 90.360.00 05/14/14 76,287.00 1.53 14.073.00
MTG Jan 17 15 8.0 C
SDNY_GM_00011559
CONFIDENTIAL
page 5 of S5
EFTA_00 I 22210
EFTA01267689

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Options - Margin
NET 1 UEPS 150 3.6813 55.219.50 05/22/14 51.036.10 3.40 4.183.40
TECHNOLOGIES INC
UEPS Jan 17 15 8.0 C
NET 1 UEPS 120 2.8752 34.50240 06/05/14 36.468.88 3.04 (1.966.48)
TECHNOLOGIES INC
UEPS Jan 17 15 9.0 C
NORDIC AMERICAN 690 1.757 121.233.00 05/15/14 89.90106 1.30 31.330.94
TANKERS LTD
NAT Jan 17 15 8.0 C
NORDIC AMERICAN 325 0.4232 13.754.00 06/18/14 12.954.55 0.40 799.45
TANKERS LTD
NAT Oct 18 14 10.0 C
QUANTUM FUEL 280 2.7944 78.243.20 05/12/14 32.536.72 1.16 45.706.48
SYSTEMS TEC
QTWW Jul 19 14 3.0 C
QUIKSILVER INC 250 0.0001 2.50 06/02/14 3.89150 0.16 (3.891.00)
ZQK Jul 19 14 7.0 C
RADNET INC. 900 0.5801 52.209.00 05/12/14 67.796.34 0.75 (15.587.34)
RDNT Sep 20 14 7.5 C
RADNET INC. 470 2.1048 98.925.60 05/12/14 97.860.82 2.08 1.064.78
RDNT Dec 20 14 5.0 C
SEARS HOLDING CORP 60 2.705 16.230.00 05/28/14 15.84044 2.64 389.56
SHLD Jul 19 14 38.0 C
SEARS HOLDING CORP 10 2.135 2.135.00 06/19/14 3.161.74 3.16 (1.026.74)
SHLD Jul 19 14 39.0 C
SONY CORP 550 0.775 42.625.00 05/13/14 61.339.70 1.12 (18.714.70)
SNE Oct 18 14 17.0 C
TEEKAY TANKERS LTD 500 0.0882 4.410.00 06/20/14 2.79100 0.06 1.617.00
TNK Jul 19 14 5.0 C
TEEKAY TANKERS LTD 205 0.275 5.637.50 06/23/14 7.279.67 0.36 (1.642.17)
TNK Nov 22 14 5.0 C
TESLA MOTORS INC 186 0.0187 347.82 06/10/14 16.645.77 0.89 (16.297.95)
TSLA Jul 19 14 170.0 P
UNILIFE CORP 350 0.6563 22,970.50 06/20/14 30.96190 0.88 (7.992.40)
UNIS Sep 20 14 2.5 C
SDNY_GM_00011560
CONFIDENTIAL
page 8 o155
EFTA _00122211
EFTA01267690

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Positions
SymboU Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Options - Margin
UNITED STATES NAT GAS - 71 0.3974 2.821.54 06/27/14 2.673.76 0.38 147.78
FUND
UNG Jul 19 14 25.0 C
UNITED STATES NAT GAS - 200 0.0261 522.00 06/12/14 11.820.80 0.59 (11,298.80)
FUND
UNG Jul 19 14 27.0 C
YAHOO! INC 100 1.7538 17538.00 06/23/14 10.063.40 1.01 7.474.60
YHOO Jul 19 14 34.0 C
YRC WORLDWIDE INC 135 5.725 77.287.50 06/05/14 24.334.50 1.80 52.953.00
YRCW Jul 19 14 22.5 C
YRC WORLDWIDE INC 32 6.2285 19.931.20 06/05/14 8530.37 2.67 11.400.83
YRCW Oct 18 14 22.5 C
YRC WORLDWIDE INC 50 1.35 6.750.00 06/27/14 6325.71 1.27 424.29
YRCW Oct 18 14 32.5 C
ZIOPHARM ONCOLOGY 279 0.0136 379.44 06/09/14 9.641.15 0.35 (9.261.71)
INC
ZIOP Jul 19 14 5.0 C
Total Options $1,720,632.38 $1,685,070.24 $35,562.14 $0.00 0.0%
Other - Margin
RICEBRAN RIBTW 80.656 $ 1.50 $ 120.984.00 05/12/14 $ 109.325.58 $ 1.36 $ 11,658.42 $ -
TECHNOLOGIES
WARRANT EXP 11/18/2018
Total Other $120,984.00 $109,325.58 $11,658.42 $0.00 0.0%
Total Margin Account $4,370,496.45 $4,251,760.75 $118,735.70 $0.00 0.0%
SDNY_GM_00011561
CONFIDENTIAL
page 7 of 55
EFTA_00 I 91111
EFTA01267691

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
Opening Balance ($40,921.55)
05/28/14 06/02/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 470 $ 3.979 $ (1.870.13) (42.791.68)
COM
05/28/14 06/02/14 Margin Buy - Securities Purchased GREEN PLAINS INC GPRE 1.000 27.72 (27.720.00) (70,511.68)
COM
05/28/14 06/02/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 1.000 2.089 (2.089.00) (72.600.68)
WARRANT EXP 11/18:2018
05/28/14 06/02/14 Margin Buy - Securities Purchased GREEN PLAINS INC GPRE 1.000 27.46 (27.460.00) (100,060.68)
COM
05/28/14 06/02/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 700 2.0852 (1.459.64) (101,520.32)
WARRANT EXP 11/18:2018
05/28/14 06/02/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 500 7.10 (3.550.00) (105,070.32)
COM
05/28/14 06/02/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC ZIOP 4.000 3.5799 (14.319.60) (119,389.92)
COM
05/28/14 06/02/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC ZIOP 100 3.575 (357.50) (119,747.42)
COM
05/28/14 06/02/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 7.000 1.90 (13.300.00) (133,047.42)
COM
05/28/14 06/02/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC ZIOP 4.200 3.51 (14.742.00) (147,789.42)
COM
05/28/14 06/02/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC ZIOP 500 3.509 (1.754.50) (149,543.92)
COM
05/28/14 06/02/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC ZIOP 300 3.505 (1.051.50) (150,595.42)
COM
05/28/14 06/02/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 1.000- 28.2548 28.254.17 (122.341.25)
COM
Regulatory Fee 0.63
05/28/14 06/02/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 300- 28.395 8318.31 (113322.94)
COM
Regulatory Fee 0.19
05/28/14 06/02/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 114- 28.39 3.236.38 (110,586.56)
COM
Regulatory Fee 0.08
05/28/14 06/02/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 486- 28.381 13.792.86 (96,793.70)
COM
Regulatory Fee 0.31
SDNY_GM_00011562
CONFIDENTIAL
page 8 o155
EFTA (()122213
EFTA01267692

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
05/28/14 06/02/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 100- 28.38 2.837.93 (93,955.77)
COM
Regulatory Fee 0.07
05/28/14 06/02/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 1.500- 28.6301 42.944.20 (51,011.57)
COM
Regulatory Fee 0.95
05/28/14 06/02/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 1.000 0.8001 (800.10) (51,811.67)
COMMUNICATIONS
COM
05/28/14 06/02/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 7.000 0.80 (5.600.00) (57,411.67)
COMMUNICATIONS
COM
05/28/14 06/02/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 20.000 0.255 (5.100.00) (62.511.67)
COM
05/28/14 06/02/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 5.000 0.8026 (4.012.95) (66,524.62)
COMMUNICATIONS
COM
05/28/14 06/02/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 1.000- 28.6601 28.659.46 (37,865.16)
COM
Regulatory Fee 0.64
05/28/14 06/02/14 Margin Sell - Securities Sold AOL INC AOL 1.000- 36.4012 36400.39 (1,464.77)
COM
Regulatory Fee 0.81
05/28/14 06/02/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 3.400 1.8999 (6.459.66) (7.924.43)
COM
05/28/14 06/02/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 500- 28.7412 14.370.28 6.445.85
COM
Regulatory Fee 0.32
05/28/14 06/02/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 200- 28.7301 5745.89 12.191.74
COM
Regulatory Fee 0.13
05/28/14 06/02/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 4.100 1.89 (7.749.00) 4.442.74
COM
05/28/14 06/02/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 594 1.90 (1.128.60) 3.314.14
COM
05/28/14 06/02/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 500 1.899 (949.50) 2.364.64
COM
SDNY_GM_00011563
CONFIDENTIAL
page 9 *MSS
EFTA (X)122214
EFTA01267693

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
05/30/14 06/02/14 Margin Sell - Securities Sold BEST BUY CO INC 91- 2.76 25.058.25 27.422.89
BBY Jun 21 14 25.0 C TO CLOSE
Commission 55.00
Regulatory Fee 2.75
05/30/14 06/02/14 Margin Sell - Securities Sold BEST BUY CO INC 9- 2.75 2.474.72 29,897.61
BBY Jun 21 14 25.0 C TO CLOSE
Regulatory Fee 0.28
06102/14 06/02/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (29.897.61) 0.00
DEPOSIT ACCOUNT
06102/14 06/03/14 Margin Buy - Securities Purchased QUIKSILVER INC 120 0.60 (7.268.88) (7,268.88)
MK Jul 19 14 6.0 P TO OPEN
Commission 66.00
Regulatory Fee 2.88
06102/14 06/03/14 Margin Buy - Securities Purchased QUIKSILVER INC 250 0.15 (3.893.50) (11,162.38)
MK Jul 19 14 7.0 C TO OPEN
Commission 137.50
Regulatory Fee 6.00
06103/14 06/03/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 11.162.38 0.00
DEPOSIT ACCOUNT
05/30/14 06/04/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 600 3.6899 (2.213.94) (2.213.94)
COM
05/30/14 06/04/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 1.500 1.9799 (2.969.85) (5,183.79)
COM
05/30/14 06/04/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 6.000 1.9752 (11.851.20) (17,034.99)
COM
05/30/14 06/04/14 Margin Buy - Securities Purchased ACCESS PlIARMA INC ACCP 2.011 0.42 (844.62) (17,879.61)
COM
05/30/14 06/04/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 34 0.22 (7.48) (17,887.09)
COM
05/30/14 06/04/14 Margin Buy - Securities Purchased ACCESS PlIARMA INC ACCP 3.000 0.41 (1.230.00) (19,117.09)
COM
06103/14 06/04/14 Margin Sell - Securities Sold QUIKSILVER INC 120- 2.55 30.530.44 11.413.35
ZOK Jul 19 14 6.0 P TO CLOSE
Commission 66.00
Regulatory Fee 3.56
SDNY_GM_00011564
CONFIDENTIAL
page 10 0155
EFTA (()122215
EFTA01267694

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/03/14 06/04/14 Margin Buy - Securities Purchased TWITTER INC 74 0.95 (7.086.78) 4.326.57
TWTR Jul 19 14 36.0 C TO OPEN
Commission 55.00
Regulatory Fee 1.78
06103/14 06/04/14 Margin Buy - Securities Purchased TWITTER INC 26 0.94 (2.444.63) 1.881.94
TWTR Jul 19 14 36.0 C TO OPEN
Regulatory Fee 0.63
06103/14 06/04/14 Margin Buy - Securities Purchased LULULEMON ATHLETTCA INC 50 1.50 (7.528.70) (5,646.76)
LULU Jun 21 14 45.0 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
06104/14 06/04/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 5.646.76 0.00
DEPOSIT ACCOUNT
06102/14 06/05/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 6.900 1.97 (13.593.00) (13,593.00)
COM
06/02/14 06/05/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 100 1.9699 (196.99) (13189.99)
COM
06/02/14 06/05/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 400 6.89 (2.756.00) (16,545.99)
COM
06/02/14 06/05/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 100- 0.6801 68.00 (16,477.99)
COM
Regulatory Fee 0.01
06/02/14 06/05/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION ZAZA 9.900- 0.68 6.731.85 (9,746.14)
COM
Regulatory Fee 0.15
06/02/14 06/05/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 5.000 4.2599 (21.299.50) (31,045.64)
RESOURCES
COM
06102/14 06/05/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 2.500 0.895 (2.237.50) (33283.14)
COMMUNICATIONS
COM
06/02/14 06/05/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 1.600 4.27 (6.832.00) (40,115.14)
RESOURCES
COM
06/02/14 06/05/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 4.400 4.2699 (18.787.56) (58,902.70)
RESOURCES
COM
SDNY_GM_00011565
CONFIDENTIAL
page 11 of 55
EFTA (()122216
EFTA01267695

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/02/14 06/05/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 4.500 4.26 (19.170.00) (78,072.70)
RESOURCES
COM
06102/14 06/05/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 800- 29.131 23204.28 (54,768.42)
COM
Regulatory Fee 0.52
06102/14 06/05/14 Margin Sell - Securities Sold GREEN PLAINS INC GPRE 1.000- 29.301 29200.35 (25,468.07)
COM
Regulatory Fee 0.65
06102/14 06/05/14 Margin Sell - Securities Sold AOL INC AOL 600- 36.2001 21.719.57 (3,748.50)
COM
Regulatory Fee 0.49
06102/14 06/05/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 400 3.87 (1.548.00) (5,296.50)
COM
06102/14 06/05/14 Margin Sell - Securities Sold AOL INC AOL 885- 36.3001 32.124.88 26,82828
COM
Regulatory Fee 0.71
06102/14 06/05/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 750 3.5452 (2.658.90) 24.169.48
COM
06102/14 06/05/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 1.800- 0.6801 1.224.06 25,393.54
COM
Regulatory Fee 0.03
06102/14 06/05/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 4.603- 0.68 3.129.97 28,523.51
COM
Regulatory Fee 0.07
06102/14 06/05/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 700 1.98 (1.386.00) 27.137.51
COM
06102/14 06/05/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 100- 0.6751 67.50 27,205.01
COM
Regulatory Fee 0.01
06102/14 06/05/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 4.260- 0.675 2.875.43 30.080.44
COM
Regulatory Fee 0.07
06102/14 06/05/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 6.93 (693.00) 29,387.44
COM
06102/14 06/05/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 200 1.999 (399.80) 28,987.64
COM
SDNY_GM_00011566
CONFIDENTIAL
page 12 o155
EFTA (()122217
EFTA01267696

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
06/02/14 06/05/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 927 2.01 (1.863.27) 27.124.37
COM
06/02/14 06/05/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 435 4.33 (1.883.55) 25,240.82
RESOURCES
COM
06/02/14 06/05/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 700 4.3299 (3.030.93) 22,209.89
RESOURCES
COM
06105/14 06/05/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (22.209.89) 0.00
DEPOSIT ACCOUNT
06103/14 06/06/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 900 4.3999 (3.959.91) (3,959.91)
RESOURCES
COM
06103/14 06/06/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 900 4.3998 (3.959.82) (7,919.73)
RESOURCES
COM
06103/14 06/06/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 1.000 3.87 (3.870.00) (11,789.73)
COM
06103/14 06/06/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 3.500 1.98 (6.930.00) (18,719.73)
COM
06103/14 06/06/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 20,000 0.205 (4.100.00) (22.819.73)
COM
06103/14 06/06/14 Margin Sell - Securities Sold AOL INC AOL 1.000- 35.881 35680.20 13.060.47
COM
Regulatory Fee 0.80
06103/14 06/06/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 100 3.70 (370.00) 12.690.47
COM
06103/14 06/06/14 Margin Buy - Securities Purchased EMRISE CORP EMRI 15 0.845 (12.68) 12.677.79
COM
06103/14 06/06/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 900 4.3399 (3.905.91) 8.771.88
RESOURCES
COM
06/03/14 06/06/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION ZAZA 1.420 0.664 (942.88) 7.829.00
COM
06/03/14 06/06/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 400 4.40 (1,760.00) 6.069.00
RESOURCES
COM
SDNY_GM_00011567
CONFIDENTIAL
page 13 o155
EFTA_001222 I
EFTA01267697

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/03/14 06106/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 1.997 4.3999 (8.786.60) (2.717.60)
RESOURCES
COM
06103/4 06/06/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 656 1.91 (1.252.96) (3,970.56)
WARRANT EXP 11/18.2018
06103/4 06/06/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 400 4.40 (1.760.00) (5,730.56)
RESOURCES
COM
06105/4 06/06/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 50 3.50 (17.528.70) (23,259.26)
JBLU Jan 17 15 7.0 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
06105/14 06/06/14 Margin Sell - Securities Sold BUCKLE INC 200- 0.20 3.885.11 (19,374.15)
BKE Jun 21 14 46.3 C TO CLOSE
Commission 110.00
Regulatory Fee 4.89
06105/14 06/06/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC 100 3.00 (30.057.40) (49,431.55)
UEPS Jan 17 15 9.0 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
06f05f14 06/06/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 25 3.49 (8.739.35) (58,170.90)
JBLU Jan 17 15 7.0 C TO OPEN
Commission 13.75
Regulatory Fee 0.60
06f05f14 06/06/14 Margin Buy - Securities Purchased LULULEMON ATHLETTCA INC 25 1.46 (3.664.35) (61,835.25)
LULU Jun 21 14 45.0 C TO OPEN
Commission 13.75
Regulatory Fee 0.60
06105114 06/06/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 100 1.35 (13.557.40) (75,392.65)
YRCW Jul 19 14 22.5 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
06105114 06/06/14 Margin Sell - Securities Sold RADNET INC. 125- 0.85 10353.01 (64,839.64)
RDNT Sep 20 14 7.5 C TO CLOSE
Commission 68.75
Regulatory Fee 3.24
SDNY_GM_00011568
CONFIDENTIAL
page 14 o155
EFTA_00122219
EFTA01267698

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/05/14 06/06/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 32 2.66 (8.530.37) (73,370.01)
YRCW Oct 18 14 22.5 C TO OPEN
Commission 17.60
Regulatory Fee 0.77
06105/14 06/06/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 34 1.26 (4.303.52) (77,673.53)
YRCW Jul 19 14 22.5 C TO OPEN
Commission 18.70
Regulatory Fee 0.82
06106/14 06/06/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 35.298.36 (42.375.17)
DEPOSIT ACCOUNT
06106/14 06/06/14 Margin Div/Int - Other FDIC INSURED DEPOSIT MMDA11 0.00 0.03 (42.375.14)
ACCOUNT
IDA11 NOT COVERED BY SIPC
Interest: Insured
Deposit Account
Payable: 06430/2014
Insured Deposit Accoun 0.03
06104/14 06/09/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 700 6.02 (4.214.00) (46,589.14)
COM
06104/14 06/09/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 5.500 4.32 (23.760.00) (70,349.14)
RESOURCES
COM
06104/14 06/09/14 Margin Buy - Securities Purchased ACCESS PHARMA INC ACCP 20.030 0.335 (6.710.05) (77,059.19)
COM
06104/4 06/09/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 1.368 4.249 (5.812.63) (82.871.82)
RESOURCES
COM
06104/4 06/09/14 Margin Sell - Securities Sold NET 1 UEPS TECHNOLOGIES INC UEPS 2.000- 11.0601 22,119.71 (60152.11)
COM
Regulatory Fee 0.49
06104/4 06/09/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 4.500 4.22 (18,990.00) (79,742.11)
RESOURCES
COM
06104/4 06/09/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 20.000- 0.65 12.999.71 (66,742.40)
COM
Regulatory Fee 0.29
06104/4 06/09/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 700 1.90 (1.330.00) (68,072.40)
COM
SDNY_GM_00011569
CONFIDENTIAL
page 15 o155
EFTA_00122220
EFTA01267699

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
06/04/14 06/09/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 200 1.8999 (379.98) (68.452.38)
COM
06104/14 06/09/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 1.700 1.92 (3.264.00) (71,716.38)
COM
06104/14 06/09/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 400 1.909 (763.60) (72.479.98)
COM
06104/4 06/09/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 1.000 1.95 (1.950.00) (74,429.98)
COM
06104/14 06/09/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 100 1.97 (197.00) (74,626.98)
COM
06104/4 06/09/14 Margin Sell - Securities Sold NET 1 UEPS TECHNOLOGIES INC UEPS 183- 11.1601 2.042.25 (72.584.73)
COM
Regulatory Fee 0.05
06104/4 06/09/14 Margin Sell - Securities Sold NET 1 UEPS TECHNOLOGIES INC UEPS 100- 11.16 1.115.97 (71.468.76)
COM
Regulatory Fee 0.03
06106/4 06/09/14 Margin Buy - Securities Purchased SEARS HOLDING CORP 10 2.20 (2.205.74) (73,674.50)
SHLD Jun 21 14 39.0 C TO OPEN
Commission 5.50
Regulatory Fee 0.24
06106/14 06/09/14 Margin Buy - Securities Purchased BLACKBERRY LIMITED 200 1.58 (31.714.80) (105,389.30)
BBRY Jan 17 15 7.0 C TO OPEN
Commission 110.00
Regulatory Fee 4.80
06/06/14 06/09/14 Margin Buy - Securities Purchased TWITTER INC 25 1.20 (3.014.35) (108,403.65)
TWTR Jul 19 14 36.0 C TO OPEN
Commission 13.75
Regulatory Fee 0.60
06/06/14 06/09/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 100 0.80 (8.057.40) (116,461.05)
JBLU Jul 19 14 10.0 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
06/06/14 06/09/14 Margin Buy - Securities Purchased NORDIC AMERICAN TANKERS LTD - 25 1.20 (3.014.35) (119,475.40)
NAT Jan 17 15 8.0 C TO OPEN
Commission 13.75
Regulatory Fee 0.60
SDNY_GM_00011570
CONFIDENTIAL
page 16 o155
EFTA (()122221
EFTA01267700

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/06/14 06/09/14 Margin Buy - Securities Purchased RADNET INC. 25 0.40 (1.014.35) (120.489.75)
RDNT Jun 21 14 7.5 C TO OPEN
Commission 13.75
Regulatory Fee 0.60
06f06f14 06/09/14 Margin Sell - Securities Sold RADNET INC. 10- 1.10 1.094.23 (119,395.52)
RDNT Sep 20 14 7.5 C TO CLOSE
Commission 5.50
Regulatory Fee 0.27
06f06f14 06/09/14 Margin Sell - Securities Sold BON-TON STORES INC 298- 0.20 5.788.80 (113,606.72)
BONT Jul 19 14 9.0 P TO CLOSE
Commission 163.90
Regulatory Fee 7.30
06105/4 06/10/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 150 5.94 (891.00) (114,497.72)
COM
06105/4 06/10/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 50 5.93 (296.50) (114,794.22)
COM
06/05/4 06/10/14 Margin Sell - Securities Sold NET 1 UEPS TECHNOLOGIES INC UEPS 1.500- 11.1801 16.769.77 (98.024.45)
COM
Regulatory Fee 0.38
06/05/4 06/10/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 200 5.85 (1.170.00) (99,194.45)
COM
06/05/4 06/10/14 Margin Sell - Securities Sold NET 1 UEPS TECHNOLOGIES INC UEPS 2.200- 11.2101 24.661.67 (74,532.78)
COM
Regulatory Fee 0.55
06105/4 06/10/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 3.400 1.98 (6.732.00) (81,264.78)
COM
06105/4 06/10/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 4.500 4.29 (19.305.00) (100,569.78)
RESOURCES
COM
06105/4 06/10/14 Margin Sell - Securities Sold NET 1 UEPS TECHNOLOGIES INC UEPS 1.000- 11.2201 11.219.85 (89,349.93)
COM
Regulatory Fee 0.25
06105/4 06/10/14 Margin Sell - Securities Sold NET 1 UEPS TECHNOLOGIES INC UEPS 1.300- 11.22 14.585.67 (74,764.26)
COM
Regulatory Fee 0.33
06/05/4 06/10/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 200 5.78 (1.156.00) (75,920.26)
COM
SDNY_GM_00011571
CONFIDENTIAL
page 17 o155
EFTA _0011'7719
EFTA01267701

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/05/14 06/10/14 Margin Sell - Securities Sold INTERCLOUD SYSTEMS INC ICLD 900- 5.8601 5.273.97 (70.646.29)
COM
Regulatory Fee 0.12
06105/14 06/10/14 Margin Sell - Securities Sold NET 1 UEPS TECHNOLOGIES INC UEPS 100- 11.3501 1.134.98 (69,511.31)
COM
Regulatory Fee 0.03
06105/4 06/10/14 Margin Sell - Securities Sold NET 1 UEPS TECHNOLOGIES INC UEPS 1.500- 11.35 17.024.62 (52.486.69)
COM
Regulatory Fee 0.38
06105/4 06/10/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 1.000 1.71 (1.710.00) (54,196.69)
WARRANT EXP 11/82018
06105/4 06/10/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 600 1.959 (1.175.40) (55.372.09)
COM
06/05/4 06/10/14 Margin Buy - Securities Purchased EMRISE CORP EMRI 1.000 0.85 (850.00) (56.222.09)
COM
06105/4 06/10/14 Margin Sell - Securities Sold NET 1 UEPS TECHNOLOGIES INC UEPS 290- 11.2201 3.253.75 (52.968.34)
COM
Regulatory Fee 0.08
06105/4 06/10/14 Margin Sell - Securities Sold NET 1 UEPS TECHNOLOGIES INC UEPS 200- 11.22 2.243.95 (50,724.39)
COM
Regulatory Fee 0.05
06105/4 06/10/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION ZAZA 500- 0.6645 332.24 (50,392.15)
COM
Regulatory Fee 0.01
06105/4 06/10/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 300- 0.6643 199.28 (50,192.87)
COM
Regulatory Fee 0.01
06105/4 06/10/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 880- 0.6641 584.40 (49,608.47)
COM
Regulatory Fee 0.02
06105/4 06/10/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION ZAZA 300- 0.6641 199.22 (49,409.25)
COM
Regulatory Fee 0.01
06105/4 06/10/14 Margin Sell - Securities Sold NET 1 UEPS TECHNOLOGIES INC UEPS 700- 11.3701 7.958.89 (41.450.36)
COM
Regulatory Fee 0.18
SDNY_GM_00011572
CONFIDENTIAL
page 18 o155
EFTA_001 /9/93
EFTA01267702

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/05/14 06/10/14 Margin Sell - Securities Sold NET 1 UEPS TECHNOLOGIES INC UEPS 100- 11.37 1.136.97 (40.313.39)
COM
Regulatory Fee 0.03
06105/14 06/10/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 747A 1.587- 0.6767 1.073.89 (39,239.50)
COM
Regulatory Fee 0.03
06105/14 06/10/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 747A 600- 0.6766 405.95 (38,833.55)
COM
Regulatory Fee 0.01
06109/14 06/10/14 Margin Buy - Securities Purchased LULULEMON ATHLETTCA INC 60 0.75 (4.534.44) (43,367.99)
LULU Jun 21 14 40.0 P TO OPEN
Commission 33.00
Regulatory Fee 1.44
06109/14 06/10/14 Margin Sell - Securities Sold GREEN PLAINS INC 35- 1.60 5.579.78 (37,788.21)
GPRE Jun 21 14 30.0 C TO CLOSE
Commission 19.25
Regulatory Fee 0.97
06109/14 06/10/14 Margin Sell - Securities Sold GREEN PLAINS INC 35- 1.75 6.104.77 (31,683.44)
GPRE Jun 21 14 30.0 C TO CLOSE
Commission 19.25
Regulatory Fee 0.98
06109/14 06/10/14 Margin Sell - Securities Sold GREEN PLAINS INC 30- 1.85 5.532.65 (26,150.79)
GPRE Jun 21 14 30.0 C TO CLOSE
Commission 16.50
Regulatory Fee 0.85
06109/14 06/10/14 Margin Buy - Securities Purchased AEROPOSTALE INC 50 0.60 (3.028.70) (29,179.49)
ARO Jul 19 14 3.0 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
06/09/14 06/10/14 Margin Sell - Securities Sold GREEN PLAINS INC 25- 2.00 4.985.53 (24,193.96)
GPRE Jun 21 14 30.0 C TO CLOSE
Commission 13.75
Regulatory Fee 0.72
06/09/14 06/10/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC 50 0.40 (2,028.70) (26,222.66)
ZIOP Jul 19 14 5.0 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
SDNY_GM_00011573
CONFIDENTIAL
page 19 o155
EFTA_00122224
EFTA01267703

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activit
Trade Settle Acct Transaction! Symbol
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
06/09/14 06/10/14 Margin Sell - Securities Sold GREEN PLAINS INC 20- 2.15 4.288.42 (21,934.24)
GPRE Jun 21 14 30.0 C TO CLOSE
Commission 11.00
Regulatory Fee 0.58
06109/4 06/10/14 Margin Buy - Securities Purchased GREEN PLAINS INC 20 7.00 (14,011.48) (35,945.72)
GPRE Jul 19 14 25.0 C TO OPEN
Commission 11.00
Regulatory Fee 0.48
06109/4 06/10/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC 175 0.35 (6,225.45) (42,171.17)
ZIOP Jul 19 14 5.0 C TO OPEN
Commission 96.25
Regulatory Fee 4.20
06109/14 06/10/14 Margin Sell - Securities Sold BON-TON STORES INC 52- 0.20 1,010.12 (41,161.05)
BONT Jul 19 149.0 P TO CLOSE
Commission 28.60
Regulatory Fee 1.28
06109/14 06/10/14 Margin Buy - Securities Purchased NORDIC AMERICAN TANKERS LTD - 55 1.20 (6.631.57) (47,792.62)
NAT Jan 17 158.0 C TO OPEN
Commission 30.25
Regulatory Fee 1.32
06109/14 06/10/14 Margin Buy - Securities Purchased QUANTUM FUEL SYSTEMS TEC - 25 1.40 (3.514.35) (51,306.97)
OTWW Jul 19 14 3.0 C TO OPEN
Commission 13.75
Regulatory Fee 0.60
06109/4 06/10/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC - 75 0.88 (6,643.05) (57,950.02)
AMD Jan 17 15 3.5 C TO OPEN
Commission 41.25
Regulatory Fee 1.80
06109/14 06/10/14 Margin Sell - Securities Sold GREEN PLAINS INC 25- 1.95 4,860.54 (53,089.48)
GPRE Jun 21 14 30.0 C TO CLOSE
Commission 13.75
Regulatory Fee 0.71
06109/14 06/10/14 Margin Sell - Securities Sold GREEN PLAINS INC 30- 1.95 5,832.65 (47,256.83)
GPRE Jun 21 14 30.0 C TO CLOSE
Commission 16.50
Regulatory Fee 0.85
SDNY_GM_00011574
CONFIDENTIAL
page 20 of 55
EFTA_00122225
EFTA01267704

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/09/14 06/10/14 Margin Buy - Securities Purchased CENTRAIS ELEC BRAS 75 0.85 (6.418.05) (53.674.88)
EBR Sep 20 14 2.5 C TO OPEN
Commission 41.25
Regulatory Fee 1.80
06109/14 06/10/14 Margin Buy - Securities Purchased AMAZON.COM INC 9 0.47 (428.17) (54,103.05)
AMZN Jul 19 14 270.0 P TO OPEN
Commission 4.95
Regulatory Fee 0.22
06106/14 06/11/14 Margin Buy - Securities Purchased HANWHA SOLARONE CO LTD HSOL 4.094 2.26 (9.252.44) (63,355.49)
ADS
06106/14 06/11/14 Margin Sell - Securities Sold INTERCLOUD SYSTEMS INC ICLD 1.000- 6.4301 6.429.95 (56,925.54)
COM
Regulatory Fee 0.15
06106/14 06/11/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 2.415 1.98 (4.781.70) (61,707.24)
COM
06106/14 06/11/14 Margin Sell - Securities Sold NET 1 UEPS TECHNOLOGIES INC UEPS 827- 11.58 9376.44 (52.130.80)
COM
Regulatory Fee 0.22
06106/14 06/11/14 Margin Sell - Securities Sold INTERCLOUD SYSTEMS INC ICLD 1.000- 6.77 6769.85 (45.360.95)
COM
Regulatory Fee 0.15
06106/14 06/11/14 Margin Sell - Securities Sold INTERCLOUD SYSTEMS INC ICLD 2.000- 6.771 13341.70 (31.819.25)
COM
Regulatory Fee 0.30
06106/14 06/11/14 Margin Sell - Securities Sold INTERCLOUD SYSTEMS INC ICLD 1.500- 6.9501 10.424.91 (21.394.34)
COM
Regulatory Fee 0.24
06106/14 06/11/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 1.500 3.85 (5.775.00) (27.169.34)
COM
06106/14 06/11/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 7.500 0.19 (1.425.00) (28.594.34)
COM
06106/14 06/11/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.80 (580.00) (29.174.34)
COM
06106/14 06/11/14 Margin Buy - Securities Purchased ATHERONOVA INC AHRO 900 2.50 (2.250.00) (31.424.34)
COM
06106/14 06/11/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 100 1.89 (189.00) (31.613.34)
WARRANT EXP 11/18:2018
SDNY_GM_00011575
CONFIDENTIAL
page 21 o155
EFTA 00122226
EFTA01267705

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/06/14 06/11/14 Margin Buy - Securities Purchased EMRISE CORP EMRI 9.900 0.86 (8.514.00) (40.127.34)
COM
06/06/14 06/11/14 Margin Sell - Securities Sold INTERCLOUD SYSTEMS INC ICLD 1.200- 6.6701 8.003.94 (32.123.40)
COM
Regulatory Fee 0.18
06106/14 06/11/14 Margin Sell - Securities Sold INTERCLOUD SYSTEMS INC ICLD 1.300- 6.7401 8761.93 (23,361.47)
COM
Regulatory Fee 0.20
06106/14 06/11/14 Margin Sell - Securities Sold ZIOPHARM ONCOLOGY INC ZIOP 422- 4.0502 1709.14 (21,652.33)
COM
Regulatory Fee 0.04
06106/14 06/11/14 Margin Sell - Securities Sold ZIOPHARM ONCOLOGY INC ZIOP 2.078- 4.0501 8.415.92 (13,236.41)
COM
Regulatory Fee 0.19
06106/14 06/11/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 33.000 0.17 (5.610.00) (18,846.41)
COM
06106/14 06/11/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 100 4.25 (425.00) (19.271.41)
RESOURCES
COM
06106/14 06/11/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 900 1.60 (1.440.00) (20.711.41)
WARRANT EXP 11/18:2018
06106/14 06/11/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 500 4.289 (2.144.50) (22.855.91)
RESOURCES
COM
06106/14 06/11/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 200- 0.6791 135.81 (22.720.10)
COM
Regulatory Fee 0.01
06106/14 06/11/14 Margin Buy - Securities Purchased ATHERONOVA INC AHRO 100 2.40 (240.00) (22.960.10)
COM
06/10/14 06/11/14 Margin Buy - Securities Purchased SONY CORP 50 0.70 (3.528.70) (26.488.80)
SNE Oct 18 14 17.0 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
06/10/14 06/11/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC 25 0.70 (1.764.35) (28.253.15)
AMD Jun 21 143.5C TO OPEN
Commission 13.75
Regulatory Fee 0.60
SDNY_GM_00011576
CONFIDENTIAL
page 22 o155
EFTA_00 122227
EFTA01267706

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activit
Trade Settle Acct Transaction,' Symbol,
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
06/10/14 06/11/14 Margin Buy - Securities Purchased AMAZON.COM INC 151 0.43 (6,579.68) (34,832.83)
AMZN Jul 19 14 270.0 P TO OPEN
Commission 83.05
Regulatory Fee 3.63
06/10/ 4 06/11/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 50 0.80 (4,028.70) (38,861.53)
JBLU Jul 19 1410.0 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
06/10/ 4 06/11/14 Margin Buy - Securities Purchased TESLA MOTORS INC 25 1.23 (3,116.85) (41,978.38)
TSLA Jul 19 14 170.0 P TO OPEN
Commission 41.25
Regulatory Fee 0.60
06/10/14 06/11/14 Margin Buy - Securities Purchased TESLA MOTORS INC 50 1.22 (6,101.20) (48,079.58)
TSLA Jul 19 14 170.0 P TO OPEN
Regulatory Fee 1.20
06/10/14 06/11/14 Margin Buy - Securities Purchased RADNET INC. 15 0.40 (608.61) (48,688.19)
RDNT Jun 21 14 7.5 C TO OPEN
Commission 8.25
Regulatory Fee 0.36
06/10/14 06/11/14 Margin Buy - Securities Purchased AMAZON.COM INC 7 0.33 (235.02) (48,923.21)
AMZN Jul 19 14 270.0 P TO OPEN
Commission 3.85
Regulatory Fee 0.17
06/09/14 06/12/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 2,400 4.25 (10,200.00) (59,123.21)
RESOURCES
COM
06/09/14 06/12/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 29,000 0.145 (4,205.00) (63,328.21)
COM
06/09/14 06/12/14 Margin Sell - Securities Sold OCLARO INC OCLR 10,000- 2.17 21,699.52 (41,628.69)
COM
Regulatory Fee 0.48
06/09/14 06/12/14 Margin Sell - Securities Sold ZAZA ENERGY CORPORATION ZAZA 7.900- 0.6702 5,294.46 (36,334.23)
COM
Regulatory Fee 0.12
06/09/14 06/12/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 1.200 3.70 (4,440.00) (40,774.23)
COM
06/09/14 06/12/14 Margin Sell - Securities Sold HANWHA SOLARONE CO LTD HSOL 2.000- 2.331 4,661.89 (36,112.34)
ADS
Regulatory Fee 0.11
SDNY_GM_00011577
CONFIDENTIAL
page 23 of 55
EFTA_00122228
EFTA01267707

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/09/14 06/12/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 2.500 4.21 (10.525.00) (46,637.34)
RESOURCES
COM
06/09/14 06/12/14 Margin Sell - Securities Sold OCLARO INC OCLR 6.500- 2.1912 14.242.48 (32.394.86)
COM
Regulatory Fee 0.32
06109/4 06/12/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 2.000 3.9808 (7.961.60) (40,356.46)
RESOURCES
COM
06109/4 06/12/14 Margin Sell - Securities Sold OCLARO INC OCLR 2.500- 2.1901 5.475.12 (34,881.34)
COM
Regulatory Fee 0.13
06109/4 06/12/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 500 3.30 (1.650.00) (36,531.34)
RESOURCES
COM
06109/4 06/12/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 1.400 3.23 (4.522.00) (41,053.34)
RESOURCES
COM
06109/4 06/12/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 1.500- 4.265 6297.35 (34,655.99)
COM
Regulatory Fee 0.15
06109/4 06/12/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 2.500 0.165 (412.50) (35,068.49)
COM
06109/4 06/12/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 800 3.33 (2.664.00) (37,732.49)
RESOURCES
COM
06109/4 06/12/14 Margin Sell - Securities Sold ATHERONOVA INC AHRO 3.000- 2.36 7.079.84 (30,652.65)
COM
Regulatory Fee 0.16
06109/4 06/12/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 200 3.8699 (773.98) (31,426.63)
COM
06109/4 06/12/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 100- 3.94 393.99 (31,032.64)
COM
Regulatory Fee 0.01
06109/4 06/12/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 468- 3.931 1239.66 (29,192.98)
COM
Regulatory Fee 0.05
SDNY_GM_00011578
CONFIDENTIAL
page 24 o155
EFTA_00122229
EFTA01267708

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/09/14 06/12/14 Margin Sell - Securities Sold ATHERONOVA INC AHRO 250- 2.45 612.48 (28.580.50)
COM
Regulatory Fee 0.02
06/09/14 06/12/14 Margin Sell - Securities Sold ATHERONOVA INC AHRO 371- 2.40 890.38 (27,690.12)
COM
Regulatory Fee 0.02
06/11/14 06/12/14 Margin Buy - Securities Purchased INTL BUSINESS MACHINES 100 0.83 (8.357.40) (36,047.52)
IBM Jun 21 14 185.0 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
06/11/14 06/12/14 Margin Buy - Securities Purchased INTL BUSINESS MACHINES 20 0.58 (1.171.48) (37,219.00)
IBM Jun 21 14 185.0 C TO OPEN
Commission 11.00
Regulatory Fee 0.48
06/11/14 06/12/14 Margin Buy - Securities Purchased LULULEMON ATHLETTCA INC 50 0.60 (3.028.70) (40,247.70)
LULU Jun 13 14 48.5 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
06/11/14 06/12/14 Margin Buy - Securities Purchased LULULEMON ATHLETTCA INC 50 0.54 (2.728.70) (42.976.40)
LULU Jun 13 14 48.5 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
06/10/ 4 06/13/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 800 3.62 (2.896.00) (45,872.40)
RESOURCES
COM
06/10/4 06/13/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 500 3.82 (1.910.00) (47,782.40)
RESOURCES
COM
06/10/4 06/13/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 500 3.999 (1.999.50) (49,781.90)
RESOURCES
COM
06/10/14 06/13/14 Margin Sell - Securities Sold OCLARO INC OCLR 4.900- 2.2712 11.128.63 (38,653.27)
COM
Regulatory Fee 0.25
06/10/14 06/13/14 Margin Sell - Securities Sold OCLARO INC OCLR 2.100- 2.2701 4.767.10 (33,886.17)
COM
Regulatory Fee 0.11
SDNY_GM_00011579
CONFIDENTIAL
page 25 o155
EFTA_00 122230
EFTA01267709

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/10/14 06/13/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 500 3.81 (1.905.00) (35,791.17)
RESOURCES
COM
06/10/14 06/13/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 3.279 0.165 (541.04) (36,332.21)
COM
06/10/ 4 06/13/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 1.339 2.0699 (2.771.60) (39,103.81)
COM
06/10/ 4 06/13/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 100- 6.045 604.48 (38,499.33)
COM
Regulatory Fee 0.02
06/10/ 4 06/13/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 200- 6.0425 1.208.47 (37,290.86)
COM
Regulatory Fee 0.03
06/10/ 4 06/13/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 100- 6.041 604.08 (36,686.78)
COM
Regulatory Fee 0.02
06/10/ 4 06/13/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 600- 6.0401 3.623.97 (33,062.81)
COM
Regulatory Fee 0.09
06/10/ 4 06/13/14 Margin Sell - Securities Sold ZIOPHARM ONCOLOGY INC ZIOP 2.600- 4.161 10.818.36 (22.244.45)
COM
Regulatory Fee 0.24
06/10/ 4 06/13/14 Margin Sell - Securities Sold ZIOPHARM ONCOLOGY INC ZIOP 2.500- 4.1701 10.425.01 (11.819.44)
COM
Regulatory Fee 0.24
06/10/ 4 06/13/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 400 3.6599 (1.463.96) (13,283.40)
COM
06/10/ 4 06/13/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 300 1.99 (597.00) (13,880.40)
COM
06/10/ 4 06/13/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBTW 700- 1.75 1.224.97 (12.655.43)
WARRANT EXP 11/18:2018
Regulatory Fee 0.03
06/10/ 4 06/13/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 100 2.05 (205.00) (12.860.43)
COM
06/10/ 4 06/13/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 261 2.049 (534.79) (13,395.22)
COM
06/10/ 4 06/13/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 501 2.04 (1.022.04) (14,417.26)
COM
SDNY_GM_00011580
CONFIDENTIAL
page 26 o155
EFTA (X1122231
EFTA01267710

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/10/14 06/13/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 100 3.79 (379.00) (14,796.26)
RESOURCES
COM
06/10/ 4 06/13/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 200 4.05 (810.00) (15,606.26)
RESOURCES
COM
06/12/14 06/13/14 Margin Sell - Securities Sold TWITTER INC 45- 2.35 10348.93 (5,057.33)
TWTR Jul 19 14 36.0 C TO CLOSE
Commission 24.75
Regulatory Fee 1.32
06/2/14 06/13/14 Margin Buy - Securities Purchased TESLA MOTORS INC 25 0.78 (1.964.35) (7,021.68)
TSLA Jul 19 14 170.0 P TO OPEN
Commission 13.75
Regulatory Fee 0.60
06/12/14 06/13/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 75 0.40 (3.043.05) (10,064.73)
JBLU Jul 19 14 10.0 C TO OPEN
Commission 41.25
Regulatory Fee 1.80
06/12/14 06/13/14 Margin Sell - Securities Sold TWITTER INC 80- 2.60 20753.62 10.688.89
TWTR Jul 19 14 36.0 C TO CLOSE
Commission 44.00
Regulatory Fee 2.38
06/12/14 06/13/14 Margin Buy - Securities Purchased SEARS HOLDING CORP 20 1.15 (2.311.48) 8.377.41
SHLD Jun 21 14 39.0 C TO OPEN
Commission 11.00
Regulatory Fee 0.48
06/2/14 06/13/14 Margin Buy - Securities Purchased INTL BUSINESS MACHINES 20 0.40 (811.48) 7.565.93
IBM Jun 21 14 185.0 C TO OPEN
Commission 11.00
Regulatory Fee 0.48
06/2/14 06/13/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC 75 0.85 (6.418.05) 1.147.88
AMD Jun 21 143.5C TO OPEN
Commission 41.25
Regulatory Fee 1.80
06/2/14 06/13/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC 20 3.20 (6.411.48) (5,263.60)
UEPS Jan 17 15 9.0 C TO OPEN
Commission 11.00
Regulatory Fee 0.48
SDNY_GM_00011581
CONFIDENTIAL
page 27 o155
EFTA (()122232
EFTA01267711

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/12/14 06/13/14 Margin Buy - Securities Purchased HANWHA SOLARONE CO LTD 150 0.60 (9.086.10) (14,349.70)
HSOL Sep 20 14 2.0 C TO OPEN
Commission 82.50
Regulatory Fee 3.60
06/12/14 06/13/14 Margin Buy - Securities Purchased DRY SHIPS INCORPORATED 50 0.76 (3.828.70) (18,178.40)
DRYS Jan 17 15 3.0 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
06/12/14 06/13/14 Margin Buy - Securities Purchased MICHAEL KORS HOLDINGS 120 0.45 (5.468.88) (23,647.28)
KORS Jul 19 14 85.0 P TO OPEN
Commission 66.00
Regulatory Fee 2.88
06/12/14 06/13/14 Margin Buy - Securities Purchased UNITED STATES NAT GAS FUND 150 0.59 (8.936.10) (32.583.38)
UNG Jul 19 14 27.0 C TO OPEN
Commission 82.50
Regulatory Fee 3.60
06/11/14 06/16/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 300 3.92 (1.176.00) (33,759.38)
RESOURCES
COM
06/11/14 06/16/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 489 2.05 (1.002.45) (34,761.83)
COM
06/11/14 06/16/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 1.000- 6.3048 6.304.66 (28,457.17)
COM
Regulatory Fee 0.14
06/11/14 06/16/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 1.500 3.81 (5.715.00) (34,172.17)
COM
06/11/14 06/16/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 400- 6.2801 2.511.98 (31,660.19)
COM
Regulatory Fee 0.06
06/11/14 06/16/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 600- 6.28 3.767.91 (27,892.28)
COM
Regulatory Fee 0.09
06/11/14 06/16/14 Margin Sell - Securities Sold ATHERONOVA INC AHRO 1.000- 2.30 2,299.94 (25,592.34)
COM
Regulatory Fee 0.06
06/11/14 06/16/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 1,000- 4.221 4,220.90 (21,371.44)
COM
Regulatory Fee 0.10
SDNY_GM_00011582
CONFIDENTIAL
page 28 o155
EFTA (X)122233
EFTA01267712

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/11/14 06/16/14 Margin Sell - Securities Sold ATHERONOVA INC AHRO 650- 2.31 1,501.46 (19.869.98)
COM
Regulatory Fee 0.04
06/13/14 06/16/14 Margin Sell - Securities Sold LULULEMON ATHLETTCA INC 30- 3.55 10326.54 (9.243.44)
LULU Jun 21 14 40.0 P TO CLOSE
Commission 22.50
Regulatory Fee 0.96
06/13/14 06/16/14 Margin Sell - Securities Sold LULULEMON ATHLETTCA INC 29- 3.66 10390.56 1.347.12
LULU Jun 21 14 40.0 P TO CLOSE
Commission 22.50
Regulatory Fee 0.94
06/13/14 06/16/14 Margin Sell - Securities Sold LULULEMON ATHLETTCA INC 1- 3.65 364.96 1.712.08
LULU Jun 21 14 40.0 P TO CLOSE
Regulatory Fee 0.04
06f13f14 06/16/14 Margin Buy - Securities Purchased UNITED STATES NAT GAS FUND 50 0.57 (2.884.70) (1,172.62)
UNG Jul 19 14 27.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
06f13f14 06/16/14 Margin Buy - Securities Purchased CORINTHIAN COLLEGES INC 25 0.20 (520.35) (1,692.97)
COCO Nov 22 141.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
06f13f14 06/16/14 Margin Buy - Securities Purchased TESLA MOTORS INC 20 0.88 (1.777.48) (3.470.45)
TSLA Jul 19 14 170.0 P TO OPEN
Commission 17.00
Regulatory Fee 0.48
06f13f14 06/16/14 Margin Buy - Securities Purchased BLACKBERRY LIMITED 50 1.72 (8.634.70) (12.105.15)
BBRY Jan 17 15 7.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
06f13f14 06/16/14 Margin Buy - Securities Purchased CORINTHIAN COLLEGES INC 25 0.20 (520.35) (12.625.50)
COCO Nov 22 141.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
06f13f14 06/16/14 Margin Buy - Securities Purchased SONY CORP 75 0.65 (4.924.05) (17,549.55)
SNE Oct 18 14 17.0 C TO OPEN
Commission 47.25
Regulatory Fee 1.80
SDNY_GM_00011583
CONFIDENTIAL
page 29 of 55
EFTA_00122234
EFTA01267713

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
06/13/14 06/16/14 Margin Buy - Securities Purchased TESLA MOTORS INC 20 0.76 (1.537.48) (19.087.03)
TSLA Jul 19 14 170.0 P TO OPEN
Commission 17.00
Regulatory Fee 0.48
06f13f14 06/16/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC 54 0.25 (1,387.00) (20,474.03)
ZIOP Jul 19 14 5.0 C TO OPEN
Commission 35.70
Regulatory Fee 1.30
06/6/4 06/16/14 Margin Delivered - Other LULULEMON ATHLETTCA INC 100- 0.00 (20.474.03)
LULU Jun 13 14 48.5 C
EXPIRATION
06/2O4 06/17/14 Margin Buy - Securities Purchased HANWHA SOLARONE CO LTD HSOL 5.500 2.3099 (12.704.45) (33.178.48)
ADS
06112/14 06/17/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 7.500 0.655 (4.912.50) (38.090.98)
COM
06112/14 06/17/14 Margin Sell - Securities Sold INTERCLOUD SYSTEMS INC ICLD 1.000- 6.261 6.260.86 (31,830.12)
COM
Regulatory Fee 0.14
06112/14 06/17/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 10.000 0.151 (1.510.00) (33340.12)
COM
06112/14 06/17/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 868 3.98 (3.454.64) (36.794.76)
COM
06112/14 06/17/14 Margin Sell - Securities Sold INTERCLOUD SYSTEMS INC ICLD 2.400- 6.3401 15.215.90 (21.578.86)
COM
Regulatory Fee 0.34
06112/14 06/17/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 500 1.9699 (984.95) (22.563.81)
WARRANT EXP 11/82018
06112/14 06/17/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 1.678 2.08 (3.490.24) (26.054.05)
COM
06112/14 06/17/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 2.500 2.06 (5.150.00) (31.204.05)
COM
06112/14 06/17/14 Margin Sell - Securities Sold HANWHA SOLARONE CO LTD HSOL 500- 2.275 1.137.47 (30.066.58)
ADS
Regulatory Fee 0.03
06112/14 06/17/14 Margin Sell - Securities Sold HANWHA SOLARONE CO LTD HSOL 5.000- 2.2712 11355.74 (18.710.84)
ADS
Regulatory Fee 0.26
SDNY_GM_00011584
CONFIDENTIAL
page 30 o155
EFTA 00122235
EFTA01267714

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/12/14 06/17/14 Margin Sell - Securities Sold HANWHA SOLARONE CO LTD HSOL 500- 2.2701 1.135.02 (17.575.82)
ADS
Regulatory Fee 0.03
06/12/14 06/17/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 422 2.07 (873.54) (18,449.36)
COM
06/12/14 06/17/14 Margin Sell - Securities Sold ATHERONOVA INC AHRO 500- 2.31 1.154.97 (17,294.39)
COM
Regulatory Fee 0.03
06/12/14 06/17/14 Margin Sell - Securities Sold HANWHA SOLARONE CO LTD HSOL 500- 2.2801 1.134.02 (16,160.37)
ADS
Commission 6.00
Regulatory Fee 0.03
06/12/14 06/17/14 Margin Sell - Securities Sold HANWHA SOLARONE CO LTD HSOL 3.300- 2.28 7323.83 (8,636.54)
ADS
Regulatory Fee 0.17
06/12/14 06/17/14 Margin Sell - Securities Sold ATHERONOVA INC AHRO 865- 2.28 1$66.15 (6,670.39)
COM
Commission 6.00
Regulatory Fee 0.05
06/2/14 06/17/14 Margin Sell - Securities Sold HANWHA SOLARONE CO LTD HSOL 14- 2.29 26.05 (6,644.34)
ADS
Commission 6.00
Regulatory Fee 0.01
06/6/4 06/17/14 Margin Buy - Securities Purchased TESLA MOTORS INC 46 0.46 (2.148.41) (8,792.75)
TSLA Jul 19 14 170.0 P TO OPEN
Commission 31.30
Regulatory Fee 1.11
06/6/4 06/17/14 Margin Buy - Securities Purchased AMAZON.COM INC 33 0.36 (1.212.95) (10,005.70)
AMZN Jul 19 14 270.0 P TO OPEN
Commission 24.15
Regulatory Fee 0.80
06/16/14 06/17/14 Margin Buy - Securities Purchased APOLLO EDUCATION GROUP INC 100 0.62 (6.263.40) (16,269.10)
APOL Jul 19 14 26.0 P TO OPEN
Commission 61.00
Regulatory Fee 2.40
06/16/14 06/17/14 Margin Buy - Securities Purchased APOLLO EDUCATION GROUP INC 20 0.59 (1.197.48) (17,466.58)
APOL Jul 19 14 26.0 P TO OPEN
Commission 17.00
Regulatory Fee 0.48
SDNY_GM_00011585
CONFIDENTIAL
page 31 o155
EFTA_00 122236
EFTA01267715

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/13/14 06/18/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 1.000 3.90 (3.906.00) (21.372.58)
COM
Commission 6.00
06/13/14 06/18/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 7.800- 0.7703 6,002.20 (15,370.38)
COM
Commission 6.00
Regulatory Fee 0.14
06/13/14 06/18/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 5.500- 0.79 4.338.91 (11,031.47)
COM
Commission 6.00
Regulatory Fee 0.10
06/13/14 06/18/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 200 1.90 (386.00) (11,417.47)
WARRANT EXP 11/18:2018
Commission 6.00
06/13/14 06/18/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 500 1.8999 (949.95) (12,367.42)
WARRANT EXP 11/18:2018
06/13/14 06/18/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 1.200 1.90 (2.286.00) (14,653.42)
WARRANT EXP 11/18:2018
Commission 6.00
06/13/14 06/18/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 2.090 2.04 (4.269.60) (18,923.02)
COM
Commission 6.00
06/13/14 06/18/14 Margin Sell - Securities Sold ATHERONOVA INC AHRO 364- 2.25 812.98 (18,110.04)
COM
Commission 6.00
Regulatory Fee 0.02
06/13/14 06/18/14 Margin Sell - Securities Sold HANWHA SOLARONE CO LTD HSOL 2.776- 2.3201 6.434.45 (11,675.59)
ADS
Commission 6.00
Regulatory Fee 0.15
06/13/14 06/18/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 187 2.0199 (383.72) (12.059.31)
COM
Commission 6.00
06/13/14 06/18/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 1,300 1.89 (2.463.00) (14,522.31)
WARRANT EXP 11/18:2018
Commission 6.00
SDNY_GM_00011586
CONFIDENTIAL
page 32 o155
EFTA_00 122237
EFTA01267716

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/13/14 06/18/14 Margin Sell - Securities Sold ATHERONOVA INC AHRO 750- 2.27 1.696.46 (12,825.85)
COM
Commission 6.00
Regulatory Fee 0.04
06/13/14 06/18/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 10.000 0.14 (1.406.00) (14,231.85)
COM
Commission 6.00
06/13/14 06/18/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 500 0.15 (81.00) (14,312.85)
COM
Commission 6.00
06113114 06/18/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 1.906 2.01 (3.837.06) (18,149.91)
COM
Commission 6.00
06113114 06/18/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 327 2.009 (656.94) (18,806.85)
COM
06113114 06/18/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 6.000 0.16 (966.00) (19,772.85)
COM
Commission 6.00
06113114 06/18/14 Margin Sell - Securities Sold ATHERONOVA INC AHRO 1.636- 2.25 3.674.91 (16,097.94)
COM
Commission 6.00
Regulatory Fee 0.09
06/17/14 06/18/14 Margin Sell - Securities Sold MICHAEL KORS HOLDINGS 50- 1.40 6.965.14 (9,132.80)
KORS Jul 19 14 25.0 P TO CLOSE
Commission 33.50
Regulatory Fee 1.36
06/17/14 06/18/14 Margin Sell - Securities Sold MICHAEL KORS HOLDINGS 70- 1.40 9753.60 620.80
KORS Jul 19 14 85.0 P TO CLOSE
Commission 44.50
Regulatory Fee 1.90
06117/14 06/18/14 Margin Buy - Securities Purchased KATE SPADE & COMPANY 150 0.40 (6.092.10) (5,471.30)
KATE Jul 19 14 34.0 P TO OPEN
Commission 88.50
Regulatory Fee 3.60
06/17/14 06/18/14 Margin Sell - Securities Sold GREEN PLAINS INC 10- 7.40 7.388.09 1.916.79
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.41
SDNY_GM_00011587
CONFIDENTIAL
page 33 o155
EFTA_00122238
EFTA01267717

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/17/14 06/18/14 Margin Buy - Securities Purchased YAHOO! INC 100 0.73 (7.363.40) (5,446.61)
YHOO Jun 21 14 34.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
06/17/14 06/18/14 Margin Buy - Securities Purchased INTL BUSINESS MACHINES 50 0.22 (1.134.70) (6.581.31)
IBM Jun 21 14 185.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
06/17/14 06/18/14 Margin Buy - Securities Purchased SONY CORP 50 0.65 (3.284.70) (9,866.01)
SNE Oct 18 14 17.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
06/17/14 06/18/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC 20 0.99 (1.997.48) (11,863.49)
AMD Jun 21 143.5C TO OPEN
Commission 17.00
Regulatory Fee 0.48
06/16/14 06/19/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 6.500- 0.85 5.518.87 (6344.62)
COM
Commission 6.00
Regulatory Fee 0.13
06/16/14 06/19/14 Margin Buy - Securities Purchased ATHERONOVA INC AHRO 1.000 1.50 (1.506.00) (7,850.62)
COM
Commission 6.00
06/16/14 06/19/14 Margin Buy - Securities Purchased ATHERONOVA INC AHRO 500 L455 (727.50) (8,578.12)
COM
06/16/14 06/19/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 6.500- 0.9111 5,915.72 (2.662.40)
COM
Commission 6.00
Regulatory Fee 0.14
06/16/14 06/19/14 Margin Buy - Securities Purchased ATHERONOVA INC AHRO 1.000 1.90 (1.906.00) (4,568.40)
COM
Commission 6.00
06/16/14 06/19/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 200 6.82 (1.370.00) (5,938.40)
COM
Commission 6.00
06/16/14 06/19/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION ZAZA 6.500- 0.9201 5.974.51 36.11
COM
Commission 6.00
Regulatory Fee 0.14
SDNY_GM_00011588
CONFIDENTIAL
page 34 o155
EFTA_00 122239
EFTA01267718

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/16/14 06/19/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION ZAZA 7.000- 0.9613 6.722.70 6.758.81
COM
Commission 6.00
Regulatory Fee 0.15
06/16/14 06/19/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 300 6.78 (2.040.00) 4.718.81
COM
Commission 6.00
06/16/14 06/19/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 600 4.05 (2.436.00) 2,282.81
RESOURCES
COM
Commission 6.00
06/16/14 06/19/14 Margin Buy - Securities Purchased ACCESS PHARMA INC ACCP 15.000 0.322 (4.836.00) (2.553.19)
COM
Commission 6.00
06/16/14 06/19/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 500 6.48 (3.246.00) (5,799.19)
COM
Commission 6.00
06/16/14 06/19/14 Margin Sell - Securities Sold HANWHA SOLARONE CO LTD HSOL 3.500- 2.4401 8.534.16 2,734.97
ADS
Commission 6.00
Regulatory Fee 0.19
06/16/14 06/19/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 1.000 6.31 (6,316.00) (3,581.03)
COM
Commission 6.00
06/16/14 06/19/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 5.200- 0.965 5.011.94 1.430.91
COM
Commission 6.00
Regulatory Fee 0.12
06/16/14 06/19/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION ZAZA 1.300- 0.965 1.254.47 2.685.38
COM
Regulatory Fee 0.03
06/16/14 06/19/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 2.367- 1.03 2.43195 5.117.33
COM
Commission 6.00
Regulatory Fee 0.06
06/16/14 06/19/14 Margin Buy - Securities Purchased ATHERONOVA INC AHRO 200 2.03 (412.00) 4.705.33
COM
Commission 6.00
SDNY_GM_00011589
CONFIDENTIAL
page 35 o155
EFTA 00122240
EFTA01267719

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/18/14 06/19/14 Margin Buy - Securities Purchased NORDIC AMERICAN TANKERS LTD - 200 0.40 (8.120.80) (3.415.47)
NAT Oct 18 14 10.0 C TO OPEN
Commission 116.00
Regulatory Fee 4.80
06/18/14 06/19/14 Margin Buy - Securities Purchased NORDIC AMERICAN TANKERS LTD - 50 0.35 (1.784.70) (5.200.17)
NAT Oct 18 14 10.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
06/18/14 06/19/14 Margin Sell - Securities Sold APOLLO EDUCATION GROUP INC - 35- 4.30 15.023.57 9.823.40
APOL Jul 19 14 26.0 C TO CLOSE
Commission 25.25
Regulatory Fee 1.18
06/18/14 06/19/14 Margin Buy - Securities Purchased AMAZON.COM INC 50 0.20 (1.034.70) 8.788.70
AMZN Jul 19 14 270.0 P TO OPEN
Commission 33.50
Regulatory Fee 1.20
06/ 8/ 4 06/19/14 Margin Buy - Securities Purchased INTL BUSINESS MACHINES 50 0.21 (1.084.70) 7.704.00
IBM Jun 21 14 185.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
06/9/14 06/19/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (7.704.00) 0.00
DEPOSIT ACCOUNT
06/7/14 06/20/14 Margin Buy - Securities Purchased ATHERONOVA INC AHRO 700 1.74 (1.224.00) (1,224.00)
COM
Commission 6.00
06/17/14 06/20/14 Margin Buy - Securities Purchased EMRISE CORP EMRI 14.000 0.845 (11.836.00) (13,060.00)
COM
Commission 6.00
06/17/14 06/20/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 3.400 0.1848 (634.32) (13,694.32)
COM
Commission 6.00
06/17/4 06/20/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 1.600 0.18 (288.00) (13,982.32)
COM
06/17/4 06/20/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 405 6.06 (2.460.30) (16,442.62)
COM
Commission 6.00
06/17/4 06/20/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 95 6.05 (574.75) (17,017.37)
COM
SDNY_GM_00011590
CONFIDENTIAL
page 36 of 55
EFTA_00122241
EFTA01267720

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/17/14 06/20/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 450 3.92 (1.770.00) (18.787.37)
COM
Commission 6.00
06/17/14 06/20/14 Margin Sell - Securities Sold OCLARO INC OCLR 250- 2.2601 559.01 (18,228.36)
COM
Commission 6.00
Regulatory Fee 0.02
06/17/14 06/20/14 Margin Sell - Securities Sold OCLARO INC OCLR 3.000- 2.261 6776.85 (11,451.51)
COM
Commission 6.00
Regulatory Fee 0.15
06/17/14 06/20/14 Margin Sell - Securities Sold HANWHA SOLARONE CO LTD HSOL 800- 2.661 2.122/5 (9.328.76)
ADS
Commission 6.00
Regulatory Fee 0.05
06/17/14 06/20/14 Margin Sell - Securities Sold HANWHA SOLARONE CO LTD HSOL 2.710- 2.66 7.208.44 (2.120.32)
ADS
Regulatory Fee 0.16
06/17/14 06/20/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 485 0.135 (71.48) (2.191.80)
COM
Commission 6.00
06/17/14 06/20/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 982 0.153 (156.25) (2.348.05)
COM
Commission 6.00
06/19/14 06/20/14 Margin Buy - Securities Purchased FUELCELL ENERGY INC 75 0.25 (1.924.05) (4,272.10)
FCEL Jul 19 14 2.5 C TO OPEN
Commission 47.25
Regulatory Fee 1.80
06/19/14 06/20/14 Margin Sell - Securities Sold SEARS HOLDING CORP 20- 1.95 3.882.43 (389.67)
SHLD Jun 21 14 39.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.57
06/19/ 4 06/20/14 Margin Buy - Securities Purchased SEARS HOLDING CORP 10 3.15 (3.161.74) (3.551.41)
SHLD Jul 19 14 39.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
SDNY_GM_00011591
CONFIDENTIAL
page 37 o155
EFTA (()122242
EFTA01267721

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/19/14 06/20/14 Margin Buy - Securities Purchased FUELCELL ENERGY INC 50 0.20 (1.034.70) (4,586.11)
FCEL Jul 19 14 2.5 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
06/19/ 4 06/20/14 Margin Buy - Securities Purchased INTL BUSINESS MACHINES 20 0.03 (77.48) (4,663.59)
IBM Jun 21 14 185.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
06/19/14 06/20/14 Margin Sell - Securities Sold SEARS HOLDING CORP 20- 1.96 3,902.43 (761.16)
SHLD Jun 21 14 39.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.57
06/20/14 06/20/14 Margin Div/Int - Income GREEN PLAINS INC GPRE 0.00 200.00 (561.16)
COM
Payable: 06120/2014
QUALIFIED DIVIDENDS 200.00
06/20/14 06/20/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 561.16 0.00
DEPOSIT ACCOUNT
06/18/14 06/23/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 200 5.93 (1.192.00) (1,192.00)
COM
Commission 6.00
06/18/14 06/23/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 200 5.88 (1.182.00) (2.374.00)
COM
Commission 6.00
06/18/14 06/23/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.79 (585.00) (2.959.00)
COM
Commission 6.00
06/18/14 06/23/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 500 5.71 (2.861.00) (5.820.00)
COM
Commission 6.00
06/18/14 06/23/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 500 5.69 (2.851.00) (8,671.00)
COM
Commission 6.00
06/18/14 06/23/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 6.600 0.17 (1.128.00) (9.799.00)
COM
Commission 6.00
06/18/14 06/23/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 7 2.04 (20.28) (9,819.28)
COM
Commission 6.00
SDNY_GM_00011592
CONFIDENTIAL
page 38 o155
EFTA_00 122243
EFTA01267722

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Ouantity Price Amount Balance
06/20/14 06/23/14 Margin Sell - Securities Sold SEARS HOLDING CORP 20- 2.16 4.302.42 (5.516.86)
SHLD Jun 21 14 39.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.58
06/20/14 06/23/14 Margin Buy - Securities Purchased SONY CORP 50 0.95 (4.784.70) (10.301.56)
SNE Oct 18 14 17.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
06/20/14 06/23/14 Margin Sell - Securities Sold SEARS HOLDING CORP 20- 2.16 4202.42 (5,999.14)
SHLD Jun 21 14 39.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.58
06/20/14 06/23/14 Margin Sell - Securities Sold FLAMEL TECH 10- 5.26 5.248.14 (751.00)
FLML Dec 20 14 10.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.36
06/20/14 06/23/14 Margin Buy - Securities Purchased UNILIFE CORP 300 0.90 (27.178.20) (27,929.20)
UNIS Sep 20 14 2.5 C TO OPEN
Commission 171.00
Regulatory Fee 7.20
06/20/14 06/23/14 Margin Buy - Securities Purchased TEEKAY TANKERS LTD 500 0.05 (2.793.00) (30,722.20)
TNK Jul 19 14 5.0 C TO OPEN
Commission 281.00
Regulatory Fee 12.00
06/20/14 06/23/14 Margin Buy - Securities Purchased NORDIC AMERICAN TANKERS LTD - 75 0.40 (3.049.05) (33,771.25)
NAT Oct 18 14 10.0 C TO OPEN
Commission 47.25
Regulatory Fee 1.80
06/20/14 06/23/14 Margin Buy - Securities Purchased SEARS HOLDING CORP 10 4.00 (4.011.74) (37,782.99)
SHLD Jul 19 14 38.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
06/20/14 06/23/14 Margin Sell - Securities Sold GREEN PLAINS INC 10- 7.20 7,188.10 (30,594.89)
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.40
SDNY_GM_00011593
CONFIDENTIAL
page 39 o155
EFTA 00122244
EFTA01267723

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/20/14 06/23/14 Margin Sell - Securities Sold SEARS HOLDING CORP 20- 1.65 3.282.44 (27.312.45)
SHLD Jun 21 14 39.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.56
06/20/4 06/23/14 Margin Sell - Securities Sold FLAMEL TECH 10- 5.90 5.888.12 (21,424.33)
FLML Dec 20 14 10.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.38
06/20/4 06/23/14 Margin Sell - Securities Sold SEARS HOLDING CORP 20- 1.93 3.842.43 (17,581.90)
SHLD Jun 21 14 39.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.57
06/20/4 06/23/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC 600 0.41 (24.950.40) (42.532.30)
AMD Jan 17 15 4.5 C TO OPEN
Commission 336.00
Regulatory Fee 14.40
06/20/4 06/23/14 Margin Sell - Securities Sold ADVANCED MICRO DEVICES INC 620- 0.58 35397.32 (6,934.98)
AMD Jun 21 14 3.5 C TO CLOSE
Commission 347.00
Regulatory Fee 15.68
06/23/14 06/23/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 6.934.98 0.00
DEPOSIT ACCOUNT
06/23/14 06/23/14 Margin Delivered - Other YAHOO! INC 100- 0.00 0.00
YHOO Jun 21 14 34.0 C
EXERCISED OPTION
06/23/14 06/23/14 Margin Delivered - Other ITT EDUCATIONAL SERVICES INC 100- 0.00 0.00
ESI Jun 21 14 25.0 C
EXPIRATION
06/23/14 06/23/14 Margin Delivered - Other RADNET INC. 40- 0.00 0.00
RDNT Jun 21 14 7.5 C
EXPIRATION
06/23/14 06/23/14 Margin Delivered - Other LULULEMON ATHLETTCA INC 75- 0.00 0.00
LULU Jun 21 14 45.0 C
EXPIRATION
06/23/14 06/23/14 Margin Delivered - Other SONY CORP 300- 0.00 0.00
SNE Jun 21 14 18.0 C
EXPIRATION
SDNY_GM_00011594
CONFIDENTIAL
page 40 o155
EFTA_00 122245
EFTA01267724

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/23/14 06/23/14 Margin Delivered Other INTL BUSINESS MACHINES 260- 0.00 0.00
IBM Jun 21 14 185.0 C
EXPIRATION
06/19/14 06/24/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 4.000 2.02 (8.086.00) (8,086.00)
COM
Commission 6.00
06/19/14 06/24/14 Margin Sell - Securities Sold HANWHA SOLARONE CO LTD HSOL 8.000- 2.6501 21.194.33 13.108.33
ADS
Commission 6.00
Regulatory Fee 0.47
06/19/14 06/24/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 200 5.66 (1.138.00) 11.97023
COM
Commission 6.00
06/19/14 06/24/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.7316 (579.16) 11.391.17
COM
Commission 6.00
06/19/14 06/24/14 Margin Buy - Securities Purchased ACCESS PlIARMA INC ACCP 10.000 0.315 (3.156.00) 8.235.17
COM
Commission 6.00
06/19/14 06/24/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 800 0.15 (126.00) 8.109.17
COM
Commission 6.00
06/19/14 06/24/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 400 0.964 (391.60) 7.71757
COMMUNICATIONS
COM
Commission 6.00
06/23/14 06/24/14 Margin Buy - Securities Purchased RADNET INC. 35 0.85 (3.001.09) 4.716.48
RDNT Sep 20 14 7.5 C TO OPEN
Commission 25.25
Regulatory Fee 0.84
06/23/14 06/24/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 5 4.75 (2.383.87) 2.332.61
YRCW Jul 19 14 22.5 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
06/23/14 06/24/14 Margin Buy - Securities Purchased GREEN PLAINS INC 10 7.60 (7.611.74) (5.279.13)
GPRE Jul 19 14 25.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
SDNY_GM_00011595
CONFIDENTIAL
page 41 o155
EFTA (()122246
EFTA01267725

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/23/14 06/24/14 Margin Buy - Securities Purchased TEEKAY TANKERS LTD 200 035 (7.120.80) (12.399.93)
TNK Nov 22 14 5.0 C TO OPEN
Commission 116.00
Regulatory Fee 4.80
06/23/4 06/24/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC - 200 0.34 (6.920.80) (19,320.73)
AMD Jan 17 15 4.5 C TO OPEN
Commission 116.00
Regulatory Fee 4.80
06/23/14 06/24/14 Margin Buy - Securities Purchased RADNET INC. 35 0.80 (2.826.09) (22.146.82)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 25.25
Regulatory Fee 0.84
06/23/14 06/24/14 Margin Buy - Securities Purchased SONY CORP 50 0.85 (4.284.70) (26,431.52)
SNE Oct 18 14 17.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
06/23/14 06/24/14 Margin Sell - Securities Sold BLACKBERRY LIMITED 100- 3.40 33.935.84 7.50432
BBRY Jan 17 15 7.0 C TO CLOSE
Commission 61.00
Regulatory Fee 3.16
06/23/14 06/24/14 Margin Sell - Securities Sold BLACKBERRY LIMITED 150- 3.40 50.906.77 58,411.09
BBRY Jan 17 15 7.0 C TO CLOSE
Commission 88.50
Regulatory Fee 4.73
06/23/14 06/24/14 Margin Buy - Securities Purchased YAHOO! INC 100 1.00 (10.063.40) 48,347.69
YHOO Jul 19 14 34.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
06/23/14 06/24/14 Margin Buy - Securities Purchased KATE SPADE & COMPANY 7 0.15 (115.02) 48,232.67
KATE Jul 19 14 34.0 P TO OPEN
Commission 9.85
Regulatory Fee 0.17
06/24/14 06/24/14 Margin Joumal - Other PURCHASE FDIC INSURED 0.00 (48.232.67) 0.00
DEPOSIT ACCOUNT
06/20/14 06/25/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 300 5.30 (1.596.00) (1,596.00)
COM
Commission 6.00
SDNY_GM_00011596
CONFIDENTIAL
page 42 o155
EFTA_00 122247
EFTA01267726

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/20/14 06/25/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 2.165- 0.9296 2.006.53 410.53
COM
Commission 6.00
Regulatory Fee 0.05
06/23/14 06/25/14 Margin Buy - Securities Purchased YAHOO! INC YHOO 10.000 34.00 (340.010.00) (339,599.47)
COM
Commission 10.00
06/24/14 06/25/14 Margin Buy - Securities Purchased CORINTHIAN COLLEGES INC 575 0.05 (3.211.05) (342.810.52)
COCO Feb 20 15 1.0 C TO OPEN
Commission 322.25
Regulatory Fee 13.80
06/24/14 06/25/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 10 4.50 (4,511.74) (347,322.26)
YRCW Jul 19 14 22.5 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
06/24/14 06/25/14 Margin Buy - Securities Purchased APOLLO EDUCATION GROUP INC - 5 4.40 (2.208.87) (349,531.13)
APOL Jul 19 14 26.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
06/24/14 06/25/14 Margin Buy - Securities Purchased NORDIC AMERICAN TANKERS LTD - 10 1.90 (1,911.74) (351.442.87)
NAT Jan 17 15 8.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
06/24/14 06/25/14 Margin Buy - Securities Purchased QUANTUM FUEL SYSTEMS TEC 5 2.70 (1.358.87) (352.801.74)
QTWW Jul 19 14 3.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
06/24/14 06/25/14 Margin Sell - Securities Sold GREEN PLAINS INC 10- 7.90 7.888.08 (344,913.66)
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.42
06/24/14 06/25/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 10 3.60 (3.611.74) (348,525.40)
JBLU Jan 17 15 7.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
06/24/14 06/25/14 Margin Buy - Securities Purchased UNILIFE CORP 50 0.75 (3.784.70) (352.310.10)
UNIS Sep 20 14 2.5 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
SDNY_GM_00011597
CONFIDENTIAL
page 43 o155
EFTA_00 122248
EFTA01267727

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/24/14 06/25/14 Margin Buy - Securities Purchased TEEKAY TANKERS LTD 5 0.30 (158.87) (352.468.97)
TNK Nov 22 14 5.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
06/25/4 06/25/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 48.440.53 (304,028.44)
DEPOSIT ACCOUNT
06/25/14 06/25/14 Margin Div/Int - Other FDIC INSURED DEPOSIT MMDA11 0.00 0.02 (304,028.42)
ACCOUNT
IDA11 NOT COVERED BY SIPC
Interest: Insured
Deposit Account
Payable: 06/3012014
Insured Deposit Accoun 0.02
06/23/14 06/26/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 250.000 0.016 (4.006.00) (308,034.42)
COM
Commission 6.00
06/23/14 06/26/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 65.000 0.022 (1.436.00) (309,470.42)
COM
Commission 6.00
06/23/14 06/26/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 25.000 0.0215 (537.50) (310,007.92)
COM
06/23/14 06/26/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 80.000 0.0215 (1.726.00) (311,733.92)
COM
Commission 6.00
06/23/14 06/26/14 Margin Sell - Securities Sold INTERCLOUD SYSTEMS INC ICLD 100- 6.76 669.98 (311,063.94)
COM
Commission 6.00
Regulatory Fee 0.02
06/23/14 06/26/14 Margin Sell - Securities Sold INTERCLOUD SYSTEMS INC ICLD 4.500- 6.7501 30374.77 (280,689.17)
COM
Regulatory Fee 0.68
06/23/14 06/26/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 9.749 0.026 (259.47) (280,948.64)
COM
Commission 6.00
06/23/14 06/26/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 8.000 0.0238 (190.40) (281,139.04)
COM
06/23/14 06/26/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 200 1.9998 (405.96) (281,545.00)
COM
Commission 6.00
SDNY_GM_00011598
CONFIDENTIAL
page 44 o155
EFTA_00122249
EFTA01267728

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
06/23/14 06/26/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 393 1.9899 (782.03) (282.327.03)
COM
06/23/14 06/26/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 300 1.9898 (596.94) (282.923.97)
COM
06/23/14 06/26/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 50.000 0.0251 (1.261.00) (284,184.97)
COM
Commission 6.00
06/23/14 06/26/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 30,000 0.025 (750.00) (284,934.97)
COM
06/23/14 06/26/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 75,000 0.0231 (1.738.50) (286,673.47)
COM
Commission 6.00
06/23/14 06/26/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 85,000 0.0225 (1.918.50) (288,591.97)
COM
Commission 6.00
06/23/14 06/26/14 Margin Sell - Securities Sold YAHOO! INC YHOO 10,000- 33.59 335.886.57 47,294.60
COM
Commission 6.00
Regulatory Fee 7.43
06/23/14 06/26/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 40.000 0.026 (1.046.00) 46,248.60
COM
Commission 6.00
06/23/14 06/26/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 105,000 0.0232 (2.442.00) 43,806.60
COM
Commission 6.00
06/23/14 06/26/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 95,000 0.0233 (2.219.50) 41,587.10
COM
Commission 6.00
06/23/14 06/26/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 5.000 0.0232 (116.00) 41.471.10
COM
06/23/14 06/26/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 200 5.1996 (1.045.92) 40.425.18
COM
Commission 6.00
06/23/14 06/26/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 3,582.251 0.016 (57.322.02) (16,896.84)
COM
Commission 6.00
SDNY_GM_00011599
CONFIDENTIAL
page 45 o155
EFTA_00 122250
EFTA01267729

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Duantity Price Amount Balance
06/25/14 06/26/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 6 3.80 (2.289.45) (19.186.29)
YRCW Jul 19 14 22.5 C TO OPEN
Commission 9.30
Regulatory Fee 0.15
06/25/14 06/26/14 Margin Sell - Securities Sold GREEN PLAINS INC 10- 7.30 7.288.09 (11.898.20)
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.41
06/25/14 06/26/14 Margin Buy - Securities Purchased GREEN PLAINS INC 75 1.99 (14.974.05) (26,872.25)
GPRE Sep 20 14 35.0 C TO OPEN
Commission 47.25
Regulatory Fee 1.80
06/25/14 06/26/14 Margin Sell - Securities Sold GREEN PLAINS INC 10- 7.40 7388.09 (19,484.16)
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.41
06/25/14 06/26/14 Margin Sell - Securities Sold GREEN PLAINS INC 15- 7.40 11.085.14 (8399.02)
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 14.25
Regulatory Fee 0.61
06/25/14 06/26/14 Margin Sell - Securities Sold GREEN PLAINS INC 10- 7.50 7.488.09 (910.93)
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.41
06/24/14 06/27/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 200 5.12 (1.030.00) (1.940.93)
COM
Commission 6.00
06/24/14 06/27/14 Margin Sell - Securities Sold ZIOPHARM ONCOLOGY INC ZIOP 100- 4.4175 435.74 (1,505.19)
COM
Commission 6.00
Regulatory Fee 0.01
06/24/14 06/27/14 Margin Sell - Securities Sold ZIOPHARM ONCOLOGY INC ZIOP 1.900- 4.4101 8.379.00 6.873.81
COM
Regulatory Fee 0.19
06/24/14 06/27/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 110 3.72 (415.20) 6.458.61
COM
Commission 6.00
06/24/14 06/27/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 90 3.715 (334.35) 6.124.26
COM
SDNY_GM_00011600
CONFIDENTIAL
page 46 o155
EFTA_00 122251
EFTA01267730

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/24/14 06/27/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 12.300 0.15 (1.851.00) 4,273.26
COM
Commission 6.00
06/24/14 06/27/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 800- 4.275 3.413.92 7,687.18
COM
Commission 6.00
Regulatory Fee 0.08
06/24/14 06/27/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 200- 4.272 854.38 8.541.56
COM
Regulatory Fee 0.02
06/24/14 06/27/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 1.800- 4.271 7.687.63 16,229.19
COM
Regulatory Fee 0.17
06/24/14 06/27/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 300 3.72 (1.122.00) 15,107.19
COM
Commission 6.00
06/24/14 06/27/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 40.450 0.025 (1.017.25) 14.089.94
COM
Commission 6.00
06/26/14 06/27/14 Margin Buy - Securities Purchased GREEN PLAINS INC 50 1.90 (9.534.70) 4.555.24
GPRE Sep 20 14 35.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
06/26/14 06/27/14 Margin Sell - Securities Sold JETBLUE AIRWAYS CORP 20- 3.74 7.459.60 12.014.84
JBLU Jan 17 15 7.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.65
06/26/14 06/27/14 Margin Sell - Securities Sold JETBLUE AIRWAYS CORP 5- 3.73 1.864.83 13,879.67
JBLU Jan 17 15 7.0 C TO CLOSE
Regulatory Fee 0.17
06/26/14 06/27/14 Margin Buy - Securities Purchased APOLLO EDUCATION GROUP INC 150 0.28 (4.292.10) 9.58757
APOL Aug 16 14 36.0 C TO OPEN
Commission 88.50
Regulatory Fee 3.60
06/26/14 06/27/14 Margin Sell - Securities Sold GREEN PLAINS INC 10- 7.50 7.488.09 17.075.66
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.41
SDNY_GM_00011601
CONFIDENTIAL
page 07 o155
EFTA (1(1122252
EFTA01267731

Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/27/14 06/27/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (17.075.66) 0.00
DEPOSIT ACCOUNT
06/25/14 06/30/14 Margin Buy - Securities Purchased I-IAUPPAGE DIGITAL INC HAUP 8.800 0.15 (1.326.00) (1.326.00)
COM
Commission 6.00
06/25/14 06/30/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 37.000 0.0212 (790.40) (2,116.40)
COM
Commission 6.00
06/25/4 06/30/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 618 0.75 (469.50) (2,585.90)
COM
Commission 6.00
06/25/14 06/30/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 32 0.7499 (24.00) (2.609.90)
COM
06/25/14 06/30/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 200 0.7486 (149.72) (2.759.62)
COM
06/27/14 06/30/14 Margin Sell - Securities Sold YRC WORLDWIDE INC 20- 6.00 11.982.25 9,222.63
YRCW Jul 19 1422.5 C TO CLOSE
Commission 17.00
Regulatory Fee 0.75
06/27/14 06/30/14 Margin Buy - Securities Purchased BLACKBERRY LIMITED 100 1.86 (18.663.40) (9,440.77)
BBRY Jan 17 15 9.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
06/27/14 06/30/14 Margin Buy - Securities Purchased GREEN PLAINS INC 25 2.15 (5.395.35) (14,836.12)
GPRE Sep 20 14 35.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
06/27/14 06/30/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 43 1.25 (5.405.69) (20,241.81)
YRCW Oct 18 14 32.5 C TO OPEN
Commission 29.65
Regulatory Fee 1.04
06/27/14 06/30/14 Margin Buy - Securities Purchased RADNET INC. 15 0.75 (1.139.61) (21,381.42)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
06/27/14 06/30/14 Margin Buy - Securities Purchased COWEN GROUP INC 250 0.30 (7.649.50) (29,030.92)
GOWN Jan 17 15 5.0 C TO OPEN
Commission 143.50
Regulatory Fee 6.00
SDNY_GM_00011602
CONFIDENTIAL
page 08 o155
EFTA_00 122253
EFTA01267732

Statement for Account # 867-730320
06,01/14 - 06/30/14
Account Activit
Trade Settle Acct Transaction! Symbol,'
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
06/27/14 06/30/14 Margin Buy - Securities Purchased GREEN PLAINS INC 25 1.90 (4,770.35) (33,801.27)
GPRE Sep 20 1435.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
06/27/14 06/30/14 Margin Sell - Securities Sold JETBLUE AIRWAYS CORP 15- 3.90 5,835.26 (27,966.01)
JBLU Jan 17 15 7.0 C TO CLOSE
Commission 14.25
Regulatory Fee 0.49
06/27/14 06/30/14 Margin Sell - Securities Sold JETBLUE AIRWAYS CORP 15- 3.90 5,835.26 (22,130.75)
JBLU Jan 17 15 7.0 C TO CLOSE
Commission 14.25
Regulatory Fee 0.49
06/27/14 06/30/14 Margin Sell - Securities Sold APOLLO EDUCATION GROUP INC - 20- 5.00 9,982.29 (12.148.46)
APOL Jul 19 14 26.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.71
06/27/14 06/30/14 Margin Sell - Securities Sold JETBLUE AIRWAYS CORP 10- 3.92 3,908.17 (8.240.29)
JBLU Jan 17 15 7.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.33
06/27/14 06/30/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 7 1.30 (920.02) (9.160.31)
YRCW Oct 18 14 32.5 C TO OPEN
Commission 9.85
Regulatory Fee 0.17
06/27/14 06/30/14 Margin Buy - Securities Purchased BLACKBERRY LIMITED 1 1.76 (182.58) (9,342.89)
BBRY Jan 17 15 9.0 C TO OPEN
Commission 6.55
Regulatory Fee 0.03
06/27/14 06/30/14 Margin Buy - Securities Purchased UNITED STATES NAT GAS FUND 71 0.37 (2,673.76) (12,016.65)
UNG Jul 19 14 25.0 C TO OPEN
Commission 45.05
Regulatory Fee 1.71
06/30/14 06/30/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 12.016.65 0.00
DEPOSIT ACCOUNT
06/30/14 06/30/14 Margin Div/Int - Expense MARGIN INTEREST CHARGE 0.00 (190.07) (190.07)
Payable: 06/30/2014
Closing Balance ($190.07)
'For Cash Aclivily totals, refer to the Cash Activity Summary on page one of your statement.
SDNY_GM_00011603
CONFIDENTIAL
page 49 of 55
EFTA 00)22254
EFTA01267733

Statement for Account # 867-730320
06/01/14 - 06/30/14
TD Ameritrade Cash Interest Credit/Expense
Begin Margin Credit Number Interest Interest Interest
Date Balance Balance of Days Rate Debited Credited
06/01/14 $ (40,921.55) $ 1 8.50 $ 9.66 $ -
06/06/14 (42.375.14) 3 8.50 30.02
06/09/14 (113.606.72) 1 7.25 22.88
06/10/14 (54.103.05) 1 7.50 11.27
06/11/14 (48,923.21) 1 8.50 11.55
06/12/14 (42,976.40) 1 8.50 10.15
06/13/14 (32,583.38) 3 8.50 23.08
0616/14 (20,474.03) 1 8.75 4.98
06/17/14 (17,466.58) 1 8.75 4.25
06/18/14 (11,863.49) 1 8.75 2.88
06/25/14 (304,028.42) 1 7.00 59.12
06/26/14 (910.93) 1 9.00 0.23
Total Interest Income/(Expense) $190.07 $ 0.00
Insured Detosit Account Interest Credited
Begin Number Interest Interest MTD MTh
Date Balance of Days Rate Accrued Accrued PAID
06/02/14 $ 29,897.61 1 0.0100 0.01 $ 0.01 $ -
06/03/14 18,735.23 1 0.0100 0.01
06/04/14 13,088.47 1 0.0100 0.01 0.02
06/05/14 35,298.36 1 0.0100 0.01 0.03 0.03
06/19/14 7,704.00 0.0100
06/20/14 7,142.84 3 0.0100
06/23/14 207.86 0.0100
06/24/14 48,440.53 0.0100 0.02 0.02 0.02
06/27/14 17,075.66 3 0.0100 0.01 0.01
06/30/14 5,059.01 0.0100 0.01 0.01
Total Interest Income $0.06
Trades Pending Settlement
Account Symbol! Trade Settle
Investment Description Type CUSIP Quantity Price Date Date Amount
BUY ZIOPHARM ONCOLOGY INC Margin ZIOP 2.200 $ 4.1599 06/26/14 07/01/14 $ (9,157.78)
COM
BUY ZIOPHARM ONCOLOGY INC Margin ZIOP 300 4.15 06/26/14 07/01/14 (1,245.00)
COM
BUY RICEBRAN TECHNOLOGIES Margin RIBT 100 5.23 06/26/14 07/01/14 (529.00)
COM
SONY_GM_0001 1604
CONFIDENTIAL
page 50 of 55
EFTA_00122255
EFTA01267734

Statement for Account # 867-730320
06/01/14 - 06/30/14
Trades Pending Settlement
Account Symbol! Trade Settle
Investment Description Type CUSIP Quantity Price Date Date Amount
BUY RICEBRAN TECHNOLOGIES Margin RIBT 100 5.25 06126114 07/01/14 (531.00)
COM
BUY HAUPPAGE DIGITAL INC Margin HAUP 22.000 0.15 06/26/14 07/01/14 (3.306.00)
COM
BUY RICEBRAN TECHNOLOGIES Margin RIBT 100 5.23 06/26/14 07/01/14 (529.00)
COM
BUY TITAN ENERGY WORLDWIDE INC Margin TEWI 24.500 0.023 06/26/14 07/01/14 (569.50)
COM
BUY LANTRONIX INC Margin LTRX 300 1.92 06/26/14 07/01/14 (582.00)
COM
SELL RELM WIRELESS CORP. Margin RWC 200- 3.9501 06/26/14 07/01/14 784.00
COM
SELL RELM WIRELESS CORP. Margin RWC 300- 3.95 06/26/14 07/01/14 1.184.97
COM
SELL 7A7A ENERGY CORPORATION Margin 7A7A 3,000- 0.8251 06/26/14 07/01/14 2.469.24
COM
BUY AEROPOSTALE INC Margin 50 0.55 06/30/14 07/01/14 (2.784.70)
ARO Jul 19 14 3.0 C
BUY APOLLO EDUCATION GROUP INC Margin 10 5.10 06/30/14 07/01/14 (5.111.74)
APOL Jul 19 14 26.0 C
SELL JETBLUE AIRWAYS CORP Margin 25- 4.10 06/30/14 07/01/14 10.229.42
JBLU Jan 17 15 7.0 C
BUY COWEN GROUP INC Margin 50 0.25 06/30/14 07/01/14 (1.284.70)
GOWN Jan 17 15 5.0 C
BUY BLACKBERRY LIMITED Margin 100 1.01 06/30/14 07/01/14 (10,163.40)
BBRY Sep 20 14 10.0 C
SELL GREEN PLAINS INC Margin 15- 7.90 06/30/14 07/01/14 11.835.12
GPRE Jul 19 14 25.0 C
BUY AEROPOSTALE INC Margin 26 0.55 06/30/14 07/01/14 (1.450.93)
ARO Jul 19 14 3.0 C
BUY YRC WORLDWIDE INC Margin 100 1.30 06/30/14 07/01/14 (13,063.40)
YRCW Aug 16 14 30.0 C
SELL GREEN PLAINS INC Margin 20- 8.00 06/30/14 07/01/14 15.982.16
GPRE Jul 19 14 25.0 C
SDNY_GM_00011605
CONFIDENTIAL
page 51 o155
EFTA_0012 2256
EFTA01267735

Statement for Account # 867-730320
06/01/14 - 06/30/14
Trades Pending Settlement
Account Symbol! Trade Settle
Investment Description Type CUSIP Quantity Price Date Date Amount
SELL APOLLO EDUCATION GROUP INC Margin 15- 5.28 06/30/14 07/01/14 7,905.21
APOL Jul 19 14 26.0 C
BUY RICEBRAN TECHNOLOGIES Margin RIBT 100 5.2499 06/27/14 07/02/14 (530.99)
COM
SELL OCLARO INC Margin OCLR 400- 2.315 06(27/14 07/02/14 919.97
COM
SELL OCLARO INC Margin OCLR 4,100- 2.311 06(27/14 07/02/14 9,474.89
COM
BUY ACCESS PHARMA INC Margin ACCP 3.000 0.295 06(27/14 07/02/14 (891.00)
COM
BUY RICEBRAN TECHNOLOGIES Margin RIBT 100 5.259 06(27/14 07/02/14 (531.90)
COM
BUY RICEBRAN TECHNOLOGIES Margin RIBTW 100 1.559 06/27/14 07/02/14 (161.90)
WARRANT EXP 11/18/2018
SELL 7A7A ENERGY CORPORATION Margin 7A7A 500- 0.8676 06/27/14 07/02/14 427.79
COM
SELL 7A7A ENERGY CORPORATION Margin 7A7A 7.408- 0.8675 06(27/14 07/02/14 6,426.29
COM
BUY LANTRONIX INC Margin LTRX 500 2.02 06/27/14 07/02/14 (1,016.00)
COM
BUY HAUPPAGE DIGITAL INC Margin HAUP 200 0.15 06(27/14 07/02/14 (36.00)
COM
BUY LANTRONIX INC Margin LTRX 600 1.93 06/27/14 07/02/14 (1,164.00)
COM
BUY ACCESS PHARMA INC Margin ACCP 14.950 0.286 06/27/14 07/02/14 (4,281.70)
COM
BUY HAUPPAGE DIGITAL INC Margin HAUP 5.000 0.1744 06/27/14 07/02/14 (878.00)
COM
SELL 7A7A ENERGY CORPORATION Margin 7A7A 100- 0.90 06/27/14 07/02/14 83.99
COM
SELL 7A7A ENERGY CORPORATION Margin 7A7A 1.385- 0.90 06/27/14 07/02/14 1,246.47
COM
BUY OCLARO INC Margin OCLR 7.500 2.1599 06/30/14 07/03/14 (16.205.25)
COM
SDNY_GM_00011606
CONFIDENTIAL
page 52 o155
EFTA_0012 2257
EFTA01267736

Statement for Account # 867-730320
06/01/14 - 06/30/14
Trades Pending Settlement
Account Symbol! Trade Settle
Investment Description Type CUSIP Quantity Price Date Date Amount
BUY TRANSGENOMIC INC Margin TBIO 100 3.889 06)30/14 07/03/14 (394.90)
COM
BUY LIHUA INTERNATIONAL INC Margin LIWA 19.900 0.325 06/30/14 07/03/14 (6.473.50)
COM
BUY LIHUA INTERNATIONAL INC Margin LIWA 25.000 0.30 06/30/14 07/03/14 (7.506.00)
COM
SELL ZIOPHARM ONCOLOGY INC Margin ZIOP 2.800- 4.1101 06/30/14 07/03/14 11.502.02
COM
SELL OCLARO INC Margin OCLR 1,500- 2.1901 06/30/14 07/03/14 3.279.07
COM
BUY LIHUA INTERNATIONAL INC Margin LIWA 5,100 0.295 06/30/14 07/03/14 (1.510.50)
COM
SELL 7A7A ENERGY CORPORATION Margin 7A7A 1,652- 0.876 06/30/14 07/03/14 1.441.11
COM
SELL ZAZA ENERGY CORPORATION Margin 7A7A 2.800- 0.873 06/30/14 07/03/14 2.438.34
COM
SDNY_GM_00011607
CONFIDENTIAL
page 53 o155
EFTA_00 I 22258
EFTA01267737

Statement for Account # 867-730320
06/01/14 - 06/30/14
Insured De . osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $ 0.00
06/02/14 06/02/14 Received FDIC INSURED DEPOSIT ACCOUNT $ 29,897.61 29,897.61
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
06103/14 06/03/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (11,162.38) 18,735.23
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
06/04/14 06/04/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (5,646.76) 13,088.47
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
06105114 06/05/14 Received FDIC INSURED DEPOSIT ACCOUNT 22,209.89 35.298.36
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
06106/14 06/06/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (35,298.36) 0.00
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
06/19/14 06/19/14 Received FDIC INSURED DEPOSIT ACCOUNT 7,704.00 7.704.00
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
06/20/14 06/20/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (561.16) 7.142.84
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
06/23/14 06/23/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (6,934.98) 207.86
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
06/24/14 06/24/14 Received FDIC INSURED DEPOSIT ACCOUNT 48,232.67 48.440.53
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
06/25/14 06/25/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (48,440.53) 0.00
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
SDNY_GM_0001 1608
CONFIDENTIAL
page 54 0155
EFTA_00122259
EFTA01267738

Statement for Account # 867-730320
06/01/14 - 06/30/14
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
06/27/14 06/27/14 Received FDIC INSURED DEPOSIT ACCOUNT 17,075.66 17,075.66
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
06/30/14 06/30/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (12.016.65) 5.059.01
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
06/30/14 06/30/14 Received Interest: Insured 0.02 5.059.03
Deposit Account
Closing Balance $5,059.03
TD Bank NA $5,059.03
FDIC Insured Deposrl Account ODA) balances reflected in your brokerage account are FDIC-insured t p to applicable limits and held by TO Bank. N.A.. or TD Bank LISA. N.A.. or both. The IDA balances are not covered by :he
Secunties Investor Protection Cal:oration (SIPC) protection appbcable to your brokerage account.
Important Information
The most recent statement of financial condition for TD Ameritrade Clearing, Inc. may be obtained at no cost, via the Internet at http://wvmtdameritrade.comffinancialstatement.html on
or before June 13. 2014, or by contacting TD Ameritrade Clearing, Inc. at 1.800.237.8692. As of March 31, 2014, TD Ameritrade Clearing, Inc. had net capital and a net capital
requirement of $1.42 billion and $266.6 million, respectively. A copy of the report and comments is currently available for customers' inspection at the principal office of the commission
in Washington DC and the Denver, CO office of the Commission.
Required Annual FINRA Information: FINRA maintains a toll-free public disclosure hotline where investors may call to request disclosable background information on any licensed broker
or broker-dealer. To call the hotline, dial 1.800.289.9999. FINRA also maintains an Internet web site where investors may obtain useful information concerning FINRA policies,
procedures and services. The web site can be accessed at www.finra.org. Additionally, FINRA has a brochure which describes the investor education and protection program. You may
request this brochure either through the FINRA web site or by calling the toll-free public disclosure hotline.
CONFIDENTIAL SDNY_GM_0001 1609
page 55 of 55
EFTA_00122260
EFTA01267739

ST
THOMAS.
VI
00802-1348
6100
RED
HOOK
QTRS
STE
8-3
ATTN:
JEFFREY
EPSTEIN
SOUTHERN
FINANCIAL
LLC
1D
Ameritrade
CONFIDENTIAL SDNY_GM_00011610
EFTA01267740

Terms and Conditions
STATEMENT GUIDE
IL Ar stroeb aardes mortel,. Foreklio Amons lor aocoums wth acverty and quanedy toeans lt Me «Pol 01 a aderend ineolrency. a Clan may realbeeMOunts due trom the Posten For an investor brochuo Mal encbcles informabon desaliang FINAM Pusht Thsclesuro
ta omase accounts tutti asels.' In nardouldnY and mon SIPC. Pocolonental omorago is pad out dier nve trustee and Program. plees° contact FINRA at 030-289.9?99 or wymtiva01.
Portfolio Symfonie,: DOM Ilro Correct «Poe d >Por p00010 es Of the repro dele end SIPC payouts ard Lader such coyotes@ each den es limiled to a temend return ot
~paren n to me prior monlha The Ebt elPoaliOn Meelt, yOur 00010 divendealion by 5152 mniOn Ironie Poelet. SIPC and London in/koers The TO Anteribade Supplanenlel Om inwiest Ø Luen tor TO Amertrade Cash is laken lom Om applcatlis minst rato eer lor
invesimert type navenant bas an aggrogale hm el 550) muon amt as cum:mors. ins polcy taande: th, Makel VON, balace ~TO Amen:rede Carlh. as 01m e delement °Man) dele Simple
Cerevage lotkraing Weswege ineohincy enddoes nOl proleet Poenale» in merkel neb, modest es acnxd dar, base, on the interest rato sa opdraai> to oach days Liane°.
MAM* dboateres under 5% enk be grouped mto thocampory ol toear in tho po chan. Mar dem securnos
Essay - Total Account Ertuib<Froiel Long Maginable Vekte • Total Short Velde) Inname:d Statement Noldbation: The mammae ol atonaal condten lor TO OmonIrado
inveteMent h a money martel Fond ia nol ineured Or gardreeed by Me Federtd ~lede Wee a year and mey be obtentcl al nO ceel. vie Me intomen el
Actrvity Sumarry: Ine opening and doling cash blanca dro reconoted hete lor year aak erepost Insuranar Corporation (F010 a any oma government agent,. Mimi.", 010 Mar.stwortectonentradeoonslinanctabiatemonthrn.
relerosce At account tinnry es sunntanzed lor Me (urgen pand and year to dato_ eUrldS bek 10 posene the valle d yOur imealment al 51 0) p« gure. 4 b pOsebb 10
boom* a Exponeer Summary (nendEAs only): Ibis seroen adat ene mama ard amensa lOtte moro'/ by inmeng n a money merkel kind. (badende eie Mand dely end °neon AssIgnment: MI short onerty ogion canons and same index oom ponbons are
Ixait trom the Sant Summa>, and ePonales the las IrealMent pactrantestod merdy. Tno pntopedos contans des ard odia important dormalon ~Mae lor essignment brede assignintm races to' Nut., or index options ere rendont'
Rebnsment Account Surnmary ORM only): Redes Om IRS reculatod transaceons for lbo Reed the aanmars abrecify Won ~Ong. NOndePollil invettmente held b/ your alocated aflang alldorde shon pontons try an atomlad praatte.
curert ad aa nam IRS Form 5498 Ier Modi« vak* ie band On Me sonant nakie aa or boker dealer We NOT FDIC ItISURED t NOT BANK GUAfteNTEED r MAT LOSE VALDE.
Doorns« 31 ot tho panui yoar ard tur be furrishod tome hierna Revenu° Sance. Free Credit ~annex "Ie 154-2 0 3): Under mo om promotion nets. wo may usa free
l P o a s d s o a n . n *o a r n y c o e u S r l u u m tu m ro a r r o y e :M :t o r n o it m or s > t o ra o t r e o g m y, w al portfolio Postament, eid Ihe ineen/cd gaine and c T a h n e t b o a l l e o n s ° b , o i, n y d o o u n r b y a o n u k r o d r e d p e e r n . d a n e d C C M O e .e c d m O o f r t i i e h d tu s e r S a t d u rn 'M ad u f l o M w ON a S r , s m cc a u k re e e l s o r a d c u co l u n fu t n o d r C on re d di o t r b h a e a id n . eb h yOur account n IN Ordner>, none ol cm boenen whkh en> melde to yOu
Account PositIons: View your rnostrnonts l mo current marka yam ard corrporo the oognel renseled byta
cad to vee irweeked geine and Poses n your pordol0 Originel coel is esagned uling 'he Margin Aecourds (RopulallonT): H you have a margin account. ms report d a combnaton cd
b tr a a b a D . m nr a a to a u n l ( b FI i F d O e ) r m tro e s th tm o a d r . d w e e n ie c n o m as e s 2 u a m n e d e ~ m r e a li g re e ' s c h a a s r t e p , > e P r o s s h e ar t e e r a e r e M o d e on s d y a o y u e p d u l r o c r h a y s o e u d r T tm as D ~ a e a n n g : e . o Th x e rp a la n m d e t w b il a t n E S if M ra a c l e e m r P i o s o r i n n e d n u t d e Y s o u t a e0 b r an ro ke d e FO n r m b o 1 d 0 e 3 9 t. b « P P o o e e n l n yt o r k e , n a e nd o n d O n C o C l O ru Ur r il a a l r e d e lo r W a e ll e i k n t v ] ~ es e to t r e s. n A d c " o mp a l c e o t* b l n a t t c T 4 r a th d e n g ri s o k n s m a e n n o g m n a p li o e s , e tu s n e n d m dl a io n n n a in l
m Ac ie C r O /a u c n e t A W e e t e h « il P y: o A l p l S at i h d o a s r ° t e da cI t M e e ly i i l a o d m e n er b t/ r d e e n lb rd e e d e . I h e o le n « 0 i 1 n y O ou M h o O l r d d e e i r g . P e e n d d 0 r C e 1 l . l eded n me S w e il i t e o . r l e au n w :d ~ o 1 l a t mix e o n c d r e x r r o t s to p r r r o e c c e c n d te s n Sone mimeria ere subject 10 redessnailOn nbds b do e c d u o m e e i n s t b m y a co a n g le ° e l i i n n g m ti e e e m l a m r a g e v a r n e h k e d r i S a e b le e ct t e o n n p c a l g a e v n en e e n o t l Y ro O e u r m st e a y te o m b e ta n i t n e copy or Ms
m Ø O d d T o M a n s . e O n r n s D o s n ta e ; . t c t G n % a a s e n s o e S o h t l m r t W i a n S n l r e e e s e n a r p P v C c o i t o c e r io t t e . i t n n l s e g s T n t p i r s d a o in n n b l n d : o C c . r e l o i m O l n le d f n i c r u t m e d d n y g n o u c m h e e C e m c a A k s O c . h c d r o m e o u d e n a n t n t r A n e c c a d e v r e n d m s r a e y e n n n t d o n I n m M w e o l I a s n A 8 e C n n a M e c e S b u m W r m n e y o M n . m a a d r s l e e . C t e ' l , e s a a ta l r l e e d d ! e m C n k o d a n a i n n t e g o ~ M O c b o A A i M t n .V a N e e y n n l y e e e e t n h l b d e y t C m e a o C r : e W a O n t E e 1 a c e e r h n y m ti C s l d m t . C e c t t a a d h n P s e . w O i M I n D t R h t k S m a A n T 1 m e d E 1 l o ) o D D a n n m ) a a a T e t n o I e n ) d n r a e d e a a d n n d t e a a = l p t a s r c o d e k P p e id o o n e r is i d n e g n C n o a t a n r d l e t p e p G r C e o u r O i n e d R : o t k n m P a e O p i t e l M e a r n I E a w te r D e d ' e a W r r e a s e t 1 a b n P d r d i o o t y t a r n a - o o e le r t l r o s P f s e o e h r a c r l e a e e y e r i m c n e g a t r n e o e c n d s n a c g t s u m o h l o i r e e t e m p C r s n a p t c O h y a a y m r s s M d r s . e a e a b n e r b a t r t . o F o t n b e l k o n « l w a e W » , d r o ( e o C S c r le O t E d p n io m C e : o n c a p s . e R o l t e T n n e r g O g e d s n u e c A ( t s t m a e t m 6 e n l o 0 a t r o r r y 6 t e k n r n e a a m a a l d n f l n e e d o a y t a n i n 6 . O l t t s 0 s h e n o 7 e s n d ) m o : & e i s I e a n l O c u y C l s e e n r e o u n t a m m a n e a g p o n a m e n c r O n d e r t i c c o c a u a u b b m t r r a o e i p b n s r n o e d t i u a s n s n e I e s i r c s n s a e e s t I l n s e a o ll . y e n M r T r o e o l O e a r r Ø d n k m A e e te r e r l n o d C o l r r a o / t e a t o L i a l r l a m t p e n d e t n o g o e r
Onbne Cash Services Sunmwy: Credt ard dabt transactien mats lor mo arrom statement Porgin and Options Account Agreements: Promo,/ aPosol0 Amenirado n meng ot *zoen!~ at wrAvidarrirtrado_com. A ventten copy is avoratle apen roXpett.
rePOnag pedod e summerized. InditiCkel neonataal, eie rot limed. arry deango re your invemment clarcuyos or inarcial stuaren as they man to your
'Je to !tanding oaustments. mo stroman detals may nei apal me statement totals. ~ w M ei i s n n O o r x 0 cr 0 ou 1 tb ~ an 8 o 0 l 0 o 0 p u e n e t n a s g n re a e s r a n : e e n e is n s A i s su ~ m M nb a ay e O . r amminions and charge, ineuned ~ h k es e o f u t r P p o e n nn d y . O a n b s M en e t' P (W a il r ly i o t r o d e a rs a r to d e ln o b e a d n t e ra re r c y s . m to o n s e a le n c d t b th r e ok h et a s l . e d ry o o 0 ie 1 r s s . e a e r li d n g ~ k e e ia i
telnleled Aan' Income end Eserroted Annuel bied vlakten are bets troon Ibe number ei ,Øvematen markt* orders. Poco improyetTentm aV311.1010 unief "han mantel condlsons.
slums coma) or avrom valuta balanca as ot ne statement dale ard mo non team draden:1 Oren Makel Poon: The molmt 'duet d somma ham bom Wand d eraan korn and wo regulary monter execulas to lest lat sten mormonen d as...Matte.
rele or cash Pekt pende() q".:10‘ sent» ad Oer roependen( acne Wim we Woed On Ob dovig aree me
ran beween me brd ad arltrq paces or ahoi re ces. t no marker tam n /Motie smia Trede COMIrmathenti (Ruin 11/0-10): MI contrmalions eie PereminedOn ihe Inanabbn dele.
GENERAL INFORMATION qadaiacn eend> tr Oh« indePoodent Mae. he sec" e Woed lo beng relected
Nul Pace Ce) Die dlu»dts cri your pct raat are Wan», os 90104, Intrrdlon ad Tem: Transactie", in beien sPourilen (nCluSnE bre4gn conelanY ADM Iltel Ira In *be
10 Omen:rade does not aarde legal or las ~ce. Plees* consul, your lepe aPosor or las to dom guramoo bb accuracy ct ave soorten pree:. Molair badrad postons aro mbo] U.S.) me/ rebel° exa ani lees chargod by tre, keer madam en governmenls. Wedt may
titCOurall venen neCesslery. As e standerd inCleby paden. plan COneenblens may be rang Po ~enne banco ad be om« merkel pico Pelde Kast kaldion my nei be rasled in Ute print Ol Me money Of cherged an Poepende« Ine Pon
nabetaal br Sally 00nInat and transaegOn vedrcelm OurpOste. manco, sake aam*, lbo teo:nday naad Ia Cotrodos d Oogst: (Ca) n generaly
ituud and the adat tute me, be dtiews aan Me ~me Vee MatlIcertitss Cl PPoPol Prancy Pormy Notilkillon: A copy of Me TO Amertrecb privacy DOleY ie anPoble el
For TO Amentrade rasebro al acre. ytre °Mes« hm es scparate from and not attbaled wit. mar rooit Pon Me :ab ol a CD par la rralsty Sext adb Ral Worm Securtes Wade waw.Pamegiradoeorn
TO Antentrade. Inc. te TO Armeren° °meng, Inc.. ard aan h'm es rot responsble la the dforomy mal oom sauna and tum rar <natelde accronse. Renet Ins/ waarin»
0100xle end senices Ol Me erher. OTC loer the °punten markt( and dirOtet louctryrntyrxt era ta tor »wil sour poelen picr Cao** Securbern The Oman el podia raemdtnsb calls is dane vang a proeft ketny
to rrauty. To vlo et tent 'mor to rrubsty ma/ rooJi n a las d renapol. mslem. A aoanption el mo proadres br Dankte secunins is avalabloon me ~Ma or haal
Acceracy of Reporls:11 you fInd any errors or omissie:ins In your accouM statement you «mies aro ~tabla twonicep.osi.
*houd immediatety con ve et tho omber had 00 page ome 01 your statement You Non Standard Assem OISAI aso typcaly ~remt ra droeg pastematon program sauma
*houd oho contact our Clearing Frm TD Amentrade Clearing, ro. el 800469-95100. gootrentms. Irtmodnielltycempana. er red MEM rriesron innen certrada pais. prude In Case Ol enorti er epestona abeel your ElearatiC Fund %Adem ',sekse co wei e ei
buty abele deel a eedpre Ø. N546 ere botdy houd mealmtas ad do not Inde ee' a 16606693900. ar n wrang to P.O. Box 2209, Omaha. NE 68103. or by emoe at
Please rcenew ms sialemoM c.iredity. Ir you dragee* wilt any tanndel ord Mae am any nanel mana behanger a ta Krom Stoa Wad Do 'duce dean ta mto mede :nis dieMeentiCE@KMMeritolde.COm The PoOnnaten cOnleined n sou( *aard statement shag
orde er (mene",. please roert, e Dient Services represeMelhe a you 1):81 Winch OPoe. es ere ~Ad takes dete d han orbe ~bolk Pokend bul nol Inbed Is ndependenl be bndng upen youil you do not ettci wthn sub LEE days lor any transfer d lurds si pa
wel as 10 Amairode Cleaneg. Ine. in wrong anno ton (10) days of war record ot th, appret:ah de proeyams rn =eb, and« tred party tonder aders tul ham boen prtmeed by se Rapiabon E. bal as MM and pont obrale tram," doen transactions. wat depeotts.
statement Arry oil statements Ihet you hem made to ui ~JO be CONPoted in writtsp The Me ~mora" ~maand* bader d ØIØ eb/ a thrdpaty vendu Milou! and dihdarnals We Must heer trom var ro teler Man 60 dan after we sent yOu Ine FEST
statement Wil «Ponem be considered conclehe. indgendeM ~esa by TI) noodde. Vatne mei nat raket pkt Øne raglan, pico. statoment en whchthe error or peetoom appeared.
smal mairi 'duo er be roalaxl man Inbidoacn an asemend ida cadet be esLablehed (I) Tell us lag rente and account renter
Fletse natelt a prompity 01 any charter in yocr cOnteci inormation. Tranende% Meehad On *rough rose methode. Me Winden mto be reflected es NOnanced CNV) Fel eddlend Octet (2) Dolen» the error or Po trondor you are unsuro .l out. ard oxplan as dab, as you can
your rcpan wil be concbsepaydecomed aeontourdoss you noely TO Amenfadoirrenadatey. tombng tobben la Pon-Sudan:1 koe. Ome arm Clan Senatet These nossimerts wny you belgro ri is an error or why you nood note solormabon.
re net wand urda ro SIPC (3) Ted us the dab, amodni of ne suepected error.
Account Proleabn: erepoints held by TO Rank. NA ard TD Drek USA. N.A. aro resured by Wo wi, temmers* your °omplant and MI narent any error prompdy. H we lakei more man ID
me FDIC (ral COvered by SIPC) Up 10 $250.000. Emils are per arabist ormert110 per Aden lido Steunbeer/art Pang: Die motet~ Ia MS somma hom boen caaned. business days lo do thie. se wil redt your eccOuM br Ine *motet yin mink is n error. 40 Pot
iinett401. TO leem more etOut FDIC COverage go to twee IdCgOv. Seadharr. indoet® meld». trom chOtakneenbat er Wei Poepende« ~en The way cd ne pag is nos you wil have dr uso ol the rroneydunng tho tm* a takes us toean:Cao ourinvestoaten.
~krat bnp., held in 00 Ontlieten* ACCOunt are MI depOniti Or obligatione d. or ~amant Ha maag taboe rot matte. TD emeritaat sel pret Om IESpeolim.takrg ille
"'wantend by. any bank. aro not FOltenscrect and envoho envestmord d:as. ircludng ~dorden bot tm Rhea sa underbmg mek quaty. Wie SAS merkel is eurrenly
posstle loss ol princpal. TD Amen:rade is a momber ol Me &curettes Inval« Praatten tononbab e bak el Sally end. be went Mae an be ro esstrtrce mel toch scones an
Corporalion (51PC'). which prima: secunnes a-stomers of els manbars up lo 5500.000 to aa ader con, molmt codices. AUTO NO 07,14
(inlading 5250.000 lor dodo fez cash). Explanatory brochure is available on requal
REGULATORY DISCLOSURES
wAd.abc.ere.
TO Anedrap. URM«, eed, dal $149.5 melkion words ol prolection for AI Ponsaceons aro abject to p) me consmubon. Na, Condooms custard and laagt,
ileCuritieS and 52 ~ikon 01 IXONCIOn br cash ihreugh Supaementel coverden a0vided by or the exchange Of makel. and ie deemonouse. n en/. on grien toch lieneedan ere
London beurelt o E x s ecuted ui) fosfaat 4 lag:. o i u n n d c a tit g e in 0 g me Secu m noes A in c t ot 193 f 3 an on d d tho O S f «ur r te h: s SDNY_GM_00011611
EFTA_00122262
EFTA01267741

Statement Reporting Period:
1D Ameritrade
07/01/14 - 07/31/14
Statement for Account # 867-730320
800.669-3900 Announcements:
D TO IV A IS M IO E N R I O TR F A T D O E A MERITRADE INC S 6 A 1 O T 0 T U 0 N T R : H J E E E D R F H F N R O F E O IN Y K A E O N P T C S R IA T S E L S I L N T L E C B-3 C RE H F O E O R S A E F $5 R 0 IE C N A D S & H . G 5 E F T R R E E E W T A R R A D D E E D S, .
PO 80X 2209 ST THOMAS. VI 00802-1348 OR A $50 GIFT CARD WHEN THEY
OMAHA. NE 68103-2209 OPEN AND FUND AN ACCOUNT.
TD Amer'trade Clearing. Inc.. Member SIPC VISIT TDAMERITRADE.COMIREFER
RESTRICTIONS APPLY.
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Margin Loan ($29,940.04) ($190.07) ($29,749.97)
Insrd Dep Acct 5,059.03 (5,059.03) (100.0)% 0.01%
Money Market Other
Short Balance 4.8%
Stocks 2,560,212.42 2,528,880.07 31,33235 1.2%
Short Stocks
Fixed Income
Options 1,255,868.18 1,720,632.38 (464,764.20) (27.0)%
Short Options (29,510.60) (29,510.60)
Mutual Funds
Other 136,720.50 120,984.00 15,736.50 13.0%
Total $3,893,380.46 $4,375,365.41 ($482,014.95) (11.0)% S 0.00 0.0%
Margin Equity 100.0%
Cash Activi Summa Income & Ex ense Summa Performance Summary
Non
Current YTD Reportable YTD
Reportable
Opening Balance ($190.07) $ - Income Cost Basis As Of - 07/31/14 " $4,523,121.66
Securities Purchased (1,528,170.49) (7,859,652.21) Dividends S S - $200.00 Unrealized Gains 326,580.81
Securities Sold 1,493,481.53 3,829,298.95 Interest 1.63 Unrealized Losses (926,411.97)
Funds Deposited 4,000,600.00 Other Funds Deposited/(Disbursed)Yr° 4,000,600.00
Funds Disbursed Expense Income/(Expense)"° (191.51)
Income 201.63 Interest (120.29) (393.14) Securities Received/(Delivered)T° 0.00
Expense (120.29) (393.14) Fees **For cost-basis Information. refer to www.tdamerftradotom
Other 5,059.28 4.73 Other
Closing Balance ($29,940.04) ($29,940.04) Net ($120.29) $0.00 ($191.51)
SDNY_GM_00011612
CONFIDENTIAL
page 1 o176
EFTA_00122263
EFTA01267742

Statement for Account # 867-730320
07/01/14 - 07/31/14
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer s - $ 4,000,000.00
Subtotal 0.00 4,000,000.00
TOTAL 0.00 4,000,000.00
Income Summary Detail'
Description Current Year to Date
Interest Income Credit Balance $ 0.00 $ 1.63
Margin Interest Charged (120.29) (393.14)
Qualified Dividends 0.00 200.00
IDA Interest 0.25 4.73
'This section displays current and year to date taxation values lor Ns account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable In a previous tax year (spillover [hands). The year to date totals will accurately reflect your cumulative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
ACCESS PHARMA INC ACCP 287,500 $ 0.26 $ 74.750.00 05/12/14 $ 121.917.19 $ 0.42 $ (47,167.19) $ -
COM
ATHERONOVA INC AHRO 5,864 2.15 12.607.60 05/27/14 13,794.19 2.35 (1.186.59)
COM
COMMAND SEC CORP MOC 20,000 1.94 38.800.00 07/07/14 36,518.57 1.83 2,281.43
COM
COWEN GROUP INC COWN 20,000 4.00 80.000.00 05/14/14 79,594.70 3.98 405.30
COM
ELEPHANT TALK ETAK 191,100 0.90 171.990.00 05/12/14 190,584.00 1.00 (18.594.00)
COMMUNICATIONS
COM
EMRISE CORP EMRI 30,426 0.859 26.135.93 05/15/14 25.822.05 0.85 313.88
COM
HAUPPAGE DIGITAL INC HAUP 181,100 0.2498 45,238.78 06/13/14 33,559.59 0.19 11.679.19
COM
LANTRONIX INC LTRX 83,000 2.00 166.000.00 05/23/14 163,137.95 1.97 2.862.05
COM
SDNY_GM_00011613
CONFIDENTIAL
page 2 o176
EFTA_00122264
EFTA01267743

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 65.000 0.2149 13.968.50 06/30/14 20.071.00 0.31 (6.102.50)
INC
COM
MEDIABISTRO INC MBIS 3,200 0.94 3.008.00 07/24/14 2.645.50 0.83 362.50
COM
MERRIMAN HOLDINGS MERRD 23.001 3.51 80.733.51 07/09/14 79.672.86 3.46 1,060.65
INC
COM
MODUSLINK GLOBAL MLNK 55.000 3.73 205,150.00 05/13/14 200.070.54 3.64 5.079.46
SOLUTIONS INC
COM
NOTIFY TECHNOLOGY NTFY 1.916 22.00 42.152.00 07/08/14 26.692.00 13.93 15.460.00
CORP
COM
OCLARO INC OCLR 80.000 1.86 148.800.00 05/13/14 151.686.72 1.90 (2.886.72)
COM
QUANTUM FUEL QTWW 4.700 5.13 24.111.00 07/17/14 19.659.17 4.18 4.451.83
SYSTEMS TEC
COM
RAINMAKER SYSTEMS RMKR 461.000 0.175 80.675.00 05/12/14 105.016.07 0.23 (24.341.07)
INC
COM
RELM WIRELESS CORP. RWC 60.770 4.10 249.157.00 05/13/14 202.505.15 3.33 46.651.85
COM
RICEBRAN RIBT 63,300 5.19 328.527.00 05/12/14 353.378.92 5.58 (24.851.92)
TECHNOLOGIES
COM
TITAN ENERGY TEWI 4.631,850 0.0318 147.292.83 06/23/14 80.397.72 0.02 66.895.11
WORLDWIDE INC
COM
TORCHLIGHT ENERGY TRCH 37.400 3.78 141.372.00 06102/14 156.828.09 4.19 (15.456.09)
RESOURCES
COM
TRANSGENOMIC INC TBIO 89,566 3.9399 352.881.08 05/12/14 356.530.15 3.98 (3.649.07)
COM
SDNY_GM_00011614
CONFIDENTIAL
page 3 01 76
EFTA _00122265
EFTA01267744

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
ZAZA ENERGY ZAZA 76.547 0.77 58.941.19 05/19/14 54,527.29 0.71 4.413.90
CORPORATION
COM
ZIOPHARM ONCOLOGY ZIOP 21.700 3.13 67.921.00 05/14/14 76,372.38 3.52 (8.451.38)
INC
COM
Total Stocks $2,560,212.42 $2,550,981.80 $9,230.62 $0.00 0.0%
Options - Margin
ADVANCED MICRO 880 $ 0.7103 $62506.40 05/12/14 $ 77.786.12 $ 0.88 $ (15.279.72) $ -
DEVICES INC
AMD Jan 17 15 3.5C
ADVANCED MICRO 875 0.281 24.587.50 06/20/14 36.151.25 0.41 (11.563.75)
DEVICES INC
AMD Jan 17 15 4.5C
AEROPOSTALE INC 595 0.4522 26.905.90 05/13/14 90.647.53 1.52 (63.741.63)
ARO Jan 17 15 3.5 C
AEROPOSTALE INC 375 1.355 50.812.50 07/18/14 51.826.26 1.38 (1.013.76)
ARO Oct 18 14 2.0 C
ALCATEL LUCENT 617 0.1641 10.124.97 07/02/14 23.903.16 0.39 (13.778.19)
ALU Sep 20 14 3.5 C
ALCATEL LUCENT 405 0.0525 2.126.25 07/21/14 6.331.48 0.16 (4.205.23)
ALU Sep 20 14 4.0 C
APOLLO EDUCATION 150 0.065 975.00 07/01/14 27.102.11 1.81 (26.127.11)
GROUP INC
APOL Aug 16 14 31.0 C
APOLLO EDUCATION 300 0.0114 342.00 07/01/14 12.972.21 0.43 (12.630.21)
GROUP INC
APOL Aug 16 14 34.0 C
APOLLO EDUCATION 250 0.0058 145.00 06/26/14 6555.50 0.26 (6.410.50)
GROUP INC
APOL Aug 16 14 36.0 C
AVON PRODUCTS INC 270 0.059 1.593.00 07/28/14 6.896.98 0.26 (5.303.98)
AVP Sep 20 14 15.0 C
SDNY_GM_00011615
CONFIDENTIAL
page 4 of 78
EFTA_00 122266
EFTA01267745

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Options - Margin
BEAZER HOMES USA INC - 325 0.475 15.437.50 05/13/14 76.942.55 2.37 (61.505.05)
BZH Jan 17 15 20.0 C
BLACKBERRY LIMITED 130 1.5192 19/49.60 06/27/14 24.755.63 1.90 (5.006.03)
BBRY Jan 17 15 9.0 C
BLACKBERRY LIMITED 250 0.4791 11.977.50 07/09/14 43,457.50 1.74 (31.480.00)
BBRY Sep 20 14 10.0 C
CENTRAIS ELEC BRAS 505 0.5096 25/34.80 05/13/14 47.661.89 0.94 (21.927.09)
EBR Sep 20 14 2.5 C
CITIGROUP INC 400 0.8016 32.064.00 07/16/14 52.912.61 1.32 (20,848.61)
C Aug 16 14 49.0 C
CORINTHIAN COLLEGES - 575 0.0253 1.454.75 06/24/14 3.211.05 0.06 (1.756.30)
INC
COCO Feb 20 15 1.0 C
CORINTHIAN COLLEGES 500 0.0381 1.905.00 05/13/14 11.012.00 0.22 (9.107.00)
INC
COCO Aug 16 14 1.0 C
CORINTHIAN COLLEGES 2.000 0.0317 6.340.00 05/13/14 11.148.00 0.06 (4.808.00)
INC
COCO Aug 16 14 2.O C
CORINTHIAN COLLEGES 2.147 0.0001 21.47 05/13/14 63.699.38 0.30 (63.677.91)
INC
COCO Nov 22 14 1.0 C
COWEN GROUP INC 205 1.675 34337.50 07/15/14 40.766.67 1.99 (6.429.17)
COWN Jan 17 15 2.5 C
COWEN GROUP INC 575 0.175 10.062.50 06/27/14 15.472.05 0.27 (5.409.55)
COWN Jan 17 15 5.0 C
DRY SHIPS 800 0.3395 27.160.00 05/12/14 51.659.20 0.65 (24.499.20)
INCORPORATED
DRYS Jan 17 15 3.0 C
FLAMEL TECH 110 4.3418 47759.80 05/14/14 43.331.14 3.94 4.428.66
FLML Dec 20 14 10.0 C
FUELCELL ENERGY INC 285 1.4809 42.205.65 05/13/14 36.469.59 1.28 5.736.06
FCEL Oct 18 14 1.0 C
FUELCELL ENERGY INC 360 0.9819 35348.40 05/12/14 29.652.64 0.82 5.695.76
FCEL Oct 18 14 1.5 C
SDNY_GM_00011616
CONFIDENTIAL
page 5 01 76
EFTA_00122267
EFTA01267746

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Options - Margin
HANWHA SOLARONE CO 460 0.3902 17.949.20 05/13/14 39.126.04 0.85 (21.176.84)
LTD
HSOL Sep 20 14 2.0 C
HEWLETT PACKARD CO 165 5.375 88.687.50 05/13/14 67.150.71 4.07 21.536.79
HPQ Jan 17 15 31.0 C
JETBLUE AIRWAYS CORP 162 0.425 6.885.00 07/18/14 9.866.99 0.61 (2.981.99)
JBLU Sep 20 14 11.0 C
JETBLUE AIRWAYS CORP 250 0.1428 3.570.00 07/18/14 6.780.50 0.27 (3.210.50)
JBLU Sep 20 14 12.0 C
MGIC INVT CORP WIS 515 0.7249 37.332.35 05/14/14 77.606.61 1.51 (40.274.26)
MTG Jan 17 15 8.0 C
MICHAEL KORS 30 3.2371 9.711.30 07/25/14 9.923.22 3.31 (211.92)
HOLDINGS
KORS Aug 08 14 81.0 C
NET 1 UEPS 190 3.1123 59.133.70 05/22/14 64,539.06 3.40 (5.405.36)
TECHNOLOGIES INC
UEPS Jan 17 15 8.0 C
NET 1 UEPS 130 2.3634 30.724.20 06/05/14 39,080.62 3.01 (8.356.42)
TECHNOLOGIES INC
UEPS Jan 17 15 9.0 C
NORDIC AMERICAN 705 1.3092 92.298.60 05/15/14 91,772.67 1.30 525.93
TANKERS LTD
NAT Jan 17 15 7.87 C
NORDIC AMERICAN 325 0.2108 6.851.00 06/18/14 12,954.55 0.40 (6.103.55)
TANKERS LTD
NAT Oct 18 14 9.87 C
PACIFIC ETHANOL INC 200 2.1031 42.062.00 07/09/14 29,490.04 1.47 12.571.96
PEIX Aug 16 14 16.0 C
PANERA BREAD CO 85 0.1074 912.90 07/28/14 6.235.79 0.73 (5.322.89)
PNRA Aug 16 14 160.0 C
QUANTUM FUEL 250 1.3788 34.470.00 07/17/14 37,655.50 1.51 (3.185.50)
SYSTEMS TEC
QTWW Oct 18 14 4.0 C
SDNY_GM_00011617
CONFIDENTIAL
page 6 o176
EFTA _00122268
EFTA01267747

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Ouantity Price Value Date Basis Cost Gain(Loss) Income Yield
Options - Margin
RADIOSNACK 500 0.085 4.250.00 07/18/14 9.293.00 0.19 (5.043.00)
CORPORATION
RSH Jan 15 16 1.0 C
RADNET INC. 100 0.4051 4.051.00 07/21/14 10.563.40 1.06 (6.512.40)
RDNT Aug 16 14 5.0 C
RADNET INC. 1.100 0.1465 16.115.00 05/12/14 73.423.14 0.67 (57.308.14)
RDNT Sep 20 14 7.5 C
RADNET INC. 480 1.075 51.600.00 05/12/14 99.022.56 2.06 (47.422.56)
RDNT Dec 20 14 5.0 C
RITE AD CORP 200 0.0999 1.998.00 07/28/14 2.126.80 0.11 (128.80)
RAD Aug 08 14 7.0 C
RITE AD CORP 250 0.1202 3.005.00 07/10/14 12.655.50 0.51 (9.650.50)
RAD Aug 16 14 7.0 C
SONY CORP 585 1.75 102.375.00 05/13/14 64.196.79 1.10 38.178.21
SNE Oct 18 14 17.0 C
TEEKAY TANKERS LTD 205 0.10 2.050.00 06/23/14 7.279.67 0.36 (5.229.67)
TNK Nov 22 14 5.0 C
TESLA MOTORS INC 100 0.7858 7.858.00 07/28/14 5.963.40 0.60 1.894.60
TSLA Aug 16 14 180.0 P
TWITTER INC 35 9.05 31.675.00 07/18/14 8.634.76 2.47 23.040.24
TWTR Aug 01 14 36.0 C
TWITTER INC 60 0.19 1.140.00 07/30/14 8.881.44 1.48 (7.741.44)
TWTR Aug 01 14 46.0 C
TWITTER INC 35 0.0343 120.05 07/29/14 3.491.09 1.00 (3.371.04)
TWTR Aug 16 14 34.5 P
UNILIFE CORP 375 0.3192 11.970.00 06/20/14 33.108.25 0.88 (21.138.25)
UNIS Sep 20 14 2.5 C
UNISYS CORP 250 0.4134 10.335.00 07/14/14 35.629.50 1.43 (25,294.50)
UIS Oct 18 14 24.0 C
WHOLE FOODS MKT INC 70 0.2225 1.557.50 07/30/14 11.666.18 1.67 (10.108.68)
WFM Aug 08 14 39.5 C
WHOLE FOODS MKT INC 70 0.8148 5.703.60 07/30/14 11.946.18 1.71 (6.242.58)
WFM Aug 08 14 38.5 P
SDNY_GM_00011618
CONFIDENTIAL
page 7 o176
EFTA_00112 2269
EFTA01267748

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Positions
SymboU Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) income Yield
Options - Margin
YAHOO! INC 110 2.964 32.604.00 07/18/14 15.875.14 1.44 16.728.86
YHOO Aug 16 14 33.0 C
YRC WORLDWIDE INC 216 0.5635 12.171.60 06/30/14 23.127.99 1.07 (10.956.39)
YRCW Aug 16 14 30.0 C
YRC WORLDWIDE INC 400 0.1552 6.208.00 07/02/14 22.198.61 0.56 (15.990.61)
YRCW Aug 16 14 32.5 C
YRC WORLDWIDE INC 17 4.4672 7.594.24 06/05/14 4.531.76 2.67 3.062.48
YRCW Oct 18 14 22.5 C
YRC WORLDWIDE INC 130 0.50 6.500.00 06/27/14 18.443.63 1.42 (11.943.63)
YRCW Oct 18 14 32.5 C
ZIOPHARM ONCOLOGY 185 0.6877 12.722.45 07/01/14 24.150.20 1.31 (11.427.75)
INC
ZIOP Oct 18 14 3.0 C
Total Options $1,255,868.18 $1,890,715.79 $(634,847.61) $0.00 0.0%
Short Options - Margin
AMERICAN AIRLINES 60- $ 1.2847 $(7.708.20) 07/30/14 $ (5.779.43) $ 0.96 $ (1.928.77) $ -
GROUP INC
AAL Aug 08 14 39.5 P
UNITED CONTINENTAL 200- 0.6395 (12.790.00) 07/24/14 (21.439.69) 1.07 8.649.69
HLDGS
UAL Aug 08 14 45.0 P
YAHOO! INC 120- 0.0772 (926.40) 07/24/14 (5.438.99) 0.45 4.512.59
YHOO Aug 01 14 35.5 P
YAHOO! INC 100- 0.8086 (8,086.00) 07/30/14 (4,536.49) 0.45 (3,549.51)
YHOO Aug 08 14 36.0 P
Total Short Options $(29,510.60) $(37,194.60) $7,684.00 $0.00 0.0%
SDNY_GM_00011619
CONFIDENTIAL
page 8 of 78
EFTA_00122270
EFTA01267749

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) income Yield
Other - Margin
RICEBRAN RIBTW 87,000 $ 1.5715 $ 136,720.50 05/12/14 $ 118.618.67 $ 1.36 $ 18.101.83 $
TECHNOLOGIES
WARRANT EXP 11/18/2018
Total Other $136,720.50 $118,618.67 $18,101.83 $0.00 0.0%
Total Margin Account $3,923,290.50 $4,523,121.66 $(599,831.16) $0.00 0.0%
Account Activit
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance ($190.07)
06/26/14 07/01/14 Margin Buy - Securities Purchased ZIOPI-IARM ONCOLOGY INC ZIOP 2.200 $ 4.1599 $ (9.157.78) (9.347.85)
COM
Commission 6.00
06/26/14 07/01/14 Margin Buy - Securities Purchased ZIOPI-IARM ONCOLOGY INC ZIOP 300 4.15 (1.245.00) (10,592.85)
COM
06/26/14 07/01/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.23 (529.00) (11,121.85)
COM
Commission 6.00
06/26/14 07/01/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.25 (531.00) (11,652.85)
COM
Commission 6.00
06/26/14 07/01/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 22.000 0.15 (3.306.00) (14.958.85)
COM
Commission 6.00
06/26/14 07/01/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.23 (529.00) (15.487.85)
COM
Commission 6.00
SDNY_GM_00011620
CONFIDENTIAL
page 9 o176
EFTA_00 I 2227 I
EFTA01267750

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/26/14 07/01/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 24.500 0.023 (569.50) (16,057.35)
COM
Commission 6.00
06/26/14 07/01/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 300 1.92 (582.00) (16,639.35)
COM
Commission 6.00
06/26/14 07/01/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 200- 3.9501 784.00 (15,855.35)
COM
Commission 6.00
Regulatory Fee 0.02
06/26/14 07/01/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 300- 3.95 1.184.97 (14,670.38)
COM
Regulatory Fee 0.03
06/26/14 07/01/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 3.000- 0.8251 2.469.24 (12.201.14)
COM
Commission 6.00
Regulatory Fee 0.06
06/30/14 07/01/14 Margin Buy - Securities Purchased AEROPOSTALE INC 50 0.55 (2.784.70) (14,985.84)
ARO Jul 19 14 3.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
06/30/14 07/01/14 Margin Buy - Securities Purchased APOLLO EDUCATION GROUP INC 10 5.10 (5.111.74) (20,097.58)
APOL Jul 19 14 26.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
06/30/14 07/01/14 Margin Sell - Securities Sold JETBLUE AIRWAYS CORP 25- 4.10 10.229.42 (9,868.16)
JBLU Jan 17 15 7.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.83
06/30/14 07/01/14 Margin Buy - Securities Purchased COWEN GROUP INC 50 0.25 (1.284.70) (11,152.86)
GOWN Jan 17 15 5.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
06/30/14 07/01/14 Margin Buy - Securities Purchased BLACKBERRY LIMITED 100 1.01 (10.163.40) (21,316.26)
BBRY Sep 20 14 10.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
SDNY_GM_00011621
CONFIDENTIAL
page 10 of 76
EFTA (()122272
EFTA01267751

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/30/14 07/01/14 Margin Sell - Securities Sold GREEN PLAINS INC 15- 7.90 11.835.12 (9.481.14)
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 14.25
Regulatory Fee 0.63
06/30/14 07/01/14 Margin Buy - Securities Purchased AEROPOSTALE INC 26 0.55 (1.450.93) (10.932.07)
ARO Jul 19 14 3.0 C TO OPEN
Commission 20.30
Regulatory Fee 0.63
06/30/14 07/01/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 100 1.30 (13.063.40) (23,995.47)
YRCW Aug 16 14 30.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
06/30/14 07/01/14 Margin Sell - Securities Sold GREEN PLAINS INC 20- 8.00 15.982.16 (8,013.31)
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.84
06/30/14 07/01/14 Margin Sell - Securities Sold APOLLO EDUCATION GROUP INC 15- 5.28 7.905.21 (108.10)
APOL Jul 19 14 26.0 C TO CLOSE
Commission 14.25
Regulatory Fee 0.54
07/01/14 07/01/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 108.10 0.00
DEPOSIT ACCOUNT
06/27/14 07/02/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.2499 (530.99) (530.99)
COM
Commission 6.00
06/27/14 07/02/14 Margin Sell - Securities Sold OCLARO INC OCLR 400- 2.315 919.97 388.98
COM
Commission 6.00
Regulatory Fee 0.03
06/27/14 07/02/14 Margin Sell - Securities Sold OCLARO INC OCLR 4.100- 2.311 9.474.89 9.863.87
COM
Regulatory Fee 0.21
06/27/14 07/02/14 Margin Buy - Securities Purchased ACCESS PI-IARMA INC ACCP 3.000 0.295 (891.00) 8.972.87
COM
Commission 6.00
06/27/14 07/02/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.259 (531.90) 8.440.97
COM
Commission 6.00
SDNY_GM_00011622
CONFIDENTIAL
page 11 o176
EFTA_00 122273
EFTA01267752

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/27/14 07102/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 100 1.559 (161.90) 8,279.07
WARRANT EXP 11/18:2018
Commission 6.00
06/27/14 07/02/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 500- 0.8676 427.79 8.706.86
COM
Commission 6.00
Regulatory Fee 0.01
06/27/14 07/02/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 7.408- 0.8675 6.426.29 15,133.15
COM
Regulatory Fee 0.15
06/27/14 07/02/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 500 2.02 (1.016.00) 14.117.15
COM
Commission 6.00
06/27/14 07/02/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 200 0.15 (36.00) 14.081.15
COM
Commission 6.00
06/27/14 07/02/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 600 1.93 (1.164.00) 12.917.15
COM
Commission 6.00
06/27/14 07/02/14 Margin Buy - Securities Purchased ACCESS PHARMA INC ACCP 14.950 0.286 (4.281.70) 8.635.45
COM
Commission 6.00
06/27/14 07/02/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 5.000 0.1744 (878.00) 7.757.45
COM
Commission 6.00
06/27/14 07/02/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 100- 0.90 83.99 7.841.44
COM
Commission 6.00
Regulatory Fee 0.01
06/27/14 07/02/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 1.385- 0.90 1.246.47 9.087.91
COM
Regulatory Fee 0.03
07/01/14 07/02/14 Margin Sell - Securities Sold YRC WORLDWIDE INC 20- 6.20 12.382.24 21.470.15
YRCW Jul 19 1422.5 C TO CLOSE
Commission 17.00
Regulatory Fee 0.76
SDNY_GM_00011623
CONFIDENTIAL
page 12 o176
EFTA (H)1 22274
EFTA01267753

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade Settle Acct Transaction! Symbol,
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
07/01/14 07/02/14 Margin Sell - Securities Sold APOLLO EDUCATION GROUP INC - 25- 5.56 13,879.34 35,349.49
APOL Jul 19 14 26.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.91
07/01/14 07/02/14 Margin Buy - Securities Purchased APOLLO EDUCATION GROUP INC 64 1.80 (11.582.54) 23,766.95
APOL Aug 16 14 31.0 C TO OPEN
Commission 61.00
Regulatory Fee 1.54
07/01/14 07/02/14 Margin Buy - Securities Purchased APOLLO EDUCATION GROUP INC 20 1.79 (3,580.48) 20,186.47
APOL Aug 16 14 31.0 C TO OPEN
Regulatory Fee 0.48
07/01/14 07/02/14 Margin Buy - Securities Purchased APOLLO EDUCATION GROUP INC 16 1.78 (2,848.39) 17,338.08
APOL Aug 16 14 31.0 C TO OPEN
Regulatory Fee 0.39
07/01/14 07/02/14 Margin Sell - Securities Sold APOLLO EDUCATION GROUP INC 20- 5.90 11.782.25 29,120.33
APOL Jul 19 14 26.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.75
07/01/14 07/02/14 Margin Buy - Securities Purchased YAHOO! INC 50 2.13 (10.684.70) 18,435.63
YHOO Jul 19 14 34.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/01/14 07/02/14 Margin Buy - Securities Purchased AEROPOSTALE INC 24 0.60 (1.459.78) 16.975.85
ARO Jul 19 14 3.0 C TO OPEN
Commission 19.20
Regulatory Fee 0.58
07/01/14 07/02/14 Margin Buy - Secunties Purchased CENTFtAIS ELEC BRAS 30 0.54 (1,643.22) 15,332.63
EBR Sep 20 14 2.5 C TO OPEN
Commission 22.50
Regulatory Fee 0.72
07/01/14 07/02/14 Margin Buy - Securities Purchased APOLLO EDUCATION GROUP INC 25 1.83 (4,595.35) 10,737.28
APOL Aug 16 14 31.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/01/14 07/02/14 Margin Sell - Securities Sold GREEN PLAINS INC 15- 8.00 11,985.12 22,722.40
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 14.25
Regulatory Fee 0.63
SDNY_GM_00011624
CONFIDENTIAL
page 13 of 76
EFTA 00122275
EFTA01267754

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/01/14 07102/14 Margin Buy - Securities Purchased GREEN PLAINS INC 25 2.15 (5.395.35) 17.327.05
GPRE Sep 20 14 35.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/01/14 07/02/14 Margin Sell - Securities Sold GREEN PLAINS INC 15- 8.30 12.435.11 29.762.16
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 14.25
Regulatory Fee 0.64
07/01/14 07/02/14 Margin Buy - Securities Purchased SEARS HOLDING CORP 10 2.55 (2.561.74) 27200.42
SHLD Jul 19 14 39.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/01/14 07/02/14 Margin Buy - Securities Purchased GREEN PLAINS INC 30 2.39 (7.193.22) 20.007.20
GPRE Sep 20 14 35.0 C TO OPEN
Commission 22.50
Regulatory Fee 0.72
07/01/14 07/02/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 5 5.60 (2.808.87) 17,198.33
YRCW Jul 19 14 22.5 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
07/01/14 07/02/14 Margin Sell - Securities Sold AOL INC 25- 4.77 11.904.38 29.102/1
AOL Jul 19 14 36.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.87
07/01/14 07/02/14 Margin Buy - Securities Purchased KATE SPADE & COMPANY 33 0.10 (360.45) 28.742.26
KATE Jul 19 14 34.0 P TO OPEN
Commission 29.65
Regulatory Fee 0.80
07/01/14 07/02/14 Margin Buy - Securities Purchased KATE SPADE & COMPANY 3 0.09 (27.08) 28.715.18
KATE Jul 19 14 34.0 P TO OPEN
Regulatory Fee 0.08
07/01/14 07/02/14 Margin Buy - Securities Purchased KATE SPADE & COMPANY 7 0.07 (49.17) 28.666.01
KATE Jul 19 14 34.0 P TO OPEN
Regulatory Fee 0.17
07/01/14 07/02/14 Margin Buy - Securities Purchased BLACKBERRY LIMITED 50 1.22 (6.134.70) 22.53131
BBRY Sep 20 14 10.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
SDNY_GM_00011625
CONFIDENTIAL
page 14 of 76
EFTA_00122276
EFTA01267755

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/01/14 07102/14 Margin Buy - Securities Purchased UNITED STATES NAT GAS FUND - 29 0.39 (1.153.65) 21,377.66
UNG Jul 19 14 25.0 C TO OPEN
Commission 21.95
Regulatory Fee 0.70
07/01/14 07/02/14 Margin Buy - Securities Purchased APOLLO EDUCATION GROUP INC 100 0.22 (2.263.40) 19.114.26
APOL Aug 16 14 36.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/01/14 07/02/14 Margin Buy - Securities Purchased FUELCELL ENERGY INC 125 0.10 (1.327.75) 17.786.51
FCEL Jul 19 14 2.5 C TO OPEN
Commission 74.75
Regulatory Fee 3.00
07/01/14 07/02/14 Margin Buy - Securities Purchased AEROPOSTALE INC 25 0.55 (1.395.35) 16.391.16
ARO Jul 19 14 3.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/01/14 07/02/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC 150 1.40 (21.092.10) (4,700.94)
ZIOP Oct 18 14 3.0 C TO OPEN
Commission 88.50
Regulatory Fee 3.60
07/01/14 07/02/14 Margin Buy - Securities Purchased APOLLO EDUCATION GROUP INC 150 0.49 (7.442.10) (12.143.04)
APOL Aug 16 14 34.0 C TO OPEN
Commission 88.50
Regulatory Fee 3.60
07/02/14 07/02/14 Margin Joumal - Other REDEMPTION FDIC INSURED 0.00 4.950.93 (7,192.11)
DEPOSIT ACCOUNT
06/30/14 07/03/14 Margin Buy - Securities Purchased OCLARO INC OCLR 7.500 2.1599 (16.205.25) (23.397.36)
COM
Commission 6.00
06/30/14 07/03/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 100 3.889 (394.90) (23.792.26)
COM
Commission 6.00
06/30/14 07/03/14 Margin Buy - Securities Purchased LIHUA INTERNATIONAL INC LIWA 19.900 0.325 (6.473.50) (30.265.76)
COM
Commission 6.00
06/30/14 07/03/14 Margin Buy - Securities Purchased LIHUA INTERNATIONAL INC LIWA 25.000 0.30 (7.506.00) (37,771.76)
COM
Commission 6.00
SDNY_GM_00011626
CONFIDENTIAL
page 15 6176
EFTA_00 122277
EFTA01267756

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade Settle Acct Transaction Symbol!
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
06/30/14 07/03/14 Margin Sell - Secunties Sold ZIOPHARM ONCOLOGY INC 21O1, 2,800- 4.1101 11,502.02 (26,269.74)
COM
Commission 6.00
Regulatory Fee 0.26
06/30/14 07/03/14 Margin Sell - Securities Sold OCLARO INC OMR 1,500- 2.1901 3,279.07 (22,990.67)
COM
Commission 6.00
Regulatory Fee 0.08
06/30/14 07/03/14 Margin Buy - Securities Purchased LIHUA INTERNATIONAL INC LIWA 5,100 0.295 (1,510.50) (24,501.17)
COM
Commission 6.00
06/30/14 07/03/14 Margin Sell - Securities Sold ZAZA ENERGY CORPORATION ZAZA 1,652- 0.876 1,441.11 (23,060.06)
COM
Commission 6.00
Regulatory Fee 0.04
06/30/14 07/03/14 Margin Sell - Securities Sold ZAZA ENERGY CORPORATION ZAZA 2,800- 0.873 2,438.34 (20,621.72)
COM
Commission 6.00
Regulatory Fee 0.06
07/02/14 07/03/14 Margin Buy - Securities Purchased ALCATEL LUCENT 150 0.45 (6,842.10) (27,463.82)
ALU Sep 20 14 3.5 C TO OPEN
Commission 88.50
Regulatory Fee 3.60
07/02/14 07/03/14 Margin Buy - Securities Purchased UNILIFE CORP 25 0.85 (2,145.35) (29,609.17)
UNIS Sep 20 14 25 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/02/14 07/03/14 Margin Buy - Securities Purchased ALCATEL LUCENT 150 0.40 (6,092.10) (35,701.27)
ALU Sep 20 14 3.5 C TO OPEN
Commission 88.50
Regulatory Fee 3.60
07/02/14 07/03/14 Margin Buy - Securities Purchased UNITED CONTINENTAL HLDGS 100 1.01 (10,163.40) (45,864.67)
UAL Jul 19 14 41.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/02/14 07/03/14 Margin Sell - Securities Sold YRC WORLDWIDE INC 25- 6.40 15,979.29 (29,885.38)
YRCW Jul 19 14 225 C TO CLOSE
Commission 19.75
Regulatory Fee 0.96
SDNY_GM_00011627
CONFIDENTIAL
page 16 of 76
EFTA_00122278
EFTA01267757

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade Settle Acct Transaction! Symbol,
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
07/02/14 07/03/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 100 0.88 (8,863.40) (38,748.78)
YRCW Aug 16 14 32.5 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/02/14 07/03/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 50 1.53 (7,684.70) (46,433.48)
YRCW Oct 18 14 32.5 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/02/14 07/03/14 Margin Sell - Securities Sold AOL INC 20- 5.10 10,182.29 (36,251.19)
AOL Jul 19 14 36.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.71
07/02/14 07/03/14 Margin Buy - Securities Purchased GREEN PLAINS INC 20 2.45 (4,917.48) (41.168.67)
GPRE Sep 20 1435.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
07/02714 07/03/14 Margin Sell - Securities Sold YRC WORLDWIDE INC 20- 6.50 12,982.23 (28.186.44)
YRCW Jul 19 14 22.5 C TO CLOSE
Commission 17.00
Regulatory Fee 0.77
07702/14 07/03/14 Margin Buy - Securities Purchased UNITED CONTINENTAL HLDGS 50 0.90 (4,534.70) (32.721.14)
UAL Jul 19 14 41.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/02/14 07/03/14 Margin Sell - Securities Sold YAHOO! INC 150- 0.72 10,707.66 (22,013.48)
YHOO Jul 19 14 37.0 C TO OPEN
Commission 88.50
Regulatory Fee 3.84
07/02/14 07/03/14 Margin Buy - Securities Purchased BLACKBERRY LIMITED 50 1.34 (6,734.70) (28,748.18)
BBRY Sep 20 14 10.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/02/14 07/03/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 50 0.80 (4,034.70) (32,782.88)
YRCW Aug 16 14 325 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
SDNY_GM_00011628
CONFIDENTIAL
page 17 of 76
EFTA 00)22279
EFTA01267758

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07102/14 07/03/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 30 1.47 (4.433.22) (37216.10)
YRCW Oct 18 14 32.5 C TO OPEN
Commission 22.50
Regulatory Fee 0.72
07/02/14 07/03/14 Margin Sell - Securities Sold APOLLO EDUCATION GROUP INC 12- 4.86 5.811.83 (31,404.27)
APOL Jul 19 14 26.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.42
07/02/14 07/03/14 Margin Sell - Securities Sold APOLLO EDUCATION GROUP INC 13- 4.85 6204.54 (25.099.73)
APOL Jul 19 14 26.0 C TO CLOSE
Regulatory Fee 0.46
07/02/14 07/03/14 Margin Sell - Securities Sold GREEN PLAINS INC 4- 9.40 3.751.61 (21,348.12)
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 8.20
Regulatory Fee 0.19
07/01/14 07/07/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 900 1.97 (1,779.00) (23.127.12)
COM
Commission 6.00
07/01/14 07/07/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 721 1.40 (1,015.40) (24.142.52)
WARRANT EXP 11/18.2018
Commission 6.00
07/01/14 07/07/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 79 1.3999 (110.59) (24.253.11)
WARRANT EXP 11/18:2018
07/01/14 07/07/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 100 1.39 (139.00) (24.392.11)
WARRANT EXP 11/18:2018
07/01/14 07/07/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.289 (534.90) (24.927.01)
COM
Commission 6.00
07/01/14 07/07/14 Margin Sell - Securities Sold ZIOPHARM ONCOLOGY INC ZIOP 1.817- 3.991 7.245.48 (17.681.53)
COM
Commission 6.00
Regulatory Fee 0.17
07/01/14 07/07/14 Margin Sell - Securities Sold ZIOPHARM ONCOLOGY INC ZIOP 5.683- 3.99 22,674.66 4.993.13
COM
Regulatory Fee 0.51
07/01/14 07/07/14 Margin Buy - Securities Purchased LIHUA INTERNATIONAL INC LIWA 15,000 0.305 (4,581.00) 412.13
COM
Commission 6.00
SDNY_GM_00011629
CONFIDENTIAL
page 18 of 76
EFTA 00122280
EFTA01267759

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/01/14 07107/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 3.800 0.16 (614.00) (201.87)
COM
Commission 6.00
07/01/14 07/07/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 600- 0.9255 549.28 347.41
COM
Commission 6.00
Regulatory Fee 0.02
07/03/4 07/07/14 Margin Sell - Securities Sold APOLLO EDUCATION GROUP INC 25- 5.40 13.479.35 13,826.76
APOL Jul 19 14 26.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.90
07/03/14 07/07/14 Margin Buy - Securities Purchased APOLLO EDUCATION GROUP INC 25 1.79 (4.495.35) 9.331.41
APOL Aug 16 14 31.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/03/14 07/07/14 Margin Buy - Securities Purchased SEARS HOLDING CORP 15 2.47 (3.719.61) 5,611.80
SHLD Jul 19 14 39.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/03/14 07/07/14 Margin Buy - Securities Purchased APOLLO EDUCATION GROUP INC 45 0.63 (2.866.83) 2,744.97
APOL Aug 16 14 34.0 C TO OPEN
Commission 30.75
Regulatory Fee 1.08
07/03/14 07/07/14 Margin Sell - Securities Sold AOL INC 100- 0.60 5.936.46 8.681.43
AOL Jul 19 14 42.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.54
07/07/14 07/07/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (8.681.43) 0.00
DEPOSIT ACCOUNT
07/02/14 07/08/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 300 3.83 (1.155.00) (1.155.00)
COM
Commission 6.00
07/02/14 07/08/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 600 3.95 (2.376.00) (3,531.00)
RESOURCES
COM
Commission 6.00
SDNY_GM_00011630
CONFIDENTIAL
page 19 of 76
EFTA_00122281
EFTA01267760

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/02/14 07/08/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 200 4.02 (810.00) (4,341.00)
RESOURCES
COM
Commission 6.00
07/02/14 07/08/14 Margin Buy - Securities Purchased JBI INC NEW JBII 1.500 0.091 (142.50) (4.483.50)
COM
Commission 6.00
07/02/14 07/08/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 200 3.87 (780.00) (5.263.50)
COM
Commission 6.00
07/02/14 07/08/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.33 (539.00) (5,802.50)
COM
Commission 6.00
07/02/14 07/08/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 600 1.25 (756.00) (6.558.50)
WARRANT EXP 11/18.2018
Commission 6.00
07/02/14 07/08/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 100- 0.9016 84.15 (6.474.35)
COM
Commission 6.00
Regulatory Fee 0.01
07/02/14 07/08/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 2.991- 0.9001 2.692.14 (3.782.21)
COM
Regulatory Fee 0.06
07/02/14 07/08/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 400- 0.90 359.99 (3.422.22)
COM
Regulatory Fee 0.01
07/02/14 07/08/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 600 1.32 (798.00) (4.220.22)
WARRANT EXP 11/182018
Commission 6.00
07/07/14 07/08/14 Margin Sell - Securities Sold BLACKBERRY LIMITED 100- 1.65 16.436.23 12.216.01
BBRY Sep 20 14 10.0 C TO CLOSE
Commission 61.00
Regulatory Fee 2.77
07/07/14 07/08/14 Margin Buy - Securities Purchased COWEN GROUP INC 100 0.25 (2.563.40) 9.652.61
GOWN Jan 17 15 5.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
SDNY_GM_00011631
CONFIDENTIAL
page 20 o176
EFTA (H) 122282
EFTA01267761

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade Settle Acct Transaction! Symbol,
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
07/07/14 07/08/14 Margin Buy - Securities Purchased CITIGROUP INC 459 0.31 (14,498.47) (4,845.86)
C Jul 19 1449.0 C TO OPEN
Commission 258.45
Regulatory Fee 11.02
07/07/14 07/08/14 Margin Buy - Securities Purchased FLAMEL TECH 15 5.50 (8,264.61) (13,110.47)
FLML Dec 20 14 10.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/07/14 07/08/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 100- 0.66 6,536.45 (6,574.02)
UAL Jul 19 14 37.0 P TO OPEN
Commission 61.00
Regulatory Fee 2.55
07/07/14 07/08/14 Margin Buy - Securities Purchased RADNET INC. 100 0.40 (4.063.40) (10.637.42)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/07/14 07/08/14 Margin Sell - Securities Sold BLACKBERRY LIMITED 100- 1.75 17.436.21 6.798.79
BBRY Sep 20 14 10.0 C TO CLOSE
Commission 61.00
Regulatory Fee 2.79
07/07/14 07/08/14 Margin Buy - Securities Purchased UNITED CONTINENTAL HLDGS 60 2.58 (15.520.44) (8.721.65)
UAL Sep 20 14 40.0 C TO OPEN
Commission 39.00
Regulatory Fee 1.44
07/07/14 07/08/14 Margin Buy - Securities Purchased APOLLO EDUCATION GROUP INC 50 0.35 (1.784.70) (10,506.35)
APOL Aug 16 14 34.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/07/14 07/08/14 Margin Buy - Securities Purchased HANWHA SOLARONE CO LTD 40 0.65 (2,628.96) (13,135.31)
HSOL Sep 20 14 2.0 C TO OPEN
Commission 28.00
Regulatory Fee 0.96
07/07/14 07/08/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 18- 0.73 1,297.63 (11,837.68)
UAL Jul 19 14 37.0 P TO OPEN
Commission 15.90
Regulatory Fee 0.47
07/08/14 07/08/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 8,681.43 (3,156.25)
DEPOSIT ACCOUNT
SDNY_GM_00011632
CONFIDENTIAL
page 21 of 76
EFTA_00122283
EFTA01267762

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/03/14 07109/14 Margin Sell - Securities Sold ELEPHANT TALK ETAK 56- 0.9162 45.30 (3,110.95)
COMMUNICATIONS
COM
Commission 6.00
Regulatory Fee 0.01
07/03/14 07/09/14 Margin Sell - Securities Sold ELEPHANT TALK ETAK 3.444- 0.91 3.133.97 23.02
COMMUNICATIONS
COM
Regulatory Fee 0.07
07/03/14 07/09/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 200 5.56 (1.118.00) (1,094.98)
COM
Commission 6.00
07/03/14 07/09/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 500 1.55 (781.00) (1.875.98)
WARRANT EXP 11/18:2018
Commission 6.00
07/03/14 07/09/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.4299 (548.99) (2.424.97)
COM
Commission 6.00
07/03/14 07/09/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 100 3.867 (392.70) (2.817.67)
COM
Commission 6.00
07/03/14 07/09/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 300 1.38 (420.00) (3.237.67)
WARRANT EXP 11/182018
Commission 6.00
07/03/14 07/09/14 Margin Buy - Securities Purchased ATHERONOVA INC AHRO 850 1.90 (1.621.00) (4.858.67)
COM
Commission 6.00
07/08/14 07/09/14 Margin Sell - Securities Sold GREEN PLAINS INC 26- 8.60 22238.57 17.479.90
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 20.30
Regulatory Fee 1.13
07/08/14 07/09/14 Margin Sell - Securities Sold GREEN PLAINS INC 100- 2.20 21.936.11 39.416.01
GPRE Sep 20 14 35.0 C TO CLOSE
Commission 61.00
Regulatory Fee 2.89
07/08/14 07/09/14 Margin Buy - Securities Purchased COWEN GROUP INC 100 0.20 (2.063.40) 37.352.61
GOWN Jan 17 15 5.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
SDNY_GM_00011633
CONFIDENTIAL
page 22 o176
EFTA (()122284
EFTA01267763

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/08/14 07109/14 Margin Buy - Securities Purchased UNITED CONTINENTAL HLDGS 40 2.68 (10.748.96) 26.603.65
UAL Sep 20 14 40.0 C TO OPEN
Commission 28.00
Regulatory Fee 0.96
07/08/14 07/09/14 Margin Buy - Securities Purchased TWITTER INC 78 0.90 (7.082.88) 19.520.77
TWTR Jul 19 14 38.0 C TO OPEN
Commission 61.00
Regulatory Fee 1.88
07/08/14 07/09/14 Margin Buy - Securities Purchased TWITTER INC 22 0.89 (1.958.53) 17.562.24
TWTR Jul 19 14 38.0 C TO OPEN
Regulatory Fee 0.53
07/08/14 07/09/14 Margin Buy - Securities Purchased ALCOA INC 40 0.12 (508.96) 17.053.28
AA Jul 19 14 14.0 P TO OPEN
Commission 28.00
Regulatory Fee 0.96
07/08/14 07/09/14 Margin Buy - Securities Purchased ALCOA INC 60 0.12 (760.44) 16.29284
AA Jul 19 14 14.0 P TO OPEN
Commission 39.00
Regulatory Fee 1.44
07/08/14 07/09/14 Margin Buy - Securities Purchased ALCOA INC 200 0.11 (2.320.80) 13.972.04
AA Jul 19 14 14.0 P TO OPEN
Commission 116.00
Regulatory Fee 4.80
07/08/14 07/09/14 Margin Sell - Securities Sold QUANTUM FUEL SYSTEMS TEC 2- 2.90 572.83 14.544.87
QTWW Jul 19 14 3.0 C TO CLOSE
Commission 7.10
Regulatory Fee 0.07
07/08/14 07/09/14 Margin Buy - Securities Purchased APOLLO EDUCATION GROUP INC - 2 0.20 (47.15) 14.497/2
APOL Aug 16 14 34.0 C TO OPEN
Commission 7.10
Regulatory Fee 0.05
07/09/14 07/09/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (14.497.72) 0.00
DEPOSIT ACCOUNT
07/07/14 07/10/14 Margin Sell - Securities Sold TORCHLIGHT ENERGY TRCH 1.900- 4.0001 7394.02 7.594.02
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.17
SDNY_GM_00011634
CONFIDENTIAL
page 23 o176
EFTA (H) 122285
EFTA01267764

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/07/14 07/10/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 1.800 1.96 (3,534.00) 4.060.02
COM
Commission 6.00
07/07/14 07/10/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 5.000 0.185 (931.00) 3.129.02
COM
Commission 6.00
07/07/14 07/10/14 Margin Buy - Securities Purchased COMMAND SEC CORP MOC 1.541 1.77 (2.733.57) 395.45
COM
Commission 6.00
07/07/14 07/10/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 16 0.16 (8.56) 386.89
COM
Commission 6.00
07/07/14 07/10/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 4.320 0.15 (654.00) (267.11)
COM
Commission 6.00
07/09/14 07/10/14 Margin Sell - Securities Sold ALCOA INC 300- 0.01 121.79 (145.32)
AA Jul 19 14 14.0 P TO CLOSE
Commission 171.00
Regulatory Fee 7.21
07/09/14 07/10/14 Margin Buy - Securities Purchased COWEN GROUP INC 25 0.20 (520.35) (665.67)
GOWN Jan 17 15 5.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/09/14 07/10/14 Margin Sell - Securities Sold GREEN PLAINS INC 8- 2.68 2.096.50 1.430.83
GPRE Sep 20 14 35.0 C TO CLOSE
Commission 47.25
Regulatory Fee 0.25
07/09/14 07/10/14 Margin Sell - Securities Sold GREEN PLAINS INC 67- 2.65 17752.99 19.183.82
GPRE Sep 20 14 35.0 C TO CLOSE
Regulatory Fee 2.01
07/09/14 07/10/14 Margin Sell - Securities Sold GREEN PLAINS INC 75- 2.65 19.825.51 39.00933
GPRE Sep 20 14 35.0 C TO CLOSE
Commission 47.25
Regulatory Fee 2.24
07/09/14 07/10/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 32- 0.37 1,159.60 40.168.93
UAL Jul 19 14 37.0 P TO OPEN
Commission 23.60
Regulatory Fee 0.80
SDNY_GM_00011635
CONFIDENTIAL
page 24 o176
EFTA (X1122286
EFTA01267765

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade Settle Acct Transaction! Symbol,
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
07/09/14 07/10/14 Margin Buy - Securities Purchased PACIFIC ETHANOL INC 28 1.30 (3,662.08) 36,506.85
PEIX Aug 16 14 16.0 C TO OPEN
Commission 21.40
Regulatory Fee 0.68
07/09/14 07/10/14 Margin Buy - Securities Purchased PACIFIC ETHANOL INC 93 1.30 (12,149.39) 24,357.46
PEIX Aug 16 14 16.0 C TO OPEN
Commission 57.15
Regulatory Fee 2.24
07/09/14 07/10/14 Margin Buy - Securities Purchased BLACKBERRY LIMITED 75 1.87 (14.074.05) 10.283.41
BBRY Sep 20 14 10.0 C TO OPEN
Commission 47.25
Regulatory Fee 1.80
07/09/14 07/10/14 Margin Buy - Securities Purchased PACIFIC ETHANOL INC 17 1.30 (2,225.76) 8.057.65
PEIX Aug 16 14 16.0 C TO OPEN
Commission 15.35
Regulatory Fee 0.41
07/09/14 07/10/14 Margin Sell - Securities Sold YRC WORLDWIDE INC 15- 6.40 9,585.17 17.642.82
YRCW Jul 19 14 22.5 C TO CLOSE
Commission 14.25
Regulatory Fee 0.58
07/09/14 07/10/14 Margin Buy - Securities Purchased BLACKBERRY LIMITED 25 1.87 (4,695.35) 12.947.47
BBRY Sep 20 14 10.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/09/14 07/10/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 50- 0.31 1,515.26 14,462.73
UAL Jul 19 14 37.0 P TO OPEN
Commission 33.50
Regulatory Fee 1.24
07/09/14 07/10/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 15 3.80 (5,714.61) 8,748.12
JBLU Jan 17 15 7.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/09/14 07/10/14 Margin Buy - Securities Purchased PACIFIC ETHANOL INC 72 1.25 (9,047.33) (299.21)
PEIX Aug 16 14 16.0 C TO OPEN
Commission 45.60
Regulatory Fee 1.73
SDNY_GM_00011636
CONFIDENTIAL
page 25 of 76
EFTA 00122287
EFTA01267766

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/09/14 07/10/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 5 6.20 (3.108.87) (3.408.08)
YRCW Jul 19 14 22.5 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
07/10/14 07/10/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 3.408.08 0.00
DEPOSIT ACCOUNT
07/08/14 07/11/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 500 0.0299 (20.95) (20.95)
COM
Commission 6.00
07/08/14 07/11/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 1.992 0.19 (384.48) (405.43)
COM
Commission 6.00
07/08/14 07/11/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 1.100 1.8991 (2.095.01) (2.500.44)
COM
Commission 6.00
07/08/14 07/11/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 1.200 3.70 (4.446.00) (6.946.44)
COM
Commission 6.00
07/08/14 07/11/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 1.106 0.19 (216.14) (7,162.58)
COM
Commission 6.00
07/08/14 07/11/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 200 5.23 (1.052.00) (8214.58)
COM
Commission 6.00
07/08/14 07/11/14 Margin Buy - Securities Purchased OCLARO INC OCLR 7.750 2.12 (16.436.00) (24,650.58)
COM
Commission 6.00
07/08/14 07/11/14 Margin Buy - Securities Purchased NOTIFY TECHNOLOGY CORP NTFY 500 10.00 (5.006.00) (29,656.58)
COM
Commission 6.00
07/08/14 07/11/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 3.200- 4.1001 13.114.03 (16,542.55)
COM
Commission 6.00
Regulatory Fee 0.29
07/08/14 07/11/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 1.000- 4.1101 4,104.00 (12.438.55)
COM
Commission 6.00
Regulatory Fee 0.10
SDNY_GM_00011637
CONFIDENTIAL
page 26 o176
EFTA_001 22288
EFTA01267767

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/08/14 07/11/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 200 1.8499 (375.98) (12.814.53)
COM
Commission 6.00
07/08/14 07/11/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 84 1.84 (154.56) (12.969.09)
COM
07/10/14 07/11/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 50- 1.97 9.815.08 (3,154.01)
UAL Jul 19 14 41.0 C TO CLOSE
Commission 33.50
Regulatory Fee 1.42
07/10/14 07/11/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 50- 4.45 22.214.80 19.060.79
UAL Sep 20 14 40.0 C TO CLOSE
Commission 33.50
Regulatory Fee 1.70
07/10/14 07/11/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 40- 2.29 9.130.83 28.191.62
UAL Jul 19 14 41.0 C TO CLOSE
Commission 28.00
Regulatory Fee 1.17
07/10/14 07/11/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 30- 2.49 7.446.61 35.638.23
UAL Jul 19 14 41.0 C TO CLOSE
Commission 22.50
Regulatory Fee 0.89
07/10/14 07/11/14 Margin Buy - Securities Purchased QUANTUM FUEL SYSTEMS TEC 22 2.00 (4.418.63) 31,219.60
QTWW Jul 19 14 3.0 C TO OPEN
Commission 18.10
Regulatory Fee 0.53
07/10/14 07/11/14 Margin Buy - Securities Purchased BLACKBERRY LIMITED 40 2.02 (8.141.96) 23,077.64
BBRY Sep 20 14 10.0 C TO OPEN
Commission 61.00
Regulatory Fee 0.96
07/10/14 07/11/14 Margin Buy - Securities Purchased BLACKBERRY LIMITED 60 2.01 (12.061.44) 11,016.20
BBRY Sep 20 14 10.0 C TO OPEN
Regulatory Fee 1.44
07/10/14 07/11/14 Margin Buy - Securities Purchased CITIGROUP INC 141 0.14 (2.060.94) 8.955.26
C Jul 19 14 49.0 C TO OPEN
Commission 83.55
Regulatory Fee 3.39
SDNY_GM_00011638
CONFIDENTIAL
page 27 o176
EFTA 00122289
EFTA01267768

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSH, Quantity Price Amount Balance
07/10/14 07/11/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 50- 5.50 27.464.69 36.419.95
UAL Sep 20 14 40.0 C TO CLOSE
Commission 33.50
Regulatory Fee 1.81
07/10/14 07/11/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC 25 1.03 (2.595.35) 33324.60
AMD Jan 17 15 3.5 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/10/14 07/11/14 Margin Sell - Securities Sold TWITTER INC 100- 0.46 4.536.49 38.361.09
TWTR Jul 19 14 36.0 P TO OPEN
Commission 61.00
Regulatory Fee 2.51
07/10/14 07/11/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 30- 2.99 8.946.58 47307.67
UAL Jul 19 14 41.0 C TO CLOSE
Commission 22.50
Regulatory Fee 0.92
07/10/14 07/11/14 Margin Sell - Securities Sold YAHOO! INC 100- 0.55 5.436.47 52.744.14
YHOO Jul 25 14 33.5 P TO OPEN
Commission 61.00
Regulatory Fee 2.53
07/10/14 07/11/14 Margin Buy - Securities Purchased QUANTUM FUEL SYSTEMS TEC 15 2.00 (3.014.61) 49.72953
QTWW Jul 19 14 3.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/10/14 07/11/14 Margin Buy - Securities Purchased ALCATEL LUCENT 75 0.30 (2.299.05) 47.430.48
ALU Sep 20 14 3.5 C TO OPEN
Commission 47.25
Regulatory Fee 1.80
07/10/14 07/11/14 Margin Buy - Securities Purchased RITE AID CORP 150 0.60 (9.092.10) 38.338.38
RAD Aug 16 14 7.0 C TO OPEN
Commission 88.50
Regulatory Fee 3.60
07/10/14 07/11/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC 50 0.53 (2.684.70) 35.653.68
AMD Jan 17 15 4.5 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
SDNY_GM_00011639
CONFIDENTIAL
page 28 o176
EFTA 00122290
EFTA01267769

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/10/14 07/11/14 Margin Buy - Securities Purchased SEARS HOLDING CORP 15 0.90 (1.364.61) 34,289.07
SHLD Jul 19 14 39.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/10/14 07/11/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 30 0.70 (2.123.22) 32.165.85
JBLU Jul 19 14 10.0 C TO OPEN
Commission 22.50
Regulatory Fee 0.72
07/10/14 07/11/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC 25 1.04 (2.620.35) 29.545.50
AMD Jan 17 15 3.5 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/10/14 07/11/14 Margin Buy - Securities Purchased AMAZON.COM INC 100 0.05 (563.40) 28.982.10
AMZN Jul 19 14 270.0 P TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/11/14 07/11/14 Margin Joumal - Other PURCHASE FDIC INSURED 0.00 (28.982.10) 0.00
DEPOSIT ACCOUNT
07/09/14 07/14/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 300 5.2965 (1.594.95) (1,594.95)
COM
Commission 6.00
07/09/14 07/14/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 300 3.72 (1.122.00) (2.716.95)
COM
Commission 6.00
07/09/14 07/14/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 300 5.25 (1.581.00) (4.297.95)
COM
Commission 6.00
07/09/14 07/14/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.2299 (528.99) (4,826.94)
COM
Commission 6.00
07/09/14 07/14/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 300 5.28 (1.590.00) (6,416.94)
COM
Commission 6.00
07/09/14 07/14/14 Margin Buy - Securities Purchased ACCESS PI-IARMA INC ACCP 5,500 0.275 (1.518.50) (7.935.44)
COM
Commission 6.00
07/09/14 07/14/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 200 5.32 (1,070.00) (9,005.44)
COM
Commission 6.00
SDNY_GM_00011640
CONFIDENTIAL
page 29 017 6
EFTA_00I 22291
EFTA01267770

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade Settle Acct Transaction,' Symbol,
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
07/09/14 07/14/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIB I 390 5.31 (2,076.90) (11,082.34)
COM
Commission 6.00
07/09/14 07/14/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC 590419107 2 0.091 (6.18) (11,088.52)
1:30 R/S 7/14/14 590419206
Commission 6.00
07/09/14 07/14/14 Margin Buy - Securities Purchased EMRISE CORP EMRI 16 0.81 (18.96) (11,107.48)
COM
Commission 6.00
07/09/14 07/14/14 Margin Sell - Securities Sold ZAZA ENERGY CORPORATION ZAZA 400- 0.8121 318.84 (10,788.64)
COM
Commission 6.00
Regulatory Fee 0.01
07/09/14 07/14/14 Margin Sell - Securities Sold ZAZA ENERGY CORPORATION ZAZA 3,600- 0.8121 2,923.49 (7,865.15)
COM
Regulatory Fee 0.07
07/11/14 07/14/14 Margin Sell - Securities Sold TWITTER INC 100- 0.47 4,636.49 (3,228.66)
TWTR Jul 19 1440.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.51
07/11/14 07/14/14 Margin Buy - Securities Purchased APOLLO EDUCATION GROUP INC 53 0.15 (831.43) (4,060.09)
APOL Aug 16 14 34.0 C TO OPEN
Commission 35.15
Regulatory Fee 1.28
07/11/14 07/14/14 Margin Buy - Securities Purchased AOL INC 5 4.20 (2,108.87) (6,168.96)
AOL Jul 19 14 36.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
07/11/14 07/14/14 Margin Sell - Securities Sold AOL INC 10- 0.25 238.25 (5,930.71)
AOL Jul 19 14 42.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.25
07/11/14 07/14/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 50 0.61 (3,084.70) (9,015.41)
YRCW Aug 16 14 32.5 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
SDNY_GM_00011641
CONFIDENTIAL
page 30 of 76
EFTA_00122292
EFTA01267771

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/11/14 07/14/14 Margin Buy - Securities Purchased ALCATEL LUCENT 50 0.25 (1.284.70) (10,300.11)
ALU Sep 20 14 3.5 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/11/14 07/14/14 Margin Buy - Securities Purchased NORDIC AMERICAN TANKERS LTD 10 1.15 (1.161.74) (11,461.85)
NAT Jan 17 15 8.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/11/14 07/14/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 5 3.90 (1.958.87) (13,420.72)
JBLU Jan 17 15 7.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
07/11/14 07/14/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 15 3.80 (5.714.61) (19,135.33)
JBLU Jan 17 15 7.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/11/14 07/14/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 50 1.17 (5.884.70) (25,020.03)
YRCW Aug 16 14 30.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/11/14 07/14/14 Margin Buy - Securities Purchased KATE SPADE & COMPANY 8 0.05 (50.60) (25,070.63)
KATE Jul 19 14 34.0 P TO OPEN
Commission 10.40
Regulatory Fee 0.20
07/14/14 07/14/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 25.070.63 0.00
DEPOSIT ACCOUNT
07/10/14 07/15/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 210 5.22 (1.102.20) (1,102.20)
COM
Commission 6.00
07/10/14 07/15/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 2.500 0.19 (481.00) (1,583.20)
COM
Commission 6.00
07/10/14 07/15/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 901 2.0079 (1.815.12) (3398.32)
COM
Commission 6.00
07/10/14 07/15/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 18.000 0.17 (3.066.00) (6,464.32)
COM
Commission 6.00
SDNY_GM_00011642
CONFIDENTIAL
page 31 o176
EFTA_001 22293
EFTA01267772

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/10/14 07/15/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 6.000 0.8799 (5.285.11) (11.749.43)
COMMUNICATIONS
COM
Commission 6.00
07/10/14 07/15/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 600 0.8795 (527.70) (12,277.13)
COMMUNICATIONS
COM
07/10/14 07/15/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION ZAZA 6.500 0.8092 (5.265.77) (17,542.90)
COM
Commission 6.00
07/10/14 07/15/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 100 1.98 (204.00) (17.746.90)
COM
Commission 6.00
07/10/14 07/15/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 400 1.979 (791.60) (18,538.50)
COM
07/10/14 07/15/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 500 1.978 (989.00) (19,527.50)
COM
07/10/14 07/15/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 500 3.7499 (1.880.95) (21.408.45)
COM
Commission 6.00
07/10/14 07/15/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 17.000 0.16 (2.726.00) (24.134.45)
COM
Commission 6.00
07/10/14 07/15/14 Margin Buy - Securities Purchased NOTIFY TECHNOLOGY CORP NTFY 200 12.75 (2.556.00) (26,690.45)
COM
Commission 6.00
07/10/14 07/15/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC 590419107 200.024 0.091 (18.208.18) (44,898.63)
1:30 R/S 7/14/14 590419206
Commission 6.00
07/10/14 07/15/14 Margin Buy - Securities Purchased EMRISE CORP EMRI 1.000 0.81 (816.00) (45,714.63)
COM
Commission 6.00
07/10/14 07/15/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 615 1.9399 (1.199.04) (46,913.67)
COM
Commission 6.00
SDNY_GM_00011643
CONFIDENTIAL
page 32 o176
EFTA (H)1 22294
EFTA01267773

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade Settle Acct Transaction,' Symbol
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
07/14/14 07/15/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC 25 0.63 (1,595.35) (48,509.02)
AMD Jan 17 15 4.5 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/14/14 07/15/14 Margin Buy - Securities Purchased ALCATEL LUCENT 50 0.30 (1,534.70) (50,043.72)
ALU Sep 20 14 3.5 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/14/14 07/15/14 Margin Buy - Securities Purchased UNISYS CORP 100 2.20 (22,063.40) (72,107.12)
UIS Oct 18 1424.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/14/14 07/15/14 Margin Buy - Securities Purchased AEROPOSTALE INC 25 0.20 (520.35) (72.627.47)
ARO Jul 19 14 3.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/14/14 07/15/14 Margin Buy - Securities Purchased BEAZER HOMES USA INC - 25 1.80 (4.520.35) (77.147.82)
BZH Jan 17 1520.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/14/14 07/15/14 Margin Buy - Securities Purchased FLAMEL TECH 5 5.60 (2.808.87) (79.956.69)
FLML Dec 20 14 10.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
07/14/14 07/15/14 Margin Sell - Securities Sold YRC WORLDWIDE INC - 20- 5.70 11,382.26 (68,574.43)
YRCW Jul 19 14 22.5 C TO CLOSE
Commission 17.00
Regulatory Fee 0.74
07/15/14 07/15/14 Margin Joumal - Other REDEMPTION FDIC INSURED 0.00 15,001.11 (53,573.32)
DEPOSIT ACCOUNT
07/15/14 07/15/14 Margin Div/Int - Other FDIC INSURED DEPOSIT MMDA11 0.00 0.04 (53,573.28)
ACCOUNT
IDA11 NOT COVERED BY SIPC
Interest: Insured
Deposit Account
Payable: 07/31/2014
Insured Deposit Accoun 0.04
SDNY_GM_00011644
CONFIDENTIAL
page 33 of 76
EFTA 00122295
EFTA01267774

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/11/14 07/16/14 Margin Sell - Securities Sold TORCHLIGHT ENERGY TRCH 4.000- 3.7201 14.874.07 (38.699.21)
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.33
07/11/14 07/16/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 300 5.40 (1.626.00) (40,325.21)
COM
Commission 6.00
07/11/14 07/16/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 1.200- 0.8805 1,050.57 (39,274.64)
COM
Commission 6.00
Regulatory Fee 0.03
07/11/14 07/16/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 7.600- 0.8804 6.690.89 (32.583.75)
COM
Regulatory Fee 0.15
07/11/14 07/16/14 Margin Sell - Securities Sold JBI INC NEW JBII 1.500- 0.09 128.99 (32.454.76)
COM
Commission 6.00
Regulatory Fee 0.01
07/11/14 07/16/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 1.344 1.55 (2,089.20) (34,543.96)
WARRANT EXP 11/18.2018
Commission 6.00
07/11/14 07/16/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 1.380 0.19 (268.20) (34,812.16)
COM
Commission 6.00
07/11/14 07/16/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 1.000 1.50 (1.506.00) (36,318.16)
WARRANT EXP 11/18.2018
Commission 6.00
07/11/14 07/16/14 Margin Sell - Securities Sold TORCHLIGHT ENERGY TRCH 600- 3.69 2.207.95 (34,110.21)
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.05
07/11/14 07/16/14 Margin Sell - Securities Sold TORCHLIGHT ENERGY TRCH 1.800- 3.6801 6.624.03 (27,486.18)
RESOURCES
COM
Regulatory Fee 0.15
SDNY_GM_00011645
CONFIDENTIAL
page 34 of 76
EFTA_00122296
EFTA01267775

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/11/14 07/16/14 Margin Sell - Securities Sold TORCHLIGHT ENERGY TRCH 1.800- 3.6501 6.564.03 (20.922.15)
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.15
07/11/14 07/16/14 Margin Buy - Securities Purchased NOTIFY TECHNOLOGY CORP NTFY 130 15.00 (1.956.00) (22.878.15)
COM
Commission 6.00
07/11/14 07/16/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 120 0.14 (22.80) (22.900.95)
COM
Commission 6.00
07/15/14 07/16/14 Margin Buy - Securities Purchased MICHAEL KORS HOLDINGS 25 2.60 (6.520.35) (29,421.30)
KORS Jul 25 14 80.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/15/14 07/16/14 Margin Buy - Securities Purchased FUELCELL ENERGY INC 100 0.30 (3.063.40) (32.484.70)
FCEL Jul 19 14 2.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/15/14 07/16/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 25 0.74 (1.870.35) (34,355.05)
JBLU Jul 19 14 10.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/15/14 07/16/14 Margin Buy - Securities Purchased FUELCELL ENERGY INC 50 0.25 (1.284.70) (35,639.75)
FCEL Jul 19 14 2.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/15/14 07/16/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC - 400 0.10 (4.235.60) (39,875.35)
AMD Jul 25 14 5.0 C TO OPEN
Commission 226.00
Regulatory Fee 9.60
07/15/14 07/16/14 Margin Buy - Securities Purchased SONY CORP 25 0.65 (1.645.35) (41,520.70)
SNE Oct 18 14 17.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/15/14 07/16/14 Margin Buy - Securities Purchased YAHOO! INC 150 0.31 (4,742.10) (46,262.80)
YHOO Jul 19 14 37.0 C TO CLOSE
Commission 88.50
Regulatory Fee 3.60
SDNY_GM_00011646
CONFIDENTIAL
page 35 o176
EFTA_00 122297
EFTA01267776

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/15/14 07/16/14 Margin Buy - Securities Purchased COWEN GROUP INC 35 0.30 (1.076.09) (47.338.89)
GOWN Jan 17 15 5.0 C TO OPEN
Commission 25.25
Regulatory Fee 0.84
07/15/14 07/16/14 Margin Buy - Securities Purchased COWEN GROUP INC 150 2.05 (30.842.10) (78,180.99)
GOWN Jan 17 15 2.5 C TO OPEN
Commission 88.50
Regulatory Fee 3.60
07/15/14 07/16/14 Margin Buy - Securities Purchased MICHAEL KORS HOLDINGS 15 1.40 (2.114.61) (80295.60)
KORS Jul 25 14 80.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/15/14 07/16/14 Margin Sell - Securities Sold QUANTUM FUEL SYSTEMS TEC 1- 2.30 223.41 (80,072.19)
QTWW Jul 19 14 3.0 C TO CLOSE
Commission 6.55
Regulatory Fee 0.04
07/15/14 07/16/14 Margin Buy - Securities Purchased YAHOO! INC 21 0.29 (627.06) (80,699.25)
YHOO Jul 25 14 33.5 P TO CLOSE
Commission 17.55
Regulatory Fee 0.51
07/14/14 07/17/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 1.200 0.19 (234.00) (80,933.25)
COM
Commission 6.00
07/14/14 07/17/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 500 5.2452 (2.628.60) (83,561.85)
COM
Commission 6.00
07/14/14 07/17/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 600 1.9395 (1.169.70) (84.731.55)
COM
Commission 6.00
07/14/14 07/17/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 200 5.1854 (1.043.08) (85.774.63)
COM
Commission 6.00
07/14/14 07/17/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 1.000 1.51 (1.516.00) (87.290.63)
WARRANT EXP 11/18.2018
Commission 6.00
07/14/14 07/17/14 Margin Buy - Securities Purchased COMMAND SEC CORP MOC 4.500 1.80 (8.106.00) (95.396.63)
COM
Commission 6.00
SDNY_GM_00011647
CONFIDENTIAL
page 36 o176
EFTA_00 122298
EFTA01267777

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/14/14 07/17/14 Margin Sell - Securities Sold COWEN GROUP INC GOWN 4.000- 4.3201 17.274.01 (78,122.62)
COM
Commission 6.00
Regulatory Fee 0.39
07/14/14 07/17/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 200 5.27 (1.060.00) (79,182.62)
COM
Commission 6.00
07/14/14 07/17/14 Margin Sell - Securities Sold OCLARO INC OCLR 1.400- 2.1301 2,976.07 (76,206.55)
COM
Commission 6.00
Regulatory Fee 0.07
07/14/14 07/17/14 Margin Sell - Securities Sold OCLARO INC OCLR 6.100- 2.13 12,992.71 (63.213.84)
COM
Regulatory Fee 0.29
07/14/14 07/17/14 Margin Buy - Securities Purchased I-IAUPPAGE DIGITAL INC HAUP 10.000 0.174 (1,746.00) (64,959.84)
COM
Commission 6.00
07/14/14 07/17/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 100- 0.892 83.19 (64,876.65)
COM
Commission 6.00
Regulatory Fee 0.01
07/14/14 07/17/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 3.700- 0.8911 3.296.99 (61,579.66)
COM
Regulatory Fee 0.08
07/14/14 07/17/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 9.200- 0.89 8.187.81 (53391.85)
COM
Regulatory Fee 0.19
07/14/14 07/17/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 3.800 0.14 (538.00) (53,929.85)
COM
Commission 6.00
07/14/14 07/17/14 Margin Buy - Securities Purchased COMMAND SEC CORP MOC 5.894 1.80 (10.615.20) (64,545.05)
COM
Commission 6.00
07/14/14 07/17/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 4,121 0.17 (706.57) (65,251.62)
COM
Commission 6.00
07/14/14 07/17/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERRD 108 2.50 (276.00) (65,527.62)
COM
Commission 6.00
SDNY_GM_00011648
CONFIDENTIAL
page 37 o176
EFTA_00122299
EFTA01267778

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade Settle Acct Transaction! Symbol,
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
07/16/14 07/17/14 Margin Sell • Securities Sold JETBLUE AIRWAYS CORP 98- 0.92 8.952.44 (56.575.18)
JBLU Jul 19 14 10.0 C TO CLOSE
Commission 61.00
Regulatory Fee 2.56
07/16/14 07/17/14 Margin Sell - Securities Sold JETBLUE AIRWAYS CORP 2- 0.91 181.94 (56.393.24)
JBLU Jul 19 14 10.0 C TO CLOSE
Regulatory Fee 0.06
07/16/14 07/17/14 Margin Sell - Securities Sold YRC WORLDWIDE INC 20- 5.73 11.442.26 (44.950.98)
YRCW Jul 19 14 22.5 C TO CLOSE
Commission 17.00
Regulatory Fee 0.74
07/16/14 07/17/14 Margin Sell - Securities Sold ADVANCED MICRO DEVICES INC - 25- 1.41 3.504.57 (41,446.41)
AMD Jan 17 15 3.5 C TO CLOSE
Commission 19.75
Regulatory Fee 0.68
07/16/14 07/17/14 Margin Sell - Securities Sold CITIGROUP INC 300- 0.56 16,621.42 (24,824.99)
C Jul 19 1449.0 C TO CLOSE
Commission 171.00
Regulatory Fee 7.58
07/16/14 07/17/14 Margin Buy- Securities Purchased UNISYS CORP 50 1.80 (9,034.70) (33,859.69)
UIS Oct 18 1424.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/16/14 07/17/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC - 10 1.30 (1,311.74) (35,171.43)
AMD Jan 17 15 3.5 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/16/14 07/17/14 Margin Sell - Securities Sold CITIGROUP INC 300- 0.73 21.72131 (13.450.12)
C Jul 19 1449.0 C TO CLOSE
Commission 171.00
Regulatory Fee 7.69
07/16/14 07/17/14 Margin Buy - Securities Purchased YAHOO! INC 75 0.32 (2.449.05) (15.899.17)
YHOO Jul 19 14 34.0 C TO OPEN
Commission 47.25
Regulatory Fee 1.80
07/16/14 07/17/14 Margin Buy - Securities Purchased AOL INC 10 3.00 (3.011.74) (18,910.91)
AOL Jul 19 14 36.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
SDNY_GM_00011649
CONFIDENTIAL
page 38 of 76
EFTA 00122300
EFTA01267779

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/16/14 07/17/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC 100 0.15 (1.563.40) (20,474.31)
AMD Jul 25 14 5.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/16/14 07/17/14 Margin Buy - Securities Purchased CITIGROUP INC 53 1.36 (7,270.28) (27,744.59)
C Aug 16 14 49.0 C TO OPEN
Commission 61.00
Regulatory Fee 1.28
07/16/14 07/17/14 Margin Buy - Securities Purchased CITIGROUP INC 47 1.35 (6.346.13) (34,090.72)
C Aug 16 14 49.0 C TO OPEN
Regulatory Fee 1.13
07/16/14 07/17/14 Margin Sell - Securities Sold YAHOO! INC 71- 0.41 2264.17 (31,226.55)
YHOO Jul 25 14 33.5 P TO OPEN
Commission 45.05
Regulatory Fee 1.78
07/16/14 07/17/14 Margin Buy - Securities Purchased CITIGROUP INC 100 1.34 (13.463.40) (44,689.95)
C Aug 16 14 49.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/16/14 07/17/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC 10 3.50 (3.511.74) (48,201.69)
UEPS Jan 17 15 8.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/17/14 07/17/14 Margin Delivered - Other QUANTUM FUEL SYSTEMS TEC 214- 0.00 (48,201.69)
QTWW Jul 19 14 3.0 C
EXERCISED OPTION
07/15/14 07/18/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 13.900 0.027 (381.30) (48,582.99)
COM
Commission 6.00
07/15/14 07/18/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 600- 4.3502 2204.06 (45.978.93)
COM
Commission 6.00
Regulatory Fee 0.06
07/15/14 07/18/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 1,700- 4.3501 7295.00 (38,583.93)
COM
Regulatory Fee 0.17
07/15/14 07/18/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 200- 4.35 869.98 (37,713.95)
COM
Regulatory Fee 0.02
SDNY_GM_00011650
CONFIDENTIAL
page 39 o176
EFTA_00122301
EFTA01267780

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/15/14 07/18/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 1.000 1.99 (1.996.00) (39,709.95)
COM
Commission 6.00
07/15/14 07/18/14 Margin Buy - Securities Purchased NOTIFY TECHNOLOGY CORP NTFY 100 15.00 (1.506.00) (41,215.95)
COM
Commission 6.00
07/15/14 07/18/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 10.000- 4.40 43593.02 2.777.07
COM
Commission 6.00
Regulatory Fee 0.98
07/15/14 07/18/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 3.500- 4.3901 15259.01 18.136.08
COM
Commission 6.00
Regulatory Fee 0.34
07/15/14 07/18/14 Margin Buy - Securities Purchased COMMAND SEC CORP MOC 1.350 1.78 (2.409.00) 15.727.08
COM
Commission 6.00
07/15/14 07/18/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 696- 0.8919 614.74 16.341.82
COM
Commission 6.00
Regulatory Fee 0.02
07/15/14 07/18/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 100- 0.8902 89.01 16.43023
COM
Regulatory Fee 0.01
07/15/14 07/18/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 3.629- 0.89 3.229.73 19.66056
COM
Regulatory Fee 0.08
07/15/14 07/18/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 1.000 0.17 (176.00) 19.48456
COM
Commission 6.00
07/15/14 07/18/14 Margin Buy - Securities Purchased NOTIFY TECHNOLOGY CORP NTFY 162 15.00 (2.436.00) 17.048.56
COM
Commission 6.00
07/15/14 07/18/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 26.000- 0.0283 729.78 17.778.34
COM
Commission 6.00
Regulatory Fee 0.02
SDNY_GM_00011651
CONFIDENTIAL
page 40 of 76
EFTA 00122302
EFTA01267781

