EFTA01288458.pdf

Private Wealth Management
Deutsche Bank Alex. Brown
SOUTHERN FINANCIAL LLC
6100 RED HOOK QUARTER 63
ST THOMAS, VI 00802
Notice to Investors Reganfing Custodian Account Statements: You are encouraged to read the statements you receive from the custodian and compare the information on these statements to this report. Please see the Notice on
page 2 of this report for an explanation of difference, you may find.
coMit5n3120-riA3
SONY_GM_00045486
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008310
EFTA_00156095
EFTA01288458

Private Wealth Management
Deutsche Bank Alex.Brown
ACCOUNT SUMMARY REPORT
Quarter Ending December 31, 2013
PREPARED FOR
Southern Financial LLC
ACCOUNT
ACCOUNT NAME NUMBER
Southern Financial LLC N4G-023804
YOUR FINANCIAL ADVISOR
TAZIA SMITH
DEUTSCHE BANK ALEX. BROWN
345 PARK AVENUE 14TH FLOOR
NEW YORK, NY 10154
212-454-2889
Prepared by:
Lockwood®
Notice Regarding Portfolio Accounting Differences Please note that the data shown on this report is for informational purposes and may differ from the data on reports generated by other sources These
differences can be explained by a number of factors. including, but not Smiled to, the use of trade date versus settlement date for reporting purposes, the treatment of accrued income on securities. the seal*
pricing some utilized and reports generated by different reporting systems for the same moan Please refer to your 1099 form in all instances for tax reporting purposes. If you have any questions, please
feel free to contact your firencial representative. Please refer to the end of the document for Important Information regarding this report.
1c16
CONFIDENTIAL
SONY_GM_00045487
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008311
EFTA_00156096
EFTA01288459

ACCOUNT SUMMARY Account Number : N4G-023804
Since Fiscal Current
Southern Financial LLC Account Change Inception YTD OTA
Beginning Market Value $45781,896 WA WA
Net Contributions/Withdrawals $41,680,028 WA NIA
Gain/Loss + Income Earned $3.176.585 N/A N/A
Ending Market Value $90 638 509 N/A N/A
Account Returns (%)
Your Account 4.82% N/A N/A
Inception Date 10/11/2013
Quarter Ending 12/31/2013
Year Ending 12/31/2013
Account Gloat Over Time
00.000,000 —
$90,638,509
$87.461.924
-----------
75,000003 —
50,000000 —
25,000000 —
Taal Value
0
Ince, 10/13 11113 12/13 - - - - Total CaibibutensNitchwals
Asset Allocation Top 10 Account Holdings
Security Name % of Account
El 51.4% - Fixed Income
Apollo Global Mgmt LLC CIA Shs 9.20%
J P Morgan Chase & Co Dep 7.900% 04/29/49 6.10%
IUD El 22.0% • Equity General Mtrs Co Can 4.40%
Ally Finl Inc Pero Pld Ser A 2.125%00/00/00 3.80%
Lbg Capital No 1 Plc 144a Is 8.000%09/15/88 3.50%
20.3% - Cash' Southern Calif Edson Co Pre 6.250%02/01/22 3.40%
Wisdomtree Tr Japan Total Divid Fd 3.40%
Global Mtg Securitization LT 5.250% 04/25/32 3.20%
El 6.3% • Mutual Fund / ETF - Equity
Royal Bank Scotland Group P11.812%00/00/00 3.20%
Servicemaster Co Sr 8.000% 02/15/20 2.80%
(Lash. Money Funds. and FOIC Depofins
sw rdmg 206
AL
SON Y_GM_00045488
CONFPIDleEnN. TIAL - PURSUANT TOP FrimEnDia.n Rhct. CaR aIMnd .b Puic. h6ra(evi)a al "TM F ID ENTI DB-SDNY-0008312
EFTA_00156097
EFTA01288460

PERFORMANCE SUMMARY
December 31. 2013
For Southern Financial LLC
Five Years Three Years
Since Since Since Last 12 Fiscal Current
Investment
Inception 12/31/2008 12/31/2010 Months YTD OTR
Account Inception
Index Date Returns Std Vey Returns Std Dev Returns Std Dew Returns Returns Returns
BALANCED
No Benchmark Selected
N4G-023804 10/11/2013 4.8%
Pita soo important disclosures regarding performance. loos, and benchmarks al the enddIht repN r 3d6
FIDENTIAL
SDNY_GM_00045489
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008313
EFTA_00156098
EFTA01288461

IMPORTANT INFORMATION
This document provides personalized investment information and is not intended to meet the objectives of anyone other than the individual specified in this document. This
document is not an offer to buy or sell or a solicitation of any offer to buy or sell any security or other financial instrument or to participate in any trading strategy. This document
does not replace the official statements issued with transactions entered into by the client or the client's behalf with Deutsche Bank. If there are any inconsistencies between this
Report and such statements, the information contained in the statements shall govern. For account gaiMoss information, clients should refer to their Pershing statements.
ASSET CLASSIFICATION
The asset classifications described in this presentation will differ from the asset classification models used in Deutsche Bank business areas. including the Wealth Analytics group.
and other business areas. The asset classifications shown on this report may not directly correlate with Pershing monthly statements.
"SINCE INCEPTION' DATE
References to the 'since inception date' reflects the beginning of actual performance calculations for the account and may differ from the actual date the account was opened.
HOUSEHOLDS
Performance of a household wil include the performance of its member accounts from the inception date of that member account. Performance of a household account may
include accounts that are no longer active. At the request of a client, an account may be added to or removed from a particular household. When an account is added to a
household, the entire performance history for the account will be included in the performance for the household. When an account is removed from a household, the performance
of the account will be deleted from the household. Terminated accounts will remain in the performance history of a household report as long as they are not explicitly removed
from the household.
ACCOUNT SWITCHES
If all assets of a former account are migrated to a new account and Pershing Managed Account Solutions is notified in advance of the account switch, the new account will include
the historical performance of the former account
PERFORMANCE
Note that al performance figures are unaudited.
4016
CONFIDENTIAL
SDW_GA4_00045490
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008314
EFTA_00156099
EFTA01288462

IMPORTANT INFORMATION
Performance calculation methodology utilized prior to January 1, 2008 uses the Bank Administration Institute (BAI) method, a type of time-weighted calculation. Performance
calculation methodology utilized after January 1. 2008 uses the Modified-Dietz method, a type of time-weighted calculation. Performance data quoted represents past
performance, which is no guarantee of future results, and current performance may be lower or higher than the figures shown. Investment returns and principal value will fluctuate
and when redeemed, may be worth more or less than their original cost. Due to differences in calculation methodologies. performance returns may vary from other Deutsche Bank
performance reports. All returns are presented on a time•weighted basis unless indicated. M returns are presented net of all fees, including consultant's fee, managers fee and
transaction costs except individual mutual fund returns, which are net of internal fund expenses and transactions costs. For fee-based accounts shown on this report, the accounts
may not be from which the quarterly fee is deducted and therefore, the performance data provided would not reflect deduction of lees. Performance returns are annualized for
periods greater than one year. Net Contributions/Withdrawals consist of all receipts and deliveries of securities to the accounts for the specified period. Accrual amount indicates
income that has been applied to the total value of the account, but may not be reflected on your custodial statements.
Foreign Exchange, OTC Derivable Structures, and any other illiquid securities will experience delayed pricing. This may distort the performance of an account with such
securities.
The performance calculations of zero coupon bonds wil not include amortized interest while the bond is held in the account. When the bond is sold, the interest will be factored in
the performance of the account and portfolio.
The pricing for certain alternative investments will have a 30-day or longer lag period. This will be reflected in performance returns.
Investments in annuities are not included in this report. Where applicable, annuities are excluded from performance calculations and account holdings.
MARGIN
The performance of accounts with margin use standardized performance reporting methodology. When these standards are applied, the performance of the accounts may reflect
distorted data.
PRICING
Securities prices displayed may vary from actual liquidation value and your custodial statements. Prices shown should only be used as a general guide to portfolio value. Prices
are received from various pricing services.
TAX
Deutsche Bank does not render advice on tax or tax accounting matters to clients. This material was not intended or written to be used. and it can not be used by any taxpayer, for
the purpose of avoiding penalties that may be imposed on the taxpayer under U.S. federal tax laws.
5016
CONFIDENTIAL
SDW_GM_00045491
CONFIDENTIAL — PURSUANT TO FED R. CRIM. P. 6(e) DB-SDNY-0008315
EFTA_00l56I 00
EFTA01288463

IMPORTANT INFORMATION
BENCHMARKS
Performance may be shown at the individual account level or on a household (consolidated) level. At the individual account level, Client Advisors will select one appropriate
benchmark for each account. Al the household level the benchmarks will comprise of the S&P 500, MSCI EAFE, and Barclays Capital Intermediate Gov/Credii There is no
guarantee that the benchmarks listed are representative of the holdings. As a result of rounding, minimal basis point differences may exist between benchmark performance of this
report and other performance reports provided by Deutsche Bank. The information on the benchmarks is presented for ilkistrative purposes only and is not intended to imply the
potential performance of any fund or investment. Benchmarks are not available for direct investment. Benchmark performance assumes the reinvestment of all distributions. but
does not assume any transaction costs, taxes, management fees or other expenses. The performance of tie benchmarks may vary from investments held in the account.
CONFIDENTIAL 6016
SDW_C4.4_00045492
CONFIDENTIAL — PURSUANT TO FED R. CRIM. P. 6(e) DB-SDNY-0008316
EFTA_0015610I
EFTA01288464

wean
DNISOC Ilan, Ponle Ma.ligenild
Weeny C00.4•1* WPp
Cettsche Sank W(. ,ic,
PA BM 1776. Oslitras kD 21200 Mrs bri Once
J1 Part Aire, Italica
Mew •ett. Pi? /OVA
(I IS) CA.74121.1111.1211.4t9S
Account Num ber: N4G-0 2 3 8 0 4
Statement Period: 1 2/01/201 3 - 1 2/31/2013
Valuation at a Glance
This Period Year-to-Dale
Beginning Account Value 970,872,398.33 $0.00
het Cash Deposits and Withdrawals 395,598 16 21,363,602 70
SOUTHERN FINANCIAL LLC
Net Securities InlOut of Account 25,163,519.80 73,858,278.76
6100 RED HOOK QUARTER B3
Adjusted Previous Account Value 98,731,648.29 95,221,881.48
ST THOMAS VI 00802 Dividends, Interest and Other Income 192,211.94 1,195,263.04
Total Taxes Withheld -118.86 -11886
Net Charlie in Portfolio -6 650 622 09 -5.843.97536
nd ng Account Value 590 573.050 28 590 573 050 28
Your Client Advisor: Estim aced Annual Income $3.733,57131
Asset Allocation
Prior Year-End Lad Period This Period % Allcaticie
USD Cash. Money Funds, and Bank Deposits' 0.00 20,573,902 14 18,295,949.71 20.20% Pie Chart atocation only includes
products that are of positive value.
USD Rod Income 0.00 19.692,375.00 27,736,972.38 30.62% p
Assets of less than 1% c4 holdings
Non-USD Fixed Income 0.00 320.250.00 10,227,309.46 1129% wi not dspay on this pie chart.
USD Equities 0.00 28.904,515.13 30,410,519.65 33.59%
Non-USD Equities 0.00 986,356.08 3,137,19214 3.48%
Non.USD Cash, Money Funds, and Bank Deposits 0.00 0.01) 102.106 34 0.14%
Other 0.00 395,000.00 363.000.00 0.10%
Account Total (Pie Chart( 30.00 870,872,398.33 $90,673,050.28 100.00%
I The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured berh deposits are no: securities and are not covered by the Secuntes Investor Protection Corporation
ISIPC). These bank deposes are covered by the Federal Deposit Insurance Corporation (FDIC). up to donde finite.
See page 2 of this statement for important Information regarding the Asset Atocaton section.
Page 1 of 24
CONFIDGEo oNaoe rie1s sA L- Msco.o,—ed IyAe.4.—1. 0 01.01rypiretet•••••.• u.C. Senor. •••••Niwt
B0105409CSF30022 DAL•A• RAT I E n D A C f O tts M ve M UNICATIONS n O a v m iS e O . ILC •• a • l • e • s • • V • S •• a •• w •• . • • te • r C S a a rLaa.scta NY MOMS
SDNY_GM_00045493
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008317
EF1'A_00156102
EFTA01288465

Asset Allocation Disclosure and Footnotes
Certain values have been defaulted into the Other Asset Class due to incomplete categorizing data
AI values are displayed in U.S. dollars based on interbank exchange rates as of 12/31/2013. Exchange rates can vary.
Equities contains Equity Mutual Funds.
Summary of Gains and Losses
Realized
This Period Tear-to-Date Unrealized
Short-Term Gainlloss -130,198.03 -130.198 03 488.435 73
Long.Term Gain/Loss 1.77 1.77 4,117,157.99
Net Galnl loss ,130,196.26 -130,196.26 .2,90,722.8
This summary excludes transactions where cost basis information is not available.
For Your Information
Deutsche Bank will change certain service and account-related fees effective January 1, 2014.
See the "Messages" section at the end of this statement for details.
Exchange Rate Table Global Cash
Currency Oasis° Mount in
Currency USD Equivalent per USD Currency Balance Base Currency USD
EL RO 1 3778 0.7257 EURO 291.848.87 102.105.31
Total Global Cash Balance 3102,106.31
Exchange rates are based on interbank exchange rates as of 12/31/2013 Exchange rates can vary.
FDIC Insured Bank Deposits
Date Activity Type Description Mount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number N46023804 Activity Ending 12131113
11130113 Opening Balance 20,308,113.57 20,308,113.57
12/02113 Deposit DEPOSIT 265,788.57 20,573,902.11
12/03113 Deposit DEPOSIT 12,15625 20,616,058.39
12/05113 Depoil DEPOSIT 23.61 20,618,082.00
12112113 Withdrawal WITHDRAWAL 403,314.50 19,812,767.50
12/13113 Depoll INTEREST CREDITED 125.98 19.813.193.48
12113113 Deposit DEPOSIT 869,801.97 20,682,995.45
APY 0.03%
12/16113 Withdrawal WITHDRAWAL -2,966,098.50 17,716,896.95
Page 2 of 21
Pin OSIO9CSFI002: NIAS.C u, Account Nu m B b M e L r: W N f 1 J 6 g 4 I K 236 I 04 F ID G A o p E ap N erl T es I s A L S G t I a a n A P Y Y e e L a O rs I W n A C R O e M no M UNICATIONS o C A o n r m m . e s y r a o “ w C a o n w ' % Ji P ff. e " .. r D I S t. i i . n f . t A e e u r n . s C r . c s .• a . • • m s • e •• s c • ••• c •• a • w •• • a • r •S m a s n
SONY GM_00045494
: "ERN
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6 DB-S6NY-0008318
EFTA_00156103
EFTA01288466