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade Settle Acct Transaction! Symbol,
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
07/17/14 07/18/14 Margin Sell - Securities Soid JETBLUE AIRWAYS CORP 100- 0.65 6,436.45 24,214.79
JBLU Jul 19 14 10.0 C TO CLOSE
Commission 61.00
Regulatory Fee 2.55
07/17/14 07/18/14 Margin Sell - Securities Sold HEWLETT PACKARD CO 50- 4.50 22,464.80 46.679.59
HPO Jan 17 1531.0 C TO CLOSE
Commission 33.50
Regulatory Fee 1.70
07/17/14 07/18/14 Margin Buy - Securities Purchased COWEN GROUP INC 25 1.85 (4,645.35) 42.034.24
COWN Jan 17152.5 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/17/14 07/18/14 Margin Sell - Securities Sold JETBLUE AIRWAYS CORP 80- 0.70 5,547.95 47.582.19
JBLU Jul 19 14 10.0 C TO CLOSE
Commission 50.00
Regulatory Fee 2.05
07/17/14 07/18/14 Margin Sell - Securities Sold AEROPOSTALE INC 150- 0.25 3,657.81 51.240.00
ARO Jul 19 14 3.0 C TO CLOSE
Commission 88.50
Regulatory Fee 3.69
07/17/14 07/18/14 Margin Sell - Securities Sold YRC WORLDWIDE INC 25- 5.66 14,129.33 65.369.33
YRCW Jul 19 14 22.5 C TO CLOSE
Commission 19.75
Regulatory Fee 0.92
07/17/14 07/18/14 Margin Sell - Securities Sold ADVANCED MICRO DEVICES INC 35- 1.25 4,348.81 69,718.14
AMD Jan 17 15 3.5 C TO CLOSE
Commission 25.25
Regulatory Fee 0.94
07/17/14 07/18/14 Margin Buy - Securities Purchased CITIGROUP INC 100 1.37 (13,763.40) 55,954.74
C Aug 16 14 49.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/17/14 07/18/14 Margin Buy - Securities Purchased QUANTUM FUEL SYSTEMS TEC 150 1.40 (21,092.10) 34,862.64
OTWW Oct 18 14 4.0 C TO OPEN
Commission 88.50
Regulatory Fee 3.60
SDNY_GM_00011652
CONFIDENTIAL
page 41 of 76
EFTA_00122303
EFTA01267782

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade Settle Acct Transaction,' Symbol
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
07/17/14 07/18/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 26 1.05 12.750.93) 32.111.71
YRCW Aug 1614 30.0 C TO OPEN
Commission 20.30
Regulatory Fee 0.63
07/17/14 07/18/14 Margin Buy - Securities Purchased RITE AID CORP 100 0.35 13.563.40) 28548.31
RAD Aug 16 14 7.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/17/14 07/18/14 Margin Sell - Securities Sold QUANTUM FUEL SYSTEMS TEC 100- 2.10 20.936.13 49.484.44
OTWW Jul 19 14 3.0 C TO CLOSE
Commission 61.00
Regulatory Fee 2.87
07/17/14 07/18/14 Margin Sell - Securities Sold JETBLUE AIRWAYS CORP 80- 3.80 30,347.40 79831.84
JBLU Jan 17 15 7.0 C TO CLOSE
Commission 50.00
Regulatory Fee 2.60
07/17/14 07/18/14 Margin Sell - Securities Sold JETBLUE AIRWAYS CORP 40- 3.80 15.170.70 95O02.54
JBLU Jan 17 15 7.0 C TO CLOSE
Commission 28.00
Regulatory Fee 1.30
07/17/14 07/18114 Margin Sell - Securities Sold JETBLUE AIRWAYS CORP 20- 3.80 7.582.35 102.58489
JBLU Jan 17 15 7.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.65
07/17/14 07/18/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 100 0.43 (4.363.40) 98.221.49
YRCW Aug 16 14 325 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/17/14 07/18/14 Margin Sell - Securities Sold ADVANCED MICRO DEVICES INC 50- 1.20 5.965.16 104.186.65
AMD Jan 17 15 3.5 C TO CLOSE
Commission 33.50
Regulatory Fee 1.34
07/17/14 07/18/14 Margin Buy - Securities Purchased ALCATEL LUCENT 25 0.30 (770.35) 103,416.30
ALU Sep 20 14 3.5 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
SDNY_GM_0001 1653
CONFIDENTIAL
page 42 of 76
EFTA_00 I 2230=t
EFTA01267783

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/17/14 07/18/14 Margin Sell - Securities Sold JETBLUE AIRWAYS CORP 140- 3.70 51.712.49 155.128.79
JBLU Jan 17 15 7.0 C TO CLOSE
Commission 83.00
Regulatory Fee 4.51
07/17/14 07/18/14 Margin Buy - Securities Purchased COWEN GROUP INC 15 1.80 (2.714.61) 152.414.18
GOWN Jan 17 15 2.5 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/17/14 07/18/14 Margin Buy - Securities Purchased CITIGROUP INC 100 0.37 (3.763.40) 148,650.78
C Jul 19 14 49.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/17/14 07/18/14 Margin Sell - Securities Sold ADVANCED MICRO DEVICES INC 55- 1.23 6.727.28 155,378.06
AMD Jan 17 15 3.5 C TO CLOSE
Commission 36.25
Regulatory Fee 1.47
07/17/14 07/18/14 Margin Buy - Securities Purchased CITIGROUP INC 50 0.29 (1.484.70) 153,893.36
C Jul 19 14 49.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/17/14 07/18/14 Margin Sell - Securities Sold ADVANCED MICRO DEVICES INC 100- 1.22 12.136.33 166,029.69
AMD Jan 17 15 3.5 C TO CLOSE
Commission 61.00
Regulatory Fee 2.67
07/18/14 07/18/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (166.029.69) 0.00
DEPOSIT ACCOUNT
07/16/14 07/21/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.278 (533.80) (533.80)
COM
Commission 6.00
07/16/14 07/21/14 Margin Buy - Securities Purchased OCLARO INC OCLR 7.500 2.0199 (15.155.25) (15,689.05)
COM
Commission 6.00
07/16/14 07/21/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 100 3.8299 (388.99) (16,078.04)
COM
Commission 6.00
07/16/14 07/21/14 Margin Buy - Securities Purchased NOTIFY TECHNOLOGY CORP NTFY 100 15.00 (1.506.00) (17,584.04)
COM
Commission 6.00
SDNY_GM_00011654
CONFIDENTIAL
page 43 o176
EFTA 00122305
EFTA01267784

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/16/14 07/21/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 9.500 0.19 (1.811.00) (19,395.04)
COM
Commission 6.00
07/16114 07/21/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 1.400 1.95 (2.736.00) (22.131.04)
COM
Commission 6.00
07/16/14 07/21/14 Margin Sell - Securities Sold TORCHLIGHT ENERGY TRCH 5.000- 3.55 17743.60 (4,387.44)
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.40
07/16/14 07/21/14 Margin Buy - Securities Purchased NOTIFY TECHNOLOGY CORP NTFY 200 14.00 (2.806.00) (7.193.44)
COM
Commission 6.00
07/16/14 07/21/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 5.090 0.18 (922.20) (8.115.64)
COM
Commission 6.00
07/18/14 07/21/14 Margin Buy - Securities Purchased CITIGROUP INC 50 1.18 (5.934.70) (14,050.34)
C Aug 16 14 49.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/18/14 07/21/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC 10 3.50 (3.511.74) (17,562.08)
UEPS Jan 17 15 8.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/18/14 07/21/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC 10 3.40 (3.411.74) (20,973.82)
UEPS Jan 17 15 8.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/18/14 07/21/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC 10 2.60 (2.611.74) (23,585.56)
UEPS Jan 17 15 9.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/18/14 07/21/14 Margin Buy - Securities Purchased AEROPOSTALE INC 100 1.39 (13,963.40) (37,548.96)
ARO Oct 18 14 2.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
SDNY_GM_00011655
CONFIDENTIAL
page 44 o176
EFTA_00I 22306
EFTA01267785

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade Settle Acct Transaction Symbol,
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
07/18/14 07/21/14 Margin Sell - Securities Sold CITIGROUP INC 75- 0.78 5,800.82 (31,748.14)
C Jul 19 1449.0 C TO CLOSE
Commission 47.25
Regulatory Fee 1.93
07/18/14 07/21/14 Margin Buy - Securities Purchased TWITTER INC 45 2.46 (11,101.83) (42,849.97)
TWTR Aug 01 14 36.0 C TO OPEN
Commission 30.75
Regulatory Fee 1.08
07/18/14 07/21/14 Margin Buy - Securities Purchased CITIGROUP INC 50 1.22 (6,134.70) (48,984.67)
C Aug 16 14 49.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/18/14 07/21/14 Margin Buy - Securities Purchased AEROPOSTALE INC 200 1.40 (28.120.80) (77.105.47)
ARO Oci 18 14 2.0 C TO OPEN
Commission 116.00
Regulatory Fee 4.80
07/18/14 07/21/14 Margin Sell - Securities Sold AOL INC 120- 2.85 34.124.36 (42.981.11)
AOL Jul 19 14 36.0 C TO CLOSE
Commission 72.00
Regulatory Fee 3.64
07/18/14 07/21/14 Margin Buy - Securities Purchased RADIOSHACK CORPORATION 500 0.18 (9.293.00) (52.274.11)
RSH Jan 15 16 1.0 C TO OPEN
Commission 281.00
Regulatory Fee 12.00
07/18/14 07/21/14 Margin Buy - Securities Purchased BLACKBERRY LIMITED 50 0.89 (4,484.70) (56,758.81)
BBRY Sep 20 14 10.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/18/14 07/21/14 Margin Buy - Securities Purchased BLACKBERRY LIMITED 29 2.03 (5,909.65) (62,668.46)
BBRY Jan 17 15 9.0 C TO OPEN
Commission 21.95
Regulatory Fee 0.70
07/18/14 07/21/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 175 0.25 (4,481.45) (67,149.91)
JBLU Sep 20 14 12.0 C TO OPEN
Commission 10225
Regulatory Fee 4.20
SONY_GM_0001 1656
CONFIDENTIAL
page 45 of 76
EFTA_00122307
EFTA01267786

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade Settle Acct Transaction,' Symbol!'
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
07/18/14 07/21/14 Margin Buy - Securities Purchased YAHOO! INC 100 1.25 (12,563.40) (79,713.31)
YHOO Aug 16 14 33.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/18/14 07/21/14 Margin Buy - Securities Purchased MGIC INVT CORP WIS 15 0.87 (1,319.61) (81,032.92)
MTG Jan 17 15 8.0C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/18/14 07/21/14 Margin Sell - Securities Sold CITIGROUP INC 25- 0.51 1,254.62 (79,778.30)
C Jul 19 1449.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.63
07/18/14 07/21/14 Margin Sell - Securities Sold SEARS HOLDING CORP 60- 0.60 3,559.48 (76,218.82)
SHLD Jul 19 14 38.0 C TO CLOSE
Commission 39.00
Regulatory Fee 1.52
07/18/14 07/21/14 Margin Buy - Securities Purchased ALCATEL LUCENT 2 0.35 (77.15) (76,295.97)
ALU Sep 20 14 3.5 C TO OPEN
Commission 7.10
Regulatory Fee 0.05
07/18/14 07/21/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 30 0.55 (1,673.22) (77,969.19)
JBLU Sep 20 14 11.0 C TO OPEN
Commission 22.50
Regulatory Fee 0.72
07/18/14 07/21/14 Margin Sell - Securities Sold CITIGROUP INC 50- 0.67 3,315.22 (74,653.97)
C Jul 19 1449.0 C TO CLOSE
Commission 33.50
Regulatory Fee 1.28
07/21/14 07/21/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 74,653.97 0.00
DEPOSIT ACCOUNT
07/21/14 07/21/14 Margin Delivered - Other AEROPOSTALE INC 300- 0.00 0.00
ARO Jul 19143.0 C
EXERCISED OPTION
07/21/14 07/21/14 Margin Delivered - Other FUELCELL ENERGY INC 150- 0.00 0.00
FCEL Jul 19 14 2.0 C
EXERCISED OPTION
07/21/14 07/21/14 Margin Delivered - Other TEEKAY TANKERS LTD 500- 0.00 0.00
TNK Jul 19 14 5.0 C
EXPIRATION
SDNY_GM_00011657
CONFIDENTIAL
page 46 of 76
EFTA_00122308
EFTA01267787

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/21/14 07/21/14 Margin Delivered - Other TESLA MOTORS INC 186- 0.00 0.00
TSLA Jul 19 14 170.0 P
EXPIRATION
07/21/14 07/21/14 Margin Delivered - Other KATE SPADE & COMPANY 208- 0.00 0.00
KATE Jul 19 14 340 P
EXPIRATION
07/21/14 07/21/14 Margin Delivered - Other TWITTER INC 100- 0.00 0.00
TWTR Jul 19 14 38.0 C
EXPIRATION
07/21/14 07/21/14 Margin Received - Other TWITTER INC 100 0.00 0.00
TWTR Jul 19 14 40.0 C
EXPIRATION
07/21/14 07/21/14 Margin Received - Other TWITTER INC 100 0.00 0.00
TWTR Jul 19 14 36.0 P
EXPIRATION
07/21/14 07/21/14 Margin Received - Other UNITED CONTINENTAL HLDGS 200 0.00 0.00
UAL Jul 19 14 37.0 P
EXPIRATION
07/21/14 07/21/14 Margin Delivered - Other UNITED STATES NAT GAS FUND 100- 0.00 0.00
UNG Jul 19 14 25.0 C
EXPIRATION
07/21/14 07/21/14 Margin Delivered - Other UNITED STATES NAT GAS FUND 200- 0.00 0.00
UNG Jul 19 14 27.0 C
EXPIRATION
07/21/14 07/21/14 Margin Delivered - Other AMAZON.COM INC 350- 0.00 0.00
AMZN Jul 19 14 270.0 P
EXPIRATION
07/21/14 07/21/14 Margin Received - Other AOL INC 110 0.00 0.00
AOL Jul 19 14 42.0 C
EXPIRATION
07/21/14 07/21/14 Margin Delivered - Other FUELCELL ENERGY INC 525- 0.00 0.00
FCEL Jul 19 14 2.5 C
EXPIRATION
07/21/14 07/21/14 Margin Delivered - Other SEARS HOLDING CORP 50- 0.00 0.00
SHLD Jul 19 14 39.0 C
EXPIRATION
SDNY_GM_00011658
CONFIDENTIAL
page 47 o176
EFTA 00122309
EFTA01267788

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/21/14 07/21/14 Margin Delivered Other APOLLO EDUCATION GROUP INC - 120- 0.00 0.00
APOL Jul 19 14 26.0 P
EXPIRATION
07/21/14 07/21/14 Margin Delivered - Other YAHOO! INC 225- 0.00 0.00
YHOO Jul 19 14 34.0 C
EXPIRATION
07/21/14 07/21/14 Margin Delivered - Other ZIOPHARM ONCOLOGY INC 279- 0.00 0.00
ZIOP Jul 19 14 5.0 C
EXPIRATION
07/21/14 07/21/14 Margin Delivered - Other QUIKSILVER INC 250- 0.00 0.00
ZOK Jul 19 14 7.0 C
EXPIRATION
07/21/14 07/21/14 Margin Delivered - Other MERRIMAN HOLDINGS INC 590419107 200.026- 0.00 0.00
1:30 R/S 7/14/14 590419206
REORG - 1:30 REVERSE SPLIT
7/14/14 MERRIMAN HOLDINGS INC
590419206
Auto Recrg#231309IREVERSE
SPLIT
07/21/14 07/21/14 Margin Received - Other MERRIMAN HOLDINGS INC MERRD 6.667 0.00 0.00
COM
REORG - 1:30 REVERSE SPLIT
7/14/14 MERRIMAN HOLDINGS INC
590419206
Auto Recrg#231309IREVERSE
SPLIT
07/17/14 07/22/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 200 5.22 (1.050.00) (1,050.00)
COM
Commission 6.00
07/17/14 07/22/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 15.000 0.0271 (412.50) (1,462.50)
COM
Commission 6.00
07/17/14 07/22/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 1.500 1.92 (2.886.00) (4,348.50)
COM
Commission 6.00
07/17/14 07/22/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 500 3.8146 (1.913.30) (6,261.80)
COM
Commission 6.00
SDNY_GM_00011659
CONFIDENTIAL
page 48 o176
EFTA_00122310
EFTA01267789

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/17/14 07/22/14 Margin Buy - Securities Purchased NOTIFY TECHNOLOGY CORP NTFY 108 15.00 (1.626.00) (7,887.80)
COM
Commission 6.00
07/17/14 07/22/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 100 3.72 (378.00) (8265.80)
COM
Commission 6.00
07/17/14 07/22/14 Margin Buy - Securities Purchased NOTIFY TECHNOLOGY CORP NTFY 208 14.50 (3.022.00) (11,287.80)
COM
Commission 6.00
07/17/14 07/22/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 445 5.13 (2.288.85) (13,576.65)
COM
Commission 6.00
07/17/14 07/22/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 155 5.1299 (795.13) (14,371.78)
COM
07/17/14 07/22/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERRD 100 3.80 (386.00) (14,757.78)
COM
Commission 6.00
07/17/14 07/22/14 Margin Buy - Securities Purchased ACCESS PFIARMA INC ACCP 1.550 0.255 (401.25) (15,159.03)
COM
Commission 6.00
07/17/14 07/22/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 2.500 0.2001 (506.25) (15,665.28)
COM
Commission 6.00
07/17/14 07/22/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 500 0.20 (100.00) (15,765.28)
COM
07/17/14 07/22/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 100 3.8499 (390.99) (16,156.27)
COM
Commission 6.00
07/17/14 07/22/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 1.200 3.72 (4.470.00) (20,626.27)
COM
Commission 6.00
07/17/14 07/22/14 Margin Buy - Securities Purchased QUANTUM FUEL SYSTEMS TEC QTWW 21.400 3.00 (64.210.00) (84,836.27)
COM
Commission 10.00
07/17/14 07/22/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 4.538 0.20 (913.60) (85,749.87)
COM
Commission 6.00
soNv_skt000tisso
CONFIDENTIAL
page 49 o176
EFfik_00I22311
EFTA01267790

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade Settle Acct Transaction! Symbol,'
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
07/21/14 07/22/14 Margin Buy - Securities Purchased QUANTUM FUEL SYSTEMS TEC 100 1.65 (16,563.40) (102313.27)
QTWW Oct 18 14 4.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/21/14 07/22/14 Margin Buy - Securities Purchased RADNET INC. 100 1.05 (10,563.40) (112,876.67)
RDNT Aug 16 14 5.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/21/14 07/22/14 Margin Buy - Securities Purchased AEROPOSTALE INC 30 1.30 (3,923.22) (116,799.89)
ARC Oct 18 14 2.0 C TO OPEN
Commission 22.50
Regulatory Fee 0.72
07/21/14 07/22/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 72 0.50 (3,647.33) (120,447.22)
JBLU Sep 20 14 11.0 C TO OPEN
Commission 45.60
Regulatory Fee 1.73
07/21/14 07/22/14 Margin Buy - Securities Purchased ALCATEL LUCENT 246 0.15 (3.837.21) (124.284.43)
ALU Sep 20 14 4.0 C TO OPEN
Commission 14130
Regulatory Fee 5.91
07/21/14 07/22/14 Margin Buy - Securities Purchased HANWHA SOLARONE CO LTD 20 0.50 (1.017.48) (125.301.91)
HSOL Sep 20 14 2.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
07/22/14 07/22/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 91,375.72 (33,926.19)
DEPOSIT ACCOUNT
07/22/14 07/22/14 Margin Div/Int - Other FDIC INSURED DEPOSIT MMDA11 0.00 0.16 (33,926.03)
ACCOUNT
IDA11 NOT COVERED BY SIPC
Interest: Insured
Deposit Account
Payable: 07/31/2014
Insured Deposit Accoun 0.16
07/18/14 07/23/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 700 3.75 (2,631.00) (36,557.03)
COM
Commission 6.00
07/18/14 07/23/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 1.200 5.20 (6,246.00) (42,803.03)
COM
Commission 6.00
SDNY_GM_00011661
CONFIDENTIAL
page 50 of 76
EFTA_00122312
EFTA01267791

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/18/14 07/23/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 2.500 0.8996 (2.255.01) (45,058.04)
COMMUNICATIONS
COM
Commission 6.00
07/18/14 07/23/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 7.425 0.89 (6.614.25) (51,672.29)
COMMUNICATIONS
COM
Commission 6.00
07/18/14 07/23/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 3.600 0.28 (1.014.00) (52.686.29)
COM
Commission 6.00
07/18/14 07/23/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 4.000- 4.3001 17.194.01 (35,492.28)
COM
Commission 6.00
Regulatory Fee 0.39
07/18/14 07/23/14 Margin Sell - Securities Sold AEROPOSTALE INC ARO 1.500- 3.3201 4.974.03 (30,518.25)
COM
Commission 6.00
Regulatory Fee 0.12
07/18/14 07/23/14 Margin Sell - Securities Sold AEROPOSTALE INC ARO 8.500- 3.32 28.219.37 (2.298.88)
COM
Regulatory Fee 0.63
07/18/14 07/23/14 Margin Buy - Securities Purchased ACCESS PFIARMA INC ACCP 7.500 0.2349 (1.767.75) (4,066.63)
COM
Commission 6.00
07/18/14 07/23/14 Margin Sell - Securities Sold AEROPOSTALE INC ARO 2.020- 3.345 6,750.75 2.684.12
COM
Commission 6.00
Regulatory Fee 0.15
07/18/14 07/23/14 Margin Sell - Securities Sold AEROPOSTALE INC ARO 980- 3.343 3.276.06 5.960.18
COM
Regulatory Fee 0.08
07/18/14 07/23/14 Margin Sell - Securities Sold AEROPOSTALE INC ARO 1.600- 3.341 5.345.48 11.305.66
COM
Regulatory Fee 0.12
07/18/14 07/23/14 Margin Sell - Securities Sold AEROPOSTALE INC ARO 5.400- 3.34 18.035.60 29.341.26
COM
Regulatory Fee 0.40
SDNY_GM_00011662
CONFIDENTIAL
page 51 o176
EFTA 00122313
EFTA01267792

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/18/14 07/23/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 5.250 0.26 (1.371.00) 27.970.26
COM
Commission 6.00
07/18114 07/23/14 Margin Sell - Securities Sold AEROPOSTALE INC ARO 10.000- 3.36 33.593.25 61.563.51
COM
Commission 6.00
Regulatory Fee 0.75
07/18/14 07/23/14 Margin Buy - Securities Purchased COMMAND SEC CORP MOC 92 1.78 (169.76) 61.393/5
COM
Commission 6.00
07/18/14 07/23/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 75 0.881 (72.08) 61.321.67
COMMUNICATIONS
COM
Commission 6.00
07/18/14 07/23/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERRD 100 4.00 (406.00) 60.915.67
COM
Commission 6.00
07/21/14 07/23/14 Margin Buy - Securities Purchased AEROPOSTALE INC ARO 30.000 3.00 (90.010.00) (29,094.33)
COM
Commission 10.00
07/21/14 07/23/14 Margin Buy - Securities Purchased FUELCELL ENERGY INC FCEL 15.000 2.00 (30.010.00) (59,104.33)
COM
Commission 10.00
07/23/4 07/23/14 Margin Delivered - Other NORDIC AMERICAN TANKERS LTD 700- 0.00 (59,104.33)
NAT Jan 17 15 8.0 C
CONTRACT ADJS: CASH
DISTRIBUTION
07/23/14 07/23/14 Margin Received - Other NORDIC AMERICAN TANKERS LTD 700 0.00 (59,104.33)
NAT Jan 17 15 7.87 C
CONTRACT ADJS: CASH
DISTRIBUTION
07/23/14 07/23/14 Margin Delivered - Other NORDIC AMERICAN TANKERS LTD 325- 0.00 (59,104.33)
NAT Oct 18 14 10.0 C
CONTRACT ADJS: CASH
DISTRIBUTION
07/23/14 07/23/14 Margin Received - Other NORDIC AMERICAN TANKERS LTD 325 0.00 (59,104.33)
NAT Oct 18 14 9.87 C
CONTRACT ADJS: CASH
DISTRIBUTION
SDNY_GM_00011663
CONFIDENTIAL
page 52 o176
EFTA (()122314
EFTA01267793

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/21/14 07/24/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION ZAZA 7.900- 0.9749 7.695.53 (51,408.80)
COM
Commission 6.00
Regulatory Fee 0.18
07/21/14 07/24/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 18.000- 0.9351 16.825.42 (34,583.38)
COM
Commission 6.00
Regulatory Fee 0.38
07/21/14 07/24/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 6.486- 0.9552 6.189.29 (28.394.09)
COM
Commission 6.00
Regulatory Fee 0.14
07/21/14 07/24/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 3.314- 0.9551 3.165.13 (25,228.96)
COM
Regulatory Fee 0.07
07/21/14 07/24/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION ZAZA 18.000- 0.9558 17.198.01 (8,030.95)
COM
Commission 6.00
Regulatory Fee 0.39
07/21/14 07/24/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 1.000 1.9899 (1,995.90) (10,026.85)
COM
Commission 6.00
07/21/14 07/24/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 15.000 0.0299 (454.50) (10,481.35)
COM
Commission 6.00
07/21/14 07/24/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 22.000- 0.9878 21,725.11 11.243.76
COM
Commission 6.00
Regulatory Fee 0.49
07/21/14 07/24/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 15.000- 0.9744 14.609.67 25.853.43
COM
Commission 6.00
Regulatory Fee 0.33
07/21/14 07/24/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERRD 1.025 3.70 (3.798.50) 22.054.93
COM
Commission 6.00
SDNY_GM_00011664
CONFIDENTIAL
page 53 o176
EFTA 00122315
EFTA01267794

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/21/14 07/24/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION ZAZA 20.000- 0.944 18.873.58 40,928.51
COM
Commission 6.00
Regulatory Fee 0.42
07/21/14 07/24/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERRD 4.800 3.80 (18.246.00) 22.68251
COM
Commission 6.00
07/21/14 07/24/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERRD 92 3.65 (335.80) 22,346/1
COM
07/21/14 07/24/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERRD 108 3.95 (432.60) 21,914.11
COM
Commission 6.00
07/21/14 07/24/14 Margin Buy - Securities Purchased COMMAND SEC CORP MOC 4.377 1.8799 (8.234.32) 13.679/9
COM
Commission 6.00
07/21/14 07/24/14 Margin Buy - Securities Purchased COMMAND SEC CORP MOC 2.246 1.8899 (4.250.72) 9.429.07
COM
Commission 6.00
07/21/14 07/24/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 1.500 1.96 (2.946.00) 6.483.07
COM
Commission 6.00
07/21/14 07/24/14 Margin Sell - Securities Sold QUANTUM FUEL SYSTEMS TEC QTWW 360- 5.493 1.97143 8.454.50
COM
Commission 6.00
Regulatory Fee 0.05
07/21/14 07/24/14 Margin Sell - Securities Sold QUANTUM FUEL SYSTEMS TEC QTWW 7.140- 5.49 39.197.73 47.652.23
COM
Regulatory Fee 0.87
07/21/14 07/24/14 Margin Buy - Securities Purchased TFiANSGENOMIC INC TBIO 300 3.727 (1.124.10) 46.528.13
COM
Commission 6.00
07/21/14 07/24/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 5.000 0.26 (1.306.00) 45.222.13
COM
Commission 6.00
07/21/14 07/24/14 Margin Buy - Securities Purchased TFiANSGENOMIC INC TBIO 100 3.738 (379.80) 44.84233
COM
Commission 6.00
SDNY_GM_00011665
CONFIDENTIAL
page 64 o176
EFTA (()122316
EFTA01267795

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/21/14 07/24/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 70 3.73 (267.10) 44,575.23
COM
Commission 6.00
07/21/14 07/24/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 300 3.72 (1.116.00) 43,459.23
COM
07/21/14 07/24/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 100 3.719 (371.90) 43,087.33
COM
07/21/14 07/24/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 100 3.718 (371.80) 42,715.53
COM
07/21/14 07/24/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 100 3.67 (367.00) 42,348.53
COM
07/21/14 07/24/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 100- 0.9893 92.92 42,441.45
COM
Commission 6.00
Regulatory Fee 0.01
07/21/14 07/24/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERRD 12 3.55 (48.60) 42,392.85
COM
Commission 6.00
07/21/14 07/24/14 Margin Buy - Securities Purchased I-IAUPPAGE DIGITAL INC HAUP 562 0.255 (149.31) 42,243.54
COM
Commission 6.00
07/21/14 07/24/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 700- 0.9103 631.19 42,874.73
COM
Commission 6.00
Regulatory Fee 0.02
07/21/14 07/24/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION 7A7A 700- 0.9102 637.12 43,511.85
COM
Regulatory Fee 0.02
07/21/14 07/24/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 200 3.72 (750.00) 42,761.85
COM
Commission 6.00
07/23/14 07/24/14 Margin Buy - Securities Purchased UNISYS CORP 40 0.45 (1.828.96) 40,932.89
UIS Oct 18 14 24.0 C TO OPEN
Commission 28.00
Regulatory Fee 0.96
SDNY_GM_00011666
CONFIDENTIAL
page 55 o176
EFTA (()122317
EFTA01267796

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade Settle Acct Transaction,' Symbol
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
07/23/14 07/24/14 Margin Buy - Securities Purchased UNISYS CORP 20 0.40 (817.48) 40,115.41
UIS Oct 18 14 24.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
07/23/14 07/24/14 Margin Buy - Securities Purchased ALCATEL LUCENT 65 0.15 (1,018.31) 39,097.10
ALIJ Sep 20 14 4.0 C TO OPEN
Commission 41.75
Regulatory Fee 1.56
07/24/14 07/24/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (39,097.10) 0.00
DEPOSIT ACCOUNT
07/24/14 07/25/14 Margin Sell - Securities Sold YAHOO! INC 100- 0.48 4,736.49 4,736.49
YHOO Aug 01 14 35.5 P TO OPEN
Commission 61.00
Regulatory Fee 2.51
07/24/14 07/25/14 Margin Buy - Securities Purchased UNISYS CORP 25 0.50 (1,270.35) 3,466.14
UIS Oct 18 14 24.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/24/14 07/25/14 Margin Buy - Securities Purchased PACIFIC ETHANOL INC 10 2.85 (2,861.74) 604.40
PEIX Aug 16 14 16.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/24/14 07/25/14 Margin Buy - Securities Purchased COWEN GROUP INC 15 0.20 (314.61) 289.79
COWN Jan 17155.0 C TO OPEN
Commission 1425
Regulatory Fee 0.36
07/24/14 07/25/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 100- 1.30 12,936.31 13,226.10
UAL Aug 08 14 45.0 P TO OPEN
Commission 61.00
Regulatory Fee 2.69
07/24/14 07/25/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 15- 1.67 2,490.33 15,716.43
UAL Aug 08 14 45.0 P TO OPEN
Commission 14.25
Regulatory Fee 0.42
07/24/14 07/25/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC 15 0.90 (1,364.61) 14,351.82
ZIOP Oct 18 14 3.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
SDNY_GM_00011667
CONFIDENTIAL
page 56 of 76
EFTA 00122318
EFTA01267797

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/25/14 07/25/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (14.351.82) 0.00
DEPOSIT ACCOUNT
07/23/14 07/28/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 3.500 3.5499 (12.430.65) (12,430.65)
COM
Commission 6.00
07/23/14 07/28/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERRD 3.500 3.85 (13.481.00) (25,911.65)
CUM
Commission 6.00
07/23/14 07/28/14 Margin Buy - Securities Purchased FUELCELL ENERGY INC FCEL 5.000 2.52 (12.606.00) (38,517.65)
CUM
Commission 6.00
07/23/14 07/28/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 1.200 3.6318 (4.364.16) (42,881.81)
COM
Commission 6.00
07/23/14 07/28/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERRD 1.500 3.90 (5.856.00) (48,737.81)
COM
Commission 6.00
07/23/14 07/28/14 Margin Buy - Securities Purchased I-IAUPPAGE DIGITAL INC HAUP 1.680 0.26 (442.80) (49,180.61)
COM
Commission 6.00
07/25/14 07/28/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 45 0.80 (3.631.83) (52,812.44)
JBLU Sep 20 1411.0 C TO OPEN
Commission 30.75
Regulatory Fee 1.08
07/25/14 07/28/14 Margin Buy - Securities Purchased PACIFIC ETHANOL INC 10 2.50 (2.511.74) (55.324.18)
PEIX Aug 16 1416.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/25/4 07/28/14 Margin Buy - Securities Purchased YAHOO! INC 10 3.30 (3.311.74) (58,635.92)
YHOO Aug 16 14 33.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/25/14 07/28/14 Margin Buy - Securities Purchased ALCATEL LUCENT 50 0.40 (2.034.70) (60,670.62)
ALU Sep 20 14 3.5 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
SDNY_GM_00011668
CONFIDENTIAL
page 57 o176
EFTA_00122319
EFTA01267798

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade Settle Acct Transaction! Symbol
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
07/25/14 07/28/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 15- 0.74 1,095.36 (59,575.26)
UAL Aug 08 14 45.0 P TO OPEN
Commission 14.25
Regulatory Fee 0.39
07/25/14 07/28/14 Margin Buy - Securities Purchased FLAMEL TECH 10 5.00 (5,011.74) (64,587.00)
FLML Dec 20 14 10.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/25/14 07/28/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 15- 0.82 1,215.36 (63,371.64)
UAL Aug 08 1445.0 P TO OPEN
Commission 14.25
Regulatory Fee 0.39
07/25/14 07/28/14 Margin Buy - Securities Purchased SONY CORP 10 1.20 (1,211.74) (64,583.38)
SNE Oct 18 14 17.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/25/14 07/28/14 Margin Buy - Secuities Purchased JETBLUE AIRWAYS CORP 75 0.30 (2,299.05) (66,882.43)
JBLU Sep 20 14 12.0 C TO OPEN
Commission 47.25
Regulatory Fee 1.80
07/25/14 07/28/14 Margin Buy - Securities Purchased AEROPOSTALE INC 12 1.25 (1,512.89) (68,395.32)
ARO Oct 18 142.0 C TO OPEN
Commission 12.60
Regulatory Fee 0.29
07/25/14 07/28/14 Margin Buy - Securities Purchased AEROPOSTALE INC 18 1.25 (2,266.34) (70,661.66)
ARC Oct 18 14 2.0 C TO OPEN
Commission 15.90
Regulatory Fee 0.44
07/25/14 07/28/14 Margin Buy - Securities Purchased AEROPOSTALE INC 45 0.40 (1,831.83) (72,493.49)
ARO Jan 17 153.5 C TO OPEN
Commission 30.75
Regulatory Fee 1.08
07/25/14 07/28/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 40 0.35 (1,428.96) (73,922.45)
YRCW Aug 16 14 30.0C TO OPEN
Commission 28.00
Regulatory Fee 0.96
SDNY_GM_0001 1669
CONFIDENTIAL
page 58 of 76
EFTA_00122320
EFTA01267799

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/25/14 07/28/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 89 0.18 (1.665.14) (75.587.59)
YRCW Aug 16 14 32.5 C TO OPEN
Commission 61.00
Regulatory Fee 2.14
07/25/14 07/28/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 11 0.17 (187.27) (75,774.86)
YRCW Aug 16 14 32.5 C TO OPEN
Regulatory Fee 0.27
07/25/14 07/28/14 Margin Buy - Securities Purchased HEWLETT PACKARD CO 15 5.20 (7.814.61) (83,589.47)
HPO Jan 17 15 31.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/25/14 07/28/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC 8 0.85 (697.20) (84,286.67)
ZIOP Oct 18 14 3.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.20
07/25/14 07/28/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC 12 0.83 (996.29) (85,282.96)
ZIOP Oct 18 14 3.0 C TO OPEN
Regulatory Fee 0.29
07/25/14 07/28/14 Margin Buy - Securities Purchased MICHAEL KORS HOLDINGS 30 3.30 (9.923.22) (95,206.18)
KORS Aug 08 14 81.0 C TO OPEN
Commission 22.50
Regulatory Fee 0.72
07/25/14 07/28/14 Margin Sell - Securities Sold MICHAEL KORS HOLDINGS 40- 1.10 4270.94 (90,835.24)
KORS Jul 25 14 80.0 C TO CLOSE
Commission 28.00
Regulatory Fee 1.06
07/25/14 07/28/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 5- 0.84 411.12 (90,424.12)
UAL Aug 08 14 45.0 P TO OPEN
Commission 8.75
Regulatory Fee 0.13
07/28/14 07/28/14 Margin Delivered - Other ADVANCED MICRO DEVICES INC 500- 0.00 (90,424.12)
AMD Jul 25 14 5.0 C
EXPIRATION
07/28/14 07/28/14 Margin Received - Other YAHOO! INC 150 0.00 (90,424.12)
YHOO Jul 25 14 33.5 P
EXPIRATION
07/28/14 07/28/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 53,448.92 (36,975.20)
DEPOSIT ACCOUNT
SDNY_GM_00011670
CONFIDENTIAL
page 59 o176
EFTA_00I 22321
EFTA01267800

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/28/14 07/28/14 Margin Div/Int - Other FDIC INSURED DEPOSIT MMDA11 0.00 0.05 (36.975.15)
ACCOUNT
IDA11 NOT COVERED BY SIPC
Interest: Insured
Deposit Account
Payable: 07/3112014
Insured Deposit Accoun 0.05
07/24/14 07/29/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 10.000 0.16 (1.606.00) (38,581.15)
COM
Commission 6.00
07/24/14 07/29/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 1.500 1.9799 (2.975.85) (41,557.00)
COM
Commission 6.00
07/24/14 07/29/14 Margin Sell - Securities Sold QUANTUM FUEL SYSTEMS TEC QTWW 604- 5.442 3.280.89 (38,276.11)
COM
Commission 6.00
Regulatory Fee 0.08
07/24/14 07/29/14 Margin Sell - Securities Sold QUANTUM FUEL SYSTEMS TEC QTWW 1.896- 5.441 10315.91 (27,960.20)
COM
Regulatory Fee 0.23
07/24/14 07/29/14 Margin Sell - Securities Sold QUANTUM FUEL SYSTEMS TEC QTWW 500- 5.4601 2723.98 (25,236.22)
COM
Commission 6.00
Regulatory Fee 0.07
07/24/14 07/29/14 Margin Sell - Securities Sold QUANTUM FUEL SYSTEMS TEC QTWW 2.000- 5.46 10.919.75 (14,316.47)
COM
Regulatory Fee 0.25
07/24/14 07/29/14 Margin Buy - Securities Purchased TFiANSGENOMIC INC TBIO 200 3.8499 (775.98) (15.092.45)
COM
Commission 6.00
07/24/14 07/29/14 Margin Buy - Securities Purchased TFiANSGENOMIC INC TBIO 100 3.8149 (381.49) (15.473.94)
COM
07/24/14 07/29/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERRD 182 3.90 (715.80) (16,189.74)
COM
Commission 6.00
07/24/14 07/29/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 1.500 1.95 (2.931.00) (19,120.74)
COM
Commission 6.00
SDNY_GM_00011671
CONFIDENTIAL
page 60 o176
EFTA_00122322
EFTA01267801

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/24/14 07/29/14 Margin Buy - Securities Purchased MEDIABISTRO INC MBIS 3.000 0.825 (2.481.00) (21,601.74)
COM
Commission 6.00
07/24/14 07/29/14 Margin Buy - Securities Purchased MEDIABISTRO INC MBIS 200 0.8225 (164.50) (21,766.24)
COM
07/24/14 07/29/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 12.000 0.25 (3.006.00) (24,772.24)
COM
Commission 6.00
07/24/14 07/29/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 100 0.873 (93.30) (24,865.54)
COMMUNICATIONS
COM
Commission 6.00
07/24/14 07/29/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERRD 1.800 3.60 (6.486.00) (31,351.54)
COM
Commission 6.00
07/28/4 07/29/14 Margin Sell - Securities Sold YAHOO! INC 20- 0.36 702.50 (30,649.04)
YHOO Aug 01 14 35.5 P TO OPEN
Commission 17.00
Regulatory Fee 0.50
07/28/4 07/29/14 Margin Buy - Securities Purchased PACIFIC ETHANOL INC 10 2.25 (2,261.74) (32.910.78)
PEIX Aug 16 1416.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/28/4 07/29/14 Margin Buy - Securities Purchased RITE AID CORP 100 0.10 (1,063.40) (33,974.18)
RAD Aug 08 14 7.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/28/4 07/29/14 Margin Buy - Securities Purchased RITE AID CORP 100 0.10 (1.063.40) (35,037.58)
RAD Aug 08 14 7.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/28/4 07/29/14 Margin Buy - Securities Purchased AVON PRODUCTS INC 250 0.25 (6,399.50) (41,437.08)
AVP Sep 20 14 15.0 C TO OPEN
Commission 143.50
Regulatory Fee 6.00
07/28/14 07/29/14 Margin Buy - Securities Purchased TESLA MOTORS INC 100 0.59 (5,963.40) (47,400.48)
TSLA Aug 16 14 180.0 P TO OPEN
Commission 61.00
Regulatory Fee 2.40
SDNY_GM_00011672
CONFIDENTIAL
page 61 o176
EFTA_00 122323
EFTA01267802

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/28/14 07/29/14 Margin Buy - Securities Purchased ALCATEL LUCENT 69 0.15 (1.080.61) (48.481.09)
ALU Sep 20 14 4.0 C TO OPEN
Commission 43.95
Regulatory Fee 1.66
07/28/14 07/29/14 Margin Buy - Securities Purchased COWEN GROUP INC 15 1.70 (2.564.61) (51,045.70)
GOWN Jan 17 15 2.5 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/28/14 07/29/14 Margin Buy - Securities Purchased AVON PRODUCTS INC 20 0.24 (497.48) (51,543.18)
AVP Sep 20 14 15.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
07/28/14 07/29/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 10- 0.76 748.24 (50,794.94)
UAL Aug 08 14 45.0 P TO OPEN
Commission 11.50
Regulatory Fee 0.26
07/28/14 07/29/14 Margin Buy - Securities Purchased RADNET INC. 100 0.15 (1.563.40) (52.358.34)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/28/14 07/29/14 Margin Buy - Securities Purchased PANERA BREAD CO 75 0.75 (5.674.05) (58,032.39)
PNRA Aug 16 14160.0 C TO OPEN
Commission 47.25
Regulatory Fee 1.80
07/25/14 07/30/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 6.500 0.0297 (199.05) (58,231.44)
COM
Commission 6.00
07/25/4 07/30/14 Margin Sell - Securities Sold FUELCELL ENERGY INC FCEL 5.500- 2.3601 12.974.26 (45,257.18)
COM
Commission 6.00
Regulatory Fee 0.29
07/25/4 07/30/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 3,000 0.27 (816.00) (46,073.18)
COM
Commission 6.00
07/25/4 07/30/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERRD 300 3.70 (1.116.00) (47,189.18)
COM
Commission 6.00
SDNY_GM_00011673
CONFIDENTIAL
page 62 o176
EFTA 00122324
EFTA01267803

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/25/14 07/30/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 7A7A 7.500 0.808 (6.066.00) (53,255.18)
COM
Commission 6.00
07/25/14 07/30/14 Margin Sell - Securities Sold QUANTUM FUEL SYSTEMS TEC QTWW 1.600- 5.4901 8377.96 (44,477.22)
COM
Commission 6.00
Regulatory Fee 0.20
07/25/14 07/30/14 Margin Sell - Securities Sold QUANTUM FUEL SYSTEMS TEC QTWW 1.600- 5.4928 8.782.28 (35,694.94)
COM
Commission 6.00
Regulatory Fee 0.20
07/25/14 07/30/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 100 3.796 (385.60) (36,080.54)
COM
Commission 6.00
07/25/14 07/30/14 Margin Sell - Securities Sold QUANTUM FUEL SYSTEMS TEC QTWW 1.000- 5.5001 5.493.97 (30,586.57)
COM
Commission 6.00
Regulatory Fee 0.13
07/25/14 07/30/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERRD 193 3.50 (681.50) (31,268.07)
COM
Commission 6.00
07/25/14 07/30/14 Margin Buy - Securities Purchased I-IAUPPAGE DIGITAL INC HAUP 6.000 0.26 (1.566.00) (32.834.07)
COM
Commission 6.00
07/29/14 07/30/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 10- 0.76 748.24 (32.085.83)
UAL Aug 08 14 45.0 P TO OPEN
Commission 11.50
Regulatory Fee 0.26
07/29/14 07/30/14 Margin Buy - Securities Purchased NORDIC AMERICAN TANKERS LTD 5 1.40 (708.87) (32.794.70)
NAT Jan 17 15 7.87 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
07/29/14 07/30/14 Margin Buy - Securities Purchased RADNET INC. 10 1.15 (1.161.74) (33,956.44)
RDNT Dec 20 14 5.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
SDNY_GM_00011674
CONFIDENTIAL
page 63 o176
EFTA_00122325
EFTA01267804

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/29/14 07/30/14 Margin Buy - Securities Purchased ALCATEL LUCENT 25 0.15 (395.35) (34,351.79)
ALU Sep 20 14 4.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/29/14 07/30/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC 10 0.60 (611.74) (34,963.53)
AMD Jan 17 15 3.5 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/29/14 07/30/14 Margin Buy - Securities Purchased TWITTER INC 35 0.99 (3.491.09) (38,454.62)
TWTR Aug 16 14 34.5 P TO OPEN
Commission 25.25
Regulatory Fee 0.84
07/29/14 07/30/14 Margin Buy - Securities Purchased FUELCELL ENERGY INC 10 1.40 (1,411.74) (39,866.36)
FCEL Oct 18 14 1.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/30/14 07/30/14 Margin Received - Other MERRIMAN HOLDINGS INC MERRD 1 0.00 (39.866.36)
COM
REORG - CREDIT MANDATORY
ROUNDING SHARE
FROM 590419107
07/28/14 07/31/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 200 3.94 (794.00) (40,660.36)
COM
Commission 6.00
07/28/14 07/31/14 Margin Sell - Securities Sold FUELCELL ENERGY INC FCEL 3.000- 2.3801 7.134.14 (33,526.22)
COM
Commission 6.00
Regulatory Fee 0.16
07/28/14 07/31/14 Margin Buy - Securities Purchased NOTIFY TECHNOLOGY CORP NTFY 108 20.00 (2,166.00) (35,692.22)
COM
Commission 6.00
07/28/14 07/31/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 200 3.99 (804.00) (36,496.22)
COM
Commission 6.00
07/28/14 07/31/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION ZAZA 5.000 0.7923 (3,967.50) (40.463.72)
COM
Commission 6.00
SDNY_GM_00011675
CONFIDENTIAL
page 64 o176
EFTA 00122326
EFTA01267805

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade Settle Acct Transaction! Symbol
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
07/28/14 07/31/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 200 3.90 (786.00) (41,249.72)
COM
Commission 6.00
07/28/14 07/31/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 1,000 0.19 (196.00) (41,445.72)
COM
Commission 6.00
07/28/14 07/31/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERRD 513 3.90 (2,006.70) (43,452.42)
COM
Commission 6.00
07/28/14 07/31/14 Margin Buy - Securities Purchased FIAUPPAGE DIGITAL INC HAUP 1,858 0.29 (544.82) (43,997.24)
COM
Commission 6.00
07/28/14 07/31/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 100 3.9799 (403.99) (44,401.23)
COM
Commission 6.00
07/28/14 07/31/14 Margin Sell - Securities Sold FUELCELL ENERGY INC FCEL 11,500- 2.36 27,133.40 (17,267.83)
COM
Commission 6.00
Regulatory Fee 0.60
07/28/14 07/31/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 300 3.94 (1,188.00) (18,455.83)
COM
Commission 6.00
07/28/14 07/31/14 Margin Buy - Securities Purchased NOTIFY TECHNOLOGY CORP NIFY 100 21.00 (2,106.00) (20,561.83)
COM
Commission 6.00
07/28/14 07/31/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERRD 2.000 3.59 (7,186.00) (27,747.83)
COM
Commission 6.00
07/28/14 07/31/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 166 3.87 (648.42) (28,396.25)
COM
Commission 6.00
07/30/14 07/31/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 15- 0.53 780.37 (27,615.88)
UAL Aug 08 1445.0 P TO OPEN
Commission 14.25
Regulatory Fee 0.38
07/30/14 07/31/14 Margin Buy - Securities Purchased PANERA BREAD CO 10 0.55 (561.74) (28,177.62)
PNRA Aug 16 14 160.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
SDNY_GM_00011676
CONFIDENTIAL
page 65 of 76
EFTA_00122327
EFTA01267806

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade Settle Acct Transaction! Symbol,'
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
07/30/14 07/31/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC 5 3.10 (1,558.87) (29,736.49)
UEPS Jan 17 15 8.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
07/30/14 07/31/14 Margin Sell - Securities Sold AMERICAN AIRLINES GROUP INC 60- 0.97 5,779.43 (23,957.06)
AAL Aug 08 14 39.5 P TO OPEN
Commission 39.00
Regulatory Fee 1.57
07/30/14 07/31/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 5- 0.55 266.12 (23.690.94)
UAL Aug 08 14 45.0 P TO OPEN
Commission 8.75
Regulatory Fee 0.13
07/30/14 07/31/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 15 0.60 (914.61) (24.605.55)
JBLU Sep 20 14 11.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/30/14 07/31/14 Margin Buy - Securities Purchased FUELCELL ENERGY INC 10 0.90 (911.74) (25.517.29)
FCEL Oct 18 14 1.5 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/30/14 07/31/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC 5 3.00 (1.508.87) (27.026.16)
UEPS Jan 17 15 8.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
07/30/14 07/31/14 Margin Buy - Securities Purchased AEROPOSTALE INC 15 1.35 (2,039.61) (29,065.77)
ARO O0118 14 2.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/30/14 07/31/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 10- 0.76 748.24 (28,317.53)
UAL Aug 08 1445.0 P TO OPEN
Commission 11.50
Regulatory Fee 0.26
07/30/14 07/31/14 Margin Buy - Securities Purchased ALCATEL LUCENT 65 0.45 (2,968.31) (31,285.84)
ALU Sep 20 14 3.5 C TO OPEN
Commission 41.75
Regulatory Fee 1.56
SDNY_GM_00011677
CONFIDENTIAL
page 66 of 76
EFTA_00122328
EFTA01267807

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade Settle Acct Transaction! Symbol
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
07/30/14 07/31/14 Margin Buy - Securities Purchased WHOLE FOODS MKT INC 70 1.70 (11,946.18) (43,232.02)
WFM Aug 08 14 38.5 P TO OPEN
Commission 44.50
Regulatory Fee 1.68
07/30/14 07/31/14 Margin Sell - Securities Sold TWITTER INC 10- 10.70 10,688.02 (32,544.00)
TWTRAug01 14 36.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.48
07/30/14 07/31/14 Margin Buy - Securities Purchased TWITTER INC 15 1.51 (2,279.61) (34,823.61)
TWTRAug01 14 46.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/30/14 07/31/14 Margin Buy - Securities Purchased WHOLE FOODS MKT INC 70 1.66 (11,666.18) (46,489.79)
WFM Aug 08 1439.5 C TO OPEN
Commission 44.50
Regulatory Fee 1.68
07/30/14 07/31/14 Margin Buy - Securities Purchased TWITTER INC 45 1.46 (6.601.83) (53.091.62)
TWTR Aug 01 14 48.0 C TO OPEN
Commission 30.75
Regulatory Fee 1.08
07/30/14 07/31/14 Margin Sell - Securities Sold PACIFIC ETHANOL INC 20- 2.90 5.78239 (47,309.23)
PEIX Aug 16 14 16.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.61
07/30/14 07/31/14 Margin Buy - Securities Purchased UNISYS CORP 15 0.40 (614.61) (47,923.84)
UIS Oct 18 1424.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/30/14 07/31/14 Margin Sell - Securities Sold PACIFIC ETHANOL INC 20- 2.90 5.782.39 (42.141.45)
PEIX Aug 16 1416.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.61
07/30/14 07/31/14 Margin Sell - Securities Sold YAHOO! INC 100- 0.46 4.536.49 (37,604.96)
YHOO Aug 08 14 36.0 P TO OPEN
Commission 61.00
Regulatory Fee 2.51
SDNY_GM_00011678
CONFIDENTIAL
page 67 of 76
EFTA_00122329
EFTA01267808

Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade Settle Acct Transaction! Symbol
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
07;30;14 07:31:14 Margin Sell - Securities Sold YRC WORLDWIDE INC 15- 5.20 7,785.21 (29,819.75)
YRCW Oct 18 14 22.5 C TO CLOSE
Commission 14.25
Regulatory Fee 0.54
07/31/14 07/31/14 Margin Div.:Int - Expense MARGIN INTEREST CHARGE 0.00 (120.29) (29,940.04)
Payable: 07/31/2014
Closing Balance ($29,940.04)
'For Cash &Wily totals, refer to the Cash AttivIty Suinrnary on page one of your statement.
TD Ameritrade Cash Interest Credit/Ex • - nse
Begin Margin Credit Number Interest Interest Interest
Date Balance Balance of Day Rate Debited Credited
07/02/14 $ (7,192.11) 1 9.00 $ 1.80 $ -
07/03/14 (21,348.12) 4 8.75 20.76
07/08/14 (3.156.25) 1 9.00 0.79
07/15/14 (53.573.28) 7.50 11.16
07/16/14 (80,699.25) 7.50 16.81
07/17/14 (48,201.69) 8.50 11.38
07/22/14 (33,926.03) 8.50 8.01
07/23/14 (59.104.33) 7.50 12.31
07/28/14 (36,975.15) 8.50 8.73
07/29/14 (58,032.39) 7.50 12.09
07/30/14 (39,866.36) 8.50 9.41
07/31/14 (29,819.75) 8.50 7.04
Total Interest Income/(Expense) $120.29 $ 0.00
Insured De. osit Account Interest Credited
Begin Number Interest Merest MID MTD
Date Balance of Days Rate Accrued Accrued PAID
7/01/14 $ 4,950.93 1 0.0100 $ $ - $ -
7/07/14 8,681.43 0.0100
7/09/14 14,497.72 0.0100 0.01 0.01
7/10/14 11,089.64 0.0100 0.01
7/11/14 40,071.74 3 0.0100 0.03 0.04
7/14/14 15,001.11 1 0.0100 0.01 0.05 0.05
7/18/14 166,029.69 3 0.0100 0.13 0.13
7/21/14 91,375.72 1 0.0100 0.03 0.16 0.16
7/24/14 39,097.10 1 0.0100 0.01 0.01
SDNY_GM_00011679
CONFIDENTIAL
page 68 of 76
EFTA_00122330
EFTA01267809

Statement for Account # 867-730320
07/01/14 - 07/31/14
Insured Deposit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
07/25/14 53,448.92 3 0.0100 0.04 0.05 0.05
Total Interest Income $0.26
Trades Pendin. Settlement
Account Symbol/ Trade Settle
Investment Description Type CUSIP Quantity Price Date Date Amount
BUY RICEBRAN TECHNOLOGIES Margin RIBTW 100 $ 1.59 07/29/14 08/01/14 $ (165.00)
WARRANT EXP 11/18/2018
BUY RICEBRAN TECHNOLOGIES Margin RIBT 100 5.19 07/29/14 08/01/14 (525.00)
COM
BUY LANTRONIX INC Margin LTRX 1,200 1.96 07/29/14 08/01/14 (2,358.00)
COM
BUY MERRIMAN HOLDINGS INC Margin MERRD 614 3.59 07/29/14 08/01/14 (2,210.26)
COM
BUY MERRIMAN HOLDINGS INC Margin MERRD 86 3.58 07/29/14 08/01/14 (307.88)
COM
BUY TORCHLIGHT ENERGY Margin TRCH 100 4.02 07/29/14 08/01/14 (408.00)
RESOURCES
COM
BUY NOTIFY TECHNOLOGY CORP Margin NTFY 104 22.00 07/29/14 08/01/14 (2,294.00)
COM
SELL TORCHLIGHT ENERGY Margin TRCH 6.500- 3.8801 07/29/14 08/01/14 25,214.09
RESOURCES
COM
BUY TRANSGENOMIC INC Margin TBIO 434 3.9986 07/29/14 08/01/14 (1,741.39)
COM
BUY LIHUA INTERNATIONAL INC Margin LIWA 7,500 0.13 07/29/14 08/01/14 (981.00)
COM
SELL TORCHLIGHT ENERGY Margin TRCH 500- 3.9301 07/29/14 08/01/14 1,959.00
RESOURCES
COM
SELL TORCHLIGHT ENERGY Margin TRCH 4.000- 3.93 07/29/14 08/01/14 15,719.65
RESOURCES
COM
SONY_GM_0001 1680
CONFIDENTIAL
page 69 of 76
EFTA_00122331
EFTA01267810

Statement for Account # 867-730320
07/01/14 - 07/31/14
Trades Pending Settlement
Account Symbol! Trade Settle
Investment Description Type CUSIP Quantity Price Date Date Amount
BUY TRANSGENOMIC INC Margin TBIO 1.000 3.95 07/29/14 08/01/14 (3,956.00)
COM
BUY NOTIFY TECHNOLOGY CORP Margin NTFY 100 22.00 07/29/14 08/01/14 (2.206.00)
COM
SELL QUANTUM FUEL SYSTEMS TEC Margin QTWW 700- 5.4701 07/29/14 08/01/14 3.822.98
COM
SELL QUANTUM FUEL SYSTEMS TEC Margin QTWW 1.000- 5.47 07/29/14 08/01/14 5.469.87
COM
BUY LANTRONIX INC Margin LTRX 500 1.938 07/29/14 08/01/14 (975.00)
COM
BUY RICEBRAN TECHNOLOGIES Margin RIST 600 5.12 07/29/14 08/01/14 (3.078.00)
COM
BUY RELM WIRELESS CORP. Margin RWC 230 4.04 07/29/14 08/01/14 (935.20)
COM
BUY RICEBRAN TECHNOLOGIES Margin RIBT 100 5.125 07/29/14 08/01/14 (518.50)
COM
SELL MODUSLINK GLOBAL SOLUTIONS Margin MLNK 807- 3.76 07/29/14 08/01/14 3.028.25
INC
COM
BUY MERRIMAN HOLDINGS INC Margin MERRD 2.200 3.45 07/29/14 08/01/14 (7,596.00)
COM
BUY MERRIMAN HOLDINGS INC Margin MERRD 2 3.47 07/29/14 08101/14 (12.94)
COM
BUY ACCESS PHARMA INC Margin ACCP 3,500 0.285 07/29/14 08/01/14 (1.003.50)
COM
BUY MERRIMAN HOLDINGS INC Margin MERRD 279 3.49 07/29/14 08/01/14 (979.71)
COM
BUY MERRIMAN HOLDINGS INC Margin MERRD 112 3.58 07/29/14 08/01/14 (406.96)
COM
SELL AMERICAN AIRLINES GROUP INC Margin 15- 1.39 07/31/14 08/01/14 2.070.34
AAL Aug 08 14 39.5 P
SELL SONY CORP Margin 35- 2.00 07/31/14 08/01/14 6.973.75
SNE Oct 18 14 17.0 C
SDNY_GM_00011681
CONFIDENTIAL
page 70 of 76
EFTA_00 I 22332
EFTA01267811

Statement for Account # 867-730320
07/01/14 - 07/31/14
Trades Pending Settlement
Account Symbol! Trade Settle
Investment Description Type CUSIP Quantity Price Date Date Amount
SELL SONY CORP Margin 25- 2.10 07)31/14 08101/14 5.229.53
SNE Oct 18 14 17.0 C
BUY ADVANCED MICRO DEVICES INC Margin 10 0.66 07/31/14 08101/14 (671.74)
AMD Jan 17 15 3.5 C
BUY TWITTER INC Margin 20 0.39 07/31/14 08101/14 (797.48)
TWTR Aug 01 14 46.0 C
BUY FUELCELL ENERGY INC Margin 5 1.50 07/31/14 08101/14 (758.87)
FCEL Oct 18 14 1.0 C
BUY RADNET INC. Margin 30 0.15 07/31/14 08101/14 (473.22)
RDNT Sep 20 14 7.5 C
BUY AEROPOSTALE INC Margin 15 0.45 07/31/14 08/01/14 (689.61)
ARO Jan 17 15 3.5 C
BUY TWITTER INC Margin 20 0.15 07/31/14 08101/14 (317.48)
TWTR Aug 01 14 46.0 C
BUY PACIFIC ETHANOL INC Margin 20 1.80 07/31/14 08101/14 (3.617.48)
PEIX Aug 16 14 16.0 C
BUY BEAZER HOMES USA INC Margin 25 0.50 07/31/14 08101/14 (1,270.35)
BZH Jan 17 15 20.0 C
BUY TWITTER INC Margin 20 0.21 07/31/14 08101/14 (437.48)
TWTR Aug 01 14 46.0 C
BUY JETBLUE AIRWAYS CORP Margin 100 1.45 07/31/14 08101/14 (14,563.40)
JBLU Dec 20 14 10.0 C
SELL UNITED CONTINENTAL HLDGS Margin 10- 0.55 07/31/14 08101/14 538.24
UAL Aug 08 14 45.0 P
SELL YAHOO! INC Margin 15- 0.62 07/31/14 08101/14 915.36
YHOO Aug 08 14 36.0 P
SELL AMERICAN AIRLINES GROUP INC Margin 10- 1.16 07/31/14 08101/14 1,148.23
ML Aug 08 14 39.5 P
BUY YRC WORLDWIDE INC Margin 10 0.45 07/31/14 08101/14 (461.74)
YRCW Oct 18 14 32.5 C
BUY COWEN GROUP INC Margin 10 1.60 07/31/14 08101/14 (1.611.74)
GOWN Jan 17 15 2.5 C
BUY MICHAEL KORS HOLDINGS Margin 10 3.70 07/31/14 08101/14 (3.711.74)
KORS Aug 08 14 81.0 C
SDNY_GM_00011682
CONFIDENTIAL
page 71 o176
EFTA_0012 2333
EFTA01267812

Statement for Account # 867-730320
07/01/14 - 07/31/14
Trades Pending Settlement
Account Symbol! Trade Settle
Investment Description Type CUSIP Quantity Price Date Date Amount
BUY RADNET INC. Margin 15 0.20 07/31/14 08101/14 (314.61)
RDNT Sep 20 14 7.5 C
BUY FUELCELL ENERGY INC Margin 15 1.00 07/31/14 08101/14 (1,514.61)
FCEL Oct 18 14 1.5 C
BUY CORINTHIAN COLLEGES INC Margin 20 0.05 07/31/14 08101/14 (117.48)
COCO Nov 22 14 1.0 C
BUY ZIOPHARM ONCOLOGY INC Margin 15 0.80 07/31/14 08/01/14 (1,214.61)
ZIOP Oct 18 14 3.0 C
BUY YAHOO! INC Margin 5 3.10 07/31/14 08101/14 (1,558.87)
YHOO Aug 16 14 33.0 C
SELL SONY CORP Margin 15- 1.70 07/31/14 08101/14 2.535.33
SNE Oct 18 14 17.0 C
BUY RADNET INC. Margin 25 0.15 07/31/14 08101/14 (395.35)
RDNT Sep 20 14 7.5 C
BUY BEAZER HOMES USA INC Margin 25 0.45 07/31/14 08101/14 (1.145.35)
BZH Jan 17 15 20.0 C
BUY JETBLUE AIRWAYS CORP Margin 100 1.40 07/31/14 08101/14 (14.063.40)
JBLU Dec 20 14 10.0 C
BUY YRC WORLDWIDE INC Margin 16 0.17 07/31/14 08101/14 (287.19)
YRCW Aug 16 14 32.5 C
BUY BEAZER HOMES USA INC Margin 15 0.45 07/31/14 08101/14 (689.61)
BZH Jan 17 15 20.0 C
BUY RADNET INC. Margin 20 0.15 07/31/14 08101/14 (317.48)
RDNT Sep 20 14 7.5 C
SELL UNITED CONTINENTAL HLDGS Margin 5- 0.66 07/31/14 08101/14 321.12
UAL Aug 08 14 45.0 P
BUY ACCESS PHARMA INC Margin ACCP 29.000 0.278 07/30/14 08104/4 (8.068.00)
COM
BUY LIHUA INTERNATIONAL INC Margin LIWA 6,500 0.18 07/30/14 08104/4 (1.176.00)
COM
BUY 7a7A ENERGY CORPORATION Margin 7a7A 6,453 0.75 07/30/14 08104/4 (4,845.75)
COM
SELL QUANTUM FUEL SYSTEMS TEC Margin QTWW 1.500- 5.4184 07/30/14 08104/4 8.121.42
COM
SDNY_GM_00011683
CONFIDENTIAL
page 72 o176
EFTA 00122334
EFTA01267813

Statement for Account # 867-730320
07/01/14 - 07/31/14
Trades Pending Settlement
Account Symbol! Trade Settle
Investment Description Type CUSIP Quantity Price Date Date Amount
SELL MODUSLINK GLOBAL SOLUTIONS Margin MLNK 893- 3.7402 07/30/14 08/04/14 3,333.92
INC
COM
SELL MODUSLINK GLOBAL SOLUTIONS Margin MLNK 300- 3.7401 07/30/14 08104/4 1.122.00
INC
COM
BUY RICEBRAN TECHNOLOGIES Margin RIBTW 200 1.59 07/30/14 08104/4 (324.00)
WARRANT EXP 11/18/2018
BUY ACCESS PHARMA INC Margin ACCP 31.000 0.26 07/30/14 08104/4 (8.066.00)
COM
SELL QUANTUM FUEL SYSTEMS TEC Margin QTWW 1,500- 5.4201 07/30/14 08104/4 8.123.97
COM
SELL TITAN ENERGY WORLDWIDE INC Margin TEWI 148.000- 0.0315 07/30/14 08/04/14 4.655.89
COM
BUY MERRIMAN HOLDINGS INC Margin MERRD 3.706 3.57 07/30/14 08104/14 (13.236.42)
COM
BUY MERRIMAN HOLDINGS INC Margin MERRD 200 3.83 07/30/14 08104/14 (772.00)
COM
SELL RELM WIRELESS CORP. Margin RWC 58- 4.09 07/30/14 08104/14 231.21
COM
SELL RELM WIRELESS CORP. Margin RWC 900- 4.085 07/30/14 08104/14 3.676.41
COM
SELL RELM WIRELESS CORP. Margin RWC 42- 4.08 07/30/14 08104/14 171.35
COM
SELL RELM WIRELESS CORP. Margin RWC 158- 4.0701 07/30/14 08104/14 643.06
COM
SELL RELM WIRELESS CORP. Margin RWC 42- 4.07 07/30/14 08104/14 170.93
COM
BUY MERRIMAN HOLDINGS INC Margin MERRD 200 3.80 07/30/14 08104/14 (766.00)
COM
SELL TORCHLIGHT ENERGY Margin TRCH 1,600- 3.8001 07/30/14 08104/14 6.074.02
RESOURCES
COM
SDNY_GM_00011684
CONFIDENTIAL
page 73 o176
EFTA 00122335
EFTA01267814

Statement for Account # 867-730320
07/01/14 - 07/31/14
Trades Pending Settlement
Account Symbol! Trade Settle
Investment Description Type CUSIP Quantity Price Date Date Amount
SELL TORCHLIGHT ENERGY Margin TRCH 300- 3.705 07/30/14 08104/4 1.105.47
RESOURCES
COM
SELL TORCHLIGHT ENERGY Margin TRCH 4,700- 3.70 07/30/14 08104/4 17.389.61
RESOURCES
COM
SELL TORCHLIGHT ENERGY Margin TRCH 150- 3.70 07/30/14 08104/4 548.98
RESOURCES
COM
SELL TORCHLIGHT ENERGY Margin TRCH 4,850- 3.6501 07/30/14 08104/4 17.70259
RESOURCES
COM
BUY RICEBRAN TECHNOLOGIES Margin RIBT 100 5.0999 07/31/14 08105/14 (515.99)
COM
BUY RICEBRAN TECHNOLOGIES Margin RIBTW 200 1.5499 07/31/14 08105/14 (315.98)
WARRANT EXP 11/18/2018
BUY HAUPPAGE DIGITAL INC Margin HAUP 4,700 0.2498 07/31/14 08105/14 (1.180.06)
COM
BUY RICEBRAN TECHNOLOGIES Margin RIBT 900 5.11 07/31/14 08105/14 (4.605.00)
COM
BUY LANTRONIX INC Margin LTRX 300 1.9699 07/31/14 08105/14 (596.97)
COM
SELL COWEN GROUP INC Margin GOWN 3,185- 3.9601 07/31/14 08105/14 12.606.64
COM
SELL MODUSLINK GLOBAL SOLUTIONS Margin MLNK 1,200- 3.7201 07/31/14 08105/14 4.458.02
INC
COM
BUY ELEPHANT TALK Margin ETAK 1,600 0.9073 07/31/14 08105/14 (1.457.68)
COMMUNICATIONS
COM
SDNY_GM_00011685
CONFIDENTIAL
page 74 o176
EFTA (H)1 22336
EFTA01267815

Statement for Account # 867-730320
07/01/14 - 07/31/14
Trades Pending Settlement
Account Symbol/ Trade Settle
Investment Description Type CUSIP Quantity Price Date Date Amount
SELL COWEN GROUP INC Margin COWN 315- 3.9701 07/31/14 08/05/14 1,244.55
COM
BUY ELEPHANT TALK Margin ETAK 1.153 0.90 07/31/14 08/05/14 (1,043.70)
COMMUNICATIONS
COM
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $5,059.03
07/01/14 07/01/14 Delivered FDIC INSURED DEPOSIT ACCOUNT $ (108.10) 4,950.93
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
07/02/14 07/02/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (4,950.93) 0.00
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
07/07/14 07/07/14 Received FDIC INSURED DEPOSIT ACCOUNT 8,681.43 8881.43
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
07/08/14 07/08/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (8,681.43) 0.00
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
07/09/14 07/09/14 Received FDIC INSURED DEPOSIT ACCOUNT 14,497.72 14.497.72
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
07/10/14 07/10/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (3,408.08) 11,089.64
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
07/11/14 07/11/14 Received FDIC INSURED DEPOSIT ACCOUNT 28,982.10 40,071.74
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
SDNY_GM_0001 1686
CONFIDENTIAL
page 75 of 76
EFTA_00122337
EFTA01267816

Statement for Account # 867-730320
07/01/14 - 07/31/14
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
07/14/14 07/14/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (25,070.63) 15,001.11
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
07/15/14 07/15/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (15.001.11) 0.00
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
07/18/14 07/18/14 Received FDIC INSURED DEPOSIT ACCOUNT 166,029.69 166.029.69
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
07/21/14 07/21/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (74,653.97) 91.375.72
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
07/22/14 07/22/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (91,375.72) 0.00
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
07/24/14 07/24/14 Received FDIC INSURED DEPOSIT ACCOUNT 39,097.10 39.097.10
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
07/25/14 07/25/14 Received FDIC INSURED DEPOSIT ACCOUNT 14,351.82 53.448.92
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
07/28/14 07/28/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (53,448.92) 0.00
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
Closing Balance $ 0.00
TD Bank NA $0.00
FDIC Insured Depose Account (IDA) balances reflected in your trokerage account are FDIC-insured up to applicable limits and held by TD Bank. N.A. or TO Bank USA. N.A.. or both. The IDA balances are not covered by the
Secumies Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
SDNY_GM_00011687
CONFIDENTIAL
page 76 of 76
EFTA_00122338
EFTA01267817

ST
THOMAS.
VI
00802-1348
6100
RED
HOOK
QTRS
STE
8-3
ATTN:
JEFFREY
EPSTEIN
SOUTHERN
FINANCIAL
LLC
1D
Ameritrade
CONFIDENTIAL SDNY_GM_00011688
EFTA_00122339
EFTA01267818

Terms and Conditions
STATEMENT GUIDE
IL Ars waeb aardes mortel,. Foreklio Amons lor aocoums wth acverty and quanedy toeans h Me «Pol 01 a aderend ineolrency. a Clan may realbeeMOunts due KOM the Posten For an investor brochuo Mal encbcles informabon desaliang FINAM Pasli Thsclesuro
*a omase accounts wth asels.' in ~Pat and mon SIPC. Pocolonental omorago a pad out dier rad trustee and Program. platte contact FINRA at 030-289.9?99 or wanylkwa01.
Portfolio Symfonie,: Tred,* Ilro Correct «Poe d >Por p00010 es Of the repal dele end &Po payouts ard Lader such coyotes@ each den es limiled to a temend return ot
~paren n to me prior monlha The Ebt elPoaliOn Meelt, yOur 00010 divendealion by 5152 mniOn Ironie Poelet. SIPC and London in/koers The TO Mertrade Supplanenlel Om inwiest Ø Luen tor TO Amertrade Cash is laken lom Om applcatlis minst rato eer lor
invesimert type navenant bas an aggrogale hm el 550) muon amt all cum:mors. ins polcy taande: th, Makel VON, balace ~TO Amen:rede Carlh. as 01m b delement °bang dele Simple
Cerevage lotkraing Weswege ineohincy enddoes nOl proleet Poenale» in merkel neb, worest es acnxd dar, base, on the interest rato sa opdraai> to oach days Liane°.
MAM* dboateres under 5% enk be grougol mto thocampory ol "Ces" in tho po chan. Mar dem securnos
Essay - Total Account Ertuib<Froiel Long Maginable lakte • Total Short Velde) Inname: d Statement Noldbation: The mammae ol Inwaai condten lor TO neiammen
inveteMent h a money martel Fond ia nol ineured Or gardreeed by Me Federtd ~lede Wee a year and may be obtentcl al nO oost vie Me intomen el
Actrvity Summary: Ine opening and doling cash blanca wo reconored hete lor year aak erepost Insuranar Corporabon (F010 a any oma government agent,. Mhough 010 Mar»\ w ortectonentradeoonslinanctabiatemonthrn.
relerosce At account armry es sunnsanzed lor tm °urgent pand and voor to dato_ eUrldS bek 10 posene the valle d yow imealment al 51 0) p« gure. 4 b pOsebb 10
boom* a Exponeer Summary (nendEAs only): Ibis seroen daalt ene mama ard amens. lOse moro'/ by invoelen n a money merkel kind. (badende eie decered dely end °neon AssIgnment: MI short oquer, ogion canons and same index omen poubons are
We, trom the Pocht Summa>, and ePonales the las IrealMeni. pactrannestod merdy. Tho prcopedos contans des ard aha important dormalon ~Mae lor essignment brede assignintm races co, Pouby or index options ere rendont'
Rebnsment Account Stansery ORM only): Rader Om IRS reculatod transaceons for lbo Reed the aanmars Carecify Won ~ding. NOndePollil invettmente held b/ your alocated aflang alldorde shon pontons try an aJtamolod praatte.
curert ad aa nam IRS Form 5498 Ier Modi« vak* ie band On Me sonant nakie aa or boker dealer We NOT FDIC NSURED t NOT BANK GUAfteNTEED r MAT LOSE VALDE.
Doorns« 31 d tho panui yoar ard tunt be furrishod tome hierna Revenu° San". Free Credit Balemoes "Ie 154-2 0 3): Under mo om promotion nets. wo may usa free
l P o a s d s o a n . n *o a r n y c o e u S r l u u m tu m ro a r r o y e :M :t o r n o it m or s > t o ra o t r e o g m y. w al portfolio Postament, eid Iho ineen/cd gaine and c T a h n e t b o a l l e o n s ° b , o i, n y d o o u n r b y a o n u k r o d r e d p e e r n . d a n e d C C M O e .e c d m O o f r t i i e h d tu s e r S a t d u rn 'M ad u f l o M w ON a S r , s m cc a u rk re e e l s n a o c t c u o l u n fu t n o d r C on re d di o t r b h a e a id n . eb n yOur *CCOunt n IN Ordner>, none ol cm boenen whkh en> melde to you
Account PositIons: View your rnostrnonts l tho current market yam ard corrporo the ongul renseled byta
cad to vee irweeked geine and Poses n your Denkt° Originel coel is esagned vang 'he Margin Aecourds (RopulallonT): H you have a margin account. ms report d a combnaton cd
b tr a a b . a D . m nr a a to a u n l ( b FI i F d O e I r m tro e s th tm o a d r . d w e e n ie c n o m as e s 2 u a m n e d e ~ m r e a li g nt e ' s c h a a s r t e p , > e P r o s s h e ar t e e r a e r e M o d e on s d y a o y u e p d u l r o c r h a y s o e u d r T tm O D ~ a e a n n g : n o Th x e rp a la n m d e O m b h a n E S if M se a as le on r o P s o i o s r i n n e d n u t d e Y s ® W e a 0 k r e a n ro ke d e F o o . r m S 1 o 0 d 3 a 9 is b . « P P o o e e n l n y o tr te e s n a e nd o n d O n C o C l O ru Ur r il a a l r e d e lo r W a e ll e i k n t v ] ~ es e to t r e s. n A d c " o mp a l c e o t* b l n a t t d T ra th d e n g ri s o k n s m a e n n o g m n a p li o e s , e tu s n e n d m dl a io n n n a in l
m Ac ie C r O /a u c n e t A W e e t e h « il P y: o A t p l S at i h d o a s r ° t e da cI t M e e ly s ia h o d w ee a r b t/ r d e e n lb .' e M d o . e I r e io le n « 0 i 1 n y O ou M h O ob rd a e g r. P e O n 0 d 0 r 0 el . l eded n Me g w a il n t: s o . r la e u n w :d Ø ol . o s mix e o n c d r e x r r o t s to p r r r o e c c e c n d te s n Som, mimer% ere subject 10 redessPoilOn nbds b do e c d u o m e e i n s t b m y a co a n g le ° e l i i n n g m ti e e e m l a m r a g e v a r n e h k e d r i S tc e b le s ct u o re n p c a la ge in e s n tm e o . l Y ro O e u r m st a a y te o m b e ta n i t n e copy or Ms
Ø O d d T ta o M a n s . e n r O n s D o s t t a e ; . t c t G n % a a s e n s o e S o h t l m r t W i a n S n l r e e e s e n a r p P v C c o i t o c e r io t t e . i t n n l s e g s T n t p i r s d a o in n n b l n d : o C c . r e l o i m O l n le d f n i c r u t m e d d n y g n o u c m h e e C e m c a A k s O c . h c d r o m e o u d e n a n t t n r A e c p c a d e v r e d n m s e a y e n n n t d o n v m M e e o n I s n A e e n d n a o o c e n n u m r a m n e y o M n . m a a d r s l e e . n t e ', e s a t w a lle d s ! e n S n o w d n i a n e t g n o ~ M O c b o A A Ø M n .V N e e n n l y e e e e t n h l b d e y t C m e a C o r : t W a O n tE e 1 a c a e r s h y m t n i C l d m t . C e c t t a d h a n P e . w O I i I n d D e R k i S m a A n T 1 m e d E 1 l o ) o D D a n n m ) a a a T e t n o I e n ) d n r a e d e a n a d n d t e a a = l p r t o s r c o e d k P p e id o o n e r is i d n e g n C n o a t a n r d l e N p p G C a e u C s r n e E d t : P a n k C s o e r E i p t l A e a s T n E a w te r D e d e 6 W r r e a s e ( 1 a b n P d r d i o o t y t a r n a - o o e le r t l r o s P f s e o e h x a c r l a e e e y e r m i m c n e g t r a n e o e c n d s n a d g t s i m o r h l r o i e e e t m p C r n s a p c t O h y a a y m r s s M I d s . e r e a b n a o r b r t . L o l o F l I n e k l l o a n l w a e s W » d r o ( o C S e c r o t E n d p i m o C e o n c p a s . e R o l t e T n n e r g O g e d s u n e c ( A t t s M t a d m e 6 n a r 0 a t o s r k 6 t e n / r e n a a s a a l d n f p l n e e d o y o t a n i 6 . O l t t t s 0 s h e n o 7 e s n d ) m o : & e i s I e a n l c d u y C l s e n e r o u e t a m a a n m a g o l a p m n c r l e n d e rc c o n c u a u b tb m a o r r a o i p o b n s r o r e d t l i a u s n s n e I e s i r c s n s a e e s t I l n s e a o ll . y e n M r T ( o e o l O * a r r W Ø d k m A e e e r e r l n o d C o l m r a / t e a t o i a a l r l a p t n e h d e t g n e o e r
Onbne Cash Services SurnmansCredt ard dabt transactien mats lor kno cunom statement Porgin and Options Account Agreements: Prompt/ aPosol0 Amenirado n meng ot *zoem!~ at nomidarrirtrado_com. A ventten copy is avoratle Lpere roXpett.
rePOnag gradOCIrre summerized. IndisiCkel neonataal, eie rot limed. arry deango re your investment clarcuyos or *namat stuabn as they man to your
'Je to !tanding antustments. tho stroman detals may not apal me statement totals. m w a e r i l I ij n n e O o r x 0 cr 0 ou 1 tb ~ an 8 o 0 l 0 o 0 p u e n e t n a s g & re a e n rn o e d n e is n A , i s su ~ m M nb a ay e O . r amminions and charge, ineuned ~ h k es e o f u t r P p o e n nn d y . O a n b e M en e l P (W a il r ly i o t r o d e a rs a r to d e ln o b e e d o n e lr r a e r c y s . m to o n s e a le n c i t b th r e ok h et a s l . e d ry o o 0 ie 1 r s s . e a e r li d n g ~ k e e ia i
telnleled Aan' Income end Eserroted Annuel bied vlaken are bets troon Ibe number ei erna/moment en markt* orders. Poco improyetTentm aV311.1010 unief "han mantel condlsons.
slums coma) or avrom valuta balanca as ot ne stalemom dale ard mo most team draden:1 Oren Makel Poon: The molmt 'duet d somma ham bom Wand d motte korn and wo regulary monter execulas to lest lat sten mormonen d as...Matte.
rele or cash Pekt pende() q".:10‘ serMe ad Oer roependen( acne Tabee we Woed On Ob dovig aal me
ran beween mo brd ad arltrq paces or ahoi reces. t no racket dim n /Motie anna Trede COMIrmathenti (Ruin 11/0-10): MI contrmalions ere PereminedOn gre Inan5ibbn dele.
GENERAL INFORMATION qadaiacn eend> tv Oh« indePoodent EaCe. he sec" e Woed lo beng relected
Nul Pace Ce) Die edu»dts cri your addo raat are Wan», os 90104, Intrrdlon ad Tem: Dentaal" in beien sPourilen OnCliOng bre4gn ~bant a 11`51 Kade In IN
10 Omen:rade does not aarde legal or las ~ce. Plees* consul, your lepe adteor or las to dom guramoo ran accuracy day soorten pree hblaaao laacked postonsaoseltiol U.S.) ray rebel° exa ani lees chargod bymo keer marron en governmenls. Wedt may
titCOurall venen MOPPlery. As e standerd inCleby paden. 010ne tone blar may be rang Po ~enne banco ad be om« merkel pine REEP Kast ~Pons my nei be haecied in le print Ol le money Of cherged es an Poepende« Ine Pon
nabetaal br Sally domti and transaegOn valli05141 OurpOstae manco, sake aam*, lbo teo:nday naad Ia Cotrodos d Depotis (CON n generaly
ituud and the adat tute me, be dtiews aan Me ~me doe ~tartte% Cl pine l Pits" Pormy Notilkillon: A copy of Me TO Amertrecb privacy DOleY ie anPoble el
For TO Amentrade rasebro al darm ytre °Mes« hm es separate from and not attbaled wit. mar rooit Pon Me :ab S a CD par la rralsty Sext adb Ral Worm Securtes Wade waw.Pamegiradoeorn
TO Ansentrade. Inc. er TO Arratrado °meng, Inc.. ard aan h'm es rot responsble la the ademmi/ thas oom sauna and verd Pa <natelde accronse. Renet moy waarin»
0100xle end senices Ol Me oder. OTC loer the °punten markt( and dirOtet louctryrntyrxt ard b ytu»seil sour palmpa Cao** Securbern The Oman el podia mdamdonsa calls is dane vang a proeft ketny
to rnsuty. Tho vlo et tent 'snor to rrubsty ma/ rooJi n a las d renapol. mslem. A aoanption el mo proadres br Sitte secunins is avalabloon Vre ~Ma or haal
Acceracy of Reporls:11 you fInd any errors or omissie:ins In your accouM statement you «mies aro ~tabla twonicep.osi.
*houd immediatety con ve et le omber had 00 page ome 01 your statement You Non Standard Assem PISAI aso typcaly ~stoot ra droeg pastematon program sauma
*houd oho contact our Clearing Frm TD Amentrade Clearing, ro. el 800469-95100. gootrentms. Imeodtabltycempana. cr red afat rriesron neen certrada pais. prude In Case Ol enorti er apesters &Out your ElearaPo Fund %Adem ',sekse co wei e ei
buty. abele deel a Tedge Ø. N546 ere botdy houd mealmeas ad do not Inde cn a 1600.6693900. or n wrang to P.O. Box 2209. Omessa. NE 68103. or by emoe at
Please rcenew ms sialemoM c.iredity. Ir you dragee* sub any transamon, or d Mae am any mondt bana aØ a ta Krom Stod Wad Do 'duce dean ta azo medbads dieMeentiCE(PodaMeritolde.COm The PoOnnaten cOnleined n sou( *aard statement shag
orde er °Menen,. please roef>, e Dient Services represeMelhe a you 1):81 Winch OPoe. es ere ~Ad wam det ed han turby ~bolk Pokend bul nol Inbed Is ndependenl be bndng upen you el you do not ettci wthn sub LEE days lor any transfer d lurds stbpd
wel as 10 Amairode Cleaneg. Ine. in wrong anno ton (10) days of war record ot th, operaas de proeyams ra =eb, and« tred party tonder aders tul ham boen prtmeed by se Rapiabon E. such as MM and pon obrale tram," doen transactions. wat depeotts.
statement Am ora statements Intet you hem made to ui slala be CONPoSed in meng The Me ~mora" ~maand* gaar d ttath argon er by a thrdpaty vendu smout and dihdarnals We Must heer trom you ro teler Man 60 dan after we sent yOu Ine FEST
statement Wil «Ponem be considered conclehe. indgendeM ~esa by TI) Wnabade. Vaten mei nat raket gre cPonal animo, pico. statoment en whchthe error or peetoom appeared.
atal mairi snul, c< be roalaxl man Inbidoacn a asemend ida cadet be esLablehed (I) Ted us lag rome and account ~Poer
Fletse natelt ie prompity 01 any changes in yocr cOnteci inormation. Treneedions Meehad On *rough tweemethode. Me miueicn mto be renbod es NOnanced CNV) Fel eddlend Octet (2) Dolen» the error or Po Wanlor you are unsuro eibout. ard oxplan as dab, as you can
your repon wil be concbsepaydecomed aeontourdoss you noely TD Amenfadoirrenadatey. tombng voldaan la hboStasdant koe. Ome oretid Coat Senatet These misdm way you belerro ri is an error or way you nood note inlormabon.
re net wand urda rad SPC (3) Ted us le dab, amodni of Ce suepected error.
Account Prolectbn: Deposits held by TO Rank. NA ard TD Drek USA. N.A. aro resured by Wo wi, temmers* your °omplant and MI narent any error prompdy. H we lakei more man ID
Ts FDIC (ral COvered by SIPC) Up 10 2250.000. Emils are per aCtOunl ormert110 per Aden R,bo Soeurbre raar) Pang: Die motet~ Ia MS somma hom boen caaned. budtuss days lo do Me. se wil redt your eccOuM br Ine *motet yin Mink is n error. soOiM
iinett401. TO leem more etOut FDIC COverage go tn cwer IdCgOv. Seadharr. indoet® meld». trom chOtakneenbat er eter Poepende« ~en The way cd Me pking is nol you wil have rad uso ol the rroneydunng tho tm* a taket us toean:Cao ourinvestoaten.
~krat bnp., held in 00 erehaag* ACCOunt are col deposita Or obligatione el. or ~amant Ha moed Mac rot traite. TD emeritaat sel pron tmI ESpeolim.takrg ille
"'wantend by. any bank. Ø not FOltenscred. and envoho envestmord eks. ircludng ansdoracn bot tm kwel>, sa undrPong mek quaty. Wie SAS merkel is eurrenly
posstle loss ol princpal. TD Amentade is a momber ol Me &curettes Inval« Praatten tononbdreg e bak el Sally end. be ølt Mae an be ro esnrcrce giet toch scones an
Corporalion (51PC'). which braad: secunnes a-stomers of els merrbers up lo 5500.000 to aa ader con, molmt codices. AUTO NO 07,14
(inlading S250.000 lor dodo fez cash). Explanatory brochure is available on requal
REGULATORY DISCLOSURES
wAd.abc.ere.
TO Ansedirede prent«, eed, derd $149.5 rnitbn words ol prolection for Al Ponsaceons aro sdasect to p) me consmubon. Na, Condooms custard and laagt,
lEsTuritieS and 52 nikon 01 IXONCIOn br cash ihreugh Supaementel coverden a0vided by or the exchange Of makel. and ie deemonouse. n dry. on grien toch Landloc ere
London beurelt o Fs xauted tilt fosfaat 4 lag:. o i u n n d c a r g i in D g me O S ecu m noes A in c t el 193 f 3 an on d d tho O S f «ur r te h: s SDNY_GM_0001 1689
EFTA_OOI 22340
EFTA01267819

ID Ameritrade Statement Reporting Period:
08/01/14 - 08/31/14
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTFIS STE 8-3
PO SOX 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TO Arne:brad. Clean®. Inc.. Member SIPC
Portfolio Summar
Current Prior Period 0/0 Estimated Estimated
Investment Value Value Chan Chang! Income Yield Portfolio Allocation
Cash ($123.04) ($29,940.04) $29,817.00 $
Insrd Dep Acct 253,086.65 253,086.65 0.01%
Money Market Other Insrd Dep Acct
Short Balance 4.4% 5.7%
Stocks 2,421,070.92 2,560,212.42 (139,141.50) (5.4)%
Short Stocks
Fixed Income
Options 1,544,041.82 1,255,868.18 288,173.64 22.9%
Short Options (29,510.60) 29,510.60 100.0%
Mutual Funds Stocks
54.9%
Other 194,020.00 136,720.50 57,299.50 41.9%
Total $4,412,096.35 $3,893,350.46 $518,745.89 13.3% $0.00 0.0%
Margin Equity 100.0%
Cash Activity Summary Income & Ex• ense Summar Performance Summary
Non
Current YTD Reportable YTD
Reportable
Opening Balance ($29,940.04) $ - Income Cost Basis As Of • 08/31/14" $4,105,532.89
Securities Purchased (741,749.68) (8,601,401.89) Dividends S - $200.00 Unrealized Gains 632,022.23
Securities Sold 1,024,775.58 4,854,074.53 Interest 1.63 Unrealized Losses (578,422.38)
Funds Deposited 4,000,600.00 Other Funds Deposited/(Disbursed) YID 4,000,600.00
Funds Disbursed Expense Income/(Expense)"° (314.55)
Income 201.63 Interest (123.04) (516.18) Securities Received/(Delivered)"° 0.00
Expense (123.04) (516.18) Fees 'Tor cost-basis Information. refer to vrawtclamerltradozom
Other (253,085.86) (253,081.13) Other
Closing Balance ($123.04) ($123.04) Net ($123.04) $0.00 ($314.55)
SDNY_GM_00011690
CONFIDENTIAL
page 1 of 36
EFTA_00122341
EFTA01267820

Statement for Account # 867-730320
08 01 14 - 08/31/14
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer - $ 4,000,000.00
Subtotal 0.00 4,000,000.00
TOTAL 0.00 4,000,000.00
Income Summary Detail'
Description Current Year to Date
Interest Income Credit Balance $ 0.00 $ 1.63
Margin Interest Charged (123.04) (516.18)
Qualified Dividends 0.00 200.00
IDA Interest 0.79 5.52
'This section displays current and year to date taxation values for itt account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reponable in a previous tax year (spillover dividends). The year to date totals will accuratehi reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
ACCESS PHARMA INC ACCP 363.500 $ 0.33 $119,955.00 05/12/14 $ 142,412.44 $ 0.39 $ (22,457.44) $ -
COM
ATHERONOVA INC AHRO 3.403 2.29 7,792.87 06/16/14 7,570.46 2.22 222.41
COM
COMMAND SEC CORP MOC 20.000 2.1783 43,566.00 07/07/14 36,518.57 1.83 7,047.43
COM
ELEPHANT TALK ETAK 193.853 0.96 186,098.88 05/12/14 193,085.38 1.00 (6,986.50)
COMMUNICATIONS
COM
EMRISE CORP EMRI 32.000 0.79 25,280.00 05/15/14 27,134.47 0.85 (1,854.47)
COM
HAUPPAGE DIGITAL INC HAUP 187.800 0.151 28,357.80 06/13/14 35,201.45 0.19 (6,843.65)
COM
LANTRONIX INC LTRX 90.000 1.89 170,100.00 05/23/14 176,877.30 1.97 (6,777.30)
COM
CONFIDENTIAL SDNY_GM_00011691
page 2 of 36
EFTA 00122342
EFTA01267821

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 81.001 0.1196 9.687.72 06/30/14 22.615.07 0.28 (12.927.35)
INC
COM
MECKLERMEDIA CORP MECK 3,200 1.00 3.200.00 07/24/14 2.645.50 0.83 554.50
COM
MERRIMAN HOLDINGS MERR 30.400 3.80 115.520.00 07/09/14 105.961.03 3.49 9.558.97
INC
COM
MODUSLINK GLOBAL MLNK 43,200 4.09 176.688.00 05/13/14 157.472.54 3.65 19.215.46
SOLUTIONS INC
COM
NOTIFY TECHNOLOGY NTFY 2,220 13.00 28.860.00 07/08/14 32.898.00 14.82 (4.038.00)
CORP
COM
OCLARO INC OCLR 80.000 1.75 140.000.00 05/13/14 151.686.72 1.90 (11.686.72)
COM
RAINMAKER SYSTEMS RMKR 472.000 0.1099 51.872.80 05/12/14 106.708.07 0.23 (54.835.27)
INC
COM
RELM WIRELESS CORP. RWC 57.000 4.80 273.600.00 05/13/14 190.440.35 3.34 83.159.65
COM
RICEBRAN RIBT 66.900 6.65 444.885.00 05/12/14 371.803.49 5.56 73.081.51
TECHNOLOGIES
COM
TITAN ENERGY TEWI 4.503.800 0.026 117.098.80 06/23/14 78.658.58 0.02 38.440.22
WORLDWIDE INC
COM
TRANSGENOMIC INC TBIO 92.600 3.85 356.510.00 05/12/14 368.585.82 3.98 (12.075.82)
COM
ZAZA ENERGY ZAZA 8.873 5.85 51.907.05 05/19/14 63.306.03 7.13 (11.398.98)
CORPORATION
COM
SDNY_GM_00011692
CONFIDENTIAL
page 3 0136
EFTA _00122343
EFTA01267822

Statement for Account # 867-730320
08 01 14 - 08 31 14
Account Positions
SymboU Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
ZIOPHARNI ONCOLOGY ZIOP 21,700 3.23 70,091.00 05/14/14 76.372.38 3.52 (6,281.38)
INC
COM
Total Stocks $2,421,070.92 $2,347,953.85 $73,117.27 $0.00 0.0%
Options - Margin
ADVANCED MICRO 920 $ 0.8398 $77,261.60 05/12/14 $ 80,879.08 $ 0.88 $ (3,617.48) $ -
DEVICES INC
AMD Jan 17 15 3.5 C
ADVANCED MICRO 875 0.3002 26,267.50 06/20/14 36,151.25 0.41 (9,883.75)
DEVICES INC
AMD Jan 17 15 4.5 C
AEROPOSTALE INC 610 1.0193 62,177.30 05/13/14 91,337.14 1.50 (29,159.84)
ARO Jan 17 15 3.5 C
AEROPOSTALE INC 320 2.1952 70,246.40 07/18/14 44,146.39 1.38 26,100.01
ARO Oct 18 14 2.0 C
ALCATEL LUCENT 405 0.0021 85.05 07/21/14 6,331.48 0.16 (6,246.43)
ALU Sep 20 14 4.0 C
AVON PRODUCTS INC 270 0.0629 1,698.30 07/28/14 6,896.98 0.26 (5,198.68)
AVP Sep 20 14 15.0 C
BEAZER HOMES USA INC - 390 1.25 48,750.00 05/13/14 80,047.86 2.05 (31,297.86)
BZH Jan 17 15 20.0 C
BLACKBERRY LIMITED 130 1.9752 25,677.60 06/27/14 24,755.63 1.90 921.97
BBRY Jan 17 15 9.0 C
BLACKBERRY LIMITED 250 0.4864 12,160.00 07/09/14 43,457.50 1.74 (31,297.50)
BBRY Sep 20 14 10.0 C
CENTRAIS ELEC BRAS 505 1.5382 77,679.10 OW13/14 47,661.89 0.94 30,017.21
EBR Sep 20 14 2.5 C
CITIGROUP INC 120 3.70 44,400.00 08/01/14 20,540.88 1.71 23,859.12
C Sep 20 14 48.0 C
CORINTHIAN COLLEGES - 575 0.0291 1,673.25 06/24/14 3,211.05 0.06 (1,537.80)
INC
COCO Feb 20 15 1.0 C
SDNY_GM_00011693
CONFIDENTIAL
page 4 of 36
EFTA 00122344
EFTA01267823

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Options - Margin
CORINTHIAN COLLEGES 2.167 0.0001 21.67 05/13/14 63.816.86 0.29 (63.795.19)
INC
COCO Nov 22 14 1.0 C
COWEN GROUP INC 215 1.632 35.088.00 07/15/14 42.378.41 1.97 (7.290.41)
COWN Jan 17 15 2.5 C
COWEN GROUP INC 600 0.1433 8.598.00 06/27/14 15.873.40 0.26 (7.275.40)
COWN Jan 17 15 5.0 C
DRY SHIPS 800 0.5272 42.176.00 05/12/14 51.659.20 0.65 (9.483.20)
INCORPORATED
DRYS Jan 17 15 3.0 C
FLAMEL TECH 130 5.5099 71.628.70 05/14/14 53.660.62 4.13 17.968.08
FLML Dec 20 14 10.0 C
FUELCELL ENERGY INC 290 1.544 44.776.00 05/13/14 37,228.46 1.28 7.547.54
FCEL Oct 18 14 1.0 C
FUELCELL ENERGY INC 380 1.0485 39.843.00 05/12/14 31.626.12 0.83 8.216.88
FCEL Oct 18 14 1.5 C
HANWHA SOLARONE CO 460 0.2961 13.620.60 05/13/14 39.126.04 0.85 (25.505.44)
LTD
HSOL Sep 20 14 2.0 C
HEWLETT PACKARD CO 110 7.175 78.925.00 05/13/14 45.394.14 4.13 33.530.86
HPO Jan 17 15 31.0 C
JETBLUE AIRWAYS CORP 162 1.275 20.655.00 07/18/14 9.866.99 0.61 10.788.01
JBLU Sep 20 14 11.0 C
JETBLUE AIRWAYS CORP 250 0.4521 11.302.50 07/18/14 6.780.50 0.27 4.522.00
JBLU Sep 20 14 12.0 C
JETBLUE AIRWAYS CORP 210 2.3639 49.641.90 07/31/14 30.038.54 1.43 19.603.36
JBLU Dec 20 14 10.0 C
MGIC INVT CORP WIS 515 1.0581 54.492.15 05/14/14 77.606.61 1.51 (23.114.46)
MTG Jan 17 15 8.0 C
NET 1 UEPS 191 4.428 84.574.80 05/22/14 64.875.64 3.40 19.699.16
TECHNOLOGIES INC
UEPS Jan 17 15 8.0 C
NET 1 UEPS 130 3.6159 47.006.70 06/05/14 39.080.62 3.01 7.926.08
TECHNOLOGIES INC
UEPS Jan 17 15 9.0 C
SDNY_GM_00011694
CONFIDENTIAL
page 5 of 36
EFTA_0012 2345
EFTA01267824

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Options - Margin
NORDIC AMERICAN 725 1.4939 108.307.75 05/15/14 94.302.15 1.30 14.005.60
TANKERS LTD
NAT Jan 17 15 7.87 C
NORDIC AMERICAN 325 0.137 4.452.50 06/18/14 12,954.55 0.40 (8.502.05)
TANKERS LTD
NAT Oct 18 14 9.87 C
QUANTUM FUEL 250 0.9039 22.597.50 07/17/14 37.655.50 1.51 (15.058.00)
SYSTEMS TEC
QTWW Oct 18 14 4.0 C
FiADIOSHACK 500 0.68 34.000.00 07/18/14 9.293.00 0.19 24.707.00
CORPORATION
RSH Jan 15 16 1.0 C
RADNET INC. 1.530 0.1408 21542.40 05/12/14 79,204.96 0.52 (57.662.56)
RDNT Sep 20 14 7.5 C
RADNET INC. 480 2.0344 97.651.20 05/12/14 99,022.56 2.06 (1.371.36)
RDNT Dec 20 14 5.0 C
SONY CORP 485 2.15 104.275.00 05/13/14 47,690.50 0.98 56.584.50
SNE Oct 18 14 17.0 C
TEEKAY TANKERS LTD 205 0.1423 2.917.15 06/23/14 7.279.67 0.36 (4.362.52)
TNK Nov 22 14 5.0 C
TWITTER INC 50 6.85 34.250.00 08/01/14 17,784.70 3.56 16.465.30
TWTR Sep 20 14 43.0 C
UNILIFE CORP 380 0.2126 8.078.80 06/20/14 33,292.12 0.88 (25,213.32)
UNIS Sep 20 14 2.5 C
UNISYS CORP 250 0.6537 16342.50 07/14/14 35,629.50 1.43 (19,287.00)
UIS Oct 18 14 24.0 C
YAHOO! INC 100 2.1468 21.468.00 08/01/14 15,463.40 1.55 6.004.60
YHOO Sep 20 14 37.0 C
YRC WORLDWIDE INC 30 1.7924 5.377.20 06/05/14 6.820.23 2.27 (1.443.03)
YRCW Oct 18 14 22.5 C
YRC WORLDWIDE INC 140 0.0001 1.40 06/27/14 18,905.37 1.35 (18.903.97)
YRCW Oct 18 14 32.5 C
SDNY_GM_00011695
CONFIDENTIAL
page 6 o136
EFTA 00122346
EFTA01267825

Statement for Account # 867-730320
08 01 14 - 08 31 14
Account Positions
SymboU Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Options - Margin
ZIOPHARNI ONCOLOGY 210 0.5883 12,354.30 07/01/14 26,106.55 1.24 (13,752.25)
INC
ZIOP Oct 18 14 3.0 C
Total Options $1,544,041.82 $1,635,834.04 $(91,792.22) $0.00 0.0%
Other - Margin
RICEBRAN RIBTW 89,000 $ 2.18 $ 194,020.00 05/12/14 $ 121,745.20 $ 1.37 $ 72,274.80 $ -
TECHNOLOGIES
WARRANT EXP 11/18/2018
Total Other $194,020.00 $121,745.20 $72,274.80 $0.00 0.0%
Total Margin Account $4,159,132.74 $4,105,532.89 $53,599.85 $0.00 0.0%
Account Activit
Trade Settle Acct Transaction SymboU
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance ($29,940.04)
07/29/14 08/01/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 100 $ 1.59 $ (165.00) (30,105.04)
WARRANT EXP 11/18/2018
Commission 6.00
07/29/14 08/01/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.19 (525.00) (30,630.04)
COM
Commission 6.00
07/29/14 08/01/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 1,200 1.96 (2,358.00) (32,988.04)
COM
Commission 6.00
07/29/14 08/01/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERR 614 3.59 (2,210.26) (35,198.30)
COM
Commission 6.00
SDNY_GM_00011696
CONFIDENTIAL
page 7 of 36
EFTA 00122347
EFTA01267826

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
07/29/14 08/01/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERR 86 3.58 (307.88) (35.506.18)
COM
07/29/14 08/01/14 Margin Buy - Securities Purchased TORCHLIGHT ENERGY TRCH 100 4.02 (408.00) (35,914.18)
RESOURCES
COM
Commission 6.00
07/29/14 08/01/14 Margin Buy - Securities Purchased NOTIFY TECHNOLOGY CORP NTFY 104 22.00 (2.294.00) (38,208.18)
COM
Commission 6.00
07/29/14 08/01/14 Margin Sell - Securities Sold TORCHLIGHT ENERGY TRCH 6.500- 3.8801 25.214.09 (12.994.09)
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.56
07/29/14 08/01/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 434 3.9986 (1.741.39) (14,735.48)
COM
Commission 6.00
07/29/14 08/01/14 Margin Buy - Securities Purchased LIHUA INTERNATIONAL INC LIWA 7.500 0.13 (981.00) (15,716.48)
COM
Commission 6.00
07/29/14 08/01/14 Margin Sell - Securities Sold TORCHLIGHT ENERGY TRCH 500- 3.9301 1.959.00 (13,757.48)
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.05
07/29/14 08/01/14 Margin Sell - Securities Sold TORCHLIGHT ENERGY TRCH 4.000- 3.93 15,719.65 1.962.17
RESOURCES
COM
Regulatory Fee 0.35
07/29/14 08/01/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 1.000 3.95 (3.956.00) (1.993.83)
COM
Commission 6.00
07/29/14 08/01/14 Margin Buy - Securities Purchased NOTIFY TECHNOLOGY CORP NTFY 100 22.00 (2.206.00) (4,199.83)
COM
Commission 6.00
07/29/14 08/01/14 Margin Sell - Securities Sold QUANTUM FUEL SYSTEMS TEC QTWW 700- 5.4701 3.822.98 (376.85)
COM
Commission 6.00
Regulatory Fee 0.09
SDNY_GM_00011697
CONFIDENTIAL
page 8 o136
EFTA_00 122348
EFTA01267827

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/29/14 08/01/14 Margin Sell - Securities Sold QUANTUM FUEL SYSTEMS TEC QTWW 1.000- 5.47 5,469.87 5.093.02
COM
Regulatory Fee 0.13
07/29/14 08/01/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 500 1.938 (975.00) 4.118.02
COM
Commission 6.00
07/29/14 08/01/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 600 5.12 (3.078.00) 1.040.02
COM
Commission 6.00
07/29/14 08/01/14 Margin Buy - Securities Purchased RELM WIRELESS CORP. RWC 230 4.04 (935.20) 104.82
COM
Commission 6.00
07/29/14 08/01/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.125 (518.50) (413.68)
COM
Commission 6.00
07/29/14 08/01/14 Margin Sell - Securities Sold MODUSLINK GLOBAL SOLUTIONS MLNK 807- 3.76 3.028.25 2.614.57
INC
COM
Commission 6.00
Regulatory Fee 0.07
07/29/14 08/01/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERR 2.200 3.45 (7.596.00) (4,981.43)
COM
Commission 6.00
07/29/14 08/01/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERR 2 3.47 (12.94) (4.994.37)
COM
Commission 6.00
07/29/14 08/01/14 Margin Buy - Securities Purchased ACCESS PHARMA INC ACCP 3.500 0.285 (1.003.50) (5.997.87)
COM
Commission 6.00
07/29/14 08/01/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERR 279 3.49 (979.71) (6.977.58)
COM
Commission 6.00
07/29/14 08/01/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERR 112 3.58 (406.96) (7.384.54)
COM
Commission 6.00
07/31/14 08/01/14 Margin Sell - Securities Sold AMERICAN AIRLINES GROUP INC 15- 1.39 2,070.34 (5.314.20)
AAL Aug 08 14 39.5 P TO OPEN
Commission 14.25
Regulatory Fee 0.41
SDNY_GM_00011698
CONFIDENTIAL
page 9 o138
EFTA 00122349
EFTA01267828

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Ouantity Price Amount Balance
07/31/14 08/01/14 Margin Sell - Securities Sold SONY CORP 35- 2.00 6.973.75 1.659.55
SNE Oct 18 1417.0 C TO CLOSE
Commission 25.25
Regulatory Fee 1.00
07/31/14 08/01/14 Margin Sell - Securities Sold SONY CORP 25- 2.10 5.229.53 6.889.08
SNE Oct 18 14 17.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.72
07/31/14 08/01/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC 10 0.66 (671.74) 6,217.34
AMD Jan 17 15 3.5 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/31/14 08/01/14 Margin Buy - Securities Purchased TWITTER INC 20 0.39 (797.48) 5.419.86
TWTR Aug 01 14 46.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
07/31/14 08/01/14 Margin Buy - Securities Purchased FUELCELL ENERGY INC 5 1.50 (758.87) 4.660.99
FCEL Oct 18 14 1.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
07/31/14 08/01/14 Margin Buy - Securities Purchased RADNET INC. 30 0.15 (473.22) 4.187.77
RDNT Sep 20 14 7.5 C TO OPEN
Commission 22.50
Regulatory Fee 0.72
07/31/14 08/01/14 Margin Buy - Securities Purchased AEROPOSTALE INC 15 0.45 (689.61) 3.498.16
ARO Jan 17 15 3.5 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/31/14 08/01/14 Margin Buy - Securities Purchased TWITTER INC 20 0.15 (317.48) 3.180.68
TWTR Aug 01 14 46.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
07/31/14 08/01/14 Margin Buy - Securities Purchased PACIFIC ETHANOL INC 20 1.80 (3.617.48) (436.80)
PEIX Aug 16 1416.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
SDNY_GM_00011699
CONFIDENTIAL
page 10 0136
EFTA 00122350
EFTA01267829

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/31/14 08/01/14 Margin Buy - Securities Purchased BEAZER HOMES USA INC 25 0.50 (1.270.35) (1,707.15)
BZH Jan 17 15 20.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/31/14 08/01/14 Margin Buy - Securities Purchased TWITTER INC 20 0.21 (437.48) (2.144.63)
TWTR Aug 01 14 46.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
07/31/14 08/01/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 100 1.45 (14.563.40) (16,708.03)
JBLU Dec 20 1410.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/31/14 08/01/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 10- 0.55 538.24 (16,169.79)
UAL Aug 08 14 45.0 P TO OPEN
Commission 11.50
Regulatory Fee 0.26
07/31/14 08/01/14 Margin Sell - Securities Sold YAHOO! INC 15- 0.62 915.36 (15,254.43)
YHOO Aug 08 14 36.0 P TO OPEN
Commission 14.25
Regulatory Fee 0.39
07/31/14 08/01/14 Margin Sell - Securities Sold AMERICAN AIRLINES GROUP INC 10- 1.16 1.148.23 (14,106.20)
AAL Aug 08 14 39.5 P TO OPEN
Commission 11.50
Regulatory Fee 0.27
07/31/14 08/01/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 10 0.45 (461.74) (14,567.94)
YRCW Oct 18 14 32.5 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/31/14 08/01/14 Margin Buy - Securities Purchased COWEN GROUP INC 10 1.60 (1.611.74) (16,179.68)
GOWN Jan 17 15 2.5 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/31/14 08/01/14 Margin Buy - Securities Purchased MICHAEL KORS HOLDINGS 10 3.70 (3.711.74) (19,891.42)
KORS Aug 08 14 81.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
SDNY_GM_00011700
CONFIDENTIAL
page 11 of 36
EFTA_0012235 I
EFTA01267830

Statement for Account # 867-730320
08 01 14 - 08 31 14
Account Activit
Trade Settle Acct Transaction,' Symbol!
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
07/31/14 08/01/14 Margin Buy - Securities Purchased RADNET INC. 15 0.20 (314.61) (20,206.03)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 1425
Regulatory Fee 0.36
07/31/14 08/01/14 Margin Buy - Securities Purchased FUELCELL ENERGY INC 15 1.00 (1,514.61) (21,720.64)
FCEL Oct 18 14 1.5 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/31/14 08/01/14 Margin Buy - Securities Purchased CORINTHIAN COLLEGES INC 20 0.05 (117.48) (21,838.12)
COCO Nov 22 14 1.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
07/31/14 08/01/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC 15 0.80 (1,214.61) (23,052.73)
ZIOP Oct 18 14 3.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/31/14 08/01/14 Margin Buy - Securities Purchased YAHOO! INC 5 3.10 (1.558.87) (24.611.60)
YHOO Aug 16 14 33.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
07/31/14 08/01/14 Margin Sell - Securities Sold SONY CORP 15- 1.70 2.535.33 (22.076.27)
SNE Oct 18 14 17.0 C TO CLOSE
Commission 1425
Regulatory Fee 0.42
07/31/14 08/01/14 Margin Buy - Securities Purchased RADNET INC. 25 0.15 (395.35) (22,471.62)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/31/14 08/01/14 Margin Buy - Securities Purchased BEAZER HOMES USA INC 25 0.45 (1,145.35) (23,616.97)
BZH Jan 17 15 20.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/31/14 08/01/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 100 1.40 (14,063.40) (37,680.37)
JBLU Dec 20 14 10.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
SDNY_GM_00011701
CONFIDENTIAL
page 12 of 36
EFTA_00122352
EFTA01267831

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/31/14 08/01/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 16 0.17 (287.19) (37,967.56)
YRCW Aug 16 14 32.5 C TO OPEN
Commission 14.80
Regulatory Fee 0.39
07/31/14 08/01/14 Margin Buy - Securities Purchased BEAZER HOMES USA INC 15 0.45 (689.61) (38,657.17)
BZH Jan 17 15 20.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/31/14 08/01/14 Margin Buy - Securities Purchased RADNET INC. 20 0.15 (317.48) (38,974.65)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
07/31/14 08/01/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 5- 0.66 321.12 (38,653.53)
UAL Aug 08 14 45.0 P TO OPEN
Commission 8.75
Regulatory Fee 0.13
07/30/14 08/04/14 Margin Buy - Securities Purchased ACCESS PI-IARMA INC ACCP 29.000 0.278 (8.068.00) (46,721.53)
COM
Commission 6.00
07/30/4 08/04/14 Margin Buy - Securities Purchased LIHUA INTERNATIONAL INC LIWA 6.500 0.18 (1.176.00) (47,897.53)
COM
Commission 6.00
07/30/14 08/04/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 98919T100 6.453 0.75 (4.845.75) (52.743.28)
1:10 RIS 8.20/14 98919T407
Commission 6.00
07/30/4 08/04/14 Margin Sell - Securities Sold QUANTUM FUEL SYSTEMS TEC QTWW 1.500- 5.4184 8.121.42 (44,621.86)
COM
Commission 6.00
Regulatory Fee 0.18
07/30/14 08/04/14 Margin Sell - Securities Sold MODUSLINK GLOBAL SOLUTIONS MLNK 893- 3.7402 3233.92 (41,287.94)
INC
COM
Commission 6.00
Regulatory Fee 0.08
07/30/14 08/04/14 Margin Sell - Securities Sold MODUSLINK GLOBAL SOLUTIONS MLNK 300- 3.7401 1.122.00 (40,165.94)
INC
COM
Regulatory Fee 0.03
SDNY_GM_00011702
CONFIDENTIAL
page 13 o136
EFTA (H)1 22353
EFTA01267832

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
07/30/14 08/04/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 200 1.59 (324.00) (40.489.94)
WARRANT EXP 11/18/2018
Commission 6.00
07/30/14 08/04/14 Margin Buy - Securities Purchased ACCESS PI-IARMA INC ACCP 31.000 0.26 (8.066.00) (48,555.94)
COM
Commission 6.00
07/30/14 08/04/14 Margin Sell - Securities Sold QUANTUM FUEL SYSTEMS TEC QTWW 1.500- 5.4201 8.123.97 (40,431.97)
COM
Commission 6.00
Regulatory Fee 0.18
07/30/14 08/04/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 148.000- 0.0315 4.655.89 (35,776.08)
COM
Commission 6.00
Regulatory Fee 0.11
07/30/14 08/04/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERR 3.706 3.57 (13.236.42) (49,012.50)
COM
Commission 6.00
07/30/14 08/04/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERR 200 3.83 (772.00) (49,784.50)
COM
Commission 6.00
07/30/14 08/04/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 58- 4.09 231.21 (49,553.29)
COM
Commission 6.00
Regulatory Fee 0.01
07/30/14 08/04/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 900- 4.085 3.676.41 (45,876.88)
COM
Regulatory Fee 0.09
07/30/14 08/04/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 42- 4.08 171.35 (45,705.53)
COM
Regulatory Fee 0.01
07/30/14 08/04/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 158- 4.0701 643.06 (45,062.47)
COM
Regulatory Fee 0.02
07/30/14 08/04/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 42- 4.07 170.93 (44,891.54)
COM
Regulatory Fee 0.01
07/30/14 08/04/14 Margin Buy - Securities Purchased MERRIMAN HOLDINGS INC MERR 200 3.80 (766.00) (45,657.54)
COM
Commission 6.00
SDNY_GM_00011703
CONFIDENTIAL
page 14 o136
EFTA_OOI 22354
EFTA01267833

Statement for Account # 867-730320
08 01 14 - 08 31 14
Account Activit
Trade Settle Acct Transaction! Symbol,
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
07/30/14 08/04/14 Margin Sell - Securities Sold TORCHLIGHT ENERGY I RCH 1,600- 3.8001 6,074.02 (39.583.52)
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.14
07,30114 08/0414 Margin Sell - Securities Sold TORCHLIGHT ENERGY TRCH 300- 3.705 1.105.47 (38.478.05)
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.03
07/30/14 08/04/14 Margin Sell - Securities Sold TORCHLIGHT ENERGY TRCH 4,700- 3.70 17,389.61 (21.088.44)
RESOURCES
COM
Regulatory Fee 0.39
07;3014 08104'14 Margin Sell - Securities Sold TORCHLIGHT ENERGY TRCH 150• 3.70 548.98 (20,539.46)
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.02
07;30'14 08/0414 Margin Sell - Securities Sold TORCHLIGHT ENERGY TRCH 4,850- 3.6501 17,702.59 (2,836.87)
RESOURCES
COM
Regulatory Fee 0.40
08/01/14 08104114 Margin Buy - Securities Purchased FLAMEL TECH 5 4.40 (2.208.87) (5.045.74)
FLML Dec 20 14 10.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
08/01/14 08/0414 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC - 5 0.75 (383.87) (5.429.61)
MAD Jan 17 15 3.5 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
08/01/14 08/04/14 Margin Buy - Securities Purchased UNILIFE CORP 5 0.35 (183.87) (5.613.48)
UNIS Sep 20 14 2.5 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
08101/14 08/04/14 Margin Buy - Securities Purchased RADNET INC. 100 0.10 (1,063.40) (6,676.88)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
SDNY_GM_00011704
CONFIDENTIAL
page 15 of 36
EFTA_00122355
EFTA01267834

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
08/01/14 08/04/14 Margin Buy - Securities Purchased YAHOO! INC 100 1.54 (15.463.40) (22.140.28)
YHOO Sep 20 14 37.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
08/01/14 08/04/14 Margin Buy - Securities Purchased CITIGROUP INC 100 1.73 (17.363.40) (39,503.68)
C Sep 20 14 48.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
08/01/14 08/04/14 Margin Sell - Securities Sold WHOLE FOODS MKT INC 70- 0.92 6293.67 (33,110.01)
WFM Aug 08 14 38.5 P TO CLOSE
Commission 44.50
Regulatory Fee 1.83
08/01/14 08/04/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 5- 0.63 306.12 (32.803.89)
UAL Aug 08 14 45.0 P TO OPEN
Commission 8.75
Regulatory Fee 0.13
08/01/14 08/04/14 Margin Buy - Securities Purchased YRC WORLDWIDE INC 13 1.75 (2.288.47) (35,092.36)
YRCW Oct 18 14 22.5 C TO OPEN
Commission 13.15
Regulatory Fee 0.32
08/01/14 08/04/14 Margin Buy - Securities Purchased CITIGROUP INC 20 1.58 (3.177.48) (38,269.84)
C Sep 20 14 48.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
08/01/14 08/04/14 Margin Sell - Securities Sold ALCATEL LUCENT 617- 0.15 8294.63 (29,375.21)
ALU Sep 20 14 3.5 C TO CLOSE
Commission 345.35
Regulatory Fee 15.02
08/01/14 08/04/14 Margin Buy - Securities Purchased TWITTER INC 50 3.55 (17.784.70) (47.159.91)
TWTR Sep 20 14 43.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
08/01/14 08/04/14 Margin Sell - Securities Sold TWITTER INC 35- 8.20 28.673.27 (18,486.64)
TWTR Aug 01 14 36.0 C TO CLOSE
Commission 25.25
Regulatory Fee 1.48
08/04/14 08/04/14 Margin Received - Other YAHOO! INC 120 0.00 (18.486.64)
YHOO Aug 01 14 35.5 P
EXPIRATION
SDNY_GM_00011705
CONFIDENTIAL
page 16 o136
EFTA (H)1 22356
EFTA01267835

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
08/04/14 08/04/14 Margin Delivered Other TWITTER INC 120- 0.00 (18,486.64)
TWTR Aug 01 14 46.0 C
EXPIRATION
07/31/14 08/05/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.0999 (515.99) (19,002.63)
COM
Commission 6.00
07/31/14 08/05/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 200 1.5499 (315.98) (19,318.61)
WARRANT EXP 11/18:2018
Commission 6.00
07/31/14 08/05/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 4.700 0.2498 (1.180.06) (20,498.67)
COM
Commission 6.00
07/31/14 08/05/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 900 5.11 (4.605.00) (25,103.67)
COM
Commission 6.00
07/31/14 08/05/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 300 1.9699 (596.97) (25,700.64)
COM
Commission 6.00
07/31/14 08/05/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 3.185- 3.9601 12.606.64 (13,094.00)
COM
Commission 6.00
Regulatory Fee 0.28
07/31/14 08/05/14 Margin Sell - Securities Sold MODUSLINK GLOBAL SOLUTIONS MLNK 1.200- 3.7201 4.458.02 (8,635.98)
INC
COM
Commission 6.00
Regulatory Fee 0.10
07/31/14 08/05/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 1.600 0.9073 (1.457.68) (10,093.66)
COMMUNICATIONS
COM
Commission 6.00
07/31/14 08/05/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 315- 3.9701 1,244.55 (8,849.11)
COM
Commission 6.00
Regulatory Fee 0.03
07/31/14 08/05/14 Margin Buy - Securities Purchased ELEPHANT TALK ETAK 1,153 0.90 (1.043.70) (9,892.81)
COMMUNICATIONS
COM
Commission 6.00
SDNY_GM_00011706
CONFIDENTIAL
page 17 6136
EFTA_001 22357
EFTA01267836

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
08/04/14 08/05/14 Margin Buy - Securities Purchased ZIOPHARM ONCOLOGY INC 10 0.73 (741.74) (10,634.55)
ZIOP Oct 18 14 3.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
08104/14 08/05/14 Margin Buy - Securities Purchased PACIFIC ETHANOL INC 10 3.70 (3.711.74) (14,346.29)
PEIX Aug 16 1416.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
08/04/14 08/05/14 Margin Buy - Securities Purchased RADNET INC. 15 0.15 (239.61) (14,585.90)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
08/04/14 08/05/14 Margin Buy - Securities Purchased MICHAEL KORS HOLDINGS 15 0.40 (614.61) (15,200.51)
KORS Aug 08 14 81.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
08/04/14 08/05/14 Margin Buy - Securities Purchased NORDIC AMERICAN TANKERS LTD - 10 1.25 (1.261.74) (16,462.25)
NAT Jan 17 15 7.87 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
08104/4 08/05/14 Margin Buy - Securities Purchased RADNET INC. 110 0.10 (1.169.14) (17,631.39)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 66.50
Regulatory Fee 2.64
08/04/14 08/05/14 Margin Buy - Securities Purchased JETBLUE AIRWAYS CORP 10 1.40 (1.411.74) (19,043.13)
JBLU Dec 20 1410.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
08/04/14 08/05/14 Margin Sell - Securities Sold AMERICAN AIRLINES GROUP INC 10- 1.38 1368.22 (17,674.91)
AAL Aug 08 14 39.5 P TO OPEN
Commission 11.50
Regulatory Fee 0.28
08/04/14 08/05/14 Margin Buy - Securities Purchased YAHOO! INC 5 3.30 (1.658.87) (19,333.78)
YHOO Aug 16 14 33.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
SDNY_GM_00011707
CONFIDENTIAL
page 18 o136
EFTA (H)1 22358
EFTA01267837

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
08/04/14 08/05/14 Margin Buy - Securities Purchased PACIFIC ETHANOL INC 10 3.80 (3.811.74) (23,145.52)
PEIX Aug 16 1416.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
08104/14 08/05/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 5- 0.93 456.11 (22.689.41)
UAL Aug 08 14 45.0 P TO OPEN
Commission 8.75
Regulatory Fee 0.14
08104/14 08/05/14 Margin Buy - Securities Purchased RADNET INC. 70 0.15 (1.096.18) (23.785.59)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 44.50
Regulatory Fee 1.68
08/04/14 08/05/14 Margin Buy - Securities Purchased RADNET INC. 15 0.15 (239.61) (24,025.20)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
08104/4 08/05/14 Margin Buy - Securities Purchased PACIFIC ETHANOL INC 10 3.70 (3.711.74) (27,736.94)
PEIX Aug 16 1416.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
08104/4 08/05/14 Margin Buy - Securities Purchased RADNET INC. 30 0.15 (473.22) (28,210.16)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 22.50
Regulatory Fee 0.72
08/04/14 08/05/14 Margin Sell - Securities Sold AMERICAN AIRLINES GROUP INC 10- 1.43 1.418.22 (26,791.94)
AAL Aug 08 14 39.5 P TO OPEN
Commission 11.50
Regulatory Fee 0.28
08/04/14 08/05/14 Margin Buy - Securities Purchased FUELCELL ENERGY INC 5 0.90 (458.87) (27,250.81)
FCEL Oct 18 14 1.5 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
08/04/14 08/05/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC 10 0.78 (791.74) (28,042.55)
AMD Jan 17 15 3.5 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
SDNY_GM_00011708
CONFIDENTIAL
page 19 o136
EFTA_00I 22359
EFTA01267838

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
08/04/14 08/05/14 Margin Sell - Securities Sold UNITED CONTINENTAL HLDGS 5- 0.78 381.12 (27,661.43)
UAL Aug 08 14 45.0 P TO OPEN
Commission 8.75
Regulatory Fee 0.13
08/04/14 08/05/14 Margin Buy - Securities Purchased RADNET INC. 10 0.25 (261.74) (27,923.17)
RDNT Aug 16 14 5.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
08101/14 08/06/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 200 3.948 (795.60) (28,718.77)
COM
Commission 6.00
08101/14 08/06/14 Margin Sell - Securities Sold TORCHLIGHT ENERGY TRCH 300- 3.67 1.094.97 (27,623.80)
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.03
08101/14 08/06/14 Margin Sell - Securities Sold TORCHLIGHT ENERGY TRCH 5.700- 3.6601 20.862.10 (6161.70)
RESOURCES
COM
Regulatory Fee 0.47
08101/14 08/06/14 Margin Sell - Securities Sold TORCHLIGHT ENERGY TRCH 2.200- 3.669 8.065.62 1.303.92
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.18
08101/14 08/06/14 Margin Sell - Securities Sold TORCHLIGHT ENERGY TRCH 1.100- 3.661 4.027.01 5.330.93
RESOURCES
COM
Regulatory Fee 0.09
08101/14 08/06/14 Margin Sell - Securities Sold TORCHLIGHT ENERGY TRCH 4.700- 3.66 17.201.61 22.532.54
RESOURCES
COM
Regulatory Fee 0.39
08101/14 08/06/14 Margin Sell - Securities Sold TORCHLIGHT ENERGY TRCH 400- 3.555 1.415.96 23.948.50
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.04
SDNY_GM_00011709
CONFIDENTIAL
page 20 6136
EFTA 00122360
EFTA01267839

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
08/01/14 08/06/14 Margin Buy - Securities Purchased ACCESS PlIARMA INC ACCP 5.500 0.26 (1.436.00) 22,512.50
COM
Commission 6.00
08/01/14 08/06/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 1.000 1.565 (1.571.00) 20.941.50
WARRANT EXP 11/18:2018
Commission 6.00
08101/14 08/06/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 900 1.958 (1.768.20) 19.17320
COM
Commission 6.00
08101/14 08/06/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 400 5.06 (2.030.00) 17,14320
COM
Commission 6.00
08101/14 08/06/14 Margin Buy - Securities Purchased LANTRONIX INC LTRX 4.100 1.9598 (8.041.18) 9.102.12
COM
Commission 6.00
08101/14 08/06/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 200 5.09 (1.024.00) 8.078.12
COM
Commission 6.00
08101/14 08/06/14 Margin Sell - Securities Sold TORCHLIGHT ENERGY TRCH 500- 3.6601 1.824.00 9.902.12
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.05
08101/14 08/06/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 100 3.87 (393.00) 9.509.12
COM
Commission 6.00
08101/14 08/06/14 Margin Buy - Securities Purchased ACCESS PHARMA INC ACCP 1.000 0.255 (261.00) 9,248.12
COM
Commission 6.00
08101/14 08/06/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 98919T100 1.750 0.691 (1.215.25) 8.032.87
1:10 FIG &'20/14 98919T407
Commission 6.00
08105/14 08/06/14 Margin Buy - Securities Purchased NORDIC AMERICAN TANKERS LTD - 5 1.25 (633.87) 7.399.00
NAT Jan 17 15 7.87 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
SDNY_GM_00011710
CONFIDENTIAL
page 21 o136
EFfik_00I2236I
EFTA01267840

Statement for Account # 867-730320
08 01 14 - 08 31 14
Account Activit
Trade Settle Acct Transaction! Symbol,
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
08/05/14 08/06/14 Margin Buy - Securities Purchased PACIFIC ETHANOL INC 5 3.80 (1,908.87) 5,490.13
PEIX Aug 16 14 16.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
08/05/14 08/06/14 Margin Buy - Securities Purchased FLAMEL TECH 10 5.40 (5,411.74) 78.39
FLML Dec 20 14 10.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
08/05/14 08/06/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC 10 0.82 (831.74) (753.35)
AMD Jan 17 15 3.5 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
08/05/14 08/06/14 Margin Buy - Securities Purchased COWEN GROUP INC 15 0.15 (239.61) (992.96)
COWN Jan 17155.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
08/05/14 08,'06,'14 Margin Buy - Securities Purchased PACIFIC ETHANOL INC 5 3.50 (1.758.87) (2.751.83)
PEIX Aug 16 14 16.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
08!05114 08,O6,'14 Margin Sell - Securities Sold SONY CORP 25- 1.45 3.604.56 852.73
SNE Oct 18 14 17.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.69
08/05/14 08/06/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC 5 0.81 (413.87) 438.86
AMD Jan 17 15 3.5 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
08/05/14 08/06/14 Margin Buy - Securities Purchased FLAMEL TECH 5 5.40 (2,708.87) (2,270.01)
FLML Dec 20 14 10.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
08/05/14 08/06/14 Margin Buy - Securities Purchased PACIFIC ETHANOL INC 5 3.40 (1,708.87) (3,978.88)
PEIX Aug 16 1416.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
SDNY_GM_00011711
CONFIDENTIAL
page 22 of 36
EFTA_00122362
EFTA01267841

Statement for Account # 867-730320
08 01 14 - 08 31 14
Account Activit
Trade Settle Acct Transaction! Symbol
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
08/05/14 08/06/14 Margin Buy - Securities Purchased COWEN GROUP INC 10 0.15 (161.74) (4,140.62)
COWN Jan 17155.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
08/05/14 08/06/14 Margin Buy - Securities Purchased NORDIC AMERICAN TANKERS LTD - 5 1.25 (633.87) (4,774.49)
NAT Jan 17 157.87 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
08/05/14 08/06/14 Margin Buy - Securities Purchased PACIFIC ETHANOL INC 5 3.10 (1,558.87) (6,333.36)
PEIX Aug 16 14 16.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
08/04/14 08/07/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 200 5.05 (1.016.00) (7,349.36)
COM
Commission 6.00
08/04/14 08/07/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 350 3.996 (1.404.60) (8,753.96)
COM
Commission 6.00
08/04/14 08/07/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 250 4.00 (1.000.00) (9,753.96)
COM
08/04/14 08/07/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.0699 (512.99) (10,266.95)
COM
Commission 6.00
08/04/14 08/07/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 4.000 0.175 (706.00) (10,972.95)
COM
Commission 6.00
08/04/14 08/07/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 200 3.8604 (778.08) (11,751.03)
COM
Commission 6.00
08/04/14 08/07/14 Margin Buy - Securities Purchased RAINMAKER SYSTEMS INC RMKR 7.000 0.14 (986.00) (12,737.03)
COM
Commission 6.00
08/04/14 08/07/14 Margin Sell - Securities Sold MODUSLINK GLOBAL SOLUTIONS MLNK 800- 3.7504 2,994.25 (9,742.78)
INC
COM
Commission 6.00
Regulatory Fee 0.07
SDNY_GM_00011712
CONFIDENTIAL
page 23 of 36
EFTA_00122363
EFTA01267842

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
08/04/14 08/07/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBTW 500 1.4891 (750.55) (10.493.33)
WARRANT EXP 11/18:2018
Commission 6.00
08104/14 08/07/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 300 3.97 (1.197.00) (11,690.33)
COM
Commission 6.00
08/04/14 08/07/14 Margin Buy - Securities Purchased LIHUA INTERNATIONAL INC LIWA 1.001 0.165 (171.17) (11,861.50)
COM
Commission 6.00
08/05/14 08/08/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.05 (511.00) (12.372.50)
COM
Commission 6.00
08/05/14 08/08/14 Margin Buy - Securities Purchased ACCESS PHARMA INC ACCP 2.500 0.2742 (691.50) (13,064.00)
COM
Commission 6.00
08105/14 08/08/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 100- 3.972 391.19 (12.672.81)
COM
Commission 6.00
Regulatory Fee 0.01
08105/14 08/08/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 1.900- 3.971 7.544.73 (5,128.08)
COM
Regulatory Fee 0.17
08/05/14 08/08/14 Margin Buy - Securities Purchased TRANSGENOMIC INC TBIO 200 3.92 (790.00) (5,918.08)
COM
Commission 6.00
08105/14 08/08/14 Margin Buy - Securities Purchased ACCESS PI-IARMA INC ACCP 2.500 0.2737 (690.25) (6,608.33)
COM
Commission 6.00
08105/14 08/08/14 Margin Buy - Securities Purchased EMRISE CORP EMRI 1.574 0.83 (1.312.42) (7,920.75)
COM
Commission 6.00
08105/14 08/08/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 1.000 0.2498 (255.80) (8,176.55)
COM
Commission 6.00
08105/14 08/08/14 Margin Buy - Securities Purchased HAUPPAGE DIGITAL INC HAUP 1.000 0.20 (206.00) (8.382.55)
COM
Commission 6.00
SDNY_GM_00011713
CONFIDENTIAL
page 24 o136
EFTA 00122364
EFTA01267843

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
08/05/14 08/08/14 Margin Sell - Securities Sold ATHERONOVA INC AHRO 1.500- 2.30 3.443.92 (4,938.63)
COM
Commission 6.00
Regulatory Fee 0.08
08105/14 08/08/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.0199 (507.99) (5,446.62)
COM
Commission 6.00
08105/14 08/08/14 Margin Buy - Securities Purchased ACCESS PI-IARMA INC ACCP 1.000 0.273 (279.00) (5,725.62)
COM
Commission 6.00
08105/14 08/08/14 Margin Sell - Securities Sold MODUSLINK GLOBAL SOLUTIONS MLNK 1.200- 3.74 4.48190 (1,243.72)
INC
COM
Commission 6.00
Regulatory Fee 0.10
08105/14 08/08/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 4.9999 (505.99) (1,749.71)
COM
Commission 6.00
08105/14 08/08/14 Margin Buy - Securities Purchased LIHUA INTERNATIONAL INC LIWA 1.000 0.2099 (215.90) (1,965.61)
COM
Commission 6.00
08105/14 08/08/14 Margin Sell - Securities Sold MODUSLINK GLOBAL SOLUTIONS MLNK 200- 3.7501 744.00 (1,221.61)
INC
COM
Commission 6.00
Regulatory Fee 0.02
08105/14 08/08/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.0662 (512.62) (1,734.23)
COM
Commission 6.00
08/05/14 08/08/14 Margin Sell - Securities Sold ATHERONOVA INC AHRO 281- 2.40 668.38 (1,065.85)
COM
Commission 6.00
Regulatory Fee 0.02
08105/14 08/08/14 Margin Sell - Securities Sold ATHERONOVA INC AHRO 230- 2.26 513.78 (552.07)
COM
Commission 6.00
Regulatory Fee 0.02
SDNY_GM_00011714
CONFIDENTIAL
page 25 o136
EFfik_00I22365
EFTA01267844

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
08/05/14 08/08/14 Margin Sell - Securities Sold ATHERONOVA INC AHRO 450- 2.17 970.47 418.40
COM
Commission 6.00
Regulatory Fee 0.03
08/08/14 08/08/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (418.40) 0.00
DEPOSIT ACCOUNT
08/06/14 08/11/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.1549 (521.49) (521.49)
COM
Commission 6.00
08/06/14 08/11/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.10 (516.00) (1,037.49)
COM
Commission 6.00
08106/14 08/11/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 2.250 0.0316 (77.10) (1.114.59)
COM
Commission 6.00
08106/14 08/11/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 100 5.08 (514.00) (1.628.59)
COM
Commission 6.00
08106/14 08/11/14 Margin Buy - Securities Purchased RICEBRAN TECHNOLOGIES RIBT 200 5.02 (1,010.00) (2.638.59)
COM
Commission 6.00
08106/14 08/11/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 600- 3.9901 2388.00 (250.59)
COM
Commission 6.00
Regulatory Fee 0.06
08106/14 08/11/14 Margin Sell - Securities Sold MODUSLINK GLOBAL SOLUTIONS MLNK 200- 3.771 748.18 497.59
INC
COM
Commission 6.00
Regulatory Fee 0.02
08106/14 08/11/14 Margin Sell - Securities Sold MODUSLINK GLOBAL SOLUTIONS MLNK 400- 3.77 1.507.96 2.005.55
INC
COM
Regulatory Fee 0.04
08/06/14 08/11/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 7.700 0.0316 (249.32) 1.756.23
COM
Commission 6.00
SDNY_GM_00011715
CONFIDENTIAL
page 26 o136
EFTA 00122366
EFTA01267845

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
08/06/14 08/11/14 Margin Buy - Securities Purchased NOTIFY TECHNOLOGY CORP NTFY 100 17.00 (1.706.00) 50.23
COM
Commission 6.00
08106/14 08/11/14 Margin Buy - Securities Purchased TITAN ENERGY WORLDWIDE INC TEWI 10.000 0.03 (306.00) (255.77)
COM
Commission 6.00
08/06/14 08/11/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 800- 4.0301 3.218.00 2.962.23
COM
Commission 6.00
Regulatory Fee 0.08
08106/14 08/11/14 Margin Buy - Securities Purchased 7A7A ENERGY CORPORATION 989197100 3.982 0.681 (2.717.74) 244.49
1:10 RIS w2o/14 98919T407
Commission 6.00
08/08/14 08/11/14 Margin Buy - Securities Purchased YAHOO! INC 115 0.22 (2.602.01) (2.357.52)
YHOO Aug 08 14 36.0 P TO CLOSE
Commission 69.25
Regulatory Fee 2.76
08/08/14 08/11/14 Margin Buy - Securities Purchased AMERICAN AIRLINES GROUP INC 40 2.42 (9.708.96) (12.066.48)
AAL Aug 08 14 39.5 P TO CLOSE
Commission 28.00
Regulatory Fee 0.96
08/08/14 08/11/14 Margin Buy - Securities Purchased UNITED CONTINENTAL HLDGS 100 2.05 (20.563.40) (32.629.88)
UAL Aug 08 14 45.0 P TO CLOSE
Commission 61.00
Regulatory Fee 2.40
08/08/14 08/11/14 Margin Buy - Securities Purchased AMERICAN AIRLINES GROUP INC 65 2.30 (14.993.31) (47,623.19)
AAL Aug 08 14 39.5 P TO CLOSE
Commission 41.75
Regulatory Fee 1.56
08/08/4 08/11/14 Margin Buy - Securities Purchased UNITED CONTINENTAL HLDGS 130 2.01 (26.210.62) (73,833.81)
UAL Aug 08 14 45.0 P TO CLOSE
Commission 77.50
Regulatory Fee 3.12
08/11/14 08/11/14 Margin Delivered - Other WHOLE FOODS MKT INC 70• 0.00 (73,833.81)
WFM Aug 08 14 39.5 C
EXPIRATION
08/1/14 08/11/14 Margin Delivered-Other MICHAEL KORS HOLDINGS 55• 0.00 (73,833.81)
KORS Aug 08 14 81.0 C
EXPIRATION
SDNY_GM_00011716
CONFIDENTIAL
page 27 o136
EFTA (X1122367
EFTA01267846

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
08/11/14 08/11/14 Margin Delivered - Other RITE AID CORP 200- 0.00 (73.833.81)
RAD Aug 08 14 7.0 C
EXPIRATION
08/11/14 08/11/14 Margin Journal-Other REDEMPTION FDIC INSURED 0.00 418.40 (73.415.41)
DEPOSIT ACCOUNT
08108/14 08/13/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 6.700- 3.9901 26.727.07 (46,688.34)
COM
Commission 6.00
Regulatory Fee 0.60
08108/4 08/13/14 Margin Sell - Securities Sold COWEN GROUP INC COWN 6.400- 4.0101 25.658.07 (21,030.27)
COM
Commission 6.00
Regulatory Fee 0.57
08108/4 08/13/14 Margin Sell - Securities Sold MODUSLINK GLOBAL SOLUTIONS MLNK 4.500- 3.7801 17,004.07 (4,026.20)
INC
COM
Commission 6.00
Regulatory Fee 0.38
08108/14 08/13/14 Margin Sell - Securities Sold MODUSLINK GLOBAL SOLUTIONS MLNK 1.115- 3.7801 4.208.71 182.51
INC
COM
Commission 6.00
Regulatory Fee 0.10
08108/14 08/13/14 Margin Sell - Securities Sold MODUSLINK GLOBAL SOLUTIONS MLNK 185- 3.79 695.13 877.64
INC
COM
Commission 6.00
Regulatory Fee 0.02
08/13/14 08/13/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (877.64) 0.00
DEPOSIT ACCOUNT
08/14/14 08/15/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC 1 3.30 (336.58) (336.58)
UEPS Jan 17 15 8.0 C TO OPEN
Commission 6.55
Regulatory Fee 0.03
08/14/14 08/15/14 Margin Sell - Securities Sold PACIFIC ETHANOL INC 20- 4.60 9.182.31 8.845.73
PEIX Aug 16 1416.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.69
SDNY_GM_00011717
CONFIDENTIAL
page 28 o136
EFTA (X1122368
EFTA01267847

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
08/14/14 08/15/14 Margin Sell - Securities Sold PACIFIC ETHANOL INC 20- 4.70 9.382.31 18,228.04
PEIX Aug 16 1416.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.69
08/4/4 08/15/14 Margin Sell - Securities Sold PACIFIC ETHANOL INC 30- 4.70 14.076.46 32,304.50
PEIX Aug 16 1416.0 C TO CLOSE
Commission 22.50
Regulatory Fee 1.04
08/4/4 08/15/14 Margin Sell - Securities Sold PACIFIC ETHANOL INC 35- 4.70 16.423.54 48.728.04
PEIX Aug 16 1416.0 C TO CLOSE
Commission 25.25
Regulatory Fee 1.21
08/4/4 08/15/14 Margin Sell - Securities Sold PACIFIC ETHANOL INC 26- 4.80 12.453.84 61.181.88
PEIX Aug 16 1416.0 C TO CLOSE
Commission 25.25
Regulatory Fee 0.91
08/4/4 08/15/14 Margin Sell - Securities Sold PACIFIC ETHANOL INC 9- 4.72 4.247.68 65.429.56
PEIX Aug 16 1416.0 C TO CLOSE
Regulatory Fee 0.32
08/5/4 08/15/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (65.429.56) 0.00
DEPOSIT ACCOUNT
08/5/4 08/18/14 Margin Sell - Securities Sold RADNET INC. 55- 1.75 9.587.21 9.587.21
RDNT Aug 16 14 5.0 C TO CLOSE
Commission 36.25
Regulatory Fee 1.54
08/5/4 08/18/14 Margin Sell - Securities Sold RADNET INC. 52- 1.75 9.063.94 18.651.15
RDNT Aug 16 14 5.0 C TO CLOSE
Commission 34.60
Regulatory Fee 1.46
08/5/4 08/18/14 Margin Sell - Securities Sold PACIFIC ETHANOL INC 130- 4.30 55.818.14 74.469.29
PEIX Aug 16 1416.0 C TO CLOSE
Commission 77.50
Regulatory Fee 4.36
08/5/4 08/18/14 Margin Sell - Securities Sold RADNET INC. 3- 1.80 532.25 75.001.54
RDNT Aug 16 14 5.0 C TO CLOSE
Commission 7.65
Regulatory Fee 0.10
SDNY_GM_00011718
CONFIDENTIAL
page 29 of 36
EFTA (X1122369
EFTA01267848

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
08/18/14 08/18/14 Margin Delivered Other YAHOO! INC 120- 0.00 75.001.54
YHOO Aug 16 14 33.0 C
EXERCISED OPTION
08f 18f 14 08/18/14 Margin Delivered - Other PANERA BREAD CO 85- 0.00 75.001.54
PNRA Aug 16 14 160.0 C
EXPIRATION
08/18/14 08/18/14 Margin Delivered - Other RITE AID CORP 250- 0.00 75.001.54
RAD Aug 16 14 7.0 C
EXPIRATION
08/18/14 08/18/14 Margin Delivered - Other CITIGROUP INC 400- 0.00 75.001.54
C Aug 16 14 49.0 C
EXPIRATION
08/ 8f 14 08/18/14 Margin Delivered-Other TESLA MOTORS INC 100- 0.00 75.001.54
TSLA Aug 16 14 180.0 P
EXPIRATION
08/18/14 08/18/14 Margin Delivered - Other APOLLO EDUCATION GROUP INC 150- 0.00 75.001.54
APOL Aug 16 14 31.0 C
EXPIRATION
08/18/14 08/18/14 Margin Delivered - Other APOLLO EDUCATION GROUP INC 300- 0.00 75.001.54
APOL Aug 16 14 34.0 C
EXPIRATION
08/18/14 08/18/14 Margin Delivered - Other APOLLO EDUCATION GROUP INC 250- 0.00 75.001.54
APOL Aug 16 14 36.0 C
EXPIRATION
08/18/14 08/18/14 Margin Delivered - Other CORINTHIAN COLLEGES INC 500- 0.00 75.001.54
COCO Aug 16 14 1.0 C
EXPIRATION
08/18/14 08/18/14 Margin Delivered - Other CORINTHIAN COLLEGES INC 2.000- 0.00 75.001.54
COCO Aug 16 14 2.0 C
EXPIRATION
08/18/14 08/18/14 Margin Delivered - Other YRC WORLDWIDE INC 216- 0.00 75.001.54
YRCW Aug 16 14 30.0 C
EXPIRATION
08/18/14 08/18/14 Margin Delivered - Other YRC WORLDWIDE INC 416- 0.00 75.001.54
YRCW Aug 16 14 32.5 C
EXPIRATION
SDNY_GM_00011719
CONFIDENTIAL
page 30 of 36
EFTA (X1122370
EFTA01267849

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
08/18/14 08/18/14 Margin Delivered Other TWITTER INC 35- 0.00 75.001.54
TWTR Aug 16 14 34.5 P
EXPIRATION
08f 18f 14 08/18/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (75.001.54) 0.00
DEPOSIT ACCOUNT
08/18/14 08/20/14 Margin Buy - Securities Purchased YAHOO! INC YHOO 12.000 33.00 (396.010.00) (396,010.00)
COM
Commission 10.00
08/20/14 08/20/14 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 141.308.74 (254,701.26)
DEPOSIT ACCOUNT
08/20/14 08/20/14 Margin Div/Int - Other FDIC INSURED DEPOSIT MMDA11 0.00 0.13 (254.701.13)
ACCOUNT
IDA11 NOT COVERED BY SIPC
Interest: Insured
Deposit Account
Payable: ce3112014
Insured Deposit Accoun 0.13
08/20/14 08/20/14 Margin Delivered - Other 7A7A ENERGY CORPORATION 989191100 88,732- 0.00 (254.701.13)
1:10 RIS 8)20/14 98919T407
REORG - 1:10 REVERSE SPLIT
8/20/14 TO 747A ENERGY CORP
98919T407
Auto Recrg#234881IREVERSE
SPLIT
08/20/14 08/20/14 Margin Received - Other 7A7A ENERGY CORPORATION ZAZA 8.873 0.00 (254.701.13)
COM
REORG - 1:10 REVERSE SPLIT
8/20/14 TO 7A7A ENERGY CORP
98919T407
Auto Recrg#234881IREVERSE
SPLIT
08/18/14 08/21/14 Margin Sell - Securities Sold YAHOO! INC YHOO 600- 37.165 22,292.50 (232,408.63)
COM
Commission 6.00
Regulatory Fee 0.50
08/18/14 08/21/14 Margin Sell - Securities Sold YAHOO! INC YHOO 5.400- 37.1601 200.660.10 (31,748.53)
COM
Regulatory Fee 4.44
SDNY_GM_00011720
CONFIDENTIAL
page 31 o136
EFTA_0012 2371
EFTA01267850

Statement for Account # 867-730320
08 01 14 - 08 31 14
Account Activit
Trade Settle Acct Transaction! Symbol
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
08/18/14 08/21/14 Margin Sell - Securities Sold YAHOO! INC YHCO 6,000- 37.2001 223,189.66 191,441.13
COM
Commission 6.00
Regulatory Fee 4.94
08/21/14 08/21/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (191,441.13) 0.00
DEPOSIT ACCOUNT
08/26/14 08/26/14 Margin Delivered - Other MEDIABISTRO INC 58448U101 3,200- 0.00 0.00
WC 8/25/14 58400W103
REORG - NAME CHANGE 8/25/14
TO MECKLERMEDIA CORP
58400W103
Auto Rearg#235154ISTOCK
PAYMENT
08/26/14 08/26/14 Margin Received - Other MECKLERMEDIA CORP MECK 3,200 0.00 0.00
COM
REORG - NAME CHANGE 8/25/14
TO MECKLERMEDIA CORP
58400W103
Auto Reargli235154ISTOCK
PAYMENT
08/22/14 08/27/14 Margin Sell - Securities Sold REIM WIRELESS COFIP. RWC 100- 4.473 441.29 441.29
COM
Commission 6.00
Regulatory Fee 0.01
08/26/14 08/27/14 Margin Sell - Securities Sold HEWLETT PACKARD CO 15- 6.40 9,585.17 10,026.46
HPO Jan 17 1531.0 C TO CLOSE
Commission 14.25
Regulatory Fee 0.58
08/26/14 08/27/14 Margin Sell - Securities Sold HEWLETT PACKARD CO 15- 6.70 10,035.16 20,061.62
HPO Jan 17 15 31.0 C TO CLOSE
Commission 14.25
Regulatory Fee 0.59
08/26/14 08/27/14 Margin Sell - Securities Sold HEWLETT PACKARD CO 15- 6.90 10,335.16 30,396.78
HPO Jan 17 1531.0 C TO CLOSE
Commission 14.25
Regulatory Fee 0.59
0&26114 08/27/14 Margin Sell - Securities Sold HEWLETT PACKARD CO 10- 7.00 6,988.10 37,384.88
HPO Jan 17 1531.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.40
SONY_GM_00011721
CONFIDENTIAL
page 32 of 36
EFT.A_D0122372
EFTA01267851

Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
08/27/14 08/27/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (37.384.88) 0.00
DEPOSIT ACCOUNT
08/25/14 08/28/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 700- 4.4801 3.130.00 3.130.00
COM
Commission 6.00
Regulatory Fee 0.07
08/25/14 08/28/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 1.300- 4.54 5.895.86 9.025.86
COM
Commission 6.00
Regulatory Fee 0.14
08/27/14 08/28/14 Margin Sell - Securities Sold AEROPOSTALE INC 30- 2.16 6.456.63 15.482.49
ARO Oct 18 14 2.0 C TO CLOSE
Commission 22.50
Regulatory Fee 0.87
08/27/14 08/28/14 Margin Sell - Securities Sold AEROPOSTALE INC 25- 2.20 5.479.52 20.962.01
ARO Oct 18 14 2.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.73
08/28/14 08/28/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (20.962.01) 0.00
DEPOSIT ACCOUNT
08/26/14 08/29/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 600- 4.7201 2.825.99 2.825.99
COM
Commission 6.00
Regulatory Fee 0.07
08/26/14 08/29/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 100- 4.72 471.98 3297.97
COM
Regulatory Fee 0.02
08/29/14 08/29/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (3.297.97) 0.00
DEPOSIT ACCOUNT
08/29/14 08/29/14 Margin Div/Int - Expense MARGIN INTEREST CHARGE 0.00 (123.04) (123.04)
Payable: 08129/2014
Closing Balance ($123.04)
Tot Cash Actively totals. refer to the Cash Acevity Summary on page one of your statement
SDNY_GM_00011722
CONFIDENTIAL
page 33 o136
EFTA_00 I 22373
EFTA01267852

Statement for Account # 867-730320
08/01/14 - 08/31/14
7D Ameritrade Cash Interest Credit/Ex • - nse
Begin Margin Credit Number Interest Interest Interest
Date Balance Balance of Day Rate Debited Credited
08/01/14 S (38,653.53) $ • 3 8.50 $ 27.38 $ -
08/04/14 (18.486.64) 1 8.75 4.49
08105/14 (27.923.17) 1 8.50 6.59
08/06/14 (6.333.36) 1 9.00 1.58
08/07/14 (11,861.50) 1 8.75 2.88
08/11/14 (73,415.41) 2 7.50 30.59
08/20/14 (254,701.13) 7.00 49.53
Total Interest Income/(Expense) $123.04 $ 0.00
Insured De. osit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
08/08/14 $ 418.40 3 0.0100 $ $ $ -
08/13/14 877.64 2 0.0100
08/15/14 66,307.20 3 0.0100 0.06 0.06
08/18/14 141,308.74 2 0.0100 0.07 0.13 0.13
08/21/14 191,441.13 6 0.0100 0.32 0.32
08/27/14 228,826.01 0.0100 0.06 0.38
08/28/14 249,788.02 0.0100 0.07 0.45
08/29/14 253,085.99 3 0.0100 0.21 0.66 0.66
Total Interest Income $0.79
Trades Pendin . Settlement
Account Symbol,' Trade Settle
Investment Description Type CUSIP Quantity Price Date Date Amount
SELL RELM WIRELESS CORP. Margin RWC 700- $ 4.8001 08/27/14 09/02/14 $ 3,353.99
COM
SELL RELM WIRELESS CORP. Margin RWC 700- 4.90 08/27/14 09/02/14 3,423.92
COM
BUY NET 1 UEPS TECHNOLOGIES INC Margin 1 3.70 08/29/14 09/02/14 (376.58)
UEPS Jan 17 15 9.0 C
SDNY_GM_00011723
CONFIDENTIAL
page 34 of 36
EFTA 00122374
EFTA01267853

Statement for Account # 867-730320
08 01 14 - 08 31 14
Insured De. osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $ 0.00
08/08/14 08/08/14 Received FDIC INSURED DEPOSIT ACCOUNT $ 418.40 418.40
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
08/11/14 08/11/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (418.40) 0.00
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
08/13/14 08/13/14 Received FDIC INSURED DEPOSIT ACCOUNT 877.64 877.64
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
08/15/14 08/15/14 Received FDIC INSURED DEPOSIT ACCOUNT 65,429.56 66.307.20
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
08/18/14 08/18/14 Received FDIC INSURED DEPOSIT ACCOUNT 75,001.54 141.308.74
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
08/20/14 08/20/14 Delivered FDIC INSURED DEPOSIT ACCOUNT (141,30834) 0.00
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
08/21/14 08/21/14 Received FDIC INSURED DEPOSIT ACCOUNT 191.441.13 191,441.13
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
08/27/14 08/27/14 Received FDIC INSURED DEPOSIT ACCOUNT 37.384.88 228,826.01
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
08/28/14 08/28/14 Received FDIC INSURED DEPOSIT ACCOUNT 18.673.99 247.500.00
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
08/28/14 08/28/14 Received FDIC INSURED DEPOSIT ACCOUNT 2.288.02 249,788.02
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
SDNY_GM_00011724
CONFIDENTIAL
page 35 0136
EFTA_00122375
EFTA01267854

Statement for Account # 867-730320
08 01 14 - 08 31 14
Insured De. osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
08/29/14 08/29/14 Received FDIC INSURED DEPOSIT ACCOUNT 3,297.97 253,085.99
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
08/29/14 08/29/14 Received Interest: Insured 0.01 253,086.00
Deposit Account
08/29/14 08/29/14 Received Interest: Insured 0.65 253,086.65
Deposit Account
Closing Balance $253,086.65
TD Bank NA $247,500.00
TD Bank USA NA $5,586.65
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by TD Bank. N.A. or TO Bank USA. N.A.. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
SDNY_GM_00011725
CONFIDENTIAL
page 36 of 36
EFTA 00122376
EFTA01267855

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
At the end of your September statement you'll find a copy of our Privacy Policy, which we
provide to you annually.
CONFIDENTIAL SONY_GM_00011726
EFTA 00122377
EFTA01267856

Terms and Conditions
STATEMENT GUIDE
IL Ar.: ehaab prandes mondly Poiddio Report; lor accoums van acverty and quanody 'opa's h Me «Mi 01 a ~etage ineolanty. a deed may refebeernantS doe trom the trustee eer an investor brochure bal maas intormabon dosolang FINRAS Pltllc Dociasuro
'a mum .re accounts vatte isme.' in bannuPtcY and mon SIPC, ~omal covorago d pad oul Mor tho trustee and Program. pletne Contact F1NRA et 030-289.9999 Of enewlinfaala
Portfolio Summaire,: Treda Ine Current Waas Of yOur 000010 es 01 !he n>pOd date end ØPC payouls ard ~ar such canna, cash gant es ~led to a ambrod return ot
comparee ij to grue prior morilh.a nee steel BYOCeHOn irdCele4 maa p00010 diveranCalion by 5152 mrhon koen a tonde*. SIPC and London immers The TO ~Mud, lopplemontal 1110 intaest rato slxnen ta TO Amor/rade Cash is laken hom tho opplooi:1c micron rato eer lor
investment type coverago bas an aggregaat km ol 1600 mnon aM ab anti:eters. Tres polcy Draad.: the Merkel Valere baten«. n Me TO Ametrrede Cali,. as OIO» elgismen cloWno date Simple
arena, loVainp Wange in$Ohny end cbes 001a010C1 apBinN b» in manen vatte irtftest es acnxd dall/ based on the interestrato ter applicatie to oach days Liane°.
MMO* dbeahms under 5% ank be gezoen.] mto tho coupon ol neinor in the pil dun. Margo ot me socurnms
Emily - Total Account EiturtWiTouti Long labginable label • Total Short tintte) Innamen Statement Notinzation: llso statement ol hnancul condton lor TO Omen:rade es
invommen1 h a money medel kind n nia ineured Of euerareted by Me Fedettd ~tabla Wee a yen and may be obtentel al no COst via be inramen at
Activity Summary: Ine opening and doling cash blanca are reconcled neo lor yoa quid 'boost Insuraine Corporabon (FOICI ce any olha gernernrrat agency Mthough IM tobscUwerticcrnentrad000nynnancrabiatomonibtra
retegoico Al account aelnity es surmanzod lor mo torren ponod and year to dato. kinds Beek 10 posene [ho verba Cd »or innhaMent el St 00 p« Pure, d e posebb 10
Ineorne a Expense Summary inwaai only): 1his soctran dolais tno inoomo ard epen« Mee money by involgen n a money meniet rund. DMOrledi aio idectired dab end °paan AssIgnment All short equty poon namens and som: indoe oom potbons are
194,03 hom 0e Aciany Sommen and tamiles Me les tremmen. padvesneestod mordey. lbo prospectus canons Mes ard odia important rtorm.roon ~lab!. lof assignment. Exeitte anignment races eo, eg vb ot index opbons are tandonly
Rebnanent Account Summae./ (IRA. array): Amorf to IRS ropaxod transaceons lor Mo Reed nee armoedw aireh.0/ befae imeting NOn-deedail inverilmenta held tw your alocalod amang all tiomn' shon postent by an aJlomaind orecoette.
curare tod pro nam IRS Form 5498 Fait man« vane is based en Uw cement venus es of trokor.dealer aro NOT FD1C NSURED NOT BANK GUAWWTEEDi MAT LOSE VALUE.
Downeer 31 d lbo pranous stuar anima bo turnshod to the Iniernal Reuenuo Santo. Free Credit Balancos (Rule 154.2 & 3): Under me ment promotion (vlos. wo may uso tree
l P o e s d ta o s n b na r n y c o e u S r b u i m u m ro a r r u y m :M b o n n o it n o t r s > t o r e a n t o a m /. w al ponk» pedarnance end lto urreelized gein. end c T a h n e b b o a l l e q n u , i » d a h t e y d O o u n r b y a o n u k t o 0 r 0 d 9 e 0 r. 9 a 1 n e d c 0 M 0 e 0m pr o o o f e s e h d a s r e re . t O u f r n yO :d u r t o m w on a e r y s M o e t r t k e e t l e "d ra an a / m b t i n o d r b on e d d i o l r b re e n le d n . en in yOur OCCOuril n Ine Ordintuy course ol out buene» whkh are porralle to sou
Account PosItions: New your rnestmoms at tho current mainot vat» and combo:0 the °and /omblad NyOu
tost to set vveelaed geins and roem n your pallol0 Original coat is esegned uling Ine Mergin Aa:afrit Oleguladon Ttilyou have a nygin account. ma report d a combnaten cd
e ar n s t t a . n N . r o in t e -o si u o t n ( a F l I o F d O e I r m ne e s lh tm o o d n . t M e a n c c h o m m e a 2 m a m nd a a te rm a e n e i s C lu o m :, s p > e C r m s s h o ar l e e r a e n C h d o o se id y a o y u e p d u b rth r e y lf o e u d r T ta a s s e R m o o p r o a r g in n g : o W x ie r p pC la n - t c o e lO m rty h r y H i I i S s i n n a la rs te o n m d n a is o n in e d n u t a r Y ts ® U ab r b ec m ek a e y F a e . r m ba e d r: e 0 9 d k s « . s c n ap o u l t r y is l k e s m an a d r l e » s a no a t r s d u t ta a ld n o d l a o r ~ a d ll a in l v e m s e to m rs o . r a A n d c u o m m p a l m et° a l n a t l e T t r e th d e n g ri s o k n s m as a s r o e o n a p t O od s e s s e e e l d l d re a a :k rg n i a n l
m AO e C r O e u n n ° t , A M c e t e i n o t a y e : s A t p l a a c te c n ou ts n t t , e da fl t h e i l e y S n h d O e w e n r k t/ ir d e e n lh o e d d e . s W :io e n d e i l n y O ou de h O ef r f d in e g r, P en ed d 0 r d e ) l . l eaed n the g tu a l I r b e o . m lag e e ta ~ a 1 l o e 2.tn e e n c d r s x i r l e e s bn p r r a o c c c e e e s d il Soms permens ere subled to reclassreolOn nhkh g do e c d u o m e e i n s t b s y v a oo le n b ta o c t i i n n g n u e s e m l a M r e g n ri u r m ek b e d f i n s a d l o e s d u 0 r 0 e P d a o g c e u m O e n n e t o . l Y p O u u t m st a a y te m gro e l n e t i . n a cepy d ms
m C O C Ø Tr b o a s n . e d d f a n a s e Il f t o r y a . t a c t C P a a s a a n s o s o n h t h m d r b a i S a n n r l e g a a s r n a o v % c c i r e c t t I i i . e n o n s e n g T n s p n r ti a d o n n g n b e : o d a C r . c e o t n i l n O l d o li n m c u t d D e o n d e y g l n o e u n c m r : h e e C e i c e a A k s c c . h u c d o t m e o u b d a n d n t W a A c g e c a e d v r m d n e t e a y n n n i s t t d h a i n b A e o o T s s n M e t a n c a t t o e i c o n m t m m m e b n I e n . t e a s d n t r e e , c l e l ', e s a a ta l r l e e d d r i n m d r o d i n n a o t g o , ~ ~ e O a W o a + rp e t Ø e e B n d a y s e c m e n l b ; d e y t a o e s C a n a O r d n t S a 1 a s a m n u t / a k s m o X t . e f t c t e b m a d n m s e t O u l t I o m r D R t e a a in / T n 1 V b d E 1 u o D ) D r n t m a a 1 a e t D r e n d r n t d e a m a e n l d e e le = t b e e a i c s n e r e I l p e n b o e t r i e s i d n r . g c n C o a a C m r H i d m N g G p C r O o C u n n O n d e : R k a b P o s b C n M : y l o o l A o t T n a t E e w f D t t b o d ~ i a r e O n ~ r e d S V n o n a n n i o o b d r t n r l s P s o e e h e a r c l a m d y e e r m c e e i n l a n e e c t n s d n a c g t s u m c h l r o n o e e m p r u n n a e c p h O y n y a m r s s M d v o . a e a n b b o r d 1 r o e o F h n r h k l s o a o 1 w a i s W r « d o ( o O d S d r l E r d o m p o C e o n m a o s . R l t n e T % o r c O e s o b n c ( A a s S e n O m 6 n c f l a 0 . a n t s r 6 t y e a n r n a a n r a a d n e G t n o d p ta e w o a i 6 O n n ls t 0 i s r n e o 7 o s t d ) e m t : h i o ) s I a . n c u 1 y C i n a s 0 r O o n 0 t a a m n m 0 a o o n p a m o n s c i n n e d r s e c o e a o u l n o l m v m i d o o e l n p n i d e r o a i v s s n n e e e s i c s n r a q o e l u m l l r s o t e . b o r n M T « r o l e O e a d r r l k d a m ~ o e x e o r e l . o n C d l r f t b o r e t a o a s t t e t e , p t : n h 1 r e f a d e o 0 r
Onanie Cash Services Summary:Cralt ard debt transamon totals lor tho cunom stuemen Maan and Options Account Agreements: Praat/ adaso 10 Amentrada n meng et nanon at ennvidarnweradracom A ventten orpy is avalatle Loon roomst.
re00400 Pedal we aumnbanzet. Indbitket treineactale ere not listed. any drang: in your inuestmont civxmos er *namat stuairan as net man to your
'ie to tanding actustments. lbo ~ment deals may nol «mal eie statement totals. ~ ~r n e o in ,* o o r x O oc g u l k a a n n a e C l C o O pe un e t n a s g t r r e a e n n s y a o c rm eo s n s A i B s ~ oe ta m b a l n a e . l einmeson and duale neven M h a is k e o n u , r V pc v li d cy . o a n b s b en e t ( d W o il n ly o k r o d e a rs a r to d e ln o b e o s o t n ~ lra W ry. o to n se ar la d k [h a o a h ts o , le d n e , a 0 le 1 r s ~ . M ar g d ma p a f le te e l
retilkneled Anrwal boom. end Ealtroted kluut]] Yield valuta are bets upon Ibe minbar d improvoment en markot ordas. Pnco imprammontn avond,* Won «man marker conctions.
slums anna or ~rom vake, balanse as ot trio statement dala an] most mant duidend Om« Makel Plom Die makel ~es el ~los ham ban sena. n ~IQ kom and we regularar monter executant to test lar :ben inwonen:tm d ~fado.
rele a cash Petel prernded qt<tikn ~OS sd ether imknerident waas Vabee ere Weed On me dosho tree. me
rrecn Uwe« mo bel ard vivo tom Gana maften. t na randeken salto bom a Trede GOMa melie:ne (flule100-10):All conitmelions ere Paraffine* On Ine traisii060n date.
GENERAL INFORMATION nota/1m *m'n> (e Oteer independent earCe. tee 'anwb is tatted beng renede] dr3
Nul Prooi CO) nowlumens your paddc, noen am provded as genend intendon se Tas: Transactie", in beton seOurilks (indlOn9 Saaien contant ADM liet (rftfle in me
10 Omen:rade does not peesde legal or lax ~ce. Ploos* coma, your loyal ~oor or las no dom gamma lb same/ dry scones por- hkruage batend postons arewurn U.8) may rotlucht Lues and loos chargod by esa kraan ma!~ os govemmonls. vach may
*Moore/nl wan neanulant. AS a rilandlird ruw:baby braadt "ne COrweredatns may be ving te ~anno bals», ant ma ene« roset pk* Porto rØ Sean/1 ney nel be Nelected in bie erica ollre accu", Of cherged an txtereendent sne item
records br Sally Ontrol and liansadion verdenbal OurpOste. nectars sake prococcb. Die seo:nday marker kv Canna. d Deposis (als) es funoraty
lood and the afhel mao me/ be Oeren trom me evehele Pree ~SIM d PInCtel Privocy POliey MollIkillon: A CODy of Me TO Ameneracb privacy 001CY is avaPable al
For TO Amentrade bushoonal dem. your ausar inn es scp.vato hom and not attlialed win may 'Ooit tan be slib doel) pinn ta rrearty Brit mus Fegd Worm Steurt= Ira wevanamaindocom
TO Amentrada. Inc. a TO Arratrado Omme, Inc., ard ach Inn es nat responsen, la the dteromy mat any socunwn and da na base an a klad ~go. Rafn a. loog va n me
pretaxls end senices ol Me orher. OTC loet« We °punten ~Wand egde«I guting ~re( sol la lal b sad leur PeeNnerla Cadet* Sorairilietn The elocabon el panel reuemaonsd odes n done vang a promotie keen
to rekt". lblabdlbcrsØ to ma" may rooit n a leas el a11Ø. naam. A dorammon el mo pteactiros tot alde saunam is avalabbon Vlo astel: of hand
Money of Rayons:H you find any errors or *miniem In vors account statement you coploo aro muntte upontapost.
anould immediatety oen u$ et tnt mentor tisted Om page °ne of your statement You Non Standaed Assen OGAl aso b:c-1y meinnu ra Oma panpalm program socurbce
naald als* contact our Clearing reen, TD Amarltrads Clearing, ho. el 8004694900. Matraystren. Inuod rotary ccmpana. 0' red eclalo rune Inval. cownzaty pools. prime in øse ot !maa Oe (nesten, &OOI your %MONO Fund %neten. pleie COnIttl us al
muty. milde OOI a hedge knots N5.46 se honen/ houd rnweirneris sd do na bade cn a laan 669,3960, ot n ming to P,O. Box 2209, Omaks. NE 68103. or by email
Please ternete tos sialemani c.iredity. 11 you dragee* sub any banaten aal Mae am any necnd ~rem echange ce to Nadat Stock Mak«. Do ',Vues torn ta moe ~entre dieMeerva*KandaMadrade.Cem TOS ~maten einebed in >na e0Ø statement Shell
«Eds of °camions. Masse notify e giant Services reproseMege. Or yes lood Winch Cd-te. at tre ~Wed ~ei dobed kro witte ~NOK Ø. bui nei kneed la independent bo boden upen waf rl you do not otu rd wam sody Nt)days lor any aansta ot luens sutla
wel as 10 Amairado Clean-g. lix, in wrong netten ton (10) days of war natoot ei tod opwarmt:. tho proefles net zot. ander trad party tonder alom tur ham boen aards by to Regiebon E, toch as ATM and pont arale barelen, dein varadons. drom daa :d.
statement. Am wei statements Inst you rune mede to os shenid be COMmled in wriing Toe lb ~gom" afTrraratt.andagovadosh man aan a thrdiany vendu Mhout and wilhatanilt. We Must heer trom you ro later Man 60 dors erter we seM gru lno rinst'
stainneni slit abonnee be conaidered concbahe. imkpendem wreden by TI> kreta. Valuta met nol («MI Ine cand mrchase pica. summair en whchthe error or pe° Mom appearod,
acisul mand utlue « be mam] toen kwenen t ei øt11Ø telue wend a:ØØ (I) Ted us par ren. end «munt camber
Masse notty vs prompily 01 any changes in pv contact inkemeeon. TrareacTIOns redadottl on IIVOugh ~methode. Me oluskn ms/ be renected aa NenPited CNV) Fa 0006~ stal (2) Ooscrto the error er Me tranaSer you are urnen* atoom. ard oxplan as dooft/ as you can
your rcpon wil be concbsem~od aearratourdoss you roely TD Amatrado inmaken/. toom% utman ta NahStardard koe. pleno armst Clan Smoes Dom reasturrats way you bolero d is an orror or way you nood moro snlormabon.
amnamaa wanne9PC (3) Ted os Po dobler arroJni of le suepected erwt.
Account Prolectbn: Dcpostls tob by TO Bank. NA ard TD Dank USA. NA. aro nsured by Wo stil invosigdo your °omplant and wil wrat any error prompdy. n wo lakei more man ID
ere FOC (ral COvered by SIPC) up le $250.000. Landt, Be per CaOtinl ormereaP Per Adm lido Steurt= (ARSD Pang: lbo makel~ fa MS start= rad boen ~med. Name dus le de INS. se Voll Credl y04.1 eremum 40r 010 &MOL« yOu hits is n error. zo~
insthludon. To leem more abel FOK COstrage (10 10 +new IdCgOv. Snide!. indudng d ~Wo. torn chiOtekneenaree er ame indeperdent s0urCes Tse Barney el me edda is nol you wIl have go uso al the menen dunng tho tmo t taket us toean:toto ourinvestgawn.
~vat lunet held in gun BrOkerage ACCOUN are re01 d000$0 Or delg/Mons of. or curanicat Ha motel makt snot adertb. TE/ PadInde wil poco to OAS peotion.takrg 4110
graaneed by. any bank. are not FOICinsesed. and erwohe envestment nets. ircludng ~dom= bot to Muon/ ad undrramg att quaty. Die SAS ~kei is curratly
possble loss ol princpal. TD Amenvade is a momber ol the Sccunbes Invoel« Praatten tecaneldng a bede 011oadty end. esa mort here art be no name deel socheecurtes ca,
Optoomden (51PCI. which praaien :canna: antomers of els minbars up lo 5500.000 to sold order arenm an tablat. ~TO 150 07na
(ncticling 5250.000 lor claims for cash). Explanatory brochure is available on raaien at
wwwsipc.org. REGULATORY DISCLOSURES
Additionady. TO Amerika«, panddes eed, Meed $1415 ~ion wort ol prolection tor NI vansaceons aro abject to p) mc consmution. Na. tegulatons. clowns and ulaan
SeetrdlieS and $2 milen or pd009CIOn rot cash 'nwon Supdlemenial coverage provided by d the exchange Of makel. and ia dearaoreouse. H em. en mach mal kanteel-dna ere
Logdan Immers oaccuted: (nl bodega! lees. mang mc Saturnus Act el 1933 and tho S«urnes
Ex ouncriDO ni in of ond Of (rh: SDNY_GM_00011727
F
EFTA 00122378
EFTA01267857

Statement Reporting Period:
1D Ameritrade
09/01/14 - 09/30/14
800.669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTFtS STE 8-3
PO 80X 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Amer'bade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash ($0.03) ($123.04) $123.01
Insrd Dep Acct 631,076.35 253,086.65 377,989.70 149.4% 0.01%
Insrd Dep
Money Market Other
Acct
Short Balance Options 4.2% 17.4%
Stocks 2,109,726/6 2,421,070.92 (311,344.16) (12.9)% 214%
Short Stocks
Axed Income
Options 739,640.04 1,544,041.82 (804,401.78) (52.1)%
Short Options
Mutual Funds
Other 151,291.10 194,020.00 (42,728.90) (22.0)%
Stocks
Total $3,631,734.22 $4,412,096.35 ($780,362.13) (17.7)% $ 0.00 0.0% 58.0%
Margin Equity 100.0%
Cash Activi Summar Income & Ex iense Summa Performance Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance ($123.04) $ - Income Cost Basis As Ot - 09/3114 •• $3,698,668.25
Securities Purchased (376.58) (8,601,778.47) Dividends S - $200.00 Unrealized Gains 217,04170
Securities Sold 378,485.83 5,232,560.36 Interest 1.63 Unrealized Losses (915,054.05)
Funds Deposited 4,000,600.00 Other Funds Deposited/(Disbursed)YM 4,000,600.00
Funds Disbursed Expense Income/(Expense)n° (314.58)
Income 201.63 Interest (0.03) (516.21) Securities Received/(Delivered)"° 0.00
Expense (0.03) (516.21) Fees **For cost-basis Information. refer to www.tclamertttado.com
Other (377,986.21) (631,067.34) Other
Closing Balance ($0.03) ($0.03) Net ($0.03) $0.00 ($314.58)
SDNY_GM_00011728
CONFIDENTIAL
page 1 o113
EFTA 00122379
EFTA01267858

Statement for Account # 867-730320
09 01 14 - 09/30 14
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer $ 4,000,000.00
Subtotal 0.00 4,000,000.00
TOTAL 0.00 4,000,000.00
Income Summary Detail'
Description Current Year to Date
Interest Income Credit Balance $ 0.00 $ 1.63
Margin Interest Charged (0.03) (516.21)
Qualified Dividends 0.00 200.00
IDA Interest 3.49 9.01
'This section displays current and year to date taxation values for 016 account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reponable in a previous tax year (spillover dividends). The year to date totals will accurately reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
ACCESS PHARMA INC ACCP 363.500 $ 0.275 $99,962.50 05/12/14 $ 142,412.44 $ 0.39 $ (42,449.94) $
COM
ATHERONOVA INC AHRO 3.403 1.96 6,669.88 06/16/14 7,570.46 2.22 (900.58)
COM
COMMAND SEC CORP MOC 20.000 1.98 39,600.00 07/07/14 36,518.57 1.83 3,081.43
COM
ELEPHANT TALK ETAK 193.853 1.03 199,668.59 05/12/14 193,085.38 1.00 6,583.21
COMMUNICATIONS
COM
EMRISE CORP EMRI 32.000 0.78 24,960.00 05/15/14 27,134.47 0.85 (2,174.47)
COM
HAUPPAGE DIGITAL INC HAUP 187.800 0.17 31,926.00 06/13/14 35,201.45 0.19 (3,275.45)
COM
LANTRONIX INC LTRX 90.000 1.78 160,200.00 05/23/14 176,877.30 1.97 (16,677.30)
COM
CONFIDENTIAL SDNY_GM_00011729
page 2 of 13
EFTA_00122380
EFTA01267859

Statement for Account # 867-730320
09/01/14 - 09/30/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 81.001 0.05 4.050.05 06/30/14 22.615.07 0.28 (18.565.02)
INC
COM
MECKLERMEDIA CORP MECK 3,200 0.96 3.072.00 07/24/14 2.645.50 0.83 426.50
COM
MERRIMAN HOLDINGS MERR 30.400 2.55 77.520.00 07/09/14 105.961.03 3.49 (28.441.03)
INC
COM
MODUSLINK GLOBAL MLNK 43,200 3.57 154.224.00 05/13/14 157.472.54 3.65 (3.248.54)
SOLUTIONS INC
COM
NOTIFY TECHNOLOGY NTFY 2,220 8.00 17.760.00 07/08/14 32.898.00 14.82 (15.138.00)
CORP
COM
OCLARO INC OCLR 80.000 1.43 114.400.00 05/13/14 151.686.72 1.90 (37,286.72)
COM
RAINMAKER SYSTEMS RMKR 472.000 0.075 35.400.00 05/12/14 106.708.07 0.23 (71.308.07)
INC
COM
RELM WIRELESS CORP. RWC 45.000 5.16 232.200.00 05/13/14 151.440.35 3.37 80.759.65
COM
RICEBRAN RIBT 66.900 5.32 355.908.00 05/12/14 371.803.49 5.56 (15.895.49)
TECHNOLOGIES
COM
TITAN ENERGY TEWI 4.503,800 0.0274 123.404.12 06/23/14 78.658.58 0.02 44.745.54
WORLDWIDE INC
COM
TRANSGENOMIC INC TBIO 92.600 3.77 349.102.00 05/12/14 368.585.82 3.98 (19.483.82)
COM
ZAZA ENERGY ZAZA 6.174 3.63 22.411.62 05/21/14 45.300.57 7.34 (22.888.95)
CORPORATION
COM
SDNY_GM_00011730
CONFIDENTIAL
page 3 0113
EFTA_00122381
EFTA01267860

Statement for Account # 867-730320
09 01 14 - 09 30 14
Account Positions
SymboU Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) income Yield
Stocks - Margin
ZIOPHAFM ONCOLOGY LOP 21,700 2.64 57,288.00 05/14/14 76.372.38 3.52 (19,084.38)
INC
COM
Total Stocks $2,109,726.76 $2,290,948.19 $(181,221.43) $0.00 0.0%
Options - Margin
ADVANCED MICRO 920 $ 0.2689 $24,738.80 05/12/14 $ 80,879.08 $ 0.88 $ (56,140.28) $ -
DEVICES INC
AMD Jan 17 15 3.5 C
ADVANCED MICRO 875 0.06 5,250.00 06/20/14 36,151.25 0.41 (30,901.25)
DEVICES INC
AMD Jan 17 15 4.5 C
AEROPOSTALE INC 610 0.3279 20,001.90 05/13/14 91,337.14 1.50 (71,335.24)
ARO Jan 17 15 3.5 C
AEROPOSTALE INC 320 1.2903 41,289.60 07/18/14 44,146.39 1.38 (2,856.79)
ARO Oct 18 14 2.0 C
BEAZER HOMES USA INC - 390 0.50 19,500.00 05/13/14 80,047.86 2.05 (60,547.86)
BM Jan 17 15 20.0 C
BLACKBERRY LIMITED 130 1.62 21,060.00 06/27/14 24,755.63 1.90 (3,695.63)
BBRY Jan 17 15 9.0 C
CORINTHIAN COLLEGES - 575 0.0001 5.75 06/24/14 3,211.05 0.06 (3,205.30)
INC
COCO Feb 20 15 1.0 C
CORINTHIAN COLLEGES - 2.167 0.0297 6,435.99 05/13/14 63,816.86 0.29 (57,380.87)
INC
COCO Nov 22 14 1.0 C
COWEN GROUP INC 215 1.3098 28,160.70 07/15/14 42,378.41 1.97 (14,217.71)
GOWN Jan 17 15 2.5 C
COWEN GROUP INC 600 0.3098 18,588.00 06/27/14 15,873.40 0.26 2,714.60
GOWN Jan 17 15 5.0 C
DRY SHIPS 800 0.12 9,600.00 05/12/14 51,659.20 0.65 (42,059.20)
INCORPORATED
DRYS Jan 17 15 3.0C
SDNY_GM_00011731
CONFIDENTIAL
page 4 of 13
EFTA_00122382
EFTA01267861

Statement for Account # 867-730320
09/01/14 - 09/30/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Options - Margin
FLAMEL TECH 130 4.7496 61.744.80 05/14/14 53.660.62 4.13 8.084.18
FLML Dec 20 14 10.0 C
FUELCELL ENERGY INC - 290 1.0901 31.612.90 05/13/14 37,228.46 1.28 (5.615.56)
FCEL Oct 18 14 1.0 C
FUELCELL ENERGY INC - 380 0.592 22.496.00 05/12/14 31.626.12 0.83 (9.130.12)
FCEL Oct 18 14 1.5 C
HEWLETT PACKARD CO - 110 5.00 55.000.00 05/13/14 45.394.14 4.13 9.605.86
HPQ Jan 17 15 31.0 C
JETBLUE AIRWAYS CORP - 210 1.1248 23.620.80 07/31/14 30.038.54 1.43 (6.417.74)
JBLU Dec 20 14 10.0 C
MGIC INVT CORP WIS 515 0.612 31.518.00 05/14/14 77.606.61 1.51 (46.088.61)
MTG Jan 17 15 8.0 C
NET 1 UEPS 191 4.056 77.469.60 05/22/14 64.875.64 3.40 12.593.96
TECHNOLOGIES INC
UEPS Jan 17 15 8.0 C
NET 1 UEPS 131 3.2025 41.952.75 06/05/14 39.457.20 3.01 2.495.55
TECHNOLOGIES INC
UEPS Jan 17 15 9.0 C
NORDIC AMERICAN 725 0.6092 44.167.00 05/15/14 94.302.15 1.30 (50.135.15)
TANKERS LTD
NAT Jan 17 15 7.87 C
NORDIC AMERICAN 325 0.0145 471.25 06/18/14 12.954.55 0.40 (12.483.30)
TANKERS LTD
NAT Oct 18 14 9.87 C
QUANTUM FUEL 250 0.1775 4.437.50 07/17/14 37.655.50 1.51 (33,218.00)
SYSTEMS TEC
QTWW Oct 18 14 4.0 C
RADIOSHACK 500 0.305 15.250.00 07/18/14 9.293.00 0.19 5.957.00
CORPORATION
RSH Jan 15 16 1.0 C
RADNET INC. 480 1.8685 89.688.00 05/12/14 99.022.56 2.06 (9.334.56)
RDNT Dec 20 14 5.0 C
SONY CORP 305 1.125 34.312.50 06/10/14 23.862.18 0.78 10.450.32
SNE Oct 18 14 17.0 C
SDNY_GM_00011732
CONFIDENTIAL
page 5 0113
EFTA_00112 2383
EFTA01267862

Statement for Account # 867-730320
09 01 14 - 09 30 14
Account Positions
SymboU Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Options - Margin
TEEKAY TANKERS LTD 205 0.053 1,086.50 06/23/14 7,279.67 0.36 (6,193.17)
TNK Nov 22 14 5.0 C
UNISYS CORP 250 0.3001 7,502.50 07/14/14 35,629.50 1.43 (28,127.00)
UIS Oct 18 14 24.0 C
YRC WORLDWIDE INC 30 0.0988 296.40 06/05/14 6,820.23 2.27 (6,523.83)
YRCW Oct 18 14 22.5 C
YRC WORLDWIDE INC 140 0.0202 282.80 06/27/14 18,905.37 1.35 (18,622.57)
YRCW Oct 18 14 32.5 C
ZIOPHARM ONCOLOGY 210 0.10 2,100.00 07/01/14 26,106.55 1.24 (24,006.55)
INC
ZIOP Oct 18 14 3.0 C
Total Options $739,640.04 $1,285,974.86 $(546,334.82) $0.00 0.0%
Other - Margin
RICEBRAN RIBTW 89.000 $ 1.6999 $ 151,291.10 05/12/14 $ 121,745.20 $ 1.37 $ 29,545.90 $
TECHNOLOGIES
WARRANT EXP 11/18/2018
Total Other $151,291.10 $121,745.20 $29,545.90 $0.00 0.0%
Total Margin Account $3,000,657.90 $3,698,668.25 $(698,010.35) $0.00 0.0%
SDNY_GM_00011733
CONFIDENTIAL
page 8 0113
EFTA_00122384
EFTA01267863

Statement for Account # 867-730320
09/01/14 - 09/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
Opening Balance ($123.04)
08/27/14 09/02/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 700- $ 4.8001 $ 3253.99 3,230.95
COM
Commission 6.00
Regulatory Fee 0.08
08/27/14 09/02/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 700- 4.90 3.423.92 6.654.87
COM
Commission 6.00
Regulatory Fee 0.08
08/29/14 09/02/14 Margin Buy - Securities Purchased NET 1 UEPS TECHNOLOGIES INC - 1 3.70 (376.58) 6,278.29
UEPS Jan 17 15 9.0 C TO OPEN
Commission 6.55
Regulatory Fee 0.03
09/02/14 09/02/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (6.278.29) 0.00
DEPOSIT ACCOUNT
09/02/14 09/05/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION ZAZA 1.200- 5.825 6.983.84 6.983.84
COM
Commission 6.00
Regulatory Fee 0.16
09/02/14 09/05/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION ZAZA 1.500- 5.805 8.701.30 15.685.14
COM
Commission 6.00
Regulatory Fee 0.20
09/05/14 09/05/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (15.685.14) 0.00
DEPOSIT ACCOUNT
09/03/14 09/08/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 3.600- 4.96 17.849.60 17,849.60
COM
Commission 6.00
Regulatory Fee 0.40
09/08/14 09/08/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (17.849.60) 0.00
DEPOSIT ACCOUNT
09/04/14 09/09/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 2.000- 5.1501 10.293.97 10,293.97
COM
Commission 6.00
Regulatory Fee 0.23
09/09/ 4 09/09/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (10,293.97) 0.00
DEPOSIT ACCOUNT
SDNY_GM_00011734
CONFIDENTIAL
page 7 of 13
EFTA_001 22385
EFTA01267864

Statement for Account # 867-730320
09/01/14 - 09/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
09/09/14 09/09/14 Margin Received - Other 7A7A ENERGY CORPORATION 7A7A 1 0.00 0.00
COM
REORG - CREDIT MANDATORY
ROUNDING SHARE
FROM 98919T100
09/05/14 09/10/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 1.700- 5.634 9.571.58 9.571.58
COM
Commission 6.00
Regulatory Fee 0.22
09/ Oil 4 09/10/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (9.571.58) 0.00
DEPOSIT ACCOUNT
09/12/14 09/15/14 Margin Sell - Securities Sold YAHOO! INC 25- 5.80 14.479.32 14.479.32
YHOO Sep 20 14 37.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.93
09/15/14 09/15/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (14.479.32) 0.00
DEPOSIT ACCOUNT
09/15/14 09/16/14 Margin Sell - Securities Sold BLACKBERRY LIMITED 50- 1.07 5.315.18 5.315.18
BBRY Sep 20 14 10.0 C TO CLOSE
Commission 33.50
Regulatory Fee 1.32
09/16/14 09/16/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (5.315.18) 0.00
DEPOSIT ACCOUNT
09/16/14 09/17/14 Margin Sell - Securities Sold SONY CORP 45- 3.20 14367.85 14,367.85
SNE Oct 18 14 17.0 C TO CLOSE
Commission 30.75
Regulatory Fee 1.40
09/16/14 09/17/14 Margin Sell - Securities Sold SONY CORP 45- 3.20 14367.85 28.735.70
SNE Oct 18 14 17.0 C TO CLOSE
Commission 30.75
Regulatory Fee 1.40
09/16/14 09/17/14 Margin Sell - Securities Sold SONY CORP 90- 3.30 29.641.68 58,377.38
SNE Oct 18 14 17.0 C TO CLOSE
Commission 55.50
Regulatory Fee 2.82
09/16/14 09/17/14 Margin Sell - Securities Sold CENTRAIS ELEC BRAS 100- 0.80 7.936.42 66,313.80
EBR Sep 20 14 2.5 C TO CLOSE
Commission 61.00
Regulatory Fee 2.58
SDNY_GM_00011735
CONFIDENTIAL
page 8 of 13
EFTA_00 122386
EFTA01267865

Statement for Account # 867-730320
09/01/14 - 09/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
09/17/14 09/17/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (66.313.80) 0.00
DEPOSIT ACCOUNT
09/17/14 09/18/14 Margin Sell - Securities Sold CENTRAIS ELEC BRAS 105- 0.90 9.383.52 9.383.52
EBR Sep 20 14 2.5 C TO CLOSE
Commission 63.75
Regulatory Fee 2.73
09/17/14 09/18/14 Margin Sell - Securities Sold BLACKBERRY LIMITED 50- 1.11 5.515.17 14,898.69
BBRY Sep 20 14 10.0 C TO CLOSE
Commission 33.50
Regulatory Fee 1.33
09/17/14 09/18/14 Margin Sell - Securities Sold CITIGROUP INC 40- 4.90 19.570.60 34.469.29
C Sep 20 14 48.0 C TO CLOSE
Commission 28.00
Regulatory Fee 1.40
09/ 8/14 09/18/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (34.469.29) 0.00
DEPOSIT ACCOUNT
09/ 8/14 09/19/14 Margin Sell - Securities Sold CITIGROUP INC 40- 5.00 19.970.59 19.970.59
C Sep 20 14 48.0 C TO CLOSE
Commission 28.00
Regulatory Fee 1.41
09/8/4 09/19/14 Margin Sell - Securities Sold CITIGROUP INC 40- 5.45 21.770.55 41.741.14
C Sep 20 14 48.0 C TO CLOSE
Commission 28.00
Regulatory Fee 1.45
09/18/14 09/19/14 Margin Sell - Securities Sold TWITTER INC 50- 8.80 43.964.32 85.705.46
TWTR Sep 20 14 43.0 C TO CLOSE
Commission 33.50
Regulatory Fee 2.18
09/18/14 09/19/14 Margin Sell - Securities Sold CENTRAIS ELEC BRAS 100- 0.80 7.936.42 93.641.88
EBR Sep 20 14 2.5 C TO CLOSE
Commission 61.00
Regulatory Fee 2.58
09/18/14 09/19/14 Margin Sell - Securities Sold HANWHA SOLARONE CO LTD - 62- 0.56 3.337.93 96.979.81
HSOL Sep 20 14 2.0 C TO CLOSE
Commission 132.50
Regulatory Fee 1.57
09/18/14 09/19/14 Margin Sell - Securities Sold HANWHA SOLARONE CO LTD - 168- 0.55 9.235.75 106,215.56
HSOL Sep 20 14 2.0 C TO CLOSE
Regulatory Fee 4.25
SDNY_GM_00011736
CONFIDENTIAL
page 9 0113
EFTA_00 122387
EFTA01267866

Statement for Account # 867-730320
09/01/14 - 09/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
09/19/14 09/19/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (106.215.56) 0.00
DEPOSIT ACCOUNT
09/19/14 09/22/14 Margin Sell - Securities Sold JETBLUE AIRWAYS CORP 162- 0.45 7.190.84 7.190.84
JBLU Sep 20 1411.0 C TO CLOSE
Commission 95.10
Regulatory Fee 4.06
09/19/14 09/22/14 Margin Sell - Securities Sold HANWHA SOLARONE CO LTD - 230- 0.45 10.211.75 17.402.59
HSOL Sep 20 14 2.0 C TO CLOSE
Commission 132.50
Regulatory Fee 5.75
09/19/14 09/22/14 Margin Sell - Securities Sold CENTRAIS ELEC BRAS 100- 0.70 6.936.44 24,339.03
EBR Sep 20 14 2.5 C TO CLOSE
Commission 61.00
Regulatory Fee 2.56
09/19/14 09/22/14 Margin Sell - Securities Sold BLACKBERRY LIMITED 150- 0.81 12.057.63 36,396.66
BBRY Sep 20 14 10.0 C TO CLOSE
Commission 88.50
Regulatory Fee 3.87
09/19/14 09/22/14 Margin Sell - Securities Sold CENTRAIS ELEC BRAS 100- 0.70 6.936.44 43,333.10
EBR Sep 20 14 2.5 C TO CLOSE
Commission 61.00
Regulatory Fee 2.56
09/19/14 09/22/14 Margin Sell - Securities Sold YAHOO! INC 75- 3.92 29.350.30 72.683.40
YHOO Sep 20 14 37.0 C TO CLOSE
Commission 47.25
Regulatory Fee 2.45
09/22/14 09/22/14 Margin Delivered - Other ALCATEL LUCENT 405- 0.00 72.683.40
ALU Sep 20 14 4.0 C
EXPIRATION
09/22/14 09/22/14 Margin Delivered - Other RADNET INC. 1.530- 0.00 72.683.40
RDNT Sep 20 14 7.5 C
EXPIRATION
09/22/14 09/22/14 Margin Delivered - Other AVON PRODUCTS INC 270- 0.00 72.683.40
AVP Sep 20 14 15.0 C
EXPIRATION
09/22/14 09/22/14 Margin Delivered - Other UNILIFE CORP 380- 0.00 72.683.40
UNIS Sep 20 14 2.5 C
EXPIRATION
SDNY_GM_00011737
CONFIDENTIAL
page 10 6113
EFTA _00122388
EFTA01267867

Statement for Account # 867-730320
09 01 14 - 09 30 14
Account Activit
Trade Settle Acct Transaction,' Symbol!
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
09/22/14 09/22/14 Margin Delivered - Other JETBLUE AIRWAYS CORP 250- 0.00 72,683.40
JBLU Sep 20 14 12.0 C
EXPIRATION
09/22/14 09/22/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (72,683.40) 0.00
DEPOSIT ACCOUNT
09/22/14 09/25/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 1,500- 5.6863 8,523.26 8,523.26
COM
Commission 6.00
Regulatory Fee 0.19
09/22/14 09/25/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 570- 5.7301 3,260.08 11,783.34
COM
Commission 6.00
Regulatory Fee 0.08
09/22/14 09/25/14 Margin Sell - Securities Sold REIM WIRELESS CORP. RWC 1,230- 5.73 7,047.74 18,831.08
COM
Regulatory Fee 0.16
09/25/14 09/25/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (18,831.08) 0.00
DEPOSIT ACCOUNT
09/30/14 09/30/14 Margin Div/Int - Expense MARGIN INTEREST CHARGE 0.00 (0.03) (0.03)
Payable: 09/30/2014
Closing Balance ($0.03)
'For Cash Activity totals, refer to the Cash Activity Summary on page one of your statement.
TD Ameritrade Cash Interest Credit/Ex n se
Begin Margin Credit Number Interest Interest Interest
Date Balance Balance of Days Rate Debited Credited
09/01/14 $ (123.04 $ 1 9.00 $ 0.03 $ -
Total Interest Income/(Expense) $0.03 $ 0.00
Insured Deposit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
09/01/14 $ 253,086.65 1 0.0100 $ 0.07 $ 0.07 $ -
09/02/14 259,364.94 3 0.0100 0.21 0.28
09/05/14 275,050.08 3 0.0100 0.23 0.51
09/08/14 292,899.68 1 0.0100 0.08 0.59
09/09/14 303,193.65 1 0.0100 0.08 0.67
09/10/14 312,765.23 5 0.0100 0.43 1.10
CONFIDENTIAL SDNY_GM_00011738
page 11 of 13
EFTA_00122389
EFTA01267868

Statement for Account # 867-730320
09/01/14 - 09/30/14
Insured Deposit Account Interest Credited
Begin Number Interest Interest MID MTD
Date Balance of Days Rate Accrued Accrued PAID
09/15/14 327,244.55 1 0.0100 0.09 1.19
09/16/14 332,559.73 1 0.0100 0.09 1.28
09/17/14 398,873.53 1 0.0100 0.11 1.39
09/18/14 433,342.82 1 0.0100 0.12 1.51
09/19/14 539,558.38 3 0.0100 0.44 1.95
09/22/14 612,241.78 3 0.0100 0.51 2.46
09/25/14 631,072.86 6 0.0100 1.03 3.49 3.49
Total Interest Income $3.49
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance S253,086.65
09/02/14 09/02/14 Received FDIC INSURED DEPOSIT ACCOUNT $ 6,278.29 259.364 94
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/05/14 09/05/14 Received FDIC INSURED DEPOSIT ACCOUNT 15,685.14 275,050.08
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/08/14 09/08/14 Received FDIC INSURED DEPOSIT ACCOUNT 17,849.60 292,899.68
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/09/14 09/09/14 Received FDIC INSURED DEPOSIT ACCOUNT 10,293.97 303,193.65
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/10/14 09/10/14 Received FDIC INSURED DEPOSIT ACCOUNT 9,571.58 312,765.23
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/15/14 09/15/14 Received FDIC INSURED DEPOSIT ACCOUNT 14,479.32 327,244.55
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/16/14 09/16/14 Received FDIC INSURED DEPOSIT ACCOUNT 5,315.18 332,559.73
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
SDNY_GM_00011739
CONFIDENTIAL
pegs 12 011 3
EFTA_00122390
EFTA01267869

Statement for Account # 867-730320
09/01/14 - 09/30/14
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
09/17/14 09/17/14 Received FDIC INSURED DEPOSIT ACCOUNT 66,313.80 398,873.53
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/18/14 09/18/14 Received FDIC INSURED DEPOSIT ACCOUNT 34.469.29 433342.82
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/19/14 09/19/14 Received FDIC INSURED DEPOSIT ACCOUNT 106.215.56 539.558.38
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/22/14 09/22/14 Received FDIC INSURED DEPOSIT ACCOUNT 72.683.40 612.241.78
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/25/14 09/25/14 Received FDIC INSURED DEPOSIT ACCOUNT 18,831.08 631,072.86
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/30/14 09/30/14 Received Interest: Insured 1.46 631,074.32
Deposit Account
09/30/14 09/30/14 Received Interest: Insured 2.03 631,076.35
Deposit Account
Closing Balance $631,076.35
TD Bank NA $247,500.00
TD Bank USA NA $383,576.35
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by TD Bank. N.A. or TO Bank USA. N.A.. or both. The IDA balances are not covered by the
Securities hwestor Protection Corporation (SIPC) protection applicable to your brokerage account.
CONFIDENTIAL SDNY_GM_00011740
page 13 of 13
EFTA_00122391
EFTA01267870

FACTS WHAT DOES TD AMERITRADE
FACTS DO WITH YOUR PERSONAL INFORMATION?
Why? Financial companies choose how they share your personal information. Federal law gives
consumers the right to limit some but not all sharing. Federal law also requires us to tell you
how we collect, share, and protect your personal information. Please read this notice carefully to
understand what we do.
What? The types of personal information we collect and share depend on the product or service you
have with us. This information can include:
• Social Security number and financial account numbers
• Account balances and transaction information
• Income and employment information
How? All financial companies need to share customers' personal information to run their everyday
business. In the section below, we list the reasons financial companies can share their
customers' personal information; the reasons TD Ameritrade chooses to share; and whether
you can limit this sharing.
Do:: TD HrtHHHcle IHH? Han :CPU Hal: HhH IHH:ngH
For our everyday business purposes—
such as to process your transactions. maintain
Yes No
your account(s), respond to court orders and legal
investigations, or report to credit bureaus
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Page I of 2 Alv1TD 800 F 05,12
SONY_GM_00011741
CONFIDENTIAL
EFTA_00122392
EFTA01267871

Page 2
Who we are
Who is providing this notice? TD Ameritrade, Inc. and the TD Ameritrade family of divisions and companies,
including TD Ameritrade Institutional, thinkorswim, and Amerivest Management, LLC.
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How does TD Ameritrade To protect your personal information from unauthorized access and use, we
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For more information, please visit tdameritrade.com/security
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bureaus, affiliates, or other companies.
Why can't I limit all sharing? Federal law gives you the right to limit only
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about your creditworthiness
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State laws and individual companies may give you additional rights to
limit sharing. See below for more on your rights under state law.
What happens when I limit sharing
for an account I hold jointly with Your choices will apply to everyone on your account.
someone else?
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Affiliates Companies related by common ownership or control. They can be financial and
nonfinancial companies.
• Our affiliates include companies with a TD Ameritrade name, financial companies
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• TO Ameritrade does not share with nonaffiliates so they can market to you.
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• TD Ameritrade doesn't jointly market.
Other important information
For Nevada Residents. We are providing you this notice pursuant to stale law. You may be placed on our internal Do Not Call List bycalling 800-328-7141. Nevada law requires
that we also provide you with the following =Mad information: Bureau of Consumer Protection. Dike of the Nevada Attorney General. 555 E. wash:von SI.. Suite 3900.
Las Vegas. NV 89101. Phone rimmbet: 702.488.3132: emai: BCFINFORMg.slate.rmus.
For Valmont Residents. In accordance with Vermont law. we mil not share information we ailed about Vermont residents whh companies who are not murales. except as
permitted by taw. such as with your consent or to service your accounts. We will net share information about your credintmtNness with our affiliates without your authorization or
consent. but we may share inlmialion about our transactions or experiences with you with our affiliates willocut your consent.
For California ResIdeMs. In accordance mth Gahlotnia law. we wit not share iniormation we tolled about you with nonalliliates. except as allowed by law. For example, we may
share ihlonnifficg with your consent or to service your accounts. Among our affiliates. we will limn inlognalion sharing to the extent required by Gallittnia law.
Page 2 of 2 AMTD S00 F05/12
S0NY_GM_0001 1742
CONFIDENTIAL
EFTA_00122393
EFTA01267872

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SDNY_GM_0001 1743
EFTA 00122394
EFTA01267873

Terms and Conditions
STATEMENT GUIDE
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Corporation CSIPC1. which preees secunlies customs.« of ils menas up Io 5500.000 be Lob unie one mata cordent. »MD 150 OMS
(inarling 6250.000 loi daims for cash). Explaratory brochure is available on tant at
REGULATORY DISCLOSURES
etreePode9.
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London Marat oxocuted: in fatal 4 la e. o ti u m m in f0 g ma 0 S ecu m no es A in c t cd 193 i 3 r a a nd tho t Saur a e tn! s SDNY_GM_00011744
EFTA 00122395
EFTA01267874

Statement Reporting Period:
1D Ameritrade
10/01/14 - 10/31/14
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
PO 80X 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Amedbade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ ($0.03) $0.03
Insrd Dep Acct (IDA) 1,799,049.93 631,076.35 1,167,973.58 185.1% 0.01%
Money Market Other
Short Balance Options 3.3%
17.3%
Stocks 845,922.90 2,109,726.76 (1,263,803.86) (59.9)%
Short Stocks
Fixed Income
Options 577,169.84 739,640.04 (162,470.20) (22.0)% IDA
Short Options 54.0%
Mutual Funds Stocks
25.4%
Other 111,250.00 151,291.10 (40,041.10) (26.5)%
Total $3,333,392.67 $3,631,734.22 ($298,341.55) (8.2)% $ 0.00 0.0%
Margin Equity 100.0%
Cash Activi Summa Income & Ex iense Summa Performance Summary
Non
Current YTD Reportable YTD
Reportable
Opening Balance ($0-03) $ - Income Cost Basis As Of - 10/31114" $2,060,067.93
Securities Purchased (8,601,778.47) Dividends S $ - $200.00 Unrealized Gains 162,098.69
Securities Sold 1,167,964.23 6,400,524.59 Interest 1.63 Unrealized Losses (767,793.88)
Funds Deposited 4,000,600.00 Other Funds Deposited/(Disbursed)' 4,000,600.00
Funds Disbursed Expense Income/(Expense)n° (314.58)
Income 201.63 Interest (516.21) Securities Received/(Delivered)"° 0.00
Expense (516.21) Fees **For cost-basis Information. refer to www.tdamerttradotom
Other (1,167,964.20) (1,799,031.54) Other
Closing Balance $0.00 $0.00 Net $0.00 $0.00 ($314.58)
SDNY_GM_00011745
CONFIDENTIAL
page 1 of 21
EFTA_00122396
EFTA01267875

Statement for Account # 867-730320
10/01/14 - 10/31/14
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer $ - $ 4,000,000.00
Subtotal 0.00 4,000,000.00
TOTAL 0.00 4,000,000.00
Income Summary Detail'
Description Current Year to Date
Interest Income Credit Balance $ 0.00 $ 1.63
Margin Interest Charged 0.00 (516.21)
Qualified Dividends 0.00 200.00
IDA Interest 9.38 18.39
*TVs section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable In a provisos tax year (spillover dividends). The year to date totals will accurately reflect your cumulative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
ACCESS PHARMA INC 00431M308 363.500 $ 0.22 $ 79.970.00 $ - $ - $ •
1:50 R/S 10/24/2014
72754H109
HAUPPAGE DIGITAL INC HAUP 182.800 0.149 27,237.20 06/13/14 34,498.45 0.19 (7261.25)
COM
LIHUA INTERNATIONAL LIWA 1 0.03 0.03 08/05/14 0.22 0.22 (0.19)
INC
COM
MERRIMAN HOLDINGS MERR 26.891 2.15 57,815.65 07/10/14 96.372.98 3.58 (38.557.33)
INC
COM
RAINMAKER SYSTEMS RMKR 472.000 0.0187 8826.40 05/12/14 106,708.07 0.23 (97,881.67)
INC
COM
RICEBRAN RIBT 66.900 4.36 291.684.00 05/12/14 371,803.49 5.56 (80,119.49)
TECHNOLOGIES
COM
SDNY_GM_00011746
CONFIDENTIAL
page 2 of 21
EFTA_00I .22397
EFTA01267876

Statement for Account # 867-730320
10/01/14 - 10/31/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
TITAN ENERGY TEWI 4.503.800 0.0199 89.625.62 06/23/14 78.658.58 0.02 10.967.04
WORLDWIDE INC
COM
TRANSGENOMIC INC TBIO 92.600 3.14 290.764.00 05/12/14 368.585.82 3.98 (77.821.82)
COM
Total Stocks $845,922.90 $1,056,627.61 $(290,674.71) $0.00 0.0%
Options - Margin
ADVANCED MICRO 920 $ 0.05 $ 4.600.00 05/12/14 $ 80.879.08 $ 0.88 $ (76.279.08) $ -
DEVICES INC
AMD Jan 17 15 3.5 C
ADVANCED MICRO 875 0.01 875.00 06/20/14 36.151.25 0.41 (35.276.25)
DEVICES INC
AMD Jan 17 15 4.5 C
AEROPOSTALE INC 610 0.1388 8.466.80 05/13/14 91.337.14 1.50 (82.870.34)
ARO Jan 17 15 3.5 C
BEAZER HOMES USA INC 390 0.575 22.425.00 05/13/14 80.047.86 2.05 (57.622.86)
BZH Jan 17 15 20.0 C
CORINTHIAN COLLEGES 575 0.0003 17.25 06/24/14 3.211.05 0.06 (3.193.80)
INC
COCO Feb 20 15 1.0 C
CORINTHIAN COLLEGES 2.167 0.0001 21.67 05/13/14 63.816.86 0.29 (63.795.19)
INC
COCO Nov 22 14 1.0 C
COWEN GROUP INC 215 1.5412 33.135.80 07/15/14 42.378.41 1.97 (9.242.61)
COWN Jan 17 15 2.5 C
COWEN GROUP INC 600 0.1073 6.438.00 06/27/14 15.873.40 0.26 (9.435.40)
COWN Jan 17 15 5.0 C
DRY SHIPS 800 0.03 2.400.00 05/12/14 51.659.20 0.65 (49.259.20)
INCORPORATED
DRYS Jan 17 15 3.0 C
FLAMEL TECH 130 2.5203 32.763.90 05/14/14 53.660.62 4.13 (20.896.72)
FLML Dec 20 14 10.0 C
SDNY_GM_00011747
CONFIDENTIAL
page 3 01 21
EFTA_001 22398
EFTA01267877

Statement for Account # 867-730320
10 01 14 - 10 31 14
Account Positions
SymboU Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) income Yield
Options - Margin
JETBLUE AIRWAYS CORP 110 1.7379 19.116.90 07/31/14 15.475.14 1.41 3.641.76
JBLU Dec 20 14 10.0 C
MGIC INVT CORP WIS 265 1.1666 30,914.90 05/14/14 39.463.11 1.49 (8.548.21)
MTG Jan 17 15 8.0C
NET 1 UEPS 191 4.7814 91,324.74 05/22/14 64.875.64 3.40 26.449.10
TECHNOLOGIES INC
UEPS Jan 17 15 8.0 C
NET 1 UEPS 131 3.8693 50.687.83 06/05/14 39.457.20 3.01 11.230.63
TECHNOLOGIES INC
UEPS Jan 17 15 9.0 C
NORDIC AMERICAN 725 0.85 61,625.00 05/15/14 94.302.15 1.30 (32.677.15)
TANKERS LTD
NAT Jan 17 15 7.87 C
FiADIOSHACK 500 0.275 13.750.00 07/18/14 9.293.00 0.19 4,457.00
CORPORATION
RSH Jan 15 16 1.0 C
RADNET INC. 450 4.3975 197.887.50 05/13/14 92.534.34 2.06 105.353.16
RDNT Dec 20 14 5.0 C
TEEKAY TANKERS LTD 205 0.0351 719.55 06/23/14 7,279.67 0.36 (6,560.12)
TNK Nov 22 14 5.0 C
Total Options $577,169.84 $881,695.12 $(304,525.28) $0.00 0.0%
Other - Margin
RICEBRAN RIBTW 89.000 $ 1.25 $ 111,250.00 05/12/14 $ 121,745.20 $ 1.37 $ (10.495.20) $
TECHNOLOGIES
WARRANT EXP 11/18/2018
Total Other $111,250.00 $121,745.20 $(10,495.20) $0.00 0.0%
Total Margin Account $1,534,342.74 $2,060,067.93 $(605,695.19) $0.00 0.0%
SDNY_GM_00011748
CONFIDENTIAL
page 0 o121
EFTA 00122399
EFTA01267878

Statement for Account # 867-730320
10/01/14 - 10/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
Opening Balance ($0.03)
10/01/14 10/01/14 Margin Journal - Other REDEMPTION FDIC INSURED $ 0.00 $ 0.03 0.00
DEPOSIT ACCOUNT
10/03/14 10/08/14 Margin Sell - Securities Sold OCLARO INC OCLR 800- 1.4601 1.162.05 1.162.05
COM
Commission 6.00
Regulatory Fee 0.03
10/03/14 10/08/14 Margin Sell - Securities Sold OCLARO INC OCLR 9.200- 1.46 13.431.70 14,593/5
COM
Regulatory Fee 0.30
10/03/14 10/08/14 Margin Sell - Securities Sold MODUSLINK GLOBAL SOLUTIONS MLNK 8.500- 3.4401 29.234.20 43,827.95
INC
COM
Commission 6.00
Regulatory Fee 0.65
10/03/14 10/08/14 Margin Sell - Securities Sold MODUSLINK GLOBAL SOLUTIONS MLNK 500- 3.44 1/19.96 45,547.91
INC
COM
Regulatory Fee 0.04
10/08/14 10/08/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (45.547.91) 0.00
DEPOSIT ACCOUNT
10/06/14 10/09/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 3.700- 5.0101 18330.96 18,530.96
COM
Commission 6.00
Regulatory Fee 0.41
10/06/14 10/09/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 800- 5.01 4.007.91 22,538.87
COM
Regulatory Fee 0.09
10/06/14 10/09/14 Margin Sell - Securities Sold ELEPHANT TALK ETAK 23,000- 0.99 22763.49 45,30236
COMMUNICATIONS
COM
Commission 6.00
Regulatory Fee 0.51
10/06/14 10/09/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 600- 4.9601 2,969.99 48,27235
COM
Commission 6.00
Regulatory Fee 0.07
SDNY_GM_00011749
CONFIDENTIAL
page 5 o121
EFTA 00122400
EFTA01267879

Statement for Account # 867-730320
10/01/14 - 10/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
10/06/14 10/09/14 Margin Sell - Securities Sold HELM WIRELESS CORP. RWC 3.900- 4.96 19243.57 67215.92
COM
Regulatory Fee 0.43
10/06/14 10/09/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 5.000- 4.99 24.943.44 92.559.36
COM
Commission 6.00
Regulatory Fee 0.56
10/09/14 10/09/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (92.559.36) 0.00
DEPOSIT ACCOUNT
10/07/14 10/10/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION ZAZA 100- 2.9501 289.00 289.00
COM
Commission 6.00
Regulatory Fee 0.01
10/07/14 10/10/14 Margin Sell - Securities Sold 7A7A ENERGY CORPORATION ZAZA 6.074- 2.95 17.917.90 18.206.90
COM
Regulatory Fee 0.40
10/07/14 10/10/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 1.000- 4.8601 4.853.99 23.060.89
COM
Commission 6.00
Regulatory Fee 0.11
10/07/14 10/10/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 6.000- 4.86 29.159.35 52.220.24
COM
Regulatory Fee 0.65
10/07/14 10/10/14 Margin Sell - Securities Sold ATHERONOVA INC AHRO 3.068- 1.92 5284.42 58.10426
COM
Commission 6.00
Regulatory Fee 0.14
10/07/14 10/10/14 Margin Sell - Securities Sold ATHERONOVA INC AHRO 335- 1.95 647.23 58.751.89
COM
Commission 6.00
Regulatory Fee 0.02
10/07/14 10/10/14 Margin Sell - Securities Sold COMMAND SEC CORP MOC 2.528- 1.92 4.847.65 63,599.54
COM
Commission 6.00
Regulatory Fee 0.11
10/ Oil 4 10/10/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (63.599.54) 0.00
DEPOSIT ACCOUNT
SDNY_GM_00011750
CONFIDENTIAL
page 6 o121
EFTA_00122401
EFTA01267880

Statement for Account # 867-730320
10/01/14 - 10/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
10/08/14 10/14/14 Margin Sell - Securities Sold COMMAND SEC CORP MOC 6.072- 1.9108 11.596.12 11.596.12
COM
Commission 6.00
Regulatory Fee 0.26
10/08/14 10/14/14 Margin Sell - Securities Sold COMMAND SEC CORP MOC 1.400- 1.9101 2.674.08 14.270.20
COM
Regulatory Fee 0.06
10/08/14 10/14/14 Margin Sell - Securities Sold MECKLERMEDIA CORP MECK 3.200- 0.85 2713.93 16.984.13
COM
Commission 6.00
Regulatory Fee 0.07
10/08/14 10/14/14 Margin Sell - Securities Sold COMMAND SEC CORP MOC 6.100- 1.86 11239.74 28.32327
COM
Commission 6.00
Regulatory Fee 0.26
10/08/14 10/14/14 Margin Sell - Securities Sold MODUSLINK GLOBAL SOLUTIONS MLNK 4.200- 3.47 14.567.67 42.89124
INC
COM
Commission 6.00
Regulatory Fee 0.33
10/08/14 10/14/14 Margin Sell - Securities Sold COMMAND SEC CORP MOC 3.900- 1.91 7.442.83 50.334.37
COM
Commission 6.00
Regulatory Fee 0.17
10/14/14 10/14/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (50.334.37) 0.00
DEPOSIT ACCOUNT
10/09/14 10/15/14 Margin Sell - Securities Sold OCLARO INC OCLR 300- 1.405 415.49 415.49
COM
Commission 6.00
Regulatory Fee 0.01
10/09/14 10/15/14 Margin Sell - Securities Sold OCLARO INC OCLR 1.500- 1.4001 2.100.10 2.51529
COM
Regulatory Fee 0.05
10/09/14 10/15/14 Margin Sell - Securities Sold OCLARO INC OCLR 700- 1.40 979.97 3.495.56
COM
Regulatory Fee 0.03
SDNY_GM_00011751
CONFIDENTIAL
page 7 o121
EFTA_00 I 22402
EFTA01267881

Statement for Account # 867-730320
10/01/14 - 10/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
10/09/14 10/15/14 Margin Sell - Securities Sold ZIOPHARM ONCOLOGY INC ZIOP 10.000- 2.47 24.693.45 28,189.01
COM
Commission 6.00
Regulatory Fee 0.55
10/09/14 10/15/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 5.300- 4.7101 24.956.97 53.145.98
COM
Commission 6.00
Regulatory Fee 0.56
10/09/14 10/15/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 200- 4.78 949.97 54.095.95
COM
Commission 6.00
Regulatory Fee 0.03
10/09/14 10/15/14 Margin Sell - Securities Sold OCLARO INC OCLR 2.600- 1.405 3.646.91 57.742.86
COM
Commission 6.00
Regulatory Fee 0.09
10/09/14 10/15/14 Margin Sell - Securities Sold OCLARO INC OCLR 200- 1.40 279.99 58.022.85
COM
Regulatory Fee 0.01
10/09/14 10/15/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 6.100- 4.7101 28.724.97 86.747.82
COM
Commission 6.00
Regulatory Fee 0.64
10/09/14 10/15/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 489- 4.71 2.303.13 89.050.95
COM
Regulatory Fee 0.06
10/15/14 10/15/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (89.050.95) 0.00
DEPOSIT ACCOUNT
10/ Oil 4 10/16/14 Margin Sell - Securities Sold MODUSLINK GLOBAL SOLUTIONS MLNK 5.500- 3.36 18.473.59 18.473.59
INC
COM
Commission 6.00
Regulatory Fee 0.41
10/10/14 10/16/14 Margin Sell - Securities Sold MODUSLINK GLOBAL SOLUTIONS MLNK 5.000- 3.3601 16,794.12 35,267.71
INC
COM
Commission 6.00
Regulatory Fee 0.38
SDNY_GM_00011752
CONFIDENTIAL
page 8 o121
EFTA 00122403
EFTA01267882

Statement for Account # 867-730320
10/01/14 - 10/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
10/10/14 10/16/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 1.100- 4.30 4.723.89 39,991.60
COM
Commission 6.00
Regulatory Fee 0.11
10/13/14 10/16/14 Margin Sell - Securities Sold ZIOPHARM ONCOLOGY INC ZIOP 11.700- 2.46 28.775.36 68.766.96
COM
Commission 6.00
Regulatory Fee 0.64
10/13/14 10/16/14 Margin Sell - Securities Sold OCLARO INC OCLR 2.900- 1.33 3.850.91 72.617.87
COM
Commission 6.00
Regulatory Fee 0.09
10/16/14 10/16/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (72.617.87) 0.00
DEPOSIT ACCOUNT
10/14/14 10/17/14 Margin Sell - Securities Sold OCLARO INC OCLR 15.000- 1.37 20.543.54 20543.54
COM
Commission 6.00
Regulatory Fee 0.46
10/14/14 10/17/14 Margin Sell - Securities Sold MODUSLINK GLOBAL SOLUTIONS MLNK 9.500- 3.00 28.493.37 49.036.91
INC
COM
Commission 6.00
Regulatory Fee 0.63
10/14/14 10/17/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 1.500- 3.9701 5.949.01 54.98592
COM
Commission 6.00
Regulatory Fee 0.14
10/14/14 10/17/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 849- 3.97 3.370.45 58,356.37
COM
Regulatory Fee 0.08
10/14/14 10/17/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 3.722- 3.96 14738.79 73.095.16
COM
Regulatory Fee 0.33
10/14/14 10/17/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 100- 4.05 398.99 73.494.15
COM
Commission 6.00
Regulatory Fee 0.01
SDNY_GM_00011753
CONFIDENTIAL
page 9 o121
EFTA 00122404
EFTA01267883

Statement for Account # 867-730320
10/01/14 - 10/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
10/14/14 10/17/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 100- 4.01 394.99 73,889.14
COM
Commission 6.00
Regulatory Fee 0.01
10/14/14 10/17/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 4.440- 3.99 17709.20 91,598.34
COM
Commission 6.00
Regulatory Fee 0.40
10/14/14 10/17/14 Margin Sell - Securities Sold RELM WIRELESS CORP. RWC 100- 4.00 399.99 91,998.33
COM
Regulatory Fee 0.01
10/17/14 10/17/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (91.998.33) 0.00
DEPOSIT ACCOUNT
10/15/14 10/20/14 Margin Sell - Securities Sold ELEPHANT TALK ETAK 20.000- 0.91 18.193.59 18,193.59
COMMUNICATIONS
COM
Commission 6.00
Regulatory Fee 0.41
10/15/14 10/20/14 Margin Sell - Securities Sold OCLARO INC OCLR 5.000- 1.3701 6.844.34 25.037.93
COM
Commission 6.00
Regulatory Fee 0.16
10/15/14 10/20/14 Margin Sell - Securities Sold LANTRONIX INC LTRX 100- 1.77 170.99 25,208.92
COM
Commission 6.00
Regulatory Fee 0.01
10/15/14 10/20/14 Margin Sell - Securities Sold LANTRONIX INC LTRX 9.900- 1.76 17.423.61 42.632.53
COM
Regulatory Fee 0.39
10/15/14 10/20/14 Margin Sell - Securities Sold OCLARO INC OCLR 100- 1.385 132.49 42.765.02
COM
Commission 6.00
Regulatory Fee 0.01
10/15/14 10/20/14 Margin Sell - Securities Sold OCLARO INC OCLR 9,900- 1.38 13.661.69 56.426/1
COM
Regulatory Fee 0.31
SDNY_GM_00011754
CONFIDENTIAL
page 10 of 21
EFTA 00122405
EFTA01267884

Statement for Account # 867-730320
10/01/14 - 10/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
10/15/14 10/20/14 Margin Sell - Securities Sold OCLARO INC OCLR 12.000- 1.38 16.553.63 72,980.34
COM
Commission 6.00
Regulatory Fee 0.37
10/15/14 10/20/14 Margin Sell - Securities Sold OCLARO INC OCLR 700- 1.3901 967.04 73,947.38
COM
Commission 6.00
Regulatory Fee 0.03
10/15/14 10/20/14 Margin Sell - Securities Sold OCLARO INC OCLR 9.100- 1.39 12.648.72 86,596.10
COM
Regulatory Fee 0.28
10/15/14 10/20/14 Margin Sell - Securities Sold MODUSLINK GLOBAL SOLUTIONS MLNK 4.386- 3.01 13.195.56 99.791.66
INC
COM
Commission 6.00
Regulatory Fee 0.30
10/17/14 10/20/14 Margin Sell - Securities Sold HEWLETT PACKARD CO 20- 3.70 7.38225 107,174.01
HPO Jan 17 15 31.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.65
10/17/14 10/20/14 Margin Sell - Securities Sold RADNET INC. 30- 3.70 11.076.53 118,250.54
RDNT Dec 20 14 5.0 C TO CLOSE
Commission 22.50
Regulatory Fee 0.97
10/17/14 10/20/14 Margin Sell - Securities Sold SONY CORP 305- 0.15 4293.82 122.644.36
SNE Oct 18 14 17.0 C TO CLOSE
Commission 173.75
Regulatory Fee 7.43
10/17/14 10/20/14 Margin Sell - Securities Sold FUELCELL ENERGY INC 290- 0.75 21.577.05 144,221.41
FCEL Oct 18 14 1.0 C TO CLOSE
Commission 165.50
Regulatory Fee 7.45
10/17/14 10/20/14 Margin Sell - Securities Sold FUELCELL ENERGY INC 380- 0.25 9.275.67 153,497.08
FCEL Oct 18 14 1.5 C TO CLOSE
Commission 215.00
Regulatory Fee 9.33
SDNY_GM_00011755
CONFIDENTIAL
page 11 o121
EFTA_00 122406
EFTA01267885

Statement for Account # 867-730320
10/01/14 - 10/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
10/17/14 10/20/14 Margin Sell - Securities Sold AEROPOSTALE INC 27- 0.87 2.237.79 155.734.87
ARO Oct 18 14 2.0 C TO CLOSE
Commission 110.50
Regulatory Fee 0.71
10/17/14 10/20/14 Margin Sell - Securities Sold AEROPOSTALE INC 163- 0.85 13.850/7 169,585.64
ARO Oct 18 14 2.0 C TO CLOSE
Regulatory Fee 4.23
10/17/14 10/20/14 Margin Sell - Securities Sold AEROPOSTALE INC 130- 0.90 11.619.12 181,204.76
ARO Oct 18 14 2.0 C TO CLOSE
Commission 77.50
Regulatory Fee 3.38
10/20/14 10/20/14 Margin Delivered - Other UNISYS CORP 250- 0.00 181,204.76
UIS Oct 18 14 24.0 C
EXPIRATION
10/20/14 10/20/14 Margin Delivered - Other NORDIC AMERICAN TANKERS LTD 325- 0.00 181,204.76
NAT Oct 18 14 9.87 C
EXPIRATION
10/20/14 10/20/14 Margin Delivered - Other QUANTUM FUEL SYSTEMS TEC 250- 0.00 181,204.76
QTWW Oct 18 14 4.0 C
EXPIRATION
10/20/14 10/20/14 Margin Delivered - Other YRC WORLDWIDE INC 30- 0.00 181,204.76
YRCW Oct 18 14 22.5C
EXPIRATION
10/20/14 10/20/14 Margin Delivered - Other YRC WORLDWIDE INC 140- 0.00 181,204.76
YRCW Oct 18 14 32.5C
EXPIRATION
10/20/14 10/20/14 Margin Delivered - Other ZIOPHARM ONCOLOGY INC 210- 0.00 181,204.76
ZIOP Oct 18 14 3.0 C
EXPIRATION
10/20/14 10/20/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (181,204.76) 0.00
DEPOSIT ACCOUNT
10/16/14 10/21/14 Margin Sell - Securities Sold MODUSLINK GLOBAL SOLUTIONS MLNK 5.614- 2.9901 16.780.04 16,780.04
INC
COM
Commission 6.00
Regulatory Fee 0.38
SDNY_GM_00011756
CONFIDENTIAL
page 12 of 21
EFTA_00 I 22407
EFTA01267886

Statement for Account # 867-730320
10/01/14 - 10/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
10/16/14 10/21/14 Margin Sell - Securities Sold OCLARO INC OCLR 5.900- 1.501 8.849.70 25.629/4
COM
Commission 6.00
Regulatory Fee 0.20
10/16/14 10/21/14 Margin Sell - Securities Sold OCLARO INC OCLR 4.100- 1.50 6.149.86 31.779.60
COM
Regulatory Fee 0.14
10/20/14 10/21/14 Margin Sell - Securities Sold BLACKBERRY LIMITED 65- 1.83 11.85142 43.631.02
BBRY Jan 17 15 9.0 C TO CLOSE
Commission 41.75
Regulatory Fee 1.83
10/21/14 10/21/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (43.631.02) 0.00
DEPOSIT ACCOUNT
10/17/14 10/22/14 Margin Sell - Securities Sold NOTIFY TECHNOLOGY CORP NTFY 200- 8.05 1.603.96 1.60396
COM
Commission 6.00
Regulatory Fee 0.04
10/17/14 10/22/14 Margin Sell - Securities Sold NOTIFY TECHNOLOGY CORP NTFY 100- 8.02 801.98 2.405.94
COM
Regulatory Fee 0.02
10/17/14 10/22/14 Margin Sell - Securities Sold NOTIFY TECHNOLOGY CORP NTFY 700- 8.01 5.606.87 8.012.81
COM
Regulatory Fee 0.13
10/17/14 10/22/14 Margin Sell - Securities Sold LANTRONIX INC LTRX 100- 1.8001 174.00 8.186.81
COM
Commission 6.00
Regulatory Fee 0.01
10/17/14 10/22/14 Margin Sell - Securities Sold LANTRONIX INC LTRX 9.900- 1.80 17.819.60 26.006.41
COM
Regulatory Fee 0.40
10/17/14 10/22/14 Margin Sell - Securities Sold NOTIFY TECHNOLOGY CORP NTFY 720- 8.01 5761.07 31.767.48
COM
Commission 6.00
Regulatory Fee 0.13
10/17/14 10/22/14 Margin Sell - Securities Sold HAUPPAGE DIGITAL INC HAUP 5.000- 0.16 793.98 32.561.46
COM
Commission 6.00
Regulatory Fee 0.02
SDNY_GM_00011757
CONFIDENTIAL
page 13 o121
EFTA_00 122408
EFTA01267887

Statement for Account # 867-730320
10/01/14 - 10/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
10/22/14 10/22/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (32.561.46) 0.00
DEPOSIT ACCOUNT
10/20/14 10/23/14 Margin Sell - Securities Sold NOTIFY TECHNOLOGY CORP NTFY 180- 7.00 1.253.97 1.25397
COM
Commission 6.00
Regulatory Fee 0.03
10/20/14 10/23/14 Margin Sell - Securities Sold EMRISE CORP EMRI 12.000- 0.6201 7.435.03 8.689.00
COM
Commission 6.00
Regulatory Fee 0.17
10/20/14 10/23/14 Margin Sell - Securities Sold LANTRONIX INC LTRX 200- 1.79 351.99 9.04099
COM
Commission 6.00
Regulatory Fee 0.01
10/20/14 10/23/14 Margin Sell - Securities Sold LANTRONIX INC LTRX 9.800- 1.78 17.443.61 26.484.60
COM
Regulatory Fee 0.39
10/20/14 10/23/14 Margin Sell - Securities Sold NOTIFY TECHNOLOGY CORP NTFY 120- 7.60 905.97 27.39057
COM
Commission 6.00
Regulatory Fee 0.03
10/20/14 10/23/14 Margin Sell - Securities Sold EMRISE CORP EMRI 1.200- 0.68 809.98 28200.55
COM
Commission 6.00
Regulatory Fee 0.02
10/20/14 10/23/14 Margin Sell - Securities Sold NOTIFY TECHNOLOGY CORP NTFY 100- 7.40 733.98 28.93453
COM
Commission 6.00
Regulatory Fee 0.02
10/20/14 10/23/14 Margin Sell - Securities Sold MERRIMAN HOLDINGS INC MERR 500- 2.23 1.108.97 30.04350
COM
Commission 6.00
Regulatory Fee 0.03
10/20/14 10/23/14 Margin Sell - Securities Sold NOTIFY TECHNOLOGY CORP NTFY 100- 7.10 703.98 30.747.48
COM
Commission 6.00
Regulatory Fee 0.02
SDricGm_00011758
CONFIDENTIAL
page 14 o121
EFTA_00122409
EFTA01267888

Statement for Account # 867-730320
10/01/14 - 10/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
10/20/14 10/23/14 Margin Sell - Securities Sold ELEPHANT TALK ETAK 600- 0.981 582.58 31.330.06
COMMUNICATIONS
COM
Commission 6.00
Regulatory Fee 0.02
10/20/14 10/23/14 Margin Sell - Securities Sold ELEPHANT TALK ETAK 13.035- 0.9801 12375.31 44.105.37
COMMUNICATIONS
COM
Regulatory Fee 0.29
10/20/14 10/23/14 Margin Sell - Securities Sold MERRIMAN HOLDINGS INC MERR 100- 2.21 214.99 44,32036
COM
Commission 6.00
Regulatory Fee 0.01
10/20/14 10/23/14 Margin Sell - Securities Sold MERRIMAN HOLDINGS INC MERR 100- 2.20 219.99 44,54035
COM
Regulatory Fee 0.01
10/23/14 10/23/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (44.540.35) 0.00
DEPOSIT ACCOUNT
10/21/14 10/24/14 Margin Sell - Securities Sold LANTRONIX INC LTRX 10.000- 1.81 18.093.59 18.09339
COM
Commission 6.00
Regulatory Fee 0.41
10/21/14 10/24/14 Margin Sell - Securities Sold LANTRONIX INC LTRX 10.000- 1.81 18.093.59 36.187.18
COM
Commission 6.00
Regulatory Fee 0.41
10/21/14 10/24/14 Margin Sell - Securities Sold LANTRONIX INC LTRX 40.000- 1.82 72.79239 108,979.57
COM
Commission 6.00
Regulatory Fee 1.61
10/23/14 10/24/14 Margin Sell - Securities Sold BLACKBERRY LIMITED 65- 1.78 11326.43 120,506.00
BBRY Jan 17 15 9.0 C TO CLOSE
Commission 41.75
Regulatory Fee 1.82
10/24/14 10/24/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (120.506.00) 0.00
DEPOSIT ACCOUNT
sory_sm_000l 1759
CONFIDENTIAL
page 15 6121
EFTA_00122410
EFTA01267889

Statement for Account # 867-730320
10/01/14 - 10/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
10/24/14 10/27/14 Margin Sell - Securities Sold MGIC INVT CORP WIS 250- 0.80 19.850.05 19.850.05
MTG Jan 17 15 8.0 C TO CLOSE
Commission 143.50
Regulatory Fee 6.45
10/27/14 10/27/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (19.850.05) 0.00
DEPOSIT ACCOUNT
10/23/14 10/28/14 Margin Sell - Securities Sold LIHUA INTERNATIONAL INC LIWA 8.000- 0.0409 321.19 321.19
COM
Commission 6.00
Regulatory Fee 0.01
10/23/14 10/28/14 Margin Sell - Securities Sold LIHUA INTERNATIONAL INC LIWA 500- 0.0323 16.14 337.33
COM
Regulatory Fee 0.01
10/23/14 10/28/14 Margin Sell - Securities Sold LIHUA INTERNATIONAL INC LIWA 72.500- 0.03 2.174.95 2.512.28
COM
Regulatory Fee 0.05
10/23/14 10/28/14 Margin Sell - Securities Sold ELEPHANT TALK ETAK 17.218- 1.03 17.728.14 20240.42
COMMUNICATIONS
COM
Commission 6.00
Regulatory Fee 0.40
10/23/14 10/28/14 Margin Sell - Securities Sold MERRIMAN HOLDINGS INC MERR 1.009- 2.15 2.163.30 22.403.72
COM
Commission 6.00
Regulatory Fee 0.05
10/23/14 10/28/14 Margin Sell - Securities Sold MERRIMAN HOLDINGS INC MERR 100- 2.10 203.99 22807/1
COM
Commission 6.00
Regulatory Fee 0.01
10/23/14 10/28/14 Margin Sell - Securities Sold MERRIMAN HOLDINGS INC MERR 500- 2.00 993.97 23.601.68
COM
Commission 6.00
Regulatory Fee 0.03
10/28/14 10/28/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (23.601.68) 0.00
DEPOSIT ACCOUNT
SDNY_GM_00011760
CONFIDENTIAL
page 16 o121
EFTA_001224 I I
EFTA01267890

Statement for Account # 867-730320
10/01/14 - 10/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
10/24/14 10/29/14 Margin Sell - Securities Sold ELEPHANT TALK ETAK 10.758- 1.01 10.859.33 10,859.33
COMMUNICATIONS
COM
Commission 6.00
Regulatory Fee 0.25
10/24/14 10/29/14 Margin Sell - Securities Sold ELEPHANT TALK ETAK 45.000- 1.01 45.442.99 56,302.32
COMMUNICATIONS
COM
Commission 6.00
Regulatory Fee 1.01
10/24/14 10/29/14 Margin Sell - Securities Sold ELEPHANT TALK ETAK 55.000- 1.01 55.54277 111,845.09
COMMUNICATIONS
COM
Commission 6.00
Regulatory Fee 1.23
10/24/14 10/29/14 Margin Sell - Securities Sold ELEPHANT TALK ETAK 1.400- 1.021 1.423.36 113,268.45
COMMUNICATIONS
COM
Commission 6.00
Regulatory Fee 0.04
10/24/14 10/29/14 Margin Sell - Securities Sold ELEPHANT TALK ETAK 7.842- 1.02 7,998.66 121,267.11
COMMUNICATIONS
COM
Regulatory Fee 0.18
10/24/14 10/29/14 Margin Sell - Securities Sold MERRIMAN HOLDINGS INC MERR 100- 2.05 198.99 121.466.10
COM
Commission 6.00
Regulatory Fee 0.01
10/24/14 10/29/14 Margin Sell - Securities Sold MERRIMAN HOLDINGS INC MERR 100- 2.00 199.99 121,666.09
COM
Regulatory Fee 0.01
10/28/14 10/29/14 Margin Sell - Securities Sold JETBLUE AIRWAYS CORP 100- 1.67 16,636.23 138,302.32
JBLU Dec 20 1410.0 C TO CLOSE
Commission 61.00
Regulatory Fee 2.77
10/28/14 10/29/14 Margin Sell - Securities Sold HEWLETT PACKARD CO 90- 4.80 43.141.38 181.44370
HPO Jan 17 15 31.0 C TO CLOSE
Commission 55.50
Regulatory Fee 3.12
SDNY_GM_00011761
CONFIDENTIAL
page 17 o121
EFTA_001224 12
EFTA01267891

Statement for Account # 867-730320
10/01/14 - 10/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
10/29/14 10/29/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (181.443.70) 0.00
DEPOSIT ACCOUNT
10/27/14 10/30/14 Margin Sell - Securities Sold EMRISE CORP EMRI 16.500- 0.70 11.543.74 11.543/4
COM
Commission 6.00
Regulatory Fee 0.26
10/30/14 10/30/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (11.543.74) 0.00
DEPOSIT ACCOUNT
10/28/14 10/31/14 Margin Sell - Securities Sold EMRISE CORP EMRI 2.300- 0.6701 1.535.19 1,535.19
COM
Commission 6.00
Regulatory Fee 0.04
10/28/14 10/31/14 Margin Sell - Securities Sold MERRIMAN HOLDINGS INC MERR 500- 1.90 943.97 2.479.16
COM
Commission 6.00
Regulatory Fee 0.03
10/28/14 10/31/14 Margin Sell - Securities Sold MERRIMAN HOLDINGS INC MERR 500- 1.80 893.98 3.373.14
COM
Commission 6.00
Regulatory Fee 0.02
10/31/14 10/31/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (3.373.14) 0.00
DEPOSIT ACCOUNT
Closing Balance $ 0.00
'Fix Cash Amity totals. refer to the Cash Amoy Summary on page one of your statement.
Insured Deposit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
10/01/14 $ 631.076.32 7 0.0100 $ 1.21 $ 1.21 $ -
10/08114 676.624.23 1 0.0100 0.19 1.40
10/09/14 769.183.59 1 0.0100 0.21 1.61
10/10/14 832.783.13 4 0.0100 0.91 2.52
10/14/14 883.117.50 1 0.0100 0.24 2.76
10/15/14 972.168.45 1 0.0100 0.27 3.03
10/16/14 1,044,786.32 1 0.0100 0.28 3.31
10/17/14 1,136,784.65 3 0.0100 0.94 4.25
10/20/14 1,317,989.41 1 0.0100 0.36 4.61
10/21/14 1,361,620.43 1 0.0100 0.37 4.98
10/22/14 1,394,181.89 1 0.0100 0.38 5.36
SDNY_GM_00011762
CONFIDENTIAL
page 18 of 21
EFTA_00122413
EFTA01267892

Statement for Account # 867-730320
10/01/14 - 10/31/14
Insured Deposit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
10/23/14 1,438,722.24 1 0.0100 0.40 5.76
10/24/14 1,559,228.24 3 0.0100 1.28 7.04
10/27/14 1,579,078.29 1 0.0100 0.43 7.47
10/28/14 1,602,679.97 1 0.0100 0.44 7.91
10/29/14 1,784,123.67 1 0.0100 0.49 8.40
10/30/14 1,795,667.41 1 0.0100 0.49 8.89
10/31/14 1,799,040.55 1 0.0100 0.50 9.39 9.39
Total Interest Income $9.39
Insured De•osit Account Activit
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $631,0/6.35
10/01/14 10/01/14 Delivered FDIC INSURED DEPOSIT ACCOUNT $ (0.03) 631,076.32
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
10/08/14 10/08/14 Received FDIC INSURED DEPOSIT ACCOUNT 45,547.91 676,624.23
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/09/14 10/09/14 Received FDIC INSURED DEPOSIT ACCOUNT 92,559.36 769,183.59
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/10/14 10/10/14 Received FDIC INSURED DEPOSIT ACCOUNT 63,599.54 832,783.13
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/14/14 10/14/14 Received FDIC INSURED DEPOSIT ACCOUNT 50,334.37 883,117.50
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/15/14 10/15/14 Received FDIC INSURED DEPOSIT ACCOUNT 89,050.95 972,168.45
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/16/14 10/16/14 Received FDIC INSURED DEPOSIT ACCOUNT 72,617.87 1,044,786.32
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
SDNY_GM_00011763
CONFIDENTIAL
page 19 of 21
EFTA_001224 14
EFTA01267893

Statement for Account # 867-730320
10/01/14 - 10/31/14
Insured De • osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
10/17/14 10/17/14 Received FDIC INSURED DEPOSIT ACCOUNT 91,998.33 1,136,784.65
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/20/14 10/20/14 Received FDIC INSURED DEPOSIT ACCOUNT 181,204.76 1,317,989.41
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/21/14 10/21/14 Received FDIC INSURED DEPOSIT ACCOUNT 43,631.02 1.361.620.43
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/22/14 10/22/14 Received FDIC INSURED DEPOSIT ACCOUNT 32,561.46 1.394.181.89
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/23/14 10/23/14 Received FDIC INSURED DEPOSIT ACCOUNT 44,540.35 1,438,722.24
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/24/14 10/24/14 Received FDIC INSURED DEPOSIT ACCOUNT 120,506.00 1,559,228.24
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/27/14 10/27/14 Received FDIC INSURED DEPOSIT ACCOUNT 19,850.05 1,579,078.29
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/28/14 10/28/14 Received FDIC INSURED DEPOSIT ACCOUNT 23,601.68 1,602,679.97
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/29/14 10/29/14 Received FDIC INSURED DEPOSIT ACCOUNT 181.443.70 1,784,123.67
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/30/14 10/30/14 Received FDIC INSURED DEPOSIT ACCOUNT 11.543.74 1,795,667.41
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
SDNY_GM_00011764
CONFIDENTIAL
page 20 of 21
EFTA_00122415
EFTA01267894

Statement for Account # 867-730320
10/01/14 - 10/31/14
Insured De r osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
10/31/14 10/31/14 Received FDIC INSURED DEPOSIT ACCOUNT 3,373.14 1,799,040.55
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/31/14 10/31/14 Received Interest: Insured 7.28 1,799,047.83
Deposit Account
10/31/14 10/31/14 Received Interest: Insured 2.10 1,799,049.93
Deposit Account
Closing Balance $1,799,049.93
TD Bank NA $247.500.00
TD Bank USA NA $1,551,549.93
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage acccuu are FDIC-insured up to applicable limits and held by TD Bank. N.A. or TO Bank USA. N.A.. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation lSIPC) protection am:doable to your brokerage account.
CONFIDENTIAL SDNY_GM_00011765
page 21 of 21
EFTA 00)22416
EFTA01267895

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SONY_GM_00011766
EFTA 00122417
EFTA01267896

Terms and Conditions
STATEMENT GUIDE
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a Ø a O d T s d o r n s a . e l n i d n e r s . T * t g e * * h c t C P o e a m a a s t s a n h t h d r d le a i S i n n a n e g s : r r a p v t S a m e i e c r o e . e tt n n s le d s T m M p r e o o l n m n b t: o d a C r . t e o i n O l n l d e l n i c u r t m d 0 e 0 n d y 4 g O n •1 u 1 c t r : m h e C o u a A o s n c t h c a d o m t u n d a n a t n e A d c n c e a v n r m e d n e a y O n n s t M d a i n M b a o o s k B n a t e c n a d t a i c i o e t t n n a r s n e y o 1 r . . h m a e d b r t e e . c l e ' b , s a a t r a ll e e d d r i m n d i d a n a m g to N ~ C O s O u e a L ` i r O e t P e X n S i t l R l y a y , C a e c I i s n l b : d t / O r e t a a C s n x m O d d e a a n I a m a t e f y I n m l d d d . ~ e e M d d O a n i x e w i l R T o n t e t h k E , m a A E n I u D r d D r l a o o w I m n n D r a a e a a n r n o d r n r e a d a o d a n r d e t l a = r p o t s c r d o c I f o e n b o t e e n is d n r n g n C a a « te a r n ~ d l N O p C C r f o n O a d l a M s a k f C s o * E r F n l A o P a T n E a B :n s D e s d B o d r r e B a s k 1 d S e e d ti * o l t y a n r o o d r l ~ ( r s P o « e e u a m e c l w e y e t m c e o e n t n e e n c ts d n a c o t s u m c h l r o o s e e m p u r n t c a t p c O y b y y o ‘ r s m d m I d . m a e c b c b r n r a h o o F m e n F a lo r S o l w a a W s e d o ( o a C S d r t O E t M r p e m o C o n e m p s . t R O t e T % n r U c O e s o n M c A ( a t S o r a r b 6 n l m a y 0 . t d s t a 6 o y n t r e e a e t a t d n o G a n e d p x d e a a 6 . n a i t l n 0 s r i s e o o 7 s t s d ) e m : i s i n ) s I o a . n c k u y C lo s r n m O e o r t m m a t m e i a n o m a o r n c s M o d e r s c c a O e u o l l u o i r m m o r o o i n l n p c i d e a o o i s s n n c n i c o s r n o o e a u m m t s lc o : . ) o e M r , T ( o I o e O * c r r r W d o k d A e e n a e m r l O d G o l r r b r o t n e n o w a i r e a p t n h r d e t g e o * o r
enero Cash Services Surnmary:Cralt ard daal Koos':bon totals lor me aroom statement Maren and Options Account Agreements:Prompt/j ab« 10 Amentrado n vang ot ozocuson at finAmdarnatradocom Anno:floppyis ovafatle man togrost.
redersig gebal tre summariad. Indh10.41 naneef**n are rot listed. any Monde rre your myomen' claxinos or koraal stuanan as tut man to your
tue to ronding acdustments. me Examen' daas may not aval the statement totals. madin O o r x 0 c 0 ro 1 u 4 tb 1 a S n e o e l g r:a o n r i o a g t r r e a e n m sa e c n e t o s n . s A i s su a m v m al e a r b y b 0 . 1 commasions and charge, «urn I m I a Is k e o r u s r b p e d e i e c d y. O a n b s I o d n e i P eb o i r iy t o k r o d a p rs o r to d e M o b e m st i li b ta e r w y. e t e o n s e a le r c d t b th r e o k M its il . o d ry o o 0 ie 1 r s d . e a l r in d g m a 0 rk 0 e 0 n
rellinaled Annal Income and EsInmted Annuel Yeeld va te$ B e beeed upon Ille nuMber emprovement cre marka ordas. Pon* maan:mamis avanablo urde porten makel condens.
stivos owncd or avrom value balanco as ot ene slalom'« dale ard lbo most reent drnderd Om« Mala Paps: Om ~uil ~as cl ~cc bare ban stand. d antiblo. Ø and ex, toedoe>, monter executoor to tost lor ach imparoment n avalable.
mie or cash µed ~ad qx<okn maas ad Other knitpindent moes btkori we besed m te dong poef me
men bewoon me bie ad urdag aces a ober rretta t. t romrya feluen salto hom a Trede COnfirmellOne (Rui* leb-10): All conkmalions ere PerernilledOn pre trabireEn dele.
GENERAL INFORMATION q.daikn End) fr indepledent earCe. he *Study is akant lo bang ~dl E
sntn Pnxd (10) Die gans os your ~doend are lawdod as 9010W •WaTigon ad Taan: Transactie", in to-egn seasilieS (indt4n0 IMM(In addend ADM tel IMM h the
10 Omen:rade dom rot pond* topoi or la achnce. Ploos* consult your legal achmor or lax tro roa guaranloo me sound/dar, saurus aces Malaga bactiol posten," Wad U.S.) may includo exa ard loos~ by me kweten madam or govommonls. vale may
*Genat/nl :Oen ~Mary. AS e Slandard intbelry pitiCtOe. "Ine COneenbl<ns (nay be vang me remanng bals« ad me wrat makel ante Ponk«, noal ustatenti may nO1 be redecied in me prise ol Ine security or chided es an :kieperden' Ine don
re0Ortied br quilts. 0001rd and liansadiOn venr,05141 Ourpatte. kaant sake procent. lbo secoday maa la Cateraar: d DeposE (COSI n gowaly
daud and the &luid mehe Me/ be ilbeta from me ~mise rote Minnen lees ce anebei Pilway Pormy NotlIkstion: A Cpb of Me TO Amen:rads Oehity 001eY anPable el
For TO Amentrade nsaktional Mere. your dus« hm es scparate from and not Obolen win may mat hm do sab ol a CO paar to nalto. Dna adb rad ton Scooter. ga waw.darnairaddcorn
TO Amentrada. Inc. a TO Arnxtrado Clearng, Inc ani *ach fem es nat responsble kr tbc citercnvy Maf *day raven and dona tra cn a klud exchange. Statha. mey aaien me
PrOtlxls end senices of Me ober. OTC loet« ne munten nurIM and tonden' duider net nte era le yø beid tour ~ad Cate Smoddert: The tdocabon ol avd esdemeonsa rans n done vang a prooda keen
to rriatety.11")sabollscrot pa to «tab ~poon n a las d onland. isslem. A coscnpuon el mo proorcteos tor Stage sccunim is avalabbon me .0001e or bard
Accwacy of Reporls: H you rad any errors or ~salons In your account stabamont you coma. aro anklabto ugon camera.
nasla immediamb call u$ et Me malser had 00 page ome Of your Ealeenent. You Non Standard Aram OGAI am trocaly snarsats n dieet diepdon program sauna:
thould als* contact our Clearing rnn, TD Amentrode Clearing, bc. o1800489-3900. ,)artoxfstrin. «tod rotary combinen. sr red odalorroodrnori indom. corrnadly pools. prime In Case Ol enros or opnam asall Na %Made Fund ~Blerk prae COntal us al
muty. Orale dooie hage kriste NSM) are bok" baud annalte ad do na trede of a 1.2C0 969.3900. or n enig to P.O. Box 2209. Oman.. NE 68103. or by man at
FIcaso 'ontwend siateadm CØIy. II you ctsagico ralli ani aanaarden, or el Mae am any naad sovna pØ a to Ncrwao Stod Mflet. lbo 'slum torn a vwo ~stram dieMeentkáikekkineidadee0m TIM inkinnaten cOnlained n your actouni statement anal
aas or onssions. °base notilY a Dient Services ',presente'« Or yta kal Winch 0840. BB tro damled mbes demed han :Mom «Molk nakdro. bul nol laad a indtoenden be bndng upon you nl you do not otfecl wthn way days lor any Handord lutis sttama
wol as 10 Arno:roede Cleareg. Ine. in wmrg 'mem ton (10) days ol tas temp ot thn apen/als to ongans rot zure. ander trid party tonder dias tut han bom provdod by to Rcgdabon E. toch as ATM and polm aran tramt«. deld Hansamens. duwt dtextuts.
salonent. An cad statements Ih61 you nare made to uri shot» be COMMied in vang The to «nagaart. ~amanda Opaal d °ach poran o by a thrdpaty vendu ,Houl and Wthelannals We must heer trom you ro bier Man 60 darm after we sen va, mat FEST
statement en arienvao be considered concbsive «beenden metroden by ID knol:rade Wims mei rel ett me nael Øen plak stammen' on whist: Me error or problem afpoarcd.
stad mand Wee c< be rodnal Loon lq.idascn an onrnwd ida cadet bo esLablohod (I) Teil us whr rend and account maner
Fletse notty vs pion* ol any changes in yow cOnlaci Dareatlions rearbled on IbrOugh Oase MONO& me Woeien mar be reflected es NOr:Mted CNV) F01 WOW« MEI (2) Dolend tel error or the teanbar you are unsuro abOul. ard inplan as dom, as you can
your rcpon wil bo concbseparrdosmod acorfalourdoss you rooly TD Amatrado emmerde/ob. rogarong faam fa Ifbn.Stafdard noe. peme arm Clan Sawa new rouw:~ wint you bolart' ri is an error or why you nood more inlormabon.
are na oroal uØ 'ho SPC (3) Ted us Pm dab, amant of me sugetted trio,
Account Proleabn: Deposits tob by TO Bank. NA ard TD Dar* USA. N.A. aro nsurod by Wo wil innings* your °omplant and wil correct any error promptly. n we lake mom man ID
me FDC (tal eevered by SIPC) up 10 5250.000. MEN Bie per eittOunl °inertst Per Aden lido Secure:a (-445—)Prong: me malta fans la AAS Ønen hbo boen ~med. baren dna l0 da Iers. se wil redt yens accOuM br me amant yOu Mink is n error. E 0Wit
«elfden. TO leren maa atOut FigiC terende 00 tO mar 1.00v. Seeallee. indudn) adadde. kom ~aten enro. or °ter ~ardent sextet The way ol Oe pking is nol you wil have nos uw ol the «nadat% me tmo t takes us to corrpoto ourinvestgawn.
modi lun. held in your Brekende ACeOunt are nl SOMS Or oblgalione a or ~nat Ha maan wao ns traan. TO Amolrade wil poco to PAS Øn. spog ab
guannteed by. any bank. are not FOICinswed. and envoko envesunord nats. ircludrg corcdorda, bob to ktudly wel undrearng ede Quay. Roe ARS rund n curronly
posstle loss ol princpal. TD Amentade is a momber ol the Sauna: inval« Pro:a:ion ~map a kok ol kradty and. asa wort nee an be ro want mel such trocurtes tel
Corporalion (*WC'). wNch armen sauna: astomers of ds menners up lo 5500.030 to rob urda oase mates tomoe. ~MMO 07.14
(incading 5250.000 lor claims for Cash). Explanatory brochure is availaMe on request
REGULATORY DISCLOSURES
Additionaily. TI) Afnaaiden pkniciee exA tien $149.5 !Maan WOrlb Cl PrOleedon br MI wansamons aro Want to p) mc consinubon. nies. regulnans. cum« and ulaan
SeCunlbe and 52 milen 01 prOteelOn fa cash Ihreugh Supt/bmental coverden, prevIded by Or me etiChttne Or makel. and ia dm/inbouw. d am. On netelt *ah «Maan We
London 'neurale m Ex a and tilt leden 4 kss r . i e e r n i d O ex n te n d no Stennes 14/ A 4 - c . t T o I t A 1933 and tho R E S« e u n r d te s SONY_GM_00011767
oun . nal and 'ha
aa
EFTA 00122418
EFTA01267897

Statement Reporting Period:
1D Ameritrade
11/01/14 - 11/30/14
Statement for Account # 867-730320
800-669-3900
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
PO 80X 2209 ST THOMAS. VI 00802-1348
OMAHA, NE 68103-2209
TD Amer'Made Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ S . $ $ -
Insrd Dep Acct (IDA) 2,660,100.26 1,799,049.93 861,050.33 47.9% 0.01%
Options
Money Market
0.2%
Short Balance Stocks
Stocks 452,830.90 845,922.90 (393,092.00) (46.5)% 14.5%
Short Stocks
Axed Income
Options 7,540.15 577,169.84 (569,629.69) (98.7)%
Short Options
Mutual Funds
Other 111.250.00 (111.250.00) (100.0)% IDA
Total $3,120,471.31 $3,333,392.67 ($212,921.36) (6.4)% $ 0.00 0.0°O 85.3%
Margin Equity 100.0%
Cash Activi Summa Income & Ex .ense Summa Performance Summary
Non
Current YTD Reportable YTD
Reportable
Opening Balance $0.00 $ - Income Cost Basis As Of - 11/30/4" $966,192.16
Securities Purchased (8,601,778.47) Dividends S S - $200.00 Unrealized Gains
Securities Sold 861,032.85 7,261,557.44 Interest 1.63 Unrealized Losses (505,821.11)
Funds Deposited 4,000,600.00 Other Funds Deposited/(Disbursed)YM 4,000,600.00
Funds Disbursed Expense Income/(Expense)n° (314.58)
Income 201.63 Interest (516.21) Securities Received/(Delivered)"° 0.00
Expense (516.21) Fees "For cost-basis Information. refer to www.tdamerftradotom
Other (861,032.85) (2,660,064.39) Other
Closing Balance $0.00 $0.00 Net $0.00 $0.00 ($314.58)
SDNY_GM_00011768
CONFIDENTIAL
page 1 o115
EFTA_00122419
EFTA01267898

Statement for Account # 867-730320
11/01/14 - 11/30/14
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer $ - $ 4,000,000.00
Subtotal 0.00 4,000,000.00
TOTAL 0.00 4,000,000.00
Income Summary Detail'
Description Current Year to Date
Interest Income Credit Balance $ 0.00 $ 1.63
Margin Interest Charged 0.00 (516.21)
Qualified Dividends 0.00 200.00
IDA Interest 17.48 35.87
*TVs section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable In a previous tax year (spillover mass). The year to date totals will accurately reflect your cumulative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
HAUPPAGE DIGITAL INC HAUP 33.180 $ 0.0801 $2.657.72 07/21/14 $ 8,527.25 $ 0.26 $ (5,869.53) $ -
COM
LIHUA INTERNATIONAL LIWA 1 0.03 0.03 08f05/14 0.22 0.22 (0.19)
INC
COM
PLASMATECH PTBI 7,270 7.01 50.962.70 05/12/14 142,412.44 19.59 (91.449.74)
BIOPHARMACEUTICALS
COM
RICEBRAN RIBT 38,397 4.06 155,891.82 05/13/14 225,769.27 5.88 (69,877.45)
TECHNOLOGIES
COM
TITAN ENERGY TEWI 3.820.800 0.0136 51.962.88 06/23/14 63,335.18 0.02 (11,372.30)
WORLDWIDE INC
COM
TRANSGENOMIC INC TBIO 85.047 2.25 191.355.75 05/12/14 338.373.82 3.98 (147,018.07)
COM
Total Stocks $452,830.90 $778,418.18 $(325,587.28) $0.00 0.0%
SDNY_GM_00011769
CONFIDENTIAL
page 2 of 15
EFTA_00 I 22420
EFTA01267899

Statement for Account # 867-730320
11/01/14 - 11/30/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Lossl Income Yield
Options Margin
ADVANCED MICRO 920 $ 0.0247 $ 2.272.40 05/12/14 $ 80.879.08 $ 0.88 $ (78.606.68) $ -
DEVICES INC
AMD Jan 17 15 3.5 C
ADVANCED MICRO 875 0.0056 490.00 06/20/14 36.151.25 0.41 (35.661.25)
DEVICES INC
AMD Jan 17 15 4.5 C
CORINTHIAN COLLEGES 575 0.0001 5.75 06/24/14 3.211.05 0.06 (3.205.30)
INC
COCO Feb 20 15 1.0 C
COWEN GROUP INC 600 0.0662 3.972.00 06/27/14 15.873.40 0.26 (11.901.40)
COWN Jan 17 15 5.0 C
DRY SHIPS 800 0.01 800.00 05/12/14 51,659.20 0.65 (50,859.20)
INCORPORATED
DRYS Jan 17 15 3.0 C
Total Options 87,540.15 $187,773.98 $(180,233.83) $0.00 0.0%
Total Margin Account $460,371.05 $966,192.18 S(505,821.11) $0.00 0.0%
Account Activit
Trade Settle Acct Transaction Symbol/
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance $ 0.00
11/05/14 11/06/14 Margin Sell - Securities Sold MGIC INVT CORP WIS 120- $ 1.06 $ 12.644.83 12,644.83
MTG Jan 17 15 8.0 C TO CLOSE
Commission 72.00
Regulatory Fee 3.17
11/06/14 11/06/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (12.644.83) 0.00
DEPOSIT ACCOUNT
SDNY_GM_00011770
CONFIDENTIAL
page 3 0115
EFTA_00122421
EFTA01267900

Statement for Account # 867-730320
11/01/14 - 11/30/14
Account Activit
Trade Settle Acct Transaction' Symbol,'
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
11/06/14 11/06/14 Margin Delivered-Other ACCESS PI-IARMA INC 00431M308 363,500- 0.00 0.00
1:50 R/S 10/24/2014 7275411109
REORG-150 REVERSE SPLIT
10/24/14 PLASMATECH
BIOPHARMACEUTICALS
Auto Reorg#242343IREVERSE
SPLIT
11/06/14 11/06/14 Margin Received - Other PLASMATECH PTBI 7,270 0.00 0.00
BIOPHARMACEUTICALS
COM
REORG-1:50 REVERSE SPLIT
10/24/14 PLASMATECH
BIOPHARMACEUTICALS
Auto Reorg#242343IREVERSE
SPLIT
11/06/14 11/07/14 Margin Sell - Securities Sold JETBLUE AIRWAYS CORP 110- 2.80 30,730.17 30,730.17
JBLU Dec 20 14 10.0 C TO CLOSE
Commission 66.50
Regulatory Fee 3.33
11/07/14 11/07/14 Margin Joumal - Other PURCHASE FDIC INSURED 0.00 (30,730.17) 0.00
DEPOSIT ACCOUNT
11/12/14 11/13/14 Margin Sell - Securities Sold COWEN GROUP INC 64- 1.66 10,561.22 10,561.22
COWN Jan 17 15 2.5 C TO CLOSE
Commission 61.00
Regulatory Fee 1.78
11/12/14 11/13/14 Margin Sell - Securities Sold COWEN GROUP INC 36- 1.65 5,938.99 16,500.21
COWN Jan 17152.5 C TO CLOSE
Regulatory Fee 1.01
11/12/14 11/13/14 Margin Sell - Securities Sold COWEN GROUP INC 115- 1.65 18,902.57 35,402.78
COWN Jan 17152.5 C TO CLOSE
Commission 69.25
Regulatory Fee 3.18
11/12/14 11/13/14 Margin Sell - Securities Sold MGIC INVT CORP WIS 145- 1.16 16730.39 52,133.17
MTG Jan 17 15 8.0 C TO CLOSE
Commission 85.75
Regulatory Fee 3.86
11/13/14 11/13/14 Margin Journal- Other PURCHASE FDIC INSURED 0.00 (52.133.17) 0.00
DEPOSIT ACCOUNT
SDNY_GM_00011771
CONFIDENTIAL
page 4 of 15
EFTA_00122422
EFTA01267901

Statement for Account # 867-730320
11/01/14 - 11/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
11/12/14 11/17/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 150.000- 0.014 2.093.95 2.093.95
COM
Commission 6.00
Regulatory Fee 0.05
11/12/14 11/17/14 Margin Sell - Securities Sold MERRIMAN HOLDINGS INC MERR 4.283- 2.00 8.559.81 10.653/6
COM
Commission 6.00
Regulatory Fee 0.19
11/12/14 11/17/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 10.000- 0.0144 137.79 10.791.55
COM
Commission 6.00
Regulatory Fee 0.01
11/12/14 11/17/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 60.000- 0.014 839.98 11.631.53
COM
Regulatory Fee 0.02
11/12/14 11/17/14 Margin Sell - Securities Sold HAUPPAGE DIGITAL INC HAUP 10.470- 0.15 1,564.46 13.195.99
COM
Commission 6.00
Regulatory Fee 0.04
11/17/14 11/17/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (13.195.99) 0.00
DEPOSIT ACCOUNT
11/17/14 11/18/14 Margin Sell - Securities Sold NET 1 UEPS TECHNOLOGIES INC 26- 4.30 11.068.07 11.068.07
UEPS Jan 17 15 8.0 C TO CLOSE
Commission 111.05
Regulatory Fee 0.88
11/17/14 11/18/14 Margin Sell - Securities Sold NET 1 UEPS TECHNOLOGIES INC 8- 4.29 3.431.72 14.499/9
UEPS Jan 17 15 8.0 C TO CLOSE
Regulatory Fee 0.28
11/17/14 11/18/14 Margin Sell - Securities Sold NET 1 UEPS TECHNOLOGIES INC 13- 4.26 5.537.55 20.03734
UEPS Jan 17 15 8.0 C TO CLOSE
Regulatory Fee 0.45
11/17/14 11/18/14 Margin Sell - Securities Sold NET 1 UEPS TECHNOLOGIES INC 13- 4.22 5.485.55 25.522.89
UEPS Jan 17 15 8.0 C TO CLOSE
Regulatory Fee 0.45
11/17/14 11/18/14 Margin Sell - Securities Sold NET 1 UEPS TECHNOLOGIES INC 131- 4.20 55.015.63 80.538.52
UEPS Jan 17 15 8.0 C TO CLOSE
Regulatory Fee 4.37
SDNY_GM_00011772
CONFIDENTIAL
page Sof 15
EFTA_00 122423
EFTA01267902

Statement for Account # 867-730320
11/01/14 - 11/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
11/17/14 11/18/14 Margin Sell - Securities Sold NET 1 UEPS TECHNOLOGIES INC - 131- 3.20 41,837.87 122,376.39
UEPS Jan 17 15 9.0 C TO CLOSE
Commission 78.05
Regulatory Fee 4.08
11/17/14 11/18/14 Margin Sell - Securities Sold RADIOSHACK CORPORATION 500- 0.17 8.206.81 130,583.20
RSH Jan 15 16 1.0 C TO CLOSE
Commission 281.00
Regulatory Fee 12.19
11/17/14 11/18/14 Margin Sell - Securities Sold FLAMEL TECH 130- 3.40 44.118.40 174,701.60
FLML Dec 20 14 10.0 C TO CLOSE
Commission 77.50
Regulatory Fee 4.10
11/17/14 11/18/14 Margin Sell - Securities Sold RADNET INC. 258- 3.40 87.563.96 262,265.56
RDNT Dec 20 14 5.0 C TO CLOSE
Commission 147.90
Regulatory Fee 8.14
11/17/14 11/18/14 Margin Sell - Securities Sold RADNET INC. 32- 3.60 11,495.37 273,760.93
RDNT Dec 20 14 5.0 C TO CLOSE
Commission 23.60
Regulatory Fee 1.03
11/17/14 11/18/14 Margin Sell - Securities Sold RADNET INC. 160- 3.50 55.900.92 329,661.85
RDNT Dec 20 14 5.0 C TO CLOSE
Commission 94.00
Regulatory Fee 5.08
11/18/14 11/18/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (329.661.85) 0.00
DEPOSIT ACCOUNT
11/18/14 11/19/14 Margin Sell - Securities Sold BEAZER HOMES USA INC 390- 0.90 34,869.36 34.869.36
BZH Jan 17 15 20.0 C TO CLOSE
Commission 220.50
Regulatory Fee 10.14
11/18/14 11/19/14 Margin Sell - Securities Sold AEROPOSTALE INC 290- 0.15 4.177.44 39,046.80
ARO Jan 17 15 3.5 C TO CLOSE
Commission 165.50
Regulatory Fee 7.06
11/19/14 11/19/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (39,046.80) 0.00
DEPOSIT ACCOUNT
SDNY_GM_00011773
CONFIDENTIAL
page 6 0115
EFTA_00 122424
EFTA01267903

Statement for Account # 867-730320
11/01/14 - 11/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
11/17/14 11/20/14 Margin Sell - Securities Sold MERRIMAN HOLDINGS INC MERR 9.000- 2.00 17593.60 17.993.60
COM
Commission 6.00
Regulatory Fee 0.40
11/17/14 11/20/14 Margin Sell - Securities Sold MERRIMAN HOLDINGS INC MERR 13.608- 2.00 27.209.39 45.20259
COM
Commission 6.00
Regulatory Fee 0.61
11/17/14 11/20/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 200- 4.16 825.98 46.028.97
COM
Commission 6.00
Regulatory Fee 0.02
11/17/14 11/20/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 600- 4.1501 2.490.00 48.51857
COM
Regulatory Fee 0.06
11/17/14 11/20/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 1.100- 4.15 4.564.89 53.083.86
COM
Regulatory Fee 0.11
11/17/14 11/20/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 500- 4.1401 2.070.00 55.153.86
COM
Regulatory Fee 0.05
11/17/14 11/20/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 4.100- 4.14 16573.62 72.127.48
COM
Regulatory Fee 0.38
11/17/14 11/20/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 60.000- 0.0155 923.97 73.051.45
COM
Commission 6.00
Regulatory Fee 0.03
11/17/14 11/20/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 1.000- 4.10 4.093.90 77.145.35
COM
Commission 6.00
Regulatory Fee 0.10
11/17/14 11/20/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 3.900- 4.0901 15551.03 93.096.38
COM
Regulatory Fee 0.36
11/17/14 11/20/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 200- 4.22 837.98 93334.36
COM
Commission 6.00
Regulatory Fee 0.02
SDNY_GM_00011774
CONFIDENTIAL
page 7 of 15
EFTA 00122425
EFTA01267904

Statement for Account # 867-730320
11/01/14 - 11/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
11/17/14 11/20/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 2.000- 4.18 8.353.81 102.288.17
COM
Commission 6.00
Regulatory Fee 0.19
11/20/14 11/20/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (102.288.17) 0.00
DEPOSIT ACCOUNT
11/18/14 11/21/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 10.000- 0.015 143.99 143.99
COM
Commission 6.00
Regulatory Fee 0.01
11/20/14 11/21/14 Margin Sell - Securities Sold NORDIC AMERICAN TANKERS LTD - 200- 1.15 22.878.69 23.022.68
NAT Jan 17 15 7.87 C TO CLOSE
Commission 116.00
Regulatory Fee 5.31
11/20/ 4 11/21/14 Margin Sell - Securities Sold NORDIC AMERICAN TANKERS LTD - 275- 1.15 31,460.45 54.483.13
NAT Jan 17 15 7.87 C TO CLOSE
Commission 157.25
Regulatory Fee 7.30
11/20/14 11/21/14 Margin Sell - Securities Sold AEROPOSTALE INC 320- 0.15 4,610.21 59.09334
ARO Jan 17 15 3.5 C TO CLOSE
Commission 182.00
Regulatory Fee 7.79
11/20/14 11/21/14 Margin Sell - Securities Sold NORDIC AMERICAN TANKERS LTD - 250- 1.15 28.599.86 87.693.20
NAT Jan 17 15 7.87 C TO CLOSE
Commission 143.50
Regulatory Fee 6.64
11/21/14 11/21/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (87.693.20) 0.00
DEPOSIT ACCOUNT
11/19/14 11/24/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 10.000- 0.0154 147.59 147.59
COM
Commission 6.00
Regulatory Fee 0.01
11/19/14 11/24/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 10.000- 0.0151 150.99 298.58
COM
Regulatory Fee 0.01
11/19/14 11/24/14 Margin Sell - Securities Sold HAUPPAGE DIGITAL INC HAUP 21.000- 0.1051 2,201.05 2.499.63
COM
Commission 6.00
Regulatory Fee 0.05
SDNY_GM_00011775
CONFIDENTIAL
page 8 of 15
EFTA_00 122426
EFTA01267905

Statement for Account # 867-730320
11/01/14 - 11/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
11/24/14 11/24/14 Margin Delivered Other CORINTHIAN COLLEGES INC 2.167- 0.00 2.499.63
COCO Nov 22 14 1.0 C
EXPIRATION
11/24/14 11/24/14 Margin Delivered - Other TEEKAY TANKERS LTD 205- 0.00 2.499.63
TNK Nov 22 14 5.0 C
EXPIRATION
11/24/14 11/24/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (2.499.63) 0.00
DEPOSIT ACCOUNT
11/20/14 11/25/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 100- 4.152 409.19 409.19
COM
Commission 6.00
Regulatory Fee 0.01
11/20/14 11/25/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 700- 4.151 2905.63 3.314.82
COM
Regulatory Fee 0.07
11/20/14 11/25/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 4.790- 4.15 19978.06 23.19228
COM
Regulatory Fee 0.44
11/20/14 11/25/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 6.700- 4.15 27798.38 50.991.26
COM
Commission 6.00
Regulatory Fee 0.62
11/20/ 4 11/25/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBTW 6.000- 1.00 5993.86 56.985.12
WARRANT EXP 11/18:2018
Commission 6.00
Regulatory Fee 0.14
11/20/ 4 11/25/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBTW 1.000- 1.12 1.113.97 58.09999
WARRANT EXP 11/18:2018
Commission 6.00
Regulatory Fee 0.03
11/20/ 4 11/25/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 66.000- 0.0131 858.58 58,95727
COM
Commission 6.00
Regulatory Fee 0.02
11/20/ 4 11/25/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 233,000- 0.013 3928.93 61,986.60
COM
Regulatory Fee 0.07
SDNY_GM_00011776
CONFIDENTIAL
page 9 0115
EFTA 00122427
EFTA01267906

Statement for Account # 867-730320
11/01/14 - 11/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
11/20/14 11/25/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 550- 4.16 2.281.94 64.26854
COM
Commission 6.00
Regulatory Fee 0.06
11/20/14 11/25/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 1.063- 4.15 4.411.35 68.679.89
COM
Regulatory Fee 0.10
11/20/14 11/25/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBTW 1.900- 1.05 1988.95 70.66894
WARRANT EXP 11/18:2018
Commission 6.00
Regulatory Fee 0.05
11/20/14 11/25/14 Margin Sell - Securities Sold HAUPPAGE DIGITAL INC HAUP 11.000- 0.1041 1.139.07 71,807.91
COM
Commission 6.00
Regulatory Fee 0.03
11/20/ 4 11/25/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBTW 1.000- 1.00 993.97 72.801.88
WARRANT EXP 11/18.2018
Commission 6.00
Regulatory Fee 0.03
11/20/ 4 11/25/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 100- 4.231 417.09 71218.97
COM
Commission 6.00
Regulatory Fee 0.01
11/20/14 11/25/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 400- 4.23 1.691.96 74.91093
COM
Regulatory Fee 0.04
11/20/14 11/25/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBTW 5.882- 1.10 6.464.05 81.374.98
WARRANT EXP 11/18.2018
Commission 6.00
Regulatory Fee 0.15
11/20/ 4 11/25/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBTW 3.000- 1.05 3.143.93 84.51891
WARRANT EXP 11/18.2018
Commission 6.00
Regulatory Fee 0.07
11/20/ 4 11/25/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBTW 15,860- 1.00 15.853.64 100.372.55
WARRANT EXP 11/18/2018
Commission 6.00
Regulatory Fee 0.36
SDNY_GM_00011777
CONFIDENTIAL
page 10 6115
EFTA 00122428
EFTA01267907

Statement for Account # 867-730320
11/01/14 - 11/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
11/25/14 11/25/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (100,372.55) 0.00
DEPOSIT ACCOUNT
11/21/14 11/26/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBTW 1.200- 1.001 1.195.17 1.195.17
WARRANT EXP 11/18:2018
Commission 6.00
Regulatory Fee 0.03
11/21/14 11/26/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBTW 5.500- 1.00 5.499.87 6.695.04
WARRANT EXP 11/18/2018
Regulatory Fee 0.13
11/21/14 11/26/14 Margin Sell - Securities Sold RAINMAKER SYSTEMS INC RMKR 10.000- 0.0155 149.19 6,844.23
COM
Commission 6.00
Regulatory Fee 0.01
11/21/14 11/26/14 Margin Sell - Securities Sold RAINMAKER SYSTEMS INC RMKR 19.200- 0.0151 289.91 7.134.14
COM
Regulatory Fee 0.01
11/21/14 11/26/14 Margin Sell - Securities Sold RAINMAKER SYSTEMS INC RMKR 30.000- 0.015 449.99 7.584.13
COM
Regulatory Fee 0.01
11/21/14 11/26/14 Margin Sell - Securities Sold HAUPPAGE DIGITAL INC HAUP 30.250- 0.10 3.018.93 10.603.06
COM
Commission 6.00
Regulatory Fee 0.07
11/21/14 11/26/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBTW 400- 1.00 393.99 10.997.05
WARRANT EXP 11/18:2018
Commission 6.00
Regulatory Fee 0.01
11/21/14 11/26/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 400- 4.3101 1.718.00 12.715.05
COM
Commission 6.00
Regulatory Fee 0.04
11/26/14 11/26/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (12.715.05) 0.00
DEPOSIT ACCOUNT
11/24/14 11/28/14 Margin Sell - Securities Sold RAINMAKER SYSTEMS INC RMKR 362.800- 0.012 4.347.50 4,347.50
COM
Commission 6.00
Regulatory Fee 0.10
SDNY_GM_00011778
CONFIDENTIAL
page 11 of 15
EFTA_00122429
EFTA01267908

Statement for Account # 867-730320
11/01/14 - 11/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
11/24/14 11/28/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBTW 19.558- 0.94 18378.11 22.725.61
WARRANT EXP 11/18/2018
Commission 6.00
Regulatory Fee 0.41
11/24/14 11/28/14 Margin Sell - Securities Sold HAUPPAGE DIGITAL INC HAUP 76.900- 0.16 12.297.72 35.02333
COM
Commission 6.00
Regulatory Fee 0.28
11/24/14 11/28/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 10.000- 0.0137 130.49 35.15332
COM
Commission 6.00
Regulatory Fee 0.01
11/24/14 11/28/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 10.000- 0.0133 132.99 35.28631
COM
Regulatory Fee 0.01
11/24/14 11/28/14 Margin Sell - Securities Sold RAINMAKER SYSTEMS INC RMKR 50.000- 0.013 643.98 35330/9
COM
Commission 6.00
Regulatory Fee 0.02
11/24/14 11/28/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 100- 4.2101 415.00 36.345.79
COM
Commission 6.00
Regulatory Fee 0.01
11/24/14 11/28/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBTW 17.100- 0.90 15383.65 51.729.44
WARRANT EXP 11/18/2018
Commission 6.00
Regulatory Fee 0.35
11/24/14 11/28/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBTW 8.100- 0.82 6.635.85 58365.29
WARRANT EXP 11/18:2018
Commission 6.00
Regulatory Fee 0.15
11/24/14 11/28/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 10.000- 0.013 124.19 58.48948
COM
Commission 6.00
Regulatory Fee 0.01
11/24/14 11/28/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 44.000- 0.0126 554.38 59.043.86
COM
Regulatory Fee 0.02
SDNY_GM_00011779
CONFIDENTIAL
page 12 6115
EFTA_00 122430
EFTA01267909

Statement for Account # 867-730320
11/01/14 - 11/30/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
11/24/14 11/28/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBTW 2.500- 0.81 2,018.95 61,062.81
WARRANT EXP 11/18/2018
Commission 6.00
Regulatory Fee 0.05
11/24/14 11/28/14 Margin Sell - Securities Sold TRANSGENOMIC INC TRIO 7,553- 2.2501 16,988.63 78,051.44
COM
Commission 6.00
Regulatory Fee 0.38
11/28/14 11/28/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (78,051.44) 0.00
DEPOSIT ACCOUNT
Closing Balance $ 0.00
tot Cash Activity totals. refer to the Cash Activity Summary on page one of your statement.
Insured De • osit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
11/01/14 $ 1,799,049.93 5 0.0100 $ 2.46 $ 2.46 $ -
11/06/14 1,811,694.76 1 0.0100 0.50 2.96
11/07/14 1,842,424.93 6 0.0100 3.03 5.99
11/13/14 1,894,558.10 4 0.0100 2.08 8.07
11/17/14 1,907,754.09 1 0.0100 0.52 8.59
11/18/14 2,237,415.94 1 0.0100 0.61 9.20
11/19114 2,276,462.74 1 0.0100 0.63 9.83
11/20/14 2,378,750.91 1 0.0100 0.65 10.48
11/21/14 2,466,444.11 3 0.0100 2.03 12.51
11/24/14 2,468,943.74 1 0.0100 0.67 13.18
11/25/14 2,569,316.29 1 0.0100 0.71 13.89
11/26/14 2,582,031.34 2 0.0100 1.41 15.30
11/28/14 2,660,082.78 3 0.0100 2.19 17.49 17.49
Total Interest Income $17.49
Trades Pending Settlement
Account Symbol/ Trade Settle
Investment Description Type CUSIP Quantity Price Date Date Amount
SELL TITAN ENERGY WORLDWIDE INC Margin TEWI 10,000- $ 0.016 11/26/14 12/02/14 $ 153.99
COM
SDNY_GM_00011780
CONFIDENTIAL
page 13 of 15
EFTA_00122431
EFTA01267910

Statement for Account # 867-730320
11/01/14 - 11/30/14
Trades Pendin . Settlement
Account Symbol/ Trade Settle
Investment Description Type CUSIP Quantity Price Date Date Amount
SELL TITAN ENERGY WORLDWIDE INC Margin TEWI 10,000- 0.0151 11/26/14 12/02/14 144.89
COM
SELL TITAN ENERGY WORLDWIDE INC Margin TEWI 446.000- 0.015 11/26/14 12/02/14 6,689.85
COM
Insured De. osit Account Active
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $1.799,049.93
11/06/14 11/06/14 Received FDIC INSURED DEPOSIT ACCOUNT $ 12,644.83 1.811.694.76
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
11/07/14 11/07/14 Received FDIC INSURED DEPOSIT ACCOUNT 30.730.17 1,842,424.93
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
11/13/14 11/13/14 Received FDIC INSURED DEPOSIT ACCOUNT 52.133.17 1,894,558.10
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
11/17/14 11/17/14 Received FDIC INSURED DEPOSIT ACCOUNT 13.195.99 1,907,754.09
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
11/18/14 11/18/14 Received FDIC INSURED DEPOSIT ACCOUNT 329,661.85 2,237,415.94
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
11/19/14 11/19/14 Received FDIC INSURED DEPOSIT ACCOUNT 39,046.80 2,276,462.74
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
11/20/14 11/20/14 Received FDIC INSURED DEPOSIT ACCOUNT 102,28817 2,378,750.91
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
SDNY_GM_00011781
CONFIDENTIAL
page 14 of 15
EFTA_00122432
EFTA01267911

Statement for Account # 867-730320
11/01/14 - 11/30/14
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
11/21/14 11/21/14 Received FDIC INSURED DEPOSIT ACCOUNT 87,693.20 2,466,444.11
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
11/24/14 11/24/14 Received FDIC INSURED DEPOSIT ACCOUNT 2,49943 2.468.943.74
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
11/25/14 11/25/14 Received FDIC INSURED DEPOSIT ACCOUNT 100,372.55 2.569.316.29
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
11/26/14 11/26/14 Received FDIC INSURED DEPOSIT ACCOUNT 12,715.05 2,582,031.34
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
11/28/14 11/28/14 Received FDIC INSURED DEPOSIT ACCOUNT 78.051.44 2,660,082.78
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
11/28/14 11/28/14 Received Interest: Insured 15.45 2,660,098.23
Deposit Account
11/28/14 11/28/14 Received Interest: Insured 2.03 2,660,100.26
Deposit Account
Closing Balance $2,660,100.26
TD Bank NA $247,500.00
TD Bank USA NA $2,412,600.26
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by TD Bank. NA. or TD Bank USA. N.A.. or both. The IDA balances are not covered by the
Sec:wales Investor Protection Corporation (SIPC) protection apptucable to your brokerage account.
SDNY_GM_00011782
CONFIDENTIAL
page 15 of 15
EFTA_00122433
EFTA01267912

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SONY_GM_00011783
EFTA_00 122434
EFTA01267913

Terms and Conditions
STATEMENT GUIDE
Arowado provides morally Portfolio Moors lor accoums van annoy and quarterly rooms I> be von Ola brokerage insotrefity. a Client may Marne Motvis due kan the trustee F an osso brochure Mat incbelps intormabon denoting FINRA's Putlic Osamu],
tv mac:ye accounts win assets.' In baribuldcY and mon SIPC. Sidolemental coverage u pad out aim tho trustee and Program. please Contact FINRAM 8352839939 Or wwwlinmag.
Portfolio Summary: Treed me current value 01 your D0111010 as 01 the regal dale and WC payouts and Lake such coverage each clone is limited to a ostibnoci urban of
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investment type coverage has an aggregate bra ol $500 motion over all custanors. The poky provides the Markel Value balance n Me TO AmeroedeCesh. as 01~ aelerteM casino Ode Simple
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Activity Summary: The opening and dosing cash balances are reconcrec here ler yew quick Depose Insurance Corporabon 'CPC, a any other gworarat agency. Although Me hm..rnwyrratanontradecom,bnancialstammentlard.
rerreerice Ai account acunty is summonsed ler be currant paled and yea to dot*. Ands Beek 10 preserve the val. Ol your rertImeni al S100 per share. 4 b potable 10
Income a Expense Summary inemEtAs only): This seam detain too income ant emenser lose more, by inseam; n a money market kind. Dividends are declared dab and Option Assignment: Mi eon comb upon posnons and some index option positions are
Woe horn Mo Manny Summary and Cbsairies the lax liernment. poethursosted montily. The prospectus cordons Iles ard once imconart Mammon_ available br assignment Emma assignment Mani for equity or Men options are randomly
Retirement Account Summary (IRAs only): Review the IRS regnatod bansaceons for Mo Reed the trospeclue Meek% Wore ~fling. 1.0n-001Xeil investments herd by your Mooned among all ohms' shod posbons by an automated proceckse.
rurett WC, pro yeas, IRS Fenn 5498 Mir Marble value is based On the current value as of boker dealer arc NOT FDIC INSURED/NOT BANK GUARANTEED/ MAY LOSE VALUE.
Docomser 31 or moo previous year arden to furnished to~ Internal Revenue Same. Free Credit Balances (Rule 16Øt & 3): Under me clam protection mt, we may use free
l P 0 e :0 do *: n ' n o a r n y c o e u S r e u n m u m re i r tr u y m :M m on o i n to t i s y t o ra u t r e a g n y n . ual portfolio penormance ard the unedited gains and c T a h n e t b o al a lq n u c i e c ia n lt y a o o u n r b y a o n u k r o 0 r 0 d 9 e 0 r, 9 a 1 n m d e lh a o n p t ro O c r e B e o ds r r n e t O u f r r y o e d w l o m y o a n m ey m m a at n te e l s n i a d c u co a u l n a t n o d r C on re d d e it m ba a l n a d n . c es n your MCOunt in the Ordinary Came el our amen which are payable 10 yOu
c A o c a c l o t u o n s t e P e o i s m it v io a n d s q : e N d e g w a y in o s u r a m nd o s lo tr s n s o e n s t s n a yo m u ho r c w ur o re o n l t . ) m a O rk ri e g t i n v a a l tm co s a t r d is c c o o r s rp ig a n r e o d t h u e s c in o g g b ro e l remilleg 10 yOu Margin Macomb (Regulation T1: H you have a margin account. the report u a combnafon el
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Online Cash Services Summ ary:Croft ard debt transaction totals lor tho arrom mammon ~gin and Options Account Agreements: Prompt/ adrito ID Amentrade n warp or oxecurson s enmadarnxtrado_com. A mitten copy is avalatle IØ request.
retbring Paled eve sumnusiad. InelMebal benadvent are not listed. arty chango in your investment clomuros or annul shown as they pertain to your
uo to rounding adustments. ~ ~mein decals may not coast the summon totals. ~ wa M s i T n he O e r x Ø ec o u r t a io a n C o C l O ae u o n n l e s g b r a e n e s M a e c n e i o s n s A i s su a m m m ia e b ry le o . r Ømesonsand cheep, incurred m 11 a is k e o r u s r b p a a s l e s d y. O a n b s t e h n e t P W o h n y t o t r o d e p rs ro t u o d M , e b e c s o t n m tra e ry a . b t o o n s e a le n c d t b th ro e k e h r is s t , o & ry t a 0 g 1 s s , e a e n r d n e m a p r r k ic e e t
teninald Annul Income and Esernsted Annual Yield values å e band upon the number of improvementcal mana orders. Pnce improvement,s avanabloirder canon market condoms.
shares owned or arrom value balance, az of toe stalemom dale and me rrom roomi &Aden! Omni Merkel Prices: Oie mature yams el sauna hate Mal Waned. il aatibb. Ø and we regular>, manta execimen to lost tor ash mac...anent d amiable.
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GENERAL INFORMATION qt0lakn tern> 0~ independent sane. tie smutty is initted 10 bang reteckel tie
Ma Prod OP) lbeiclusams cri your paticlo repel as preened as wool Mandan ad Tax»: Transadkns in foreign sedurila (Martin° foreign ~Wirt AC" ISM Ka in Ea
10 Msenlrade does not panda legal or lax adece. Please consul, your legal advalor or lax me de net guarantee to soma dag scones pct Madam backed postan re Mod U,S,) may include taxes and fees~ by to foreign mamas of governments. oath may
eaeounbent when ~Maly. AS 8 818neard infasdry prelaCe. panne COrnenlehtins may be vang me temaving borne ad Me Rawl make! pore Prebo rØ sebens nay nal be Nibbled in Me edam el the stonily Or charged man ncleeendert une ilen
recorded br Salty comic, and transact on viiitralMiMMOSte. nilom« mks prococch, The scoot.» nØ la Contras id Deposes (CDs) a manor*
loud and the actual M&e may be clIterat eon me ovalartate MOTSlob d PVICMI ~fly Porky Nollgaillon: A cony d the TD /Mabel» privacy DOICY is aVaMMStr al
For TO Amm-oado ~amoral clews. your advisor him ms smarato from and not attend was may molt ton the sob ela CD pta le ~trey Bann adb Rod Mono Sauna Wade sviMamentadotorn
TO ainciaracla. Inc. a TO Arratrado Cleared. Inc.. and oath Ism is not responstle la the ~cony Man hub women and donor sad en a load ~go. Rama. Ivry saM n me
PrOekxls end senices 01 the Ogler. OTC Wes !he °Dunk., nwlya and sUrart tawdry nuyrce met la >a barn >our padon plot CaMbir Seadilin: The 'location or penal redemptions or cells is doe yang a pro rant any
tom-ay. The sib et bond gror to ~et nivy reol n a lens el prilopd. system. A mammon el the proombros for callable saunter. Is nabobon to reerale a hang
Mammyor Reports:II you rind any errors or omissions in your accouM statement you comps aro multibto uponea:pos.1.
Mould Immediately call us et the amber listed on page one 01 your statement. You Non Standard Amen (MAI wo may mamma n arta pampaen program securbas
Mould also contact our Clearing rem, TD Arne/loans Clewing, Inc. el 8004694900. ~dips. brniodlablItyccmpamx. er red estate roamed bum. arrrtaty pools. angle In Case 01 errors a coestens tboul your EIMIOniC Fund Trendier. please CO lad 8 al
,uty. grim* debt a hedge inch NS& se boaen baud imealmeas ad do na hide en 'MO 66.9.390), ot n vanrg to P.O. Box 2209. Omaha. NE 66103. or by email al
Sleaze rancor the statemorn carcally. ir you timed* with any transactor.. or il Mao aro any nalond accurtes maven.« to Nasdaq Stock ).Ledd, Toques ~on la tome rrostrans ClieMetmkeKaldanlediage.COM The ~meal <OM/lined n your *Cann statement shall
aids a crwsvom. please Wiry a Client SeM,Breolesentaliraa ye, lOcal bench aloe. as se ~al am ~eel Ian trebar meMOOS. Ø, bN nei IM/ol m Independent be bndng upon you il you do not ein ecl wain sixty (60)days lor any !candor or lunds pima
woe as 10 Amairado Clean-9. Inc. in wmrg enho ton (10) days el yew romp of this apprardis to progons ra =ob. anew Ma party tender tilers hat ha* boon prowled by to Rcalabon E, such as ATM and pan arale bunion, debit transaebons. sired deposits.
statement Any oral statements Mal you hare made to vi abode' be cornmeal in veiled The to ~goner. ~raw. ander spacer a ash pcgan en by a thrtlinty nr wind and edheliernik We Must hoar from you ro later Man 60 days aner we Led >du Me FEST
statement Wit °aroma be considered concahe. Independent rettslen by ID ~a. Values may nor died pie orlon& ~lase pica. summon on whch the error or problem appeared,
Ø market value a be malmri upon kudos:neon ø/nØ value canna be (rancho! (I) Tell us tar non. and account amber
Please natty vs promptly 01 any changes in yam conned information. DareatIOM rearbled on trough l'eSe methods. Me elusion may be !SOW as NOrsPited MP) Fa ~MS Octal (2) Doscrbothe error or Me transler you am unsure about. and oxpbn as dearly as you can
your moon real be conchae,* doomed accurate unless you mob TO Amanda irrecidatob. comma notmon b NmStamtant Aces. plena aroma Clog Saes These rivasinass why you below n is an error or wily you need mote inlormabon.
are num ant on/Soft SIPC. (3) Teti us he Ocitar .1M0.ri 01m e sabangeg error.
Account Protection: Deposes hold by TOBank. N.A. and TD Dank USA. N,A.. aro toured by Wo Mrll mrosigact your complain and tall <area any error promptly. el we lake more than ID
i t n ie ia l F t4 D O IC n. (4 T 0 O 1 le C a o r v n e r m ed o r b e y a S b I o P u C t ) F u D p IC 1 0 c o 2 v 2 e 5 r 0 a . g 0 e 3 0 0 . 0 L 1 i 0 m b w s ir a e r e IC A p C e . r 0 0 a v C . t S O e u C nt u l o le im S. e i r n t c n l 0 oc p In e g r H A a m rt o le n t R le a . K o o S rn a c u oO n t a al e (A n R ee S r D rt P e r . o o n f o g: il h er e ra m g e e s s a : l M ob I ~ = e la a O R T S h s e c a a c m ar s a h y a o o l th b e o p on Ø °t un is e n d a . l b y u o s u i n w e l s l s h a d v a e y s n l o o u d s e e t a hi l s t , h s e e m w o n ne c y r e d e u l, m y p ou t r h o tw ti o n M e M I t b a r w s us s m to c a a rt r y p o e u t * th o in u k r i i n s u n e s a tg rm at s on /S . IM'
mutual 'uncle, held in WV Brokerage Account are 401 depotils Or oblgalions ol. or garanioal Ha motel ~a snot maldab. TD ~Made SI grue eo OAS mum. tared nth
guaranteed by. any bank. Ø not FOltinsesed, and involve investment mks, includng censolet boll to klualy ad undo,,mg ode quay. The ARS ~tee re ~only
missile loss ol princpal. TO Amentrade is a member ol the Securities Investor Praocton tremaning a Mk 011esalty and. ma mot ~eta, be re e"SvlrCelbal eoditreaarbeSan
Corporation (51PC'). which protects secunlies customers or ils members up to 5500.000 to and undo, oscremalrel cottons. AMM1500744
(inter:ling 5250.004) lot daims for cash). Explanatory brochure is available on request at
REGULATORY DISCLOSURES
A001110nelly. TO Antenna* provides ash cleat $149.5 trillion worth 01 grOleCOOn for MI Crania:eons aro abject to 0) The consmubon. Na, regulations customs and usages
securities and 32 °Ilion Ol IXONCIOn for cash 'Neagh Supplemenial coverage provided by • Ra exchange Or market and its dearrighouse. H any. on Mich such bandeos are
London Insurers. c E a x c curca: no Ma 1 sai Lies. 'dia cli l e o r g e q th t e e Sambas Act el 193 o 3 r f a A nd te t n he d Sauenes SDNY_GM_00011784
osen . o and mva
EFTA 1x1122435
EFTA01267914

Statement Reporting Period:
1D Ameritrade
12/01/14 - 12/31/14
Statement for Account # 867-730320
800-669-3900 Announcements:
D TO IV A IS M IO E N R I O TR F A T D O E A MERITRADE INC S 6 A 1 O T 0 T U 0 N T R : H J E E E D R F H F N R O F E O IN Y K A E O N P T C S R IA T S E L S I L N T L E C 8-3 I N N E F W O . L A O F O R K E . S N H E , W N E FE W A T T I U C R K E E S R . T S A A P M E E I S SM ART
PO BOX 2209 ST THOMAS. VI 00802-1348 HERE. NOW YOU CAN ACCESS VALUABLE
OMAHA, NE 68103-2209 INSIGHTS EVERY MARKET DAY AT
TD Amer'trade Clearing. Inc.. Member SIPC THETICKERTAPE.COM.
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ - S $ $ -
Insrd Dep Acct (IDA) 2,828,570.06 2,660,100.26 168,469.80 6.3% 0.01%
Options
Money Market
0.3%
Short Balance Stocks
Stocks 196,026.00 452,830.90 (256,804.90) (56.7)% 6.5%
Short Stocks
Fixed Income
Options 8,596.90 7,540.15 1,056.75 14.0%
Short Options
Mutual Funds
Other
IDA
Total $3,033,192.96 $3,120,471.31 ($87.278.35) (2.8)% $ 0.00 0.0°O 93.2%
Margin Equity 100.0%
Cash Activi Summa Income & Ex . ense Summa Performance Summary
Non
Current YTD Reportable YTD
Reportable
Opening Balance $ 0.00 $ - Income Cost Basis As Of -12/31114 " $668,560.46
Securities Purchased (8,601,778.47) Dividends S - $ - $200.00 Unrealized Gains
Securities Sold 168,446.15 7,430,003.59 Interest 1.63 Unrealized Losses (463,937.56)
Funds Deposited 4,000,600.00 Other Funds Deposited/(Disbursed)' 4,000,600.00
Funds Disbursed Expense Income/(Expense)"° (314.58)
Income 201.63 Interest (516.21) Securities Received/(Delivered)" 0.00
Expense (516.21) Fees 'or cost-basis Information. refer to vrawtclamerftradozom
Other (168,446.15) (2,828,510.54) Other
Closing Balance $ 0.00 $0.00 Net $0.00 $0.00 ($314.58)
SDNY_GM_00011785
CONFIDENTIAL
page 1 o110
EFTA_00122436
EFTA01267915

Statement for Account # 867-730320
12/01/14 - 12/31/14
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer $ - $ 4,000,000.00
Subtotal 0.00 4,000,000.00
TOTAL 0.00 4,000,000.00
Income Summary Detail'
Description Current Year to Date
Interest Income Credit Balance $ 0.00 $ 1.63
Margin Interest Charged 0.00 (516.21)
Qualified Dividends 0.00 200.00
IDA Interest 23.65 59.52
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reponable in a previous tax year (spillover dividends). The year to date torah will accurately reflect your cumuiative amount for the year.
Account Positions
Symbol! Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.0279 $ 0.03 08 05 14 $ 0.22 $ 0.22 $ (0.19) $ -
INC
COM
PLASMATECH PTBI 7.270 3.45 25.081.50 05/12/14 142,412.44 19.59 (117,330.94)
BIOPHARMACEUTICALS
COM
TRANSGENOMIC INC TBIO 85.047 2.01 170,944.47 05/12/14 338,373.82 3.98 (167,429.35)
COM
Total Stocks $196,026.00 $490,786.48 $(284,760.48) $0.00 0.0%
Options - Margin
ADVANCED MICRO 920 $ 0.0002 $18.40 0512,14 $ 80.879.08 $ 0.88 $ (80,860.68) $ -
DEVICES INC
AMD Jan 17 15 3.5 C
ADVANCED MICRO 875 0.0001 8.75 06,2014 36.151.25 0.41 (36,142.50)
DEVICES INC
AMD Jan 17 15 4.5 C
SDNY_GM_00011188
CONFIDENTIAL
page 2 of 10
EFTA_00122437
EFTA01267916

Statement for Account # 867-730320
12/01/14 - 12/31/14
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Options • Margin
CORINTHIAN COLLEGES 575 0.0001 5.75 06/24/14 3.211.05 0.06 (3205.30)
INC
COCO Feb 20 15 1.0 C
COWEN GROUP INC 600 0.1426 8,556.00 06/27/14 15.873.40 0.26 (7.317.40)
COWN Jan 17 15 5.0 C
DRY SHIPS 800 0.0001 8.00 05/12/14 51.659.20 0.65 (51.651.20)
INCORPORATED
DRYS Jan 17 15 3.0 C
Total Options $8,596.90 $187,773.98 $(179,177.08) $0.00 0.0%
Total Margin Account $204,622.90 $668,560.46 $(463,937.56) $0.00 0.0%
Account Activit
Trade Settle Acct Transaction! Symbol
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance $ 0.00
11/26/14 12/02/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 10,000- $ 0.016 $ 153.99 153.99
COM
Commission 6.00
Regulatory Fee 0.01
11/26/14 12/02/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 10,000- 0.0151 144.89 298.88
COM
Commission 6.00
Regulatory Fee 0.01
11/26/14 12/02/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 446.000- 0.015 6.689.85 6.988/3
COM
Regulatory Fee 0.15
12/02/14 12/02/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (6,988.73) 0.00
DEPOSIT ACCOUNT
SDNY_GM_00011787
CONFIDENTIAL
page 3 o110
EPTA_00ll 22438
EFTA01267917

Statement for Account # 867-730320
12/01/14 - 12/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
12/01/14 12/04/14 Margin Sell - Securities Sold HAUPPAGE DIGITAL INC HAUP 9.500- 0.1001 944.92 944.92
COM
Commission 6.00
Regulatory Fee 0.03
12/01/14 12/04/14 Margin Sell - Securities Sold HAUPPAGE DIGITAL INC HAUP 17.300- 0.10 1729.96 2.674.88
COM
Regulatory Fee 0.04
12/01/14 12/04/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 10.000- 0.0111 104.89 2.779.77
COM
Commission 6.00
Regulatory Fee 0.01
12/01/14 12/04/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 71.500- 0.011 786.48 3.566.25
COM
Regulatory Fee 0.02
12/04/14 12/04/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (3.566.25) 0.00
DEPOSIT ACCOUNT
12/02/14 12/05/14 Margin Sell - Securities Sold HAUPPAGE DIGITAL INC HAUP 6.300- 0.08 497.98 497.98
COM
Commission 6.00
Regulatory Fee 0.02
12/02/14 12/05/14 Margin Sell - Securities Sold HAUPPAGE DIGITAL INC HAUP 80- 0.0801 0.40 498.38
COM
Commission 6.00
Regulatory Fee 0.01
12/02/14 12/05/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 700.000- 0.01 6.993.84 7.492.22
COM
Commission 6.00
Regulatory Fee 0.16
12/05/14 12/05/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (7.492.22) 0.00
DEPOSIT ACCOUNT
12/03/14 12/08/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 3.500- 3.8501 13.469.05 13.469.05
COM
Commission 6.00
Regulatory Fee 0.30
12/03/14 12/08/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 1,498- 3.85 5761.17 19.230.22
COM
Commission 6.00
Regulatory Fee 0.13
SDNY_GM_00011788
CONFIDENTIAL
page 4 o110
EFTA_00 122439
EFTA01267918

Statement for Account # 867-730320
12/01/14 - 12/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
12/03/14 12/08/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 700- 3.85 2.688.94 21,919.16
COM
Commission 6.00
Regulatory Fee 0.06
12/03/4 12/08/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 262.400- 0.0018 466.30 22,385.46
COM
Commission 6.00
Regulatory Fee 0.02
12/08/4 12/08/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (22.385.46) 0.00
DEPOSIT ACCOUNT
12/04/14 12/09/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 1.000.000- 0.0014 1.393.96 1.393.96
COM
Commission 6.00
Regulatory Fee 0.04
12/04/14 12/09/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 10.000- 0.0013 7.19 1,401.15
COM
Commission 6.00
Regulatory Fee 0.01
12/04/14 12/09/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 990.000- 0.0013 1.286.97 2,688.12
COM
Regulatory Fee 0.03
12/04/14 12/09/14 Margin Sell - Securities Sold TITAN ENERGY WORLDWIDE INC TEWI 310.900- 0.0014 429.25 3,117.37
COM
Commission 6.00
Regulatory Fee 0.01
12/04/14 12/09/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 1.400- 3.831 5.357.28 8,474.65
COM
Commission 6.00
Regulatory Fee 0.12
12/04/14 12/09/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 1.670- 3.83 6.395.95 14,870.60
COM
Regulatory Fee 0.15
12/04/14 12/09/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 5.700- 3.80 21.653.52 36,524.12
COM
Commission 6.00
Regulatory Fee 0.48
SDNY_GM_00011789
CONFIDENTIAL
page 5 o110
EFTA 00122440
EFTA01267919

Statement for Account # 867-730320
12/01/14 - 12/31/14
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
12/04/14 12/09/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 1.200- 3.801 4355.09 41.079.21
COM
Commission 6.00
Regulatory Fee 0.11
12/04/14 12/09/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 100- 3.80 379.99 41,459.20
COM
Regulatory Fee 0.01
12/09/14 12/09/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (41.459.20) 0.00
DEPOSIT ACCOUNT
12/05/14 12/10/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 5.000- 3.85 19.243.57 19,243.57
COM
Commission 6.00
Regulatory Fee 0.43
12/05/14 12/10/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 100- 3.8201 376.00 19,619.57
COM
Commission 6.00
Regulatory Fee 0.01
12/05/14 12/10/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 7.022- 3.80 26.683.01 46,302.58
COM
Regulatory Fee 0.59
12/05/14 12/10/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 100- 3.87 380.99 46,683.57
COM
Commission 6.00
Regulatory Fee 0.01
12/05/14 12/10/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 100- 3.86 385.99 47,069.56
COM
Regulatory Fee 0.01
12/05/14 12/10/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 200- 3.821 758.18 47,827.74
COM
Commission 6.00
Regulatory Fee 0.02
12/05/14 12/10/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 100- 3.82 381.99 48,209.73
COM
Regulatory Fee 0.01
12/05/14 12/10/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 1,700- 3.801 6.455.55 54,665.28
COM
Commission 6.00
Regulatory Fee 0.15
SDNY_GM_00011790
CONFIDENTIAL
page Dot 10
EFTA 00122441
EFTA01267920

Statement for Account # 867-730320
12/01/14 - 12/31/14
Account Activit
Trade Settle Acct Transaction Symbol
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
12/05/14 12/10/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIB I 1.965- 3.80 7466.83 62.132.11
COM
Regulatory Fee 0.17
12/10/14 12/10/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (62.132.11) 0.00
DEPOSIT ACCOUNT
12/08/14 12/11/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 1.700- 3.8601 6.556.02 6.556.02
COM
Commission 6.00
Regulatory Fee 0.15
12/08/14 12/11/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 77- 3.86 297.21 6.853.23
COM
Regulatory Fee 0.01
12/11/14 12/11/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (6.853.23) 0.00
DEPOSIT ACCOUNT
12/09/14 12/12/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 1,000- 3.8501 3.844.01 3.844.01
COM
Commission 6.00
Regulatory Fee 0.09
12/09/14 12/12/14 Margin Sell - Securities Sold RICEBRAN TECHNOLOGIES RIBT 3.565- 3.85 13724.94 17.568.95
COM
Regulatory Fee 0.31
12/12/14 12/12/14 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (17.568.95) 0.00
DEPOSIT ACCOUNT
Closing Balance $ 0.00
'For Cash Activity totals. refer to the Cash Monty Summary on page one of your statement.
Insured Deposit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
12/01/14 $ 2.660.100.26 1 0.0100 $ 0.73 $ 0.73 $
12/02/14 2.667,088.99 2 0.0100 1.46 2.19
12/04/14 2.670,655.24 1 0.0100 0.73 2.92
12/05/14 2,678,147.46 3 0.0100 2.20 5.12
12/08/14 2.700,532.92 1 0.0100 0.74 5.86
12/09/14 2,741,992.12 1 0.0100 0.75 6.61
12/10/14 2.804,124.23 1 0.0100 0.77 7.38
12/11/14 2.810,977.46 1 0.0100 0.77 8.15
SDNY_GM_00011791
CONFIDENTIAL
page 7 of 10
EFTA_00 122442
EFTA01267921

Statement for Account # 867-730320
12/01/14 - 12/31/14
Insured Deposit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
12/12/14 2,828,546.41 20 0.0100 15.50 23.65 2165
Total Interest Income 823.85
Insured Desosit Account Activit
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $2,660,100.26
12/02/14 12/02/14 Received FDIC INSURED DEPOSIT ACCOUNT $ 6,988.73 2,667,088.99
IDAll NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
12/04/14 12/04/14 Received FDIC INSURED DEPOSIT ACCOUNT 3,566.25 2,670,655.24
IDAll NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
12/05/14 12/05/14 Received FDIC INSURED DEPOSIT ACCOUNT 7,492.22 2,678,147.46
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
12/08/14 12/08/14 Received FDIC INSURED DEPOSIT ACCOUNT 22,385.46 2,700,532.92
IDAll NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
12/09/14 12/09/14 Received FDIC INSURED DEPOSIT ACCOUNT 41,459.20 2,741,992.12
IDAll NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
12/10/14 12/10/14 Received FDIC INSURED DEPOSIT ACCOUNT 62,132.11 2.804.124.23
IDAll NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
12/11/14 12/11/14 Received FDIC INSURED DEPOSIT ACCOUNT 6,853.23 2,810,977.46
IDAll NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
12/12/14 12/12/14 Received FDIC INSURED DEPOSIT ACCOUNT 17,568.95 2,828,546.41
IDAll NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
12/31/14 12/31/14 Received Interest: Insured 21.55 2,828,567.96
Deposit Account
SDNY_GM_00011792
CONFIDENTIAL
page86110
EFTA 00122443
EFTA01267922

Statement for Account # 867-730320
12/01/14 - 12/31/14
Insured De* osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
12/31/14 12/31/14 Received Interest: Insured 2.10 2,828,570.06
Deposit Account
Closing Balance $2,828,570.06
TD Bank NA $247,500.00
TD Bank USA NA $2,581,070.06
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage acccun are FDIC-insured up to applicable limits and held by TD Bank. N.A. or TD Bank USA. N.A.. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIPC) protection appscable to your brokerage account.
Important Information
The most recent statement of financial condition for TD Ameritrade Clearing. Inc. may be obtained at no cost. via the Internet at
https://w‘vw.tdameritrade.cornifinancial-statementfffinancial-statement on or before 12/29/2014. or by contacting TD Ameritrade Clearing. Inc. at 1.800-237.8692. As of 9/30/2014.
TD Ameritrade Clearing. Inc. had net capital and a net capital requirement of $1.6 billion and $280.4 million, respectively. A copy of the report and comments is currently available for
customers' inspection at the principal office of the commission in Washington DC and the Denver, CO office of the Commission.
Annual Margin Disclosure
Securities purchased on margin are the firm's collateral for the loan to you. If the securities in your account decline in value, so does the value of the collateral supporting your loan. As a
result, the firm can take action. such as issuing a margin call and/or selling securities or other assets in any of your accounts held with TD Ameritrade, in order to maintain the required
equity in the account.
It is important that you fully understand the risks involved in trading securities on margin. These risks include the following: You can lose more funds than you deposit in
the margin account. The firm can force the sale of securities or other assets in your account(s). The firm can sell your securities or other assets without contacting you.
You are not entitled to choose which securities or other assets in your account(s) are liquidated or sold to meet a margin call. The firm can increase its "house"
maintenance requirements at any time and is not required to provide you advance written notice. You are not entitled to an extension of time on a margin call.
Anti-Money Laundering Requirements
The USA PATRIOT Act is designed to detect. deter, and punish terrorists andfor terrorist groups in the United States and abroad. The Act requires U.S. financial institutions and
brokerage firms to implement comprehensive anti-money laundering programs.
What is money laundering?
Money laundering is the process of disguising illegally obtained funds so that they appear to come from legitimate sources or activities. Money laundering occurs in connection with a
wide variety of crimes, including (but not limited to) illegal arms sales. drug trafficking, fraud, terrorism. embezzlement. and political corruption.
How big is the problem and why is it important?
According to the U.S. Department of State, one recent estimate puts the amount of worldwide money laundering activity at roughly $1 trillion per year. The use of the U.S. financial
system by criminals to facilitate terrorism or other crimes could taint our financial markets.
What is TD Ameritrade required to do?
As required by the USA PATRIOT Act. our anti-money laundering program designates a special Compliance Officer to ensure compliance with applicable laws, maintains policies and
procedures to detect and report suspicious transactions. performs employee training. and conducts independent audits. Federal law also requires all financial institutions to obtain. verify,
and record information that identifies each person who opens an account. As part of this requirement. we may ask you to provide various identification documents or other information.
Until you provide the information or documents required. we may not be able to open an account or process transactions for you.
SDNY_GM_00011793
CONFIDENTIAL
page 9 of 10
EFTA_00 I 22444
EFTA01267923

Statement for Account # 867-730320
12/01/14 - 12/31/14
Important Information
We thank you for your patience and look forward to your support in our efforts to deny terrorist groups access to America's financial system.
SDNY_GM_00011794
CONFIDENTIAL
page 10 6110
EFTA_00 I 22445
EFTA01267924

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE B-3
ST THOMAS, VI 00802-1348
SDNY_GM_0001 1795
CONFIDENTIAL
EFTA_00I 22446
EFTA01267925

Terms and Conditions
STATEMENT GUIDE
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WOUW immedialety celt us et th* menhir baad on page One Ol your statement. You Non Standard Ameb (NSA, am hocaly tinnen:ns in act partcpan program meutes
Soule; laso contact our Clearing tym, TD Amanu». Clearing, Inc. M 8004894900. ,jaatrerstios. Orni»h alb ~pana. cv red «mo nasnol iruset cermadty po». amio In Case Ol enfant 0e westom LbOul your EinsrOnie Fund %Milera pleese COnitti us
atuty. Oo* dabt o ha» „sal. WSM ere MMO‚ 1105 imnalmets ad do na luie en a 1e ta 869-3902 es n wang to P,O. Box 2209, Omaha. NE 68103. or by omal at
Mewa ternew dia statement caretily. you Osami» mili any transom», or el ihao am any numa osunie: achana° a to Nrd» Rock Marka Thextues toen ta twe mesonam eliangerebeiGhtdanadrede.e0m 11» ~neten cOnialned n mw Meemi statement Shell
aids or »Meom. Masse roby e Client Services representelke a you kaf Match race. es are »hoed wees der ml han onom medialk nadreg, bul nol kakel N independent be Wang opon y» II you do nat obpiel wthn ruty Maidays lor any aanslof ot lulden mapce
wol as 10 imamam Cnam?, inc. in wrona stom ton (10) days ol you racom ot the oporami:, te pronem rel astat. ander bad pary wda ortom But hao boon proweed by to Regulabon E. such as ATM and pont amie »raat dobo naameten. direct deitosils.
statement My ord statements Ihet you hare made to us shot» be COMmled in mitra Thb to monogame'. annuratr. ander maya el aam pwn o la a dwa paty ~dof mamul and Mihnesoils We must heer trom you ro later Man 60 Wo tar we sent y» me FOIST
statement will «henem be considered conclehe ~dan mfleattn by 11) knfitrado. *dme mer nol Nhl me sranat otaria pice, statement on Men tno error or groblom owca‚
czul market aio « be mazai mcn limeascn an omme» tubo wand be estatithed (I) Tell us tow neme and account ~ber
Fletse noley e mowny ol any charges in your cOnlaci informalion. TrareaCOOM redr/Cled on IIVOugh des methode. Me otofon niw be rebected es ebrehted CNP) For addlitad deal (2) Doende the *nor m Io rentier you are unsuro obomk and explan as dean/ as you cen
your rcpon wil bo concbsio~ed acana unloss you rody TO knavado mmmix*. roaddrag mimem la NmStandana krom. Mime amia Cert Sowa. These nosirmets why you bolom d 1: an orna or wity you nood moro rotormaten.
aro na ~md umbr the 9PC, (3) Ted IS Ihe dalie arroani of he suarnelederior.
Account Proleabn: °epos» »Id byTOBank. NA and TD Bark USA. NA. aro Nemrod by Wo wil invomparo your amplom and wil camel arfy error promptly. el wo rake mom man ID
"he FDC eol COYOrad by SIPC) up Ie $250.000. Limin ere per Wami »nad» per Podoi Rat Steurt= [ARS) Prang: The matm~ la MS seans= ba» ban &anod. »arms Nys lo de Iks. we wil maa you °MOM br !Meent yOu mink is n error.
MONO». TO Nam maa eboul FOK CNOM. go SO mew IdC90e. SeCullieS. inCludng ▪ inebtle. trom weta» anken 0e oNi Vedepeaert Much The manty Ol te Woog s nol you wil have to uso ol the rreneydunng ino tnie t takes us manpee aur ineostaaten.
multa, tonde, held in yam' Ordo:M OS ACCOurt are ral dtepealS Or 001050n8 Ot Or ~anima da matm makio c na mald ab. TI) krain» W I paso to AAS pal». ode? nb
‚manto» by. ary bank. are not FOICinswed. and meeha envestmoni dsks, ercludng analer" boli to dudy ad undcrOng mek quaky. Iho ARS market is curroMy
passae las ei pikapa. TD oliemade es a momber ol the Sean»: loyesict Moda» eidahMing lick ol bab and. esa reear. Mae CM be ro asoase mei such eerordes an
Gorgona» (SIPC'). Mich amens meun»: astomers ol ds manbars up lo 5500.000 » soki unix cumo mhz cetel. MiTis 1»07n1
(nchiding 5250.000 lor daim fot cash). Explanatory brochure is ayailaNe on requeel
REGULATORY DISCLOSURES
wwasipc.org.
TO Arnertirafte MOM% Mien Cleni 5149.5 milion wora ol proleedon lor M hansa:bons aro subject to lq me consbiubon. Na. rogulatens cumom and usages
secreties and 52 miko 01 MCMCIOn br chh dwo» Supamenizil coyerepe pthided by Or the exchange m market and ile dearvigrouse. t any. on Mich such trantaChtns
London 'Nura. e E x x e cuted: mi lodem' lam. end in ea e ng a r m r e f ir S r t e eunen A l ct or 192 l 3 A and ho R E S« 8 u n rt d o s SDNY_GM_00011796
oun . N o and iho
F
EFTA 00122447
EFTA01267926

Statement Reporting Period:
1D Ameritrade
01/01/15 - 01/31/15
800.669-3900 Statement for Account # 867-730320 Announcements:
D TO IV A IS M IO E N R I O TR F A T D O E A MERITRADE INC S 6 A 1 O T 0 T U 0 N T R : H J E E E D R F H F N R O F E O IN Y K A E O N P T C S R IA T S E L S I L N T L E C B-3 C RE H F O E O R S A E F $5 R 0 IE C N A D S & H , G 5 E F T R R E E E W T A R R A D D E E D S, .
PO BOX 2209 ST THOMAS. VI 00802-1348 OR A $50 GIFT CARD WHEN THEY
OMAHA, NE 68103-2209 OPEN AND FUND AN ACCOUNT.
TD Arne:grade Clearing. Inc.. Member SIPC VISIT TDAMERITRADE.COMIREFER.
RESTRICTIONS APPLY.
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $ - $ $ -
Insrd Dep Acct (IDA) 2,828,594.08 2.828.570.06 24.02 0.01%
Money Market Stocks
Short Balance
Stocks 340,903.60 196.026.00 144.877.60 73.9%
Short Stocks
Axed Income
Options 5.75 8,596$0 (8,591.15) (99.9)%
Short Options
Mutual Funds
Other
Total $3.169,503.43 $3,033,192.96 5136.310.47 4.5% $ 0.00 0.0°O 89.2%
Margin Equity 100.0%
Cash Activi Summa Income & Ex ense Summa Performance Summary
Non
Current YTD Reportable YTD
Reportable
Opening Balance $ 0.00 Income Cost Basis As Of - 01/31/15 " $483,997.53
Securities Purchased Dividends S S - Unrealized Gains
Securities Sold Interest Unrealized Losses (143,088.18)
Funds Deposited Other Funds Deposited/(Disbursed)Y°
Funds Disbursed Expense Income/(Expense)"O
Income Interest Securities Received/(Delivered)"° 0.00
Expense Fees **For cost-basis Inlormatlon, refer to www.tclamenirade.com
Other Other
Closing Balance $ 0.00 $0.00 Net $0.00 $0.00 $0.00
SDNY_GM_00011797
CONFIDENTIAL
page 1 of 3
EFTA_00122448
EFTA01267927

Statement for Account # 867-730320
01/01/15 - 01/31/15
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 24.02 $ 24.02
'This section displays current and year to date taxation values for the account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These correcmns
can include changes made to previous payments and removal of payments reportable In a previous tax year (spillover dividends). The year to date totals will accurately reflect your cumulative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.0152 $ 0.02 08/05/14 $ 0.22 $ 0.22 $ (0.20) $ -
INC
COM
PLASMATECH PTBI 7270 3.14 22327.80 05/12/14 142412.44 19.59 (119.584.64)
BIOPHARMACEUTICALS
COM
TRANSGENOMIC INC TBIO 85,047 3.74 318,075.78 05/12/14 338.37332 3.98 (20.298.04)
COM
Total Stocks $340,903.60 $480,786.48 $(139,882.88) $0.00 0.0%
Options - Margin
CORINTHIAN COLLEGES 575 $ 0.0001 $ 5.75 06/24/14 $ 3211.05 $ 0.06 $ (3.205.30) $ -
INC
COCO Feb 20 15 1.0 C
Total Options $5.75 $3,211.05 $(3,205.30) $0.00 0.0%
Total Margin Account $340,909.35 $4133,997.53 $(143,088.18) $0.00 0.0%
SDNY_GM_00011798
CONFIDENTIAL
page 2 o13
EFTA_00 122449
EFTA01267928

Statement for Account # 867-730320
01/01/15 - 01/31/15
Account Activit
Trade Settle Acct Transaction Symbol,
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance $ 0.00
01/20/15 01/20/15 Margin Delivered - Other DRY SHIPS INCORPORATED 800- $ 0.00 $ • 0.00
DRYS Jan 17 15 3.0C
EXPIRATION
01/20/15 01/20/15 Margin Delivered-Other ADVANCED MICRO DEVICES INC 920- 0.00 0.00
AMD Jan 17 15 3.5 C
EXPIRATION
01/20/15 01/20/15 Margin Delivered-Other ADVANCED MICRO DEVICES INC 875- 0.00 0.00
MAD Jan 17 15 4.5 C
EXPIRATION
01/20/15 01/20/15 Margin Delivered-Other COWEN GROUP INC 600- 0.00 0.00
COWN Jan 17 15 5.0 C
EXPIRATION
Closing Balance $ 0.00
'For Cash Activity totals, refer to the Cash Activity Summary on page one of your statement.
Insured De • osit Account Interest Credited
Begin Number Interest Interest MTD
Date Balance of Days Rate Accrued Accrued PAID
01/01/15 $ 2,828,570.06 0.0100 $ 24.03 $ 24.03 $ 24.03
Total Interest Income $24.03
Insured De. osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $2,828,570.06
01/30/15 01/30/15 Received Interest: Insured $ 21.92 2,828,591.98
Deposit Account
01/30/15 01/30/15 Received Interest: Insured 2.10 2,828,594.08
Deposit Account
Closing Balance $2,828,594.08
TD Bank NA $247,500.00
TD Bank USA NA $2,581,094.08
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage acccuu are FDIC-insured up to applicable limits and held by TD Bank. N.A. or TO Bank USA. N.A.. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIPC) protection aepacable to your brokerage account.
CONFIDENTIAL SDNY_GM_00011799
page 3 013
EFTA 00122450
EFTA01267929

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SDNY_GM_00011B OO
EFTA 00122451
EFTA01267930

Terms and Conditions
STATEMENT GUIDE
IL /cc ,i.Ø prandes morshy Ponk® Rococo; lor accoums yam actrerty and quanerly topons h Me even Ot a bekoopt insoirency. a dient my realivetern~ts due KOM the Mede P an eico brochure mal nados intonnabon desolang FINRA9 Pit® Cbsclasuro
'a maa.,* accounts wel asselst rit bariedgcY and ma SEC. Seademental covorago is pad out ni th° trustee and Program. clean Contact FINRAM 0304894999 Of wimv.tirinIMO.
Portfolio Summary: DOW Ile Ourrent «Me d >Mto 000010 es Of the repOrt dele and SIPC Dayans ard uncor such canna° each clan es timend to a ccalbrrod return ot
~yes ij to pre prior nionlh.8 The Met ellaagen MOM, yeti( betitel° divergnalion by 3152 malen trom e trustee. SIPC end tonden insmers The TO Antedlrade lopplentental "Uw inwoei rato Loen lor TO Amor/fade Cash is laken hom lbo appicade entecost rato ter lor
inyearnert type coverage bas an aggromue Ma el 550) molton amor ab aistamers. TMs polcy branden the Merkel Mdue baton® n dm TI) AmereadeCarth. M Ot® olate em ebsing date Simple
taverne tollening bcOkaage insehincy ord does nel pond (Molmt lese in mand val» irterest r. xcnx.t1 dan/ basod on the interest rato ter amicale toodd. dofs Ulanen
MMO* abcatcres under 5% ES be grouccd enk, trio calegory ol-Omer' in en po chart. Man., ot mo socuribas
Emily - Tott Account EguibriTotal LOng Nagloeit Mbo • Total Short gakte) Finandal Statement Nonlicallon: The mammae ol Eancrol cond~ lor TO Omondado
invomment by a money mtetel lund is net ineured Or pereneed by Me Fedd ~tabla tvice a year and may be obrened al no cast via me intomen el
Actinty Summary: Tim opening and doling cash Manco: am reconcled here lor year clinch Deense Insuranar Corporabon (FOICI er any orrer ~imam agent), Mbough !ho Marice‘writittamontradecomunanciablammonintrn.
re!egeico N acc-zuni acunty es sunnyanzed lor me curieus pand and year to dato_ fund: Beek 10 petsen the valla d yeti irmealment el 51 00 p« Share. 4 b posebb 10
inca® 4. Exponeer Summary inenarts only): Ibis sedan dolrob the inoome ard *mensa Mee morty by invoegen in a money makel kind. DMaleds are nadeed day end OptIon Marmert!: Al alten armry odeon pasnone and some indom ophan postbons aro
totall trem We AttisAy Sommen and demirin the lex IrealMent. pactromestod moridy. TM pn:cpcdus contans Oss ard pØ impanart domwaas name ier ~ramen' Emmen anignmenl naten /Or evey sa «Wen opeens are fendOmly
Reen:ment Account ~uni (IRA, orry): Acnes Irr IAS roanotod transaceons for Mc Reed the eminente Carehiltr berore invygng. Non depotril invedments held te your alocaled aflang all cbantS shon postraa by an attl0Mated procent/e.
turart ard aa >mam IRS FOMY 5498 Fair manrat val® is baad on te weed robe aa of boker dealer are NOT FDIC NSURED f NOT BANK GUN:LONTEN)? MAY LOSE VALDE.
December 31 d en poreus yoar ard en bo turn:had to en Mem) Revenue Same. Free Credit Barman (Rul 15c34 A 3): Under me dom promotion (Mos, we may uso tree
l ~ o o ss n ` n : b e r t y .® ou r S a u l m lur m o a n r e y: m M e on n i ® to ! r s y t o ra u t r o a g n y. n al polk® perlormanee and Pm inca:Men gans end c T a A n B t b e al a liq n u s i e d a n tc y d a o n b y a o n u k r o 0 r 0 de 0 r 9 , a 1 n a d c c M C a u r p il m O o r c S ie h d a s r m e u d r m yo e u l r l o ~ y n a e m t e M rec e t r i k e e o l s rn m d o iM m il e n su t n o d r b on e d d i a l b n e k la t n . de ir yOur *Meun n the editen case ol out boem® which are perable to tau
Account Poelbone: New you mosemoms l en current marka vabo and corrparo the omina) ambt® bynu
ost to me imealoed peins and loeres n your porgol0 Original coat ia esogned usng Ibe Marge Accounts (llegulattonT):11you have a magen acoauni. ma report es a combnawn ol
i e r r a at m lb . r o in t c -o ol u im t ( a F l I e F d O n I e m s e t l m no o c r l. d n e e t n e o n a m a e a 2 n m an a d t E m m e a o na e l M c a as m t s p > e d r u s S h e a l r e e i a e r e lb 0 d 5 in 0 g y a o y u e p d jr l c o h r e y s o e u d r s Ta u s r R cp O a X r W eg In n g : o Th x e r p p l e a n -c b e it ) m e b p a E l S e n w e h l a ir o la w r n OO ts M C M r ( i V d 4 u d W os o W w a il n M t O re M n F . e rm d r 1 o 0 l 3 in 9 d lo s r . a c r a n p a ® l n YO ik U s r " a t n ra d i r n s a no a t m :n « u a l® rd l a o r s a p l e l i l n a v e m s e to m rs o . r a A r d c o o m m p m le o t° m le « t o T t r a th d e n g ri s o k n s m as a :o a m n b p la o d se w s i e lt d , d m l o io rg n e e n l
m AC e C re O n un ® t A Il e te li d °k ly ie : s A t m l W oc o h o t d e < n e d c e l l M e e ly M ia d a e m er b t/ r d a e n in a e d n e . m te e le n d o i r n y o d g a a t e h O ui r z d in e g r, a se r d d ® re ) g . enen n the M {.* t * o . l r a e n ls l z e t o Ø a . c ri ater a e n c d h w un ie t l s a b r n o m c o e n e s rb . l. SOM 0,80.1.03 we anten lo reclassikelOn ishkri b do e c d u o m e e i n s t b ° y M o a on d m e e t i i n n g F u ee s e m l a elle rg r r n i r lm ek b e d . is ts d l o e s d u o re n p d a o g c e u ~ m o en t t Y p O u u t e sl n e t t / e ta en a t n . a copy d ms
m Ø O e c T e b m n s . d a l « i n s ® n D . t g • a a , C p t a P a a s i a n s t * o n h v m d b a i S a n r r d e l g e a a r f r v S o c 0 i r l e c ) i n o e . t n t n s le g s T m w p r e o a s n n m b o t: o d a C r . t e o i n O l n l d e f n i c u r t m d D e n d e y g t n e a d i c m l: h e e G e t c a A e k a c n . n c d d o m e u ® b n a i t n t l r A p a c c d a e t e r u n d e n r a e y w n n s e d b a t r b A a a o n T s s n M t e a n n a t o e / d o k m e t n m e s m n M o . t a a d a r l e e O l e ', m s d r t e a ie e d d r i n m ø s a d n i a n it t g o o ~ C c n co a o e a r a d p e r t a d e B t n e ® / a y d s a c e n l b : d P y C e t b o C o d m ~ n O t m m I a a h n y l e l a t k d , m j e t t m r a d E m e , c O i l u T e n m R t i k ) m a E ~ n 1 E e m d D l D o e p a n m a 1 a ® k e 1 r r r ) d t t m r M o d a c a m l d a e ta e a p t n s r r c o ® o I x n b o a e r i i s d r n r g a n C r i a o d a n i l t M i a p G C o m o C r n e b E M b o P b o : C ® p I E a : P E * i E a z te m e D t e o d t r e e i s l t l d r t i O d p d A d r o n y a n i n l e e d t r l a o P t o e h N c a r c e c d e y e d m e e e n l e n e e c t n s d n a c g t s u m c h l r o o a a e m p f r n c k a p c e h O y y a e m r s l m d s g . e a e r O n a e b r d t h o . r F o d a n M s lo e r . i l w a ® s o W d r e ( o a d S d r t o E t e d p e m C e m o n a s . o p t l t e u T r o r e q O b s n a e t A ( t d M e O m o 6 r r a m e 0 a t d r 6 y t n a e r r a e n r e a n d e C a n d p o t e x a i a O 6 n d t l 0 e s s n e 7 ° r s r d s ) m s : i i o n ' I s ) a n u c M y C l n s o r o e o u t a m a m n e a e p n * a m e s c r M n d c e r s c o c a a u ~ u t r m i s m o b d n m n i o e u i a n s s o n ° a t i r s d c n e a e l m u m l t s o ® . b r M * T r o o t a O e o r r d l d d a m A e e e x < T e r ' d O C d I r b t o e t f a o w t n t r t a M p t n e d e t g e n o 0 r
OS. Cash Services Surnmary:Crolt ard de® transmeon totals lor lbo turtom statement algin and Ongans Account Agreements: Pandt/ arEsol0 Amontrade n ~Ina ot oxecuson a: wimv.idarrutradacom A yondencopy is aralade Loco rozpest.
retiOnag EOa lbe summair®. Indhittal bankierene be not anY cnanyo in your investment dmxbros or *namat stuaban as thoy man to your
'Cue te monding actostments. en stermem ~als may nei *qua] S e ideman toltb. ~ cum ai mo a ° m M o a ut n en a o m l o O p u e n e t n a s g D re a e n m sa e n nt c s e d A i s su ~ m ta m b a l y a e . l cOmmissions and charge, neon® m II a es k e o n ur b p e ol s o ® cy . O Ø n n In 1 e l ° a b n ib e to ro p m o r to d e M c b e c te o l n « tr m ary u . g t e o n s e a le n c i t b th r e o k M as a , c d h a , l O e r r s ~ . n ar s d ma e v rt e o n e
rEtiltnaled Anne/ Intime end Esimated Annual Yield wikten, a e baad upon Ibe nuMber of ernproyement en marde ordas. Pnco noem:mamis avanablouder pron nareel condbans.
slums erend or avrom mbo balanse as ot the stalemom dale and lbo rost mant duidend Ons Makel Prime: Irae maket wauw ot scones nake bos Wanen. d ~bb kom and eo regulary monter execumn: to tost lor svir emprommont t ayalatio.
mie Or Cash Pekt ~1004 godtan seriøse ad Oer ~penden( wees Vake am Woed On Ile doleg oe* me
mecn beman mo bd ad arkng paces. ««ber ment. I no raket rakte is matte bom a Trede COMIrmilleint (Rule100-10):MI conlonalions are Stemmige* On Ree InanUraien date
GENERAL INFORMATION opdeden Enk» a Oh« independent »fl. be Emily is tioNed b beng
~Prooi CAP). The slu your ~don:pan are prairded as mond inkmmon ad Toon: Trantdolons in kraan seOurides (indidnO laaien 00^9M0Y ADM Inst Ede in En
ID Omen:rade does not provile legal or las ~oe. Ploos* consult your lagt advaor or lax vu dd qua/2Mo Me aurery dry amuses aces. Itoxpeo bocturd postons ar o Mooi U.8) mar include tams ard loos~ by tin hegn ma!~ er governments. vAlch may
*Meurt/nl Men neCealary. A8 ti anodero inCleby praCt00. "ne COrarenekna May be ~g the meting banco ad ne onaf meen OM Panne Kamt vek eions mey nel be malen in Ine coke ol Ine Meurt Of ~MS Man asclesendern sne item
re0Ortied br uthy InnIrd and kansattion venralm Dorens®. mama/ svs prococcb, The weiday maikel la G:Rhea:as ca Coposts (CDs) n acrocaty
40t4 and ere adat wake mor be Otteml kern thepschese Voc Asaptecrt lossel Sivn4el Pfh em POlity 1401ilkallon: A capy el the TO Ameitracb ahraty Delte is aseabse al
For TD Amentrade tessononal clans. your adasor Mm es separate trom and not ontwind wat may rooit toe to solo el a CD dor ta inarty. Bads maa Fred ~ba Secundo inde wavr.Pamcgindacom
TD Amornrada. Inc. er TD Arratrado Clearna, Inc., ard *ach h'm is nat responstlo la Me Oferomy am miory sauna and dd trade ces a kwel *wennen Rina km aan me
PreteMs end ',Mees 01 lbo ahoir. OM Wet Me munt® ~Mand efident bouder rttlYnd net b lou »teil aur ~maa Castte Seadlies: The alocation ol pogo redemmonsa ølte is dane vang a aansla Itetmy
to rnmety.lho sak el brat pncr le rfuturty r,i men n a Icas ermapd. melem. A coscnotion ol mo meedoe, for SIS» &WIM»: is avalább *n to roeide or hard
Acceracy of Repons: h you bind any errors or omissie:ins In voeg accouM statement you cond are munitie won ifemard.
enceld immadlaudy colt us et the rimboe listen Oe page ome or your trelinene You Non Aanaard Assen OMA) am tracaly ammencrts n dros pancpann program securtes
thould aso contact our Clearing rem, TD Mneritrede Clearing, Inc. el 800-669-9/00. patixfstms. ImudItibtryccmpanco. cv red irtato rees:more troon cownzety pools. anwb M Case 01 mas Or grotoa sba11 your EIK*Onn Fund Trandera, MEN CO lad 8 81
eguty. edele deel ledere inch. NS.46 se hpOrM Houd eneelmeve ad de net inide en a 1.~ 669.3960, ot n tVr 409 to P,O. Box 2209. Omaler. NE 68103. or by email
Please renen mc statenterm earCAlly. 11 you dragee* mal any transacton, or d Mae am any nson.1 secuur>: @change er MettrAaq Stock ~a The duns Man la mime rosebets dianeerviankblekEentradeCem Te W6Ormaten cOntabed n >mui *scant statement shag
en» a onessiont. Masse rotly a Grient Services represeMethe a yOu bal Winch «ce. as are demi& mkos En.® kern ,orlosi ~NOK an~. bui na linawl le independent be koning ups yes il you do not °Neet wthn may Mei days lor any !fanater or lurds Woed
wel as 10 Omarmde Clean-g. Ine, in wrang norm ton (10) days el ycar recept or cha opwaai& de pronves rot zat. ander ervd pangander drom tut had boon proMed by to Acgdabon E, toch as ATM and pont drab traden, ne® van:odeons. direct daxisets.
statement Am dei nalements Ihet you hare nede to us shOdd be COMmten in vesting The en maragorrert. wwinuraw.andLer spa-der d °ach per" ab/ a bidp aty nader ntliout and wilhOtiongti We Must heer kom you ro later Man 60 Wo ener we sent yOu The FEST
statement aai «hem® be conaidered condrahm. in<koendeM ~talen by ID galde mei nol Mg« the annal psNase pace, statoment on Mina the error or problem ai:boa/cd.
Ø moed duo « be roleb men aasaagt. t ay ooms® yam card be ettabbhed (I) Tell us yOur rente and account ~ter
Fletse nolfy n prompity 01 any charges in vet, cOnleci inhaalden. Tranneelions reeeeled on OVOugh tem melhods. me Mud® mar be redenen es NOr•Pited CNV; Fa ~had dna (2) Ootcrto the ener or tho :rondo/ you aro unsuro Øk ard inplan as neon, as you can
your repon wil be concbsemlydatmed aco.trato wee= you nooly TD Arnatradoirrerraddety. nagarang wam® la ~Stardaml kram. Mcme amict Clan Seneca These rnesmorts wby you bolave d is an error or why you MMO (We inlormation.
se na mand under a0Ø (3) Teil us Me dollar mam or the suspeded ener.
Account Prolectbn: Deposits held by TO Bank. NA ard TD Bank USA. N,A., aro nsured by Wo wil mastpar* your °omplant and wil carnet any error prompity. II wo take more man ID
Ts FDIC (nel Over® by SIPC) up 10 2250.030. Umels WO per aCtOuni ~erft» Per Aden Ado Smurf= (ARSD Ping: m@ makel~ la AAS socureoshmo ban~ med. business gys led Ms, se wil eredl yeti aCcáid br Me amaril yOu Mink is in eraanME
MONS® TO leem mare (tag FDIC COyerage 00 10 *New ICIC/a0v. SeCulled. indoet® dinebde. komgaat® Enken or oter ~penden( eaxcM The Way el Me prang is nol you wil have ob uso ol the money donna en trottoir= us tocon:om our mele gaten,
"dop runde, held in 00 Breton® ACCOunt are red den0SAIS Or obigations el. or 5...aantast na massa ~ob na araláab. TD Morin® MI poco tto SAS pcston.talrg nb
guwanteed by, any bank. Ø not FOIC.instred. and envohe envestmont ddrs. includng *anderamn bot Pb Nuely aG undotog amk Quay. le ME merkel d corrordy
posstre loss ol pbripal, TD Amenkade is a momber ol Ø &nuntii: incest« Maatton ~Mag stack el Sally and. na ~A Mae an be no omver® dial wen emeurbes am
Corporalion (SEC,. which praeds secunbes astomers el els menbers up lo 5500.000 to sold ader ons ~uk ccriatcre. AMTD 150 07n4
(indocling S250.000 lor darm bi cash). Explanatory brochure es aeagable m request d
REGULATORY DISCLOSURES
wmtalm.a9.
Addlbonagy. TO Amarant, prOndin eed) Clen1 $149.5 mlbon worth 01 Dolend® tor All :nasa:bons aro 'traject to p) me consmubon. NOS. rondo:ons amore and utages
SeCudlieti end 32 milde ot Weden lor can Inrcuph SupOlemental °omgaan CgOelded by Of Me exchange or merkel. and in deangtrouse. il any. on weter inch tranaMbens ere
London Marina e Ex tm aal: rat Ideral lam. enctuann me Secunters Act el 1933 and tho S l « e u S r a te n s d SDNY_GM_00011801
r crunMEINft oefond et Ma
p
EFTA_00122452
EFTA01267931

Statement Reporting Period:
1D Ameritrade
02/01/15 - 02/28/15
800.669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
PO 80X 2209 ST THOMAS. VI 00802-1348
OMAHA, NE 68103-2209
TD Amer'Made Clearing. Inc.. Member SIPC
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ • S • $ -
Insrd Dep Acct (IDA) 2,966,515.29 2,828,594.08 137.92 t21 4.9% 0.01%
Money Market
Short Balance
Stocks 80,857.81 340,903.60 (260.045.79) (76.3)%
Short Stocks
Fixed Income
Options 5.75 (5.75) (100.0)%
Short Options
Mutual Funds
Other
Total $3.047,373.10 $3,169.503.43 ($122,130.33) (3.9)% $ 0.00 0.0°O 97.3%
Margin Equity 100.0%
Cash Activi Summa Income & Ex .ense Summa Performance Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance $ 0.00 $ - Income Cost Basis As Of - 02/28/15 " $179,778.31
Securities Purchased Dividends S $ - Unrealized Gains
Securities Sold 137.898.83 137,898.83 Interest Unrealized Losses (98,920.50)
Funds Deposited Other Funds Deposited/(Disbursed)'
Funds Disbursed Expense Income/(Expense)"°
Income Interest Securities Received/(Delivered)"a 0.00
Expense Fees 'Tor cost-basis Information. refer to vrawtclamerltracte.com
Other (137,898.83) (137,898.83) Other
Closing Balance $0.00 $0.00 Net $0.00 $0.00 $0.00
SDNY_GM_0001 1802
CONFIDENTIAL
paget of 5
EFTA_00122453
EFTA01267932

Statement for Account # 867-730320
02/01/15 - 02/28/15
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 22.38 $ 46.40
'This section displays current and year to date taxation values for U.S account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dmaends). The year to date totals will accuratehr reflect your cumulative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.013 $ 0.01 08/05/14 $ 0.22 $ 0.22 $ (0.21) $ -
INC
COM
TRANSGENOMIC INC TBIO 46,470 1.74 80,857.80 05/14/14 179,778.09 3.87 (98,920.29)
COM
Total Stocks $80,857.81 $179,778.31 $(98,920.50) $0.00 0.0%
Total Margin Account $80,857.81 $179,778.31 $(98,920.50) $0.00 0.0%
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity Description CUSIP Quantity Price Amount Balance
Opening Balance $ 0.00
02/06/15 02/11/15 Margin Sell - Securities Sold PLASMATECH PTBI 100- $ 3.21 $ 314.99 314.99
BIOPHARMACEUTICALS
COM
Commission 6.00
Regulatory Fee 0.01
02/06/15 02/11/15 Margin Sell - Securities Sold PLASMATECH PTBI 400- 3.20 1,279.97 1,594.96
BIOPHARMACEUTICALS
COM
Regulatory Fee 0.03
SDNY_GM_00011803
CONFIDENTIAL
page 2 of 5
EFTA_00I 2245,1
EFTA01267933

Statement for Account # 867-730320
02/01/15 - 02/28/15
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
02/06/15 02/11/15 Margin Sell - Securities Sold PLASMATECH PTBI 300- 3.19 956.97 2.55193
BIOPHARMACEUTICALS
COM
Regulatory Fee 0.03
02/06/15 02/11/15 Margin Sell - Securities Sold PLASMATECH PTBI 6.470- 3.17 20.509.44 23.06137
BIOPHARMACEUTICALS
COM
Regulatory Fee 0.46
02/06/15 02/11/15 Margin Sell - Securities Sold TRANSGENOMIC INC TBIO 15.000- 3.05 45,742.98 68,804.35
COM
Commission 6.00
Regulatory Fee 1.02
02/06/15 02/11/15 Margin Sell - Securities Sold TRANSGENOMIC INC TBIO 7.000- 3.07 21,483.52 90,287.87
COM
Commission 6.00
Regulatory Fee 0.48
02/06/15 02/11/15 Margin Sell - Securities Sold TRANSGENOMIC INC TBIO 100- 2.87 280.99 90,568.86
COM
Commission 6.00
Regulatory Fee 0.01
02/06/15 02/11/15 Margin Sell - Securities Sold TRANSGENOMIC INC TBIO 9.900- 2.85 28.214.37 118,783.23
COM
Regulatory Fee 0.63
02/06/15 02/11/15 Margin Sell - Securities Sold TRANSGENOMIC INC TBIO 100- 2.94 287.99 119,071.22
COM
Commission 6.00
Regulatory Fee 0.01
02/06/5 02/11/15 Margin Sell - Securities Sold TRANSGENOMIC INC TBIO 100- 2.93 292.99 119,364.21
COM
Regulatory Fee 0.01
02/06/15 02/11/15 Margin Sell - Securities Sold TRANSGENOMIC INC TBIO 200- 2.95 583.98 119,948.19
COM
Commission 6.00
Regulatory Fee 0.02
02/06/15 02/11/15 Margin Sell - Securities Sold TRANSGENOMIC INC TBIO 500• 2.94 1.469.96 121.418.15
COM
Regulatory Fee 0.04
SDNY_GM_00011804
CONFIDENTIAL
page 3 of 5
EFTA_00122455
EFTA01267934

Statement for Account # 867-730320
02/01/15 - 02/28/15
Account Activit
Trade Settle Acct Transaction! Symbol,
Date Date Type Cash Activity' Description CUSP Quantity Price Amount Balance
02/06/15 02/11/15 Margin Sell - Securities Sold TRANSGENOMIC INC TWO 200- 2.9301 586.00 122,004.15
COM
Regulatory Fee 0.02
02/06/15 02/11/15 Margin Sell - Securities Sold TRANSGENOMIC INC I WO 2,000- 2.93 5,859.87 127,864.02
COM
Regulatory Fee 0.13
02/06/15 02/11/15 Margin Sell - Securities Sold TRANSGENOMIC INC I WO 300- 2.92 875.98 128,740.00
COM
Regulatory Fee 0.02
02/06/15 02/11/15 Margin Sell - Securities Sold TRANSGENOMIC INC I WO 400- 2.91 1,163.97 129,903.97
COM
Regulatory Fee 0.03
02/06/15 02/11/15 Margin Sell - Securities Sold TRANSGENOMIC INC I WO 800- 2.9001 2,320.02 132,223.99
COM
Regulatory Fee 0.06
02/06/15 02/11/15 Margin Sell - Securities Sold TRANSGENOMIC INC TBIO 200• 2.90 579.98 132,803.97
COM
Regulatory Fee 0.02
02/06/15 02/11/15 Margin Sell - Securities Sold TRANSGENOMIC INC TBIO 100- 2.91 284.99 133,088.96
COM
Commission 6.00
Regulatory Fee 0.01
02/06/15 02/11/15 Margin Sell - Securities Sold TRANSGENOMIC INC TBIO 100- 2.90 289.99 133,378.95
COM
Regulatory Fee 0.01
02/06/15 02/11/15 Margin Sell - Securities Sold TRANSGENOMIC INC TBIO 1,577- 2.87 4.519.88 137,898.83
COM
Commission 6.00
Regulatory Fee 0.11
02/11/15 02/11/15 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (137,898.83) 0.00
DEPOSIT ACCOUNT
02/23/15 02/23/15 Margin Delivered Other CORINTHIAN COLLEGES INC 575- 0.00 0.00
COCO Feb 20 15 1.0 C
EXPIRATION
Closing Balance 0.00
'For Cash Activtly totals, refer to the Cash Acunty Summary on page one of your statement.
CONFIDENTIAL SDNY_GM_00011805
page 4 o15
EFTA 00122456
EFTA01267935

Statement for Account # 867-730320
02/01/15 - 02/28/15
Insured De • osit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
02/01/15 $ 2,828,594.08 10 0.0100 $ 7.75 $ 7.75 $ -
02/11/15 2 966 492.91 18 0.0100 14.63 22.38 22.38
Total Interest Income $22.38
Insured De. osit Account Active
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $2,828,594.08
02/11/15 02/11/15 Received FDIC INSURED DEPOSIT ACCOUNT $ 137,898.83 2,966,492.91
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
02/27/15 02/27/15 Received Interest: Insured 20.48 2,966,513.39
Deposit Account
02/27/15 02/27/15 Received Interest: Insured 1.90 2,966,515.29
Deposit Account
Closing Balance $2,966,515.29
TD Bank NA $247,500.00
TD Bank USA NA $2,719,015.29
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by TD Bank. N.A. or TO Bank USA. N.A.. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIPC) protection appticable to your brokerage account.
CONFIDENTIAL SDNY_GM_0001 1806
page 5 of 5
EFTA_00122457
EFTA01267936

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SDNY_GM_000118 07
EFTA_G0I 22458
EFTA01267937

Terms and Conditions
STATEMENT GUIDE
IL Ar stroeb aardes mortel,. Foreklio Amons lor aocoums wth acverty and quanedy toeans lt Me «Pol 01 a aderend ineolrency. a Clan may realbeeMOunts due trom the Posten For an investor brochuo Mal encbcles informabon desaliang FINAM Pusht Thsclesuro
ta omase accounts tutti asels.' In nardouldnY and mon SIPC. Pocolonental omorago is pad out dier nve trustee and Program. plees° contact FINRA at 030-289.9?99 or wymtiva01.
Portfolio Symfonie,: DOM Ilro Correct «Poe d >Por p00010 es Of the repro dele end SIPC payouts ard Lader such coyotes@ each den es limiled to a temend return ot
~paren n to me prior monlha The Ebt elPoaliOn Meelt, yOur 00010 divendealion by 5152 mniOn Ironie Poelet. SIPC and London in/koers The TO Anteribade Supplanenlel Om inwiest Ø Luen tor TO Amertrade Cash is laken lom Om applcatlis minst rato eer lor
invesimert type navenant bas an aggrogale hm el 550) muon amt as cum:mors. ins polcy taande: th, Makel VON, balace ~TO Amen:rede Carlh. as 01m e delement °Man) dele Simple
Cerevage lotkraing Weswege ineohincy enddoes nOl proleet Poenale» in merkel neb, modest es acnxd dar, base, on the interest rato sa opdraai> to oach days Liane°.
MAM* dboateres under 5% enk be grouped mto thocampory ol toear in tho po chan. Mar dem securnos
Essay - Total Account Ertuib<Froiel Long Maginable Vekte • Total Short Velde) Inname:d Statement Noldbation: The mammae ol atonaal condten lor TO OmonIrado
inveteMent h a money martel Fond ia nol ineured Or gardreeed by Me Federtd ~lede Wee a year and mey be obtentcl al nO ceel. vie Me intomen el
Actrvity Sumarry: Ine opening and doling cash blanca dro reconoted hete lor year aak erepost Insuranar Corporation (F010 a any oma government agent,. Mimi.", 010 Mar.stwortectonentradeoonslinanctabiatemonthrn.
relerosce At account tinnry es sunntanzed lor Me (urgen pand and year to dato_ eUrldS bek 10 posene the valle d yOur imealment al 51 0) p« gure. 4 b pOsebb 10
boom* a Exponeer Summary (nendEAs only): Ibis seroen adat ene mama ard amensa lOtte moro'/ by inmeng n a money merkel kind. (badende eie Mand dely end °neon AssIgnment: MI short onerty ogion canons and same index oom ponbons are
Ixait trom the Sant Summa>, and ePonales the las IrealMent pactrantestod merdy. Tno pntopedos contans des ard odia important dormalon ~Mae lor essignment brede assignintm races to' Nut., or index options ere rendont'
Rebnsment Account Surnmary ORM only): Redes Om IRS reculatod transaceons for lbo Reed the aanmars abrecify Won ~Ong. NOndePollil invettmente held b/ your alocated aflang alldorde shon pontons try an atomlad praatte.
curert ad aa nam IRS Form 5498 Ier Modi« vak* ie band On Me sonant nakie aa or boker dealer We NOT FDIC ItISURED t NOT BANK GUAfteNTEED r MAT LOSE VALDE.
Doorns« 31 ot tho panui yoar ard tur be furrishod tome hierna Revenu° Sance. Free Credit ~annex "Ie 154-2 0 3): Under mo om promotion nets. wo may usa free
l P o a s d s o a n . n *o a r n y c o e u S r l u u m tu m ro a r r o y e :M :t o r n o it m or s > t o ra o t r e o g m y, w al portfolio Postament, eid Ihe ineen/cd gaine and c T a h n e t b o a l l e o n s ° b , o i, n y d o o u n r b y a o n u k r o d r e d p e e r n . d a n e d C C M O e .e c d m O o f r t i i e h d tu s e r S a t d u rn 'M ad u f l o M w ON a S r , s m cc a u k re e e l s o r a d c u co l u n fu t n o d r C on re d di o t r b h a e a id n . eb h yOur account n IN Ordner>, none ol cm boenen whkh en> melde to yOu
Account PositIons: View your rnostrnonts l mo current marka yam ard corrporo the oognel remn's byta
cad to vee irweeked geine and Poses n your pordol0 Originel coel is esagned uling 'he Margin Aecourds (RopulallonT): H you have a margin account. ms report d a combnaton cd
b tr a a b a D . m nr a a to a u n l ( b FI i F d O e ) r m tro e s th tm o a d r . d w e e n ie c n o m as e s 2 u a m n e d e ~ m r e a li g re e ' s c h a a s r t e p , > e P r o s s h e ar t e e r a e r e M o d e on s d y a o y u e p d u l r o c r h a y s o e u d r T tm as D ~ a e a n n g : e . o Th x e rp a la n m d e t w b il a t n E S if M ra a c l e e m r P i o s o r i n n e d n u t d e Y s o u t a e0 b r an ro ke d e FO n r m b o 1 d 0 e 3 9 t. b « P P o o e e n l n yt o r k e , n a e nd o n d O n C o C l O ru Ur r il a a l r e d e lo r W a e ll e i k n t v ] ~ es e to t r e s. n A d c " o mp a l c e o t* b l n a t t c T 4 r a th d e n g ri s o k n s m a e n n o g m n a p li o e s , e tu s n e n d m dl a io n n n a in l
m Ac ie C r O /a u c n e t A W e e t e h « il P y: o A l p l S at i h d o a s r ° t e da cI t M e e ly i i l a o d m e n er b t/ r d e e n lb rd e e d e . I h e o le n « 0 i 1 n y O ou M h o O l r d d e e i r g . P e e n d d 0 r C e 1 l . l eded n me S w e il i t e o . r l e au n w :d ~ o 1 l a t mix e o n c d r e x r r o t s to p r r r o e c c e c n d te s n Sone mimeria ere subject 10 redessnailOn nbds b do e c d u o m e e i n s t b m y a co a n g le ° e l i i n n g m ti e e e m l a m r a g e v a r n e h k e d r i S a e b le e ct t e o n n p c a l g a e v n en e e n o t l Y ro O e u r m st e a y te o m b e ta n i t n e copy or Ms
m Ø O d d T o M a n s . e O n r n s D o s n ta e ; . t c t G n % a a s e n s o e S o h t l m r t W i a n S n l r e e e s e n a r p P v C c o i t o c e r io t t e . i t n n l s e g s T n t p i r s d a o in n n b l n d : o C c . r e l o i m O l n le d f n i c r u t m e d d n y g n o u c m h e e C e m c a A k s O c . h c d r o m e o u d e n a n t n t r A n e c c a d e v r e n d m s r a e y e n n n t d o n I n m M w e o l I a s n A 8 e C n n a M e c e S b u m W r m n e y o M n . m a a d r s l e e . C t e ' l , e s a a ta l r l e e d d ! e m C n k o d a n a i n n t e g o ~ M O c b o A A i M t n .V a N e e y n n l y e e e e t n h l b d e y t C m e a o C r : e W a O n t E e 1 a c e e r h n y m ti C s l d m t . C e c t t a a d h n P s e . w O i M I n D t R h t k S m a A n T 1 m e d E 1 l o ) o D D a n n m ) a a a T e t n o I e n ) d n r a e d e a a d n n d t e a a = l p t a s r c o d e k P p e id o o n e r is i d n e g n C n o a t a n r d l e t p e p G r C e o u r O i n e d R : o t k n m P a e O p i t e l M e a r n I E a w te r D e d ' e a W r r e a s e t 1 a b n P d r d i o o t y t a r n a - o o e le r t l r o s P f s e o e h x a c r l a e e e y e r m i m c n e g t r a n e o e c n d s n a c g t s u m o h l o i r e e t e m p C r s n a p t c O h y a a y m r s s M d r s . e a e a Ø n e r b a t t . o F s t n b e lo n l w a e W » d r o ( e o C S c r le o t E d p n i m o C e : o n c p a s . e R o l t e T n n e r g O g e d s n u e c A ( t s t 5 a e t m 1 6 e n l t 0 a t r o o r y 6 t e k n r e n a a m a a t d n f l n e e d o a y t a n i n 6 . O l t t s 0 s h e n o 7 e s n d ) m o : & e i s I e a n l O c u y C l s e e n r e o u n t a m m a n e a g p o n a m e n c r O n d e r t i c c o c a u a u b b m t r r a o e i p b n s r n o e d t i u a s n s n e I a s i r c s n a p e e t I l a n s e o ll . y e n M r T r o e o l O e a r r Ø d n k m A e e te r e r l n o d C o l r r a o / t e a t o L i a l r l a m t p e n d e t n o g o e r
Onbne Cash Services Sunmwy: Credt ard dabt transactien mats lor mo arrom statement Porgin and Options Account Agreements: Promo,/ aPosol0 Amenirado n meng ot *zoen!~ at wrAvidarrirtrado_com. A ventten copy is avoratle apen roXpett.
rePOnag gradOCIrre summerized. InditiCkel neonataal, eie rotlias. arry deango re your invemment clarcuyos or inarcial stuaren as they man to your
'Je to !tanding oaustments. mo stroman detals may nei apal me statement totals. ~ w M ei i s n n O o r x 0 cr 0 ou 1 tb ~ an 8 o 0 l 0 o 0 p u e n e t n a s g n re a e s r a n : e e n e is n s A i s su ~ m M nb a ay e O . r amminions and charge, ineuned ~ h k es e o f u t r P p o e n nn d y . O a n b s M en e t' P (W a il r ly i o t r o d e a rs a r to d e ln o b e a d n t e ra re r c y s . m to o n s e a le n c d t b th r e ok h et a s l . e d ry o o 0 ie 1 r s s . e a e r li d n g ~ k e e ia i
telnleled Aan' Income end Eserroted Annuel bied vlakten are bets troon Ibe number ei ,Øvematen markt* orders. Poco improyetTentm aV311.1010 unief "han mantel condlsons.
slums coma) or avrom valuta balanca as ot ne statement dale ard mo non team draden:1 Oren Makel Poon: The molmt 'duet d somma ham bom Wand d eraan korn and wo regulary monter execulas to lest lat sten mormonen d as...Matte.
rele or cash Pekt pende() q".:10‘ sent» ad Oer roependen( acne Wim we Woed On Ob dovig aree me
ran beween me brd ad arltrq paces or ahoi re ces. t no marker tam n /Motie smia Trede COMIrmathenti (Ruin 11/0-10): MI contrmalions eie PereminedOn ihe Inanabbn dele.
GENERAL INFORMATION qadaiacn eend> tr Oh« indePoodent Mae. he sec" e Woed lo beng relected
Nul Pace Ce) Die dlu»dts cri your pct raat are Wan», os 90104, Intrrdlon ad Tem: Transactie", in beien sPourilen (nCluSnE bre4gn conelanY ADM Iltel Ira In *be
10 Omen:rade does not aarde legal or las ~ce. Plees* consul, your lepe aPosor or las to dom guramoo bb accuracy ct ave soorten pree:. Molair badrad postons aro mbo] U.S.) me/ rebel° exa ani lees chargod by tre, keer madam en governmenls. Wedt may
titCOurall venen neCesslery. As e standerd inCleby paden. plan COneenblens may be rang Po ~enne banco ad be om« merkel pico Pelde Kast kaldion my nei be rasled in Ute print Ol Me money Of cherged an Poepende« Ine Pon
nabetaal br Sally 00nInat and transaegOn vedrcelm OurpOste. manco, sake aam*. lbo teo:nday naad Ia Cotrodos d Oogst: (Ca) n generaly
ituud and the adat tute me, be dtiews aan Me ~me Vee MatlIcertitss Cl PPoPol Prancy Pormy Notilkillon: A copy of Me TO Amertrecb privacy DOleY ie anPoble el
For TO Amentrade rasebro al acre. ytre °Mes« hm es scparate from and not attbaled wit. mar rooit Pon Me :ab ol a CD par la rralsty Sext adb Ral Worm Securtes Wade waw.Pamegiradoeorn
TO Antentrade. Inc. te TO Armeren° °meng, Inc.. ard aan h'm es rot responsble la the dforomy mal oom sauna and tum rar <natelde accronse. Renet Ins/ waarin»
0100xle end senices Ol Me erher. OTC loer the °punten markt( and dirOtet louctryrntyrxt era ta tor »wil sour poelen picr Cao** Securbern The Oman el podia raemdtnsb calls is dane vang a proeft ketny
to rrauty. To vlo et tent 'mor to rrubsty ma/ rooJi n a las d renapol. mslem. A aoanption el mo proadres br Dankte secunins is avalabloon me ~Ma or haal
Acceracy of Reporls:11 you fInd any errors or omissie:ins In your accouM statement you «mies aro ~tabla twonicep.osi.
*houd immediatety con ve et tho omber had 00 page ome 01 your statement You Non Standard Assem OISAI aso typcaly ~remt ra droeg pastematon program sauma
*houd oho contact our Clearing Frm TD Amentrade Clearing, ro. el 800469-95100. gootrentms. Irtmodnielltycempana. er red MEM rriesron innen certrada pais. prude In Case Ol enorti er epestona abeel your ElearatiC Fund %Adem ',sekse co wei e ei
buty abele deel a eedpre Ø. N546 ere botdy houd mealmtas ad do not Inde el a 16606693900. ar n wrang to P.O. Box 2209, Omaha. NE 68103. or by emoe at
Please rcenew ms sialemoM c.iredity. Ir you dragee* wilt any tanndel ord Mae am any nanel mana behanger a ta Krom Stoa Wad Do 'duce dean ta mto mede :nis dieMeentiCE@KMMeritolde.COm The PoOnnaten cOnleined n sou( *aard statement shag
orde er (mene",. please roert, e Dient Services represeMelhe a you 1):81 Winch OPoe. es ere ~Ad takes dete d han orbe ~bolk Pokend bul nol Inbed Is ndependenl be bndng upen youil you do not ettci wthn sub LEE days lor any transfer d lurds si pa
wel as 10 Amairode Cleaneg. Ine. in wrong anno ton (10) days of war record ot th, appret:ah de proeyams rn =eb, and« tred party tonder aders tul ham boen prtmeed by se Rapiabon E. bal as MM and pont obrale tram," doen transactions. wat depeotts.
statement Arry oil statements Ihet you hem made to ui ~JO be CONPoted in writtsp The Me ~mora" ~maand* bader d ØIØ eb/ a thrdpaty vendu Milou! and dihdarnals We Must heer trom var ro teler Man 60 dan after we sent yOu Ine FEST
statement Wil «Ponem be considered conclehe. indgendeM ~esa by TI) noodde. Vatne mei nat raket pkt Øne raglan, pico. statoment en whchthe error or peetoom appeared.
smal mairi 'duo er be roalaxl man Inbidoacn an asemend ida cadet be esLablehed (I) Tell us lag rente and account ~Poer
Fletse natelt a prompity 01 any charter in yocr cOnteci inormation. Tranende% Meehad On *rough rose methode. Me Winden mto be reflected es NOnanced CNV) Fel eddlend Octet (2) Dolen» the error or Po trondor you are unsuro .l out. ard oxplan as dab, as you can
your rcpan wil be concbsepaydecomed aeontourdoss you noely TO Amenfadoirrenadatey. tombng tobben la Pon-Sudan:1 koe. Ome arm Clx Senatet These nossimerts wny you belgro ri is an error or why you nood note solormabon.
re net wand urda ro SIPC (3) Ted us Me dab, amodni of Ce suepected error.
Account Proleabn: erepoints held by TO Rank. NA ard TD Drek USA. N.A. aro resured by Wo wi, temmers* your °omplant and MI narent any error prompdy. H we lakei more man ID
me FDIC (ral COvered by SIPC) Up 10 $250.000. Emils are per arabist ormert110 per Aden lido Steunbeer/art Pang: Die motet~ Ia MS somma hom boen caaned. business days lo do thie. se wil redt your eccOuM br Ine *motet yin mink is n error. 40 Pot
iinett401. TO leem more etOut FDIC COverage go to twee IdCgOv. Seadharr. indoet® meld». trom chOtakneenbat er Wei Poepende« ~en The way cd ne pag is nos you wil have dr uso ol the rroneydunng tho tm* a takes us toean:Cao ourinvestoaten.
~krat bnp., held in 00 Ontlieten* ACCOunt are MI depOniti Or obligatione d. or ~amant Ha maag taboe rot matte. TD emeritaat sel pree Om IESpeolim.takrg ille
"'wantend by. any bank. aro not FOltenscrect and envoho envestmord d:as. ircludng ~dorden bot tm Rhea aG underbmg mek quaty. Wie SAS merkel is eurrenly
posstle loss ol princpal. TD Amen:rade is a momber ol Me &curettes Inval« Praatten tononbab e bak el Sally end. be wenk Mae an be ro esstrtrce mel toch scones an
Corporalion (51PC'). which prima: secunnes a-stomers of els manbars up lo 5500.000 to aa ader con, molmt codices. AUTO NO 07,14
(inlading 5250.000 lor dodo fez cash). Explanatory brochure is available on requal
REGULATORY DISCLOSURES
wAd.abc.ere.
TO Anedrap. URM«, eed, dell $149.5 melkion words ol prolection for AI Ponsaceons aro abject to p) me consmubon. Na, Condooms custard and laagt,
ileCuritieS and 52 ~ikon 01 IXONCIOn br cash ihreugh Supaementel coverden a0vided by or the exchange Of makel. and ie deemonouse. n en/. on grien toch lieneedan ere
London beurelt o E x s ecuted ui) fosfaat 4 lag:. o i u n n d c a r g iD ing O m e Secu m u rs A in c t ot 193 f 3 an on d d tho O S f «ur r te h: s SDNY_GM_0001 1808
EFTA_00122459
EFTA01267938

Statement Reporting Period:
1D Ameritrade
03/01/15 - 03/31/15
Statement for Account # 867-730320
800.669-3900 Announcements:
D TO IV A IS M IO E N R I O TR F A T D O E A MERITRADE INC S 6 A 1 O T 0 T U 0 N T R : H J E E E D R F H F N R O F E O IN Y K A E O N P T C S R IA T S E L S I L N T L E C 8-3 R TH ES E O TI U C R K C E E R T F A O P R E 8 .0 0 0 T M H I I S N V Y E O S U T R I N G G O -TO
PO BOX 2209 ST THOMAS. VI 00802.1348 AND TRADING. GET FRESH NEW MARKET
OMAHA, NE 68103-2209 INSIGHTS AND COMMENTARY FROM
TD Arne:grade Clearing. Inc.. Member SIPC TD AMERITRADE EVERY MARKET DAY.
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $ $ -
Insrd Dep Acct (IDA) 2,966,540.49 2,966,515.29 25.20 0.01%
Money Market Stocks
2.2%
Short Balance
Stocks 66,916.81 80,857.81 (13,941.00) (17.2)%
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
Total $3.033.457.30 S3.047.373.10 ($13.915.80) (0.5)% $ 0.00 0.0°O 97.8%
Margin Equity 100.0%
Cash Activi Summa Income & Ex .ense Summa Performance Summary
Non
Current YTD Reportable Reportable YTD
Opening Balance $ 0.00 $ Income Cost Basis As Of - 03/31/15 " $179,778.31
Securities Purchased Dividends S S - Unrealized Gains
Securities Sold 137,898.83 Interest Unrealized Losses (112,861.50)
Funds Deposited Other Funds Deposited/(Disbursed)YM
Funds Disbursed Expense Income/(Expense)"°
Income Interest Securities Received/(Delivered)"° 0.00
Expense Fees **For cost-basis Information. refer to www.tdamerittede.com
Other (137,898.83) Other
Closing Balance $0.00 $0.00 Net $0.00 $0.00 $0.00
SDNYC3MC0011809
CONFIDENTIAL
page 1 o13
EFT.A_00122-160
EFTA01267939

Statement for Account # 867-730320
03 01 15 - 03/31/15
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 25.20 $ 71.60
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date totals will &wrap*/ reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.0121 $0.01 08/05/14 $ 0.22 $ 0.22 $ (0.21) $ -
INC
COM
TRANSGENOMIC INC TBIO 46,470 1.44 66,916.80 05/14/14 179.778.09 3.87 (112,861.29)
COM
Total Stocks $86,916.81 $179,778.31 $(112,861.50) $0.00 0.0%
Total Margin Account $86,916.81 $179,778.31 $(112,861.50) $0.00 0.0%
Insured Deposit Account Interest Credited
Begin Number Interest Interest MTD MID
Date Balance of Days Rate Accrued Accrued PAID
03/01/15 $ 2,966,515.29 31 0.0100 $ 25.20 $ 25.20 $ 25.20
Total Interest Income $25.20
CONFIDENTIAL SDNY_GM_00011810
page 2 of 3
EFTA_00122461
EFTA01267940

Statement for Account # 867-730320
03 01 15 - 03 31 15
Insured De. osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $2,966,51529
03/31/15 03/31/15 Received Interest: Insured $ 23.10 2,966,538.39
Deposit Account
03/31/15 03/31/15 Received Interest: Insured 2.10 2,966,540.49
Deposit Account
Closing Balance $2,966,540.49
TD Bank NA $247,500.00
TD Bank USA NA $2,719,040.49
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by TD Bank. NA. or TD Bank USA. N.A.. or both. The IDA balances are not covered by the
Seamies Investor Protection Corporation (SIPC) protection apptucable to your brokerage account.
Important Information
Required Annual FINRA Information: FINRA maintains a toll-free public disclosure hotline where investors may call to request disclosable background information on any licensed broker
or broker-dealer. To call the hotline, dial 1.800.289.9999. FINRA also maintains an Internet web site where investors may obtain useful information concerning FINRA policies.
procedures and services. The web site can be accessed at www.finra.org. Additionally, FINRA has a brochure which describes the investor education and protection program. You may
request this brochure either through the FINRA web site or by calling the toll-free public disclosure hotline.
Certain purchases of Class A Mutual Funds may be eligible for a breakpoint discount on the sales charge. To learn more about breakpoint discounts, go to
http://www.finra.orgiindustry/issuestbreakpoints
CONFIDENTIAL SDNY_GM_00011811
page 3 of 3
EFTA_00122462
EFTA01267941

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SONY_GM_00011812
EFTA_00 122463
EFTA01267942

Terms and Conditions
STATEMENT GUIDE
It: nr.)iyacb prowdes morele. Porden° Report; lor aocoums with acverty and quanedy ropa' h Me enen Ot a ~ertoe ineolancy. a dam may reativetrmants due KOM the trustee For an investeer brocbute Mal incbclas informabon desueng FINAKs Prma Doel:aura
ta teade* accounts red anels.i en banduacY and men SIPC. Srmokniental oavorago a pad out dier mo trustee and Program. Oase contact Filtraat WO-289.929g or indliva012.
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corpora n to me prior month.a The aal elaabOn Mokt yOur p00010 diveneneation by 5152 malen kom e trustee. SIPC and London insurers The TO Anyerikade suppinnentel The lamst rato ~An ta TO Amortrade Cash a laken hom me oppcape irdecost rato ser lor
invesimert type coverago bas an aggregaat Urn ol 5500 muon lynx an cupamen. ins polcy prowdes Oe Merkel WO, baarste n te TO Amertrade Gab. as OIO» illetement casino date Simple
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Ribosoom Account Suennory (IRA, city): Raars Ob IPS racend:d transaceons for Inc Reed the prospectus dbrekny beat ~e ing. ben-0009M invedmend held b/ your aloCaled aflang alldoms' stal posnons by an a:Aanbied orde se.
derde ard pro nam IRS FOM1 5498 leir mark« rak» ie baad On Me omgoot vake aa or broker dealer We NOT FDIC reSURED t NOT BANK GUARONTEEDi MAY LOSE VALDE.
Docancer 31 o1Ø pranous year ani wil be turn:rood tome Mama Revenu° Scene°. Free Credit ~aces (Rob 1544 6 3): Under me Sent promotion rulos. wo may Lise free
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GENERAL INFORMATION qadtan eend 6 Oh« indeidedent 80b0). Webb e maal lo bang relecled
hbo Pram CO) The dugxets your portdo rapt are Prordal 14$11°Cd inIX171"n dd Trentections in beton saudles (indaag laden ~WE ADM MM bade in EO
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Corporalion (SEC,. whch eraan: soenna: astomers of ds menden up lo 5500.000 to sela uren ons maten cadans. AUTO NO 0Am
(inckarling 5250.000 lor daim fes cash). Explanatory brochure is available on requesl
REGULATORY DISCLOSURES
Additioneily. TI) Aniedirede raider) eed) deed $149.5 dillen wat 01 DrolectIon for MI wansaceons aro abject to p) roe consmubon. Nes. rondo:ons adonis bed usages
SeCualett and 52 Mien 01 IXONCIOn br cash Ihrcugh SupOlemenal coveragefrOvided by d me exchange Or merkel. and iie deetagnouse. H ww. on Mach *ah kanteel-Cas ere
London inlaat d Ee ad an a at : n / te l r u le s d yl ttal labs 1 . o i u n n d cti a o a e g 0 roe Sper m ma's A in d ot 193 f 3 an on d d Ø y? S f n = u nes SDNY_GM_00011813
EFTA_00122464
EFTA01267943

1D Ameritrade Statement Reporting Period:
04/01/15 - 04/30/15
800-669-3900 Statement for Account # 867-730320 Announcements:
D TO IV A IS M IO E N R I O T F R A T D O E A MERITRADE INC S 6 A 1 O T 0 T U 0 N T R : H J E E E D R F H F N R O F E O IN Y K A E O N P T C S R IA T S E L S I L N T L E C 8-3 O YO U U R B O E N T G T O E I R N H G A E S F F P O A R ID T O T F O F S : W ER E V 'R E E
PO BOX 2209 ST THOMAS. VI 00802-1348 NO.1 IN 5 CATEGORIES IN THE
OMAHA, NE 68103-2209
BARRONS 2015 ONLINE BROKER
TO Amer'trade Clearing. Inc.. Member SIPC SURVEY. TO LEARN MORE, GO TO
TDAMERITRADE.COM/ACCOLADES.
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $ - $ $
Insrd Dep Acct (IDA) 2,966,564.87 2.966.540.49 24.38 0.01%
Money Market Stodcs
2.3%
Short Balance
Stocks 68,310.91 66.916.81 1,394.10 2.1%
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
Total $3.034,875.78 $3,033.457.30 51.418.48 $ 0.00 0.0°O 97.7%
Margin Equity 100.0%
Cash Activi Summa Income & Ex .ense Summa Performance Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance $ 0.00 $ - Income Cost Basis As Of - 04/30/15 " $179,778.31
Securities Purchased Dividends S $ - Unrealized Gains
Securities Sold 137,898.83 Interest Unrealized Losses (111,467.40)
Funds Deposited Other Funds Deposited/(Disbursed)YM
Funds Disbursed Expense Income/(Expense)"°
Income Interest Securities Received/(Delivered)"° 0.00
Expense Fees **For cost-basis Informallon. refer to www.tdameritrade.com
Other (137,898.83) Other
Closing Balance $ 0.00 $0.00 Net $0.00 $0.00 $0.00
SDNY_GM_00011814
CONFIDENTIAL
page 1 o13
EFTA_00122465
EFTA01267944

Statement for Account # 867-730320
04/01/15 - 04/30/15
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 24.38 $ 95.98
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can Include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date totals will accurately reflect your cumuLative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Puce Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.0125 $ 0.01 08/05/14 $ 0.22 $ 0.22 $ (0.21) $ -
INC
COM
TRANSGENOMIC INC TBIO 46,470 1.47 68,310.90 05/14/14 179,778.09 3.87 (111,467.19)
COM
Total Stocks $68,310.91 $179,778.31 $(111,467.40) $0.00 0.0%
Total Margin Account $68,310.91 $179,778.31 $(111,467.40) $0.00 0.0%
Insured Deposit Account Interest Credited
Begin Number Interest Interest MTD MID
Date Balance of Days Rate Accrued Accrued PAID
04/01/15 $ 2,966,540.49 30 0 0100 $ 24.39 $ 24.39 $ 24.39
Total Interest Income $24.39
Trades Pendin . Settlement
Account Symbol Trade Settle
Investment Description Type CUSIP Quantity Price Date Data Amount
SELL TRANSGENOMIC INC LIamr0 I BIO 5.000. $ 1.48 04/30/15 05/05/15 $ 7,393.86
COM
SDNY_GM_00011815
CONFIDENTIAL
page 2 of 3
EFTA_00122466
EFTA01267945

Statement for Account # 867-730320
04 01 15 - 04 30 15
Insured De. osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $2,966,540.49
04/30/15 04/30/15 Received Interest: Insured $ 22.35 2,966.562.84
Deposit Account
04/30/15 04/30/15 Received Interest: Insured 2.03 2,966.564.87
Deposit Account
Closing Balance $2,966,564.87
ID Bank NA $247,500.00
TD Bank USA NA $2,719,064.87
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by TD Bank. NA. or TD Bank USA. N.A.. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
CONFIDENTIAL SDNY_GM_00011816
page 3 of 3
EFTA 00122467
EFTA01267946

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SDNY_GM_00011817
EFTA_00122468
EFTA01267947

Terms and Conditions
STATEMENT GUIDE
IL: Ar.rir ado provides morally Porddeo Reports lor accoums huh acvary and quadedy repass 1. he Mini ea brokerage inetelancy. a den may reativearnants due kern the Mean F an ea° brochure mal nabobs intonnabon dasolang FINRA's lottio Deckisuro
'a mud .re accounts non assets.. In ~WY and man SIPC. Se:Sonia porcine is pad eul rem me trustee and Program. please Contact FINRA at G304894999 Of winv.linnlag.
Patton. Summary: Dada he Current value d your 000010 es 01 the reps dale and SIPC payouts and Linda such coverage each clam es limited to a amOned return al
compares Mto itie prior monlh.s The aasai enaliOn Medea your parkin divendealion by 5152 mtliOn horn a goatee. SIPC and London insurers The TO ~mikado Supplemental lbo inmost rato sheen tor TO Ameretade Cash a taken from to appicain interest rate ear tor
investment type coverage has an aggregate km al $500 muon over all cLostanrs. This poky provides the Markel Value Warne in me TO Amererade Garth. as 01 the slate tem °Mang date Simple
coverage lokraing brOkmage insohincy end does nO1 poled against Ion le Markel value freemen es acnxd daily Duce en the interestrate ea applicatio to each days balance.
Whale abmwers under 5% mil be grouped into Macategory eI rooier en the pm chart. Margin et me securMas
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investment it a money make lurd is not insured Or guaranteed by the Federal ~labia twee a year and may be ~anted al no cost. via me internee al
Activity Summary: Inc opening and dosing cash balances are reconciee hue lor yaw quick Depose Insurance Corporabon (FOCI a any other ea...ammo« agency. Although the Mow.Mwernotrnontrad000mhnanciatsiammentitra
re!egeice accum actmty es summansed lor me current period and yea to data_ Inds Beek 10 preserve the value awns mesiment al SI 0) pl. Share. it b pant» 10
income a Expense Summary inervIRAs only): This sec an dolalt tom Income and omens° lOse molly by invasion in a money market tad. DMdeeds we <leaved daly and Option Assignment: All snort cquty croon panons and some index option poutions are
tOtaH from te Activity Summary and darnirem the lax irealMent pactremested monthly. The en:combs contans Iles aril odor imp:slant dormalon sealable tor assignment Exacte assignment races Pa NOY or index options are randomly
Renamed Account Summary (IRAs only): Roma tie IRS rog.Iad transaceons for Mc Read the impales Clinthilh before Meeting. NOn-donotlil investments herd by your alocaled among all chards' shod posnons by an 4.domaind orixedse.
anent and ma yews IRS Form $498 lair mark* value is based On the current value as of broker dealer arc NOT FDIC 1.1SURED !NOT BANK GUARANTEED/ MAY LOSE VALUE.
December 31 ot Me previous low and ent be furnished to to Internal Revenue Serowe. Free Credit Balances lade 15c3.2 5 3): Under she mart protection rut. wo may mee tree
l P as o s rk os e n fo a r n y c o e u r S M um um ma r r r y m :M st o rn n o is r m d s y e o a u w r a a n y n . ual portfolio performance end the vreimilized gains and c T a h n e t b o al a lo n p c e e d a n t e y d o o u n r b y a o n u k r o d r e d r e a r in . d a n e d c o h a e am pr o O c r e S e h d a s r r d e t d u rn y e e d /a t o m y o e n a e r y s m co e u rk r e /e l s M a A cc O ou n fu t n o d r a on e d d h e m ba a l n a d n . c es SI Our account in me Ordinary course ol our banns which we paraMe to you
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Online Cash Services Summary:Cm:It ard debt transaction totals lor the aroom statement Margin and Options Account Agreements: Promptly arMso 10 Amentrade n wiling et execuraon at mewidarnavadocom. A mitten espy is amiable man request.
rePaing indod we summarized. IndhiSkal traneaCtente we maimed any Mango in your investment Mecums a *corneal stuarim as they wain to your
roue to rounding adustments. me stammem decals may not cant the statement totals. m vo a te rg n in o o e r x 0 e 0 c 1 u 4 t 1 io S n e o c l o ° a p a e m on a s g w re a e n m sa e m nt o s n . s A i s su .. m .a m l e a ry i* o . i COMmasions and cheer, incurred m It a e k s e o r u s r t p e o n lic d y. O a n b s O en le t p W o il « ly o t r o d e p r r s o t v o d e th e b e c s o t n M tra a ry n , i t o o n s e a le n c d t b th ro e k h er e s, l m dea 0 le 1 r s s . e a e n i d n g m a p r d k o e e t
rEninaled Anna/ Income and Estmated Annual Yield values are based upon IMe number d improvement on market orders. Pao 'mown:mare is available ardor corLan market condlions.
shams owned or carom value balance as Mtn* stalemom dale and the triest retail &Mend One Maid Prkes: The mate velum el sauna hue beta aten. d ~COL kom and ma regulary mentor executons m lost brawn emmoroment d mobile
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GENERAL INFORMATION chelatlen tent> 6 OW inclemaident Ewa. I've smutty is tubed lo Wing ~of SI
NuiPmcd eNP). T e niuman ar your panorama are pm en as gain •WOTRIen a", Teen: Transactions in foreign SCAMS'S (indudng IMMOn amtanY ADM thee lade 10 ‘110
10 limentrade does not proud* legal or lax actual Please consul, your legal ~sot or lax we dam guarantee Me accuracy dry scones saes. Manna backed paean ann un U.S.) may towbar taxes ard loos charged by tin foreign matted er governments. each may
toCCOuNani when neatelary. A8 8 Warded infantry crake. phase COnanatitns may be rang the remrang Wane end me corral medal eke Pothole Kcal uskotten8 may not be redacted in Me price ollte> security or charged aan Odeperderd Ina ilem
readied br dually etsml and Vanua:11On vetram Durpnee. matroet sake proceeds. The seconay main la Caftan of Deposes (CDs) a gworaly
loud and the sake LSIX m9/ be 011~ from the ~else Moe Mennenloss ce 0n~ Penny Poky NollIketion: A 03Py ol the TO Amen:ran privacy POICY is available al
For TO Amm-oadd hormonal alerts. yea advisor turn is separate from and not attlialed wet may tent too go sat daft) poor 10 many. Bends nib Red Forma Scenes trade whw.klamanado can
TO Amentrada. Inc. a TO Armored* Clearing, Inc.. and each frm Is not responsble la the ciferenvy inn comfy stond and din Bade an a qua exchange. Rana they vac n me
Panda end anises UI the orher. OTC Per Mecounter ~Sand Wren Nutty may Mt ate la In »ad >CO Maim par Cater Securthern The elocabon of penal reeemplone or calls le done Long a moan core
rributy.1hosabot bon mor to moony ~pond a a km d penned. system. A aosonpion ol the procabros for callable sccunies es moraleon to .abate a hang
Accuracy of Reports:6 you find any errorsor omissions In your account statement you comet are available won fel.
should Immediately cell us at the marmot listed 0.1 page one 01 your statement. You Non Standard Assets (NSAi are typcaly oddments in dead pacts:on program «Kudos
Mould also contact our Clearing 6m, TD Amedirne Clewing, Inc. el M4694900. garrentms. knead batty cempana. er red exam roamers Ideal. comedy pals. muse In Case 01 errors a veesen abel your ElearOniC Fund Treaders. please enact us al
muty. Ora* debt er hedge incis NS46 we heath Moue ~1~3 wal do not lode en a 1.260 669.3900. or in swing to P.O. Box 2209. Omaha. NE 68103. or by email at
Please roam too slabraam careitily. It you Osage.» nub any transactor., or el here wo any mind sown: echango a tio Nadal Stock Maid. The dues dean tammernosimass dieMeervites@kkoMeginde.COm The ~newton °Contained in your *Mown statement shall
weds or omissions. Maas, nobly a Client Senicomeprosentelhe Or yen tat Wench Otte. as are ~WM wiles dated han news methods, natten. but not kited to independent be lancing upon you it you do not deal wthn may MP) days lor any !candor ot lords smajea
wel as 10 Amairado Chlorin. Inc. in wmrg ...inn ton (10) days ol yen mom ei this appraisals. the prearns net asset, ander Mid party sender dim tut hoe bean proven by to Regulabon E. such as ATM and polo arale :tarsiers dear transactions. dared deposits.
statement Any oral statements Thal you ham made to us should be COMM'S in mitre The Oa mmagorrica. ~racy andaroacer ct oath own a by a Meaty lands« ashout and withdrawals. We must hear from you ro laser than 60 din arter we sent you Tree MST
statement stil «heave* be considered concishe Independent ..encaWn by ID ~a. Wives MO/ non dint the annal penba pica armament on which the error or problem appeared,
actual market taut a be Kolas] Licon loadaan an adman value card be estatrIshod (I) Tell us yew rome and account nutter
Please nary vs promptly ol any changes in your contact intamelion. Tier...Chord resealed on NOugh ~MOW& me niutnen may be reflected es NOMMted ("NV) Fa addend dent (2) Dosed» the error or the reondar you arc unsure about. and explan as deafly as you can
your capon wil be condarnaly domed acarratounloss you nobly TO Annerado unmeant/v. nagaiong minors la Nanandarel kam. Owe cams Can Scones These meemaas why you bettered es an error or why you need mac inlormabon.
arenaconed under the SPC (3) Ted us the dortv *rani or the stoPected error.
Account Prolectbn: Deposits hold by MBank. N.A. and TD Dark USA. N.A. aro enured by Wo we mamma* your complam and wil correct any error promptly. el wo lake more man ID
tie FDIC (MI Covered by SIPC) up 10 5250.100. Limits ere per eiMOunl ormertillte Per audio, Rao Socurbm CARS) Prong: The maker cams la PAS smarm hao been ~nod. buskins days 10 do Ns. sewn Creel, your ecodam br me amount yam think is in error. MIMI
iniblutlOn. TO learn more about FDIC entrap. go tO +new 101040v. Satiate& indudng made. Ilan cprOtakn eenemei er olie ~Dann ~an The way ol the Pang a nol you wIl have Po use of the money dump tho teemt takes in to corns:km our Inuestgawn.
mutual funds. held in ytUr ein)kerage Account are r101 Sand Or oblgalions a. or ~anion Ha man Lebo em malab. TD Amolradedi moo Me PAS paan. slag 4110
guaranteed by. any bank. are not FOlt enswed. and involve investment mks. endudrg condor" bon to loudly aa undrremg omit quaty. The MIS market is currenly
posstle loss ol prinspal. TD Miereade es a member ol the Seward: Investor Promoten wedwig aast elSalty end. Ca not there an be no ~rinse Owl such manes an
Corporation (51PC'). which protects secunbes °stomas of its members up le 5500.000 be son wider one ~Mt cots. MiTg NO 07d4
(inceding 5250.000 la claims tor cash). Explanatory brochure is available on reguest at
REGULATORY DISCLOSURES
wnesimaxg.
Addlhonerly. TO Amara«, penned each Clan $149.5 /anion worth ol prolectlon tor MI wan:a:eons aro pawn to p) me consitlubon. RICO regulations. customs and usages
securities and $2 rollen 01 MONCIen Mr can through SupOlemenial coverage provided by of the exchange Or mina. and its deetilgrouSe. M any. on dab such transactions are
London insurers e E x s ecuted w) line I al a lass. 0 e 1 n 1 dL 5 d 0 ng me Secunues A in c t ot 1933 and me S«ur a t i e hnde s SDNY_GM_00011818
oireneeed
EFTA_00122469
EFTA01267948

Statement Reporting Period:
ID Ameritrade
05/01/15 - 05/31/15
800-669-3900 Statement for Account # 867-730320 Announcements:
D TO IV A IS M IO E N R I O T F R A T D O E A MERITRADE INC S 6 A 1 O T 0 T U 0 N T R : H J E E E D R F H F N R O F E O IN Y K A E O N P T C S R IA T S E L S I L N T L E C 8-3 R TH E E S T O I U C R KE C R E T F A O P R E . 8 C 0 O T M H I I S N V Y E O S U T R I N G G O -TO
PO BOX 2209 ST THOMAS. VI 00802-1348 AND TRADING. GET FRESH NEW MARKET
OMAHA, NE 68103-2209
INSIGHTS AND COMMENTARY FROM
TD AmeMrade Clearing. Inc.. Member SIPC TD AMERITRADE EVERY MARKET DAY.
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ - $ -
Insrd Dep Acct (IDA) 954.83 2.966.564.87 (2,965,610.04) (100.0)% 0.01%
Money Market IDA
1.6%
Short Balance
Stocks 60.411.12 68.310.91 (7,899.79) (11.6)%
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
Stocks
Total $61,365.95 $3,034,875.78 ($2,973,509.83) (98.0)% $ 0.00 80% 98.4%
Margin Equity 100.0%
Cash Activit Summary Income & Ex • ense Summary Performance Summary
Non
Current YID Reportable YTD
Reportable
Opening Balance $ 0.00 $ - Income Cost Basis As Of - 05/31/15 " $86,839.74
Securities Purchased • Dividends - Unrealized Gains
Securities Sold 34,385.34 172,284.17 Interest Unrealized Losses (26,428.62)
Funds Deposited Other Funds Deposited/(Disbursed)n° (3.000,000.00)
Funds Disbursed (3,000,000.00) (3,000,000.00) Expense Income/(Expense)n°
Income Interest Securities Received/(Delivered)"D 0.00
Expense Fees 'Tor cost-basis Information, refer to vavnvidamerttrade.com
Other 2,965,614.66 2,827,715.83 Other
Closing Balance $0.00 $0.00 Net $0.00 $0.00 $0.00
CONFIDENTIAL SDNY_GM_00011819
page 1 015
EFTA 00122470
EFTA01267949

Statement for Account # 867-730320
05/01/15 - 05/31/15
Online Cash Services Summary
Description Current Year To Date
DEBITS
Electronic Transfer $ (3,000,000.00) $ (3,000,000.00)
Subtotal (3,000,000.00) (3,000,000.00)
TOTAL (3,000,000.00) (3,000,000.00)
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 4.62 $ 100.60
'This section displays anent and year to date taxation values for thS account. The current totals may not equate to the total payments listed on this statement as =vector's to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a precious tax year (spillover dividends). The year to date totals will accurately reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.0159 $ 0.02 08 05/14 $ 0.22 $ 0.22 $ (0.20) $ -
INC
COM
TRANSGENOMIC INC TBIO 22,970 2.63 60,411.10 05/22/14 86,839.52 3.78 (26,428.42)
COM
Total Stocks $60,411.12 $86,839.74 $(26,428.62) $0.00 0.0%
Total Margin Account $60,411.12 $86,839.74 $(26.428.62) $0.00 0.0%
Online Cash Services Transaction Detail
Category Transaction Date Description Amount
DEBITS
Electronic Transfer 05/06/2015 WIRE FUNDS WIRE SENT 05/06/2015 16:0459 $ (1,000,000.00)
SDNY_GM_00011820
CONFIDENTIAL
page 2 015
EFTA_00122471
EFTA01267950