Prnale wealth Ma.zgentive
SWIMS CM.a le 4,C,P
OMVMW Sec...o.,,c.
PQ Sat 1771E larrois 'AD 71203 SO Pa M n M M em M . !U k. h l/act
liesli" PM 10114
P M10S4441RS17Y4Ofl
Statement Period: 12/0112013 - 12/31/2013
FDIC Insured Bank Deposits (continued)
Ad ilty Type Description Mount Balance
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
Associated Bank NA
NO 12/16 3250000.00
BB8T
NO 12/16 $250000 00
Bank of Am erica
NO 12/16 $250000.00
Citibank NA
NO 12/16 3250000.00
Deutsche Bank
NO 12116 $15529897.
East West Bank
NO 12116 $250000.00
NYCommunity Bank
NO 12/16 $250000.00
Texas Capital Bank
NO 12/16 $250000.00
TnState Capital Bank
NO 12/16 $186999 71
Union Bank of CA
NO 12/16 $250000.00
12/17113 Deposit DEPOSIT 258,575.00 17.975,471 95
12/20/13 Deposit DEPOSIT 197.702.00 18.173.173 95
12/27113 Deposit DEPOSIT 1.164.22 18.174.338 17
12/30113 Deposit DEPOSIT 7.334.16 18.181.672 33
12131113 Closing Balance $18,181,612.33
Total FDIC Insured Bank Deposits $14,181,672.33
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self diected retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Page 3 of 24
A
SO
cc
L
o
T
u
H
n
E
t N
R
u
k
mber: NIG-02380
F
4 Go paperless R
E
Se
r
o
r
v t e e n
, "
r Y n
"
e o a l
`
l s e I n n t A
C
P
O
ew
m muNiCiatOrit •
a o
•
f w
•
m
•
l
•
s a
•
.
•
d
•
n e
t“
o o m .n. . .i es O ns W ae a S ss • e 1 ie 1 rse 0 c . m • e • • ns • se •• ec • / • s • c •• a • n •• • a • r • e S n r a
SDW_C4.4_00045495
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008319
EFTA_00156104
EFTA01288467

Income and Expense Summary
anent Period Year-to-Date
Taxable Hon Taxable Taxable Non Taxable
Dividend income
Equities 97,006.69 0.00 170.36294 0 00
Other Dividends 42,532.85 0.00 321,282.85 0.00
interest income
Bond Interest 259,73922 0.00 304,114.22 0.00
FDIC Insured Bank Deposits 425.98 0.00 54922 0 00
Other Interest 0.00 0.00 40,625.04 0 00
Expenses
Withholding Taxes -118.86 0.00 .118.86 000
Total Dividends, Interest, Income and Expenses 8399,585.88 80.00 8836,815.41 80.00
Distributions
Long • Term Capital Gain Distributions 59,348.45 0.00 59,348.45 0.00
Short - Term Capital Gain Distributions 33.191.75 0 00 33.191.75 0.00
Alternative Investments 0.00 000 0.00 265,788.57
Other Distributions 23.61 7234.16 23.61 7.334.16
Total Distributions 892,563.11 87,334.15 892,56311 8273,122.73
Portfolio Holdings
U.S. DOLLARS
Activity Opening posing Accrued income 30-Day Current
Opening Date Quantity Account Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits
Cash Balance 265,788.57 54,731.58
Margin Balance 0.00 59.515.80
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
11130113 18,181,672.330 1446023804 12/31113 20.308.113.57 18,181.672 33 253.06 549.22 NIA NM
Total FDIC Insured Bank Deposits 120,308,113.57 818,181,672.33 8253.05 1549.22
Total Cash, Money Funds, and Bank Deposits $20,573,902.14 $11,295,949.71 3253.05 1549.22
Page 4 of 24
POI 0/109CSF3002: MAO. 0 Account A u m FJ b K e Q l N 1 f 1 J 4 O 6 I - K 0238 I 04 F ID G A o E pap N er T les I s A s . R C Se o A v w e W e n r Y . . * c e t o a r r l A i s o l i n t n 0 t C P O o M w A ALPHICAlIONS - O 4 ' 0 S w T C i e . • s M . a ae n 4 y 4 T . O . . W / o . r T n O IS i M s M o S u S P t e . , n M S a t T S d LW . a 'S , < O S 1S , T •• • • M •• I • N •• I MI
VoCillUCC
SONY GM_00045496
7: 11ERN
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6 DB-SDNY-0008320
EFTA_00 I 5610 5
EFTA01288468

0rals° e Bina P,,n,e vftan roanenan
maeats Covent Gm.
CVIANN IS* Sefton. MC.
NawIlart Mar
pa Sot Int &Amon x.021203 345 Part I/ VISA M10T1hW
Ms Via. WI
P MOWN& PIM MAWS
Statement Period: 12/01/2013 - 12131/2013
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date "aired Octant Unit Cost Cost Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income (In Maturity Date Sequence)
'Asset Backed Securities
"GLOBAL M TG SECURITIZATION LTD/ Security Identifier: 37696iAVe
GLOBAL MTG SCTZN ISINILiS378961AV83
5.250% 0/125132 WE DID 01128/05 Moody Rating CAA3 S 8 P Rating G
Factor: 0.36738110 Effective Date:12102/13
Current Face Value: 3,030,918.825
NM Provide' 8,250,000.000 WA Pleat* Provide 94.0510 2,850,609 16 N/A 2.65205
Original Cost Basis: Reese Provide
'COUNTRYWIDE HONE LOANS Seaulty Identlifor 126190YSI
SER03.1 CL 81 4.090% 03125133 WE
DTI) 01130103
Factor: 0.28453807 Effective Date:12102/13
Current Face Value: 1,190,121.315
Please Provide' 1,500,080.000 N/A Please Provide 861110 1,034,612.78 N/A 1,057.35
Original Cost Bass' Reese Provide
'WASHINGTON NUT NTG SECS CORP 20044A2 Security Identifier: 939336520
MTG PASSIHRU CTFCL C43.1 VAR RATE
6.972% 07/25133 WE DTD 06101/01 SA P Rating 0
Factor 0.61726283 Effective Date:12102/13
Current Face Value: 831.969 051
Reese Provide' 1,290,000.000 N/A Please Provide 86.0110 716,16523 N/A 1,851.55
Original Cost Bass: Reese Provide
NM PAC CM B TR 2005.2 ASSET BKO BD CL Security Identifier: 452501/1C7
1-11-2 0.899% 01125135 WE
DTO 03103105 Moody Rating CA P Rating CC
Factor. 0.14932198 Effective Date:12128113
Current Face Value: 1,193,219.600
Please Provide' 10,000,000.000 N/A Please Provide 70.9860 1,059,976.87 N/A 223.88
Original Cost Bass Please Provide
Total Asset Backed Securities $0.00 $5,663,394.34 $0.11 $11,114.13 50.01
24,040,000.000
Current Face Value : 6,549,528.791
Total
Page 5 of 21
B010 5109=3 00:2 A SO cc 1 o 4 T u n h t E I R \ N u m C b Z e " r: N16-0 t 2 J 38 0 F 1 ID G AE O •• IN N• i IT p e I r T •F l e I SS YA L: R E EX I I * A C P L E t • L i A L Y E • e N t R a • C A i . i , • E 1 W I E n I D t A C P O o M w M UNICATIONS awls. i • L • C •• 91. Po v r a s s iS N s S ta % p ti e . C v • a * a ' * v s o i e a ft c l k w is a e d r rw a it n s i ~ s i e r
SDNY_GM_00045497
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008321
EFTA_00156106
EFTA01288469

Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date red et Unit Cost Cost Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds
SG STRUCTURED PRODS INC Security Identifier: 78423EHS6
COMMODITY LKO MKT PLUS PROTECTED NOTES
0.000% 0810511181E DID 07130/13
07125113'.11,13 2,000,000.000 100 0000 2,000,000.00 101.1600 2,029,200.00 29,200.00 000
Original Cost Bass 52.000,000 00
HSBC USA INC MEDIUM TERM NTS Security Identifier: 40432XFP1
BUFFERED NOTES LKO TO EURO STOXX 50
0.000% 0812911181E DTO 05130113
05124113 2,000,000.000 100.0000 2.000.000.00 107.5800 2,151,600.00 151,600.00 0.00
Original Cost Baas: 52,000,000.00
5.PM ORGAN CHASE 8 CO IA EDIUM TERM NTS Security Identifier: 41112INVE4
CAPPED CONTINGENT BUFFERED EQUITY NTS
0000% 10/18111 SE DTO 09127/13
Please Provide' 1,000,000.000 NIA Please Provide 100 7700 1.007.700 00 NIA 0.00
Original Cost Bass Please Provide
FPETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
NOTES SENIOR 'Slit XS0460546525
5.000% 10/28115 REG DTO 10/28/09 S 8 P Rating 8*
Please Provide' 2,500,000.000 N/A Please Provide 82.5000 2,062,500.00 NIA 21,527.78 125.000 00 6.06%
Original Cost Bass: Please Provide
HEADWATERS INC GTO SR NT Security Identifier: 42210PA05
7.625% 0//01119 8/E DID 03/11/11
CALLABLE 0/101115 0 103213 Moody Rating B2 58 P Sling B+
10/22/12 'MA 1.000,0N.000 102.8870 1,026,669 73 107 7500 1,077,500.00 50,830 27 19,062 50 78,250.00 7.07%
Original Cost Bass: 51 035,000 00
EARTHUNK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC6
CUSP FROM 270321AB8 8.875% 05/15/19 8/E
DTD 05117111 CALLABLE 05/15115 Moody Rating B3 58 P Rating CCC+
10/22112 %FED 400,000 000 102.7110 110,842.81 98.5000 394,000.00 .16,842.81 4.536 11 35,500.00 9.01%
Original Cost Baas: 5414,000.00
10123112'.11.13 600.000 000 102.5190 615.115.31 98.5000 591,000.00 -24.115.31 6.804 17 53.250.00 9.01%
Original Cod Ban: 5819,500.00
Total NoncoYtred 1,000,000.000 1,025,958.12 985,000.00 .40,956.12 11,340.28 88,760.00
Total 1,000,000.000 $1,025,958.12 $985,000.00 -$40,958.12 211,340.28 $88,760.00
Page& of 24
B0105109CSF3002: Account Number: NAG-023801 Go paperless R S i e fl v e e d n n f V A e e .w o s lla I n n t A Raw r oiettriPanmilitu•••••now••••••••••
SOUTHERN ONFIDAENT1 0txAeitdtmRcAZED COMMUNICATIONS
Lt
SDNYS4.4 00045498
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008322
EF1'A_00156107
EFTA01288470

Dmiu,e&marrmaieW.AhrIrmienan
MwatsCOMNP040.
ChttOw Si* Mani "X.
NeallidOM,*
PC. Bni 1776, Etat mom MO 212..n 345PutAiammIONhOber
Mew1WIOW WIM
0 0) 4514101. 3M M-409%
Statement Period: 12/01/2013 • 12/31/2013
Portfolio Holdings
(continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Acaued Estimated Estimated
Date ired Quantit Unit Cost Cost Basis Market Price Market Valee Gain/ LOU Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
SERVICED ASTER CO SR NT • CUSIP FULLY Security Identifier: 81760NAN9
EXCHANGED FROM OLD CUSP 81760KAL3
8.000% 02115120 DIE DID 02113112 Moody Rating CM1 S 8 P Rating
CCC.
01124113 ',11.11 1,500,000.000 105.3630 1,580,117.85 102.0000 1,530,000.00 -50.447.85 45,333.34 120,000.00 7.84%
Original Cost Basis: $1,595,625.00
02/25/13 '.12.13 1,000,000.000 105.9650 1,059,64725 102.0000 1.020.000.00 .39.647.25 30,222.22 80,000.00 7.84%
Original Cost Bees: $1,070,000.00
Total Nonnovered 2,500,000.000 2 640 095.10 2,550,000.00 .90,095.10 75,555.56 200,000.00
Total 2,600,000.000 $2,610,095.10 $2,550,000.00 -$90,095.10 675,555.56 $200,000.00
'LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: GIS15PP18
TERM NOTES ISINOXS0717735822
9.875% 12116121 REG NO 12116111 Moody Rating Bal S 8 P Rating BBB
Please Provide' 1,500,000.000 N/A Please Provide 119 0800 1,786,200.00 N/A 5,760.12 148,125.00 8.29%
Original Cost Bass. Please Provide
SOUTHERN CALIF EDISON CO Security Identifier: 812400FU2
FREF SERE 6.250% 02101/22 WE
OM 01117/12 CALLABLE 02/01122 Moody Rating BAA2 S 8 P Rating BBEI.
01130/12'.3.12 3,000,000.000 99.7880 2,993,651 16 103.5000 3,105,000.00 111,318.84 78,125.00 187,500.00 6.03%
Original Cost Bass $2.992.564.97
BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 06739FHKO
Int L506739Fh 603 7.750% 04110123 B/E
CITO 04110/13 CALLABLE 04/10118 58 P Rating BM
04103/13 '.12,13 300,000 000 100.0000 300,000.00 108.5000 325,500 00 25,500.00 5,231 25 23,250.00 7.14%
Original Cost Bass: 5300.000.00
SM ORGAN CHASE 8, CO DEP MS REPSTG Security Identifier: 46625HHA1
1110TH PFD SER 1 FIX TO RIG RT BD
7.900% 041291/9 WE DID 0/123/08 Moody Rating MI S 8 P Rating 888
06/15111'.3,12 2,500,000.000 107.5000 2.687.500.00 1102500 2,756,250.00 68,750 00 32,916.67 197.500.00 7.16%
Original Cost Bass: 52,687,500.00
06/15/11 'An 2,500,000.000 107.0000 2,675,000.00 110.2500 2,756,250.00 81,250 00 32,916.66 197,500.00 7.16%
Page 7 of 24
PCIOSIO9CSFI00:2 Account Number MG-02380F1 Go oaperiess r R z a•e s d i itz pocitoittoucnions Ca Ti m m I e n l s o te eM • s e p mC h A •w M• a M le e s m ta M t. a • w •• im •• e • s • a • m •• • • • • I V •• W •• S •• W S * t
SOLD-ERN CO 41a 1m0 LW domeW som tamI-C
ID-ENT AC
SDNY_GM_00045499
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008323
EFTA_00156 I OR
EFTA01288471

Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Misted Unrealized Accrued Estimated Estimated
Date red et Unit Cod Cod Bash Market Price Market Value Gall Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
SN ORGAN CHASE 8, CO DEP SOS REPSTG (continued)
Original Cost Bats:52,675,000.00
Total Noncovered 6,000,000.000 8,362,600.00 5,512,500.00 160,000.00 85,833.33 395,000.00
Total 5,000,000.000 $5,362,500.00 56,612,600.00 $150,000.00 $66,833.33 5395,000.00
BANK AMER CORP PERP NON COM ULARVE DEP Security Identifier: 060505D1$
SIISFDS TO FLOAT 8.125% 04130158 B/E
DID 04130108 CALLABLE 05115118 Moody Rating BA3 SE P Rating Ber
01110111 '.3.12 2,000.000000 102.7500 2.055000.00 111.8750 2,237,500.00 182,500.00 20,763.89 162.500 00 7 26%
Original Cost Bata 52 055,000 00
GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 3696225N6
A7.125% 08112/82 WE
DTO 06112112 CALLABLE 08115122 Moody Rating BM' S8 P Rating Ala-
06121/12 '.12.13 2.000.000.000 105.5300 2.110.605.12 111.7500 2.235.000.00 124.394.88 6,333.33 142.500.00 6.37%
Original Cost Bans: 52,122,916.67
GENERAL ELEC CAP CORP PERP PFD SER C &malty Identifier: 369622513
FIXED TO FLTG 5.250% 06103163 B/E
DID 06103113 CALLABLE 06115123 Moody Rating BAA1 SS P Rating AA-
05129113'.11.13 1,400,000.000 100.0000 1,400,000.00 94.0000 1.316.000.00 -84.000.00 3,266.67 73,500.00 5.58%
Original Cost Buis: $1.400,000.00
PM ORGAN CHASE å CO 6.000% 09/01186 B/E Security Identifier: 48126HAA8
DTD 07129/13 1ST CPN: 0TE02/01114
CPN PMT SEMI ANNUAL ON FEB Of AND AUG 01 Moody Rating BAI S .1 P
Rating BBB
07122113'.12.13 750.000.000 100.0000 750.000.00 95.6250 717,187.50 -32,812.50 19.000.00 45.000.00 6.27%
0 nginal Cost Bass: $750.000.00
gLBG CAPITAL NO 1 PLC 1444 Security Identifier: G5433BBG8
Sias Y33473106283 8.000'b 09115/88 REG
DID 12115109 FOREIGN SECURITY SS P Rating BB
Please Provide • 3.000.000 000 NA Reese Provide 106 7500 3,202,500.00 N/A 10.668.61 240,000.00 7.49%
Original Cost Basis: Pease Provide
Total Corporate Bonds $23,684,479.23 532,300,887.60 $677,506.27 $342,466.88 $1,907,375.00
30,960,000.000
Total Fixed Income $23,684,479.23 $37,964,281.84 $577,508.27 6354,251.61 51,907,375.00
54,990,000.000
Page 8 of 24
B0I 05109=3002: Account Number: MG-023804 Go paperless re:^ Pow • o in rs e . • w ~ a p s « h %raw o L w i s t. • n n e cn a . r s owr oe. or s s m .* r
SOUTHERN CH ( 5 F ID AENTIAL:. " CA ` L " U "h • R a AI t DCOWIONIC T IONS mc ~sr...nape.= fiec
SDW_GA4_OOO455OO
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008324
EFTA_00156109
EFTA01288472

Orals° e ,.arena..
Marais ferrite 6,0•••
Cettfthe Sank Setionelni.
Mrs bet OR,.
PC &a 1776, Batty-ow 2'2..n 315 Pit Ramo. 30th lice!
Mew etA PIT IOVA
(M)4!A.MI. OtSSIM•09S
Statement Period: 12/0112013 - 12/3112013
Portfolio Holdings
(continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date sired Quantit Unit Cod Cost Basis Market Price Market Valve Gain/ Lou Annual Income Yield
Equities
Common Stocks
APOLLO GLOBAL MGM T LLC CL A SKS Security Identifier: APO
Dividend Option: Cash CUSIP. 037612306
03129111 263,157.000 19.0000 4,999,983 00 31.6100 8.318,392.77 3,318,409.77 1.039.470.15 12.49%
APPLE INC CON Security Identifier: AAPL
Dividend Option: Cash CLSIP 037833100
10128113 2.000.000 529.0800 1,058.120 50 561 0200 1.122,040.00 63.919.50 21.460.00 2 17%
ARIAD PHARM ACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash CUSP 01033A100
02114112'.I3 7,535.000 15.2090 114,597.40 8.8200 51,388.70 433,208.70
01124113 %13 9,000.000 19.8000 178,400.00 8.8200 61,380.00 -115,020.00
Total Nortcovered 16,635.000 290,097.40 112,761.70 -178,22810
Total 16,535.000 1290,997.40 $112,711.70 -$175,221.70 10.00
ASCENA RETAIL GROUP INC COM Security Identifier: ASNA
Dividend Option. Cash CliSIP: 043516101
01116101 'iS 70.500 000 21.2770 1.500.000 00 21.1600 1.491.780.00 8.220.00
BIOGEN IDEC INC COM Security Identifier: B118
Dividend Option: Cash CL SIP: 09062X103
02114112 2.095.000 119.5490 250.151 95 279.5720 585,703 34 335,248 39
BOMBARDIER INC CLASS B Security Identifier: BDRBF
Dividend Option. Cash CUSP 097751200
07110107 '.3 20,000.000 6.2850 125,700.00 4.3396 86,792.74 .38,90726 1,912.00 2.20%
FACEBOOK INC CL A Security Identifier: Fa
Dividend Option: Cash CUSP: 3030311102
05/17112 '.13 17.500.000 38.0000 665.000.00 54.6490 956.357 50 291.357 50
GENERAL ELECTRIC CO COM Security Identifier: GE
Dividend Option Cash CUSP. 369604103
04123113 '•f3 23.000.000 21 5700 496.109 08 28.0300 644,690 00 118,580.92 20,210.00 3.13%
Page 9 of 24
cer ....drmcolliont
Accounl um her: N46-023804 Steen Colowleg Persiontall • ••••ff owan•MINwr
PC.10/109CSF300:2 ()RAIL( I I SOUTHERN NFIDGor pwaperrleIsAs L 0txAcLiI,tA Ye It a t s o I r n A C P O o M w A ALNVICATIONS r fe e T a h. r .. y . t . “ •• o • w .e e w ve c t a t r ll a a m rev c s a . g s s in s is es.O•
SONY GM_00045501
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY-0008325
EFTA_00156I 10
EFTA01288473

Portfol io Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date .'sired Quanti Unit Cod Cost Basis Market Price Market Vale Gain/ Lou Annual Income Yield
Equities (continued)
Common Stocks (continued)
GENERAL M TRS CO COM Security Identifier: OM
Dividend Option: Cash CUSIR 37045V100
11118110 ' 10,988.200 38.4010 399,978.18 10.8700 449,087.74 49,109.58
12/09/10 ' 88.536.800 38.8160 3,185,96122 10.8700 3.536.759.01 350,789.79
Total Noncovered 97,525.000 3 685 917 38 3,985,545.75 399,599.37
Total 97,525.000 33,555,947.36 $3,915,546.75 9399,599.37 $0.00
MORGAN CHASE d CO COM Security Identifier: SN
JP
ISINPUS46625N1005 CUSP 4662511100
Dividend Option: Cask
07/14/05 21,153.000 488.1810 10,626,002.00 58.1800 1,212,115.44 .9.353,885.56 33 064 56 2 59%
SANGAMO BIOSCIENCES INC COM Security Identifier: SGM 0
Dividend Option: Cash CUSH>. 800677106
05128113'.13 50,000.000 8.4440 122,214.00 13.8900 694,500.00 272,286.00
TWITTER INC CON Security Identifier: MIR
Dividend Option: Cash CUSP. 90184L102
11107113 1,500.000 26.0000 39.000.00 63.6500 95.475.00 56,415.00
Total Common Stocks 524,069,528.31 919,365,452.24 .64,593,055.07 11,119,056.71
Preferred Stocks (Listed by expiration date)
ALLY FINL INC PERP PFD FIXEDIFLTG RATE Sterility Identifier: ALLY PRB
SERA CALLABLE CUSP 02005k308
Dividend Option: Cash
02/03/12'.13 45 6C0 000 19.9140 927.973.76 26 8500 1.251.210.01 323.236 25 99.025 00 791%
02109112'.13 20.8580 1,652,500.00 268500 2,147,999.99 170.000 00 7.91%
53 000 000 495.499 99
Total Noncovered 126,600.000 2 580 473.75 3,399,210.00 89,736.24 269,025.00
Total $2,580,473.78 $3,399,210.00 9515,736.24 $269,025.00
126,600.000
GM AC CAP TR I GTO TR PFD SECS SER 2 Security Identifier: ALLY PRA
125% FIXED RATE 1 FLTG CUSP. 381860208
Dividend Option: Cash
02/22/12'.13 80.000.000 23.5350 1,882,77360 26.7400 2.139.2% 00 256.426 40 162.500 00 7.59%
ROYAL BANK SCOTLAND GROUP PLC Security Identifier: RN PRT
7.25% WON ADRREPSTG SER T PFD ais CUSP. 780097713
CALLABLE ON OR AFTER 12/31/2012 Q 25
Dividend Option: Cad
10/24112'.13 40,000.000 23.7900 951,600.00 24.0000 959,999 99 8,399.99 72,500.00 7.55%
01/07/13 '.13 40,000.000 24 1100 977,600.00 24.0000 959,999 99 -17,600.01 72,500.00 7.55%
01114113 '.13 40.000.000 24 8800 995,200.00 24.0000 960.000 02 -35,199.98 72,500.00 7.55%
Page 10 of 24
B015109CSF3002: A SO cc U o T u H n E t N RN u mber: 1146-023804 Go P,al wrle ' s I s A R S D a e A g v M e e d n A I v N . e t R . J i • o A 5 - T r I E o n D A C P O o M w M UNICATIONS r O y w a n . n n s a . n W ti u .0 a f N m y e . a P s . e . N . r M V e % lv A M o ll e .C r in a . s C • a V e i • s • • • e • • • c • e • • g ad •• M ••• S •• , ••
SDW_GM_00045502
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) ONFID AEN EXCELLUCK DB-SDNY-0008326
EFTA_0015611 1
EFTA01288474