Statement for Account # 867-730320
05/01/15 - 05/31/15
Online Cash Services Transaction Detail
Category Transaction Date Description Amount
DEBITS
05/07/2015 WIRE FUNDS WIRE SENT 05.107/2015 11:09:10 $ (2.000.000.00)
Subtotal (3.000.000.00)
TOTAL (3,000,000.00)
Account Activit
Trade Settle Acct Transaction/ Symbol;
Date Date Type Cash Activity Description CUSIP Quantity Price Amount Balance
Opening Balance $ 0.00
04/30/15 05/05/15 Margin Sell - Securities Sold TRANSGENOMIC INC TBIO 5,000- $ 1.48 $ 7293.86 7.39326
COM
Commission/Fee 6.00
Regulatory Fee 0.14
05/05/15 05/05/15 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (7.393.86) 0.00
DEPOSIT ACCOUNT
05101/15 05/06/15 Margin Sell - Securities Sold TRANSGENOMIC INC TBIO 6,000- 1.46 8.753.83 8.753.83
COM
Commission/Fee 6.00
Regulatory Fee 0.17
05f01/15 05/06/15 Margin Sell - Securities Sold TRANSGENOMIC INC TBIO 6,000- 1.46 8753.83 17,507.66
COM
Commission/Fee 6.00
Regulatory Fee 0.17
05f01/15 05/06/15 Margin Sell - Securities Sold TRANSGENOMIC INC TBIO 6.500- 1.46 9.483.82 26.991.48
COM
Commission/Fee 6.00
Regulatory Fee 0.18
05106/5 05/06/15 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (26.991.47) 0.01
DEPOSIT ACCOUNT
05106/5 05/06/15 Margin - Funds Disbursed WIRE FUNDS 0.00 (1.000,000.00) (999,999.99)
WIRE SENT 05:0612015 16:04:59
05107/15 05/07/15 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 1.000,000.00 0.01
DEPOSIT ACCOUNT
05107/15 05/07/15 Margin - Funds Disbursed WIRE FUNDS 0.00 (2.000,000.00) (1.999.999.99)
WIRE SENT 05107/2015 11:09:10
SDNY_GM_00011821
CONFIDENTIAL
page 3 of 5
EFTA 00122472
EFTA01267951

Statement for Account # 867-730320
05/01/15 - 05/31/15
Account Activit
Trade Settle Acct Transaction' Symbol
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
05/08/15 05/08/15 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 2,000,000.00 0.01
DEPOSIT ACCOUNT
05/12/15 05/12/15 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (0.01) 0.00
DEPOSIT ACCOUNT
Closing Balance $ 0.00
'For Cash Activity totals. refer to the Cash Activity Summary on page one of your statement.
Insured De. osit Account Interest Credited
Begin Number Interest Interest MID MTh
Date Balance of Days Rate Accrued Accrued PAID
05/01/15 $ 2,966,564.87 4 0.0100 $ 3.25 $ 3.25 $ -
05/05/15 2,973,958.73 1 0.0100 0.82 4.07
05/06/15 2,000,950.21 1 0.0100 0.54 4.61 4.61
05/07/15 950.21 1 0.0100
05/08/15 950.20 4 0.0100 0.01 0.01
05/12/15 950.21 20 0.0100 0.01 0.01
Total Interest Income $4.62
Insured De. osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $2,966,564.87
05/05/15 05/05/15 Received FDIC INSURED DEPOSIT ACCOUNT $ 7,393.86 2,973,958.73
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
05/06/15 05/06/15 Received FDIC INSURED DEPOSIT ACCOUNT 26,991.47 3,000,950.20
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
05/07/15 05/07/15 Delivered FDIC INSURED DEPOSIT ACCOUNT (1.000,000.00) 2,000,950.20
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05108/15 05/08/15 Delivered FDIC INSURED DEPOSIT ACCOUNT (1.753.450.20) 247.500.00
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
SDNY_GM_00011822
CONFIDENTIAL
page 4 o15
EFTA_00122473
EFTA01267952

Statement for Account # 867-730320
05/01/15 - 05/31/15
Insured De • osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
05/08/15 05/08/15 Delivered FDIC INSURED DEPOSIT ACCOUNT (246,549.80) 950.20
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/12/15 05/12/15 Received FDIC INSURED DEPOSIT ACCOUNT 0.01 950.21
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
05/29/15 05/29/15 Received Interest: Insured 4.21 954.42
Deposit Account
05/29/15 05/29/15 Received Interest: Insured 0.41 954.83
Deposit Account
Closing Balance $954.83
TD Bank NA $9
TD Bank USA NA $504..08 30
FDIC Insured Deposit Account (IDA) balances redacted in your trokerage account are FDIC-Insured up to applicable limits and held by TD Bank. N.A. or TO Bank USA. N.A.. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
Important Information
The most recent statement of financial condition for TD Ameritrade Clearing, Inc. may be obtained at no cost, via the Internet at http://mwe.tdameritrade.com/financialstatement.html on
or before June 14. 2015, or by contacting TD Ameritrade Clearing. Inc. at 1.800.237.8692. As of March 31, 2015, TD Ameritrade Clearing, Inc. had net capital and a net capital
requirement of $ 1.6 billion and $291 million, respectively. A copy of the report and comments is currently available for customers' inspection at the principal office of the commission in
Washington DC and the Denver, CO office of the Commission.
SDNY_GM_0001 1823
CONFIDENTIAL
page 5 of 5
EFTA_00122474
EFTA01267953

ID Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
To help ensure that you are fully up-to-date about your account, we are providing a copy of the
TD Ameritrade Privacy Policy at the end of the enclosed account statement. It explains how we use and
protect your account information. We'll continue to provide you with a copy of the most recent version
annually, and you can find it online at tdameritrade.com/privacy.
Please keep this document for your records. You don't have to do anything else.
Questions? Please log in to your account and go to Client Services > Message Center to write us, or give us
a call.
CONFIDENTIAL SDNY_GM_0001 1824
EFTA_00 122475
EFTA01267954

Terms and Conditions
STATEMENT GUIDE
IL nr.)yrudet oorader morele. Forbkiro Mbo" lor accoums wth acverty and quanedy rooms h Me enn Ot a brekende insobency. a dein may feteive(inants due IrOM IN Made P an os» brochure bal ingaan informabon dosolang FINRA's Petiec Datawo
w voc: /o accounts wth assels) in taribuPtcY and mon SIPC. Smolowental covorago a pad out Mor tho trustee and Pogrom. pentie Contact FINRA at 030-289.9a99 Of ~limbi.
%dodo Summair,/ DOMS Int Current Mbo Or mug 000010 es 01 Me n>pOd date end SIPC Day*" ani uk" suen aanraad bah dom es omhad to a ambrod return ot
~paters n to ne Oor moefti) Die Ebt 81WeliOn Mc", yOur 00010 divenfration by 5152 milen kom e pusle. SIPC and Londen immers The WI Anyedbade Supplemental lbo intactst rato noen tor TO Amortrado Cash is laken trom mo omdool" inkrast rato oor lor
invesiment type omroep Ms an omkom Imf ol 5500 mnon anx ap cushowers. Dus easy mand: the Marker MiNti baar" n the TO AmertradeCarlh. as OIO» nalement °beng date Simple
Ofiverme loldning bange ineohtncy enddoes nel proleet Spinst b» in Mand MI» doen es acnxd daily bao d on the interestrato sa amicaler toodd. dofs balanco.
Enne abmons under 5% ad be grauti mto tho <memory ol -Oehoe in mo po «hart. Margo ot roe socurnos
Emily - Toto/ AccouM EduinelT0181 LOM, dereklable Mikte • Total Short Vakes) Finandal Statement Nonficallon: lbo mammoet ol bnancal madam lor TO Omomrado
invomment n a money mantel land is nel inkeren Or garaneeed by Me Federtd ~lede twee a yen and may be obtend al nO con. via be internen el
Actwity Summary: Tik Openleg and Meng cash balancoe aro /omnaai hem lor yor rome Depots Inseraat Corporabon tFOC, a any oma pgreardrat mency. Adhointe !ho MaY:werdctonontrado.comdinanciatstakmenintra.
reletonc* Al aceouni actmte es sunmanzal lor no °urgent parod and voor m dato_ lont Beek 10 posene the vabfr Oe yOur nreslment el SI 0) p« Shfre. rt ie pasen» 10
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dan hom me ~dl, Summery and demi!" the IE liennent pactranyested morory. Tho ontnam" cadans Ibis ard ober important rtormalon avalable lor (mummen, Esc«, essimment races to «ab or index °Pions are rendowly
Rebrement Account Summa" ORM only): Rouwe db IRS romend transaceons for Mo Reed the pospectue abrekilb Wee Mening. NOn-depOSil invenmend held by your alocalod aflang all «lams' short poseomt by an anamolod ommiss.
<wen ard vit« nam IRS Form 5498 Fair naad veld ie band On Me afrent robe aa of boka-dealer aro NOT FDIC NSURED !NOT BANK GUARONTEEDi MAT LOSE VALDE.
December 31 ot mo pranous your ani ed bo furnshod toto Wand Revenu° Score. Free Credit Belonen (IIMe 154.2 å 3): Under lno ment protecton Aflos. wo may uso free
P to o s d se o s r m fo a r n y c o e u r S lu un tu im ro a r r o y e :M :i o m n a is m or m ya e m te a g r y m . vol portfolio pedanten°, end ne wreekten gans end c T a h n e t b o e t I a nw ne a a n i e y n o o u n r b m a e n p k e 0 r 0 n 0 a 9 a 1 n e d c c M a a rr p il o O e r & m W a E ro l d u rr y o O d u r l o ~ y n o e w e w M a a r n m el s la a tt c i c a o d u n fu t n o d r a on e d d d o b rr a e b ". a " n tum aak« n me adinary town ol out Wenen whkh ere pende lo sau
Account Postdons: Ncw your rnestmoms at mo curront mand mbo and corrparo th* mand rembled bya
coel to eee teteelued geina and loeses n your pon1010 Original tost is asegned vang Me Maner Mamma (llegulallon Tb H you have a matgin accouni. eis repon is a combnaten ot
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*Mud immediaiely call u$ el Me omber had m page 000 a your Ealeenent. You Non Standatd Assem Oltal aro trocaly ~mens n dieet partcpaton program "das
hourd olim contact our Clearing rnyt, TD Amentrode Clearing, bc. rel 8004694900. )aatiorstms. kniod tablity combines. cv red ostalormanors oudst. cownzoty pools. prune In Case ol enroe Or ~stem allul pur %MONO Fund Dennen peen Maal us el
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Account Proleabn: Cocons tob by TO Dank. NA ard TD Dar* USA. N.A. aro nsurod by Wo am innings* your °omplant and wil correct any error promptly. el we lake moro man ID
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"mot Mom) held in your Brokerage ACOOunt are nol "ME Or Mig/dons a or ~kat Ha mated mbo rct toean. TO emotionelen am to ARS pcsaan.takro ab
monotoon by. any bank. are not FOICensexed. and envoko envesunord mats. ircludrg ccrcdoraScn bot to kaudly ad undebro acdt quaty. Roe ARS radar n curronly
possble loss ol princpal. TD Amentade is a momber ol the Sauna: Inval« Protocion ~nap eipolØyaa. (isa "ut nero an be no wan, dol Bath tr000tes an
Corporalen (SIPC'). wNch praats steunt*: a-stomers of ds maters up lo 5500.030 to geburen oden mand ccryncen. SMID NO 07,14
(inlading $250.000 lor claims for cash). Explanatory brochure is avalade on request al
REGULATORY DISCLOSURES
ywrasipc.org.
Addlnonaily. TI) Antenne» renden 9xli Clerd $149.5 MOOI, WOrth a PrOleCtion br MI Hansabora aro 'Moa to p) ok con:i:moa Na. regubtons. afdors and usages
SeCudlie8 and 52 nikon 01 prOCCIOn br cash Ihrcugh Sup0bmental °overgiet prOvided by Of Me exchange Of makel. and tb dearngrouse. d am. on snob *ah tranablan ore
London beuren e E x x amen: ei, leden 4 ass, o e e nd ° e xIng Secu N n i d o A in c t ot 193 i 3 t i an on d d tho e t S = « urtos SDNY_GM_00011825
EFTA_00122476
EFTA01267955

Statement Reporting Period:
ID Ameritrade
06/01/15 - 06/30/15
800-669-3900 Statement for Account # 867-730320 Announcements:
D TO IV A IS M IO E N R I O TR F A T D O E A MERITRADE INC S 6 A 1 O T 0 T U 0 N T R : H J E E E D R F H F N R O F E O IN Y K A E O N P T C S R IA T S E L S I L N T L E C 8-3 I F T O S R C T R H U E N IN C V H E T S IM TO E R . T E IC D K U E C T A S TI A O L N E S C O E N N F D E O R N E N 71 C 3 E 1
PO BOX 2209 ST THOMAS. VI 00802-1348 PRESENTED BY OUR EDUCATION AFFILIATE
OMAHA. NE 68103-2209 INVESTOOLS. GET YOURS BEFORE ITS TOO
TD Amedbade Clearing. Inc.. Member SIPC LATE. FOR MORE INFORMATION VISIT
INVESTOOLSCONFERENCES.COMrTICKET
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Chang! Change Income Yield Portfolio Allocation
Cash $0.01 $ - $0.01 $ -
Insrd Dep Acct (IDA) 51.584.31 954.83 50,629.48 5302.5% 0.01%
Money Market
Short Balance
Stocks 0.01 60.411.12 (60,411.11) (100.0)%
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51,584.33 $61,365.95 ($9,781.62) (15.9)% $ 0.00 0.0% 100.0%
Margin Equity 100.0%
Cash Activity Summary Income & Ex. ense Summar Performance Summary
Non
Current YTD Reportable YTD
Reportable
Opening Balance $0.00 $ Income Cost Basis As Of - 06/30/15" $0.22
Securities Purchased Dividends $ - Unrealized Gains
Securities Sold 50,629.25 222,913.42 Interest Unrealized Losses (0.21)
Funds Deposited Other Funds Deposited/(Disbursed)''1D (3.000.000.00)
Funds Disbursed (3,000,000.00) Expense Income/(Expense)n°
Income Interest Securities Received/(Delivered)"° 0.00
Expense Fees 'Tor cost-basis Information, refer to www.tdamerltrade.com
Other (50,62924) 2,777,086.59 Other
Closing Balance $0.01 $0.01 Net $0.00 $0.00 $0.00
SDNY_GM_00011826
CONFIDENTIAL
page 1 of 4
EFTA 00122477
EFTA01267956

Statement for Account # 867-730320
06/01/15 - 06/30/15
Online Cash Services Summary
Description Current Year To Date
DEBITS
Electronic Transfer $ (3,000,000.00)
Subtotal 0.00 (3,000,000.00)
TOTAL 0.00 (3,000,000.00)
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.24 $ 100.84
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a premos tax year (spillover dividends). The year to date totals will accurately reflect your cumulative arncuu for the year.
Account Positions
Symbol! Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
LIFIUA INTERNATIONAL LIWA 1 $ 0.0099 $0.01 08/05/14 $ 0.22 $ 0.22 $ (0.21) $ -
INC
COM
Total Stocks $0.01 $0.22 $(0.21) $0.00 0.0%
Total Margin Account $0.01 $0.22 $(0.21) $0.00 0.0%
CONFIDENTIAL SDNY_GM_00011827
page 2 o14
EFTA_001 22478
EFTA01267957

Statement for Account # 867-730320
06/01/15 - 06/30/15
Account Activit
Trade Settle Acct Transaction Symbol,
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance $ 0.00
06,04;15 06,'09,'15 Margin Sell - Secunties Sod TRANSGENOMIC INC TBIO 2,720- $ 2.36 $ 6,413.08 6.413.08
COM
Commissiorifee 6.00
Regulatory Fee 0.12
06/09/15 06/09/15 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (6,413.07) 0.01
DEPOSIT ACCOUNT
06/10/15 06/10/15 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (0.01) 0.00
DEPOSIT ACCOUNT
06/10/15 06/15/15 Margin Sell - Secunties Sold TRANSGENOMIC INC TBIO 7.280- 2.12 15,427.31 15,427.31
COM
Cornm ission(Fee 6.00
Regulatory Fee 0.29
06/10/15 06/15/15 Margin Sell - Secunties Sold TRANSGENOMIC INC TBIO 200- 2.23 439.99 15.867.30
COM
Cornm ission(Fee 6.00
Regulatory Fee 0.01
06/10/15 06115/15 Margin Sell - Secunties Sold TRANSGENOMIC INC TBIO 12,770- 2.22 28,348.87 44.216.17
COM
Regulatory Fee 0.53
06/15/15 06/15/15 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (44,216.16) 0.01
DEPOSIT ACCOUNT
Closing Balance $0.01
For Cash Aelivily totals, refer to the Cash Activity Summary on page one of your statement.
Insured Deposit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
06/01/15 $ 954.83 8 0.0100 $ $ - $ -
06/09/15 7,367.90 1 0.0100
06/10/15 7,367.91 5 0.0100 0.01 0.01
06/15/15 51 584 07 16 0.0100 0.23 0.24 0 24
Total Interest Income $0.24
SDNY_GM_00011828
CONFIDENTIAL
page 3 o14
EFTA_0012 2479
EFTA01267958

Statement for Account # 867-730320
06/01/15 - 06130/15
Insured De r osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $954.83
06/09/15 06/09/15 Received FDIC INSURED DEPOSIT ACCOUNT S 6,413.07 7,367.90
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
06/1015 06/10/15 Received FDIC INSURED DEPOSIT ACCOUNT 0.01 7,367.91
IDAll NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
06/15/15 06/15/15 Received FDIC INSURED DEPOSIT ACCOUNT 44,216.16 51,584.07
IDAll NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
06/30/15 06/30/15 Received Interest: Insured 0.24 51,584.31
Deposit Account
Closing Balance $51,584.31
TD Bank NA $51,584.31
DIC In“.reci Ceposli Account (IDA) balances reflected in your brokerage acccuu are FDIC-insured up to applicable limits and held by TD Bank. N.A. or TD Bank USA. N.A.. or both. The IDA balances are not Covered by the
Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
Important Information
The most recent statement of financial condition for TD Ameritrade Clearing, Inc. may be obtained at no cost, via the Internet at http://wntdameritrade.comffinancialstatement.html on
or before June 14, 2015, or by contacting TD Ameritrade Clearing, Inc. at 1.800.237.8692. As of March 31, 2015, TD Ameritrade Clearing, Inc. had net capital and a net capital
requirement of $ 1.6 billion and $291 million, respectively. A copy of the report and comments is currently available for customers' inspection at the principal office of the commission in
Washington DC and the Denver, CO office of the Commission.
Required Annual FINRA Information: FINRA maintains a toll-free public disclosure hotline where investors may call to request disclosable background information on any licensed broker
or broker-dealer. To call the hotline, dial 1.800.289.9999. FINRA also maintains an Internet web site where investors may obtain useful information concerning FINRA policies.
procedures and services. The web site can be accessed at www.finra.org. Additionally, FINRA has a brochure which describes the investor education and protection program. You may
request this brochure either through the FINRA web site or by calling the toll-free public disclosure hotline.
SDNY_GM_0001 1829
CONFIDENTIAL
page 4 of 4
EFTA_00122480
EFTA01267959

FACTS WHAT DOES TD AMERITRADE
FACTS DO WITH YOUR PERSONAL INFORMATION?
Why? Financial companies choose how they share your personal information. Federal law gives
consumers the right to limit some but not all sharing. Federal law also requires us to tell you
how we collect, share, and protect your personal information. Please read this notice carefully to
understand what we do.
What? The types of personal information we collect and share depend on the product or service you
have with us. This information can include:
• Social Security number and financial account numbers
• Account balances and transaction information
• Income and employment information
How? All financial companies need to share customers' personal information to run their everyday
business. In the section below, we list the reasons financial companies can share their
customers' personal information; the reasons TD Ameritrade chooses to share; and whether
you can limit this sharing.
DcH: TD HrtHHHcle IHH? Han :CPU HTH HhH IHr:rigH
For our everyday business purposes—
such as to process your transactions, maintain
Yes No
your account(s), respond to court orders and legal
investigations, or report to credit bureaus
For our marketing purposes—
Yes No
to otter our products and services to you
For joint marketing with other financial companies No We do not share
For our affiliates' everyday business purposes—
Yes No
information about your transactions and experiences
For our affiliates' everyday business purposes—
No We do not share
information about your creditworthiness
For our affiliates to market to you Yes Yes
For nonaffillates to market to you No We do not share
To limit • Call 800.326-7141—a client services representative will assist you or
our sharing • Visit us online: tdameritrade.com/privacy
Please note:
If your account is managed by an independent investment advisor, your account preferences are
already set to limit our sharing.
If you are a new customer, we can begin sharing your information 30 days from the date we
sent this notice. When you are no longer our customer, we continue to share your information as
described in this notice.
However, you can contact us at any time to limit our sharing.
Questions?
Call 800.326.7141 or email privacy@tdameritrade.com
Page 1 el 2 Alv1TD 800 F 05,12
SDNY_GM_00011830
CONFIDENTIAL
EFTA_00122481
EFTA01267960

Page 2
Who we are
Who is providing this notice? TD Ameritrade, Inc. and the TD Ameritrade family of divisions and companies,
including TD Ameritrade Institutional, thinkorswim, and Amerivest Management, LLC.
What we do
How does TD Ameritrade To protect your personal information from unauthorized access and use, we
protect my personal information? use security measures that comply with federal law. These measures include
computer safeguards and secured files and buildings.
For more information, please visit tdameritrade.com/security
How does TD Ameritrade We collect your personal information, for example, when you
collect my personal information? • Open an account or make deposits or withdrawals from your account
• Direct us to buy securities or direct us to sell your securities
• Tell us about your investment or retirement portfolio
We also collect your personal information from others, such as credit
bureaus, affiliates, or other companies.
Why can't I limit all sharing? Federal law gives you the right to limit only
• Sharing for affiliates' everyday business purposes—information
about your creditworthiness
• Affiliates from using your information to market to you
• Sharing for nonaffiliates to market to you
State laws and individual companies may give you additional rights to
limit sharing. See below for more on your rights under state law.
What happens when I limit sharing
for an account I hold jointly with Your choices will apply to everyone on your account.
someone else?
Definitions
Affiliates Companies related by common ownership or control. They can be financial and
nonfinancial companies.
• Our affiliates include companies with a TD Ameritrade name, financial companies
such as RED Option Advisors, Inc. and the TD Bank Financial Group family, including
TD Bank and The Toronto-Dominion Bank, as well as non-financial companies such
as Investools, Inc.
Nonaffiliates Companies not related by common ownership or control. They can be
financial and nonfinancial companies.
• TO Ameritrade does not share with nonaffiliates so they can market to you.
Joint marketing A formal agreement between nonaffiliated financial companies that together
market financial products or services to you.
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Other important information
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Page 2 of 2 AMID 800 F 05/12
SONYGM_00011831
CONFIDENTIAL
EFTA_00122482
EFTA01267961

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SD NY_GM_000118 32
EFTA_00122483
EFTA01267962

Terms and Conditions
STATEMENT GUIDE
It: nr.)iyacb prowdes morele. Porden° Report; lor aocoums with acverty and quanedy ropa' h Me enen Ot a ~ertoe ineolancy. a dam may reativetrmants due KOM the trustee For an investeer brocbute Mal incbclas informabon desueng FINAKs Prma Doel:aura
ta teade* accounts red anels.i en banduacY and men SIPC. Srmokniental oavorago a pad out dier mo trustee and Program. Oase contact Filtraat WO-289.929g or indliva012.
Portfolio Sommen: Dada 'he Current «da d yam 000010 es Of !he Opat dele end SIPC payouts ard Ør such corona each deel is lemned to a camend return ot
corpora n to me prior month.a The aal elaabOn Mokt yOur p00010 diveneneation by 5152 malen kom e trustee. SIPC and London insurers The TO Anyerikade suppinnentel The lamst rato ~An ta TO Amortrade Cash a laken hom me oppcape irdecost rato ser lor
invesimert type coverago bas an aggregaat Urn ol 5500 muon lynx an cupamen. ins polcy prowdes Oe Merkel WO, baarste n te TO Amertrade Gab. as OIO» illetement casino date Simple
Carenage logening bandage insohincy enddoes nel proleet (deinst ba in meniet anye dorpst es daad data bascd on the interestrato ta oplaadde to oatto days baboe°.
Waakt aboahros tonde< 5% eng be grougol mto thocalegory ol todor' on me po clean. Mar ot me securbas
Edyty - Total AccouM EadbelT0011 Long Meryinede Vakte • Total Short Wikte) eikanaal Statement Notifdatlon: The statement ol Mariaal condman lor TO 0monIrado
innesimen kt a money ~ebt lund is nel ineured er Werenneed by Me Federel ~Iade Idee a yam and may be obtentel al nO oost. via me intomen el
Actroty Summary: Tne opening and daling cash blanca are toonled hom lor am [weck Depot& Insuranoe Corporabon (F1210 a any aha tremmen agency Maan Me Mbo»\ weretiarnentradeownlinanciatialomoniatml.
relereice Al account actmty es summa's«, lor me afrem pcnod and voor m dato_ krot Beek 10 profane the valse d yOur imalment al 51 00 p« gure. 4 b pOsabb 10
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Ribosoom Account Suennory (IRA, city): Raars Ob IPS racend:d transaceons for Inc Reed the prospectus dbrekny beat ~e ing. ben-0009M invedmend held b/ your aloCaled aflang alldoms' stal posnons by an a:Aanbied orde se.
derde ard pro nam IRS FOM1 5498 leir mark« rak» ie baad On Me omgoot vake aa or broker dealer We NOT FDIC reSURED t NOT BANK GUARONTEEDi MAY LOSE VALDE.
Docancer 31 o1Ø pranous year ani wil be turn:rood tome Mama Revenu° Scene°. Free Credit ~aces (Rob 1544 6 3): Under me Sent promotion rulos. wo may Lise free
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Account Poslarns: View your mastloods at mo current mark« vabo ard corrparo the canna /omina byta
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(inckarling 5250.000 lor daim fes cash). Explanatory brochure os available on requesl
REGULATORY DISCLOSURES
Additioneily. TI) Aniedirede raider) eed) deed $149.5 dillen wat 01 DrolectIon for MI wansaceons aro abject to p) roe consmubon. Nes. rondo:ons adonis bed usages
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EFTA_00122484
EFTA01267963

Statement Reporting Period:
1D Ameritrade
07/01/15 - 07/31/15
Statement for Account # 867-730320
800-669-3900 Announcements:
D TO IV A IS M IO E N R I O TR F A T D O E A MERITRADE INC S 6 A 1 O T 0 T U 0 N T R : H J E E E D R F H F N R O F E O IN Y K A E O N P T C S R IA T S E L S I L N T L E C 8-3 A FI P L P L R ED O A W C I H TH E S F , R T E H S E H T T IC H K IN E K R IN T G A P A E N D D I S C R Y E O A U T R IV G E O -TO
PO 80X 2209 ST THOMAS. VI 00802-1348 RESOURCE FOR INVESTING & TRADING. STAY UP
OMAHA, NE 68103-2209 TO DATE WITH MARKET INSIGHTS & COMMENTARY
TD Amerigade Clearing. Inc.. Member SIPC FROM TO AMERITRADE EVERY MARKET DAY.
VISIT1NWW.THETICKERTAPE.COM
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $0.01 ($0.01) $ -
Insrd Dep Acct (IDA) 51.584.76 51,584.31 0.45 0.01%
Money Market
Short Balance
Stocks 0.01 (0.01) (100.0)%
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51,584.76 $51.584.33 $0.43 $ 0.00 0.0% 100.0%
Cash Activi Summa Income & Ex .ense Summa Performance Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance $0.01 $ Income Cost Basis As Of - 07;31;15" $0.22
Securities Purchased Dividends $ - $ - Unrealized Gains
Securities Sold 222.913.42 Interest Unrealized Losses (0.22)
Funds Deposited Other Funds Deposited/(Disbursed)' (3,000,000.00)
Funds Disbursed (3.000,000.00) Expense Income/(Expense)"°
Income Interest Securities Received/(Delivered)"' 0.00
Expense Fees 'Tor cost-beats Information, refer to www.tdamerltrede.com
Other (0.01) 2,777,086.58 Other
Closing Balance $0-00 $0.00 Net $0.00 $0.00 $0.00
SDNY_GM_00011834
CONFIDENTIAL
page 1 o13
EFTA 00122485
EFTA01267964

Statement for Account # 867-730320
07/01/15 - 07/31/15
Online Cash Services Summary
Description Current Year To Date
DEBITS
Electronic Transfer $ - $ (3,000,000.00)
Subtotal 0.00 (3,000,000.00)
TOTAL 0.00 (3,000,000.00)
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.44 $ 101.28
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable In a prevcus tax year (spillover dividends). The year to date totals will accurately reflect your cumulative arncuu for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Galn(Loss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.0035 $ NP 08f05f14 $ 0.22 $ 0.22 S (0.22) $ -
INC
COM
Total Stocks $0.00 $0.22 $(0.22) $0.00 0.0%
Total Margin Account $0.00 $0.22 $(0.22) $0.00 0.0%
CONFIDENTIAL SDNY_GM_00011835
page 2 o13
EFTA 00122486
EFTA01267965

Statement for Account # 867-730320
07/01/15 - 07/31/15
Account Activit
Trade Settle Acct Transaction Symbol,
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance $0.01
07/30/15 07/30/15 Margin Journal - Other PURCHASE FDIC INSURED $ 0.00 $ (0.01) 0.00
DEPOSIT ACCOUNT
Closing Balance $ 0.00
'For Cash Activity totals. refer to the Cash Activity Summary on page one of your statement.
Insured De . osit Account Interest Credited
Begin Number Interest Merest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
07/01/15 $ 51,584.31 29 0.0100 $ 0.41 $ 0.41 $ -
07/30/15 51,584.32 2 0.0100 0.03 0.44 0.44
Total Interest Income $0.44
Insured Deposit Account Activit
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,584.31
07/30/15 07/30/15 Received FDIC INSURED DEPOSIT ACCOUNT $ 0.01 51.584.32
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
07/31/15 07/31/15 Received Interest: Insured 0.44 51.584.76
Deposit Account
Closing Balance $51,584.76
TD Bank NA $51,584.76
FDIC Insured Deposo Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by TD Bank. N.A. or TO Bank USA. N.A.. or both. The IDA batances are not covered by the
Securities Investor Protection Corporation (SIPC) protection apptcable to your brokerage account.
SDNY_GM_00011838
CONFIDENTIAL
page 3 of 3
EFTA_00122487
EFTA01267966

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SDNY_GM_00011837
EFTA_00I 22488
EFTA01267967

Terms and Conditions
STATEMENT GUIDE
It. Ar.rir ado provides morally PodsPo Reports lor accoums huh acvary and quadedy repot 1. he Mien 01 a brokerage ineolrency. a dent may regivaternants due kern the Inetn) F an ono brochure bal ingslas intonnabon dasolang FINRA's PLINec Desclosuro
'a mestree accounts rah assns.. In banountoY and man SIPC. Swol000nial porcine is pad oui rem me trustee and Program. please Contact FINRA at 800289'9999 Of winv.linnlag.
Panted. Summary: ROW ihe Current value d your 000010 es 01 the renal dale and SIPC payouts and anew such coverage each clam es limited to a conned return al
compares Mto be prior rrionlh.s The WIWI elleXeliOn raced., your p00010 divendealion by 5152 mtliOn horn a goatee. SIPC and London insurers The TO ~Okada applemental lbo interest rato shown tor TO Ameretade Cash a taken from to armload° interest rate ter tor
investment type coverage has an aggregate km al $500 muon over all cLesamers. This poky provides the Markel Value hafance in We TO Amen:redo/Garth. as 01 the Welement closing date Simple
coverage lokraing bnakaage insohincy end does nO1 poled against Mu le Markel value erected es acnxd dally Dace en the interestrate ter applecatio to *ad.days balance.
Maple abmwees under 5% v$ be grouped into mecategory eI in the pm chart. Margin ot me securMas
Edgy - Tote/ AccouM ErlugnIT0181LOng MapinaMe Value • Total Short Value) Financial Statement Nonlicallon: the Nauman ol anancial condun lor TO 'nomad* a
investment it a money mane) lurd is not insured Or guaranteed by the Federal ~table hoc° a year and may be ~anted al no cost. via be internee al
Activity Summary: Inc opening and dosing cash balances are reconcied hue lor yaw quid Depose Insurance Corporabon (FOCI a any other gonarnmea agency. Although the Moat.!‘wriciotrnontrad000mbnanciatsiammenthirra
re!egeice Al account actmty es summa sad lor be current period and yea to data_ rands Beek 10 preserve the vat. Owns regiment al SI 0) pew Share. it b pOubb 10
income a Expense Summary inervIRAs only): This sec an dolalt tom income and omens° lOse molly by invested in a money market tad. DMdeeds we <leaved daly and Option Assignment: All snort oquty croon panons and some index option noniron: are
tOtaH from te Activity Summery and de/gnu the lax irealMent pactromosted monthly. The an:epochs contans Iles aril once imp:slant ricandlon sealable tor assignment Exacte assignment races r0' gouty or mien options are randomly
Regiment Account Summary (IRAs only): Roma Ire IRS regulatod transaceons for Mo Read the prospectus Clinakelh before frosting. NOn-depotlil investments herd by your alocaled among all chards' shod potaard by an 4.domaind orde se.
wren( and ma years IRS Form $498 lair manvet value is based On te current value as of broker dealer arc NOT FDIC ISSURED !NOT BANK GUARANTEED/ MAY LOSE VALUE.
December 31 ot coo pronous law arrows be furnished to do Internal Revenue Serowe. Free Credit Balances (tide 16012 5 3): Under she went protection rut. wo may mee tree
l n a e s d so o s m f i o le r n y c o e u S r M un u im m a r r r y m :M st o r n n i o s r o d r s y e o a u l r e a g n y n . ual portfolio performance ard the arealized gains and c T a h n e t b o a l l o a p n e c cl e at ' e y d o o u n r b y a o n u k r o d r e d p e e r n . d a n a d c c t i h tu e r e p l r o O c r e S e h d a s r r d e t d u rn y e e d /a t o m y o e n a e r y s m ec a u r r t e e e l s n a a m cc a o l u n fu t n o d r a o e n d d i e lb m a a b n n d C . es in Our account in me Ordinary course ol our banns which we paraMe to you
Account Positians: New your rnostmoms al rho current market vabo and corrparo the mina ambled 10 you
con 10 me Lerealued gains and losses in your pallo10 Original coal is assigned using me Margin Accounts (RegulatlenT): M you have a margin account. this report a a combnawn
in ru t. m T . h r e e n e te st u im t ( a F t I e F d O e ) r m no e s th tm od on . i O in le c n om a e ss 2 u a m n e d s m av e e r O a r g a e l s c h o a s r t e s p e yo r u s s to e r t e w a e r e th i o n s s e e d y a o y u e p d s t c o h r a y s o e u d r T ta a x x r R o a w n a g n in i g n : o Th x e p f l r a a i l c td e O v o rth w I l R i S f M res e s i o n w M ni o s o In n c e lu d d e Y s o u b re n i i b l r r io a M ge a y Fo a r m d r 1 A 0 l 3 c 9 re Is ls . . a w re e s a e l l m YO k u s r M an a d rg i e n s e no a t s s e u d ta a l n lo ti l a o r s p a e ll c i i n a v l e m s e to m rs o . r a A n d c u a m rp a le c t c o o u 1 n s t t o T t r e th d e n g ri s o k n s m as a s r o li m n a p t o o s d e w s e ° b W m in a o r n g a in !
r A e c ie c r o e u n n c t e A M c o i e M o l c y t : e A t p I e ur a c O ha L s O e I d IC at I e M i l s y s 4 h d ow e n n t y or d a e n fi . n 'd ed o . e F li e o t n ed 0 i 1 n y o d u a r t e b a ol d tin d g , P an e d ei r n e g l . a ted n the g d a i b s e . U re s l e le d d ~ a 1 l c is eis a h nd i r s t a e l s a p t r r o e c p e o e rt d s » Some armerts ere subject 10 redtediditiOn whin d v o e c x u in m g e i n s t b e y v a c t o a n b t l a e c t i i n n g b u e s e n I e t a h t e e n n u r m e b k e d r i ' s s c l l e o d su o r n e p d a o g c e u o m n e e n o t f Y y O ou u r m st a a y te m ob e t n a t i . n a copy d
a a o O d T r w o r d n a s t l l d d i i . n n s e . T i g e a s h t c C P o e a n m a e s c s n h e v h d g a d i S l n n a r e s g e n r a p v S c c o i e c e i r o t e . t i n n t s l s g e T M m p ra a e l n n n b s t e d g C r . e t o n i f O n l d e ra n u c n t d D e n n d e y g t O n a u i c M l r : h e a C e u c a A n k s c . h t c o d o m t e u e a a n l d n t t a r A c a g a n d e r g e m d , r e a y w n n s t i d l e h i r x A e 8 t n T o S s n M s t r o i a o ll l c o o e t n t d m m s e i y o r s . i n t a a d th r l a e . c l e l l i e s a a te l r t e e d d r e m c n a o d r n i a n t l g h e ~ C c d s a r u o M m a s lt w p t r e o B i l l n e e y a y d s a a i m s n l b : d e y t C r e s a C o n a r O s d n e t a I i t a t a m y t n h m d « i t M i e c t h a h n d e g P . u i l O r T o n m t o k R m a M A n 1 e E d m 1 l D o ) p r n a m o I a r e t D m r a r d t r e r o d a a m d a w d e ta o r d O m c w a e I l p i n e l o e k n i f d s m n g n C a e a t O o t r n a i I m N p C p C a O C o r r F n d e M e a b C a s b W l c I l g a A a o T : a E t m e t D e e a b a r r s e a n h t t W e r t a d ti o a l t y a a n r o o l d ° r t r o s P f s o e e h z a r c a l o e e y h e i m n c g s n t o n e e c t n s d n a c g t u s m c I h r o e r s e e m u p r n n a c p c O y h d o y m s n r d e m e s . x e n a b c g t r b _ r h o o r F a s 1 n a l n o . . d l g w a s a W e d o ( o o C S M r t O E t d p o m o C e o n p a a s . R O l t n e T n u r c D ° e s l a e n p ( A t t s o a l 0 m a r e 6 b 1 s 0 m a a ta 6 e t y n r r e a a d r o a n d e C v S p d e e e o l a r i 6 n - r o l t t 0 s t h s n e o 7 e s r d ) - m s : h c i s I ' o ) a n c 1 u y l C 0 o n s r w t s o t r e e i e m g n r o m r g e e a v e n S c e t n h d r e s e c e C e o u f l u l r v i m o r r i e i e e n l n l n p e d i a u e s s e n n e i r s n m s q o a u m I s f w r o h . e n r r / d T r a o l O e e o r d l d e a a A e e n d t m e r r d C d o l r b o e r t a d o v n w r t i a p t e n h d e t r g e o s o r
Online Cash Services Summary:Cm:It ard debt transaction totals lor me atom statement Margin and Options Account Agreements: Prompt>, ages° ID Amentrado n wiling et execution at vonvidarnavadocom A mitten espy is avalatle man rawest
repo erg nano* we summarized. Indhirked thineaCtente we nagged. any Mango in your investment repents a enamel stuarim as they wain to your
roue to rounding adustments. me stament dads may not con] the statement totals. m urn a rt m in o o e r x 0 e 0 c 1 u 4 t 1 io S n e o c l o s m p o o m o a n g w re a e n n s s o e c n o i o s n s A i s su .. m .a m l e a ry i* o . i COMmasions and dune, incurred m h a Is k e o r u s r t p e o n lic d y. O a n s o O n le i d W e ill l y i o t d o o p rs r u to d e th e b e c s o t n e tr u a t r e y c , u t t o lo n s e a le n c d t b th ro e k h er e s, l m (ba l 0 e 1 r s s . e a e n i d n g m a p r d k o e e t
retain/dad Anna/ Income and Esemated Annual Yield values are based upon Ole number d improvement on market orders. Paco 'mown:mare is avanablo War corLan market condlions.
shwas owned or carom value balance as Mtn* stalamant dale and Me most moan! &Mend One Maid Pikes: The mats velum el sauna hue ben vaan. d ~lek. kom and ma regulary monter executan to lost tor mob emmoroment d mobile
/ale a an Pahl pttMde4 g.atfrn Saga. ad Other inkpOndent admes lakes we Weed On te doing phle. Me
mom beta « age bd aid arlwe pows. a abet rretext. t no raker oho es svelte ion a Trade COMirmitiOnt (Rule 100-10): All contrmalions are ParemilledOn me inansidiOn dale .
GENERAL INFORMATION cadatlen emit* 6 OW incleggident Ewa). I've swab is Waal lo Wing ~of el
Nal.Peed CRP). nowiumass o. your mad»m axi are Warden as gain MMITRIen ad Tun: Trantraolons in toean eleOuritleS (taltdng *Min dminanY ADM OW lade 10 ‘110
10 limentrade does not proud* legal or lax adeco. Please consul, your legal adoeor or lax we dam guarantee Me accuracy dry scones axa lemma backed postern are welted U.S.) may webdo taxes ard loos charged by tin foreign manrad er governments. each may
traOuNanl when neattPlary. A8 8 Slanged infantry page. phone COMOSSIM. May be wing IFe remrang barla and be moral medial rake Pothole Mad wilaten8 may not be redacted in Me price 01110> acuity or charged as an ideperderd Ina Man
recorded be dually 00n1r01 and !tansy:11On vedgCSIM Ourpted. macron sake proceeds. The someday mated la Catlyass of Deposes (CDs) a gamely
loud and the adult sSIX me/ be 011~ from me ~as, rate Aei?*a't loss ce MinCtrtl Pits" Poky NollIketion: A cony of the TO Amertracb Piny POICY is Makbla al
For TO Amm-oadd hormonal clews. yaw advisor turn es separate from and not altrialed win may mob too go sale daft) pree to roams Bends ~be Red ammo Swung. trade whw.klamenemde can
TO knedirada. Inc. a TO Armored* Closing, Inc.. and each frm es not responsble la the dte'itly inn awry scansos and do rct wag en a qua excange. Rainy they Y n me
reads end 'anises UI he oner. OTC Per thecounter ~Sand turreentleuder manrad aal la tau »eh >Sur paston pia Cage Somalis.: The olocabon of and reeemplone a calls in done tong a prods Salmy
rriguty.1ho alb d tcrearna to moody ~pond 41 a las d penaal. system. A aoscnpion el the madam for callable sccunies es morale on to 'zebrine a hang
Accuracy of Reports:6 you find any errorsor omissions In your account statement you coma are available won fel.
should Immediately call us at the romper listed 0.1 page one 01 your statement You Non Standard Assets (NSAi ale typcaly manros n died partcpaton program smogs
should also contact our Clearing Fort TD kneeling, Clewing, Inc. el M4694900. garrentms. knead batty cempana. er red edam roomers irusetcarrrodey pools. muse In Case 01 errors a (western, typal your EledrOniC Fund Treaders. pease coiled us al
duty. Ora* debt er hedge knob. We we tiptab Moue ~1~3 wed do not lode en a 7!00669.3900. or in swing to P.O. Box 2209. Omaha. NE 68103. or by email at
Please roam too siatanam caroMily. It you diapad nub any transactor., or el here are any nscn.1 sauns echasu a no Nadu Stock Maid. The dues Words ta mad naman dieMeervites@SUMMIade-COm The ~nodal Ordained in your octant statement shall
weds or omissions. Maas, nobly a Client Senicomepresentedhe a yon tar Wench Cate. as are etdeehd mkes doted ion whew methods bating. OW not tinned Is. independent be lancing upon you it you do not duct wthn may WM days lor any !candor ot lures saw=
wel as 10 Amairado Chlorin. Inc. en wmrg ...inn ton (10) days ol yaw mom ei this appraisals. the pawns net asset, ands Mad ponysonar Woes Its hoe boar awned by to Regulabon E. such as ATM and polo drab :targets deb.: transactions. direct deposits.
statement. Any oral statements Thal you ham made to us should be COMM'S in mitre The na mmagornm. ~rota andaroacer ct oath own a by a Meaty lands« wthout and withdrimals lee must hear from you ro laser Man 60 dare and we sent you Ire MST
statement will asomes be considered concishe Independent ..encaWn by ID ~a. Wives may non relleet the algnal ~else pig. mammas on which the error or problem appeared,
actual market taut a be manras locon lqueascre C an mended value canna be estatrIshod (I) Tell us whr rome and account nutter
Please nary ce promptly ol any changes in your contact installation. Trareadions resealed on NOugh ~MOW& the niutnen may be reflected es NtinPited ("NV) Fa addlitned Octal (2) Dosed» the error or the reandar you arc unsure about. and explan as deafly as you can
your meat wil be concbsrualy deemed acarratounloss you ripely TO knyeradoernmodotob. rogaiong wagon la abn.Shasdartl kam. Owe cams Cam Schwa These rrosimmis why you bettered es an error or why you need mac inlormabon.
are not aged under me SPC (3) Tea us the dolts **owl or the stoPected error.
Account Prolectbn: Deposits hold by MBank. N.A. and TD Bars USA. N.A. aro inured by Wo ad innings* your complam and wil correct any error promptly. el wo lake more man ID
Te FDIC (MI Covered by SIPC) up 10 6250.100. Limits ere per SCCOunl ormerthar Per Auden Rao Scourge CARS] Prong: The maker cams la PAS sonar= hao been amned. biniress days 10 do Ns. sewn Creel, your tIOCOure br me amount yw think is in error. MIMI
iniblugOn. TO learn more about FDIC egged°e go tO +new 101040v. Satiate& indudng Imettle. Mom carded:re whims er Wier ~Dade«~ cm The way al me Meng a nol you wIl have to use al the money dump me tone t takes in to corns:two our Invade:mtge.
mutual funds. held in yetia ein)kerage Account are €101 Spews Or oblgalions ol. or garantod. Ha mans lobo em torte. TD Amalradedi pm Me PAS patio. stud 4110
guaranteed by. any barek. are not FOlt enswed. and involve investment nsks. indudng arederdas bon to loudly ad undid/rig oak quaty. the MIS market is currenly
posstle loss ol prince:al. TD Amenrade es a member ol the Saudi*: Investor Promoten ONiendra) alom elSalty end. 8S8 mot Mae an be no auverce mal such emotes an
Corporation (51PC'). which protects mount= automats of its members up le 5500.000 be sold wider one ~Mt cots. MiTD15007d4
(inchading 5250.000 la claims for cash). Explanatory brochure is available on requeel at
REGULATORY DISCLOSURES
wyntsimaxg.
Addltionaily. TO Aniedlrade prOhdea each Clan $149.5 mullen worth ol moleskin tor MI wansoceons aro stbicci to to) me consisubon. RICO regulations. customs and usages
SeCurillete and $2 mllon 01 proesten br can through SupOlemenial coverage provided by or the exchange Or merket and its deetilgrouSe. M any. on Mich such transactions ere
London insurers e EA x ecuted w) lama! a laws. 0 in 1 dLdng 5 m 0 e Secunues A en c t of 193 o 3 i r a e nd me n e S a «u n rt i e hde s SDNY_GM_00011838
EFTA_00122489
EFTA01267968

Statement Reporting Period:
1D Ameritrade
08/01/15 - 08/31/15
Statement for Account # 867-730320
800-669-3900 Announcements:
D TO IV A IS M IO E N R I O TR F A T D O E A MERITRADE INC S 6 A 1 O T 0 T U 0 N T R : H J E E E D R F H F N R O F E O IN Y K A E O N P T C S R IA T S E L S I L N T L E C B-3 F E R D O UC M A Q T U IO IC N K T -H H I A T T V 'S ID O E N O Y S O T U O R F C U L L O L- C O K N .
PO BOX 2209 ST THOMAS. VI 00802-1348 COURSES, THE EDUCATION CENTER
OMAHA, NE 68103-2209 MAKES IT EASY TO FIT LEARNING
TD Amedbade Clearing. Inc.. Member SIPC INTO YOUR DAY. CHECK IT OUT NOW
AT TDAMERITRADE.COMIEDCENTER
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $ $
Insrd Dep Acct (IDA) 51.585.20 51,584.76 044 0.01%
Money Market
Short Balance
Stocks
Short Stocks
Axed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51,585.20 $51,584.76 $0.44 $ 0.00 0.0°1O 100.0%
rnritrtnirrirt
Cash Activi Summa Income & Ex • ense Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance $ 0.00 $ - Income Cost Basis As Of 08/31/15 " $0.22
Securities Purchased Dividends S S - Unrealized Gains
Securities Sold 222.913.42 Interest Unrealized Losses (0.22)
Funds Deposited Other Funds Deposited/(Disbursed)' (3,000,000.00)
Funds Disbursed (3,000,000.00) Expense Income/(Expense)n°
Income Interest Securities Received/(Delivered)rw 0.00
Expense Fees 'Tor cost-beats Information, refer to www.tdamerltrede.eom
Other 2,777,086.58 Other
Closing Balance $ 0.00 $0.00 Net $0.00 $0.00 $0.00
SDNY_GM_00011839
CONFIDENTIAL
papal of 3
EFTA_00122490
EFTA01267969

Statement for Account # 867-730320
08/01/15 - 08/31/15
Online Cash Services Summary
Description Current Year To Date
DEBITS
Electronic Transfer $ (3,000,000.00)
Subtotal 0.00 (3,000,000.00)
TOTAL 0.00 (3,000,000.00)
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.44 $ 101.72
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a precious tax year (spillover dividends). The year to date torah will accurately reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.003 $ NP 08 05 14 $ 0.22 $ 0.22 $ (0.22) $ -
INC
COM
Total Stocks $0.00 $0.22 $(0.22) $0.00 0.0%
Total Margin Account $0.00 $0.22 $(0.22) $0.00 0.0%
Insured De. osit Account Interest Credited
Begin Number Interest Interest MID tiro
Date Balance of Days Rate Accrued Accrued PAID
08/01/15 $ 51,584.76 31 0.0100 $ 0.44 $ 0.44 $ 0.44
Total Interest Income $0.44
SONY_GM_0001 1840
CONFIDENTIAL
page 2 013
EFTA_00122491
EFTA01267970

Statement for Account # 867-730320
08 01 15 - 08 31 15
Insured De. osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,584.76
08/31/15 08/31/15 Received Interest: Insured $ 0.44 51,585.20
Deposit Account
Closing Balance $51,585.20
TD Bank NA $51,585.20
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage &occult are FDIC-Insured up to applicable limits and held by TD Bank. N.A. or TO Bank USA. N.A.. or both. The IDA balances are not covered by the
Secumies Investor Protection Corporation (SIPC) protection appscable to your brokerage account.
CONFIDENTIAL SDNY_GM_00011841
page 3 of 3
EFTA_00122492
EFTA01267971

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SDNY_GM_00011842
EFTA_00 122493
EFTA01267972

Terms and Conditions
STATEMENT GUIDE
IL 4cc wad° prandes moet,. Portfolio Moot lor aocoums talt acverty and quanedy repels h Ihe ent« Ot a bekap° ineotrency. a dem may rethearnants due Item the Must> For an meester brochuo bal maanes intonnabon desaliang FINRAs Pat Doctum
Lar diact:e accounts tab assels.' in ~Pad and Man SIPC. Stormental ~omga is pad out aker lno trust and Program. Oase contact FINRA st 030-289.9a99 or wymlindag.
Portfolio Sommen,: Tache Ihe Correct Mbo d your p00010 es 01 die 10904 dele end SIPC payouts ard Ør such coverage each dent es ~led to a ccrtenod return ot
~part n to me prior rnonlh.8 The SOM etatsion «teelt yOur p00010 divendeation by 5152 milt trom a Walen. SIPC and London inurers The TO Anteritrade Stplanentel Dm interest rato ~An tor TO Amertrade Cash a laken Oom tho macabre minst rato eer lor
investert type covert* lus an aggregate Iml ol 550) muon ara ab cum:nors. ins potcy taande: the Merkel Vet baart n IN TI) eMergede Cali. as 01~ illele~M °ben) date Simple
COverage lotkraing bakaage insohincy end tos nOl paal &geinen ba in merkel vake interest es acnxd daily bast on the interest rato sa omgroen to ten dofs totaal).
MMO* ottetalen under 5% ma be grourt (Me tho <memory ol tinor' in tho pa chan. Maan ot me scrounos
Eet>, - Toto/ Account ErtuiViToug Long hterginable Vat • Total Short Vet) Finanotal Statement Noldbation: The mammae ol ~neut condtton lor TO Omen:rade rs
invesiment h a money malta tune is nø1 ineured Or Werarneed by Me Federtd ~Iade trvce a >eer and may be obtened al nO oost vie Ihe intomen al
Attreity Summary: Ine opening and doling cash blanca am reconded hom lor year pack Depte Ilturane Corporabon (FOICI a any oma gawarnrrat agency- Mhough iha Mipictrantamentradeaomenancitimemonthan.
relotoico Ai account agnry es st:maast lor IN Noem paiod and voor to dato_ fund! bek 10 pets« the vat d yOur teslment al 51 0) p« share. d b paait» 10
Income a Expansie Summary inendlitAs only): TMs sortien daalt ene ritme ard ~ent lOse mort by investro n a money merkel kind. 1)Mderds ere decbred daly end °neon Astremene All short eter poon poortent and rome index cpm pontons aro
tiOtati (rom me Mint Summary and teelt the las litalMent pacttemestod morty. Rio pmapeces contans des ard odia important normalon evaleble lor assignmem. Eetnee assignment races br toer or index oplions are rendOmly
Rebnament Account Suennury ORM only): Acts ho IRS recolatod transaceons for iho Reed the prospectus abrebilty betere ~ding. 140n-dept il invetten% held by your alocaled aflang snol pontons br an anarnalcd pratte.
<vree% ard ptt mud lRS Form 5498 len merka vak» ie band On IN afrent robe aa of bokor deler are NOT FDIC NSURED !NOT BANK GUARANTEEDi MAY LOSE VALDE.
Domineer 31 o1Ø pranous yoar and tel be furnishod to~ Interral Revenut Seine. Free Credit Baboe« (Ra* 15634 II 3): Onder me tienti promotion tos. wo may use tree
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I c A r o c a o c . l o t l u o b n n o s t e e P n c s o i e i m t t r l t u t a : ( e o F t e n e I k F s n t : O e N e d I r m e re p w e o e s l y i h n t o m o s u d a r a n . r t n ~ n d e o e n s t h c o t o r s n m m s o e e n 2 s u t s n t a s a n t d y o t h ~ u d o r i r e c a Ø r u g u r 1 re o ° i n d 1 o t 0 o o m m s a t O s r m p k K e g a r r i o y ne s a s t h b e a c o r t a e a e l r r a e d i r s e r c o a o d s l r i o e r e p p g a a y n r o y e o u e d t d p h u e r l l e o i o n h r n g a y g I s o b u u e e r l r T ta e O i m t r e ~ a le n c d a e b n : y t n a P ox re rp ~ la O m IO e m ~ h a E l S if M oc a r a a r t t ~ is o n in w du il d e Y s e t b i w a e r e w e r k o e o F t e . rm c l 1 u 0 d 0 e 9 n fo t r . a rØ rs t M & let b it r s u m a in a n A r d le e a n c e e n u e o n r t o i ~ e a s i a R e i e e o n g d u l a l o a r W b a n e ll e T i k n I t v : ] ~ e H s y w t o o u r o s h . r a d A v t e o " e a m m e p a :C r a g O ° in u l a a nt c d T t r ," a th d e n t g r re o O s k n r t e ~ a p k s o s r i o t n d m a a p l o e c s d o e w m s e ° b O l n m d a e a o t r t g n e i s n l l
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re O P i O to na g C g a ) s 0 h 0 0 S 4 e r r e v i s c u e m s m S e u r m iz m ed a . r I y n : d C h re i d ta it l a tr r a d n d ee o e t tt t l r i a i e ns ie a c r t o io t n s t t o . t als lor mo arrom statement & an b y e g ta in n a g n o d O re p y ti o o u n r s i n A v c e c s o tm un en t t A c g b re tu em yo e s nt s o : r P le re a m rc p i l a y l a s d t a u s i o t 1 0 a A s m th e e n y ir o p de e n n t ~ n to a y o o ur t °zeeton at wowidarrentradocom *walen spy is avo ratio an roomst.
myrlen Or arbenS aCCOunl agreements A sumnery OI ammitsions and dunt Meun« is trur play. absent aard orders biho oortary. to select baas. Waters. ard ~kei
tue te monding actustments. tho stmoment ~als may not aØØ statement totals. win Ine oxcroulko ol °Fopt trant:eens is ~late. makst bered On IN> 80ily ko porde bed <naton ani the halery 01 ~no eia
Emneled Anno/ Income end Eserreted Aneul Tred valuta tre baud ebt Ibe nuMber d ernprovemcent en mart orders. Pnco improyemontis aV311.1010 unief oenen makel condbons.
slums at« or avrom vake balanco as ol tnt rateovn dale ard Me most ~am drndend Ome« Merkel Prees: The molmt waan cl scones ham bom ce an«. d motto kom and wo toedoet, monter executts to lest lor :th 'mormonen d ~labo.
die or cash Pekt pende(' q".:10‘ eenfee ad Oer exependtrit sans Wit se baud On Ob dan) pon Me
mem beman me baad arkng pica er odia meert. I no mort ~eis made tm a Trede COMIrmelkone (fluN100-10): MI conIrmalions are ParemilledOn me traditOn dele.
GENERAL INFORMATION q.daiacn sent 6 Oh« indetodent ~a. he streeft is stad to ~g mlecled
At Pot C1A) Doe iniutns your pendo rat are ~wad aa gruen M.awelen ltd Tas: Trantiactions in beton ~Wilt (nelatiO tekin ~WAY ADM Iblit Ede lo Op
1D Omen:rade does not politle legal or las ~ce. Please consult your leemt adseor or las to era guaranloo lbo accurazy dry spanen brem brolaago backed postons tro telN l U.S.) narr mede taxa ani loos tarm« by Vb hegn manetser governments. vAch may
OCCOurall :ten neablery. As e dart« intaby plaat. pette COMenialiens NV be ~g We remming banco ad lbo ~el merkel pre Pidelb Kool tutu At hel be reteeled in Ine oie Ol lip seeurity Of ~peda an :debat« Ine gen
tettert br utery 00nedarld leansadiOn vedgalt Dunpose. reaccer salto procent. Die sterday mast la Cogrmes el toosts (CON n generaly
dood end the stud als me, be dtled« aan mep.rdese ofte Asatert las Of orrravl Preacy Porby Notilkillon: A COOy of the TI) Ametacb privacy PONY ie aveable el
For TD Amentrade baseboonal dart. your advisor hem es scparato from and not aelialed wtli may ravl tom Me tab cd a CD ora 13 mark Brt andly Fred Warm Sauna. Indo wawMamairadocorn
TD Amentrada. Inc. er TO Arnxtrado Clovng, Inc., ard ton h'm es not responsble la the elferomy ier coary turner and end pa cri a qua acrona. %Mot mor traant
Orakels end sonices Ol Me ante OTC loer me counko mek« and tkerotrit lquay ma na ~ b gru »ab >our poolt picr Carter ~rite The enteon el perbal roeemplensa ot is dane rang e pront ketey
le Ir tidy. lho to ot ana Ø le rrubsty m2/ cooJi n a las carnapa. syslem, A ~Topten el the proattes br ~iele struint is avalabloon to roeide er bant
Moneyof Report: H you bind any errors or «Malone In your accouM statement you copiel aro ~tabla uponirop.KKI.
*houd immodieudy relt us el the flaneer list« m page med your statement You Non Standard ~as (NSA) aso bocaly manou in ervd pasicmaCon program tombes
enould olim contact out ~ring rem, TD Amethist Clearing, ro. el 800469-95100. !)ortrontrps. Imecid! slab ~mina. er tod atm ~ron trust. commadry pot. prut In Case Ol enen Or ~stom &Out pur ElearONC Fund Tantra please CO teel ti el
«uty. plate ~I a bedt» krt. 14546 ere bobt llatid imealmeas ad do na edb can e 1-K0669.39M or n ~eo to P.O. Box 2209. Omaset. NE 68103. or by orrap at
Please rcenew mc sialetTont earcAlly. Ir you Stam nuh any transamen, ord Mae am any risima sauna ochange a ho tom Stoa Mslt. oio illua ddia: ta tee mønets dierneervkikakekaMeandeCOm The Øltotem cOnished n >to *aa« statement shag
«Mis er emissie«. please rally a giant Services represeMethe a yOur kal bent elte. Ss ad Simt ~dis Muntti ham Orkke ~hals ~Ina Nl nol Inted b, independent be bndng upon yin il >aide not Cio ecl wthn :day la)) days lor any Irantier d luids ~pet
wol as 10 Amadade Cleano. Ine. in wrong nithn ton (10) days of war reent ot th, oppanis te praat net tee. ander tred partytonder celen ta ham boon proded by to Acgulabon E. toch aa ATM and pont otyab :ratteas dot transactions. dett amosits.
statement Any mei statemenis Ihet you hem ~Oe to us tal* be COnernted in veitog The Vn navlemal ack•nstrata. ander gaar d ene progan. er by a thrdpaty ~da ~out and dlhdremils We must heer trom you ro Ieler Man 60 Clan ener we se« gru Ine FEST
statement ti «hemse benmines conctrve. inctendem narenten by TD $««~e. Vete mei Ni rat ma alom, pitte pico. stommere on whist, the error or problem appearcd.
nol ~km tut er be roalnd ton Nadoen t an ~naad iet* card bo establohod (I) Tel us you rente end account ~ter
Fletse meelt a moment, el any Charge in year cOnleci inormation. Tratettions Meel« On trOugh rose neet& the wenden meg be reflected es NOr•Pnied ('HP) eg addli~ deal (2) boarbo the error or the teanser you are unsuro aalut. ard oxplan as dab, as you can
your rcpon wil be concbseoD~ed acoodounloss you noely TO Amen:fado irrenadatoy. reptng vabaion la Non.andard kam. plet amict tont Sawa These meertras wny you betere d 's an error or why you nood mere inlormation.
wo net ~wol under Ob SPC (3) Ted us Me dab, anrodni of dag supte error.
Account Prolectbn: Depots hald by TO Rank. NA ard TD Dank USA. N.A, aro intrad by Wo nti, tantes* your °omplant and wil wrat any error promptly. ti we lake more man ID
7,0 FDIC (ral COvedd by SIPC) tip 10 $250.000. Linea are per aCtOunl ontlaat per Anm Socurbb (Mitri Prang: Do motet~ Ia AAS ~maa time been ~med. business cts lo do Ns. we WO CreCal yOW ecoram br OM &MOL« yOu mink is n error. snei
iindlu001. TO leem more etOut FDIC Gevaat 90 b onew ICIC/adv. State. induring H meltes. bom tasten sent. or ter ~pet« ~Ce: Tse way ol Po preng is nos you wil have ~ uso ol the rrrneydunng tho tinet taket a toean:Cao ourinvestgatt.
~baat funds, held in 00 Omtrapt. ACCOunt are MI deptilli Or obloalions of. or ~anti Ha mat« ~os na adat. TD Amolrade vijl prim Vb ORS pcaon.takrg rib
gewantaed by. any bank. ab not FDItenstred. and envot brormon) das. irrludng ansdertn bot eo buddy ad underto act quaty. Die ARS maxi is currenly
posstle loss cel princoal. TD Amerrade is a momber ol Ine Setters Inval« Praatten nontirla e lak keklty end. esa ~A Irae OM be ro ~race~ toch sepots an
Corporalion (51PC). which praech acute: atomen of els moerbei, up lo 5500.000 to sela urda oase ~Nl codices. AUTO 150 07,14
(nceding 5250.000 lor dorre lof cash). Explanatory biochure is available on request
REGULATORY DISCLOSURES
kwAsit
Addebnaly. TO ArnedtraCte pro edet eed: deed $149.5 ~ton wort' Ol ~Baba for MI kant:bons aro ~ti to p) me constdueon. Na. rogultans amor@ and usages
IteCudtkiti and 52 MIIOn 01 IXONCIOn br aan Ihecogh Supaemental aarsnone IXOtted by Or Ne exchange Or ~kei. and ns dearvortouse. H ww. Un ^heb *ut kantte:ns ere
London Meubels oxecuted rirl iodeai 4 laws. o i u n n d cr a iD ag O m e Secu m n ts A in n ot 193 i 3 t t an on d d Ø e S t « te u r rte t: s SDNY_GM_00011843
EFTA _00122494
EFTA01267973

Statement Reporting Period:
1D Ameritrade
09/01/15 - 09/30/15
800-669-3900 Statement for Account # 867-730320 Announcements:
D TO IV A IS M IO E N R I O TR F A T D D E A MERITRADE INC S 6 A 1 O T 0 T U 0 N T R : H J E E E D R F H F N R O F E O IN Y K A E O N P T C S R IA T S E L S I L N T L E C 8-3 F ap ill p e r d o a w c it h h e f s r . e T s h h e th T in ic k k in e g r T a a n p d e c ® re is a t y iv o e u r go-to
PO 80X 2209 ST THOMAS. VI 00802-1348 resource for investing & trading. Stay up
OMAHA, NE 68103-2209 to date with market insights & commentary
TD Arne:brad. Clean®. Inc.. Member SIPC from TD Anodised° every market day.
Visit toninv.theticketlape.com
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ S . $ $
Insrd Dep Acct (IDA) 51.585.62 51,585.20 0.42 0.01%
Money Market
Short Balance
Stocks
Short Stocks
Axed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51,585.62 $51,585.20 50.42 $ 0.00 0.0°1O 100.0%
Cash Activi Summa Income & Ex . ense Summa Performance Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance $ 0.00 $ - Income Cost Basis As Of - 09/30/15 " $022
Securities Purchased Dividends S - S - Unrealized Gains
Securities Sold 222.913.42 Interest Unrealized Losses (0.22)
Funds Deposited Other Funds Deposited/(Disbursed)' (3,000,000.00)
Funds Disbursed (3,000,000.00) Expense Income/(Expense)rm
Income Interest Securities Received/(Delivered)rm 0.00
Expense Fees 'Tor eost-beats Information, refer to ww.tdamerltrede.eom
Other 2,777,086.58 Other
Closing Balance $0.00 $0.00 Net $0.00 $0.00 $0.00
SDNY_GM_00011844
CONFIDENTIAL
page 1 of 3
EFTA 00122495
EFTA01267974

Statement for Account # 867-730320
09;01/15 - 09/30/15
Online Cash Services Summary
Description Current Year To Date
DEBITS
Electronic Transfer $ (3,000,000.00)
Subtotal 0.00 (3,000,000.00)
TOTAL 0.00 (3,000,000.00)
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.42 $ 102.14
'This section displays current and year to date taxation values for Mrs account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date totals will accurately reflect your cumuLstive arrant for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
LIFIUA INTERNATIONAL LIWA 1 $ 0.002 $NP 08/05/14 $ 0.22 $ 022 S (0.22) $ -
INC
COM
Total Stocks $0.00 $0.22 $(0.22) $0.00 0.0%
Total Margin Account 50.00 $0.22 $(0.22) $0.00 0.0%
Insured De. osit Account Interest Credited
Begin Number Interest Interest MTD tiro
Date Balance of Days Rate Accrued Accrued PAID
09/01/15 $ 51,585.20 30 0.0100 $ 0.42 $ 0.42 $ 0.42
Total Interest Income $0.42
CONFIDENTIAL SDNY_GM_00011845
page 2 o13
EFTA_00 I 22496
EFTA01267975

Statement for Account # 867-730320
09 01 15 - 09 30 15
Insured De. osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,585.20
09/30/15 09/30/15 Received interest: insured $ 0.42 51,585.62
Deposit Account
Closing Balance $51,585.62
TD Bank NA $51,585.62
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-Insured up to applicable limits and held by TD Bank. N.A. or TD Bai t USA. N.A.. or both. The IDA balances are not covered by the
Secumies Investor Protection Corporation (SIPC) protection appscable to your brokerage account.
SDNY_GM_0001 1846
CONFIDENTIAL
page 3 of 3
EFTA_00122497
EFTA01267976

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SONY_GM_00011 847
EFTA_00 122498
EFTA01267977

Terms and Conditions
STATEMENT GUIDE
Arowado provides morally Portfolio Moors lor accoums van annoy and quarterly rooms I> be von Ola brokerage insotrefity. a Client may Marne Motvis due kan the trustee F an osso brochure Mat incbelps intormabon denoting FINRA's Putlic Osamu],
tv mac:ye accounts win assets.' In baribuldcY and mon SIPC. Sidolemental coverage ei pad out aim tho trustee and Program. please Contact FINRAM 8352839939 Or wwwlinmag.
Portfolio Summary: Treed me current value 01 your D0111010 as 01 the regal dale and WC payouts and Laer such coverage each clone is limited to a ostibnoci urban of
compares n to pie prior ~Ma The allsel lineation irdC81.34 your pOrd010 diveninCalion by 3152 miliOn horn a trustee. SIPC end London insurers The TO Antedliade ardplernental The interest rato ~An tor TO Ameretade Cash a leken from the oppcape me/onraw ser lor
investment type coverage has an aggregate bra ol $500 motion over all custanors. The poky provides the Markel Value balance n Me TO AmeroedeCesh. as 01~ aelerteM casino Ode Simple
Coverage lolbainp brtervage insolvency and does net poled against Ins in marten valle merest is mama dab based on the interest raw ea applcablo to oath days balance.
M.Mple Moulton under 5% me be groused into ~category el "Ctrs" in the pee chart. Margin ce eve socunbas
Earn, - Told Amount Emiblimed Ming larvginable Value • Taal Shan Value) Financed Statement NotircatIon: TM sidemen ol Mancol condom lor TO Ormond* es
An investment n a money mathat lund is not insured Or gararneed by be Federal ~table Woe a year and may be obtened al no Cost. via the internee al
Activity Summary: The opening and dosing cash balances are reconcrec here ler yew quick Depose Insurance Corporabon 'CPC, a any other gworarat agency. Although Me hm..rnwyrratanontradecom,bnancialstammentlard.
rerreerice Ai account acunty is summonsed ler be currant paled and yea to dot*. Ands Beek 10 preserve the val. Ol your rertImeni al S100 per share. 4 b potable 10
Income a Expense Summary inemEtAs only): This seam detain too income ant emenser lose more, by inseam; n a money market kind. Dividends are declared dab and Option Assignment: Mi eon comb upon posnons and some index option positions are
Woe horn Mo Manny Summary and Cbsairies the lax liernment. poethursosted montily. The prospectus cordons Iles ard once imconart Mammon_ available br assignment Emma assignment Mani for equity or Men options are randomly
Retirement Account Summary (IRAs only): Review the IRS regnatod bansaceons for Mo Reed the trospeclue Meek% Wore ~fling. 1.0n-001Xeil investments herd by your Mooned among all ohms' shod posbons by an automated proceckse.
rurett WC, pro yeas, IRS Fenn 5498 Mir Marble value is based On the current value as of broker dealer arc NOT FDIC INSURED/NOT BANK GUARANTEED/ MAY LOSE VALUE.
Docomser 31 or moo previous year arden to furnished to~ Internal Revenue Same. Free Credit Balances (Rule 16Øt & 3): Under me clam protection mt, we may use free
l P 0 e :0 do *: n ' n o a r n y c o e u S r e u n m u m re i r tr u y m :M m on o i n to t i s y t o ra u t r e a g n y n . ual portfolio penormance ard the unedited gains and c T a h n e t b o al a lq n u c i e c ia n lt y a o o u n r b y a o n u k r o 0 r 0 d 9 e 0 r, 9 a 1 n m d e lh a o n p t ro O c r e B e o ds r r n e t O u f r r y o e d w l o m y o a n m ey m m a at n te e l s n i a d c u co a u l n a t n o d r C on re d d e it m ba a l n a d n . c es n your MCOunt in the Ordinary Came el our amen which are payable 10 yOu
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Online Cash Services Summ ary:Croft ard debt transaction totals lor tho arrom mammon ~gin and Options Account Agreements: Prompt/ aeries ID Amentrade n warp et oxecurson s enmadarnxtrado_com. A mitten copy is avalatle teacti request.
retbring Paled eve sumnusiad. InelMebal benadvent are not listed. arty Boange in your investment clomuros et annul shown as they pertain to your
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teninald Annul Income and Esernsted Annual Yield values å e band upon the number of improvementcal mana orders. Pnce improvement,s avanabloirder canon market condoms.
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GENERAL INFORMATION qt0lakn tern> 0~ independent sane. tie smutty is initted 10 bang reteckel tie
Ma Prod OP) lbeiclusams cri your paticlo repel as preened as wool Mandan ad Tax»: Transadkns in foreign sedurila (Martin° foreign ~Wirt AC" ISM Ka in Ea
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recorded br Salty comic, and transact on viiitralMiMMOSte. nilom« mks prococch, The scoot.» nØ la Contras id Deposes (CDs) a manor*
loud and the actual M&e may be clIterat eon me ovalartate MOTSlob d PVICMI ~fly Porky Nollgaillon: A cony d the TD /Mabel» privacy DOICY is aVaMMStr al
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TO ainciaracla. Inc. a TO Arratrado Cleared. Inc.. and oath Ism is not responstle la the ~cony Man hub women and donor sad en a load ~go. Rama. Ivry saM n me
PrOekxls end senices 01 the Ogler. OTC Wes !he °Dunk., nwlya and sUrart tawdry nuyrce met la >a barn >our padon plot CaMbir Seadilin: The 'location or penal redemptions or cells is doe yang a pro rant any
tom-ay. The sib et bond gror to ~et nivy reol n a lens el prilopd. system. A mammon el the proombros for callable saunter. Is nabobon to reerale a hang
Mammyor Reports:II you rind any errors or omissions in your accouM statement you comps aro multibto uponea:pos.1.
Mould Immediately call us et the amber listed on page one 01 your statement. You Non Standard Amen (MAI wo may mamma n arta pampaen program securbas
Mould also contact our Clearing rem, TD Arne/loans Clewing, Inc. el 8004694900. ~dips. brniodlablItyccmpamx. er red estate roamed bum. arrrtaty pools. angle In Case 01 errors a coestens tboul your EIMIOniC Fund Trendier. please CO lad 8 al
,uty. grim* debt a hedge inch NS& se boaen baud imealmeas ad do na hide en 'MO 66.9.390), ot n vanrg to P.O. Box 2209. Omaha. NE 66103. or by email al
Sleaze rancor the statemorn carcally. ir you timed* with any transactor.. or il Mao aro any nalond accurtes maven.« to Nasdaq Stock ).Ledd, Toques ~on la tome rrostrans ClieMetmkeKaldanlediage.COM The ~meal <OM/lined n your *Cann statement shall
aids a crwsvom. please Wiry a Client SeM,Breolesentaliraa ye, lOcal bench aloe. as se ~al am ~eel Ian ,orkke meMOOS. Ø, bN nei IM/ol m Independent be bndng upon you il you do not ab ecl wain sixty (60)days lor any !candor or lunds pima
woe as 10 Amairado Clean-9. Inc. in wmrg enho ton (10) days el yew romp of this apprardis to progons ra =ob. anew Ma party tondor tilers hat ha* boon prowled by to Rcalabon E, such as ATM and pan arale bunion, debit transaebons. sired deposits.
statement Any oral statements Mal you hare made to vi abode' be cornmeal in veiled The to ~goner. ~raw. ander spacer a ash pcgan en by a thrtlinty nr wind and edheliernik We Must hoar from you ro later Man 60 days aner we Led >du Me FEST
statement Wit °aroma be considered concahe. Independent rettslen by ID ~a. Values may nor died pie orlon& ~lase pica. summon on whch the error or problem appeared,
Ø market value a be malm :1 upon kudos:neon øt"Ø value canna be (rancho! (I) Tell us tar non. and account amber
Please natty vs promptly 01 any changes in yam conned information. DareatIOM rearbled on trough l'eSe methods. Me elusion may be !SOW as NOrsPited MP) Fa ~MS Octal (2) Doscrbothe error or Me transler you am unsure about. and oxpbn as dearly as you oan
your moon real be conchae,* doomed accurate unless you mob TO Amanda irrecidatob. comma notmon b NmStamtant Aces. plena aroma Cite Saes These rivasinass why you below n is an error or wily you need mote inlormabon.
are num ant on/Soft SIPC. (3) Teti us he Ocitar .1M0.ri 01 the sabangeg error.
Account Protection: Deposes hold by TOBank. N.A. and TD Dank USA. N,A.. aro toured by Wo Mrll mrosigact your complain and tall <area any error promptly. el we lake more than ID
i t n ie ia l F t4 D O IC n. (4 T 0 O 1 le C a o r v n e r m ed o r b e y a S b I o P u C t ) F u D p IC 1 0 c o 2 v 2 e 5 r 0 a . g 0 e 3 0 0 . 0 L 1 i 0 m b w s ir a e r e IC A p C e . r 0 0 a v C . t S O e u C nt u l o le im S. e i r n t c n l 0 oc p In e g r H A a m rt o le n t R le a . K o o S rn a c u oO n t a al e (A n R ee S r D rt P e r . o o n f o g: il h er e ra m g e e s s a : l M ob I ~ = e la a O R T S h s e c a a c m ar s a h y e o r l o th b e o p on Ø °t un is e n d a . l b y u o s u i n w e l s l s h a d v a e y s n l o o u d s e e t a hi l s t , h s e e m w o n ne c y r e d e u l, m y p ou t r h o tw ti o n M e M I t b a r w s us s m to c a a rt r y p o e u t * th o in u k r i i n s u n e s a tg rm at s on /S . IM'
mutual 'uncle, held in WV Brokerage Account are 401 depotils Or oblgalions ol. or garanioal Ha motel ~a snot maldab. TD ~Made SI grue eo OAS mum. tared nth
guaranteed by. any bank. Ø not FOltinsesed, and involve investment mks, includng censolet boll to klualy ad undo,,mg ode quay. The ARS ~tee re ~only
missile loss ol princpal. TO Amentrade is a member ol the Securities Investor Praocton tremaning a Mk 011esalty and. ma mot ~eta, be re e"SvlrCelbal eoditreaarbeSan
Corporation (51PC'). which protects secunlies customers or ils members up to 5500.000 to and undo, oscremalrel cottons. AMM1500744
(inter:ling 5250.004) lot daims for cash). Explanatory brochure is available on request at
REGULATORY DISCLOSURES
A001110nelly. TO Antenna* provides ash cleat $149.5 trillion worth 01 grOleCOOn for MI Crania:eons aro abject to 0) The consmubon. Na, regulations customs and usages
securities and 32 °Ilion Ol IXONCIOn for cash 'Neagh Supplemenial coverage provided by • Ra exchange Or market and its dearrighouse. H any. on Mich such bandeos are
London Insurers. c E a x c curca: no Ma 1 sai Lies. 'dia cli l e o r g e q th t e e Sambas Act el 193 o 3 r f a A nd te t n he d Sauenes SDNY_GM_00011848
osen . o and mva
EFTA _00122499
EFTA01267978

ID Ameritrade Statement Reporting Period:
10/01/15 - 10/31/15
800-669-3900 Statement for Account # 867-730320 Announcements:
D TO IV A IS M IO E N R I O TR F A T D O E A MERITRADE INC S 6 A 1 O T 0 T U 0 N T R : H J E E E D R F H F N R O F E O IN Y K A E O N P T C S R IA T S E L S I L N T L E C 8-3 F ap ill p e r d o a w c it h h e f s r . e T s h h e th T in ic k k in e g r T a a n p d e c ® re Is a t y iv o e u r go-to
PO SOX 2209 ST THOMAS. VI 00802-1348 resource for investing & trading. Stay up
OMAHA. NE 68103-2209 to date with market insights & commentary
TD Amerinade Cleating. Inc.. Member SIPC from TD Ameritrade every market day.
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Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $0.01 $ - $0.01
Insrd Dep Acct (IDA) 51,586.06 51,585.62 0.44 0.01%
Money Market
Short Balance
Stocks
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51,586.07 $51,585.62 50.45 $ 0.00 0.0% 100.0%
Margin Equity 100.0%
Cash Activity Summary Income & Ex • ense Summar Performance Summary
Non
Current YTD Reportable YTD
Reportable
Opening Balance $0.00 $ Income Cost Basis As Of - 10/31/15 " $0.22
Securities Purchased Dividends $ - $ - Unrealized Gains
Securities Sold 222,913.42 Interest Unrealized Losses (0.22)
Funds Deposited Other Funds Deposited/(Disbursed)''1D (3.000:000.00)
Funds Disbursed (3,000,000.00) Expense Income/(Expense)n°
Income Interest Securities Received/(Delivered)"' 0.00
Expense Fees ••For cost-basis Information, refer to waw.tdamerftrade.com
Other 0.01 2,777,086.59 Other
Closing Balance $0.01 $0.01 Net $0.00 $0.00 $0.00
SDNY_GM_00011849
CONFIDENTIAL
page 1 of 3
EFTA 00122500
EFTA01267979

Statement for Account # 867-730320
10/01/15 - 10/31/15
Online Cash Services Summary
Description Current Year To Date
DEBITS
Electronic Transfer - $ (3,000,000.00)
Subtotal 0.00 (3,000,000.00)
TOTAL 0.00 (3,000,000.00)
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.45 $ 102.59
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as =vector's to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a precious tax year (spillover dividends). The year to date totals will accurately reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.0033 $NP 08/05/14 $ 0.22 $ 022 $ (0.22) $ -
INC
COM
Total Stocks $0.00 $0.22 $(0.22) $0.00 0.0%
Total Margin Account $0.00 $0.22 $(0.22) $0.00 0.0%
SONY_GM_0001 1850
CONFIDENTIAL
page 2 of 3
EFTA_00122501
EFTA01267980

Statement for Account # 867-730320
10/01/15 - 10/31/15
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
Opening Balance $ 0.00
10/30/15 10/30/15 Margin Divrint Other FDIC INSURED DEPOSIT MMDA11 $ 0.00 $ 0.01 0.01
ACCOUNT
IDA11 NOT COVERED BY SIPC
Interest: Insured
Deposit Account
Payable: 11/30/2015
Insured Deposit Accoun 0.01
Closing Balance $0.01
'For Cash Activity totals. refer to the Cash Activity Summary on page one of your statement.
Insured Deposit Account Interest Credited
Begin Number Interest Interest MID MTD
Date Balance of Days Rate Accrued Accrued PAID
10/01/15 $ 51,585.62 31 0.0100 0.44 $ 0.44 $ 0.44
Total Interest Income $0.44
Insured De .osit Account Activit
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,585.62
10/30/15 10/30/15 Received Interest: Insured $ 0.44 51,586.06
Deposit Account
Closing Balance $51,586.06
TD Bank NA 551,586.06
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by TD Bank. N.A. or TO Bank USA. N.A.. or both. The IDA baiances are not covered by the
Securities Investor Protection Corporation (SIPC) protection appbcabie to your brokerage account.
SDNY_GM_00011851
CONFIDENTIAL
page 3 of 3
EFTA_00122502
EFTA01267981

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SD NY_GM_000118 52
EFTA_00122503
EFTA01267982

Terms and Conditions
STATEMENT GUIDE
If: Aro wado provides mormy Paddle Reports for accoums with actrerty and quarterly /pons M the even 01 a brokerage insolanCy. a Client may receive ~Is due Iran the trustee F an ono brochure mat mantas information denoting FINRAs Piano Descbsure
ce nact.,o accounts doh assets.. in bribelltry and than SIPC. Siaktnemal coverage is pad out Met the trustee and Program. please °anted FINRA at 800289.9999 or wnwtinnsag.
Pond Summary: Troche the Current value d your 000010 as Of the *pal dale and SIPC payouts and miler such coverage each dm is limited to a centred return a
compares e to pie par month.: The easel akal(On advt." your 00010 diverenetilion by 5152 miliOn from a trustee. SIPC and London insurers The TO Anceilfade lopptenental The interest rate them+ for TO Arnertrado Cash a liken from the applcatie molestrate ter for
invesimert type coverage has an aggregate Inn 01 $500 mtlon oar at artlaners. TM potty provides the Markel Van balance n a TO Amertrade Cara. as Of la illalemed closing dale Simolo
Coverage loldning Wasage insolroncy and does nOl poled Mina lass in mania vela, interest is xcerxd daily based on the interesttato ter amicable to oach day's balance.
Arople dlocatcns under 5% al be grouped into thecategory of 'Other in the pie chart. Margin et roe securities.
Early - Total Acceurn &miry iThial Lena lAtvginale Value • Taal Short Value) Financial Statement Nallicallon: The mammon ol Manna condea for TO Amentrade
An investnen1 iv a money market turd is not Mewed Of guaranteed by the Federal avaltide trace a year and may be Waned al no cost via Me internal al
nanny Summary: The opening and dosing cash balances are moon:led here tor year quick Depose Iresuranar Cameroon (FDIC' a any °Ma gevernrnert agency. Althoggh Me Max,Awyrtictementranoconnnanciatiammentlurd.
rem once. Al account admiy is summated for Me currant pared and year to date- kinds Beek 10 preserve the vat...dyad weveament WS 00 pe shared is pOstibb 10
Income a Expense Summary inon4Fas only): Tins semen dark trio income and et ens° lOse money by investa n a money marker turd. DW4005 are declared defy and Option Assignment: At shun misty opoon posnons and some index option neutrons are
Web nom the ActhQy Summary andClassifiesMe lax litalMent. pachernwested monthly. The prospectus amens this and other important riorrtmon avaltide Poi aaugnmeM Eterme assignment Meant ler equty of tide, options are eandomly
Robroment Account Summary (IRAs only): Review the IRS regulated transaccons for the Read the prospects Cbeldly before arresting. NOn-depasil investments herd by you' alocamd among all dorms' shod posoons by an automated pram:two.
curer( and pro maga IRS Fenn SI98 lair mama shut is based On the anent value as of Croke, dean are NOT FDIC INISURED f NOT BANK GUARANTEED( MAY LOSE VALUE.
Downed 31 of the previous year arts el to furnthed iota Internal Revenue Scence. Free Credit Baboon (Rule ISOI.2 II 3): Under me Mont proumnon mt. we may use tree
l P o e om ar s m 'o a r n y c o e u r S M um ut m e e r r e y m :M n on a is n m t s y t o ra u t r e a g n y n . ual polka pedormance era Ina arealized gains and c T a h n e t b o al a lq n u c i e d a n t e y d o o u n r b y a o n u k r o d r e d p e o r, s i a t n s d o c th tu e n p t ro O c r e s e h d a s re r s o d d u r y ro o d u l o m y o a n m ey a M c i c n u k s e e l s W a O m W ou n A t n o d r C on ro d a e t m ba a l n a d n . c es it your account in me Ordinary Cane ol our bigness which are puede Se yOu
Account Positions: Now your mostmems at the current market wade and compare the canal remitted 10 yeti
cost to see aumilued gains and losses n your paddle Original cost is assigned using the Margin Ammons (Regulation 7): t you have a margin account. so report es a combater, of
e fir r s s t t . e ) T . h T e o s e t- s o t u im l ( a F t I e F d O w ) m rro e s th tm o e d n . t w i e n l c c o h m a e ss 2 u a m n e d s a th v e e r O ag h e l s c h o a s re i s p e yO r u s s h o ar t e a l a e r o In < e M s, a yo m u a p u f r o ch r a y s o e u d r T ta a x x n R m M o O n V a I r i g n : e Th t e h ( a M n V e O w /D ill a IR te S n o e c t a ro ta T r o O n f t e s e I M nc e l n u t d e Y s a d i an M t a n k e e v R a a n d o 1 d 09 e 9 n f t o h r . L c a ar u ca d l r Y is O k u s r m an a d rg i e n s s n o o t t h s u w nt a a th n e d t a o r 5 a 0 l 0 l 8 in 1 ve m s t t m or o s. r a A r g c ia o n m a a cc e o u le nt i d T ra th d e n g ri s o k n s m as a s r o li c n ia p t o e s d e w s i t e h d d tr l o io rg n i a n l
r A o C m C a O n u c n e t A th d e i o *y d : e A s p l e ur te ch o a ri s r e y a da ct t M e i l s y s is h d ow ea n r t , e / r d a e n f i n le d d c . a ' t s le le n d o i f n y o O u l r e h O a r n da g . a de d r g re a n . eged n the M ga I i t n o . l r a e c lle e d s e t l r m yk s k i i A . m an m d i s e e n e t a s pr m o o c o e n ro s b . l. &MOO/pita aro awed le feclassfalOn ankh d tr o a c d u n m g e i n s t b ta y s p t o a m bl a e d i i n n g m u e s a m t o th r e o n nu M m k be d r is te cl e o d su o r n e p d a o g o e m on e e n 0 . 1 Y yO ou ur m Sk a i y te r o n b e ta n i t n a copy d ass
a C a e O T s n r e i n a l s d d i l d n i . e n s e m . g t e a s e C t C P e s a m a e a s s n e h t k n d r b a t i S a n n r l e g a e s r n p a v S c o i c e c e r t t e t . i i t o n s le g n T m s p r e e e a l n r n b e t a : e d C l r c . e t n o i a e d n c n u l t i e d D n d n e y g t n a a w i c m l: h e e C e t a c A e n k d c e . c , . d t o m e e u d b a n i n t t t r a A a c g c a d e t r e r m d e s g e a y w n n L t i d t e h t h m A a in T o e s M n e a n t d a t o l r c e o m t m n u n a e it o y n M . t r a t a d h r l a e . C l e l l i e s t a t i e l r l e e d d r i n m W o d ri n u n t e g h ( p G C s b o u u r a s a i m t t n i n S a a d y a y s a e M h n l b : d e y t C o e m C o n c g S O d e C n a I a a i m t I l y s I l I e t D e o . g l O a e t M a W d , n e . w O i l T o n e R t o k n O r a P m n T T m d E i O l e o D p n n o t a T k a n D a lo d n t d a a m a n ri t e d m e r p i i s c ( ro c a W M a e : r a k i i n • s m / g n m C a d o O s n d I t e p i D C p ro o a C v r n i R d e t e b h K r b s a R l F l A t a a l T a n E a ti r a D e e t b o a r t e a o l k a W l t d i fi e o r y n a n d d o ° t m r s P f s o o e h a c r l o a e e y e m i o m c r g r t i n e e e c n d d n a o g t s a m c h f o r m o a e m p r r n k a a p r O e y e y i t m r n s d e h s . e x e e a b n c r e t t i r h . o d F a a M n s l n o s . g w t a s W o e n r o ( e d C S d r i O r E r d p o o m C e o n c a p s . a R O l t e n T u r r r g O e s e l e n m c ( A t s M i O m a t 6 r f r a 0 o a t r r 6 y d t n o r n a a e r o l d n e a C r p e d o d e o a w d 6 r n l r t 0 s t s e t h o e 7 s o d ) n m : i c i i n s I l o a n . c M u y l O o s n w a s o t t h i m a g n a g g r e e a v i n n S c e th d s r e c c e a c o u t l u i s v m o m r l e i e n t p n i a d e e i u s n s n e e f c i s r s n q o e a u m s t f t i o h o t . y M e n r T r o a o d O e r r r l d d m k a A e e e t m e r r l d C d o ( r k o e n t a O g n m :r t o e p t e h n d e t r e o g s o r
Online Cash Services Summary: Credo ant deal transaction totals for rho atom statement Margin and Options Account Agreements: Prefrpet adate 10 Arnenuade n tang ci mecum at wrAvidarneroradocom Amnia" copy is avalaUe span rawest.
fettering 00406 be summarized. IndMekral IronetiettriS ere rot listed. Wry change in your investment Maxi/yes or anaroal shaman as they peulain to your
ms'gin Or 001ths aecOurn agreements. A summary Of cOmmesions and charge, incurred is our policy. abeenl deft orders to 1110 contrary. to select braids, cakes, and market
roue to rounding adustments. the stamen, deals may not ega the statementtotals. loth to execution ol aeons tense:aced is aralable. makers used On Me ally te porde best thecuaon and the Mary Of Weida price
tEtninaled Anrwl Income and Earnated Annual aeld oath a 0 based upon the number of improvementen mated orders. Pnce improvernem is evened* maw amen market condoms,
shams owned or astern value balance as of the stalemom dale and me most recent Medea Currant Maks Prices: the maggot Alan a scones have both Maned. al daub*. tom and wo regular/1 mentor Garman to test for sox, imptcnemom ti ayalatte.
rate a Oath yield pttM004 gam antes ed Other alepextent tons Vallee we based On Mo dosig thee eve
mom banal me bd did adtng pat, a ether rnetals, a no rocked %caucus/alto son a Trade COMirmellena (Rule 106-10): Al contrmaliens are Paremilled On me InamatiOn age
GENERAL INFORMATION grata' woke fr aka indecendent stack I've wooly is aided 10 Nine retooled
Nth.Prced OP). The selusxns et yourFadden:pot are provided as peed minion ant Taxes: Trantuclons in foreign seeking. (MOWN Wean company ADM OW Irate in the
10 Mientrade does not provide legal or lax Mao. Please consult your legal advisor or lax no dent guarantee to a:cum./dam scones pm. Malmo bzked pardons be salad U,S.) may include taxes and fees charged by tie ratan marked or governments, dhoti may
*Maureen when neaThary. ASS Blended in0.4by draftee. Ida. Careentabens May be yang me nmanng balance lad Ina oa'M nasal pike Pandit dpol se/Arens may net be **acted in the 0400 01 1110 security or caged es an aapenettni the item
records ter Salty Paned and transaCtiOn volifirattn Papas,. repreart mks prococch. The Noonday make. to Oxfam d Oasts (CDs) a gthrely
loud and the °clue vele may be (Mal horn Vie page pa Asiereary loss ci MOW Parody Peaky Nellhallon: A copy of Me TD Amen:rads Privacy 00IeY is aTeabd al
For TO Amended° Summon" oleos. your adroit( turn es separate from and not affirmed wan may 50211 tom to sae al a CO par b resits BMW antra Fred tam Scanner. 11200 VAWnklanlefiradOSOT
TO Anwerireed. Inc. a TO Aruba:kr Owing. Inc.. and oath Irm is net dispensed la the clibranvy May coat soma and deer wade on a kpsd exchange. Rana may Yam n me
POOX1s end senices 01 Me other. OTC Peer 0 °Dunk., markt( and surreal kat* miy nd sag b lour deed sour Pekndria Cable Smudges: The aloe:eon ol partial retlemplons a oath ii done rang a prolate kOkry
to redone. The sad or bunt pa to natty may rood n a loss d mad. system. A descration el the proaddes for Stable saunas is avalable on to rebus a held
Acciancy of Reports:II you find any errors or omissions In your account statement you copies ere available wonder-ea
paid immediately call us at the nimbi,' listed on page one of your stalernent. You Non Standard Ames (IISAI are (meaty marmot in dna partopmen program saurian
Mould also contact our Gloating ran, TO Amedlrade Clearing, Inc. el 8004604000. patnersas kneed Mary cempaned. on real MEMO rrasrnori indm.cownedty pak dna M Case 01 enOnS Or cantons tail your EledrOniC Fund Dander.. please co 1001 s al
eauty. abate debt or raga knob. We ere WWI, lfad irneelmers as do not Ida on a 1.1g0 669.3900, or in swing to P.O. Box 2209. Omaha. NE 68103, or by email at
Please renewend statement caready. If you drape. with any transaction or rl Mere are any area saunas moron?* a tie Krona Stock Malt. Thowlues done kr trade /amts diedeenrkes&105Mentrade.COm The Mdrinaton °entrained in your sawn shamed shall
ends or omissions. Meuse nobly a Client Services repieSeratillry a yell local blind, voce. as are Sated 'sea dirtied lion ryas methods iicksdrog, but net killed Ix independent be Wane upon you rf you do net WWI etbn sixty leOldays for any transfer ci lugs stage
reel as 10 Ames:rade Ortareg. Inc. in wmrg worm ten (10) days of yea recta ot the eaum- ats. to tamaam's not =eh. ander rid pony tender oars tot hat boon prthad by to Andabon E, ouch as ATM and pont of-sale :recedes, debit transactions, area dm:am,
statement Any ofei statements met you hare made to us shale be COnforMed in voting The asp maragorroy athwidrato. and spread each down a by a thrdpaty tcract mahout and wither/malt WO Must hear from you no later than 60 days arta we seN Kai me PEST
statement will anonym beconsidered concloire ascendent wrIcatim by ID Matra*. Values may nal Maths canal palate pke, statement on whets the error or problem appeared,
actual rata ameba reakal oxn lopeason tan ostenahad value catd be estatracid (I) Tel es yea rend and account merger
Please nary us promptly (deny charges in yea anted irformthon. TronlathoM red0C106 On trough test methods. ate 'dual/ may be reflected as NOnlryeed (NP) For addita deal (2) Dosage the error or die transfer you aro unsure abOtdk and explan as dearly as you can
your report wit be conclanory downed acoxato unless you noel,/ TO Amearadoimadutery. /mama eadmen kr Nth.Stamtaid Ames. pcm° arta Gent Scent There nasals why you bolero n is an error or ally you need mete inlormabon.
and othevel unclothe SIPC. (3) Tell us Pie dollar amount of the wattlederror.
Account Protection: Deposits held by TO Sank. N.A. and TD Bank USA. N.A. are insured by Wo wilt invested° your complain and wlil <arca any error promptly. II we rake more Man ID
the FDIC Covered by SIPC) up 10 5250.000. LIMIS ale per tretOunl OsnOrta per Aram Rao Spurt= CARS-) Prong: The makes iota kr PAS warms ha ban Maned. business rays to 00 Iris. we wit creel your aectut for the amount yOu think is in 'nor. sO that
iniblutlat TO learn more eboul FDIC Coverage go to we've idcga. Searlded. indudng ba) e. hem cathdon makes or eta harder. Mums The moray al Pe Pea is net youwit have the used the money dunng the tme t takes us tocompete our investgata.
mutual fund, held in your ErOldwage Account are a1 deposits Or 001gallene Of. Of curanle01 to meta vado and welded TO Poottrado W I pree Ore MS pcomn.tiarg ate
guaranteed by. any bank, aro net dOltinsised. and involve investment nag. includng cens4orman both to qua): and undetyng cm* gusty. The SAS rota is curronly
posstle loss of princpal. TD Amerada is a member ol the Securities Inroad Pro:omen togabnCing a lick of salty and. tea wok Mee an tie no myna Mal sash worriesan
Corporation (SIPC'). which prefects seams customers of ns northers up to 5500.000 he sobunder one mato. caxlicro. Add MO 07a4
(Madding 5250.000 ler daime for cash). Explanatory brochure is available on request at
REGULATORY DISCLOSURES
wards*w a.
AcIdthendly. TO Anieritrade provides Beth Cleat 5149.5 elan worth 01 drolectlon for AI transageons aro alma to Ii) me constitution. Nes, regulatiens customs and usages
securities and $2 mlb en Of prOdelKon for 089h tlYtugh SupOleMental average provided by d the exchange of frorken. and its dearroneuse. it any. en Mich such Lrointatlens are
London insurers. e E c x r ocuted: federal lass. inducing me &dunned A in N of 1933 and the S k a o u c a e nd s SDNY_GM_00011853
• was
"nip °E NFIR M
EFTA 00122504
EFTA01267983

Statement Reporting Period:
1D Ameritrade
11/01/15 - 11/30/15
800-669-3900 Statement for Account # 867-730320 Announcements:
T D D IV A IS M IO E N R I O T F R A T D D E A MERITRADE INC S 6 A 1 O T 0 T U 0 N T R : H J E E E D R F H F N R O F E O IN Y K A E O N P T C S R IA T S E L S I L N T L E C 8-3 F a i p n p e r d o a w c it h h e f s r . e T s h h e th T in ic k k in e g r T a a n p d e c ® re is a t y iv o e u r go-to
PO BOX 2209 ST THOMAS. VI 00802-1348 resource for investing & trading. Stay up
OMAHA. NE 68103-2209
to date with market insights & commentary
TO Ameritrade Clearing. Inc.. Member SIPC from TD &marinade every market day.
Visit werw.thetickedape.com
Portfolio Summar
Current Prior Period 0,0 Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $0.01 ($0.01) $ -
Insrd Dep Acct (IDA) 51.586.48 51,586.06 0.42 0.01%
Money Market
Short Balance
Stocks 0.01 0.01
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51,586.49 $51,586.07 50.42 $ 0.00 0.0% 100.0%
Margin Equity 100.0%
Cash Activity Summa Income & Ex . ense Summa Performance Summary
Non
Current YTD Reportable YTD
Reportable
Opening Balance $0.01 $ Income Cost Basis As Of - 11/30/15" $0.22
Securities Purchased Dividends $ - Unrealized Gains
Securities Sold 222,913.42 Interest Unrealized Losses (0.21)
Funds Deposited Other Funds Deposited/(Disbursed)' (3.000.000.00)
Funds Disbursed (3,000,000.00) Expense Income/(Expense)T°
Income Interest Securities Receivedi(Delivered)Tm 0.00
Expense Fees "For cost-basis Information, refer to vavnvidamerttrade.com
Other (0.01) 2,777,086.58 Other
Closing Balance $ 0.00 $0.00 Net $0.00 $0.00 $0.00
SDNY_GM_00011854
CONFIDENTIAL
page 1 of 3
EFTA 00122505
EFTA01267984

Statement for Account # 867-730320
11/01/15 - 11/30/15
Online Cash Services Summary
Description Current Year To Date
DEBITS
Electronic Transfer $ (3,000,000.00)
Subtotal 0.00 (3,000,000.00)
TOTAL 0.00 (3,000,000.00)
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.41 $ 103.00
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a provides tax year (spillover dividends). The year to date totals will accurately reflect your cumulative arecult for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.014 $ 0.01 08f05f14 $ 0.22 $ 0.22 $ (0.21) $ -
INC
COM
Total Stocks $0.01 $0.22 $(0.21) $0.00 0.0%
Total Margin Account $0.01 $0.22 $(0.21) $0.00 0.0%
S0NY_GM_0001 1855
CONFIDENTIAL
page 2 o13
EFTA_00 22506
EFTA01267985

Statement for Account # 867-730320
11/01/15 - 11/30/15
Account Activit
Trade Settle Acct Transaction Symbol!
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
Opening Balance $0.01
11/02/15 11/02/15 Margin Journal - Other PURCHASE FDIC INSURED $ 0.00 $ (0.01) 0.00
DEPOSIT ACCOUNT
Closing Balance $ 0.00
•For Cash Activity totals. refer to the Cash Activity Summary on page one of your statement.
Insured De . osit Account Interest Credited
Begin Number Interest Merest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
11/01/15 $ 51,586.06 1 0.0100 $ 0.01 $ 0.01 $ 0.01
11/02/15 51,586.07 29 0.0100 0.41 0.41 0.41
Total Interest Income $0.42
Insured Deposit Account Activit
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,586.06
11/02/15 11/02/15 Received FDIC INSURED DEPOSIT ACCOUNT $ 0.01 51.586.07
IDA10 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
11/30/15 11/30/15 Received Interest: Insured 0.41 51.586.48
Deposit Account
Closing Balance $51,586.48
TD Bank NA $61,586.48
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by TD Bank. N.A. or TO Bank USA. N.A.. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIPC) protection apptcable to your brokerage account.
SDNY_GM_00011856
CONFIDENTIAL
page 3 of 3
EFTA_00I 22507
EFTA01267986

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SD NY_GM_00011857
EFTA_00122508
EFTA01267987

Terms and Conditions
STATEMENT GUIDE
IL .-.'iade proades morally Podolia Reports lor accoums huh acverty and quarterly reports In the event 01 a brokerage into/waxy. a dent may reteive8Mants due kin the Mane F an one brochure Mat nabobs informabon desalting FINAA's Putlic Disclosure
'a mac: ye accounts sub assets.. In baacuPtcY and Mon SIPC. SSommental Damage is pad out after Me trustee and Program. Neese Contact FINRA at 030-289.9»9 Or www.livaail.
Portfolio Summary: Dada Ihe Current value d your 000010 es 01 the repOd dale and &PC payouts and actor such coverage each clan es limited to a sear«, rerun ot
tapare ry to tlie prior nyonlh.r The Min NICCaliOn ideale your genial° diviaMtalion by 5152 mff On from a trustee. SIPC and London insurers The TO Anyeritrade Supplanental lbo interest rato sedan tor TO Amertrade Cash is laken from the appleatle inbred rate ter for
investment type coverage has an aggregate km ol 5500 mnon ova all cinemas. This potty wades the Markel Value balance n R.0 TO Amertrade Garth. as 01 the illamment closing date Simple
Coverage lollaning brokerage insolvency end does nol Fond against but in meal vat* rawest es sauce, daily based on the interestrate ea applcatto to oach days balance.
Whale abutters under 5% mg be grouped into Mo category ol -Other" in Me pie chart. Margin ot me securnin.
Emily - Total Account ErtutheiT0181 Ling Mtvginable Value • Total Short Value) Financial Statement Notlfcation: The daemon ol bnancul condom lor TO limentrado
An investment it a money mantel turd is not insured Or guaranteed by the Federal ~table lace a year and may be ~anal al no casa. via Ole internee al
Activity Summary: The opening and dosing cash balances are reooncled nee lor you' quick Depose Insurance Corporation (FUG, a any *Ma armarren agency. Mho.* Ow Moid‘writtetriontradeconylinanciatiatemonthurr.
'oregano* Al account actmty es summansed lor me current ponod and year to date. funds seek 10 present tne value d mho nnhilment al 51 00 per share it b pOubb 10
income 4. Expense Summary (non4RAs only): Dus section dams the income and *manse lOse mane, by investing in a money market fund. DMileeds are <band oats and Option Assignment: MI short *quay option pasnon and some index option poutions at.
Wait from Me Actisay Summary and Clanitles the lax treatment padternmstod monthly. Do acspecors *mans Ms and other important recarnon mailable lor assignmeM Egegare Mignment nieces ear 'any or rides options are randomly
Retirement Account Summary (IRAs only): Revlon to IRS regrind transasons for rho Read the proapeCtur terekitly berore frosting. NM-depolil investments held by your atocaled among alldooms' short postais bran automated procetkre.
curer% gird ma year. IRS Form 5498 lair market value is based en Pe current value es or baker. dealer are NOT FDIC INISURED !NOT DANK GUARANTEED/ MAY LOSE VALUE.
Decomser 31 ado ominous year and we to furnished to the Internal Revenue Service. Free Credit Balances (Rule 154-2 8 3): Under me dent protection (Mot we may me free
l P o e ss d e o s n n go a r n y c o e u S r A u r m tu m ro a f r n y . : : M im on a il m or s y t o ra u t r e a g n y n . ual patio» pedamance and Poe unrealized gains and c T a h n e t b o al U an p c d e a i t n e y d O o u n r b y a o n u k r o d r e d p e O r. s a il n a d c c th o e u e n p t ro O c r e s e h d a s re r s e t C ur l n y e o d u r t o m y o e n w ey s M e a a rk n e c l e m a a cc i o n u n fi t n o d r b on e d d i e l b rr a o la rd n . c es di your account n Me Odium, Course ol our bunco which are payable b yOu
c A o c a c l o t u o n s t e P e o I s n it c io a n s s e : N d e g w a y in o s u r a r n n d e s lo tm ss o e m s s r i a y l o tr u io r c D u a rr i e g n l t e m a O rk ri e g t i n v a a l t c » o a a n l i d s c a a ss rp ig s ne ° d t h u e s o in n g g M na e l ambled rayon Margin ~curds (Regulation T): H you have a margin account. this report o a combnaten eI
a fir r s tu t. - n D . a o n t e o s u im t ( a F ie IF d O a ) r m ro e s t t h m o a d n . i w e e n lc c h o m re e s 2 u a m nd e a th v e e r a a n g a e l s c h o a s r t e s p s e O r u O s u et r ° a r a e r e th o ch s a e d y a o y u e p d u f r o ch r a y s o e u d r T ta a x x r ~ ep r o i r n in g g : n o Th x e r p pi l n a i y d s ra d o a p b a IR l i S f M rea a s l e in ix d n o is cu i m nc e l n u t d e Y s o u v a wa a g t e w b o re k n * e F n o t r m O 1 rd 0 e 9 n 9 : ó Is r . a ta m pt a a l l r > i M d a s m an a d rg i e n s a no n t u s n u t m a a n c d l a o r W a e ll d in s v e m s e to m rs o . r a A n d c u a m rp s e c t a ° I n N t o T t r a th d e n g ri s o k n s m as a s rg oc e u p m o d se w s i t a h d d m ig a o rg n i a n l
M /d e e O fe u n n ce t A (th N e N EM *: U A M l t o it c C h 0 a t s 0 ° I d le o l t M e e ly s is h d ow 06 n 0 fo / r d e e n fi e ne d d e . a W tion in 0 n 1 y o d u a r t e In C d o i d t a e . p an e d lo re d l . le cted 0' the « g I a t b o . l t a a n b e o v o e ] t o e n e a d n . o an c d z e n d e e Is l p , r a oc w ae ls ch l Sane parmerts are subpa to reclassilculOn whdi d tr o a c c u in m g e i n s t b °e y a c t o a n b t l a e c t i i n n g t h u e s a m l e R rg e e n r u r m e b k e d r i ' s s c l l e o d su o r n e p d a o g c e u m on e e n t c . o Y lo O u u r m st a a y te o m b e ta n i t n a copy Or Iris
O O W d e T ra a r r n d s a t l . e i i d n n s r m . e e g t a ' C . e t C P e s * m a 8 e o s n h e t h n d r b a t S i n n a r s g e w s a p S c e o a t I r i . M o t i i n n n a g s I n M n p i e m a l r n b io a t e d C t r . e e O n f / l n d e A l u c ir t m d P e n e d w a g n c h h y c M : h e e C e i c a A n k s c . h t c d e o m o u d a n h n t : t a r n c a g a a d e n r e m d n . e a y r n n a s t d h e t r c A a a t n i T o s e M n p t a r t l a r o l e e c o n M t t t r % i m e tl n y o M . t n a a d th r l a e . c l e l l i e s a a te l r t e e d d r i n m w o d in n a t t g h o ~ ~ a C s o r u M p d s t i t t n n e B e y e u d a d n t n h b : d e y t C i e m e C o n o r a O d t t a n I i d s m a N i ' l s a D d d . t C i e c t M a P d n d e O i d M lo O T gM O t e R a m k A n T T r d n E D n o 0 a o A n r * n 1 s t a e t n l 1 o i r d m ) r M e d a o a n o d e t a a r i F n t s m r a o l o I k e n b o C e r i i s d n rm g n C s o a e t a n n r d l a t p p 6 G a O 0 a s n 0 r d e s 0 e k b I o s b % m i l l o A e a r r I z a t n i D r e d e ' e a m r r e s 8 - o 8 k i o a t d a p d o a y a m n d o le l r o s P f s o e e h z a r c l a e e e y a r m i m c e g n t a n e e c ts n d n a a g t s g m c h f o e s o a m p u n r n c a c p t O h y e y a m r s i d e s b , e a x e a b n c b r d r h t o o F o a k n b l s n o e y g l r w a o W s e d t o ( o e C S a r t O E t d m p o m C e o n p a o s . R O l t e r T n i e r q d O e s u e n c A ( a t s M e r 0 m t 6 1 n e a 0 a t r a r a l 6 k y t n r r e e a a r e t a n d e C r C d o p n e t o a a i 6 n o l t t 0 s s t h n e o 7 s e r d ) m s : c h i s I ' o ) a n c W u y l C o s n r O s o e e t i m a m n e a g c e p a l h e n S c t o n h d r e s e c e O a o u t u l o v m m io r e e i n l p n i n d e e a i u s s n n e h ° i s c g s n e a e u m t f t s n e h o . e . M " r , T r o o a l O e o r r r l d d n k a A e e e n t r e r r l n d C d a f r l e e t o n a l o n w i r t a p t e n h d e t r g e o s o r
Online Cash Services Summary: Crock ale data transstion totals lor Mo cunom Matomen Margin and Options Account Agreements: Promptly acAnso10 Amenlrade n wiling et *daemon at invividarrextradecom Manama:Inis avalatl° rpm request.
reign,» 00006 be summarized. Indhtebal tranigagnit ere notlisted. any "Inge in your investment etexuros or karma, shown as they warn to your
tue to rounding adustments. Pro stsoment decals may nol equal the statement totals. m w a a r r g t i m n o e r x 0 e 0 c 1 u o t n io S n a o c l c ° O p u e n o t n a s g b re a e n m a en n t a s. s A i s su a m m m ia a b ry le 0 . 1 onmissions and charger incurred m 11 a is k e o r u s r b p a o s li e c d y . O a n b s O en le t P BW er it t y o t r e d e m rs a t n o t le rh o b e c s o t n m tra a r m y. m to o n s e a le n c d t b th ro e k I e m rs l . a d y e a 0 le 1 r s s . e a e n in i g m a O rk d e e t
tainted Anna/ Income and Esernated Annual Yield values are based upon Me number Cl improvement en market orders. Price improvement,s avanablourder certan market condlions.
shams carnal or carom value balanco as ot the stalemom data and the most recent dradend Omni Metal Prices: The mks Also el scones ham been Waned. it "rattle; kom and we regular>, mantor executors to tost lot ash improgroment ri amiable.
isle a oath Peg provided qnikn eerfee ad Other idependert tons Values am based On re dosing pion Me
main balmom me bd ad sang pas a ether rnerceb. t no ~a ante is anti° bon a Trade COMIrmetitint (Rule 100-10):All conirmalions are ParemilledOn ine InanstaiOn dale
GENERAL INFORMATION csidadm tierig> 6 OW indepindent earCa. tie securty Wad to being retailed al
Nan Plein CRP) Die valuable en your a:adorace are Prodded as goad mkemBen ad Taxin: Transaclens in foreign 8eOurilieS (indrane foreign 00^10anY AC" OW /rade in 'he
10 limentrade does not provide legal or lax aside. Please consul, your legal advisor or lax we dorm guarantee to scuracy ct any vuns creek Iktrogo baded postons aro nut.] U.S.) mri include taxes ani loos charged by tie tango market er governments. stub may
teCCOuntanl when neOlianry. A8 it illandlird inekeby anent COneenlentni may be rang Ue renanng balance and Me anal maket ate Pooldo neat Winona may nO1 be redacted in ine price ol the security or charged as an andeperdent Ina item
raged& ter Cruelty ignInfl and IninsattiOn veritltalen OurpOstek rtaccer sales procoech. ma seo:nday mama la Conran et Oeposts (CDs) es ancroty
Maud and the 'laud mks may be flew' front Me ~ate rote Malian loss re Pin(tel Penny POlky Nollikallon: A apy d the TO Amertraeb abbey ONCY is available al
For TO Amin-oado hishoonal Pens. you' advisor him es separate from and not Stinted rah may melt too the sale dad) pia le rainy Saxe andly Rat Warp Sccurlos trade wwgzslamereadecom
TO Annernracio. Inc. a TO Arrest/ado Cluing, Inc.. ad oath fern es not responsbl° la Inc Many Man °goy sans and donor n-a an a kin exclunge. Rimer. they pan me
PrOtagati end senices ol Me ogher. OTC 104 the counted: noted and siren lqutay may ra mat le rag bull your PienenPria Gab Sec urlikne The stocabon of podia rodvmdonsa cab is cline tang a preens beery
te rem". lto sob d ten Fria te meaty may radii n alas prnapal. system. A doronotion ol are proactses for SW» acumen is satire» on to emus a hard
Mornayof Reports:II you find any errors or omissions In your account statranent you copin aro avarlitee won rocrard.
Mould immediately call us et lhe ntenbar listed on page one 01 your statement. You Non Standoed Assess (Nadi aso trpealy rmstmern in area patcpation program socurbos
Mould also contact our Clearing rent, TD Amentrade Clearing, Inc. el 8004694900. ~stow.. lirnto0 Malty =panes. er red estate mammon !runt comedy pods. Anale In Case ol anon' Oe casesten8 Mal yOur ElearOniC Fund Tandem pbase CO 'aft 8 al
eguty. oriole debt a hedge trots NS.46 ere WSW/ iqud inweimera ad de not nab en a 1.960 669.3900. or in twang to P.O. Box 2209. Omaha. NE 68103. or by email at
Rose cane:wens siatemom cannily. you Osage:* inith any transamon, or el them are any name sauns ethane° a Inc, Nasdaq Stock Melt. lib Mud Ewan ter aura maanaas dieMPerviegn@klaMinade.COm The ~mitten contained in your anvil statement shag
arc's or omissions. please nobly a Client Services representelhe Oe yore focal branch Once. es are ~Mad atlas dated han erica methods hair:Erg, but not Maid It. independent be hndng upon you el you do not data wthn any NE days lor any !candor ot lurds papa
wel as 10 Amairado Clear g. Inc. in wmrg wihn ton (10) days of yea recast ot this appear...alt. the progns na sae. ander Mod partysender diem that hero boon prowled by to Regulabon E. such as ATM and palm ot.rale union, debit transactions. deem deposits.
statement. Any arid statements Mal you hinge node to us should be Cordoned in mien The to maragomant. ~raw. ander sogoer d each pcgagn a by a thrdu rn vender ragout and inithelareals IV° must hoar from you no later than 60 days ener we ent yOu Me EEST
statement will «henna be considered concbalve independent often by TD knedrede. Values mar not rolled the island pacbase pica. Raiment on which the error or problem aripearcd.
actual market 'en a be maind ;son lcinascrital osinind value canna be eustrishal (I) Tell us Ma mine and account renter
Please nary vii promptly ei any charges in yore confect irk/00100(f DareactiOns teleled on !trough lose methods. Me Minden may be reflected es NOnaited (NP) For addliend Odd (2) Doserto the error or the tranMor you are unsuro about. ani oxplan as dearly as you can
your report wil be conchs/poly deemed aconounloss you ripely TO Angervadoirrenxisea. rogarong urban fa NonStandard Scars. please anus Can Sences Thaw rmisimsts why you berme d is an error or why you nood mcve inlormalion.
arena coned under do SPC (3) Teti us the Oder gamma of the wendederror.
Account Protection: Deposits told by TO Bank. NA and TD Dank USA. NA. aro inured by Wo n6 invades* your omplant and wil correct any error promptly. el wo lake more Man 10
the FDIC COI Covered by SIPC) up 10 $250.000. Linen ere per toCCOuill ornerthP per Arden Rao &curbs CARS") Prong: The mats wauw la PAS don osAra been otmned. business days 10 do Ibis. se wit creel, mho (moan br the amount yOu think is in error. sO
irroaMon. TO learn more stool FDIC Coverage 00 FO wear 1010405. SectelleS. indudng danibtle. horn cprOtakn union or odor indepadat sane The way onto eking is not you wit have td uso of the money dunng Pro tmottakos us to correlate our investgaton.
mutual fund& held in your Binnenspe ACCOunt are ml dep01.115 Or oblgations of. or gawked Ha need who antim atte. TO Amertradeall corm to OAS pcolion.takrg rile
guaranteed by. any bank. are net Coition-red. and invoke investment nsks. indudng coroderman boar tie Muddy and undoing code gusty. The OAS runs is curronly
postal* loss ol princpal TD Amenvade is a member ol the Securities Investor Praatton ~nine a 1st ellonty and. esa nabak Mao an be no ~ranee Owl tech Peones an
Corporation (SIPC). which aromas securities customers of ds members up to $500.000 to sal ad« one mat cocking. »KM 15007,14
(inchzding $250.000 Its claims for cash). Explanatory brochure is available on request at
REGULATORY DISCLOSURES
ame.sPe.01.
Adanonaily. TO Amerillade peened% each Nerd 5149.5 minim worth of prolectlon for MI emu:eons aro subject to 0) me consitlubon. Mos. regulators. customs and usages
SeCudlleS end 52 Milian 01 MONCIOn br Cash 'Weigh supplemental coverage provided by a the exchange or market. and its deamotiouse. il any. on welch such tranteditns are
London Insurers. c Ex a c e a r o* bit federal laws. end M ui O ng E m N e " . S ecurities Act 01 1933 a A nd r t M o Sauces SDNY_GM_00011858
• na oun la and the,
n~
EFTA 00122509
EFTA01267988

Statement Reporting Period:
ID Ameritrade
12/01/15 - 12/31/15
Statement for Account # 867-730320
800-669-3900
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
PO SOX 2209 ST THOMAS. VI 00802-1348
OMAHA, NE 68103-2209
TD AmedMade Clearing. Inc.. Member SIPC
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $ - $
Insrd Dep Acct (IDA) 51.586.92 51.586.48 0.44 0.01%
Money Market
Short Balance
Stocks 0.01 0.01
Short Stocks
Axed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51,586.93 S51,586.49 50.44 $ 0.00 0.0% 100.0%
Cash Activit Summar Income & • ense Summar Performance Summa
Non
Current YTD Reportable Reportable YTD
Opening Balance $ 0.00 $ - Income Cost Basis As Of -12/31/15 " $0.22
Securities Purchased Dividends - Unrealized Gains
Securities Sold 222.913.42 Interest Unrealized Losses (0.21)
Funds Deposited Other Funds Deposited/(Disbursed)' (3,000,000.00)
Funds Disbursed (3,000,000.00) Expense Income/(Expense)"°
Income Interest Securities Received/(Delivered)"° 0.00
Expense Fees 'Tor eost-beate Information, refer to veraw.tdameritrede.eom
Other 2,777,086.58 Other
Closing Balance $ 0.00 $0.00 Net $0.00 $0.00 $0.00
SDNY_GM_00011859
CONFIDENTIAL
page 1 o14
EFTA 00122510
EFTA01267989

Statement for Account # 867-730320
12/01/15 - 12/31/15
Online Cash Services Summary
Description Current Year To Date
DEBITS
Electronic Transfer $ $ (3,000,000.00)
Subtotal 0.00 (3,000,000.00)
TOTAL 0.00 (3,000,000.00)
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.44 $ 103.44
'This section displays curers and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These °Devotions
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). Die year to date totals will accurately reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.0069 Viol 08 05 14 $ 0.22 $ 0.22 $ (0.21) $ -
INC
COM
Total Stocks $0.01 $0.22 $(0.21) $0.00 0.0%
Total Margin Account 50. 01 $0.22 $(0.21) $0.00 0.0%
Insured Deposit Account interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
12/01/15 $ 51,586.48 31 0.0100 $ 0.44 $ 0.44 $ 0.44
Total Interest Income $0.44
SDNY_GM_00011860
CONFIDENTIAL
page 2 of 4
EF1'A_00122511
EFTA01267990

Statement for Account # 867-730320
12/01/16 - 12/31/15
Insured De • osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,586.48
12/31/15 12/31/15 Received interest: Insured $ 0.44 51,586.92
Deposit Account
Closing Balance $51,586.92
TD Bank NA $51,588.92
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-Insured up to applicable limits and held by TD Bank. N.A. or TO Bank USA. N.A.. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIPC) protection app&cable to your brokerage account.
Important information
ANNUAL MARGIN DISCLOSURE
Securities purchased on margin are the firm's collateral for the loan to you. If the securities in your account decline in value, so does the value of the collateral supporting your loan. As a
result, the firm can take action, such as issuing a margin call and/or selling securities or other assets in any of your accounts held with TD Ameritrade, in order to maintain the required
equity in the account.
It is important that you fully understand the risks involved in trading securities on margin. These risks include the following: You can lose more funds than you deposit in
the margin account. The firm can force the sale of securities or other assets in your account(s). The firm can sell your securities or other assets without contacting you.
You are not entitled to choose which securities or other assets in your account(s) are liquidated or sold to meet a margin call. The firm can increase its "house"
maintenance requirements at any time and is not required to provide you advance written notice. You are not entitled to an extension of time on a margin call.
STATEMENT OF FINANCIAL CONDITION
The most recent statement of financial condition for TD Ameritrade Clearing, Inc. may be obtained at no cost, via the Internet at httpilimwd.tdameritrade.comffinancialstatementhtml on
or before December 29, 2015, or by contacting TD Ameritrade Clearing, Inc. at 1.800-237.8692. As of September 30, 2015, TD Ameritrade Clearing. Inc. had net capital and a net
capital requirement of $1.58 billion and $310 million, respectively. A copy of the report and comments is currently available for customers' inspection at the principal office of the
Securities and Exchange Commission in Washington DC and the Denver, CO office of the Commission.
ANTI-MONEY LAUNDERING REQUIREMENTS
The USA PATRIOT Act is designed to detect, deter, and punish terrorists and/or terrorist groups in the United States and abroad. The Act requires U.S. financial institutions and
brokerage firms to implement comprehensive anti-money laundering programs.
What is money laundering?
Money laundering is the process of disguising illegally obtained funds so that they appear to come from legitimate sources or activities. Money laundering occurs in connection with a
wide variety of crimes, including (but not limited to) illegal arms sales, drug trafficking, fraud, terrorism, embezzlement, and political corruption.
How big is the problem and why is it important?
According to the U.S. Department of State. one recent estimate puts the amount of worldwide money laundering activity at roughly $1 trillion per year. The use of the U.S. financial
system by criminals to facilitate terrorism or other crimes could taint our financial markets.
SDNY_GM_00011861
CONFIDENTIAL
page 3 of 4
EFTA_00122512
EFTA01267991

Statement for Account # 867-730320
12/01/15 - 12/31/15
Important Information
What is TD Arnentrade required to do?
As required by the USA PATRIOT Act, our anti•money laundering program designates a special Compliance Officer to ensure compliance with applicable laws, maintains policies and
procedures to detect and report suspicious transactions. performs employee training. and conducts independent audits. Federal law also requires all financial institutions to obtain. verity.
and record information that identifies each person who opens an account. As part of this requirement. we may ask you to provide various identification documents or other information.
Until you provide the information or documents required, we may not be able to open an account or process transactions for you.
We thank you for your patience and look forward to your support in our efforts to deny terrorist groups access to America's financial system.
SDNY_GM_00011862
CONFIDENTIAL
page 4 of 4
EFTA 00122513
EFTA01267992

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SDNYGM_000118 63
EFTA_00I 22514
EFTA01267993

Terms and Conditions
STATEMENT GUIDE
IL ice...ado provides mantra Peddle Amara lor accoums erm acwity and quarterly moons the Mtn Ola brokerage insarency. a dent may Waive Wants due kom the trustee F an ono brochure that maxim mtormabon Oosolang FINRAD PWIc Cmcbsuro
lur med.,* 3CCOUNS Mil assets! in ~PRY and the SIPC. SiaSental coverage a pad out anla no trustee and Program. please Contact FINRA at 830-289.9KM or www.linmag.
Portfolio Summary: Track8 Ine current value d your POM14:40 as 01 the ~at 081.) and MPG payouts and unlw such coverage each cleft is limited to a cceibnad return ot
compares it to the plur manlh.8 The steel 81~1.0n irdO81.34 your partial. divarifeation by 5152 milli:on torn a trustee. SIPC end London insurers The TO Aniedtrade evoptemenial The interest rato scan ter TO Amertrade Cash e taken from the applcage interest rate ear lor
invesimem type coverage has an aggregate lirm al 5500 ~ion over all custawors. This potty provides the Mader Value balance n the TO eMene8O0Cailh. as 01~ Bialemed closing date Simple
Overage loth:mina brOkaege inso~cy ant does nO1 ~MCI against Ion n maket vat. rrecresi Is accrued dall/ based on the in:emuram ea applcablo to oach days balance.
M.Mple subtatar. undo 5% me be grouped into ~calegory of -Odor in the pie chart. Margin cr are seermas.
Eddy - Total Account ErmialTwal Long latrainable Value • TOMI She Value) Financed Statement Notircation: The sidemen of Mandal ~dean lor TO Montracke
An investment n a money mend tuna is not insured Or tuenweeal by the Federal ~table lace a year end may be deterred at no Coal. via the internee al
Activity Summary: The opening and dosing cash balances alt reooncled hue ler yea quick Depose Insurance Corporabon 'FDIC, a any other gwontrica money Mhough the Ma.,Nwrattlysentrade.combinandalstatementlara.
reteraica Ai account amity is stampeded lor be currant pared and yea to data_ kinds Beek 10 ~serve the vat. a new renhilment al 51 00 per Mare. 4 it daub» 10
Income a Expense Summary MonaliAs only): This section doom tno income and masons. lOse money by invested in a money market kind. Waled) we seceded daly and Option Assignmene: Mi don awry or on panes and some index wan popbens are
totalt from ne ~UV Summary and &main the lax irealment pactterniostod monthly. Ttio prcapeas <onions Ilis ard ode important ricarason amiable tor assignment Eamon assignment netani br ~Ty w index options are randomly
Retirement Account Summon. (IRAs only): Review Ma IRS resonated transactions for the Read the prospect.. Winultr Wore ~ding. NOn-depteil invetdmente held by your alocated among all chants' short posnons by an automated procedie.
one ard pro yews IRS Fenn 5498 lair made value is based on the anent value a* of boker dealer arc NOT FDIC NSURED !NOT DANK GUARIVITEEDi MAY LOSE VALUE.
Docomecr 31 al mom panpus year ant me to kinasted to~ Internal Revenue Sandi. Free Credit Balances (Rule 15c0.2 a 3): Under ma dent protection ndos. we may use troa
Pedon b na r r y ic o e u S r t u e m tu m ro a ru ry m :M in o a ni n to t i s y t a ra w w a y n / n . ual pallono pedormance erg the area:lied gains end c T a h n e t b o al I a c n p c c e ia i b , s y d o o u n r b yo a u k r o d r e d p e o r, s i a t n a d o o li t r e e i n p l r o O c r e S e h d e s i l r a e t d u rr y o a d w t o m y o e n w ey ~ M w ar p ke m l M a a c u co d u n k t in o d r o Cr n e d d i e t m ba an la d n . ce n your 4CCOunt n me Ordinary Came al our ~non which are parable To yOu
Account Positions: dew your mostrnonts x dd current market vat.* and corrparo the mend remilling byta
coal to see vvealaecl gains and losses n your ~lot. Original cost is assigned using me Margin Accounts (Regulation 1): H you have a margin account. ara report e a combnaton et
arum. rint e -o st u im t ( a F t I e F d O i ) m m o e s t t h m o o d n . t ~ i o nc h om a e ss 2 u a m n e d s a av re e r M ag a e l S c h a a s r t e s p > e d r u s s h e ar l e a r a e t e th o d s e e g l y a o y u e e pu f r o ch r a y s o e u d r T ta a x x t R ep Ip a O lrg in n g : c T o he m M ply a -c d o e m a m w I l R a S M cc a r d a e nn 0 i ~ s ~ in 4 cl ude Y s O u d w a e b W a ~ k ~ e . F am O 1 r 0 d 3 a 9 d fo s r . a c r a m pi e a l l r y is o k u s m an a d rg i a n ~ no c t e s n u t ta a tl r o d t a a r ~ a d ll e in l v e m s e to m rs o . r a A n d c u o m m p a a c c c t o 1 v s it t o T f r a th c e in g n s o k n s ~ a r s a so n ci a p t o e s d e w s a O ll W m :I a lio rg n i & n
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a Ø a O d T s o r d n a s . t l a i d i n n s I e . g l t e d a * c C a P s a o n o e s a o h n l t e n d r b a t i S a n m m l e g a a r n o v S c c o i t e c e n io . e t i n n t s l g s e T m m ~ ra e e t n o n b s t o e a C r c e o r ti a c n o f l m n i u r m d D e n d e y g t n o a u i c m l: h c e C a r a A t e s s c w . h c d o e m o u d b a n n t t r A O a c rn c a d a e v m m s n e k a w n n s t i d t h a D b A a a o h T s a n M e a n l c a l e l d e m x o m t m o m e k o r M . t n W a d th l a O . C l e t l r e u t a i e l r l e e d d r i n m & r o d i n n a t t g h e ~ a C o ~ o n r l a e p s t r t t e i t l n D e y y a c s a l d m h n b : d e I y C r e s a o C a r s a e O t m S l I a a d a s m I i M l i a s 0 a D , t 1 e x C t d a d n r F r o m E a t T o O e r D t r k R a A m M n 1 d r E 1 u n ) D o l X e e c m n r I a e D e t n a a r d t r m n k d a a c r a e r l d t e o a r o l p i i a s r c o c e s M l p e a a n la d n r . g n n C a i a t O n = r d I e I ~ K a p O M t n r R o e e P b m n C b i E e r l P a M « e E a t n i r D e e t e S M r r e a s t i e s , n b d a d li o t l y a e n d o t r o s P f s o e e h x a r c l a a e e y r r i m n c u e g t a i n e e c t n s d n a ir g t s m c h l o o o s a m p u r r n k a c p O e h y y a t m a r s ~ d W s . e e a h Ø n r b t a a . o F s n h d r lo e w t a W o d d r o ( c e C S d r t O u E d i p a e m C e o n p a s a . R O l t e T r n u e ~ r O e s l e r n i e A ( t s M a O m m 6 a r t a 0 a t y r e 6 e k i r l e r a a .. r m l . n e d C d p d o a e o i a 6 a n r l M t 0 s t s l e o 7 s a r d ) m s : h c i ' I : ) o a n d I u y C o d s n n w t o t e r e n m e r o a p e e a v l e n S c n e th d r e s c c e C a u o t l u o m m i v o r e e i p n s li n d e e t i a u s s n n e a s f i r c s a n h e e t e m l o t s e h : . y i r M e n T r o a o t O e o r r r l d d k a r A e e e n x r e r r l n d C d 1 a m e t r a ~ o n tr a s a p t o h i d e e r d e s a o r
Onane Cash Services Summary: Credit ard delul transaction totals lor dd arrom statement Margin and Options Account Agreements: Prompt/ aniso 10 Amentrade n wring of woximon x ynnv.idarruitrado_com. A %satin cants avalalde tow ramost
rePOnng Mined tee summarized. IMMOMI transactions we nottiseed arry change in your investment cloccuros or martial striation as they wain to your
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t$1041100 Anrval Income and Estimated Annual Yield values Ber broad upon the number 01 IrnpfeVealent cal markot orders. Paco improvement,: avanabloweder torten market condoms.
shares owned or arrant value balance, az of toe stalemom dale ard the most (*ow <linden! Cunene Mats Prices: Te Makel ~IS el survis ram been Waned d mobblc Ø and wo regular>, monitor executed. to lost lot such Improcoment a avalable.
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GENERAL INFORMATION cpdakri «NO> 6 0~ independent ~OD tie saurty is ailed 10 bang ~al ari
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ta0unlenl vinen rieOlEery. A8 8 Blenderd inøalry MaaCe. Øe COrmeMatins May 00 ~g tFe ~axing ~rice ad de anent make, ate Patio meal seddrOM8 irra' nen be redacted in the price al ire tawny Or changed as an :dependent sne item
records br dually commit and TransattiOn veilatin purpose. rtaccet sales prococch, The socoday meat tx Con/cads ct Deposes als) a ginaaly
loud and the sivd ~a may be Otterat from me p~ale ate ~SION. a ~Cad ~my Porky NollIkellon: A copy of the TD ~abed Ithear MACY is ~Peet el
For IDAmmo-ado ~moral dens. your advisor hirn is separate from and not attliated sub may ~A ton the cab al a CD pir ea rainy Brice adbr Rod ~am Saunas bade waviMamonyado.corn
TD Mornracb. Inc. a TO Arwerado Clearing Inc.. and oath Om is roof rosponsblo Ia the deaconry the Buy pØ and chino ~a en a load adwge. Rama they trade n me
prOCIAls end SeniCeS aline orher. OTC gee the count«, ~dad Ram«l quoity nay net wet la ice bear >ow canoe ma Cab.* SetallISS: The stocabon ol pond rodemponaa cab it donet rang a pro.~ bØ
natty. The sib WO:~m a to Meter nll/f0e.ilnalCeSclpenClbe. sesom. A ~crown el to proombros for callable sauntla Is nalabb on to ~Vie a hate
Accwecyol Reports:II you find any errors or omissions In your account statement you copies are avaliell upontamest.
Should Immediately cell us at the nanber listed on page one Of your stelanient. You Non Standard Amen CMA1 am typealy ~abeam ra ere pattegaman ~gram SCCUrtOS
Mould also contact our Clearing rem, TD Amentrade Clewing, Inc. el 800-689-31100. ~am:. leniodlablItyccmpancc. cy rod Male ~ram mash comedy pools. prime In Case 01 anon, a ~Mons soul you E1K*OniC Fund Tranafere, pi/MS0 CO lad S at
aqua, pitle debt a lodge inch NSAa se bottler Mode kneamena ad do not nab e a 1.2t066.9.390), ot n *rang to P.O. Box 2209. Omaha. NE 68103. or by email at
Please fcaseivenc ma:mom cattily. Ir you Osage", sub transacton. or il Mae ale any noon.. =curio: ~Iona, a toNcadaq Stock Malt, the Mum ~an tertmaernosimass dieMtervi:~105M0616.0e.COm The insamkelOn contained n your («ant statement shall
area a aviSUOM. please nobly a Client Services rewesentalke vow 'Oral Wadi Cape. as are ~hied erm ela skri eal torn orkke ~nab. nckdro, but na killed t Independent be landng upon you it you da not otu tel we've sock aidays lor any !candor of lords ~pot
woll as 10 ~arcade Clean-g. Inc. in wmrg enmo ton (10) days ol you rurap ot this apexm- ats da prog~. nem asset. and« nid party ~der Mors tot ham bØ provded by to lece.labon E, such as ATM and potetbob trarolas, done transactions. dual departs.
statement. Any wet setemene that you hare made to vi 1~0 be cornmied in mane The Vet maragorrart. a~ raw. anda spaocc d oach awn a' by a [Minty vender snout and willairealt. We must hear from you ro later Man 60 day, ,her we sent you the FEST
statement Mil Othenvae beconsidered canebrake. independent nettallen ID ~a. Values may no Mk« the Mond ~lase pica. «moment on whin the error or problem appeared.
Ø ~Ma Moe a be malzol Mae" Madman i an caintamd value canna be etellathee (I) Tell us pv rend and account ranter
Please ~ay vs promptly 01 any changes in vow canted information. Dan/Mallard reaecled on OV0I19110~rivilb003. me olutilal mar be repeated as NOnarted (lIP) Foe adcRiend decal (2) Omarm the ener of the tensor you are unsure abOUI. and oxplan as dearly as you can
your report mil be conchal.* dimmed accurate unless you rook TO Aniaeradomercichouree naprong ~man la N:o.Stamtarel Aare, Pløse aroma Chas Schwa These rnastracts why you berme n Is an error or why you need mac inlormabon.
arena woad uØ me SIPC, (3) Ten us the Odle arrein of the ~Palederror.
Account Protection: Deposes Meld by TOBank. NA and TD Dark USA. NA. aro ~wad by Wo sol invosig.to your complain and oft carat any error promptly. el we lake more than ID
~ M M e F A D W IC . (4 T 0 O 1 le C a o r v n e r m ed o t b e y a S b I o P u C t ) F u D p IC l e C $ O 2 M 50 M .0 ° 0 . 0 g . 0 L t i o m n is s m ar e le ll p e e g r O ~ v. W Se M C a m lle i S n . e r i t n h d e u ) d p n e e r H A ~ m d e a n t e R s a K o a S m a a cu ra ra tr a ia (S ie a en ri k P e r e o 0 n . g 0 : ~ T 1 he i d m ep ak o o d l e va n b t r 8 a 0 la ~ O . A T S h s e a ~ u a rm y s ha 0 m 1 th b e e p en k i o n t g la i n s e n d a . b y u o s u i n w e i s t s h a c v in e s th l e o u d s o o t o h t is t . h s e e m w o n ne w y d a u l n l n yo g u t r h o a c u t n o un s t t b ak r e M s e u s a m to o c u a nt r y p o e u t * IN o n u k r i i n s v i e n s e t r g ro a r t . o 1 n 0 . that
mutual runts, held in your Brokerage ACCOunt are 401 deposits or oblgations al. or 9allankta Harman, ~a a no Malta. TD Arrataao SI ~ode ORS ~son. titog nth
guaranteed by. any bank. are not FOIC.insend. and invoke invostinent nets. indudng ~Wet boll to quay ad undoSeng °Mt quay, The ARS ~MI a ~only
possiolo loss ol princpal. TO Amentrado is a member ol the Securities Invests Protocnon ~hod% a itia 011~Ity and. an result mere Ca be ro assverce dal such WeUrleS Ca
Corporation (SIPC'). which prance's second,: customers or ils members up lo 5500.030 be WM unix one mat. cote. MR01500744
(incadine 5250.000 la dam= for cash). Explanatory brochure is available on request at
REGULATORY DISCLOSURES
waid.3~.01.
Additionally. TO Armenia* prOddea ead) Clan 5149.5 ninon worth 01 Difilation for MI itansaceons aro raneci to p) ma consmubon. Net regulator's customs and usages
SeCuritieS and 52 renlen 01 MOOMIOn for Cash Ihreugh BupOlemenlal coverage provbed by Of me exchange or ~MI. and ila deatronouse. il any. on ~oh such tranatantra are
Landon inewel8 o E x x ecutal no ~eat 4 lass. 0 in .1 d 1 uI 5 n 0 g &Na a n d a 's A en c t al 193 o 3 r f a o n n d i l the Securees SDNY_GM_0001 1864
and ort
EFTA_001225 15
EFTA01267994

Statement Reporting Period:
1D Ameritrade
01/01/16 - 01/31/16
Statement for Account # 867-730320
800-669-3900 Announcements:
D TO IV A IS M IO E N R I O TR F A T D O E A MERITRADE INC S 6 A 1 O T 0 T U 0 N T R : H J E E E D R F H F N R O F E O IN Y K A E O N P T C S R IA T S E L S I L N T L E C 8-3 D to i r a e d c d t d c e a p s o h s t i o t IS yo a u r c o T n D v e A n m ie e n r t it r a a n d d e e a a c s c y o w un a t y .
PO SOX 2209 ST THOMAS. VI 00802-1348 Make your money readily available for
OMAHA. NE 68103-2209 personal trading and investing.
TD Amedbade Clearing. Inc.. Member SIPC Visit tdameritrade.conVcashsenrices
and sign up for direct deposit today.
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $ - $
Insrd Dep Acct (IDA) 51.587.36 51.586.92 0.44 0.01%
Money Market
Short Balance
Stocks 0.01 0.01
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51,587.37 551.586.93 50.44 $ 0.00 0.0% 100.0%
Margin Equity 100.0%
Cash Activity Summa Income & Ex . ense Summa Performance Summary
Non
Current YTD Reportable Reportable YTD
Opening Balance $ 0.00 Income Cost Basis As Of - 01/31/16" $0.22
Securities Purchased Dividends $ • Unrealized Gains
Securities Sold Interest Unrealized Losses (0.21)
Funds Deposited Other Funds Deposited/(Disbursed)''1D
Funds Disbursed Expense Income/(Expense)r°
Income Interest Securities Received/(Deliverec)"° 0.00
Expense Fees 'Tor cost-basis Information, refer to www.tdamerltrede.eom
Other Other
Closing Balance $ 0.00 spiv Net $0.00 $0.00 $0.00
SDNY_GM_00011865
CONFIDENTIAL
page 1 of 2
EFTA 00122516
EFTA01267995

Statement for Account # 867-730320
01/01/16 - 01/31/16
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.44 $ 0.44
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover thAdencis). The year to date totals will accuratehr reflect your cumuSative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.0113 $0.01 08/05/14 $ 0.22 $ 0.22 $ (0.21) $ -
INC
COM
Total Stocks 50.01 $0.22 $(021) $0.00 0.0%
Total Margin Account 50.01 $0.22 $(0.21) $0.00 0.0%
Insured Deposit Account Interest Credited
Begin Number Interest Interest MTD MID
Date Balance of Days Rate Accrued Accrued PAID
01/01/16 $ 51,586.92 31 010"; $ 0.44 $ 0.44 $ 0.44
Total Interest Income $0.44
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,586.92
01/29/16 01/29/16 Received Interest: Insured $ 0.44 51,587.36
Deposit Account
Closing Balance $51,587.36
TD Bank NA $51,587.36
FDIC Insured Deposit Acccuit (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable knits and held by TO BaNc. N.A.. Of TD Bank USA. NA. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
CONFIDENTIAL SDNY_GM_00011866
page 2 of 2
EFTA_00I225 I 7
EFTA01267996

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SDNY_GM_000118 67
EFTA 00122518
EFTA01267997

Terms and Conditions
STATEMENT GUIDE
nr.shrado prandes monthly Portfolio Report; lor accoums aim aciney and quarterly reports th the event Ota brokerage Mammy. a dent may Melva etneents due tran the Wale F an osto brochure Mat maxim irnonnabon desabng FINRAS PLtric Coscbsuro
lc mac:ye accounts aim assets.. in barroulticY and non SIPC. Sy:Sonia, coverage a pad out arter the trustee and Program. please Contact FINRA at 830-289.9g99 Or www.finfaad.
%Sal. Summery: Redd lid Current vela a your P00010 es or the 11904 dale and SIPC payouts and Lida such coverage each aim is Wiled to a artilmod return of
compares h to me peke nelneta The Meet illMetiOn irdcathe your pariah) divailfealion by 5152 miliOn torn a trustee. SIPC and London insurers TM TO Anherilvaide applemental the interest rØ Men la TD Amortrade Cash a taken hom me appicatle intecostrato ser ter
investment type coverage has an aggregate ad cl 5500 ~Ion owl as austmors. This potty amides the Markel Value balance n the TO AMerbede Cash. as 01 the illtiblimern closing date Simple
coverage loldsing Wastage insohency Bed does nOl proleCI (damn )» in Medal value interest Is xcrusd dally based on the interest rate ea applicable toost days balance.
M.Mple dbcalcas undo 5%wi6 be grow:al No mo category et stew' d mo pc chart. Margin or me saunas'
Emily - Total ACCOunl EquilATOtel Long Wejlnable Value • Taal Short Value) Financial Statement Noillicallon: the mammon of Imancul condeen lor TO limontrado
• investment th a money manta lund is not insured Or 9.leraMted by the Federal available twee a year and may te obtened al no cost. vie me internee el
ActnIty Summary: The opening and dosing cash balances ago moon:led hae lor yea quick Depose Insurance Corporabon 'FDIC, a any once govormica agency. Although tro hm...Nwywittananivadacam.hnanciatiammani.html.
re,e.* ice At eceeuni achnty a surtinhanzal roe no cunoni paled and year to data funds SNOW preserve the vats a your anhelmant al 51 03 per Mare. 4 is enable 10
Income 4. Expense Summary IncrvIRAs only): This sitcom delarv tub income and omens° lOse money by invested n a money martial Ø. Drnaleds we <leaped Daly end Option Assignment Ali short aqua option posnons and some index canon positions are
totalt hem Me Activity Sumarry end dalstilles me lax treatment pactranunted monthly. Rio prospectus Damns Ms ard once important donators available Ice assignment Emarne assignment emcee for fluty or index options are ((Moray
Robrement AccooM Summary (IRAs only): Ranee tro IRS regnatod transacoons for iho Reed the omens Prefab before imbuing. 140n-depteil investments herd by your alocated among all clans' short posnons by an anamelod on:cease.
<wen ord Vet MPS. IRS Fenn 5498 lair marka value is based On the anent value as of brokor dealer are NOT FDIC thISURED t NOT BANK GUARANTEED/ MAY LOSE VALUE.
December 31 ol mo previous yoar and and to furnished to tlaa Internal Revenue Same. Free Credit Balances (Rule 15c04 a 3): Under me mot protection nslos. we may use free
l P as a s l o o s m fo a r y r o .« ur S lu un tu im ro a a r n y a :M st o m n o n m oi s y o o o u t r o a g n y n . ual portfolio perlormance arc, the vnealind gains and c T a h n e t b o a l l i a qu n i c da e m ' y d o o u n r b y a o n u k r o d r e d p e O r. s a a n e d c o li t t a e r r p il r o O c r e O ed h s b r a e t C u r r n y e o d u r l o m y o e n w ey s m ec a u t r e ee l s m a a c m c a ou ' n fu t n o d r C on re d d e it m ba a l n a d n . c es in Our account in me Ordinary course Ol our Wens which we payalde to you
c A o c a c l o t u O n m t P e o s w it e io e n k s s : « N , o g w a y in o s u r a m nd o s la tm se om s s n a y m ou o r c p u a r l r l e o n h t 0 M a O rk ri e g t i n v a a l h c o o a a l n i d s c e o t r t r i p g a n r e o d t h u e s m ing e n m d e remillel bya Margin Amounts (Regulation T): H you have a margin account. this report is a combnaton et
n e i r s a la e th r e im e i- s o t u im l ( a F t I e F d O i ) r m m o e s t t h m o o d n . t M in ic c h om a e ss 2 u a m n e d s m av e e r F a o g a e l S c h o a s r t e s p e yo r u d s u td re W a e t e th n os o e :r a yO y u e d p u f r o c r h y e o s u d r T ta a x x r ~ ep M on g rg : n o Th x e rp a la n a th te a w ta il g l a IR l i S s n m a e ' e ra t n a n t a a c is u m in e cl n u ' d e Y s o u d w ad e a m ti m en o F d o rm d r 1 y 6 d 9 e 9 n d fo s r . a c r a m pi e a l l r y i o s u ks r m an a d rg i a n w no a t w su a ta a tt r o d l e o r s p a a ll d in a v e m s e to m rs o . r a A n d c u o m m p s a c c o t o 1 t s « t o T f r a th c e in g ri s o k n s m as e s r o li c n ia p t o e s d e w s i M th o m n a o r n g a in ,
r A o c t c a o /a u c n e t M lei i e ld M ly a : s A tp l u e rc tt h O a w se n a do lr t n e l is y s i9 h d ow ea n r l l o y r d a e n fi r n e e l d c . e l l a io te n d 0 i 1 n y o W ur O h O o r l d d e ig r. D an O d O « M S . l ated in the « g I e t n o . m lam in e d e m d a a n h e e d 4 a :W nd s i ti d e 4 s 4 p r m oc a e n e s d . s ' Some permerts ere subject lo reclenrailOn shin d tr o a c c u in m g e i n s t b a y m c i o a n b t l a e c t i i n n g t h u e s e m l O a m n» nu r m ek be d r i I s s c l lo a s , u o r n e p d a o g c e u m On e e n t O . l Y p O u u r m st a a y te m ob e t n a t i . n a copy Of Ms
« Ø O d T th d o r n i a s . t e l d i i n m n l o . T g e s a h c C m o ~ a s a m s d o s h a t h i r n b s a S a n g r l e s a e a r n p v S c c o i t c e r a io t e . i t n n s I g s n T ‘, p n r 1 a o 1 in m n b t o d l i C c r . e t o n i f O n l d e l n i u c r t m D d e n d y a g O n l u l c e : r h M i C e e c a A a k s c . h a c d o m s e u b a n i n t t t r a S a c g d t a e y e r m m r d s e a y w n n s t i d t e h i r c t A a i t n i T o s t M n h e e n c a l o t li i c e o w t r n m n r s e n b r o M e . m a e d h r l a e . c l e l l i e s e a te l r l e e d d r i n m ca o d g n a in t b h g ) ~ ~ C c s o w M p o n d a i c n e l r x B m y n i a e s d a a e i s n l b : d y t C i e l e o C o n s a r s O t t R m , a I a a m I y 1 n M 1 s m d 4 . X d A c t P o d n b P , w M l O T o i O n t R e a m M M n I E d D n a D o p a n n e m d i a T c a e n D m b d a a a d a e n n e d o ) c t , a r e t I p r s m o o d I d a n e l n e tr i n d s m a n a C o a to O t d n r I t t m p i G C O r C n a n E i e y s P b t s C a b E p r l A P a a T e E w t a i D e e te i a t r r e 8 l s l k i , s e t e d t p d i o t a y r a a n d o te t r * s P f s e o a e h a c r l a m e e y e r i m c i e g v o t n e e e c n d s n a c g t u s m c h r l o e r s e e m p u r n s c a p c O a h y a y m s r s M d n s . e e a b o a n r b r b t o o n F k n h s l n o e e l r w a a W s r d o ( o e C S O r t O E t d p o c m C e o n t p a a s . R O l t n e T n u e r w D e s l e r i a c M A t s e O m r 6 a r d f t 0 o a t n . a 6 n i / t n r : e a e a r a l n e d a C r p d o d o o t a i 6 i o r r l b n t s 0 n s a e o D s r d c m s : i i o n s I ') a n c u k y l C o n s n m a s o t e i a n m n e e p g e a o l w n S c n th d r s e c c e e C o I u l s t i m v m o r l e i e l n p i s n e d e i t u s s a n e a f n s i r s n a l p e l t o m n t t i h e o . y M r e n T r o a o t O e o r r r l d d k a m A e e e t m e r r l d C d o f r l o e r t a a d o v n w r t i a p t e n h d e t r g e o s o r
Online Cash Services Summary: Crate ad deter transaction totals br mo carom Mailmen( Margin and Options Account Agreements: Promptly adaso ID Montana n tuning of common at vnimadarrixeradecom Anatolcopyis avalatlis up:a rimiest.
rePOrtng anted we summarized. InOrnebal benthedernei are native:I any change in your incoming cloccums a *drool seaman as they pertain to your
rOuo to rounding adustments. tho abdomen, decals may not copal the stemma'stotals. ( w M in e t i h n e O e r x 0 e 0 cu 1 t 4 io » n M til O °p W eo S n ' s g r w e a e n n s h a o c r o n o s n s A i s S u a m ya m la e n ry k s o . f commissionsad donee incurred M II M is u o s u r t p e o n lic d y. O a n b s I e h n e t P eb on ily t ° t M o r p s ro t v o id e th e h e c e o l n M tra e r c y u . t t l o o n s o a l n e d d b th o e a s h t i s st . o ( r I y n t c e ol r s s , e a e n N d r g m a p r r k ic e e t
re/babied Annul Income end Estimated Annual Wald values ere based upon Ihe number a improvementoh markot omos. Pico mean:momis avanablouder mean market conceals.
slums owned or carom value balance az ol the stalemorn dale and the most recom cluidend Orin Malta Prton: the man hams cl mama ham b Waned. al arabbkh kom and weregular/1 maula axacutan to test ler such improvement d avatar*.
'eie a an yield rittrndal caddicn saga. ad other indeperident Ewan Vala We Weed On Me dosed iron me
man bemoan the bd ad slug cows a other motixt. t enodd whoa satte am a Trade COMirmallenti (Rule 1Ø10):M conIonalions am atiremilled On me Irtinslia0n dale
GENERAL INFORMATION chidden HMO OW indepliklent MM. the securty wiajazi lo bang rertedel
Nan Prod efe) the el your a:adoMbar as Punta as ran MbaTinn ad non: Trantaolons in Meign 80OuritleS (indtand foreign renpanta ADM mat lise h ,I)0
10 Mientrade does not provide legal or lax Mote Please cordial your legal ~sot or lax me dora guarymoo mo scuracy et any scones Feces. Italgago bacfaxl posteasanwiluol U.S.) ray include taxes ard foes carped by to hegn maraca or governments. each may
teCCOurnant when necessary. A8 a Standen, inekeby create. (Pane COrminehtins may be gang We ranting butte Mg me wren mewl DM Paria rØ hakmanti my nOl be redacted in ma price of IN) tawny or charged es an Independent sne item
MOMS Stir Salty 0001101 and hansattion veilatin Purposes. moan mks proceeds. The sec day ~el la Colima:es ct Deposa (CDs) b gantaly
loud and the eclat vabe (nag be alleen from the ~Ilse cite Asgillare loss et pine el Plenty Perm NollIketion: A 0311y of IN> TO Amerind, Piney DOICY is Mnible el
For TO Amman, nomad, clews. your advisor hem Is sq>arato from and not attend MI may mail tom the sale ol a CD pØ to roomy. Bends adb Fred tam Saunas trade vnemblamarradocorn
TO Amernra6a. Inc. a TO Artutrado cleating, Inc.. and oath Ism is not responste la the clammy mar awry scones and de na Wade an a mud ordwge. Ram. troy ease n me
PrOttxts end antes Ol the Ogler. OTC Wes the COunitg ~and WM:~I dUararmiy nOt pla la nou »Wl >Sur Zeknakr GSM* Saturnian The elocabon of portal !demoted or carts n Oone hang e croon Reny
to nu". Tro sib ot ba-ot pncr to ~sty may moll h a loss a primal system. A dommtion el the procedas for SUM saunters is avoid:Mon to robes a hard
Accwacy or Reports:II you find any errors or omissions in yew account statement you copes are acanthi ØI 1.
*Mold immediately call us et the [umber listed on page one Of your statement. You Non Standard Assam (Waal ate hocaly marmot n droct partcpaton program :muftis
Mould also contact our Clearing rein, TD Ameritrads Clewing, Inc. el 800469-3900. paaerstips. knead Malty ccmpana. et red edam rearm,. bum cadmay pmts. promo In Case Ol anon, a ("Jostens urbal pur EIMONC Fund Dander. please Canted us el
muty. prUlle debt a Iddge Vets NS86 ere beta IMO ~Inca and do not irate en a 1.20) 669.3900. or in amp to P.O. Box 2209. Omaha. NE 68103. or by email at
Please renewtee stab:roam carcrnily. It you Osage,' with any transactors or il Mae ale any alma sauna echarigo a to Rama Shod< Molt The 'dues anen ha time mamma ClieM9eMkeKMXILIMegattle.COM The nOrmaton cOnlaned in your (Mani statement shell
aids or omissions. obese redly a Client Services representelhe a yOur tat branch Cate. as are ~Ad «Les caned lam news ~hods. nadro. bw na Pad ST indigent:lent be aiming upon you il you do not °twat wthn may terndays lor any !candor ot lunds steams
wol as 10 Amarrado Cleareg. Inc. in wmrg satin ton (10) days of yaw rococo of this appraisals. are progat. nor =at. anda Wed party tender alas tut hero boon provdod by to Rcgdabon E. such as ATM and point ame :rarely& dead transachons. dirocl docauts.
statiment. Any ore/ statements mal you hare mode to vs should be COMrnied in mitre; The to managorrcer. ~ram. antler spa-ar of ØIØ et by a that um meal without and sithensals We must hear from you ro later 'han 60 days ear we sein tat the FEST
statement will «henna beconsidered conanive independent malarial by ID Amoeba When may not (Oka me ;Mind ~ase mice. stasomen, on whinthe error or problem appeared,
Ø marka nue a be .oabsd Limn lowdacri t an cevnosd value cam« bo establahod (I) Tell us har rend end account runt»,
Raise nary es promptly Ol any changes in your comae information. hareaCtions redated on !Weigh Bese merhode. the bauen may be reflected as Nant'ited NV) Foe adapt deal (2) Doscrbo the error or the tanter you am unsure about. and explain as dearly as you can
your report wit be conehmhay dimmed atonale unless you nab TO Anwroadommodatob. mamma halation la Non.andard Ames. please coma Clan Sams. These rnermtres why you belay° ti is an error or why you need ewe inlormabon.
arena mad =Wild SPC (3) Ted us the Odlar anro.ini or the mended ono,
Account Protection: Deposits told by TO Bank. N.A. ard TDB.* USA. N.A. aro toured by Wo sal amosigato your complain and wit correct any error promptly. el we lake more Man ID
tie FDIC (401 covered by SIPC) up 10 5250.030. Limits are per attan ohmedthn per Podia Rao Socurbm CARS-) Prong: me meet Nabs la OAS mums hno boon oaaned. business days 10 do this. sewll trail yaw swam br the amount you think is» era. MIMI
m ini u a t l u t4 a O l n lo . d T e O , le h a e r l n d m in o r m e a a r b l o B u r t e F lM D a IC g e C O AC M CO M u . n t go a r t e O 4 + 0 n 1 e w S WIM O S r e o a b s l t g le a S lio . n i s n d e u l d . n o g r g n a e ra b n t i l c e a . K l H or a n M ma a k l e d r e m n t il r e e c ke m lO e r a W rd e s b M . a TO g a A d rr a icr n tr ~ ad e e n M I a T n h :o e n e o c 0 o A ra S y Ø ol t e he n p . r s a a n u g g is h no b t you wll have tho use al the money dunng tho tmottakos us to corrglob our invostgaton.
guaranteed by. any bank. are not FOIChnsend. and involve investment mks. includrg ccnadet boll tie quay ad undid/rig cm* quay. the »IS wurla is ~only
posstle loss of printout. TO Amenvade is a member el the Securities Investor Praocton Menaming aypdØy ant teti nut them an be ro (Myna mel such troCurleil cn
Corporation (51PCI. which aromas moonlit: =tamers of ds merrbers up lo 5500.000 to sold urea one ~se cottons. AMM 1500744
$250.000 lot claims for cash). Explanatory brochure is available on nrqual at
REGULATORY DISCLOSURES
mew.diPa.ead.
Adeltlionelly. TO Amanda presides each (lent 5149.5 ninon worth ol protection for MI transactions aro abject to p) me consillubon. roes. regulations. customs and usages
SeCurilleS and 52 MIIOn 01 prOteelOn far cash °tomb SupOlemental coverage provided by d the exchange or norkel. and as dearsignouse. it any. on Mich such trananlan ere
London 'neuron amulet sti Ideal lass. indsc #d Ing the S aun iv te rs A in c t of 193 o 3 r f an on d e l Ma O S f% au nas SDNY_GM_0001 1868
EFTA 00122519
EFTA01267998

Statement Reporting Period:
1D Ameritrade
02/01/16 - 02/29/16
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
PO 80X 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Amer'bade Clearing. Inc.. Member SIPC
Portfolio Summar
Current Prior Period 00 Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $ $ $ -
Insrd Dep Acct (IDA) 51.587.77 51,58726 0.41 0.01%
Money Market
Short Balance
Stocks 0.01 0.01
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51,587.78 S51.587.37 50.41 $ 0.00 0.0% 100.0%
Margin Equity 100.0%
Cash Activity Summa Income & Ex . ense Summa Performance Summary
Non
Current YTD Reportable YID
Reportable
Opening Balance $ 0.00 Income Cost Basis As Of - 02/2W16" $0.22
Securities Purchased Dividends S - Unrealized Gains
Securities Sold Interest Unrealized Losses (0.21)
Funds Deposited Other Funds Deposited/(Disbursed)''1D
Funds Disbursed Expense Income/(Expense)T°
Income Interest Securities Received/(Delivered)"° 0.00
Expense Fees 'Tor cost-basis Information. refer to www.tdamerltrade.eom
Other Other
Closing Balance $ 0.00 spiv Net $0.00 $0.00 $0.00
SONY_GM_0001 1869
CONFIDENTIAL
page 1 of 2
EFTA_00122520
EFTA01267999

Statement for Account # 867-730320
02 01 16 - 02 29 16
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.41 $ 0.85
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover divdends). The year to date totals will accurately reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost GalniLoss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.0109 $ 0.01 08/05/14 $ 0.22 $ 0.22 $ (0.21) $
INC
COM
Total Stocks 50.01 $0.22 $(0.21) $0.00 0.0%
Total Margin Account 50.01 $0.22 $(0.21) $0.00 0.0%
Insured Deposit Account Interest Credited
Begin Number Interest Interest RETD MTh
Date Balance of Days Rate Accrued Accrued PAID
02/01/16 $ 51,587.36 29 0100 $ 0.41 $ 0.41 $ 0.41
Total Interest Income $0.41
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,587.36
02/29/16 02/29/16 Received Interest: Insured $ 0.41 51,587.77
Deposit Account
Closing Balance $51,587.77
TD Bank NA $51,587.77
FDIC Insured Deposit Accent (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable knits and held by TO Bank. N.A.. or TD Bank USA. NA. or both. The IDA balances are coveted by the
Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
SDNY_GM_00011870
CONFIDENTIAL
page 2 of 2
EF1'A_110122521
EFTA01268000

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SDNY_GM_00011871
EFTA_00 197599
EFTA01268001

Terms and Conditions
STATEMENT GUIDE
nr.t.yado modes monthly Portfolio Steppes lot accoums with act/wry and quanerly /coons h the *Wen 01 a brokerage insularity. a dent may receive amcwts due from the truslee F an eeio brochure That indicts information demoting SINRAs Pitic Disclosure
ce 194C1.10 accounts with assets.. in boltrePtcY and men SIPC. Simoktwomal coverage es pad out after the trustee and Program. please Conlacl FINRA at 030-289.9999 or wnwlinns00.
Portfolio Summary: Teacart On Current value d your 000010 as Of the rep04 dale and SIPC payouts and color such coverage each clone is limited to a combrod return of
compares/Ito the prior month.: The anal MCCaliOn Weal" yOur pOrd010 divenantilion by 5152 miliOn Iron a trustee. SIPC and London insurers The TO froneritrade Preekmental The interest rate Yam to TO Ameafade Cash a taken from the opptcab(e impostrate ter for
investment type coverage has an aggregate Imo GI 4600 motion oar at customers. This potty precedes the Markel Value Waive n me TO Amertrade Garth. as 01 the illalemeM closing date Simple
Coverage Ion:ming brokerage insolvency and does nOlprolegl again loss in market vatte interest is acruad daily baled on the interest fato ter applicable to each days balance.
Whole Slocatens under 5% ail be grouped into the category of comer in the pie chart. Margin of me mourners
Emily - Total Accourn Eguit0Tmal Long ?Attainable Value • Total Short Value) Financial Statement Notification: The statement ol hnancul condeen for TO limontrade
investnen1 ti a money model lurid is not Mewed Or guaranteed by the Federal avalable wnice a year and may be obtarkel al no cost vie the internal al
Activity Summary: The opening and dosing casts balances we reconcled hue ter yew quid Depose Iresuranar Cameroon (FDIC' a any other or:nommen agency. Although the May:Awyrttclomentradocombnancithiatementlittn.
fONfOlC* Al account acunty is summated for the currant period and yea to date_ funds Beek 10 preserve the valle et your snanlment al S 00 per share. it is pOstibb 10
Income a Expense Summary inon4FIAs only): This section dame the income and evens. lOse money by investng n a money market fund. DMilerds are declared daly and Option Assignment At short cowry spoon peenons and some .odor option potions are
40[03 from a. Ali ily Sunman and Clabalin MO lax Irealnient poctresnonted monthly. The prospcchd cartons this and Woe important riormsion MUNNle tor asstymeM Exercise assignment traces for <Ivey of riles options are randomly
Retirement Account Summary (IRAs only): Review Ire IRS resulatod transactions for the Read the prospectus Oirekily Wore Meting. NOndepesil investments held by your alocaled among adorns' shoo posoons by an automated proceekve.
(wart and mi. yew, IRS Fenn 5198 fail Marl* value is based On Ire anent value as of a akar dealer arc NOT FDIC INISURED f NOT BANK GUARANTEED/ MAY LOSE VALUE.
Docomeer 31 of the previous year and wit to furrishod toto Internal Revenue Scow/. Free Credit Balances (Rule IS:34 II 3): Under me Mont protection mt. we may use tree
l P o e ss rf e o s r m o a r n y c o e u r S M um ut m e a n r e y e :M st o rn n o it m or s y t o ra u t r e a g n y n . ual portfolio performance and lie vcrealized gains and c T a h n e t b o al a liq n u ce d a it te y d o o u n r b y a o n u k r o d r e d p e o r, s i a t n a d C C It O s .M p I r o O c r e S e h d a s r e r s e t d u n W ed ho t o m y o a n m ey m M a ar n ke e l s A V a I m A4 o P u n a t r i o d r C on re d d e it m ba a l n a d n . c es in your *COMM in PO Ordinary Coursed our bosons which are payable to yOu
Account Poalbona: New you mostmems al the current market vat.* and corrparo the ongnd remitted 10 year
cost to see weelikled gains and losses n your WINO Original cost is assigned using the Margin Amounts (Regulation 7):11 you have a margin account, this reports a combnoten of
H He e s s t t . e T r. h O e f S e I- s O ti u m l ( a F t I e F d O o ) r m ro e s t t h m o e d n . t M in ic c h om a e ss 2 u a m n e d s a th v e e r O a r g a e l s c h o a s r t e s p e yO r u s s h e or t e a l a e r e th o d s o e p l y a o y u e p d i-t fo a r n n yo e u d r T ta a x x n R t e a p i O rg ri r n g : c T o he m W pla W ke I ) w m a o n o I n R a S M ise a ss li o n T a d l e ls t e In n c t l e ud e Y s o u g o w a 5 t e re e c r e e k e e f e F d e . n n d r 1 id 0 e 9 n 9 d fo s r . t c r a o p d ta l r Y is O k u s r M an a d rg i e n s s n o o t t h s e u nt b a tl n e d t a e r V a a ll a in l v e m s e to m rs o . r a A n d c u o m m a b cc o o u lo n t t o T f r a th d e n g a s o k n s m as a s r o li c n ia p t o e s d e w s o a o d m th a io r n g a in l
M /e c n C em or a d s O Rh a o t a h t * te : s A t p l s ur t c e h m ase " a W c a tM r i l s y s is h d ow ea n r t , o / r d a e n f i i l d e e d a . t t i o o te n d o i f n y d o a u te In O k M in * g , P an ed d 0 m d) i . n ded n the M Oa i h t e e . m W e e n e t X a e l f o e n lt e o d t . s a t n m d e O n d t e t , a 0 r , m 00 o 0 o 0 n 0 s 41 . Some Wan* are subject lo reclassnCelen .tier b do e c g u o m t; e i n s t b a y m o ia m b i le tt i i n n g t h u e s a m l a M r e g r n u M m k b a d is fa c t l e o d su o r n e p o a t g e e m O he n n e t 0 . 1 Y yo o u u r m st a a y te m ob e t n a t i . n a copy Of Iris
l C O C e T e n e r t b r a s d d l t d e i . i s n . r R e . t g * a s o C t C P e s a m a e e s s n e h t h n d r b a t i S a n n m l e g a s n o n a S r c o i c O t e n a t . i i t n i o t s l g n a T i s m n r e e a o l n n b o s t: e d i i C c c . t o o n iO l n l d e t n l u c r m t d D e n d e y g t O n a u i c m l r : h < e C e n c a A e k s c . h t c t d o l m e e u d b a n i n t t W a A c a g c a d e t r e m m d s e i a y W n n s t d M e I n x A a n t T o a s n M t e t n t i a t O o l c e d n t m u S n e it y n o th . t r a a d m r t a e c l e h le u M a e r i e e d d r i n m du o d r n i a n t t h g e C O c o s u o o u rp s n x i t t a i i a n S n n t y a y g e s a e ' e h n t l b : e d y t O o E e C z n m t r O d a t m a a I t m s i I y M t l s t m O D e . f C o t M d a M n n e P w i l T o n O lb t o k R i a A w f n r I m T e d D E l e o D p i n n m a t a T a p t n D lo r l t o o i A d a d n a v n e t e d e r p O te r s a e n s h l e t e t o e d r is i r n n . g n a C e a l O o t n n m I d N p D C o ro C o o v n i O i n d s P e k g r o Y s * r I P A C lo o T le E a t n D o re t I n S M A i a n O n , e U ( d d p S o * / 0 / a 3 n n 1 o o d 0 r t r o s P f s o e e h z a c r o l o e e y o r c i t m c r g s u r t n o e e c t n d d n a c g t s u m c h f r o s o a e p u m r r n k a c r p O e h y y o t m r s d e r n , e u x e a b n c r t b r t h o o . R s a n o In o n m . l w g a a W s e d o ( o e c S d r t o o E r d m p o o C e o n c p a s . e o R l t e n T n u r c g O e s l a n e c ( A a t s S a O r m t 6 n f l c a 0 a t o a r 6 d t a n r r n a a e r o a d n e C v t p e d r c e a o a 6 r n b t l t 0 s s h t r e o 7 i e s d r ) m c s : i i n s I 1 o a n . c u W y l C o s n r s i o O o t t i i m a n o le O g m e a e e n n s c th r e d r s c c e c a u o u t l s i m v m r o t i o t e n s p i r e d l r e i a u s s n n e h w i s c s n o a h e r i t f t s n n o h o . y r M e r , T r o a o t O e o r r r l d d k a m A e e e te r r r l n O C d a r o f o t a c a w o c r n e o a- p t t h c d l e t e e o o o r
thane Cash Services Summary: Credo arid deed transaction totals or the axiom statement Margin and Options Account Agreements: Prorrpift anMso ID Amentrade n ening of ezecurson at winvidarnertradocony Amino" copy is avalatle Limn request.
retnang 00006 be summarized. IndMtkel Venetia*e are notlisted. wry change tn your investment Maxitros or anarcial striation as they wain to your
M ro t u : e b a to l e ro d u n A d n in t g ra a l e I g n u c s o tm m e e n t a s n . d m e E s % a m rri o a m te e d n A t d nn e u a a ls l Y m ie a l y d n v o a t l u c e o s a a l t e h e b a s s ta e t d e m u e p n o t n t o t t h a e ls . n umber of m wo a n rg m in e C e o x O e p c l u O ti n o s n a o c l c a O e u o n n t a s g n re a e n m sa e c n a ts n d A i s su a m ya m la a b ry le o . f commissions and charge, incurred m im a i p s k r e o o r v u s e r m t p o e s l s o n e t y o d . n O m a n b o s M d en a e t l o n a r b e d i e r l d l r y s . o P t r o d n e c m r e s o im t v o d p e t r h o e v b e e c r s o r t o n m P tra e is r c y a u . v t t l a o o n n s o e b a l l e o n c d t t h l b a i r e w ok c e h a r is s n t . o o d r n y e m a O l a r f r s k s e . e t a d c n e o d r n s m ; d o a p m r u ke s n t .
shwas craned or astern value balancer as of the stateroom dale and to most recta dradond Currant Melat Moos: The melon seam d scones ham bon Waned, it avaittskr. tram and wo regular/1 manta executens to test tor sorb impm oment tl avalable.
rale or Cash sled pkMdr/4 dela ka antes and Other idepoxtert sane Yak" we based On me do." free. me
moth batmen me bid an also FOCOS. a ether make. I no racket %clues /alto bow a Tilde COMirmistiOna (Rule 100-10):All cordrmalkins ale Paremilled On tie InansittiOn
GENERAL INFORMATION cp4alocn Hot* c OW independent *WO). I've Meaty iS UAW I0 being oiled&
Non.Prcei CRP). lliescludons on your catidomport am prowled as goon Marmon an Tom: Trantuclons in kronen semolina (indulng foreign torPanY ADM tlal 116* in me
70 Mientrade does not provide legal or lax wince. Pleas* consul you legal adveor or lax wo obrci guarantee to scum/dam scones pmts. Ilogago backed pardons are dead U.S,) moy include taxes and fees charged by tie foreign maker or governments. Mich may
aCCOurall when raKtPlory. AS s illanded inOssby matte. IMMO COneenWern May Oe yang me hmanng Wine and tie wren meta coke Pandit fecal %Morons may net be Reacted in the Moe ol Me security or charged es an inspect/Mt One item
rethrtirel Mr Sally control and transadiOn veernalth Dement. mown mks prococch. The se nary maim la Cathay: or Deposes (CDs) is gowaly
loud and the °dud vas may be (Mewl from me pesthole fete AsOnTart loss cf phxe l Pitney Poky Nolleadon: A copy of the TD Amoebae* Privacy DOIcY is Meth* at
For 70 Amin-oado nsobsionol clews. your adveor him is separate from and not satiated huh may roati too the sale aI a CD prof b roasts Bodo tab Rod tom, Seam as trade wave.blamecaadecorn
TO Amentrade. Inc. a TO Arra:loran Owing. Inc., and oath Irm is not responsble la the Weronvy etas awry amnia and dons wade on a dud oxthongo. Perna. may ram n me
prOttels and antes ol the whet OTC Wes Mecounter, markt( and ton at Nutty may nd WO to Au MOM KM 00eaa pea COO* Seamans: The slot:non el portal reoemtonsa cant it done tong a prowls keen
to musty. The sate ottcnt ono ea mahatmas molt n a loss d panel. system. A descnoton ol the pro:oases tor Stable saunters is avalablo an to rebate a hale
Accuracyof Reports:II you find any errors or omissions In your account statement you copies we available up:new-mi.
Mould immediately call us at the numeric listed on page one of your statement You Non Standard Awes (PISAI aro typcaly trramments n arms partcpson program sturbw
Mould also contact our Clewing Fern, TO Anieflinade Clewing, Inc. al 8®469-3900. potrosten. Imood taffy complus. en red water ruminant torn cownnty pmts. male In Case 01 enOnS a csentions *Out your EIK*OniC Fund Dander. ettrase CO lett s al
<duty. made debt or hedge kricb. We ere WW1, 1135 imealmths and do net lode on a 7600669.3900, or in ening to P.O. Box 2209. Omaha. NE 68103. or by email at
Please mem too =thorn careally. If you Smarm with any transaction. or nl Mom ate any Mead stunts octane* a to Nasdaq Stock Malt. Thowlues down kr more niooIt dietkovklistbldbMilneade.COm The inkinhaton cOnlaksed in your acCosn sidemen shall
<WM a omissions. Anse nobly a Client Services repieSeratithe a you local Wind, edge. as are Simi& ming denied horn *rime methods hdocfro, but not kited Iry independent Our lanSing upon you it you do nth 01:10c1 wthn sub, lelldays for any transfer of lurch stbect
wol as 10 Amaidado Cleatro, Inc. In wrong ethn ten (10) days of yea moot of this approvals the pro:calls cm =ctn. ono' turd party tender diets out an bean provided by to Andabon E, such as ATM and pod-stelae trardIces, debit transactions, direct dopapts.
staltment Any wed statements Mal you hem made to us shad be CONinned in voilng The tag moragorroy othwydroix. ado spoyor d each mown on by a thrdpaty vonci Mind and with...nib WO Must hew from you no later Man 60 days after we sent 'Mr the FAST
statement will triennia be considered conctsive independent weIcatim by ID kneehole. Values may not MINX lee clonal unhase thee. statement on which the error or problem appeared,
wool matt vlue a be roabed cpcn kudason C an a:faunal warm cm. be woothed (I) Tell us yOur ems and account renter
Please Wry es promptly 01 any charges in you COntaa information. TranallthoM redecled n trough test methods, de olutifal May be reflected as NOnOited (UFO Fa addlOW decal (2) Doscrtothe error or tho transfer you aro unsure about, and replan as deafly as you can
your rthort wit be conclamtly doomed accuratounloss you cooly TO Amettrado tweet*. tcpwartg wanton kr NmStardand Owes. plowe aortal Clan Sondem niece matrons why you beam it is an error or thy you need mac inhumation.
wont orand undo to SIPC. (3) Tell us Pie dollar amount of the eanokted error.
Account Protection: Deposits hold by TO Sank. NA and TDB.* USA. N,A. are insured by Wo will invostgort your complaim and MI correct any error promptly. If we lake more than ID
h in e ia l F ut D le IC n. V T a O l le C a o r v n e r m ed o l b e y a S b I o P u C t ) F u D p IC 1 0 C o 5 v 2 e 5 r 0 a . g 0 e 0 0 p . 0 L t i 0 m il a S w a e l e Id C pe g r O a v. c t S ou a n u l t O e r s n . f i i r n th d 0 u d p n e g r H A m ud a en tt R e a . K o o S rn a g u rO di t = ak C n A m R a S c ') e P s ro o n r W g: T e h i e in m iep o e te ol t e v v : e 4 m su I s t c O e. A T S h s e c t o a u r n t o y s to a o l th b e o e n k i W ng a i n S e n d ot . b y u o s u in w e i s t s h a d v a e y s t o to u 0 s 0 e I r o i f s t . h w e e m w on it e c y r d e o e n l n y a ou t r h e a c in ct * u n c t t f a o k r e t s ie u s a m to o c u o n m t y p O o u t e th o in u k ri n is v n e s e tig rr a o t r o . n rs m . at
Mutual fend, held in your Erelleage Account are 401 deposits Or 0010all3n$ Of. Of surmised Ha market oat bra adabb, TD knotrade MI prise to OAS palming:no rib
guaranteed by. any bank. are not FOlt insured. and invoke investment inks. includng condom= boll tie loudly and meeting cm* gusty, The MS racket is wronly
posstle loss ol princpal. TD Mercado is a member ol the Securities Investor Protection enNininCirgi a leak Oficrilty and. tea soul, mere an be re ammoMal loth eeturtieS am
Corporation (SIPC'). which protects scorches customers of its mothers up lo 5600.000 to son unix once males co lines. AVM ISO 07na
(incholing 5260.000 lot donna for cash). Exploratory brochure is available on request at
REGULATORY DISCLOSURES
wemoiPn.eirg.
Ackationtly. TO Antennae* prOnefaS (nth Cleat $149.5 trillion worth Of prolectlon for AI Wansostions aro abject to ti) me constitution. riles. regulations. customs and usages
securities and $2 melon 01 preteglein fOr cash trough SupOleMental overage provided by d the exchange or market, and as deamonouse. it any, on Mich such bantudens are
London Maurine e E x x e cuted: pit federal lass. inducing me Socunnes A in m of 1933 and the S« /a u s r a in n s d SDNY_GM_00011872
• eara "nip °E NFIR M
EFTA_00122523
EFTA01268002

ID Ameritrade Statement Reporting Period:
03/01/16 - 03/31/16
Statement for Account # 867-730320
800-669-3900
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
POEM 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Amen:rade Clearing. Inc.. Member SIPC
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ - $ $ -
Insrd Dep Acct (IDA) 51.588.21 51.587.77 0.44 0.01%
Money Market
Short Balance
Stocks 0.01 0.01
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51,588.22 $51,587.78 50.44 $0.00 0.0% 100.0%
Cash Activity Summary Income & Ex• ense Summar Performance Summary
Non
Current YTD Reportable YTD
Reportable
Opening Balance $ 0.00 Income Cost Basis As Of - 03/31/16" $0.22
Securities Purchased Dividends - S - $ Unrealized Gains
Securities Sold Interest Unrealized Losses (0.21)
Funds Deposited Other Funds Deposited/(Disbursed)YM
Funds Disbursed Expense Income/(Expense)"°
Income Interest Securities Received/(Delivered)r° 0.00
Expense Fees "For cost-basis Information, refer to www.tdamerltrade.com
Other Other
Closing Balance $ 0.00 $0.00 Net $0.00 $0.00 $0.00
SDNY_GM_00011873
CONFIDENTIAL
page 1 of 3
EFTA_00122524
EFTA01268003

Statement for Account # 867-730320
03/01/16 - 03/31/16
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.44 $ 1.29
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can Include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date totals will accurately reflect your cumulative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.0076 $0.01 08/05/14 $ 0.22 $ 0.22 $ (0.21) $
INC
COM
Total Stocks 50.01 $0.22 $(0.21) $0.00 0.0%
Total Margin Account 50.01 $0.22 $(0.21) $0.00 0.0%
Insured De . osit Account Interest Credited
Begin Number Interest Interest MTD MD
Date Balance of Days Rate Accrued Accrued PAID
03/01/16 $ 51,587.77 31 00100 $ 0.44 $ 0.44 $ 0.44
Total Interest Income $0.44
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,587.77
03/31/16 03/31/16 Received Interest: Insured $ 0.44 51,588.21
Deposit Account
Closing Balance $51,588.21
TD Bank NA $51,588.21
FDIC Insured Deposit Accent (IDA) balances reflected in your brokerage account are FDIC-insured up to appecable emits and held by TD Sank. N.A.. or TO Sank USA. NA.. or both. The IDA balances are not covered by the
Secunues Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
CONFIDENTIAL SDNY_GM_00011874
page 2 o13
EFTA_00 122525
EFTA01268004

Statement for Account # 867-730320
03/01/16 - 03/31/16
Important Information
FINRA INFORMATION
Required Annual FINRA Information: FINRA maintains a toll-free public disclosure hotline where investors may call to request disclosable background information on any licensed broker
or broker-dealer. To call the hotline. dial 1-800-289-9999. FINRA also maintains an Internet web site where investors may obtain useful information concerning FINRA policies,
procedures and services. The web site can be accessed at www.finra.org. Additionally. FINRA has a brochure which describes the investor education and protection program. You may
request this brochure either through the FINRA web site or by calling the toll-tree public disclosure hotline.
BREAKPOINTS
Certain purchases of Class A Mutual Funds may be eligible for a breakpoint discount on the sales charge. To leam more about breakpoint discounts, go to
httpliwww.finra.org/industry/issuestbreakpoints
SDNY_GM_00011875
CONFIDENTIAL
page 3 of 3
EFTA_00 I 22526
EFTA01268005

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SD NY_GM_00011876
EFTA 00122527
EFTA01268006

Terms and Conditions
STATEMENT GUIDE
It. /co mad° provides merely Poi&too Reports lor accoums win acvaty and quanetly repass ti he even 01 a broken°e ineolancy, a diem may oneiveamcants due from the none For an investor brochure bal incbcles intormabon dosotong FINRA's MAW Disclosure
Cc mac: fro accounts win assets.. in bankruntcY and than SIPC, Seponbenial covomin is pad oul stier me trustoe and Pmetam. please Contact FINRA a IMO-289499g Of ‘emw.firmOrg.
Portfolio Summery: Track* Ihe current value Of >nu! 000010 as Of the n>pOd dale end SIPC payouts and under such coverage each clam is limited to a ambned return 04
corparert M to me por month? The Mad allOtalion Meeta your patI010 dh*s4ioalion by SIS2 million loom e puste. SIPC and London insurers The TO Aneedlrade Stippleteental 'ho interest rato aeon tor TO Amerind@ Can is Oaken from the appleade interest rate ter for
investment type coverage has an aggregate Intl of $500 muon over all customers. This potty provides tne Markel Value balance ri the TO Amereede Garth. as 01 the illatemed closing date Simple
Overage Inning bic dmige innhancy and does nOI MAKI Spine Ina in moan vete merest es accrued doer based on the interest rate ea applicable to each days balance.
M.Mple Monahan undo 5% we be grouped into thecategory ei "Ctrs" in the pa chart. Margin or me secure=
Emily - Total Account Eftwayf road Long larvainable Value • Total Short Value) Financed Statement Nalfroation: The stammare of bnancul cotton lor TO 'nomad* es
An investment el a money ~OM lund it not mauled Of garareeed by he Federal ~table Woe a year and may be annexe am no coal. vie Me Mooned at
Activity Summary: The opening and dosing cash balances are reconcred sae lor you grace Depose Insurance Corporation (FOCI a any *Ma grmarnrrica agency. Although the innkwroticernenoadoconvimanciabiaiemoniberN.
toprente Al account actmly is summonsed lor me current period and year to date. funds Beek 10 ammo the rahs a yOur inn/amen" al St p0 plu sham. i1 b datable 10
Income a Expense Summary (nondliAs only): Pus section doom tm income at Owens° lose money by invasion in a money market fund. (Waled. are <leaved day end Option Assignment: MI short cony option pangs and some index option positions are
maait from de Anthill, Summary end &unities the tax treatment padvernrmstod monthly. The prospectus =mans Ms and other important rib:mama ~table Poe assignment Exert« assignment races for fluty or rides options are randomly
Permanent Account Summary (IRAs only): Renee Oro IRS resulted transasons for the Reed the ',manna arretent Wore ~Ong NOn-dobanil invidilmode hen by you' alocaled among all chards' shin poster by an au/amain: orcceOso.
tatert ad pia years. IRS FPO) S498 lair market value is based on the current value as of bokor.dealer are NOT FDIC NSURED f NOT BANK GUARANTEED' MAY LOSE VALUE,
Decanter 31 ate prowous yaw and rml be furnished to rho Interna Revenue Sconce, Free Credit Balances (Rule 1544 4 3): Under me dent protection rubs, wo may use tree
l P o e ss d e o s n b na r n y c o e u r S A u r m tur m o a re ry e : s M b o n o o n rd s s y t o ra u t r e a g n y n . ual portfolio pedamance end Poe unrealized gains end c T a h n e b S e a lo m pi » d a k t o e y d o o u n r b y a o n u k r o d r e d p e o r, s i a t n a d C C W O e .M p I r o oc f e s e h d a s re re s d C u t r n y a o d u r l o m y o e n a e s y s M a a u rk n e a l s m a a n m o a n a , n o d r C on re d d e it m ba a l n a d n . c es ei your ~OM in Pie ordinary COurSe 01 our brans whkh are payable to yOu
Account Positions: Now you rnostmoms m Ine current massa vat» and carman> the nominal remitted MyOu
a e c A /d o r O n e a s C i t f . o e O t l n n o b u c n a o s e t r e A s e e t t c h o s r t e t u m i im v t o t i ( e a t d F y e t e I e : l F f s d A z O t e p l r ) d a a u m v c r g c o c e a h s o t i h a t n u m s o s n a e d t r a , e d d n M a c d e t l i i e n r c l i o c b l h y o s a m s a is r e e d m H s 2 o e e r e a r n n i n i n s d y /O g ) o r u a d t a h r v e n e e D f i r n a l a e a r c g s d l l e t a i . a s r l c t h o n i o o a t t s r e n t e O d 0 s p r i 1 i n > e g y O r i W n o u a s u e s l k e e h c i r t O a a e a r t l d i c a n e e i r s g r e g . o a e v d o e s n i s i s s d l e i p e g r l y d e n a o ; e n y . u e d e p d g u u e s b r d c in r h n g a y s o t h e h u d e e r O T t ta a a x l W i x t t R o w . i L r p a e u o h i n n e r e i a n v r i g d s a : a l D T s n h a i a e . l r z u n o a n e c n d c r d a * o s , c , e e e o e t r t l s w h a p s I n r i R o n i S c s n e M r e s e c c a h r l a i m l S rm a n « a e C il s p o a I m n tm c a lu « e d r t e Y s s o a u = t e w g e P a t u w b bj a e M s d t a e 1 m 0 F r o a e r d m c e l 1 a u 0 s d f 0 i e t 9 a n 5 n t , . n a t O a n p a n ta l , l M r d W tr is o a a o k c c o r s u i g n m m a i g n e n a i n d A r s g t m i i b e n s y o v a n a p u c o l o n a t t o m t b s s e l a e w n t d R t i a i n n r e r i g m g n P u u o f l e s l a a o t e r M s t e l p a a t n e h l r l c e g T i i n n > a .] v u : l e r m M m a s y e b k t o o m e u r d r s o i h . r a s a a c A s n v l o l d e e e s u n a u d m r r m , o e , a l P a e d c r a e c e g g ° o C i e n u u h n a o e m t c n l e c e o T n o t 0 r t u a 1 t n h Y d y t e . o o n t u u g r h i r s i o m s s k n t r s a a e m y t a p e s a o m o s r r b e o t e t i n c a s n t i i a . n a p t e o e a s d o e c n w s o i : p t e n h y d o m d a u l i e o n l i e n g o t a in s f l
O a O o d T s n o r n d a s d t l i d i . a n n s T e t g e a * i c t t C ~ a l a e a n d s s o h i t h n m r b a S g a n r l e a s e r a n p U v c c o i e t c n r i t o . e i t n n e s g s n T t p d o ra o r e t n n d b s o : e a d C r c . e o t n i f n O l d e f n i u c r m t d O e n d H y g r o M i u c m : h . e C e . . c a A d k s c . i h c e d o m d e u a a n n n t t r a A a c g d a m e e r m r d i s t e a y w n n = t i d t h u c o A a e o n T s n s M e e n t a c t e l c e t s i m t o t m m n e b n M o . t a e m d r l a e c t e l l i e s a a te b re d e d t i n m ca o d s n a in t t h g o ~ ~ ~ C e o s M p n s l i t e n t e e d O y e rt a y s a a i P n s b i : d e M / O a s C r n t a o r O d t B n a I a + m y s N I d n is O O a k . C f s e t t a F n b d x O . e w i O / t n a i o R n e t c O a l m n n T 1 d E W o D D a W o m s n 1 a o e a 1 d r r m ) o t d m r e d a e c n e n l i e r d k = a a e n m s b d i o m d a o e e r i i d s n r m g n C e a a O t n n d d I N i p p G C O e a C r a n M io : r k P n s e C e e M y l p o A F s T r a E : t h i D e t t e ' a W e r a s e o t 1 o 8 o ( r d p S d M o e y a 3 n 1 x o .9 t l r m s P f s o e e h a o r c l a e e y o e r i m c e g / n O t n e e t c e n d n a a g t s m c r h l r o o s a e m u p r n a n c p t O y h a / a m r s t d e W e t . a x e n b b c t r _ a a h o F s a n t e l h n o s . l g w a s a W e d a ( e e C S d e O E d r l p o e m C e o n t a s p . a R l t o e T r u r r g c D e s l o e n O a t ( t s e M r O m o n 6 f a m 0 o t a n r 6 e y r n t : n e a a 3 r o l n e d 8 C w p d o C e o y t a 6 i r e n O l t 0 s s r t n o e 7 o s d ) r e m : s n i t I s o ) a n c l u y a C b s n m t i o u a t i m a g r r e m g n e m a e n c s t o n h e d r s e c e C a o u t u l o v i m m o r e e i n l a p i n d e a o i u s s n n e I e i r c s s n q a e a u l P n s w o it o . y n t M e T r o o a t O e o r r r l d d k a r A e e e n t r e r r l n o C d e l r f b o t t a a n o w t l r e e a p t h r r d e t a g e o o r
Online Cash Services Summary: Croft and debt transaction totals lor to carom SLIIIIMPIt Margin and Options Account Agreements: Primp", adnsoll) Amentrade to voting ot oxecuroon at emmtarnavadocom Asnar copy is avalatle upon regret.
tendon pinedea summarized. Indhiciod Vaned**. ere Masted. any auntie in your investment con:tuns a normal striation as they wain to your
t ro a u in e t t e o d ro un A d n in rw g a a l d I u n s c t o m m e e n t e s n . d th E e s n t n a e m a e d n A ' d n e n c u a a l l s Y m ie a l y d n v o a t l u e e q s u a a l r t e h e b a s s ta e t d e m u e p n o t n t o I t h a e ls . n umb" d n w e a o s n m ^ e O « r m Og o lo m nS e o c f o °p w e e o n n a s g t r r e a e n n s e a e c n e i o s n s A i s su ° m ra m ta a b ry le o . f commissions and charge incurred M i 1 m 1 A e p s W r o o v S u e r m t p e e e n n tt t d e y n . o m a n b a s r e h k n e e t t o p a r b o d i e l n k r t e s . o P t r o d e e n 'r r a s o im d to e p r t h o e v b e e c m s o t e n n e tr t a t + e r , y c a . d v t o a o n n s a e b a le l n o c d u t r M d th e o e r a c / n s a s a r . t la o d r n y o m a 0 l a e 1 r r k s ~ e . M t a c n g o d n d m it a C io rk n it e s e t ,
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GENERAL INFORMATION chidden brat> 6 Otte indenodeni sane. tee acuity is oiled b Wong ~Al art
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1SCOunlant whOn necessary. A8 0 910Mó0 inClisby paned panne nOteeMalrms may be rang Uw remanng bunco and ale cunsi make, MCP Porticrio moat teksSOM8 fhb not be Neededin the price 01 he smutty Of charged han *dependent Ine den
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TO Arontrade. Inc. a TO Armxtrado Oolong, Inc.. and oath Om is nal rosponsble la the deaconry that cosy saunas and dons vas cr. a Mad ~go. Rama. may vale n me
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to nosey. le sale d ten pia to mauty may rood n a leas cl pritpal. totem. A downtown el te proormses for Site &reunites is saldobon te awes ce hare
Markey of Reports:II you find any errors or omissions In your account statement you copes are available upon feepor.i.
"could immediately cell us et the nzenber listed m page One of your statement. You Non Standard Amato (LASAI are hocaly netmes el prod pancyaan program noun=
Mould also contact our Clearing Tern, TD Ameritrade Clearing, Inc. al 800469-9900. goolxfstml.leneodtablityccmpana. er red estate moron truss,. coorneaty peels. pmele In Case 01 en0n3 ce CsieStnna aspil yaw Eettonic Fund Trent/era. pee COnIttl us al
<duty. aisle debt a hedge krds. NSA6 we bottlb houd tcheeitneds tr.' do not Pan en a 1660.669.39CP os in twang to P.O. Box 2209, Omaha. NE 68103. or by email at
Please torten the sialoment carctily. If you cesagroo sub any transactor), or el them are any nscn.1 sown ea eigengo a to Nasdaq Stock Mods. lFe nalues sedan larvae mostrants dieMeenk*MaldarnettildetOm The ~warm cOnldreed in your anvil statement shall
eras a ortssiovs, please notify a Client Services inieseMalke a you tar Ninon Ott as are ~wed inn cooked ham wear/ meMOOk hcioarn bon nol ended Ia independani be bndng upon you it you do not Sorel wthn way NM days lor any !candor ot lulls waded
wel as 10 Amairado Cban-g. Inc. in wmrg ^Mtn ton (10) days of yeas mope ot this appraisals. to pro731C: not =ob. ander tad portende atom tot ham own added by to Regulation E, such as ATM and pain *Uwe Psalm, den transactions. direct departs.
statement Any cud shitements Mel you hire made to us shard be Confirmed in voting The ale mrmagomov. storm's:* ander soya er oath awn er by and dry ~do Mhos and feithdrimal$ We Must heer from you ro later Man 60 days ear we sein you roe FIRST
statement will Wont» be continued concbaho. in<Stbendent ~Galen b/ 11) Ar stade. Values me/ nd Mk« Ine agnal inclose pica. statement on whch the error or problem appeared,
swat rake idue a be seabed yaw let.rdalcn t an asman value cannot be eslattlehod (I) Tell us war ~Wand account finer
Please noley vs promptly 01 any changes in your tented if‘ 000131;00. Toareacabed Miele* on trough tees methods. Pie Marten mat be reelected es NOmPoted (MP) Foe addend Octal (2) Doserto the error of the mender you arc unsure about. and oxplan as dear/4 as you can
your rcpon wil be conned/way claimed accurato unless you nobly TO Anwerado immodesty. mpaiong ~von lor ~Stardaml Ana, please carrot Oat Sons mesa mastrats why you bolaio t1 is an error or why you nood mote inlormation.
arena waxed undo to SIPC. (3) Tell us Me data argot of the suspectedergot
Account Protection: Deposits Feld by TO Bank. N.A. and TD Dank USA. N,A.. aro inured by Wo for foveae's* your complain and wil carnet any error promptly. el wo lake more than ID
Me FDIC COI Covered by SIPC) Up 10 $250.000. LImils ate per ramrod ormereilti per Aldo, Rao Sauna (NASD Prong: The motet~ la OAS scats= hao been taloned. business days 10 do INs. wewll renal your eccOuM br me amoral yOu think is in error. so~
insblunon. To learn more about FDIC coverage go to +am 101C40v. Smalles. indudng atebtle. tom quotas,, ere kees or °ter ~patent ~ea The way ol te offing a nol you wil have ere use al the money dunng mo imaged= us to corrals* our ineastgawn.
mutual Node, held in your &Often") Account are 401 depOIJIS Or °Olga:ions of. or gambol Ha mead term sit mattes WO arrcende oil omen OAS pals. slog 4110
guaranteed by. any bank. are not FOICinsered. and invoke investment mks. indudrg ~dorm, boll tie quay 3,0 undotpig crock quay. Te OAS market is currenly
possdie loss el princpal. TD Amentade is a member ol the &corm*: Invest« Probcten OPerandrig aeddigldyad. Ca ~A lure an bene estrate Col sucheecurtes an
Corporation (SIPC). which protects secunbes °stomas of ds members up to 5500.000 be sod unite on mad cottons. »MONO 0114
(ncasling $250.000 lor claims tor cash). Explanatory brochure is available on requeel al
REGULATORY DISCLOSURES
woomsiperig.
Additionatly. TO Mnerillade provided each Paf $149.5 ninon worm of prolectlon tor MI bonsaceons aro object to 10 me constitution. Na, regulator's. customs and usages
securities and 92 Mon 01 pg009C1Kin tor cash Ihrcogh SupOlemenial coverage intoned by d the exchange Of ~Mi. and iN deationouse. d any. on Mich such transactions ere
London Mourns e EA xecuted to federal Oies. o e u n n d ii uin D g me S ecunbes Act ot 190 f 3 an on d d the e t S io « n u ad rtes SDNY_GM_00011877
r Oro
V=in
EFTA_00122528
EFTA01268007