Orals° e Sana Poule maim malgenan
minim Con. MMP
NM$4 WO Mani vt
Mwli40Mor
PO. Elm 177$. &Immo MO 2IN3 Ma rut Asammidfth I loc,
Ws Vat PM WIW
W)451.230L arm W•4091.
Statement Period: 12/0112013 -1213112013
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Armired Onantitir Unit Cod Cod Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities (continued)
Preferred Stooks (continued)
ROYAL BANK SCOTLAND GROUP PLC (continued)
Total Noncovered 120,000.000 2,924,400.00 2,880,000.00 .44.400.00 217,500.00
Total 120,000.000 $2,924,409.00 32,880,000.00 -$44,400.00 $217,500.00
Total Preferred Stooks 57,397,647.36 58,418,410.00 11,030,782.84 $649,025.00
Options
CALL 100 AM ERICAN AIRLS GROUP INC COM Option Identifier: 990ADTZ.0
EV0147450 20.000 OPTION ROOT: ML Unclothing Security Identifier: AAL
1,000.00 of these contracts are in your margin account Underlying Security Price: $25.25
12/11113 1,000.000 8.0330 803,314.50 8.8000 880,000 00 -123,31450
PUT 100 AM ERICAN AIRLS GROUP INC COM Option Identifier 99CIADTIO0
UP 01.17.150 20.000 OPTION ROOT: ML Underlying Security Identifier: AAL
-1,000.00 of these contrads are a shout position Underlying Security Price: $25.25
12111113' -1.000.000 1.9770 -197,702.00 1.8200 -182,00000 15,702.00
Total Options 3605,612.50 $406,000.00 -$101,612.50 $0.00
Total Equities $32,052,758.17 $28,252,872.24 -$3,759,915.93 $1,768,111.71
Unrealized Estimated Estimated
Date Amend Quantity Unit Cod Cost Basis Market Price Martel Yen Gala) Lou Annual Income Yield
Mutual Funds
iP MORGAN VALUE ADVANTAGE FUND Security Identifier: NAIX
INSTITUTIONAL CLASS CU SIP 4812A2587
Open End Fund
Dividend Option: Reinvest: Capital GainsOption: Reinvest
07109113 '.3 78.709.170 25.4100 2,000,000.00 27.1500 2,136,953.97 136,953.97 19,757.57 0.92%
Total Noncovered 75,709.170 2,000,000.00 2,136,953.97 136,953.97 19,757.57
Reinvestments to 2.854.003 26.4640 75,527.25 27.1500 77,486.18 1,958.93 716.41 0.92%
Date
Total Covered 2,854.003 76,627.25 77,486.10 1,959.93 716.41
Total 81,583.173 62,075,527.25 12,214,440.15 1138,912.90 320,473.98
Total Mutual Funds 62,075,527.25 32,214,440.15 $138,912.90 320,473.98
Paget' of 24
c. N
Account Number: 1146-023804 Rai•ed I .e•iwnt rmarm:m. mammon • may poem emmeen
B0105109CSF300:2 S., en Ye.ws In A Row
SOUTHERN uDAcLiLSAL•o RcArT ED COMMUNICATIONS tm mops Esma Demo te•C
SDNY_Glke 00045503
CFIDGAiNPaPe"TriesisACk).
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008327
EFTA_00156112
EFTA01288475

Portfolio Holdings (continued)
(continued)
U.S. DOLLARS
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Exchange-Traded Products
DEUTSCHE BK AG LONDON BRH 06 AGRIC Security Identifier: DAG
DOUBLE LONG TRADED n T CUSP: 25150558
Dividend Option: Cash; Capital Gains Option: Cash
07112110'.33 50.000.000 7.0510 352,529.00 7.2800 383.000.00 10 471.00
WISDOMTREE TR JAPAN HEDGED EQUITY FD Security Identifier: DXJ
Dividend Option: Cash; Capital Gains Option: Cash CUSH". 97711W851
60,000.00 of these shares are in your margin account
12/11113 60.000.000 49.4350 2.96(098.50 50.8400 3.050.400.00 84 301.50 37.081.40 1.21%
Total Exchange-Traded Products $3,318,627.50 $3,413,400.00 $94,772.50 637,081.40
Unrealized Awued Estimated
Coq Basis Market GainlLoss Interest Annual Income
Value
Total U.S. DOLLARS 179,407,371.86 890,170,943.94 -$2,955,722.26 8354,251.51 $3,733,571.31
EURO
Opening Closing Awned 30-Day
Deruiption Quantity Balance Balance Currency Income Yield
Cash, Money Funds, and Bank Deposits
Global Cash Balance 0.00 291,816.67 EUR
402,106.34 USD
Total Cash, Money Funds, and Bank Deposits 0.00 201,816.67 EUR 0.00
$402.106.34 USD $0 00
Accrued
Market Value Curium Interest
Total EURO 291,816.67 EUR 0.00
5102.106.34 USD $0 00
Unrealized Awued Estimated
Coq Basis Market Value Gain/ Loss Interest Annual Income
Total Portfolio Holdings - U.S. DOLLARS
$79,407,371.86 $90,573,050.28 -$2,958,722.26 $354,251.51 $3,733,571.31
Footnotes
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (9RO') (incorporating amendments enacted by
P.L110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are 'covered" under the new cost basis reporting rules are defined as securities winch have been acquired
on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is
disposed.
Page 12 0124
e010SI09CSF30022 1)ItAil•C p I S A O cc U o T u H n E t R N N u mber: N46-02380 F 4 I D G A o E pa r p N er T les 1 s AL R s °A e - r L e v B ad A - f N rr e R a A r , a T r " E in D t A C R O C M A MUNICATIONS P a et w e T r l i s s m . . o a ne n . s o + . i . r • r • P e • o • v • r e a t r t b a l n yi o llt n . e • * r A s u r i e s P n e C t s e s ra a d lu •S n M sf I f N ie IS r• •
GM_00045504
SONY
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0008328
EFTA_00156113
EFTA01288476

Dralsre Poule Wealth Magagenmil
MitattS CO•44/4tC,IsP
Cettfthe Sank Senoneint
PO Ba, 171s. Bat caw MO Dan 315 PI * A re O b N e TO t O . H R a ,* l ter
Mew etA ItY Iola
(21))4S4.21$4.111147.1.409S
Statement Period: 1210112013 - 12/31/2013
Portfolio Holdings (continued)
Reporting requirements generally will be phased in over a three-year period. as follows:
• Stock in a corporation acquired on or after January 1. 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1.2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2013, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of Ned income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed. there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances. including those involving continuously callable bonds. foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
Unrealized gains and losses are not reported for securities for which cost basis or market value is not available.
6 The Current Face value represents the outstanding principal balance of the underfying security. The Current Face value is determined by multiplying the current factor times the original face amount of the
security. Factors may change over time and are obtained from sources we believe to be reliable.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering firm or transfening agent and Pershing makes no representation as to the accuracy of this information.
Holdings Summary by Currency
Eabangehaded
Cuirenq Cash Fixed Income Equities Mutual Funds Funds Total by CCY
I. S DOLLAM 18.295.949 37.964,281 28,282,872 2.214,440 3.413.400 90.176,943 USD
EURO 291,846 0 0 0 0 291,846 SIR
Total USO Equivalent 11,691,066 37,981,281 21,212,172 2,211,110 3,413,100 90,573,050 USDE
% of Allocation 20.64% 11.02% 31.23% 2.11% 3.77% 100.00%
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ loss
Dale Date Transaction Description Quantity Cog Bat Proceeds Disallowance
Short Term
12112113 04125(13' S9.1 .P MORGAN LATIN AMER ELECT CLASS 49.504150 1100100.00 169,801.91 -130,198.03
First In First Out Security Identifier. JLTSX
Total Short Term 31,000,000.00 0869,101.97 -S130,191.03
Long Term
12/02113 11118/10' FSAI. GENERAL M IRS CO COM 0 600 21.84 23.61 1.77
First In First Out Security Idenlifier. GM
Page 13 of 24
0SI09CSF30022 DRAII-C111 S A O cc U o T u H n E t R N N u m C be O r: WIG-0 " 2 360 F 1 I D G A5 o p 1 ap \ e I r T les I s A L Sc.e e n " r Y x P e < R a o I l c s M lo I n n t A C P O o M w M UNICATIONS . v cr e e r r s e e r . n IL C .... P •• g • e • s •• im •• il ... r 0 e . t • i e + m In aw •••••• 6.SW/a
Iv SONY_GM_00045505
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008329
EFTA_00156I14
EFTA01288477

Schedule of Realized Gains and Losses Current Period (continued)
Disposition Acquisition Disposition Realized Cain/ IS
Date Date Transaction Description Quantity Cost Basis Premeds Disallowance
Total Long Term 321.84 323.61 31.7?
Total Short Term and Long Term 31,000,021.84 3869,826.58 -1130,196.26
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (1RC') (incorporating amendments enacted by
P.1.110-843. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered.- under the new cost basis reporting rules, and marked or denoted as such. All other securities in this
section are securities which are 'covered' under the new cost basis reporting rules Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on
or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is
disposed.
Reporting requirements generally wilt be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities. principally debt securities and options, acquired on or after January 1, 2013. or later, as determined by the Secretary of the Treasury.
This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and
subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as
it relates to corporate actions, has been obtained from sources we believe to be reliable.
Adjustments to cost basis can be made after year-end, in particular, for retum of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost
basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-Et or °nine displays you may have available to you.
When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by
Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or
warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and al liability that may arise with respect to your use and reliance
on the information provided herein for such reporting.
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax4ot disposition method. The disposition method is the method which you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your account's selected tax lot method wit be
used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8.
Messages
Federal Deposit Insurance Corporation (FDIC)4nsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at htips:/Nmwdws-investments,corn/EN/products/money-market-funds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Although a money market mutual fund seeks to preserve the value of your investment at St per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held In your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your investment professional for additional information.
Effective January 1, 2014, service and account-related fees will be adjusted as follows:
• Trade confirm service charge: $6.00 per trade
• Annual IRA fee: $50
• IRA termination fee: $95
• Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded security and $25 per non-publicly traded security
Page 14 oI 24
B0105109CSF3002: Account Number: N46-023804 &.) paper less RS c : w :4 .L 4 aA C n = P•a". c v m s m c e c a e c s s s u o a m c .s m o o s s r c . s s a s v a e s s c s is e m s a u o s . e s c s v .n . a c o s a m c s n a e e s s c e s c c s s s s a a n v e m o a s s e s s , t
SO L,ThERk CO.
N
LLC.
F ID rNITI AL
ucuw*cAs 1 tO COMMUNICATIONS
SDW_GIA 00045508
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008330
EFTA_00156115
EFTA01288478

Gnaw e .n, Pna *Oath Marna
POseets I oreitte CM,
Casche Lye Sawa w.
Mrs `la ON,.
PO em 1776.8* nay MO 2 I N3 .115 Pot Aorta 20th I cur
ah+%A WY 10114
4.A.M2LIESSI7.1,409S
Statement Period: 12/0112013 - 12/31/2013
M essages
(continued)
• Foreign safekeeping fee: 56 per position, per quarter
To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments
Changes in Program Banks have taken place which require your attention.
For a kst of Program Banks, please visit httolivinwtowm.rib.cortVarnericas/en/CashSweepOotions.html or contact your Client Advisor.
You should advise us of Program Banks with whom you carry depose accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in
order to maintain the maximum protection under terms of FDIC coverage.
Activity Sum m ary
(All amounts shovm are in base currency: USD)
Credits This Period Year.lo.Date Debits This Period Year-to-Date
Securities Securities
Secunbes Bought 0.00 0.00 Securities Bought .3 844.940 25 4.942.060 75
Secunbes Sold 1.067.527.58 1,067,527.58 Securities Sold 0.00 000
Total Securities $1,067,527.58 $15067,627.58 Total Securities -63,844,940.25 -$4,942,060.75
Dividends and Interest $399,704.74 $836,934.27 Dividends and Interest $0.00 $0.00
Distributions $99,874.36 $365,662.93 Distributions $0.00 $0.00
Taxes Withheld $0.00 $0.00 Taxes Withheld -$118.86 -6118.86
Other $197,702.00 $197,702.00 Other -$197,702.00 -3197,702.00
Cash Cash
Withdrawals 0.00 0.00 Withdrawals 000 .126.000 00
Deposits 395.598 16 21,489.602 70 Deposits 000 0 00
Total Cash $395.598.16 121,409,102.70 Total Cash $0.00 -6126,000.00
FDIC Insured Bank Deposits $3,769,413.00 $4,796,03330 FDIC Insured Bank Deposits -$1,642,971.76 -$22,976,705.83
Total Credits $5,929.019.84 $26,752,462.90 Total Debits -$5,885,732.87 -$28,242,597.44
Page 16 of 24
et,1O SIO9CSF300:2 Account Number: N46-023604 Go 61V rless R S o e e v l e o n f I Y x e < a o rs lie in nt A Pow a fa r a e w a n y e e a r h n . • . • . • m •• e •• a 1 n 1 s 0 . • samy ars as ..tee
THERk N cFI D rWriAL OALSAII LOCO COMMUNICATIONS
SONY GM_00045507
LI
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008331
EFTA_001561 16
EFTA01288479