1D Ameritrade Statement Reporting Period:
04/01/16 - 04/30/16
Statement for Account # 867-730320
800-669-3900 Announcements:
D TO IV A IS M IO E N R I O TR F A T D O E A MERITRADE INC S 6 A 1 O T 0 T U 0 N T R : H J E E E D R F H F N R O F E O IN Y K A E O N P T C S R IA T S E L S I L N T L E C 8-3 y O o u u r b o e n t g te o r in h g a e s l p le a n id t o o f s f: e w rv e e r e
PO BOX 2209 ST THOMAS. VI 00802-1348 No. 1 in 5 categories in the
OMAHA. NE 68103-2209 Barron's 2016 Online Broker
TD Amer'bade Clearing. Inc.. Member SIPC Survey. To learn more. go to
tdameritrade.conVaccolades.
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $ $ $ -
Insrd Dep Acct (IDA) 51.588.63 51,588.21 0.42 0.01%
Money Market
Short Balance
Stocks 0.01 0.01
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $41,588.64 S51,588.22 50.42 $ 0.00 0.0% 100.0%
Cash Activi Summa Income & Ex r ense Summa Performance Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance $0.00 Income Cost Basis As Of - 04;30;16" $0.22
Securities Purchased Dividends $ • S Unrealized Gains
Securities Sold Interest Unrealized Losses (0.21)
Funds Deposited Other Funds Deposited/(Disbursed)YM
Funds Disbursed Expense Income/(Expense)n°
Income Interest Securities Received/(Delivered)r° 0.00
Expense Fees ••For cost-beats Information, refer to www.tdamerltrede.eom
Other Other
Closing Balance $ 0.00 $0.00 Net $0.00 $0.00 $0.00
SDNY_GM_00011878
CONFIDENTIAL
page 1 of 2
EFTA_00122529
EFTA01268008

Statement for Account # 867-730320
04/01/16 - 04/30/16
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.42 $ 1.71
'This section displays anent and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a premiss tax year (spillover dividends). The year to date Iota's will accurately reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost QM Loss Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.0061 $ 0.01 08/05/14 $ 0.22 $ 0.22 $ (0.21) $
INC
COM
Total Stocks 50.01 $0.22 $(0.21) $0.00 0.0%
Total Margin Account 50.01 $0.22 $(0.21) $0.00 0.0%
Insured Deposit Account Interest Credited
Begin Number Interest Interest MTD MTh
Date Balance of Days Rate Accrued Accrued PAID
04/01/16 $ 51.588.21 33 3 0100 $ 0.42 $ 0.42 $ 0.42
Total Interest Income $0A2
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,588.21
04/29/16 04/29/16 Received Interest: Insured $ 0.42 51,588.63
Deposit Account
Closing Balance $51,588.63
TD Bank NA $51,588.63
FDIC Insured Depose Account (IDA) balances reflected in your brokerage account are FDIC-insured up to amicable emits and held by TO Bart N.A.. Of TD Bank USA. NA. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIP C) protection applicable to your brokerage account.
SDNY_GM_00011879
CONFIDENTIAL
page 2 of 2
EFTA_00122530
EFTA01268009

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SONY_GM_00011880
EFTA_00122531
EFTA01268010

Terms and Conditions
STATEMENT GUIDE
IL: Ar.rir ado provides morally Porddeo Reports lor accoums huh acvary and quadedy repass 1. he Mini ea brokerage inetelancy. a den may reativearnants due kern the Mean F an ea° brochure mal nabobs intonnabon dasolang FINRA's lottio Deckisuro
'a mud .re accounts non assets.. In ~WY and man SIPC. Se:Sonia porcine is pad eul rem me trustee and Program. please Contact FINRA at G304894999 Of winv.linnlag.
Patton. Summary: Dada he Current value d your 000010 es 01 the reps dale and SIPC payouts and Linda such coverage each clam es limited to a amOned return al
compares Mto itie prior monlh.s The aasai enaliOn Medea your parkin divendealion by 5152 mtliOn horn a goatee. SIPC and London insurers The TO ~mikado Supplemental lbo inmost rato sheen tor TO Ameretade Cash a taken from to appicain interest rate ear tor
investment type coverage has an aggregate km al $500 muon over all cLostanrs. This poky provides the Markel Value Warne in me TO Amererade Garth. as 01 the slate tem °Mang date Simple
coverage lokraing brOkmage insohincy end does nO1 poled against Ion le Markel value freemen es acnxd daily Duce en the interestrate ea applicatio to each days balance.
Whale abmwers under 5% mil be grouped into Macategory eI rooier en the pm chart. Margin et me securMas
Emily - Tote/ AccouM ErluilsCITOMI Lang littrainaMe Value • Total Short Value) Financial Statement Noillicallon: the mammon ol anancial condman lor TO 'nomad* a
investment it a money make lurd is not insured Or guaranteed by the Federal ~labia twee a year and may be ~anted al no cost. via me internee al
Activity Summary: Inc opening and dosing cash balances are reconciee hue lor yaw quick Depose Insurance Corporabon (FOCI a any other ea...ammo« agency. Although the Mow.Mwernotrnontrad000mhnanciatsiammentitra
re!egeice accum actmty es summansed lor me current period and yea to data_ Inds Beek 10 preserve the value awns mesiment al SI 0) pl. Share. it b pant» 10
income a Expense Summary inervIRAs only): This sec an dolalt tom Income and omens° lOse molly by invasion in a money market tad. DMdeeds we <leaved daly and Option Assignment: All snort cquty croon panons and some index option poutions are
tOtaH from te Activity Summary and darnirem the lax irealMent pactremested monthly. The en:combs contans Iles aril odor imp:slant dormalon sealable tor assignment Exacte assignment races Pa NOY or index options are randomly
Renamed Account Summary (IRAs only): Roma tie IRS rog.Iad transaceons for Mc Read the impales Clinthilh before Meeting. NOn-donotlil investments herd by your alocaled among all chards' shod posnons by an 4.domaind orixedse.
anent and ma yews IRS Form 6498 lair mark* value is based On the current value as of broker dealer arc NOT FDIC 1.1SURED !NOT BANK GUARANTEED/ MAY LOSE VALUE.
December 31 ot Me previous low and ent be furnished to to Internal Revenue Serowe. Free Credit Balances lade 15c3.2 5 3): Under she mart protection rut. wo may mee tree
l P as o s rk os e n fo a r n y c o e u r S M um um ma r r r y m :M st o rn n o is r m d s y e o a u w r a a n y n . ual portfolio performance end the vreimilized gains and c T a h n e t b o al a lo n p c e e d a n t e y d o o u n r b y a o n u k r o d r e d r e a r in . d a n e d c o h a e am pr o O c r e S e h d a s r r d e t d u rn y e e d /a t o m y o e n a e r y s m co e u rk r e /e l s M a A cc O ou n fu t n o d r a on e d d h e m ba a l n a d n . c es SI Our account in me Ordinary course ol our banns which we paraMe to you
Account Positians: New your rnostmoms al rho current market vabo and corrparo the mend ambled 10 ye
cost 10 me urvealued gains and losses in your porlice0 Original coal is assigned using me Margin Accounts (Regulation 7>: M you have a margin account. Oma report e a combnawn of
in ru t. m T . h m e e e io st o im i ( a F t I e F d O e ) r m tro e s th tm od on . i O e l n e c n o m as e s 2 u a m n e d s a th v e e r v a r g a e t s c h o a s r t e s p s e e r u s s to e r t e a r a e r e m d o e a n t y la o y u e p d s t c o h r a y s o e u d r T ta a x x r I o M p p o a ng in g n : o Th x e p M la a ic d e e v o rth w I l R i S f M we a r i s n o n M it o s o In n c e lu d d e Y s o u ta w a e b w le e n r o e v F a or m d r 1 A 0 l 3 c 9 re Is ls . . a w n e a a l l m YO k u s r M an a d rg i e n s s no a t w su n m a a n c t i l a o r s p a e ll c i i n a v l e m s e to m rs o . r a A n d c u a m rp a e s t c ° o 1 t s « t o T t r e th d e n g ri s o k n s m as a s rg om in a p t o o s d e w s e a b d o m ll a io rg n i a n l
r A e c ie c r o e u n n c t e A tir c e t e iv M ity in : A t p I u tr r a c O ha L s O e I d IC at I e M i l s y s ia h d ow ea n n to / r d a e n fi r n e e l d c . a F li e o t n ed 0 i 1 n y o d u a r t e b b o r lt a in in g , P an e d rn r e e ll l . a ted n the e d n i t v o . r la e m nn e e ~ d 1 c ri nro a x n p d e s n it t e m p g r r o e c p e o e t d s » Some pa/mats ere subject 10 redtedimilOn ankh d tra o c w in n g io i n s b °v y i o co la n b t l a e c t i i n n g t r u ee s a n l e t a h t e e n n u r m e b k e d r i ' s s c l l e o d su o r r e . p d a o g c e u o m n e e n o t f Y y O ou u r m st a a y te m ob e t n a t i . n a copy d this
« a a O d T d r o r i n d a s e t l d i . i n r n s e . T i g e a s h t c C P o e a n m a e s c s n h e v h d b a d i S a n n r l e s g a e r a n p v S c c o ic e e i r o t e . t i n n t s l s g e T M m p ra o e l n n n b s t e d a C r c . e t n o i f O l d n e n u c li t d D n e n d e y g t O n a u i i c n l r : h M e C e c a A O k s c . h W c d o m e u S a a n d n t t r a A a c g m d a e e r m o d e r e a y w n n s t i d t e h t r x A a 8 t n T o M s n M a r i c a l o l t c e i o o t a t n m m s r i t y o r s . i n t a a d e r l a y e c l e l t e e a s a t l r e t e e d d r e m c n a o d r n i a n t l g h e ~ m C c s o u o M a s n lt t n r e n B il e y e y a d s a a i m s n l b : d e y t C r e m a C o n o s r O d e t n R a I a e m a I l M l y m e d « g i M c e t b a n 1 d e s P . u M l O r T o m t o R e a m M A n 1 E d n 1 m D o ) p Y n a o m I t a r w D e n a r o d t r r i e o d a n d n a s d t e a i a s s d h m a c a e d I p i n e l o e k n i d f s m n . g n C a e a to t a r n a i l m N p C p C e a C o n ra S n d t I e a e P l e s C s c M D l i a A n o T n a E t : i m t D e e a b a r r e s a n t h t W e r t a d ti o a l t y a a n r a o l d ° t r o s P f s o e e h z a r c l a o e e y a m i m n c g n t o n e e c t n s d n a c g t s v m c I h i o e s e e m u p r n n a c p c O y h d a y m s r i d e n s e . a x e n o M c b t r _ b h o a F a s 1 n r l n o . a . l g w a s a W e d o ( o o C S M r t O E t d p o m o C e o n p a a s . R O l t n e T n i r c d D ° e s a e n p c ( A t s a n e 0 m r 6 a b 1 rl 0 m a t d a a 6 t y n i r r r e a a » r a a n d e C n S p d e x e o l a i 6 . n r o t l t 0 s h t s n e o 7 a s r d ) . m s : h c i s I ' o ) a n c l u y e l C o s d n m O s o e t i m a m g n e r g e m p e a e n S o t o n h d r e s c c e t a o u a e l r v m i s r o r i e l e l e n m l n e p d i u s e a s e n m n f i r s n s m o a a m m f s n w o . y e n r /d T r a o l O a e o r d l d d a a A e e n a t m e r r d C d o l r b e o r t a d o n v w r t e i a p t n h n d e t g e o o o r
Online Cash Services Summary:Cm:It ard debt transaction totals lor the aroom statement Margin and Options Account Agreements: Promptly arMso 10 Amentrade n wiling et execuraon at mewidarnavadocom. A mitten espy is amiable man request.
rePaing indod we summarized. IndhiSkal traneaCtente we maimed any Mango in your investment Mecums a *corneal stuarim as they wain to your
roue to rounding adustments. me stammem decals may not cant the statement totals. m vo a te rg n in o o e r x 0 e 0 c 1 u 4 t 1 io S n e o c l o ° a p a e m on a s g w re a e n m sa e m nt o s n . s A i s su .. m .a m l e a ry i* o . i COMmasions and cheer, incurred m It a e k s e o r u s r t p e o n lic d y. O a n b s O en le t p W o il « ly o t r o d e p r r s o t v o d e th e b e c s o t n M tra a ry n , i t o o n s e a le n c d t b th ro e k h er e s, l m dea 0 le 1 r s s . e a e n i d n g m a p r d k o e e t
rEninaled Anna/ Income and Estmated Annual Yield values are based upon IMe number d improvement on market orders. Pao 'mown:mare is available ardor corLan market condlions.
shams owned or carom value balance as Mtn* stalemom dale and the triest retail &Mend One Maid Prkes: The mate velum el sauna hue beta aten. d ~COL kom and ma regulary mentor executons m lost brawn emmoroment d mobile
/ale a an Pen pttMde4 g.atfrn Saga. ad Other inkpOndent *Ones VaLve we Weed On te doing pna me
mom beta« me bd Yk stun pows. adna natte:. t no rend oho is salable Sri a Trade COMirmilitento (Rule 100-10): All corkmalions are Paremilled On rte inanstaiOn dale
GENERAL INFORMATION chelatlen tent> 6 OW inclemaident Ewa. I've smutty is tubed lo Wing ~of SI
NuiPmcd eNP). T e niuman ar your panorama are pm en as gain •WOTRIen a", Teen: Transactions in foreign SCAMS'S (indudng IMMOn amtanY ADM thee lade 10 ‘110
10 limentrade does not proud* legal or lax actual Please consul, your legal ~sot or lax we dam guarantee Me accuracy dry scones saes. Manna backed paean ann un U.S.) may towbar taxes ard loos charged by tin foreign matted er governments. each may
toCCOuNani when neatelary. A8 8 Warded infantry crake. phase COnanatitns may be rang the remrang Wane end me corral medal eke Pothole Kcal uskotten8 may not be redacted in Me price ollte> security or charged aan Odeperderd Ina ilem
readied br dually etsml and Vanua:11On vetram Durpnee. matroet sake proceeds. The seconay main la Caftan of Deposes (CDs) a gworaly
loud and the sake LSIX m9/ be 011~ from the ~else Moe Mennenloss ce 0n~ Penny Poky NollIketion: A 03Py ol the TO Amen:ran privacy POICY is available al
For TO Amm-oadd hormonal alerts. yea advisor turn is separate from and not attlialed wet may tent too go sat daft) poor 10 many. Bends nib Red Forma Scenes trade whw.klamanado can
TO Amentrada. Inc. a TO Armored* Clearing, Inc.. and each frm Is not responsble la the ciferenvy inn comfy stond and din Bade an a qua exchange. Rana they vac n me
Panda end anises UI the orher. OTC Per Mecounter ~Sand Wren Nutty may Mt ate la In »ad >CO Maim par Cater Securthern The elocabon of penal reeemplone or calls le done Long a moan core
rributy.1hosabot bon mor to moony ~pond a a km d penned. system. A aosonpion ol the procabros for callable sccunies es moraleon to .abate a hang
Accuracy of Reports:6 you find any errorsor omissions In your account statement you comet are available won fel.
should Immediately cell us at the marmot listed 0.1 page one 01 your statement. You Non Standard Assets (NSAi are typcaly oddments in dead pacts:on program «Kudos
Mould also contact our Clearing 6m, TD Amedirne Clewing, Inc. el M4694900. garrentms. knead batty cempana. er red exam roamers Ideal. comedy pals. muse In Case 01 errors a veesen abel your ElearOniC Fund Treaders. please enact us al
muty. Ora* debt er hedge incis NS46 we heath Moue ~1~3 wal do not lode en a 1.260 669.3900. or in swing to P.O. Box 2209. Omaha. NE 68103. or by email at
Please roam too slabraam careitily. It you Osage.» nub any transactor., or el here wo any mind sown: echango a tio Nadal Stock Maid. The dues dean tammernosimass dieMeervites@kkoMeginde.COm The ~newton °Contained in your *Mown statement shall
weds or omissions. Maas, nobly a Client Senicomeprosentelhe Or yen tat Wench Otte. as are ~WM wiles dated han news methods, natten. but not kited to independent be lancing upon you it you do not deal wthn may MP) days lor any !candor ot lords smajea
wel as 10 Amairado Chlorin. Inc. in wmrg ...inn ton (10) days ol yen mom ei this appraisals. the prearns net asset, ander Mid party sender dim tut hoe bean proven by to Regulabon E. such as ATM and polo arale :tarsiers dear transactions. dared deposits.
statement Any oral statements Thal you ham made to us should be COMM'S in mitre The Oa mmagorrica. ~racy andaroacer ct oath own a by a Meaty lands« ashout and withdrawals. We must hear from you ro laser than 60 din arter we sent you Tree MST
statement stil «heave* be considered concishe Independent ..encaWn by ID ~a. Wives MO/ non dint the annal penba pica armament on which the error or problem appeared,
actual market taut a be Kolas] Licon loadaan an adman value card be estatrIshod (I) Tell us yew rome and account nutter
Please nary vs promptly ol any changes in your contact intamelion. Tier...Chord resealed on NOugh ~MOW& me niutnen may be reflected es NOMMted ("NV) Fa addend dent (2) Dosed» the error or the reondar you arc unsure about. and explan as deafly as you can
your capon wil be condarnaly domed acarratounloss you nobly TO Annerado unmeant/v. nagaiong minors la Nanandarel kam. Owe cams Can Scones These meemaas why you bettered es an error or why you need mac inlormabon.
arenaconed under the SPC (3) Ted us the dortv *rani or the stoPected error.
Account Prolectbn: Deposits hold by MBank. N.A. and TD Dark USA. N.A. aro enured by Wo we mamma* your complam and wil correct any error promptly. el wo lake more man ID
tie FDIC (MI Covered by SIPC) up 10 5250.100. Limits ere per eiMOunl ormertillte Per audio, Rao Socurbm CARS) Prong: The maker cams la PAS smarm hao been ~nod. buskins days 10 do Ns. sewn Creel, your ecodam br me amount yam think is in error. MIMI
iniblutlOn. TO learn more about FDIC entrap. go tO +new 101040v. Satiate& indudng made. Ilan cprOtakn eenemei er olie ~Dann ~an The way ol the Pang a nol you wIl have Po use of the money dump tho teemt takes in to corns:km our Inuestgawn.
mutual funds. held in ytUr ein)kerage Account are r101 Sand Or oblgalions a. or ~anion Ha man Lebo em malab. TD Amolradedi moo Me PAS paan. slag 4110
guaranteed by. any bank. are not FOlt enswed. and involve investment mks. endudrg condor" bon to loudly aa undrremg omit quaty. The MIS market is currenly
posstle loss ol prinspal. TD Miereade es a member ol the Seward: Investor Promoten wedwig aast elSalty end. Ca not there an be no ~rinse Owl such manes an
Corporation (51PC'). which protects secunbes °stomas of its members up le 5500.000 be son wider one ~Mt cots. MiTg NO 07d4
(inceding 5250.000 la claims tor cash). Explanatory brochure is available on reguest at
REGULATORY DISCLOSURES
wnesimaxg.
Addlhonerly. TO Amara«, penned each Clan $149.5 /anion worth ol prolectlon tor MI wan:a:eons aro pawn to p) me consitlubon. RICO regulations. customs and usages
securities and $2 rollen 01 MONCIen Mr can through SupOlemenial coverage provided by of the exchange Or mina. and its deetilgrouSe. M any. on dab such transactions are
London insurers e E x s ecuted w) line I al a lass. 0 e 1 n 1 dL 5 d 0 ng me Secunues A in c t ot 1933 and me S«ur a t i e hnde s SDNY_GM_00011881
oireneeed
EFIA_00122532
EFTA01268011

ID Ameritrade Statement Reporting Period:
05/01/16 - 05/31/16
Statement for Account # 867-730320
800-669-3900
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
PO BOX 2209 ST THOMAS. VI 00802-1348
OMAHA, NE 68103-2209
TD Amer'trade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $ - $
Insrd Dep Acct (IDA) 51.589.07 51,588.63 0.44 0.01%
Money Market
Short Balance
Stocks 0.01 0.01
Short Stocks
Axed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51,589.08 $51,588.64 50.44 $ 0.00 0.0% 100.0%
Cash Activity Summary Income & Ex • ense Summar Performance Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance $0.00 Income Cost Basis As Of - 05/31/16 — $0.22
Securities Purchased • Dividends $ - S - $ Unrealized Gains
Securities Sold Interest Unrealized Losses (0.21)
Funds Deposited Other Funds Deposited/(Disbursed)YM
Funds Disbursed Expense Income/(Expense)n°
Income Interest Securities Received/(Delivered)rm 0.00
Expense Fees "For eost-beals Information, refer to www.tdamerltrede.eom
Other Other
Closing Balance $0.00 moo Net $0.00 $0.00 $0.00
SDNY_GM_00011882
CONFIDENTIAL
page 1 of 3
EFTA_00122533
EFTA01268012

Statement for Account # 867-730320
05/01/16 - 05/31/16
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.44 $ 2.15
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillove, dmdends). The year to date totals will accuratehr reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost GalniLoss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.0075 $0.01 08/05/14 $ 0.22 $ 0.22 $ (0.21) $
INC
COM
Total Stocks 50.01 $0.22 $(0.21) $0.00 0.0%
Total Margin Account 50.01 $0.22 $(0.21) $0.00 0.0%
Insured Deposit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
05/01/16 $ 51,588.63 31 3 0103 $ 0.44 $ 0.44 $ 0.44
Total Interest Income $0.44
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,588.63
05/31/16 05/31/16 Received Interest: Insured $ 0.44 51,589.07
Deposit Account
Closing Balance $51,589.07
TD Bank NA $51,589.07
FDIC Insured Deposit Accent (IDA) balances reflected in your brokerage account are FDIC-insured up to amicable snits and held by TO Bank. N.A.. or TD Bank USA. NA. or both. The IDA balances are not covered by the
Securities Investor Protector, Corporation (SIPC) protection applicable to your brokerage account.
SDNY_GM_00011883
CONFIDENTIAL
page 2 of 3
EFTA 00122534
EFTA01268013

Statement for Account # 867-730320
05/01;16 - 0S31/16
Important Information
STATEMENT OF FINANCIAL CONDITION
The most recent statement of financial condition for TD Ameritrade Clearing, Inc. may be obtained at no cost, via the Internet at http://mwe.tdameritrade.comffinancialstatement.html, or
by contacting TD Ameritrade Clearing, Inc. at 1.800.237.8692. As of March 31, 2016, TD Ameritrade Clearing, Inc. had net capital and a net capital requirement of $1,612 million and
$274 million, respectively. A copy of the report and comments is currently available for customers' inspection at the principal office of the Securities and Exchange Commission in
Washington DC and the Denver, CO office of the Commission.
SDNY_GM_00011884
CONFIDENTIAL
page 3 of 3
EFTA_00I 22535
EFTA01268014

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SD NY_GM_000118 85
EFTA 00122536
EFTA01268015

Terms and Conditions
STATEMENT GUIDE
nr.shrado prandes monthly Portfolio Report; lor accoums aim aciney and quarterly reports th the event Ota brokerage Mammy. a dent may Melva etneents due tran the Wale F an osto brochure Mat maxim irnonnabon desabng FINRAS PLtric Coscbsuro
lc mac:ye accounts aim assets.. in barroulticY and non SIPC. Sy:Sonia, coverage a pad out arter the trustee and Program. please Contact FINRA at 830-289.9g99 Or www.finfaad.
%Sal. Summery: Redd lid Current vela a your P00010 es or the 11904 dale and SIPC payouts and Lida such coverage each aim is Wiled to a artilmod return of
compares h to me peke nelneta The Meet illMetiOn irdcathe your pariah) divailfealion by 5152 miliOn torn a trustee. SIPC and London insurers TM TO Anherilvaide applemental the interest rØ Men la TD Amortrade Cash a taken hom me appicatle intecostrato ser ter
investment type coverage has an aggregate ad cl 5500 ~Ion owl as austmors. This potty amides the Markel Value balance n the TO AMerbede Cash. as 01 the illtiblimern closing date Simple
coverage loldsing Wastage insohency Bed does nOl proleCI (damn )» in Medal value interest Is xcrusd dally based on the interest rate ea applicable toost days balance.
M.Mple dbcalcas undo 5%wi6 be grow:al No mo category et stew' d mo pc chart. Margin or me saunas'
Emily - Total ACCOunl EquilATOtel Long Wejlnable Value • Taal Short Value) Financial Statement Noillicallon: the mammon of Imancul condeen lor TO limontrado
• investment th a money manta lund is not insured Or 9.leraMted by the Federal available twee a year and may te obtened al no cost. vie me internee el
ActnIty Summary: The opening and dosing cash balances ago moon:led hae lor yea quick Depose Insurance Corporabon 'FDIC, a any once govormica agency. Although tro hm...Nwywittananivadacam.hnanciatiammani.html.
re,e.* ice At eceeuni achnty a surtinhanzal roe no cunoni paled and year to data funds SNOW preserve the vats a your anhelmant al 51 03 per Mare. 4 is enable 10
Income 4. Expense Summary IncrvIRAs only): This sitcom delarv tub income and omens° lOse money by invested n a money martial Ø. Drnaleds we <leaped Daly end Option Assignment Ali short aqua option posnons and some index canon positions are
totalt hem Me Activity Sumarry end dalstilles me lax treatment pactranunted monthly. Rio prospectus Damns Ms ard once important donators available Ice assignment Emarne assignment emcee for fluty or index options are ((Moray
Robrement AccooM Summary (IRAs only): Ranee tro IRS regnatod transacoons for iho Reed the omens Prefab before imbuing. 140n-depteil investments herd by your alocated among all clans' short posnons by an anamelod on:cease.
<wen ord Vet MPS. IRS Fenn 5498 lair marka value is based On the anent value as of brokor dealer are NOT FDIC thISURED t NOT BANK GUARANTEED/ MAY LOSE VALUE.
December 31 ol mo previous yoar and and to furnished to tlaa Internal Revenue Same. Free Credit Balances (Rule 15c04 a 3): Under me mot protection nslos. we may use free
l P as a s l o o s m fo a r y r o .« ur S lu un tu im ro a a r n y a :M st o m n o n m oi s y o o o u t r o a g n y n . ual portfolio perlormance arc, the vnealind gains and c T a h n e t b o a l l i a qu n i c da e m ' y d o o u n r b y a o n u k r o d r e d p e O r. s a a n e d c o li t t a e r r p il r o O c r e O ed h s b r a e t C u r r n y e o d u r l o m y o e n w ey s m ec a u t r e ee l s m a a c m c a ou ' n fu t n o d r C on re d d e it m ba a l n a d n . c es in Our account in me Ordinary course Ol our Wens which we payalde to you
c A o c a c l o t u O n m t P e o s w it e io e n k s s : « N , o g w a y in o s u r a m nd o s la tm se om s s n a y m ou o r c p u a r l r l e o n h t 0 M a O rk ri e g t i n v a a l h c o o a a l n i d s c e o t r t r i p g a n r e o d t h u e s m ing e n m d e remillel bya Margin Amounts (Regulation T): H you have a margin account. this report is a combnaton et
n e i r s a la e th r e im e i- s o t u im l ( a F t I e F d O i ) r m m o e s t t h m o o d n . t M in ic c h om a e ss 2 u a m n e d s m av e e r F a o g a e l S c h o a s r t e s p e yo r u d s u td re W a e t e th n os o e :r a yO y u e d p u f r o c r h y e o s u d r T ta a x x r ~ ep M on g rg : n o Th x e rp a la n a th te a w ta il g l a IR l i S s n m a e ' e ra t n a n t a a c is u m in e cl n u ' d e Y s o u d w ad e a m ti m en o F d o rm d r 1 y 6 d 9 e 9 n d fo s r . a c r a m pi e a l l r y i o s u ks r m an a d rg i a n w no a t w su a ta a tt r o d l e o r s p a a ll d in a v e m s e to m rs o . r a A n d c u o m m p s a c c o t o 1 t s « t o T f r a th c e in g ri s o k n s m as e s r o li c n ia p t o e s d e w s i M th o m n a o r n g a in ,
r A o c t c a o /a u c n e t M lei i e ld M ly a : s A tp l u e rc tt h O a w se n a do lr t n e l is y s i9 h d ow ea n r l l o y r d a e n fi r n e e l d c . e l l a io te n d 0 i 1 n y o W ur O h O o r l d d e ig r. D an O d O « M S . l ated in the « g I e t n o . m lam in e d e m d a a n h e e d 4 a :W nd s i ti d e 4 s 4 p r m oc a e n e s d . s ' Some permerts ere subject lo reclenrailOn shin d tr o a c c u in m g e i n s t b a y m c i o a n b t l a e c t i i n n g t h u e s e m l O a m n» nu r m ek be d r i I s s c l lo a s , u o r n e p d a o g c e u m On e e n t O . l Y p O u u r m st a a y te m ob e t n a t i . n a copy Of Ms
« Ø O d T th d o r n i a s . t e l d i i n m n l o . T g e s a h c C m o ~ a s a m s d o s h a t h i r n b s a S a n g r l e s a e a r n p v S c c o i t c e r a io t e . i t n n s I g s n T ‘, p n r 1 a o 1 in m n b t o d l i C c r . e t o n i f O n l d e l n i u c r t m D d e n d y a g O n l u l c e : r h M i C e e c a A a k s c . h a c d o m s e u b a n i n t t t r a S a c g d t a e y e r m m r d s e a y w n n s t i d t e h i r c t A a i t n i T o s t M n h e e n c a l o t li i c e o w t r n m n r s e n b r o M e . m a e d h r l a e . c l e l l i e s e a te l r l e e d d r i n m ca o d g n a in t b h g ) ~ ~ C c s o w M p o n d a i c n e l r x B m y n i a e s d a a e i s n l b : d y t C i e l e o C o n s a r s O t t R m , a I a a m I y 1 n M 1 s m d 4 . X d A c t P o d n b P , w M l O T o i O n t R e a m M M n I E d D n a D o p a n n e m d i a T c a e n D m b d a a a d a e n n e d o ) c t , a r e t I p r s m o o d I d a n e l n e tr i n d s m a n a C o a to O t d n r I t t m p i G C O r C n a n E i e y s P b t s C a b E p r l A P a a T e E w t a i D e e te i a t r r e 8 l s l k i , s e t e d t p d i o t a y r a a n d o te t r * s P f s e o a e h a c r l a m e e y e r i m c i e g v o t n e e e c n d s n a c g t u s m c h r l o e r s e e m p u r n s c a p c O a h y a y m s r s M d n s . e e a b o a n r b r b t o o n F k n h s l n o e e l r w a a W s r d o ( o e C S O r t O E t d p o c m C e o n t p a a s . R O l t n e T n u e r w D e s l e r i a c M A t s e O m r 6 a r d f t 0 o a t n . a 6 n i / t n r : e a e a r a l n e d a C r p d o d o o t a i 6 i o r r l b n t s 0 n s a e o D s r d c m s : i i o n s I ') a n c u k y l C o n s n m a s o t e i a n m n e e p g e a o l w n S c n th d r s e c c e e C o I u l s t i m v m o r l e i e l n p i s n e d e i t u s s a n e a f n s i r s n a l p e l t o m n t t i h e o . y M r e n T r o a o t O e o r r r l d d k a m A e e e t m e r r l d C d o f r l o e r t a a d o v n w r t i a p t e n h d e t r g e o s o r
Online Cash Services Summary: Crate ad deter transaction totals br mo carom Mailmen( Margin and Options Account Agreements: Promptly adaso ID Montana n tuning of common at vnimadarrixeradecom Anatolcopyis avalatlis up:a rimiest.
rePOrtng anted we summarized. InOrnebal benthedernei are native:I any change in your incoming cloccums a *drool seaman as they pertain to your
rOuo to rounding adustments. tho abdomen, decals may not copal the stemma'stotals. ( w M in e t i h n e O e r x 0 e 0 cu 1 t 4 io » n M til O °p W eo S n ' s g r w e a e n n s h a o c r o n o s n s A i s S u a m ya m la e n ry k s o . f commissionsad donee incurred M II M is u o s u r t p e o n lic d y. O a n b s I e h n e t P eb on ily t ° t M o r p s ro t v o id e th e h e c e o l n M tra e r c y u . t t l o o n s o a l n e d d b th o e a s h t i s st . o ( r I y n t c e ol r s s , e a e n N d r g m a p r r k ic e e t
re/babied Annul Income end Estimated Annual Wald values ere based upon Ihe number a improvementoh markot omos. Pico mean:momis avanablouder mean market conceals.
slums owned or carom value balance az ol the stalemorn dale and the most recom cluidend Orin Malta Prton: the man hams cl mama ham b Waned. al arabbkh kom and weregular/1 maula axacutan to test ler such improvement d avatar*.
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man bemoan the bd ad slug cows a other motixt. t enodd whoa satte am a Trade COMirmallenti (Rule 1Ø10):M conIonalions am atiremilled On me Irtinslia0n dale
GENERAL INFORMATION chidden HMO OW indepliklent MM. the securty wiajazi lo bang rertedel
Nan Prod efe) the el your a:adoMbar as Punta as ran MbaTinn ad non: Trantaolons in Meign 80OuritleS (indtand foreign renpanta ADM mat lise h ,I)0
10 Mientrade does not provide legal or lax Mote Please cordial your legal ~sot or lax me dora guarymoo mo scuracy et any scones Feces. Italgago bacfaxl posteasanwiluol U.S.) ray include taxes ard foes carped by to hegn maraca or governments. each may
teCCOurnant when necessary. A8 a Standen, inekeby create. (Pane COrminehtins may be gang We ranting butte Mg me wren mewl DM Paria rØ hakmanti my nOl be redacted in ma price of IN) tawny or charged es an Independent sne item
MOMS Stir Salty 0001101 and hansattion veilatin Purposes. moan mks proceeds. The sec day ~el la Colima:es ct Deposa (CDs) b gantaly
loud and the eclat vabe (nag be alleen from the ~Ilse cite Asgillare loss et pine el Plenty Perm NollIketion: A 0311y of IN> TO Amerind, Piney DOICY is Mnible el
For TO Amman, nomad, clews. your advisor hem Is sq>arato from and not attend MI may mail tom the sale ol a CD pØ to roomy. Bends adb Fred tam Saunas trade vnemblamarradocorn
TO Amernra6a. Inc. a TO Artutrado cleating, Inc.. and oath Ism is not responste la the clammy mar awry scones and de na Wade an a mud ordwge. Ram. troy ease n me
PrOttxts end antes Ol the Ogler. OTC Wes the COunitg ~and WM:~I dUararmiy nOt pla la nou »Wl >Sur Zeknakr GSM* Saturnian The elocabon of portal !demoted or carts n Oone hang e croon Reny
to nu". Tro sib ot ba-ot pncr to ~sty may moll h a loss a primal system. A dommtion el the procedas for SUM saunters is avoid:Mon to robes a hard
Accwacy or Reports:II you find any errors or omissions in yew account statement you copes are acanthi ØI 1.
*Mold immediately call us et the [umber listed on page one Of your statement. You Non Standard Assam (Waal ate hocaly marmot n droct partcpaton program :muftis
Mould also contact our Clearing rein, TD Ameritrads Clewing, Inc. el 800469-3900. paaerstips. knead Malty ccmpana. et red edam rearm,. bum cadmay pmts. promo In Case Ol anon, a ("Jostens urbal pur EIMONC Fund Dander. please Canted us el
muty. prUlle debt a Iddge Vets NS86 ere beta IMO ~Inca and do not irate en a 1.20) 669.3900. or in amp to P.O. Box 2209. Omaha. NE 68103. or by email at
Please renewtee stab:roam carcrnily. It you Osage,' with any transactors or il Mae ale any alma sauna echarigo a to Rama Shod< Molt The 'dues anen ha time mamma ClieM9eMkeKMXILIMegattle.COM The nOrmaton cOnlaned in your (Mani statement shell
aids or omissions. obese redly a Client Services representelhe a yOur tat branch Cate. as are ~Ad «Les caned lam news ~hods. nadro. bw na Pad ST indigent:lent be aiming upon you il you do not °twat wthn may terndays lor any !candor ot lunds steams
wol as 10 Amarrado Cleareg. Inc. in wmrg satin ton (10) days of yaw rococo of this appraisals. are progat. nor =at. anda Wed party tender alas tut hero boon provdod by to Rcgdabon E. such as ATM and point ame :rarely& dead transachons. dirocl docauts.
statiment. Any ore/ statements mal you hare mode to vs should be COMrnied in mitre; The to managorrcer. ~ram. antler spa-ar of ØIØ et by a that um meal without and sithensals We must hear from you ro later 'han 60 days ear we sein tat the FEST
statement will «henna beconsidered conanive independent malarial by ID Amoeba When may not (Oka me ;Mind ~ase mice. stasomen, on whinthe error or problem appeared,
Ø marka nue a be .oabsd Limn lowdacri t an cevnosd value cam« bo establahod (I) Tell us har rend end account runt»,
Raise nary es promptly Ol any changes in your comae information. hareaCtions redated on !Weigh Bese merhode. the bauen may be reflected as Nant'ited NV) Foe adapt deal (2) Doscrbo the error or the tanter you am unsure about. and explain as dearly as you can
your report wit be conehmhay dimmed atonale unless you nab TO Anwroadommodatob. mamma halation la Non.andard Ames. please coma Clan Sams. These rnermtres why you belay° ti is an error or why you need ewe inlormabon.
arena mad =Wild SPC (3) Ted us the Odlar anro.ini or the mended ono,
Account Protection: Deposits told by TO Bank. N.A. ard TDB.* USA. N.A. aro toured by Wo sal amosigato your complain and wit correct any error promptly. el we lake more Man ID
tie FDIC (401 covered by SIPC) up 10 5250.030. Limits are per attan ohmedthn per Podia Rao Socurbm CARS-) Prong: me meet Nabs la OAS mums hno boon oaaned. business days 10 do this. sewll trail yaw swam br the amount you think is» era. MIMI
m ini u a t l u t4 a O l n lo . d T e O , le h a e r l n d m in o r m e a a r b l o B u r t e F lM D a IC g e C O AC M CO M u . n t go a r t e O 4 + 0 n 1 e w S WIM O S r e o a b s l t g le a S lio . n i s n d e u l d . n o g r g n a e ra b n t i l c e a . K l H or a n M ma a k l e d r e m n t il r e e c ke m lO e r a W rd e s b M . a TO g a A d rr a icr n tr ~ ad e e n M I a T n h :o e n e o c 0 o A ra S y Ø ol t e he n p . r s a a n u g g is h no b t you wll have tho use al the money dunng tho tmottakos us to corrglob our invostgaton.
guaranteed by. any bank. are not FOIChnsend. and involve investment mks. includrg ccnadet boll tie quay ad undid/rig cm* quay. the »IS wurla is ~only
posstle loss of printout. TO Amenvade is a member el the Securities Investor Praocton Menaming aypdØy ant teti nut them an be ro (Myna mel such troCurleil cn
Corporation (51PCI. which aromas moonlit: =tamers of ds merrbers up lo 5500.000 to sold urea one ~se cottons. AMM 1500744
$250.000 lot claims for cash). Explanatory brochure is available on nrqual at
REGULATORY DISCLOSURES
mew.diPa.ead.
Adeltlionelly. TO Amanda presides each (lent 5149.5 ninon worth ol protection for MI transactions aro abject to p) me consillubon. roes. regulations. customs and usages
SeCurilleS and 52 MIIOn 01 prOteelOn far cash °tomb SupOlemental coverage provided by d the exchange or norkel. and as dearsignouse. it any. on Mich such trananlan ere
London 'neuron amulet sti Ideal lass. indsc #d Ing the S aun iv te rs A in c t of 193 o 3 r f an on d e l Ma O S f% au nas SDNY_GM_0001 1886
EFTA 00122537
EFTA01268016

Statement Reporting Period:
1D Ameritrade
06/01/16 - 06/30/16
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TD AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTF1S STE 8-3
PO SOX 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Ameritrade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $ - $ $ -
Insrd Dep Acct (IDA) 51.589.49 51,589.07 042 0.01%
Money Market
Short Balance
Stocks 0.01 0.01
Short Stocks
Axed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51.589.50 551.589.08 50.42 $ 0.00 100.0%
Cash Activi Summa Income & Ex .ense Summary Performance Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance $ 0.00 $ Income Cost Basis As Of - 06/30/16 " $0.22
Securities Purchased Dividends • Unrealized Gains
Securities Sold Interest Unrealized Losses (0.21)
Funds Deposited Other Funds Deposited/(Disbursed)'
Funds Disbursed Expense Income/(Expense)n°
Income Interest Securities Received/(Delivered)r° 0.00
Expense Fees "For cost-basis Information, refer to mws.tdameratrade.com
Other Other
Closing Balance $0.00 $0.00 Net $0.00 $0.00 $0.00
SDNY_GM_00011887
CONFIDENTIAL
page 1 of 3
EFTA_00122538
EFTA01268017

Statement for Account # 867-730320
06/01/16 - 06/30/16
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.42 $ 2.57
'This section displays current and year to date taxation values for the account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year divulends). The year to date fouls will accuratehi reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost GalnlLoss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.0066 $0.01 08/05/14 $ 0.22 $ 0.22 $ (0.21) $
INC
COM
Total Stocks s0.01 $0.22 $(0.21) $0.00 0.0%
Total Margin Account s0.01 $0.22 $(0.21) $0.00 0.0%
Insured Deposit Account Interest Credited
Begin Number Interest Interest RETD //ETD
Date Balance of Days Rate Accrued Accrued PAID
06/01/16 $ 51,589.07 130 0 0100 $ 0.42 $ 0.42 $ 0.42
Total Interest Income $0A2
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,589.07
06/30/16 06/30/16 Received Interest: Insured $ 0.42 51,589.49
Deposit Account
Closing Balance $51,589.49
TD Bank NA $51,589.49
FDIC Insured Depose Accent (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable knits and held by TO Bank. N.A.. Of TD Bank USA. NA. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
SDNY_GM_000112438
CONFIDENTIAL
page 2 of 3
EF1'A_00122539
EFTA01268018

Statement for Account # 867-730320
06)01:16 - 06.30;16
Important Information
STATEMENT OF FINANCIAL CONDITION
The most recent statement of financial condition for TD Ameritrade Clearing, Inc. may be obtained at no cost, via the Internet at http://mwe.tdameritrade.comffinancialstatement.html, or
by contacting TD Ameritrade Clearing, Inc. at 1.800.237.8692. As of March 31, 2016, TD Ameritrade Clearing, Inc. had net capital and a net capital requirement of $1,612 million and
$274 million, respectively. A copy of the report and comments is currently available for customers' inspection at the principal office of the Securities and Exchange Commission in
Washington DC and the Denver. CO office of the Commission.
FINRA INFORMATION
Required Annual FINRA Information: FINRA maintains a toll-free public disclosure hotline where investors may call to request disclosable background information on any licensed broker
or broker-dealer. To call the hotline, dial 1.800.289.9999. FINRA also maintains an Internet web site where investors may obtain useful information concerning FINRA policies.
procedures and services. The web site can be accessed at www.finra.org. Additionally, FINRA has a brochure which describes the investor education and protection program. You may
request this brochure either through the FINRA web site or by calling the toll-free public disclosure hotline.
SDNY_GM_00011889
CONFIDENTIAL
page 3 of 3
EFTA_OOI 22540
EFTA01268019

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SDNY_GM_00011890
EFTA 00122541
EFTA01268020

Terms and Conditions
STATEMENT GUIDE
IL fco. ..a D'ondes montra Pontien Repens lor accoums veth actmty and quaneny repais bi the «el 014 brokonge ineOlvenCy. a dent mett receh'e &nettes due IØ the Infinie For an mimer brochure litai nains informabon desating FINRes Ortie Chscbsuro
in roda° accounts euh assels.i In bareletcY ard mon SIPC. Seookmenial 00Y0fie0 a part our axe Mo trust« and Program. plaie Contact FINRA st b30-289.9999 Or winwlinmag.
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compares n to me ',kir moleta The OSSO nidenn «lente yOur 00010 dheilinCelion by S152 mition from s Vesle°. SIPC end London insurers The Tel Aniegrade Paiement& Tho intaesi rate serran Ici TO Amer/rade Cash ta talion from Mo append, Immune ber for
investment type caverai* los an enrage* Inn ol $500 sinon ara ab coati:mers. Tria polcy amides the Marke Velue balancent. TO AmandeCath. as 0 bra Slatened chier. dote Simple
average Iota:raid brasage inteihency and dogs 001 peine amine bas in market val» theesi Is nonxd dall/ basea on the morosetan ser applciMo tooachdays balance.
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diane Cash Services Sommat: Crac ard dota iransetion mats lor mo amont slatomcnt Mate ad Options Account Agreements: Promet adviso10 Amentrade n timing ot ozocueon x mmeidarravadocont A %%Mon ocpy is avalatle rem nettest.
relent» enod tee Sumnwized. IndinOta haindaerat eie retend. any Mange in your investment ciaccums or Snaroal shoote as Vitry main to your
margin or 0014n adent agreements. A summery of damnionsand chope inCurret1 our poney. atom clerc orden to mo Gontran. to une brokas. doues. and market
tue to tounding adusunorts. mo staoment dotais may not aØ Mo statemont tout,. wth me ecce= ol opoons transaman is °valable. naken head On the (Willy Io amide tol exeSti0On eta trie Nam Of asana fine
teinte. Annal tomme tua Esindled Annuel 'nad velues ere bored upon the nuMbe Cl improvermemcn markot ordres. Poco recoin...cm,. avanie. aider certain market condoms.
shores crime or anoni value balance as ol the stalomord dala am the mat toccni dindon! Ona Motel Prkos: lb* moka 'dues ol sconses ham ban Monod d relate am and we regelant monter earancen to ton fat stell tenacement d amiable.
rote a Copi dal prOndel <redan enta ad Othe idependert sens Velum eie bard On Oro dong men me
man besace tre bd ad aerg vox, ci aner motraps. t smiti ana n anale tom a Tilde COolkenlitIOnto (Rule 10010):MI contrmations are Parement( On me irenaliOn dale.
GENERAL INFORMATION adent, »VO) Cr dier indeendel sera. lie saure is Pb» Fo being edeled Of
• Prcoi Cru lite scluents cn your macho non are Oder, os 9010,te stimer rd Taxa: TienseoSore in ?beige /Muret Orhan dreige Crabe ACES tlyl Jade in et
ID limentrade dace not mande legal or lac adv.*. Please consul) your legal actes« or lax no dard guanaco Mo accuracy se any martes nom langage board postonsroictus U,S,) l'erg «kid° taxes and torrs margea by eta fanon mation Of gemmeras. vélich may
teCCOuntanl arien neCeal& y. AS 9 Slaneard inCkele miner. Men Cerro/Mann May be rang no temanag berce eta me orna mea eke nOtIktia rhael wasnions my not be 'Macle( in Me ptoe ol Ire security or °bagad es an axlependerg (ne item
Mendel kir effiler Odird and InmsetiOn veirralen Panda. nenni som prococch. The second.» man lu Gallo.= d Deposts (COs) s gare*
nauti and the &tua sale meg be Oltertal fion, me prChaSe pote Ailette( las d ceixtel Panel Polky 1401illcillOn: A copy d lb() TO Amedinne elYtty polos is Bonabbe al
For TOAmenwade Mentant clora. your advesor rin Is soparato hom and not affine suai me men tan tho solo °taud pØ to maure Dodds sen Roi rama Saunes Iran VIWN.Pielefaide SOT
TD Amentran. Inc. a TO Arroetrado Cause. Inc.. and onn tom is rot ro:pense° la the dforomy the. °gay sommes and dora ban ai a qui oxchange. Rune me bec n me
PrOtects and senices ol the orner. OTC loe the mondai .arta and ornent leude/ me ritt aga le1W »te four Code, Prd Canar Soeuridesi The otoreeon ei pubs ralemplons a cens e clone rang e prends bØ
te rratety.lhosabolloaut porto moine menait n ensaisinant synom. A ancrent ol me poco:Vos for Stable seule: Is salabl on te rugle or hâla
Marey of Reports:Il you tind any errors or omissions ln your account Meternett you copie: aro avale,» uson focpezi.
ehould immediaufly ull us el the nimber liai& on page one of your slaloment. You Non Standard Assas OSAI à/0 typcaly ammencrits eu and panchan program scoute
Mead also contact our Clearing rad TD Amortiront Clearing, Inc. al 890469-3.90. patentes. Irma tabac compantx. areal esta» chlarnoil Paoncorn:dry cons, man in ase ol effet Or %SM«. *Out pur EletrOnn Fun Tandem please CO lad e al
souty. piaule an «tirage encti. NSM se beteg lied n'aimera ed do na løe an e 1.8r:06693900, or n arrry to P,O. Box 2209. Omaha. NE 68103. or by ornai al
Fleaso rouet trie nouant careany Il you dance euh any transamon. or d Mao am arty nana sommez aØ cr Moanda° Stock Mea. Ro eues stroma har mine modern elienuervteeteeemeeseae den The insertion ciantalned n boue Mani alitement 'ha
aras or omissions. gnose rude e Oient Services repiesenelhe a you tical Winch once. es are ettimaled nikei «end hen geste enNhOdk inglna. bul na Ide a indeended be trend urd sau MI Yeu de nol Met solin axe days lor any transtor ot lods atopet
wel as 10 Amortran Goerg. Inc. m vimrg eau ton (IO) days ol ym tome ot tois amants te proaaWs na =sot. and« Mid me sonder dors tut haro tical moite by to larigabon E, sala as ATIA and para a m. tramera dam transutions. dirai dcaosas.
salement. AN ord statements mea you heve made to us shOdd be COrdinaed in arbre The Oa maragorrcer. aturreaa. and« encor ct cash peccren orOyant paty vendu ethoo and enclaranti de must hou trom pv ro laler tven 60 deys one, we send )Ou Me FEST
salement se idiome beCOrreideled °mambo inapendem anone by ID Amarra Values me/ nef tek« tite ceigne pelxise pute. subornent on wen the errai or pronom apearof.
Ø market ardue « be foetal recn kedascrt an cramant velue ca-not be estabthod (t) Tall a pin rene end accouru melba
Fade ne., a PCOmplly ol an, change, in yOt. COMBO information. %naine neekled on IIYOuph tee nolhods. Me amen met be refend as latspita MF) F(// adieu, ne (2) Cascada the orror or Mo Pane« you aro tonsura about ard «plan as daud/ as you can
yods repart MI bo ooncUsipaly dcomod aconounloss you noely TD AITC•ItfidOwnmoilesty. menue vantai le ta Strilad Ocra. sema cama Cent Sonia* Rime marnais why you bob:« n is an erra or vole you ert mue interna°.
are rot mØ tonca Po SIPC, (3) Tan us the dollar amount of me sergette tee
Accounl Protection: >ponts ne by TO Bank. N.A. ard TD Bard USA. N,A.. aro neural by Wo soll terne* your complant ed MI correct art/ «For prompte. Il vie luka more man 10
Me FDIC tee«, by SIPC) up IO 3250.000. Limai ale per 8CCOunl OrmerthP per Audn Rata Saures r/Ftr) Pmng: Tho moka vat= tur AAS saurez tom bon deancd. bueness deys Io do les, se mil orne yOur aiXturil fe me amont yOu think is in troc aM M
inaltign. TO leva mee «eut FDIC COverage 90 tO invw 101C.COv. Sautes. inCludng ilm ale. tom quo am andro or der idem:ter. sousos. The away al me piong is not youwll have tto uso ol the rrcorrydunng Mo mottai= us to corn:Cao ourinveshetean.
Mulon tuna. held in y*. Drainage ACCOurX are el depellS Or 001gation a Or sauranioal ha moka seie e ne malade TD Arcan ,wll arme° AAS pron. ter.; nia
guaranteed by. any bank. Ø not FOICinstred. and invoho nuement nes. indudng codera, boli to kudy ab undcryng ara quay. The ARS merl o anionly
passade loss ol primatial. TD Ameroade is a monter ol the Semait: Investor Protocion topliandria e lek OlkskIty and. ose reset lise Cm be ro esse« mel tue SeSurliebari
Corporation (51PC'). which protects manses entamer, cl ils nimbas up Io 6500.000 te sold un*. onde mati coslicro. eleD 150 Oeta
(niant; $260.000 lot daim toi cash). Explarolory brochure is avouable on /toute al
REGULATORY DISCLOSURES
wnesiPo.ena.
Additionely. TI) Ameltrado arondes Bell Oeil $1415 trillion weth 01 DeleCtion br Ml transmuons arc supar to 10 wme constnieotn. INNdOS. reguflatofns.i c.us„Atoms ad utsagnes e,
ifeeettet and S2 milen 01 petedOn fe Cash Ihnigh SupeeMental °Outrage 'n'Ovide(' by me enneige or muai. and ils dearionouse. il am. on etich Ban laintsalen are
London 'Mutin o E x x o cutod oit Iodent la s. istang me Sacrants Ad al 1933 and tho Saueos SDNY_GM_00011891
*un . ollo and ihe
F
EFTA_00122542
EFTA01268021

Statement Reporting Period:
1D Ameritrade
07/01/16 - 07/31/16
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
PO SOX 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Amer'trade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ - $ - $ -
Insrd Dep Acct (IDA) 51,589.93 51.589.49 044 0.01%
Money Market
Short Balance
Stocks 0.01 0.01
Short Stocks
Axed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51,589.94 $51,589.50 50.44 $ 0.00 0.0°1O 100.0%
Cash Activi Summa Income & Ex • ense Summa Performance Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance $0.00 Income Cost Basis As Of - 07;31;16" $0.22
Securities Purchased Dividends $ • Unrealized Gains
Securities Sold Interest Unrealized Losses (0.21)
Funds Deposited Other Funds Deposited/(Disbursed)YM
Funds Disbursed Expense Income/(Expense)n°
Income Interest Securities Received/(Delivered)rm 0.00
Expense Fees "For cost-beats Information, refer to wvorttctemerltrede.eom
Other Other
Closing Balance $0.00 $0.00 Net $0.00 $0.00 $0.00
SDNY_GM_00011892
CONFIDENTIAL
page 1 of 2
EFTA_00122543
EFTA01268022

Statement for Account # 867-730320
07/01/16 - 07/31/16
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.44 $ 3.01
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a promos tax year (spillover divdends). The year to date torah will accurately reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost GalniLoss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.0066 $ 0.01 08/05/14 $ 0.22 $ 0.22 $ (0.21) $
INC
COM
Total Stocks 50.01 $0.22 $(0.21) $0.00 0.0%
Total Margin Account 50.01 $0.22 $(0.21) $0.00 0.0%
Insured Deposit Account interest Credited
Begin Number Interest Interest MTD Mm
Date Balance of Days Rate Accrued Accrued PAID
07/01/16 $ 51.589.49 31 3 0103 $ 0.44 $ 0.44 $ 0.44
Total Interest Income $0.44
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,589.49
07/29/16 07/29/16 Received Interest: Insured $ 0.44 51,589.93
Deposit Account
Closing Balance $51,589.93
TD Bank NA $51,589.93
FDIC Insured Deposit Accent (IDA) balances reflected in your brokerage account are FDIC-insured up to amicable emits and held by TO Bank. N.A.. Of TD Bank USA. NA. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIP C) protection applicable to your brokerage account.
SDNY_GM_00011893
CONFIDENTIAL
page 2 of 2
EFTA_OOI 22544
EFTA01268023

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SDNY_GM_00011894
EFTA_00 122545
EFTA01268024

Terms and Conditions
STATEMENT GUIDE
IL n-o.iracio protides monbly Portfolio Ronds for accoums euh acte ty and quanorly repais h Me «Mi Ola berna°. insoleenCy. a dent may reCeive amants due from the Inde» For an mentor brochure mal ilddos infamabon desabng FINRA% Pulls Darbsuro
ce muctm accounts wen &nets! rn ImnauPtcY and Mon SIPC, Senanonial «trom(fa s pool oui Mer Mo trustee and Program. nonne Contact FINRA st 830-289.9999 Or mow.firesag.
POrtfollo Stemmery: Tien) Ihe curent value d yOur 000040 as 01 Ille end dale and SIPC payons ara Ør suce ramage each clam is limeed to a contrxd mitan ot
empares n to me Mot The SOM eYOCeHOn «ICaltit yogi pati010 divenlibelion by 3152 «lion Iront a Suette. SIPC and London insuras The TO Antedbade Supptententel Tho amen rate Yom ta TO Amercade Cash a laken (rom mo applcatre 'moroserab ber for
invemmert type caverne bas an mgromur lira ol 1600 anion ami all austamers. Trie polcy arondes the Market Velue balancent« TO Ameneade Cath. as ol pta alstamen (rosire dote Simple
COverage loikraing binonage intiOhincy ad dOes nOlprOleel Ugine IOSS n market vatt todesi is nenni daily bssed on Me mien etan ter apploaldo to oads data balance.
MM* abonnis und« 5% me be ?nunc' mlo Mo calegory ol -*hot' m mo po chan. Llano • ab socunterd
Eborty - Total Accouru Eguibernal Long lAteginable Velue • Tetel Shan Value) Enanen Staternent NotilbatIon: Ibo micmac ol Mancul condbon lor TO M'entracte a
M invesinten1 n a money martel lune iS not ineuren Of wareneed by the Fedeis badeble Nice a yeti ana may be obtenez' al no Met. da the internai el
Activity Summary: Tite gomme and dovne cash balances am teoonclea rett for yta citent Depost murane Corporabon »Ci n any *Ma renomma agoncy Mme Mo Mat»Votore.totamentrado.comMnancialabomonthel.
ectcre,ce Ai account acIrMy Is immun:on lor ne outrent pcnod and year to date. tune eeek 10 peeterve the value d yOur 04081~1 al S 00 pK snare. it it peebb IO
Income a Lipome Sumenary (nenaAs only): Mus simien &data tre inoome ara entons. Irre merøy by invasion in e money manie fund. Lindet. ne beciated dey and Option Assignmant: All short ocruy option positons and some indox option postions se
tOtaH (rom IFe Activgy Sumniary and Closerie the la: irealment padternoastod morMly. Tho prospectus amans Mn ara once important rennsion marleble loi ossignmeM Euntee enignment note« br OMM or area options are fandOœly
notamment Accourt Sumenary (IRAs osy): Renart Ho IRS rocutmod transwoons br tho Reid the prospecta) aretvili bete niteting NOn-denCeil irweelmente hero by pur aloceed amang all doms' shai posoons by an automaten procetkre.
curai ord vit mue IRS Form 5498 fair market velue is besod on te °urgent velue as of trokor.dealer aro NOT FDIC NSURED, NOT BANK GUMNNTEEDi NAT LOSE VALUE.
Docomber 31 ot tho promus yoat and an to turnShod lo trio Internai Revenue Sana,. Free Credd Balances (Rule Ifici3.2 à 3): Under me Gent prote:con Mm. wo may use free
l P o e se d e o e rm b a r n y c o e u S r f u u m tu m r* o r r e y c :M s o tr n o h n o t r s y t o ra u t r e a g n y n . uel portfolio parlemente end Fie uneelized peins and c T a h n e b b o al a lo n u c a e : l i a n n p d u on b y a o n u k r o d r e n p e O r. s a il n s d e Ir n e « F u or m O a M s S re t C U r rr y o O d to l o M y O t n a ey s M c o o t n e c l e « a k c W o n lu , n o d r a on ta d h e m bê o l r a d n . t es in pa teCCOM n Vs Orditary Cane ol Our Ovarien which are periatle b yOu
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GENERAL INFORMATION aidais, tien« Oh« indepindent 'MM. te leCurty Pian Fo beng renier e
• Prcoi Ciel Tho oduants ar your Faddo on« are Ment as 90,064 Mbefltlen ad Taxer Transactions in bieign seOurilie (nMeng «ego Mendel ACFN Ois Inde in Me
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Moud amine sitar mole meg be Ottent front the torchas, pote Anselmeles Cr Pintai Penly Policy 1401111cElon: A °goy ol Ille TO Amarre* Mhtky OMS is non** el
For TD Amenbode bushoonal clora. your advenu hem Is scparato hem and not ad' taled vat, may rosit tcm Inc sale °tau) per b rots« Bad; rate Roi «orna Sccurtes irae VIWN.Pielefiri d0 SOT
TO Amenirade. Inc. ix TO Arraua- b °coing. Inc., and oado frm rs ml rosponsble la the dforady thri apty manas and do rot rab ai a qua maimo. Reno. Moi Pan Me
PrOOXIS end senices ol the Otite OTC boer Me °punk., market and errent butinm a net MM ta leu ban dra Mec" an Cabre Secondes: The elocabon ol peur redomplons a tells us clone rang a prorata «My
redut?. nyo sale ottcrot pna to ma uty mn rosa n a las ol penapal. symm. A description ol tie preadores br abatte sccumin is «Moto on to amyle or hem
Mammyor Reports:Il you fine any errors or omissions In your accouM Maternent you copies aro awnitle usoneapea
ermulcl Immedialely colt us et the nimber Ilsted on page one of your slaloment You Non Standard Assen OSAI are typcaly nommants to anct pormakon program saure=
Moud Ilsti contact our Clearing rem, TD Amniote. Clearing, Inc. al 800469-3900. goencysteps. kniodtablityccmpance. er ren esta» marrent irai. corn:dey pools. Prate In Cette 01 enOre Ot Cpbt0M1 *Out pla ElentOnk Fun) Trenet. pfease CO Ion Ci al
touty. prikare MI a Pen» IØ. NSAti ere Vibrer ibud «teinte Ta do na bate o' 1.04:0669.3960, ot n %rem to P,O. Box 2209, Omaha. NE 68103. or by orna: al
Please men« tris s'aimera caready. you Stara, crib any Wansactora or d Mao are any mima socuma aØ a Mo &mal Sarh Malt, Tho drues total kt moto nasillent: dienlerenrkeeldarneenide.Cen Tre Yteranden cOntaned n'eue Mani sliterem end
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obtiennent Any oral slalomants Mol you hem macle to us salt, be COnfirmed in mitre The Mo mmagorral. a:norme. adb smul rd oadi 0Ø3n or by a Midp .rty roder antan and rundesals. %Ve Mue nar rem sou ro Ide Pian 60 eas ana we sera yOu Pie FEST
obtiennent an «Prony°. beconsidned concleshe imkpendeM Wadden Dy ID Amenda* Values me rot rend the oigne fontom vice. nomment cn MM the trot or problem asperme
amol mana veto « be mazot men fewamcn r an os tiord value ca-na be euabbned /Tell us ma none and «cool narrer
Flease notry ce prompily 01 any change in yOtd tunlad information. TreneediOnS restled m thrOugh ta, mettons. Me «tarir niry be retend es Non-Mt:ta Clin For Seidel «rai (2) Coscrbotho orror or to transi« you ara unsuro about. ard oxplan as deely as you con
your report MI bo concbacealy deamed accuratourdoss you moly TO Armande empile*. mgarang votation fe MoStardard amas. «ne cota Clin Sonna- Thom marnais why you berme a is an erre or why nood ont° inlormahon.
am na ccoceed uØ Pb SEC (3) Tell us the dollar anoure' or me sunakted once.
Accounl Prolectbn: >pouls hold by TO Bank. NA ard TD Bars USA. NA. are neural by Wo wrl1 «oste* pan complant and nil cane any «For promptly. H verr talai more man IO
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Corporation (51PC'). which pralins manses custom«, cl ils nimbas up lo 5500.000 to sed mie am« mal« cote. »MD 150 07.14
Ondine% 3230.000 loi daims ter cash). Explarolory brochure is avariai:1e on repue* al
wmesipc.org. REGULATORY DISCLOSURES
AM:ma TO Amenante amides adr tiend 5149.5 tullen won 01 01010 00f for MI transmtons arc alose to p) ne corambon. Nu. rogulanins. customs and usants
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Ex 4 in50EriNpre &Atone SDNY_GM_00011895
oun . ci* and the
EFTA_00122546
EFTA01268025

Statement Reporting Period:
1D Ameritrade
08/01/16 - 08/31/16
Statement for Account # 867-730320
800-669-3900
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TD AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE Et-3
PO SOX 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TO AmedMade Cleating. Inc.. Member SIPC
Portfolio Summa
Current Prior Period ° Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ • $ - $ $ -
Insrd Dep Acct (IDA) 51.590.37 51.589.93 0.44 0.01%
Money Market
Short Balance
Stocks 0.01 0.01
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51.590.38 S51.589.94 50.44 $ 0.00 0.0% 100.0%
Cash Activi Summa Income & Ex .ense Summa Performance Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance $0.00 Income Cost Basis As Of - 08;31;16" $0.22
Securities Purchased Dividends $ - Unrealized Gains
Securities Sold Interest Unrealized Losses (0.21)
Funds Deposited Other Funds Deposited/(Disbursed)YM
Funds Disbursed Expense Incomet(Expense)"°
Income Interest Securities Received/(Delivered)"° 0.00
Expense Fees ••To view realized gains and losses for your account, login at
voyow.tdametitrade.com and visit My Account > Gain/Loss.
Other Other
Closing Balance $0.00 $0.00 Net $0.00 $0.00 $0.00
SDNY_GM_00011896
CONFIDENTIAL
page 1 of 2
EFTA 110122547
EFTA01268026

Statement for Account # 867-730320
08/01/16 08/31 16
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.44 $ 3.45
'This section displays current and year to date taxation values for the account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dmdends). The year to date totals will accuratebr reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost QM Loss Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.0057 $0.01 08/05/14 $ 0.22 $ 0.22 $ (0.21) $
INC
COM
Total Stocks 50.01 $0.22 $(0.21) $0.00 0.0%
Total Margin Account 50.01 $0.22 $(0.21) $0.00 0.0%
Insured Deposit Account interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
08/01/16 $ 51,589.93 31 3 0103 $ 0.44 $ 0.44 $ 0.44
Total Interest Income $0.44
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,589.93
08/31/16 08/31/16 Received Interest: Insured $ 0.44 51,590.37
Deposit Account Bank NA
Closing Balance $51,590.37
TD Bank NA $51,590.37
FDIC Insured Deposit Accent (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable knits and held by TO Bank. N.A.. Of TD Bank USA. NA. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIP C) protection applicable to your brokerage account.
SDNY_GM_00011897
CONFIDENTIAL
page 2 of 2
EFTA_OO122548
EFTA01268027

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SD NY_GM_00011898
EFTA_00122549
EFTA01268028

Terms and Conditions
STATEMENT GUIDE
IL: Ar.rirade provides money Pedalo Armors for accoums rah actmty and quanedy repais h the teen 01 a brokerage insobriety. a clan may receive tenants due from the trustee F an este brochure mal inceles infonnabon desolang FINRA's nee Dacbsuro
ct ve accounts aim assets.. In baleulkeY and don SIPC. Srmosahomal COYOra90 e pad out de the trust« and Program. please Contact FINRAst 830-289.9?99 or wew.firmsory.
Portfolio Summary: Tee= lire Current value a your 000010 es 01 the non dale end SIPC payouts and wear such coverage each dent is limited to a centred return ot
comperes il to me prior meal? The ease dean «Icahn your paten diveryfealion by 3152 e'en Wm e trustee. SIPC and tendon insurers The TO beedliade suppenenbil The interest ran Moen tor TO Amertrade Cash e taken from the appeal:1e interest rate ear for
investment type coverage has an aggregate Inn al MO muon over at customers. This potty protides the «adiel Value balance n HY TO AmeneadOCaeh. as 01 the Slahlthery closing date Simple
coverage lollirying bondage insohincy anddoes nOl motel against Ins in mania babe interest Is ached dally bald on the interesttaro sen applcatio to oach clats balance.
abbe «Deafens under 5% all be grouped Me thecategory of -*hoe In the pc chart. Margin id me maned
Ecety - Toter Mean Egunyireal Long Marginate Value • Total Shea Value) Financial Statement Netification: The statement ol 'nano& condten for TO Menado
M investment h a money market land is net bared Of %tartrate(' by the Federal evadable lace a year and may be Waned al rio cost. via the interned til
Activity Summary: The opening and dosing cash balances are moon:led harp for you, quick Depose Insurance Corporation iFDiCI a any odia gavomrrica agency Ana* Me Mutdeverearyinentrade.conaboancesubsmonthml.
raarebce. AI account acurny Is summated for me current paled and year to date. funds Seek le preserve the babe d yew freedman al 6100 per share. 1 it entry le
income a Expense Summary Inornens edgy): This sawn dolaib trio income ad manse lOse money by invasion in a money market Ord. Dindards are *cared defy and Option Assignment: All short carry onion panons and some index open damns are
Walt from 0e Aden Suoveary and &ear« the lax treatment padiesneested merely. The prepaid weans Ms ard once impenart earnann abatable for assigeneM broire êtsignmtel notice for eauty or index options are randomly
Retirement Account Summary (IRAs only): Ranee We IRS regained bean:eons for the Read the prospectus Careelb before Westing. NOrydrean inyettmente held by your atoned among all darns shon pousons bt an automated procedae.
curer{ And vit mu IRS Form 5498 lair mane( value is based on de current value es or trokor.doalor are NOT FDIC nISURED f NOT BANK GUARANTEED/ MAY LOSE VALUE.
Decanter 31 or the parlous year and ed to furnished to the IntornW Revenue Sande. Free Credit Balances ISe3.2 à 3): Under me dent proration rules. we may use tree
l P o e r, d ea o t r . m fo a r n y c ou e r S f u u m tu m re a r r u y e : s M trn o o n r e d r s y e o a ur m a y nn . ual portfolio pedamance online unrealized gains end c T a h n e t b o al l a q n u c e e d a in te y d O o u n r b y a o n u k r o d r e d r e m r. a a l n s d c e th n e e p r O o r c e S e h ds a n re t a u rn y e O d u r t o m y o e ne n y s M ec a u d r e e ' d n a a n ry o ' n b , e o d r a on n t d i e m b a a n i d le . es n your account in PS Ordinary Cane of our kern« which are pa/able to yOu
Account Posterns: New you evrestmems at Mo current manor vane and carp= the origin remind et=
cost to see banned gains and losses n your Donlon °dam.' cal is assigned using the Wee Amman (Regulation 1): H you have a margin account. the report is a conanahan et
e fir r s s t. e . T h T e if s e t- s o t u im l ( a F t I e F d O i I r M ne e s t t h m o o d r . d + r in ic c h om as o s 2 u a m n e d s a M v e e r M a m g e e e c h o a st e s p y e O r u s s h e a t r e s e a e r e th « os p e a y y o e u d p u f r o c r h a y s o e u d r T ta a x x b N e e e a p r ing n : c Th a e r e p e a n te s n « m h a r H t I e S n r & ea e s l t a re « l a s d m inc e lu t d Y es o u n e a il b r ec a ed c e m F e e e c f 1 re 1 d :0 i 9 n f d o s r . e c r a r p e ta d l m yo k ur s m an a d rg i a n a n c o c r o s u e n e t a a b n le d f a o r S a p l e l e in d v m es e t e o t r o s. r w A e * lu a m m a a to cc ry o t l a a s i o T f r a th ci e n g ri s O k n s r a e s s s i o g m n a p to o d s e w s i t a h d d m ri a o r n gi a n l
A re c m co a u d n e t M th e e a o l k y le : s A t I p S ur t c e h e a n se ( a d l a k ta f l i y s s b h o C w le n a r 'O y r d e e n f I ie d d ea . t I i d o l n ed o f i n y o te ur e I n O k n in e g . a P n e d r i m ni a . n acled n the « ga I i t n o e la n c d e e « d M on e h l e a e n d d e S d a n ta p x ro i: c c e o ed s » Sane agnate are subject to reclessearen she d tr O a C ci u n M g e i n s t b a y n c k o t n r ta e c t i i n n g m u e s e m l a th r e ti n n u r m isk b « d i t s e cl e o d s u o r n e p d a -o g a e n o e n n e t 0 1 Y yo o u u r m se a t y e r o n b e t m ain a copy a Ms
G d e c T tu o n o r d a s d a s a l d i . s i n . e D e n g s t c e e C P r a s n a e s * s o n h t h m d r M a i S n n r a e g e s n r p u v S d o l i e t e r c o t t . e i t n n l s e g s T w m p r I e a e l n n e b t a : d e C a . r t e o n i f e n l d e n r u c a t d D n e n d e y g t n e a i a c M l: h M C e e c a A k a s c . h t c t d o e m e u d b n a i n t t t r a A c a g c a d e t r e r m d e s n e a y w n n s t e d e b n x A a a to T n i n M n t e O n l a l e c t k x e t r u t r n i m e e r y r o M t . n a a d t r h t a e . c l e l l e i s a a t c r e e d e d I d m n o o d i n a n t t g h e o C C m su r e o p e a s n C t e n : t n B d e el y , y « a I a a s t n h d b : d e y s C e e , o C s r o c a O = t b B I m u E a t t n y l e a s a e : n . X t l e t e X a d re r E a i l r O o n d o t i N e a r A T n n 1 E d f a D f l D r o c e e n m a l l a I l t e D n a c n e d a r M r o d a n g n a a e d o t t a n t a s r d e n b b e t o e a r r a d i r n . e g n a C o t a O o t d n « I t p p e G C e ie C a e d n E n P n « s C : t R e I l - A a P r T r a T a E r e t e D e e e s r i n n s a - o i t i r a o m d d k o e e a n n d a o » t s e f r s P o e e h z a r l c a e y e e r m a i c m e g n t n e e e c t n d s n a c g t s u c m h f o s r o a m u e p r d c a = p O h r y e a m r n s e d t s r e x e a b a n c r b r c t h o e R e a n n e s o n d w g l a W s a e d o N d C e d r u E O d r p c C e m e o e a a s p . R l t r o e T y n u r w O e s ' l r e c A a ( t s M e o n m 6 f n a e 0 e a a r , 6 a k n t r r e a a n r t a n d e a C r d p e e l e i o a a O 6 n r l t t 0 s t l n s e e o 7 s r c c ) e m : & h o d I s a u n c y a n C i s n e t n o t e u r a m a e r r l p g m e a e n s n c e t e d h r s c c c a e u e u l t i o r m v m o i e e t n i p s n d e e i o u s s n f n e n r i c s s n o a e a m f I r s n o n y . n r a i l T a o r o l O o e r r r k a t d d A a r e e e n t l r r e m a d C l r e b t e e a r o w n m e t p t n i a e e t e e o n r l
Online Cash Services Summary: Grad t arid debt iransxten torah for Me venom slalomant Mega and Options Account Agreements: Prong/ aceisoll) Amentrade n wnlnp ot ozocuson at armidarratradocont Mennen copy is avaratle upon rawest
reefing red06 tee summand. Indrntked ',Sneered are relined. any change n your investment meures or firareal stuarcin as they palan to your
'Due to rounding adustments. the usomeni decals may not awl to stammerstotals. w ma e rg t i h n e O e r x c e o c l u o ti r o is n r o e f t o u pO rn o n a s g h re a e n m sa e M nt e s n . s A i s s u m m i m na e b ry l e o . f cOmmiesions and charge, incurred ma u k s e o r u s r t K en e d y . O a n b s t e h n e t a n b e i r ll d y o t r o d e p r r s o s v e d e M o b e c l o l n t e r n a e ry C . td so e n s o a lo n c d t t b h r e o k h er e s. l m de a O le f rs s . a a b n r d e m a p r r k ic e e t
rEdiritiled Ann.« trireme and Estimated Annual Yield values are based upon the number a improvement cn market ornas. Pnce improvementel availableunder certain marker condlens.
shares owned or =rem value balance as el the stalemern dale ard the nest recent deaden! Clavent Mats Peas: le make:dad d scones hate ban Waned. if 'rabbet poet and fier regular), mentor executes to lost for such imam:anent d avant=
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GENERAL INFORMATION wader, men C. Of« indeendeed Mr*. te marry lAbjeCI to bang elected at
he Po= rnabli Ihe aduaixes ar your =no ran are ennend as general ebanalan at Taxes: Transactions in beige saunas (inducing bran Caripany nee that use if, the
10 Ornentrade does rot provide legal or lax adece Please canal your legal adesor or lax xo eland guarantee te aurae/ day scones area 11019.190 baclud postons se asked U.S.) mrt include taxes and fears charged by to faegn mark= or governmenis.erah may
enOurtarn when neCeatery. AS 9 Slanted indaby peace. Pena COOMMtben May be tang We rename Mince aid Pie Wart Meet Dite Addis nee el anions nary na be beetled in Me pree 011ie security or charged es an «dependent Ina item
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Null and the aced bee may be Oats Iran Me anhary ce:e Albelbiet IOU CI plorte Pinny Milky Nolinellon: A copy a the TO Amerind, inlay DOICY is donne al
For TD Amm-oado ntabeonal Penes. your advisor hem is separate from and na alined rah may melt ten the sale of a CD pax ea many Bach ante Red Were Securres bade VAWIllaeleflead0 SOT
TIT Amentrace. Inc. a TO Arratrado Closing Inc.. and each frm es rid responsble tar Inc Ofercelly thrà agcy scones and data trade malign =urge. Reno. they [ranee
PrOtels and senices ol the other. OTC bee de °Dunn market and teen lquery mayen a« la you blet your anal pia Cable Securtliesi The olombon of primal reeemplons a bale is clone tang e preen eery
b nuhrty. The se el tee per b =very may 'oeil n alas el aslant =rem. A doscnimen ol the proordsos for Stele saunas is Salableon to eroesdo of hang
Nancy of Reports:II you find any errors or omissions In yore account statement you copes are matte taon focpell.
Mould Immediately call us et the =nisei listed on page one a your statement. You Non Standard Assets (MAI am reedy imizencrts al Mat p.vicpasa program scourges
Mould also contact our Clearing rem TD Amnon* Clearing, Inc. el 800469-311rm. eatnestms limed fealty cempana. a fed au» nesters trusts,. comedy pods. prude in Case ol enory Or Canter. *Out yam EleCtrOne Fund Tender. Mean CO raft a
eery. pried, debt a ledge kedi. tisse se byte ibud ire/same= ad do na lode an e 1.260 Sagged. or n ern= to P.O. Box 2209 Omaha. NE 68103. or by email al
Please renew ems seterem carenly. II you *sago» mill any transacts.« or d Mae are any nand sauna =tango agio ticadaq and Meta. rev-dues Men la min rritsimals dientterVi:fledaMefeadfaCOM The ieseivœitOn contained rogue tenon statement shall
aids or omissions. eel, notify s Oient Services repiesentelhe a yens keel Wench once. es are «heed Lens need Ian Yeah enteedk cadre. bd not nee la =none« be bruin upon you it you do not agvcl arthn sixty tro)days for any trandor of lords step*
wet as 10 Amacrado Cleareg. Inc. in wmrg twin ton (10) days of you reaps ot this apemen . te pen= rot awe. anacr dry party tarda afters hat hero ben preen by to Antiphon E. such as ATM and porn ane banters, debit transactions. drat del:cads.
shelenent Any ored statements Mal you nee nee to us should be COrdned in wring The to =agorae& «inseam. aller gene dash ponaT era/ a tid poly yen:legatee and eflhdarinals We mum hear from you ro later Man 60 Was net we sent yOu me PEST
semen' will «ernes beconsidered conclestry independent tomate by ID Arneetrede Vane ms/ viol tenet Pro nand grease PICS. statement on whenthe error or problem appeared,
amid market .due a be eon= Len twins:meal calmain value care be estatttled (I) Tell us sar time and account career
Please nary vs promptly ol any changes in yob anted information. %reactions ndeled on trough lbw nvAhode. the «valet mes be related as NonPdeed (NP) For Wane deal (2) Insane the error a the tenser you ate unsure about. and «plan as deafly as you can
your report «I be connate* doomed accurateunless you rely TO Annuadeirreeduary. =and Lateen la hen.nretard nears. pea° cote Clan Schees mesa ni stems why you below n is an era or why you need ace inlormahon.
arena tiered undo Me RFC (3) Ted us the done anent of He suspected error.
Account Protection: Deposits bald by TD Bank. N.A. arid TD Bark USA. N.A. are mound by We et tansies* your complant and ail cared any error promptly. el we lake mom Man ID
Me FDIC eel tared by SIPC) up 10 5250.000. Limits are per amount ornderth0 per /WW1 Rao Socurtra Mari Prong: The ma= trate la OAS sauna:Ghee been moaned. business drys to de ihis. sewll erode yew recant forfort, amass yOu think is in error. 50 that
Unbidden. TO learn nee Seel FDIC coverage go to ewe Negev. Sautes. need® it angle. horn agent Senn a Wei repecieft edam The =ray Oft Dien is not you «I have de use of the money dung the imitates in to corneae our invesrmatean.
mutual bet held in nor Brokerage Account are eel depose Or 001gallonit 01. Or %wankel Ha make, yea e net melee. TD Arriertradedal emoteOAS paten. tang lob
guaranteed by. any bank. are not FOIC.inared. and maria investment nets. indudng coroderen bee te boldly ad underling cede quay. The SAS naja e currenly
possin loss ol princpal. TD Amendade is a member ol the Secunlies Invesla Ronchon ennead clad a Natty and. tea result Mae an be no name the, burnBeryl:et an
Corporation (51PC). which protects scenes =tomtits of ils members up lo 5500.030 be sob urea one mad ccrecre. AUTO 150 07na
(incbdig $250.000 Ion alai= tor cash). Explanatory brochure is available on request al
REGULATORY DISCLOSURES
wwesie.org.
Addlignatly. TO Amends armies each Clad 31415 trillion eon 01 DrOleCtlon for MI transabons are abed te Id me corer:noon. «es. regulations. customs and usages
SeCurttleS and 32 mitten 01 prinelOn for Cash tleitugh SupOlenernal coverage ended by a pre exchange or market and its dearennouse. it any. on +rich such lainatelens are
London Inures e E x x e cuted: (Ii) federal lees. ind T ucing me Secumes Act or 1933 and Mo Saunes SDNY_GM_00011899
oun . in Cli&A and ot hnee
• erra n O0
EFTA 00122550
EFTA01268029

Statement Reporting Period:
1D Ameritrade
09/01/16 - 09/30/16
Statement for Account # 867-730320
800-669-3900
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 84
PO 8OX 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TO Ameritrade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $ • $ $ -
Insrd Dep Acct (IDA) 51.590.79 51,59037 0.42 0.01%
Money Market
Short Balance
Stocks 0.01 0.01
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51.590.80 551.590.38 50.42 $ 0.00 0.0% 100.0%
Cash Activi Summa Income & Ex • ense Summa Performance Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance $ 0.00 Income Cost Basis As Of - 09;30;16" 90.22
Securities Purchased Dividends $ - $ • Unrealized Gains
Securities Sold Interest Unrealized Losses (0.21)
Funds Deposited Other Funds Deposited/(Disbursed)YM
Funds Disbursed Expense Income/(Expense)n°
Income Interest Securities Received/(Delivered)"' 0.00
Expense Fees "To view realized gains and losses for your account, login et
wwwidemeritrade.com and visit My Account Clain/Loss.
Other Other
Closing Balance $0.00 $0.00 Net $0.00 $0.00 $0.00
SDNY_GM_00011900
CONFIDENTIAL
page 1 of 2
EFTA 00122551
EFTA01268030

Statement for Account # 867-730320
09/01/16 - 09/30/16
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.42 $ 3.87
'This section displays current and year to date taxation values for the account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These °affections
can include changes made to previous payments and removal of payments reportable in a precious tax year (spillover divdends). The year to date totals will accuratehr reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost GalydLoss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.0089 $ 0.01 08/05/14 $ 0.22 $ 0.22 $ (0.21) $
INC
COM
Total Stocks 50.01 $0.22 $(0.21) $0.00 0.0%
Total Margin Account 50.01 $0.22 $(0.21) $0.00 0.0%
Insured Deposit Account interest Credited
Begin Number Interest Interest RETD /HD
Date Balance of Days Rate Accrued Accrued PAID
09/01/16 $ 51,590.37 33 3 0100 $ 0.42 $ 0.42 $ 0.42
Total Interest Income $0A2
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,590.37
09/30/16 09/30/16 Received Interest: Insured $ 0.42 51,590.79
Deposit Account Bank NA
Closing Balance $51,590.79
TD Bank NA $51,590.79
FDIC Insured Depose Acccun (IDA) balances reflected in your brokerage account are FDIC-insured up to amicable omits and held by TO Bank. N.A.. Of TD Bank USA. NA. or both. The IDA balances are not coveted by the
Securities Investor Protection Corporation (SIP C) protection applicable to your brokerage account.
CONFIDENTIAL SDNY_GM_00011901
page 2 of 2
EFTA_00122552
EFTA01268031

ID Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE B-3
ST THOMAS, VI 00802-1348
SDNY_GM_0001 1902
CONFIDENTIAL
EFTA_00 122553
EFTA01268032

Terms and Conditions
STATEMENT GUIDE
nr.zerado pretdes morally Portfolio Reports lor accoums Mm acvaty and quarterly reports 1. the event ea brokerage insolancy. a dent may Wain,( Wants due tram the Moe» F an ono brochure that nabobs informabon desating FINRA's Pisli Chsclasuro
'a mud accounts soh assets.. in bankruntcY and Ilan SIPC, Seallemental covomgo es pad out oiler the trustee and Program. please Contact FINRA at 800289'9999 Of waselirmag.
Portfolio Summary: Track) the Current Nitre a your 000010 as 01 the »pat dale and SIPC payouts and unclar such coverage each dent is limited to a antrod return at
compares ry a> me prior month? The MIMI 010:alen MONS your partake divagealion by 5152 mitiOn horn a algae. SIPC and London insurers The TO entedlrade supplemental lbo interest rato shoal. for TO Ameasade Cash o laken from the applcabe morose rate eer tor
investment type coverage has an aggregate km of 550) muon ova all customers. This potty provides the Markel Value balance n me TO amertrede Cad,. as 01m e illabloment °bang date Simple
Coverage loliCraing brauvage insohendy are does nO1 poled against lass in mama valle erected is accrued dally based on the interest ea ea applicable to oada days balance.
M.Mple dbcatens undo 5% sue be grouse.] into the category eI nemer in Me pie chart. Margin et me seminars.
Emory - Toted Account EgutlyrtTotal Lena Maginable Value • Total Short Value) Financial Statement Notification: The mamma« ol Mancol sandmen lor TO limentrade
An investment h a money mad* turd is not insured Or guaranteed by the Federal ~bible torte a year and may be obtened al no cost. via the inland al
Activity Summary: The opening and dosing cash balances are reconcree here lor year quick Depose Insurance Corporabon (FDIC' or any oma enfant« agency. Although the Mariz,\weretclamentradocorstinancuistatamentatml.
remreet). Al account acinity es summansed lor the current period and yea to date_ kinds Beek 10 mum° the val.« yOur invesbment al 5 00 pe Mere. it b Nubble
income a Expense Summary inemIRAs only): This secton dolrob the income and manse lose more, by invasion in a money marker bid. Ohneeds are declared dab and Option Assignment: AP short amity moon panons and some index wean captions are
tOtaH from the AttisMy Summary and Clanitla the lax irealMent. pactramested monthly. The prospectus °mans this rd other important rtormaton nub» tor assgnment Exacee annulment naces 1.0r Oa" or index options are fendOnay
Rebnement Account Summary (IRAs only): Review Ma IRS rog natod transaceons for iho Read the prospectus Clakil)r Wore antding. Nendepail investments herd by your alocaled among allclads shoos posoons by an automated protease.
curare ard sea years IRS EOM) 6198 lair mankrt value is based On the current value as of broker dealer WC NOT FDIC INISURED f NOT BANK GUARANTEED? MAY LOSE VALUE.
December 31 01 the previous )oar an] wt be furnished to go Internal Revenue Sauce. Free Great Balances (Rule 15c34 4 3): Under me dent protection has, we may use tree
• P edan b na r n y c o e u r S M um um ma a r r y e :M str o n n o it r o e r s y t o ra u t r e a g n y n . ual podia» perlamance end the unrealized gains and c T a h n e b b e al a liq n u c i e d a ii t e y d o o u n r b y a o n u k r o d r e d p e o r, s i a t n s d e c th a e n p t ro O c r e s e h d a s re r s e t o u f r n y e a d w l o m y o e n n e , y s m ec a u k ri e tie l s M a a c u co d u n fu t n o d r b on e d de il m ba a l n a d n . c es n your Meant in Ine Ordinary Corse ol our boonwo wah are payable to yOu
Account Postbons: New your rnestrnonts a to current market vabo and corrparo the emend ambled 10 you
cal to see i.neetioed gains and lases ri your WINO Original cost is (manned using 1110 Margin Aecounts (Regulation T): H you have a margin af [PAIL Oa report a a combnaten ol
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Accuacy of Reports: it you find any errors or omissions In your account summate you cope. are available tango:pall.
should immediately call us al the number listed on page One of your stelownent You Non Standard Areas 0GAI are typos» warrants in drat pawpaw program 'court:as
should also contact our Gloating Fern, TD Amethrade Glowing, Inc. el 800469-91100. gatexistess. knead tablity cempana. er teal estate meaner. Ina car:moiety web, pogo in Case 01 das Oe epestona about your ElettOniC Fund Tandem please CO lad 8 al
duty. Ora» debt or hedge itch. NSA6 ere hpedb houd ~1~3 ad do na lode en a 1.903 669.3900, or in twang to P.O. Box 2209. Omaha, NE 68103. or by email al
Please renew tile sideman, cattily. It you ctsagreo sob any transacton or el Mae ate any nama saunas catmint.« Me Marna Stoa Wad The 'dues Moen Ier mad manaas dierefotavialrokaldaMentolde COm The ~fleece cOntaned in your *awn statement shall
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wel as 10 Amairade Cleanse. Inc. in wmrg norm ton (10) days of yea recept of this appracals the Pag'a'ns nee amt, anew tred pastybonder diers tut hee boe waded by to Regdabon E, such as ATM and point ot sale :rarely., deb: transachons, direct deposes.
statement. Any oral statements that you here made to us shard be COMMod in whin The te mama) ei, acherarater, and«r p:r°d each awn a by a thrdpaty vat« stout and wilhOirealto We must har from you no late. than 60 arm age, we sera yeti Me MST
statement sill ahemt o be considered concbake. independent weicattn by TO ~a. Values mar not Meet the crignal ~ate pica, statement on which the error or problem appealed.
reut maan 'due a be roam] 'an Soudasen an onnutad value card be ~tad (I) Tell us YOU' rente and account ranger
Please nary uti promptly 01 any changes in yes canted information. Transactions Maeda* On trough teSe methods. the ultrafen ma be reflected as NOr•Poted Chin Fa addlizad deral (2) Dosed>, the error or aa :rand« you are unsure about. and explain as dearer as you can
vas report wil be concbsemly doomed acwato unless you web TO Amen:fade ernmodatay. ~en ~aeon Ice NenStardanel lads. plowe coma Cant Sans. Mere ~dram why you bolero it is an error or why you need owe inlormabon.
are na come] under the SPC.. (3) Tell us the dollar amount of the striPededenor
Account Prolettbn: Deposes bald by MBank. NA ard TD Bank USA. N.A. aro insured by Wo n‘li nestpee your complant and wit camel arty error promptly. II we lake more than ID
i t n h i e a t F a D ir I a C l. k T n O ot le C a o r v n e r m ed a r b e y a S b I o P u C t ) F u D p IC 1 0 e n 52 r 5 a 0 g .0 e 0 0 g . o L t i o m it w s e r a e r e Id C pe g r O a v. c t S ou e n C t u l o lia r l m s. e i r n t d il i l g ) e p n e e r H A m ud a e la n ld R e a . K o o S rn c c u h rr ia ie td s e (M n ~ O k D m P ro o n r W g: i T e h r e n m eo ot a e d t w a a t ~ s e la s OA T S h s e c ec o a n r e ay s a ~ l m b e e e e ki n n t g a i5 a n n e . t N yo a u r w a it 's h a d v a e y s a a to u d s O e T a h l is t . h w e e f l w e i e t c c y r d e o d n i n y e ou m r o a t t t m e o n d t t b ak r e t s h e u s a m to o co u r r n y : O M u a th o in u k r i i n s v in es e t r i r g o a r t . e w d e~
mutual funds, held in your ardierage ACCOunt are not deposits Or obligations of. or aflame]. Ha makei ~ea na matte. TD stralende all prom ate OAS parten.niag rib
guaranteed by. any bank. aro not FOltinared. and invoke envestmont rides, includng ~Metter bet to Muddy ad underteme crock gusty. The ARS market is currordy
casaba loss el princpal. TD Noordode is a member ol the Saunas Investor Praotten agandrigelICkdbally end. Ca me them an be no manna mal such worries an
Corporation (SIPC'). which pretons secunlies °stomas of its members up lo 5500.000 to sela order one mate codeas, AUTO Ia0T.14
(incazdine $250.000 ha dada fez cash). Explanatory brochure is available on request Si
REGULATORY DISCLOSURES
wewsipeorg.
Addltionaily. TO AnierilfaCie provides eta dent 5149.5 milion worth 01 protection for MI :Tana:eons aro seboct to me consteubon. Nes. regulatens customs and usages
securities and 52 Milian 01 prettien for ash trough SupOlemental coverage provided by d the exchange or market, and its deangtrouSe. H any. on erich such tranSaChais are
Leman torture» a Ex m oral: pi) ledeal lam. enduing me Securities k f A ct 0 t 1 e 1 933 a a nd A t tr t i o o Saut a e n s d SDNY_GM_00011903
con . E o and the
• esa nl~ D O
EFTA 00122554
EFTA01268033

Statement Reporting Period:
1D Ameritrade
10/01/16 - 10/31/16
Statement for Account # 867-730320
800-669-3900
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE B-3
PO BOX 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TO Amer'trade Clearing. Inc.. Member SIPC
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $ - $ - $ -
Insrd Dep Acct (IDA) 51.591.23 51.590.79 0.44 0.01%
Money Market
Short Balance
Stocks 0.01 (0.01) (100.0)%
Short Stocks
Axed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51.591.23 S51.590.80 S0.43 $ 0.00 0.0°1O 100.0%
Cash Activi Summa Income & Ex r ense Summa Performance Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance $ 0.00 Income Cost Basis As Of - 10131;16" $0.22
Securities Purchased Dividends $ • Unrealized Gains
Securities Sold Interest Unrealized Losses (0.22)
Funds Deposited Other Funds Deposited/(Disbursed)`
Funds Disbursed Expense Income/(Expense)"°
Income Interest Securities Received/(Delivered)rm 0.00
Expense Fees "To view realized gains and losses for your account, login at
www.tdametitrade.com and visit My Account > Gain/Loss.
Other Other
Closing Balance $ 0.00 $0.00 Net $0.00 $0.00 $0.00
SDNY_GM_00011904
CONFIDENTIAL
page 1 of 2
EFTA 110122555
EFTA01268034

Statement for Account # 867-730320
10/01/16 - 10/31/16
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.44 $ 4.31
'This section displays current and year to date taxation values for the account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a promos tax year (spillover divulercks). The year to date totals will accuratehr reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost GalniLoss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.004 $ NA 08/05/14 $ 0.22 $ 0.22 $ (0.22) $
INC
COM
Total Stocks 50.00 $0.22 $(0.22) $0.00 0.0%
Total Margin Account 50.00 $0.22 $(0.22) $0.00 0.0%
Insured De . osit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
10/01/16 $ 51,590.79 31 3 0103 $ 0.44 $ 0.44 $ 0.44
Total Interest Income $0.44
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,590.79
10/31/16 10/31/16 Received Interest: Insured $ 0.44 51,591.23
Deposit Account Bank NA
Closing Balance $51,591.23
TD Bank NA $51,591.23
FDIC Insured Depose Acccun (IDA) balances reflected in your brokerage account are FDIC-insured up to amicable knits and held by TO Bank. N.A.. Of TD Bank USA. NA. or both. The IDA balances are not coveted by the
Securities Investor Protection Corporation (SIP C) protection applicable to your brokerage account.
SDNY_GM_0001 1905
CONFIDENTIAL
page 2 of 2
EFTA 00122556
EFTA01268035

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SD NY_GM_00011906
EFTA_00I 22557
EFTA01268036

Terms and Conditions
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Talkning drul nona and Earnaled anual Vrid valum aro badd ugn ro rumba( of shame
padda ~vol oral bane n od the slalom« date gal tre togl recent dua/ridria a end CONFIDENTIAL SDNY_GM_00011907
yadOrended.
EFTA_00122558
EFTA01268037

Statement Reporting Period:
1D Ameritrade
11/01/16 - 11/30/16
Statement for Account # 867-730320
800-669-3900
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
PO BOX 2209 ST THOMAS. VI 00802-1348
OMAHA, NE 68103-2209
TO Ameritrade Clearing. Inc.. Member SIPC
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $ -
Insrd Dep Acct (IDA) 51,591.65 51,591.23 0t2 0.01%
Money Market
Short Balance
Stocks 0.01 001
Short Stocks
Axed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51,591.66 $51.591.23 50.43 $ 0.00 0.0% 100.0%
Margin Equity 100.0%
Cash Activity Summa Income & Ex . ense Summa Performance Summa
Non
Current YTD Reportable Reportable YID
Opening Balance $0.00 Income Cost Basis As Of -11130116" $022
Securities Purchased Dividends Unrealized Gains
Securities Sold Interest Unrealized Losses (0.21)
Funds Deposited Other Funds Deposited/(Disbursed)''1D
Funds Disbursed Expense Income/(Expense)'
Income Interest Securities Received/(Delivered)"° 0.00
Expense Fees "To view realized gains and losses for your account, login at
www.idametitrade.com and visit My Account > Galn/Loss.
Other Other
Closing Balance $ 0.00 $0.00 Net $0.00 $0.00 $0.00
SDNY_GM_00011908
CONFIDENTIAL
page 1 of 2
EFTA_00122559
EFTA01268038

Statement for Account # 867-730320
11/01/16 - 11/30/16
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.42 $ 4.73
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date totals will accurately reflect your cumutative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost QalnlLoss) Income Yield
Stocks - Margin
LI H UA INTERNATIONAL LIWA 1 $ 0.0138 $0.01 08/05/14 $ 0.22 $ 0.22 $ (0.21) $
INC
COM
Total Stocks 60.01 $0.22 $(0.21) $0.00 0.0%
Total Margin Account 60.01 $0.22 $(0.21) $0.00 0.0%
Insured Deposit Account Interest Credited
Begin Number Interest Interest RETD MTh
Date Balance of Days Rate Accrued Accrued PAID
11/01/16 $ 51,591.23 33 3 0100 $ 0.42 $ 0.42 $ 0.42
Total Interest Income $0.42
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,591.23
11/30/16 11/30/16 Received Interest: Insured $ 0.42 51,591.65
Deposit Account Bank NA
Closing Balance $51,591.65
TD Bank NA $51,591.65
FDIC Insured Depose Acccuu (IDA) balances reflected in your brokerage account are FDIC-insured up to amicable knits and held by TO Bank. N.A.. Of TD Bank USA. NA. or both. The IDA balances are not coveted by the
Securities Investor Protection Corporation (SIP C) protection applicable to your brokerage account.
CONFIDENTIAL SDNY_GM_00011909
page 2 of 2
EFTA_00122560
EFTA01268039

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SDNY_GM_00011910
EFTA 00122561
EFTA01268040

Terms and Conditions
STATEMENT GUIDE
IL ice...ado provides mantra Peddle Amara lor accoums erm activity and quarterly moons the Mtn Ola brokerage insarency. a dent may Waive Wants due kom the trustee F an ono brochure that maxim mtormabon Oosolang FINRAD PWIc Cmcbsuro
lur med.,* 3CCOUNS Mil assets! in ~PRY and the SIPC. SiaSental coverage a pad out anla no trustee and Program. please Contact FINRA at 830-289.9KM or www.linmag.
Portfolio Summary: Track8 le current value d your POM14:40 as 01 the ~at 081.) and MPG payouts and unlw such coverage each cleft is limited to a cceibnad return cl
compares it to the plur manlh.8 The steel 81~1.0n irdO81.34 your partial. divarifeation by 5152 milli:on torn a trustee. SIPC end London insurers The TO Aniedtrade evoptemenial The interest rato scan ter TO Amertrade Cash e taken from the applcage interest rate ear lor
invesimem type coverage has an aggregate lirm al 5500 ~ion over all custawors. This potty provides the Mader Value balance n the TO eMene8O0Cailh. as 01~ Bialemed closing date Simple
Overage loth:mina brOkaege inso~cy ant does nO1 ~MCI against kiss in maket vat. rrecresi Is accrued dall/ based on the in:emuram ea applcablo to oach days balance.
M.Mple subtatar. undo 5% me be grouped into ~calegory of -Odor in the pie chart. Margin cr are seermas.
Eddy - Total Account ErmialTwal Long latrainable Value • TOMI She Value) Financed Statement Notircation: The sidemen of Mandal ~dean lor TO Montracke
An investment n a money mend tuna is not insured Or tuenweeal by the Federal ~table lace a year end may be deterred at no Coal. via the internee al
Activity Summary: The opening and dosing cash balances alt reooncled hue ler yea quick Depose Insurance Corporabon 'FDIC, a any ~a gwontrica money Mhough the Ma.,Nwratareentrade.combinandalstatementlara.
reteraica Ai account amity is stampeded lor be currant pared and yea to data_ kinds Beek 10 ~serve the vat. a new renhilment al 51 00 per Mare. 4 it daub» 10
Income a Expense Summary MonaliAs only): This section doom tno income and masons. lOse money by invested in a money market kind. Waled) we <Scared daly and Option Assignmene: Mi don awry option panes and some index option popbens are
totalt from the ~UV Summary and aims ain the lax irealment pactterniestod monthly. Ttio prcapeas <onions Ilis ard pØ important Øen amiable tor assignment Eamon assignment netani br ~Ty w index options are randomly
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one ard pro yews IRS Fenn 5498 lair made value is based on the anent value a* of boker dealer arc NOT FDIC NSURED !NOT DANK GUARIVITEEDi MAY LOSE VALUE.
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a Ø a O d T s o r d n a s . t l a i d i n n s I e . g l t e d a * c C a P s a o n o e s a o h n l t e n d r b a t i S a n m m l e g a a r n o v S c c o i t e c e n io . e t i n n t s l g s e T m m ~ ra e e t n o n b s t o e a C r c e o r ti a c n o f l m n i u r m d D e n d e y g t n o a u i c m l: h c e C a r a A t e s s c w . h c d o e m o u d b a n n t t r A O a c rn c a d a e v m m s n e k a w n n s t i d t h a D b A a a o h T s a n M e a n l c a l e l d e m x o m t m o m e k o r M . t n W a d th l a O . C l e t l r e u t a i e l r l e e d d r i n m & r o d i n n a t t g h e ~ a C o ~ o n r l a e p s t r t t e i t l n D e y y a c s a l d M h n b : d e I y C r e s a o C a r s a e O t m S l I a a d a s m I i M l i a s 0 a D , t 1 e x C t d a d n r F r o m E a t T o O e r D t r k R a A m M n 1 d r E 1 u n ) D o l X e e c m n r I a e D e t n a a r d t r m n k d a a c r a e r l d t e o a r o l p i i a s r c o c e s M l p e a a n la d n r . g n n C a i a t O n = r d I e N ~ a p C M t n O r o e e b m n b C i 1 e r l % P a « A e a t I n W i r e e t e a M r r e s s t i e s , n b d a d li o t l y a e n d o t r o s P f s o e e h x a r c l a a e e y r r i m n c u e g t a i n e e c t n s d n a ir g t s m c h l o o o s a m p u r r n k a c p O e h y y a t m a r s ~ d W s . e e a h b n r b r t a a o . o F k n h d r lo e e r w t a W o s d d r o ( c e C S d r t O u E d i p a e m C e o n p a s a . R O l t e T r n u e ~ r O e s l e r n i e A ( t s M a O m m 6 a r t a 0 a t y r e 6 e k i r l e r a a .. r m l . n e d C d p d o a e o i a 6 a n r l M t 0 s t s l e o 7 s a r d ) m s : h c i ' I : ) o a n d I u y C o d s n n w t o t e r e n m e r o a p e e a v l e n S c n e th d r e s c c e C a u o t l u o m m i v o r e e i p n s li n d e e t i a u s s n n e s e f i r c s a n m e e t e m e l t s e h : r . i y r M e n T r o a o t O e o r r r l d d k a r A e e e n x r e r r l n d C d 1 a m e t r a ~ o n tr a s a p t o h i d e e r d e s a o r
Orane Cash Services Summary: Credit ard delul transaction totals lor dd arrom statement Margin and Options Account Agreements: Prompt/ aniso 10 Amentrade n wring of woximon x ynnv.idarruitrado_com. A %satin cants avalalde tow ramost
rePOnng Mined tee summarized. IMMOMI transactions we nottiseed arry change in your investment cloccuros or martial striation as they wain to your
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t$1041100 Anrval Income and Estimated Annual Yield values Ber based upon the number 01 IrnpfeVealent cal markot orders. Paco improvement,: armadato-der torten market condoms.
shares owned or arrant value balance, az of toe stalemom dale ard the most (*ow <linden! Cunene Mats Prices: Te niaust use el sones ram been Waned d mobblc Ø and wo regular>, monitor executed. to lost lot such Improcoment a avalable.
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GENERAL INFORMATION ~Wm «NO> 6 0~ independent ~OD tie saurty is ailed 10 bang ~al ari
einPrcoi CIA) The olumerts en your macho moan tre proofed as genonlinktmaton ad Tax»: Transactions in biegn sedurilieS (inChdne foreign comnara AC" MN bade n me
ID Msentrade does not provide legal or lax advare. Please consult yaw legal advear or lax me ohm guarantee me seamy et ry scones per healemo baked pasta's an tial U.S,) may include taxes and lees~ by to foreign Made», o governments. each may
ta0unlenl vinen rieOlEery. A8 8 Blenderd inøalry MaaCe. Plane COrmeMatins May 00 ~g tFe ~axing ~rice ad de anent make, ate Patio meal seddrOM8 irra' nen be redacted in the price al ire tawny Or changed as an :dependent sne item
records br dually ednine and TransattiOn veilatin purpose. rtaccet sales prococch, The socoday meat tx Con/cads ct Deposes als) a ginaaly
loud and the sivd ~a may be Otterat from me p~ale ate ~SION. a ~Cad ~my Porky NollIkellon: A copy of the TD ~abed Ithear MACY is ~Peet at
For IDAmmo-ado ~moral dens. your advisor hirn is separate from and not attliated sub may ~A ton the cab al a CD pir ea rainy Brice adbr Rod ~am Saunas bade waviMamonyado.corn
TD Mornracb. Inc. a TO Arwerado Clearing Inc.. and oath Om is roof rosponsblo Ia the deaconry Mae Buy pØ and chino ~a en a load adwge. Rama they trade n le
prOCIAls end SeniCeS aline orher. OTC gee the count«, ~dad Ram«l quoity nyral wet la ice lerts. >ow canoe ma Cab.* SetallISS: The stocabon ol pond rettemploner cab le done rang a press lettny
natty. The sib WO:~m a to Meter nll/f0e.ilnalCeSclpenClbe. sesom. A ~crown el to proombros for Sitte sauntla Is nalabb on to ~Vie a hate
Accwecyol Reports:II you find any errors or omissions In your account statement you copies are avaliell ØI 1.
Should Immediately cell us at the nimei listed on page one Of your stammani. You Non Sla dad Amen CMA1 am typealy innarwris ra ere pattegaman ~gram sururoa
Mould also contact our Clearing rem, TD Amentrade Clewing, Inc. el 800-689-31100. ~ams leniodlablItyccmpancc. cr rod Male ~ram mash comedy pools. prime In Case 01 anon, a ~Mons soul you E1K*OniC Fund Tranafere, pi/MS0 CO lad S at
aqua, midle debt a lodge inch NSAa se bottler Mode kneamena ad do not trade en a 1.2t066.9.390), ot n *rang to P.O. Box 2209. Omaha. NE 68103. or by email at
Please fcaseivenc ma:mom cattily. Ir you Osage", sub transacton. or il Mae ale any noon.. =curio: ~Iona, a toNcadaq Stock Malt, the Mum ~an tertmaernosimass dieMtervi:~105M0616.0e.COm The insamkelOn contained n your («ant statement shall
area a aviSUOM. please nobly a Client Services rewesentalke vow 'Oral Wadi Cape. as are ~hied erm ela loved torn orkke ~nas nckdro, but na kured la Independent be landng upon you it you de not otutel we've sock aidays for any !candor of lords ~pot
woll as 10 ~arcade Clean-g. Inc. in wmrg enmo ton (10) days ol you rurap cl this apexm- ats alp prog~. nem asset. and« tid party ~der Mors tot ham bØ provded by to lece.labon E, such as ATM and point bole trarolas, done transactions. dual departs.
statement. Any wet stEements that you hare made to vi 1~0 be cornmied in mane The Vet maragorrart. a~ raw. anda spaocc d oach awn a' by a [Minty vender snout and willairealt. We must hear from you ro later Man 60 ,day, ,her we sent you the FEST
statement Mil Othenvae beconsidered condashe. independent nettallen ID ~a. Values may no Mk« the Mond ~lase pica. «moment on whin the error or problem appeared.
Ø ~Ma Moe a be malmri Mae" Madman i an caintamd value canna be etellathee (I) Tell us ydr rome and account ranter
Please ~ay vs promptly 01 any changes in you canted information. Dan/Mallard reaecled on OV0I19110~rivilb003. me olutilal mar be repeated as NOnarted (dIP) Foe adcRiend decal (2) Doscrlso the ener el the tensor you are unsure abOUI. and oxplan as dearly as you can
your report mil be conchal.* dimmed accurate unless you rook TO Aniaeradomercichouree naprong ~man la N:o.Stamtarel Aare, ~me aroma Chas Schwa These rnastracts why you berme n Is an error or why you need mac inlormabon.
arena woad uØ Ito SIPC, (3) Ten us the Odle efenJel of the ~Palederror.
Account Protection: Deposes Meld by TOBank. NA and TD Dark USA. NA. aro ~wad by Wo sail invosig.to your complain and oft carat any error promptly. el we lake more than ID
Me FDIC (401 Covered by SIPC) up le $250.000. Limns are per ~WM minerthe) per Amen Rao Sacuraa (Sari Prong: The makolva~ la OAS saurms ham been otlaned. business cins to do this. sewn wall your account for he amount you INnk is in error. so that
~MAW. TO learn mote about FDIC COMM°. go to —1fl040v. SeCalleS. indudne d ~dates Kam aratriaieenkee0.0~1i deperdent 80~. The ~ay 01 the pking is nol you wit have the uso ot the money dunng tho Imo s takes us to carpet* ourinvestgaton.
mutual runts, held in your Brokerage ACCOunt are 401 deposits Or oblgations al. or 9allankta Harman, ~a notMated. TD Arrataao SI ~ode ORS ~son. talad na
guaranteed by. any bank. are not FOIC.insend. and invoke invostinent nets. indudng ~Wet boll to quay ad undoSeng °Mt quay. The ARS ~MI a ~only
possiolo loss ol princpal. TO Amentrado is a member ol the Securities Invests Protocnon ~hod% a itia 011~Ity and. an result ~a ante no assverce dal such WeUrleS ari
Corporation (SIPC'). which prance's second,: customers or ils members up lo 5500.030 be WM unix one mat.~ Is. MR01500744
(incadine 5250.000 la dam= for cash). Explanatory brochure is available on request at
REGULATORY DISCLOSURES
waid.3~.01.
Additionally. TO Armenia* preredes ead) Clan 5149.5 ninon worth 01 Difilation for MI itansaceons aro raneci to p) ma consmubon. Net regulator's customs and usages
SeCuritieS and 52 muOn 01 MOOMIOn for Cash Ihreugh BupOlemenlal coverage provided by Of the exchange or ~MI. and ila deatronouse. il any. on ~oh such tranatantra are
Landon inewel8 o E x x ecutal no ~eat 4 lass. ° in e d n u Ing &Na a n d a 's A en c t al 193 o 3 r f a o n n d i l the Sturtes SDNY_GM_00011911
and ort
EFTA_00122562
EFTA01268041

Statement Reporting Period:
1D Ameritrade
12/01/16 - 12/31/16
800-669.3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TD AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTFIS STE 13-3
PO SOX 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TO Ameritrade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $ • $ $ -
Insrd Dep Acct (IDA) 51.592.09 51,591.65 044 0.01%
Money Market
Short Balance
Stocks 0.01 0.01
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51,592.10 551.591.66 50.44 $ 0.00 0.0% 100.0%
Margin Equity 100.0%
Cash Activity Summa Income & Ex . ense Summa Performance Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance $0.00 Income Cost Basis As Of -12131116" $0.22
Securities Purchased Dividends $ • Unrealized Gains
Securities Sold Interest Unrealized Losses (0.21)
Funds Deposited Other Funds Deposited/(Disbursed)'
Funds Disbursed Expense Income/(Expense)n°
Income Interest Securities Received/(Delivered)"° 0.00
Expense Fees •rro view realized gains and losses for your account, login at
www.idametitrade.com and visit My Account > Gain/Loss.
Other Other
Closing Balance $ 0.00 $0.00 Net $0.00 $0.00 $0.00
SDNY_GM_00011912
CONFIDENTIAL
page 1 of 3
EFTA_00122563
EFTA01268042

Statement for Account # 867-730320
12/01/16 - 12/31/16
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.44 $ 5.17
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable In a previous tax year (spillover dividends). The year to date totals will accurately reflect your cumulative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.0071 $ 0.01 08/05/14 $ 0.22 $ 0.22 $ (0.21) $
INC
COM
Total Stocks 50.01 $0.22 $(0.21) $0.00 0.0%
Total Margin Account 50.01 $0.22 $(0.21) $0.00 0.0%
Insured Deposit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
12/01/16 $ 51,591.65 31 3 0100 $ 0.44 $ 0.44 $ 0.44
Total Interest Income $0.44
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,591.65
12(30/16 12/30/16 Received Interest: Insured $ 0.44 51,592.09
Deposit Account Bank NA
Closing Balance $51,592.09
TD Bank NA $51,592.09
FDIC Insured Deposit Accent (IDA) balances reflected In your brokerage account are FDIC-insured up to appbcable knits and held by TD Bank. N.A.. or TD Sank USA. NA.. or both. The IDA balances are not covered by the
Secunues Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
CONFIDENTIAL SDNY_GM_00011913
page 2 o13
EFTA_OO122564
EFTA01268043

Statement for Account # 867-730320
12/01/16 - 12/31/16
Important Information
ANNUAL MARGIN DISCLOSURE
Securities purchased on margin are the firm's collateral for the loan to you. If the securities in your account decline in value, so does the value of the collateral supporting your loan. As a
result. the firm can take action, such as issuing a margin call and/or selling securities or other assets in any of your accounts held with TD Ameritrade, in order to maintain the required
equity in the account.
It is important that you fully understand the risks involved in trading securities on margin. These risks include the following: You can lose more funds than you deposit in the margin
account. The firm can force the sale of securities or other assets in your account(s). The firm can sell your securities or other assets without contacting you. You are not entitled to
choose which securities or other assets in your account(s) are liquidated or sold to meet a margin call. The firm can increase its "house" maintenance requirements at any time and is
not required to provide you advance written notice. You are not entitled to an extension of time on a margin call.
STATEMENT OF FINANCIAL CONDITION
The most recent statement of financial condition for TD Ameritrade Clearing. Inc. may be obtained at no cost, via the Internet at http://wmv.tdameritrade.com/financialstatement.html or
by contacting TD Ameritrade Clearing. Inc. at 1-800-669-3900. As of September 30, 2016, TD Ameritrade Clearing, Inc. had net capital and a net capital requirement of $1.7 billion and
$0.3 billion, respectively. A copy of the report and comments is currently available for customers' inspection at the principal office of the Securities and Exchange Commission in
Washington DC and the Denver, CO office of the Commission.
UPDATE TO CLIENT AGREEMENT
An update was recently made to the Client Agreement that governs your account. The following provision regarding beneficiary designations was added, and may require you to take
action regarding your current beneficiary designations:
h. Beneficiary Designation. Changes in the relationship between the account owner and designated beneficiary (e.g., marriage, divorce or adoption) will not add or revoke
beneficiary designations. For example, if an account owner designated their spouse as beneficiary and they were subsequently divorced, the former spouse will remain
beneficiary on the Account unless the account owner submits a new beneficiary designation to you.
Your continued use of your account constitutes your consent to this update. A current version of the Client Agreement can be obtained on the website or by calling the phone number
listed on page 1 of this statement.
SDNY_GM_00011914
CONFIDENTIAL
page 3 of 3
EFTA 00122565
EFTA01268044

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SDNY_GM_00011915
EFTA_00122566
EFTA01268045

Terms and Conditions
STATEMENT GUIDE
IL !co wade provides morally Portfolio Moors lor accoums van annoy and quarterly rooms I> be von Ola brokerage insotrefity. a Client may Marne Motvis due kan the trustee F an osso brochure Mat incbelps intormabon desabng FINRA's Putlic Osamu],
tv mac:ye accounts vath assets.' In baribuldcY and mon SIPC. Sidolemental comer ei pad out aim tho trustee and Program. please Contact FINRAM 8352839939 Or wwwlinmag.
Portfolio Summary: Treed me current value 01 your D0111010 as 01 the regal dale and WC payouts and Lake such coverage each clone is limited to a ostibnoci urban of
compares n to pie prior ~Ma The allsel lineation irdC81.34 your pOrd010 diveninCalion by 3152 miliOn horn a Mat SIPC end London insurers The TO Antedliade ardplernental The inmost rato ~An tor TO Ameretade Cash a leken from the oppcape me/onraw ser lor
investment type coverage has an aggregate bret ol $500 motion over all custanors. The poky provides the Markel Value balance n Me TO AmeroedeCesh. as 01~ aelerteM casino Ode Simple
Coverage lolbainp brtervage insolvency and does ner poled against Ins in marten valle merest is mama dab based on the imerou raw ea applcablo to oath days balance.
M.Mple Moulton under 5% me be groused into ~category el "Ctrs" in the pee chart. Margin ce eve socunbas
Earn, - Told Amount EmihriTmed Ming larvginable Value • Taal Shan Value) Financed Statement NotircatIon: TM sidemen ol Mancol condom lor TO Ormond* es
An investment n a money mathat lund is not insured Or gararneed by be Federal ~table Woe a year and may be obtened al no Cost. via the internee al
Activity Summary: The opening and dosing cash balances are reconcrec here ler yew quick Depose Insurance Corporabon 'CPC, a any other georam agency. Although Me hno.rnwyrmetanontradecom,bnancialstammentlard.
rerreerice Ai account acunty is summonsed ler be currant paled and yea to dot*. Ands Beek 10 preserve the val. Ol your rertImeni al S100 per share. 4 b potable 10
Income a Expense Summary inomEtAs only): This seam detain too income ant omens. lose more, by inseam; n a money market kind. Dividends are declared dab and Option Assignment: Mi eon comb upon posnons and some index option positions are
Woe horn Mo Manny Summary and Cbsairies the lax liernment. poethursosted morally. The prospectus cordons Iles ard once imconart Mammon_ amiable br assignment Emma assignment Mani for equity or Men options are randomly
Retirement Account Summary (IRAs only): Review the IRS regnatod bansaceons for Mo Reed the trospeclue Meek% Wore ~fling. 1.0n-001Xeil investments herd by your Mooned among all ohms' shod posbons by an automated precedes.
rurett WC, pro yeas, IRS Fenn 5498 Mir Marble value is based On the current value as of boker dealer arc NOT FDIC INSURED/NOT BANK GUARANTEED/ MAY LOSE VALUE.
Docomser 31 or moo previous year arden to furnished to~ Internal Revenue Same. Free Credit Balances (Rule 16Øt & 3): Under me clam protection nice, we may use free
l P 0 e :0 do *: n ' n o a r n y c o e u S r e u n m u m re i r tr u y m :M m on o i n to t i s y t o ra u t r e a g n y n . ual portfolio penormance ard the unedited gains and c T a h n e t b o al a lq n u c i e c ia n lt y a o o u n r b y a o n u k r o 0 r 0 d 9 e 0 r, 9 a 1 n m d e lh a o n p t ro O c r e B e o ds r r n e t O u f r r y o e d w l e m y o a n m ey m m a at n te e l s n i a d c u co a u l n a t n o d r C on re d d e it m ba a l n a d n . c es n your MCOunt in the Ordinary Came el our amen which are payable 10 yOu
c A o c a c l o t u o n s t e P e o i s m iti v o e n a s l : q N d e g w a y in o s u r a m nd o s lo tr s n s o e n s t s n a yo m u ho r c w ur o re o n l t . ) m a O rk ri e g t i n v a a l tm co s a t r d is c c o o r s rp ig a n r e o d t h u e s e in n g g n b a e t remilleg 10 yOu Margin Macomb (Regulation T1: H you have a margin account. the report ei a combnafon el
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Ø a a O d T s m o r n a s . t l e i i d n n s r R e . e t g a , * o c t C P a s a a e n e s s o n h t h m d r b a i S a n n r l e s g a e a r n p v S c c o i t e o c r io t . e t i t n n s le g s T n e p r e a o l e l n m d b o : o a d C c r . e t o n l f O n l d e f n i u c r m t D d e n d w y g n o e u l c m l: h . e C e . . c a A W k s c . h c d e o m e u d b a n i n t t t r a A a c g c a d e v r e m d n s t e a y W n n s t d M e t c l A a a ti T n o s M n n e n i t a d t o l c e ia d m tm e m e b n M o . t m a a d r l a e . C t e l l i e s a a te l r t e e d d r i n m C a o d r n a in t t h g o ~ ~ a C s o p M Ø r s d i t n e a R y l d l a a o n c t l b : d y f C o a f o C o m s O r a t e t D 4 a m a a m I l m M y le a « : . g C x e t m a a d n E r e w O l • o T r i R D t t t i m S a A n T I o r d D E n l o e D o a n n t Ø m I a a D a n e o d b r d a r a a e d l * f a l r p C a c a s c e r l a p t e o ie t r a r t d e i i a g n C = a a O n r d I o N w o O C e t O a n a R e d n t F o e O s s c R l y q d A l o r T n E m F m D i e e t ' i e 9 e r r e d a s k e 1 S l m A d i a b o t e e a n n o o d r t r o s P f s o e e h x a r c l a a e e y a r m i m c e g n t e n e e c ts n d n a e g t s M n c h l o e s e O m u p r m a W c p O y h e y m S n r d e g e s . e n a n b a t r b r _ l s o o a R k n n _ r o e g w l r a e W s e d r a ( . e C S : d M O E r d p o o m C e o n c a p s . e R O l t e n T u n r a g O s e l r e r a c ( A t s M r e C m t 6 e 4 r a t 0 r a a a t r 6 l y t n t a r e a a r m a n l n d C n b o d o l e a o i a O 6 n n l l h 0 s s n t o e 7 o s d ) r c m : n s i o s I ) a n c u r y l C o o s n r w e s o t e m i a m n g a g p e n a v e n s c e n th e d r s c e e c a u m u m ti m v r o i o e t n p s i n e d t i o u s a s e n e ( r i m s n i q c a e u t l P s n e : it o . ~ y r M e T r o o l a O e o r r r l d d k a i A n e e e t m e r r l d C d o I r t r a a t o a n o l c r l , e a S p e d r e t o d o s o r
Online Cash Services Summ ary:Croft ard debt transaction totals lor tho arrom mammon ~gin and Options Account Agreements: Prompt/ adrito ID Amentrade n warp or oxecusen s enmadarravado_com. A mitten copy is avalatle IØ request.
retbring Paled eve sumnusiad. InelMebal benadvent are not listed. arty chango in your investment clomuros or annul shown as they pertain to your
uo to rounding adustments. ~ ~mein decals may not coast the summon totals. ~ wa M s i T n he I r e Ø xe o c r u a t a io C n C ol O ae u o n n l e s g b r a e n e s M a e c n e i o s n s A i s su a m m m ia e b ry le o . r Øme9onsand cheep, incurred m 11 a is k e o r u s r b p a a s l e s d y. O a n b s t e h n e t d W o h n y t o t r o d e p rs ro t u o d M , e b e c s o t n m tra e ry a . b t o o n s e a le n c d t b th r e o tu h r is s t . o & ry t a 0 1 g s s . e a en n d n e m a p r r k ic e e t
teninald Annul Income and Esernsted Annual Yield values å e band upon the number of improvementcal mana orders. Pnce improvement,s avanabloirder canon market condoms.
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rricen amen mo PS and slag rmt a other notice. P romria value is ~lade bon a Tied, COMIrmollerna (Rule 100-10):MI cornrmalions are earemined on me Iratstrton doe
GENERAL INFORMATION ardagon tern> 0~ independent sane. tie smutty is ailed 10 bang reteckel tie
Ma Prod OP) lbeiclusams cri your paticlo repel as preened as wool Mandan ad Tax»: Transadkns in foreign sedurila (Martin° foreign ~Wirt AC" ISM Ka in an
10 Msenlrade does not panda legal or lax adece. Please consul, your legal advalor or lax me de net guarantee to soma dag wane pct Madam backed postan re Mod U,S,) may include taxes and fees~ by to foreign mamas of governments. oath may
eaeounbent when ~Maly. AS 8 818neard infasdry prelaCe. panne COrnenlehtins may be vang me temaving borne ad Me Rawl make! pore Prebo rØ sebens nay nal be Nibbled in Me edam el the stonily Or charged man ncleeendert une ilen
recorded br Salty comic, and transact on viiitralMiMMOSte. nilom« mks precis:ch, The scoot.» nØ la Contras id Deposes (CDs) a manor*
loud and the actual M&e may be clIterat eon me ovalartate MOTSlob d PVICMI ~fly Porky Nollgaillon: A cony d,he TD Amabel» OWE/ DOICY is aVaMMStr et
For TO Amm-oado ~amoral clews. your advisor him ms smarato from and not attend was may molt ton the sob ela CD pta le ~trey Bann adb Rod Mono Sauna Wade sviMamentadotorn
TO ainciaracla. Inc. a TO Arratrado Clead. Inc.. and oath Ism is not responstle la the ~cony Man hub women and donor sad en a load ~go. Rama. Ivry saM n me
PrOekxls end senices 01 the Ogler. OTC Wes !he °Dunk., niefta« and dram tawdry nuyrce met la >a barn >our carton plot CaMbir Seadilin: The 'location or pond redemptions or cells is doe yang a pro rant any
tom-ay. The sib et bond gror to ~et nivy roots n a lens el prilopd. system. A mammon el the proombros for callable secumos is nabobon to memo a hang
Mammyor Reports:II you rind any errors or omissions in your account statement you comps aro multibto uponea:pos.1.
Mould Immediately call us et the amber listed on page one 01 your statement. You Non Standard Assets (MAI wo may marmot no arta pampaen program securbas
Mould also contact our Clearing rem, TD Arne/loans Clewing, Inc. el 8004694900. ~dips. brniodlablItyccmpamx. er red estate returned bum. arrrtaty pools. angle In Case 01 errors a coestens tboul your EIMIOniC Fund Trendier. please CO lad 8 al
,uty. grim* debt a hedge inch NS& se boaen baud imealmeas ad do na hide en 'MO 66.9.390), ot n vanrg to P.O. Box 2209. Omaha. NE 66103. or by email al
Sleaze rancor the statemorn carcally. ir you timed* with any transactor.. or il Mao aro any nalond sverta maven.« to Nasdaq Stock ).Ledd, Toques ~on la tome rrosirrays ClieMetmkeKaldanlediage.COM The ~meal <OM/lined n your *Cann statement shall
aids a crwsvom. please Wiry a Client SeM,9reolesentaliraa ye, lOcal bench aloe. as se ~al am ~eel Ian trebar meMOOS. Ø, bN nei IM/ol m Independent be bndng upon you il you de not obect wain sixty (60)days lor any !candor or lunds pima
woe as 10 Amairado Clean-9. Inc. in wmrg enho ton (10) days el yew romp of this apprardis to progons ra =ob. anew Ma party tender tilers hat ha* boon prowled by to Rcalabon E, such as ATM and pan arale bunion, debit transaebons. sired deposits.
statement Any oral statements Mal you hare made to vi abode' be cornmeal in veiled The fa maragorrort. ~raw. ander spacer a oath pcgan en by a thrtlinty nr wind and edheliernik We Must hoar from you ro later Man 60 days aner we Led >du Me FEST
statement Wit °aroma be considered concahe. Independent rettslen by ID ~a. Values may nor died pie orlon& ~lase pica. summon en whch the error or problem appeared,
Ø market value a be malmri upon kmdascn an ø/nØ value canna be estalalchod (I) Tell us tar non. and account amber
Please natty vs promptly 01 any changes in yam conned information. DareatIOM redetted on trough l'eSe methods. Me elusion may be !SOW as NOrsPited MP) Fa ~MS Octal (2) Doscrbothe error or Me transler you are unsure about. and oxpbn as dearly as you sn
your moon real be conchae,* doomed accurate unless you mob TO Amanda irrecidatob. comma notmon b NmStamtant Owe. plena aroma Cite Saes These rivasinass why you below n is an error or wily you need mote inlormabon.
are num ant on/Soft SIPC. (3) Teti us he Ocitar .1M0.ri 01m e sabangeg error.
Account Protection: Deposes hold by TOBank. N.A. and TD Dank USA. N,A.. aro toured by We MN mrosigact your complain and tall <area any error promptly. el we lake more than ID
i t n ie ia l F t4 D O IC n. (4 T 0 O 1 le C a o r v n e r m ed o r b e y a S b I o P u C t ) F u D p IC 1 0 c o 2 v 2 e 5 r 0 a . g 0 e 3 0 0 . 0 L 1 i 0 m b w s ir a e r e IC A p C e . r 0 0 a v C . C S O e u C nt u l o le im S. e i r n t c n l 0 oc p In e g r H A a m rt o le n t R le a . K o o S rn a c u oO n t a al e (A n R ee S r D rt e P s ro o n f o g: il h er e ra m g e e s s a : l M ob I ~ = e la a O R T S h s e c a a c m ar s a h y a o o l th b e o p on Ø °t un is e n d a . l b y u o s u i n w e l s l s h a d v a e y s n l o o u d s e e t a hi l s t , h s e e m w o n ne c y r e d e u l, m y p ou t r h o tw ti o n M e M I t f a O k r e s us s m to c a a rt r y p o e u t * th o in u k r i i n s u n o s a tg rm at s on /S . IM'
mutual 'uncle, held in WV Brokerage Account are 401 depotile Or oblgalions ol. or garanioal Ha motel ~a snot maldab. TD ~Made SI grue eo OAS mum. tared nth
guaranteed by. any bank. Ø not FOltinsesed, and involve investment mks, includng censolet boll to klualy ad undo,,mg ode quay. The ARS ~tee re ~only
missile loss ol preopal. TO Anetrade is a member ol the Securities Investor Praocton tremarning a Mk 011esalty and. ma mot ~eta, be re e"SvlrCelbal eoditreaarbeSan
Corporation (51PC'). which aromas secunlies customers or ile members up lo 5500.000 to and undo, oscremalrel cottons. AMM1500744
(inset:ling 5250.004) lot daims for cash). Explanatory brochure is available on request at
REGULATORY DISCLOSURES
A001110nelly. TO Antenna* panlass ash cleat $149.5 trillion worth 01 grohat fOr MI Crania:eons aro abject to 0) The consmubon. Na, regulations customs and usages
securities and 32 °Ilion Ol ormetren for cash 'Neagh Supplemenial coverage provided by • Ra exchange Or market and its dearrighouse. H any. on Mich such bandeos are
London Insurers. c E a x c curca: no Ma 1 sai Lies. 'dia cli l e o r g e q th t e e Sambas Act el 193 o 3 r f a A nd te t n he d Sauenes SONY_GM_00011916
osen . o and mva
EFTA 00122567
EFTA01268046

Statement Reporting Period:
1D Ameritrade
01/01/17 - 01/31/17
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTFIS STE 13-3
PO SOX 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TO Ameritrade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $ $ -
Insrd Dep Acct (IDA) 51,592.53 51,592.09 044 0.01%
Money Market
Short Balance
Stocks 0.01 0.01
Short Stocks
Axed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51.592.54 S51.592.10 50.44 $ 0.00 0.0% 100.0%
Margin Equity 100.0%
Cash Activity Summa Income & Ex . ense Summa Performance Summa
Non
Current YTD Reportable YID
Reportable
Opening Balance $ 0.00 Income Cost Basis As Of - 01/31/17" $0.22
Securities Purchased Dividends Unrealized Gains
Securities Sold Interest Unrealized Losses (0.21)
Funds Deposited Other Funds Deposited/(Disbursed)''1D
Funds Disbursed Expense Income/(Expense)"°
Income Interest Securities Received/(Delivered)"° 0.00
Expense Fees 'rro view realized gains and losses for your account, login at
wwwidameritrade.com and visit My Account > Galn/Loss.
Other Other
Closing Balance $0.00 $0.00 Net $0.00 $0.00 $0.00
SDNY_GM_00011917
CONFIDENTIAL
page 1 of 2
EFTA_00122568
EFTA01268047

Statement for Account # 867-730320
01 01 17 - 01/31/17
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.44 $ 0.44
'This section displays current and year to date taxation values for the account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover divdends). The year to date torah will accurately reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Qaln(Loss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.0068 $ 0.01 08/05/14 $ 0.22 $ 0.22 $ (0.21) $
INC
COM
Total Stocks 50.01 $0.22 $(0.21) $0.00 0.0%
Total Margin Account 50.01 $0.22 $(0.21) $0.00 0.0%
Insured Deposit Account interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
01/01/17 $ 51,592.09 31 00100 $ 0.44 $ 0.44 $ 0.44
Total Interest Income $0.44
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,592.09
01/31/17 01/31/17 Received Interest: Insured $ 0.44 51,592.53
Deposit Account Bank NA
Closing Balance $51,592.53
TD Bank NA $51,592.53
FDIC Insured Depose Acccuu (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable omits and held by TO Bank. N.A.. Of TD Bank USA. NA. or both. The IDA balances are not coveted by the
Securities Investor Protection Corporation (SIP C) protection applicable to your brokerage account.
SDNY_GM_00011918
CONFIDENTIAL
page 2 of 2
EFTA_OO122569
EFTA01268048

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SONY_GM_00011919
EFTA 00122570
EFTA01268049

Terms and Conditions
STATEMENT GUIDE
IL: .".'wade provides morally Pedalo Report for accoures veth actmry and <Nanny repels the Men 014 abbe.» insolvency. a deco may receive amants due Man the melee For an investor larocheo that incases intormabon desobng FINRA% PLtic Disclosure
tv .mettre accounts sub assns.. In bandonalc), and than SIPC. Stops:menial 00e0fare is pad out ner the trustee and Program. please contact FINRA at 6002889999 Or wpm final.
Portfolio Summary: Tied the Current value a your p00010 es 01 the report dale end SIPC payouts and wan such coverage each clew is limited to a catesnoct return of
amperes a to me prior months The WWI 8110Caten n:Icelft your pert1010 divenetalion by 3152 e'en horn e Melee. SIPC and London insurers The TO Ameritrade SuPplenental The interest rate shown tor ro Amortrade Cash a taken from the appicatte merestrate ear for
investment type coverage has an aggregate emu of $500 muon as all customers. Trio polcy provides the Markel Velue balance n ne TO Amertrade C.O. as 010e Statement closing date Simple
Coverage lakraing brOveage intiOhWicy end does na model against has in market vela newest rs acnxd dent based on the interest/ate son applicable> to oach days balance.
Atrbple allocalons under 5% ma be (scum.] into thecategory of demain the pie chart. Margin me socumen
Early - Total Account EouhrnTaill LOng lobaginable Value • Teal Shan Velue) Financial Statement Acclimation: The mammas of Mama condeen or TO Ornentrado
M investment it a money market turd is not insured or suarerneed by the Federal Sealable trite a yeas and may be oldened al no cost via the interned al
Activity Summary: Trie opening and dosing cash balances are moon:led bee for sets quit Depose Insurance Corporabon (FDIC' a any other gayomrnam agency. Anough rho ModWereatmentradoconvinancédstatemonthml.
re!eceice accouni amity is stamens«, for Me current paled and year to date. funds SWAN preserve the velue Cd you inntstmenl et St 0) per share. it it paubb 10
income a Expense Summary (nomIRAs only): Tin sect= details the income and omens* lOse mores by incesing in a money market fund. DMOrleXe are *clued daly end Option Assignment: All short awry option peinons and some index opt= positions are
totait from te Penny Summary and dessilles the lax IrealMent pactreinvosted monthly. Do prospectus amens Ires and of err important Worm.roon avelabla tir atrugnrneM Earate Steelman races tir eOury or index options are randomly
Retirement Account Summary (IRAs only): Amos ma IRS reeAatod transactions for the Reed the "especial Cliretiel/r Woe inventing tiOn-depteil inyeStmente held by your atoceed among allatoms' Ikon posaons by an automated procreate.
wren( ara air yams. IRS Form 5198 fair market value is based On Me currant value as of broker dealer are NOT FDIC NSURED, NOT BANK GUARANTEED/ MAY LOSE VALUE.
December 31 are previous year and al to Turn:hod lore Manna Revenue Senate. Free Credit Balances (Rule 15(3.2 à 3): Under me Cent protection rues, we may use tree
l P a e s r s l o o s r m to e r n y c o o u S r u fu m tu m re a m ry: a Id r o m nh o o t r s y w ou a r t t a e n r n . ual portfolio pedormance era the vrrealized gains end c T a h n e b b e a l l a q n u c e e d a h te y d o o u n r b y a o n u k r o d r e d p e o r s . i a t n a d c c t i h tu e M p r o o r c e th ed i s n r e e t C u l r n y e O d s e t o m y o e n n e s y o m s a c r i k n e e t s In a t c n c A o l u n fu t n o d r o d n e d d h e m ba a l n a d nC . W n yOur accourt n Me Ordinary Course et our bustle» Whet are payable to yOu
Account Positons: New yea rnestments at the current market vela* and corrparo the ongnal remitted 10 you
COSI IO see ineakled gains and IOSSet n your pOrtIOIO Original Cell is tHetiOned using Me Mare Accounts (Regulation T): II you have a margin atom. this report a a cone:mean of
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recorded for salt, VOW and lienatiOn viterresten purpose/. Metes sake promo:b. The seanday make ta Contra= of Depose. Cet)cgo-oraty
loud and the alut1 vale may be Oltenia from the FX.KhaSe price AgleIbet MSS d Pmcitel Ferny POlity Nolincellon: A copy of the TO Amerind/ Paddy Doter is aye** al
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Acancy of Reports:II you find any errors or omissions e your account stab:merit you copes ere available upon toyed.
should immediately all us at the number listed on page one of your statement. You Non Standard Assets 0/SA) am reedy imameas n dew poupon program socurtca
Mould also contact our Clearing Firm TD Amedirade Clearing, Inc. al 8004694900. ,patrentips. arnica Utley companon. erred edam roamer. 'instil. comedy pools. mate ki Case 01 errors Cr canasta* *Out your ElearOniC Fund Transfers. please CO raft e al
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statement Any ors statements that you hare made to be Shard be CONinned in vane The bb mmagemort. atTreralx. anda space a each porn ray a thrdpay vender:Whew and efthdieselS We mold beer from you ro later hen 60 days otter we sent you Pre FEST
Statement will °Menus, to can deed concleshe «tandem cartage by TO Amen:rage Valuee may W MAC Me thane grease pice. statement on which the error or problem appeared
actual market WI» a be malted spar teddaecn t an oserromd value care be estattIchod (I) Ten us you nine and account ranter
Reale nary ce Mender Ol any changes in you contact information. TranteChars regaled on OVOugh Pew methods. Ma Maslen met be reeled as NOn-Mted MP, For addend deal (2) Desert* the error or the transfer you are unsure about. and replan as deafly as you oan
yea ropan wit be œnclareer deemed aeon.> unless you moly TD AMenfatoweredatoty. togamng œteon ta NceStandard Wads. game cota Cant Sawa Dose masons« why you behove a is an error or why you need ma* inlormanon.
area maned uncle/ re SIPC, (3) Tea us Me done turodni or the wended error.
Account Protection: Deposes bald by MBank. N.A. and TDB.* USA. N.A. are named by Vie am invitee* year corneal-a and tail correct any error promptly. tl we lake mom Man ID
One FOC eel fevered by SIPC) up 10 £250.000. LIMIS are per aCCOunl oreleret per ham Rate Socurtca riftr) Prong: The male win la OAS so:ureatoe Wen °tuned. lowness ens le do INS. se MI creel yew tIOCCuM fOr Me &Meet you INnk is in error. sO Mat
andluriat TO learn more Stout FDIC Coverage go t0 wire IdicgOv. Saute:S. inflating A eniele.ftem qAtaten seams or Wei ',eloped'« sauces. The (cony et the prang is not you wit have Me use of the money dunng the matte= us to corn:rote mutilator:own.
morns; funds. held in your Brokerage Accus are dl depoolts Or obloalions Or, or anneal as made cetera rebate. TD Aerate° WI ace ta OAS pram. taking ale
guaranteed by. any bank. are not FDIC.mared. and invoice investment tits. wick:dn.; ccrr-doraan boll re bluely as undWung creek quaky. Me XftS market is currenly
posstle loss of pineal. TD Amenrade is a member of the Sauna,: Invest« Motecon *Penmen atatdgidyam. ass result Mee cm be no award, dot Sudi trearlieS
Corporation eSIPC'). which precepts secunlies customers of its members up to 6500.030 to soli ureic. one males comae. SUM NO 07a4
(inchaling $250.000 for daims tor cash). Explanatory brochure is available on request al
REGULATORY DISCLOSURES
weresipc.org.
Additiondly. TO Amentrade ph: oies nth Clete $149.5 trillion worth 01 "OleCtIon tor MI game:eons ara 'duct to in me consembon. Nos. regulatons. customs and usages
securities and 32 muted 01 prinCeen tir fah lhaugh Suet/WM.9MA Coverage provided by Of Me exchange or make. and ils dearionouse. it any. en Mich such Pendants are
London Insurers e E x x ec o u na t a ed: federal Ian, in:fusing me Semmes Act of 1933 a & n r d nA e Me S«urtes SDNY_GM_00011920
oun . N in olio and the
MO
EFTA_00122571
EFTA01268050

ID Ameritrade Statement Reporting Period:
02/01/17 - 02/28/17
Statement for Account # 867-730320
800-669-3900
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
PO BOX 2209 ST THOMAS. VI 00802-1348
OMAHA, NE 68103-2209
TD Amer'trade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Chang! Change Income Yield Portfolio Allocation
Cash $2,606.87 $ - $2,606.87 $
Insrd Dep Acct (IDA) 48.986.05 51.592.53 (2,606.48) (5.1)% 0.01%
Money Market Cash
Short Balance 5.1%
Stocks 0.01 0.01
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
Total $51,592.93 $51,592.54 50.39 $ 0.00 0.0%
Margin Equity 30.0%
rrrnmsirrrn
Cash Activity Summary Income & Expense Summar
Non Cost Basis As Of - 02/28/17 " $022
Current YTD Reportable YTD
Reportable Unrealized Gains
Opening Balance $0.00 Income Unrealized Losses (0.21)
Securities Purchased Dividends $ - $ - Funds Deposited/(Disbursed)vm
Securities Sold Interest Income/(Expense)Ym
Funds Deposited Other Securities Received/(Delivered)' 0.00
Funds Disbursed Expense *go view realized gains and losses for your account, login at
Income • Interest www.tdameritrade.com and Oen My Account ClalniLoss.
Expense Fees
Other 2,606.87 2,606.87 Other
Closing Balance $2,606.87 $2,606.87 Net $0.00 $0.00 $0.00
SIDNY_GM_00011921
CONFIDENTIAL
pap 1 of 3
EFTA_00122572
EFTA01268051

Statement for Account # 867-730320
02 01:17 - 02/28/17
Income Summary Detail'
Description Current Year to Date
IDA Interest $ 0.39 $ 0.83
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a promos tax year (spillover divdends). The year to date totals will accurately reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
LIHUA INTERNATIONAL LIWA 1 $ 0.0061 $ 0.01 08/05/14 $ 0.22 $ 0.22 $ (0.21) $
INC
COM
Total Stocks 50.01 $0.22 $(0.21) $0.00 0.0%
Total Margin Account 50.01 $0.22 $(0.21) $0.00 0.0%
Account Activity
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance $ 0.00
02/27/17 0227/17 Margin Journal - Other REDEMPTION FDIC INSURED $ 0.00 $ 2,678.53 2,678.53
DEPOSIT ACCOUNT
0228/17 02/28/17 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (71.66) 2,606.87
DEPOSIT ACCOUNT
Closing Balance $2,606.87
'For Cash Activity totals. refer to the Cash Activity Summary on page one of your statement.
Insured De. osit Account Interest Credited
Begin Number Interest Interest MTD MID
Date Balance ot Days Rate Accrued Accrued PAID
02/01/17 $ 51,592.53 26 0.0100 $ 0.37 $ 0.37 $
02/27/17 48,914.00 1 0.0100 0.01 0.38
02/28/17 48,985.66 1 0.0100 0.01 0.39 0.39
Total Interest Income $0.39
SDNY_GM_00011922
CONFIDENTIAL
page 2 of 3
EFTA_00122573
EFTA01268052

Statement for Account # 867-730320
02 01 17 - 02 28 17
Trades Pendin . Settlement
Account Symbol, Trade Settle
Investment Description Type CUSIP Quantity Price Date Date Amount
BUY APPLE INC Margin AAPL 15 $ 135.6397 02124/17 03/01/17 $ (2,040.60)
COM
BUY BANK OF AMERICA CORP Margin BAC 82 24.2747 02/24/17 03/01/17 (1,996.53)
COM
BUY ELECTRONIC ARTS Margin EA 12 85.8747 02/24/17 03/01/17 (1,036.50)
COM
BUY NVIDIA CORP Margin NVDA 21 98.81 02/24/17 03/01/17 (2,081.01)
COM
BUY SPDR TR Margin SPY 8 235.9699 02/24/17 03/01/17 (1,893.76)
S&P 500 ETF TR
Insured De . osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,592.53
02/27/17 02/27/17 Delivered FDIC INSURED DEPOSIT ACCOUNT $ (2,678.53) 48,914.00
CORE NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
02/28/17 02/28/17 Received FDIC INSURED DEPOSIT ACCOUNT 71.66 48,985.66
CORE NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
02/28/17 02/28/17 Received Interest: Insured 0.39 48,986.05
Deposit Account Bank NA
Closing Balance $48,986.05
TD Bank NA $48,986.05
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage accost are FDIC-insured up to applicable limits and held by TD Bank. N.A. or TD Bank USA. N.A.. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
CONFIDENTIAL SDNY_GM_00011923
page 3 of 3
EFTA 00122574
EFTA01268053

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SDNY_GM_00011924
EFTA_00 I 22575
EFTA01268054

Terms and Conditions
STATEMENT GUIDE
IL Aro.iracle pronaos monely Portfolio Reports for accoums tem antan and quanoey repais h Me mont 0 a Ventage insolveney. e dent may reCeive amants due kor the nionde For en Investor bnnhore mal mains intonnabon alscnbn9 FINIRA% FLem Encloue
nad oc accounts tem .osens.' m bankrunicY and mon SIPC, 54:1110Monial Goya/air es poil out dur tho trusta and PrOgraM. pleette Contact FINRA et 800.289.9999 or www.liresee.
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moite ',tom. Me arraaaraaa arr ra are ara (»Mat or (MI Or ara, ar . guranbal Il a mata arabe na atone. TO Aranda stil pron IMAMS patun.rakto nb
guaranteed by. any bank. are not FOltinsited. and nøla nvestment n'As. includng cendeMem be bulle/ undegng cadet quaY. 11,0 ARS nwirlsano nlY
p„,k4, lose g‘toogoor. m oto,* i„ rompt.. al tho socuog„ logotio, % tenon toptreMeng a lek (enbod. Ma met Mao Oin bene esseateMel Ste SeCurlieb
Corporation (SIPC'). union prends marnes custom«, ds nimbas up lo 5500.000 boson ordo. once mata cootcra. enTD 15007,14
(incbding $250.000 loi dans ter cash). Explantory brochure n available on nouai al REGULATORY DISCLOSURES
%ressemer".
Addiflongily. TI) Amedbade drains mach clora 5149.5 M'Inn won 01 WONCOM fer AllWaneaCe0n5 oresWpc,to [Omo oemblobon. Na. roguinnons. tosøms one usages
geournee an $2 muon or 'motion le cash unegh supermen& °outlaw) frogloog by d Oie archange or mulet. and ils dearionouse. H dm. on n'ion sud, Inunaants eie
London taurin *acculai vil lattai la o. Inc M lua O nt / me Socumes A in m cd 1933 an A d t Mo Saun e a n s d SDNY_GM_00011925
ttetaal n/prcriSrl *un otium and the
EFTA_00122576
EFTA01268055

Statement Reporting Period:
ID Ameritrade
03/01/17 - 03/31/17
Statement for Account # 867-730320
800-669-3900
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTF1S STE 8-3
PO BOX 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Amedbade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Chang! Change Income Yield Portfolio Allocation
Cash $6.15 $2,606.87 ($2,600.72) $ -
Insrd Dep Acct (IDA) 51.675.68 48,986.05 2,689.63 5.5% 0.01%
Money Market
Short Balance
Stocks 0.01 (0.01) (100.0)%
Short Stocks
Axed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51,681.83 $51,592.93 $88.90 0.2% $ 0.00 0.0% 100.0%
Margin Equity 100.0%
Cash Activit Summary Income & Ex • ense Summary Performance Summary
Non
Current YID Reportable Reportable YID
Opening Balance $2,606.87 $ - Income Cost Basis As Of - 03/31/17" $
Securities Purchased (9,048.40) (9,048.40) Dividends $6.15 $ - $6.15 Unrealized Gains
Securities Sold 9,130.79 9,130.79 Interest Unrealized Losses
Funds Deposited - Other • Funds Deposited/(Disbursed)''1D
Funds Disbursed Expense Income/(Expense)"° 6.15
Income 6.15 6.15 Interest Securities Received/(Delivered)"° 0.00
Expense - Fees **To view realized gains and losses for your account, login at
vnvw.tdametlirade.com and visit My Account > Gain/Loss.
Other (2,689.26) (82.39) Other
Closing Balance 66.15 $$.15 Net $6.15 $0.00 $6.15
SDNY_GM_00011928
CONFIDENTIAL
page 1 of 4
EFTA_00122577
EFTA01268056

Statement for Account # 867-730320
03/01/17 - 03/31/17
Income Summary Detail'
Description Current Year to Date
Qualified Dividends $ 6.15 $ 6.15
IDA Interest 0.37 1.20
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a prevcus tax year (spillover [hands). The year to date totals will accurately reflect your cumulative arrant for the year.
Account Activity
Trade Settle Acct Transaction/ Symbol!
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance $2,606.87
02/24/17 03/01/17 Margin Buy - Securities Purchased APPLE INC AAPL 15 $ 135.6397 $ (2,040.60) 566.27
COM
Commission/Fee 6.00
02/24/17 03101/17 Margin Buy - Securities Purchased BANK OF AMERICA CORP BAC 82 24.2747 (1.996.53) (1.430.26)
COM
Commission/Fee 6.00
02/24/17 03101/17 Margin Buy - Securities Purchased ELECTRONIC ARTS EA 12 85.8747 (1,036.50) (2.466.76)
COM
Commission/Fee 6.00
02/24/17 03101/17 Margin Buy - Securities Purchased NVIDIA CORP NVDA 21 98.81 (2,081.01) (4.547.77)
COM
Commission/Fee 6.00
02/24/17 03101/17 Margin Buy - Securities Purchased SPDR TR SPY 8 235.9699 (1,893.76) (6.441.53)
S&P 500 ETF TR
Commission/Fee 6.00
03/01/17 03101/17 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 6.441.53 0.00
DEPOSIT ACCOUNT
03/22/17 03/27/17 Margin Sell - Securities Sold APPLE INC AAPL 15- 140.9553 2.108.28 2,108.28
COM
Commission/Fee 6.00
Regulatory Fee 0.05
03/22/17 03/27/17 Margin Sell - Securities Sold BANK OF AMERICA CORP BAC 82- 22.8153 1.864.81 3.973.09
COM
Commission/Fee 6.00
Regulatory Fee 0.04
03/22/17 03127/17 Margin Sell - Securities Sold ELECTRONIC ARTS EA 12- 88.4603 1.055.50 5.028.59
COM
Commission/Fee 6.00
Regulatory Fee 0.02
SDNY_GM_00011927
CONFIDENTIAL
page 2 of 4
EFTA_00I 22578
EFTA01268057

Statement for Account # 867-730320
03/01/17 - 03/31/17
Account Activit
Trade Settle Acct Transaction' Symbol,
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
03/22/17 03/27/17 Margin Sell - Securities Sold LIHUA INTERNATIONAL INC LIVIA 1- 0.0061 5.028.59
COM
Commission/Fee 0.01
03/22/17 03/27/17 Margin Sell - Securities Sold NVIDIA CORP NVDA 21- 106.8803 2.238.44 7,267.03
COM
Commissionfee 6.00
Regulatory Fee 0.05
03/22/17 03/27/17 Margin Sell - Securities Sold SPDR TR SPY 8- 233.7253 1.863.76 9.130.79
S&P 500 ETF TR
Commissionfee 6.00
Regulatory Fee 0.04
03/27/17 03/27/17 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (9.130.79) 0.00
DEPOSIT ACCOUNT
03/31/17 03/31/17 Margin Div/Int - Income BANK OF AMERICA CORP BAC 0.00 6.15 6.15
COM
Payable: 03131/2017
QUALIFIED DIVIDENDS 6.15
Closing Balance $6.15
'For Cash Mainly totals. refer to the Cash ActMty Suinmary on page one of your statement
Insured De. osit Account Interest Credited
Begin Number Interest Interest MID MTh
Date Balance of Days Rate Accrued Accrued PAID
03/01/17 $ 42,544.52 26 0.01O Si 0.30 $ 0.30 $ -
03/27/17 51,675.31 0 01O 0.07 0.37 0.37
Total Interest Income $0.37
SDNY_GM_00011928
CONFIDENTIAL
page 3 o14
EFTA_00122579
EFTA01268058

Statement for Account # 867-730320
03 01 17 - 03 31 17
Insured De. osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $48,986.05
03/01/17 03/01/17 Delivered FDIC INSURED DEPOSIT ACCOUNT $ (6,441.53) 42.544.52
CORE NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
03/27/17 03/27/17 Received FDIC INSURED DEPOSIT ACCOUNT 9,13019 51.675.31
CORE NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
03/31/17 03/31/17 Received Interest: Insured 0.37 51,675.68
Deposit Account Bank NA
Closing Balance $51,675.68
TD Bank NA $51,675.68
FDIC hewed Deposit Account (IDA) balances retracted in your trokerage account are FDIC-insured up to applicable limits and held by TD Bank. N.A. or TO Bank USA. N.A.. or both. The IDA balances are not covered by the
SecuMies Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
Important Information
BREAKPOINTS
Certain purchases of Class A Mutual Funds may be eligible for breakpoints on, and waivers of, the sales charge. To learn more about breakpoint discounts go to
http:/Avww.finra.orgAndustry/issues/breakpoints. For more information on waiver eligibility, please refer to the fund prospectus.
FINRA INFORMATION
Required Annual FINRA Information: Investors may request disclosable background information on any U.S. licensed broker or broker-dealer via FINRA's BrokerCheck, a free online
tool. Visit brokercheck.finra.org. Additionally, FINRA has a brochure which describes the BrokerCheck program. You may request this brochure either through the FINRA web site
www.finra.org or by calling (800) 289.9999, the BrokerCheck Hotline Number.
SDNY_GM_00011929
CONFIDENTIAL
page 0 010
EFTA_00122580
EFTA01268059

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SD NY_GM_00011930
EFTA_00 I 22581
EFTA01268060

Terms and Conditions
STATEMENT GUIDE
IL nr.rirado mandes monny Poncho Repens for accoums euh actmty and quanorly repais the Men Ola Ventea insolona. a dent may Mate tentets due from the MrolI0 For an Inhume brochure mal ilddos informabon de:atone FINRAS Peic Descbsuro
in nue vo accents euh assels.i in branla and mon SIPC, Sroseamental Dore/ego a pad oul eue the trust« and Prooram. pane Contact FINRA st G30-289.99» Or wavelimang.
POrtfollo Summey: Made Ihe Curent velue a rota 000010 es 01 the 'Mat date and SIPC payons and Ør sue curetage euh clerc is MONO to a comemn mien ot
compares il io me ',kir moleta T. bal etCeen Mca08 na teril010 dironefealion by S152 melon nom e trustee. SIPC and London insurers Tn0 Tel Aniedlrade Suppitnental Tho iman rato Man toc TD Amer/fane Cash ro toton nom the opptapa m'estrate ber lot
invesirnert type cannage tus an mgromm lem ol 1600 milan ara all <unanimes. Ta poney pendes MO Marke Velue balancent. TI) Amennede Cath. as 0 Ln illatemern abers dote Simple
average loltraing tannage intehincy erd Mes 001 mea nantit bu in moral vatae irteesi is acon. dot, bescd on the morose rab ta applcatio tacadideys balance.
Strbat dlocaans ondin 5%wi6 be groupai Mo the <megory of -CM.r in mo po chan. Llano le me socuribn
Easety - Total Accoure EcultelTeal Long Pagina. Velue • Tee' ShOrl Velue) Maine Maternent Nellmatton: Die nomma ol hnancul canton lor ID Ortentrado
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Activity Summary: Tho paonne and damne cash balances aeo reconere hart for yoga ourdi Oepose Insu/once Corporation MOICI n any cita g:nomma agency Anne Mo Metawaintroantradeonanancuisiabomonthml.
,otreite Ai accouru actrety is surinant/rd lor me curent nad and yenla date. funds stek b pesa° tre vabe a yOur ireakilmen el SI 00 pet snare. ri il penne b
Income a Experte, Swnmery (nonaAs °My): Mus section deltros tre ireame ond nyenere lOse mOney by imans n e money meniel fund. Otages ne *and daly and Option Assigneront MI Mort a:puy option positons and soma indox option pontions aro
totan (rom te Adan Summary and dessines the las nomment padierrnestod monny. Dm prospectus cernons ers ard axe manant eformeon minable nr esegemem Euxoet, essionmeei races ter elgry or rem options ne randoney
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Accuncy of Repons:Il you fend any *mors or omissions In your manie Maternent you copies aro additif' Ø10q.021.
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Corporation (SIPC'). wNch paons maire» entamer, of ils marais up lo $500.000 tosed liraient Male Caned. OMM 1500y114
(incbeng $260.000 lot dao toi Cash). Explareory brochure Is avouable on reqUed al
REGULATORY DISCLOSURES
wsw..inc.°00.
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oun . ne oll and Mo
F
EFTA_00122582
EFTA01268061

1D Ameritrade Statement Reporting Period:
04/01/17 - 04/30/17
800-669-3900 Statement for Account # 867-730320 Announcements:
TO AMERITRADE SOUTHERN FINANCIAL LLC Our ongoing effort to serve
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN you better has paid off: were
6100 RED HOOK OTRS STE 8-3
PO BOX 2209 ST THOMAS. VI 00802-1348 No. 1 in 3 categories in the
OMAHA. NE 68103-2209 Barron's 2017 Online Broker
TD Ameritrade Clearing. Inc.. Member SIPC Survey. To learn more. go to
tdameritrade.conVaccolades.
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $8.26 $6.15 $2.11 $
Insrd Dep Acct (IDA) 51,682.25 51,675.68 6.57 0.01%
Money Market
Short Balance
Stocks
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51,690.51 S51.681.83 58.68 $ 0.00 0.0% 100.0%
Margin Equity 100.0%
Cash Activity Summa Income & Ex . ense Summa Performance Summary
Non
Current YTD Reportable YTD
Reportable
Opening Balance $6.15 $ - Income Cost Basis As Of - 04/30/17"
Securities Purchased (9,048.40) Dividends 58.26 $ - $14.41 Unrealized Gains
Securities Sold 9,130.79 Interest Unrealized Losses
Funds Deposited Other Funds Deposited/(Disbursed)'
Funds Disbursed Expense Income/(Expense)"° 14.41
Income 8.26 14.41 Interest Securities Received/(Delivered)"° 0.00
Expense Fees **To view realized gains and losses for your account, login at
www.tdameritrade.com and visit My Account > Clain/Loss.
Other (6.15) (88.54) Other
Closing Balance $8.26 $8.26 Net $8.26 $0.00 $14A1
SDNY_GM_00011932
CONFIDENTIAL
page 1 of 3
EFTA_00122583
EFTA01268062

Statement for Account # 867-730320
04 01 17 - 04:30 17
Income Summary Detail'
Description Current Year to Date
Ordinary Dividends $ 8.26 $ 8.26
Qualified Dividends 0.00 6.15
IDA Interest 0.42 1.62
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). Die year to date totals will accurately reflect your cumuiative amount for the year.
Account Activit
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity Description CUSIP Quantity Price Amount Balance
Opening Balance 56.15
04/03/17 04/03/17 Margin Journal - Other PURCHASE FDIC INSURED $ 0.00 $ (6.15) 0.00
DEPOSIT ACCOUNT
04/28/17 04/28/17 Margin Div/Int - Income SPDR TR SPY 0.00 8.26 8.26
S&P 500 ETF TR
Payable: 04/28./2017
Ordinary Dividends 8.26
Closing Balance $8.26
For Cash Activity totals. rater to the Cash Activity Summary on page one of your statement.
Insured De. osit Account Interest Credited
MTD
Begin Number Interest Interest MTD
Date Balance of Days Rate Accrued Accrued PAID
04/01/17 $ 51,675.68 2 0.0100 $0.03 $ 0.03 $
04/03/17 51,681.83 28 0.0100 0.39 0.42 0.42
Total Interest Income $0.42
SDNY_GM_00011933
CONFIDENTIAL
page 2 of 3
EFTA_00I 22584
EFTA01268063

Statement for Account # 867-730320
04 01 17 - 04:30 17
Insured De. osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,675.68
04/03/17 04/03/17 Received FDIC INSURED DEPOSIT ACCOUNT $ 6.15 51,681.83
CORE NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
04,28i17 04/28/17 Received Interest: Insured 0.42 51,682.25
Deposit Account Bank NA
Closing Balance $51,682.25
TD Bank NA $51,682.25
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by TD Bank. N.A. or TO Bank USA. N.A.. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIPC) protection appscable to your brokerage account.
CONFIDENTIAL SDNY_GM_00011934
page 3 of 3
EFTA_00I 22585
EFTA01268064

1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SONY_GM_00011935
EFTA_00122586
EFTA01268065

Terms and Conditions
STATEMENT GUIDE
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Acaracy of Ftepons: b you und any orrors or omissions In your account Maman you copiai ara morte° ugon fooposi.
OhOUld ImmedIale/y tag us al the nase' Pst& on page one 01 your stelement. Tou Non Mandata ta« 0MA) are bocal"( tourna« n drap panneton program sauna
asyla ils° cOntel our Clearing an, TD Amerltrade Clearing, Inc. si 800469-3900. paceres. terni& tala cemponz. or rad «ab rratrann trusts,. ocra:dry pas. poile In case ol ergots or gantera about per Ekeren* Fu« Tranare, Kinase CO lad ti el
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Corporation (51PC'). which panels mana automnes of ils marnas up lo 5500.000 tesauna outre mata cancre. »MD I5007a4
Dr:aine $250.000 loi daims kt cash). Explanary brochure is avariai:4e on taque* al
REGULATORY DISCLOSURES
semences".
Addllanaly. TI) Anse.« pend« «Ch dent 5149.5 nution wOrth 01 prOleCtiOn br MI daneadlOn5 oio sa/rot le a ma ocinolution. Nes. ',qu'anone. CuildeO *Id usages
saoudites and $2 muon or rfotocion for cash thrmigh stootememat (»mage 'yetis by or the encriange or mulet and ail deafoglrouSe. O an. on &ah sud, Ifa ntadens ale
London Mauna oxecutal bette la o. ac M tin O g me Scannes A in d ot 1933 a t n ' d A t M o o n a Sa l uenos SDNY_GM_00011938
*un . ollo and Me
EFTA_00122587
EFTA01268066

Statement Reporting Period:
1D Ameritrade
05/01/17 - 05/31/17
Statement for Account # 867-730320
800-669-3900
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
PO 8OX 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Ameritrade Clearing. Inc.. Member SIPC
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $8.26 ($8.26)
Insrd Dep Acct (IDA) 51,690.95 51,682.25 8.70 0.01%
Money Market
Short Balance
Stocks
Short Stocks
Axed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51,690.95 $51,690.51 50.44 $ 0.00 0.0% 100.0%
Prrtrrtnirttr
Cash Activi Summa Income & Ex .ense Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance S8.26 $ - Income Cost Basis As Ot - 05;31;17'•
Securities Purchased (9,048.40) Dividends S $ • $14.41 Unrealized Gains
Securities Sold 9,130.79 Interest Unrealized Losses
Funds Deposited Other Funds Deposited/(Disbursed)''1D
Funds Disbursed Expense Income/(Expense)"° 14.41
Income 14.41 Interest Securities Received/(Delivered)"° 0.00
Expense Fees 'lo view realized gains and losses for your account, login at
www.tdameritrade.com and visit My Account >OaIn/Loss.
Other (8.26) (96.80) Other
Closing Balance $ 0.00 $0.00 Net $0.00 $0.00 $14.41
SDNY_GM_00011937
CONFIDENTIAL
page 1 of 3
EFTA_00122588
EFTA01268067

Statement for Account # 867-730320
05/01/17 - 05/31/17
Income Summary Detail'
Description Current Year to Date
Ordinary Dividends $ 0.00 $ 8.26
Qualified Dividends 0.00 6.15
IDA Interest 0.44 2.06
'This section displays current and year to date taxation values for MS account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a premiss tax year (spillover dividends). The year to date totals will accurately reflect your cumuiative amount for the year.
Account Activi
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity Description CUSIP Quantity Price Amount Balance
Opening Balance $8.26
05/01/17 05/01/17 Margin Journal - Other PURCHASE FDIC INSURED $ 0.00 $ (8.26) 0.00
DEPOSIT ACCOUNT
Closing Balance $ 0.00
'For Cash Activity totals. refer to the Cash Activity Summary on page one of your statement
Insured De . osit Account interest Credited
Begin Number Interest Interest MTD tiro
Date Balance of Days Rate Accrued Accrued PAID
05/01/17 $ 51,690.51 31 0.0100 S 0.44 $ 0.44 $ 0.44
Total Interest Income $0.44
Insured De .osit Account Activit
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,682.25
05/01/17 05/01/17 Received FDIC INSURED DEPOSIT ACCOUNT $ 8.26 51,690.51
CORE NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
05/31/17 05t31/17 Received Interest: Insured 0.44 51,690.95
Deposit Account Bank NA
Closing Balance $51,690.95
TD Bank NA $51,690.95
FDIC Insured Depose Accent (IDA) balances reflected in your brokerage account are FDIC-insured up to amicable knits and held by TO Bank. N.A.. Of TD Bank USA. NA. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
CONFIDENTIAL SDNY_GM_00011938
page 2 of 3
EFTA_00122589
EFTA01268068

Statement for Account # 867-730320
05/01/17 - 05/31/17
Important Information
STATEMENT OF FINANCIAL CONDITION
The most recent statement of financial condition for TD Ameritrade Clearing, Inc. may be obtained at no cost, via the Internet at http://mwe.tdameritrade.com/financialstatement.html or
by contacting TD Ameritrade Clearing, Inc. at 1.800.669.3900. As of March 31, 2017, TD Ameritrade Clearing, Inc. had net capital and a net capital requirement of $1.5 billion and $291
million, respectively. A copy of the report and comments is currently available for customers' inspection at the principal office of the Securities and Exchange Commission in Washington
DC and the Denver, CO office of the Commission.
SDNY_GM_00011939
CONFIDENTIAL
page 3 of 3
EFTA_00122590
EFTA01268069

TO Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS. VI 00802-1348
Industry Trade Settlement Date Change
On September 5. 2017, the financial industry will shorten the settlement cycle process for trades of
most securities (including equities, exchange-traded funds (ETFs), fixed-income products, unit
investments trusts [UlTs), and other products comprising these types of securities) from three business
days after the trade date ("T+3") to two business days after the trade date ("T+2"). This will reduce a
number of risks for the financial markets and for individual investors, including credit risk, market risk,
and liquidity risk.
What does this mean for you? After the industry completes this change, you will receive payment faster
after you sell a security, you will have the ability to trade a day earlier with funds from the sale of a
security, and you'll be required to provide funds to your broker more quickly after you buy a security. If
you have any questions about how this change will affect you specifically, please let us know. You can
log in to your account and go to Client Services > Message Center to write us, or call Client Services
24/7 at 800-669-3900.
CONFIDENTIAL SDNY_GM_00011940
EFTA 00122591
EFTA01268070

Terms and Conditions
STATEMENT GUIDE
It. Or.rir ado provides mormy Portfolio Reports for accounts with actrerty and quaneny reports the Man 01 a brokerage insolanCy, a dent may Waive emowes due trOM the Ineta) F an ono brochure Mat mamba intonnabon desolang FINRAS PLINK Dace:nuns
'a matfet accounts with assets.. in ~Pict and than SIPC, Sidolftental swamp> rs pad out adr tho trustee and Program. please Contact FINRA at 1930-289.9999 Or wenvlinmail.
Portfolio Summary: Tracks Ile Current utse d your 000010 es 01 the roped dale and SIPC payouts and uncles such coverage each dars es limited to a ambrod return a
compares il lo tie prior rnonlh.r TIe WHO Mftren Mean your patift divagation by 5152 rniliOn horn a trustee. SIPC and London insurers The TO Aniedlrade aupplemenlal TM Interest rate Mann tor TO Ameretade Cash a laken from the applcaele interest rato ser for
investment type coverage has an aggregate Irrel 01 $503 ninon ma all aromers. The potty pratides the Markel Verve balance in te TO Amen:rodeCrab. as 01 the slate em closing date Simple
Coverage loltroing brokerage insohincy ord does nO1 poled against Ian in market value erected es accrued day based on the interest rate ea amicable to oach days balance.
M.rople dbeatens under 5% ma be grouped into the category of -Odor in the pie dean. Margin or me seaman
Coyly • Total ACCOunl LOnp Mapinable Value • Total Short Value) Financial Statement Notification: The sidemen 01 hnancul condemn for ID Omen:raft a
An investment ki a money Mite lund is nee insured Or 9.113ranteed by Ma Federal sealable trace a year and may be deterred al nO Cost via the internal al
Actinly Summary: Too opening and dosing cash balances are reooncled here tor yew quid Depose Insurance Corporation MING' a any *Ma centime« agency Although the htimrnwestftmentradecombnanciahrammentlarn.
rotoronco, Al account actirny es summated for mo current period and year to dato. kinds seek 10 pewee the vat. CO yaw nwhilmtml al SI ® per Owe. il ii ;Cube 10
Income a Expanse Summary (nen4Fas only): Ibis senan dotard the income era expense lose money by invasion in e money market fund. Dade ds we declared daly and Option Assignment AP non Gouty neon pannis and some Index option positions are
totalt from Me Aftity Summary and &hair« the lax lieelMenl. pactramested monthly. TM preepecon milans Iles and odor imponant .lorthem arabbio for asygnmeM ESC« assignment «Ceti brr eduty or ode: options are randomly
Retirement Account Summary (IRAs only): Ranee tho IRS re«AXod bensamons for tho Read the ompectue airekilly Wore asniding. NOn-0000Sil in/admen% add by your alocated among dictums' short posnons br an automated procedse.
anent ad pa ytan k IRS EOM 5498 lair mad* value is based On Ire current value as of broker dealer arc NOT FDIC NSURED f NOT SANK GUARANTEED? MAY LOSE VALUE.
• D P e e d c o a n n b n te r a r r n y 3 c o e 1 u S r e a e u t l m h u o m te p a w r r a y e n : e M o s u t o r s n n y o il e m o a r r s y t a o ra n u t d r e a a g n y d n . u b a o l t p a o r r m tfo h l e io d a t b o d to om W en o ° rm , a ' n R d e t v h e e n W ue r S ea am ke o d a . g ains end c T a h n e b b o al a lq n u c i e d a ii te y d o o u n r b y a o n u k r o d r e d p e o r. s i a t n W d O h :u e r p n r o o c r e O e w ds e r s e w of o w r h d o l o m y o e n w ey o M x a e rk n el « " k ac W co un fu t n o d r o F d n a re d a e a w C b a a re l r a d d n i . t c B es a i l n an y c o e u s r M (R e u a le n 1 t 6 n 0 3 IN .2 & O r 3 d ) in : a U r n y d C e a r m ne e a d l e o n ur t p O r u ot t e m c a tio n n w a hi f c t h . w w e o p m ar a a y b l u e s t e o f y r O ee u
Account Positions: New your Treatments al tho current market vat.* and corrparo the °nand ~MOO byOu
cost to see imealued gains and losses n your ponlo10 Original cost aös aatigned using Me Margin Accounts (Regulation T): H you have a margin account. this report e a combnahan of
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GENERAL INFORMATION paean ware 6 OS indepaident sane. tie acuity is tubed lo bang ~al SI
Nan Pnxd (NP) The valuators co your earldom:al as Modal as fftede mhamtbat ad Toxin: Transactions in Melon seamier (indcdng foreign (»MOM, ACE, Hel Trade h te
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TO Amentracb. Inc, a TD Arruerado Owing, Inc.. and oath Ism es rot responsbe la the dforomy thrn oqury socunft and donor no* our a load exclurgo. Rimer. they eft n me
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to manly. lho sake of but pea to mossymaroon n a Ims d anapal. system. A damn/Ken el to proombros mr callable sccunins is avalabb on to embus a hard
Mammyor Reports:II you find any errors or omissions In your account statement you copies are available upon ramose
ihOuld immedialely call us el the number listed on page one of your statement. You Non Standard Assets pISAI am twocaly marmots er drat pan:pawn program accurbas
*hand also contact our Clearing tim, TD Amoilliade Clearing, Inc. al I100469-3900. !patenteds anted leaky ccmpanca. er red estate moron trusts,. comcdry pools. prime in Mae 01 enema a ~steno !bail yea ElentroniC Fund Trarniers. rnease CO laCI s al
«sub, Mole debt a hedge kncb. Naas se hornet/ Maid irrnalmeas sed do not lode Cn a 1.2t0 669 3900. or in aning to P.O. Box 2209, Omaha. NE 66103. or by email al
Memo renew end statanam cannily. It you Osage>, with any transactor or el than are any nand mounts @change a to ter.dad Snack Maker, lb, 'duos tarn for tame snowman dieftervialtstendtiMirneade COm The nbritenon contained in your sawn statement shay
aids a omissions. please notify a Client Senicemersesentenhe a ye" tad branch Once. es are aging& ulka doted tern atom ~hods kickftp, but not lifted IN independent be lancing upon you it you do not Oblat when way i0)) days for any !cantor or lunds ripa
eel as 10 Amairado Gear g. Inc. In wiring wihn ton (10) days of yeas moose d this appear...is the progaWs NI =en. and« vid party bonder diors tut harp boon mated by to Regimbon E, such as ATM and point ets.ab translas, debit transactions. direct damns.
statement. Any Oral IbiternenIS that you here nude to we should be Cordoned in wrong The to mammas/. arnerarater. anda spay« d oath prom a by a thrdpary nr sellout and wilhdranil$ We must hew from you ro later Man 60 Owe after we sent you Ma FEST
statement will «henna be considered conanlve at:pendent teircallen by ID kretade. Veum may not (elk« Pie equal prohase pica. summon, on which the error or problem appeared.
actual frock« 'due a be modal raxn Werner. t an ostmahad value canna be ~teed (I) Tell us psi ran* and account ranter.
Please natty vs promptly 01 any changes in you contact information. MareadiOn redecled on trough test methods the whiter may be rented astern-Mead (14M) Foe addlirnd Octal (2) Doscrbo the error or Me banstor you ace unsuro about. and oxplan as dear?, as you can
your upon MI be conclusively dimmed accurate> unless you nasty TO Aftreradoirnmatatay. rogaiong ~on la NutStandand Aram. please artier Ciao Seneca These rnasirrats why you bolero n is an error or why you need mere intormaion.
as not coated under tho (3) Tell us the dolbr amount 01 age suspected error.
Account Proledbn: Deposits fold by TOBank. N.A. and TD Dank USA. N.A. aro inured by Wo ^111 invodgde your complain and wit correct any error promptly, el we laka mom than ID
the FDIC (al Covered by SIPC) up lo 5250.000. Unfits are per actounl ownerthe) per Auden Ado Scurf= GARS) Prong: no motet~ la ORS soeuroas rime been nitan. buvress days lo 00 Iris. sown trad, you tiornuM for the emcee you inink is in error. so MR
m iin u a t l u u a d l o n lu . n c T h O >, le h a e r l n d m in o r y e o u a r b o B u r t o F ke D r I a C g e c o A ve c r c a o g u e ro g 0 a r t e 0 n m O o l w d l e e p li o C s ti i O ts v . O S r e o C b u ig ll a e t S io . n i s n d 0 li 1 d . n o g r ~ m n a e l a at t b . K H or a n m an o t t a e t l e m n ~ ho k e m no t o m r W ar d ei b id . e TD p M fte a n rtr t a te de a S ch I . a T n h : e a m go o 0 r A a S y p e c lI o r l e on M .ta a k u na is d n e o b t you wit have the ute of the moneydonna tho trno d tacos us tocorn:1cm our investgaton.
guaranteed by. any bank. am not FOICinstred. and invoke investment nsfes. includng ~dram bon to quad as undoarrig aft malty. The »IS market is ~only
missile loss of princpal. TO Amenvade is a member of Me Securities Investor Protecton operandrb a 10 di/15M and. Ca rank ham an be ro abstract that such *aortas an
Corporation (SIPC'). which protects :counties customers of its members up lo $500.000 to sob wider one malacoxitam. SIAM MO 07,14
(kidding 3250.000 for claims for cash). Explanatory brochure is available on request al
REGULATORY DISCLOSURES
wo.w.sipcmg.
Additionally. TO Anientrade Provides Nth dent $149.5 milton worth 01 ProleCtlon for MI Imam:eons aro abject to Were consomme Na. regulations. customs and usages
securities and 32 Milian 01 prOOCIOn for cash though SupOlemental coverage provided by a ge exchange Or market. and its deatibbouse. it any. on ^rich such trantiaeltnS are
London Insurers m Ex a uled: oil faded laws. o in u d ni u i cing mo 0 S eam m a n A in c t ot 193 o 3 i a an on d d the t Se ar r n u sd m eh a rdo s S0NY_GM_00011941
EFTA_00122592
EFTA01268071

ID Ameritrade Statement Reporting Period:
06/01/17 - 06/30/17
Statement for Account # 867-730320
800-669-3900
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTFIS STE B-3
PO BOX 2209 ST THOMAS. VI 00802-1348
OMAHA, NE 68103-2209
TD Amer'trade Clearing. Inc.. Member SIPC
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ - $ - $
Insrd Dep Acct (IDA) 51.691.37 51.690.95 0.42 0.01%
Money Market
Short Balance
Stocks
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51,691.37 S51,690.95 50.42 $ 0.00 0.0% 100.0%
Cash Activit Summar Income & Ex. ense Summary
Non
Current YTD Reportable Reportable YTD
Opening Balance $ 0.00 $ - Income Cost Basis As Of - 06/30/17 " $ -
Securities Purchased (9,048.40) Dividends - $ - $14.41 Unrealized Gains
Securities Sold 9,130.79 Interest Unrealized Losses
Funds Deposited Other Funds Deposited/(Disbursed)Y1°
Funds Disbursed Expense Income/(Expense)"° 14.41
Income 14.41 Interest Securities Received/(Delivered)"° 0.00
Expense Fees **To view realized gains and losses for your account, login at
vony.tdameritrade.com and visit My Account >Clain/Loss.
Other (96.80) Other
Closing Balance $0.00 $0.00 Net $0.00 $0.00 $14.41
SDNY_GM00011942
CONFIDENTIAL
page 1 of 2
EFTA_00122593
EFTA01268072

Statement for Account # 867-730320
06 01 17 - 06 30 17
Income Summary Detail'
Description Current Year to Date
Ordinary Dividends $ 0.00 $ 8.26
Qualified Dividends 0.00 6.15
IDA Interest 0.42 2.48
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date totals will accurately reflect your cumuiative amount for the year.
Insured De. osit Account interest Credited
Begin Number Interest Interest MTD tiro
Date Balance of Days Rate Accrued Accrued PAID
06/01/17 $ 51,690.95 30 0.0100 $ 0.42 $ 0.42 $ 0.42
Total Interest Income $0.42
Insured De r osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,690.95
06/30/17 06/30/17 Received Interest: Insured $ 0.42 51,691.37
Deposit Account Bank NA
Closing Balance $51,691.37
TD Bank NA $51,691.37
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to amicable knits and held by TO Bank. N.A.. or TD Bank USA. NA. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIPC) protection applicable to you- brokerage account.
Important Information
STATEMENT OF FINANCIAL CONDITION
The most recent statement of financial condition for TD Ameritrade Clearing, Inc. may be obtained at no cost, via the Internet at htlplAwnv.tdameritrade.com/financialstatement.html or
by contacting TD Ameritrade Clearing, Inc. at 1.800.669.3900. As of March 31, 2017, TD Ameritrade Clearing, Inc. had net capital and a net capital requirement of $1.5 billion and $291
million, respectively. A copy of the report and comments is currently available for customers' inspection at the principal office of the Securities and Exchange Commission in Washington
DC and the Denver. CO office of the Commission.
FINRA INFORMATION
Required Annual FINRA Information: Investors may request disclosable background information on any U.S. licensed broker or broker-dealer via FINRA's BrokerCheck, a free online
tool. Visit brokercheck.finra.org. Additionally, FINRA has a brochure which describes the BrokerCheck program. You may request this brochure either through the FINRA web site
www.finra.org or by calling (800) 289-9999, the BrokerCheck Hotline Number.
SDNY_GM_00011943
CONFIDENTIAL
page 2 o12
EFTA_00122594
EFTA01268073

TO Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS. VI 00802-1348
Industry Trade Settlement Date Change
On September 5. 2017, the financial industry will shorten the settlement cycle process for trades of
most securities (including equities, exchange-traded funds (ETFs), fixed-income products, unit
investments trusts [UlTs), and other products comprising these types of securities) from three business
days after the trade date ("T+3") to two business days after the trade date ("T+2"). This will reduce a
number of risks for the financial markets and for individual investors, including credit risk, market risk,
and liquidity risk.
What does this mean for you? After the industry completes this change, you will receive payment faster
after you sell a security, you will have the ability to trade a day earlier with funds from the sale of a
security, and you'll be required to provide funds to your broker more quickly after you buy a security. If
you have any questions about how this change will affect you specifically, please let us know. You can
log in to your account and go to Client Services > Message Center to write us, or call Client Services
24/7 at 800-669-3900.
CONFIDENTIAL SDNY_GM_0001 1944
EFTA_00 122595
EFTA01268074

Terms and Conditions
STATEMENT GUIDE
It. Or.rir ado provides mormy Portfolio Reports for accounts with actrerty and quaneny reports the Man 01 a brokerage insolanCy, a dent may Waive emowes due trOM the Ineta) F an ono brochure Mat mamba intonnabon desolang FINRAS PLINK Dace:nuns
'a matfet accounts with assets.. in ~Pict and than SIPC, Sidolftental swamp> rs pad out adr tho trustee and Program. please Contact FINRA at 1930-289.9999 Or wenvlinmail.
Portfolio Summary: Tracks Ile Current utse d your 000010 es 01 the roped dale and SIPC payouts and uncles such coverage each dars es limited to a ambrod return a
compares il lo tie prior rnonlh.r TIe WHO Mftren Mean your patift divagation by 5152 rniliOn horn a trustee. SIPC and London insurers The TO Aniedlrade aupplemenlal TM Interest rate Mann tor TO Ameretade Cash a laken from the applcaele interest rato ser for
investment type coverage has an aggregate Irrel 01 $503 ninon ma all aromers. The potty pratides the Markel Verve balance in te TO Amen:rodeCrab. as 01 the slate em closing date Simple
Coverage loltroing brokerage insohincy ord does nO1 poled against Ian in market value erected es accrued day based on the interest rate ea amicable to oach days balance.
M.rople dbeatens under 5% ma be grouped into the category of -Odor in the pie dean. Margin or me seaman
Coyly • Total ACCOunl LOnp Mapinable Value • Total Short Value) Financial Statement Notification: The sidemen 01 hnancul condemn for ID Omen:raft a
An investment ki a money Mite lund is nee insured Or 9.113ranteed by Ma Federal sealable trace a year and may be deterred al nO Cost via the internal al
Actinly Summary: Too opening and dosing cash balances are reooncled here tor yew quid Depose Insurance Corporation MING' a any *Ma centime« agency Although the htimrnwestftmentradecombnanciahrammentlarn.
rotoronco, Al account actirny es summated for mo current period and year to dato. kinds seek 10 pewee the vat. CO yaw nwhilmtml al SI ® per Owe. il ii ;Cube 10
Income a Expanse Summary (nen4Fas only): Ibis senan dotard the income era expense lose money by invasion in e money market fund. Dade ds we declared daly and Option Assignment AP non Gouty neon pannis and some Index option positions are
totalt from Me Aftity Summary and &hair« the lax lieelMenl. pactramested monthly. TM preepecon milans Iles and odor imponant .lorthem arabbio for asygnmeM ESC« assignment «Ceti brr eduty or ode: options are randomly
Retirement Account Summary (IRAs only): Ranee tho IRS re«AXod bensamons for tho Read the ompectue airekilly Wore asniding. NOn-0000Sil in/admen% add by your alocated among dictums' short posnons br an automated procedse.
anent ad pa ytan k IRS EOM 5498 lair mad* value is based On Ire current value as of broker dealer arc NOT FDIC NSURED f NOT SANK GUARANTEED? MAY LOSE VALUE.
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repning 00006 be summarized. IndMOMIlteineadOral be ragged. any daga in your investment rotbros or Maeda, seaman as they wain to your
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rate a 05th Pod provided «h am ~OS ad doa idependft MAWS Vabea act based On te daft von the
morn bettrace me bd aid alsid prat «ether needs. I no market sake is mottle boil a Trade COMIrmillOnt (Rift 100-10): All contrmalions ale atiremilledOn the Ireenteftn dale.
GENERAL INFORMATION paean ware 6 OS indepaident sane. tie acuity is tubed lo bang ~al SI
Nan Pnxd (NP) The valuators co your earldom:al as Modal as fftede mhamtbat ad Toxin: Transactions in Melon seamier (indcdng foreign (»MOM, ACE, Hel Trade h te
10 Menade does not provide legal or lax abseil Please consul, your legal advisor or lax so Mond guarantee He scuraer d any scones aces. Mauna backed poetens oro 'agntest U,S,) ma/ Include taxes and lees~ by ex, Mean marmot a governments. which may
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recorded KO Salty conned and IransattiOn veigkelen Durpose. dogcart nap proaxch. The seanday mead Ix Contras d Deposes (CDs) a generaly
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TO Amentracb. Inc, a TD Arruerado Owing, Inc.. and oath Ism es rot responsbe la the dforomy thrn oqury socunft and donor no* our a load exclurgo. Rimer. they eft n me
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to manly. lho sake of but pea to mossymaroon n a Ims d anapal. system. A damn/Ken el to proombros mr callable sccunins is avalabb on to embus a hard
Mammyor Reports:II you find any errors or omissions In your account statement you copies are available upon ramose
ihOuld immedialely call us el the number listed on page one of your statement. You Non Standard Assets pISAI am twocaly marmots er drat pan:pawn program accurbas
*hand also contact our Clearing tim, TD Amoilliade Clearing, Inc. al I100469-3900. !patenteds anted leaky ccmpanca. er red estate moron trusts,. comcdry pools. prime in Mae 01 enema a ~steno !bail yea ElentroniC Fund Trarniers. rnease CO laCI s al
«sub, Mole debt a hedge kncb. Naas se hornet/ Maid irrnalmeas sed do not lode Cn a 1.2t0 669 3900. or in aning to P.O. Box 2209, Omaha. NE 66103. or by email al
Memo renew end statanam cannily. It you Osage>, with any transactor or el than are any nand mounts @change a to ter.dad Snack Maker, lb, 'duos tarn for tame snowman dieftervialtstendtiMirneade COm The nbritenon contained in your sawn statement shay
aids a omissions. please notify a Client Senicemersesentenhe a ye" tad branch Once. es are aging& ulka doted tern atom ~hods kickftp, but not lifted IN independent be lancing upon you it you do not Oblat when way i0)) days for any !cantor or lunds ripa
eel as 10 Amairado Clear g. Inc. In wiring wihn ton (10) days of yeas moose d this appear...is the progaWs NI =en. and« vid party bonder diors tut harp boon mated by to Regimbon E, such as ATM and point ets.ab translas, debit transactions. direct damns.
statement. Any Oral IbiternenIS that you here nude to we should be Cordoned in wrong The to mammas/. arnerarater. anda spay« d oath prom a by a thrdpary nr sellout and wilhdranil$ We must hew from you ro later Man 60 Owe after we sent you Ma FEST
statement will «henna be considered conanlve at:pendent teircallen by ID kretade. Veum may not (elk« Pie equal prohase pica. summon, on which the error or problem appeared.
actual frock« 'due a be modal raxn Werner. t an ostmahad value canna be ~teed (I) Tell us psi ran* and account ranter.
Please natty vs promptly 01 any changes in you contact information. MareadiOn redecled on trough test methods the whiter may be rented astern-Mead (14M) Foe addlirnd Octal (2) Doscrbo the error or Me banstor you ace unsuro about. and oxplan as dear?, as you can
your upon MI be conclusively dimmed accurate> unless you nasty TO Aftreradoirnmatatay. rogaiong ~on la NutStandand Aram. please artier Ciao Seneca These rnasirrats why you bolero n is an error or why you need mere intormaion.
as not coated under tho (3) Tell us the dolbr amount 01 age suspected error.
Account Proledbn: Deposits fold by TOBank. N.A. and TD Dank USA. N.A. aro inured by Wo ^111 invodgde your complain and wit correct any error promptly, el we laka mom than ID
the FDIC (al Covered by SIPC) up lo 5250.000. Unfits are per actounl ownerthe) per Auden Ado Scurf= GARS) Prong: no motet~ la ORS soeuroas rime been nitan. buvress days lo 00 Iris. sown trad, you tiornuM for the emcee you inink is in error. so MR
m iin u a t l u u a d l o n lu . n c T h O >, le h a e r l n d m in o r y e o u a r b o B u r t o F ke D r I a C g e c o A ve c r c a o g u e ro g 0 a r t e 0 n m O o l w d l e e p li o C s ti i O ts v . O S r e o C b u ig ll a e t S io . n i s n d 0 li 1 d . n o g r ~ m n a e l a at t b . K H or a n m an o t t a e t l e m n ~ ho k e m no t o m r W ar d ei b id . e TD p M fte a n rtr t a te de a S ch I . a T n h : e a m go o 0 r A a S y p e c lI o r l e on M .ta a k u na is d n e o b t you wit have the ute of the moneydonna tho trno d tacos us tocorn:1cm our investgaton.
guaranteed by. any bank. am not FOICinstred. and invoke investment nsfes. includng ~dram bon to quad as undoarrig aft malty. The »IS market is ~only
missile loss of princpal. TO Amenvade is a member of Me Securities Investor Protecton operandrb a 10 di/15M and. Ca rank ham an be ro abstract that such *aortas an
Corporation (SIPC'). which protects :counties customers of its members up lo $500.000 to sob wider one malacoxitam. SIAM MO 07,14
(kidding 3250.000 for claims for cash). Explanatory brochure is available on request al
REGULATORY DISCLOSURES
wo.w.sipcmg.
Additionally. TO Anientrade Provides Nth dent $149.5 milton worth 01 ProleCtlon for MI Imam:eons aro abject to Were consomme Na. regulations. customs and usages
securities and 32 Milian 01 prOOCIOn for cash though SupOlemental coverage provided by a ge exchange Or market. and its deatibbouse. it any. on ^rich such trantiaeltnS are
London Insurers m Ex a uled: oil faded laws. o in u d ni u i cing mo 0 S eam m a n A in c t ot 193 o 3 i a an on d d the t Se ar r n u sd m eh a rdo s S0NY_GM_00011945
EFTA J10122596
EFTA01268075

Statement Reporting Period:
1D Ameritrade
07/01/17 - 07/31/17
800.669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 13-3
PO SOX 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Amer'bade Clearing. Inc.. Member SIPC
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ • S • $
Insrd Dep Acct (IDA) 51,691.81 51,691.37 044 0.01%
Money Market
Short Balance
Stocks
Short Stocks
Axed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51,691.81 S51.691.37 50.44 $ 0.00 0.0°1O 100.0%
Frirrirtnirrirt
Cash Activi Summa Income & Ex .ense Summary
Non
Current no Reportable YTD
Reportable
Opening Balance $0.00 $ - Income Cost Basis As Of - 07/31/17 " $ -
Securities Purchased (9,048.40) Dividends S $ - $14.41 Unrealized Gains
Securities Sold 9,130.79 Interest Unrealized Losses
Funds Deposited Other Funds Deposited/(Disbursed)`'1D
Funds Disbursed Expense Income/(Expense)"O 14.41
Income 14.41 Interest Securities Received/(Delivered)rw 0.00
Expense Fees nTo view realized gains and losses for your account, login at
www.tdameritrade.com and visit My Account Claln/Loss.
Other (96.80) Other
Closing Balance $0.00 $0.00 Net $0.00 $0.00 $14.41
SON Y_GM_00011946
CONFIDENTIAL
page 1 o12
EFTA 00122597
EFTA01268076

Statement for Account # 867-730320
07/01/17 - 07/31/17
Income Summary Detail'
Description Current Year to Date
Ordinary Dividends $ 0.00 $ 8.26
Qualified Dividends 0.00 6.15
IDA Interest 0.44 2.92
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date torah will accurately reflect your cumuiative amount for the year.
Insured De. osit Account Interest Credited
Begin Number Interest Interest MID tiro
Date Balance of Days Rate Accrued Accrued PAID
07/01/17 $ 51,691.37 31 0.0100 $ 0.44 $ 0.44 $ 0.44
Total Interest Income $044
Insured De . osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,691.37
07/31/17 07/31/17 Received Interest: Insured $ 0.44 51,691.81
Deposit Account Bank NA
Closing Balance $51,691.81
TD Bank NA $51,691.81
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable knits and held by TO Bank. N.A.. or TD Bank USA. NA. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIPC) protection applicable to yots brokerage account.
SDNY_GM_00011947
CONFIDENTIAL
page 2 of 2
EFTA_00122598
EFTA01268077

ID Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
Industry Trade Settlement Date Change
On September 5. 2017, the financial industry will shorten the settlement cycle process for trades of
most securities (including equities, exchange-traded funds (ETFs), fixed-income products. unit
investments trusts [UlTs), and other products comprising these types of securities) from three business
days after the trade date ("T+3") to two business days after the trade date ("T+2"). This will reduce a
number of risks for the financial markets and for individual investors, including credit risk, market risk,
and liquidity risk.
What does this mean for you? After the industry completes this change, you will receive payment faster
after you sell a security, you will have the ability to trade a day earlier with funds from the sale of a
security, and you'll be required to provide funds to your broker more quickly after you buy a security. If
you have any questions about how this change will affect you specifically, please let us know. You can
log in to your account and go to Client Services > Message Center to write us, or call Client Services
24/7 at 800-669-3900.
CONFIDENTIAL SDNY_GM_00011948
EFTA_00 I 22599
EFTA01268078

Terms and Conditions
STATEMENT GUIDE
nr.zerado pretdes morally Portfolio Reports lor accoums Mm acvaty and quarterly reports 1. the event ea brokerage insolancy. a dent may Wain,( Wants due tram the Moe» F an ono brochure that nabobs informabon desating FINRA's Pisli Chsclasuro
'a mud accounts soh assets.. in bankruntcY and Ilan SIPC, Seallemental covomgo es pad out oiler the trustee and Program. please Contact FINRA at 800289'9999 Of waselirmag.
Portfolio Summary: Track) the Current Nitre a your 000010 as 01 the »pat dale and SIPC payouts and unclar such coverage each dent is limited to a antrod return at
compares ry a> me prior month? The MIMI 010:alen MONS your partake divagealion by 5152 mitiOn horn a algae. SIPC and London insurers The TO entedlrade supplemental lbo interest rato shoal. for TO Ameasade Cash o laken from the applcabe morose rate eer tor
investment type coverage has an aggregate km of 550) muon ova all customers. This potty provides the Markel Value balance n me TO amertrede Cad,. as 01m e illabloment °bang date Simple
Coverage loliCraing brauvage insohendy are does nO1 poled against lass in mama valle erected is accrued dally based on the interest ea ea applicable to oada days balance.
M.Mple dbcatens undo 5% sue be grouse.] into the category eI nemer in Me pie chart. Margin et me seminars.
Emory - Toted Account EgutlyrtTotal Lena Maginable Value • Total Short Value) Financial Statement Notification: The mamma« ol Mancol sandmen lor TO limentrade
An investment h a money mad* turd is not insured Or guaranteed by the Federal ~bible torte a year and may be obtened al no cost. via the inland al
Activity Summary: The opening and dosing cash balances are reconcree here lor year quick Depose Insurance Corporabon (FDIC' or any oma enfant« agency. Although the Mariz,\weretclamentradocorstinancuistatamentatml.
remreet). Al account acinity es summansed lor the current period and yea to date_ kinds Beek 10 mum° the val.« yOur invesbment al 5 00 pe Mere. it b Nubble
income a Expense Summary inemIRAs only): This secton dolrob the income and manse lose more, by invasion in a money marker bid. Ohneeds are declared dab and Option Assignment: AP short amity moon panons and some index wean captions are
tOtaH from the AttisMy Summary and Clanitla the lax irealMent. pactramested monthly. The prospectus °mans this rd other important rtormaton nub» tor assgnment Exacee annulment naces 1.0r Oa" or index options are fendOnay
Rebnement Account Summary (IRAs only): Review Ma IRS rog natod transaceons for iho Read the prospectus Clakil)r Wore antding. Nendepail investments herd by your alocaled among allclads shoos posoons by an automated protease.
curare ard sea years IRS EOM) 6198 lair mankrt value is based On the current value as of broker dealer WC NOT FDIC INISURED f NOT BANK GUARANTEED? MAY LOSE VALUE.
December 31 01 the previous )oar an] wt be furnished to go Internal Revenue Sauce. Free Great Balances (Rule 15c34 4 3): Under me dent protection has, we may use tree
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Account Postbons: New your rnestrnonts a to current market vabo and corrparo the emend ambled 10 you
cal to see i.neetioed gains and lases ri your WINO Original cost is (manned using 1110 Margin Aecounts (Regulation T): H you have a margin af [PAIL Oa report a a combnaten ol
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Online Cash Services Summary: Croft are debt transaction totals lor the adore statement Margin and Options Account Agreements:Prompter adviser 11) Amentrade n wane et ozocueon at waseldame•Cradocom A mitten copy is avalable wen rapers.
rePOrtag 00006 be summarized. Indhieked laneaCteriet ate not listed any change in your investment ebecbms or Marcia, shown as they warn to your
'Due to rounding adustments. the stsoment deals may not equal the statement totals. ~ w O in n m e o m . O a p t li t t e ns a 0 c 1 c m O o u o nt n a s g b re a e n m a en n ts a . » A i s su a m m m ia a b ry le 0 . 1 cOmmissions and chugs» incurred m 11 a Is k e o r u s r b p e lo a y d . O a n b s t e h n e t ° d b e it n ty o t r o d e p rs ro t v o e t , h e b e c s o t n e tr x a e ry c , u t t l o e n s e a le r c d t b th r e o k h a a s, l m de a 01 r s ~ . n an o d ma p r i k n e e t
tenatialed Anna/ Income and Eserrated Annual Yield values a • based upon the number of empromment on market orders. Paco impternemam is avant»~ Of Doran market endion.
shares craned or 0110111 value balance as al the statement dale ard the most recent °linden! Omni Mats Prices: The maket )dues ol seances have ban cleaned it ~Ob. Item and we regular>, manta execuvens to lest brash imacroment ti mulatto
rate a Cash OW provided (sateen eedos are Other iv:Wendt« sans Warm WO bawd On me dong at* the
man Waco the bd aid shrg paces a ether reeds, P na mate yawls /Matte tom a Trod, CoMIrmilleont (Ruler 100-10): MI COMMlliOnt4 ale areMilled On the inanstaMn dale.
GENERAL INFORMATION chidden mote Ones indepIndent Vane. Ile Saab it. tailed 10 bang weeded tie
• Pst eNP). uludons an your wade race are proeded as gonad intommon sd Teem: Transactions in Ryden securities °khan° brenn 00^11M0Y ADM Mkt trade in Me
ID Mientrade does not provide legal or lax Mete Please consu, you legal advaor or lax vu ara guarantee to aura, dry somas aces Moyne backed postons too oleo] U.S,) may include taxes and foes charged by to tannin matte or governments. Walt may
MCOuntant when necessary. A8 a !landed inekeby WOMB. adne COneeMentne may be rang me remanng bilace are the anal metal cite Portia» Neal »batons may net be Needed in Intake 01 the security Of Charged PS an Odependeni (no dam
records br Salty antra led TransettiOn veritlaten Purdah". repreart aka procoot, The seo:nday natal la Cathodes ce Comosts (CDs) is antr a»
nou' and the acted idle mot be dtteml from the ~Use fete Asqrrart loss d diapel Pitney Peaky Nalliallon: A cony of the TO Amoebae» privacy DOMY is dyeable al
For TO Amm-oado basoboonal clews. you, advisor ben es separate from and not abated was may roan ton to zakt ol a CD prof to resits Bends anb Ftcd Vona Scanla trade weerklamaindecorn
TO Ansernrada. Inc. a TO Arraerado Oaring, Inc.. and oath Irm is not responsble la the dittenvy mar may scarem and ant eido en a Mud oxchango. Reba they raden Me
1,00X18 end antes 01 the Prier. OTC 104) Me °punka: nwled and Widen' Nude/ miy nol tad ter W s art sour PadenPa Gabble Stamba: The aerie of penis retlemplons a cab is done tong e creeds Wen
to maybe. lho sale or bat pna to many may «art a a Ices cl paned. syllem. A doscoption ol the procsdres br rabble steunla is zalmbol to rebido a hare
Accuacy of Reports: it you find any errors or omissions In your account summate you cope. are available tango:pall.
should immediately call us al the number listed on page One of your stelownent You Non Standard Areas OGAI are typos» warrants in drat pawpaw program 'court:as
should also contact our Gloating Fern, TD Amethrade Glowing, Inc. el 800469-91100. gatexistess. knead tablity cempana. er teal estate meaner. Ina car:moiety web, pogo in Case 01 das Oe epestona about your ElettOniC Fund Tandem please CO lad 8 al
duty. Ora» debt or hedge itch. NSA6 ere hpedb houd ~1~3 ad do na lode en a 1.903 669.3900, or in twang to P.O. Box 2209. Omaha, NE 68103. or by email al
Please renew tile sideman, cattily. It you ctsagreo sob any transacton or el Mae ate any nama saunas catmint.« Me Maine Stoa Wad The 'dues Moen Ier mad manaas dierefotavialrokaldaMentolde COm The ~fleece cOntaned in your *awn statement shall
errors or omissions please nobly a Ghent Services reprosenttehe a yes loal back NCB. as are eelimtled etAata dehed han ,ortod methedk baring but net »bed le independent be brndng upon you if you de not otleci whin sub 10)1days lor any !candor ot luide stetpa
wel as 10 Amairade Cleanse. Inc. in wmrg norm ton (10) days of yea recept of this appracals the Pag'a'ns nee amt, anew tred pastybonder diers tut hee boe waded by to Regdabon E, such as ATM and point ot sale :rarely., deb: transachons, direct deposes.
statement. Any oral statements that you here made to us shard be COMMod in whin The te mama) ei, acherarater, and«r p:r°d each awn a by a thrdpaty vat« stout and wilhOirealto We must har from you no late. than 60 arm age, we sera yeti Me MST
statement sill ahemt o be considered concbake. independent weicattn by TO ~a. Values mar not Meet the crignal ~ate pica, statement on which the error or problem appealed.
reut maan 'due a be roam] 'an Soudasen an onnutad value card be ~tad (I) Tell us YOU' rente and account ranger
Please nary uti promptly 01 any changes in yes canted information. Transactions Maeda* On trough teSe methods. the ultrafen ma be reflected as NOr•Poted Chin Fa addlizad deral (2) Dosed>, the error or aa :rand« you are unsure about. and explain as dearer as you can
vas report wil be concbsemly doomed acwato unless you web TO Amen:fade ernmodatay. ~en ~aeon Ice NenStardanel lads. plowe coma Cant Sans. Mere ~dram why you bolero it is an error or why you need owe inlormabon.
are na come] under the SPC.. (3) Tell us the dollar amount of the striPededenor
Account Prolettbn: Deposes bald by MBank. NA ard TD Bank USA. N.A. aro insured by Wo n‘li nestpee your complant and wit camel arty error promptly. II we lake more than ID
i t n h i e a t F a D ir I a C l. k T n O ot le C a o r v n e r m ed a r b e y a S b I o P u C t ) F u D p IC 1 0 e n 52 r 5 a 0 g .0 e 0 0 g . o L t i o m it w s e r a e r e Id C pe g r O a v. c t S ou e n C t u l o lia r l m s. e i r n t d il i l g ) e p n e e r H A m ud a e la n ld R e a . K o o S rn c c u h rr ia ie td s e (M n ~ O k D m P ro o n r W g: i T e h r e n m eo ot a e d t w a a t ~ s e la s OA T S h s e c ec o a n r e ay s a ~ l m b e e e e ki n n t g a i5 a n n e . t N yo a u r w a it 's h a d v a e y s a a to u d s O e T a h l is t . h w e e f l w e i e t c c y r d e o d n i n y e ou m r o a t t t m e o n d t t b ak r e t s h e u s a m to o co u r r n y : O M u a th o in u k r i i n s v in es e t r i r g o a r t . e w d e~
mutual funds, held in your ardierage ACCOunt are not deposits Or obligations of. or aflame]. Ha makei ~ea na matte. TD stralende all prom ate OAS parten.niag rib
guaranteed by. any bank. aro not FOltinared. and invoke envestmont rides, includng ~Metter bet to Muddy ad underteme crock gusty. The ARS market is currordy
casaba loss el princpal. TD Noordode is a member ol the Saunas Investor Praotten agandrigelICkdbally end. Ca me them an be no manna mal such worries an
Corporation (SIPC'). which pretons secunlies °stomas of its members up lo 5500.000 to sela order one mate codeas, AUTO Ia0T.14
(incazdine $250.000 ha dada fez cash). Explanatory brochure is available on request Si
REGULATORY DISCLOSURES
wewsipeorg.
Addltionaily. TO AnierilfaCie provides eta dent 5149.5 milion worth 01 protection for MI :Tana:eons aro seboct to me consteubon. Nes. regulatens customs and usages
securities and 52 Milian 01 prettien for ash trough SupOlemental coverage provided by d the exchange or market, and its deangtrouSe. H any. on erich such tranSaChais are
Leman torture» a Ex m oral: pi) ledeal lam. enduing me Securities k f A ct 0 t 1 e 1 933 a a nd A t tr t i o o Saut a e n s d SONY_GM_00011949
con . E o and the
• esa nl~ D O
EFTA 00122600
EFTA01268079

ID Ameritrade Statement Reporting Period:
08/01/17 - 08/31/17
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 13-3
PO BOX 2209 ST THOMAS. VI 00802-1348
OMAHA, NE 68103-2209
TD Am.:fired° Clearing. Inc.. Member SIPC
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ - $ - $ $
Insrd Dep Acct (IDA) 51.693.13 51,691.81 1.32 0.03%
Money Market
Short Balance
Stocks
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $51,693.13 S51,691.81 S1.32 S 0.00 0.0% 100.0%
Cash Activit Summar Income & Ex • ense Summar
Non
Current YTD Reportable YTD
Reportable
Opening Balance $0.00 $ - Income Cost Basis As Of - 08/31/17 •'
Securities Purchased (9,048.40) Dividends $ - $ $14.41 Unrealized Gains
Securities Sold 9,130.79 Interest Unrealized Losses
Funds Deposited Other Funds Deposited/(Disbursed)'
Funds Disbursed Expense Income/(Expense)"O 14.41
Income 14.41 Interest Securities Received/(Delivered)"° 0.00
Expense Fees "To view realized gains and losses for your account, login at
www.tdamerllrade.com and visit My Account> Claln/Loss.
Other (96.80) Other
Closing Balance $0.00 $0.00 Net $0.00 $0.00 $14.41
SDNY_GM_00011950
CONFIDENTIAL
page 1 o12
EFTA_00122601
EFTA01268080

Statement for Account # 867-730320
08/01/17 - 08/31/17
Income Summary Detail'
Description Current Year to Date
Ordinary Dividends $ 0.00 $ 8.26
Qualified Dividends 0.00 6.15
IDA Interest 1.32 4.24
'This section displays current and year to date taxation values for the account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date totals will accurately reflect your cumtiative amount for the year.
Insured De. osit Account Interest Credited
Begin Number Interest Interest PAID tiro
Date Balance of Days Rate Accrued Accrued PAID
08/01/17 $ 51,691.81 31 0300 $ 1.32 $ 1.32 $ 1.32
Total Interest Income $1.32
Insured De • osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,691.81
08/31/17 08/31/17 Received Interest: Insured $ 1.32 51,693.13
Deposit Account Bank NA
Closing Balance $51,693.13
TD Bank NA $51,693.13
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to amicable knits and held by TO Bank. N.A.. or TO Bank USA. NA. or both. The IDA balances are not coveted by the
Securities Investor Protection Corporation (SIPC) protection applicable to yots brokerage account.
CONFIDENTIAL SDNY_GM_00011951
page 2 of 2
EFTA_00122602
EFTA01268081

ID Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
Industry Trade Settlement Date Change
On September 5. 2017, the financial industry will shorten the settlement cycle process for trades of
most securities (including equities, exchange-traded funds (ETFs), fixed-income products. unit
investments trusts [UlTs), and other products comprising these types of securities) from three business
days after the trade date ("T+3") to two business days after the trade date ("T+2"). This will reduce a
number of risks for the financial markets and for individual investors, including credit risk, market risk,
and liquidity risk.
What does this mean for you? After the industry completes this change, you will receive payment faster
after you sell a security, you will have the ability to trade a day earlier with funds from the sale of a
security, and you'll be required to provide funds to your broker more quickly after you buy a security. If
you have any questions about how this change will affect you specifically, please let us know. You can
log in to your account and go to Client Services > Message Center to write us, or call Client Services
24/7 at 800-669-3900.
CONFIDENTIAL SDNY_GM_0001 1952
EFTA_00 I 22603
EFTA01268082

Terms and Conditions
STATEMENT GUIDE
nr.zerado pretdes morally Portfolio Reports lor accoums Mm acvaty and quarterly reports 1. the event ea brokerage insolancy. a dent may Wain,( Wants due tram the Moe» F an ono brochure that nabobs informabon desating FINRA's Pisli Chsclasuro
'a mud accounts soh assets.. in bankruntcY and Ilan SIPC, Seallemental covomgo es pad out oiler the trustee and Program. please Contact FINRA at 800289'9999 Of waselirmag.
Portfolio Summary: Track) the Current Nitre a your 000010 as 01 the »pat dale and SIPC payouts and unclar such coverage each dent is limited to a antrod return at
compares ry a> me prior month? The MIMI 010:alen MONS your partake divagealion by 5152 mitiOn horn a algae. SIPC and London insurers The TO entedlrade supplemental lbo interest rato shoal. for TO Ameasade Cash o laken from the applcabe morose rate eer tor
investment type coverage has an aggregate km of 550) muon ova all customers. This potty provides the Markel Value balance n me TO amertrede Cad,. as 01m e illabloment °bang date Simple
Coverage loliCraing brauvage insohendy are does nO1 poled against lass in mama valle erected is accrued dally based on the interest ea ea applicable to oada days balance.
M.Mple dbcatens undo 5% sue be grouse.] into the category eI nemer in Me pie chart. Margin et me seminars.
Emory - Toted Account EgutlyrtTotal Lena Maginable Value • Total Short Value) Financial Statement Notification: The mamma« ol Mancol sandmen lor TO limentrade
An investment h a money mad* turd is not insured Or guaranteed by the Federal ~bible torte a year and may be obtened al no cost. via the inland al
Activity Summary: The opening and dosing cash balances are reconcree here lor year quick Depose Insurance Corporabon (FDIC' or any oma enfant« agency. Although the Mariz,\weretclamentradocorstinancuistatamentatml.
remreet). Al account acinity es summansed lor the current period and yea to date_ kinds Beek 10 mum° the val.« yOur invesbment al 5 00 pe Mere. it b Nubble
income a Expense Summary inemIRAs only): This secton dolrob the income and manse lose more, by invasion in a money marker bid. Ohneeds are declared dab and Option Assignment: AP short amity moon panons and some index wean captions are
tOtaH from the AttisMy Summary and Clanitla the lax irealMent. pactramested monthly. The prospectus °mans this rd other important rtormaton nub» tor assgnment Exacee annulment naces 1.0r Oa" or index options are fendOnay
Rebnement Account Summary (IRAs only): Review Ma IRS rog natod transaceons for iho Read the prospectus Clakil)r Wore antding. Nendepail investments herd by your alocaled among allclads shoos posoons by an automated protease.
curare ard sea years IRS EOM) 6198 lair mankrt value is based On the current value as of broker dealer WC NOT FDIC INISURED f NOT BANK GUARANTEED? MAY LOSE VALUE.
December 31 01 the previous )oar an] wt be furnished to go Internal Revenue Sauce. Free Great Balances (Rule 15c34 4 3): Under me dent protection has, we may use tree
• P edan b na r n y c o e u r S M um um ma a r r y e :M str o n n o it r o e r s y t o ra u t r e a g n y n . ual podia» perlamance end the unrealized gains and c T a h n e b b e al a liq n u c i e d a ii t e y d o o u n r b y a o n u k r o d r e d p e o r, s i a t n s d e c th a e n p t ro O c r e s e h d a s re r s e t o u f r n y e a d w l o m y o e n n e , y s m ec a u k ri e tie l s M a a c u co d u n fu t n o d r b on e d de il m ba a l n a d n . c es n your Meant in Ine Ordinary Corse ol our boonwo wah are payable to yOu
Account Postbons: New your rnestrnonts a to current market vabo and corrparo the emend ambled 10 you
cal to see i.neetioed gains and lases ri your WINO Original cost is (manned using 1110 Margin Aecounts (Regulation T): H you have a margin af [PAIL Oa report a a combnaten ol
1 a r n s t. tm lb . r o in t e e s m tim ( a F t I e F d O K ) m al e t t m ho a d n . ' w e a n tc o h a m as e s 2 u a m n e d . a th v e e r P a s ge i s c h o w s a t s p > e O r u s s h e a t r e e r a e r e 15 d 0S a e d a yO y u e d pu f r o ch r a y s o e u d r T ta a x x r R ep e a p e er r e g n n g : e Th r e ra W ta W - a I) w m eb a r IR t 6 S M no O mr M ow ' n la is v I a nc « lu de Ye s a r t w rai a l M t a m ke o R d a . m b a 10 d 3 o 9 n fo s r . a ta re pt a e l l r Y is O k u s r M an a d rg i a n e n e o t t o m ase u a tt n ° l a o r w a e ll d in s v e m s a to t r o s r . a A rd c o a m rp e e t c t o * g l e e n t t o T t r e th d e n g ra o k n i m as a s r o g c n ia p t o e s d e v s a a t d e re lli t o a n i a n l
A /e c le c g o a u n n ce t A ta e e th o i d ly e : s A t p l W urch e a d se " a da ci l h e il o y r s is h d o e w a n f e fo r r d a e n ln n e c d ic . a l t e io le n d 0 i 1 n y O ou de In o k rd in e g r. P ar e d rn c a ol . l ected OI the g W e I n b e e r tw el e a e t e ~ d 1 e n sde a rd n e d p s e a n e t m s e p r o o c c e e a m ns b . l. Some OlernWell are !naga to radessibelOn shah d tr o e c e u in m g e i n s t b a y y / c d o a n b ta » c t i i n n g M u e s e m l a th rg e i r n u f m ah b a d is W cl e o d su o r n e p 0 a 0 g 0 e .0 O •4 n 0 e 1 0 . 1 Y y O ou u r m st a a y te m ob e t n a t i . n a copy a INS
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Online Cash Services Summary: Croft are debt transaction totals lor the adore statement Margin and Options Account Agreements:Prompter adviser 11) Amentrade n wane et ozocueon at waseldame•Cradocom A mitten copy is avalable wen rapers.
rePOrtag 00006 be summarized. Indhieked laneaCteriet ate not listed any change in your investment ebecbms or Marcia, shown as they warn to your
'Due to rounding adustments. the stsoment deals may not equal the statement totals. ~ w O in n m e o m . O a p t li t t e ns a 0 c 1 c m O o u o nt n a s g b re a e n m a en n ts a . » A i s su a m m m ia a b ry le 0 . 1 cOmmissions and chugs» incurred m 11 a Is k e o r u s r b p e lo a y d . O a n b s t e h n e t ° d b e it n ty o t r o d e p rs ro t v o e t , h e b e c s o t n e tr x a e ry c , u t t l o e n s e a le r c d t b th r e o k h a a s, l m de a 01 r s ~ . n an o d ma p r i k n e e t
tenatialed Anna/ Income and Eserrated Annual Yield values a • based upon the number of empromment on market orders. Paco impternemam is avant»~ Of Doran market endion.
shares craned or 0110111 value balance as al the statement dale ard the most recent °linden! Omni Mats Prices: The maket )dues ol seances have ban cleaned it ~Ob. Item and we regular>, manta execuvens to lest brash imacroment ti mulatto
rate a Cash OW provided (sateen eedos are Other iv:Wendt« sans Warm WO bawd On me dong at* the
man Waco the bd aid shrg paces a ether reeds, P na mate yawls /Matte tom a Trod, CoMIrmilleont (Ruler 100-10): MI COMMlliOnt4 ale areMilled On the inanstaMn dale.
GENERAL INFORMATION chidden mote Ones indepIndent Vane. Ile Saab it. tailed 10 bang weeded tie
• Pst eNP). uludons an your wade race are proeded as gonad intommon sd Teem: Transactions in Ryden securities °khan° brenn 00^11M0Y ADM Mkt trade in Me
ID Mientrade does not provide legal or lax Mete Please consu, you legal advaor or lax vu ara guarantee to aura, dry somas aces Moyne backed postons too oleo] U.S,) may include taxes and foes charged by to tannin matte or governments. Walt may
MCOuntant when necessary. A8 a !landed inekeby WOMB. adne COneeMentne may be rang me remanng bilace are the anal metal cite Portia» Neal »batons may net be Needed in Intake 01 the security Of Charged PS an Odependeni (no dam
records br Salty antra led TransettiOn veritlaten Purdah". repreart aka procoot, The seo:nday natal la Cathodes ce Comosts (CDs) is antr a»
nou' and the acted idle mot be dtteml from the ~Use fete Asqrrart loss d diapel Pitney Peaky Nalliallon: A cony of the TO Amoebae» privacy DOMY is dyeable al
For TO Amm-oado basoboonal clews. you, advisor ben es separate from and not abated was may roan ton to zakt ol a CD prof to resits Bends anb Ftcd Vona Scanla trade weerklamaindecorn
TO Ansernrada. Inc. a TO Arraerado Oaring, Inc.. and oath Irm is not responsble la the dittenvy mar may scarem and ant eido en a Mud oxchango. Reba they raden Me
1,00X18 end antes 01 the Prier. OTC 104) Me °punka: nwled and Widen' Nude/ miy nol tad ter W s art sour PadenPa Gabble Stamba: The aerie of penis retlemplons a cab is done tong e creeds Wen
to maybe. lho sale or bat pna to many may «art a a Ices cl paned. syllem. A doscoption ol the procsdres br rabble steunla is zalmbol to rebido a hare
Accuacy of Reports: it you find any errors or omissions In your account summate you cope. are available tango:pall.
should immediately call us al the number listed on page One of your stelownent You Non Standard Areas OGAI are typos» warrants in drat pawpaw program 'court:as
should also contact our Gloating Fern, TD Amethrade Glowing, Inc. el 800469-91100. gatexistess. knead tablity cempana. er teal estate meaner. Ina car:moiety web, pogo in Case 01 das Oe epestona about your ElettOniC Fund Tandem please CO lad 8 al
duty. Ora» debt or hedge itch. NSA6 ere hpedb houd ~1~3 ad do na lode en a 1.903 669.3900, or in twang to P.O. Box 2209. Omaha, NE 68103. or by email al
Please renew tile sideman, cattily. It you ctsagreo sob any transacton or el Mae ate any nama saunas catmint.« Me Maine Stoa Wad The 'dues Moen Ier mad manaas dierefotavialrokaldaMentolde COm The ~fleece cOntaned in your *awn statement shall
errors or omissions please nobly a Ghent Services reprosenttehe a yes loal back NCB. as are eelimtled etAata dehed han ,ortod methedk baring but net »bed le independent be brndng upon you if you de not otleci whin sub 10)1days lor any !candor ot luide stetpa
wel as 10 Amairade Cleanse. Inc. in wmrg norm ton (10) days of yea recept of this appracals the Pag'a'ns nee amt, anew tred pastybonder diers tut hee boe waded by to Regdabon E, such as ATM and point ot sale :rarely., deb: transachons, direct deposes.
statement. Any oral statements that you here made to us shard be COMMod in whin The te mama) ei, acherarater, and«r p:r°d each awn a by a thrdpaty vat« stout and wilhOirealto We must har from you no late. than 60 arm age, we sera yeti Me MST
statement sill ahemt o be considered concbake. independent weicattn by TO ~a. Values mar not Meet the crignal ~ate pica, statement on which the error or problem appealed.
reut maan 'due a be roam] 'an Soudasen an onnutad value card be ~tad (I) Tell us YOU' rente and account ranger
Please nary uti promptly 01 any changes in yes canted information. Transactions Maeda* On trough teSe methods. the ultrafen ma be reflected as NOr•Poted Chin Fa addlizad deral (2) Dosed>, the error or aa :rand« you are unsure about. and explain as dearer as you can
vas report wil be concbsemly doomed acwato unless you web TO Amen:fade ernmodatay. ~en ~aeon Ice NenStardanel lads. plowe coma Cant Sans. Mere ~dram why you bolero it is an error or why you need owe inlormabon.
are na come] under the SPC.. (3) Tell us the dollar amount of the striPededenor
Account Prolettbn: Deposes bald by MBank. NA ard TD Bank USA. N.A. aro insured by Wo n‘li nestpee your complant and wit camel arty error promptly. II we lake more than ID
i t n h i e a t F a D ir I a C l. k T n O ot le C a o r v n e r m ed a r b e y a S b I o P u C t ) F u D p IC 1 0 e n 52 r 5 a 0 g .0 e 0 0 g . o L t i o m it w s e r a e r e Id C pe g r O a v. c t S ou e n C t u l o lia r l m s. e i r n t d il i l g ) e p n e e r H A m ud a e la n ld R e a . K o o S rn c c u h rr ia ie td s e (M n ~ O k D m P ro o n r W g: i T e h r e n m eo ot a e d t w a a t ~ s e la s OA T S h s e c ec o a n r e ay s a ~ l m b e e e e ki n n t g a i5 a n n e . t N yo a u r w a it 's h a d v a e y s a a to u d s O e T a h l is t . h w e e f l w e i e t c c y r d e o d n i n y e ou m r o a t t t m e o n d t t b ak r e t s h e u s a m to o co u r r n y : O M u a th o in u k r i i n s v in es e t r i r g o a r t . e w d e~
mutual funds, held in your ardierage ACCOunt are not deposits Or obligations of. or aflame]. Ha makei ~ea na matte. TD stralende all prom ate OAS parten.niag rib
guaranteed by. any bank. aro not FOltinared. and invoke envestmont rides, includng ~Metter bet to Muddy ad underteme crock gusty. The ARS market is currordy
casaba loss el princpal. TD Noordode is a member ol the Saunas Investor Praotten agandrigelICkdbally end. Ca me them an be no manna mal such worries an
Corporation (SIPC'). which pretons secunlies °stomas of its members up lo 5500.000 to sela order one mate codeas, AUTO Ia0T.14
(incazdine $250.000 ha dada fez cash). Explanatory brochure is available on request Si
REGULATORY DISCLOSURES
wewsipeorg.
Addltionaily. TO AnierilfaCie provides eta dent 5149.5 milion worth 01 protection for MI :Tana:eons aro seboct to me consteubon. Nes. regulatens customs and usages
securities and 52 Milian 01 prettien for ash trough SupOlemental coverage provided by d the exchange or market, and its deangtrouSe. H any. on erich such tranSaChais are
Leman torture» a Ex m oral: pi) ledeal lam. enduing me Securities k f A ct 0 t 1 e 1 933 a a nd A t tr t i o o Saut a e n s d SONY_GM_00011953
con . E o and the
• esa nl~ D O
EFTA _00122604
EFTA01268083

Statement Reporting Period:
1D Ameritrade
09/01/17 - 09/30/17
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTFIS STE 8-3
PO 80X 2209 ST THOMAS. VI 00802-1348
OMAHA, NE 68103-2209
TO Amer'bade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period 0,0 Estimated Estimated
Investment Value Value Change Change Income Yield Piortfollio Alllocat.ion
Cash $4.85 $ - $4.85 $ -
Insrd Dep Acct (IDA) 1,687,211.45 51,693.13 1,635,518.32 3163.9% 0.09%
Money Market
Short Balance
Stocks
Stocks 839,550.00 839,550.00 9,900.00 1.2%
33.2%
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds IDA
66.8%
Other
Total $2,526,766.30 $51,693.13 $2,475,073.17 4788.0% $9.900.00 0.4%
Margin Equity 63.0%
Cash Activity Summary Income & Ex . ense Summa Performance Summary
Non
Current trro Reportable YTD
Reportable
Opening Balance $0.00 $ - Income Cost Basis As Of - 09/30/17" $814,571.50
Securities Purchased (814,571.50) (823.619.90) Dividends $ $ $14.41 Unrealized Gains 24,978.50
Securities Sold 9.13a 79 Interest 0.69 0.69 Unrealized Losses
Funds Deposited 2,450,000.00 2,450,000.00 Other Funds Deposited/(Disbursed)n° 2,450,000.00
Funds Disbursed Expense Income/(Expense)"° 15.10
Income 0.69 15.10 Interest Securities Received/(Delivered)"° 0.00
Expense Fees **To view realized gains and losses for your account, login at
www.tdameritrade.com and visit My Account > Gab/Loss.
Other (1,635,424.34) (1,635,521.14) Other
Closing Balance $4.85 $4.85 Net $0.69 $0.00 $15.10
SDNY_GM_00011954
CONFIDENTIAL
Nigel of 5
EFTA_00122605
EFTA01268084

Statement for Account # 867-730320
09101/17 - 09/30/17
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer $ 2,450,000.00 $ 2,450,000.00
Subtotal 2,450,000.00 2,450,000.00
TOTAL 2,450,000.00 2,450,000.00
Income Summary Detail'
Description Current Year to Date
Ordinary Dividends $ 0.00 $ 8.26
Interest Income Credit Balance 0.69 0.69
Qualified Dividends 0.00 6.15
IDA Interest 93.98 98.22
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reponable in a prevbsus tax year (spillover dividends). The year to date feuds will accurately reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
BRUNSWICK CORP BC 15,000 $ 55.97 $839,550.00 09/18/17 $ 814,571.50 $ 54.30 $ 24,978.50 $ 9,900.00 1.2%
COM
Total Stocks $839,550.00 $814,571.50 $24,978.50 $9,900.00 1.2%
Total Margin Account $839,550.00 $814,571.50 $24,978.50 $9,900.00 1.2%
Online Cash Services Transaction Detail
Category Transaction Date Description Amount
CREDITS
Electronic Transfer 09/13/2017 WIRE RECEIVED:SOUTHERN FINANCIAL LLC C $ 2,450,000.00
Subtotal 2,450,000.00
TOTAL 2,450,000.00
SDNY_GM_00011955
CONFIDENTIAL
page 2 of 5
EFTA 00122606
EFTA01268085

Statement for Account # 867-730320
09/01/17 - 09/30/17
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance $ 0.00
09/13/17 09/13/17 Margin - Funds Deposited WIRE RECEIVED:SOUTHERN $ 0.00 $ 2.450.000.00 2.450.000.00
FINANCIAL LLC C
09/ 4/17 09/14/17 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (2.450,000.00) 0.00
DEPOSIT ACCOUNT
09/ 9/17 09/19/17 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 81.183.50 81.183.50
DEPOSIT ACCOUNT
09/ 8/17 09/20/17 Margin Buy - Securities Purchased BRUNSWICK CORP BC 5.000 53.7275 (268.643.50) (187,460.00)
COM
Commission/Fee 6.00
09/20/17 09/20/17 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 187.460.00 0.00
DEPOSIT ACCOUNT
09/21/17 09/25/17 Margin Buy - Securities Purchased BRUNSWICK CORP BC 5.290 54.62 (288.945.80) (288,945.80)
COM
Commission/Fee 6.00
09/21/17 09/25/17 Margin Buy - Securities Purchased BRUNSWICK CORP BC 300 54.61 (16.383.00) (305,328.80)
COM
09/21/17 09/25/17 Margin Buy - Securities Purchased BRUNSWICK CORP BC 700 54.60 (38.220.00) (343,548.80)
COM
09/21/17 09/25/17 Margin Buy - Securities Purchased BRUNSWICK CORP BC 500 54.59 (27.295.00) (370,843.80)
COM
09/21/17 09/25/17 Margin Buy - Securities Purchased BRUNSWICK CORP BC 300 54.58 (16.374.00) (387,217.80)
COM
09/21/17 09/25/17 Margin Buy - Securities Purchased BRUNSWICK CORP BC 400 54.57 (21.828.00) (409,045.80)
COM
09/21/17 09/25/17 Margin Buy - Securities Purchased BRUNSWICK CORP BC 300 54.55 (16.365.00) (425,410.80)
COM
09/21/17 09/25/17 Margin Buy - Securities Purchased BRUNSWICK CORP BC 700 54.54 (38.178.00) (463,588.80)
COM
09/21/17 09/25/17 Margin Buy - Securities Purchased BRUNSWICK CORP BC 410 54.53 (22.357.30) (485,946.10)
COM
09/21/17 09/25/17 Margin Buy - Securities Purchased BRUNSWICK CORP BC 1.100 54.529 (59.981.90) (545,928.00)
COM
09/25/17 09/25/17 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 545.928.00 0.00
DEPOSIT ACCOUNT
SDNY_GM_00011956
CONFIDENTIAL
page 3 of 5
EFTA_00 122607
EFTA01268086

Statement for Account # 867-730320
09/01/17 - 09/30/17
Account Activit
Trade Settle Acct Transaction,' Symbol
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
09/29/17 09/29/17 Margin Div/Int - Other FDIC INSURED DEPOSIT k4MDA1 0.00 4.16 4.16
ACCOUNT
CORE NOT COVERED BY SIPC
Interest: Insured
Deposit Account Bank USA
Payable: 10/31/2017
Insured Deposit Accoun 3.55
09/29/17 09/29/17 Margin Divilnt - Income INTEREST CREDIT 0.00 0.69 4.85
Payable: 09/29/2017
Closing Balance $4.85
For Cash Activity totals. refer to the Cash ActMty Summary on page one of your statement
TD Ameritrade Cash Interest Credit/Ex . - nse
Begin Margin Credit Number Interest Interest Interest
Date Balance Balance of Days Rate Debited Credited
09/13/17 $ - $ 2,450,000.00 1 0.01 $- $ 0.67
09/19/17 81,183.50 1 0.01 0.02
Total Interest Income/(Expense) $0.00 $0.69
Insured Deposit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
09/01/17 S 51.693.13 13 0.0300 0.55 $ 0.55 $ -
09/14/17 2.501.693.13 5 0.0900 30.84 31.39
09/19/17 2,420.509.63 0.0900 5.96 37.35
09/20/17 2,233,049.63 5 0.0900 27.52 64.87
09/25/17 1,687,121.63 6 0.0900 24.96 89.83 89.83
Total Interest Income $89.83
Trades Pending Settlement
Account SymboU Trade Settle
Investment Description Type CUSIP Quantity Price Date Date Amount
BUY CAVCO INDUSTRIES INC Margin CVCO 3,300 $ 149.00 09/29/17 10/03/17 $ (491,706.00)
COM
SDNY_GM_0001 1967
CONFIDENTIAL
page 4 of 5
EFTA_00122608
EFTA01268087

Statement for Account # 867-730320
09;01/17 - 09/30/17
Insured De r osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $51,693.13
09/14/17 09/14/17 Received FDIC INSURED DEPOSIT ACCOUNT $ 195,806.87 247500.00
CORE NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/14/17 09/14/17 Received FDIC INSURED DEPOSIT ACCOUNT 2,254,193.13 2.501.693.13
CORE NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/19/17 09/19/17 Delivered FDIC INSURED DEPOSIT ACCOUNT (81,183.50) 2,420,509.63
CORE NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
09/20/17 09/20/17 Delivered FDIC INSURED DEPOSIT ACCOUNT (187.460.00) 2.233.049.63
CORE NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
09/25/17 09/25/17 Delivered FDIC INSURED DEPOSIT ACCOUNT (545.928.00) 1.687.121.63
CORE NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
09/29/17 09/29/17 Received Interest: Insured 78.90 1,687,200.53
Deposit Account Bank USA
09/29/17 09/29/17 Received Interest: Insured 10.92 1,687,211.45
Deposit Account Bank NA
Closing Balance $1.687,211.45
TD Bank NA $247,500.00
TD Bank USA NA $1,439,711.45
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage acccuu are FDIC-insured up to applicable limits and held by one or more banks (Program Banks,. Two of the Program Banks are TO Bank. N.A. and
TD Bank USA. NA. both affiliates of TD Arnenuade. The IDA balances are not covered by the Securities Investor Protection Corporation (SIPC) protection applicable to your takerage account.
CONFIDENTIAL SDNY_GM_00011958
page 5 of 5
EFTA_00 122609
EFTA01268088

10 Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS. VI 00802-1348
CONFIDENTIAL SDNY_GM_0001 1959
EFTA 00122610
EFTA01268089

Terms and Conditions
STATEMENT GUIDE
IL Ar stroeb aardes mortel,. Foreklio Amons lor aocoums wth acverty and quanedy toeans lt Me «Pol 01 a aderend ineolrency. a Clan may realbeeMOunts due trom the Posten For an investor brochuo Mal encbcles informabon desaliang FINAM Pusht Thsclesuro
ta omase accounts tutti asels.' In nardouldnY and mon SIPC. Pocolonental omorago is pad out dier nve trustee and Program. plees° contact FINRA at 030-289.9?99 or wymtiva01.
Portfolio Symfonie,: DOM Ilro Correct «Poe d >Por p00010 es Of the repro dele end SIPC payouts ard Lader such coyotes@ each den es limiled to a temend return ot
~paren n to me prior monlha The Ebt elPoaliOn Meelt, yOur 00010 divendealion by 5152 mniOn Ironie Poelet. SIPC and London in/koers The TO Anteribade Supplanenlel Om inwiest Ø Luen tor TO Amertrade Cash is laken lom Om applcatlis minst rato eer lor
invesimert type navenant bas an aggrogale hm el 550) muon amt as cum:mors. ins polcy taande: th, Makel VON, balace ~TO Amen:rede Carlh. as 01m e delement °Man) dele Simple
Cerevage lotkraing Weswege ineohincy enddoes nOl proleet Poenale» in merkel neb, modest es acnxd dar, base, on the interest rato sa opdraai> to oach days Liane°.
MAM* dboateres under 5% enk be grouped mto thocampory ol toear in tho po chan. Mar dem securnos
Essay - Total Account Ertuib<Froiel Long Maginable Vekte • Total Short Velde) Inname:d Statement Noldbation: The mammae ol atonaal condten lor TO OmonIrado
inveteMent h a money martel Fond ia nol ineured Or gardreeed by Me Federtd ~lede Wee a year and mey be obtentcl al nO ceel. vie Me intomen el
Actrvity Sumarry: Ine opening and doling cash blanca dro reconoted hete lor year aak erepost Insuranar Corporation (F010 a any oma government agent,. Mimi.", 010 Mar.stwortectonentradeoonslinanctabiatemonthrn.
relerosce At account tinnry es sunntanzed lor Me (urgen pand and year to dato_ eUrldS bek 10 posene the valle d yOur imealment al 51 0) p« gure. 4 b pOsebb 10
boom* a Exponeer Summary (nendEAs only): Ibis seroen adat ene mama ard amensa lOtte moro'/ by inmeng n a money merkel kind. (badende eie Mand dely end °neon AssIgnment: MI short onerty ogion canons and same index oom ponbons are
Ixait trom the Sant Summa>, and ePonales the las IrealMent pactrantestod merdy. Tno pntopedos contans des ard odia important dormalon ~Mae lor essignment brede assignintm races to' Nut., or index options ere rendont'
Rebnsment Account Surnmary ORM only): Redes Om IRS reculatod transaceons for lbo Reed the aanmars abrecify Won ~Ong. NOndePollil invettmente held b/ your alocated aflang alldorde shon pontons try an atomlad praatte.
curert ad aa nam IRS Form 5498 Ier Modi« vak* ie band On Me sonant nakie aa or boker dealer We NOT FDIC ItISURED t NOT BANK GUAfteNTEED r MAT LOSE VALDE.
Doorns« 31 ot tho panui yoar ard tur be furrishod tome hierna Revenu° Sance. Free Credit ~annex "Ie 154-2 0 3): Under mo om promotion nets. wo may usa free
l P o a s d s o a n . n *o a r n y c o e u S r l u u m tu m ro a r r o y e :M :t o r n o it m or s > t o ra o t r e o g m y, w al portfolio Postament, eid Ihe ineen/cd gaine and c T a h n e t b o a l l e o n s ° b , o i, n y d o o u n r b y a o n u k r o d r e d p e e r n . d a n e d C C M O e .e c d m O o f r t i i e h d tu s e r S a t d u rn 'M ad u f l o M w ON a S r , s m cc a u k re e e l s o r a d c u co l u n fu t n o d r C on re d di o t r b h a e a id n . eb h yOur account n IN Ordner>, none ol cm boenen whkh en> melde to yOu
Account PositIons: View your rnostrnonts l mo current marka yam ard corrporo the oognel renseled byta
cad to vee irweeked geine and Poses n your pordol0 Originel coel is esagned uling 'he Margin Aecourds (RopulallonT): H you have a margin account. ms report d a combnaton cd
b tr a a b a D . m nr a a to a u n l ( b FI i F d O e ) r m tro e s th tm o a d r . d w e e n ie c n o m as e s 2 u a m n e d e ~ m r e a li g re e ' s c h a a s r t e p , > e P r o s s h e ar t e e r a e r e M o d e on s d y a o y u e p d u l r o c r h a y s o e u d r T tm as D ~ a e a n n g : e . o Th x e rp a la n m d e t w b il a t n E S if M ra a c l e e m r P i o s o r i n n e d n u t d e Y s o u t a e0 b r an ro ke d e FO n r m b o 1 d 0 e 3 9 t. b « P P o o e e n l n yt o r k e , n a e nd o n d O n C o C l O ru Ur r il a a l r e d e lo r W a e ll e i k n t v ] ~ es e to t r e s. n A d c " o mp a l c e o t* b l n a t t c T 4 r a th d e n g ri s o k n s m a e n n o g m n a p li o e s , e tu s n e n d m dl a io n n n a in l
m Ac ie C r O /a u c n e t A W e e t e h « il P y: o A l p l S at i h d o a s r ° t e da cI t M e e ly i i l a o d m e n er b t/ r d e e n lb rd e e d e . I h e o le n « 0 i 1 n y O ou M h o O l r d d e e i r g . P e e n d d 0 r C e 1 l . l eded n me S w e il i t e o . r l e au n w :d ~ o 1 l a t mix e o n c d r e x r r o t s to p r r r o e c c e c n d te s n Sone mimeria ere subject 10 redessnailOn nbds b do e c d u o m e e i n s t b m y a co a n g le ° e l i i n n g m ti e e e m l a m r a g e v a r n e h k e d r i S a e b le e ct t e o n n p c a l g a e v n en e e n o t l Y ro O e u r m st e a y te o m b e ta n i t n e copy or Ms
m Ø O d d T o M a n s . e O n r n s D o s n ta e ; . t c t G n % a a s e n s o e S o h t l m r t W i a n S n l r e e e s e n a r p P v C c o i t o c e r io t t e . i t n n l s e g s T n t p i r s d a o in n n b l n d : o C c . r e l o i m O l n le d f n i c r u t m e d d n y g n o u c m h e e C e m c a A k s O c . h c d r o m e o u d e n a n t n t r A n e c c a d e v r e n d m s r a e y e n n n t d o n I n m M w e o l I a s n A 8 e C n n a M e c e S b u m W r m n e y o M n . m a a d r s l e e . C t e ' l , e s a a ta l r l e e d d ! e m C n k o d a n a i n n t e g o ~ M O c b o A A i M t n .V a N e e y n n l y e e e e t n h l b d e y t C m e a o C r : e W a O n t E e 1 a c e e r h n y m ti C s l d m t . C e c t t a a d h n P s e . w O i M I n D t R h t k S m a A n T 1 m e d E 1 l o ) o D D a n n m ) a a a T e t n o I e n ) d n r a e d e a a d n n d t e a a = l p t a s r c o d e k P p e id o o n e r is i d n e g n C n o a t a n r d l e t p e p G r C e o u r O i n e d R : o t k n m P a e O p i t e l M e a r n I E a w te r D e d ' e a W r r e a s e t 1 a b n P d r d i o o t y t a r n a - o o e le r t l r o s P f s e o e h r a c r l e a e e y e r i m c n e g a t r n e o e c n d s n a c g t s u m o h l o i r e e t e m p C r s n a p t c O h y a a y m r s s M d r s . e a e a b n e r b a t r t . o F o t n b e l k o n « l w a e W » , d r o ( e o C S c r le O t E d p n io m C e : o n c a p s . e R o l t e T n n e r g O g e d s n u e c A ( t s t m a e t m 6 e n l o 0 a t r o r r y 6 t e k n r n e a a m a a l d n f l n e e d o a y t a n i n 6 . O l t t s 0 s h e n o 7 e s n d ) m o : & e i s I e a n l O c u y C l s e e n r e o u n t a m m a n e a g p o n a m e n c r O n d e r t i c c o c a u a u b b m t r r a o e i p b n s r n o e d t i u a s n s n e I e s i r c s n s a e e s t I l n s e a o ll . y e n M r T r o e o l O e a r r Ø d n k m A e e te r e r l n o d C o l r r a o / t e a t o L i a l r l a m t p e n d e t n o g o e r
Onbne Cash Services Sunmwy: Credt ard dabt transactien mats lor mo arrom statement Porgin and Options Account Agreements: Promo,/ aPosol0 Amenirado n meng ot *zoen!~ at wrAvidarrirtrado_com. A ventten copy is avoratle apen roXpett.
rePOnag pedod e summerized. InditiCkel neonataal, eie rot limed. arry deango re your invemment clarcuyos or inarcial stuaren as they man to your
'Je to !tanding oaustments. mo stroman detals may nei apal me statement totals. ~ w M ei i s n n O o r x 0 cr 0 ou 1 tb ~ an 8 o 0 l 0 o 0 p u e n e t n a s g n re a e s r a n : e e n e is n s A i s su ~ m M nb a ay e O . r amminions and charge, ineuned ~ h k es e o f u t r P p o e n nn d y . O a n b s M en e t' P (W a il r ly i o t r o d e a rs a r to d e ln o b e a d n t e ra re r c y s . m to o n s e a le n c d t b th r e ok h et a s l . e d ry o o 0 ie 1 r s s . e a e r li d n g ~ k e e ia i
telnleled Aan' Income end Eserroted Annuel bied vlakten are bets troon Ibe number ei ,Øvematen markt* orders. Poco improyetTentm aV311.1010 unief "han mantel condlsons.
slums coma) or avrom valuta balanca as ot ne statement dale ard mo non team draden:1 Oren Makel Poon: The molmt 'duet d somma ham bom Wand d eraan korn and wo regulary monter execulas to lest lat sten mormonen d as...Matte.
rele or cash Pekt pende() q".:10‘ sent» ad Oer roependen( acne Wim we Woed On Ob dovig aree me
ran beween me brd ad arltrq paces or ahoi re ces. t no marker tam n /Motie smia Trede COMIrmathenti (Ruin 11/0-10): MI contrmalions eie PereminedOn ihe Inanabbn dele.
GENERAL INFORMATION qadaiacn eend> tr Oh« indePoodent Mae. he sec" e Woed lo beng relected
Nul Pace Ce) Die dlu»dts cri your pct raat are Wan», os 90104, Intrrdlon ad Tem: Transactie", in beien sPourilen (nCluSnE bre4gn conelanY ADM Iltel Ira In *be
10 Omen:rade does not aarde legal or las ~ce. Plees* consul, your lepe aPosor or las to dom guramoo bb accuracy ct ave soorten pree:. Molair badrad postons aro mbo] U.S.) me/ rebel° exa ani lees chargod by tre, keer madam en governmenls. Wedt may
titCOurall venen neCesslery. As e standerd inCleby paden. plan COneenblens may be rang Po ~enne banco ad be om« merkel pico Pelde Kast kaldion my nei be rasled in Ute print Ol Me money Of cherged an Poepende« Ine Pon
nabetaal br Sally 00nInat and transaegOn vedrcelm OurpOste. manco, sake aam*, lbo teo:nday naad Ia Cotrodos d Oogst: (Ca) n generaly
ituud and the adat tute me, be dtiews aan Me ~me Vee MatlIcertitss Cl PPoPol Prancy Pormy Notilkillon: A copy of Me TO Amertrecb privacy DOleY ie anPoble el
For TO Amentrade rasebro al acre. ytre °Mes« hm es scparate from and not attbaled wit. mar rooit Pon Me :ab ol a CD par la rralsty Sext adb Ral Worm Securtes Wade waw.Pamegiradoeorn
TO Antentrade. Inc. te TO Armeren° °meng, Inc.. ard aan h'm es rot responsble la the dforomy mal oom sauna and tum rar <natelde accronse. Renet Ins/ waarin»
0100xle end senices Ol Me erher. OTC loer the °punten markt( and dirOtet louctryrntyrxt era ta tor »wil sour poelen picr Cao** Securbern The Oman el podia raemdtnsb calls is dane vang a proeft ketny
to rrauty. To vlo et tent 'mor to rrubsty ma/ rooJi n a las d renapol. mslem. A aoanption el mo proadres br Dankte secunins is avalabloon me ~Ma or haal
Acceracy of Reporls:11 you fInd any errors or omissie:ins In your accouM statement you «mies aro ~tabla twonicep.osi.
*houd immediatety con ve et tho omber had 00 page ome 01 your statement You Non Standard Assem OISAI aso typcaly ~remt ra droeg pastematon program sauma
*houd oho contact our Clearing Frm TD Amentrade Clearing, ro. el 800469-95100. gootrentms. Irtmodnielltycempana. er red MEM rriesron innen certrada pais. prude In Case Ol enorti er epestona abeel your ElearatiC Fund %Adem ',sekse co wei e ei
buty abele deel a eedpre Ø. N546 ere botdy houd mealmtas ad do not Inde ee' a 16606693900. ar n wrang to P.O. Box 2209, Omaha. NE 68103. or by emoe at
Please rcenew ms sialemoM c.iredity. Ir you dragee* wilt any tanndel ord Mae am any nanel mana behanger a ta Krom Stoa Wad Do 'duce dean ta mto mede :nis dieMeentiCE@KMMeritolde.COm The PoOnnaten cOnleined n sou( *aard statement shag
orde er (mene",. please roert, e Dient Services represeMelhe a you 1):81 Winch OPoe. es ere ~Ad takes dete d han orbe ~bolk Pokend bul nol Inbed Is ndependenl be bndng upen youil you do not ettci wthn sub LEE days lor any transfer d lurds si pa
wel as 10 Amairode Cleaneg. Ine. in wrong anno ton (10) days of war record ot th, appret:ah de proeyams rn =eb, and« tred party tonder aders tul ham boen prtmeed by se Rapiabon E. bal as MM and pont obrale tram," doen transactions. wat depeotts.
statement Arry oil statements Ihet you hem made to ui ~JO be CONPoted in writtsp The Me ~mora" ~maand* bader d ØIØ eb/ a thrdpaty vendu Milou! and dihdarnals We Must heer trom var ro teler Man 60 dan after we sent yOu Ine FEST
statement Wil «Ponem be considered conclehe. indgendeM ~esa by TI) noodde. Vatne mei nat raket pkt Øne raglan, pico. statoment en whchthe error or peetoom appeared.
smal mairi 'duo er be roalaxl man Inbidoacn an asemend ida cadet be esLablehed (I) Tell us lag rente and account renter
Fletse natelt a prompity 01 any charter in yocr cOnteci inormation. Tranende% Meehad On *rough rose methode. Me Winden mto be reflected es NOnanced CNV) Fel eddlend Octet (2) Dolen» the error or Po trondor you are unsuro .l out. ard oxplan as dab, as you can
your rcpan wil be concbsepaydecomed aeontourdoss you noely TO Amenfadoirrenadatey. tombng tobben la Pon-Sudan:1 koe. Ome arm Clx Senatet These nossimerts wny you belgro ri is an error or why you nood note solormabon.
re net wand urda ro SIPC (3) Ted us the dab, amodni of ne suepected error.
Account Proleabn: erepoints held by TO Rank. NA ard TD Drek USA. N.A. aro resured by Wo wi, temmers* your °omplant and MI narent any error prompdy. H we lakei more man ID
me FDIC (ral COvered by SIPC) Up 10 $250.000. Emils are per arabist ormert110 per Aden lido Steunbeer/art Pang: Die motet~ Ia MS somma hom boen caaned. business days lo do thie. se wil redt your eccOuM br Ine *motet yin mink is n error. 40 Pot
iinett401. TO leem more etOut FDIC COverage go to twee IdCgOv. Seadharr. indoet® meld». trom chOtakneenbat er Wei Poepende« ~en The way cd ne pag is nos you wil have dr uso ol the rroneydunng tho tm* a takes us toean:Cao ourinvestoaten.
~krat bnp., held in 00 Ontlieten* ACCOunt are MI depOniti Or obligatione d. or ~amant Ha maag taboe rot matte. TD emeritaat sel pret Om IESpeolim.takrg ille
"'wantend by. any bank. aro not FOltenscrect and envoho envestmord d:as. ircludng ~dorden bot tm Rhea sa underbmg mek quaty. Wie SAS merkel is eurrenly
posstle loss ol princpal. TD Amen:rade is a momber ol Me &curettes Inval« Praatten tononbab e bak el Sally end. be went Mae an be ro esstrtrce mel toch scones an
Corporalion (51PC'). which prima: secunnes a-stomers of els manbars up lo 5500.000 to aa ader con, molmt codices. AUTO NO 07,14
(inlading 5250.000 lor dodo fez cash). Explanatory brochure is available on requal
REGULATORY DISCLOSURES
wAd.abc.ere.
TO Anedrap. URM«, eed, dal $149.5 melkion words ol prolection for AI Ponsaceons aro abject to p) me consmubon. Na, Condooms custard and laagt,
ileCuritieS and 52 ~ikon 01 IXONCIOn br cash ihreugh Supaementel coverden a0vided by or the exchange Of makel. and ie deemonouse. n en/. on grien toch lieneedan ere
London beurelt o E x s ecuted ui) fosfaat 4 lag:. o i u n n d c a tit g e in 0 g me Secu m noes A in c t ot 193 f 3 an on d d tho O S f «ur r te h: s SDNY_GM_0001 1960
EFTA_00I226 11
EFTA01268090

Statement Reporting Period:
1D Ameritrade
10/01/17 - 10/31/17
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
PO BOX 2209 ST THOMAS. VI 00802-1348
OMAHA, NE 68103-2209
TD Ameritrade Clearing. Inc.. Member SIPC
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $4.85 ($4.85) $ -
Insrd Dep Acct (IDA) 644,983.52 1,687,211.45 (1,042,227.93) (61.8)% 0.08%
Money Market
Short Balance
Stocks 4,707,740.00 839,550.00 3,868,190.00 460.7% 63,200.00 1.3%
Short Stocks
Fixed Income
Options 42,450.80 42,450.80
Short Options (74,480.00) (74,480.00)
Mutual Funds
Other
Stocks
Total $5.320,694.32 62.526.766.30 $2393.928.02 110.6% S63.200.00 1.2% 86.0%
Margin Equity 90.0%
Cash Activity Summary Income & Ex .ense Summa Performance Summa
Non
Current rro Reportable YTD
Reportable
Opening Balance $4.85 $ - Income Cost Basis As Of - 10/31/17" $4,951,184.97
Securities Purchased (2,081,142.92) (2,904,762.82) Dividends $ $14.41 Unrealized Gains 920,746.21
Securities Sold 1,036,802.83 1,045,933.62 Interest 0.69 Unrealized Losses (1,196,220.38)
Funds Deposited 2,000.00 2,452,000.00 Other Funds Deposited/(Disbursed)''1D 2,452,000.00
Funds Disbursed Expense Income/(Expense)n 15.10
Income 15.10 Interest Securities Received/(Delivered)n) 2,925,891.00
Expense Fees —To view realized gains and losses for your account, logIn at
wwwidameritrade.com and visit My Account > Gab/Loss
Other 1,042,335.24 (593.185.90) Other
Closing Balance $0.00 $0.00 Net $0.00 $0.00 $15.10
SDNY_GM_00011961
CONFIDENTIAL
page 1 of
EFTA_00122612
EFTA01268091

Statement for Account # 867-730320
10 01 17 - 10/31/17
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer $ - $ 2,450,000.00
Subtotal 0.00 2,450,000.00
TOTAL 0.00 2,450,000.00
Income Summary Detail'
Description Current Year to Date
Ordinary Dividends $ 0.00 $ 8.26
Interest Income Credit Balance 0.00 0.69
Qualified Dividends 0.00 6.15
IDA Interest 107.31 205.53
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable In a previous tax year (spillover mass). The year to date totals will accurately reflect your cumulative amount for the year.
Account Positions
Symbol! Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
ASCENA RETAIL GROUP ASNA 50,500 $ 1.94 $97.970.00 01/16/01 $ 1.074.468.09 $ 21.28 $ (976.498.09) $ -
INC
COM
BRUNSWICK CORP BC 20,000 50.65 1.013,000.00 09/18/17 1.064.577.50 53.23 (51.577.50) 15.200.00 1.5%
COM
CAVCO INDUSTRIES INC CVCO 3300 156.90 517.770.00 09/29/17 491,706.00 149.00 26.064.00
COM
FOUNDATION MEDICINE FMI 35,000 45.00 1.575,000.00 01/13/14 857,114.53 24.49 717.885.47
INC
COM
GENERAL ELECTRIC CO GE 50,000 20.16 1.008,000.00 10/20/17 1,127.899.05 22.56 (119.899.05) 48.000.00 4.8%
COM
SANGAMO SGMO 40,000 12.40 496.000.00 05/28/13 337,771.20 8.44 158.228.80
THERAPEUTICS INC
COM
Total Stocks $4,707,740.00 $4,853,538.37 $(245,786.37) $63,200.00 1.3%
SDNY_GM_00011962
CONFIDENTIAL
page 2 o19
EFTA_00I 226[3
EFTA01268092

Statement for Account # 867-730320
10 01 17 - 10 31 17
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Date
Investment Description CUSIP Quantity Price Value Basis Cost Gain(Loss) Income Yield
Options - Margin
JD COM INC 280 $ 1.5161 $ 42,450.80 10/16/17 $ 75,121.60 $ 2.68 $ (32,670.80) $ -
JD Jan 19 18 40.0 C
Total Options $42,450.80 $75,121.60 $(32,670.80) $0.00 0.0%
Short Options - Margin
JD COM INC 280- $ 0.6497 $ (18.191.60) 10/16/17 $ (36.759.54) $ 1.31 $ 18.567.94 $ -
JD Jan 19 18 44.0C
JD COM INC 280- 2.0103 (56.288.40) 10/16/17 (40.713.46) 1.45 (15,574.94)
JD Jan 19 18 37.0 P
Total Short Options $(74,480.00) $(77,473.00) $2,993.00 $0.00 0.0%
Total Margin Account $4,675,710.80 $4,951,184.97 $(275,474.17) $83,200.00 1.4%
Account Activit
Trade Settle Acct Transaction Symbol(
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance $4.85
10/02/17 10/02/17 Margin Received - ASCENA RETAIL GROUP INC ASNA 70,500 $ 0.00 $ - 4.85
COM
TOA FROM PERSHING DIV OF
DONALDSON
SD 10/02/2017 0443
10/02/17 10/02/17 Margin Received - FOUNDATION MEDICINE INC FMI 49,830 0.00 4.85
COM
TOA FROM PERSHING DIV OF
DONALDSON
SD 10/02120170443
10/02/17 10/02/17 Margin Received - SANGAMO THERAPEUTICS INC SGMO 50,000 0.00 4.85
COM
TOA FROM PERSHING DIV OF
DONALDSON
SD 10/02120170443
10/02/17 10/02/17 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (4.85) 0.00
DEPOSIT ACCOUNT
SDNY_GM_00011963
CONFIDENTIAL
page 3 019
EFTA_00122614
EFTA01268093

Statement for Account # 867-730320
10/01/17 - 10/31/17
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
09/29/17 10/03/17 Margin Buy - Securities Purchased CAVCO INDUSTRIES INC CVCO 3.300 149.00 (491.706.00) (491.706.00)
COM
Commissionfee 6.00
10/03/17 10/03/17 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 491.706.00 0.00
DEPOSIT ACCOUNT
10/06/17 10/11/17 Margin Buy - Securities Purchased SWITCH INC SWCH 1.027 23.90 (24.551.30) (24,551.30)
COM CL A
Commissionfee 6.00
10/06/17 10/11/17 Margin Buy - Securities Purchased SWITCH INC SWCH 1.634 23.89 (39.036.26) (63.587.56)
COM CL A
10/06/17 10/11/17 Margin Buy - Securities Purchased SWITCH INC SWCH 20 23.87 (477.40) (64,064.96)
COM CL A
10/06/17 10/11/17 Margin Buy - Securities Purchased SWITCH INC SWCH 1.100 23.84 (26.224.00) (90.288.96)
COM CL A
10/06/17 10/11/17 Margin Buy - Securities Purchased SWITCH INC SWCH 100 23.82 (2.382.00) (92.670.96)
COM CL A
10/06/17 10/11/17 Margin Buy - Securities Purchased SWITCH INC SWCH 900 23.80 (21.420.00) (114,090.96)
COM CL A
10/06/17 10/11/17 Margin Buy - Securities Purchased SWITCH INC SWCH 200 23.77 (4.754.00) (118.844.96)
COM CL A
10/06/17 10/11/17 Margin Buy - Securities Purchased SWITCH INC SWCH 19 23.76 (451.44) (119.296.40)
COM CL A
10/09/17 10/11/17 Margin Sell - Securities Sold SWITCH INC SWCH 3.623- 19.75 71,546.60 (47.749.80)
COM CL A
Commission/Fee 6.00
Regulatory Fee 1.65
10/09/17 10/11/17 Margin Sell - Securities Sold SWITCH INC SWCH 300- 19.72 5,915.86 (41,833.94)
COM CL A
Regulatory Fee 0.14
10/09/17 10/11/17 Margin Sell - Securities Sold SWITCH INC SWCH 919- 19.71 18.113.07 (23.720.87)
COM CL A
Regulatory Fee 0.42
10/09/17 10/11/17 Margin Sell - Securities Sold SWITCH INC SWCH 158- 19.70 3.112.53 (20.608.34)
COM CL A
Regulatory Fee 0.07
10/11/17 10/11/17 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 20.608.34 0.00
DEPOSIT ACCOUNT
SDNY_GM_00011964
CONFIDENTIAL
page 4 of 9
EFTA_00122615
EFTA01268094

Statement for Account # 867-730320
10/01/17 - 10/31/17
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
10/11/17 10/13/17 Margin Sell - Securities Sold FOUNDATION MEDICINE INC FMI 3.000- 44.60 133.790.91 133.790.91
COM
Commission/Fee 6.00
Regulatory Fee 3.09
10/11/17 10/13/17 Margin Sell - Securities Sold FOUNDATION MEDICINE INC FMI 3.830- 45.10 172723.01 306,513.92
COM
Commissionfee 6.00
Regulatory Fee 3.99
10/11/17 10/13/17 Margin Sell - Securities Sold FOUNDATION MEDICINE INC FMI 5.000- 45.30 226.488.77 533,002.69
COM
Commission/Fee 6.00
Regulatory Fee 5.23
10/11/17 10/13/17 Margin Sell - Securities Sold FOUNDATION MEDICINE INC FMI 710- 45.35 32.191.76 565,194.45
COM
Commission/Fee 6.00
Regulatory Fee 0.74
10/13/17 10/13/17 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (565.194.45) 0.00
DEPOSIT ACCOUNT
10/16/17 10/17/17 Margin Sell - Securities Sold JD COM INC 30- 1.39 4.152.80 4.152.80
JD Jan 19 18 44.0 C TO OPEN
Commissionfee 16.50
Regulatory Fee 0.70
10/16/17 10/17/17 Margin Buy - Securities Purchased JD COM INC 20 2.82 (5.662.90) (1,510.10)
JD Jan 19 18 40.0 C TO OPEN
Commissionfee 22.50
Regulatory Fee 0.40
10/16/17 10/17/17 Margin Buy - Securities Purchased JD COM INC 10 2.81 (2.810.20) (4,320.30)
JD Jan 19 18 40.0 C TO OPEN
Regulatory Fee 0.20
10/16/17 10/17/17 Margin Sell - Securities Sold JD COM INC 280- 1.46 40713.46 36.393.16
JD Jan 19 18 37.0 P TO OPEN
Commissionfee 160.00
Regulatory Fee 6.54
10/16/17 10/17/17 Margin Buy - Securities Purchased JD COM INC 250 2.66 (66.648.50) (30,255.34)
JD Jan 19 18 40.0 C TO OPEN
Commissionfee 143.50
Regulatory Fee 5.00
SDNY_GM_00011965
CONFIDENTIAL
page 5 o19
EFTA 00122616
EFTA01268095

Statement for Account # 867-730320
10/01/17 - 10/31/17
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
10/16/17 10 /17 /17 Margin Sell - Securities Sold JD COM INC 250- 1.31 32.606.74 2.351.40
JD Jan 19 18 44.0 C TO OPEN
CommissiontFee 137.50
Regulatory Fee 5.76
10/17/17 10/17/17 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (2.351.40) 0.00
DEPOSIT ACCOUNT
10/17/17 10/18/17 Margin Buy - Securities Purchased CURRENCYSHARES EURO TRUST 191 0.89 (17.113.87) (17,113.87)
FXE Jan 19 18112.0 P TO OPEN
Commissionfee 111.05
Regulatory Fee 3.82
10/18/17 10/18/17 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 17.113.87 0.00
DEPOSIT ACCOUNT
10/9/ 7 10/19/17 Margin Journal - Funds Deposited $2000 Otter 0.00 2O00.00 2.000.00
10/20/ 7 10/20/17 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (2.000.00) 0.00
DEPOSIT ACCOUNT
10/20/ 7 10/24/17 Margin Sell - Securities Sold ASCENA RETAIL GROUP INC ASNA 20.000- 2.00 39.993.08 39.993.08
COM
Commission/Fee 6.00
Regulatory Fee 0.92
10/20/17 10/24/17 Margin Buy - Securities Purchased GENERAL ELECTRIC CO GE 14.707 23.079 (339.428.85) (299,435.77)
COM
Commission/Fee 6.00
10/20/17 10/24/17 Margin Buy - Securities Purchased GENERAL ELECTRIC CO GE 7.093 23.07 (163.635.51) (463,071.28)
COM
10/20/17 10/24/17 Margin Buy - Securities Purchased GENERAL ELECTRIC CO GE 2.100 23.0699 (48.446.79) (511,518.07)
COM
10/20/17 10/24/17 Margin Buy - Securities Purchased GENERAL ELECTRIC CO GE 1.100 23.069 (25.375.90) (536.893.97)
COM
10/24/17 10/24/17 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 536.893.97 0.00
DEPOSIT ACCOUNT
10/23/17 10/25/17 Margin Sell - Securities Sold SANGAMO THERAPEUTICS INC SGMO 200- 13.925 2.778.94 2.778.94
COM
Commissionfee 6.00
Regulatory Fee 0.06
10/23/17 10/25/17 Margin Sell - Securities Sold SANGAMO THERAPEUTICS INC SGMO 200- 13.905 2780.94 5.559.88
COM
Regulatory Fee 0.06
SDNY_GM_00011966
CONFIDENTIAL
page 6 o19
EFTA_00122617
EFTA01268096

Statement for Account # 867-730320
10 01 17 - 10 31 17
Account Activit
Trade Settle Acct Transaction Symbol'
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
10/23/17 10/25/17 Margin Sell - Securities Sold SANGAMO THERAPEUTICS INC SGMO 9,600- 13.90 133,436.92 138,996.80
COM
Regulatory Fee 3.08
10/25/17 10/25/17 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (138.996.80) 0.00
DEPOSIT ACCOUNT
10/24/17 10/26/17 Margin Buy - Securities Purchased GENERAL ELECTRIC CO GE 10.000 22.10 (221.006.00) (221,006.00)
COM
CommissionfFee 6.00
10/24/17 10/26/17 Margin Sell - Securities Sold FOUNDATION MEDICINE INC FMI 2.290- 40.90 93,652.84 (127,353.16)
COM
Commission/Fee 6.00
Regulatory Fee 2.16
10/24/17 10/26/17 Margin Buy - Securities Purchased GENERAL ELECTRIC CO GE 15,000 22.00 (330,006.00) (457,359.16)
COM
Commission(Fee 6.00
10/26/17 10/26/17 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 457,359.16 0.00
DEPOSIT ACCOUNT
10/27/17 10/31/17 Margin Buy - Securities Purchased BRUNSWICK CORP BC 5,000 50.00 (250,006.00) (250,006.00)
COM
CommissioNFee 6.00
10/30/17 10/31/17 Margin Sell - Securities Sold CURRENCYSHARES EURO TRUST - 191- 1.20 22,804.60 (227,201.40)
FXE Jan 19 18 112.0 P TO CLOSE
Comm issionfFee 111.05
Regulatory Fee 4.35
10/31/17 10/31/17 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 227,201.40 0.00
DEPOSIT ACCOUNT
Closing Balance $ 0.00
'For Cash Activity totals, refer to the Cash Activity Summary on page one of your statement.
Insured De • osit Account Interest Credited
Begin Number Interest Interest MID MTD
Date Balance of Days Rate Accrued Accrued PAID
10/01/17 $ 1,687,211.45 1 0.0900 $ 4.16 $ 4.16 $ 4.16
10/02/17 1,687,216.30 1 0.1000 4.62 4.62
10/03/17 1,195,510.30 8 0.1000 26.19 30.81
10/11/17 1,174,901.96 2 0.1000 6.43 37.24
10/13/17 1,740,096.41 4 0.1000 19.06 56.30
10/17/17 1,742,447.81 1 0.1000 4.77 61.07
10/18/17 1,725,333.94 2 0.1000 9.45 70.52
SDNY_GM_00011967
CONFIDENTIAL
page 7019
EFTA_001226I 8
EFTA01268097

Statement for Account # 867-730320
10/01/17 - 10/31/17
Insured Deposit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
10/20/17 1,727,333.94 4 0.1000 18.91 89.43
10/24/17 1,190,439.97 1 0.1000 3.26 92.69
10/25/17 1,329,436.77 1 0.1000 3.64 96.33
10/26/17 872,077.61 5 0.0800 9.56 105.89
10/31/17 644,876.21 1 0.0800 1.41 107.30 107.30
Total Interest Income $111.46
Trades Pending Settlement
Account Symbol! Trade Settle
Investment Description Type CUSIP Quantity Price Date Date Amount
BUY GENERAL ELECTRIC CO Margin GE 9,619 $ 20.14 10/31/17 11/02/17 $ (193,732.66)
COM
BUY GENERAL ELECTRIC CO Margin GE 6,781 20.139 10/31/17 11/02/17 (136,562.56)
COM
BUY GENERAL ELECTRIC CO Margin GE 8,600 20.135 10/31/17 11/02/17 (173,161.00)
COM
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $1,687,211.45
10/02/17 10/02/17 Received FDIC INSURED DEPOSIT ACCOUNT $ 4.85 1,687,216.30
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/03/17 10/03/17 Delivered FDIC INSURED DEPOSIT ACCOUNT (491.706.00) 1,195,510.30
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
10/11/17 10/11/17 Delivered FDIC INSURED DEPOSIT ACCOUNT (20.608.34) 1,174,901.96
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
10/13/17 10/13/17 Received FDIC INSURED DEPOSIT ACCOUNT 565.194.45 1,740,096.41
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
SDNY_GM_00011968
CONFIDENTIAL
page 8 o19
EFTA_00122619
EFTA01268098

Statement for Account # 867-730320
10 01 17 - 10 31 17
Insured De. osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
10/17/17 10/17/17 Received FDIC INSURED DEPOSIT ACCOUNT 2,351.40 1,742,447.81
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/18/17 10/18/17 Delivered FDIC INSURED DEPOSIT ACCOUNT (17,113.87) 1,725,333.94
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
10/20/17 10/20/17 Received FDIC INSURED DEPOSIT ACCOUNT 2,000.00 1,727,333.94
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/24/17 10/24/17 Delivered FDIC INSURED DEPOSIT ACCOUNT (536,893.97) 1,190,439.97
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
10/25/17 10/25/17 Received FDIC INSURED DEPOSIT ACCOUNT 138,996.80 1,329,436.77
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/26/17 10/26/17 Delivered FDIC INSURED DEPOSIT ACCOUNT (457,359.16) 872,077.61
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
10/31/17 10/31/17 Delivered FDIC INSURED DEPOSIT ACCOUNT (227,201.40) 644,876.21
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
10/31/17 10/31/17 Received Interest: Insured 35.71 644.911 92
Deposit Account Bank USA
10/31/17 10/31/17 Received Interest: Insured 52.08 644.964 00
Deposit Account Bank USA
10/31/17 10/31/17 Received Interest: Insured 19.52 644,983.52
Deposit Account Bank NA
Closing Balance 5644,98352
TD Bank NA $247.519.52
TD Bank USA NA $397,464.00
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by one or more banks (Program Banks'). Two of the Program Banks are TO Bank. N.A. and
TO Bank USA. NA.. both affiliates of TD Amenuade. The IDA balances are not covered by the Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
SDNY_GM_000119139
CONFIDENTIAL
page 9 of 9
EFTA_00122620
EFTA01268099

10 Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS. VI 00802-1348
CONFIDENTIAL SD NY_GM_00011970
EFTA 00122621
EFTA01268100

Terms and Conditions
STATEMENT GUIDE
If: Aro wado provides mormy Paddle Reports for accoums with actrerty and quarterly /pons M the even 01 a brokerage insolanCy. a Client may receive ~Is due Iran the trustee F an ono brochure mat mantas information denoting FINRAs Piano Descbsure
ce mactic accounts doh assets.. in bribelltry and than SIPC. Siaktnemal coverage is pad out Met the trustee and Program. please °anted FINRA at 800289.9999 or wnwtinnsag.
Pond Summary: Troche the Current value d your 000010 as Of the *pal dale and SIPC payouts and miler such coverage each dm is limited to a centred return a
compares e to pie par month.: The easel akal(On advt." your 00010 diverenetilion by 5152 miliOn from a trustee. SIPC and London insurers The TO Anceilfade lopptenental The interest rate them+ for TO Arnertrado Cash a liken from the applcatie me/straw ter for
invesimert type coverage has an aggregate Inn 01 $500 mtlon oar at artlaners. TM potty provides the Markel Van balance n a TO Amertrade Cara. as Of la illalemed closing dale Simolo
Coverage loldning Wasage insolroncy and does nOl poled Mina lass in mania vela, interest is xcerxd daily based on the interesttato ter amicable to oach day's balance.
Arople dlocatcns under 5% al be grouped into thecategory of 'Other in the pie chart. Margin et roe securities.
Early - Total Acceurn &miry iThial Lena lAtvginale Value • Taal Short Value) Financial Statement Nallicallon: The mammon ol Manna condea for TO Amentrade
An investnen1 iv a money market turd is not Mewed Of guaranteed by the Federal avaltide trace a year and may be Waned al no cost via Me internal al
nanny Summary: The opening and dosing cash balances are moon:led here tor year quick Depose Iresuranar Cameroon (FDIC' a any °Ma gevernrnert agency. Althoggh Me Max,Awyrtictementranoconnnanciatiammentlurd.
rem once. Al account admiy is summated for Me currant pared and year to date- kinds Beek 10 preserve the vat...dyad weveament WS 00 pe shared is pOstibb 10
Income a Expense Summary inon4Fas only): Tins semen dark trio income and omens° lOse money by investa n a money marker turd. DW4005 are declared defy and Option Assignment: At shun misty opoon pavans and some index option neutrons are
Web nom the ActhQy Summary andClassifiesMe lax litalMent. pachernwested monthly. The prospectus amens this and other important riorrtmon avaltide Poi aaugnmeM Eterme assignment Meant ler equty of tide, options are eandomly
Robroment Account Summary (IRAs only): Amens the IRS regulated transaccons for the Read the prospects Cbeldly before arresting. NOn-depasil investments herd by you' alocamd among all dorms' shod posoons by an automated pram:two.
curer( and pro maga IRS Fenn SI98 lair mama shut is based On the anent value as of Croke, dean are NOT FDIC INISURED f NOT BANK GUARANTEED( MAY LOSE VALUE.
Downed 31 of the previous year ad el to furnthed iota Internal Revenue Scence. Free Credit Baboon (Rule ISOI.2 II 3): Under me Mont proumnon mt. we may use tree
l P o e om ar s m 'o a r n y c o e u r S M um ut m e e r r e y m :M n on a is n m t s y t o ra u t r e a g n y n . ual polka pedormance era Ina arealized gains and c T a h n e t b o al a lq n u c i e d a n t e y d o o u n r b y a o n u k r o d r e d p e o r, s i a t n s d o c th tu e n p t ro O c r e s e h d a s re r s e t d u rn y e o d u l o m y o a n m ey m M a in m ke a l s W a O m W ou n A t n o d r C on ro d a e t m ba a l n a d n . c es it your account in me Ordinary Cane ol our bigness which are puede Se you
Account Positions: Now your mostmems al the current market wade and compare the canal remitted 10 you
cost to see aumilued gains and losses n your paddle Original cost is assigned using the Margin Aocourns (Regulation 7): t you have a margin account. so report es a combater, of
e fir r s s t t . e ) T . h T e o s e t- s o t u im l ( a F t I e F d O w ) m rro e s th tm o e d n . t w i e n l c c o h m a e ss 2 u a m n e d s a th v e e r O ag h e l s c h o a s re i s p e yO r u s s h o ar t e m a e r o In < e M s, a yo m u a p u f r o ch r a y s o e u d r T ta h x e n R m M o O n V a I r i g n : e Th t e h ( a M n V e O w /D ill a IR te S n o e c t a ro ta T r o O n f t e s e I M nc e l n u t d e Y s a d i an M t a n k e e v R a a n d o 1 d 09 e 9 n f t o h r . L c a ar u ca d l r Y is O k u s r m an a d rg i e n s s n o o t t h s u w nt a a th n e d t a o r 5 a 0 l 0 l 8 in 1 ve m s t t m or o s. r a A r g c ia o n m a a cc e o u le nt i d T ra th d e n g ri s o k n s m as a s r o li c n ia p t o e s d e w s i t e h d d tr l o io rg n i a n l
r A o C m C a O n u c n e t A t e he li d ol l l y e : r y A t p l e ur te ch o a ri s r e y e da cI t M e i l s y s is h d ow ea n r t , e / r d a e n f i n le d d c . a ' t s le le n d o i f n y o O u l r e h O a r n da g . a de d r g re a n . eged n the M ga I i t n o . . la S c lo e p e s d tr m yk s k i i A . m an m d i s e e n e t a s pr m o o c o e n ro s b . l. &MOO/pita aro awed le feclassfalOn ankh d tr o a c d u n m g e i n s t b ta y s p t o a m bl a e d i i n n g m u e s a m t o th r e o n nu M m k be d r is te cl e o d su o r n e p d a o g o e m on e e n 0 . 1 Y yO ou ur m Sk a i y te r o n b e ta n i t n a copy d ass
a C a e O T s n r e i n a l s d d i l d n i . e n s l e . g t a e a s C t s C P e a e m a e s s n e h t k n d r b a t i S a n n r l e g a e s r n p a v S c o i c e c e r t t e t . i i t o n s le g n T m s p r e e e a l n r n b e t a : e d C l r c . e t n o i a e d n c n u l t i e d D n d n e y g t n a a w i c m l: h e e C e t a c A e n k d c e . c , . d t o m e e u d b a n i n t t t r a A a c g c a d e t r e r m d e s g e a y w n n L t i d t e h t h m A a in T o e s M n e a n t d a t o l r c e o m t m n u n a e it o y n M . t r a t a d h r l a e . C l e l l i e s t a t i e l r l e e d d r i n m W o d ri n u n t e g h ( p G C s b o u u r a s a i m t t n i n S a a d y a y s a e M h n l b : d e y t C o e m C o n c g S O d e C n a I a a i m t I l y s I l I e t D e o . g l O a e t M a W d , n e . w O i l T o n e R t o k n O r a P m n T T m d E i O l e o D p n n o t a T k a n D a lo d n t d a a m a n ri t e d m e r p i i s c ( ro c a W M a e : r a k i i n • s m / g n m C a d o O s n d I t e p i D C p o o a C s r n R e ie t b h K s b a R l F l A t a a l T a n E a to r a D e t b o a r t e a o l k a W l t d i fi e o r y n a n d d o ° t m r s P f s o o e h a c r l o a e e y e m i o m c r g r t i n e e e c n d d n a o g t s a m c h f o r m o a e m p r r n k a a p r O e y e y i t m r n s d e h s . e x e e a b n c r e t t i r h . o d F a a M n s l n o s . g w t a s W o e n r o ( e d C S d r i O r E r d p o o m C e o n c a p s . a R O l t e n T u r r r g O e s e l e n m c ( A t s M i O m a t 6 r f r a 0 o a t r r 6 y d t n o r n a a e r o l d n e a C r p e d o d e o a w d 6 r n l r t 0 s t s e t h o e 7 s o d ) n m : i c i i n s I l o a n . c M u y l O o s n w a s o t t h i m a g n a g g r e e a v i n n S c e th d s r e c c e a c o u t l u i s v m o m r l e i e n t p n i a d e e i u s n s n e e f c i s r s n q o e a u m s t f t i o h o t . y M e n r T r o a o d O e r r r l d d m k a A e e e t m e r r l d C d o ( r k o e n t a o g n m :r t o e p t e h n d e t r e o g s o r
Online Cash Services Summary: Credo ant deal transaction totals for rho atom statement Margin and Options Account Agreements: Prefrpet adate 10 Arnenuade n tang ci mecum at wrAvidarneroradocom Amnia" copy is avalaUe span rawest.
fettering 00406 be summarized. IndMekral IronetiettriS ere rot listed. Wry change in your investment Maxi/yes or anneal shaman as they peulain to your
ms'gin Or 001ths aecOurn agreements. A summary Of cOmmesions and charge, incurred is our policy. abeenl deft orders to 1110 contrary. to select braids, cakes, and market
roue to rounding adustments. the stamen, deals may not ega the statementtotals. loth to execution ol aeons tense:aced is aralable. makers used On Me ally te porde best thecuaon and the Mary Of Weida price
tEtninaled Anrwl Income and Earnated Annual aeld oath a 0 based upon the number of improvementen matted orders. Pnce improvernem is evened* maw amen market condoms,
shams owned or astern value balance as of the stalemom dale aid Me most recent Medea Currant Maks Prices: the maggot Alan a scones have both Maned. al daub*. tom and wo regular/1 mentor Garman to tom for sox, imptcnemom ti ayalatte.
rate a Oath yield pttM004 gam antes ed Other alepextent tons Vallee we based On Mo dosig thee eve
mom banal me bd did adtng pat, a ether rnetals, a no rocked %caucus/alto son a Trade COMirmellena (Rule 106-10): Al contrmaliens are Paremilled On me InamatiOn dale.
GENERAL INFORMATION grata' woke fr aka indecendent stack I've wooly is aided 10 Nine retooled
Nth.Prced OP). The selusxns et yourFadden:pot are provided as peed minion ant Taxes: Trantuclons in foreign seeking. (MOWN Wean company ADM OW Irate in the
10 Amentrade does not provide legal or lax Mao. Please consult your legal advisor or lax no dent guarantee to a:cum./dam scones props Malmo bzked pardons be salad U,S.) may include taxes and fees charged by to ratan marked or governments, dhoti may
*Maureen when neaThary. ASS Blended in0.4by draftee. Ida. Careentabens May be yang me nmanng balance lad Ina cadre nasal pike Pandit dpol se/Arens may net be **acted in the 0400 ol the security or caged es an aapenettni ere item
records dr Salty Paned and transaCtiOn volifirattn Papas,. repreart mks prococch. The Noonday make. to Oxfam d Oasts (CDs) a gthrely
loud and the °clue ease may be (Mal horn Vie page pa Asiereary loss ci MOW Parody Peaky Nellhallon: A copy of Me TD Amen:rads Privacy 00IeY is aTeabd al
For TO Amended° Summon" oleos. your adroit( turn es separate from and not affirmed wan may 50211 tom to sae al a CO par se assay. BMW antra Fred tam Scanner. 11200 VAWnklanlefiradOSOT
TO Anwerireed. Inc. a TO Aruba:kr Owing. Inc.. and oath Irm is net dispensed la the clibranvy May coat sauma and deer wade on a kpsd exchange. Rana may Yam n me
POOX1s end senices 01 Me other OTC Peer 0 sunk., markt( and surreal kat* miy nd ate b yw deed sour Pekndria Cable Smudges: The aloe:eon ol partial retlemplons a oath ii done rang a prolate kOkry
to redone. The sad or bunt pa to natty may rood n a loss d mad. system. A descration el the proaddes for Stable sccumeas is avalable on to rebus a held
Acciancy of Reports:II you find any errors or omissions In your account statement you copies ere available wonder-ea
Maid immediately call us at the nimbi,' listed on page one of your stalernent. You Non Standard Ames (36A1 are (meaty marmot in dred partopmen program saurian
Mould also contact our Gloating ran, TO Amedlrade Clearing, Inc. el 8004604000. patnersas kneed Mary cempaned. on real MEMO rrasrnori indm.cownedty pas. dna M Case 01 enOnS Or cantons tail your EledrOniC Fund Dander.. please co 1001 s al
toasty. abate debt or raga knob. We ere WWI, lfad irneelmers and do not Ida on a 1.1g0 669.3900, or in swing to P.O. Box 2209. Omaha. NE 68103, or by email at
Please renewend statement caready. If you drape. with any transaction or it Mere are any nsold saunas moron?* a to Krona Stock Malt. Thowlues done kr trade /amts diedeenrkes&105Mentrade.COm The Mdrinaton °entrained in your sawn shamed shall
ends or omissions. Meuse nobly a Client Services repieSeratillry a yell local blind, Croce. as are Sated 'sea dirtied lion ryas methods iicksdrog, but net killed b, independent be Wane upon you of you do net alai etbn sixty leOldays for any transfer ci lugs stage
reel as 10 Ames:rade Ortareg. Inc. in wmrg worm ton (10) days of year recta ci the eaum- ats to tamaam's not =eh. ander rid pony tender oars tot hat boon prthad by to Andabon E, such as ATM and pore-ci-sale :recedes, debit transactions, area dm:am,
statement Any ofei statements Mat you hare made to us shale be COnforMed in voting The apl maragorroy athwidrato. and spread each down a by a thrdpaty tcract mahout and wither/malt WO Must hear from you no later than 60 days arta we sery Kai me PEST
statement will anonym beconsidered concloire ascendent wrIcatim by ID Matra*. Values may nal Maths canal palate pke, statement on whets the error or problem appeared,
actual rata ameba waked upon lopeason tan ostenahad value catd be estatracid (I) Tel es yea rend and account merger
Please nary gre promptly (deny charges in yea anted irformthon. TronlathoM red0C106 On trough test methods. ere 'dual/ may be reflected as NOnlryeed (NP) For addita deal (2) Dosage the error or do transfer you aro unsure abOtdk and explan as dearly as you can
your report wit be conclanory downed acoxato unless you noel,/ TO Amearadoimadutery. /mama eadmen kr Nth.Stamtaid Ames. pcm° cotta Gent Scent There nasals why you bolero n is an error or ally you need mete inlormabon.
and othevel unclothe SIPC. (3) Tell us Pie dollar amount of the wattlederror.
Account Protection: Deposits held by TO Sank. N.A. and TD Bank USA. N.A. are insured by Wo wilt invested° your complain and wlil <arca any error promptly. II we rake more Man ID
tie FDIC Covered by SIPC) up 10 5250.000. LIMIS ale per tretOunl OsnOrta per Aram Rao Spurt= CARS-) Prong: The makes eta kr PAS warms ha ban Maned. business rays to 00 Iris. we wit eredl your aectut for the amount you think is in 'nor. sO that
iniblutlat TO learn mere eboul FDIC Coverage go to we've idcga. Searlded. indudng bade. hem cathdon makes or eta harder. Mums The moray al Pe Pea is net youwit have the use of the money dunng the tme t takes us tocompete our investgata.
Mutual fund, held in your ErOldwage Account are al deposits Or 001gallene Of. Of curanle01 to meta sate and welded TO Poottrado W I pree to MS pcomn.tiarg ate
guaranteed by. any bank, aro net dOltinsised. and involve investment nag. includng cens4orman both to qua): and undetyng cm* gusty. The SAS rota is curronly
posstle loss of princpal. TD Amerada is a member ol the Securities Inroad Pro:omen togabnCing a lick of salty and. tea wok Mee an tie no myna Mal sash worriesan
Corporation (SIPC'). which prefects seannes customers of ns northers up to 5500.000 he sobunder one mato. caxlicro. Add MO 07a4
(Madding 5250.000 ler dad for cash). Explanatory brochure is available on request at
REGULATORY DISCLOSURES
wards*w a.
AcIdthendly. TO Anieritrade prOWINS Beth Cleat 5149.5 elan worth 01 drolectlon for AI transageons aro alma to Ii) me constitution. Nes, regulations. customs and usages
securities and $2 mlb en Of prOdelKon for 089h tlYtugh SupOleMental average provided by d the exchange of frorken. and its dearroneuse. it any. en Mich such Lrointatlens are
London insurers. e E c x r ocuted: federal lass. inducing me &dunned A in N of 1933 and the S« k u o r id a e nd s SONY_GM_00011971
• was
"nip °E NFIR M
EFTA_00122622
EFTA01268101

Statement Reporting Period:
1D Ameritrade
11/01/17 - 11/30/17
Statement for Account # 867-730320
809669-3900
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
PO 80X 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Amer'trade Clearing. Inc.. Member SIPC
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $ - $ -
Insrd Dep Acct (IDA) 636,531.84 644,983.52 (8,451.68) (1.3)% 0.08%
Money Market Other IDA
Short Balance 1-1% 11.0%
Stocks 5,080,315.00 4,707,740.00 372,575.00 7.9% 87,200.00 1.7%
Short Stocks
Axed Income
Options 20,328.00 42,450.80 (22,122.80) (52.1)%
Short Options (42,946.40) (74,480.00) 31,533.60 42.3%
Mutual Funds
Other
Stocks
Total $5,694,228.44 $5,320,694.32 S373.534.12 7.0% S87.200.00 1.5% 87 9°,
Margin Equity 100.0%
Cash Activity Summary Income & Ex . ense Summa Performance Summary
Non
Current YTD Reportable YTD
Reportable
Opening Balance $0.00 $ - Income Cost Basis As Of - 11/30/17" $5,179,575.79
Securities Purchased (503,456.22) (3,408,219.04) Dividends S - $14.41 Unrealized Gains 1,148,817.77
Securities Sold 494,976.56 1,540,910.18 Interest 0.69 Unrealized Losses (1,270,696.96)
Funds Deposited 2,452,000.00 Other Funds Deposited/(Disbursed)n° 2,452,000.00
Funds Disbursed Expense Income/(Expense)n 15.10
Income 15.10 Interest Securities Received/(Delivered)Y° 2,925,891.00
Expense Fees •'To view realized gains and losses for your account, login at
www.tdameritrade.com and visit My Account > Clain/Loss.
Other 8,479.66 (584,706.24) Other
Closing Balance $ 0.00 $0.00 Net $0.00 $0.00 $15.10
SDNY_GM_00011972
CONFIDENTIAL
papal of 5
EFTA_00122623
EFTA01268102

Statement for Account # 867-730320
11/01/17 - 11/30/17
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer $ 2,450,000.00
Subtotal 0.00 2,450,000.00
TOTAL 0.00 2,450,000.00
Income Summary Detail'
Description Current Year to Date
Ordinary Dividends $ 0.00 $ 8.26
Interest Income Credit Balance 0.00 0.69
Qualified Dividends 0.00 6.15
IDA Interest 27.98 233.51
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable In a previous tax year (spillover dividends). The year to date torah will accurately reflect your cumuiative amount for the year.
Account Positions
Symbol! Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
ASCENA RETAIL GROUP ASNA 50.500 $ 2.34 $118,170.00 01/16/01 $ 1,074,468.09 $ 21.28 $ (956,298.09) $ •
INC
COM
BRUNSWICK CORP BC 20.000 55.35 1,107.000.00 09/18/17 1,064,577.50 53.23 42,422.50 15,200.00 1.4%
COM
CAVCO INDUSTRIES INC CVCO 3.300 153.15 505,395.00 09/29/17 491,706.00 149.00 13,689.00
COM
FOUNDATION MEDICINE FMI 25.000 53.20 1,330,000.00 01/13/14 582,049.13 23.28 747,950.87
INC
COM
GENERAL ELECTRIC CO GE 75.000 18.29 1,371,750.00 10/20/17 1,631,355.27 21.75 (259,605.27) 72,000.00 5.2%
COM
SANGAMO SGMO 40.000 16.20 648,000.00 05/28/13 337,771.20 8.44 310,228.80
THERAPEUTICS INC
COM
Total Stocks $5,080,315.00 $5,181,927.19 $(101,612.19) $87,200.00 1.7%
SDNY_GM_00011973
CONFIDENTIAL
page 2 of 5
EFTA_00122624
EFTA01268103

Statement for Account # 867-730320
11/01/17 - 11/30/17
Account Positions
SymboU Current Market Purchase Cost Average Unrealized Estimated
Date
Investment Description CUSIP Quantity Price Value Basis Cost Gain(Loss) Income Yield
Options - Margin
JD COM INC 280 $ 0.726 $20,328.00 10/16/17 $ 75,121.60 $ 2.68 $ (54,793.60) $ -
JD Jan 19 18 40.0 C
Total Options $20,328.00 $75,121.60 M54,793.60) $0.00 0.0%
Short Options - Margin
JD COM INC 280- $ 0.1946 $ (5,448.80) 10/16/17 $ (36,759.54) $ 1.31 $ 31,310.74 $ -
JD Jan 19 18 44.0 C
JD COM INC 280- 1.3392 (37,497.60) 10/16/17 (40,713.46) 1.45 3,215.86
JD Jan 19 18 37.0 P
Total Short Options $(42,946.00) $(77,473.00) $34,526.60 $0.00 0.0%
Total Margin Account $5,057,696.60 $5,179,575.79 $(121,879.19) $87,200.00 1.7%
Account Activity
Trade Settle Acct Transaction SymboU
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance $ 0.00
10/31/17 11/02/17 Margin Buy - Securities Purchased GENERAL ELECTRIC CO GE 9,619 $ 20.14 $ (193,732.66) (193,732.66)
COM
Commission/Fee 6.00
10/31/17 11/02/17 Margin Buy - Securities Purchased GENERAL ELECTRIC CO GE 6,781 20.139 (136,562.56) (330,295.22)
COM
10/31/17 11/02/17 Margin Buy - Securities Purchased GENERAL ELECTRIC CO GE 8,600 20.135 (173,161.00) (503,456.22)
COM
11/02/17 11/02/17 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 503,456.22 0.00
DEPOSIT ACCOUNT
11/02/17 11/06/17 Margin Sell - Securities Sold FOUNDATION MEDICINE INC EMI 5,000- 49.50 247,488.28 247,488.28
COM
Cornm ission/Fee 6.00
Regulatory Fee 5.72
11106,17 11/06/17 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (247,488.28) 0.00
DEPOSIT ACCOUNT
SDNY_GM_00011974
CONFIDENTIAL
page 3 of 5
EFTA _0012'625
EFTA01268104

Statement for Account # 867-730320
11/01/17 - 11/30/17
Account Activit
Trade Settle Acct Transaction! Symbol,
Date Date Type Cash Activity• Description CUSP Quantity Price Amount Balance
11/16/17 11/20/17 Margin Sell - Securities Sold FOUNDATION MEDICINE INC EMI 5,000- 49.50 247,488.28 247,488.28
COM
CommissiorWee 6.00
Regulatory Fee 5.72
11/20/17 11/20/17 Margin Journal-Other PURCHASE FDIC INSURED 0.00 (247,488.28) 0.00
DEPOSIT ACCOUNT
Closing Balance $ 0.00
'For Cash Activity totals, refer to the Cash Activity Summary on page one of your statement.
Insured Deposit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
11/01/17 $ 644,983.52 1 0.0800 $ 1.41 $ 1.41 $ -
11/02/17 141,527.30 4 0.0500 0.78 2.19
11/06/17 389,015.58 14 0.0700 10.44 12.63
11/20/17 636,503.86 11 0.0800 15.34 27.97 27.97
Total Interest Income $27.97
Insured De • osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $844,983.52
11/02/17 11/02/17 Delivered FDIC INSURED DEPOSIT ACCOUNT $ (149,983.52) 495,000.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
11/02/17 11/02/17 Delivered FDIC INSURED DEPOSIT ACCOUNT (247,500.00) 247,500.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
11/02/17 11/02/17 Delivered FDIC INSURED DEPOSIT ACCOUNT (105,972.70) 141,527.30
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
11/06/17 11/06/17 Received FDIC INSURED DEPOSIT ACCOUNT 105,972.70 247.500.00
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
CONFIDENTIAL SDNY_GM_00011975
page 4 015
EFTA_00122626
EFTA01268105

Statement for Account # 867-730320
11/01/17 - 11/30/17
Insured De r osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
11/06/17 11/06/17 Received FDIC INSURED DEPOSIT ACCOUNT 141,515.58 389,015.58
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
11/20/17 11/20/17 Received FDIC INSURED DEPOSIT ACCOUNT 105.984.42 495.000.00
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
11/20/17 11/20/17 Received FDIC INSURED DEPOSIT ACCOUNT 141.503.86 636.503.86
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
11/30/17 11/30/17 Received Interest: Insured 3.74 636,507.60
Deposit Account Bank USA
11/30/17 11/30/17 Received Interest: Insured 10.31 636,517.91
Deposit Account Bank USA
11/30/17 11/30/17 Received Interest: Insured 13.93 636,531.84
Deposit Account Bank NA
Closing Balance S636.531.84
TD Bank USA Excess $0.00
TD Bank USA NA $389,017.91
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by one or more banks (Program Banks,. Two of the Program Banks are TO Bank. N.A. and
TD Bank USA. NA. both affiliates of TO Ammar:Ie. The IDA balances are not covered by the Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
SDNY_GM_00011976
CONFIDENTIAL
page 5 of 5
EFTA_00122627
EFTA01268106

10 Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS. VI 00802-1348
CONFIDENTIAL SD NY_GM_00011977
EFTA 00122628
EFTA01268107

Terms and Conditions
STATEMENT GUIDE
nr.t.sado provides monthly Portfolio Repot lor accoums arm acvaty and quarterly reports the even 01 a brokerage inatilancy. a dad may retain Wants due trom the Melee F an es» brochure Mai masts information dosolang FINRAs Pitt Disclosure
*a mud se accounts PAM assets.. in balduldcY and Mon SIPC. Stolamental Damage is pad out MO, OW trustee and Program, please Contact FINRA at 800289'9999 Of warar Huidti.
Portfolio Summary: Track8 the Current Nola a your 000050 as Of the report dale and SIPC payouts an] ulna such coverage each dent is limited to a canned return at
corparee ry to the prior ~nth? The MIMI eliCarliOn irdc(dee your parl010 divagation by 5152 Mtn horn a eyelet. SIPC and London insurers The TO Antedlrade awsplentental It interest rate slxnan Ier TO Ameafade Cash e taken from the applcatle encase rate ter for
investment type coverage has an aggregate km 01 550) motion ova all cinemas. This patty provides the Markel Value balance rn Pe TO Amertrode Carib. as 01 the illatement closing date Simple
Coverage lotaing boakaage insohincy an] does nol poled (Mend Ion in market valle rawest ie accrue ea», based on the interest rate ea applicable to each days balance.
MAW* dbcalcen under 5% sue be grouse.] into thecategory of -Cellar in the pie chart. Margin ot me socurners
Emily - Total Account Egad:Wog Long ~pined° Value • Total Short Value) Financial Statement Notification: The stoma« of hnancul sondes:in lor TO Omen:rat es
An investment h a money market tuna b nol insured Or guaranteed by the Federal ~table twee a year and may be °dent al no cost. via the internal al
Activity Summary: The opening and dosing cash balances we reconcled here lor year quick Depose Insurance Corporation (FDIC' a any other perorate agency Although the row.rowerrtclamontradeconshnancontatmentlarn.
re!egeece At account acuity es summansed for the current period and year to data_ kinds Beek 10 preserve the valle a yOur nronment al 5 00 pe Share. it O tub» 10
Income a Expense Summary (nomads only): This section dolatt tno income an] *tense lase moray by invasion in a money market Old. Dhaderds we declared dab and Option Assignment: At seen tidy anon posnons and some index open positions aro
tOtaH from the Aaron? Summary and damits the lax IlealMent pacttenrostod monthly. The prospectus means Ins and odor important dormalort nude tor asegnment Carom amigniment traces br tub or rides options are random ay
Rebrement Account Summary (IRAs only): Renee the IRS regnatod transaceons for Mc Read the prospectus Carek.0/ Wore ~ling. NOnd09001 investments herd by your alocaled among allclams' she pestera by an aulemared proceekte.
turret and pa yaws IRS EOM) 5198 lair manta statue is based on the current value as or broker dealer are NOT FDIC NSURED r NOT BANK GUARANTEED? MAY LOSE VALUE.
Decanter 31 oleo pronous year a dLvn be furnshod lathe Internal Revenue Stance. Free Credit Balances (Rule 1544 a 3): Under me dent protection roes. we may use free
• P edon o na r n y c o e u r S A u r m tu m ro a ru ry e :M str o n n o it m or s y t o ra u t r e a g n y n . ual potato perlormance wet the once:lied gains and c T a h n e b b e a la 'c n a c u e d a 'I te y d o o u n r b y a a n rn k o d r e d p e e r n , d a n a d c o M tu a r p il r o O c r e s e h d a s r r d e t d u rn y e a d w l e m y o e n a e r y s M e a c r u k r e e l d M a O cc M o , u n fu t n o d r C on ro d a o t w W ne a d n . ts in your *enure n me Ordinary Course ol our banns which are panda to yOu
Account Positrons: Mew your rnestrnonts aatl ma current market yabe ard corrparo the ongnal ambled loyou
cost to see smealued gains and losses n your portlo10 Original cod is assigned using the Margin Amounts (Regulation T): H you have a margin accoani. the report es a combnaten of
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A /e C le C g O an u c n e t A Ri C se M °te *: s A t p l a ur tc ch o a ri s ro e a de e t l e M e ly M is o d w ea n r l e o r r d e a n r n id e e d a . l t e io le n d e i t n y m O a d e b O ol r t d in e g r. P a e rd rro c d o t l . l ected r. the « g I e b n e . r ta e m li e n n e e ] t o n n e o k t l. e a m nd p a s n il t t s k4 p r r o e c p e o e rt c s h l. Some Gymets we *abject le rte asreden Meun d tr o e c e u in m g e n is t b °r y a p ta o b m l a e d i i n n g t h u e s a m l a ih r e g n n u r m e b k e d f i l s e c s l l o e s d u o r n e p d a o g c e u o m n e e n 0 t 1 Y y O ou u r m st a o y te r o n b e ta n i t n a copy a this
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re O PO tt r e ta g C 0 a 0 s 0 h 0 6 S b e e rv i s c u e m s m S a u r m iz m ed a . r I y n : d C hi r C e k d e o d a t r a d t t d e e d bt * t . r a e n r s e w r t o io d n li s t t o e t d al . s lor it OMOM mamma % M Be a y r g c i h n a a n n ge d O in p y ti o o u n r s i n A v c e c s o tm un en t t A c g i r d e x e u m ro en s t s e : r P a r m om n p ia t, , a s d e a t s i o o 1 n 0 a A s m th e e n y tr a w de a re in v o to tin y g o e ur t execueon at avAvIdame•Cradocom A smarm copy is avalatle ton rawest.
t 'D fil u lI e kn to a l r e o d u n A d n in n g a . a / d I u n s C t o m m e e n t a s n . d th E o s s e ts rn o a m te e d n A t d n e n c u a a l l s Y m ie a l y d n v o a t l u c e a s n e t t e h e b a = s o e m d u e p n o ( n t o h ta e b . n umber or m w a in rg t i h n e o e . x O e p c l u O te n i s n a e c l c m O o u o nt n a s g t r r e a e n m sa en ct ts io n A i s su ~ m f m ab ar l y e 0 . 1 ognmesions and charge) incurred i m 1 m 1 a i p s k r e o o r v u s e r m t p e e o n n li t c d o y n . O m a n b a s r M e k n e e t t o n ° r b e d i r e ll d r y s . o 1 P r 0 d n e c p r e s e m t e o a d l c , ir r e b o e : c s d o t e n ( n tr « a i c s r a y a r . v b t a o o i n la s b e a l l e e n c U d t n b th r a o e k D I e n r u s l r . a a d n y o m a 0 l a o 1 r r k s ~ e . t r a c i n g o d n m do a a : r l e k o e s e t .
shams cunt or oxford value balance as of the statement dale and the most man Madded Omen Maid Mon: lea nakot 'dues ol seances have boa. Waned d ~Oka kom and sea regular>, manta execumns te lest for wall imperoment d mulatto.
rate a Cash yield penned gAltini traces ird Other intendent tone Val" are breed on me doing pal Me
men berm« me bd ad whin soon a direr freecels. I no rota value ante tom a Trade COMIrmilliConti (Ruts 100-10): Oil coronations are ParemilledOn ine InanstaiOn dale
GENERAL INFORMATION dada» wan cr indeplodent sane. I've seemly is PAW to bang ~rot ef
• Pr CAP). On valuable o. your goodie moon are paned as wad inkfmolon wet Team: Transactions in foreign saddle. (ikhan° foreign ~WY ADM that lade In Pie
ID Omen:rat does not provide legal or lax wince Please consult your legal advar or lax we cbrel guarantor> en awn/dory scones saes Maws backed postons Oro duo] U.S,) may include taxes and loos charged by et foreign marked or governments. winch may
toCCOuntant when need/dry. A8 8 illioneerd kitty attar. gnat COneerodiens May be rang me rtmanng tunas ird me anal mein aka Podnie Kcal sakorlions may na be redacted in the price 01 the security Of Charged OS an inaperderm ene item
recorded of Salty PAW and transattiOn vettlen DurpOser. maw« sake prawch. The scanday mated la Cathodes ot Co:posts (CDs) es wady
loud and the °dud mks am be diteml fron. the ~rose Woe Aspdowit loss ef Pinetart PrIvny Peaky NotIlkillon: A copy of Our TO Ametat Piney DOIcY is Meter al
For TO Amm-oado bnohnonal clams. yow advisor turn is separate from and not allbaled was may man tam Ito sale col a CD pror le messy. Bons and Fred eon Smote: axle miwnamaindecorn
SD Mande. Inc. a TO Ararat:10 Owing, Inc.. and oath lrm is not reeponstlo la the clferontly than tab wanes and dons trade en a Mud exchange. Perna. may Waden ea
prOdids end 'ernes 0' the pixy OTC PM Cc counted nakat and torW WI Nut% may not tod tar OW »Mil IOW Paden Pror Cable Settee: The slocation of penal ',em non;or nib or done tong e croons Reny
to watery. lro sale rotora pea to mamma/ rood a a Ices el preload. syllem. A exception el trio procedres kr Dabble sccunin is walslee tre wobble or had
Accwacy of Reports:II you find any errors or omissions In your account statement you comes are nubble teen reciami.
Proud immediately cell us at the meter listed o.1 page one Of your statement You Non Standard Assets OGAI aso hotly manmade. Pact partcpwon program spurts
Sold also contact our Clearing Tern, TD Amerlirade Clewing, Inc. el $00469-35100. !Sumatran. knead !Malty combine. or red ea» et/earners trust. comedy pooh. prude Al Case 01 errors Or grastol taut your Meanie Fund Tenter.. please CO lael 8 al
mob. abate debt or hedge krt. NS& ere Weal, Maud ~1~3 and denounce en a 7600669.3900, or in wrong to P,D, Box 2209. Omaha. NE 68103. or by email at
Please rijacw trio sialetTani carea lly. Ir you Otero* with any transaction or el Mao are any mad secured canner a notandaq Stoa Maya, The 'dues stun ter mad rnissurasts dadernanakelditeneade.COm The ~melon conlahed in your *awn statement shall
ergs or omission. please edify a Client Services reproserroothe a yen k:Cal brand, tree. to are mant robes dated hom wind methods. nearing bul net kited b, independent be bndng upon you if you do not odect wthn may ND) days lor any !candor ot lures stoat
wel as 10 Amassed° Croan-g. Inc. in wrong imthn ten (10) days of yaw recept of this appranals to pasgans rot asset. ander thid pasty under offers tut had bom worded by te Rcgdabon E, such as ATM and points-sal :rants, deco transactions. sired departs.
statement Any WO stalements Mal you hare made to us afraid be COMMed in wrong The to manpowet afmieter. ardor spavod oath warn or by a eedparty lade« egad and withdronrolto We Must hear from you ro later Man 60 earn after we set you Vie MST
statement sill °Chant be considered concbsbe. Independent wercalltn by TO ~a. Values may net feted me atonal anhase Pa. statomenl en whit the error or problem al:pored.
actual market nue a be rote] teen lemdaecn C an osimat value creel be estabthed (I) Tell us yOur none and account ranter
Please nary vs promptly 01 any charges in your cOnlaci information. TronildiOns raddled e !Waugh thew, ~hods. Me nodal mar be reflected es NotWited (-API Fa addlian decal (2)0o:camthe enor or to :rand« you aro unsure about. an] oxplan as dear?' as you can
your report wil be conebserob doomed accurateunto= you noels TD Amenfadoemmochatay. nagamin .abaton la htoStardand Pacts, promo mead Clan Sawa Rune namars why you bolero ri is an error or why you need mere snlormabon.
arenaman undo, ma SIPC (3) Tell us the dollar amount of me emended ergot
Account Protection: Deposes hold by MBank. NA ard TD Bank USA. N.A. aro insured by Wo silt invested* your sampan and wil correct any error promptly. II wo lake more man ID
tie FDIC Ind Covered by SIPC) up 10 5250.000. Limas are per aCtOtinl oralertit per Amen Rao Spurns DARSD Prong: The matt~ la OAS scoots hare boon clamed. busies devil le dO this, in wil creel, yaw accent for the eMOteit yOu think is in error. sO that
inialt40). TO learn mare about FDIC coverage go to ewe IdCgOv. Sedated. induelin deniable. horn tOtiden senates er Wei inepenert dens. The ocancy Olt prang is net you wil have tho use of the money dunng tho ton stakes us to corrpao our inyestraman.
mutual lump, held in your 13nMerage Actin are rrol depOSits Or obligations Of. or euraiscol Ha motet ~eons matte. TOPectaire rol prom to OAS poem. tang ale
guaranteed by. any bank. are not FOIC.Instred. and invoke envestmont rides, ircludng conoderacn boll to Muddy an undotog ant gusty. The MG renal a currordy
possde loss of princpal. TD Amerdade is a member of the Sccunlies Investor Preto ton ~in, aaddbgidband. ass me nee an be no ~me that such monies an
Corporation DSIPty. which Fracas =cute: customers of its mortars up to 5500.000 be wax one mad archon. AMID Ia0Tna
(indrtling 5250.000 la dart Pt cash). Explanatory brochure is available on request at
REGULATORY DISCLOSURES
wests neer".
Addlbandly. TO Anierillade provides each Cleat 5149.5 trillion worth 01 protection for MI mina:eons aro sticet to Ii) me con:Mahon. NW. Copula:vans customs and usages
securities and 52 rollen 01 prOPCIOn for dish trough SupOlemental coverage provided by Of me exchange er market and its deafedbouSe. H any. en Mich such trantedad are
London Insurers e E x x e cuted: (lit ledaal lam. end cr u i i e ng D O me E S .W ecu i r k iti f e t s e A ct 01 1933 a a nd A M to a n S d autes S0NY_GM_00011978
oun nr o and tha
▪ eerra
EFTA_00122629
EFTA01268108

Statement Reporting Period:
1D Ameritrade
12/01/17 - 12/31/17
Statement for Account # 867-730320
800-669-3900
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTF1S STE 8-3
PO SOX 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Ameritrade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ - $ • $
Insrd Dep Acct (IDA) 2,363,571.62 636,531.84 1,727,039.78 271.3% 0.25%
Money Market Other
1i%
Short Balance
Stocks 3,669,750.00 5,080,315.00 (1,410,565.00) (27.8)% 36,000.00 1.0%
Short Stocks
Fixed Income
Options 54.644.80 20,328.00 34,316.80 168.8%
Short Options (10.788.40) (42,946.40) 32,158.00 74.9%
Stocks
Mutual Funds
60.1%
Other
Total $077,178.02 65,694,228.44 S382.949.58 6.7% S36.000.00 0.6%
Margin Equity 100.0%
Cash Activity Summa Income & Ex .ense Summa Performance Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance $ 0.00 $ - Income Cost Basis As Of - 12/31/17" $2,548,824.20
Securities Purchased (3,408,219.04) Dividends $3,800.00 $ - $3,814.41 Unrealized Gains 1,507,864.27
Securities Sold 1,723,069.22 3,263,979.40 Interest 0.69 Unrealized Losses (343,082.07)
Funds Deposited 2,452,000.00 Other Funds Deposited/(Disbursed)m 2,452,000.00
Funds Disbursed Expense Income/(Expense)"° 3,815.10
Income 3,800.00 3,815.10 Interest Securities Received/(Delivered)Y° 2,925,891.00
Expense Fees 'To view realized gains and losses for your account, login at
wwwidameritrade.com and visit My Account > Galn/Loss.
Other (1,726,869.22) (2,311,575.46) Other
Closing Balance $ 0.00 $0.00 Net 53.800.00 $0.00 $3,815.10
SDNY_GM_00011979
CONFIDENTIAL
page 1 of 7
EFTA_00122630
EFTA01268109

Statement for Account # 867-730320
12/01/17 - 12/31/17
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer $ - $ 2,450,000.00
Subtotal 0.00 2,450,000.00
TOTAL 0.00 2,450,000.00
Income Summary Detail'
Description Current Year to Date
Ordinary Dividends $ 0.00 $ 8.26
Interest Income Credit Balance 0.00 0.69
Qualified Dividends 3,800.00 3,806.15
IDA Interest 170.56 404.07
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reponable in a previous lax year (spillover dividends). The year to date feuds will accurately reflect your cumuiative amount for the year.
Account Positions
Symbol! Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
FOUNDATION MEDICINE FMI 25.000 $ 68.20 $1,705,000.00 01/13/14 $ 582,049.13 $ 23.28 $ 1,122,950.87 $ -
INC
COM
GENERAL ELECTRIC CO GE 75.000 17.45 1,308,750.00 10/20/17 1,631,355.27 21.75 (322,605.27) 36,000.00 2.8%
COM
SANGAMO SGMO 40.000 16.40 656,000.00 05/28/13 337,771.20 8.44 318,228.80
THERAPEUTICS INC
COM
Total Stocks $3,669,750.00 $2,551,175.60 $1,118,574.40 $36,000.00 1.0%
Options - Margin
JD COM INC 280 $ 1.9516 $54,644.80 10/16/17 $ 75,121.60 $ 2.68 $ (20,476.80) $
JD Jan 19 18 40.0 C
Total Options $54,644.80 $75,121.60 $(20,476.80) $0.00 0.0%
SDNY_GM_0001 1980
CONFIDENTIAL
page 2 of 7
EFTA_00122631
EFTA01268110

Statement for Account # 867-730320
12/01/17 - 12/31/17
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Date
Investment Description CUSIP Quantity Price Value Basis Cost Gain(Loss) Income Yield
Short Options - Margin
JD COM INC 280- $ 0.2877 $ (8,055.60) 10/16/17 $ (36,759.54) $ 1.31 $ 28,703.94 $ -
JD Jan 19 18 44.0 C
JD COM INC 280- 0.0976 (2,732.80) 10/16/17 (40,713.46) 1.45 37,980.66
JD Jan 19 18 37.0 P
Total Short Options $(10,788.40) $(77,473.00) $66,684.60 $0.00 0.0%
Total Margin Account $3,713,606.40 $2,548,824.20 $1,164,782.20 $36,000.00 1.0%
Account Activit
Trade Settle Acct Transaction! Symbol;
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance $ 0.00
12/08/17 12/12/17 Margin Sell - Securities Sold BRUNSWICK CORP BC 2,500- 55.9404 $ 139.841.77 139.841.77
COM
Commission/Fee 6.00
Regulatory Fee 3.23
12/08/17 12/12/17 Margin Sell - Securities Sold BRUNSWICK CORP BC 2.500- 56.00 139,990.77 279,832.54
COM
Commission/Fee 6.00
Regulatory Fee 3.23
12/08/17 12/12/17 Margin Sell - Securities Sold BRUNSWICK CORP BC 2,500- 56.10 140,240.76 420,073.30
COM
Coro mission/Fee 6.00
Regulatory Fee 3.24
12/08/17 12/12/17 Margin Sell - Securities Sold CAVCO INDUSTRIES INC CVCO 1,000- 147.75 147,740.59 567,813.89
COM
Coromission/Fee 6.00
Regulatory Fee 3.41
12/08/17 12/12/17 Margin Sell - Securities Sold BRUNSWICK CORP BC 2,500- 56.15 140,365.76 708,179.65
COM
Commission/Fee 6.00
Regulatory Fee 3.24
SDNY_GM_00011981
CONFIDENTIAL
page 3 of 7
EFTA_00122632
EFTA01268111

Statement for Account # 867-730320
12/01/17 - 12/31/17
Account Activit
Trade Settle Acct Transaction Symbol,
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
12/08/17 12/12/17 Margin Sell - Securities Sold BRUNSWICK CORP SC 4,800- 56.22 269,843.77 978.023.42
COM
Cornm ission/Fee 6.00
Regulatory Fee 6.23
12/08/17 12/12/17 Margin Sell - Securities Sold BRUNSWICK CORP BC 200- 56.20 11.239.74 989.263.16
COM
Regulatory Fee 0.26
12/08/17 12/12/17 Margin Sell - Securities Sold BRUNSWICK CORP BC 1,000- 55.58 55,572.72 1.044.835.88
COM
Cornm ission/Fee 6.00
Regulatory Fee 1.28
12/08/17 12/12/17 Margin Sell - Securities Sold BRUNSWICK CORP BC 2,300- 55.5775 127,825.30 1,172,661.18
COM
Regulatory Fee 2.95
12/08/17 12/12/17 Margin Sell - Securities Sold BRUNSWICK CORP BC 500- 55.576 27,787.36 1,200,448.54
COM
Regulatory Fee 0.64
12/08/17 12/12/17 Margin Sell - Securities Sold BRUNSWICK CORP BC 1.200- 55.575 66,688.46 1,267,137.00
COM
Regulatory Fee 1.54
12/08/17 12/12/17 Margin Sell - Securities Sold CAVCO INDUSTRIES INC CVCO 1.300- 146.582 190,546.20 1,457,683.20
COM
Commission/Fee 6.00
Regulatory Fee 4.40
12/08/17 12/12/17 Margin Sell - Securities Sold CAVCO INDUSTRIES INC CVCO 19- 147.70 2,800.24 1,460,483.44
COM
Cornm issiorifFee 6.00
Regulatory Fee 0.06
12/08/17 12/12/17 Margin Sell - Securities Sold CAVCO INDUSTRIES INC CVCO 981- 146.60 143,805.28 1,604,288.72
COM
Commission/Fee 6.00
Regulatory Fee 3.32
12/12/17 12/12/17 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (1,604,288.72) 0.00
DEPOSIT ACCOUNT
12/15/17 12/15/17 Margin Div/Int - Income BRUNSWICK CORP BC 0.00 3,800.00 3,800.00
COM
Payable: 12/15/2017
QUALIFIED DIVIDENDS 3800.00
SDNY_GM_00011982
CONFIDENTIAL
page 4 of 7
EFTA_00122633
EFTA01268112

Statement for Account # 867-730320
12/01/17 - 12/31/17
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
12/15/17 12/15/17 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (3.800.00) 0.00
DEPOSIT ACCOUNT
12/20/17 12/22/17 Margin Sell - Securities Sold ASCENA RETAIL GROUP INC ASNA 2.600- 2.345 6.090.86 6.090.86
COM
Commission/Fee 6.00
Regulatory Fee 0.14
12/20/17 12/22/17 Margin Sell - Securities Sold ASCENA RETAIL GROUP INC ASNA 1.000- 2.341 2.340.95 8,431.81
COM
Regulatory Fee 0.05
12/20/17 12/22/17 Margin Sell - Securities Sold ASCENA RETAIL GROUP INC ASNA 16.400- 2.34 38.375.11 46,806.92
COM
Regulatory Fee 0.89
12/20/17 12/22/17 Margin Sell - Securities Sold ASCENA RETAIL GROUP INC ASNA 500- 2.365 1.176.47 47,983.39
COM
Commission/Fee 6.00
Regulatory Fee 0.03
12/20/17 12/22/17 Margin Sell - Securities Sold ASCENA RETAIL GROUP INC ASNA 10.000- 2.36 23.599.45 71,582.84
COM
Regulatory Fee 0.55
12/20/17 12/22/17 Margin Sell - Securities Sold ASCENA RETAIL GROUP INC ASNA 950- 2.365 2.240.70 73,823.54
COM
Commissionfee 6.00
Regulatory Fee 0.05
12/20/17 12/22/17 Margin Sell - Securities Sold ASCENA RETAIL GROUP INC ASNA 19.050- 2.36 44.956.96 118.780.50
COM
Regulatory Fee 1.04
12/22/17 12/22/17 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (118.780.50) 0.00
DEPOSIT ACCOUNT
Closing Balance $ 0.00
'For Cash Achwly totals. refer to the Cash ActMty Summary on page one of your statement.
Insured Deposit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
12/01/17 $ 636,531.84 11 0.0800 $ 15.34 $ 15.34
12/12/17 2.240.820.56 3 0.1000 18.41 33.75
12/15117 2.244.620.56 7 0.1000 43.02 76.77
12/22/17 2.363.401.06 7 0.1000 45.29 122.06
SDNY_GM_00011983
CONFIDENTIAL
page 5 of 7
EFTA_00I 22634
EFTA01268113

Statement for Account # 867-730320
12/01/17 - 12/31/17
Insured De • osit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
12/29/17 2,363,401.06 3 0.2497 48.51 170.57 170.57
Total Interest Income $170.57
Insured De. osit Account Activit
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $636,531.84
12/12/17 12/12/17 Received FDIC INSURED DEPOSIT ACCOUNT $ 1.604.288.72 2,240,820.56
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
12/15/17 12/15/17 Received FDIC INSURED DEPOSIT ACCOUNT 3.800.00 2,244,620.56
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
12/22/17 12/22/17 Received FDIC INSURED DEPOSIT ACCOUNT 118,780.50 2,363,401.06
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
12/29/17 12/29/17 Received Interest: Insured 125.44 2,363,526.50
Deposit Account Bank USA
12/29/17 12/29/17 Received Interest: Insured 22.56 2,363,549.06
Deposit Account Bank USA
12/29/17 12/29/17 Received Interest: Insured 22.56 2,363,571.62
Deposit Account Bank NA
Closing Balance $2,363,571.62
TD Bank NA $247.522.56
TD Bank USA NA $2,116,049.06
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by one or more banks (Program Banks". Two of the Program Banks are TD Sank. N.A. and
TO Bait USA. NA.. both affiliates of TD Amenuade. The IDA balances are not covered by the Secumies Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
Important Information
TRADING ACTIVITY FEE
To continue facilitating the execution of trades, a regulatory Trading Activity Fee (TAF) will be added to applicable sales transactions, beginning on or after March 19, 2018.
This fee is one of the regulatory fees FINRA (Financial Industry Regulatory Authority) assesses to member firms. The rate varies depending on the type of transaction and the size of that
transaction. This transaction-based fee has been previously consumed by TD Ameritrade. A full rate schedule can be found below as well as on the FINRA Website at FINRA.org in
Section 1 of Schedule A to FINRA's By-Laws or by searching 'Trading Activity Fee PAC's'
SDNY_GM_00011984
CONFIDENTIAL
page 8 of?
EFTA_00122635
EFTA01268114

Statement for Account # 867-730320
12'01.17 - 12 31 17
Important Information
This fee will be included under the "Reg Fee" section of each trade confirmation. combined with any other applicable regulatory fees. It will be reflected in the totals for "commissions and
fees" on the TD Ameritrade website within transactions and order histories. For questions you may reach us by calling the phone number listed on page 1 of this statement.
Trading Activity Fee rates: $0.000119 per share for each sale of a covered equity security, with a maximum charge of $5.95 per trade; $0.002 per contract for each sale of an option;
$0.00075 per bond for each sale of a covered TRACE-Eligible Security (other than an Asset-Backed Security) and/or municipal security, with a maximum charge of $0.75 per trade;
$0.00000075 times the value, as reported to TRACE, of a sate of an Asset-Backed Security, with a maximum charge of $0.75 per trade. All charged fees will be rounded to the nearest
penny using natural rounding logic. For example, $0.004 rounds to $0.00 and $0.016 rounds to $0.02.
CALIFORNIA RESIDENTS
If your total payments of interest and interest-dividends on Federally Tax-Exempt non-California municipal bonds were $10 or greater and you or your Partnership had a California
address then TD Ameritrade will report this information to the California Franchise Tax Board each tax year per state statute.
ANNUAL MARGIN DISCLOSURE
Securities purchased on margin are the firm's collateral for the loan to you. If the securities in your account decline in value, so does the value of the collateral supporting your loan. As a
result, the firm can take action, such as issuing a margin call and/or selling securities or other assets in any of your accounts held with TD Ameritrade, in order to maintain the required
equity in the account.
It is important that you fully understand the risks involved in trading securities on margin. These risks include the following: You can lose more funds than you deposit in the margin
account. The firm can force the sale of securities or other assets in your account(s). The firm can sell your securities or other assets without contacting you. You are not entitled to
choose which securities or other assets in your account(s) are liquidated or sold to meet a margin call. The firm can increase its -house" maintenance requirements at any time and is
not required to provide you advance written notice. You are not entitled to an extension of time on a margin call.
STATEMENT OF FINANCIAL CONDITION
The most recent statement of financial condition for TD Ameritrade Clearing, Inc. may be obtained at no cost, via the Internet at http://www.tdameritrade.com/financialstatementhtml or
by contacting TD Ameritrade Clearing, Inc. at 1.800.669.3900. As of 9/30/2017, TD Ameritrade Clearing, Inc. had net capital and a net capital requirement of $1.6 billion and 5339.8
million, respectively. A copy of the report and comments is currently available for customers' inspection at the principal office of the Securities and Exchange Commission in
Washington, D.C. and the Denver, CO office of the Commission.
SDNY_GM_0001 1985
CONFIDENTIAL
page 7 of 7
EFTA_00122636
EFTA01268115

PO BOX 2577
OMAHA NE 68103-2577
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SDNY_GM_0001 1986
EFTA 00122637
EFTA01268116

Terms and Conditions
STATEMENT GUIDE
IL Or ,cado provides morally Poiddie Reports Nr accoums sub annity and quarterly reports h the emna Ola brokerage insoirency. a din may femme newts due frOM the ~Me F an oste brochure that incbclas alonnabon desabng FINRAs Puna Desclasuro
TO MAC! 'TO =COOTS rah assns.. In bmmulltcY and Ilan SIPC. Sidommonial °mango c pad out Yter tho trustee and Program. Petite Contact FINRAP 1930-289.9a99 Or maw linear
Portfolio Summary: Treat It* Current Nita Cl your 000010 as 01 the ~at dale and Sloe payouts and Ør such coverage each clam is hauled to a osTiOnad return ot
mapares rl to Itie pror monlh.a The Mae 8110:alen ~08108 your p00010 divailfealion by $152 miliOn horn e trustee. SIPC end London insurers The TO Amain% Swaptemenlal No interest rØ shown tor TO Amertrade Cash a laken hom the applcatle incaseram ter ler
invemmert type coverage has an arrogate Ira Ol 5500 motion ova all customers. TM potty provides the Markel Value balance n the TO AmeraadeCesh. as 01~ 818.10~M closing date Simple
Overage Naming ammage insolmmy ord does net polka (Nand Ion in Markel vota wterest is xcrued eV/ based on the interest rale ser applcablo to oath days balance.
MAN* dlocatcoes undo 5% mg be grouped Mo ~category w -Char in the pie chart. Margin ct me secumles.
Early - Total AccouM ErluilWIT0011 Ming Merginable Value • TON I Short Value) Financial Statement Notilicallon: Ito statemert ol anancial madman lor TO limontrade
Pa investment ai a money MOE lund is not mewled Or 9.18ranated by the Federal Mailable truce a yew and may te .maned al ro cost via the internee el
Aelmty Summary: The opening and chasing cash balances we reconclee here lor yea quick Depose Insurance Corporation 'FOCI a any other aerator.= agency. Although Ho hm....‘wratimmortradecombnancobiammenthant
rely*,c e Al acc-auni aangy is suimmanzal lor the currant paiod and year to dato_ tnt Beek 10 preserve the vat. Or maw immanent al 51 0) pa Pura 113 panel*
Income 4. Expense Summary Inan4RAs only): This seitan dome the income and moons. lOse moray by incasing in a money market Ø. DMelends we <leaped Only end Option Assignment: Ali short malty opoon posnons and some index orphan positions are
totals hem me Aolidy Sunny and demon the lax nalnient pacteemostod monthly. TIN procpccos nuns IN: ard otlwe impadart nommort available lot assignment Emmet assignment races for WAY or index options are terldorrly
Retirement AccooM Summary (IRAs only): Rama the IRS moorland transacoons for Mo Real the prospectus anta, Cleo' Wafting. NOnaleateil inveamente held by your Mamma among all clams' shod posoons by an OA/ZOOS °TOCCOA..
Ogren! ord Vitt MM. IRS Fenn 5498 lair mak* value is based On the currant value as of boker dealer arc NOT FDIC NSURED !NOT BANK GUARANTEED/ MAY LOSE VALUE.
December 31 o1Ø premus year arden to furnished to Ma Internal Revenue Same. Free Credit Balances (llde 15c3.2 a 3): Under the dent protection nflos. we may use eon
l P a e ss rl o o s m fo a r n y c o • u S r u lu n t i u m ro a r r u y: o M st o m n o b m or s y o o o u t r o a g n y n . ual portfolio perlormence ert the unedited gains and c T a h n e t b o al a lq n u c i e d a r t i e y d o o u n r b y a o n u k r o d r e d p e O r. s r a l n a d c Ib n ri p l r o O c r e S e h ds a r n a m d r y o O d u r t o m y o e n w ey s m c u o r n te e l s m a a c t c e o l u n fu t n o d r C on re d d e it m ba a l n a d n . c es n yOur account in the Panay came ol ow Wane» whkh ere payable lo yOu
Account Positians:V1ew your mostmoms at tho current market vat.* and corrparo the copra emitted byta
coal 10 me ineakteel gains and losses n your pedloh) Original coal is assigned using he Margin Accounts (Regulation T1: H you have a margin account. the report a a combnaton of
a /11 n 8 t 1 . - 0 T 1. h 0 o 1 3 e 1 s -0 ti 0 m 1 a (0 te 1 d 0 0 m ) m os e t t m ho e d n . t ^ e in t c c o h m a e ss 2 u a m n e d s m av e e r e a s ge i s c h o a s r t e s p > e d r u s s h e ar t e a r a e t e th a os s e s a yo y u e d pu f r o ch r a y s o e u 0 r u Ta s x n ~ ro ri a n r g g : n c Th a e r p p a l l a b n le i M N n W IR ° S M rec a s h a n x E a c is u m in e c n lu t d e Y s o u t e n r i a l b r b ov r u a k m e R m a . m c h 16 a 9 r 9 d fo s r . a Ø n d r y i o s u ks r m an a d rg i e n s w no a t w su a ra a tl r e d b a r S a p l a l d in a v e m s e to m rs o . r a A n d c u o m m p a a m c e t 1 n s « t o T t r a th c e in g m o k n s ~ a K ss i o n c d p te o d se w s i t a h d m dl a io r n g a in l
e A a c t c e o r/ u a n c t e A Ilh ct e iV o i t l l y e : s A t p l a ur n c O ha te s d e a ac n iM e ly s ia h d ow e n a d M , r d e e n fi r n d e c d a . h li a o l n ed 0 i 1 n y W ew O h o O o r k d i e n r g . P an e d iN r d a l O . etted n the o ye n ll t . o l r a e m lle e c a ta n l a t n e s . d r a . n rs d o s n ae t 4 s 4 p ~ ro a ot r e t d s n Some ~mats we auket le rechesficelOn did) d tr o a c c u in m g e i n s t b a y m c i o a n b t l a e c t i i n n g t h u e s a m l e th rg e e n , u r m ak be d r is to c n lo e s d u o r n e p a a c g u e m on e e n O l V yo W ur m st a a y te o m b e ta n i t n a copy Of Ns
« M Ø O O es d n w a s . e l i i d n n s l. T i * g e a h . c t C o o ~ a s r a s n d o s h o t i h r m n b a S a g n re s t l t a p a S r o c a i a r n t t i . t o i t n l n a g T s r p t e r if a n o r m o n b l: o e d C c r . e t n o i f O l d n e n u c li t D d n e n d w y g n e e w l c t l h : h ~ C e e C c a A k s c . o h c d o m t e u s b n a i t t n a A t g c i. a 0 m e r 0 n d 8 i l t e a y ia r n s t l d t e h & x A a t M T o i n M te a n l a l n l e e c a a n t t n n Ø e y n M . . t a a d r l a e c l e le u a a se l r l e e d d r i M n a g d O i a n O l g e ~ ~ C a s n u o M P c s n l L t r a e a B O c e y e ia ~ e a a l n n l b : d y t C o e s C o a r d o ' O m Y B t I a u a r s y t t m d i t s 0 i : r , C 1 a e t P P a d n i n e P w I a O T n it r O h R k a m M A n 1 m E d u D D l c p m a e r a I n e a D e n r t t o d m a M d a o n a l d e o t = e n g i s r c a a e d t p » a o e n i x d s n m . g n C o a a O t r n i a I t E i ~ n G C M n C r e a E o b P a d e C p E F l a o M P o E w t n i D e e te i t c r r e l 8 s ic k 1 ~ r t o d f 3 d i o t y 1 a n 0 a d ot r o s P f s o e e h a z r c l a e e y e a r i m c e g n n t n e e c t n s d n a o g t s r m c h i M o e s a m p u n r n c a p c t O h y a e y m r n s d < n s . o e o a ~ o n r t c b i h t o F h s n m a l r o . e l s w a s a W d , o ( e d c S O r o l E i d m p r o e C e o n p a s . a o R l t e T n n u r w O e ° s l n e a a A ( t s M s r O m t 6 t i a s l e 0 b a a r . e 6 t k / n r r e a a e r r l a n d e a C C d o c y e a o t a i 6 n O i l [ l 0 s t s h n e o 7 a s r d ) m s : h c i ' s I ) o a n c u W y l C o s n r s o a t e e e i m t n e c r n e g p e e a i v n n s c t e h s d e r c c e a c u o l u l o i m v m o d a l n a s p ie d t e i a n s s n n e f s i s r c n q o a e u m I l t s e h i e t . y r e . M , T r o o a M O o r r t Ø d i k a r A e e a t m e r l O G d o l r f b r e a t a n o w n c r a e p t r h d r e t o e a o o r
Online Cash Services Summary: Croft ard deal Iransrbon totals lor tho carom statoment Margin and Options Account Agreements: Prompt)/ adaso 10 Amentrade n wnlnp ot oxecurson x onmedarnxtrada_cont A written copy is avalatlis sun re<post
relent» MOW be summariad. Indmmed litineaCterle are notlimed. any chango in your investment I:arroyos or animal swain as they wain to your
tue to rounding actustments. do stroment ~Ms may not equal the stamment tomb. M w o a a in n O o r x O an ti u li t t b n a h n t o iC l C o O F u o n o t n a s g t r r e a e n m sa e c n o t o s n . s A i s su a m ya m la e b ry lo o . f commissionsand dome, incurred ~ II M is e ou t r b p a o s li e c d y . O a n b s I o N n > l P W e h r y t o i r o d a ~ rs o t d o e rh o b e c t o a n M tra e r c y u , t t l o o n s e a le n c d t b th o e a s h t i s st . o d ry o a 0 lo 1 r s .. , . a U nd rn m a p r d k O e e t
tainted Annual Income and Eserreted Annual Yield value* a e tend upon IN> pumaer Cl improvement 01m ark« omos. Poe* [mammon avanablorder certain market condlions.
shares owned or carom value balance az 01 the stalemom dale ard the most utal dindend Omni Mahal Prices: Wicr make. saum cl ræonec hams been Waned. al ammak[ kom and we reg lad/ mentor executat o too ler such impewomoni d avalable.
doe or cosh Pew ~Mad q[attkn sent» and dab indeperident sons Vain we tern On Me awn act) Hq
man feline tre NS ad slug pros. a other cretin. a alltarva [duels motalle how a Tede COnfirmatiOnti (Rids 100-10):MI cantonal:3ns we atiremineet On he IMMIMOn
GENERAL INFORMATION qa016~ warn 6 OM independent ~W. tie noway is tab» lo bang rertedal at
• Prom (1.) The icluns cn your pedIdo mood are ~Mod as Win 1141°."11°13-11/ Taxes: Transactions in Meign shoaled (andarng Malign oerannY ADM INS Wide ia me
10 Montrane does not pone legal or lax adsce. Pleas* consult your legal adveor or lax NC COCCI ~MO OG accuracy dry scones Feces ttoigsgo toduel postens are valued U.S.) no/ include loses and fees charged by tie foreign madam or governments. each may
tettOuNant when necessary. A8 a 818neerd intadla ~Mee. plena COMinahtins May be rang 1Fe remanng Nine ad me weal model aka Potali) Man seksflens my na be redacted in the price 01 IN> security or charged as an :dependent sne item
rammed br dually OOMMI and tansy:lion vairiaalW PurpOSee. caorart sake proceals. The secondary meal la Cottons of Deposes (CDs) a gastraly
Aqua and the actual lua nay bb after. Iron me mallase fate AsigiammlOss of anbel Privacy Poky Nolifkation: A Cony el the TD Amertrao» Crary DOICY is ~Pane el
For TO Amin-oado basonoral clews. your advisor him Is separate from and not situated win may roan ton the sab ol a CO pv le many. Bras ~be Frei loom Smarties trade vmw.Mamenindocorn
TO Amanracia. Inc. a TD Arnxtrado Ocorrig, Inc.. and oath Irre is nat rosponsble la Inc clammy than may scans and Oa not Wade en a Mud *ammo°. Rana. hay owe n me
1,00xls and sernces ol the Orher. OTC Kra the counter, market and eirdent louder (MY na as b IW »Nil Yew Parton6W Cal* SearrIllern The 'location or pond ratemplonti a calls n dame yang e pro.nn loamy
o rrohdy.1ter solo abode pia to mower mapood a a loss cl precrad. system. A ~crown el the pecans for ~able sccumies is avalablo on to nesito a hang
Aconcycil Reports:II you find any errorsor omissions In your accouM statement you copes are ~title won («pool.
Mould immediately call us et the rumba' listed on page one w your statement. You Non Standacd Anon (6A1 are beady mixtments n drod partcpaban program [mourns
Mould also contact our Clearing firm, TD Amediradre Clewing, Inc. el 800469-3900. iartnerstmz Mnrod lablty =panic. a' red cstam roostoort hat comacety pmts. promo In Case 01 anon Cr questnno !afoul your ElearOniC Fund Menders. pease conlacl us el
eguty. pOrale debt a hedge Lads NS•6 ere hparb Mad Meelmatt ord do not Mole CI" a 1.1~669.3900. or in snag to P.O. Box 2209. Omaha. NE 68103. or by email al
Please corona na siatenm caready. II you Osage,' rob any bonsai:bon ord there we any acne mounts eclonge a tiohccom Stoa lanct. The clues tom ta mate mosimmm dieMeervkestbkleMegiatle.COM The MsannatOn cOntained in your *awn statement shall
aids or omissions. pease nobly a Client Services eepo»malhwa yaw tar branch Cate. as tre ~Rd [Ma cloned horn meat ~balk naran. OW na Wed ST indtpendent be lancing upon you if you do not oteecl wthn sixty 160)days Mr any transfer ot lutos Wont
wol as 10 Amairade Clean-g. Inc. in waling whin ton (10) days of your Cocoa ot this appraisals the progods rot =at. ada Ova perry under Was hat an tool provided by to Regulabon E. such as ATM and paid ot.me [tardy& debit transactions. direct OcTostis.
Namment Any wet statements Mal you nine made to us should be COMM'S in rang The to ~moored" ~ram. and« grow d each porn a by a thrdiamy vender sellout and silhemmals We Mold hear from you ro later Man 60 dam ear we sen tar the FEST
shitement stil «Name* be considered wank , independent murcaten by Ill Amerbede Van mar on, react the opna ~fee pica. statement on while the error or problem appeared.
adual market aura a be roabaxl inn Madam C r ~man value canna be establehod (I) Tell us 103. rome and accountant.,
Please may vs promptly 01 any changes in yow contact inanition. hareaCtions orldetled on Øat tese nianode. mo nivalen may be reflected as eltinarted ('NP) Fa Wand detal (2) Doscrbo the oar or Inc /ransfar you am unsure about, and explain as deafly as you can
your capon wit be conch/shay dimmed accurate unless you nobly TD Nrcrtradairrimodatear. ~wen; union la Nan.Smadand Aria plead comet Clad Scnces Theta rossirmots why you maimed is an error or why you need mac intormabon.
arena cowed uØ Me 9PC. (3) Ted us the dollar ~JO of Pie suaoktee ern.,
Account Protection: Deposes told by TO Bank. N.A. and TD Bart USA. N.A. aro toured by Wo ^dl [monger* your complain and wit correct arty error promptly. H we lake more than ID
he FDIC (401 COvered by SIPC) up 10 $250.030. Limas are per account oimertaP per Px:n Rao Socurbm CARS-) Prong: The matel Nikos la OAS worms~ ban moaned. business days lo de this. sewn oral, yOur (moan fOr Ow amount yOu think is in error, MINN
iniblulal. TO learn more about FDIC Coverage g0 tO mow 101C40v. SeetalleS. inflating Haw We. trom cprOtsien tonne or ohei nelepordere sane*. The way ol the ~Mg b na you MI have the ute of the money dunng tho MOILS= us to corrflob our investgaton.
mutual hands, held in your Brokerage ACCOuN are ml deltrale Or °big/Mons co 0/ *warren. Ha maikel aaliosraltaltb. TD Andrade di an:oho0AS pcolon.takrg as
guaranteed by. any bank. are not FDIC-insured. and invoke investment flak:. 'ncludng arneracn bah to ~My ad undocong cm* puny. The »IS ~la is crawly
mania loss ol printout TO Amenvade is a member ol Ø Scones invest« Note:ion ~denote a kCk 01S alty ant asa mot ein an tie ro ~Force that ern trewrtint an
Corporation (SIPC'). which protects scones customers of ds members up lo 5500.030 told urda one ~We cote. aSITD 150 Obla
(inchading $250.000 lor claims for cash). Explanatory brochure is available on request at
REGULATORY DISCLOSURES
Additionally. TO Amerind. ph[M0eS each Clan $149.5 alien worth 01 PrOleCtlon for MI Crania:bons aro tub)oct to p) me constitution. Mos. rogulatems. customs red usages
[Wyllie* and $2 melon 01 IXONCIOn Mr cash trough SupOlemental coverage provided by bal exchange or mint and as dearagnouse. H any. on seich such tranatklan are
London 'newels o E x x e cuted: dd ?Meal 4 lass. o in un d ie ia b ng 0 the Saun iv te rs A in c t ol 193 o 3 r f an on d e l the O S f% «u rtes SDNY_GM_00011987
EFTA 00122638
EFTA01268117

Statement Reporting Period:
ID Ameritrade
01/01/18 - 01/31/18
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 9-3
PO BOX 2209 ST THOMAS. VI 00802-1348
OMAHA, NE 68103-2209
TD Arne:brad. Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash ($5,544.00) $ - ($5,544.00) $ -
Insrd Dep Acct (IDA) 840,081.73 2,363,571.62 (1,523,489.89) (64.5)% 0.20%
Other
Money Market 2.5%
Short Balance 505,296.00 505,296.00 Short Stocks I
Stocks 5,080,450.00 3,669,750.00 1,410,700.00 38.4% 96,980.00 1.9% 7.7%
Short Stocks (505,296.00) (505,296.00)
Axed Income
Options 155,000.00 54,644.80 100,355.20 183.7%
Short Options (10,788.40) 10,788.40 100.0%
Mutual Funds
Other
Stocks
Total $6.069,987.73 $6,077,178.02 ($7,190.29) (0.1)% $96,980.00 1.6% 77.0%
Margin Equity 91.0%
Cash Activity Summary Income & Ex • ense Summar Performance Summary
Non
Current YID Reportable YTD
Reportable
Opening Balance $ 0.00 $ - Income Cost Basis As Of - 01/31118'• $3,695,667.78
Securities Purchased (2,766,848.00) (2,766,848.00) Dividends $9.000.00 S - $9.000.00 Unrealized Gains 1,649,179.67
Securities Sold 1,733,768.31 1,733,768.31 Interest Unrealized Losses (614,69345)
Funds Deposited Other Funds Deposited/(Disbursed)''1D
Funds Disbursed Expense Income/(Expense)"° 9,000.00
Income 9,000.00 9,000.00 Interest Securities Received/(Delivered)"° 0.00
Expense Fees **To view realized gains and losses for your account, login at
www.tdameritrade.com and visit My Account > Gain/Loss.
Other 1,523,831.69 1,523,831.69 Other
Closing Balance $499,752.00 $499,752.00 Net $9.000.00 $0.00 $9,000.00
SDNY_GM_00011988
CONFIDENTIAL
page 1 o18
EFTA_00122639
EFTA01268118

Statement for Account # 867-730320
01/01/18 - 01/31/18
Income Summary Detail'
Description Current Year to Date
Qualified Dividends $ 9,000.00 $ 9,000.00
IDA Interest 341.80 341.80
*TNs section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date totals will accurately reflect your cumulative &mutt for the year.
Account Positions
Symbol Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
ALPS ETF TRUST AMLP 43,000 $ 11.40 $490,200.00 01/12/18 $ 500,956.00 $ 11.65 $ (10,756.00) $ 36,980.00 7.5%
ALERIAN MLP ETF
FOUNDATION MEDICINE FMI 25.000 69.40 1,735,000.00 01/13/14 582,049.13 23.28 1,152,950.87
INC
COM
GENERAL ELECTRIC CO GE 125.000 16.17 2,021,250.00 10/20/17 2,593,861.27 20.75 (572,611.27) 60,000.00 3.0%
COM
SANGAMO SGMO 40.000 20.85 834,000.00 05/28/13 337,771.20 8.44 496,228.80
THERAPEUTICS INC
COM
Total Stocks $5,080,450.00 $4,014,637.60 $1,065,812.40 $96,980.00 1.9%
Short Stocks - Short
SELECT SECTOR SPDR XLU 9,900- $ 51.04 $(505,296.00) 01/12/18 $ (499.545.82) $ 50.46 $ (5,750.18) $
TRUST
SRI INT-UTILS ETF
Total Short Stocks $(505,296.00) $(499,545.82) $(5,750.18) $0.00 0.0%
Options - Margin
SPDR S&P 500 1,000 $ 1.55 $155,000.00 01/30/18 $ 180,576.00 $ 1.81 $ (25,576.00) $
SPY Jun 15 18 300.0 C
Total Options $155,000.00 $180,576.00 $(25,576.00) $0.00 0.0%
Total Margin Account $5,235,450.00 $4,195,213.60 $1,040,236.40 $96,980.00 1.9%
SONY_GM_0001 1989
CONFIDENTIAL
page 2 of 8
EFTA_00122640
EFTA01268119

Statement for Account # 867-730320
01/01/18 - 01/31/18
Account Positions
SymboU Current Market Purchase Cost Average Unrealized Estimated
Date
Investment Description CUSIP Quantity Price Value Basis Cost Gain(Loss) Income Yield
Total Short Account $(505,296.00) $(499,545.82) $(5,750.18) $0.00 0.0%
Total Positions $4,730,154.00 $3,695,667.78 $1,034,486.22 $96,980.00 2.1%
Account Activit
Trade Settle Acct Transaction! SymboU
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance $ 0.00
01/19/18 01/23/18 Cash Buy - Securities Purchased ADT INC ADT 200 S 14.00 $ (2.800.00) (2.800.00)
COM
01/23/18 01/23/18 Cash Journal - Other MOVE CASH BALANCE TO 0.00 2.800.00 0.00
MARGIN
01/25/18 01/25/18 Cash Delivered - Other ADT INC ADT 200- 0.00 0.00
COM
TRANSFER TO 867-730320-2
01/11/18 01/16/18 Margin Buy - Securities Purchased GENERAL ELECTRIC CO GE 50.000 19.25 (962.506.00) (962.506.00)
COM
Commissionfee 6.00
01/16/18 01/16/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 962306.00 0.00
DEPOSIT ACCOUNT
01/12/18 01/17/18 Margin Buy - Securities Purchased ALPS ETF TRUST AMLP 43.000 11.65 (500.956.00) (500,956.00)
ALERIAN MLP ETF
Commissionfee 6.00
01/17/18 01/17/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 500.956.00 0.00
DEPOSIT ACCOUNT
01/17/18 01/17/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (8.18) (8.18)
01/18/18 01/18/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 8.18 0.00
DEPOSIT ACCOUNT
01/18/18 01/18/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 3.168.00 3.168.00
01/19/18 01/19/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (3.168.00) 0.00
DEPOSIT ACCOUNT
01/19/18 01/19/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 1.485.00 1.485.00
01/22/18 01/22/18 Margin Delivered - Other JD COM INC 280- 0.00 1.485.00
JD Jan 19 18 40.0 C
EXERCISED OPTION
SDNv_Gm_00011990
CONFIDENTIAL
page 3 o18
EFTA_00 I 22641
EFTA01268120

Statement for Account # 867-730320
01/01/18 - 01/31/18
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
01/22/18 01/22/18 Margin Received-Other JD COM INC 280 0.00 1.485.00
JD Jan 19 18 44.0 C
OPTION ASSIGNED
01/22/18 01/22/18 Margin Received - Other JD COM INC 280 0.00 1.485.00
JD Jan 19 18 37.0 P
EXPIRATION
01/22/18 01/22/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (1.485.00) 0.00
DEPOSIT ACCOUNT
01/22/18 01/22/18 Margin Journal - Other MARK TO MARKET ADJ - 0.00 (693.00) (693.00)
01/22/18 01/23/18 Margin Buy - Securities Purchased JD COM INC JD 28.000 40.00 (1.120,010.00) (1.120.703.00)
ADR
Commission/Fee 10.00
01/22/18 01/23/18 Margin Sell - Securities Sold JD COM INC JD 28.000- 44.00 1.231.961.54 111.25854
ADR
Commission/Fee 10.00
Regulatory Fee 28.46
01/23/8 01/23/18 Margin Journal - Other MOVE CASH BALANCE TO 0.00 (2.800.00) 108,458.54
MARGIN
01/23/8 01/23/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (108.458.54) 0.00
DEPOSIT ACCOUNT
01/23/8 01/23/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (4.752.00) (4,752.00)
01/24/18 01/24/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 4.752.00 0.00
DEPOSIT ACCOUNT
01/24/18 01/24/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 3.069.00 3.069.00
01/25/8 01/25/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (3.069.00) 0.00
DEPOSIT ACCOUNT
01/25/18 01/25/18 Margin Div/Int - Income GENERAL ELECTRIC CO GE 0.00 9.000.00 9.000.00
COM
Payable: 01/25/2018
QUALIFIED DIVIDENDS 9000.00
01/25/18 01/25/18 Margin Received - Other ADT INC ADT 200 0.00 9.000.00
COM
TRANSFER FROM 867-730320-1
01/25/18 01/25/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (7,722.00) 1,278.00
SDNY_GM_00011991
CONFIDENTIAL
page 4 o18
EFTA_00 122642
EFTA01268121

Statement for Account # 867-730320
01/01/18 - 01/31/18
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
01/24/18 01/26/18 Margin Sell - Securities Sold ADT INC ADT 200- 11.335 2.260.95 3.538.95
COM
Commissionfee 6.00
Regulatory Fee 0.05
01/26/18 01/26/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (3.538.95) 0.00
DEPOSIT ACCOUNT
01/26/18 01/26/18 Margin Journal-Other MARK TO MARKET ADJ 0.00 (297.00) (297.00)
01/29/18 01/29/18 Margin Journal-Other REDEMPTION FDIC INSURED 0.00 297.00 0.00
DEPOSIT ACCOUNT
01/29/18 01/29/18 Margin Journal-Other MARK TO MARKET ADJ 0.00 6.435.00 6.435.00
01/30/18 01/30/18 Margin Journal-Other PURCHASE FDIC INSURED 0.00 (6.435.00) 0.00
DEPOSIT ACCOUNT
01/30/18 01/30/18 Margin Journal-Other MARK TO MARKET ADJ 0.00 (891.00) (891.00)
01/30/18 01/31/18 Margin Buy - Securities Purchased SPDR S&P 500 1.000 1.80 (180.576.00) (181,467.00)
SPY Jun 15 18 300.0 C TO OPEN
Commissionfee 556.00
Regulatory Fee 20.00
01/31/18 01/31/18 Margin Journal-Other REDEMPTION FDIC INSURED 0.00 181 A67.00 0.00
DEPOSIT ACCOUNT
01/31/18 01/31/18 Margin Journal-Other MARK TO MARKET ADJ 0.00 (5.544.00) (5,544.00)
01/12/18 01/17/18 Short Sell - Securities Sold SELECT SECTOR SPDR TRUST XLU 9.300- 50.461 469.270.46 463,726.46
SBI INT-UTILS ETF
Commission/Fee 6.00
Regulatory Fee 10.84
01/12/18 01/17/18 Short Sell - Securities Sold SELECT SECTOR SPDR TRUST XLU 600- 50.4601 30.275.36 494,001.82
SBI INT-UTILS ETF
Regulatory Fee 0.70
01/17/18 01/17/18 Short Journal-Other MARK TO MARKET ADJ 0.00 8.18 494.010.00
01/18/18 01/18/18 Short Journal-Other MARK TO MARKET ADJ 0.00 (3.168.00) 490.842.00
01/19/18 01/19/18 Short Journal-Other MARK TO MARKET ADJ 0.00 (1.485.00) 489,357.00
01/22/18 01/22/18 Short Journal-Other MARK TO MARKET ADJ 0.00 693.00 490,050.00
01/23/18 01/23/18 Short Journal - Other MARK TO MARKET ADJ 0.00 4.752.00 494.802.00
01/24/18 01/24/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (3.069.00) 49 t733.00
01/25/18 01/25/18 Short Journal - Other MARK TO MARKET ADJ 0.00 7.722.00 499,455.00
01/26/18 01/26/18 Short Journal - Other MARK TO MARKET ADJ 0.00 297.00 499,752.00
SDNY_GM_00011992
CONFIDENTIAL
page 5 o18
EFTA 00122643
EFTA01268122

Statement for Account # 867-730320
01 01 18 - 01 31 18
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
01/29;18 01:29:18 Short Journal - Other MARK TO MARKET ADJ 0.00 (6.435.09r 493,317.00
01/30/18 01/30/18 Short Journal - Other MARK TO MARKET ADJ 0.00 891.00 494,208.00
01/31/18 01/31/18 Short Journal - Other MARK TO MARKET ADJ 0.00 5.544.00 499,752.00
Closing Balance $499,752.00
'Far Cash Activity Wale, refer to the Cash Activity Summary on page one of your statemem.
Insured Deposit Account Interest Credited
Begin Number Interest Interest MID MTD
Date Balance of Days Rate Accrued Accrued PAID
01/01/18 $ 2,363,571.62 15 0.2497 $ 242.54 $ 242.54 $ -
01/16/18 1,401,065.62 1 0.2497 9.58 252.12
01/17/18 900,101.44 2 0.1998 9.86 261.98
01/19/18 903,269.44 3 0.1998 14.83 276.81
01/22/18 904,061.44 1 0.1998 4.95 281.76
01/23/18 1,008,460.98 2 0.2497 13.80 295.56
01/25/18 1,011,529.98 1 0.2497 6.92 302.48
01/26/18 1,014,771.93 4 0.2497 27.77 330.25
01/30/18 1,020,315.93 1 0.2497 6.98 337.23
01/31/18 834,195.93 1 0.1998 4.57 341.80 341.80
Total Interest Income 6341.80
SDNY_GM_00011993
CONFIDENTIAL
page 6 018
EFTA 00122644
EFTA01268123

Statement for Account # 867-730320
01/01/18 - 01/31/18
Insured De • osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance 92,363,571.62
01/16/18 01/16/18 Delivered FDIC INSURED DEPOSIT ACCOUNT $ (962,506.00) 1.401.065.62
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
01/17/18 01/17/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (500,956.00) 900.109.62
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
01/18/18 01/18/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (8.18) 900.101.44
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
01/19/18 01/19/18 Received FDIC INSURED DEPOSIT ACCOUNT 3.168.00 903.269.44
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
01/22/18 01/22/18 Received FDIC INSURED DEPOSIT ACCOUNT 1.485.00 904.754.44
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
01/23/18 01/23/18 Received FDIC INSURED DEPOSIT ACCOUNT 108.458.54 1,013,212.98
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
01/24/18 01/24/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (4.752.00) 1,008,460.98
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
01/25/18 01/25/18 Received FDIC INSURED DEPOSIT ACCOUNT 3,069.00 1.011.529.98
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
01/26/18 01/26/18 Received FDIC INSURED DEPOSIT ACCOUNT 3,538.95 1.015.068.93
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
01/29/18 01/29/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (297.00) 1.014.771.93
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
SDNY_Gra_00011994
CONFIDENTIAL
page 7 o18
EFTA_00122645
EFTA01268124

Statement for Account # 867-730320
01/01/18 - 01/31/18
Insured De r osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
01/30/18 01/30/18 Received FDIC INSURED DEPOSIT ACCOUNT 6,435.00 1,021,206.93
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
01/31/18 01/31/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (181,467.00) 839,739.93
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
01/31/18 01/31/18 Received Interest: Insured 241.56 839,981.49
Deposit Account Bank USA
01/31/18 01/31/18 Received Interest: Insured 50.12 840,031.61
Deposit Account Bank USA
01/31/18 01/31/18 Received Interest: Insured 50.12 840,08133
Deposit Account Bank NA
Closing Balance $840,081.73
TD Bank NA $247,550.12
TD Bank USA NA $592,531.61
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by one or more banks (Program Banks). Two of the Program Banks are TO Bank. N.A. and
TD Bank LISA. NA. both affiliates of TD Ameritrade. The IDA balances are nol covered by the Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
Important Information
TRADING ACTIVITY FEE
To continue facilitating the execution of trades, a regulatory Trading Activity Fee (TAF) will be added to applicable sales transactions, beginning on or after March 19. 2018.
This fee is one of the regulatory fees FINRA (Financial Industry Regulatory Authority) assesses to member firms. The rate varies depending on the type of transaction and the size of that
transaction. This transaction-based fee has been previously consumed by TD Ameritrade. A full rate schedule can be found below as well as on the FINRA Website at FINRA.org in
Section 1 of Schedule A to FINRA's By-Laws or by searching "Trading Activity Fee FAGs."
This fee will be included under the "Reg Fee" section of each trade confirmation, combined with any other applicable regulatory fees. It will be reflected in the totals for "commissions and
fees" on the TD Ameritrade website within transactions and order histories. For questions you may reach us by calling the phone number listed on page 1 of this statement.
Trading Activity Fee rates: $0.000119 per share for each sale of a covered equity security, with a maximum charge of $5.95 per trade; $0.002 per contract for each sale of an option;
$0.00075 per bond for each sale of a covered TRACE-Eligible Security (other than an Asset-Backed Security) and/or municipal security, with a maximum charge of $0.75 per trade;
$0.00000075 times the value, as reported to TRACE, of a sale of an Asset-Backed Security, with a maximum charge of $0.75 per trade. All charged fees will be rounded to the nearest
penny using natural rounding logic. For example, $0.004 rounds to $0.00 and $0.016 rounds to $0.02.
SDNY_GM_00011995
CONFIDENTIAL
page 8 of 8
EFTA_00122646
EFTA01268125

ID
Ameritrade PO BOX 2577
OMAHA NE 68103-2577
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS. VI 00802-1348
CONFIDENTIAL SD NY_GM_00011996
EFTA_00 122647
EFTA01268126

Terms and Conditions
STATEMENT GUIDE
It: /c.) waeb prandes morsfly Portfolio Report; lor accoums win anwb and quanody report h Me Mal 01 a ~etage ineolrency. a dal may Stekt Wants duo hal the Wade For an investor brochure mal murdos informabon dosabng FINRA's Plak Doclasuro
w naam accounts wei anelsd in ~Pad and don SIPC, ~omal corompo o pad oul Ø tho trustee and hoprel. pleete Contact FINRA at WO-289.999g Of wow lutete.
Portfolio Summae: Titeld the Current Maa Ot puf 00(0010 es 01 the n>pOd dele end SIPC payouls ard Ør such coyerage each clan es Weed to a carbrod return ot
~paren n to itio prior ~Me Tee Wan elk celen irdCeba yOur p00010 divereaCalion by 5152 mitiOn kom e toont. SIPC and London inwas The TO Malve% Supplemonial Tho interest rato slxwm fa TO Amertrade Cash is laken Oom Po opplooide eniecost rato eer lor
investment type coverage Inas an a:Jampot* limi ol 1600 muon amr all cum:nors. Trio polcy prandes the Merkel Valst balans) n Ine TO nMerOadeCaSh. as OIO» nelement °Meng date Simple
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MMO* dbuncres unica 5% ank be prouged mto tho <wagon, al "Ces" in Po pre dun. Maren ot me seourtos
Emily - Toto/ Account EtwernToul Long ~eindde gekte • Total Short Velde) Pinanond Statement Nonfoation: lbo stammen ol hnancul cad ton lor TO Omen:rade es
Ar, intomen n a money ~del lunde not intured Or dararrned by Me Federt ~tabla inece a year and may be obtened al no 0091. via Me iniernel al
Actinty Summary: Tilt opening and doling cash balances are reconcirn bore lor yta *web &post Insuranar Corpormon (FDICI ce any aha gawararam ogen*,. Afthough Int hannawnetetwentradoconylinanciabisomonthird.
re!egeico Al acc-zuni actnity es surmanzed lor me torent ponod and voor to date. Aards Beek 10 profane [ho adabe Ct nes innalmant el 51 00 per erere. d b anwb» 10
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t9ta,3 (rom the Aai ly Summary and Clanillos the les ireatment padYerwastod morsdy. lbo prospectus canons Mes ard aha important rtorrraort ~Iade lor assignmeM. heit« essignment races ra egub or inden options are rendon ly
Pierement Account Summum, (IRA, osy): Renen to IAS recutl od transasons lor kno Reed the ',maestro. Centlutir berom ~Ving NOn-depOsil in/011mo~ held tb your alocaled arrang all clontS stal posnons by an aJtamoled proxectre.
aan% and ora man IRS Form 5498 Fair merkel valne is based an the amant valut es or boker.dealer aro NOT FDIC NSURED r NOT BANK GUAfteNTEED MAT LOSE VALDE,
Dosenter 31 t1Ø pranous sta anima be turnshod to Ma Irdernal Reut:nut Sawa). Free Credit ~ncw (Ruin 154.2 a 3): Under me dent protabon Mm. wo may usa tree
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Account PosItians: New your rnestmoms a ito current maner vat» and con:ham the engten remeled 10 vno
cad to sea wieekzed geina and bosses n your pand° Original coat is esegned using the Maren Aecourds Olepulatkin T): M you have a margin accouni. ma report d a combnawn el
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W /ele e g e a r n a ce l A P c re ti n o t d y e : s A t p l a u a sh m te « , e da c t li e d e ly a is h O d w e n e t r o t r d e e n lb n e O d c . e t r e io ta n d o i l n n « e e s h O ob rd o e g r, a ta rd p d re i l . l eded n the g to a ll r t e o . l r a e g fte e t e a d u l o tn " e . k 2 i. . t e d n o d o s n al t e a s p t r ie oc fe e n e s d il Steno hyrnete ere whist to redenrcelOn nhkh d w o r c i u n m g e i n s t b a y v c a o ta ni r a » c t i i n n g n u e s e m l e M n e e ( n ) o r m ek b e d r i h sd a o d su o re n p d a o g c e u m on e e n t o . t Y p O u u t m st a a y te O ne b n la t i . n a copy d ins
« m C Ø O T O r b n s a . r l b i d i n s n I . e l i e g d a t c a r C P a a s a n s o a s o h t r h m r b i a n S a n r t g e a e s r n a p v S c a c i e c i r a o t . e i n n n s g s t T e v p i n o n o n l n * b s o * o o d C c r . e t n o i l O l d o d n c u a t D d o , n d e y g n o i n u c m r t h e e C e m c a A k s c . d h c d o e m e u n a n in n t V a A e c g d c a e e v r m d r n s t e a y W n n s t d a a i n l M b e o o s I s n e J t a c n a t t o i e o n o m n t t m a s e n / M o . t a e d m r t e e c l e l ', e s a e ta l r l e e d d r e m & n r o d i n n a o t g o , a o O O N u r o g i d a n s y t u n p n S i i l t n e e y y e e d a i r d s h n b : d o I y C d e e a C a c n o o O r a t n e - a 1 n u S m t t t l e y a s m d D a . r n C c t h a d n F o w P i l r n o O i o n t k R m a M n e 1 N d T 1 e o E ) p r n n O m c a a n M e n o r e d t w m n d a o e d e n n a e l d a e r , n o t s e c m e r b l p b e i o e t r e i d s in r r g n o a a ie n n ~ d N O p G C a a C m i a F rd P a r o C s m , F p S F l o a A l r o T w a E to m D d b e W r r e e s a k , W m t d a % t o a a n n d - e o e e r t l D r s P t s o e e h a a r l a c y e n t r o m e c e e i e n n e e c n d n a t c e t s u D m h r f o a o e e m p r n c e a p e h O e l e y m s r l- « w d o e . a e r n b o t r d r d h o o R e e n k h s n o e e l e r a a W s a i d o ( e C d S d r l O E i r d p o o m C e o n m a s p . R l t o e T % r u r c O e s a i n m p ( A t t e a M O r r 6 r b m f a a 0 y tr t 6 o n n y e e t a d n r ~ d n e i C a e a d g l e e i a l O 6 n n l s 0 s t n - o e o 7 s d r r ) m t : : k i ) o I s ) a n l u i c y e C w b s m d o e a u m < p e r e g e o m r a n s c n M o s r e i c a c o a u l o l o s i m w o n i o l d n m i e e d e i a s s e n n w s i s r c n a o e e m t l l s o e t b . o r n M T « o I o e O r d r r r a d k d o A e n e a o m r l o d C o I m r l r t a a e n o a a l r a a m p r d e i t g s o o o r
ONS Cash Services Summum: Grolt ard deldi kan:won totals lor tho conom slatomen Mater and Options Account Agreements: Prompter arniso 10 Amon:rade n vang ot execueon ann.m.idarnperadtcom A entten copy is avaratle won rayon.
tepenn Dedal be summariad. Indhitbal treneeCtea8 ere ns huwt any aanga re your investment ebearros or *menu, stuairan as trim opnam to your
iDue to mandala actustments. tho ~ment deals may not «mal tem statement totals. m w a e n i I i l n te O o r x O oc t u r t l b a a s n e o c l c o O p u e n o t n a s g t r r e a e n n s y a o c n e i o s n s A i s su a m ra m la a b y le 0 . 1 oanntissions and doeg% «urn m h a is k e o n ur W pa e t e c d y. O a n b s M en e t e W te ill n y o t r o d e a rs a r to d e ln o b e c n on ~ tra W ry. o to n se a i r s d t k [h a o a b ts et . o d n e , a 0 le 1 r s s . t a a r n d g m a t r o ke e r
:myteled Anno/ Income end Eserroted Anno& Vind velvet ere Oma upon Ibe nuMbb incovementen mark« orden. Peso impecramentis avant* Wpr oortan mattal conetbons.
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GENERAL INFORMATION cf.rotnen eent* OM« indeOndent sbne. ere 'anwb is edea 10 beng ~dl bi
Nul Prooi (11P) nov: 1u~ en your punch> meed are omreed as penaal atmeten ad Taan: Trensden), in beton stuenes (inCludn0 aeign 00^0anY AD" Felt (rade h den
10 tuntrade does not gromde legal or las ~ce. Plens* consult your Inrol aam« or las we dora gorones bb aurery dry scones secs- Orengado badtal postan are Wood U.S,) mei incNde tams ani løs diarota bymo loeren mantod o governments. vach may
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records br. uelly anetel and liansattiOn vedhast DurpOsta eaccat mbo prococcb, Plo seo:nday maai a Cents. 6 &pad, (CLIs) es anady
boud and the aClud %Olm mei be Oeren kol Me0~M Vee Malen MIA d potkt Pres, POlicy tiontionlon: A copy of Me TO Amen:neb privacy DOICY is WOW» el
For TO Amentrade beseboonal darts. your admor hem es scparato trom and not atthated wei may malt tam led sale el a CO pre le nattry Brit ma Ral Wam Securtes inde swalamaindocom
TO Annanrada. Inc. a TO Arnxtrado °meng, Int.. ard oen run es nat responsie° la th* elforomy tom web secunsw and de na rato aa a aow ~po. Rana. enry kat n me
fantasie end somma ol ille ener. OTC tra Me °ouden ~and woonN ul:eifnvrel (n Ia We buda Ma PadenPa Canto Slowden The eterram el maal !Mem/long a snib n dame rang a omina tomvy
to rnatuty. lbo sabel lacnb pncr to mauty mar roeit n alras dompa. toom. A downglit el mo portelan tor canada stuntos is avalabloon W groene or hang
Accwacy of Reporls: H you flnd any errors or annsions In yam accouM slak/ment you top*: aro muntte won focper.i.
ehould amedialely colt us et th* maten listed on page ome 01 your .leenent. You Non Standard Assen OGAI we twacaly møØ n droct partcpaton program secure.%
enduld als* contact our Clearing fat, TD Amanda> Clearing, loc. al 8004694900. loont:bps. Inuod tablet ~panen. cr red eclat moren esa. commay pcds. primo In ase ot enne, Or westerns WOW your ElatrOne Fund Tranen. pele tonett us al
Nuty. mina dal a redt» kricia Wo ere bekaf/ have imealmatt ad do na Wie en a 1.200669,39W, or n ming to P,O. Box 2209, Omaru. NE 68103. or by omul at
Please rcenew trio sialoToM earCAlly. If you elsopeco ah any kansarme], ord Mae are any nscnd minna oceanen ala Nadad Stock Malt. ltiornues avart lor twee mesewrts dieMeenkáskeldaMentrade.COm naa ~maten oorreces n your acCouni statement 8hall
etas a anssiorn. Masse notify e giant Services reproseMeliee d you biel bande Øe. SS are ~Wed 'spat defect hom aart merhodk ~Ira bul nol Inbed Ie independent be bndng epen ira el you do net oblecl wthn :day NO) days lor any lindor ot lutos Wepel
wol as 10 Amaindo Clean-g. Ine, in wmrg nunn ton (10) days ol your reent ot tod maand& to prozaas not ww. ander bvd pony eender Mors tut har* boon pruvded by to Repriabon E, web as ATM and pont aran *aceton, debn transactions. dereci asostis.
statement Any ad luitenants Inst you here nede to vi aha«, be COrAnned in vaag The bb monogaam a:nrraratr. ander giCYRI:10.1:11p er" a by a threlpyty ende« neon and windende We Must heer trom you ro later Men 60 den ener we sent you me FIRST
statement won «henna be considered conclane. ~dam ~cola by ID knel:rade Valse mei rel («MI lto raamt, ~usa pica statoment on whchthe error or preblom appoarcd.
mand Mto « be roated yam Inedaecn an osimwd *duo canna be establehod (I) Ted us phr rennend asmunt maner
Fletse natelt us pcompily 01 any changes in you cOnlaci kntdmaMon. TrereectiOns releded on thrOugh lese nolhods. Me wadden mar be renected es NonPsted CNV) Fa 8006~ dna/ (2) Oasen» the error of Int tander you am unsuro ou t. ard inplan as daad/ as you avl
your repon wil be concbsepalydamed aconeurdoss you rooly TD Anwtradoirnmatateer. regaionp waaien la Na Surlad koe. Neme amict Oen Snes Dow rrossinats way you bolero dis an error or why you nood mat inlormabon.
arena oreadunclat tho SIPC (3) Ted as Po dore snort of the suevected erger.
Account Prolectbn: &posen hald by TO flank. NA ard TD Dank USA. NA. aro nsured by Wo wi, invosigs* your °omplant and wil <area any error promptly. M wo lakei more man ID
i T n M itt l F u C br /C n. (W TO I le O e v m er e m e o t r b e y W SIP a C t ) F u O p K l e C O 52 r 5 d 0 e . g 0 e 0 0 0 . 0 L 1 if 0 t e + n n e e w re 1 0 p 0 e 4 r 0 E Y iC S tOu ta nl le oy s m . e i r n e d n u 0 d m ng r P A m ad e = u t R e s . o Io S n oc c u p r r t O es te C k A n R se S n D ior P es ro o n r a g : e To i r t d m ep a en k S e en l~ t e a f rC d e M d S Th s e c s o m se e a t s ./ h o s l e M b e e p en a S n t g o i n s e n d o . l b y u o s u i n w e i s l s h a W v a e m tl a to u d s e o o ta l s t . h s e e m w a il m or d a u a n l n yO g u t r h o c a tm no ot n ta b k r o m s e o s a m to a co n m t y p O o u t e Ih o in u k r i i n s v n e e st a ga r. w 8 n 0 . We
"duel funds, held in maa BrOkerage ACCOuN are r01 depotile Or obliptilions of. or 'aanmat Ma mand manen na adat. TE> Seroltade SI pree enn SAS poolon.takrg blo
gusanteed by. any bank. Ø not FOIC,Inswed. and mavo envestment mes. includng ecroderdan bot to kaolly m undotog Bedt quaty. Wie »d ruls ás Øy
posstle loss ol princpal. TD Ameneade is a momber ol Ø &conti*: inveslca Praatten tedele dng e itek Of iaidty end, ese ma Mae Ca be ro wannen gul toch eecortes
Corporalion (51PCI. which pretacts se:welles ei-atomen of els merrbers up lo 5500.000 be seld urda ons maant coxItan. ~TO 150 07,14
(inclacling S250.000 lor claims for cash). Explanatory brochure is availade n request
REGULATORY DISCLOSURES
wrnwsipc.org.
Addltionaily. TO Amerika«, (SOM% With deed $149.5 minor, wonh ol prolectlon tor NI berisseons aro abject to p) me casu:loon. Mes. roadatrans. clowns and usages
ileCudlieti and 52 Milon 01 iXONCIOn fa Cash Overeen SupOlemenlel omlag.> ernvided by d the exchange Of Merkel. and ib dearronouse. M Orry. On geien ma lienatelens ere
London neurale o E m n slag:d titl loden 4 lans. o i u n n c c h r a iD ing O m e Secu n n i in s A in c t a 193 o 3 i r an on d d tho e t S k « an u sd r r te h: s S0NY_GM_00011997
F
EFTA_00122648
EFTA01268127

Statement Reporting Period:
ID Ameritrade
02/01/18 - 02/28/18
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTFIS STE 8-3
PO 80X 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Amer'trade Clearing. Inc.. Member SIPC
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Chang! Change Income Yield Portfolio Allocation
Cash $3,366.00 ($5,544.00) $8,910.00 $ -
Insrd Dep Acct (IDA) 755,640.60 840,081.73 (84,441.13) (10.1)% 0.20%
Other
Money Market 1.5% IDA
Short Balance 485,694.00 505,296.00 (19,602.00) (3.9)% Short Stocks 11.5%
Stocks 5,224,800.00 5,080,450.00 144,350.00 2.8% 96,206.00 1.8% 7.4%
Short Stocks (485,694.00) (505,296.00) 19,602.00 3.9%
Fixed Income
Options 91,640.00 155,000.00 (63,360.00) (40.9)%
Short Options (3,200.00) (3,200.00)
Mutual Funds
Other
Stocks
Total $6,072,246.60 $6,069,987.73 $2,258.87 $96,206.00 1.6% 79.6%
Margin Equity 92.0%
Cash Activity Summary Income & Ex•ense Summary Performance Summary
Non
Current YTD Reportable YTD
Reportable
Opening Balance $499,752.00 $ - Income Cost Basis As Of - 02/28/18" $3,799,807.47
Securities Purchased (124,572.60) (2,891,420.60) Dividends $8,883.80 $ - $17,883.80 Unrealized Gains 2,138,014.40
Securities Sold 20,432.91 1,754,201.22 Interest Unrealized Losses (1,110,275.87)
Funds Deposited Other Funds Deposited/(Disbursed)`'1D
Funds Disbursed Expense Income/(Expense)n 17,883.80
Income 8,883.80 17,883.80 Interest Securities Received/(Delivered)" 0.00
Expense Fees **Via view realized gains and losses for your account, login at
www.tdamerinade.com and visit My Account > Clain/Loss.
Other 84,563.89 1,608,395.58 Other
Closing Balance $489,060.00 $489,060.00 Net $8,883.80 $0.00 $17,883.80
SDNY_GM_00011998
CONFIDENTIAL
pivot of 9
EFTA_00I 22649
EFTA01268128

Statement for Account # 867-730320
02 01 18 - 02 28 18
Income Summary Detail'
Description Current Year to Date
Ordinary Dividends $ 8,883.80 $ 8,883.80
Qualified Dividends 0.00 9,000.00
IDA Interest 122.76 464.56
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date totals will accurately reflect your cumuiative amount for the year.
Account Positions
Symbol! Current Market Purchase Cost Average Unrealized Estimated
investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
ALPS ETF TRUST AMLP 43.000 $ 10.10 $434.300.00 01/12/18 $ 500,956.00 $ 11.65 $ (66,656.00) $ 36,206.00 8.3%
ALERIAN MLP ETF
FOUNDATION MEDICINE FMI 25.000 82.75 2.068.750.00 01/13/14 582,049.13 23.28 1,486,700.87
INC
COM
GENERAL ELECTRIC CO GE 125.000 14.11 1,763,750.00 10/20/17 2,593,861.27 20.75 (830,111.27) 60,000.00 3.4%
COM
SANGAMO SGMO 40.000 23.95 958,000.00 05/28/13 337,771.20 8.44 620,228.80
THERAPEUTICS INC
COM
Total Stocks $5,224,800.00 $4,014,637.60 $1,210,162.40 $96,206.00 1.8%
Short Stocks - Short
SELECT SECTOR SPDR XLU 9,900- $ 49.06 $ (485,694.00) 01/12/18 $ (499,545.82) $ 50.46 $ 13,851.82 $ -
TRUST
SBI INT-UTILS ETF
Total Short Stocks $(485,694.00) $(499,545.82) $13,851.82 $0.00 0.0%
Options - Margin
BARCLAYS BANK 1,000 $ 0.4959 $49,590.00 02/14/18 $ 124,572.60 $ 1.25 $ (74,982.60) $ -
VXX Mar 16 18 37.0 P
SPDR S&P 500 1.000 0.4205 42,050.00 01/30/18 180,576.00 1.81 (138,526.00)
SPY Jun 15 18 300.0 C
Total Options $91,640.00 $305,148.60 $(213,508.60) $0.00 0.0%
CONFIDENTIAL SDNY_GM_00011999
page 2 of 9
EFTA 00122650
EFTA01268129

Statement for Account # 867-730320
02 01 18 - 02 28 18
Account Positions
SymboU Current Market Purchase Cost Average Unrealized Estimated
Date
Investment Description CUSIP Quantity Price Value Basis Cost Gain(Loss) Income Yield
Short Options - Margin
BARCLAYS BANK 1,000- $ 0.032 $(3,200.00) 02/14/18 $ (20,432.91) $ 0.20 $ 17,232.91 $ -
VXX Mar 16 18 32.0 P
Total Short Options $(3,200.00) $(20,432.91) $17,232.91 $0.00 0.0%
Total Margin Account $5,313,240.00 $4,299,353.29 $1,013,886.71 $96,206.00 1.8%
Total Short Account $(485,694.00) $(499,545.82) $13,851.82 $0.00 0.0%
Total Positions $4,827,546.00 $3.799.807.47 $1,027,738.53 $96,206.00 2.0%
Account Activit
Trade Settle Acct Transaction Symbol
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance $499,752.00
02/01/18 02/01/18 Margin Journal - Other REDEMPTION FDIC INSURED $ 0.00 $ 5.544.00 505.296.00
DEPOSIT ACCOUNT
02/01/18 02/01/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 7.920.00 513,216.00
02/02/18 02/02/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (7.920.00) 505,296.00
DEPOSIT ACCOUNT
02/02/18 02/02/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 3.564.00 508,860.00
02/05/18 02/05/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (3.564.00) 505.296.00
DEPOSIT ACCOUNT
02/05/18 02/05/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 8.118.00 513,414.00
02/06/18 02/06/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (8.118.00) 505,296.00
DEPOSIT ACCOUNT
02/06/18 02/06/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 7.227.00 512.523.00
02/07/18 02/07/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (7.227.00) 505,296.00
DEPOSIT ACCOUNT
02/07/18 02/07/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 2.277.00 507,573.00
02/08/8 02/08/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (2.277.00) 505,296.00
DEPOSIT ACCOUNT
02/08/18 02/08/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 5.346.00 510,642.00
SDNY_GM_00012000
CONFIDENTIAL
page 3 o19
EFTA_00 122651
EFTA01268130

Statement for Account # 867-730320
02/01/18 - 02/28/18
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
02109/18 02/09/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (5.346.00) 505.296.00
DEPOSIT ACCOUNT
02/09/18 02/09/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (9.900.00) 495.396.00
02/12/18 02/12/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 9.900.00 505,296.00
DEPOSIT ACCOUNT
02/12/18 02/12/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (3.663.00) 501.633.00
02/13/18 02/13/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 3.663.00 505.296.00
DEPOSIT ACCOUNT
02/13/18 02/13/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (2.178.00) 503.118.00
02/14/18 02/14/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 2.178.00 505,296.00
DEPOSIT ACCOUNT
02/14/18 02/14/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 5.445.00 510,741.00
02/14/18 02/15/18 Margin Sell - Securities Sold BARCLAYS BANK 1.000- 0.21 20.432.91 531,173.91
VXX Mar 16 18 32.0 P TO OPEN
Commissionfee 550.00
Regulatory Fee 17.09
02/14/18 02/15/18 Margin Buy - Securities Purchased BARCLAYS BANK 1.000 1.24 (124.572.60) 406,601.31
VXX Mar 16 18 37.0 P TO OPEN
Commission/Fee 556.00
Regulatory Fee 16.60
02/15/18 02/15/18 Margin Div/Int - Income ALPS ETF TRUST AMLP 0.00 8.883.80 415,485.11
ALERIAN MLP ETF
Payable: 02/1512018
Ordinary Dividends 8883.80
02/15/8 02/15/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 89.810.89 505,296.00
DEPOSIT ACCOUNT
02/15/8 02/15/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (10.692.00) 494,604.00
02/16/8 02/16/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 10.692.00 505,296.00
DEPOSIT ACCOUNT
02/16/18 02/16/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (4.356.00) 500,940.00
02/20/18 02/20/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 4.356.00 505,296.00
DEPOSIT ACCOUNT
02/20/8 02/20/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 6.435.00 511,731.00
02/21/18 02/21/18 Margin Journal-Other PURCHASE FDIC INSURED 0.00 (6.435.00) 505,296.00
DEPOSIT ACCOUNT
02/21/18 02/21/18 Margin Journal-Other MARK TO MARKET ADJ 0.00 6.435.00 511,731.00
SDNY_GM_00012001
CONFIDENTIAL
page 4 of 9
EFTA_00 I 22652
EFTA01268131

Statement for Account # 867-730320
02/01/18 - 02/28/18
Account Activity
Trade Settle Acct Transaction/ SymboU
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
02/22/18 02/22/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (6.435.00) 505.296.00
DEPOSIT ACCOUNT
02/22/18 02/22/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (2.475.00) 502.821.00
02/23/18 02/23/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 2.475.00 505,296.00
DEPOSIT ACCOUNT
02/23/18 02/23/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (12.672.00) 492.624.00
02/26/18 02/26/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 12.672.00 505,296.00
DEPOSIT ACCOUNT
02/26/18 02/26/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 1.485.00 506,781.00
02/27/18 02/27/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (1.485.00) 505,296.00
DEPOSIT ACCOUNT
02/27/18 02/27/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 7,920.00 513,216.00
02/28/18 02/28/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (7.920.00) 505,296.00
DEPOSIT ACCOUNT
02/28/18 02/28/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 3266.00 508,662.00
02/01/18 02/01/18 Short Journal-Other MARK TO MARKET ADJ 0.00 (7.920.00) 500,742.00
02/02/18 02/02/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (3.564.00) 497.178.00
02/05/18 02/05/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (8.118.00) 489.060.00
02/06/18 02/06/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (7.227.00) 481.833.00
02/07/18 02/07/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (2.277.00) 479.556.00
02/08/18 02/08/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (5.346.00) 474.210.00
02/09/18 02/09/18 Short Journal - Other MARK TO MARKET ADJ 0.00 9.900.00 484,110.00
02/12/18 02/12/18 Short Journal - Other MARK TO MARKET ADJ 0.00 3.663.00 487,773.00
02/13/18 02/13/18 Short Journal - Other MARK TO MARKET ADJ 0.00 2.178.00 489,951.00
02/14/18 02/14/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (5.445.00) 484,506.00
02/15/18 02/15/18 Short Journal - Other MARK TO MARKET ADJ 0.00 10.692.00 495.198.00
02/16/18 02/16/18 Short Journal - Other MARK TO MARKET ADJ 0.00 4.356.00 499.554.00
02/20/18 02/20/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (6.435.00) 493.119.00
02/21/18 02/21/18 Short Journal-Other MARK TO MARKET ADJ 0.00 (6.435.00) 486.684.00
02/22/18 02/22/18 Short Journal - Other MARK TO MARKET ADJ 0.00 2.475.00 489.159.00
02/23/18 02/23/18 Short Journal - Other MARK TO MARKET ADJ 0.00 12.672.00 501,831.00
02/26/18 02/26/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (1.485.00) 500,346.00
SDNY_GM_00012002
CONFIDENTIAL
page 5 o19
EFTA 00122653
EFTA01268132

Statement for Account # 867-730320
02/01/18 - 02/28/18
Account Activity
Trade Settle Acct Transaction/ Symbol!
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
02/27/18 02/27/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (7,920.00) 492,426.00
02/28/18 02/28/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (3,366.00) 489,060.00
Closing Balance $489,060.00
'For Cash &Wily totals. refer to the Cash Activity Summary on page one of your statement.
Insured Deposit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
02/01/18 $ 834,537.73 1 0.1998 4.57 $ 4.57 $ -
02/02/18 842,457.73 3 0.1998 13.84 18.41
02/05/18 846,021.73 1 0.1998 4.63 23.04
02/06/18 854,139.73 1 0.1998 4.67 27.71
02/07/18 861,366.73 1 0.1998 4.72 32.43
02/08/18 863,643.73 1 0.1998 4.73 37.16
02/09/18 859,089.73 3 0.1998 14.11 51.27
02/12/18 855,426.73 1 0.1998 4.68 55.95
02/13/18 853,248.73 2 0.1998 9.35 65.30
02/15/18 752,745.84 1 0.1998 4.12 69.42
02/16/18 748,389.84 5 0.1998 20.48 89.90
02/21/18 754,824.84 1 0.1998 4.14 94.04
02/22/18 758,784.84 1 0.1998 4.15 98.19
02/23/18 746,112.84 4 0.1998 16.34 114.53
02/27/18 747,597.84 1 0.1998 4.09 118.62
02/28/18 755,517.84 1 0.1998 4.14 122.76 122.76
Total Interest Income $122.76
SDNY_GM_0001 2003
CONFIDENTIAL
page 6 of 9
EFTA_00122654
EFTA01268133

Statement for Account # 867-730320
02 01 18 - 02 28 18
Insured De. osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance 3840,081.73
02/01/18 02/01/18 Delivered FDIC INSURED DEPOSIT ACCOUNT S (5.544.00) 834,537.73
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
02/02/18 02/02/18 Received FDIC INSURED DEPOSIT ACCOUNT 7.920.00 842,457.73
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
02/05/18 02/05/18 Received FDIC INSURED DEPOSIT ACCOUNT 3.564.00 846,021.73
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
02/06/18 02/06/18 Received FDIC INSURED DEPOSIT ACCOUNT 8.118.00 854,139.73
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
02/07/18 02/07/18 Received FDIC INSURED DEPOSIT ACCOUNT 7.227.00 861,366.73
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
02/08/18 02/08/18 Received FDIC INSURED DEPOSIT ACCOUNT 2,277.00 863,643.73
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
02/09/18 02/09/18 Received FDIC INSURED DEPOSIT ACCOUNT 5,346.00 868.989.73
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
02/12/18 02/12/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (9,900.00) 859,089.73
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
02/13/18 02/13/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (3,663.00) 855,426.73
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
02/14/18 02/14/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (2,178.00) 853,248.73
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
SDNY_GM_00012004
CONFIDENTIAL
page 7 o19
EFTA 00122655
EFTA01268134

Statement for Account # 867-730320
02 01 18 - 02 28 18
Insured De. osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
02/15/18 02/15/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (89,810.89) 763,437.84
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
02/16/18 02/16/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (10,692.00) 752.745.84
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
02/20/18 02/20/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (4,356.00) 748389.84
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
02/21/18 02/21/18 Received FDIC INSURED DEPOSIT ACCOUNT 6.435.00 754324.84
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
02/22/18 02/22/18 Received FDIC INSURED DEPOSIT ACCOUNT 6.435.00 761.259.84
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
02/23/18 02/23/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (2.475.00) 758.784.84
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
02/26/18 02/26/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (12.672.00) 746.112.84
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
02/27/18 02/27/18 Received FDIC INSURED DEPOSIT ACCOUNT 1.485.00 747,597.84
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
02/28/18 02/28/18 Received FDIC INSURED DEPOSIT ACCOUNT 7.920.00 755,517.84
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
02/28/18 02/28/18 Received Interest: Insured 42.81 755,560.65
Deposit Account Bank USA
02/28/18 02/28/18 Received Interest: Insured 4.07 755,564.72
Deposit Account Bank
02/28/18 02/28/18 Received Interest: Insured 37.94 755,602.66
Deposit Account Bank USA
SDNY_GM_00012005
CONFIDENTIAL
page 8 o19
EFTA 00122656
EFTA01268135

Statement for Account # 867-730320
02 01 18 - 02 28 18
Insured De. osit Account Activi
Date Check Date Tracking Expense
Clewed Number Written Transaction Description Code Code Amount Balance
02/28/18 02/28/18 Received Interest: Insured 37.94 755,640.60
Deposit Account Bank NA
Closing Balance $755,640.60
TD Bank NA $247,537.94
TD Bank USA NA $260.598.59
US Bank $247,504.07
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by one or more banks (Program Banks"). Two of the Program Banks are TD Bank. N.A. and
TD Bark USA. NA.. both affiliates of TD Amentrade. The IDA balances are not covered by the Securities Investor Protection Corporation (SIPC) protection applcable to your brokerage account.
Important Information
TRADING ACTIVITY FEE
To continue facilitating the execution of trades, a regulatory Trading Activity Fee (TAF) will be added to applicable sales transactions, beginning on or after March 19, 2018.
This fee is one of the regulatory fees FINRA (Financial Industry Regulatory Authority) assesses to member firms. The rate varies depending on the type of transaction and the size of that
transaction. This transaction-based fee has been previously consumed by TD Ameritrade. A full rate schedule can be found below as well as on the FINRA Website at FINRA.org in
Section 1 of Schedule A to FINRA's By-Laws or by searching "Trading Activity Fee FACts."
This fee will be included under the "Reg Fee" section of each trade confirmation, combined with any other applicable regulatory fees. It will be reflected in the totals for "commissions and
fees' on the TD Ameritrade website within transactions and order histories. For questions you may reach us by calling the phone number listed on page 1 of this statement.
Trading Activity Fee rates: $0.000119 per share for each sale of a covered equity security, with a maximum charge of $5.95 per trade; $0.002 per contract for each sale of an option;
$0.00075 per bond for each sale of a covered TRACE-Eligible Security (other than an Asset-Backed Security) and/or municipal security, with a maximum charge of $0.75 per trade;
$0.00000075 times the value, as reported to TRACE, of a sale of an Asset-Backed Security, with a maximum charge of $0.75 per trade. All charged fees will be rounded to the nearest
penny using natural rounding logic. For example, $0.004 rounds to $0.00 and $0.016 rounds to $0.02.
SDNY_GM_00012006
CONFIDENTIAL
page 9 of 9
EFTA_00122657
EFTA01268136

PO BOX 2577
OMAHA NE 68103-2577
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SDNY_GM_0001 2007
EFTA_00 I 22658
EFTA01268137

Terms and Conditions
STATEMENT GUIDE
11. Arritlacio panes moray Padre Faces lot accoums with ann./ and quanorly sons II the event eta brokered(' insolay. a Carl may receive Wats due frOM the trustee F an ode brochure That nabs information Mooting FINRAS Parc Cosebsum
cis mactic accounts with assets.. rn balbeetcY and Men SIPC. Stpoktwomal coverage is pad out diet the truss and Program. please Conlacl FINRA at 193b289.9999 or wafirwathl.
POrdello Summary: Tracks the Current value d your 00000 as Of the rep04 dale and SIPC payouts and tralar such coverage each dent is lard to a antra return ot
compares/to the peter month.: The Ma ellatiOn ace." thaw pada divertatilion by 5152 miliOn from a trustee. SIPC and London insurers The TO Anowitrade loppienental The interest rata Pam for TO Arnertrade Cash a liken from the armload° interestrate ter for
invesimari type coverage has an aggregate Is el 4.500 motion over at customers. The potty panes the Markel Value balance n a TO AmertradeCaSh. as Of the Stalemed closing date Simple
Coverage loll:ming Waage insobay and does net poled (gad Ion in market valle newest is xcn...ad dally based on the interest tato beg amicable to each days balance.
M.Mple alocatcns under 5% ma be grouse.] into the category of -Car' in the pie chart, bags, at ma 500.01101
Essay - Toter Account EounbrOlal Lena laginable Value • Total Shat Value) Financial Statement Notification: The statement of Manna condmon or TO Amentrade
M investment it a money men el fund is not insured Or suaranteed by the Federal abbe trice a year and may be Waned al no cost via the internal el
ActnIty Summary: The opening and dosing casts balances are reconcled hue tar a quid Depose Iremanoe Corpormon (FDIC' a any other gwornrrent agency Althea to Mar.,Awestawontrano.conshnancidsidementlurg.
reiegence Al account acurity is summated for the currant pad and yea to date kinds Beek 10 preserve the valle a yOur rivestant NS 00 per share. it is pale* 10
Income a Expense Summary thernaits only): This semen detail trio income and <sense lOse mord/ by Mesa n a money market fund. DMOrteds are <leaped daly and Option Assignment MI short cower opoon posnons and some index omen positrons aro
Yeast from te Acting Summary and Classifies the lax Irealment pactreinnested monthly. The prospectus amens Mrs arid ace imponart riorrnsion abbe for asstymeM Exercise assignment aces for equty or ndex options are randomly
Rebrement Account Summary (IRAs only): Review the IRS readed transamons for Me Read the alpectue Prettily Wore listing. Nth-depteil investments held by your alocaled among all clams' short posoons by an automated precooked.
curer( and pro years IRS Fa 5498 lair manta value is based On the anent value as el broker dealer arc NOT FDIC InSURED NOT SANK GUARANTEED/ MAY LOSE VALUE.
Docomtler 31 cite premous year ad ail to furnthed to to Internal Revenue Saco. Free Credit Balances Mule Oka II 3): Under me dent protection as. we may use tree
P to e rs d o o s r m or a y n o c u e r S Ar u tu m ro a r r e y c :fl t o o-n n o it m or s y t o ra u t r e a g n y n . ual pada pedormance and the unrealized gains end c T a h n e t b o al a lic nc a e la n te y d o o u n r b y a o n u k r o d rd e e t r a . i a l n a d m It tu s n p t ro O c r e S e h ds a r r e e tu d r n y e e d w t o m y o o n u e r y m M a ab n e e l s W a O m W ou n a t d o r C on a a ll b b e al d an . c es in your account i. the Ordinary Corse a our business which are payable w yOu
Account Positions: New your mostmems al the current market lobo and compare the and remitted 10 you
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M C S e O T n y r e n e a s d d t l d i . i e n s n e T . i e g a s h t C o C e P m a m a e s e s n e h t h n d r b a t S i a n n r l g a s e a a n p S l m c o a e r a o t . i n n li g s n T M p r a a a l n n b e s e d i C l c . c o o n ti l n e l d e l n i u c r m t d D e n d e y g t n e a w i c m l: h t e C e a c a A i k s c l . h e c d o m d e u a b n n t t t r a A a c g c a d e t r e m i d a s e l a y S n n o s t d i h o t h A e a r n T o s a M n N e n a t a o i c e w m t n u S n r e t o y n th . r a m a d r t a e . C l e l l i e s s a te h re d e d . i B n m r o d i n n a t t g h e s C o c s o r o a u p x s i n a t t ix a t S n t e y e y e d , a a d t s n h b : d e y t C i e e e C r e a o n O d s t t e I a y d r i m r l i d k s O a r e f a g t t a d n P h x e . O a l a T o R k D t i S a m P n I M m E d b D e o a p n ° e a t I a a r D s a l d e n s i a d a n * a m n e t d e t o i r w i e s re d o M v e a e r i a d i s n s g n C o e r O t d n s I t p p i G C a r C o a t R i * n a K n s S l a I F l A a b l T a n E a t a o r D e to e c r t Y t 6 a le 1 S t r a d th i o * a n s ot r s o P f s o e h e z a r m a e a e y r m i i m b e g s e o n e e c d n s n a c g t s u m c h n f o s o a e m p u r r n k a c p O r e h y e y t m r n s d e t s . e r x e a a b n c r t d t i o h . o F e a a n a s l n o . l r l g w a s a W e n o ( e d c S d r o i r E o d m p o e C e o n p c a s . o o R l t e T r n u i r q p O e s l u n e b ( A a t s M a r C m t n 6 e l a t 0 t e r a r l n 6 m a y r a n d a s a o d l n t C o a t r d e t a e r t r i 6 t n l O a s 0 s t n c o e T s o d ) n m : n i i u s I l a n . c n l y l C a o s t r e s o e i e r i m s c n r p o g e a e v n e c n s th r e d r s c c e c a o u u t l o i v m r o m i e e t n p i n a e d e i u s s n n e i e c i r s s n q o e a u s t n f t i e h o t . y M e . r , T r o a I o O o o r r r d t n d k A u e e e a n m r r l a d C e l r b t n a a a o w s n m a- p t h d g e t s e o o r
Ott. Cash Services Summary: Credt an] notd transaction mats or the anon statement Margin and Options Account Agreements: Prarrpift ad/SOW Amentrade n tang of execison at trainers indecent A enders *my is avaletle Lixn raq ose.
ranee 000d be summarized. IndMikert Venetia. ere not listed Yry lunge in your investment capturos of financial sawn as they pain to your
roue to rounding adustments. the %moment Oats may not can the statement totals. m W a e1 rg 1 i 1 n N 0 e , x S ec e u n tio s n w el a w r e n n a s g t r r e a e n m sa e m ni c s e n A i s su ° m ra m ta a b ry le O . f cOmmissions and clwgee Math ma is k e o r u s r t m a e d rc y. O a n b e M en e l O de a ft o 1 r 0 d e p r r s o v to id M e O b e c t o a n t tr h a e ry c . u t t l o o n s e a le n c d t b th ro e k e a r n s, y d ea O l f r s s . e a a nd m m a p r r k ic e e t
iEtninaled Annal Income and Edmiston Annual 'la values a 0 based upon the number el improvementen market oars. Pnco mammais evens:louder moan marker condoms.
shwas man or astern value balance as of the stalemom dale and rho most recent anercl Cunard Mat Films: The makot tomes tom been rained, data; tom and we repularg mentor excro.mat to test ler sish improvement it avatar°.
rale or Oath bein pkMdrki qx1t6cn undoes ad Other Maeda aces Yabes are based a the dosig free the
iron bean me bd ad aritnp pram a char race. a no arks] slue is alto bona Trade COMirmatithe (Rule 100-10): Al contrmalas are Paremined On the IrtimatiOn Nee
GENERAL INFORMATION qqtalkn Bente OOPS independent sea. I've arty is tubed lo being retooled
Nan.thccel eNP). The wiusxns en your radon:pat aro pronged as gala Mason ad Taxes: Trantmolons in (Nan sailieS (induSnO Wan Water ADM OW Irade le *le
10 Amerada does not provide legal or lax awe. Pleas* consult your legal admor or lax aro and guarantee to a:cum./dam sass frees. Malmo bard pardons are wad U,S.) may include taxes and fees charpcd by to reran marmot or governments. Bch may
reCeOunal when necessary. AS a illtinad inOssby pitiONO. able COnereatins May be wing me sienna Wage ad the math man eke Ponta rtexn tasEons may nor be beetledin the 0400 01 to security or charged lis an aerienea tne item
Ward Stu Cruelty MAW and tramattiOn verialth DurpoSt. sari sake promech. The secenday noon la Gotham or Depots (CDs) is gamey
loud and the sal vsbe me/ be deka from they ditne robe Asgsrart loss cf MOW easy Peaky NOtifitsflon: A copy of the TD Amertrads privacy poky is Mahe el
For TO Amm-oado Mamma darts. your admit( hart es separate from and net thrall was may roan ton Me cab al a CO pro/ b rasa. Dabs ddb Fa ozone Scanner. trade VAWIAMMCfead0 torn
TO Anwerirath. Inc. a TO Arstrado Owing. Inc.. and oath Irm is net retponsble la the dforenvy thaN Nay scturiun and deco wane en a ad exchange. Rata may son me
OndArds and semces UI the other. OTC Pm thecoma market and surrealI guana nd ens b yw bell your Peek^ PS Cable Sallies: The salaam of partial rot:mans or cans is done tong a pima talery
to ressuty. The silo often:a pia to arty may rocA n a Ices al preset atom. A desenpron el the promises tor cat le “CUODOS is avalahlo on to websile a ham
Accwacy of Reports: II you find any errors or omissions In your account statement you Copies are available up:neon-ml.
Mould immediately call us at the nab.' listed on page one of your statement You Non Standard Asa dal aro typed)/ camas in drat partcpsnn program aura
Wald also contact our Clearing Tim TO Amentrade Cleating, Inc. al $01)469-91100. patalms Ian Malty =mace. a and MEMO rrasrnori truzincernmsdtypaDIS.pnale In case Of Ora Cr batons Sal your EINIOniC Fund Treaders. pale 00 lab s al
eouty. pdeale debt a hedge Inds. NS& ere [gab lad knealmdria as do not age ma TIM 669.3900, or in stag to P.O. Box 2209. Omaha. NE 68103. or by weal at
Please 'maw too statement caready. II you camerae with any transaction or rl Mere aro any nsixid osunes mean?* a tie Krona Stock Mara Tin slues shwa, fa two rneseratts dienteervilealdbMilneede.COm The annaton Malted in your ectotrn slatemeM shall
ends or omissions. abase nobly a Client Services reproSentalber Or year teal bath thee. as are ikerneed ..ta.ea dead tern anon methods. hasdro, bun not fad IN independent be WON! upon you rf you de eel awl lathe wry 1601days or any transfer of lurch steeped
wol as 10 Amen:rano Oeareg. Inc. in wiling eta ton (10) days of you recaps ot this apace's one mama s rd =oh. ceder OW party tender offers tot ha,o ban aided by to Regabon E, such as ATM and poet dab trarelcrs, debit transachons. deem dams.
statement Any oral stanemenis Mal you have ale to us said be et/Nina in venlig The to magmart androw. add spread each ran a by a Mot nag yoga Soul and isilaaalti WO Must hear from you no later than 60 dare after we sere yOu the FAST
statemonl sill °dress/ be considered concloive ascendent sand, by 11) knerrade. Was may MI Mane anal WNW pike, statement on which the error or problem appeared.
amol rvnYV vatic a be ma] men leaden e an osynattd value cad be eatinhed (I) Tell tiS yOur rend end account merger
Please miry id promptly 01 any charges in you Genteel information. TralletioM reeeeled a trough Bete methods. Me slam mg be faded as NOneited (Nn For anand Mal (2) Damao the error or Me transfer you aro unsure abOte. and explan as dean/ as you can
your report wit be conclusively deemed acwatounioss you racy TO Amanda irractaxtly. name amen kr N:n.Staretard Pews. plebe aroma Clint Sows These masts why you bans n1 is an error or why you need mac inlormalion.
arena am] undo the SIPC. (3) Teti us the dollar &mum of the lakted error.
Account Protection: Deposits held by TO Sank. N.A. and TD Bas USA. N.A. are insured by Wo Ssl invested* your complain and wit career any error promptly. It we lake mom than ID
i t n h i e a l F ut D le IC n. (4 T 0 O 1 le C a o r v n e r m ed e r b e y O SI a PC t ) F u D p IC 1 0 G 5 a 2 r 5 a 0 g .0 e 0 0 p . it L 1 I 0 S S su a e l e 'N p e e g r e v eC . t S Ou e n e l u O lt r a n . e i r n th d e u d p n e g r H A a ud la en s R a K o o a rn u a r t a a te C n A s R e S- a ) P s r o o n r a g: t m The n m a o v t a et l vatm sa k uc r e O s A T S h e e N xu a r r b a :e o ta l S b e e a en m aw is e n d o . t b y u o s u i M nes I s h a c v lo e y s t o lo u 0 s 0 e I r o i f s t . h m e m ew cn l e c y a du l nn y g e w th e s s a o in t t t f a o w r t s h e u s a m to o c un o t s y t o a u e th o in u k r i i n s v i e n s e ti r g r a o t r e . s s O ,. Onit
Muluat fUndS, held in your Orange AteOunt are ntil deposits Or 001gatiOnS Of. Or WYNN:01H a ma ma end meals Tr) knetbadeN1p rice to ARS manna No
guaranteed by. arty bank. aro not FOlt instred. and involve investment Sm. ineludng centhorman both to quay and undthog cat quaky. The SAS racket is comfy
potable loss ol princpal. TD Amerada is a member of the Securities Invader Pro:omen tebeeentimnilick ol tCp.klty end. an result Mee Cm be no mance Mal encheecurties Car
Corporation (51PC'). which premeds senoras automats of ns members up to 5500.000 to sod with. one mai co ere. AUTDI5007tia
(inading 5250.000 lot dad for cash). Explanatory brochure is available on request at
REGULATORY DISCLOSURES
bwmaecina.
Additionally. TO Amerada, prOndeS ant ant 5149.5 Shen worth 01 proleetlon tor AI transamons aro object to to) me constmoon. hies. salons. cusses and usages
lathier, and $2 milern Of preteden err ash Weigh SupOleMental Coverage provided by d the exchange or maker. and as dearagnouse. H any, on istich such thintssans are
London ineurelS o Ex u sted: pit federal lass. inducing me Smarm A in m of 1933 and the Socra a te nd s S0NY_GM_00012008
ite
p °E NFIR M ihtt
EFTA_00122659
EFTA01268138

Statement Reporting Period:
1D Ameritrade
03/01/18 - 03/31/18
Statement for Account # 867-730320
800.669-3900
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
PO BOX 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Amer'trade Clearing. Inc.. Member SIPC
Portfolio Summar
Current Prior Period 0,0 Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash ($2,672.99) $3,366.00 ($6,038.99) $ -
Insrd Dep Acct (IDA) 743,426.12 755,640.60 (12,214.48) (1.6)% 0.20%
Options
Money Market
0.2% IDA
Short Balance 500,247.00 485,694.00 14,553.00 3.0% Short Stocks 12.2%
Stocks 4,816,660.00 5,224,800.00 (408,140.00) (7.8)% 96,206.00 2.0% 8.2%
Short Stocks (500,247.00) (485,694.00) (14,553.00) (3.0)%
Fixed Income
Options 13,000.00 91,640.00 (78,640.00) (85.8)%
Short Options (3,200.00) 3,200.00 100.0%
Mutual Funds
Other
Total $5.570,413.13 S6.072.246.60 (S501.833.47) (8.3)% 696.206.00 1.7%
Margin Equity 91.0%
Cash Activity Summary Income & Ex .ense Summa Performance Summary
Non
Current rro Reportable Reportable rro
Opening Balance $489,060.00 $ - Income Cost Basis As Of - 03/31/18" $3,695,667.78
Securities Purchased (2,891,420.60) Dividends $ - $ - $17,883.80 Unrealized Gains 1,808,929.67
Securities Sold 1,754,201.22 Interest 0.01 0.01 Unrealized Losses (1,175,184.45)
Funds Deposited Other Funds Deposited/(Disbursed)`'1D
Funds Disbursed Expense Income/(Expense)r ° 17,883.81
Income 0.01 17,883.81 Interest Securities Received/(Delivered)"° 0.00
Expense Fees **To view realized gains and losses for your account, login at
wwwidameritrade.com and visit My Account > Gain/Loss.
Other 8,514.00 1,616,909.58 Other (3,827.81) (3,827.81)
Closing Balance $497,574.01 $497,574.01 Net $0.01 ($3,827.81) $14,056.00
SDNY_GM_00012009
CONFIDENTIAL
pegs t of 9
EFTA_00122660
EFTA01268139

Statement for Account # 867-730320
03/01/18 - 03/31 18
Income Summary Detail'
Description Current Year to Date
Ordinary Dividends $ 0.00 $ 8,883.80
Interest Income Credit Balance 0.01 0.01
Qualified Dividends 0.00 9,000.00
IDA Interest 127.33 591.89
'This section displays current and year to date taxation values for thIS account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be Included. These conections
can include changes made to previous payments and removal of payments reportable in a previzus tax year (spillover dividends). The year to date totals will accuratehi reflect your cumulative amount for the year.
Account Positions
Symbol; Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
ALPS ETF TRUST AMLP 43.000 $ 9.37 $402,910.00 01/12/18 $ 500,956.00 $ 11.65 $ (98,046.00) $ 36,206.00 9.0%
ALERIAN MLP ETF
FOUNDATION MEDICINE FMI 25.000 78.75 1,968,750.00 01/13/14 582,049.13 23.28 1,386,700.87
INC
COM
GENERAL ELECTRIC CO GE 125.000 13.48 1,685,000.00 10/20/17 2,593,861.27 20.75 (908,861.27) 60,000.00 3.6%
COM
SANGAMO SGMO 40.000 19.00 760,000.00 05/28/13 337,771.20 8.44 422,228.80
THERAPEUTICS INC
COM
Total Stocks $4,816,660.00 $4,014,637.60 S602.022.40 $96,206.00 2.0%
Short Stocks - Short
SELECT SECTOR SP DR XLU 9.900- $ 50.53 $ (500.247.00) 01/12/18 $ (499,545.82) $ 50.46 $ (701.18) $ -
TRUST
SBI INT-UTILS ETF
Total Short Stocks S(500,247.00) $(499,545.82) $(701.18) $0.00 0.0%
CONFIDENTIAL SDNY_GM_00012010
page 2 of 9
EFTA_00 1 2266 I
EFTA01268140

Statement for Account # 867-730320
03/01/18 - 03/31/18
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Options - Margin
SPDR S&P 500 1,000 $ 0.13 $13,000.00 01/30/18 $ 180,576.00 $ 1.81 $ (167,576.00) $ -
SPY Jun 15 18 300.0 C
Total Options $13,000.00 $180,576.00 $(167,576.00) $0.00 0.0%
Total Margin Account $4,829,660.00 $4,195,213.60 $634,446.40 $96,206.00 2.0%
Total Short Account $(500,247.00) $(499,545.82) $(701.18) $0.00 0.0%
Total Positions $4,329,413.00 $3,695,667.78 $633 745 22 $96,206.00 2.2%
Account Activit
Trade Settle Acct Transaction Symbol/
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance $489,060.00
03/01/18 03/01/18 Margin Journal - Other PURCHASE FDIC INSURED $ 0.00 $ (3,366.00) 485,694.00
DEPOSIT ACCOUNT
03101/18 03/01/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (99.00) 485,595.00
03102/18 03/02/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 99.00 485,694.00
DEPOSIT ACCOUNT
03102/18 03/02/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 1.287.00 486,981.00
03105/8 03/05/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (1.287.00) 485,694.00
DEPOSIT ACCOUNT
03105/8 03/05/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (9.900.00) 475,794.00
03106/8 03/06/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 9.900.00 485,694.00
DEPOSIT ACCOUNT
03/06/8 03/06/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 6.633.00 492.327.00
03107/18 03/07/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (6.633.00) 485,694.00
DEPOSIT ACCOUNT
03f07/18 03/07/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 3.663.00 489,357.00
03/08/8 03/08/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (3.663.00) 485,694.00
DEPOSIT ACCOUNT
03/08/18 03/08/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (3.564.00) 482,130.00
SDNY_GM_00012011
CONFIDENTIAL
page 3 o19
EFTA_00 122662
EFTA01268141

Statement for Account # 867-730320
03/01/18 - 03/31/18
Account Activity
Trade Settle Acct Transaction/ Symbol!
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
03/09/18 03/09/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 3.564.00 485.694.00
DEPOSIT ACCOUNT
03109/ 8 03/09/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (1.386.00) 484,308.00
03/12/18 03/12/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 1386.00 485.694.00
DEPOSIT ACCOUNT
03/12/18 03/12/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (2.079.00) 483.615.00
03/13/18 03/13/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 2.079.00 485,694.00
DEPOSIT ACCOUNT
03/13/18 03/13/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (1.089.00) 484,605.00
03/14/ 8 03/14/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 1.089.00 485.694.00
DEPOSIT ACCOUNT
03/14/ 8 03/14/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (5.049.00) 480.645.00
03/15/18 03/15/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 5.049.00 485,694.00
DEPOSIT ACCOUNT
03/15/18 03/15/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 297.00 485,991.00
03/16/18 03/16/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (297.00) 485.694.00
DEPOSIT ACCOUNT
03/16/18 03/16/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (495.00) 485.199.00
03/19/ 8 03/19/18 Margin Received - Other BARCLAYS BANK 1,000 0.00 485.199.00
VXX Mar 16 18 32.0 P
EXPIRATION
03/19/ 8 03/19/18 Margin Delivered - Other BARCLAYS BANK 1,000- 0.00 485.199.00
VXX Mar 16 18 37.0 P
EXPIRATION
03/19/ 8 03/19/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 495.00 485.694.00
DEPOSIT ACCOUNT
03/19/ 8 03/19/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 3.069.00 488.763.00
03/20/ 8 03/20/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (3.069.00) 485.694.00
DEPOSIT ACCOUNT
03/20/ 8 03/20/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (1.550.81) 484,143.19
03/21/18 03/21/18 Margin Journal-Other REDEMPTION FDIC INSURED 0.00 1350.81 485,694.00
DEPOSIT ACCOUNT
03/21/18 03/21/18 Margin Journal-Other MARK TO MARKET ADJ 0.00 1.683.00 487.377.00
03/22/18 03/22/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (1.683.00) 485.694.00
DEPOSIT ACCOUNT
SDNY_GM_00012012
CONFIDENTIAL
page 4 o19
EFTA 00122663
EFTA01268142

Statement for Account # 867-730320
03/01/18 - 03/31/18
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
03/22/18 03/22/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (2.178.00) 481516.00
03/23/18 03/23/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 2.178.00 485.694.00
DEPOSIT ACCOUNT
03/23/18 03/23/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 6.930.00 492.624.00
03/26/18 03/26/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (6.930.00) 485.694.00
DEPOSIT ACCOUNT
03/26/18 03/26/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (5.049.00) 480,645.00
03/27/18 03/27/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 5,049.00 485,694.00
DEPOSIT ACCOUNT
03/27/18 03/27/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (7.029.00) 478,665.00
03/28/18 03/28/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 7.029.00 485,694.00
DEPOSIT ACCOUNT
03/28/18 03/28/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 198.00 485.89230
03/29/18 03/29/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (198.00) 485.694.00
DEPOSIT ACCOUNT
03/29/18 03/29/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (2.673.00) 483.02130
03/29/18 03/29/18 Margin Div/Int - Income INTEREST CREDIT 0.00 0.01 483,021.01
Payable: 03/29/2018
03/01/18 03/01/18 Short Journal-Other MARK TO MARKET ADJ 0.00 99.00 483.120.01
03/02/18 03/02/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (1.287.00) 481.833.01
03/05/18 03/05/18 Short Journal - Other MARK TO MARKET ADJ 0.00 9.900.00 491.733.01
03/06/18 03/06/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (6.633.00) 485,100.01
03/07/18 03/07/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (3.663.00) 481,437.01
03/08/18 03/08/18 Short Journal - Other MARK TO MARKET ADJ 0.00 3.564.00 485,001.01
03/09/ 8 03/09/18 Short Journal - Other MARK TO MARKET ADJ 0.00 1386.00 486,387.01
03/12/18 03/12/18 Short Journal - Other MARK TO MARKET ADJ 0.00 2.079.00 488,466.01
03/13/18 03/13/18 Short Journal - Other MARK TO MARKET ADJ 0.00 1.089.00 489,555.01
03/14/18 03/14/18 Short Journal - Other MARK TO MARKET ADJ 0.00 5.049.00 494,604.01
03/15/18 03/15/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (297.00) 494,307.01
03/16/18 03/16/18 Short Journal - Other MARK TO MARKET ADJ 0.00 495.00 494.802.01
03/19/18 03/19/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (3.069.00) 491.733.01
SDNY_GM_00012013
CONFIDENTIAL
page 5 o19
EFTA_00I 22664
EFTA01268143

Statement for Account # 867-730320
03/01/18 - 03/31/18
Account Activity
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity Description CUSIP Quantity Price Amount Balance
03/20/18 03/20/18 Short Div/Int - Other SELECT SECTOR SPDR TRUST XLU 0.00 (3,827.81) 487,905.20
SBI INT-UTILS ETF
Charging Short Pos Rec 03/19/2018
Payable: 03/21/2018
Orcinary Dividends -3827.81
03/20/18 03/20/18 Short Journal - Other MARK TO MARKET ADJ 0.00 1,550.81 489,456.01
03/21/18 03/21/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (1,683.00) 487,773.01
03/22/18 03/22/18 Short Journal - Other MARK TO MARKET ADJ 0.00 2,178.00 489,951.01
03/23/18 03/23/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (6,930.00) 483,021.01
03/26/18 03/26/18 Short Journal - Other MARK TO MARKET ADJ 0.00 5,049.00 488,070.01
03/27/18 03/27/18 Short Journal - Other MARK TO MARKET ADJ 0.00 7,029.00 495,099.01
03/28/18 03/28/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (198.00) 494,901.01
03/29/18 03/29/18 Short Journal - Other MARK TO MARKET ADJ 0.00 2,673.00 497,574.01
Closing Balance $497,574.01
'For Cash AcSvIly totals. refer to the Cash Activity Summary on page one of your statement.
TD Ameritrade Cash Interest Credit/Expense
Begin Margin Credit Number Interest Interest Interest
Date Balance Balance of Days Rate Debited Credited
03/23/18 $ $ 6,930.00 3 0.01 $ - $ 0.01
Total Interest Income/(Expense) $ 0.00 $0.01
Insured De. osit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
03/01/18 $ 758,907.60 4 0.1998 $ 16.62 $ 16.62 $ -
03/05/18 750,294.60 2 0.1998 8.22 24.84
03/07/18 756,927.60 1 0.1998 4.14 28.98
03/08/18 757,026.60 1 0.1998 4.14 33.12
03/09/18 755,640.60 3 0.1998 12.42 45.54
03/12/18 753,561.60 1 0.1998 4.12 49.66
03/13/18 752,472.60 1 0.1998 4.12 53.78
03/14/18 747,423.60 2 0.1998 8.19 61.97
03/16/18 747225.60 4 0.1998 16.36 78.33
03/20/18 748,743.79 2 0.1998 8.20 86.53
03/22/18 748,248.79 4 0.1998 16.39 102.92
03/26/18 750,129.79 1 0.1998 4.10 107.02
SDNY_GM_00012014
CONFIDENTIAL
page Sol
EFTA_00122665
EFTA01268144

Statement for Account # 867-730320
03/01/18 - 03/31/18
Insured De • osit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
03/27/18 743,100.79 2 0.1998 8.14 115.16 115.16
03/29/18 740 627.12 3 0.1998 12.16 12.16 12.16
Total Interest Income $127.32
Insured De. osit Account Active
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $755,640.60
03/01/18 03/01/18 Received FDIC INSURED DEPOSIT ACCOUNT $ 3,366.00 759,006.60
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
03/02/18 03/02/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (99.00) 758.907.60
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
03/05/18 03/05/18 Received FDIC INSURED DEPOSIT ACCOUNT 1.287.00 760.194.60
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
03/06/18 03/06/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (9,900.00) 750.294.60
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
03/07/18 03/07/18 Received FDIC INSURED DEPOSIT ACCOUNT 6.633.00 756.927.60
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
03/08/18 03/08/18 Received FDIC INSURED DEPOSIT ACCOUNT 3.663.00 760.590.60
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
03/09/18 03/09/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (3.564.00) 757.026.60
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
03/12/18 03/12/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (1.386.00) 755.640.60
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
SDNY_GM00012015
CONFIDENTIAL
page 7 019
EFTA_00122666
EFTA01268145

Statement for Account # 867-730320
03/01/18 - 03/31/18
Insured De . osit Account Activi
Date Check Date Tracking Expense
Clewed Number Written Transaction Description Code Code Amount Balance
03/13/18 03/13/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (2,079.00) 753,561.60
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
03/14/18 03/14/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (1.089.00) 752.472.60
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
03/15/18 03/15/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (5.049.00) 747.423.60
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
03/16/18 03/16/18 Received FDIC INSURED DEPOSIT ACCOUNT 297.00 747.720.60
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
03/19/18 03/19/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (495.00) 747.225.60
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
03/20/18 03/20/18 Received FDIC INSURED DEPOSIT ACCOUNT 3,069.00 750.294.60
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
03/21/18 03/21/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (1,550.81) 748.743.79
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
03/22/18 03/22/18 Received FDIC INSURED DEPOSIT ACCOUNT 1,683.00 750.426.79
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
03/23/18 03/23/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (2,178.00) 748.248.79
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
03/26/18 03/26/18 Received FDIC INSURED DEPOSIT ACCOUNT 6,930.00 755.178.79
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
SDNY_GM_00012016
CONFIDENTIAL
pageerg 9
EFTA 00122667
EFTA01268146

Statement for Account # 867-730320
03/01/18 - 03/31/18
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
03/27/18 03/27/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (5,049.00) 750,129.79
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
03/28/18 03/28/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (7,029.00) 743,100.79
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
03/29/18 03/29/18 Received FDIC INSURED DEPOSIT ACCOUNT 198.00 743,298.79
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
03/29/18 03/29/18 Received Interest: Insured 1.33 743,300.12
Deposit Account Bank USA
03/29/18 03/29/18 Received Interest: Insured 41.98 743,342.10
Deposit Account Bank
03/29/18 03/29/18 Received Interest: Insured 42.01 743,384.11
Deposit Account Bank USA
03/29/18 03/29/18 Received Interest: Insured 42.01 743,426.12
Deposit Account Bank NA
Closing Balance 3743,426.12
TD Bank NA $247,542.01
TD Bank USA NA $248,342.13
US Bank $247,541.98
FDIC Insured Depose Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by one or more banks ('Program Banks). Two of the Program Banks are TD Sank. N.A. and
TO Bait USA. NA. both affiliates of TD Amentrade. The IDA balances are not covered by the Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
Important Information
FINRA INFORMATION
Required Annual FINRA Information: Investors may request disciosable background information on any U.S. licensed broker or broker•dealer via FINRA's BrokerCheck, a free online
tool. Visit brokercheck.finra.org. Additionally, FINRA has a brochure which describes the BrokerCheck program. You may request this brochure either through the FINRA web site
www.finra.org or by calling (800) 289.9999, the BrokerCheck Hotline Number.
BREAKPOINTS
Certain purchases of Class A Mutual Funds may be eligible for breakpoints on, and waivers of, the sales charge. To learn more about breakpoint discounts, go to
http://www.finra.orgiindustry/issues/breakpoints. For more information on waiver eligibility, please refer to the fund prospectus.
CONFIDENTIAL SDNY_GM_00012017
page 9 of 9
EFTA_00122668
EFTA01268147

PO BOX 2577
OMAHA NE 68103-2577
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SDNY_GM_0001 2018
EFTA_00 122669
EFTA01268148

Terms and Conditions
STATEMENT GUIDE
11. Arritlado panes moray Padre Faces lot accoums with ann./ and quanorly sons II the event eta brokered(' insolay. a Carl may receive Wats due frOM the trustee F an ode brochure That nabs information nosaing FINRAS Parc Cosebsum
cis mactic accounts with assets.. rn balbeetcY and Men SIPC. Stpoktwomal coverage et pad out diet the truss and Program. please Conlacl FINRA at 193b289.9999 or wafirwathl.
Penton* Summary: Tracks the Current value d your 00000 as Of the rep04 dale and SIPC payouts and tralar such coverage each dent is lard to a antra return ot
compares/to the peter month.: The Ma ellatiOn ace." thaw pada divenatilion by 5152 miliOn from a trustee. SIPC and London insurers The TO Anowitrade loppienental The interest rata Pam for TO Arnertrade Cash a liken from the armload° interestrate ter for
invesimari type coverage has an aggregate Is el 4.500 motion over at customers. The potty panes the Markel Value balance n a TO AmertradeCaSh. as Of the Stalemed closing date Simple
Coverage loll:ming Waage insobay and does net poled (gad as in market valle newest is xcn...ad dally based on the interest tato beg amicable to each days balance.
M.Mple alocatcns under 5% ma be grouse.] into the category of -Car' in the pie chart, bags, at ma 500.01101
Essay - Toter Account EounbrOlal Lena laginable Value • Total Shat Value) Financial Statement Notification: The statement of Manna condmon or TO Amentrade
M investment it a money men el fund is not insured Or suaranteed by the Federal abbe trice a year and may be Waned al no cost via the internal el
ActnIty Summary: The opening and dosing casts balances are reconcled hue tar a quid Depose Iremanoe Corpormon (FDIC' a any other gwornrrent agency Althea to Mar.,Awestawontrano.conshnancidsidementlurn.
reiegence Al account acurity is summated for the currant pad and yea to date kinds Beek 10 preserve the valbe a yOur rivestant NS 00 per share. it is pale* 10
Income a Expense Summary thernaits only): This section detail trio income and <sense lose mord/ by Mesa n a money market fund. DMOrteds are <leaped daly and Option Assignment MI short cower °soon posnons and some index omen positrons aro
Yeast from te Acting Summary and Classifies the lax Irealment pactreinnested monthly. The prospectus amens Mrs arid ace imponart riorrnsion abbe for asstymeM Exercise assignment aces for equty or ndex options are randomly
Rebrement Account Summary (IRAs only): Renew the IRS readed transamons for Me Read the alpectue Prettily Wore listing. Nth-deptisil investments held by your alocaled among all drams' short posoons by an automated precooked.
curer( and pro years IRS Fa 5498 lair manta mad is based On the anent value as el broker dealer arc NOT FDIC InSURED NOT SANK GUARANTEED/ MAY LOSE VALUE.
Docomtler 31 cite premous year ad all to furnthed to to Internal Revenue Saco. Free Credit Balances Mule Oka II 3): Under me dent protection as. we may use tree
P to e rs d o o s r m or a y n o c u e r S Ar u tu m ro a r r e y c :fl t o o-n n o it m or s y t o ra u t r e a g n y n . ual pada pedormance and the unrealized gains end c T a h n e t b o al a lic nc a e la n te y d o o u n r b y a o n u k r o d rd e e t r a . i a l n a d m It tu s n p t ro O c r e S e h ds a r r e e tu d r n y e e d w t o m m on i e d y m M a ab n e e l s m a a m i o un a t d o r C on a a ll b b e al d an . c es in your account i. the Ordinary Corse a our Oman which are payable w yOu
Account Positions: New you' mostmems al the current market lobo and compare the and remitted 10 you
cob to see weealued gains and losses n your pon1010 Original coal is assigned using the Margin Accounts (Regulation T1: H you have a margin acceunl. the report et a conga*, of
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M mi O m W eo N °, A P t e ta o r ll eb A t p l W urch o a o se l M ac N tM i l s y s is h d ow ea n r b ly r d a e n f i i l d e e d a . t t i o o te n d o i f n y o d u a r t e h O a rd n e g r, P an et d le r d e ) n . eged n the g d a i t i o t S bu e ss a a ] le m . air. a o n m d i e sl n ic t e m p e r s o o c n e s a . l. Some Nona* are subject 10 reclassakin ista d tr o a c c u in m g e i n s t b (h y e s at a ab w le i n in g t h u e s a m t a th r e g n nu M m k be d r is to c t l e o d su o r n e p d a e g c e s m on e e n 0 t 1 Y yo o u u r m sl a a y te r o n b e ta n i t n a copy a Iris
M C S e O T n y r e n e a s d d t l d i . i e n s n e T . i e g a s h t C o C e P m a m a e s e s n e h t h n d r b a t S i a n n r l g a s e a a n p S l m c o a e r a o t . i n n li g s n T M p r a a a l n n b e s e d i C l c . c o o n ti l n e l d e t n l u c r m t d D e n d e y g t n e a w i c m l: h t e C e a c a A i k s c l . h e c d o m d e u a b n n t t t r a A a c g c a d e t r e m i d a s e l a y W n n s t d M i o t h A e a r n T o s a M n N e n a t a o i c e w m t n u S n r e t o y n M . r a m a d r i a e . C l e l l i e s e a te l r l e e d d r i n m & r o d i n n a t t g h e s C o c s o r o a u p x s i n a t t ix a t S n t e y e y e d , a a d t s n h b : d e y S C e e y C s r e a o n O d s t t e I a y d r i m r t i i k s C O a e f g r t e t a d n h P x e . a O l a T o k R D t i a S m P n 1 I m E d b 1 D e o ) p X n ° e t I m a a r D a l d a e n s i a d a n c a m n l a e t d e o n w i s r d e o M v e a e r i a d i s n s g n C o e r O t d n s I t p p i G C a ro a C t i * n R a n P s l O a F l M a b la T n a t E o a r D e e to e c r t t Y 6 a le 1 S t rc a d e i o l * a n s ot r s o P f s o e h e z a r c a e a e y a r m i m b e g n e o n e c t d s n n a c g t s u m c h n f o s o a e m p u r r n k a c p O r e h y e y t m r n s d e t s . e r x e a a b n c r t d t i o h . o F e a a n a s l n o n . r l g w a s a W e n o ( e d C S d r i r E o d a p o e C e o n b c a s . o R a l t e T r u i n r q p O s l u e a b ( A a s M a r C m t n 6 e l a t 0 t e r a r l n 6 m a y r a n d a s a o d l n t C o a t r d e t a e r t r i 6 t n l O a s 0 s t n c o e T s o d ) n m : n i i u s I l a n . c n l y l C a o s t r e s o e i e r i m s c n r p o g e a e v n e c n s th r e d r s c c e c a o u u t l o i v m r o m i e e t n p i n a e d e i u s s n n e e t c i s r s n q o e a u t s t f t h i e h o t . y M e . r , T r o a I o O o o r r r d t n d k A u e e e a n m r r l a d C e l r b t n a a a o w s n m a- p t h d g e t s e o o r
Ott. Cash Services Summary: Credt an] notd transaction mats or the anon statement Margin and Options Account Agreements: Prarrpift arta 10 Amentrade n tang of execison at trainers indecent A enders *my is avaletle roan raq ose.
ranee 000d be summarized. IndMikert Venetia. ere not listed Yry lunge in your investment capturos of financial sawn as they pain to your
roue to rounding adustments. the %moment Oats may not can the statement totals. m W a d1 rg 1 i 1 n N 0 e . x S ec e u n tio s n w el a w r e n n a s g t r r e a e n . s a e m ni c s e n A i s su ° m ra m ta a b ry le O . f cOmmissions and churl Math ma is k e o r u s r t m a e d rc y. O a n b e M en e l O de a ft o 1 r 0 d e p r r s o v to id M e O b e c t o a n t tr h a e ry c . u t t l o o n s e a le n c d t b th ro e k e a r n s, y d ea O l f r s s . e a a nd m m a p r r k ic e e t
iEtninaled Annal InOome and Edmiston Annual 'nein values a 0 based upon the number el improvementen market oars. Pnco mammais evens:louder moan marker condoms.
shwas mined or astern value balance as of the stalemom dale and rho most recent anercl Cunard Mat Films: The makot scones tom been rained, data; tom and we repularg mentor excro.mat to test ler sish improvement it avatar°.
rale or Oath bein pkMdrki qx1t6cn undoes ad Other Maeda aces Yabes are based On the dosig free the
mon bean me bd ad aritnp pram a char race. a no arks] slue is alto bona Trade COMirmatithe (Rule 100-10): Al contrmalas are Paremilled On the InansittiOn Nee
GENERAL INFORMATION qqtalkn Bente OOPS independent sea. I've arty is tubed lo being retooled
Nan.thccel eNP). The wiusxns en your radon:pat aro pronged as gala Mason ad Taxes: Trantmolons in (Nan sailieS (induSnO foreign (dater ADM the Irade le *le
10 Amerada does not provide legal or lax awe. Please consult your legal admor or lax aro cb no guarantee one a:cum./dam sass frees. Malmo bard pardons are wad U,S.) may include taxes and fees charpcd by tie reran marmot or governments. all may
reCeOunal when necessary. AS a illtinad inOssby pitiONO. able COnereatins May be ming me sienna Wage ad the math man eke Ponta rtexn tasEons may nor be beetledin the 0400 01 to security or charged lis an aerienettnt tne item
ranted Stu Cruelty MAW and tramattiOn verialth DurpoSt. sari sake promech. The secenday noon la Gotham or Depots (CDs) is gamey
loud and the sal vsbe me/ be deka from they ditne robe Asbnrart loss cf thatltl easy Peaky NOtifitsflon: A copy of the TD Amertrads privacy poky is Mahe el
For TO Amm-oado Mamma darts. your °duals( hart is separate from and net thrall was may roan ton Me cab al a CO pro/ b rasa. Dabs ddb Fa Fon Scanner. trade VAWIAMMCfead0 torn
TO Anwerirath. Inc. a TO Arstrado Owing. Inc.. and oath Irm is net retponsble la the dforenvy thaN Nay scturiun and deco wane en a ad exchange. Rata may son me
OndArds and minims ol Me other. OTC Pm thecoma market and carpet Iguana nd that b yw bell our Peek^ Pia Cable Sallies: The salaam of partial rot:mans or cans is done tong a pima talery
to nn say. The silo often:a pia to arty may non n a Ices al preset atom. A desenpron el the promises tor cat le “CUODOS is avalahlo on to websile a ham
Accwacy of Reports: II you find any errors or omissions In your account statement you Copies are available up:neon-ml.
Mould immediately call us at the nab.' listed on page one of your statement You Non Standard Asa dal aro typed)/ camas in drat partcpsnn program aura
Wald also contact our Clearing Tim TO Amentrade Cleating, Inc. al 6®469-3900. patalms Ian Malty =mace. a and MEMO rrasrnori truzincernmsdtypaDIS.pnale In case Of Ora Cr batons Sal your EINIOniC Fund Treaders. pale 00 lab s al
eouty. pdeale debt a hedge Inds. NS& ere [gab lad knealmdria and do not age ma TIM 669.3900, or in arm to P.O. Box 2209. Omaha. NE 68103. or by weal at
Please 'maw too statement caready. II you camerae with any transactors or rl Mere aro any nsixid osunes mean?* a the Krona Stock Mania Tin slues shwa, fa two rneseratts dienteervilealdbMilneede.COm The annaton cOnlatned in your ectotrn slatemeM shall
ends or omissions. abase nobly a Client Services reproSentalber Or year teal bath thee. as are ikerneed ..ta.ea dead tern canon methods. hasdro, bun net fad IN independent be hosing upon you rf you de eel Nal lathe laxly 1601days or any transfer of lurch steeped
wol as 10 Amen:rano Oeareg. Inc. in wiling eta ton (10) days of you recaps ot this apace's one magas rd =oh. ceder OW party tender offers tot h.yeo ban aided by to Regabon E, such as ATM and poet dab trarelcrs, debit transachons. deem dams.
statement Any oral stanemenis Mal you have ale to us said be et/Nina in venlig The to magmart androw. ander spread each ran a by a Mot nag yoga Soul and isilaaalti WO Must hear from you no later than 60 dare after we sere yOu the FAST
statemonl sill °dress/ be considered concloive ascendent sand, by 11) Mamie. Was may MI Mane anal oxbow pike, statement on which the error or problem aspeared.
amol rvnYV vatic a be seabed men leaden e an osynattd value cad be eatinhed (I) Tell us yOur rend end account merger
Please miry id promptly 01 any charges in you Genteel information. TralletioM reeeeled m trough tete methods. Me slam meg be faded as NOneited (Nn For anand ducal (2) Damao the error or Me transfer you aro unsure abOte. and explan as dean/ as you can
your report wit be conclusively deemed acwatounioss you racy TO Amanda irractaxtly. name amen kr N:n.Staretard Pews. plebe aroma Clint Sows These masts why you bane it is an error or why you need mac ranee's.
arena am] undo the SIPC. (3) Teti us the dollar &mum of the lakted error.
Account Protection: Deposits held by TO Sank. N.A. and TD Bas USA. N.A. are insured by Wo Ssl invested* your complain and wit career any error promptly. It we lake mom than ID
i t n h i e a l F ut D le IC n. (4 T 0 O 1 le C a o r v n e r m ed e r b e y O SI a PC t ) F u D p IC 1 0 G 5 a 2 r 5 a 0 g .0 e 0 0 p . it L 1 I 0 S S w o a w l e 'N p e e g r e v eC . t S Ou e n e l u O lt r a n . e i r n th d e u d p n e g r H A a ud la en s R a K o o a rn u a r t a a te C n A s R e S- a ) P s r o o n r e g: t T a h e n m a o v t a et l vatm sa k uc r e O s A T S h e e N xu a r r b a :e o ta l m b e e a en m aw i5 e n d o . t b y u o s u i M nes I s h a c v lo e y s t o lo u 0 s 0 e I r o i f s t . h s e e m w o n ne c y a du l nn y g e w th e s s a o in t t t f a o w r t s h e u s a m to o c un o t s y t o a u e th o in u k r i i n s v i e n s e ti r g r a o t r e . s s O ,. Onit
Muluat fUndS, held in your Orange AteOunt are ntil deposits Or 001gatiOnS Of. Or WYNN:01H a ma ma end meals Tr) knetbadeN1p rice to ARS manna No
guaranteed by. arty bank. aro not FOltinstred. and involve investment Sm. includng centhorman both to query and undthog cat quaky. The SAS racket is comfy
potable loss ol princpal. TD Amerada is a member of the Securities Invader Pro:omen tebeeentimni la:k Of tCp.klty end. an result Mee Cm be no mance Mal encheecurties tar
Corporation (51PC'). which prctems sonnies automats of ns members up to 5500.000 to sod unix once market co ere. AUTDI5007tia
(inading 5250.000 lot dad for cash). Explanatory brochure is available on request at
REGULATORY DISCLOSURES
bwmaecina.
Additionally. TO Amerada, prorides each ant 5149.5 Shen worth 01 proleetlon tor AI transamons aro object to to) me constmoon. hies. salons. cusses and usages
lathier, and $2 milern Of preteden for ash trough SupOleMental Coverage provided by d the exchange or maker. and as dearagnouse. H any, on istich such thintssans are
London ineurelS o Ex u sted: pit federal lass. inducing me Smarm A in m of 1933 and the Socra a te nd s S0NY_GM_00012019
ite
p °E NFIR M ihtt
EFTA 00122670
EFTA01268149

1D Ameritrade Statement Reporting Period:
04/01/18 - 04/30/18
800-669-3900 Statement for Account # 867-730320 Announcement:
TO AMERITRADE SOUTHERN FINANCIAL LLC TD Ameritrade was named No. 1 for Long-Term Investing
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN and No.1 for Novices in Barron's 2018 Online Broker Survey.
6100 RED HOOK OTFIS STE 8-3
PO BOX 2209 ST THOMAS. VI 00802-1348 To learn more. go to klameritrade.com/accolades.
OMAHA. NE 68103-2209
TD Amedbade Clearing. Inc.. Member SIPC
Portfolio Summar
Current Prior Period 0,0 Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $1,485.00 ($2,672.99) $4,157.99 $
Insrd Dep Acct (IDA) 744,251.85 743,426.12 825.73 0.1% 0.30%
Money Market Short Stocks IDA
Short Balance 510,444.00 500,247.00 10,197.00 2.0% 8.5% 12.4%
Stocks 4,733,800.00 4,816,660.00 (82,860.00) (1.7)% 96.206.00 2.0%
Short Stocks (510,444.00) (500,247.00) (10,197.00) (2.0)%
Fixed Income
Options 2,500.00 13,000.00 (10,500.00) (80.8)%
Short Options
Mutual Funds
Other
Stocks
Total $5.482.036.85 S5.570.413.13 ($98.376.29) (1.6)% $96.206.00 1.8% 79.1%
Margin Equity 90.0%
Cash Activity Summary Income & Ex . ense Summa Performance Summary
Non
Current YTD Reportable YTD
Reportable
Opening Balance $497,574.01 $ - Income Cost Basis As Of - 04/30/18" $3,695,667.78
Securities Purchased (2,891,420.60) Dividends $15,000.00 $ - $32,883.80 Unrealized Gains 1,620,929.67
Securities Sold 1,754,201.22 Interest 0.01 Unrealized Losses (1,090,741.45)
Funds Deposited Other Funds Deposited/(Disbursed)'
Funds Disbursed Expense Income/(Expense)r° 32,883.81
Income 15,000.00 32,883.81 Interest Securities Received/(Delivered)Y° 0.00
Expense Fees •To view realized gains and losses for your account, login at
www.tdameritrade.com and visit My Account > Clain/Loss.
Other (645.01) 1,616,264.57 Other (3,827.81)
Closing Balance $511,929.00 $511,929.00 Net $15.000.00 $0.00 $29,056.00
SDNY_GM_00012020
CONFIDENTIAL
pivot of s
EFTA 00122671
EFTA01268150

Statement for Account # 867-730320
04 01 18 - 04 30 18
Income Summary Detail'
Description Current Year to Date
Ordinary Dividends $ 0.00 $ 8,883.80
Interest Income Credit Balance 0.00 0.01
Qualified Dividends 15,000.00 24,000.00
IDA Interest 180.72 772.61
'This section displays current and year to date taxation values for thIS account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be Included. These convictions
can include changes made to previous payments and removal of payments reportable In a prew:us tax year (spillover dividends). The year to date totals will accuratehi reflect your cumulative amount for the year.
Account Positions
Symbol; Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
ALPS ETF TRUST AMLP 43.000 $ 10.10 $ 434,300.00 01/12/18 $ 500,956.00 $ 11.65 $ (66,656.00) $ 36,206.00 8.3%
ALERIAN MLP ETF
FOUNDATION MEDICINE FMI 25.000 76.35 1,908,750.00 01/13/14 582,049.13 23.28 1,326,700.87
INC
COM
GENERAL ELECTRIC CO GE 125.000 14.07 1,758,750.00 10/20/17 2,593,861.27 20.75 (835,111.27) 60,000.00 3.4%
COM
SANGAMO SGMO 40.000 15.80 632,000.00 05/28/13 337,771.20 8.44 294,228.80
THERAPEUTICS INC
COM
Total Stocks $4,733,800.00 $4,014,637.60 $719,162.40 $96,206.00 2.0%
Short Stocks - Short
SELECT SECTOR SPDR XLU 9.900- $ 51.56 $(510,444.00) 01/12/18 $ (499,545.82) $ 50.46 $ (10,898.18) $ -
TRUST
SDI INT-UTILS ETF
Total Short Stocks S(510,444.00) $(499,545.82) $(10,898.18) $0.00 0.0%
CONFIDENTIAL SDNY_GM_00012021
page 2 of 9
EFTA_00122672
EFTA01268151

Statement for Account # 867-730320
04 01 18 - 04 30 18
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Date
Investment Description CUSIP Quantity Price Value Basis Cost Gain(Loss) Income Yield
Options - Margin
SPDR S&P 500 1,000 $ 0.025 $ 2,500.00 01/30/18 $ 180,576.00 $ 1.81 $ (178,076.00) $ -
SPY Jun 15 18 300.0 C
Total Options $2,500.00 $180,576.00 $(178,076.00) $0.00 0.0%
Total Margin Account $4,736,300.00 $4,195,213.60 $541,066.40 $96,206.00 2.0%
Total Short Account $(510,444.00) $(499,545.82) $(10,898.16) $0.00 0.0%
Total Positions $4,225,856.00 $3,695,667.78 $530 188 22 $96,206.00 2.3%
Account Activit
Trade Settle Acct Transaction Symbol)
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance $497,574.01
04/02/18 04/02/18 Margin Journal - Other REDEMPTION FDIC INSURED $ 0.00 $ 2.672.99 500.247.00
DEPOSIT ACCOUNT
04/02/18 04/02/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 3.861.00 504,108.00
04/03/18 04/03/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (3.861.00) 500,247.00
DEPOSIT ACCOUNT
04/03/18 04/03/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (1.683.00) 498,564.00
NUN/ 8 04/04/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 1.683.00 500,247.00
DEPOSIT ACCOUNT
MN/ 8 04/04/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (1.089.00) 499,158.00
04/05/18 04/05/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 1.089.00 500,247.00
DEPOSIT ACCOUNT
04/05/18 04/05/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (3.960.00) 496,287.00
04/06/18 04/06/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 3.960.00 500,247.00
DEPOSIT ACCOUNT
04/06/18 04/06/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 3.960.00 504,207.00
04/09/18 04/09/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (3.960.00) 500,247.00
DEPOSIT ACCOUNT
04/09/18 04/09/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (990.00) 499,257.00
SDNY_GM_00012022
CONFIDENTIAL
page 3 o19
EFTA_001 22673
EFTA01268152

Statement for Account # 867-730320
04/01/18 - 04/30/18
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
04/10/18 04/10/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 990.00 500.247.00
DEPOSIT ACCOUNT
04/ VI 8 04/10/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 3.861.00 504,108.00
04/11/18 04/11/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (3.861.00) 500,247.00
DEPOSIT ACCOUNT
04/11/18 04/11/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 693.00 500,940.00
04/12/18 04/12/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (693.00) 500,247.00
DEPOSIT ACCOUNT
04/12/18 04/12/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 6.534.00 506,781.00
04/13/18 04/13/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (6.534.00) 500,247.00
DEPOSIT ACCOUNT
04/13/18 04/13/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (3.861.00) 496,386.00
04/16/18 04/16/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 3.861.00 500,247.00
DEPOSIT ACCOUNT
04/16/18 04/16/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (6.732.00) 493,515.00
04/17/18 04/17/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 6.732.00 500,247.00
DEPOSIT ACCOUNT
04/17/18 04/17/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (5.049.00) 495,198.00
04/18/18 04/18/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 5.049.00 500,247.00
DEPOSIT ACCOUNT
04/18/18 04/18/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 1.881.00 502.128.00
04/19/18 04/19/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (1.881.00) 500,247.00
DEPOSIT ACCOUNT
04/19/18 04/19/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 297.00 500,544.00
04/20/ 8 04/20/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (297.00) 500,247.00
DEPOSIT ACCOUNT
NM/ 8 04/20/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 4.554.00 504,801.00
04/23/18 04/23/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (4.554.00) 500,247.00
DEPOSIT ACCOUNT
04/23/18 04/23/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (297.00) 499,950.00
04/24/ 8 04/24/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 297.00 500,247.00
DEPOSIT ACCOUNT
04/24/ 8 04/24/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (3.366.00) 496.881.00
SDNY_GM_00012023
CONFIDENTIAL
page 4 o19
EFTA_00 122674
EFTA01268153

Statement for Account # 867-730320
04/01/18 - 04/30/18
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
04/25/18 04/25/18 Margin Div/Int - Income GENERAL ELECTRIC CO GE 0.00 15.000.00 511,881.00
COM
Payable: 04/2512018
QUALIFIED DIVIDENDS 15000.00
04/25/18 04/25/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (11.634.00) 500,247.00
DEPOSIT ACCOUNT
04/25/18 04/25/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (99.00) 500,148.00
04/26/18 04/26/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 99.00 500,247.00
DEPOSIT ACCOUNT
04/26/18 04/26/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (5.049.00) 495.198.00
04/27/18 04/27/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 5.049.00 500.247.00
DEPOSIT ACCOUNT
04/27/18 04/27/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (5.148.00) 495.099.00
04/30/18 04/30/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 5.148.00 500,247.00
DEPOSIT ACCOUNT
04/30/18 04/30/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 1.485.00 501,732.00
04/02/18 04/02/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (3.861.00) 497,871.00
04/03/18 04/03/18 Short Journal - Other MARK TO MARKET ADJ 0.00 1.683.00 499,554.00
04/04/18 04/04/18 Short Journal - Other MARK TO MARKET ADJ 0.00 1.089.00 500,643.00
04/05/18 04/05/18 Short Journal - Other MARK TO MARKET ADJ 0.00 3.960.00 504,603.00
04/06/18 04/06/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (3.960.00) 500.643.00
04/09/18 04/09/18 Short Journal - Other MARK TO MARKET ADJ 0.00 990.00 501.633.00
04/ VI 8 04/10/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (3.861.00) 497,772.00
04/11/18 04/11/18 Short Journal-Other MARK TO MARKET ADJ 0.00 (693.00) 497,079.00
04/12/18 04/12/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (6.534.00) 490.545.00
04/13/18 04/13/18 Short Journal - Other MARK TO MARKET ADJ 0.00 3261.00 494,406.00
04/16/18 04/16/18 Short Journal - Other MARK TO MARKET ADJ 0.00 6.732.00 501,138.00
04/17/18 04/17/18 Short Journal - Other MARK TO MARKET ADJ 0.00 5.049.00 506,187.00
04/18/18 04/18/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (1.881.00) 504,306.00
04/ 9/18 04/19/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (297.00) 504,009.00
04/20/18 04/20/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (4.554.00) 499,455.00
04/23/18 04/23/18 Short Journal - Other MARK TO MARKET ADJ 0.00 297.00 499,752.00
04/24/18 04/24/18 Short Journal - Other MARK TO MARKET ADJ 0.00 3266.00 503,118.00
SDNY_GM_00012024
CONFIDENTIAL
page 5 o19
EFTA 00122675
EFTA01268154

Statement for Account # 867-730320
04/01/18 - 04/30/18
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
04/25/18 04/25/18 Short Journal - Other MARK TO MARKET ADJ 0.00 99.00 503.217.00
04/26/18 04/26/18 Short Journal - Other MARK TO MARKET ADJ 0.00 5,049.00 508,266.00
04/27/18 04/27/18 Short Journal - Other MARK TO MARKET ADJ 0.00 5,148.00 513,414.00
04/30/18 04/30/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (1,485.00) 511,929.00
Closing Balance $511,929.00
'For Cash Actvrly totals, refer to the Cash ActMty Summary on page one of your statement.
Insured Deposit Account Interest Credited
Begin Number Interest Interest MID MTD
Date Balance of Days Rate Accrued Accrued PAID
04/01/18 $ 740,753.12 0.1998 $ 4.06 $ 4.06 $ -
04/02/18 740,753.13 0.2996 6.08 10.14
04/03/18 742,931.13 0.2996 6.09 16.23
04/04/18 741,842.13 0.2996 6.09 22.32
04/05/18 737,882.13 4 0.2996 24.23 46.55
04/09/18 740,852.13 2 0.2996 12.16 58.71
04/11/18 744,713.13 1 0.2996 6.11 64.82
04/12/18 745,406.13 1 0.2996 6.12 70.94
04/13/18 748,079.13 3 0.2996 18.42 89.36
04/16/18 741,347.13 1 0.2996 6.09 95.45
04/17/18 736,298.13 2 0.2996 12.08 107.53
04/19/18 738,179.13 1 0.2996 6.06 113.59
04/20/18 738,476.13 3 0.2996 18.19 131.78
04/23/18 742,733.13 1 0.2996 6.09 137.87
04/24/18 739,367.13 1 0.2996 6.07 143.94
04/25/18 754,268.13 1 0.2996 6.19 150.13
04/26/18 749,219.13 1 0.2996 6.15 156.28
04/27/18 744,071.13 4 0.2996 24.43 180.71 180.71
Total Interest Income $180.71
SDNY_GM_00012025
CONFIDENTIAL
page 6 of 9
EFTA_00122676
EFTA01268155

Statement for Account # 867-730320
04 01 18 - 04 30 18
Insured De. osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $743,426.12
04/02/18 04/02/18 Delivered FDIC INSURED DEPOSIT ACCOUNT $ (800.12) 742,626.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
04/02/18 04/02/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (1,872.87) 740,753.13
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
04/03/18 04/03/18 Received FDIC INSURED DEPOSIT ACCOUNT 1,746.87 742,500.00
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
04103/18 04/03/18 Received FDIC INSURED DEPOSIT ACCOUNT 2,114.13 744,614.13
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
04104118 04/04/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (1,683.00) 742,931.13
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
04/05118 04/05/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (431.13) 742,500.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
04105/18 04/05/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (657.87) 741.842.13
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
0410618 04/06/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (3,960.00) 737.882.13
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
04/09/18 04/09/18 Received FDIC INSURED DEPOSIT ACCOUNT 3,960.00 741,842.13
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
04/10/18 04/10/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (990.00) 740,852.13
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
SDNY_GM_0001 2026
CONFIDENTIAL
page 7 019
EFTA_00122677
EFTA01268156

Statement for Account # 867-730320
04 01 18 - 04 30 18
Insured De. osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
04/11/18 04/11/18 Received FDIC INSURED DEPOSIT ACCOUNT 1,647.87 742,500.00
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
04/11/18 04/11/18 Received FDIC INSURED DEPOSIT ACCOUNT 2,213.13 744,713.13
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
04/12/18 04/12/18 Received FDIC INSURED DEPOSIT ACCOUNT 693.00 745,406.13
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
04/13/18 04/13/18 Received FDIC INSURED DEPOSIT ACCOUNT 6,534.00 751,940.13
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
04/16/18 04/16/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (3,861.00) 748,079.13
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
04/17/18 04/17/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (5,579.13) 742,500.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
04/17/18 04/17/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (1,152.87) 741,347.13
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
04/18/18 04/18/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (5.049 00) 736,298.13
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
04/19/18 04/19/18 Received FDIC INSURED DEPOSIT ACCOUNT 1.881 00 738,179.13
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
04/20/18 04/20/18 Received FDIC INSURED DEPOSIT ACCOUNT 297.00 738,476.13
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
SDNY_GM_00012027
CONFIDENTIAL
page 8019
EFTA_00122678
EFTA01268157

Statement for Account # 867-730320
04 01 18 - 04 30 18
Insured De. osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
04123/18 04/23/18 Received FDIC INSURED DEPOSIT ACCOUNT 4,023.87 742,500.00
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
04123/18 04/23/18 Received FDIC INSURED DEPOSIT ACCOUNT 530.13 743,030.13
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
04/24/18 04/24/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (297.00) 742,733.13
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
04/25/18 04/25/18 Received FDIC INSURED DEPOSIT ACCOUNT 11,634.00 754,367.13
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
04/26/18 04/26/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (99.00) 754.268.13
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
04/27/18 04/27/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (5.049.00) 749.219.13
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
04/30/18 04/30/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (5.148.00) 744.071.13
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
04/30/18 04/30/18 Received Interest: Insured 0.39 744,071.52
Deposit Account Bank USA
04/30/18 04/30/18 Received Interest: Insured 59.79 744,131.31
Deposit Account Bank
04/30/18 04/30/18 Received Interest: Insured 60.27 744,191.58
Deposit Account Bank USA
04/30/18 04/30/18 Received Interest: Insured 60.27 744,251.85
Deposit Account Bank NA
Closing Balance $744,251.85
TD Bank NA $247,560.27
TD Bank USA NA $249,131.79
US Bank $247,559.79
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage accent are FDIC-insured up to applicable limits and held by one or more banks (Program Banke). Two of the Program Banks are TD Bank. N.A. and
TD Bank USA. NA. both affiliates of TD Amenuade. The IDA balances are not covered by the Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
SDNT_GM_00012028
CONFIDENTIAL
page 9 o19
EFTA 00122679
EFTA01268158

PO BOX 2577
OMAHA NE 68103-2577
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS. VI 00802-1348
CONFIDENTIAL SDNY_GM_00012029
EFTA 00I22680
EFTA01268159

Terms and Conditions
STATEMENT GUIDE
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TD Amentrada. Inc. a TO Art:farad° Chang, Inc.. and och lee is no retponstle Ia Me ~roe mal ooty co:~ and dora bate cn a laad melina. Rana. iney »Onno
petexls end ontbos ol Me orher. OTC Krot manonkel mark« and 9.00(nloutieg fnv rxl Sad la Wo rosoli Ppo, potlto pio Cal» Securnlern The elocroon ol podia] mdemdonsa calls is doe tong a proeft Itemy
re rriskeey, lborobot tarot pare rohrty man rood n a las d poloot molom. A doscnoton ol ero Droogt-ros br oallibto sccunilos is avalabloon Vme robsdo or haft
Accwacy of Report:H you find any errors or omissie:ros In yow accouM stobanont you copios aro muntte won ercom
*houd immeidieurry telt us et ten mop.' gered n page ne 01 your statement You Non Standand Arams (16M aso typcaly guano-is er dros panspaan program socurbas
Oord oho contact our Clearing rent, TD Amerroade Clearing, inc. E 800469-3500. ~tm:. Irma inheb ccmpanw. o red erato meenee lou i.cbwrooty ais, omme M Case 01 OOM Or oerstom OOI yens Elearonk Ford %Ohm Ottase CO teel 9 el
<dubt pront dil a tedge krab NSA6 se boa" houd imselmtvis w.:1 do na aft cri e 1.203 669.3960, or e, wrang to P,O. Box 2209, Ornaro. NE 68103. or by emall
%oase review toe stammom careOly. you dope* neb any kansarmen or el Mao aio any none cocon los aalgo a tm &toog Stoa Orka lto 'duce ~snier ~e rnesirravs dienNerviro80105Metendrrvem T e WOrnWon cOntehed n your acCouni statement aide
ods a onssrom. Ome rally e Grient Services represeMethe a yens bad Winch Ofte. es are ~Wed troms deMed hOm minba medolk kokkin,. bul nol Vroed to independent be bindng upon po tl you do nel otrocl wenn way NO) days lor any !condor ot lurds aalpa
wol as 10 Amodade Cleane. Ine, in venn a etthn ton (10) days of tros afoog ot Mos ophaal, Me proans nol zurt. anti« tred pony luide' °nors tut boe boen proded by to Rodabon E, welt os ATM and pond otialo banden. doen transactions. doem depassis.
statement. Arty oei shilements Ihe, you here made to o ~da be COntinned in wrong The Ine ~agonie" wrvrturabr ander spattig a oen pon er tri a thrdpaly vendu ~out and rolhdernal$ We Must beo rrOM yOu re later men 60 darts ener we sent Wo me FOIST
statement stil Othenvee be considered condohe. independent ‘erfC.~ by 11) ~e Wim, mei nel reek« Ine 'land ~aas pica. stammen, on whist, Me error or pr° Mem appeacod.
stol marker 'duo a be ~tol ron Inadaten Y an orommed velo oma t o esLoOloned (I) TO us yOur rens and account ~Oer.
Fletse marlt vs prompily 01 any doof" in yens cOnlaci inormation. TroneediOns Meehad on eresept desa ~m&. me wroeten mor be reflected es NO,Wited CNV) Fer ~lood Mal (2) boud» the onor Of Me teariroar you ace unsuro aboul. and aspion as dearh as you oan
your repon wil be concbsepalyd~od accurateurn:4s you noely TD Amavado« opdat*. mpong waaien kr he. Stardaml kam. plemp oom Clat Smoes These rotor" wby you beitste ti is an error or why you nood nxte inlermebon.
arena omrol ambt me SIPC. (3) Tea us Po donor &hom of Me ~wed erve,
Account Prolection: Deposits led by TO Bank. NA ard TD Bank USA. N,A. aro nood by Wo stil moslem* your compote and wil correct any error prompdy. H we lakei noie man 10
i 7 n ,0 O l F u D d C at ( T ra O l le O e n m e r m ed o r b e y C S O IP O C ) F u O p K 1 0 O g 5 r 2 o 5 r 0 a . g 0 e 0 0 g . o L C im O ie w t e e M n e Id C pe g r O W v. a S a o l a t p O e r s m . e i r n O d P u d p n e g r P H ~ ed W a. e P . o tr o S m a ~ un e a t @ e ( n A e R e S rro ) P es o o o r g o : m T a h o id m ep a a k de e n l t ~ ~ c k e a A s A T S h w e e a c rb om os o h y o ei s g b o o p n ro c n tr g o is n e n d o . l b y u o s u i n w e i s l s h a d v a e y s O i t o o u d s o e N o s l t . b s c e rr w an i c l r c y r d ed o i n y g Ou ln r o ac u c r o n u e n e t t b ak r e lb s o to M t n o O e / a 0 n y : e N s o O o lie u * r i i s n n oe e s n t o o g w . z n. o ~
"wal fund., held in yrtor &OWEN. Account are nol deposita Or obloalions of. or purantwd. Ha mater tubes nd analásb. TD Pecrbade wil pro Me AAS peroon. toko eb
guannteed by. any bank. are not FDIC.enswed. and enorm entestmont seks. includng ceraderon bob to krodly rG undehog «de Quay. lbo ARS mater e currento
pootte loss ei prhdpal, TD Nierbode is a momber ol ten &tombes hyena Praatten enronlrving e itak 01k oroty and, ese re,uk here CW1b en) eatnrCe dun och secunda an
Corporalion (SIPC'). wNch proads ~Mies droom«, of ds merrbers up lo $600.000 to tuta ordenomen mar cowboys. AARD 150 Ona
(m:gading $250.000 la daims lor cash). Explanatory brochure is monade on request si
REGULATORY DISCLOSURES
wnsipc.org.
Additioneily. TO Amedtratte pronde, esci tieni 5149.5 nullen won of proleceen tor MI onsaceons aro abject to p) me con:muon. NOS. rogulatons custard and usagos
,Baddo end $2 Milten 01 IXONCIOn br Cash Omrolt SupOlemental coverage provided bi d the exchange or merkel. and iel dearvonouse. il any, en grid, och tronastlens ere
London roepers * E o x mwal: 01) Indaal laws, indult% me Scoops Ad 01 1933 a t n i d A t t h e * n S d « urtes SDNY_GM_00012030
oun rt4 jo and nem
• tua
EFTA_00122681
EFTA01268160

1D Ameritrade Statement Reporting Period:
05/01/18 - 05/31/18
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE I3-3
PO SOX 2209 ST THOMAS. VI 00802-1348
OMAHA, NE 68103-2209
TO Amer'trade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ • $1,485.00 ($1,485.00)
Insrd Dep Acct (IDA) 86,850.13 744,251.85 (657,401.72) (88.3)% 0.07%
Money Market IDA
1.4%
Short Balance 510,444.00 (510,444.00) (100.0)%
Stocks 6,015,800.00 4,733,800.00 1,282,000.00 27.1% 118,619.00 2.0%
Short Stocks (510,444.00) 510,444.00 100.0%
Fixed Income
Options 10.00 2,500.00 (2,490.00) (99.6)%
Short Options
Mutual Funds
Other
Stocks
Total $6.102.660.13 S5.482.036.85 S620.623.28 11.3% $118.619.00 1.9% 98.6%
Margin Equity 100.0%
Cash Activity Summary Income & Ex .ense Summa Performance Summary
Non
Current YTD Reportable YTD
Reportable
Opening Balance $511,929.00 $ - Income Cost Basis As Of - otsavian $4,877,119.60
Securities Purchased (1,178,358.85) (4,069,779.45) Dividends $8,883.80 $ - $41,767.60 Unrealized Gains 2,216,929.67
Securities Sold 1,754,201.22 Interest 0.01 Unrealized Losses (1,078,239.27)
Funds Deposited Other Funds Deposited/(Disbursed)'
Funds Disbursed - Expense Income/(Expense)"° 41,767.61
Income 8.88180 41,767.61 Interest Securities Received/(Delivered)Y° 0.00
Expense Fees •To view realized gains and losses for your account, login at
wwwidametitrade.com and visit My Account > Gain/Loss.
Other 657,546.05 2,273,810.62 Other (3,827.81)
Closing Balance $0.00 $0.00 Net $8,883.80 $0.00 $37,939.80
SDNY_GM00012031
CONFIDENTIAL
page 1 of 7
EFTA_00122682
EFTA01268161

Statement for Account # 867-730320
05/01/18 - 05/31/18
Income Summary Detail'
Description Current Year to Date
Ordinary Dividends $ 8,883.80 $ 17,767.60
Interest Income Credit Balance 0.00 0.01
Qualified Dividends 0.00 24,000.00
IDA Interest 144.33 916.94
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date totals will accuratehi reflect your cumulative amount for the year.
Account Positions
Symbol.' Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
ALPS ETF TRUST AMLP 43.000 $ 10.35 $445,050.00 01/12/18 $ 500,956.00 $ 11.65 $ (55,906.00) $ 35,819.00 8.0%
ALERIAN MLP ETF
FOUNDATION MEDICINE FMI 25.000 99.15 2,478,750.00 01/13/14 582,049.13 23.28 1,896,700.87
INC
COM
GENERAL ELECTRIC CO GE 125.000 14.08 1,760,000.00 10/20/17 2,593,861.27 20.75 (833,861.27) 60,000.00 3.4%
COM
GILEAD SCIENCES INC GILD 10.000 67.40 674,000.00 05/22/18 681,906.00 68.19 (7,906.00) 22,800.00 3.4%
COM
SANGAMO SGMO 40.000 16.45 658,000.00 05/28/13 337,771.20 8.44 320,228.80
THERAPEUTICS INC
COM
Total Stocks $6,015,800.00 $4,696,543.60 $1,319,256.40 $118,619.00 2.0%
Options - Margin
SPDR S&P 500 1.000 $ 0.0001 $10.00 01/30/18 $ 180,576.00 $ 1.81 $ (180,566.00) $
SPY Jun 15 18 300.0 C
Total Options $10.00 $180,576.00 $(180,566.00) $0.00 0.0%
Total Margin Account $6,015,810.00 $4,877,119.60 $1,138,690.40 $118,619.00 2.0%
SDNY_GM_00012032
CONFIDENTIAL
page 2 of 7
EFTA_00122683
EFTA01268162

Statement for Account # 867-730320
05/01/18 - 05/31/18
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance $511,929.00
05101/18 05/01/18 Margin Journal - Other PURCHASE FDIC INSURED $ 0.00 $ (1.485.00) 510,444.00
DEPOSIT ACCOUNT
05101/18 05/01/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 1384.00 512.028.00
05102/18 05/02/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (1.584.00) 510,444.00
DEPOSIT ACCOUNT
05/02/18 05/02/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 495.00 510,939.00
05/03/18 05/03/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (495.00) 510,444.00
DEPOSIT ACCOUNT
05/03/18 05/03/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 693.00 511,137.00
05/04/18 05/04/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (693.00) 510,444.00
DEPOSIT ACCOUNT
05/04/18 05/04/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (2.277.00) 508,167.00
05/07/18 05/07/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 2.277.00 510,444.00
DEPOSIT ACCOUNT
05/07/18 05/07/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 2.673.00 513,117.00
05/08/18 05/08/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (2.673.00) 510,444.00
DEPOSIT ACCOUNT
05/08/18 05/08/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 12.672.00 523,116.00
05/09/18 05/09/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (12.672.00) 510,444.00
DEPOSIT ACCOUNT
05/09/18 05/09/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 3.465.00 513,909.00
05/10/ 8 05/10/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (3.465.00) 510,444.00
DEPOSIT ACCOUNT
05/10/ 8 05/10/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 (6.930.00) 503,514.00
05/11/18 05/11/18 Margin Journal-Other REDEMPTION FDIC INSURED 0.00 6.930.00 510,444.00
DEPOSIT ACCOUNT
05/11/18 05/11/18 Margin Journal-Other MARK TO MARKET ADJ 0.00 (693.00) 509,751.00
05/14/18 05/14/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 693.00 510,444.00
DEPOSIT ACCOUNT
05/14/18 05/14/18 Margin Journal - Other MARK TO MARKET ADJ 0.00 2209.15 512.753.15
05/15/18 05/15/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (2.309.15) 510,444.00
DEPOSIT ACCOUNT
SDNY_GM_00012033
CONFIDENTIAL
page 3 of 7
EFTA_00 122684
EFTA01268163

Statement for Account # 867-730320
05/01/18 - 05/31/18
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
05/17/18 05/17/18 Margin Div/Int - Income ALPS ETF TRUST AMLP 0.00 8.883.80 519,327.80
ALERIAN MLP ETF
Payable: 05/1712018
Ordnary Dividends 8883.80
05/17/18 05/17/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (8.883.80) 510,444.00
DEPOSIT ACCOUNT
05/22/18 05/24/18 Margin Buy - Securities Purchased GILEAD SCIENCES INC GILD 10.000 68.19 (681.906.00) (171,462.00)
COM
Commission/Fee 6.00
05/24/18 05/24/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 681.906.00 510,444.00
DEPOSIT ACCOUNT
05/01/18 05/01/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (1.584.00) 508,860.00
05/02/18 05/02/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (495.00) 508,365.00
05/03/18 05/03/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (693.00) 507,672.00
05/04/18 05/04/18 Short Journal - Other MARK TO MARKET ADJ 0.00 2.277.00 509,949.00
05/07/18 05/07/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (2.673.00) 507,276.00
05/08/18 05/08/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (12.672.00) 494.604.00
05/09/18 05/09/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (3.465.00) 491.139.00
05/10/ 8 05/10/18 Short Journal - Other MARK TO MARKET ADJ 0.00 6.930.00 498.069.00
05/11/18 05/11/18 Short Journal - Other MARK TO MARKET ADJ 0.00 693.00 498.762.00
05/10/ 8 05/14/18 Short Buy - Securities Purchased SELECT SECTOR SPDR TRUST XLU 9.100 50.1463 (456,337.33) 42.424.67
SBI INT-UTILS ETF
Commission/Fee 6.00
05/10/ 8 05/14/18 Short Buy - Securities Purchased SELECT SECTOR SPDR TRUST XLU 800 50.1444 (40.115.52) 2,309.15
SBI INT-UTILS ETF
05/14/ 8 05/14/18 Short Journal - Other MARK TO MARKET ADJ 0.00 (2.309.15) 0.00
Closing Balance $ 0.00
'Fix Cash Amway totals. refer to the Cash ActMty Summary on page one of your statement.
Insured De . osit Account Interest Credited
Begin Number Interest Interest MTD MID
Date Balance of Days Rate Accrued Accrued PAID
05101/18 $ 745,736.85 1 0.2996 $ 6.12 $ 6.12 $ -
05102/18 747,320.85 1 0.2996 6.14 12.26
05103/18 747,815.85 1 0.2996 6.13 18.39
05/04/18 746,231.85 4 0.2996 24.50 42.89
SDNY_GM_00012034
CONFIDENTIAL
page 4 of 7
EFTA_00 I 22685
EFTA01268164

Statement for Account # 867-730320
05/01/18 - 05/31/18
Insured De. osit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accmed Accrued PAID
05/08/18 748,904.85 0.2996 6.15 49.04
05/09/18 761,576.85 1 0.2996 6.25 55.29
05/10/18 758,111.85 1 0.2996 6.22 61.51
05/11/18 757,418.85 4 0.2996 24.87 86.38
05/15/18 759,728.00 2 0.2996 12.47 98.85
05/17/18 768,611.80 7 0.2996 44.16 143.01
05/24/18 86,705.80 8 0.0700 1.33 144.34 14434
Total Interest Income $144.34
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $744,251.85
05/01/18 05/01/18 Received FDIC INSURED DEPOSIT ACCOUNT $ 1.485.00 745,736.85
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
05/02/18 05/02/18 Received FDIC INSURED DEPOSIT ACCOUNT 1.584.00 747.320.85
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
05/03/18 05/03/18 Received FDIC INSURED DEPOSIT ACCOUNT 495.00 747.815.85
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
05/04/18 05/04/18 Received FDIC INSURED DEPOSIT ACCOUNT 693.00 748.508.85
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
05/07/18 05/07/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (2,277.00) 746.231.85
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/08/18 05/08/18 Received FDIC INSURED DEPOSIT ACCOUNT 2,673.00 748.904.85
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
05/09/18 05/09/18 Received FDIC INSURED DEPOSIT ACCOUNT 12,672.00 761.576.85
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
SDNY_GM_00012035
CONFIDENTIAL
page 5 of 7
EFTA_00122686
EFTA01268165

Statement for Account # 867-730320
05/01/18 - 05/31/18
Insured De • osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
05/10/18 05/10/18 Received FDIC INSURED DEPOSIT ACCOUNT 3,465.00 765,041.85
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
05/11/18 05/11/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (6,930.00) 758.111.85
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/14/18 05/14/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (693.00) 757.418.85
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/15/18 05/15/18 Received FDIC INSURED DEPOSIT ACCOUNT 2,309.15 759.728.00
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
05/17/18 05/17/18 Received FDIC INSURED DEPOSIT ACCOUNT 8.883.80 768.611.80
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
05/24/18 05/24/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (26.111.80) 742,500.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/24/18 05/24/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (247.500.00) 495,000.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/24/18 05/24/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (247.500.00) 247,500.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/24/18 05/24/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (160.794.20) 86,705.80
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/31/18 05/31/18 Received Interest: Insured 2.84 86,708.64
Deposit Account Bank USA
05/31/18 05/31/18 Received Interest: Insured 46.72 86,755.36
Deposit Account Bank
05/31/18 05/31/18 Received Interest: Insured 46.72 86,802.08
Deposit Account Bank USA
SONY_GM_00012036
CONFIDENTIAL
page fl of 7
EFTA 00122687
EFTA01268166

Statement for Account # 867-730320
05/01/18 - 05/31/18
Insured De r osit Account Activi
Date Check Date Tracking Expense
Clewed Number Written Transaction Description Code Code Amount Balance
05/31/18 05/31/18 Received Interest: Insured 48.05 86,850.13
Deposit Account Bank NA
Closing Balance $86,850.13
TD Bank NA $86,753.85
TD Bank USA NA $49.56
US Bank $46.72
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by one or more banks (Program Banks"). Two of the Program Banks are TD Bank. N.A. and
TD Bank USA. NA.. both affiliates of TD Amenuade. The IDA balances are not covered by the Securities Investor Protection Corporation (BIRO) protection applcable to your brokerage account.
Important Information
STATEMENT OF FINANCIAL CONDITION
The most recent statement of financial condition for TO Ameritrade Clearing, Inc. may be obtained at no cost, via the Internet at httplAwwe.tdameritrade.comainancialstatement.html or
by contacting TD Ameritrade Clearing, Inc. at 1.800.669.3900. As of March 31, 2018, TO Ameritrade Clearing, Inc. had net capital and a net capital requirement of $2.2 billion and $4.85
million, respectively. A copy of the report and comments is currently available for customers' inspection at the principal office of the Securities and Exchange Commission in Washington
D.C. and the Denver, CO office of the Commission.
SDNY_GM_00012037
CONFIDENTIAL
page 7 of 7
EFTA_00122688
EFTA01268167

PO BOX 2577
OMAHA NE 68103-2577
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS. VI 00802-1348
CONFIDENTIAL SDNY_GM_00012038
EFTA 00122689
EFTA01268168

Terms and Conditions
STATEMENT GUIDE
nr.t.yado modes monthly Portfolio Steppes for accoums with act/wry and greatly /mons h the *Wen 01 a brokerage insularity. a dent may reteirarelneents due from the melee F an ow brochure That invades information demoting SINRAs Pthic Disclosure
ce 194C1.10 accounts with assets.. in baltrePtcY and men SIPC. Simokommal coverage es pad out aver the trustee and Program. please Conlacl FINRA at 030-289.9999 or wnwarwaryg.
Portfolio Summary: Tithe the Current value d your 000010 as Of the rep04 dale end SIPC payouts and color such coverage each clone is limited to a combrod return of
compares ti to the prior month.: The and elkCeliOn Etcetera yOur thr0010 divertiaCtilion by 5152 miliOn Iron a trustee. SIPC and London insurers The TO Anowitrade Preptivental The interest rate storm for TO Ameafade Cash a taken from the appicatle impostrate ser for
investment type coverage has an aggregate Imo GI SSW motion oar at customers. The potty precedes the Markel Value Warm n the TO Amertrade Carib. as 01 the slat men closing date Simple
Coverage Ion:ming brokerage insolvency anddoes nOlprolegl Mani Ins in market vate interest is acruad daily baled on the interest ram ter applicable to each days balance.
Maple Slocateas under 5% ail be grouped into the category of -Cdw" in the age chart. Margin of me mourners
Emily - Total Accourn Eguit0Tmel Long Meginable Value • Total Short Value) Financial Statement Notification: The statement ol hnancul condeen for TO Amontrade
investnen1 it a money market lurid is not Mewed Or guaranteed by the Federal a ailable Woe a year and may be obtarkel al no cost vie the internal al
Activity Summary: The opening and dosing casts balances we reconcled hue tor yew quid Depose Iresuranar Cameroon (FDIC' a any other or:nommen agency. Although the May:Awyeadomentradocombnancithiatementlitra.
fONfOlC* AI account acunty is summated for the currant period and year to date_ kinds Beek 10 preserve the valle et whir irranlment al S 00 per share. it is pOstibb 10
Income a Expense Summary thernals only): This section details the income and evens. lose money by invesIng n a money mantel fund. DMilecds are declared dely and Option Assignment At short way spoon pennons and some .odor option potions aro
40[03 from a. Attinty Sunman and ClaMilin no lax Irealnient poctresnonted moritty. The prospcches moans this and Woe important riormaion avalable tor asstymeM Esercee assignment traces for <Ivey of riles options are randomly
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(wart and wry years, IRS Fenn 5498 fail marker value is based On the anent value es of a akar dealer arc NOT FDIC INISURED f NOT BANK GUARANTEED/ MAY LOSE VALUE.
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l P o e ss rf e o s r m o a r n y c o e u r S E u n m u m re a m ry e : m M -o o n n o it m or s y t o ra u t r e a g n y n . ual portfolio palomino, and the vcrealized gains end c T a h n e t b o al a liq n u c i e d a it te y d o o u n r b y a o n u k r o d r e d p e o r, s i a t n a d C C It O s .M p I r o O c r e S e h d a s r e r s e t d u n y e o d u t o m y o a n m ey m M a ar s ke o l n m a o m o o s u n a t r i o d r C on re d d e it m ba a l n a d n . c es in your account in me Ordinary Course d our bosons which are payable to yOu
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thane Cash Services Summary: Credo ad dolt transaction totals or the arum slammed Margin and Options Account Agreements: Prorrpift anMso ID Amentrade n voting of ezecurson at winvidarneroradocony Amino" copy is avalalde Limn rawest.
retrying 00006 be summarized. IndMtkel banaacle ere notlisted. wry change tn your investment otaximos or inarcial striation as they wain to your
t ro a u t e tl t e o d ro un A d n in n g e a a l e I g n u c s o tm m e e n t a s n . d m e E s % ti m m o a m te e d n A t d nn e u a a ls l Y m ie a l y d n v o a t l u c e g s s . a , t e h e b a s s ta e t d e m u e p n o t n t o t t h a e ls . n umber of m wa a r r e g t i i n e C e o x O e p c l u O ti n o s n a o c l c a O e u o n n t a s g n re a e n m sa e d n i t c s e d A i s su a m ya m la a b ry le o . f commissions and charge, incurred m im a i p s k r o e o u s u o r m t p o e s l r s o o e y o d n . O m a n b o s M d en a e t l o n a r b e d i e r l d l r y s . o P t r o d n e c m r e s o im t v o d p e t r h o e v b e e c r s o r t o n m P tra e is r c y a u . t v t l o o a n n s e t a , le n * c u d t t l t b i e r e o r k c e h a r is s n t . o o d r n y e m a O l a r f r s k s e . e t a d c n e o d r n s m ; d o a fo m rk e e s s t .
r s a h l w e a o s r C o a w s n h e t d a o t r p a k s M te d rn e 4 v alue balance as of the stalemom dale and to most recta dradond C d u e rr la a n k t a M a a n k t e e t r P l r a ic n e d s O : t T h h e e r n m ie a p te e s x W ter a t s s o d a v s e c s. o n W e r s o t h e a w m e b b a as n e d W O a n n m ed e , d it o a . v " a itt w sk i k th t r H a s m u and wo regular/1 manta executcas to test tor sorb impm oment tl avalable.
moth batmen me bid at slung FOCOS. a ether rrotcels. I no racket %clue is motto ram a Tilde COMirmistiOna (Rule 100-10):All cordr malkins ale Peremilled On the InansittiOn Male.
GENERAL INFORMATION cp4alocn Hot* c OW independent *WM. I've Meaty iS UAW I0 being oiled&
Non.Prcei CRP). Thesolusons on your catidomport am worded as genet Maraton ad Taxes: Trantoolons in kronen semolina (ndulng foreign ComPanY ADM tldl 116* in me
70 limentrade does not provide legal or lax wince. Please consul you legal adveor or lax wo dons guaranies to scum/dam scones pmts. Ilogago backed pardons are toed U.S.) moy include taxes and fees charged by to foreign maker or governments. hilt may
aCCOurall when raKtPlory. AS e Shineted inOssby matte. MEMO COneerthlths May Oe yang me hmanng Wine and me cunt meta coke Poncho fecal Ea/Jahns may net be recoiled in the Moe 01 the security or charged es an ndependent One item
MOMS Mr Sally MAW and transediOn veernalth Puente. roaccet mks prococch. The se nary maim to Cathay: of Deposes (CDs) is got*
loud and the °dud vas me be client from me partheth poke Asrylart lonclthraila Prtnity Poky Notifitthon: A Spy of the TD Amoebae* Privacy DOIcY is neat* at
For 70 Amin-oado nsobtonol clews. your °Mow him is separate from and not satiated wet may roati too the sale aI a CD pier kr roosts Do-ds rib Rod Foot Seam as trade wave.blamccaadecorn
TO Amentrade. Inc. a TO Arra:loran Owing. Inc., and oath Irm is not responsble la the Weronvy roam awry conic and dons wade on a Mud oxthongo. Rath% may tax n me
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to musty. The sato Minot' pea ea mahatmas molt n a lads d pthapol. system. A descnoton ol the pro:Woes tor Stable saunters is salable an to :rebate a hale
Accuracyof Reports:II you find any errors or omissions In your account statement you copies we available up:new-mi.
Mould immediately call us et the nunbei listed on page one of your statement You Non Standard Atoms (PISAI aro typcaly trramments n arms pampa:on program sturbw
Gould also contact our Cleating Fern, TO Anieflinade Clewing, Inc. al 800469-71/00. I:stratus knell tatty compann. on red woo ruminant tort comedy pmts. male In Case 01 enOna a mentions *Out your EIK*OniC Fund Dander. ettrase CO lett s al
<duty. Orirole debt or hedge kricb. We we WW1, Maud inwalmths and do net ale on a 7600669.3900, or in wing to P.O. Box 2209. Omaha. NE 68103. or by email at
Please mem too =thorn careelly. If you Smarm with any transaction. or nl Mom ate any Mead curies octane* a to &tag Stock Mafia The auras thann kr mare meows! dierneenrkeetbldbMentrade.COm The inkinhaton (Unlined in your aceourn slatemeM shell
<WM a omissions. Anse nobly a Client Services repieSeratilber a yOur teal batch edge. as are Sinai& ming denied horn news methods heett, but not kited IP independent be laneing upon you it you do nth 01:10c1 wthn sub, lelldays for any transfer of herds mbect
wol as 10 Mercado Cleatro, Inc. In wrong ethn ton (10) days of you moot of this approvals. the pro:cats cm =ctn. ono' rid party tender diets Purr h.yeo bean provided by to Andabon E, such as ATM and point olme tractors, debit transactions, direct deposits.
statement Any wed statements Mal you hem made to us should be CONinned in habit The tern otheydroia. ado spoyor d each program on by a thrdpaty voter Mita and withdemil$ WO Must hew from you no later Man 60 days after we seM ate the FAST
statement will triennia be considered conclsive independent Eerfcatim by ID kneehole. Values may not MINX the clonal puthase thce. statement on whichthe error or problem appeared,
wool matt Yam a be roakral rpm kudos:nem a:faunal woo cm. be woothed (I) Tell us yOur non* and account renter
Please Wry es promptly 01 any charges in you COntaa information. Dtineedion reamed On trough tem methods, me olutifal Met be reflected as NOnOited (UFO Fa adOttna deral (2) Douche the error or de transfer you aro unsure about, and wagon as deafly as you can
your report wit be cancan/Et, doomed accuratounloss you cooly TO Amettrado tweet*. tcpwartg Wotan Iry NmStamtand Sews. plowe aortal Clan Schism nut attracts why you beam it is an error or Env you need mac inhumation.
aro no wood undone SIPC. (3) Tell us Pie dollar amount of the eanokted error.
Account Protection: Deposits hold by TO Sank. NA and TDB.* USA. NA. are insured by Wo wall monitor. your comport and MI correct any error promptly. It we lake more than ID
i M n O ia l F ut D le IC n. O T W O le C a o rn v e m nt o l b e y a S b I o P u C t ) F u D p IC 1 0 C o 5 v 2 e 5 r 0 a . g 0 e 0 0 g . 0 L t i 0 m il a S w a e l e Id C pe g r O a v C . t S O O un C l U o tle rn 6. e r in th d 0 u d p n e g r H A m ud e e t n t l R e a . K o o S rn a c u pr d O i t = at e C n A m R a S c ') e P s ro o n r W g: T e h i e it i m ef o e t e e t t e ta rt x M a u fa te O s A T S h s e t t u a n n t s y to a o l th b e o e n k i W ng a i n S e n d ot . b y u o s u in w e i s t s h a d v a e y s t o to u d s o e I r o i f s t . h w e e m w on it e m yd i o tt n n w a h t o h e a c in ct * u n t t t f a o k r e t s ie u s a m to o c u o n m t y p O o u t e th o in u k ri n is v e in s t e ig rr a o te r. : s c O c that
Mutual fend, held in your IS011etige Account are 401 depORIS Or 0010allOin Of. Of surmised Ha market oat bra =Ida,. TO *rota will prise to OAS Helm.M ao rib
guaranteed by. any bank. are not FOlt insured. and invoke investment odes. includng tweets= boll to loudly and undetyrt cm* pushy. The MSS rota is wronly
posstle loss ol princpal. TD Mercado is a member ol tie Securities Investor Pram-ton eteninCirt a land bitty and. tea soul, mere an be re ammo Mal loth eaurtieS am
Corporation (SIPC'). which proems swathes customers of its mothers up lo 5600.000 be sod unix once malt cotters. AMID la07na
(inciting 5260.000 lot dam for cash). Exploratory brochure is available on request at
REGULATORY DISCLOSURES
Ackationthy. TO Anientrada prOMWS (nth Cleat $149.5 trillion worth Of prolectlon for AI Wansostions aro abject to ti) me constitution. riles. regulations. customs and usages
SeCuritieS and $2 Winn 01 pretegrain fOr atah trough SupOleMental °Overage provided by d the exchange or market, and as deamonouse. it any, on Mich such Utintinrana ere
London ineurelS e E x x e cuted: prl federal lass. inducing me Socunnes A in m of 1933 and the S«uris e e nd s SONY_GM_00012039
ant
• esra "n i p °E N FI R M
EFTA 00122690
EFTA01268169

Statement Reporting Period:
ID Ameritrade
06/01/18 - 06/30/18
800-669-3900 Statement for Account # 867-730320
TD AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TD AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTFIS STE 13-3
PO SOX 2209 ST THOMAS. VI 00802-1348
OMAHA, NE 68103-2209
TD Amedtrade Clearing. Inc.. Member SIPC
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $ - $ $
Insrd Dep Acct (IDA) 799,455.29 86,850.13 712,605.16 820.5% 0.30%
Money Market IDA
Short Balance
Stocks 6,121,050.00 6,015,800.00 105,250.00 1.7% 95,819.00 1.6%
Short Stocks
Fixed Income
Options 10.00 (10.00) (100.0)%
Short Options
Mutual Funds
Other
Total $6,920,505.29 $6,102,660.13 $817,845.16 13.4% $95,819.00 1.4%
Margin Equity 100.0%
Cash Activity Summary Income & Ex • ense Summary Performance Summary
Non
Current YTD Reportable YID
Reportable
Opening Balance $0.00 $ - Income Cost Basis As Of - 06/30/18" $4,014,637.60
Securities Purchased (4,069,779.45) Dividends - $ $41,767.60 Unrealized Gains 3,065,679.67
Securities Sold 712,485.06 2,466,686.28 Interest 0.01 Unrealized Losses (959,267.27)
Funds Deposited Other Funds Deposited/(Disbursed)m
Funds Disbursed Expense Income/(Expense)"° 41,767.61
Income 41,767.61 Interest Securities Received/(Delivered)"° 0.00
Expense Fees •To view realized gains and losses for your account, login at
www.tdameritrade.com and visit My Account > Clain/Loss.
Other (712,485.06) 1,561,325.56 Other (3,827.81)
Closing Balance $0.00 $0.00 Net $0.00 $0.00 $37,939.80
SDNY_GM00012040
CONFIDENTIAL
page 1 of 4
EFTA_00122691
EFTA01268170

Statement for Account # 867-730320
06/01/18 - 06/30/18
Income Summary Detail'
Description Current Year to Date
Ordinary Dividends $ 0.00 $ 17,767.60
Interest Income Credit Balance 0.00 0.01
Qualified Dividends 0.00 24,000.00
IDA Interest 120.10 1.037.04
*This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date totals will accuratehi reflect your cumulative amount for the year.
Account Positions
Symbol; Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
ALPS ETF TRUST AMLP 43.000 $ 10.10 $434,300.00 01/12/18 $ 500,956.00 $ 11.65 $ (66,656.00) $ 35,819.00 8.2=,,
ALERIAN MLP ETF
FOUNDATION MEDICINE FMI 25.000 136.70 3,417,500.00 01/13/14 582,049.13 23.28 2,835,450.87
INC
COM
GENERAL ELECTRIC CO GE 125.000 13.61 1,701,250.00 10/20/17 2,593,861.27 20.75 (892,611.27) 60,000.00 3.5%
COM
SANGAMO SGMO 40.000 14.20 568,000.00 05/28/13 337,771.20 8.44 230,228.80
THERAPEUTICS INC
COM
Total Stocks $6,121,050.00 $4,014,637.60 $2,106,412.40 $95,819.00 1.6%
Total Margin Account $6,121,050.00 $4,014,637.60 $2,106,412.40 $95,819.00 1.6%
Account Activit
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
Opening Balance $ 0.00
06/11/18 06/13/18 Margin Sell - Securities Sold GILEAD SCIENCES INC GILD 100- $ 71.26 $ 7,119.90 7,119.90
COM
Commission/Fee 6.00
Regulatory Fee 0.10
06/11/18 06/13/18 Margin Sell - Securities Sold GILEAD SCIENCES INC GILD 100- 71.255 7,125.40 14,245.30
COM
Regulatory Fee 0.10
CONFIDENTIAL SDNY_GM_00012041
page 2 of 4
EFTA_00122692
EFTA01268171

Statement for Account # 867-730320
06/01/18 - 06/30/18
Account Activit
Trade Settle Acct Transaction/ Symbol
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
06,11,18 06 13 18 Margin Sell - Securities Sold GILEAD SCIENCES INC GILD 9,800- 71.25 698,239.76 712,485.06
COM
Regulatory Fee 10.24
06/13/18 06/13/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (712,485.06) 0.00
DEPOSIT ACCOUNT
06/18/18 06/18/18 Margin Delivered - Other SKR S&P 500 1,000- 0.00 0.00
SPY Jun 15 18300.0 C
EXPIRATION
Closing Balance $ 0.00
Tor Cash Activity totals, refer to the Cash Activity Summary on page one of your statement.
Insured De. osit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
06/01/18 $ 86,850.13 12 0.0700 $ 2.00 $ 2.00 $-
06/13/18 799 335.19 18 0.2996 118.09 120.09 120.09
Total Interest Income $120.09
Insured De. osit Account Active
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $86,850.13
06/13/18 06/13/18 Received FDIC INSURED DEPOSIT ACCOUNT $ 160.649.87 247.500.00
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
06/13/18 06/13/18 Received FDIC INSURED DEPOSIT ACCOUNT 247.500.0O 495,000.00
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
06/13/18 06/13/18 Received FDIC INSURED DEPOSIT ACCOUNT 247.500.0O 742,500.00
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
06/13/18 06/13/18 Received FDIC INSURED DEPOSIT ACCOUNT 56,835.19 799.335.19
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
SDNY_GM_0OO12O42
CONFIDENTIAL
page 3 o14
EFTA_00122693
EFTA01268172

Statement for Account # 867-730320
06/01/18 - 06/30/18
Insured De • osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
06/29/18 06/29/18 Received Interest: Insured 8.40 799,343.59
Deposit Account Bank USA
06/29/18 06/29/18 Received Interest: Insured 36.57 799,380.16
Deposit Account Bank
06/29/18 06/29/18 Received Interest: Insured 36.57 799,416.73
Deposit Account Bank USA
06/29/18 06/29/18 Received Interest: Insured 38.56 799,455.29
Deposit Account Bank NA
Closing Balance $799,455.29
TD Bank NA $247.538.56
TD Bank USA NA $304.380.16
US Bank $247.536.57
DIC Ceposii Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by one or more banks ("Program Banks'. Two of the Program Banks are TD Bank. N.A. and
TD Bank LISA. NA, both affiliates of TD Amenuade. The IDA balances are not covered by the Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
Important Information
STATEMENT OF FINANCIAL CONDITION
The most recent statement of financial condition for TD Ameritrade Clearing, Inc. may be obtained at no cost, via the Internet at http://wIwe.tdameritrade.com/financialstatement.html or
by contacting TD Ameritrade Clearing, Inc. at 1.800.669.3900. As of March 31, 2018, TD Ameritrade Clearing, Inc. had net capital and a net capital requirement of $2.2 billion and $4.85
million, respectively. A copy of the report and comments is currently available for customers' inspection at the principal office of the Securities and Exchange Commission in Washington
D.C. and the Denver, CO office of the Commission.
FINRA INFORMATION
Required Annual FINRA Information: Investors may request disclosable background information on any U.S. licensed broker or broker-dealer via FINRA's BrokerCheck, a free online
tool. Visit brokerchedtfinra.org. Additionally, FINRA has a brochure which describes the BrokerCheck program. You may request this brochure either through the FINRA web site
www.finra.org or by calling (800) 289.9999, the BrokerCheck Hotline Number.
CHANGE TO BANK SWEEP PROGRAM
TD Ameritrade is adding additional Program Banks to the bank sweep program. As a result, you may hold checking or savings accounts at the Program Banks. The bank sweep
program is designed to provide up to $500,000 FDIC insurance per depositor in each recognized legal capacity; but to the extent your cash is deposited into more than two Program
Banks, it is possible for you to obtain total FDIC insurance in excess of $500,000 per depositor in each recognized legal capacity. The revised terms and conditions are located in the
'Sweep Program" subsection of the Client Agreement.
SDNY_GM_00012043
CONFIDENTIAL
page 4 of 4
EFTA_00 122694
EFTA01268173

PO BOX 2577
OMAHA NE 68103-2577
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SDNY_GM_00012044
EFTA 00122695
EFTA01268174

Terms and Conditions
STATEMENT GUIDE
11. Arritlacio panes moray Padre Faces lot accoums with ann./ and quanorly sons II the event eta brokered(' insolay. a Carl may receive Wats due frOM the trustee F an ode brochure That nabs information Mooting FINRAS Parc Cosebsum
cis mactic accounts with assets.. rn balbeetcY and Men SIPC. Stpoktwomal coverage is pad out diet the truss and Program. please Conlacl FINRA at 193b289.9999 or wafirwathl.
Penton* Summary: Tracks the Current value d your 00000 as Of the rep04 dale and SIPC payouts and tralar such coverage each dent is lard to a antra return ot
compares/to the peter month.: The Ma ellatiOn ace." thaw pada divertatilion by 5152 miliOn from a trustee. SIPC and London insurers The TO Anowitrade loppienental The interest rata Pam for TO Arnertrade Cash a liken from the armload° interestrate ter for
invesimari type coverage has an aggregate Is el 4.500 motion over at customers. The potty panes the Markel Value balance n a TO AmertradeCaSh. as Of the Stalemed closing date Simple
Coverage loll:ming Waage insobay and does net poled (gad Ion in market valle newest is xcn...ad dally based on the interest tato beg amicable to each days balance.
M.Mple alocatcns under 5% ma be grouse.] into the category of -Car' in the pie chart, bags, at ma 500.01101
Essay - Toter Account EounbrOlal Lena laginable Value • Total Shat Value) Financial Statement Notification: The statement of Manna condmon or TO Amentrade
M investment it a money men el fund is not insured Or suaranteed by the Federal abbe trice a year and may be Waned al no cost via the internal el
ActnIty Summary: The opening and dosing casts balances are reconcled hue tar a quid Depose Iremanoe Corpormon (FDIC' a any other gwornrrent agency Althea to Mar.,Awestawontrano.conshnancidsidementlurg.
reiegence Al account acurity is summated for the currant pad and yea to date kinds Beek 10 preserve the valle a yOur rivestant NS 00 per share. it is pale* 10
Income a Expense Summary thernaits only): This semen detail trio income and <sense lOse mord/ by Mesa n a money market fund. DMOrteds are <leaped daly and Option Assignment MI short cower opoon posnons and some index omen positrons aro
Yeast from te Acting Summary and Classifies the lax Irealment pactreinnested monthly. The prospectus amens Mrs arid ace imponart riorrnsion abbe for asstymeM Exercise assignment aces for equty or ndex options are randomly
Rebrement Account Summary (IRAs only): Review the IRS readed transamons for Me Read the alpectue Prettily Wore listing. Nth-depteil investments held by your alocaled among all clams' short posoons by an automated precooked.
curer( and pro years IRS Fa 5498 lair manta value is based On the anent value as el broker dealer arc NOT FDIC InSURED NOT SANK GUARANTEED/ MAY LOSE VALUE.
Docomtler 31 cite premous year ad ail to furnthed to to Internal Revenue Saco. Free Credit Balances Mule Oka II 3): Under me dent protection as. we may use tree
P to e rs d o o s r m or a y n o c u e r S Ar u tu m ro a r r e y c :fl t o o-n n o it m or s y t o ra u t r e a g n y n . ual pada pedormance and the unrealized gains end c T a h n e t b o al a lic nc a e la n te y d o o u n r b y a o n u k r o d rd e e t r a . i a l n a d m It tu s n p t ro O c r e S e h ds a r r e e tu d r n y e e d w t o m y o o n u e r y m M a ab n e e l s W a O m W ou n a t d o r C on a a ll b b e al d an . c es in your account i. the Ordinary Corse a our business which are payable w yOu
Account Positions: New your mostmems al the current market lobo and compare the and remitted 10 you
cob to see weealued gains and losses n your pon1010 Original coal is assigned using the Margin Accounts (Regulation T1: H you have a margin acoNe. the report is a conga*, of
C fir r s a t t . e T r. h 6 e ,5 1 e - s O ti u m l ( a F t I e F d O t ) r m ro e s t t h m o e d n . t i d in ic c h om a e ss 2 u a m n e d s a th v e e r O ag h e l s c h o a a re l s p ) e 0 r u a s r e c t m a e r e th o d s is e s i y a o y u e p d u f r o ch r a y s o e u d r T ta a x x n R m e o p nr a g r g in : c Th a e r o N te a n t e a w ea IR l i S s n m or c a s h e e n n a t g s n M a a te n e Y s o u t w Sa a r t e c m ess o F m e s d r 1 /d 03 e 9 n f : o h r . a ca w pe l a l m YO k u s r M an a d rg i e n s t n r o a t w m l a a tt n e d f a o r a a d ll d in ve m s e to tt r o s r . a A n d c u a m rp " ) m to o m 10 ( 1 i T d r a th d e n g ri s o k n s m as a s r o li c n M po e s d e n s t a h d r d r l a io rg n i a n l
M mi O m W eo N °, A P t e ta o r ll eb A t p l W urch o a o se l a ac s tM i l s y s is h d ow ea n r b ly r d a e n f i i l d e e d a . t t i o o te n d o i f n y o d u a r t e h O a rd n e g r, P an et d le r d e ) n . eged n the g d a i t i o t S bu e ss a a ] le m . air. a o n m d i e sl n ic t e m p e r s o o c n e s a . l. Some Nona* are subject 10 reclassakin ishith a tra c c u in m g e i n s b (h y e s at a ab w le i n in g t h u e s a m t a th r e g n nu M m k be d r is to c t l e o d su o r n e p a a u ge r a on . e 01 Y yo o u u r m sl a a y te r o n b e ta n i t n a copy a Iris
M C S e O T n y r e n e a s d d t l d i . i e n s n e T . i e g a s h t C o C e P m a m a e s e s n e h t h n d r b a t S i a n n r l g a s e a a n p S l m c o a e r a o t . i n n li g s n T M p r a a a l n n b e s e d i C l c . c o o n ti l n e l d e l n i u c r m t d D e n d e y g t n e a w i c m l: h t e C e a c a A i k s c l . h e c d o m d e u a b n n t t t r a A a c g c a d e t r e m i d a s e l a y S n n o s t d i h o t h A e a r n T o s a M n N e n a t a o i c e w m t n u S n r e t o y n th . r a m a d r t a e . C l e l l i e s s a te h re d e d . i B n m r o d i n n a t t g h e s C o c s o r o a u p x s i n a t t ix a t S n t e y e y e d , a a d t s n h b : d e y t C i e e e C r e a o n O d s t t e I a y d r i m r l i d k s O a r e f a g t t a d n P h x e . O a l a T o R k D t i S a m P n I M m E d b D e o a p n ° e a t I a a r D s a l d e n s i a d a n * a m n a t d e o n w i s r d e o M v e a e r i a d i s n s g n C o e r O t d n s I t p p i G C a r C o a t R i * n a K n s S l a I F l A a b l T a n E a t a o r D e to e c r t Y t 6 a le 1 S t r a d th i o * a n s ot r s o P f s o e h e z a r m a e a e y r m i i m b e g s e o n e e c d n s n a c g t s u m c h n f o s o a e m p u r r n k a c p O r e h y e y t m r n s d e t s . e r x e a a b n c r t d t i o h . o F e a a n a s l n o . l r l g w a s a W e n o ( e d c S d r o i r E o d m p o e C e o n p c a s . o o R l t e T r n u i r q p O e s l u n e b ( A a t s M a r C m t n 6 e l a t 0 t e r a r l n 6 m a y r a n d a s a o d l n t C o a t r d e t a e r t r i 6 t n l O a s 0 s t n c o e T s o d ) n m : n i i u s I l a n . c n l y l C a o s t r e s o e i e r i m s c n r p o g e a e v n e c n s th r e d r s c c e c a o u u t l o i v m r o m i e e t n p i n a e d e i u s s n n e i e c i r s s n q o e a u s t n f t i e h o t . y M e . r , T r o a I o O o o r r r d t n d k A u e e e a n m r r l a d C e l r b t n a a a o w s n m a- p t h d g e t s e o o r
Ott. Cash Services Summary: Credt an] notd transaction mats or the anon statement Margin and Options Account Agreements: Prarrpift ad/SOW Amentrade n tang of execison at trainers indecent A enders *my is avaletle Lixn raq ose.
ranee 000d be summarized. IndMikert Venetia. ere not listed Yry lunge in your investment capturos of financial sawn as they pain to your
roue to rounding adustments. the %moment Oats may not can the statement totals. m W a e1 rg 1 i 1 n N 0 e , x S ec e u n tio s n w el a w r e n n a s g t r r e a e n m sa e m ni c s e n A i s su ° m ra m ta a b ry le O . f cOmmissions and clwgee Math ma is k e o r u s r t m a e d rc y. O a n b e M en e l O de a ft o 1 r 0 d e p r r s o v to id M e O b e c t o a n t tr h a e ry c . u t t l o o n s e a le n c d t b th ro e k e a r n s, y d ea O l f r s s . e a a nd m m a p r r k ic e e t
iEtninaled Annal Income and Edmiston Annual 'la values a 0 based upon the number el improvementen market oars. Pnco mammais evens:louder moan marker condoms.
shwas man or astern value balance as of the stalemom dale and rho most recent anercl Cunard Mat Films: the makot tomes tom been rained, data; tom and we repularg mentor excro.mans to test ler sish improvement it avatar°.
rale or Oath bein pkMdrki qx1t6cn undoes ad Other Maeda aces Yabes are based a the dosig free the
mon bean me bd ad aritnp pram a char race. a no arks] slue is alto bona Trade COMirmatithe (Rule 100-10): Al contrmalas are Paremined On the IrtimatiOn Nee
GENERAL INFORMATION qqtalkn Bente OOPS independent sea. I've arty is tubed lo being retooled
Nan.thccel eNP). The wiusxns en your radon:pat aro pronged as gala Mason ad Taxes: Trantmolons in (Nan sailieS (induSnO Wan Water ADM OW Irade le *le
10 Amerada does not provide legal or lax awe. Pleas* consult your legal admor or lax aro and guarantee to a:cum./dam sass frees. Malmo bard pardons are wad U,S.) may include taxes and fees charpcd by to reran marmot or governments. Bch may
reCeOunal when necessary. AS a illtinad inOssby pitiONO. able COnereatins May be wing me sienna Wage ad the math man eke Ponta rtexn tasEons may nor be beetledin the 0400 01 to security or charged lis an aerienea tne item
Ward Stu Cruelty MAW and tramattiOn verialth DurpoSt. sari sake promech. The secenday noon la Gotham or Depots (CDs) is gamey
loud and the sal vsbe me/ be deka from they ditne robe Asgsrart loss cf MOW easy Peaky NOtifitsflon: A copy of the TD Amertrads privacy poky is Mahe el
For TO Amm-oado Mamma darts. your admit( hart es separate from and net thrall was may roan ton Me cab al a CO pro/ b rasa. Dabs ddb Fa ozone Scanner. trade VAWIAMMCfead0 torn
TO Anwerirath. Inc. a TO Arstrado Owing. Inc.. and oath Irm is net retponsble la the dforenvy thaN Nay scturiun and deco wane en a ad exchange. Rata may son me
OndArds and semces UI the other. OTC Pm thecoma market and surrealI guana nd ens b yw bell your Peek^ PS Cable Sallies: The salaam of partial rot:mans or cans is done tong a pima talery
to ressuty. The silo often:a pia to arty may rocA n a Ices al preset atom. A desenpron el the promises tor cat le “CUODOS is avalahlo on to websile a ham
Accwacy of Reports: II you find any errors or omissions In your account statement you Copies are available up:neon-ml.
Mould immediately call us at the nab.' listed on page one of your statement You Non Standard Asa dal aro typed)/ camas in drat partcpsnn program aura
Wald also contact our Clearing Tim TO Amentrade Cleating, Inc. al $01)469-91100. patalms Ian Malty =mace. a and MEMO rrasrnori truzincernmsdtypaDIS.pnale In case Of Ora Cr batons Sal your EINIOniC Fund Treaders. pale 00 lab s al
eouty. pdeale debt a hedge It NS& ere [gab lad knealmdria as do not age ma TIM 669.3900, or in stag to P.O. Box 2209. Omaha. NE 68103. or by weal at
Please 'maw too statement caready. II you camerae with any transaction or rl Mere aro any nsixid osunes mean?* a tie Krona Stock Mara Tin slues shwa, fa two rneseratts dienteervilealdbMilneede.COm The annaton Malted in your ectotrn slatemeM shall
ends or omissions. abase nobly a Client Services reproSentalber Or year teal bath thee. as are ikerneed ..ta.ea dead tern anon methods. hasdro, bun not fad IN independent be WON! upon you rf you de eel awl lathe wry 1601days or any transfer of lurch steeped
wol as 10 Amen:rano Oeareg. Inc. in wiling eta ton (10) days of you recaps ot this apace's one magas rd =oh. ceder OW party tender offers tot ha,o ban aided by to Regabon E, such as ATM and poet dab trarelcrs, debit transachons. deem dams.
statement Any oral stanemenis Mal you have ale to us said be et/Nina in venlig The to magmart androw. add spread each ran a by a Mot nag yoga Soul and isilaaalti WO Must hear from you no later than 60 dare after we sere yOu the FAST
statemonl sill °dress/ be considered concloive ascendent sand, by 11) knerrade. Was may MI Mane anal WNW pike, statement on which the error or problem appeared.
amol rvnYV vatic a be ma] men leaden e an osynattd value cad be eatinhed (I) Tell tiS yOur rend end account merger
Please miry id promptly 01 any charges in you Genteel information. TralletioM reeeeled a trough Bete methods. Me slam mg be faded as NOneited (Nn For anand Mal (2) Damao the error or Me transfer you aro unsure abOte. and explan as dean/ as you can
your report wit be conclusively deemed acwatounioss you racy TO Amanda irractaxtly. name amen kr N:n.Staretard Pews. plebe aroma Clint Sows These masts why you bans r1 is an error or why you need mac inlormalion.
arena am] undo the SIPC. (3) Teti us the dollar &mum of the lakted error.
Account Protection: Deposits held by TO Sank. N.A. and TD Bas USA. N.A. are insured by Wo Ssl invested* your complain and wit career any error promptly. It we lake mom than ID
i t n h i e a l F ut D le IC n. (4 T 0 O 1 le C a o r v n e r m ed e r b e y O SI a PC t ) F u D p IC 1 0 G 5 a 2 r 5 a 0 g .0 e 0 0 p . it L 1 I 0 S S su a e l e 'N p e e g r e v eC . t S Ou e n e l u O lt r a n . e i r n th d e u d p n e g r H A a ud la en s R a K o o a rn u a r t a a te C n A s R e S- a ) P s r o o n r a g: t m The n m a o v t a et l vatm sa k uc r e O s A T S h e e N xu a r r b a :e o ta l S b e e a en m aw is e n d o . t b y u o s u i M nes I s h a c v lo e y s t o lo u 0 s 0 e I r o i f s t . h m e m ew cn l e c y a du l nn y g e w th e s s a o in t t t f a o w r t s h e u s a m to o c un o t s y t o a u e th o in u k r i i n s v i e n s e ti r g r a o t r e . s s O ,. Onit
Muluat fUndS, held in your Orange AteOunt are ntil deposits Or 001gatiOnS Of. Or WYNN:01H a ma ma end meals Tr) knetbadeN1p rice to ARS manna No
guaranteed by. arty bank. aro not FOlt instred. and involve investment Sm. ineludng centhorman both to quay and undthog cat quaky. The SAS racket is comfy
potable loss ol princpal. TD Amerada is a member of the Securities Invader Pro:omen tebeeentimnilick ol tCp.klty end. an result Mee Cm be no mance Mal encheecurties Car
Corporation (51PC'). which premeds senoras automats of ns members up to 5500.000 to sod with. one mai co ere. AUTDI5007tia
(inading 5250.000 lot dad for cash). Explanatory brochure is available on request at
REGULATORY DISCLOSURES
bwmaecina.
Additionally. TO Amerada, prOndeS ant ant 5149.5 Shen worth 01 proleetlon tor AI transamons aro object to to) me constmoon. hies. salons. cusses and usages
lathier, and $2 milern Of preteden err ash Weigh SupOleMental Coverage provided by d the exchange or maker. and as dearagnouse. H any, on istich such thintssans are
London ineurelS o Ex u sted: pit federal lass. inducing me Smarm A in m of 1933 and the Socra a te nd s SDNY_GM_00012045
ite
p °E NFIR M ihtt
EFTA_00122696
EFTA01268175

Statement Reporting Period:
1D Ameritrade
07/01/18 - 07/31/18
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 13-3
PO SOX 2209 ST THOMAS, VI 00802-1348
OMAHA, NE 68103-2209
TD Am.:Wade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $3,425,000.94 $ $3,425,000.94 $ -
Insrd Dep Acct (IDA) 814,693.58 799.455.29 15,238.29 1.9% 0.35%
Money Market
Short Balance
Stocks 2,720,170.00 6.121.050.00 (3,400,880.00) (55.6)% 95,819.00 3.5% Stocks
Short Stocks 39.1%
Axed Income
Options
Short Options
Mutual Funds
Other
IDA
Total $6.959.864.52 S6.920.505.29 $39.359.23 0.6% $95.819.00 1.4% 11 7%
Margin Equity 100.0%
Cash Activity Summa Income & Ex .ense Summa Performance Summa
Non
Current YTD Reportable YID
Reportable
Opening Balance $0.00 $ - Income Cost Basis As Of - 07/31/18" 83,432,588.47
Securities Purchased (4,069,779.45) Dividends $15,000.00 $ • $56,767.60 Unrealized Gains 208,228.80
Securities Sold 3,425,000.00 5,891,686.28 Interest 0.94 0.95 Unrealized Losses (920,647.27)
Funds Deposited Other Funds Deposited/(Disbursed)'
Funds Disbursed Expense Income/(Expense)"° 56,768.55
Income 15,000.94 56,768.55 Interest Securities Received/(Delivered)"° 0.00
Expense Fees '10 view realized gains and losses for your account, login at
www.tdameritrade.com and visit My Account > Galn/Loss.
Other (15,000.00) 1,546,325.56 Other (3,827.81)
Closing Balance $3,425,000.94 $3,425,000.94 Net $15,000.94 $0.00 $52,940.74
SDNY_GM_00012046
CONFIDENTIAL
page 1 of 4
EFTA_00 122697
EFTA01268176

Statement for Account # 867-730320
07/01/18 - 07/31/18
Income Summary Detail'
Description Current Year to Date
Ordinary Dividends $ 0.00 $ 17,767.60
Interest Income Credit Balance 0.94 0.95
Qualified Dividends 15,000.00 39,000.00
IDA Interest 238.29 1275.33
'This section displays cram and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These erections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date totals will accuratehi reflect your cumulative amount for the year.
Account Positions
Symbol; Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
ALPS ETF TRUST AMLP 43.000 $ 10.94 $470,420.00 01/12/18 $ 500,956.00 $ 11.65 $ (30,536.00) $ 35,819.00 7.6%
ALERIAN MLP ETF
GENERAL ELECTRIC CO GE 125.000 13.63 1,703.750.00 10/20/17 2,593,861.27 20.75 (890,111.27) 60,000.00 3.5%
COM
SANGAMO SGMO 40.000 13.65 546,000.00 05/28/13 337,771.20 8.44 208,228.80
THERAPEUTICS INC
COM
Total Stocks $2,720,170.00 $3,432,588.47 $(712,418.47) $95,819.00 3.5%
Total Margin Account $2,720,170.00 $3,432,588.47 $(712,418.47) $95,819.00 3.5%
Account Active
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity Description CUSIP Quantity Price Amount Balance
Opening Balance $ 0.00
07/16/18 07/16/18 Margin Delivered-Other FOUNDATION MEDICINE INC FMI 25,000- $ 0.00 $ - 0.00
CSI-I MRG $137/SH 8/1/18
ADJ POSITION FOR VOLUNTARY
REORG OFFER
07/16/18 07/16/18 Margin Received-Other FOUNDATION MEDICINE INC 3CR993107 25,000 0.00 0.00
CONTRA-DO NOT SELL
AD,1 POSITION FOR VOLUNTARY
REORG OFFER
CONFIDENTIAL SDNY_GM_00012047
page 2 of 4
EFTA_00122698
EFTA01268177

Statement for Account # 867-730320
07/01/18 - 07/31/18
Account Activit
Trade Settle Acct Transaction! Symbol
Date Date Type Cash Activity Description CUSIP Quantity Price Amount Balance
07/25/18 07/25/18 Margin Div/Int - Income GENERAL ELECTRIC CO GE 0.00 15,000.00 15,000.00
COM
Payable: 07/25/2018
QUALIFIED DIVIDENDS15000.00
07/25/18 07/25/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (15,000.00) 0.00
DEPOSIT ACCOUNT
07/31/18 07/31/18 Margin Sell - Securities Sold FOUNDATION MEDICINE INC 3CR993107 25,000- 137.00 3,425,000.00 3,425,000.00
CONTRA-DO NOT SELL
PROCEEDS FROM VOLUNTARY
TENDER OFFER
Auto Reorg1/3892101TRICASH
PAYMENT
07/31/18 07/31/18 Margin Divint Income INTEREST CREDIT 0.00 0.94 3,425,000.94
Payable: 07/31/2018
Closing Balance $3,425,000.94
For Cash Aclivily totals, refer to the Cash Activity Summary on page one of your statement.
TD Ameritrade Cash Interest CrediVEx • - nse
Begin Margin Credit Number Interest Interest Interest
Date Balance Balance of Days Rate Debited Credited
07/31/18 $ $ 3,425,000.00 1 0.01 $ - $ 0.94
Total Interest Income/(Expense) $ 0.00 $0.94
Insured De • osit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
07/01/18 $ 799,45529 24 0.3494 $ 183.70 $ 183.70 $ -
07/25/18 814,45529 7 0.3494 54.58 238.28 238.28
Total interest Income $238.28
CONFIDENTIAL SDNY_GM_00012048
page 3 of 4
EFTA 00122699
EFTA01268178

Statement for Account # 867-730320
07/01/18 - 07/31/18
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Batance $799,455.29
07/25/18 07/25/18 Received FDIC INSURED DEPOSIT ACCOUNT $ 15.00O.0O 814,455.29
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
07/31/18 07/31/18 Received Interest: Insured 17.91 814,473.20
Deposit Account Bank USA
07/31/18 07/31/18 Received Interest: Insured 73.46 814,546.66
Deposit Account Bank NA
07/31/18 07/31/18 Received Interest: Insured 73.46 814,620.12
Deposit Account Bank USA
07/31/18 07/31/18 Received Interest: Insured 73.46 814,693.58
Deposit Account Bank NA
Closing Balance $814,693.58
TD Bank NA $247,573.46
TD Bank USA NA $319,546.66
US Bank NA $247,573.46
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by one or more banks (Program Banks'). Two of the Program Banks are TD Sank. N.A. and
TO Bank USA. NA. both affiliates of TD Amentade. The IDA balances are not covered by the Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
SDNY_GM_00012049
CONFIDENTIAL
page 0 010
EFTA_00122700
EFTA01268179

PO BOX 2577
OMAHA NE 68103-2577
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS. VI 00802-1348
CONFIDENTIAL SDNY_GM_00012050
EFTA 00122701
EFTA01268180

Terms and Conditions
STATEMENT GUIDE
If: Aro wado provides mormy Paddle Reports for accoums with actrerty and quarterly /pons M the even 01 a brokerage insolanCy. a Client may receive ~Is due Iran the trustee F an ono brochure mat mantas information denoting FINRAs Piano Descbsure
ce nact.,o accounts doh assets.. in bribelltry and than SIPC. Siaktnemal coverage is pad out Met the trustee and Program. please °anted FINRA at 800289.9999 or wnwtinnsag.
Pond Summary: Troche the Current value d your 000010 as Of the *pal dale and SIPC payouts and miler such coverage each dm is limited to a centred return a
compares e to pie par month.: The easel akal(On advt." your 00010 diverenetilion by 5152 miliOn from a trustee. SIPC and London insurers The TO Anceilfade lopptenental The interest rate them+ for TO Arnertrado Cash a liken from the applcatie molestrate ter for
invesimert type coverage has an aggregate Inn 01 $500 mtlon oar at artlaners. TM potty provides the Markel Van balance n a TO Amertrade Cara. as Of la illalemed closing dale Simolo
Coverage loldning Wasage insolroncy and does nOl poled Mina lass in mania vela, interest is xcerxd daily based on the interesttato ter amicable to oach day's balance.
Arople dlocatcns under 5% al be grouped into thecategory of 'Other in the pie chart. Margin et roe securities.
Early - Total Acceurn &miry iThial Lena lAtvginale Value • Taal Short Value) Financial Statement Nallicallon: The mammon ol Manna condea for TO Amentrade
An investnen1 iv a money market turd is not Mewed Of guaranteed by the Federal avaltide trace a year and may be Waned al no cost via Me internal al
nanny Summary: The opening and dosing cash balances are moon:led here tor year quick Depose Iresuranar Cameroon (FDIC' a any °Ma gevernrnert agency. Althoggh Me Max,Awyrtictementranoconnnanciatiammentlurd.
rem once. Al account admiy is summated for Me currant pared and year to date- kinds Beek 10 preserve the vat...dyad weveament WS 00 pe shared is pOstibb 10
Income a Expense Summary inon4Fas only): Tins semen dark trio income and et ens° lOse money by investa n a money marker turd. DW4005 are declared defy and Option Assignment: At shun misty opoon posnons and some index option neutrons are
Web nom the ActhQy Summary andClassifiesMe lax litalMent. pachernwested monthly. The prospectus amens this and other important riorrtmon avaltide Poi aaugnmeM Eterme assignment Meant ler equty of tide, options are eandomly
Robroment Account Summary (IRAs only): Review the IRS regulated transaccons for the Read the prospects Cbeldly before arresting. NOn-depasil investments herd by you' alocamd among all dorms' shod posoons by an automated pram:two.
curer( and pro maga IRS Fenn SI98 lair mama shut is based On the anent value as of Croke, dean are NOT FDIC INISURED f NOT BANK GUARANTEED( MAY LOSE VALUE.
Downed 31 of the previous year arts el to furnthed iota Internal Revenue Scence. Free Credit Baboon (Rule ISOI.2 II 3): Under me Mont proumnon mt. we may use tree
l P o e om ar s m 'o a r n y c o e u r S M um ut m e e r r e y m :M n on a is n m t s y t o ra u t r e a g n y n . ual polka pedormance era Ina arealized gains and c T a h n e t b o al a lq n u c i e d a n t e y d o o u n r b y a o n u k r o d r e d p e o r, s i a t n s d o c th tu e n p t ro O c r e s e h d a s re r s e t d u rn y e o d u l o m y o a n m ey a M c i c n u k s e e l s W a O m W ou n A t n o d r C on ro d a e t m ba a l n a d n . c es it your account in me Ordinary Cane ol our bigness which are puede Se yOu
Account Positions: Now your mostmems at the current market wade and compare the canal remitted 10 yeti
cost to see aumilued gains and losses n your paddle Original cost is assigned using the Margin Ammons (Regulation 7): t you have a margin account. so report es a combater, of
e fir r s s t t . e ) T . h T e o s e t- s o t u im l ( a F t I e F d O w ) m rro e s th tm o e d n . t w i e n l c c o h m a e ss 2 u a m n e d s a th v e e r O ag h e l s c h o a s re i s p e yO r u s s h o ar t e a l a e r o In < e M s, a yo m u a p u f r o ch r a y s o e u d r T ta a x x n R m M o O n V a I r i g n : e Th t e h ( a M n V e O w /D ill a IR te S n o e c t a ro ta T r o O n f t e s e I M nc e l n u t d e Y s a d i an M t a n k e e v R a a n d o 1 d 09 e 9 n f t o h r . L c a ar u ca d l r Y is O k u s r m an a d rg i e n s s n o o t t h s u w nt a a th n e d t a o r 5 a 0 l 0 l 8 in 1 ve m s t t m or o s. r a A r g c ia o n m a a cc e o u le nt i d T ra th d e n g ri s o k n s m as a s r o li c n ia p t o e s d e w s i t e h d d tr l o io rg n i a n l
r A o C m C a O n u c n e t A th d e i o *y d : e A s p l e ur te ch o a ri s r e y a da ct t M e i l s y s is h d ow ea n r t , e / r d a e n f i n le d d c . a ' t s le le n d o i f n y o O u l r e h O a r n da g . a de d r g re a n . eged n the M ga I i t n o . l r a e c lle e d s e t l r m yk s k i i A . m an m d i s e e n e t a s pr m o o c o e n ro s b . l. &MOO/pita aro awed le feclassfalOn ankh d tr o a c d u n m g e i n s t b ta y s p t o a m bl a e d i i n n g m u e s a m t o th r e o n nu M m k be d r is te cl e o d su o r n e p d a o g o e m on e e n 0 . 1 Y yO ou ur m Sk a i y te r o n b e ta n i t n a copy d ass
a C a e O T s n r e i n a l s d d i l d n i . e n s e m . g t e a s e C t C P e s a m a e a s s n e h t k n d r b a t i S a n n r l e g a e s r n p a v S c o i c e c e r t t e t . i i t o n s le g n T m s p r e e e a l n r n b e t a : e d C l r c . e t n o i a e d n c n u l t i e d D n d n e y g t n a a w i c m l: h e e C e t a c A e n k d c e . c , . d t o m e e u d b a n i n t t t r a A a c g c a d e t r e r m d e s g e a y w n n L t i d t e h t h m A a in T o e s M n e a n t d a t o l r c e o m t m n u n a e it o y n M . t r a t a d h r l a e . C l e l l i e s t a t i e l r l e e d d r i n m W o d ri n u n t e g h ( p G C s b o u u r a s a i m t t n i n S a a d y a y s a e M h n l b : d e y t C o e m C o n c g S O d e C n a I a a i m t I l y s I l I e t D e o . g l O a e t M a W d , n e . w O i l T o n e R t o k n O r a P m n T t m d E o il e o D p n n o t a T k a n D a lo d n t d a a m a n ri t e d m e r p i i s c ( ro c a W M a e : r a k i i n • s m / g n m C a d o O s n d I t e p i D C p ro o a C v r n i R d e t e b h K r b s a R l F l A t a a l T a n E a ti r a D e e t b o a r t e a o l k a W l t d i fi e o r y n a n d d o ° t m r s P f s o o e h a c r l o a e e y e m i o m c r g r t i n e e e c n d d n a o g t s a m c h f o r m o a e m p r r n k a a p r O e y e y i t m r n s d e h s . e x e e a b n c r e t t i r h . o d F a a M n s l n o s . g w t a s W o e n r o ( e d C S d r i O r E r d p o o m C e o n c a p s . a R O l t e n T u r r r g O e s e l e n m c ( A t s M i O m a t 6 r f r a 0 o a t r r 6 y d t n o r n a a e r o l d n e a C r p e d o d e o a w d 6 r n l r t 0 s t s e t h o e 7 s o d ) n m : i c i i n s I l o a n . c M u y l O o s n w a s o t t h i m a g n a g g r e e a v i n n S c e th d s r e c c e a c o u t l u i s v m o m r l e i e n t p n i a d e e i u s n s n e e f c i s r s n q o e a u m s t f t i o h o t . y M e n r T r o a o d O e r r r l d d m k a A e e e t m e r r l d C d o ( r k o e n t a O g n m :r t o e p t e h n d e t r e o g s o r
Online Cash Services Summary: Credo ant deal transaction totals for rho atom statement Margin and Options Account Agreements: Prefrpet adate 10 Arnenuade n tang ci mecum at wrAvidarneroradocom Amnia" copy is avalaUe span rawest.
fettering 00406 be summarized. IndMekral IronetiettriS ere rot listed. Wry change in your investment Maxi/yes or anaroal shaman as they peulain to your
ms'gin Or 001ths aecOurn agreements. A summary Of cOmmesions and charge, incurred is our policy. abeenl deft orders to 1110 contrary. to select braids, cakes, and market
roue to rounding adustments. the stamen, deals may not ega the statementtotals. loth to execution ol aeons transamceo is aralable. makers used On Me ally te porde best thecuaon and the Mary Of Weida price
tEtninaled Anrwl Income and Earnated Annual aeld oath a 0 based upon the number of improvementen mated orders. Pnce improvernem is evened* maw amen market condoms,
shams owned or astern value balance as of the stalemom dale and me most recent Medea Currant Maks Prices: the maggot Alan a scones have both Maned. al daub*. tom and wo regular/1 mentor Garman to test for sox, imptcnemom ti ayalatte.
rate a Oath yield pttM004 gam antes ed Other alepextent tons Vallee we based On Mo dosig thee eve
mom banal me bd did adtng pat, a ether rnetals, a no rocked %caucus/alto son a Trade COMirmellena (Rule 106-10): Al contrmaliens are Paremilled On me InamatiOn age
GENERAL INFORMATION grata' woke fr aka indecendent stack I've wooly is aided 10 Nine retooled
Nth.Prced OP). The selusxns et yourFadden:pot are provided as peed minion ant Taxes: Trantuclons in foreign seeking. (MOWN Wean company ADM OW Irate in the
10 Mientrade does not provide legal or lax Mao. Please consult your legal advisor or lax no dent guarantee to a:cum./dam scones pm. Malmo bzked pardons be salad U,S.) may include taxes and fees charged by tie ratan marked or governments, dhoti may
*Maureen when neaThary. ASS Blended in0.4by draftee. Ida. Careentabens May be yang me nmanng balance lad Ina oa'M nasal pike Pandit dpol se/Arens may net be **acted in the 0400 01 1110 security or caged es an aapenettni the item
records ter Salty Paned and transaCtiOn volifirattn Papas,. repreart mks prococch. The Noonday make. to Oxfam d Oasts (CDs) a gthrely
loud and the °clue vele may be (Mal horn Vie page pa Asiereary loss ci MOW Parody Peaky Nellhallon: A copy of Me TD Amen:rads Privacy 00IeY is aTeabd al
For TO Amended° Summon" oleos. your adroit( turn es separate from and not affirmed wan may 50211 tom to sae al a CO par b resits BMW antra Fred tam Scanner. 11200 VAWnklanlefiradOSOT
TO Anwerireed. Inc. a TO Aruba:kr Owing. Inc.. and oath Irm is net dispensed la the clibranvy May coat soma and deer wade on a kpsd exchange. Rana may Yam n me
POOX1s end senices 01 Me other. OTC Peer 0 °Dunk., markt( and surreal kat* miy nd sag b lour deed sour Pekndria Cable Smudges: The aloe:eon ol partial retlemplons a oath ii done rang a prolate kOkry
to redone. The sad or bunt pa to natty may rood n a loss d mad. system. A descration el the proaddes for Stable saunas is avalable on to rebus a held
Acciancy of Reports:II you find any errors or omissions In your account statement you copies ere available wonder-ea
paid immediately call us at the nimbi,' listed on page one of your stalernent. You Non Standard Ames (IISAI are (meaty marmot in dna partopmen program saurian
Mould also contact our Gloating ran, TO Amedlrade Clearing, Inc. el 8004604000. patnersas kneed Mary cempaned. on real MEMO rrasrnori indm.cownedty pak dna M Case 01 enOnS Or cantons tail your EledrOniC Fund Dander.. please co 1001 s al
eauty. abate debt or raga knob. We ere WWI, lfad irneelmers as do not Ida on a 1.1g0 669.3900, or in swing to P.O. Box 2209. Omaha. NE 68103, or by email at
Please renewend statement caready. If you drape. with any transaction or rl Mere are any area saunas moron?* a tie Krona Stock Malt. Thowlues done kr trade /amts diedeenrkes&105Mentrade.COm The Mdrinaton °entrained in your sawn shamed shall
ends or omissions. Meuse nobly a Client Services repieSeratillry a yell local blind, voce. as are Sated 'sea dirtied lion ryas methods iicksdrog, but net killed Ix independent be Wane upon you rf you do net WWI etbn sixty leOldays for any transfer ci lugs stage
reel as 10 Ames:rade Ortareg. Inc. in wmrg worm ten (10) days of yea recta ot the eaum- ats. to tamaam's not =eh. ander rid pony tender oars tot hat boon prthad by to Andabon E, ouch as ATM and pont of-sale :recedes, debit transactions, area dm:am,
statement Any ofei statements met you hare made to us shale be COnforMed in voting The asp maragorroy athwidrato. and spread each down a by a thrdpaty tcract mahout and wither/malt WO Must hear from you no later than 60 days arta we seN Kai me PEST
statement will anonym beconsidered concloire ascendent wrIcatim by ID Matra*. Values may nal Maths canal palate pke, statement on whets the error or problem appeared,
actual rata ameba reakal oxn lopeason tan ostenahad value catd be estatracid (I) Tel es yea rend and account merger
Please nary us promptly (deny charges in yea anted irformthon. TronlathoM red0C106 On trough test methods. ate 'dual/ may be reflected as NOnlryeed (NP) For addita deal (2) Dosage the error or die transfer you aro unsure abOtdk and explan as dearly as you can
your report wit be conclanory downed acoxato unless you noel,/ TO Amearadoimadutery. /mama eadmen kr Nth.Stamtaid Ames. pcm° arta Gent Scent There nasals why you bolero n is an error or ally you need mete inlormabon.
and othevel unclothe SIPC. (3) Tell us Pie dollar amount of the wattlederror.
Account Protection: Deposits held by TO Sank. N.A. and TD Bank USA. N.A. are insured by Wo wilt invested° your complain and wlil <arca any error promptly. II we rake more Man ID
the FDIC Covered by SIPC) up 10 5250.000. LIMIS ale per tretOunl OsnOrta per Aram Rao Spurt= CARS-) Prong: The makes iota kr PAS warms ha ban Maned. business rays to 00 Iris. we wit creel your aectut for the amount yOu think is in 'nor. sO that
iniblutlat TO learn more eboul FDIC Coverage go to we've idcga. Searlded. indudng ba) e. hem cathdon makes or eta harder. Mums The moray al Pe Pea is net youwit have the used the money dunng the tme t takes us tocompete our investgata.
mutual fund, held in your ErOldwage Account are a1 deposits Or 001gallene Of. Of curanle01 to meta vado and welded TO Poottrado W I pree Ore MS pcomn.tiarg ate
guaranteed by. any bank, aro net dOltinsised. and involve investment nag. includng cens4orman both to qua): and undetyng cm* gusty. The SAS rota is curronly
posstle loss of princpal. TD Amerada is a member ol the Securities Inroad Pro:omen togabnCing a lick of salty and. tea wok Mee an tie no myna Mal sash worriesan
Corporation (SIPC'). which prefects seams customers of ns northers up to 5500.000 he sobunder one mato. caxlicro. Add MO 07a4
(Madding 5250.000 ler daime for cash). Explanatory brochure is available on request at
REGULATORY DISCLOSURES
wards*w a.
AcIdthendly. TO Anieritrade provides Beth Cleat 5149.5 elan worth 01 drolectlon for AI transageons aro alma to Ii) me constitution. Nes, regulatiens customs and usages
securities and $2 mlb en Of prOdelKon for 089h tlYtugh SupOleMental average provided by d the exchange of frorken. and its dearroneuse. it any. en Mich such Lrointatlens are
London insurers. e E c x r ocuted: federal lass. inducing me &dunned A in N of 1933 and the S k a o u c a e nd s SDNY_GM_00012051
• was
"nip °E NFIR M
EFTA_00122702
EFTA01268181

Statement Reporting Period:
1D Ameritrade
08/01/18 - 08/31/18
800-669-3900 Statement for Account # 867-730320
TD AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TD AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTF1S STE 9-3
PO BOX 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Amen:rade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $3,425,000.94 ($3,425,000.94) $ -
Insrd Dep Acct (IDA) 5,280,333.30 814,693.58 4,465,639.72 548.1% 0.50%
Money Market
Short Balance Stocks
Stocks 1,617,500.00 2,720,170.00 (1,102,670.00) (40.5)% 60,000.00 3.7%
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
76.6%
Total $9897,833.30 $6,959.864.52 ($62931.22) (0.9)% S60.000.00 0.9°.
Margin Equity 100.0%
Cash Activity Summary Income & Ex .ense Summa Performance Summary
Non
Current YTD Reportable YTD
Reportable
Opening Balance $3,425,000.94 $ - Income Cost Basis As Of - 08/31/18" $2,593,861.27
Securities Purchased (4,069,779.45) Dividends $ - $56,767.60 Unrealized Gains
Securities Sold 1,038,530.22 6,930,216.50 Interest 0.95 Unrealized Losses (976,361.27)
Funds Deposited Other Funds Deposited/(Disbursed)m
Funds Disbursed Expense Income/(Expense)n 56,768.55
Income 56,768.55 Interest Securities Received/(Delivered)"° 0.00
Expense Fees •To view realized gains and losses for your account, login at
envw.tdametitrade.com and visit My Account > Galn/Loss.
Other (4,463,531.16) (2,917,205.60) Other (3,827.81)
Closing Balance $0.00 $0.00 Net $0.00 $0.00 $52,940.74
SDNY_GM_00012052
CONFIDENTIAL
page 1 of 4
EFTA_001 22703
EFTA01268182

Statement for Account # 867-730320
08 01 18 - 08/31/18
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer $ 0.04 $ 0.04
Subtotal 0.04 0.04
TOTAL 0.04 0.04
Income Summary Detail'
Description Current Year to Date
Ordinary Dividends $ 0.00 $ 17,767.60
Interest Income Credit Balance 0.00 0.95
Qualified Dividends 0.00 39,000.00
IDA Interest 2.108.52 3,383.85
'This section displays current and year to date taxation values for U.S account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reponable in a previous tax year (spillover dividends). The year to date feuds will accurately reflect your cumuiative amount for the year.
Account Positions
Symbol! Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
GENERAL ELECTRIC CO GE 125,000 $ 12.94 $1,617,500.00 10/20/17 $ 2,593,861.27 $ 20.75 $ (976,361.27) $ 60,000.00 3.7%
COM
Total Stocks $1,617,500.00 $2,593,861.27 $(976,361.27) $60,000.00 3.7%
Total Margin Account $1,617,500.00 $2,593.861.27 S(976,361.27) $60,000.00 3.7%
Online Cash Services Transaction Detail
Category Transaction Date Description Amount
CREDITS
Electronic Transfer 08/09/2018 Courtesy Adjustment $ 0.04
Subtotal 0.04
TOTAL 0.04
CONFIDENTIAL SDNY_GM_00012053
page 2 of 4
EFTA_00122704
EFTA01268183

Statement for Account # 867-730320
08/01/18 - 08/31/18
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
Opening Balance $3,425,000.94
08101/18 08/01/18 Margin Journal - Other PURCHASE FDIC INSURED $ 0.00 $ (3.425,000.94) 0.00
DEPOSIT ACCOUNT
08109/18 08/09/18 Margin Journal - Other Courtesy Adjustment 0.00 0.04 0.04
08108/18 08/10/18 Margin Sell - Securities Sold ALPS ETF TRUST AMLP 4.133- 11.305 46716.52 46.71656
ALERIAN MLP ETF
Commission/Fee 6.00
Regulatory Fee 1.05
08108/18 08/10/18 Margin Sell - Securities Sold ALPS ETF TRUST AMLP 18.867- 11.301 213.210.95 259,927.51
ALERIAN MLP ETF
Regulatory Fee 5.02
08108/18 08/10/18 Margin Sell - Securities Sold ALPS ETF TRUST AMLP 20.000- 11.30 225.988.68 485.916.19
ALERIAN MLP ETF
Commission/Fee 6.00
Regulatory Fee 5.32
08108/18 08/10/18 Margin Sell - Securities Sold SANGAMO THERAPEUTICS INC SGMO 10.000- 13.805 138.041.02 623,957.21
COM
Commission(Fee 6.00
Regulatory Fee 2.98
08/08/18 08/10/18 Margin Sell - Securities Sold SANGAMO THERAPEUTICS INC SGMO 10.000- 13.855 138541.01 762.498.22
COM
Commission/Fee 6.00
Regulatory Fee 2.99
08108/18 08/10/18 Margin Sell - Securities Sold SANGAMO THERAPEUTICS INC SGMO 10.000- 13.805 138.041.02 900,539.24
COM
Commission/Fee 6.00
Regulatory Fee 2.98
08108/18 08/10/18 Margin Sell - Securities Sold SANGAMO THERAPEUTICS INC SGMO 10.000- 13.80 137.991.02 1,038530.26
COM
Commission/Fee 6.00
Regulatory Fee 2.98
08/10/18 08/10/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (1.038,530.26) 0.00
DEPOSIT ACCOUNT
Closing Balance $ 0.00
'Flat Cash Activity totals. refer to the Cash Activity Summary on page one of your statement.
SDNY_GM_00012054
CONFIDENTIAL
page 3 of 4
EFTA (()122705
EFTA01268184

Statement for Account # 867-730320
08 01 18 - 08 31 18
Insured De. osit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
08/01/18 $ 4,239,694.52 9 0.4989 $ 521.50 $ 521.50 $ -
08/10/18 5,278,224.78 22 0.4989 1,587.02 2,108.52 2,108.52
Total Interest Income $2108.52
Insured De. osit Account Active
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $814,693.58
08/01/18 08/01/18 Received FDIC INSURED DEPOSIT ACCOUNT $ 247.500.0O 1.062.193.58
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
08/01/18 08/01/18 Received FDIC INSURED DEPOSIT ACCOUNT 3.177.500.94 4.239.694.52
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
08/10/18 08/10/18 Received FDIC INSURED DEPOSIT ACCOUNT 247.500.0O 4,487,194.52
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
08/10/18 08/10/18 Received FDIC INSURED DEPOSIT ACCOUNT 791,03026 5,278,224.78
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
08/31/18 08/31/18 Received Interest: Insured 1.793.94 5,280,018.72
Deposit Account Bank USA
08/31/18 08/31/18 Received Interest: Insured 104.86 5,280,123.58
Deposit Account Bank NA
08/31/18 08/31/18 Received Interest: Insured 104.86 5,280,228.44
Deposit Account Bank USA
08/31/18 08/31/18 Received Interest: Insured 104.86 5,280,333.30
Deposit Account Bank NA
Closing Balance $5,280,333.30
TD Bank NA $247.604.86
TD Bank USA NA $4,785,123.58
US Bank NA $247,604.86
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by one or more banks ('Program Banke). Two of the Program Banks are TD Bank. N.A. and
TD Bank USA. NA. both affiliates of TD Arnenuade. The IDA balances are not covered by the Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
SDNY_GM_00012055
CONFIDENTIAL
page 4 o14
EFTA_00I 22706
EFTA01268185

Amedtrade PO BOX 2577
OMAHA NE 68103-2577
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS. VI 00802-1348
CONFIDENTIAL SDNY_GM_00012056
EFTA_00 122707
EFTA01268186

Terms and Conditions
STATEMENT GUIDE
IL wade provides marbly Portiktio Flamm lor aocoums tare away and quanerly noon the von or a brokerage insolvency, a Client may refeintiMOunts due IrOM the Munn For an investor brochure Mai incaxbs informabon desabng FINRA's Pntlic Desclasuro
lc mad 3CCOUMS 54I5 assets.. in ~WY and ma SIPC. SiXolismental ø,0r390 a pad out dier Ma Innbo and Program. Pease contact FINRAat 800289.9999 Or www.firwang.
Periled. Summery: Track8 Current Maxi 01 your 000010 as 01 the Mont dale and SIPC payouts and man such coverage each clan is limited to a ccinbrod return ot
compares n to In prior nbunlh.8 The easel illaXatiOn Monet yOur pent010 dinenniealiOn by 5152 Milan horn a trustee. SIPC and London insurers The TO Anted:facie Supplenlented The interest rate ~sal tor TO Amertrade Cash is taken from Me appicalde imerost rate ter ler
invesimert type coverage has an aggregate Ind al 5500 ~Ion ova at cum:mars. Tera coley provides the Market Value Palace m Me TO Amer/redoCash. as Ol the Statement nosing dale Simple
Overage loitering brokerage insohmcy and does net noted against lea in mandl vete merest is rand salt/ based on the interestrate ter applicable toodds days balance.
Maple dloCateres under 5% mg be grouped into triocategory a tinor In mo pee chart. Margin mo mourned
Easy - Total Amount ElluilyilT0161LOng Me girvable Value • Tidal Shan Value) Financial Statement Nceinciatton: The stammers eI hnancial condmon lor TO Monad* es
An investment n a money nand lona IS net Mauled Or 9.18~d by the Federal ~table twee a year and may be Wand al no cost via the interned al
Activity Summary: Tne opening and dosing cash balances are reconclea here ler yore ouch Depots Insurance Corporabon ICING, a any other gwororrat agency Although Ihe nem....‘wnoktrnanitadocominnanciamaromonumm.
reference. Al account actrinty is summit.] lor be current paled and year to date. lads seek to Omsave the val. 01 yea ~ailment al 51 00 pa Maio 4 it ~nab 10
Income a Expense Summary Men4RAs only): This section dataos the income ave ogionso lOse money by investing in a money meal brd. Dinderdi we decayed dirty ant Option Assignment Mi snort *quay Opb011 pcsncns and some index option poubons are
totalt from the Affinity Sanitary and Classifies the lax treatment pactleinnestod monthly. Tho praecox *mans this ard Sw imconart Mammon_ art/tabu lot essignrneM &MOM assignment fleeces for Oa" or noon options are randomly
Retirement AccooM Summary (IRAs only): Renee the IRS regulated beam:eons for the Read the prOspedv8 Carehiltr Penn Wading. 140n-depOsil investment herd by your alocaled among allchants' she posoons br an automated procedee.
arran and akt years IRS Fenn 5498 lair market value is based Cr. to °uncoil value as et trokordealer aro NOT FDIC INSURED/NOT BANK GUARANTEED? MAY LOSE VALUE.
December 31 eI to pranous year tad ml to furnished lotto Internal Revenue Same, Free Credit Balances (Rule Ifictad II 3): Under me non protection ans, we may use frog
l P as o s r o k s n i t m or a y n o n ur S f u u m tu m re a m ry o : s M tm on o it m or s y t o ra u t r e a g n y n . ual po(on pedamanee en Me unedited gains and c T a h n e t b o al M an a ce d i a n n y ] e o a n r b y a o n u k r o 0 rd ~ e 1 r. an a d c e b tu e r p il r o O c r e s e h d a s re r s o e tu t n yi d da l e m y o a n m ey u m xu a r ll e e e t s m m at o e u ., n la t n o c r l O on M d B e r b n a a la rd n . c es n yOur account n the eidinne Cane el ow Minna which are payable 10 Mu
Account Positnans: View you rnestrnonis al mo current Mirka vaho and corrparo the comma remitted oytu
coal 10 me unrealized gains and losses n your conch) Original cost is seamed using the Margin Accounts (Regulation I): you have a margin acorns au report a a combnaton of
M firm un l n ir r e o l e o s u tim l ( a F t I e F d O i ) r m m o e s t t h m o o d n . t w i h n e co n m a e ss 2 u a m n e d s m av e e r r a u g st e s c h a a s r t e s p > e d r u s s h e a l r e a r a e r e th o d s a e p a yo y u e d cu r fo ch r e y e o e u 0 r T ta a x x n ~ a r d i a n r g g : n o Th x e r p p l e a n -c ti o la m b i t l a IR l i S s n J a e l a g a la x n a a i d s m in e c n lu ' d e Y s o u d w a it b re t r a e k c e o F n e . n n cl a 11 d : e 99 n f d a k r c e a v p e ia l l r Y is O k u s r m an a d rg i a n a n c o t t O s ti u n m t a a r c d t a o r s p a e ll c i i n a v l e m s e to m rs o . r a A n d c u Ø m Ø ro ot t " a t a T ra th c e in g m o k n s m *s a u rg m in m p e o d se w s i e n d e m ll a io rg n i a n l
M isl c e N id u e tt r A It, n , n *d *: e a A l p l M urc o h o as r e " a da ci t M e i l s y s is h d ow e n a t d or d a e n n I i d e e d a . l t a io i n n o i t n y o O u d r e h O o r ld de id r, P an e d id r e e l) a . eded n Irre « m I in t e o . N re a ll t e e c n ta a l a a n n e e e n . : c a o n : d p s a a n l t e t s a C dc o o n o e n d s » Some Doran are abject to reclassfarkin which d tr o a c c u in m g e i n s t b a y m c i o a n b t l a e c t i i n n g M u e s a m l I o l r e o n n u r m ek be d r is 4 c 1 lo 0 s 0 u 0 r 0 e p d a o g c e u m w e o n o t l Y yo o u u r m el a a y te m ob e ta n i t n a copy ce tas
Ø a O d d T s a r e n s a . t l b i i d n n s l . e i t g e d a . C a b C P : s m a a a o s n o n t h r m b t a i S a n n r l e g a e s r n p a v S c o c ic e a r t t i e . o i t n t s n l g i T s n p a r t a o I d M r n t e o u : d C a r . e l o n l e O n d le f n i u c r m t d e n d y g n o u c m r h e e C e n c a A e k s c C . h c d u o m o t u e a n n l n t : t r a n a c g o a d e w r e m d s a e a y t n a n n ' t m d n t u o A n a o T n s n e M e l l n e n a o d e c O w t m r f e m h e fl y M n o . m a e d r l a e . C l e l l i e s a a te l r t e e d d r i n m d y o d i n a n t t g h o ~ ~ C c s o o M y u n s a n c t e ix r B d t e d e a d s a m in l b e y t C i e a e C o x n s o r O d t e n D I a e a a m t t y m a lI e s : n , C : l e e t m E a d n n e P m i M O T n m o R e a m M A n I m E d D n D o e p t r n a r a I a e n s D n t o n e d r d A a d a m a s n d ta a t r w a i c s d a e ~ e p d e e n n i d s n o g n n C e a O t r i d I n E o p C C C r o C i a r r e E d y b P o a s C c s E i I c l R A a a T e E a t a i n D e t t e B M ~ r B s b ' a i S y d n * e a n o d e r i r o P W f s o e x n a r c e a e e y a c r t i m e g t u n e n a e t c d s n n a o g t s n m c h l o i o s t a m i p u r n rk a c p c O e h y e y t m r n s . d w s . . e . e a N a c n r t d h t i a . o F e a I n m s l n n o . g l w e 3 o W e 0 r o ( o 0 C S d r 5 O E e d p 0 M e C e o 5 p d a s . R O l t i e n T n u n r g O e s l e n a s A C t s n O i r a 6 d m f n i l 0 t a a a y a 6 n a r n e a t r o d n l n e C v o p t d i e e a o O n 6 r r ls t t i 0 n s e h o 7 s r a d e ) m : h t i f s I o l a . n c u W y l C o s n w t s o e t r i a m e n a a m g e n a v e n S c e M n d r t c t e c c o u U m o l m i v r o r i e o l d n s ie n d t o i a S u s n n e I e i c t s s n q o o u ' m l i s s n e it . * y e r M , T r o o l a O e a r r r l d k r m a k e e e t n e r r l o a C d I e r b t o t I a a o r t t e i t n . p i t n 0 h e n g e 0 r
Otto Cash Services Summary: Crodt ard debt transrbon tows tor to arrom statement Margin aid Options Account Agreements: Promp,/ adm o ID Amenlrade n twang ot oxecuraon x winvidarnatradecom A mitten copy is ovalaga upad rawest.
regaled MOW eve summarized. IMMtbal atmeaCtOrili ere rot abed. any dynga n your invostmem ctuxuats a enareal stuaban as they wain to your
margin or Otilials accouni agreements. A summery et Ornmissions and <Integer, incurred H Is our policy. Moon Pent orders to the contrary, to select brokers, dealers. and market
'Ovate rounding adustments. tho «sement decals may not eØ the stamentotals. tam the execution eI oceans imam:bons is avalabb. makers based On the Why to proud, 5051 etecutlon and the halery ot seebrig ace
tainted Annual Income and Esandeed Annual YNO values tue based upon the number a improvementcad marina odors. Pnco mammon°, avandloirder ammo market condlions,
shards oared or carom value balance az Woo stalemom dale ard the most ream emden Omni Mats Felon: The males values el manna hue bean Waned I wake Korn and weregular,/ mentor examen to lest In :Gan man...omen d malable.
rate or GM Pond ~Ord crxittlei ann. ad Other idepasta" eons salve are based Co Me dosing ace me
man band me bid ad slug From a ether robot, t m rend oluoa selde bon a Tied, COMirmillOnt (Rule 100-10):MI conlrmalions are trOMMi960 On in landhon dale
GENERAL INFORMATION ~aeon wen> OM indedeliklent sOsee. Me acuity is tutted to tieing mlected
Monroe:1OAI icludxns an your catido noel are Mann "9"" noltitlen add Tax»: Tranmedona in foreign scour (incindn9 tertian company ADM apt Iran in the
ID M,enlrade does not Fronde legal or lax acMce. Please consult your legal ~six or lax no darn guarantee to seamy ct ay stomas aces. kbigage backed postaa air blued U.S,) ma/ include vexes and loos charms, by to foreign matted Of governments, shah may
erCeOuNaral when necessary. A8 8 darned inekeby create. Mane COMOMIMS May be rang are ~nil Nine erd Me twat mewl eke Pandit repal .sluseion may noe be Nibbled in the price Ol the security or charged as an ideile dall sne item
tended Ku dually 00111roland bansattion veittlealMounDOSte. mpto r I mac promo:h. The seaman men la Coln= of Omosts (CDs) is germ*
Aqua an the dud nuke me, be debet Iren the ~Me Dn Asbnrant10% Newby Peaty Net~ don: A 000y of the TO Amenran Piney POICY is available el
For ID Amm-oado nsontioral oleos. your advisor him is separate from and not althated was may malt tan to sale el a CD Per to many. Bands man Fred Wen Socurtes wade wwwdamairadocom
TO Artianracta. Inc. a TO Arnxtrado Cleaned Inc.. and oath him is not responstile la the deaconry Man cowry scones and darn ado en a Saud oxchrige. Rama. may traM n me
prOOXIs and 'ernes nine orher. OTC Kim the count«, market and Kinder( loudly inn nOt and la lw »seil PM Postpipa Caaabb Semnikre: The elocabon or pOtba, 'Memnon; or calls it dane runga prowls Many
to nanny. Thea», el bada pia to nannyma!~ a al.:matrix/pal system. A ~crown ol the proccdses ter Sono sambas is aVallibl. On to rebus a ham
Accuracy or Reports: II you flnd any errors or omissions In your account statement you copies are Mantle Man («fall.
Mould immodialery call us et the ntenbei listed on page one 01 your statement. You Non Standard Amen (MAI aø nocaly innatinass n area pancluson program saunas
Mould also contact our Clearing rem, TD Amentrads Clearing, Inc. al 800469-3900. ~sews Imioalablityccmpancm. co red IY.1210neasrnor. wogs,. cownadty pods. prune In case ol errors or glaslem LIMA Our Eleannie Fund Thunders plead CO lad al
eguty. abate debt o hedge Ø. NSB me Data Maud irmalmeas ad do not Pale a a 1803 668.3900, or in snag to P.O. Box 2209. Omaha. NE 68103. or by email al
Please renew um statanam careitily. It you *lasagna win any transaction. or il there are any mend sown of. @change a tat Nasdaq Stock Mika The clues ~ant« mane mesh.ris diernervialts@XIMenarintem The ~melon <Oneida in your mane statement shall
aids or omissions. Meuse redly a Client SercesrepresenInMo yaw lael ball alto. as ere ~wed taltid cleM0 itim ennui ~hods nickdro. OW net tinned 10 independent be b.ndng upon you it you de not dogrel wthn sixty Inndays lor any nandor or lutos sanxt
wol as ID Amairado Cleareg. Inc. in wmrg mho+ on (10) days et yaw rocom ot this appraisals to progans rat mum. siva trod pinywider alas tut harp tool craned by o Ronlabon E. such as ATM and ave-resale traralets debit transactions, airen i5;1551115,
amtamen. Any ore/ statements that you NO? Erode to vi shard be cOnrimaed in voting The to madame& av rat:candor spancr cl each pagan a b/ a thrdinly vender nation and wind/Mint We Must hew from you ro later Man 60 dare after we Len >du Me FEST
statement sill Othennie beconsidered connnive bielMaxleM erasion by ID knaodde. Values me/ ra Mk« the Maned nrclutne MCC statomont en which the error or problem mooned.
and ~id due a be malted oxen Iquancn P an onnumd value canna be estatithod (I) Tall us yOur rente and account rune(
Please 'Kitty uB promptb ol any charges in von conned information. Trareaelbrandetted On Ø0h One nononn. Me odualm mar be reheated as Nfinaited (NV) For adellimd decal (2) Ibsen° the error ot Ito monnar you am unsure a50411, and taxman as cream( as you can
your Copan MI be conclusively dimmed accurate unless you nobly TO ARCItfitOirnmodiatoly. rofordng ninsuan w Nal.Standarel kse. clean an= Cam Sara These n, snuvas why you tandem ti is an error or why you need axis sniormanon.
are net coaxal unbind RPC, (3) Tell us Me Man 4,10,0JnIel OM sueonete0 error.
Account Protection: Deposits told by TO Bank. N.A. and TD Dark USA. N.A. aro insured by Wo sill Lemnos* your complain and wit correct any error promptly. el we lake more Man ID
The FDIC Ina covered by SIPC) up lei $250.000. Limes ale per acceunl ormerap per Aude Rao Socureca CARS-) Prong: The maltreat= la OAS sauroos hno ban clmnoce business drys io a init. sown coal your amnia or me amount yOu INnk is in ettun. MOW
iindlt4On. TO learn more arkul FDIC coverage go to nvarklicgov. Sealskin. inducing meagre. Korn cmotalm *encamp( On helepangent totem The *away el ene peeing a na you wit have the tro of the mow dunng to Imo t IS= m tecØofo OtifilIVII51931,511.
mulual runde, held in you. Brelionage Accourt are nol damns or 0010aliOna el. Or gambol Ha motel mho a rct oddeb, TD kratrade Ml ~Me MS peolon.takrg into
guaranteed by. any bank. are net FOltinsexed. and invoke investment nes. includng co-6d~ ban to quay ad undoamg ant quay. In MIS rend a airrenly
possde loss ol princoal. TO Ameneade is a member ol Ø &aunts Investor Protochan ~drag Blad 011ialty an. Ma Mot mere an be ro mean that such mynas an
Corporation (51PC'). which protects scam es cmtomers of its mentors up lo 5500.000 to sold wr oast matne cation. OMM Ise0Tna
(nceding $250.000 la claims for cash). Explanatory brochure is available en request al
REGULATORY DISCLOSURES
wsw.alm.01.
Additionally. TO Amnia* dreaded each Mall $149.5 /Milan warn 01 PrOleCtlaa tor MI Emma:bons aro slepet to 0) me conintoon. Mos. regain:ins customs arid usages
securities and 52 mean ol enattlOn or cash trough eupplemenial coverage enOvIOKI by or Me exchange or market. and its clearinghouse. 0 any, on shah such nansecian are
London Insurers c 6 a ccuica ell Imam laws. reu le si p ng o me Secunb f e k s [ A V n r e a l 1933 a & nd A t t o on S e a tsrasa SDNY_GM_0001 2057
oun Ni al* and the
EFI'A_00122708
EFTA01268187

Statement Reporting Period:
1D Ameritrade
09/01/18 - 09/30/18
800.669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTF1S STE 8-3
PO BOX 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD AmedMade Clearing. Inc.. Member SIPC
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $ $ $ -
Insrd Dep Acct (IDA) 5,282,498.28 5,280,333.30 2,164.98 0.50%
Money Market
Stocks
Short Balance
21.1%
Stocks 1,411,250.00 1,617,500.00 (206,250.00) (12.8)% 60,000.00 4.3%
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other IDA
78.9%
Total $6693,748.28 $6,897,833.30 (S204.085.02) (3.0)% S60.000.00 0.9°.
Margin Equity 100.0%
Cash Activity Summa Income & Ex . ense Summa Performance Summary
Non
Current YTD Reportable YID
Reportable
Opening Balance $0.00 $ - Income Cost Basis As Of - 09/30/18" $2,593,861.27
Securities Purchased (4,069,779.45) Dividends $ $56,767.60 Unrealized Gains
Securities Sold 6,930,216.50 Interest 0.95 Unrealized Losses (1,182,611.27)
Funds Deposited Other Funds Deposited/(Disbursed)YM -
Funds Disbursed Expense Income/(Expense)"' 56,768.55
Income 56,768.55 Interest Securities Received/(Delivered)"' 0.00
Expense Fees **To view realized gains and losses for your account, login at
www.tdameritrade.com and visit My Account > Clain/Loss.
Other (2,917,205.60) Other (3,827.81)
Closing Balance $0.00 $0,00 Net $0.00 $0.00 $52,940.74
SDNY_GM_00012058
CONFIDENTIAL
page 1 of 3
EFTA 00122709
EFTA01268188

Statement for Account # 867-730320
09;01/18 - 09/30/18
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer $ 0.04
Subtotal 0.00 0.04
TOTAL 0.00 0.04
Income Summary Detail'
Description Current Year to Date
Ordinary Dividends $ 0.00 $ 17,767.60
Interest Income Credit Balance 0.00 0.95
Qualified Dividends 0.00 39,000.00
IDA Interest 2164.98 5.548.83
*This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a preybous tax year (spllover db.:Semis). The year to date feuds will accuratehi reflect your cumuiative amount for the year.
Account Positions
Symbol! Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
GENERAL ELECTRIC CO GE 125,000 $ 11.29 $1,411,250.00 10/20/17 $ 2,593,861.27 $ 20.75 $ (1,182,611.27) $ 60,000.00 4.3%
COM
Total Stocks $1,411,250.00 $2,593,861.27 $(1,182,611.27) $60,000.00 4.3%
Total Margin Account $1,411,250.00 $2,593.861.27 $(1,182,611.27) $60,000.00 4.3%
Insured De . osit Account Interest Credited
Begin Number Interest Interest MID tiro
Date Balance of Days Rate Accrued Accrued PAID
09/01/18 $ 5,280,333.30 30 3.4989 $ 2,164.99 $ 2,164.99 $ 2,164.99
Total Interest Income $2164.99
SDNY_GM_00012059
CONFIDENTIAL
page 2 of 3
EFTA_00 I 227 I0
EFTA01268189

Statement for Account # 867-730320
09 01 18 - 09 30 18
Insured De • osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $5,280,333.30
09/28/18 09/28/18 Received Interest: Insured S 1,843.63 5,282,176.93
Deposit Account Bank USA
09/28/18 09/28/18 Received Interest: Insured 16.91 5,282,193.84
Deposit Account Bank NA
09/28/18 09/28/18 Received Interest: Insured 101.48 5,282,295.32
Deposit Account Bank NA
09/28/18 09/28/18 Received Interest: Insured 101.48 5,282,396.80
Deposit Account Bank USA
09/28/18 09/28/18 Received Interest: Insured 101.48 5,282,498.28
Deposit Account Bank NA
Closing Balance $5,282,498.28
TD Bank NA $247,601.48
TD Bank USA NA $4,539,778.41
US Bank NA $247,601.48
Citi Bank NA $247,516.91
E Ole Ins,reo eeposo Account (IDA) balances reflected in your brokerage acceun are FDIC-Insured up to applicable limits and held by one or more banks (Program Banks'). Two of the Program Banks are TD flank. N.A. and
TD Bank LISA. NA. both affiliates of TD Amenuade. The IDA balances are not covered by the Secumies I/Nestor Protection Corporation (SIPC) protection applicable to your brokerage account.
SDNY_GM_0001 2060
CONFIDENTIAL
page 3 of 3
EFTA_00122711
EFTA01268190

PO BOX 2577
OMAHA NE 68103-2577
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS. VI 00802-1348
CONFIDENTIAL SDNY_GM_00012061
EFTA 00122712
EFTA01268191

Terms and Conditions
STATEMENT GUIDE
TL: tr.risacb wande: moren. Pont° Moors lor aocoums tum acverty and quanedy report h Me tri Ola beknote ineohency. a dril tiby rether Wants Out KOM the Must) For an investor brochure bal enctlas informabon desating FINAM Pits Desclasuro
,o• usus* accounts tam isel:.' In b~uPtcY and mon SIPC. SEcansental oovorago is pad out dier mo trustee and ~rem. pleese contact FINFIA at 030-289.9299 or wenefirweag.
%Molk Summary: Track8 Ine CurrOnt Ma d sou p00010 es Of Me repOrt dele end SIPC payouls ard uncer such cousrage each den es limiled to a erend return ot
~para Il to mo prior ~Mia The :esel etteren Moeke yOur EMOE divenideation by 5152 tbr trom e ~Slee. SIPC and London intrers The TO Mserikade sidadrental Tbc interest rato ~an tot ro Amertrade Cash s laken hom tho onpaar, emecost rato eer lor
invesvnent type aueros* has an oppropt Urn ol 550) urhon amt au cum:mors. Trix polcy wande: !he ~kei Vet befance n oe TO AmertredeCatth. M 01m e statement donna date Simt/
Geveins lating bidder insohincy enddoos nel proleet foton ba in merkel Mbe ~ren Is acnxd dan/ based on the interestrato ta amict° to oor days Liane,.
Etple aboters under 5% st be grouccd tut mo <memory al torn«' in mo po chan. Mar ot me seambas
Essay - Total Aard ErtutbelT0181 LOM, Mdapinable Vake • Tetal Short Velt) Financial Statement Nontatton: lbo mammae ol 'naneef condor lor TO Meen:rade rs
investment h a money meitel lund is na ineured Or Weranneed by Me Federtd ~labo taco a yen and may be obtentel al nO oost via Me intomen el
ActnIty Summary: Trio opening and cbsing cash blanca wo reconcled here lor dar quid Depte Inwon Corporation (M210 a any *Ma arnarnrrat agoncy Meien Ho hard Winetctrnontradocombnancitimemonintl.
umeesce Al account actmty es searmanzal lor Me Enorm prod and voor to dato_ bit ~k 10 crew« the vat d yOrs mealment et 510 ra Shfre. 4 b peul» 10
Moot a Expert' Sunernary (nadIRM only): Ibis sedan daalt trio inoame ard *Eense lese money by inmeng il a money makel ~d. Drdeeds are decaed daler end °neon AssIgnment: All short equty ogen pontons and same indox oor pontons aro
totak trom We Aait Summary and ~Mrt Oe las IMEMOM. pactremestod morory. !ho praats contans Ms ard oma important normtas ~labo lor assignmeM. Exerede tinignmrt races egt or index °plens ere rendOmly
Rebrement Account Senery ORM only): Runt Ine IAS retatod transaceons for Mc Reed the respect Gereld)/ bede ~ding. NOndeptil invettmente Nal IN your alocated aflang all doms' short pasnone try an aJlomaled °racete.
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*houd immedialety all us el tnt inent' gered on page anti ol your ,trestien. You Non Standard kaas CISM am botdy ~nerts ra droct pancpaton program sauma
Ooit also contact our Clearing ene, TD ~ontrat Clearing, ne. el 8004694900. goalxistms, emir teelt ccmpana. «red ma» morsnat trut,. cosimay acts. prut In Case ol Onaf: Or (postte &Out your Elswerene Fund %neder. please CO Iaat 8 Si
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stareent Am ot statements ansel you here made to us snedd be COntired in wring The to ~mora" as ta. ander go-ca d EM poltan a by a tb«e asy ~da ~out and alhdranels We munt beer trom you ro later Men 60 dan er« we sed etar me FEST
statement all aherviso be conaidered condens: indtedem ~tal by 11) ~Ede. Vete mei nd reilt me Ednel farchase pico. stamt« on white the error or problem appeared.
nol mairi Moe «be maiurd imen lqudaer C an oma] vald coma be esLablohod (I) Tell us yar neme end account nutter
Fletse nart, ie prompt 01 any change* in yar contact information. nette% Met* On Øg1 ~se ~bode. Me Mutt mar be eecd es NOndked (Mrt eer arena deal (2) Doscrbo the error or Me mandar you are unsuro aam ard oxplan as daar/ as you can
your rcpon wil be concbsepalydecomed acaratounloss you nooly TD Amen:fado irrenadatey. toptisp vataion la bbn.Masdant kot. paap ton den Smet new rmasensets • you bare ri is an error or why you nood mcie enlormahon.
re na maal unclaild SIPC (3) Ten us Me ddr onedel of me moederener.
Account Protesten: Depots hald by TO Dank. NA ard TD Dank USA. N.A. aro intrad by Wo nis unempato your °omplant and wil correct any error promptly. fl we lakei more man ID
Ts FDIC (rel COvered by SIPC) up 10 2250.000. Limiet de per aCtOunl onnet» Per Aden limo Scouts eARS—t Promo: Die motet~ Ia MS stomme hme boen ~med. business r's e da Ms. se wil credi your ecocm br re amant yes Mink is n error. E ~
«Sta» TO leern ~re abOul FDIC COverage 90 10 *New ICIC/adv. SeCt~98. indeel® d autet4e. kom rOtakneente or other isdeperdne ~ces The way allee pleng is nol you wil have lbo uso al the rrcnoydunng lbo tmottakos t toean:1~ ourinvesteaton.
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gewantat by. any bank. Ø not FOltenswed. and envoho envestmord nskc, ircludng anterecn bot to eaudly aa undererg art Quay. 11b ARS rand is currenly
posstle loss al print:dal. TD Amanda is a momber ol Ø Scouts Invet« Praatten ~OE e kt el lialty and. esa ~A beman be no ~race~ euneecurtesan
Corporalion (51PC'). wNch presens secunhos ~tomen of ds mentors up lo 5500.000 to sollurder n:~ mat caxlices. OUTD NO 07,14
(ntteding S250.000 lor dans fes cash). Explanatory brochure is available on rapen at
REGULATORY DISCLOSURES
:~Asipc.org.
Addrtionaily. TO Andidlrafte pleind ee eede deal $149.5 millon wet ot proleron tor MI Ensaceons aro utsect to N me con:muon. Na. regulair:ns tien: and ulaan
ideudINS and 52 nellen 01 IXONCIOn br cash tempte SupOlemental allrape pdOvided by d the exchange Or Merkel. and its dearvonouse. il any. On Midi toch benastlens ere
London inert c E a s ccutcd oe total 4 lans. o e u n n c cr h e sin 0 g me Sec m ties A in c t ot 193 o 3 i r an on d d tho t e S n «urt t e .: s S0NY_GM_00012062
EFTA 00122713
EFTA01268192

Statement Reporting Period:
1D Ameritrade
10/01/18 - 10/31/18
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 9-3
PO SOX 2209 ST THOMAS. VI 00802-1348
OMAHA, NE 68103-2209
TD Amer'bade Clearing. Inc.. Member SIPC
Portfolio Summar
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $1.37 $ - $1.37 $ -
Insrd Dep Acct (IDA) 298,404.09 5,282,498.28 (4,984,094.19) (94.4)% 0.30%
Money Market
IDA
Short Balance
19.1%
Stocks 1,262,500.00 1,411,250.00 (148,750.00) (10.5)% Ku:Kat:* 4.8%
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other Stocks
809%
Total $1,560,905.46 $6,693,748.28 ($5.132.842.82) (76.7)% S60.000.00 3.8°.
Margin Equity 100.0%
Cash Activity Summa Income & Ex . ense Summa Performance Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance $ 0.00 $ - Income Cost Basis As Of -10131118" $2,593,861.27
Securities Purchased (4,069,779.45) Dividends $15,000.00 $ $71,767.60 Unrealized Gains
Securities Sold 6,930,216.50 Interest 1.37 2.32 Unrealized Losses (1,331,36 t 27)
Funds Deposited Other Funds Deposited/(Disbursed)''1D (5,000,000.00)
Funds Disbursed (5,000,000.00) (5,000,000.00) Expense Income/(Expense)r° 71,769.92
Income 15,001.37 71,769.92 Interest Securities Received/(Delivered)"° 0.00
Expense Fees **To view realized gains and losses for your account, login at
vnvw.tdametitrade.com and visit My Account > Clain/Loss.
Other 4,985,000.00 2,067,794.40 Other (3,827.81)
Closing Balance $1.37 $1.37 Net $15,001.37 $0.00 $67,942.11
SDNY_GM_00012063
CONFIDENTIAL
page t of 6
EFTA 00122714
EFTA01268193

Statement for Account # 867-730320
10 01 18 - 10/31/18
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer $ - $ 0.04
Subtotal 0.00 0.04
DEBITS
Electronic Transfer $ (5,000,000.00) $ (5,000,000.00)
Subtotal (5,000,000.00) (5,000,000.00)
TOTAL (5,000,000.00) (4,999,999.96)
Income Summa
Descri on Current Year to Date
Ordinary Dividends $ 0.00 $ 17.767.60
Interest Income Credit Balance 1.37 2.32
Qualified Dividends 15,000.00 54.000.00
IDA Interest 905.81 6.454.64
'TVs section displays current and year to date taxation values for thiS account. The current totals may not equate to the total payments listed on this statement as correal01113 to tax reporting may also be included. These correchons
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date torah will accurately reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
GENERAL ELECTRIC CO GE 125,000 $ 10.10 $1,262,500.00 10/20/17 $ 2,593,861.27 $ 20.75 $ (1,331,361.27) $ 60,000.00 4.8%
COM
Total Stocks $1,262,500.00 $2,593,861.27 $(O31,381-27) $60,000.00 4.8%
Total Margin Account $1,262,500.00 $2,593.861.27 $(1,331,361.27) $60,000.00 4.8%
Online Cash Services Transaction Detail
Category Transaction Date Description Amount
DEBITS
Electronic Transfer 10/11/2018 WIRE FUNDS WIRE SENT 10/11/2018 13:13:56 $ (5,000,000.00)
10/15/2018 WIRE RETURNED-FROM 10/11-BNF DETAILS INCORRECT PER BANK 5,000,000.00
CONFIDENTIAL SDNY_GM_00012064
page 2 o16
EFTA_00122715
EFTA01268194

Statement for Account # 867-730320
10/01/18 - 10/31/18
Online Cash Services Transaction Detail
Category Transaction Date Description Amount
DEBITS
10/16/2018 WIRE FUNDS WIRE SENT 10 /16 12018 10:14:00 $ (5.000.000.00)
Subtotal (5.000.000.00)
TOTAL (5,000,000.00)
Account Activit
Trade Settle Acct Transaction! Symbol;
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance $ 0.00
10/11/18 10/11/18 Margin - Funds Disbursed WIRE FUNDS $ 0.00 $ (5.000,000.00) (5.000.000.00)
WIRE SENT 10111/201813:13:56
10/12/18 10/12/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 5.000.000.00 0.00
DEPOSIT ACCOUNT
10/15/18 10/15/18 Margin Journal - Funds Disbursed WIRE RETURNED-FROM 0.00 5.000.000.00 5.000,000.00
1G/11- BNF DETAILS INCORRECT
PER BANK
10/16/18 10/16/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (5.000,000.00) 0.00
DEPOSIT ACCOUNT
10/16/18 10/16/18 Margin - Funds Disbursed WIRE FUNDS 0.00 (5.000,000.00) (5.000.000.00)
WIRE SENT 10116,2018 10:14:00
10/17/18 10/17/18 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 5.000.000.00 0.00
DEPOSIT ACCOUNT
10/25/18 10/25/18 Margin Div/Int - Income GENERAL ELECTRIC CO GE 0.00 15.000.00 15.000.00
COM
Payable: 10125/2018
QUALIFIED DIVIDENDS15000.00
10/25/18 10/25/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (15.000.00) 0.00
DEPOSIT ACCOUNT
10/31/18 10/31/18 Margin Div/Int - Income INTEREST CREDIT 0.00 1.37 1.37
Payable: 10131/2018
Closing Balance $1.37
'Fa Cash Activity totals. refer to the Cash Activity Summary on page one of your statement.
SDNY_GM_00012065
CONFIDENTIAL
page 3 of 6
EFTA 00122716
EFTA01268195

Statement for Account # 867-730320
10 01 18 - 10 31 18
TD Ameritrade Cash Interest Credit/Ex . - nse
Begin Margin Credit Number Interest Interest Interest
Date Balance Balance of Day Rate Debited Credited
10/15/18 $ $ 5,000,000.00 0.01 $ - $ 1.37
Total Interest Income/(Expense) S 0.00 $1.37
Insured De. osit Account Interest Credited
Begin Number Interest Interest MID MTD
Date Balance of Days Rate Accrued Accrued PAID
10/01/18 $ 5,282,498.28 4 0.4989 288 78 $ 288.78 $ -
10/05/18 5,282,498.28 6 0.6481 562.75 851.53
10/11/18 282,498.28 14 0.2996 37.19 888.72
10/25/18 297,498.28 7 0.2996 17.09 905.81 905.81
Total Interest Income $905.81
Insured De. osit Account Active
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $5,282,498.28
10/12/18 10/12/18 Delivered FDIC INSURED DEPOSIT ACCOUNT $ (4,292,498.28) 990,000.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
10/12/18 10/12/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (247.500.00) 742.500.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
10/12/18 10/12/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (247.500.00) 495.000.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
10/12/18 10/12/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (212,501.72) 282.498.28
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
10/16/18 10/16/18 Received FDIC INSURED DEPOSIT ACCOUNT 212,501.72 495.000.00
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/16/18 10/16/18 Received FDIC INSURED DEPOSIT ACCOUNT 247,500.00 742.500.00
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
SDNY_GM_00012066
CONFIDENTIAL
page 4 o16
EFTA_00122717
EFTA01268196

Statement for Account # 867-730320
10 01 18 - 10 31 18
Insured De. osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
10/16/18 10/16/18 Received FDIC INSURED DEPOSIT ACCOUNT 247,500.00 990,000.00
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/16/18 10/16/18 Received FDIC INSURED DEPOSIT ACCOUNT 247.500.00 1,237,500.00
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/16/18 10/16/18 Received FDIC INSURED DEPOSIT ACCOUNT 247.500.0O 1,485,000.00
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/16/18 10/16/18 Received FDIC INSURED DEPOSIT ACCOUNT 3,797,498.28 5,282,498.28
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/17/18 10/17/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (4,292,498.28) 990.000.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
10/17/18 10/17/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (247,500.00) 742.500.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
10/17/18 10/17/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (247,500.00) 495.000.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
10/17/18 10/17/18 Delivered FDIC INSURED DEPOSIT ACCOUNT (212,50112) 282,498.28
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
10/25/18 10/25/18 Received FDIC INSURED DEPOSIT ACCOUNT 15,0001)0 297,498.28
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
10/31/18 10/31/18 Received Interest: Insured 691.94 298,190.22
Deposit Account Bank USA
10/31/18 10/31/18 Received Interest: Insured 39.90 298,230.12
Deposit Account Bank NA
10/31/18 10/31/18 Received Interest: Insured 39.90 298,270.02
Deposit Account Bank NA
SDNY_GM_00012067
CONFIDENTIAL
page 5 o16
EFTA_001227 I 8
EFTA01268197

Statement for Account # 867-730320
10/01/18 - 10/31/18
Insured Deposit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
10/31/18 10/31/18 Received Interest: Insured 46.79 298216.81
Deposit Account Bank USA
10/31/18 10/31/18 Received Interest: Insured 87.28 298.404.09
Deposit Account Bank NA
Closing Balance $298,404.09
TD Bank NA $247,587.28
TD Bank USA NA $50,737.01
US Bank NA $39.90
Citi Bank NA $39.90
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are F DIC-msured up to applicable limits and held by one or more banks (Program Banke). Two of the Program Banks are TD Bank. N.A. and
TD Bank USA. NA.. both affiliates of TD Ammar:Ie. The IDA balances are not covered by the Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
SDNY_GM_00012068
CONFIDENTIAL
page 6 of 6
EFTA 00122719
EFTA01268198

en Ameritrade
PO BOX 2577
OMAHA NE 68103-2577
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS. VI 00802-1348
CONFIDENTIAL SO NY_GM_0001 2069
EFTA_00122720
EFTA01268199

Terms and Conditions
STATEMENT GUIDE
IL /cc ,i.Ø prandes morshy Ponk® Rococo; lor accoums yam actrerty and quanerly topons h Me even Ot a bekoopt insoirency. a dient my realivetern~ts due KOM the Mede P an eico brochure mal nados intonnabon desolang FINRA9 Pit® Cbsclasuro
'a maa.,* accounts wel asselst rit bariedgcY and ma SEC. Seademental covorago is pad out ni th° trustee and Program. clean Contact FINRAM 0304894999 Of wimv.tirinIMO.
Portfolio Summary: DOW Ile Ourrent «Me d >Mto 000010 es Of the repOrt dele and SIPC Dayans ard uncor such canna° each clan es timend to a ccalbrrod return ot
~yes ij to pre prior nionlh.8 The Met ellaagen MOM, yeti( betitel° divergnalion by 3152 malen trom e trustee. SIPC end tonden insmers The TO Antedlrade lopplentental "Uw inwoei rato Loen lor TO Amor/fade Cash is laken hom lbo appicade entecost rato ter lor
inyearnert type coverage bas an aggromue Ma el 550) molton amor ab aistamers. TMs polcy branden the Merkel Mdue baton® n dm TI) AmereadeCarth. M Ot® olate em ebsing date Simple
taverne tollening bcOkaage insehincy ord does nel pond (Molmt lese in mand val» irteron r. xcnx.t1 dan/ basod on the interest rato ter amicale toodd. dofs Ulanen
MMO* abcatcres under 5% ES be grouccd enk, trio calegory ol-Omer' in en po chart. Man., ot mo socuribas
Emily - Tott Account EguibriTotal LOng Nagloeit Mbo • Total Short gakte) Finandal Statement Nonlicallon: The mammae ol Eancrol cond~ lor TO Omondado
invomment by a money mtetel lund is net ineured Or pereneed by Me Fedd ~tabla tvice a year and may be obrened al no cast via me intomen el
Actinty Summary: Tim opening and doling cash Manco: am reconcled here lor year clinch Deense Insuranar Corporabon (FOICI er any orrer ~imam agent), veneegn !ho Marice‘writittamontradecomunanciablammonintrn.
re!egeico N acc-zuni acunty es sunnyanzed lor me curieus pand and year to dato_ fund: Beek 10 petsen the valla d yeti irmealment el 51 00 p« Share. 4 b posebb 10
inca® 4. Exponeer Summary inenarts only): Ibis sedan dolrob the inoome ard *mensa Mee morty by invoegen in a money makel kind. DMOrleds are nadeed day end OptIon Marmert!: Al alten armry odeon pasnone and some indom ophan postbons aro
totall trem We AttisAy Sommen and demirin the lex IrealMent. pactromestod moridy. TM pn:cpcdus contans Oss ard pØ impanart domwaas name ier ~ramen' Emmen anignmenl naten /Or evey sa «Wen opeens are fendOmly
Reen:ment Account ~uni (IRA, orry): Acnes Irr IAS roanotod transaceons for Mc Reed the eminente Carehiltr berore invygng. Non depotril invedments held te your alocaled aflang all cbantS shon postraa by an attl0Mated proceekra.
turart ard aa >mam IRS FOMY 5498 Fair manrat val® is baad on te weed robe aa of boker dealer are NOT FDIC NSURED f NOT BANK GUN:LONTEN)? MAY LOSE VALDE.
December 31 d en poreus yoar ard en bo turn:had to en Mem) Revenue Same. Free Credit Barman (Rul 15c34 A 3): Under me dom promotion (Mos, we may uso tree
l ~ o o ss n ` n : b e r t y .® ou r S a u l m lur m o a ru ry e :M st o rn n o it w or s y t o ra u t r e a g n y. n al polk® perlormanee and Pm imealized gans end c T a A n B t b e al a liq n u s i e d a n tc y d a o n b y a o n u k r o 0 r 0 de 0 r 9 , a 1 n a d c c M C a u r p il m O o r c S ie h d a s r m e u d r m yo e u l r l o ~ y n a e m t e M rec e t r i k e e o l s rn m d o iM m il e n su t n o d r b on e d d i a l b n e k la t n . de ir yOur *Meun n the editen case ol out boem® which are perable to tau
Account Poelbone: New you mosemoms l en current marka vabo and corrparo the omina) ambt® bynu
ost to me imealoed peins and loeres n your porgol0 Original coat ia esogned usng Ibe Marge Accounts (llegulattonT):11you have a magen acoauni. ma report es a combnawn ol
i e r r a at m lb . r o in t c -o ol u im t ( a F l I e F d O n I e m s e t l m no o c r l. d n e e t n e o n a m a e a 2 n m an a d t E Om m a o na e l M c a as m t s p > e d r u s S h e a l r e e i a e r e lb 0 d 5 in 0 g y a o y u e p d jr l c o h r e y s o e u d r s Ta u s r R cp O a X r W eg In n g : o Th x e r p p l e a n -c b e it ) m e b p a E l S e n w e h l a ir o la w r n OO ts M C M r ( i V d 4 u d W os o W w a il n M t O re M n F . e rm d r 1 o 0 l 3 in 9 d lo s r . M ca n p a ® l n YO ik U s r " a t n ra d i r n s a no a t m :n « u a l® rd l a o r s a p l e l i l n a v e m s e to m rs o . r a A r d c o o m m p m le o t° m le « t o T t r a th d e n g ri s o k n s m as a :o a m n b p la o d se w s i e lt d , d m l o io rg n e e n l
m AC e C re O n un ® t A Il e te li d °k ly ie : s A t m l W oc o h o t d e < n e d c e l l M e e ly M ia d a e m er b t/ r d a e n in a e d n e . m te e le n d o i r n y o d g a a t e h O ui r z d in e g r, a se r d d ® re ) g . enen n the M {.* t * o . l r a e n ls l z e t o Ø a . c ri ater a e n c d h w un ie t l s a b r n o m c o e n e s rb . l. SOM 0,801.03 we anten lo reclassikelOn ishkri b do e c d u o m e e i n s t b ° y M o a on d m e e t i i n n g F u ee s e m l a elle rg r r n i r lm ek b e d . is ts d l o e s d u o re n p d a o g c e u ~ m o en t t Y p O u u t e sl n e t t / e ta en a t n . a copy d ms
m Ø O e c T e b m n s . d a l « i n s ® n D . t g • a a , C p t a P a a s i a n s t * o n h v m d b a i S a n r r d e l g e a a r f r v S o c 0 i r l e c ) i n o e . t n t n s le g s T m w p r e o a s n n m b o t: o d a C r . t e o i n O l n l d e f n i c u r t m d D e n d e y g t n e a d i c m l: h e e G e t c a A e k a c n . n c d d o m e u ® b n a i t n t l r A p a c c d a e t e r u n d e n r a e y w n n s e d b a t r b A a a o n T s s n M t e a n n a t o e / d o k m e t n m e s m n M o . t a a d a r l e e O l e ', m s d r t e a ie e d d r i n m ø s a d n i a n it t g o o ~ C c n co a o e a r a d p e r t a d e B t n e ® / a y d s a c e n l b : d P y C e t b o C o d m ~ n O t m m I a a h n y l e l a t k d , m j e t t m r a d E m e , c O i l u T e n m R t i k ) m a E ~ n 1 E e m d D l D o ~ e a n m E 1 a ® e 1 r r r ) d t e m M d a n c a l d a = e ta a p t n s r r c o ® o x M b o a e r i i s d m n g n m C r a o d a n i l t M i a p G C o m o C r n e b E M b o P b o : C ® p I E a : P E * i E a z te m e D t e o d t r e e i s l t l d r t i O d p d A d r o n y a n i n l e e d t r l a o P t o e h N c a r c e c d e y e d m e e e n l e n e e c t n s d n a c g t s u m c h l r o o a a e m p f r n c k a p c e h O y y a e m r s l m d s g . e a e r O n a e b r d t h o . r F o d a n M s lo e r . i l w a ® s o W d r e ( o a C S d r t O E t e d p e M C e m o n a s p . o t l t e e u T r n r e q O b s e a « e t A ( d M e O m o 6 r r a m e 0 a t d r 6 y t n a e r r a e n r e a n d e C a n d p o t e x a i a O 6 n d t l 0 e s s n e 7 ° r s r d s ) m s : i i o n ' I s ) a n u c M y C l n s o r o e o u t a m a m n e a e p n * a m e s c r l n n d c e r s c o c a a u ~ u t r m i s m o b d n m n i o e u i a n s s o n ° a t i r s d c n e a e l m u m l t s o ® . b r M * T r o o t a O e o r r d l d d a m A e e e x < T e r ' d O C d I r b t o e t f a o w t n t r t a M p t n e d e t g e n o 0 r
OS. Cash Services Surnmary:Crolt ard de® transmeon totals lor lbo turtom statement algin and Ongans Account Agreements: Pandt/ arEsol0 Amontrade n ~Ina ot oxecuson a: wimv.idarrutradacom A yondencopy is aralade Loco rozpest.
retiOnag EOa lbe summair®. Indhittal bankierene be not anY cnanyo in your investment dmxbros or *namat stuaban as thoy man to your
'Cue te monding actostments. en stermem ~als may nei *qua] S e ideman toltb. ~ cum ai mo a ° m M o a ut n en a o m l o O p u e n e t n a s g D re a e n m sa e n nt c s e d A i s su ~ m ta m b a l y a e . l cOmmissions and charge, neon® m II a es k e o n ur b p e ol s o ® cy . O Ø n n In 1 e l ° a b n ib e to ro p m o r to d e M c b e c te o l n « tr m ary u . g t e o n s e a le n c i t b th r e o k M as a , c d h a , l O e r r s ~ . n ar s d ma e v rt e o n e
Eetwal® Anne/ Intime end Esimated Annual Yield wikten, a e baad upon Ibe nuMber of ernproyement en marde ordas. Pnco noem:mamis avanablouder Dorian nareel condbans.
slums erend or avrom mbo balanse as ot the stalemom dale and lbo rost mant duidend Om« Makel Prime: Irae maket wauw ot scones nake bos Wanen. d ~bb kom and eo regulary monter execumn: to tost lor svir emprommont t ayalatio.
mie Or Cash Pekt ~1004 godtan seriøse ad Oer ~penden( wees Vake am Woed On Ile doleg oe* me
mecn beman mo bd ad arkng paces. ««ber ment. I no raket rakte is matte bom a Trede COMIrmilleint (Rule100-10):MI conlonalions are Stemmige* On Ree InanUraien date
GENERAL INFORMATION opdeden Enk» a Oh« independent »fl. be Emily is tioNed b beng
~Prooi CAP). The slu your peetdo repro are prairded as mond inkmmon ad Toon: Trantdolons in kraan seOurides (indidnO laaien 00^9M0Y ADM Inst Ede in En
ID Omen:rade does not provile legal or las ~oe. Ploos* consult your lagt advaor or lax vu dd qua/2Mo Me aurery dry amuses aces. Itoxpeo bocturd postons ar o Mooi U.8) mar include tams ard loos~ by tin hegn ma!~ er governments. vAlch may
*Meurt/nl Men neCealary. A8 ti anodero inCleby praCt00. "ne COrarenekna May be ~g the meting banco ad ne onaf meen OM Panne Kamt vek eions mey nel be malen in Ine coke ol Ine Meurt Of ~MS Man asclesendern sne item
re0Ortied br uthy InnIrd and kansattion venralm Dorens®. mama/ svs prococcb, The weiday maikel la G:Rhea:as ca Coposts (CDs) n acrocaty
40t4 and ere adat wake mor be Otteml kern thepschese Voc Asaptecrt lossel Sivn4el Pfh em POlity 1401ilkallon: A capy el the TO Ameitracb ahraty Delte is aseabse al
For TD Amentrade tessononal clans. your adasor bern es separate trom and not ontwind wat may rooit toe to solo el a CD dor ta inarty. Bads maa Fred ~ba Secundo inde wavr.Pamcgindacom
TD Amornrada. Inc. er TD Arratrado Clearna, Inc., ard *ach h'm is nat responstlo la Me Oferomy am miory sauna and dd trade ces a kwel *wennen Rina km aan me
PreteMs end ',Mees 01 lbo ahoir. OM Wet Me munt® ~Mand efident bouder rttlYnd net b lou »teil aur ~maa Castte Seadlies: The alocation ol pogo redemmonsa ølte is dane vang a aansla Itetmy
to rnmety.lho sak el brat pncr le rfuturty r,i men n a Icas ermapd. melem. A coscnotion ol mo meedoe, for SIS» &WIM»: is avalább *n to roeide or hard
Acceracy of Repons: h you bind any errors or omissie:ins In voeg accouM statement you cond are munitie won ifemard.
enceld immadlaudy colt us et the rimboe listen Oe page ome or your trelinene You Non Aanaard Assen OMA) am tracaly ammencrts n dros pancpann program securtes
thould aso contact our Clearing rem, TD Mneritrede Clearing, Inc. el 800-669-9/00. patixfstms. ImudItibtryccmpanco. cv red irtato rees:more troon cownzety pools. anwb M Case 01 mas Or grotoa sba11 your EIK*Onn Fund Trandera, MEN CO lad 8 81
eguty. edele deel ledere inch. NS.46 se hpOrM Houd eneelmeve ad de net inide en a 1.~ 669.3960, ot n tVr 409 to P,O. Box 2209. Omaler. NE 68103. or by email
Please renen mc statenterm earCAlly. 11 you dragee* mal any transacton, or d Mae am any nson.1 secuur>: @change er MettrAaq Stock ~a The duns Man la mime rosebets dianeerviankblekEentradeCem Te W6Ormaten cOntabed n >mui *scant statement shag
en» a onessiont. Masse rotly a Grient Services represeMethe a yOu bal Winch «ce. as are amid am En.® kern ,orlosi ~NOK an~. bui na linawl le independent be koning ups yes il you do not *blaf wthn may Mei days lor any !fanater or lurds Woed
wel as 10 Omarmde Clean-g. Ine, in wrang norm ton (10) days el ycar recept or cha opwaai& de pronves rot zat. ander ervd pangander drom tut had boon proMed by to Acgdabon E, toch as ATM and pont drab traden, ne® van:odeons. direct daxisets.
statement Am dei nalements Ihet you hare nede to us shOdd be COMmtan in vesting The en maragorrert. wwinuraw.andLer spa-der d °ach per" ab/ a bidp aty nader ntliout and wilhOtiongti We Must heer kom you ro later Man 60 Wo ener we sent yOu The FEST
statement aai «hem® be conaidered condrahm. in<koendeM ~talen by ID galde mei nol Mg« the annal psNase pace, statoment on Mina the error or problem ai:boa/cd.
Ø moed duo « be roleb men aasaagt. t ay ooms® yam card be ettabbhed (I) Tell us yOur rente and account ~ter
Fletse nolfy n prompity 01 any charges in vet, cOnleci inhaalden. Tranneelions reeeeled on OVOugh tem melhods. me Mud® mar be redenen es NOr•Pited CNV; Fa ~had dna (2) Ootcrto the ener or tho :rondo/ you aro unsuro Øk ard inplan as neon, as you can
your repon wil be concbsemlydatmed aco.trato wee= you nooly TD Arnatradoirrerraddety. nagarang wam® la ~Stardaml kram. Mcme amict Clan Seneca These rnesmorts wby you bolave d is an error or why you MMO (We inlormation.
aro na mand under tho SIPC (3) Teil us Me dollar mam or the suspeded ener.
Account Prolectbn: Deposits held by TO Bank. NA ard TD Bank USA. N,A., aro nsured by Wo wil mastpar* your °omplant and wil carnet any error prompity. II wo take more man ID
Ts FDIC (nel Over® by SIPC) up 10 2250.030. Umels are per aCtOuni ~erft» Per Aden Ado Smurf= (ARSD Ping: m@ makel~ la AAS socureoshmo ban~ med. business gys led Ms, se wil eredl yeti aCcáid br Me amaril yOu Mink is in eraanME
MONS® TO leem mare (tag FDIC COyerage 00 10 *New ICIC/a0v. SeCulled. indoet® dinebde. komgaat® Enken or oter ~penden( eaxcM The Way el Me prang is nol you wil have Db uso ol the money donna en trottoir= us tocon:om our mele gaten,
"dop runde, held in 00 Breton® ACCOunt are red den0SAIS Or obigations el. or 5...aantast na massa ~ob na araláab. TD Morin® MI poco tto SAS pcston.talrg nb
guwanteed by, any bank. Ø not FOIC.instred. and envohe envestmont ddrs. includng *anderamn bot Pb Nuely aG undotog aak Quay. le ME merkel d corrordy
posstre loss ol pbripal, TD Amenkade is a momber ol en &nuntii: incest« Maatton ~Mag stack el Sally and. na ~A Mae an be no omver® dial wen emeurbes am
Corporalion (SEC,. which praeds secunbes astomers el els menbers up lo 5500.000 to sold ader ons ~uk ccriatcre. AMTD 150 07n4
(indocling S250.000 lor darm bi cash). Explanatory brochure es aeagable m request d
REGULATORY DISCLOSURES
wmtalm.a9.
Addlbonagy. TO Amarant, prOndin eed) Clan') $149.5 mlbon worth 01 proloog® tor All :nasa:bons aro 'traject to p) me consmubon. NOS. rondo:ons amore and utages
SeCudlieti end 32 milde ot Weden lor ossn Inrcuph SupOlemental °omgaan CgOelded by Of Me exchange or merkel. and in deangtrouse. il any. on weter inch tranaMbens ere
London Marina e Ex tm aal: rat Ideral lam. enctuann me Secunters Act el 1933 and tho S l « e u S r a te n s d SDNY_GM_00012070
r crunMEINft oefond et Ma
p
EFTA 00122721
EFTA01268200

1D Amer'trade Statement Reporting Period:
11/01/18- 11/30/18
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TD AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTFIS STE I3-3
PO SOX 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Amer'bade Clearing. Inc.. Member CPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $1.37 ($1.37) $
Insrd Dep Acct (IDA) 298,478.93 298.404.09 74.84 0.30%
Money Market
Short Balance IDA
24.1%
Stocks 937,500.00 1.262.500.00 (325.000.00) (25.7)% 60,000.00 6.4%
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Stocks
Other
75.9%
Total $1.235,978.93 $1,560.905.46 (S324,926.53) (20.8)% 660,000.00 4.9%
Margin Equity 100.0%
Cash Activit Summar Income & Ex • ense Summar Performance Summary
Non
Current rro Reportable YTD
Reportable
Opening Balance $137 $ - Income Cost Basis As Of -11/30118" $2,593,861.27
Securities Purchased (4,069,779.45) Dividends S - S - $71,767.60 Unrealized Gains
Securities Sold 6,930,216.50 Interest 2.32 Unrealized Losses (1.656,361.27)
Funds Deposited Other Funds Deposited/(Disbursed)''1D (5.000,000.00)
Funds Disbursed (5,000,000.00) Expense Income/(Expense)"° 71,769.92
Income 71,769.92 Interest Securities Received/(Delivered)"° 0.00
Expense Fees 'To view realized gains and losses for your account, login at
www.tdameritrade.com and visit My Account > Clain/Loss.
Other (1.37) 2,067,793.03 Other (3,827.81)
Closing Balance $ 0.00 $0.00 Net $0.00 $0.00 $67,942.11
SDNY_GM_00012071
CONFIDENTIAL
page 1 of 3
EFTA_00122722
EFTA01268201

Statement for Account # 867-730320
11/01/18 - 11/30/18
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer $ - $ 0.04
Subtotal 0.00 0.04
DEBITS
Electronic Transfer $ $ (5,000,000.00)
Subtotal 0.00 (5,000,000.00)
TOTAL 0.00 (4,999,999.96)
Income Summary Detail'
Description Current Year to Date
Ordinary Dividends $ 0.00 $ 17,767.60
Interest Income Credit Balance 0.00 2.32
Qualified Dividends 0.00 54,000.00
IDA Interest 73.47 6.528.11
'This section displays current and year to date taxation values for U.S account. The current totals may not equate to the total payments listed on this statement as =vector's to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date feuds will accuratehi reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
GENERAL ELECTRIC CO GE 125,000 $ 7.50 $937,500.00 10/20/17 $ 2,593,861.27 $ 20.75 $ (1,656,361.27) $ 60,000.00 6.4%
COM
Total Stocks $937,500.00 $2,593,861.27 $(1,656,381.27) $60,000.00 6.4%
Total Margin Account $937,500.00 $2,593.861.27 $(1,656,361.27) $60,000.00 6.4%
SDNY_GM_00012072
CONFIDENTIAL
page 2 of 3
EFTA_00122723
EFTA01268202

Statement for Account # 867-730320
11/01/18 - 11/30/18
Account Activity
Trade Settle Acct Transaction! Symbol)
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
Opening Balance $1.37
11/01/18 11/01/18 Margin Journal - Other PURCHASE FDIC INSURED $ 0.00 $ (1.37) 0.00
DEPOSIT ACCOUNT
Closing Balance $ 0.00
tor Cash Activity totals. refer to the Cash Activity Summary on page one of your statement.
Insured De.osit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
11/01/18 $ 298,405.46 30 0.2996 $ 73.48 $ 73.48 $ 73.48
Total Interest Income $73A8
Insured De.osit Account Activ t
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $298,404.09
11/01/18 11/01/18 Received FDIC INSURED DEPOSIT ACCOUNT $ 1.37 298,405.46
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
11/30/18 11/30/18 Received Interest: Insured 12.53 298.417.99
Deposit Account Bank USA
11/30/18 11/30/18 Received Interest: Insured 60.94 298,478.93
Deposit Account Bank NA
Closing Balance $298,478.93
TD Bank NA $247,560.94
TD Bank USA NA $50,917.99
FDIC Insured Deposit Account (I0A) balances reflected in your brokerage acccuu are FDIC-insured up to applicable limits and held by one or more banks (Program Banks.). Two of the Program Banks are TO Bank. N.A. and
TD Bank USA. NA.. both affiliates of TD Arnentrade. The IDA balances are not covered by the Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
CONFIDENTIAL SDNY_GM_00012073
page 3 013
EFTA_00122724
EFTA01268203

Ammeritrade
PO BOX 2517
OMAHA NE 68103-2511
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SO NY_GM_0001 2074
EFTA_00 122725
EFTA01268204

Terms and Conditions
STATEMENT GUIDE
11. Arritlacio panes moray Padre Faces lot accoums with ann./ and quanorly sons II the event eta brokered(' insolay. a Carl may receive Wats due frOM the trustee F an ode brochure That nabs information Mooting FINRAS Parc Cosebsum
cis mactic accounts with assets.. rn balbeetcY and Men SIPC. Stpoktwomal coverage is pad out diet the truss and Program. please Conlacl FINRA at 193b289.9999 or wafirwathl.
Penton* Summary: Tracks the Current value d your 00000 as Of the rep04 dale and SIPC payouts and tralar such coverage each dent is lard to a antra return ot
compares/to the peter month.: The Ma ellatiOn ace." thaw pada divertatilion by 5152 miliOn from a trustee. SIPC and London insurers The TO Anowitrade loppienental The interest rata Pam for TO Arnertrade Cash a liken from the armload° interestrate ter for
invesimari type coverage has an aggregate Is el 4.500 motion over at customers. The potty panes the Markel Value balance n a TO AmertradeCaSh. as Of the Stalemed closing date Simple
Coverage loll:ming Waage insobay and does net poled (gad Ion in market valle newest is xcn...ad dally based on the interest tato beg amicable to each days balance.
M.Mple alocatcns under 5% ma be grouse.] into the category of -Car' in the pie chart, bags, at ma 500.01101
Essay - Toter Account EounbrOlal Lena laginable Value • Total Shat Value) Financial Statement Notification: The statement of Manna condmon or TO Amentrade
M investment it a money men el fund is not insured Or suaranteed by the Federal abbe trice a year and may be Waned al no cost via the internal el
ActnIty Summary: The opening and dosing casts balances are reconcled hue tar a quid Depose Iremanoe Corpormon (FDIC' a any other gwornrrent agency Althea to Mar.,Awestawontrano.conshnancidsidementlurg.
reiegence Al account acurity is summated for the currant pad and yea to date kinds Beek 10 preserve the valle a yOur rivestant NS 00 per share. it is pale* 10
Income a Expense Summary thernaits only): This semen detail trio income and <sense lOse mord/ by Mesa n a money market fund. DMOrteds are <leaped daly and Option Assignment MI short cower opoon posnons and some index omen positrons aro
Yeast from te Acting Summary and Classifies the lax Irealment pactreinnested monthly. The prospectus amens Mrs arid ace imponart riorrnsion abbe for asstymeM Exercise assignment aces for equty or ndex options are randomly
Rebrement Account Summary (IRAs only): Review the IRS readed transamons for Me Read the alpectue Prettily Wore listing. Nth-depteil investments held by your alocaled among all clams' short posoons by an automated precooked.
curer( and pro years IRS Fa 5498 lair manta value is based On the anent value as el broker dealer arc NOT FDIC InSURED NOT SANK GUARANTEED/ MAY LOSE VALUE.
Docomtler 31 cite premous year ad ail to furnthed to to Internal Revenue Saco. Free Credit Balances Mule Oka II 3): Under me dent protection as. we may use tree
P to e rs d o o s r m or a y n o c u e r S Ar u tu m ro a r r e y c :fl t o o-n n o it m or s y t o ra u t r e a g n y n . ual pada pedormance and the unrealized gains end c T a h n e t b o al a lic nc a e la n te y d o o u n r b y a o n u k r o d rd e e t r a . i a l n a d m It tu s n p t ro O c r e S e h ds a r r e e tu d r n y e e d w t o m y o o n u e r y m M a ab n e e l s W a O m W ou n a t d o r C on a a ll b b e al d an . c es in your account i. the Ordinary Corse a our business which are payable w yOu
Account Positions: New your mostmems al the current market lobo and compare the and remitted 10 you
cob to see weealued gains and losses n your pon1010 Original coal is assigned using the Margin Accounts (Regulation T1: H you have a margin acoNe. the report is a conga*, of
C fir r s a t t . e T r. h 6 e ,5 1 e - s O ti u m l ( a F t I e F d O t ) r m ro e s t t h m o e d n . t i d in ic c h om a e ss 2 u a m n e d s a th v e e r O ag h e l s c h o a a re l s p ) e 0 r u a s r e c t m a e r e th o d s is e s i y a o y u e p d u f r o ch r a y s o e u d r T ta a x x n R m e o p nr a g r g in : c Th a e r o N te a n t e a w ea IR l i S s n m or c a s h e e n n a t g s n M a a te n e Y s o u t w Sa a r t e c m ess o F m e s d r 1 /d 03 e 9 n f : o h r . a ca w pe l a l m YO k u s r M an a d rg i e n s t n r o a t w m l a a tt n e d f a o r a a d ll d in ve m s e to tt r o s r . a A n d c u a m rp " ) m to o m 10 ( 1 i T d r a th d e n g ri s o k n s m as a s r o li c n M po e s d e n s t a h d r d r l a io rg n i a n l
M mi O m W eo N °, A P t e ta o r ll eb A t p l W urch o a o se l a ac s tM i l s y s is h d ow ea n r b ly r d a e n f i i l d e e d a . t t i o o te n d o i f n y o d u a r t e h O a rd n e g r, P an et d le r d e ) n . eged n the g d a i t i o t S bu e ss a a ] le m . air. a o n m d i e sl n ic t e m p e r s o o c n e s a . l. Some Nona* are subject 10 reclassakin ishith a tra c c u in m g e i n s b (h y e s at a ab w le i n in g t h u e s a m t a th r e g n nu M m k be d r is to c t l e o d su o r n e p a a u ge r a on . e 01 Y yo o u u r m sl a a y te r o n b e ta n i t n a copy a Iris
M C S e O T n y r e n e a s d d t l d i . i e n s n e T . i e g a s h t C o C e P m a m a e s e s n e h t h n d r b a t S i a n n r l g a s e a a n p S l m c o a e r a o t . i n n li g s n T M p r a a a l n n b e s e d i C l c . c o o n ti l n e l d e l n i u c r m t d D e n d e y g t n e a w i c m l: h t e C e a c a A i k s c l . h e c d o m d e u a b n n t t t r a A a c g c a d e t r e m i d a s e l a y S n n o s t d i h o t h A e a r n T o s a M n N e n a t a o i c e w m t n u S n r e t o y n th . r a m a d r t a e . C l e l l i e s s a te h re d e d . i B n m r o d i n n a t t g h e s C o c s o r o a u p x s i n a t t ix a t S n t e y e y e d , a a d t s n h b : d e y t C i e e e C r e a o n O d s t t e I a y d r i m r l i d k s O a r e f a g t t a d n P h x e . O a l a T o R k D t i S a m P n I M m E d b D e o a p n ° e a t I a a r D s a l d e n s i a d a n * a m n e t d e t o i r w i e s re d o M v e a e r i a d i s n s g n C o e r O t d n s I t p p i G C a r C o a t R i * n a K n s S l a I F l A a b l T a n E a t a o r D e to e c r t Y t 6 a le 1 S t r a d th i o * a n s ot r s o P f s o e h e z a r m a e a e y r m i i m b e g s e o n e e c d n s n a c g t s u m c h n f o s o a e m p u r r n k a c p O r e h y e y t m r n s d e t s . e r x e a a b n c r t d t i o h . o F e a a n a s l n o . l r l g w a s a W e n o ( e d c S d r o i r E o d m p o e C e o n p c a s . o o R l t e T r n u i r q p O e s l u n e b ( A a t s M a r C m t n 6 e l a t 0 t e r a r l n 6 m a y r a n d a s a o d l n t C o a t r d e t a e r t r i 6 t n l O a s 0 s t n c o e T s o d ) n m : n i i u s I l a n . c n l y l C a o s t r e s o e i e r i m s c n r p o g e a e v n e c n s th r e d r s c c e c a o u u t l o i v m r o m i e e t n p i n a e d e i u s s n n e i e c i r s s n q o e a u s t n f t i e h o t . y M e . r , T r o a I o O o o r r r d t n d k A u e e e a n m r r l a d C e l r b t n a a a o w s n m a- p t h d g e t s e o o r
Ott. Cash Services Summary: Credt an] notd transaction mats or the anon statement Margin and Options Account Agreements: Prarrpift ad/SOW Amentrade n tang of execison at trainers indecent A enders *my is avaletle Lixn raq ose.
ranee 000d be summarized. IndMikert Venetia. ere not listed Yry lunge in your investment capturos of financial sawn as they pain to your
roue to rounding adustments. the %moment Oats may not can the statement totals. m W a e1 rg 1 i 1 n N 0 e , x S ec e u n tio s n w el a w r e n n a s g t r r e a e n m sa e m ni c s e n A i s su ° m ra m ta a b ry le O . f cOmmissions and clwgee Math ma is k e o r u s r t m a e d rc y. O a n b e M en e l O de a ft o 1 r 0 d e p r r s o v to id M e O b e c t o a n t tr h a e ry c . u t t l o o n s e a le n c d t b th ro e k e a r n s, y d ea O l f r s s . e a a nd m m a p r r k ic e e t
iEtninaled Annal Income and Edmiston Annual 'la values a 0 based upon the number el improvementen market oars. Pnco mammais evens:louder moan marker condoms.
shwas man or astern value balance as of the stalemom dale and rho most recent anercl Cunard Mat Films: The makot tomes tom been rained, data; tom and we repularg mentor excro.mat to test ler sish improvement it avatar°.
rale or Oath bein pkMdrki qx1t6cn undoes ad Other Maeda aces Yabes are based a the dosig free the
iron bean me bd ad aritnp pram a char race. a no arks] slue is alto bona Trade COMirmatithe (Rule 100-10): Al contrmalas are Paremined On the IrtimatiOn Nee
GENERAL INFORMATION qqtalkn Bente OOPS independent sea. I've arty is tubed lo being retooled
Nan.thccel eNP). The wiusxns en your radon:pat aro pronged as gala Mason ad Taxes: Trantmolons in (Nan sailieS (induSnO Wan Water ADM OW Irade le *le
10 Amerada does not provide legal or lax awe. Pleas* consult your legal admor or lax aro and guarantee to a:cum./dam sass frees. Malmo bard pardons are wad U,S.) may include taxes and fees charpcd by to reran marmot or governments. Bch may
reCeOunal when necessary. AS a illtinad inOssby pitiONO. able COnereatins May be wing me sienna Wage ad the math man eke Ponta rtexn tasEons may nor be beetledin the 0400 01 to security or charged lis an aerienea tne item
Ward Stu Cruelty MAW and tramattiOn verialth DurpoSt. sari sake promech. The secenday noon la Gotham or Depots (CDs) is gamey
loud and the sal vsbe me/ be deka from they ditne robe Asgsrart loss cf MOW easy Peaky NOtifitsflon: A copy of the TD Amertrads privacy poky is Mahe el
For TO Amm-oado Mamma darts. your admit( hart es separate from and net thrall was may roan ton Me cab al a CO pro/ b rasa. Dabs ddb Fa ozone Scanner. trade VAWIAMMCfead0 torn
TO Anwerirath. Inc. a TO Arstrado Owing. Inc.. and oath Irm is net retponsble la the dforenvy thaN Nay scturiun and deco wane en a ad exchange. Rata may son me
OndArds and semces UI the other. OTC Pm thecoma market and surrealI guana nd ens b yw bell your Peek^ PS Cable Sallies: The salaam of partial rot:mans or cans is done tong a pima talery
to ressuty. The silo often:a pia to arty may rocA n a Ices al preset atom. A desenpron el the promises tor cat le “CUODOS is avalahlo on to websile a ham
Accwacy of Reports: II you find any errors or omissions In your account statement you Copies are available up:neon-ml.
Mould immediately call us at the nab.' listed on page one of your statement You Non Standard Asa dal aro typed)/ camas in drat partcpsnn program aura
Wald also contact our Clearing Tim TO Amentrade Cleating, Inc. al $01)469-91100. patalms Ian Malty =mace. a and MEMO rrasrnori truzincernmsdtypaDIS.pnale In case Of Ora Cr batons Sal your EINIOniC Fund Treaders. pale 00 lab s al
eouty. pdeale debt a hedge Inds. NS& ere [gab lad knealmdria as do not age ma TIM 669.3900, or in stag to P.O. Box 2209. Omaha. NE 68103. or by weal at
Please 'maw too statement caready. II you camerae with any transaction or rl Mere aro any nsixid osunes mean?* a tie Krona Stock Mara Tin slues shwa, fa two rneseratts dienteervilealdbMilneede.COm The annaton Malted in your ectotrn slatemeM shall
ends or omissions. abase nobly a Client Services reproSentalber Or year teal bath thee. as are ikerneed ..ta.ea dead tern anon methods. hasdro, bun not fad IN independent be WON! upon you rf you de eel awl lathe wry 1601days or any transfer of lurch steeped
wol as 10 Amen:rano Oeareg. Inc. in wiling eta ton (10) days of you recaps ot this apace's one mama s rd =oh. ceder OW party tender offers tot ha,o ban aided by to Regabon E, such as ATM and poet dab trarelcrs, debit transachons. deem dams.
statement Any oral stanemenis Mal you have ale to us said be et/Nina in venlig The to magmart androw. add spread each ran a by a Mot nag yoga Soul and isilaaalti WO Must hear from you no later than 60 dare after we sere yOu the FAST
statemonl sill °dress/ be considered concloive ascendent sand, by 11) knerrade. Was may MI Mane anal WNW pike, statement on which the error or problem appeared.
amol rvnYV vatic a be ma] men leaden e an osynattd value cad be eatinhed (I) Tell tiS yOur rend end account merger
Please miry id promptly 01 any charges in you Genteel information. TralletioM reeeeled a trough Bete methods. Me slam mg be faded as NOneited (Nn For anand Mal (2) Damao the error or Me transfer you aro unsure abOte. and explan as dean/ as you can
your report wit be conclusively deemed acwatounioss you racy TO Amanda irractaxtly. name amen kr N:n.Staretard Pews. plebe aroma Clint Sows These masts why you bans n1 is an error or why you need mac inlormalion.
arena am] undo the SIPC. (3) Teti us the dollar &mum of the lakted error.
Account Protection: Deposits held by TO Sank. N.A. and TD Bas USA. N.A. are insured by Wo Ssl invested* your complain and wit career any error promptly. It we lake mom than ID
i t n h i e a l F ut D le IC n. (4 T 0 O 1 le C a o r v n e r m ed e r b e y O SI a PC t ) F u D p IC 1 0 G 5 a 2 r 5 a 0 g .0 e 0 0 p . it L 1 I 0 S S su a e l e 'N p e e g r e v eC . t S Ou e n e l u O lt r a n . e i r n th d e u d p n e g r H A a ud la en s R a K o o a rn u a r t a a te C n A s R e S- a ) P s r o o n r a g: t m The n m a o v t a et l vatm sa k uc r e O s A T S h e e N xu a r r b a :e o ta l S b e e a en m aw is e n d o . t b y u o s u i M nes I s h a c v lo e y s t o lo u 0 s 0 e I r o i f s t . h m e m ew cn l e c y a du l nn y g e w th e s s a o in t t t f a o w r t s h e u s a m to o c un o t s y t o a u e th o in u k r i i n s v i e n s e ti r g r a o t r e . s s O ,. Onit
Muluat fUndS, held in your Orange AteOunt are ntil deposits Or 001gatiOnS Of. Or WYNN:01H a ma ma end meals Tr) knetbadeN1p rice to ARS manna No
guaranteed by. arty bank. aro not FOlt instred. and involve investment Sm. ineludng centhorman both to quay and undthog cat quaky. The SAS racket is comfy
potable loss ol princpal. TD Amerada is a member of the Securities Invader Pro:omen tebeeentimnilick ol tCp.klty end. an result Mee Cm be no mance Mal encheecurties Car
Corporation (51PC'). which premeds senoras automats of ns members up to 5500.000 to sod with. one mai co ere. AUTDI5007tia
(inading 5250.000 lot dad for cash). Explanatory brochure is available on request at
REGULATORY DISCLOSURES
bwmaecina.
Additionally. TO Amerada, prOndeS ant ant 5149.5 Shen worth 01 proleetlon tor AI transamons aro object to to) me constmoon. hies. salons. cusses and usages
lathier, and $2 milern Of preteden err ash Weigh SupOleMental Coverage provided by d the exchange or maker. and as dearagnouse. H any, on istich such thintssans are
London ineurelS o Ex u sted: pit federal lass. inducing me Smarm A in m of 1933 and the Socra a te nd s S0NY_GM_00012075
ite
p °E NFIR M ihtt
EFTA_00122726
EFTA01268205

1D Ameritrade Statement Reporting Period:
12/01/18 - 12/31/18
800.669-3900 Statement for Account # 867-730320
TD AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TD AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE B-3
PO BOX 2209 ST THOMAS. VI 00802-13448
OMAHA. NE 68103.2209
TO Amerinade Clearing. Inc.. Member CPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $ $ - $ $
Insrd Dep Acct (IDA) 1,258,729.35 298.478.93 960,250.42 321.7% 0.65%
Money Market
Short Balance
Stocks 937.500.00 (937,500.00) (100.0)%
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
1 11
Other
IDA
Total $1.258,729.35 $1,235.978.93 $22,750.42 1.8% $ 0.00 0.0% 100.0%
Cash Activit Summar Income & ense Summar Performance Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance $0.00 $ - Income Cost Basis As Of - 12/31118" $
Securities Purchased (4,069,779.45) Dividends S $ - $71,767.60 Unrealized Gains
Securities Sold 959,955.63 7,890,172.13 Interest 222 Unrealized Losses
Funds Deposited Other Funds Deposited/(Disbursed)"" (5,000,000.00)
Funds Disbursed (5,000,000.00) Expense Income/(Expense) 71,769.92
Income 71,769.92 Interest Securities Received/(Delivered)"° 0.00
Expense Fees "To view realized gains and losses for your account, login at
www.tdamerllrade.com and visit My Account > Gain/Loss.
Other (959,955.63) 1,107,837.40 Other (3,827.81)
Closing Balance $0.00 $0.00 Net $0.00 $0.00 $67,942.11
SDNY_GM_00012076
CONFIDENTIAL
page 1 o15
EFTA (H) 122727
EFTA01268206

Statement for Account # 867-730320
12/01/18 - 12/31/18
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer $ - $ 0.04
Subtotal 0.00 0.04
DEBITS
Electronic Transfer $ $ (5,000,000.00)
Subtotal 0.00 (5,000,000.00)
TOTAL 0.00 (4,999,999.96)
Income Summary Detail'
Description Current Year to Date
Ordinary Dividends $ 0.00 $ 17,767.60
Interest Income Credit Balance 0.00 2.32
Qualified Dividends 0.00 54,000.00
IDA Interest 294.79 6.822.90
'This section displays current and year to date taxation values for U.S account. The current totals may not equate to the total payments listed on this statement as =vector's to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date totals will accuraiehi reflect your cumuiative amount for the year.
Account Activit
Trade Settle Acct Transaction/ Symbol!
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance 0.00
12/19/18 12,21/18 Margin Sell - Securities Sold GENERAL ELECTRIC CO GE 25,000- $ 7.64 $ 190,988.55 190,988.55
COM
Commission/Fee 6.00
Regulatory Fee 5.45
12/19/18 12/21/18 Margin Sell Securities Sold GENERAL ELECTRIC CO GE 25,000- 7.72 192.988.51 381977.06
COM
Commission/Fee 6.00
Regulatory Fee 5.49
12/19/18 12/21/18 Margin Sell Securities Sold GENERAL ELECTRIC CO GE 25,000- 7.70 192.488.52 576.465.58
COM
Commission/Fee 6.00
Regulatory Fee 5.48
SDNY_GM_00012077
CONFIDENTIAL
page 2 of 5
EFTA_0O122728
EFTA01268207

Statement for Account # 867-730320
12/01/18 - 12/31/18
Account Activity
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
12/19/18 12/21/18 Margin Sell - Securities Sold GENERAL ELECTRIC CO GE 25,000- 7.66 191,488.53 767,954.11
COM
Commission/Fee 6.00
Regulatory Fee 5.47
12/19/18 12/21/18 Margin Sell - Securities Sold GENERAL ELECTRIC CO GE 2,600- 7.685 19,974.43 787,928.54
COM
Cornmissiorifee 6.00
Regulatory Fee 0.57
12/19/18 12/21/18 Margin Sell - Securities Sold GENERAL ELECTRIC CO GE 22,400- 7.68 172,027.09 959.955.63
COM
Regulatory Fee 4.91
12/21/18 12/21/18 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (959,955.63) 0.00
DEPOSIT ACCOUNT
Closing Balance $ 0.00
'For Cash Aclivily totals, refer to the Cash Activity Summary on page one of your statement.
Insured De . osit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
12/01/18 $ 298,478.93 20 0.2996 $ 49.00 $ 49.00 $ -
12/21/18 1,258,434.56 11 0.6481 245.78 294.78 294.78
Total Interest Income $294.78
SDNY_GM_00012078
CONFIDENTIAL
page 3 015
EFTA_00 I 22729
EFTA01268208

Statement for Account # 867-730320
12/01/18 - 12/31/18
Insured De . osit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $298,478.93
12/21/18 12/21/18 Received FDIC INSURED DEPOSIT ACCOUNT $ 196,521.07 495.000.00
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
12/21/18 12/21/18 Received FDIC INSURED DEPOSIT ACCOUNT 247,500.00 742.500.00
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
12/21/18 12/21/18 Received FDIC INSURED DEPOSIT ACCOUNT 247,500.00 990.000.00
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
12/21/18 12/21/18 Received FDIC INSURED DEPOSIT ACCOUNT 247.500.00 1.237.500.00
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
12/21/18 12/21/18 Received FDIC INSURED DEPOSIT ACCOUNT 20.934.56 1.258.434.56
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
12/31/18 12/31/18 Received Interest: Insured 4.09 1,258,438.65
Deposit Account Fargo NA
12/31/18 12/31/18 Received Interest: Insured 48.34 1,258,486.99
Deposit Account of America
12/31/18 12/31/18 Received Interest: Insured 48.34 1,258,535.33
Deposit Account Bank NA
12/31/18 12/31/18 Received Interest: Insured 48.34 1,258,583.67
Deposit Account Bank NA
12/31/18 12/31/18 Received Interest: Insured 56.71 1,258,640.38
Deposit Account Bank USA
SDNY_GM_00012079
CONFIDENTIAL
page 4 of 5
EFTA 00122730
EFTA01268209

Statement for Account # 867-730320
12/01/18 - 12/31/18
Insured Deposit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
12/31/18 12/31/18 Received Interest: Insured 88.97 1.258.729.35
Deposit Account Bank NA
Closing Balance $1,258,729.35
TD Bank NA $247,588.97
TD Bank USA NA $247,556.71
US Bank NA $247,548.34
Citi Bank NA $247,548.34
Bank of America NA $247,548.34
Wells Fargo NA $20,938.65
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage accotnt are FDIC-insured up to applicable limits and held by one or more banks (*Program Banks". Two of the Program Banks are TD Bank. N.A. and
TD Bank USA. NA.. both affiliates of TD Amenuade. The IDA balances are not covered by the Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
Important Information
ANNUAL MARGIN DISCLOSURE
Securities purchased on margin are the firm's collateral for the loan to you. If the securities in your account decline in value, so does the value of the collateral supporting your loan. As a
result, the firm can take action. such as issuing a margin call and/or selling securities or other assets in any of your accounts held with TD Ameritrade, in order to maintain the required
equity in the account.
It is important that you fully understand the risks involved in trading securities on margin. These risks include the following: You can lose more funds than you deposit in the margin
account. The firm can force the sale of securities or other assets in your account(s). The firm can sell your securities or other assets without contacting you. You are not
entitled to choose which securities or other assets in your account(s) are liquidated or sold to meet a margin call. The firm can increase its "house" maintenance
requirements at any time and is not required to provide you advance written notice. You are not entitled to an extension of time on a margin call.
STATEMENT OF FINANCIAL CONDITION
The most recent statement of financial condition for TD Ameritrade Clearing, Inc. may be obtained at no cost. via the Internet at http://wmv.tdameritrade.comffinancialstatement.html or
by contacting TD Ameritrade Clearing. Inc. at 1-800-669-3900. As of September 30. 2018. TD Ameritrade Clearing, Inc. had net capital and a net capital requirement of $2.8 billion and
$524.9 million. respectively. A copy of the report and comments is currently available for customers' inspection at the principal office of the Securities and Exchange Commission in
Washington. D.C. and the Denver, CO office of the Commission.
CALIFORNIA RESIDENTS
If your total payments of interest and interest-dividends on Federally Tax-Exempt non-California municipal bonds were $10 or greater and you or your Partnership had a California
address then TD Ameritrade will report this information to the California Franchise Tax Board each tax year per state statute.
OPTION-APPROVED ACCOUNTS
The Options Clearing Corporation has issued a supplement to the Options Disclosure Document. You can review a copy on their site at
http://www.theocc.com/about/publications/character-risks.jsp . We also sent this information to the message center within your account. If you would like to receive a printed copy,
please call 800-669-3900.
SDNY_GM_00012080
CONFIDENTIAL
page 5 of 5
EFTA_00 I 22731
EFTA01268210

Am strads
PO BOX 2577
OMAHA NE 68103-2577
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS. VI 00802-1348
CONFIDENTIAL SONY_GM_00012081
EFTA 00122732
EFTA01268211

Terms and Conditions
STATEMENT GUIDE
IL Ar stroeb aardes mortel,. Foreklio Amons lor aocoums wth acverty and quanedy toeans lt Me «Pol 01 a aderend ineoksty. a Clan may realbeeMOunts due trom the Posten For an investor brochuo Mal encbcles informabon desaliang FINAM Pusht Thsclesuro
ta omase accounts tutti asels.' In nardouldnY and mon SIPC. Pocolonental omorago is pad out dier nve trustee and Program. plees° contact FINRA at 030-289.9?99 or wymtiva01.
Portfolio Symfonie,: DOM Ilro Correct «Poe d >Por p00010 es Of the repro dele end &Po payouts ard Lader such coyotes@ each den es limiled to a temend return ot
~paren n to me prior monlha The Ebt elPoaliOn Meelt, yOur 00010 divendealion by 5152 mniOn Ironie Poelet. SIPC and London in/koers The TO Anteribade Supplanenlel Om inwiest Ø Luen tor TO Amertrade Cash is laken lom Om applcatlis minst rato eer lor
invesimert type navenant bas an aggrogale hm el 550) muon amt as cum:mors. ins polcy taande: th, Makel VON, balace ~TO Amen:rede Carlh. as 01 dere delement °Man) dele Simple
.'Olietape lotkraing Weswege ineohincy enddoes nOl proleet Mand ba in merkel neb, modest es acnxd dar, base, on the interest rato sa opdraai> to oach days Liane°.
MAM* dboateres under 5% enk be grouped mto thocampory ol toear in tho po chan. Mar dem securnos
Essay - Total Account Ertuib<Froiel Long Maginable Vekte • Total Short Velde) Inname: d Statement Noldbation: The mammae ol atonaal condten lor TO OmonIrado
inveteMent h a money martel Fond ia nol ineured Or gardreeed by Me Federtd ~lede Wee a year and may be obtentcl al nO ceel. vie Me intomen el
Actrvity Summary: Ine opening and doling cash blanca dro reconoted hete lor year aak erepost Insuranar Corporation (F010 a any oma government agent,. Mimi.", 010 Mar.stwortectonentradeoonslinanctabiatemonthrn.
relerosce At account tinnry es sunntanzed lor Me (urgen pand and year to dato_ eUrldS bek 10 posene the valle d yOur imealment al 51 0) p« gure. 4 b pOsebb 10
boom* a Exponeer Summary (nendEAs only): Ibis seroen adat ene mama ard amensa lOtte moro'/ by inmeng n a money merkel kind. (badende eie Mand dely end °neon AssIgnment: MI short onerty ogion canons and same index oom ponbons are
Ixait trom the Sant Summa>, and ePonales the las IrealMent pactrantestod merdy. Tno pntopedos contans des ard odia important dormalon ~Mae lor essignment brede assignintm races to' Nut., or index options ere rendont'
Rebnsment Account Surnmary ORM only): Redes tm IRS reculatod transaceons for lbo Reed the aanmars abrecify Won ~Ong. NOndePollil invettmente held b/ your alocated aflang alldorde shon pontons try an aJtamolod praatte.
curert ad aa nam IRS Form 5498 Ier Modi« vak* ie band On Me sonant nakie aa or boker dealer We NOT FDIC ItISURED t NOT BANK GUAfteNTEED r MAT LOSE VALDE.
Doorns« 31 ot tho panui yoar ard tur be furrishod tome hierna Revenu° Sance. Free Credit ~annex "Ie 154-2 0 3): Under mo om promotion nets. wo may usa free
l P o a s d s o a n . n *o a r n y c o e u S r l u u m tu m ro a r r o y e :M :t o r n o it m or s > t o ra o t r e o g m y, w al portfolio Postament, eid Iho ineen/cd gaine and c T a h n e t b o a l l e o n s ° b , o n n y d o o u n r b y a o n u k r o d r e d p e e r n . d a n e d C C M O e .e c d m O o f r t i i e h d tu s e r S a t d u rn 'M ad u f l o M w ON a S r , s m cc a u t r t e e e l s M a O cc M o , u n fu t n o d r C on re d di o t r b h a e a id n . eb h yOur *CCOunt h IN Ordner>, none ol cm boenen whkh en> melde to yOu
Account PositIons: View your rnostrnonts l tho current marka yam ard corrporo the oognel remeled 1C you
cad to vee irweeked geine and Poses n your pordol0 Originel coel is esagned uling 'he Margin Aecourds (RopulallonT): H you have a margin account. ms report d a combnaton cd
b tr a a b a D . m nr a a to a u n l ( b FI i F d O e I r m tro e s th tm o a d r . d w e e n ie c n o m as e s 2 u a m n e d e ~ m r e a li g nt e ' s c h a a s r t e p , > e P r o s s h e ar t e e r a e r e M o d e on s d y a o y u e p d u l r o c r h a y s o e u d r T tm O D ~ a e a n n g : n o Th x e rp a la n m d e t w b il a t n E S if M se a cr l s e o r n P s o is o r i n n e d n u t d e Y s o u W e a 0 k r e a n ro ke d F e o n r m á 1 rd 0 e 3 n 9b t. « P P o o e e n l n yt o r k e , n a e nd o n d O n C o C l O ru Ur r il a a l r e d e lo r W a e ll e i k n t v ] ~ es e to t r e s. n A d c " o mp a l c e o t* b l n a t t c T 4 r a th d e n g ri s o k n s m a e n n o g m n a p li o e s , e tu s n e n d m dl a io n n n a in l
m Ac ie C r O /a u c n e t A W e e t e h « il P y: o A l p l S at i h d o a s r ° t e da cI t M e e ly s ia l a d e e n er b t/ r d e e n lb .' e M d o . e I r e io le n « 0 i 1 n y O ou M h O o r b de ia r. P e e n d d 0 r C e 1 l . l eded n Me g w a il n t s o . r I e a n » :d ~ o 1 l a t ma e a nd g r e a ro t s to p r r r o e c c e c n d te s n Sone mimer% ere subject 10 redessnailOn nbds b do e c d u o m e e i n s t b m y a co a n g le ° e l i i n n g m ti e e e m l a m r a g e v a r n e h k e d r i S a e b le e ct t e o n n p c a l g a e v n en e e n o t l Y ro O e u r m st e a y te o m b e ta n i t n e copy or Ms
m Ø O d d T o M a n s . e O n r n s D o s n ta e ; . t c t G n % a a s e n s o e S o h t l m r t W i a n S n l r e e e s e n a r p P v C c o i t o c e r io t t e . i t n n l s e g s T n t p i r s d a o in n n b l n d : o C c . r e l o i m O l n le d f n i c r u t m e d d n y g n o u c m h e e C e m c a A k s O c . h c d r o m e o u d e n a n t n t r A n e c c a d e v r e n d m s r a e y e n n n t d o n I n m M w e o l I a s n A 8 e C n n a M e c e S b u m W r m n e y o M n . m a a d r s l e e . C t e ' l , e s a a ta l r l e e d d ! e m C n k o d a n a i e n t n g o ~ M O c b o A A i M d n .V N e a e n n y l y e e e e t n h l b d e y t C m e a o C r : e W a O n t E e 1 a c e e r h n y m ti C s l d m t . C e c t t a a d h n P s e . w O i M I n D t R h t k S m a A n T 1 m e d E 1 l o ) o D D a n n m ) a a a T e t n o I e n ) d n r a e d e a a d n n d t e a a = l p t a s r c o d e k P p e id o o n e r is i d n e g n C n a « a n r d l e t p e p G r C e o u r O i n e d R : o t k n m P a e O p i t e l M e a r n I E a w te r D e d ' e a W r r e a s e t 1 a b n P d r d i o o t y t a r n a - o o e le r t l r o s P f s e o e h x a c r l a e e e y e r m i m c n e g t r a n e o e c n d s n a c g t s u m o h l o i r e e t e m p C r s n a p t c O h y a a y m r s s M d a s . e e a b d n e r b t r i t . o o F o t n b e l s k o n « l w a e W » , d r o ( e o C S c r le O t E d p n io m C e : o n c a p s . e R o l t e T n n e r g O g e d s n e r c A ( t s o 5 a e m 1 6 d n l t 0 a t o o y r 6 t e k n r e n a a m a a t d n f l n e e d o a y t a n i n 6 . O l t t s 0 s h e n o 7 e s n d ) m o : & e i s I e a n l O c u y C l s e e n r o o u n t a m a n e e a g o n a e m n c r O n d e r i c c b o c u a u b e m t r r a e i p n b s r n o e d t i u a s n s n e I e s i r c s n s a e e s t I l n s e a o ll . y e n M r T r o e o l O e a r r Ø d n k m A e e te r e r l n o d C o l n r a a / t e a t o v i a l r a l a m p e n d e t n g o o e r
Onbne Cash Services Sunmwy: Credt ard dabt transactien mats lor kno cunom statement Porgin and Options Account Agreements: Promo,/ aPosol0 Amenirado n meng ot *zoen!~ at wrAvidarrirtrado_com. A ventten copy is avoratle apen roXpett.
rePOnag pedod e summerized. InditiCkel neonataal, eie rot limed. arry deango re your invemment clarcuyos or inarcial stuaren as they man to your
'Je to !tanding oaustments. tho stroman detals may not apal me statement totals. ~ w M ei i s n n O o r x 0 cr 0 ou 1 tb ~ an 8 o 0 l 0 o 0 p u e n e t n a s g n re a e s r a n : e e n e is n s A i s su ~ m M nb a ay e O . r amminions and charge, ineuned ~ h k es e o f u t r P p o e n nn d y . O a n b e M en e l P (W a il r ly i o t r o d e a rs a r to d e ln o b e a d n t e ra re r c y s . m to o n s e a le n c d t b th r e ok h et a s l . e d ry o o 0 ie 1 r s s . e a e r li d n g ~ k e e ia i
telnleled Aan' Income end Eserroted Annuel bied vlakten are bets troon Ibe number ei emprovement en markt* orders. Poco improyetTentm aV311.1010 unief "han mantel condlsons.
slums coma) or avrom valuta balanca as ot ne statement dale ard mo non team draden:1 Oren Makel Poon: The molmt 'duet d somma ham bom Wand d eraan korn and wo regulary monter execulas to lest lat sten mormonen d as...Matte.
rele or cash Pekt pende() q".:10‘ sent» ad Oer roependen( acne Wim we Woed On Ob dovig aree me
ran beween me brd ad arltrq paces or ahoi reces. t no marker tam n /Motie ome a Trede COMIrmathenti (Ruin 11/0-10): MI contrmalions eie PereminedOn ihe Inanabbn dele.
GENERAL INFORMATION qadaiacn eend> tr Oh« indePoodent Mae. he sec" e Woed lo beng relected
Nul Pace Ce) Die dlu»dts cri your pct raat are Wan», os 90104, Intrrdlon ad Tem: Transactie", in beien sPourilen (nCluSnE bre4gn aantelen ADM Ilmel Ira In *be
10 Omen:rade does not aarde legal or las ~ce. Plees* consul, your lepe aPosor or las to dom guramoo bb accuracy ct ave soorten pree:. Molair laacked postons aro mbo] U.S.) nu/ rebel° exa ani lees chargod by tre, keer madam en governmenls. Wedt may
titCOurall venen neCesslery. As e standerd inCleby paden. 010ne COneenblens may be rang Po ~enne banco ad be om« merkel pico Pelde Kast kaldion my nei be rasled in le print Ol le money Of cherged an Poepende« Ine Pon
nabetaal br Sally 00nInat and transaegOn vedrcelm OurpOste. manco, sake aam*, lbo teo:nday naad Ia Cotrodos d Oogst: (Ca) n generaly
ituud and the adat tute me, be dtiews aan Me ~me Vee MatlIcertitss Cl PPoPol Prancy Pormy Notilkillon: A copy of Me TO Amertrecb privacy DOleY ie anPoble el
For TO Amentrade rasebro al acre. ytre °Mes« hm es separate from and not attbaled wit. mar rooit Pon Me :ab ol a CD par la rralsty Sext adb Ral Worm Securtes Wade waw.Pamegiradoeorn
TO Antentrade. Inc. er TO Armeren° °meng, Inc.. ard aan h'm es rot responsble la the dforomy mal oom sauna and tum Pa <natelde accronse. Renet Ins/ waarin»
0100xle end senices Ol Me erher. OTC loer the °punten markt( and dirOtet louctryrntyrxt era ta tor »wil sour poelen picr Cao** Securbern The Oman el podia neUemdOnsor calls is dane vang a proeft ketny
to rrauty. Tho vlo et tent 'mor to rrubsty ma/ rooJi n a las d renapol. mslem. A aoanption el mo proadres br Dankte secunins is avalabloon me ~Ma or haal
Acceracy of Reporls:11 you fInd any errors or omissie:ins In your accouM statement you «mies aro ~tabla twonicep.osi.
*houd immediatety con ve et tho omber had 00 page ome 01 your statement You Non Standard Assem OISAI aso typcaly ~remt ra droeg pastematon program sauma
*houd oho contact our Clearing Frm TD Amentrade Clearing, ro. el 800469-95100. gootrentms. Irtmodnielltycempana. er red MEM rriesron innen certrada pais. prude In Case Ol enorti er epestona «beul your ElearatiC Fund %Adem ',sekse co wei e ei
buty abele deel a Tedge Ø. N546 ere botdy houd mealmtas ad do not ede Re a 16606693900. ar n wrang to P.O. Box 2209, Omaha. NE 68103. or by emoe at
Please rcenew ms sialemoM c.iredity. Ir you dragee* wilt any tanndel or d Mae am any none mana behanger a ta Krom Stoa Motta Do 'duce dean ta mto medeaas dieMeentiCE@KMMeritolde.COm The PoOnnaten cOnleined n sou( *aard statement shag
orde er °Menen,. please roert, e Dient Services represeMelhe a you 1):81 Winch OPoe. es ere ~Ad takes dete d han orbe ~bolk Pokend bul nol Inbed Is ndependenl be bndng upen you el you do not otteci wthn sub LEE days lor any transfer d lurds si pa
wel as 10 Amairode Cleaneg. Ine. in wrong anno ton (10) days of war record ot th, appret:ah Va proeyams r I =eb, and« tred party tonder aders tul ham boen prtmeed by se Rapiabon E. bal as MM and pont obrale tram," doen transactions. wat depeotts.
statement Arry oil statements Intet you hem ~Oe to ui ~JO be CONPoted in writtsp The Me ~mora" ~maand* bader d exti argon er tri a thrdpaty vendu smout and dihdarnals We Must heer trom var ro teler Man 60 dan after we sent yOu Ine FEST
statement Wil «Ponem be weiders conclehe. indgendeM ~esa by TI) Mnbade. Vatne mei nat raket pkt alanal raglan, pico. statoment en whchthe error or peetoom appeared.
arral mairi 'duo er be roalaxl man Inbidoacn an asemend ida cadet be esLablehed (I) Ted us lag rente and account ~Poer
Fletse natelt a prompity 01 any charter in yve cOnteci inormation. Tranende% Meehad On *rough rose methode. Me Winden mto be reflected es NOnanced CNV) Fel eddlend Octet (2) Dolen» the error or Po trondor you are unsuro aboui. ard oxplan as dab, as you can
your rcpan wil be concbsepaydecomed aeontourdoss you noely TO Amenfadoirrenadatey. tombng tobben la Pon-Sudan:1 koe. Ome torad Cbs Senatet These nossimerts wny you belgro ri is an error or why you nood note solormabon.
re net wand urda ro SIPC (3) Ted us le dab, amodni of Ce suepected error.
Account Proleabn: erepoints held by TO Rank. NA ard TD Drek USA. N.A. aro resured by Wo wi, temmers* your °omplant and MI narent any error prompdy. H we lakei more man ID
nid FDIC (ral COvered by SIPC) Up 10 $250.000. Emils are per arabist ormert110 per Aden lido Steunbeer/art Pang: Die motet~ Ia MS somma hom boen caaned. business days lo do thie. se wil redt your eccOuM br Ine *motet yin mink is n error. 40 Pot
iinett401. TO leem more etOut FDIC (menage go to twee IdCgOv. Seadharr. indoet® meld». trom chOtakneenbat er Wei Poepende« ~en The way cd ne pag is nol you wil have drum ol the rroneydunng tho tm* a takes us toean:Cao our enveisgates.
~krat bnp., held in 00 erehaag* ACCOunt are el deposita Or obligatione d. or ~amant Ha maag taboe rot matte. TD emeritaat sel pret Om IESpeolim.takrg ille
"'wantend by. any bank. aro not FOltenscrect and Mieke envestmord nåis. ircludng ~dorden bot tm Rhea aG underbmg mek quaty. Wie SAS merkel is eurrenly
posstle loss ol princpal. TD Amen:rade is a momber ol Me &curettes Inval« Praatten tononbab e bak el Sally end. be wenk Mae an be ro esstrtrce giet toch scones an
Corporalion (51PC'). which prima: secunnes a-stomers of els manbars up lo 5500.000 to aa ader con, molmt codices. AUTO NO 07,14
(inlading 5250.000 lor dodo fez cash). Explanatory brochure is available on requal
REGULATORY DISCLOSURES
wAd.abc.ere.
TO Ansedirede URM«, eed, derd $149.5 melkion words ol prolecoon for AI Ponsaceons aro abject to p) me consmubon. Na, Condooms custard and laagt,
ileCuritieS and 52 ~ikon 01 IXONCIOn br cash ihreugh Supaementel coverden a0vided by or the exchange Of makel. and iie deemonouse. n en/. on grien toch lieneedan ere
London beurelt o E x s ecuted ui) fosfaat 4 lag:. o i u n n d c a tit g e in 0 g me Secu m noes A in c t ot 193 f 3 an on d d tho O S f «ur r te h: s SONY_GM_0001 2082
EFTA_00122733
EFTA01268212

Ameritrade Statement Reporting Period:
01/01/19 - 01/31/19
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
PO 80X 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Amer'bade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $1.09 $ - $1.09 $ -
Insrd Dep Acct (IDA) 2,262,899.79 1,258,729.35 1,004,170.44 79.8% 0.70%
Money Market
Short Balance
Stocks
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
Total $2,262,900.88 $1,258,729.35 $1,004,171.53 79.8% $ 0.00 0.0%
rtrmvrrrir
Cash Activi Summa Income & Ex • ense Summar
Non
Current YTD Reportable YTD
Reportable
Opening Balance $ 0.00 $ Income Cost Basis As Of - 01131/19 " $ -
Securities Purchased Dividends $1,250.00 $ $1,250.00 Unrealized Gains
Securities Sold Interest 1.09 1.09 Unrealized Losses
Funds Deposited 1,002,000.00 1,002,000.00 Other Funds Deposited/(Disbursed)`'1D 1,002,000.00
Funds Disbursed Expense Income/(Expense)"° 1,251.09
Income 1,251.09 1,251.09 Interest Securities Received/(Delivered)"° 0.00
Expense Fees "To view realized gains and losses for your account, login at
www.tdamerllrade.com and visit My Account > Gain/Loss.
Other (1,003,250.00) (1,003,250.00) Other
Closing Balance $1.09 $1.09 Net $1,251.09 $0.00 $1251.09
SDNY_GM_00012083
CONFIDENTIAL
page 1 o15
EFTA_00122734
EFTA01268213

Statement for Account # 867-730320
01/01/19 - 01/31/19
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer $ 1,000,000.00 $ 1,000,000.00
Subtotal 1,000,000.00 1,000,000.00
TOTAL 1,000,000.00 1,000,000.00
Income Summary Detail'
Description Current Year to Date
Interest Income Credit Balance $ 1.09 $ 1.09
Qualified Dividends 1,250.00 1,250.00
IDA Interest 920.44 920.44
'This section displays =Teal and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable In a previous tax year (spillover dividends). The year to date torah will accurately reflect your cumulative amount for the year.
Online Cash Services Transaction Detail
Category Transaction Date Description Amount
CREDITS
Electronic Transfer 01/18/2019 Wire Received $ 1,000,000.00
Subtotal 1,000,000.00
TOTAL 1,000,000.00
Account Activi
Trade Settle Acct Transaction/ Symbol!
Date Date Type Cash Activity Description CUSIP Quantity Price Amount Balance
Opening Balance $ 0.00
01/31/19 01/31/19 Cash - Income INTEREST CREDIT $ 0.00 $ 1.09 1.09
Payable: 01/31/2019
01/18/19 01/18/19 Margin - Funds Deposited Wire Received 0.00 1,000,000.00 1,000,001.09
01/22/19 01/22/19 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (1,000,000.00) 1.09
DEPOSIT ACCOUNT
01/22/19 01/22/19 Margin Journal - Funds Deposited $2000 Offer 0.00 2,000.00 2.001.09
01/23/19 01/23/19 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (2.000.00) 1.09
DEPOSIT ACCOUNT
CONFIDENTIAL SDNY_GM_00012084
page 2 of 5
EFTA_00122735
EFTA01268214

Statement for Account # 867-730320
01/01/19 - 01/31/19
Account Activit
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity Description CUSIP Quantity Price Amount Balance
01/25/19 01/25/19 Margin Div/Int - Income GENERAL ELECTRIC CO GE 0.00 1,250.00 1,251.09
COM
Payable: 01/25/2019
QUALIFIED DIVIDENDS 1250.00
01/28/19 01/28/19 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (1,250.00) 1.09
DEPOSIT ACCOUNT
Closing Balance $1.09
'For Cash Mainly totals, refer to the Cash Monty Summary on page one of your statement.
TD Ameritrade Cash Interest CreditEc.ense
Begin Margin Credit Number Interest Interest Interest
Date Balance Balance of Days Rate Debited Credited
01/18/19 $ $ 1,000,000.00 4 0.01 $ - $ 1.09
Total Interest Income/(Expense) $ 0.00 $1.09
Insured De. osit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
01/01/19 $ 1,258,729.35 10 0.6481 $ 223.49 $ 223.49 $ -
01/11/19 1,258,729.35 11 0.6978 264.69 488.18
01/22/19 2,258,729.35 1 0.6978 43.18 531.36
01/23/19 2,260,729.35 5 0.6978 216.09 747.45
01/28/19 2,261,979.35 4 0.6978 172.97 920.42 920.42
Total Interest Income $920.42
CONFIDENTIAL SDNY_GM_00012055
page 3 of 5
EFTA 00122736
EFTA01268215

Statement for Account # 867-730320
01/01/19 - 01/31/19
Insured De . osit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $1,258,729.35
01/22/19 01/22/19 Received FDIC INSURED DEPOSIT ACCOUNT $ 247.500.00 1,506,229.35
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
01/22/19 01/22/19 Received FDIC INSURED DEPOSIT ACCOUNT 226.270.65 1,732,500.00
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
01/22/19 01/22/19 Received FDIC INSURED DEPOSIT ACCOUNT 526,229.35 2,258,729.35
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
01/23/19 01/23/19 Received FDIC INSURED DEPOSIT ACCOUNT 2,000.00 2,260,729.35
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
01/28/19 01/28/19 Received FDIC INSURED DEPOSIT ACCOUNT 1,250.00 2,261,979.35
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
01/31/19 01/31/19 Received Interest: Insured 148.35 2,262,127.70
Deposit Account Bank USA
01/31/19 01/31/19 Received Interest: Insured 55.54 2,262,183.24
Deposit Account Fargo NA
01/31/19 01/31/19 Received Interest: Insured 143.31 2,262,326.55
Deposit Account of America
01/31/19 01/31/19 Received Interest: Insured 143.31 2,262,469.86
Deposit Account Bank NA
01/31/19 01/31/19 Received Interest: Insured 143.31 2,262,613.17
Deposit Account Bank NA
01/31/19 01/31/19 Received Interest: Insured 143.31 2,262,756.48
Deposit Account Bank USA
SDNYGM 00012086
CONFIDENTIAL
page 4015
EFTA 00122737
EFTA01268216

Statement for Account # 867-730320
01/01/19 - 01/31/19
Insured De . osit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
01/31/19 01/31/19 Received Interest: Insured 143.31 2,262,899.79
Deposit Account Bank NA
Closing Balance $2,262,899.79
TD Bank NA $247,643.31
TD Bank USA NA $1.024,771.01
US Bank NA $247.643.31
Citi Bank NA $247.643.31
Bank of America NA $247.643.31
Wells Fargo NA $247.555.54
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by one or more banks (Program Banks'). Two of the Program Banks are TD Bank. N.A. and
TD Bank USA. NA. both affiliates of TD Amenuade. The IDA balances are not covered by the Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
SONY_GM_0001 2087
CONFIDENTIAL
page 5 of 5
EFTA_00122738
EFTA01268217

en
Ameritrade PO BOX 2517
OMAHA NE 68103-2511
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
CONFIDENTIAL SO NY_GM_0001 2088
EFTA_00I 22739
EFTA01268218

Terms and Conditions
STATEMENT GUIDE
tv-.....ado wades morally Porddio Reports lot accoums with actrerty and quanetly moods h the even 01 a brokerage insolanCy. a dam may reteivetimants due IrOM the MAO F an ono brochure HMI includes information desoidng FINRAs Piano Dacbsum
Mr mad ve accounts Mb assns.. in brindle), and than SIPC. Simoktnemal coverage es pad out Met the trustee and Program. please Conlacl FINRA at 1930-289.9999 of wsw.lins091.
Portfolio Summary: Track» the Current value d your 000010 as of the repOrt dale and SIPC payouts and .Baler such coverage each dent is limited to a combrod return ot
compares eta pie prior month.: The assn illkaliOn Etcetera your 00010 diveraliCalion by 5152 milion from a trustee. SIPC and tendon insurers The TO Anceitrade eopptemental The interest rata Yawl for TO Amettrade Cash a taken from the amicable interestrate ter for
investment type coverage has an aggregate Iml ol $500 ninon crier at customers. TM potty wades the Medial Value balance n Ike TO Amato:rade Garth. as 01Me illatemeM closing dale Simple
Coverage loldning WOkaage insohincy anddoes nO1 poled against lass in menial vate waren is xcruad daily based on the interest tato ea moldable to each claya balance.
Whale dlocatcns under 5% ma be grouped into Mecategory of -Other' in the pie chart. Margin ot Vie socuntios
Emily - iota/ Accourn Erauiryileml Long Meginable Value • Told Short Value) Financial Statement Notificiallon: The statemom ol Maned] condban lot TO Amontrade
An investment h a money menet land is nO1 Mewed Or garotted by the Federal avalable twice a year and may be Waned al no cost via Me internal al
Activity Summary: The opening and dosing cash balances are moon:lea here ter yap quick Depose Insurance Cowman (FDIC' a any abet cevonwrat agency. Although Ire May.ii‘whetcrynentradecomOnanciatiammentlurd.
refteeice Al account activity is summated for Me currant period and year to date Vida Beek 10 preserve the val. Cd your investment NS 00 per share. it ia pOssbb 10
Income a Expense Summary inernals only): This section debit the income and entente lOse matey by investing n a money market fund. DMderds we declared defy and Optlon Assignment: At con amity opoon pavans and some index option potations aro
Mita, from le ActiNly Summary end 49863ineS the lax IrealMent. pactreinmsted monthly. The prospectus *mans the and once important dorrnbon aveltiNe lot atistymeM Carmel assignment maces Mr (Ivey of nden options are randomly
Rebreenent Account Summary (IRAs only): Review Ire IRS roaAttod Wansaceons for Me Read the prospectus Cireltily berore nveiting. NOn-defedi invettiments held by your aloCaled among alldards' shod poseons by an automated proceekve.
Curer% and prry mama IRS EOM 6498 lair mama vduti is based On the anent value ea Of broker dealer are NOT FDIC VISORED /NOT BANK GUARANTEED/ MAY LOSE VALUE.
December 31 of Pro previous year and ad to turnshod lotto Internal Revenue Scence. Free Credit Baboon Mule 15d1.2 II 3): Under me dent prouxtion Ards, we may use tree
l P o a ss d e o s r m 'o a r n y c o e u r S l u a m m m a ru ry e :M st o rn n o it n o i r s y t o ra u t ( e a g n y n . ual portfolio pedormance era ins vrrealled gains and c T a h n e t b o a la lq n u c i e d a a t ll e y d o o u n r b y a o n u k r o d r e d p e O r, s a il n = d C h u e n p t ro O c r e s e h d a s re d s a d u b y e o d u t o m y o e n w ey a M c e c r u k s e e l s m a u m tu o a u l n tu t r o d r C on re d d e it m ba a la n n d c . ers it your teCCOunt n me Ordinary Corse ol our Wetness which are ameba to yOu
Account Poalbona: Now your rnostrnoMs al ma current market vat.* and compare the ongns remitted 10 yeti
cost to see tneetaed gains and losses n your portIolig Original coal is assigned using the Margin Amami, (Regulation 7): ti you have a margin accoal. this report es a catenate., of
a fir r s s t b . n T . h a e h l e -O st u im l ( a F t I e F d O i ) r r m ie e s t t h m o e d n . i i d in ic c h om a e ss 2 u a m n e d s m av e e r r a u g st e s c h o a s re i s p e yO r u s s h o ar t e a l a e r e P o d o i ? s e M y a o y u e p d u f r o ch r a y s o e u d r T ta a x r r o R m e o p r e tr r g d r n g : c Th a e r p W la i k th e ) w m el o l I d R b S n n e a t a ta Is n . n d i a s tu M go en u t d Y a ry t i u w a e b r b ec r e e k a e m Pa s m dr 1 y 0 d 9 e 9 n f t o h r . t c o a n pt a a l l r y is in ks m an a d rg i a n s n r o y t o s u u n t t a a t n to d t a e r W al O l i N nv e m s e to m rs o . r a A n d o u c m ni p a k cc to o u le n t t o T f r a th d e n g m o k n s m as a s r o li c n ia p t o e s d e w s i t e h d d re lio ra na n l
r A e C fe C r O en o c n e l M 10 i a ld o l h y l : e s A t p l a ur : c c h o a w se l a d c a t t M e i l s y s is h d ow e n a t d or d a e n f i r l d ed ca . l t e io le n d o i f n y o O u l r e h O ot r t d in ry g . P an ed d 0 r d e ) b . ated n the M W I i t t o , r h e u t e e s d w e i l t e h n e s k i l t . e a r n ys d t W an e t m s p e r n o :p c a o n ry s b . i. SOMODerelbrtil we subject to reclasshCalOn ankh b O e a g t u m n e ; a is l b ta y s 'b ta o b b le b l i i n n g M u e s a m l a m n e a n n u M m k be d r is fa c t l e o d su o r n e p M ag o e m o e ne n 0 t 1 Y yo o u u r m Sh a i y te r o n b e t r a il i . n a copy Of Iris
a a O O d T s n e r d n s d o f e l i i . d n n s r T . t e * e a h , C t C r P e e a r a e e o s s n h o t h d r m b a i S a n n r l e g a e s r n p a v S c o i c c a e r t t e . t i i o n t s l g a n T r s p n r e a a e l n n n b e a t e d C l r c . e o t n f i n e l d e l n i u c r t m d D e n d e y g t n a a w i c m l: h e e C e L u c A e k r c e r . c y t d o t m e e u d a b n n t t t r a A a c g c a d e t r e r d / e s M d a y a in n L n i d e h t m a A a n T o n s M n e O n t a t / o l O c e d t m n m S n e t o n y M . t r a t a d h r i a e . C t a l l i e s s a te h re d e d , i n m a x o d i n a n t l g h e G a g c s o n d u o r d n a p lt i i a a c n B n k y d a y e e s a l e i b s n l b : e d y t C o E e C c n m a S O d E m a I a + m I s y W M e O b i D . t f t a C e t M r d , P y e . w P i i T n d O in o k R r a A m M n T d E m i D l o D p d a n m a 1 r a k e a 1 n a n ) d n r A a a d a m e a m n le t e d e o l h p a M o a s o f o n f L e o t i k t r i r i • s n / a g n t i o a o t d n ra t p i p G G ro e C a v r S i n e d I : e b P k r b s C a R t F l : o a A IN T a t E t i r r e e D it o b t r e t e a s a k , s t m d p fi o l e y a n n d o * t r o s P f t o e w e z a r c r o e y e t o c u i m c g u m l n e e e c d s n n a c g t s u m c h f r o s o a e m p u r r n k a c p r O e h y e y t m r n s d e o s . e x e a a b n c r t t r t i h h . o a F a n s e k l n a . e i g l w a o s W e d t O ( e . C S : d r t O E o r d p o m m C e o c p a . d e R O le n T n u r g g O e s l r e n a c A ( t s M i n O m l 6 i a a u f 0 a t r r m r 6 y t k a r e a a r r e a l d n e C a n p e d d a o y a i 6 n r - o l t M 0 s t s n o o 7 a s n d ) m - : s i i c n s I ' a o ) n c d u y l G o s n r r s o t t a e h r i m n y c l m p g e e a e i v s c n n t e h e r s ] c c e c a u o m u l m i v m r o i e o t n m p i n e d e i a u s s n n e c f i s r c s n o o a e w m t M f s o o r . y M r e r . T r o e o t O e o r r d l d d w a A i e a e n t m e r r l d C d o l r b o n a t a O w : m b r a e p t n h d e r t g e o s e r
Online Cash Services Summary:Gm:It are debt transaction totals for ma cream statement Margin and Options Account Agreements: Prorrpift adaso 10 Amentrade n wning el mecum at wwwidarnixtradecom A einem copy is avalatle upon request.
tryryIng 00006 be summarized. IndMtkel Venetia*. are notlisted- any change in your investment replies or inamial station as they pertain to your
ms'gin o. colons tiOCOunl agreements A summary of oatmeal:ins and charge, incurred II is our policy. abeenl Pelt orders tO 1110 contrary. to select brokas, deadrs, and market
roue to rounding adustments. the %seamen, domes may not copal the statement totals. win Bra execution ol aeons hansadicra is amiable. makers tend On he Wily to provde best Pecutlon and the history Of Wailing rode
telitialed venial Income and Esarnated Annual 'field velvet a e based upon he number of improvementen matted orbits. Pnce improverriam is avanablemdar carton marker condoms,
shares owned or anent value balance as ot the stalemom dale and roe most .teem dradand Current Metal Prices: The makot whin d scones have bow Maned it null*. nom and we topiary mentor extronons to WM for sish impfm oment tl ova/able.
race cr Cash yield pkMderf • eaves and Other rylependtry tons Vallee we based On the doing enth the
man between to bd ad aryng peat, a direr rreircels, a no market tau* is salable sum a Trade COMirmalleina (Rule 100-10): All cordtmatiOns are Paremilled On me Inan51050n Male.
GENERAL INFORMATION cmottryn eente cr OMR indeplidanl sena. tie security is tabled b Nine reed& SI
Mc-Priced OP). The wlusxns cn your Fatldo mean arc eroded as ryned merman ad Taxes: Transsolons in foreign smolt,. (ndoiTh0 breqin Mallory ADM tlw Irade in IRO
10 Mientrade does not provide legal or lax acMce. Please consult your legal advesof or lax sto dm guaranies to a:cum./dam scones pmts. Malmo bzkrid pardon aro mitred U,S.) may include taxes and lees charged by to Moon matted or governments. 'ich may
accountant when neryThary. ASS Standard inOssby pitiette. Dame COneenialiths May be yang me rtmanng balance and me ornery mean pike Podldio Kcal sebarons may net be Neededin Me Moe ol Me security or charged ban Videpenettni The item
MOMS ter guilty POMO and transadiOn vrygrealth DurpOSMI. ropmart sake prococch. The seanday rata la Ostficadsd Deposes (CDs) is goxraly
loud and the aclud was me' be clnertil horn the p.rthitS0 robe AsOnTant less cf Onted Pram" Peaky Notifitsflon: A copy of he TO Amen:Falb Privacy DOIcY is avarybe el
For TOAmmo-ado nsootional clones. your °dryly hen es separate hem and not alluded wan may roan tom Ito sale cd a CO as Bends skit, Frei room Saunas trade VAWnklan1CfiradOSOT
TO Artiontracd. Inc. a TO Aruba:* Owing. Inc.. and oath him is rot dispensed la the clfercnuy roam catty sctunun and do na wade on a kpsd exchango. Reno may awe n to
POMrys end senices ol Me otier. OTC Wet Memow markt( and strident kw:* may nd MP kr lid beta you( Peek^ Ina Gabler Sesames: The alocaeon of partial ra:melonsor cant is done tong a preens Item
to rem". The sad of teeth Fria to =arty may moll vi a lass el proopi. system. A description el the procedses tor Sable sicuniles is avolabb on to orobsele a hand
Accwacy of Reports:II you find any errors or omissions In your account statement you copies we available to:onto:sea
Mould immediately call us at the mamba listed on page one of your statement. You Non Standard Assets (PISA1 are ripely marmot in dred portend:on program securtios
Mould also contact our Gloating Twin, TO Amer Wade Clearing, Inc. al 8®469-3900. botrattoos. kneed tatty ccmpanca. a red estab ruminant mem. corrnadty mots, male M Case 01 Pros Or questions *Out your EledrOniC Fund Tranders. obese CO 1001 s al
ably. abate debt or hedge indi- .Sant ere Wetly Maud onesinevis ad do not lode at a 1.260 669.3900, or in twang to P.O. Box 2209. Omaha. NE 68103, or by email al
Please 'maw no Mamma carekny you etsagfeo min any transaction or it Mae aro any Mold saunas catnap a tie &coat Stock Malt. lire 'dues Myth kr moo mantras dieMereNkestialdbMilneade.COm The MOrmaton <entrained in your acConi slate em shall
afOrS 04 OrriSsiavi. [Mose nobly a Ghent Services reptesernallry Or yell tat blind, Cate. as are Sind& %%Oa dirtied Ipn weed methalk iickcird, but not killed b, independent be lancing upon yes if you do n01 01:10c1 obi.) sixty MOldays lot any dander et lurch stioaat
wet as 10 Amatrado Oeareg. Inc. in wmrg norm ton (10) days of you tempt ot this appranals to orogen: net =oh. ander add pay tender Was try inn been proMod by to Readabon E, such as ATM and point ot-sale trarelas, debit transactions. aired decoms,
soMment Any ore' statements Mal you hare made to us staid be Cannoned in wining The to management. athrturatx..ander spo-cry d oath town a by a thrd paly yenta nthout and with...nab We must hear from you no later Man 60 ads Oar we seN you me PEST
statement will Othenvee be considered COneldive independent wetcatian by 11) knotrade. Values may rob MINIM, Menai p.mhase pica, statement on whch the error or problem appeared,
actual maker ryue a be soaked rpm lqudascn Can malted value ca-nd be estabbhod (I) Tell us yOur men e and account metier
Please notty tis promptly 01 any charges in yet. Genteel irformadon. TreiniadOM Needed On trough these methods. Me wThafai may be reflected as NOnAited Rd addltad deal (2)00=amthe error or der transfer you aro unsure abOtn, and wagon as dear?' as you can
your report wit be conflate:sly deemed accurateunless you noaly TO Amen/ado irrimelatay. rowan; Lebanon kr NthStamtard here. Mame artier Gent Schram Them incerrets why you bolero rl is an error or wily you need mad inlormabon.
worry oracel under ma S1PC.. (3) Tell us Pie dollar amount of Me euiPeCted error.
Account Protection: Deposits bald by TO Sank. N.A. and TD Clank USA. N.A. are insured by Wo with invaded* your compare and real correct any error promptly. If we lake more Man ID
tie FOIC (MI Canted by SIPC) up 10 5250.000. Limits ale per aCtounl ornOrthe) Per Auden Rao Socurbm (AFtr) Prong: The motet mace fa ORS exurb:alma band:toned. business Jaya 10 00 Iris. we wit credl yaw socCuM ter me Smart you think is in area. SO OW
TO learn mere eboul FDIC Coverage god wow 101C40v. SeCtrthee. indudng d made. tom asaidentrenkes or oter hdeptrelect 'Owes. The moray el the pfefrry is net you wll have Me use of the money dung ma tmo t takes id tocompete our investoattn.
mutual Node. held in Mt Eralulage ACCOunt are fal depOsils Or 001gationS Of. Or curanIC01I I a meta wino am addax Ai /cattail SI pro, to MS pcomn.tiarg ate
guaranteed by. any bank, aro net FOltinsuied. and involve investment Mks. includng con:dram bah to bduaty and undotyng cm* gusty. The SAS rata is curronly
posstle loss ol princpal. TD Amerinde is a member ol the Securities Invader Pro:omen expinMCid a lick of Saltyand. tea mat nee Cm tie ro asterynce Mal PAM eeturlieS an
Corporation (51PG'). which amens scannas customers of ds menders up lo 5600.000 to sob under one meta cote. AUTD ISO 0744
(ndading 5250.000 lot claim for cash). Explanatory brochure is available on request at
REGULATORY DISCLOSURES
mmmalP060P.
Aelditiondly. TO Aniedtrafle prCMCbs Bed) Cleat 5149.5 milion worth 01 prolectlon tot MI bona:bons aro abaci to Ii) me constitution. Na, togulatians. customs and usages
securities and $2 milKon 01 prOleden for Nth tlYgigh SupOleMental °Overage provided by d the exchange Or narked. and as dearratiOuSe. a any. en idich such Mintadens are
London 'neuron c E o x ceuttat nit federal lass. inducing me Secunues A in n or 1933 and the S«uri a m n s d S0NY_GM_00012089
t
• was
all 4 aunirYENft ie t
EFTA 00122740
EFTA01268219

ID
Ameritrade Statement Reporting Period:
02/01/19 - 02/28/19
800.669-3900 Statement for Account # 867-730320
TD AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TD AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTFtS STE B-3
PO BOX 2209 ST THOMAS. VI 00802-13448
OMAHA. NE 68103.2209
TO Amentrade Clearing. Inc.. Member CPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $25,000.98 $1.09 $24,999.89 $
Insrd Dep Acct (IDA) 5,814,410.10 2,262,899.79 3,551,510.31 156.9% 0.70%
Money Market Fixed IDA
Short Balance Income 7.5%
24.3%
Stocks 52,806,161.05 52,806,161.05 1,354,838.31 2.6%
Short Stocks
Fixed Income 18,871,623.00 18,871,623.00 1,335,775.80 7.1%
Options
Short Options
Mutual Funds
Other Stocics
Total $77.517,195.13 $2,262,900.88 $76254,294.25 3325.6% $2,690,614.11 3.5% 68.2%
Margin Equity 100.0%
Cash Activit Summar Income & Ex • ense Summar Performance Summary
Non
Current YTD Reportable YTD
Reportable
Opening Balance $1.09 Income Cost Basis As Of - 02/28/19" $8,734,169.70
Securities Purchased Dividends S - S - $1,250.00 Unrealized Gains 1,341,407.25
Securities Sold Interest 0.98 2.07 Unrealized Losses (363,856.00)
Funds Deposited 3,574,144.52 4,576,144.52 Other Funds Deposited/(Disbursed)' 4,576,144.52
Funds Disbursed Expense Income/(Expense)Y” 1,252.07
Income 0.98 1,252.07 Interest Securities Received/(Delivered)"” 71,531,951.85
Expense Fees ••To view realized gains and losses for your account, login at
www.tdametitrade.com and visit My Account > Galn/Loss.
Other (3,549,145.61) (4,552,395.61) Other
Closing Balance $25,000.98 $25,000.98 Net $0.98 $0.00 $1,252.07
SDNY_GM_00012090
CONFIDENTIAL
pivot of 9
EFTA_00122741
EFTA01268220

Statement for Account # 867-730320
02/01/19 - 02/28/19
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer $ - $ 1,000,000.00
Subtotal 0.00 1,000,000.00
TOTAL 0.00 1,000,000.00
Income Summary Detail'
Description Current Year to Date
Interest Income Credit Balance $ 0.98 $ 2.07
Qualified Dividends 0.00 1,250.00
IDA Interest 2.364.70 3,285.14
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable In a previous tax year (spillover dividends). The year to date torah will accurately reflect your cumulative amount for the year.
Account Positions
Symbol! Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
ALIBABA GROUP BABA 5,000 $ 183.03 $915,150.00 06/10/15 $ 444,749.00 $ 88.95 $ 470,401.00 $
HOLDING LTD
ADR
ALPHABET INC GOOG 3.000 1,119.92 3,359,760.00 02/02/18 3,226,807.29 1,075.60 132,952.71
COM CL C
AMAZON COM INC AMZN 1.000 1,639.83 1,639,830.00 03/29/18 1,395,441.18 1,395.44 244,388.82
COM
APOLLO GLOBAL APO 263.157 29.30 7,710,500.10 481,577.31 6.2%
MANAGEMENT LLC
CL A SHS
APPLE INC AAPL 180.000 173.15 31,167,000.00 525,600.00 1.7%
COM
BIOGEN INC 6118 2.095 328.01 687,180.95 02/14/12 231,019.65 110.27 456,161.30
COM
CARVANA CO CVNA 25.000 44.86 1,121,500.00 06/18/18 1,086,102.28 43.44 35,397.72
COM CL A
SDNY_GM_00012091
CONFIDENTIAL
page 2 of 9
EFTA 00122742
EFTA01268221

Statement for Account # 867-730320
02/01/19 - 02/28/19
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Date
Investment Description CUSIP Quantity Price Value Basis Cost Gain(Loss) Income Yield
Stocks - Margin
CITIGROUP INC C PRK 79,000 27.06 2.137.740.00 135,801.00 6.4%
DEP SHS REPSTG 1/1000
PFD
GMAC CAPITAL TRUST I ALLY PRA 80,000 25.99 2.079.200.00 167,760.00 8.1%
8.125% PRF 15(02/2040
USD25
KARYOPHARM KPTI 25.000 4.13 103.250.00 07/12/18 4.67.106.00 18.68 (363.856.00)
THERAPEUTICS INC
COM
UNITED TECHNOLOGIES UTX 15.000 125.67 1.885.050.00 06/20/18 1.882.944.30 125.53 2.105.70 44.100.00 2.3%
CORP
COM
Total Stocks $52,806,161.05 $8,734,169.70 $977,551.25 $1,354,838.31 2.6%
Fixed Income - Margin
ASSURANT INC 04621XAK4 2.000 $ 98.00 $ 1,960,000.00 $ - $ - $ - $ 140.000.00 7.1%
SUBORDINATED NOTE
CALLABLE VAR
7% 03/27/2048
CITIGROUP INC 172967JZ5 3.000 101.25 1037.500.00 178.500.00 5.9%
SUB PERPETUAL CLBL
VAR
5.95% 12/31/2199
CITIZENS 17453BAW1 1.000 99.875 998.750.00 71.250.00 7.1%
COMMUNICATION CO
SENIOR NOTE MAN
7.125% 03+1 5/2019
EXELA INTERMEDIATE 30162RAA9 3.000 102.00 1060.000.00 300.000.00
LLC
SR SEC GLBL 23 10%
07/15/2023
JBS INVESTMENTS GMBH A29866A85 2,000 103.301 2,066,020.00 145,000.00
SR GLBL REGS 24
7.25% 04/03/2024
SDNY_GM_00012092
CONFIDENTIAL
page 3 o19
EFTA_001 22743
EFTA01268222

Statement for Account # 867-730320
02/01/19 - 02/28/19
ns
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Date
investment Description CUSIP Quantity Price Value Basis Cost Gain(Loss) Income Yield
Fixed Income - Margin
JPMORGAN CHASE & CO. 46625HHA1 5,760 100.475 5,787,360.00 358.300.80 6.2%
PERPETUAL CALLABLE
OTRLY VAR
6.2205% 12/31/2199
LLOYDS BANKING GROUP 539439AG4 1,903 103.10 1,961,993.00 142.725.00 7.6%
ALT TIER I COCO
7.5% 12/31/2199
Total Axed Income $18,871,623.00 $0.00 $0.00 $1,335,775.80 7.1%
Yields &splayed for toted income products are the estimated current yield Income displayed for fixed income products is the estimated yearly income and may not take Into account certain features of bonds such as variable rate
bonds, maturing bonds or called bonds.
Total Margin Account $71,677,784.05 $8,734,169.70 $977,551.25 $2,690,614.11 3.8%
Account Activit
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity Description CUSIP Quantity Price Amount Balance
Opening Balance $1.09
02/01/19 02/01/19 Cash Journal - Other MOVE CASH BALANCE TO $ 0.00 $ (1.09) 0.00
MARGIN
02/01/19 02/01/19 Margin Journal - Other MOVE CASH BALANCE TO 0.00 1.09 1.09
MARGIN
02/01/19 02/01/19 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (1.09) 0.00
DEPOSIT ACCOUNT
02/11/19 02/11/19 Margin Journal - Funds Deposited TOA CASH BALANCE IN 0.00 3,534,144.52 3,534,144.52
02/11/19 02/11/19 Margin Received - AUBABA GROUP HOLDING LTD MBA 5,000 0.00 - 3,534,144.52
ADR
TOA FROM PERSHING DIV OF
DONALDSON
SD 02/11/20190443
02/11/19 02/11/19 Margin Received- ALPHABET INC GOOG 3,000 0.00 - 3,534,144.52
COM CL C
TOA FROM PERSHING DIV OF
DONALDSON
SD 02/11/20190443
SDNY_GM_00012093
CONFIDENTIAL
page 4 of 9
EFTA_00 122744
EFTA01268223

Statement for Account # 867-730320
02/01/19 - 02/28/19
Account Activit
Trade Settle Acct Transaction! Symbol!
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
02/11/19 02/11/19 Margin Received - AMAZON COM INC AMZN 1,000 0.00 3,534,144.52
COM
TOA FROM PERSHING DIV OF
DONALDSON
SD 02/11/2019 0443
02/11/19 02/11/19 Margin Received - BIOGEN INC BIIB 2.095 0.00 - 3,534,144.52
COM
TOA FROM PERSHING DIV OF
DONALDSON
SD 02/11/2019 0443
02/11/19 02/11/19 Margin Received - CARVANA CO CVNA 25,000 0.00 - 3,534,144.52
COM CL A
TOA FROM PERSHING DIV OF
DONALDSON
SD 02/11/2019 0443
02/11/19 02/11/19 Margin Received - KARYOPHARM THERAPEUTICS KPTI 25.000 0.00 - 3,534,144.52
INC
CAM
TOA FROM PERSHING DIV OF
DONALDSON
SD 02/11/2019 0443
02/11/19 02/11/19 Margin Received - UNITED TECHNOLOGIES CORP UTX 15.000 0.00 - 3,534,144.52
CAM
TOA FROM PERSHING DIV OF
DONALDSON
SD 02/11/2019 0443
02/11/19 02/11/19 Margin Journal - Funds Deposited $5000 Offer 0.00 5.000.00 3.539.144.52
02/11/19 02/11/19 Margin Journal - Funds Deposited $10000 Offer 0.00 10.000.00 3,549,144.52
02/12/19 02/12/19 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (3.549,144.52) 0.00
DEPOSIT ACCOUNT
02/28/19 02/28/19 Margin Received - JBS INVESTMENTS GMBH A29866AB5 2.000 0.00 0.00
SR GIRL REGS 24
7.25% 0410312024
TOA FROM PERSHING DIV OF
DONALDSON
SD 02/28,12019 0443
SDNY_GM_00012094
CONFIDENTIAL
page 5 o19
EFTA_0011 22745
EFTA01268224

Statement for Account # 867-730320
02/01/19 - 02/28/19
Account Activit
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
02/28/19 02/28/19 Margin Received - APPLE INC AAPL 180.000 0.00 0.00
COM
TOA FROM PERSHING DIV OF
DONALDSON
SD 02/2812019 0443
02/28/19 02/28/19 Margin Received - ASSURANT INC 04621XAK4 2.000 0.00 0.00
SUBORDINATED NOTE CALLABLE
VAR
7% 03+27/2048
TOA FROM PERSHING DIV OF
DONALDSON
SD 02/2812019 0443
02/28/19 02/28/19 Margin Received - CITIGROUP INC 172967JZ5 3.000 0.00 0.00
SUB PERPETUAL CLBL VAR
5.95% 12/31r2199
TOA FROM PERSHING DIV OF
DONALDSON
SD 02/2812019 0443
02/28/19 02/28/19 Margin Received - CITIGROUP INC C PRK 79.000 0.00 0.00
DEP ShIS REPSTG 1/1000 PFD
TOA FROM PERSHING DIV OF
DONALDSON
SD 02/2812019 0443
02/28/19 02/28/19 Margin Received - CITIZENS COMMUNICATION CO 17453BAW1 1.000 0.00 0.00
SENIOR NOTE MW
7.125% 03115/2019
TOA FROM PERSHING DIV OF
DONALDSON
SD 02/2812019 0443
02/28/19 02/28/19 Margin Received - EXELA INTERMEDIATE LLC 30162RAA9 3.000 0.00 0.00
SR SEC GLBL 23 10% 07/15/2023
TOA FROM PERSHING DIV OF
DONALDSON
SD 02/2812019 0443
02/28/19 02/28/19 Margin Received - GMAC CAPITAL TRUST I ALLY PRA 80.000 0.00 0.00
8.125% PRF 15/02/2040 USD25
TOA FROM PERSHING DIV OF
DONALDSON
SD 02/2812019 0443
SDNY_GM_00012095
CONFIDENTIAL
page 6 o19
EFTA_0011 22746
EFTA01268225

Statement for Account # 867-730320
02/01/19 - 02/28/19
Account Activit
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity Description CUSIP Quantity Price Amount Balance
02/28/19 02/28/19 Margin Received - JPMORGAN CHASE & CO. 46625HHA1 5,760 0.00 0.00
PERPETUAL CALLABLE OTRLY
VAR
6.2205% 12/31/2199
TOA FROM PERSHING DIV OF
DONALDSON
SD 02/28/2019 0443
02/28/19 02/28/19 Margin Received - LLOYDS BANKING GROUP 539439AG4 1.903 0.00 0.00
ALT TIER I COCO
7.5% 12/31/2199
TOA FROM PERSHING DIV OF
DONALDSON
SD 02/28/2019 0443
02/28/19 02/28/19 Margin Received - APOLLO GLOBAL MANAGEMENT APO 263.157 0.00 0.00
LLC
CL A SHS
TOA FROM PERSHING DIV OF
DONALDSON
SD 02/28/2019 0443
02/28/19 02/28/19 Margin Journal - Funds Deposited $10000 Offer 0.00 10.000.00 10,000.00
02/28/19 02/28/19 Margin Journal - Funds Deposited $5000 Offer 0.00 5.000.00 15,000.00
02/28/19 02/28/19 Margin Journal - Funds Deposited $10000 Offer 0.00 10.000.00 25,000.00
02/28/19 02/28/19 Margin Div/Int - Income INTEREST CREDIT 0.00 0.98 25,000.98
Payable: 02/28/2019
Closing Balance $25,000.98
For Cash Activity totals, refer to the Cash Activity Summary on page one of your statement.
TD Ameritrade Cash Interest Credit Expense
Begin Margin Credit Number Interest Interest Interest
Date Balance Balance of Days Rate Debited Credited
02/11/19 $ • $ 3.549.144.52 1 0.01 $ - $ 0.97
02/28/19 25.000.00 1 0.01 0.01
Total Interest Income/(Expense) S 0.00 $0.98
CONFIDENTIAL SDNY_GM_00012096
page 7 of 9
EFTA 00122747
EFTA01268226

Statement for Account # 867-730320
02/01/19 - 02/28/19
Insured Deposit Account Interest Credited
Begin Number Interest Interest MTh MTD
Date Balance of Days Rate Accrued Accrued PAID
02/01/19 $ 2,262,900.88 11 0.6978 $ 475.86 $ 475.86 $ -
02/12/19 5,812,045.40 17 0.6978 1,888.85 2.364.71 2,364.71
Total Interest Income $2364.71
Insured De. osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $2,262,899.79
02/01/19 02/01/19 Received FDIC INSURED DEPOSIT ACCOUNT $ 1.09 2,262,900.88
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
02/12/19 02/12/19 Received FDIC INSURED DEPOSIT ACCOUNT 247.500.00 2.510.400.88
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
02/12/19 02/12/19 Received FDIC INSURED DEPOSIT ACCOUNT 1301.644.52 5.812.045.40
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
02/28/19 02/28/19 Received Interest: Insured 1,569.82 5,813,615.22
Deposit Account Bank USA
02/28/19 02/28/19 Received Interest: Insured 132.48 5,813,747.70
Deposit Account Fargo NA
02/28/19 02/28/19 Received Interest: Insured 132.48 5,813,880.18
Deposit Account of America
02/28/19 02/28/19 Received Interest: Insured 132.48 5,814,012.66
Deposit Account Bank NA
02/28/19 02/28/19 Received Interest: Insured 132.48 5,814,145.14
Deposit Account Bank NA
02/28/19 02/28/19 Received Interest: Insured 132.48 5,814,277.62
Deposit Account Bank USA
SDNY_GM_00012097
CONFIDENTIAL
page 8 of 9
EFTA 00122748
EFTA01268227

Statement for Account # 867-730320
02/01/19 - 02/28/19
Insured De. osit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
02/28/19 02/28/19 Received Interest: Insured 132.48 5,814,410.10
Deposit Account Bank NA
Closing Balance $5,814,410.10
TD Bank NA $247,632.48
TD Bank USA NA $4.576,247.70
US Bank NA $247.632.48
Citi Bank NA $247.632.48
Bank of America NA $247.632.48
Wells Fargo NA $247.632.48
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by one or more banks (Program Banks'). Two of tne Program Banks are TD Bank. N.A. and
TD Bank USA. NA. both affiliate's of TD Amenuade. The IDA balances are not covered by the Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
SDNY_GM_00012098
CONFIDENTIAL
page 9 of 9
EFTA 00122749
EFTA01268228

1D Ammedtrade PO BOX 2577
OMAHA NE 68103-2577
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS. VI 00802-1348
CONFIDENTIAL SO NY_GM_0001 2099
EFTA_00122750
EFTA01268229

Terms and Conditions
STATEMENT GUIDE
IL prandes monMy Ponton° Amons lor accoums vaal acverty and quanody regens h Ihe even 01 a ~etage ineotrency. e dient may retehtreMetints duo han Ine ~tee P an oom brochure Mat encbclas intonnabon desolang FINRA's PLtrec Declasuro
ia maa te accounts tam assels.i boidePtcY and mon SIPC. Sgpolomental covotago is pad out ni th° trustee and Program. pleese Contact PINDA at 030-289.9999 Of wmv.linnlOrg.
Portfolio Summany: DOW Ire Current Ma d you. 000010 es Of the repOrt date end SIPC Dayans ard ~or such coverage each slem es ~led to a androd return et
mappen ij to die prior nionln.> Th. INNI eliCabOn Meelt, yOur reedde divertintalion by 3152 malen hom e Mona. SIPC end tonden inneem The TI) Angedlrade applaggenlal lbo intactst rato Laan tor TO Amearade Cash is laken trom ho opptapa inkwam rato ter lor
investment type coverage hee an aggregaat Ina ol 550) muon ara ab <Lammers. TMs polcy prandes the Merkel Vatte balance n Un TO AmrtedeCesh. as OIO» illetement °ban) date Simple
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Mjbple PloCalons under 5% wi be grouged mto thoomegory ol tergt in lbo po chart. Margin ot me socurnad
Emily - Total Account ErtuibriTotel LOng Maginable Veld, • TONI Short Vekte) Finandal Statement Nonlicallon: The mammae ol hnancul condegan lor TO Omondado
invomment h a money ~del lood is not inbind Or Cuarareeed by Me Federtd ~Iade twee a year and may be obeened al nO eest. vie 'he intomen el
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totae hom me ~tab Sumnsb and damirin the lex IrealMent. pactrementod martini. TI» po:opa:us contans Oss ard odar imponart do:m.110a ateriebie essignmem Camee enirmniMIndieeti br eltity or ndex odions are fandOmly
Rebrement Account Summae,/ (IRAs any): Ramt tho IAS rceonatod transaceons lor lbo Reed the piamectue Cerehrlb berore ~bnp. NOndepatil investmente held try your alocaled aflang all doms' sleve pontons by an aulomatod proceckwe.
oterert ard aga nam IRS Form 5498 leir madet vak» is based On te afrent vatte aa d boker dealet are NOT FDIC ItISURED / NOT SANK GUARONTEEDi MAY LOSE VALDE.
Domineer 31 ot to oremus yoar anion bo turn:had to to Wendt Revenu° Sance. Free Credit Ulanen (Pub 1544 & Onder me pent promotion ribes. wo may use tree
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toet to sec uneekzed pains and loeses n your ponlo10 Original tost is (marmert uting Ihe Margin Amant, (ReguladenT):11you have a margin account. tros (*pon d a <ombinden ol
a er r s s t t m lb . r o in t c o o u lim t( a R le F d 0 1 m m os e : lh m o o d m . n e in t e e a n m e e n 2 s u a m nd p U av te e r a a n ge i M c i a m s e t s p K er o s s h e ar t e e r a e r e lh o d s o e d a yo y g e i d pu l r o c r h a y s o e u d r • T as r R em Ip e i n e r d g n n g : o Th x e rp p l e a r - n c ik e e M ~ b le E S M re a c l r e a n n n O i O s M i M nc (V lu a d o W s o a w m e b re t c r e e k s e e D d a . m d i 1 r C d 0 e 9 n fo t r . ~ ca N p e ed l r Y is O k u s r M an a d rg i e n s e no a t c o su n t t a o b r lo d e lo r ip a e ll d i e nv l e m s e to n r o s r . a A r d c o o m m p m le o t° m lo « l e in t m th e e n g ri s o k n s m al a so a c n ta p le o d se w s e e b d m dit a o r n g a in l
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Osane Cash Services Summary: trait ard deal Iransmteon totals lor lid amant statement Margin and Ontbos Account Agreements: Praamt/ adam 10 Amontrado n ming ot oxecuson a: wswidarne•Cradacom A watten *Day is avalatle Loco rozpost.
teat,» pedOrltve thimmarizel. Indhitesel bankiert...are rot listed. urry change in your investment claparros or *namat stuaitan as Mrt priain to your
mergin OCOMS tocOunt agreements A summoy or cOmminions and dorpste Meun)* is our Wem. absent Pent orders to Inc ooniraty. to select kaas. doants. ard makel
rom to monding aqustments. to «moment doods may not eØ the datement totals. wei lno executran ol radons bansancro is ~tabla. makers tand On Ine °bib to porde best erecution ani the Welory 01 ~no nen
ittiltnaled Anns,/ InCome end Esamated Annuel Veld wikte!, e e Weed upon Ihe nuMber of improvement en marka orders. Pnce noem:mamis avant,* ~af person martel condooms.
slums amice or arrom vake, balanse as ot the statenmm dale ani Me nest team duidend Ons Makel Moos: Die mak°, lidmrt ol scones have ban ~ried. d ~bak kom and wo medoc>, monter gummen: to lest lor steil moeromen t notatie.
relea CIM Iseld pttnide4 qtadai ~om and dna idependent sans Vaam we ~d On me daag free. Me
men botten mo bd ard arkng paces a aller rneeceb, t no rturkci vake n katte hom a Trede CoMIrmellone (Ruk. 100-10):AS contonalions ere Paraffine* On ne InanstaiOn dele.
GENERAL INFORMATION ~aam eend> a Ober independent ararCe. securty afbied to beng ~af de
Naglancoa eNP)_ eau your poado naad am omreed as weed intnnaten ad Toon: Trensden in bongo se minies (indidn0 laaien cOndanY ADM des Inde in tre
10 veenlade dom not provde legal or las ~ce. Plette consult your legal adersor or fax lid dora guivando to aceton/dart/ sccurtes Feces. Itoxpeo badrol postons omdool U.S.) ma/ include Lucs ard loos~ by esa hegn ma!~ er governments. vAwh may
deOuSant when neCeMery. A8 e illerMird ineleby pratte.. OOM COneentelian may be wilg We muntte banco ad Re *AMI meel OM Paden" Kamt eenons meg nel be gedeeld, in Ine OM ol lire security Of 011(0de:en ncleperderm Ine item
re0Ortiml br dielly Ontrol and TranseCtiOn irellibehtn DurpOste. nonet« sake prococch. The sco:nday naad la Cathcates d Depots (CDs) is gorceagy
boud and the edda wad me be dttemt hom tropsdirine Vee Agaten loss d PinCtd Pitmey POlky NollIkillon: A copy cl Me TO Amen:reen Plenty 001eY is ovalabb el
For TO Amentrade Issehnonal Perez. your °das« hen es scp.vate trom and not annalen vat. may rooit hm to solo ot a CD pier ta mort/. Bands ~br Fred Worm Steurt*: wade waw.damcgindacom
TO Amordrada. Inc. a TO ~tra» Clearng, Inc., ard oach lno is not responsblit Ia Me ciferomy Mat °gab sauna and dom sart cri a Ictud exchange. Renet me, barn me
laOtbas end senices dan ahoi 01C lom te °Dunk.: ~and Wrede leut% neb nel aha bla »WI na Melen 00 C l. Secwillee Tlge alom/ion el perk& talentloos a calls is dane vang a aansla Iteny
to rriouty. Tho sake ot bØ pa to rrisbany ~poon a a las d prnapd. toom. A doseren:in ol to Droomloos br Slibt° stouwer. Is avalabloon to rebus or hard
Acceracy of Report:H you tind any errors or omissies ln voer account statement you coma. are muntte upon rapen
«WAM immeidialety colt us el the ~bet had on page ome ol your inaleenent. You Non Standard Assets paal am rpocaly ~nerts n dros pattepann program si:turbo:
thould als* contact our Clearing Fr" TD Amentrade Clearing, Inc. al 800-669-81/00. !patroneer. Smaad Italstry compost:e. er red Moto niesenore troon cownadly poda. prude oase 01 «OM er pasta» &Out your %MONO Fund Tienden. Magda Co laCI e el
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uiers a ontstiom. pieste rally e Dient Services represeMethe a yetr tital brandt Otte. es are mand& aan Meed Inni oricm mehodk naldro. bul nol Ingted tx independent be bndng upon you el you do not °Moot wthn ody ietidays lor any Pandoer ot lurds salga
wol as 10 Amairado Cleantg. Mc. in wurg nithn ton (10) days ot year recept et toos opwaai& to progians rel zzon. ander tred ponytonder Mors tot len beer proded by to Regriabon E, toch as ATM and polo arole :tamtam deal transachons. direct daoses.
statement. Ary mei stafemenis Isel you hare ~Oe to ra shOtid be tOrAmted in veitog The to maragorron. ofhrraratcr. ander spa-cad °ach picgan or lor a bad party ~da Mixed and windende We must heer from ?oe ro later Man 60 den art« we seM yOu me FEST
statement wal Wieme/ be conaidered concbsbe. independem ~mam b/ ID kromabc. Valul mto nol rekel the "mal psNase pica, staeoment en whchthe error or problem appearod,
snul mand duo « be malzed racen grodama. C an osimazd vane ca-ret be er-tabbncd (I) Tell ut yOur rente end account nieter
Fletse noley m prompily ol any changes in yotr nadeel inormation. Deneetlions rederled on IIVOugh tese uvenn, me Witit001 Mei be rehected es NOrgPited ("NP1 F« ~Oma deral (2) Doscrbo the error or die :rondo/ you aro unsuro out. ard urpion as den, as you can
your cocon wil be concbsepalydatmed acooatounloss you nooly TO Aren:sado irterteddar. rogamng genaden la Nso.Stardard kub. Ome amict Gat Saam Cad thesitarts way you belast nis an error or may you nood mud .normalen.
are na maal under the SIPC, (3) Ten us Me dollar «wit of me suspaSed error.
Account Proleabn: Deposito tod by TD Dank. NA ard TD Dank Ø. NA. aro narad by Wo toe inuestgue your °omplant and wil correct arry error prompily. II we lake more Man ID
Ta FDC (nel Covers by SIPC) up le 2:250.0)1). Linda We per aCCOunl onnenDO per Pochen RØ Smurf= MES) Profil: The motet~ la AAS rimreol b.v., bommened. boeren riemt lon Ms, oe wil eredl yOur 8°MM br Me amant yOu 'hink is n 'nor. Doet
inlatullen. TO leem nare eboul FOK terdege go) N *New Ick/gOv. Snartet. indoet® mende. torngaapten erme or Wier ~Deden( ~en Theeway el Me Mode is nol you wil have the uso al the money donng to tmo t takes us tocon:toto our meenemen.
~baat lunet held in 00 6rdierage AtCOunt are 001 depOS1I8 or oblittalions d or purancol Ha moed mbo a na malM b. TI) krabde wil pootte0AS Øen. celeg nen
mewanteed by. any bank. aro not FOlt insered. and invoho investmont nåis. ircludng ansderaxn bot to kludly ad undorting colt quaty. Die ARS rakel d afrody
posstle loss ol princcial. TD Minmade is a momber ol Me Secundi: lovela Maatton emerenting e ItCk 011epielty and. ese mot thee Cm be no alenemel och eecurbes am
Corporalion (51PC). wNch praam: senne s °stomers of ds mentors up lo 5500.000 Co sekt ~a wart max opdien,. AARD 150 07na
(incedkig $250.000) lor doend lor cash). Explanatory brochure is available on request al
wnsiPu.mg. REGULATORY DISCLOSURES
Addlionady. TI) Aniedtra00 Meetlat Seri tipra $149.5 milten wordt 01 prolettion tor MI :nasa:bons aro sdotact to p) me consmubon. NOS. rogulahans afstorm and usages
SetudlieS end 32 melen 01 paaiden br Oesh thrteigh SUpOleMenlal minrage provbed by Of Me exchange or merkel. and as deam)nouse. il any. On ahob midi benastiliena ere
London kleuren oxccutet tm lademal lam. encitelng me Secuntees Act ot 1933 and tho S«urtes
Ex les end SDNY_GM_00012100
cruntyEINft oefond et !ho
EFTA 00122751
EFTA01268230

1D Ameritrade Statement Reporting Period:
03/01/19 - 03/31/19
800.669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TD AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 13-3
PO 80X 2209 ST THOMAS. VI 00802-1348
OMAHA, NE 68103-2209
TD Amer'bade Clearing. Inc.. Member CPC
Portfolio Summa
Cunent Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $0.83 $25,000.98 ($25,000.15) $
Insrd Dep Acct (IDA) 6,953,479.15 5,814,410.10 1,139,069.05 19.6% 0.70%
Money Market Fixed IDA
Short Balance Income 8.6%
22.1%
Stocks 56,085,911.35 52,806,161.05 3,279,750.30 6.2% 1,354,838.31 2.4%
Short Stocks
Fixed Income 17,902,740.00 18,871,623.00 (968,883.00) (5.1)% 1,264,525.80 7.1%
Options
Short Options
Mutual Funds
Other
Stocks
Total $80,942,131.33 $77,517,195.13 $3,424,936.20 4.4% $2,619,364.11 3.2% 69.3%
Margin Equity 100.0%
Cash Activit Summar Income & Ex • ense Summar Performance Summary
Non
Current YTD Reportable YTD
Reportable
Opening Balance $25,000.98 $ - Income Cost Basis As Of - 03(31/19" $86,881,721.99
Securities Purchased Dividends $11,025.00 $ - $12,275.00 Unrealized Gains 8,434,901.10
Securities Sold 1,000,000.00 1,000,000.00 Interest 141,307.08 141,309.15 Unrealized Losses (1,127,971.74)
Funds Deposited (42,000.00) 4,534,144.52 Other Funds Deposited/(Disbursed)v'1D 4,534,144.52
Funds Disbursed Expense Income/(Expense)"° 153,584.15
Income 152,332.08 153,584.15 Interest Securities Received/(Delivered)"° 71,531,951.85
Expense Fees •To view realized gains and losses for your account, login at
www.tdametitrade.com and visit My Account > Gab/Loss.
Other (1,135,332.23) (5,687,727.84) Other
Closing Balance $0.83 $0.83 Net $152,332.08 $0.00 $153,584.15
SDNY_GM_00012101
CONFIDENTIAL
page t ale
EFTA_00122752
EFTA01268231

Statement for Account # 867-730320
03/01/19 - 03/31/19
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer $ $ 1,000,000.00
Subtotal 0.00 1,000,000.00
TOTAL 0.00 1,000,000.00
Income Summary Detail'
Description Current Year to Date
Interest Income - Securities $ 141.306.25 $ 141,306.25
Interest Income Credit Balance 0.83 2.90
Qualified Dividends 11,025.00 12.275.00
IDA Interest 3,736.82 7,021.96
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be Included. These corrections
can include changes made to previous payments and removal of payments reportable In a prevms tax year (spillover dividends). The year to date totals will accurately reflect your cumuLative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield
Stocks - Margin
ALIBABA GROUP BABA 5,000 $ 182.45 $912,250.00 06/10/15 $ 444,749.00 $ 88.95 $ 467.501.00 $ -
HOLDING LTD
ADR
ALPHABET INC GOOG 3,000 1.173.31 3.519,930.00 02102/18 3.226.807.29 1.075.60 293.122.71
COM CL C
AMAZON COM INC AMZN 1,000 1.780.75 1.780,750.00 03/29/18 1.395.441.18 1.395.44 385.308.82
COM
APOLLO GLOBAL APO 263,157 28.25 7,434,185.25 03/29/11 4.999.983.00 19.00 2.434.202.25 481.577.31 6.5%
MANAGEMENT LLC
CL A SHS
APPLE INC AAPL 180,000 189.95 34.191,000.00 12/07/17 30.566.543.05 169.81 3.624.456.95 525.600.00 1.5%
COM
BIOGEN INC BIIB 2.095 236.38 495.216.10 02/14/12 231,019.65 110.27 264.196.45
COM
CARVANA CO CVNA 25,000 58.06 1.451,500.00 06/18/18 1.086.102.28 43.44 365,397.72
COM CL A
SDNY_GM_00012102
CONFIDENTIAL
page 2 of 8
EFTA_00122753
EFTA01268232

Statement for Account # 867-730320
03/01/19 - 03/31/19
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Date
Investment Description CUSIP Quantity Price Value Basis Cost Gain(Loss) Income Yield
Stocks - Margin
CITIGROUP INC C PRK 79,000 27.07 2.138.530.00 02/03/14 1.999.418.90 25.31 139.111.10 135.801.00 6.4%
DEP SHS REPSTG 1/1000
PFD
GMAC CAPITAL TRUST I ALLY PRA 80,000 26.04 2.083.200.00 02/22/12 1.882.773.60 23.53 200.426.40 167760.00 8.1%
8.125% PRF 15(02/2040
USD25
KARYOPHARM KPTI 25.000 5.84 146.000.00 07/12/18 467.10&00 18.68 (321.106.00)
THERAPEUTICS INC
COM
UNITED TECHNOLOGIES UTX 15.000 128.89 1,933.350.00 06/20/18 1.882.944.30 125.53 50.405.70 44.100.00 2.3%
CORP
COM
Total Stocks $56,085,911.35 $48,182,888.25 $7,903,023.10 $1,354,838.31 2.4%
Fixed Income - Margin
ASSURANT INC 04621XAK4 2.000 $ 100.205 $ Z004.100.00 03/29/18 $ 2.039.835.18 $ - $ (35.735.18) $ 140.000.00 7.0%
SUBORDINATED NOTE
CALLABLE VAR
7% 03/27/2048
CITIGROUP INC 172967JZ5 3.000 101.00 3.030.000.00 08/06/15 3.000.006.00 21994.00 178,500.00 5.9%
SUB PERPETUAL CLBL
VAR
5.95% 12/31/2199
EXELA INTERMEDIATE 30162RAA9 3.000 101.825 3.054.750.00 10/24/17 2.969.262.00 81488.00 300.000.00 9.8%
LLC
SR SEC GLBL 23 10%
07/15/2023
JBS INVESTMENTS GMBH A29866A85 2.000 103.25 2.065.000.00 10/31/17 1.981,300.00 81700.00 145.000.00 7.0%
SR PRIVATE PLACEMENT
CLBL M'W
7.25% 04/03/2024
JPMORGAN CHASE & CO. 46625HHA1 5,760 100.50 5.788,800.00 06/15/11 6.559.930.56 - (771.130.56) 358.300.80 6.2%
PERPETUAL CALLABLE
QTRLY VAR
6.2205% 12/31/2199
SDNY_GM_00012103
CONFIDENTIAL
page 3 o18
EFTA_00I 22754
EFTA01268233

Statement for Account # 867-730320
03/01/19 - 03/31/19
Account Pos Jis
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Date
Investment Description CUSIP Quaint Price Value Basis Cost Gain(Loss) Income Yield
Fixed Income - Margin
LLOYDS BANKING GROUP 539439AG4 1,903 103.00 1,960,090.00 04/10/14 1,948,500.00 11,590.00 142,725.00 7.3%
DEBENTURE CLBL OTRLY
VAR CONV
7.5% 12/31/2199
Total Fixed Income $17,902,740.00 $18,498,833.74 $(596,093.74) $1,264,525.80 7.1%
Yields cssplayed for fixed income products are the estimated current yield. Income displayed for fixed income products is the estimated yearly income and may not take Into account certain features of bonds such as variable rate
bonds. maturing bonds or called bonds.
Total Margin Account $73,988,851.35 $66,681,721.99 $7,306,929.36 $2,619,364.11 3.5%
Account Activit
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance $25,000.98
03/01/19 03/01/19 Margin Journal - Other PURCHASE FDIC INSURED $ 0.00 $ (25.000.98) 0.00
DEPOSIT ACCOUNT
03/11/19 03/11/19 Margin Divilnt - Income UNITED TECHNOLOGIES CORP UTX 0.00 11.025.00 11.025.00
COM
Payable: 03/10/2019
QUALIFIED DIVIDENDS11025.00
03/11/19 03/11/19 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (11.025.00) 0.00
DEPOSIT ACCOUNT
03/11/19 03/11/19 Margin Journal - Funds Deposited Promo-Reversal 0.00 (10.000.00) (10.000.00)
03/11/19 03/11/19 Margin Journal - Funds Deposited Promo-Reversal 0.00 (10,000.00) (20.000.00)
03/11/19 03/11/19 Margin Journal - Funds Deposited Promo-Reversal 0.00 (10,000.00) (30.000.00)
03/11/19 03/11/19 Margin Journal - Funds Deposited Promo-Reversal 0.00 (2.000.00) (32.000.00)
03/11/19 03/11/19 Margin Journal - Funds Deposited Promo-Reversal 0.00 (5.000.00) (37.000.00)
03/11/19 03/11/19 Margin Journal - Funds Deposited Promo-Reversal 0.00 (5,000.00) (42.000.00)
03/12719 03/12/19 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 42,000.00 0.00
DEPOSIT ACCOUNT
CONFIDENTIAL SDNY_GM_00012104
page 4 of 8
EFTA_00122755
EFTA01268234

Statement for Account # 867-730320
03/01/19 - 03/31/19
Account Activity
Trade Settle Acct Transaction! Symbol)
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
03/15/19 03/15/19 Margin Div/Int - Income CITIZENS COMMUNICATION CO 17453BAW1 0.00 35,625.00 35.625.00
SENIOR NOTE MW
7.125% 0311512019
Payable: 03+1512019
Taxable Int Crecited35625.00
03/15/19 03/15/19 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (35.625.00) 0.00
DEPOSIT ACCOUNT
03/15/19 03/15/19 Margin Sell - Securities Sold CITIZENS COMMUNICATION CO 17453BAW1 1.000- 100.00 1.000.000.00 1,000,000.00
SENIOR NOTE MW
7.125% 03115/2019
PROCEEDS FROM MATURITY
Auto Recfg#420911ITRICASH
PAYMENT
03/18/19 03/18/19 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (1.000,000.00) 0.00
DEPOSIT ACCOUNT
03/27/19 03/27/19 Margin Div/Int - Income ASSURANT INC 04621XAK4 0.00 70,000.00 70.000.00
SUBORDINATED NOTE CALLABLE
VAR
7% 03+27/2048
Payable: 03+27/2019
Taxable Int Crecited70000.00
03/27/19 03/27/19 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (70.000.00) 0.00
DEPOSIT ACCOUNT
03/27/19 03/27/19 Margin Div/Int - Income LLOYDS BANKING GROUP 539439AG4 0.00 35.681.25 35.681.25
DEBENTURE CLBL QTRLY VAR
CONY
7.5% 12/31/2199
Payable: 03+27/2019
Taxable Int Crecited35681.25
03/28/19 03/28/19 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (35.681.25) 0.00
DEPOSIT ACCOUNT
03/29/9 03/29/19 Margin Div/Int - Income INTEREST CREDIT 0.00 0.83 0.83
Payable: 03+29/2019
Closing Balance $0.83
'Foe Cash Amway totals. refer to the Cash Monty Summary on page one of your statement
SDNY_GM_00012105
CONFIDENTIAL
page 5 o18
EFTA_001 22756
EFTA01268235

Statement for Account # 867-730320
03/01/19 - 03/31/19
TD Ameritrade Cash Interest Credit/Expense
Begin Margin Credit Number Interest Interest Interest
Date Balance Balance of Days Rate Debited Credited
03/15/19 $ - $ 1,000,000.00 3 0.01 $ $ 0.82
03/27/19 35,681.25 1 0.01 0.01
Total Interest Income/(Expense) $ 0.00 $0.83
Insured De. osit Account Interest Credited
Begin Number Interest Interest MID MTD
Date Balance of Days Rate Accrued Accrued PAID
03/01/19 $ 5,839,411.08 10 0.6978 $ 1,116.32 $ 1,116.32 $ -
03/11/19 5,808,436.08 4 0.6978 444.16 1,560.48
03/15/19 5,844,061.08 3 0.6978 335.16 1,895.64
03/18/19 6,844,061.08 9 0.6978 1,177.54 3,073.18
03/27/19 6,914,061.08 1 0.6978 132.18 3,205.36
03/28/19 6,949,742.33 4 0.6978 531.43 3,736.79 3,736.79
Total Interest Income $3736.79
Insured De. osit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $5,814,410.10
03/01/19 03/01/19 Received FDIC INSURED DEPOSIT ACCOUNT $ 25,000.98 5,839,411.08
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
03/11/19 03/11/19 Received FDIC INSURED DEPOSIT ACCOUNT 11,025.00 5,850,436.08
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
03/12/19 03/12/19 Delivered FDIC INSURED DEPOSIT ACCOUNT (42,000.00) 5,808,436.08
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
03/15/19 03/15/19 Received FDIC INSURED DEPOSIT ACCOUNT 35,625.00 5,844,061.08
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
03/18/19 03/18/19 Received FDIC INSURED DEPOSIT ACCOUNT 247,500.00 6.091.561.08
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
SDNY_GM_00012106
CONFIDENTIAL
page eel 8
EFTA_00122757
EFTA01268236

Statement for Account # 867-730320
03/01/19 - 03/31/19
Insured Deposit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
03/18/19 03/18/19 Received FDIC INSURED DEPOSIT ACCOUNT 752,500.00 6.844.061.08
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
03/27/19 03/27/19 Received FDIC INSURED DEPOSIT ACCOUNT 70.000.00 6.914.061.08
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
03/28/19 03/28/19 Received FDIC INSURED DEPOSIT ACCOUNT 35.681.25 6.949.742.33
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
03/29/19 03/29/19 Received Interest: Insured 2.856.74 6.952.599.07
Deposit Account Bank USA
03/29/19 03/29/19 Received Interest: Insured 146.68 6.952.745.75
Deposit Account Fargo NA
03/29/19 03/29/19 Received Interest: Insured 146.68 6.952.892.43
Deposit Account of America
03/29/19 03/29/19 Received Interest: Insured 146.68 6.953.039.11
Deposit Account Bank NA
03/29/19 03/29/19 Received Interest: Insured 146.68 6.953.185.79
Deposit Account Bank NA
03/29/19 03/29/19 Received Interest: Insured 146.68 6.953.332.47
Deposit Account Bank USA
03/29/19 03/29/19 Received Interest: Insured 146.68 6.953.479.15
Deposit Account Bank NA
Closing Balance $6,953,479.15
TD Bank NA $247,646.68
TD Bank USA NA $5,715,245.75
US Bank NA $247,646.68
Citi Bank NA $247,646.68
Bank of America NA $247,646.68
Wells Fargo NA $247,646.68
FDIC Insured Deposri Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by one or more banks (*Program Banks,. Two of the Program Banks are TD Bank. N.A. and
TD Bank USA. NA.. both affiliates of TD Amentrade. The IDA balances are not covered by the Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
Important Information
BREAKPOINTS
Certain purchases of Class A Mutual Funds may be eligible for breakpoints on, and waivers of. the sales charge. To learn more about breakpoint discounts, go to
http:liwww.finra.orgiindustry/issuesibreakpoints. For more information on waiver eligibility, please refer to the fund prospectus.
SDNY_GM_00012107
CONFIDENTIAL
page 7 of 8
EFTA_00 122758
EFTA01268237

Statement for Account # 867-730320
03/01/19 - 03/31/19
Important Information
FINRA INFORMATION
Required Annual FINRA Information: Investors may request disclosable background information on any U.S. licensed broker or broker-dealer via FINRA's BrokerCheck, a free online
tool. Visit brokercheck.finra.org. Additionally, FINRA has a brochure which describes the BrokerCheck program. You may request this brochure either through the FINRA web site
www.finra.org or by calling (800) 289.9999, the BrokerCheck Hotline Number.
SDNY_GM_00012108
CONFIDENTIAL
page 8 o18
EFTA_00122759
EFTA01268238

PO
1D Ameritrade 2577
BOX
OMAHA NE 6810 3 25 7 7
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS. VI 00802-1348
CONFIDENTIAL SDNY_GM_00012109
EFTA_00I 22760
EFTA01268239

Terms and Conditions
STATEMENT GUIDE
TL tv- ad* mondes mersky Portage Reporte lor aocoums veth actay and quanody topais ln the Mati Ola Ornant intgetrenCy. e dent may mena affine due lent the Infinie For an investor brocher Mai roblos idonnabon desating FINRA% Prale Ostesva
e igue yo accounts eith assels.i In banknetcY and man SIPC. Sia:planonial cava/aga s me out aber Mo trustee and moseram. Mes° contact FINRA et 400-289.9g99 or remI ivaag.
Pallado Summary: Traie te Curent vêtue d your p00010 es 0 the repat OMO end SIPC panes and Laor suce coinçage sch clam s limiled to a conaned milan et
empares ir to pie en., moleta 1TO essai ekeeliOn anale) yeti( pOrti010 dharatelion by S152 mitron Item e trustee. SIPC end London inertes The Tel Mertrade steplatented The iniceest rate vern ter TO Amer/rade Cash e laken hem me applcatle immune ber lor
imminent type cannage les an a:Annate bra el 4600 milan one ai <usa:mors. Tris polcy mandes Me Markel Velue belote n Ire TO Amettrede Cath. as 0 rob SlableneM cbsirg date Simple
enrage lotkraing bekeege insohincy ard dons ned motel (banal bas in marken verbe neveu n atome daily base, on the immun ter applcatto to oach clefs balance.
/Ample entions und« 5'%wi6 be panai Mo the cagou el the -mile po chan. Llano e me sas
Eculy - Total Accota EguilelTeel Lena literginMle Velue • Total Shan Value) Financera Salement Notifeation: Rie Pommait or Mancie conduon lor TO Ortiontrekt
M in...riment n a money mee‘el rond is net intured Of garantie by IOe Fada& niable lobe a yens ana may be Matta al no cola. via the interna el
Acbvity Summary: Tne cpening and clamp cash balances are mooncled hait ler mu punk genou Insuran Corporation (FOC, a any *Mc. gatarrat *penny Addigh Mo htt.nvon.littonentrade.00mbnanciatialomonibtrnl.
m'ounce Ar =mue anime n sommante] lor me nanan' pua and year le date Itunds OMM tO pesa° the rate 04 yOur fanent al SI CO ph ytere. le peut» IO
Income a Exponse Samory Mon4RAs only): Nus section delaib tre neomo and egene lOse more, by intestin n a money market Itund. DMderds are *carat dely end Option Ambreront: MI Mort ocrey option passons ard soma index option pennons are
totaii rem Me Activity Soliman ana dessilles the lei lierternent dateur:enter, mordily. Tho prospectus contons Mis an] otlwe manant rtartmon niable loi maternent Eurent simienne nouer Odet/ ei index options are renhy
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curait ad me yen. IRS Form 5498 fair ment value is basait On te cornent velue as or ticket dealer arc NOT FDIC USURE!) f NOT BANK GUAfNNTEEDa MAY LOSE VALUE.
Docember 31 p1Ø promus yoar ardus to furnshod rote Internai Revenue Senne. Free CredO Balances (Pub 15c3.2 à 3): Under me dent protection rues. Lue may use free
l P o a ue u s m b a r n y t o e u r S b u r m ut e e o r r u y m :M in o a nt n e t r s y o ou m r m an e n uel portfolio performance ami the vreeeliied geins end c T a h n e b b o al a le n m c e e c l h a ie y d o o u n r b y a o n u k r o d rd a e t r e . r a n a d c c th C o u a ll o O c r o O od n s e m d a r y r O a u r l o m m on u a , s m a a u r r k e e ra t s n e ar v m a a l n te t k or ' a on n d a o l m bi a ll r a d n . t es n yOur *OMM il the Ordiery cane ol oui butines, tube, en) parade Io Mu
Accourt Positions: New your rastrnoms at te curent market val» and coerparo the Orignal tambia byta
COBI to tee biweelqed geins ana lames n your rionlole Original ces' is eling ed usine Me Mare Amaties (Populace T): H you have a marge acoxem. Ou tenon s aantnntal al
a er t s m tm T .f h ir e s t c - s o l u im l ( a F le IF d O i I r n m e e s l t h m o e d n . t M in i c d o i m a e ss 2 u a m n e d s m av e e r S a r g s e , S c h o e si n p ! e yO r u M e a t re e i a e r e P r c os :g e a Ø ya p l u l r o c r h e y s o e u d r e Te x s a le m e a r r g re r g n : c T c he e p p l e a r - d co ra m rti i o r n E S if n ro a a l e s o lm ne « n t s a n la n u e d e T s o u m es n e m r e a t m FO a r m d 1 a 0 t 9 a 9 l s o . i e ca n F d ea l n c i a e r s m a a n r d gi a n a n c o c t o L u u r m t a e m n i f e a r S p a O ll c i i n a v l e m s e to e r n s o . r A a d c u a m r p ac e c » o u ra rt t c T l i m th i e n g te o k n s m a a s m s0 a 0 n 0 p le o d se u s n e ir d d m ri a o r n g e e l
m /te ig n n a on n ° t , A un c e ti e od ly e : u A r p l a as c sh o a n se e ca c g iM e e ly n is e d t o ren te t d e e n t i n e c d lu . s b i l o e n d o i f n y M ou M b O a r n do g . P a e rd rb r d a ). n ale n the M ga I r b e o . r ta a u n le d a n c t r e i .t o e n n e d r s ire l s a ° s m m e a n ri a s i , Sonie Donnera ere nient ro oxlessrarben eirdi b do e c d u o m n e n is t b a y v e a n ta le rs d i i n n g m u e s e m l a n ç e o r n u m tek b a d i b sc le lo d su o r n e p d a a ge v r O e n n e r t a l Y p e u u r m In a te y r n °V en ai t n . e copy d Mn
« Ø O % c th d b n s d . a e l i e n r n s R . e g e n t e C e C P m a r a t a s e s h v t t h r i b e a n S a n r a l e a c s r e n a v S o c c ic e m t a i e . o n l s n a g T s n p u ' o a n t n m b o o d G o r . e o d n l n l d i e h a c u r t m D d e n d e y g l n o e u l c m r ': h e e C e u c a A e k s c . : h c e M o m n u d M e rs P e A e n g r a n d e r e d n n s y e a M n « s M d e b c A a e ti n T o s e M n a a r C a b e n O o i u t t M m r e i e r M e / . a e d u r l a o t C t e In i t M t e e r i d e a I m n g a d a i a n t t h e o m O g c e o e a n r i m m c r t e k e h B l n g e e a y e s a d t e h n b : d e y t * e a d C t n c e n O a u m ' r I a e t l i t y m l s a i r d . X a e t M e d r e ' . e w O n l I o m R D ' t o M a n A n g T E d m D l D o a A e n n m I n c a D e r a e r d r n M e d a d r a e d e e t a e t n p e r r s a e o p v t e i o d r i e n i s n l o g n C o n a O t n i d I m t p I G p C e O C a r r d E n e e P s ti s C e k R o r l i a A n b T a a t E r d m e D e e o r r s e e tt 1 c l g i r p d e o e o i l n ° a n d o d e e r t b s e f P s e r s e h a e m e o e y e a r c m g e m m l e n o c e n d r a c d p s u m c h l r o s e e e m p i r n n k a p c a O h y a y i m r s i d e s v . o x a e a b n C b c t t e h o . k F e t n m m l t n o e C l w a s e Y le d t i a ( e C * S r t t i a E d i m p o r C e o n b t a s . o o R l t e T r n a r g c O d s e a e « A t ( d s e M C r m n 6 a 4 0 g o a e a 6 e n t n t r n a a a r a a n e d G n n n d o t a o a i e 6 O n n t s 0 r t s n e e 7 o s r c ) m m a : : h ) I M s a n . u c y C n s e l a m o t a p e a n n r e r e o a e n n c s M n d e r o c c t c / c u u t o m e v m ri n n e l p i e n e d o a i u s n s n e m h s i c s a n e e t u m e M l s o a e . e M r n T « a t o l O o o r d r k n d A e n e e o / r t n d c C o I e r b e t / a e M o o e l a p t a n d e e t s g o e r
Online Cash Services Sun/Hm:Credo ant dotai transaction rates loi te cunom slaloment Mate and Options Account Agreements: Promet advise ID Amentrade n timing a ezeceson esievidarratradecont Montan ocpy is @valable apon roaxist.
ferme» OMM tee SuMMeniert IndMekel banedall eie rot huma. any oronge n your investment caecums or anormal striation as bey palan to your
margin Or Mans °cotent agreements A summery of cOmmiesions ana charge) infinie h is our percy. absent clore ordres to Mo conirary. to select ans, dealers. ard market
tue le (*ondine actusiments. te slaloment dotais may not oqaal the statemont tout war me onn= ol opens transe:cens es amiable. malien) tend On the (*My lo envole bibi meaten an' tire henry Of s'erg MM
tameled Annal Income end Ebrhated Annuel Yed veule are bored upon the nuMber d empaumezen man ordas.Pnce improyement+, antes urdor certain market tondions.
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man bene mo bd ad ahrg man. a Mer rame. t no murai toluen salade licm a Tende Connotions (Rule 100-10):MI corettmelions are Peremilled On the Irenalebn eue.
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Nul Pratt Cr, veuns cn your :cacao reçoit am anal as (400M Intrrelen dd Taxe*: Transactions in beige anales (aude° belge Girgen aces op* lise in et
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aqua and the stud ute mer be Ont non Me aunes° rste Maton lem Cl genel Prhecy Porey Nollgalon: A copy or ne TI) Amen:nue eelVeCy dOleY is ankebb el
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prakes end semons Ol the plier. OTC Pei Me coudai maktlad aectrt iquey ney me ton te IO,»b ee 10W pOtdcn pie Catie Snobes: The Modern or portal redonnonsOr ø1b is done rangeants bley
to rriany. The mb citant Fncr to morve ma/royl n a las cl nopal. smem. A morpion el the prennes for agate seules Is avalabb on te sotute et haie
Accoacy or Renons:Il you and any errors or omissions In your secoure stahament you copiai aro awitable won ril.
Moud immedimely colt us M the nutum lista on page one 01 your stelemenl. You Non Standard Amis OSAI are type-1y marnais ra dura pancpaton program saunas
Moud sise contact our Clearing m n. TD Amatirai. Clearing, Inc. al 800469-3900. gazettes. Wied lobby nenna. cr red mina renon mal. cooroary mes. mate In Case Ol ense a crashons *Out Mur ElearOne Furia Dean. prase CO tel s el
ma. 0µ11O eler a hage ale. NSao ere botta/ tala Magnera ed do noe leve cri e 1.2606693900. or n %gang to P.O. Box 2209. Omaha. NE 68103. or by ornait al
Please rommans simulent cambly. you Osagreo seta any transe:bon, or d Mao are arry necre.1 manne: nanan a Mo Kraal Stod I.LWr. ne ven non ta ne rambarde ainnuervtnerramearadecom Tle inbrunton cOntaned il mur actant sletement anen
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your report wll be concanceeideamod enamoure:4s you n'y TD Amen:fado irrerpdattei. tonna votation la hbn.Seidant Ans. Orme cama Clam Sens Dosa mante MI mu berme d is an ener or %My mu flood mua m'armoriera.
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gewanteed by. arry bank. are net FDIC.mared. and enroba enrestmord nåes. indudng madarecn boer te builly and undobng colt male. Me ARS market n eurrenly
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Corporation (SIPC). which primas mains cistomers or ds mentes up lo 9500.000 M2dØOnaLØcOdIOn. »MD 150 07a:
(incbdinp 5250.000 ler daine for cash). Explanatory brochure es araitable on repue* at
REGULATORY DISCLOSURES
amAelltorg. Toters,
Adationagy. Tl) Aneth.* protides ne oeil $149.5 trillion Minh 01 ',reelle br MI transmuons are Wood to h) me cannon. Mes. togulatens osions and usages
nordet, and S2 nitan 01 iineelOn ler Cash Ihreigh SupOleMental COverage provled by d tonne. or mulet. ana ils d'a/foreuse. il any. on Mich run hentsChins tre
London 'Murat ameuta vo ioderai 4 tans. ramena me Sennes Act bl 1933 a & nd A M ra o Saureras SDNY_GM_00012110
▪ «osa n/ rt~r11r1Be tin oun lio n Mo
EFTA 00122761
EFTA01268240

Statement Reporting Period:
Ameritrade
04/01/19 - 04/30/19
800.669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
PO BOX 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Ameritrade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Chan e Change Income Yield Portfolio Allocation
Cash ($149,196.34) $0.83 ($149,197.17) $
Insrd Dep Acct (IDA) 150,808.99 6,953,479.15 (6,802,670.16) (97.8)%
Money Market
Short Balance
Stocks 6,433,030.00 56,085,911.35 (49,652,881.35) (88.5)% 347,661.00 5.4%
Short Stocks
Axed Income 17,981,963.20 17,902,740.00 79,223.20 0.4% 1,264,525.80 7.0%
Options
Short Options
Mutual Funds
Other
Total S24,416,605.85 $80,942.131.33 ($56.525.525.48) (69.8)% $1,612,186.80 6.6% 72.8%
Margin Equity 99.0%
Frrn'Irt7= 1 Income & Ex • ense Summa Performance Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance $0.83 $ Income Cost Basis As Of - 04130119" $24,275,526.06
Securities Purchased Dividends $ - $ - $12,275.00 Unrealized Gains 924,465.20
Securities Sold 1,435,255.25 2,435,255.25 Interest 162,073.78 303,382.93 Unrealized Losses (784,998.06)
Funds Deposited 4,534,144.52 Other Funds Deposited/(Disbursed)m (4,016,664.47)
Funds Disbursed (8,550,808.99) (8,550,808.99) Expense Income/(Expense)" 315.657.93
Income 162,073.78 315,657.93 Interest Securities Received/(Delivered)" 18,199,251.91
Expense Fees "To view realized gains and losses for your account, login at
wwwidametitrade.com and visit My Account > Clain/Loss.
Other 6,804,282.79 1,116,554.95 Other
Closing Balance ($149,196.34) ($149,196.34) Net $162,073.78 $0.00 $315,657.93
SDNY_GM_00012111
CONFIDENTIAL
page 1 of 8
EFTA_00122762
EFTA01268241

Statement for Account # 867-730320
04/01/19 - 04/30/19
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer $ - $ 1,000,000.00
Subtotal 0.00 1,000,000.00
DEBITS
Electronic Transfer $ (8,550,808.99) $ (8,550,808.99)
Subtotal (8,550,808.99) (8,550,808.99)
TOTAL (8,550,808.99) (7,550,808.99)
Income Summary Detail'
Description Current Year to Date
Interest Income - Securities $ 162,073.76 $ 303,380.01
Interest Income Credit Balance 0.02 2.92
Qualified Dividends 0.00 12,275.00
IDA Interest 1.612.63 8.634.59
'This section displays current and year to date taxation values for U.S account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date fowls will accuratehi reflect your cumuiative amount for the year.
Account Positions
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Investment Description CUSIP Quantity Price Value Date Basis Coat Gain(Loss) Income Yield
Stocks - Margin
CITIGROUP INC C PRK 79.000 $ 27.72 $2,189,880.00 02/03/14 $ 1,999,418.90 $ 25.31 $ 190,461.10 $ 135,801.00 6.2%
DEP SHS REPSTG 1/1000
PFD
GMAC CAPITAL TRUST I ALLY PRA 80.000 26.30 2,104,000.00 02/22/12 1,882,773.60 23.53 221,226.40 167,760.00 8.0%
8.125% PRF 15/02/2040
USD25
UNITED TECHNOLOGIES UTX 15.000 142.61 2,139,150.00 06/20/18 1,882,944.30 125.53 256,205.70 44,100.00 2.1%
CORP
COM
Total Stocks $6,433,030.00 $5,765,136.60 $667,893.20 $347,661.00 5.4%
SDNY_GM_00012112
CONFIDENTIAL
page 2 of 8
EFTA_00122763
EFTA01268242

Statement for Account # 867-730320
04/01/19 - 04/30/19
ns
Symbol/ Current Market Purchase Cost Average Unrealized Estimated
Date
Investment Description CUSIP Quantity Price Value Basis Cost Gain(Loss) Income Yield
Fixed Income - Margin
ASSURANT INC 04621XAK4 2,000 $ 102.00 $2.040.000.00 03/29/18 $ 2,051,390.70 $ - $ (11.390.70) 5140.000.00 6.9%
SUBORDINATED NOTE
CALLABLE VAR
7% 03/27/2048
CITIGROUP INC 172967JZ5 3,000 102.00 3,060,000.00 08/06/15 3,000,006.00 59.994.60 178.500.00 5.8%
SUB PERPETUAL CLBL
VAR
5.95% 12/31/2199
EXELA INTERMEDIATE 30162RAA9 3,000 100.843 3,025,290.00 10/24/17 2,969,262.00 56,028.00 300,000.00 9.9%
LLC
SR SEC GLBL 2310%
07/15/2023
JBS INVESTMENTS GMBH A29866AB5 2.000 103.61 2,072,200.00 10/31/17 1,981,300.00 90.900.00 145.000.00 7.0%
SR PRIVATE PLACEMENT
CLBL MAN
7.25% 04/03/2024
JPMORGAN CHASE & CO. 46625HHA1 5.760 100.457 5,786,323.20 06/15/11 6.559.930.56 - (773,607.36) 358,300.80 6.2%
PERPETUAL CALLABLE
OTRLY VAR
6.2205% 12/31/2199
LLOYDS BANKING GROUP 539439AG4 1.903 105.00 1.998,150.00 04/10/14 1.948.500.00 49,650.00 142,725.00 7.1%
DEBENTURE CLBL OTRLY
VAR CONV
7.5% 12/31/2199
Total Fixed Income $17,981,963.20 $18,510,389.26 $(528,426.06) $1,264,525.80 7.0%
Yields *splayed for fixed income products are the estimated current yield. Income displayed br fixed income products is the estimated yearly Income and may not take Into account certain features of bonds such as variable rate
bonds, maturing bonds or called bonds.
Total Margin Account $24,414,993.20 $24,275,526.06 $139,487.14 $1,612,186.80 6.6%
Online Cash Services Transaction Detail
Category Transaction Date Description Amount
DEBITS
Electronic Transfer 04/09/2019 WIRE FUNDS WIRE SENT 04/09/2019 11:41:30 $ (3,000,000.00)
04/16/2019 WIRE FUNDS WIRE SENT 04/16/201908:4425 (5,400,000.00)
SDNY_GM_00012113
CONFIDENTIAL
page 3 of 8
EFTA_00122764
EFTA01268243

Statement for Account # 867-730320
04/01/19 - 04/30/19
Online Cash Services Transaction Detail
Category Transaction Date Description Amount
DEBITS
04/30/2019 WIRE FUNDS WIRE SENT 04/30/2019 14:46:04 $ (150.808.99)
Subtotal (8.550.808.99)
TOTAL (8,550,808.99)
Account Activit
Trade Settle Acct Transaction! Symbol)
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
Opening Balance $0.83
04/01/19 04/01/19 Margin Journal - Other PURCHASE FDIC INSURED $ 0.00 $ (0.83) 0.00
DEPOSIT ACCOUNT
04/03/19 04/03/19 Margin Div/Int - Income JBS INVESTMENTS GMBH A29866AB5 0.00 72.500.00 72,500.00
SR PRIVATE PLACEMENT CLBL
MW
7.25%0410312024
Payable: 0410312019
Taxable Int Crecited72500.00
04/04/ 9 04/04/19 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (72.500.00) 0.00
DEPOSIT ACCOUNT
04/09/ 9 04/09/19 Margin - Funds Disbursed WIRE FUNDS 0.00 (3.000,000.00) (3.000.000.00)
WIRE SENT 04/09/2019 11:41:30
04/ 0/ 9 04/10/19 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 3.000.000.00 0.00
DEPOSIT ACCOUNT
04/12/19 04/16/19 Margin Sell - Securities Sold ALIBABA GROUP HOLDING LTD BABA 5.000- 188.2777 941,370.66 941,370.66
ADR
Commission/Fee 5.00
Regulatory Fee 12.84
04/12/19 04/16/19 Margin Sell - Securities Sold BIOGEN INC BIIB 2.095- 235.75 493.884.59 1,435,255.25
COM
Commission/Fee 5.00
Regulatory Fee 6.66
04/16/19 04/16/19 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (1.435,255.25) 0.00
DEPOSIT ACCOUNT
04/16/19 04/16/19 Margin - Funds Disbursed WIRE FUNDS 0.00 (5,400,000.00) (5.400.000.00)
WIRE SENT 04116 /2019 08:44:25
04/17/19 04/17/19 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 5.400.000.00 0.00
DEPOSIT ACCOUNT
SDNY_GM_00012114
CONFIDENTIAL
page 4 o18
EFTA_OOI 22765
EFTA01268244

Statement for Account # 867-730320
04/01/19 - 04/30/19
Account Activit
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
04/24/19 04/24/19 Margin Delivered - APPLE INC AAPL 180.000- 0.00 0.00
COM
DTC ACT FILE REC 46
04/25/19 04/25/19 Margin Delivered- KARYOPHARM THERAPEUTICS KPTI 25.000- 0.00 0.00
INC
COM
TOA TO CHARLES SCHWAB & CO
SD 0412512019 0164
04/25/19 04/25/19 Margin Delivered - CARVANA CO CVNA 25.000- 0.00 0.00
COM CL A
TOA TO CHARLES SCHWAB & CO
SD 04+25+2019 0164
04/25/19 04/25/19 Margin Delivered - APOLLO GLOBAL MANAGEMENT APO 263.157- 0.00 0.00
LLC
CL A SHS
TOA TO CHARLES SCHWAB & CO
SD 04+2512019 0164
04/25/19 04/25/19 Margin Delivered - AMAZON COM INC AMZN 1.000- 0.00 0.00
COM
TOA TO CHARLES SCHWAB & CO
SD 04+2512019 0164
04/25/19 04/25/19 Margin Delivered - ALPHABET INC GOOG 3.000- 0.00 0.00
COM CL C
TOA TO CHARLES SCHWAB & CO
SD 04+2512019 0164
04/30/19 04/30/19 Margin Div/Int - Income JPMORGAN CHASE & CO. 46625HHA1 0.00 89373.76 89.573.76
PERPETUAL CALLABLE OTRLY
VAR
6.2205% 12/31+2199
Payable: 0413012019
Taxable Int Crecited89573.76
04/30/19 04/30/19 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (89.573.76) 0.00
DEPOSIT ACCOUNT
04/30/19 04/30/19 Margin - Funds Disbursed WIRE FUNDS 0.00 (150.808.99) (150,808.99)
WIRE SENT 04,30/2019 14:46:04
SDNY_GM_00012115
CONFIDENTIAL
page 5 of a
EFTA_OOI 22766
EFTA01268245

Statement for Account # 867-730320
04/01/19 - 04/30/19
Account Activity
Trade Settle Acct Transaction! Symbol/
Date Date Type Cash Activity• Description CUSIP Quantity Price Amount Balance
04/30/19 04/30/19 Margin Div/Int - Other FDIC INSURED DEPOSIT MMDA10 0.00 1,612.63 (149,196.36)
ACCOUNT
PLUS NOT COVERED BY SIPC
Interest: Insured
Deposit Account Bank USA
Payable: 04/30/2019
Insured Deposit Account Interest
1183.29
04/30/19 04/30/19 Margin Div/Int - Income INTEREST CREDIT 0.00 0.02 (149,196.34)
Payable: 04/30/2019
Closing Balance ($149,196.34)
Tor Cash Activity totals. refer to the Cash Activity Summary on page one of your statement
TD Ameritrade Cash Interest Credit/Ex . ense
Begin Margin Credit Number Interest Interest Interest
Date Balance Balance of Days Rate Debited Credited
04/03/19 $ $ 72,500.00 1 0.01 $ $ 0.02
Total Interest Income/(Expense) $ 0.00 $0.02
Insured Deposit Account Interest Credited
Begin Number Interest Interest MID MTD
Date Balance of Days Rate Accrued Accrued PAID
04/01/19 $ 6,953,479.98 3 0.6978 $ 398.79 $ 398.79 S.
04/04/19 7,025,979.98 5 0.6978 671.58 1,070.37
04/09/19 4,025,979.98 7 0.6978 538.75 1,609.12
04/16/19 61,235.23 14 0.1499 3.52 1,612.64 1,612.64
04/30/19 152,421.62 1 0.0000
Total Interest Income $1612.64
SDNY_GM_00012116
CONFIDENTIAL
page 6 o18
EFTA_00 I 22767
EFTA01268246

Statement for Account # 867-730320
04/01/19 - 04/30/19
Insured De osit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $6,953,479.15
04101/19 04/01/19 Received FDIC INSURED DEPOSIT ACCOUNT $ 0.83 6,953,479.98
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
04104/19 04/04/19 Received FDIC INSURED DEPOSIT ACCOUNT 72,500.00 7,025,979.98
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
04/10/19 04/10/19 Delivered FDIC INSURED DEPOSIT ACCOUNT (3.000.000.00) 4,025,979.98
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
04/16/19 04/16/19 Received FDIC INSURED DEPOSIT ACCOUNT 247.500.0O 4,273,479.98
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
04/16/19 04/16/19 Received FDIC INSURED DEPOSIT ACCOUNT 1,187,755.25 5,461,235.23
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
04/17/19 04/17/19 Delivered FDIC INSURED DEPOSIT ACCOUNT (3,976,235.23) 1,485,000.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
04/17/19 04/17/19 Delivered FDIC INSURED DEPOSIT ACCOUNT (247,500.00) 1,237,500.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
04/17/19 04/17/19 Delivered FDIC INSURED DEPOSIT ACCOUNT (247,500.00) 990,000.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
04/17/19 04/17/19 Delivered FDIC INSURED DEPOSIT ACCOUNT (247.500.00) 742,500.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
04/17/19 04/17/19 Delivered FDIC INSURED DEPOSIT ACCOUNT (247.500.00) 495,000.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
SDNY_GM_00012117
CONFIDENTIAL
page 7 018
EFTA_00122768
EFTA01268247

Statement for Account # 867-730320
04/01/19 - 04/30/19
Insured De. osit Account Activity
Date Check Date Tracking Expense
Clewed Number Written Transaction Description Code Code Amount Balance
04/17/19 04/17/19 Delivered FDIC INSURED DEPOSIT ACCOUNT (247,500.00) 247,500.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
04/17/19 04/17/19 Delivered FDIC INSURED DEPOSIT ACCOUNT (186.264.77) 61,235.23
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
04/30/19 04/30/19 Received FDIC INSURED DEPOSIT ACCOUNT 89.573.76 150,808.99
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
Closing Balance $150,808.99
TD Bank NA $150,808.99
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured Lip to applicable limits and held by one or more banks (Program Banks,. Two of the Program Banks are TD Bank. N.A. and
TD Bank USA. NA. both affiliates of TD Amentrade. The IDA balances are not covered by the Secumies Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
CONFIDENTIAL SDNY_GM_00012118
page 8 of 8
EFTA_00122769
EFTA01268248

PO
1D Ameritrade
BOX 25"
OMAHA AE 68103 2577
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS. VI 00802-1348
CONFIDENTIAL SDNY_GM_0001 2119
EFTA_00I 22770
EFTA01268249

Terms and Conditions
STATEMENT GUIDE
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ra crue accounts cum assels.i en boametcY and Mon SIPC. Sedolsonial aworado ts pad out Mof tho trust® and Program. clean Contact FINRAa180D289.9999 Of ~marmert
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~mto dbcalons under 5% ad be groep® allo lbo comgory ol %Ces- in mo po thora. Manen ot mo sawritos
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aart ard aa nam IRS FOM1 5498 Fair Me~ vel® is berd m te weent vake ai of broker dode aro NOT FDIC NSURED f NOT SANK GUAAONTEEDt MAY LOSE VALDE.
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l P o o st d a a s n b n r a y n o c u e r b S i e u n ro ry ru :M es o tr n n is o o m r s y s o a u t r e a g r y e . nd' porno® perlamence and Me va ealized geina end c T a h n e h to e l n a n n a d n ® w i o k n t b y a o n t k r o d r e d p e t r r . a a l n a d c c M tu e r w il O re r e ab d e s r r a e t d u rr n o e d g l o M n On a e r h r m "a e u e rt l = a m a o rt o r f d u n o d r b on e d d il o b r a s n t. an yOur account n ie adb an tante ol out ~ns Inheb are pratte to sou
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« n n Ø O d O a o s n . d l l b i i n o o s D . t g n e a r C t C o ~ a a s a n d s , r o h t d i m r n b a S a g n r e e s l r e p a v S o ~ i c c e m i , e o t n t s n l g e s T n p e ra d t o i n n n b s t o d a C c r . e t o n i l e n l d e / f n i c u r t m D d e n d e y g n o a w l r m t: a e e C k i w a A . d c it c , e d o m e u o d a n r n t t r a A e c g a d n e r e t m d o s e a n ~ n n ~ t h d M r M o e o n I s J s e r l i a o l e le c e m m t t r r a e n y n M o . t m a e d r t a i o t ~ t e ', r s e e ta n d e d r in m d w o d i n a n o t g o , a s O g a s r e o r s a s i e e f t e a l n n t S le y t y a e d e n a d M s n b : d e y t C o e r o e C n s o O d t e a ~ a o I a y s m t e O 1 iC s d , 1 r / C e t t h 1 o a n r e P ~ l i O T o n ~ t I R i ) c a M k i n 1 s n E d 1 l D o e ) p a n . a r m a 1 t t a e 1 r e ) d r d r a o d a d n m e n le c d = e a ~ t r s e a e d s l e i e d s d e i e s r . r n o C e a io a n n ~ d l N ~ w C C d e o C e b n E s P a * C °4 E l l a e « M l t E r n : e D S e b a c c e a e n r l ~ d O e d d d i o t i y a e n o d o r t r * f f P s r o e z h e a t c w a l e y e e r i m c g e a n i n e e t n c s d n ~ a g s l m r c h l e o o a e p m n r c r a k t h p O y a " a m r s d m r ~ . o a e V n b e n r t h o . a F s n a N l n . o r i l w s a ® W a d c ( o e C S d ~ t O E i d p o t C e M o e n a s . r p R l t e T O e r q O d s r a e ~ ~ c ( d s M o C o a 6 n a l m n 0 . t d a r 6 y o r n e i a a d d r a n e a C e s d p li a t O a o 6 o r l r 0 n s g . t 7 c ° s ~ a ) m o : i ) n t I . u a n o t y C n e s u n O o t d a r m m e e p o r r a e o r c S M n d r e s e c o e a u n i a t s i m s r o u r i n l n p e n ie d u a i o S s o n r n t i c s r n u s e o e l m s a n o , . s o r M T r o o t a O o o r r k l d o d m A e e u a m l r e d C d o I r b e r o t n a o n w t r e t a p e e n d e t n i d o e o r ,
0~e Cash Services Summary: Grolt ard der iransmnon totals lor mo aroom slatemont Margin and Ongans Account Agreements: Manen adam 10 Amontrade n wang ot ezecueon x wonvidamptradocom A entten oor is avalatle tfen syost.
report ) rada tre summair®. Indhifld tranerterie are rotlias. ry charge en your invostmont daxmos or Moraal stuaan as thoy man to your
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fEtilnialed Anne/ InCome end Esanmted Annual Meld wikte, a e based upon Ihe nuMber d emprocoment en marka orders. Poco imprommom is ava~o~er «dan mantel condors.
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mor bennen mo bd afd arkng plo= or rot rratecba no ~toi ~o m/afat= bem a Trede CO~~110nto (RW 100-10):All conlonalions are PareminetIOn 'he Inenstann date
GENERAL INFORMATION ~aan eenke «nv indetandent 8~0). ne sedan is ed lo ~g eatedef
~Prima CAP). Dm reduarts cel your ~domp= are omree kted as gcnod intimas ad Team: Traneslae in biegn se~~ (indedng laaien 00^1060Y ACES 0.M Inde h Sta
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retteruntant wan neCedery. A8 8 ellenalird naren pctiaCe. ~ne COrWenlelOrit may be ~g te renanng balince en Ine OOM manel Dna Podia® Ø wiludons may non be Niecied in Ine pica Ol ile security Of cherged aan Preanen ene ilarv
recordeed br tarmry omrol and liansattiOn viantehr Oersaai, ~tom ~ prococcb. Die seo:nday ratel la Cannes d Ceposts (CDs) es dcreraty
Meld and the &tig, was mor be 00~1 kom Me psdlese pote Mankst loss d pispa Pels, POSity Notilkedlon: A copy of Me TO Anatracb ~ai Deer is ~bb» el
For TO Amontrade breseemonal acre. your adwsor turn es weirato from and not aftaaien wel may rooit ton fop solo el a CD prof ta neiry. Bads adb ~d Iers Steurt.= wade sw.damabadoaom
TO Amanrado. Inc. a TO Arstrado Cloard, Inc., ard oach trol es nal rosponsblo Ia Om ciforomy Mare ~n zona and dom tilt tn a prud oxchongo. Aard nov Pan mo
popkis end aanlas ol 'he Mer. OTC 104« thecounipl ~Mand baant ha^ ~ nft exa b Iel »ten Se gradro 00 ~Mie ~fles: Th, Mors ar peer madommonsa ons is dane vang a pro.~ 1~y
to rrauty.lho sak atlant pncr to nature/ma/ «ah a atomair/F®0. syllem. A doscopton ol mo ~stres tof oanibte sicunlier. Is avalabbon mo ~silo or heet
Acceracy of ~ons: H you lind any errors or «Salons ln yam accouM sunemont you topos are ~nitro urn made&
rood immadiaudy celt ur el the flaneer had m page ome ol your stalanent. You Non Standard ~ets 06A10ø rdocaly naailaas n 0~ pancp.con program steurt®
tinold als* contact our C~Ing 6m, TD Amanda, Clearing, bc. el 80046945100. ~tol. Imicd habIty ~panen. eb bed ertalo rep:enen troon cownadly pook. made In Case 01 erna a western, &Out your ~POS Fund Tandem plate CO lal 8 Si
°ontv. pnore dabt ot hedge Ø. NS46 ere tivedb Naud aneel~d an do not inde en a 1a n 669.3~, os re wrang to P,O. Box 2209, Oman. NE 68103. or by omart al
Please conow mc sialoword c.irc-141y. It you cisogcce slirt any transacton, or el Mao am any nden.lsonnes canon= a mb ttr.daq Stock Malt. lbo dues ~ar ler nise erearoma dienherviniCandtrflede am The ~~~ cOnlaned n >eer actani statement nel
amore or omissies Oase rally a Dient Senicemetresendhe Or yar Seal Winch Bete. as are ettimied waas afhad Iqn *non ~hols ~dreg bd nol Inatd Ia naarder be bndog epen na el you do not °and wthn sorry ~) days lor any bandar ot luens ~pct
wol as 10 Amairado Goan-g. Ine, in wmrg maan ton (10) day: of year afoog ei tos ramØs tho eegaas m zal. ander Pad party tonder dien tut Mrt bØ preeded by to Acgdabon E, toch as ATM and pont ot na trarelas den transacieons. dna aards.
statement Ary wei statements Inst you hare ~Oe to Le share, be COnrenned in sting The lto moragron. arrdratr. ander spaar d oach paan d by a 'bvd p.ary wadi onnut and wilhOmoth We Must heer trom va) ro later Man 60 are ener we sent you me FEST
statement cum arena» be considered =nadat. inapendem ~canon b/ 11) ~e. Vakne mar nol rekel the Mona ~as/ Vee, stutsel en whchthe error or problem afpoaccO
ad made duo « bo ~zal men Icadamn t ei osindal volue ca-ra bo ettabbnod (I) Telt us yOur rente and account ~ter
Fletse notry a Drompily 01 any changes in yar cOnlaci information. TrearldiOns SOS« on OVOugh teseivelhed6. me ~air mat be realled es Ner•Pited ("NV; Fa addlbnd ~1 (2) Doscrbe the error or to :rondo/ you aro unsuro abri. ard inplan as dor/ as you can
your cron wil be conobsepalydosmod aco.pato unloss you noely TO Aren:fado irreredeey. ~rong ~zon er ~Swami Aas. paap amict Clan Seneca hete nødnat wby you bolero d is an error or why you nood maa ~sas.
rom ~wol under tro SIPC. (3) Ten us Me dollar ram of ise aunkted enor.
Account Prolectbn: Decors hold by TD Dank. NA ard TD Dank Ø. NA. aro nauren by Wo Mi encostgeo your °omplant and wil wroet any error pramen. II we lakei mom Man ID
me FDC COvered by SIPC) up 10 $250.000. Lima* are per ecomm oser~ Per Aden lido Sleurt= CARSD Prang: lbo moldL as la AAS staar:~ ban~ nr. ~re's Ons lo W Iris. we wil oraal nes eCctunt br It*tiMOunt yOu mink is n ene. ® ~
~turnt TO lam ~fe MOE FOK erende go to *New ICIC/a0v. SeadleS. indeel® d ~We. trom ~non ska or oter ~ardent ~ted The way el te prang is nol you wil have to uso al the money dunng tho tra t tokos as tocards our investgas.
~haat Ion®, held in 00 BreMerage ACCOunt are rel degeen Or oblgations ot or gemonkel Ha malde ~oe ne pealre. TD ~In® wil prmVnOAS pconon.tilrg nb
gewanned by. any bank. am not FOICensered. and envoho envestmoni nåte. includng ~dram bot to Muon n undtrang ~k guaty. Rio ARS ~ka n currordy
posstle loss ol µbØ1. TD Amereadt is a momber olme Sauna: Noester Praatten 0~~irei ti kek ol lialty end. na mul. Mae an be no ~rente tal toch modi= am
Corporalen (51PC'). wNch pretons saponiet: °stomers of els maners up lo 5500.000 to sold urda ons mant ccreacra. ~TO 150 07,14
(indeling 5250.000 ler daim lor cash). Explanatory brochure es available en requesi
REGULATORY DISCLOSURES
ws.sipc.org.
Addibonaily. TO Amerika® prOndle eer CM« $149.5 Mien word 01 maar lor Nl Pansaseons aro ~roet to p) me consmunon. N«. rodeo:ons custard and usages
Meudilete end 32 Peilen 01 praetten IOC anga Ihrtugh elupglemental ««eega provbed by d the exchange cd merkel. and il deatnatouSe. H any. on Minn non benatelers ere
London Ineuref$ « Ex s ust tro) lenemal Ww9, ent l l e ai D ng O m E e f f S r e e c unbes Act ot 1933 a A nd t e lb n o « S «urneis SDNY_GM_00012120
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EFTA 00122771
EFTA01268250

Statement Reporting Period:
Ameritrade
1D
05/01/19 - 05/31/19
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
PO 80X 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Amer'trade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash ($0.38) ($149,196.34) $149,195.96 $
Insrd Dep Acct (IDA) 0.38 150,808.99 (150,808.61) (100.0)% 0.10%
Money Market
Short Balance
Stocks 6,433,030.00 (6,433,030.00) (100.0)%
Short Stocks
Fixed Income 17,981,963.20 (17,981,963.20) (100.0)% IDA • Cash
Options 50.0% 50.0%
Short Options
Mutual Funds
Other
Total S 0.00 624416.60565 ($24.416.605.85) (100.0)% $ 0.00 0.0%
rmTmvrrrr
Cash Activi Summa Income & Ex • ense Summar
Non
Current YTD Reportable YrD
Reportable
Opening Balance ($149,196.34) $ - Income Cost Basis As Of - 05)31;19 $ -
Securities Purchased Dividends $33,945.31 $ - $46,220.31 Unrealized Gains
Securities Sold 2,435,255.25 Interest 41,873.28 345,256.21 Unrealized Losses
Funds Deposited 4,534,144.52 Other Funds Deposited/(Disbursed)' (4,093,996.09)
Funds Disbursed (77,331.62) (8,628,140.61) Expense Income/(Expense)r° 391,376.52
Income 75,818.59 391,476.52 Interest Securities Received/(Delivered)"° (5,475,032.22)
Expense (100.00) (100.00) Fees (100.00) (100.00) -'To view realized gains and losses for your account, login at
vrenctdameritrade.com end visit My Account> Clain/Loss.
Other 150,808.99 1,267,363.94 Other
Closing Balance ($0.38) ($0.38) Net $75,718.59 $0.00 $391,376.52
SDNY_GM_00012121
CONFIDENTIAL
page 1 of
EFTA_00122772
EFTA01268251

Statement for Account # 867-730320
05/01/19 - 05/31/19
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer - $ 1,000,000.00
Subtotal 0.00 1,000,000.00
DEBITS
Checks Paid $ (0.38) $ (0.38)
Electronic Transfer (77.331.24) (8,628,140.23)
Subtotal (77.331.62) (8,628,140.61)
TOTAL (77,331.62) (7,628,140.61)
Income Summary Detail*
Description Current Year to Date
Interest Income - Securities $ 41,873.28 $ 345,253.29
Ordinary Dividends (100.00) (100.00)
Interest Income Credit Balance 0.00 2.92
Qualified Dividends 33,945.31 46,220.31
IDA Interest 0.38 8,634.97
'This section displays current and year to date taxation values for U.S account. The current totals may not equate to the total payments listed on this statement as tantalum to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date totals will accurately reflect your cumuiative amount for the year.
Online Cash Services Transaction Detail
Category Transaction Date Description Amount
DEBITS
Checks Paid 05/31/2019 CASH DISBURSEMENT $ (0.38)
Electronic Transfer 05/16/2019 WIRE FUNDS WIRE SENT 05/16/2019 08:42:50 (77,331.24)
Subtotal (77,331.62)
TOTAL (77,331.62)
SDNY_GM_00012122
CONFIDENTIAL
page 2 of 6
EFTA_00122773
EFTA01268252

Statement for Account # 867-730320
05/01/19 - 05/31/19
Account Activit
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity Description CUSIP Quantity Price Amount Balance
Opening Balance ($149,196.34)
05/20/19 05/20/19 Cash Received - EXELA INTERMEDIATE LLC 30162RAA9 3,000 $ 0.00 $ - (149,196.34)
SR SEC GLBL 23 10% 07/15/2023
DTC ACT FILE AEC 383
05/31/19 05/31/19 Cash Delivered Other EXELA INTERMEDIATE LLC 30162RAA9 3- 0.00 - (149,196.34)
SR SEC GLBL 23 10% 07/15/2023
TRANSFER TO 867.730320.2
05/31/19 05/31/19 Cash Delivered-Other EXELA INTERMEDIATE LLC 30162RAA9 2,997- 0.00 (149.196.34)
SR SEC GLBL 2310% 07/15/2023
TRANSFER TO 867.730320.2
05/01/19 05/01/19 Margin Journal-Other REDEMPTION FDIC INSURED 0.00 149,196.34 0.00
DEPOSIT ACCOUNT
05/09/19 05/09/19 Margin Div/Int - Expense ALIBABA GROUP HOLDING LTD MBA 0.00 (100.00) (100.00)
ADR
ADR FEE
Payable: 05/09/2019
Ordinary Dividends -100.00
05/10/19 05/10/19 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 100.00 0.00
DEPOSIT ACCOUNT
05/15/19 05/15/19 Margin Div/Int - Income CITIGROUP INC C PRK 0.00 33,945.31 33,945.31
DEP SHS REPSTG 1/1000 PFD
Payable: 05/15/2019
OUALIFIED DIVIDENDS33945.31
05/15/19 05/15/19 Margin Div/Int - Income GMAC CAPITAL TRUST I ALLY PRA 0.00 41,873.28 75,818.59
8.125% PRF 15/02/2040 USD25
Payable: 05/15/2019
Taxable Int Creckted41873.28
05/15/19 05/15/19 Margin Journal - Other PURCHASE FDIC INSURED 0.00 (75,818.59) 0.00
DEPOSIT ACCOUNT
05/16/19 05/16/19 Margin - Funds Disbursed WIRE FUNDS 0.00 (77,331.24) (77,331.24)
WIRE SENT 05/16/201908:42:50
05/16/19 05/16/19 Margin Div/Int - Other FDIC INSURED DEPOSIT MMDA10 0.00 0.38 (77,330.86)
ACCOUNT
PLUS NOT COVERED BY SIPC
Interest: Insured
Deposit Account Bank NA
Payable: 05/31/2019
Insured Deposit Account Interest
0.38
SDNY_GM_000121 23
CONFIDENTIAL
page 3 of 6
EFTA 00122774
EFTA01268253

Statement for Account # 867-730320
05/01/19 - 05/31/19
Account Activity
Trade Settle Acct Transaction/ Symbol)
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
05/17/19 05/17/19 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 77230.86 0.00
DEPOSIT ACCOUNT
05/20/ 9 05/20/19 Margin Delivered - ASSURANT INC 04621XAK4 2.000- 0.00 0.00
SUBORDINATED NOTE CALLABLE
VAR
7% 03+27/2048
DTC ACT FILE REC 49
05/20/9 05/20/19 Margin Delivered - LLOYDS BANKING GROUP 539439AG4 1.903- 0.00 0.00
DEBENTURE CLBL QTRLY VAR
CONV
7.5% 12/31/2199
DTC ACT FILE REC 50
05/20/ 9 05/20/19 Margin Delivered - JBS INVESTMENTS GMBH A29866AB5 2.000- 0.00 0.00
SR PRIVATE PLACEMENT CLBL
MW
7.25% 04+0312024
DTC ACT FILE REC 51
05/20/ 9 05/20/19 Margin Delivered - CITIGROUP INC C PRK 79.000- 0.00 0.00
DEP SHS REPSTG 1/1000 PFD
DTC ACT FILE REC 654
05/20/19 05/20/19 Margin Delivered - CITIGROUP INC 172967JZ5 3.000- 0.00 0.00
SUB PERPETUAL CLBL VAR
5.95% 12/31/2199
DTC ACT FILE REC 655
05/20/9 05/20/19 Margin Delivered - EXELA INTERMEDIATE LLC 30162RAA9 3.000- 0.00 0.00
SR SEC GLBL 23 10% 07/1512023
DTC ACT FILE REC 656
05/20/ 9 05/20/19 Margin Delivered - GMAC CAPITAL TRUST I ALLY PRA 80.000- 0.00 0.00
8.125% PRE 15102+2040 USD25
DTC ACT FILE REC 657
05/20/ 9 05/20/19 Margin Delivered - JPMORGAN CHASE & CO. 4.6625HHA1 5.760- 0.00 0.00
PERPETUAL CALLABLE OTRLY
VAR
6.05275% 12+31/2199
DTC ACT FILE REC 658
05/20/9 05/20/19 Margin Delivered- UNITED TECHNOLOGIES CORP UTX 15,000- 0.00 0.00
COM
DTC ACT FILE REC 659
SDNY_GM_00012124
CONFIDENTIAL
page 4 o16
EFTA (X1122775
EFTA01268254

Statement for Account # 867-730320
05/01/19 - 05/31/19
Account Activity
Trade Settle Acct Transaction/ Symbol/
Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
05/30/19 05/30/19 Margin Delivered - EXELA INTERMEDIATE LLC 30162RAA9 3- 0.00 0.00
SR SEC GLBL 23 10% 07/15/2023
DTC ACT FILE REC 5
OS/31/19 05/31/19 Margin Received-Other EXELA INTERMEDIATE LLC 30162RAA9 3 0.00 0.00
SR SEC GLBL 23 10% 07/1512023
TRANSFER FROM 867-730320-1
05/31/19 05/31/19 Margin Delivered - EXELA INTERMEDIATE LLC 30162RAA9 2.997- 0.00 0.00
SR SEC GLBL 23 10% 07/15/2023
DTC ACT FILE REC 866
05/31/19 05/31/19 Margin Ck# 15356979 - Funds CASH DISBURSEMENT 0.00 (0.38) (0.38)
Disbursed
05/31/19 05/31/19 Margin Received-Other EXELA INTERMEDIATE LLC 30162RAA9 2,997 0.00 (0.38)
SR SEC GLBL 23 10% 07/15/2023
TRANSFER FROM 867-730320-1
Closing Balance ($0.38)
'Foe Cash Acinttly totals. refer to the Cash Acavity Summary on page one of your statement.
Insured De. osit Account Interest Credited
Begin Number Interest Interest MTD MTD
Date Balance of Days Rate Accrued Accrued PAID
05101/19 $ 1.612.65 8 0.1000 $ 0.04 $ 0.04 $ -
05109/19 1.512.65 6 0.1000 0.02 0.06
05115119 77.331.24 1 0.1499 0.32 0.38 0.38
05116119 77.331.62 1 0.0000
05117/19 0.38 14 0.1000
Total Interest Income $0.38
SDNY_GM_00012125
CONFIDENTIAL
page 5 o16
EFTA_00 I 22776
EFTA01268255

Statement for Account # 867-730320
05/01/19 - 05/31/19
Insured Deposit Account Activi
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $150,808.99
05/01/19 05/01/19 Delivered FDIC INSURED DEPOSIT ACCOUNT $ (149,196.34) 1.612.65
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/10/19 05/10/19 Delivered FDIC INSURED DEPOSIT ACCOUNT (100.00) 1.512.65
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/15/19 05/15/19 Received FDIC INSURED DEPOSIT ACCOUNT 75,818.59 77.331 24
PLUS NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
05/17/19 05/17/19 Delivered FDIC INSURED DEPOSIT ACCOUNT (77.330.86) 0.38
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
Closing Balance $0.38
TD Bank NA $0.38
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by one or more banks (*Program Banks". Two of the Program Banks are TO Bank. N.A. and
TD Bank USA. NA.. both affiliates of TO Amentrade. The IDA balances are not covered by the Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
Important Information
STATEMENT OF FINANCIAL CONDITION
The most recent statement of financial condition for TD Ameritrade Clearing, Inc. may be obtained at no cost, via the Internet at http://www.tdameritrade.comainancialstatement.html or
by contacting TD Ameritrade Clearing, Inc. at 1.800.669.3900. As of March 31, 2019, TD Ameritrade Clearing, Inc. had net capital and a net capital requirement of $3.3 billion and
$469.4 million, respectively. A copy of the report and comments is currently available for customers' inspection at the principal office of the Securities and Exchange Commission in
Washington D.C. and the Denver, CO office of the Commission.
SDNY_GM_00012126
CONFIDENTIAL
page 6 of 6
EFTA_00 122777
EFTA01268256

PO
1D Ameritrade 2577
6°X
OMAHA 6,E 68103 2577
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS. VI 00802-1348
CONFIDENTIAL SDNY_GM_00012127
EFTA_00I 22778
EFTA01268257

Terms and Conditions
STATEMENT GUIDE
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Onbne Cash Services Summary: tred' ard deta !ren:maan wals lor tho cunord statement Mater and Options Account Agreements: Promo,/ a/daalt) Amon:rade n ming or oxecueon ot wombarratradocom A wattencopy is overal:ba mon ~Jou.
telbare) indOel &e sumnavized. IWMOuel treneaCtern eie ~Intimi any Mono, in your invomment closcures or kornel stuabon as thoy parain to your
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GENERAL INFORMATION ~Om *ent* Oh« independent ~Ot he &tuft éS Waal to being ~stal dt
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For TO Amentrade hsehnonal dere. your adreot hen es si:parate trom and not afplooi vah h m o a u y d ro a o n i d t M te e m e : l k d u e r s m ol a o k d s m e o e r l b ) e p 0 e ~ r r to h f u ro s m br m y. e D Ø oe e n n s te a r k e F r M ed a W nn o e rm n I Ø da re er o p s t x wa t d d e P w r a a v a r. m kl , a P m O cg lk in y d N oc e c t m ilk illon: A copy of Me TO Amen:Neb Phety PONY is angeble el
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Accwacy of Report:H you fine any errors or omissie:~ In yam account statement you top*: aro muntte usonfocpor.i.
ehould immadiainy colt us el the ~Met baad on page One 01 your statement. You Non Standard Arams 04Tai aso tippery ~renend in broa postpalm program socurtes
Mould else contact our Omring ruw TD Amoeben> Clearing, Inc. el 8004694900. !praxis/'n:. lentod tublIty combinen. er red eden taprat oudst convedtypcds. primo in case ol enered (Nesten. !lul your EledrOniC Fund %adem please CO led 8 el
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orde er °minnere. please rally e Client Services represeMethe d your kar braai 0.00. es se ~Wed wiknee dei d heen wrkke ~hals hokten> bul nol kined l independed be bndng ogen you el you do not obied wthn 'Jay NO) day: lor any handser of lutos papa
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ettornen. Am wei ettmente Mei you hing ~de to ra share, be COMmeed in airco The to ~mormel. xrvinurast. anda game osh aman er by a thre pary ander ~out ard sitheiremb We must har Oom you ro later Puin 60 dage eller we sent var The FEST
statement Oh anenes be COreidered *netoog. inca:penden wreden by DJ ~e. Wroet mei rol reik« Ine Merel ~me pica statement ai whsh Me error or problem appearcd.
snul trassil tauo a be roa bod razn rommicn t al orartWed valse card be ~karn (I /Tee us yeer ren» end account natter
Rome ~elf os prompily 01 any charge, in yor GOM& information. Dereedions Mede* On OVOugh tese methode. Me autdcn mar be remled es Nanl'ited CM') Fa addlend deed (2) Oincerethe error er the aandoe you aro unsuro ou t. ard oxplan as deer, as you can
your rcpon wil be concbston~ed acarfalourdoss you rooie TD Amatradoernmochotay. mgamnp waaien la WeStardard ka pene coma Ooi Sonar- Dom ~Broers wny you bolero nis an orror or why you nood moro inlormalron.
rond wao:1u~ the SIPC, (3) Tea us Ine doder amouni of ene surbected error.
Account Prolectbn: Deposes tob by TO flank. NA ard TD Dar* USA. N,A. aro nsured by Wo oh marmerde your °omplant and wil correct any error promptly. N wo take more man 10
dM FDIC COUered by SIPC) up 10 1250.600. Limit* Bie per 8•CCOunl oymerdlO per Aram Rao Sacurbra CARS)Prong: Tro makelmem la AAS secur~N o ban caancd. busreis das lo do ges. se wil dan your °MOM kor Me emotie yOu Mink is n error. ame
~dienen. TO leem more (Neut FDIC COvearge pC, t Yam 101040v. SeCtrIleS. indoet® d ~We. Iran panden emirs or Wei hdepedere ~eo lhe mosay ol ire dom is nol you wil navo eo uso ol the rricnoy dunne tho trio t takes us to caesar:c our match:aten.
~Nat lunet., held in your erehaag.° ACCOunt are rel depent. Or oblipalions of. or garankel Ila natra wao a ra J.Stb. TD Molmde dl aso to SAS paan. tang eb
p gu o m ss a t n le te e lo d s s b y o . l a p n ri y n c b p a a n l. k . T a D r e A m no en t t F ra O d I e C i . s in a sw m e o d m . a b n e d r o 'm l th o e lm & m en o v r e il s le tm s e I n n t v n o s e k l s « . P i r n o d m u o d te rg n e ce ne ro ra d n e d rw rig n e b a o n n k O t f o Ø y equ a e y n d a . v e d s a u ~ nd A e ar d ri i g e re m a a n t b q e u ro at y w . a D n ie n e S , A t S e l ~ b k a e h i 9 0 a 0 0 a b m en a tr n y
Corporalion (51PC'). which uraan: secure*: antoniem of els merrbers up lo 5500.000 to sold rader paart ~bs optici-n. AtiM 1500714
(inceading S250.000 lor claims fes cash). Explanalory brochure is overlade on requesI at
REGULATORY DISCLOSURES
www.sipc.ag.
S A Lo e d C n d d u ir o d e i n l n e b e d e ly B u . a r d e T l O 3 t 2 A m rd ile e n n t 0 e 1 * p p a r n <M ne O n S f M a i c a a s d h e W ed o $ u 1 » 4 9 ile .5 p O m le il m io e n n ta w l e c d o e u r o a l g p e r o p l r e o c v t i i d o e n d f b o y r « M O EY r r I a M m u e a w e m e xc : : b h o t a u n n i g s l e o a d O ro e f i a n n b g j b k e e c l 0 t . . a t o o n i u n i d e n d i c i u m r e i l e D t d n c e g O o e n t a sm gr u o S b u o e s n c e . u . m N m e a o e s . n g A t i . o n d o g n u e l s a l n re 1 o n 9 b s 3 . V 3 * c o e a l c o n h e w d t n n r g e s o n a n d S d i « ~ n u g s r t e e t e : s i s e SDNY_GM_00012128
EFTA 00122779
EFTA01268258

ID Ameritrade Statement Reporting Period:
06/01/19 - 06/30/19
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
PO 80X 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TO Amer'trade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Change Change Income Yield Portfolio Allocation
Cash $0.03 ($0.38) $0.41 $
Insrd Dep Acct (IDA) 0.38 (0.38) (100.0)%
Money Market
Short Balance
Stocks
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds •
Other
Cash
Total $0.03 $ 0.00 $0.03 $ 0.00 0.0% 100.0%
frrrimvrrrri
Cash Activi Summa Income & Ex • ense Summar
Non
Current YTD Reportable YTD
Reportable
Opening Balance ($0M) $ - Income Cost Basis As Of - 0640/19 " $ -
Securities Purchased Dividends $11,025.00 $ - $57,245.31 Unrealized Gains
Securities Sold 2,435,255.25 Interest 0.03 345,256.24 Unrealized Losses
Funds Deposited 4,534,144.52 Other Funds Deposited/(Disbursed)m (4,105,021.09)
Funds Disbursed (11,025.00) (8,639,165.61) Expense Income/(Expense)"° 402,401.55
Income 11,025.03 402,501.55 Interest Securities Received/(Delivered)"' (5,475,032.22)
Expense (100.00) Fees (100.00) -To view realized gains and losses for your account, login at
vraw.tdemerinade.com and visit My Accounl Galn/Loss.
Other 0.38 1,267,364.32 Other
Closing Balance $0.03 $0,03 Net $11,025.03 $0.00 $402,401.55
S0NY_GM_00012129
CONFIDENTIAL
page 1 o14
EFTA_00122780
EFTA01268259

Statement for Account # 867-730320
06/01/19 - 06/30/19
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer S $ 1,000,000.00
Subtotal 0.00 1,000,000.00
DEBITS
Checks Paid $ (11.025.00) $ (11,025.38)
Electronic Transfer (8,628,140.23)
Subtotal (11.025.00) (8,639,165.61)
TOTAL (11,025.00) (7,639,165.61)
Income Summary Detail*
Description Current Year to Date
Interest Income - Securities $ 0.00 $ 345,253.29
Ordinary Dividends 0.00 (100.00)
Interest Income Credit Balance 0.03 2.95
Qualified Dividends 11,025.00 57,245.31
IDA Interest 0.00 8,634.97
'This section displays einem and year to date taxation values for thIS account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date totals will accurately reflect your cumuiative amount for the year.
Online Cash Services Transaction Detail
Category Transaction Date Description Amount
DEBITS
Checks Paid 06/21/2019 CASH DISBURSEMENT $ (11,025.00)
Subtotal (11,025.00)
TOTAL (11,025.00)
ccount Active
Trade Settle Acct Transaction/ Symbol!
Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance
Opening Balance ($0.38)
06/28/19 06/28/19 Cash Div/Int - Income INTEREST CREDIT $ 0.00 $ 0.03 (0.35)
Payable: 06/28/2019
06/03/19 06/03/19 Margin Journal - Other REDEMPTION FDIC INSURED 0.00 0.38 0.03
DEPOSIT ACCOUNT
SDNY_GM_00012130
CONFIDENTIAL
page 2 o14
EF1'A_00122781
EFTA01268260

Statement for Account # 867-730320
06/01/19 - 06/30/19
Account Activit
Trade Settle Acct Transaction Symbol/
Data Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance
06/10/19 06/10/19 Margin Divfint - Income UNITED TECHNOLOGIES CORP UTX 0.00 11,025.00 11,025.03
COM
Payable: 06/10/2019
OUALIFIED DIVIDENDS11025.00
06/21/19 06/21/19 Margin CM 15437407 - Funds CASH DISBURSEMENT 0.00 (11,025.00) 0.03
Disbursed
Closing Balance $0.03
'For Cash Activity totals, refer to the Cash Activity Summary on page one of your statement.
TD Ameritrade Cash Interest Credit/Ex . - nse
Begin Margin Credit Number Interest Interest Interest
Date Balance Balance of Days Rate Debited Credited
06/10/19 $ $ 11,025.00 11 0.01 S. $ 0.03
Total Interest Income/(Expense) $ 0.00 $0.03
Insured De. osit Account Activity
Date Check Date Tracking Expense
Cleared Number Written Transaction Description Code Code Amount Balance
Opening Balance $0.38
06/03/19 06/03/19 Delivered FDIC INSURED DEPOSIT ACCOUNT $ (0.38) 0.00
PLUS NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
Closing Balance $ 0.00
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-Insured up to applicable limits and held by one or more banks ['Program Banks'). Two of the Program Banks are TO Bank. N.A. and
TD Baia USA. NA. both affiliates of TO Arnenuade. The IDA balances are not covered by the Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
Important Information
STATEMENT OF FINANCIAL CONDITION
The most recent statement of financial condition for TD Ameritrade Clearing, Inc. may be obtained at no cost, via the Internet at http://unwndameritrade.com/financialstatement.html or
by contacting TD Ameritrade Clearing, Inc. at 1.800.669.3900. As of March 31, 2019, TD Ameritrade Clearing, Inc. had net capital and a net capital requirement of $3.3 billion and
$469.4 million, respectively. A copy of the report and comments is currently available for customers' inspection at the principal office of the Securities and Exchange Commission in
Washington D.C. and the Denver, CO office of the Commission.
SDNY_GM_00012131
CONFIDENTIAL
page 3 of 4
EFTA_00122782
EFTA01268261

Statement for Account # 867-730320
06/01/19 - 06/30/19
Important Information
FINRA INFORMATION
Required Annual FINRA Information: Investors may request disclosable background information on any U.S. licensed broker or broker-dealer via FINRA's BrokerCheck, a free online
tool. Visit brokercheck.finra.org. Additionally, FINRA has a brochure which describes the BrokerCheck program. You may request this brochure either through the FINRA web site
www.finra.org or by calling (800) 289.9999, the BrokerCheck Hotline Number.
SDNY_GM_00012132
CONFIDENTIAL
page 4 o14
EFTA_00122783
EFTA01268262

1D Ameritrade
BOX 25"
OMAHA 6.E 68103.2577
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS. VI 00802-1348
CONFIDENTIAL SDNY_GM_00012133
EFTA_00122784
EFTA01268263

Terms and Conditions
STATEMENT GUIDE
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e Ø O d d T o r l e n s e . e b l d i n s n I e . t r : n a • w e t C ~ e a s m a s o t s t a e , t h r n M n a : S r g a r e e o n a r p v S c s i o o t e c e . e l t i n t i s l c s e T n a b i » o l e l M r n e te u : a G l s r . e t o n i l O n l d o l n i o u r m t d D o n d e y g l e n e n n < c m : h . e C e . . c a A W k s c . h c d e o m e u d a b n n i t t l r a A e c g n a d e r e n m d s e e a ) W , n n s t d i a & l M b a e o n L s n n e I n a n a o / l d e a n a m n r , m r e o ' n h . m a a d n r l a e . c t e l t e i s a e te l r l e e d d r i n m d w o d r i a n e t g n o N o c g o u o m t Y a n t r d r a e a a i n t n b t t y e y « e e ) e r c m s n l b : d o y M C e lt o C o n o m ~ O d " E m , I a a t u n h a s k a d . m t D e W m O d R o w P l i I o n D e O k l l R m a A A n 1 d r T d n D O l o o p r ) m n n a n 1 a e t a 1 e n r o ) b d n r e d a e m d a n d e t e a = n Ø t s w cO ~ l I e S n O o k i n r s m n . g n C a o a io t a n n r d l e N ~ p G C O M & C r I E S e e P b h s C b a t E P F b M P a i I s E a M m r D e e i b e o r r e l 6 s lt k 1 r 8 O d d 0 d r o n ~ a n e d ol r b * P w s e z h r a e c e a w y d e i r m e e a l n e n e c t n d s ( a n g u s l m c h l o o r s a e m p i f r n k k a p e c O h y e y e m r r s 1 d e a . e x e a a Ø n c b r t h l o . R l s a n h e o n s l w g a e W e d e ( o d C S g d l o r E d r m p o o C e o n p m a s . o R l t e T n m o r g O e s b n a c A t t s l i a e l r m a 6 e n l 0 a r t o d r y 6 t e n r e a a n r t a n a d e G n d b e p a e l o a i 6 o i n r s r 0 t n e r : o 7 o s r d ) a m c : h i ) I o s a . n u c k y C b s n i m O o e o ta m m r e r g o p m a e n n c l o n b d r a s c c o a w u a e b m v m r e o p o m n o e n e e i a s u s n n e ° e s i c s n d r a o o u l m l t s o o r o . n r e a T « b t o l O o o d d r m b d A o e b a / m r l a e C l o r b o e t r e o d o r d a r , n e p a n e r t e l g o s o r
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Accwacy of Report:H you fine any errors or omissie:~ In yam account statement you top*: aro muntte usonfocpor.i.
ehould immadiainy colt us el the ~Met baad on page One 01 your statement. You Non Standard Arams 04Tai aso tippery ~renend in broa postpalm program socurtes
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ettornen. Am wei ettmente Mei you hing ~de to ra share, be COMmeed in airco The to ~mormel. xrvinurast. anda game osh aman er by a thre pary ander ~out ard sitheiremb We must har Oom you ro later Puin 60 dage eller we sent var The FEST
statement Oh anenes be COreidered *netoog. inca:penden wreden by DJ ~e. Wroet mei rol reik« Ine Merel ~me pica statement ai whsh Me error or problem appearcd.
snul trassil tauo a be roa bod razn rommicn t al orartWed valse card be ~karn (I /Tee us yeer ren» end account natter
Rome ~elf os prompily 01 any charge, in yor GOM& information. Dereedions Mede* On OVOugh tese methode. Me autdcn mar be remled es Nanl'ited CM') Fa addlend deed (2) Oincerethe error er the aandoe you aro unsuro ou t. ard oxplan as deer, as you can
your rcpon wil be concbston~ed acarfalourdoss you rooie TD Amatradoernmochotay. mgamnp waaien la WeStardard ka pene coma Ooi Sonar- Dom ~Broers wny you bolero nis an orror or why you nood moro inlormalron.
rond wao:1u~ the SIPC, (3) Tea us Ine doder amouni of ene surbected error.
Account Prolectbn: Deposes tob by TO flank. NA ard TD Dar* USA. N,A. aro nsured by Wo oh marmerde your °omplant and wil correct any error promptly. N wo take more man 10
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p gu o m ss a t n le te e lo d s s b y o . l a p n ri y n c b p a a n l. k . T a D r e A m no en t t F ra O d I e C i . s in a sw m e o d m . a b n e d r o 'm l th o e lm & m en o v r e il s le tm s e I n n t v n o s e k l s « . P i r n o d m u o d te rg n e ce ne ro ra d n e d rw rig n e b a o n n k O t f o Ø y equ a e y n d a . v e d s a u ~ nd A e ar d ri i g e re m a a n t b q e u ro at y w . a D n ie n e S , A t S e l ~ b k a e h i 9 0 a 0 0 a b m en a tr n y
Corporalion (51PC'). which uraan: secure*: antoniem of els merrbers up lo 5500.000 to sold rader paart ~bs optici-n. AtiM 1500714
(inceading S250.000 lor claims fes cash). Explanalory brochure is overlade on requesI
REGULATORY DISCLOSURES
www.sipc.ag.
S A Lo e d C n d d u ir o d e i n l n e b e d e ly B u . a r d e T l O 3 t 2 A m rd ile e n n t 0 e 1 * p p a r n <M ne O n S f M a i c a a s d h e W ed o $ u 1 » 4 9 ile .5 p O m le il m io e n n ta w l e c d o e u r o a l g p e r o p l r e o c v t i i d o e n d f b o y r « M O EY r r I a M m u e a w e m e xc : : b h o t a u n n i g s l e o a d O ro e f i a n n b g j b k e e c l 0 t . . a t o o n i u n i d e n d i c i u m r e i l e D t d n c e g O o e n t a sm gr u o S b u o e s n c e . u . m N m e a o e s . n g A t i . o n d o g n u e l s a l n re 1 o n 9 b s 3 . V 3 * c o e a l c o n h e w d t n n r g e s o n a n d S d i « ~ n u g s r t e e t e : s i s e SDNY_GM_00012134
EFTA_00122785
EFTA01268264

Statement Reporting Period:
Ameritrade
1D
07/01/19 - 07/31/19
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
PO 80X 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Amedbade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Chan e Change Income Yield Portfolio Allocation
Cash $0.03 $0.03 $ $
Insrd Dep Acct (IDA)
Money Market
Short Balance
Stocks
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
Cash
Total $0.03 $0.03 $ 0.00 $ 0.00 0.0% 100.0%
Rairmirtnirrirt
Cash Activi Summa Income & Ex • ense Summa
Non
Current YTD Reportable YTD
Reportable
Opening Balance $0.03 $ - Income Cost Basis As Of 07/31/19 " $ -
Securities Purchased Dividends S - $ - $57,245.31 Unrealized Gains
Securities Sold 2,435,255.25 Interest 345,256.24 Unrealized Losses
Funds Deposited 4,534,144.52 Other Funds Deposited/(Disbursed)YM (4,105,021.09)
Funds Disbursed (8,639,165.61) Expense Income/(Expense)n° 402,401.55
Income 402,501.55 Interest Securities Received/(Delivered)r° (5,475,032.22)
Expense (100.00) Fees (100.00) **To view realized gains and losses for your account, login al
vnewidamerlIzade.com and visit My Account Claln/Loss.
Other 1,267,364.32 Other
Closing Balance $0.03 $0.03 Net $0.00 $0.00 $402,401.55
SDNY_GM_00012135
CONFIDENTIAL
page 1 o12
EFTA 00122786
EFTA01268265

Statement for Account # 867-730320
07/01/19 - 07/31/19
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer $ - $ 1,000,000.00
Subtotal 0.00 1,000,000.00
DEBITS
Checks Paid $ - $ (11,025.38)
Electronic Transfer (8,628,140.23)
Subtotal 0.00 (8,639,165.61)
TOTAL 0.00 (7,639,165.61)
Income Summary Detail'
Description Current Year to Date
Interest income - Securities $ 0.00 $ 345,253.29
Ordinary Dividends 0.00 (100.00)
Interest Income Credit Balance 0.00 2.95
Qualified Dividends 0.00 57,245.31
IDA Interest 0.00 8,634.97
'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These corrections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date totals will accurately reflect your cumuiative amount for the year.
SDNY_GM_00012138
CONFIDENTIAL
page 2 of 2
EFTA_00122787
EFTA01268266

P
1D Ameritrade
BOX 25"
OMAHA NE 68103 2577
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS. VI 00802-1348
CONFIDENTIAL SDNY_GM_00012137
EFTA 00122788
EFTA01268267

Terms and Conditions
STATEMENT GUIDE
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REGULATORY DISCLOSURES
www.sipc.ag.
S A Lo e d C n d d u ir o d e i n l n e b e d e ly B u . a r d e T l O 3 t 2 A m rd ile e n n t 0 e 1 * p p a r n <M ne O n S f M a i c a a s d h e W ed o $ u 1 » 4 9 ile .5 p O m le il m io e n n ta w l e c d o e u r o a l g p e r o p l r e o c v t i i d o e n d f b o y r « M O EY r r I a M m u e a w e m e xc : : b h o t a u n n i g s l e o a d O ro e f i a n n b g j b k e e c l 0 t . . a t o o n i u n i d e n d i c i u m r e i l e D t d n c e g O o e n t a sm gr u o S b u o e s n c e . u . m N m e a o e s . n g A t i . o n d o g n u e l s a l n re 1 o n 9 b s 3 . V 3 * c o e a l c o n h e w d t n n r g e s o n a n d S d i « ~ n u g s r t e e t e : s i s e SDNY_GM_00012138
EFTA_00122789
EFTA01268268

Statement Reporting Period:
Ameritrade
1D
08/01/19 - 08/31/19
800-669-3900 Statement for Account # 867-730320
TO AMERITRADE SOUTHERN FINANCIAL LLC
DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 13-3
PO SOX 2209 ST THOMAS. VI 00802-1348
OMAHA. NE 68103-2209
TD Ameritrade Clearing. Inc.. Member SIPC
Portfolio Summa
Current Prior Period Estimated Estimated
Investment Value Value Chan e Change Income Yield Portfolio Allocation
Cash $0.03 $0.03 $ • $
Insrd Dep Acct (IDA)
Money Market
Short Balance
Stocks
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
Cash
Total $0.03 $0.03 $ 0.00 $ 0.00 0.0% 100.0%
rrvr-rrmvrrrr
Cash Activi Summa Income & Ex•ense Summar
Non
Current YTD Reportable YTD
Reportable
Opening Balance $0.03 $ - Income Cost Basis As Of - 08/31/19 " $ -
Securities Purchased Dividends S $ - $57,245.31 Unrealized Gains
Securities Sold 2,435,255.25 Interest 345,256.24 Unrealized Losses
Funds Deposited 4,534,144.52 Other Funds Deposited/(Disbursed)`'1D (4,105,021.09)
Funds Disbursed (8,639,165.61) Expense Income/(Expense)"° 402,401.55
Income 402,501.55 Interest Securities Received/(Delivered)r° (5,475,032.22)
Expense (100.00) Fees (100.00) '1'o view realized gains and losses for your account, login at
www.tdamerltrade.com and visit My Account, GalniLoss.
Other 1,267,364.32 Other
Closing Balance $0.03 $0.03 Net $0.00 $0.00 $402,401.55
SDNY_GM_00012139
CONFIDENTIAL
page 1 o12
EFTA_00122790
EFTA01268269

Statement for Account # 867-730320
08/01/19 - 08/31/19
Online Cash Services Summary
Description Current Year To Date
CREDITS
Electronic Transfer $ - $ 1,000,000.00
Subtotal 0.00 1,000,000.00
DEBITS
Checks Paid $ - $ (11,025.38)
Electronic Transfer (8,628,140.23)
Subtotal 0.00 (8,639,165.61)
TOTAL 0.00 (7,639,165.61)
Income Summary Detail'
Description Current Year to Date
Interest Income - Securities $ 0.00 $ 345,253.29
Ordinary Dividends 0.00 (100.00)
Interest Income Credit Balance 0.00 2.95
Qualified Dividends 0.00 57,245.31
IDA Interest 0.00 8,634.97
'This section displays anent and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These conections
can include changes made to previous payments and removal of payments reportable in a previous tax year (spillover dividends). The year to date totals will accuratehi reflect your cumuiative amount for the year.
CONFIDENTIAL SDNY_GM_00012140
page 2 of 2
EFTA_00122791
EFTA01268270