Transactions by Type of Activity
Please, Trade/
Settlement Transaction
Date Date AWvi e Dna lot Ouantit Price Acaued Interest Amount CCY
Securities Bought and Sold
12102113 MERGER SECLRITY ECHANGED GENERAL MTRS CO COM 97,525.000 0.00 USD
GM
12102113 MERGER SECIAITY EXCHANGED GENERAL MTRS CO it PFD CONY SER B 4,75% CIA EFF .71,000.000 0.00 USD
37045Y209 121021131 OLD/1.3736 NEW CU 3745V100 GENERAL
MOTORS CO
12/04/13 CAST IN LIEL OF FRACTIONAL GENERAL MTRS CO COM PAYMENT OF CIL AT A RATE OF .0.600 23.61 USD
GM $39.353 PIS AS 0 F 12102
12104/13 MERGER ADJATM ENT GENERAL MTRS CO COM ALLOCATION OF FRACTI ONS AS 0.600 0.00 USD
GM OF 12/02 TO PAY CIL
12/12/13 12/11113 PURCFASED CALL 100 AMERICAN AIRLS GROUP Ike COM EXP 1.000.000 8.0031 403.3100 USD
990ADS3Y8 01-17.15020.000 OPTION ROOT: AAL2 OPENING
TRANSACTION UNSOLICITED ORDER LNCVRO
12/12/13 12/11113 SOLD SHORT PUT 100 AMERICAN AIRS GROL P INC COM EXP -1.000.000 2.0071 197.702.00 USD
990ADS978 01-17-150 20.000 OPTION ROOT: AAL2 OPENING
TRANSACTION UNSOLICITED ORDER LNO/R0
12113113 12112113 SOLD .P MORGAN LATIN AMERICA FUND SELECT CLASS .49,504.950 17.5700 869,801.97 USD
J.TSX UNSOLICITED ORDER
12113113 REINVEST CASH INCOME .P MORGAN VALUE ADVANTAGE FUND INSTITUTIONAL 800.719 .22,161.35 USD
A/MX CLASS 78709.1700 Sh RS SF RS PURCh. AT S26.36000 RD
12111 PD 12113113
12113113 REINVEST CAD, INCOME ..P MORGAN VALLE ADVANTAGE FUND INSTITUTIONAL 1,255.017 -33.082.25 USD
NAM CLASS 78709.1700 SF RS SF RS PURCF. AT 526.36000 RD
12111 PD 12113/13
12/16/13 12111/13 PURCFASED WISDOM TREE TR "PAN FEDGED EOUITY FD UNSOL 60.000.000 49.3749 4,966,098.50 USD
DXJ AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED
AS AGEN T
12119113 CUSIP CFANGE CALL 100 LCCULAMRO (100 AAL) EXP01•17•15 0 20 CREDIT .1,000.000 0.00 USD
99CIADS9Y8 ACCOUNT
12119113 CUSP CFANGE PUT 100 LCCIAAMR0 (100 AAL) EXP 01-17-15 0 20 1,000.000 0.00 USD
990ADS978 CORPORATE ACTIONS •
12/19/13 CUSP CFANGE CALL 100 AMERICAN AIRLS GROUP Ike COM EXP 1,000.000 0.00 USD
99CIADTZ4 01-17.150 20.000 OPTION ROOT: AN. CORPORATE
ACTIONS •
Page 16 of 24
DRARC ti I Accouni Num C ber: O NAG N -0238 F 04 ID G A o E pa N per T les I s A L R S O E e a X A w s L C e e S I d n I A . W W R m I I t d c C r o I A S C ll e l I t n n O t A C R O o M w M UNICATIONS P r e o so w „ v c a rtr Ps, ut o . n c t i w a o s m at • vo••••••••••••••
NY_GM_00045508
67e)LIFERN
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0008332
EFTA_00156117
EFTA01288480

PnitsO, Pam Prmale Wealth Maatentm
Mann Cwwye CoP.P
Pemba. Oak Sett* eri vic
Nee Ibet Oltor
PC. Bea 1716, Bat -PI MD 2'2O3 MS Pat Nemo, nth incer
Pestit PM 10114
P 454401, Ins) 7.84591
Statement Period: 12!0112013 -12/31/2013
Transactions by Type of Activity
(continued)
Preassi Trade!
Settlement Transadion
Date Date Ache •e Desai ma Quan Price Acaued Interest Amount ON
Securities Bought and Sold (continued)
12119/13 CUSIP CF AN GE PUT 100 AMERICAN AlFtLS GROUP INC CON EA? -1.000.000 000 USD
990ADTZ00 01-17-154 20 000 OPTION ROOT. MI. CREDIT ACCOUNT
12/23/13 REINVEST CASH INCOME P MORGAN VALUE ADVANTAGE RAD INSTITUTIONAL 758.267 •20.28365 USD
MIX CLASS 80804 9060 %I RS SI- RS PURCH. AT $26.75000 RD
12119 PD 12123113
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 4,777,412.67
Securities Withdrawals and Deposits
12/01/13 12103/13 SECURITY RECEIVED LLOYDS TS8 BK PLC EURO ISSUE MEDIUM TERM NOTES 1.500.000 000 0.00 USD
GIS15PP18 IMO XS0717735822 9.875% 12/16/21 REG DTD 12/16/11
CUB
12/04/13 12103/13 SECURITY RECEIVED LOG CAPITAL NO 1 PLC 144A IS1N$ X.93473106283 8.000% 3.000.000 000 0.00 USD
G5433BBG8 09/15/88 REG DTD 12/15/09
12/04/13 12(03/13 SECURITY RECEIVED PETRO LEOS DE VENEZUELA NOTES SENIOR 2.50Q000 000 0.00 USD
P7807HAF2 'SINS XS0460516525 5.000% 10/28/15 REG DID 10/28/09
12/05/13 SECURITY RECEIVED HSBC USA INC MEDIUM TERM k TS BUFFERED tiOTESI.K0 2,000,000.000 0.00 USD
40432XFP1 TO EURO STOA 50 0.000% 08/29/14 B/E D TO 05/30/13
0902 PMCBNA NC P 72500
12/05/13 SECURITY RECEIVED .PMORGAN CHASE CO MEDIUM TERM NTS CAPPED 1.000.000 000 0.00 USD
48126NVE4 CONTINGENT BUFFERED EQUITY NTS0 000% 10/16/11 WE
DTD 09/27/13 0902 .FMCBNA NC P 72500
12/05/13 SECURITY RECEIVED SG STRUCTURED PRODS INC COMMODITY LKD MKT PLUS 2.000.000 000 0.00 USD
78423EFS5 PROTECTED NOTES 0 000% 08105114 EUE DTD 07/30/13
0902 SMCBKA NC P 72500
12/13/13 SECURITY RECEIVED COUNTRYWIDE HOME LOANS SER 03.1 CL 014.090% 4.504000000 0.00 USD
126690151 03/25/33 REG DTD 01/30/03 0902 PMCBNA NC P 72500
12/13/13 SECURITY RECEIVED GLOBAL MTG SELL RITIZATION LTD/ GLOBAL MTG SCTZN 8.254000000 0.00 USD
378961AV8 ISINOU S378961AV83 5.250% 01/25132 REG DTD 04/28/05
0902 .Pil CB/. A NC P 72500
Page t? of 24
DRAB C III Account Number: NIG-02380 F 4 I D Go a pap r er n less A L J. R S O V A e O A v F L C e K S U n I A P I P A .U m e R P a < A r C N s I I I C I • n n IP t A C P O a M w A AUNICATIONS P .cr e e rm ar , e . t r u h c , Pep o is w ly - A C m . u • wfr S oa e v c Gard •••••1104,
SONY_GM_000455O9
6: THERN
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0008333
EFTA_00156I IS
EFTA01288481

Transactions by Type of Activity
(continued)
Proara' Trade/
Settlement Transadion
Date Date Activi e Degab loa Otiantit Price Acctued I nterest Amount OCY
Seaarities W Ithdrawals and Deposita (conUnued)
12113113 SECLRITY RECE1VED IMPAC CMB TR 2005-2 ASSET BKD BO CL 1-M -2 0 901% 10,000,000.000 0.00 USD
45254NNC7 04125135 BIE D TD 03103105 0902 .PMCBNA WC P 72500
12113113 SECURITY RECEIVED WASF INGTON NUT LITG SECS CORP 2004-RA2 M TG 1290,000100 0.00 USD
939336520 PASST1- Ø CTF CL C-8•1 VAR RATE 6.972% 07125133 BIE
DTD 06101104 0902 .1:11CBNA WC P 72500
Total Securities Withdtawals and Deposita • UNITED STATES DOLLAR 0.00 0.00
Dlvidendsand Internt
12102113 CASI- DIVIDEND RECEIVED 71000 SFRS GENERAL MTRS CO it PFD COM/ SER B 4 75% 42,156 25 LSD
37045V209 RD 11/15 PO 12/02/13
12113113 FDIC INSLRED BANK Ik SU RED DEPOS1TS INTEREST CRED1TED 425.98 LSD
DEPOSITSIATEREST
RECEIVED
458997996
12116113 FOREIGN BOND INTEREST 1500000 LLOYDS TSB BK PLC EL RO ISSLE MEDIUM TEN 148.125.00 UD
GIS15PP48 NOTES ISING X50717735822 9.875% 12/16121 REG OTE'
12116111 CLB RD 12/13 PD 12/16/13
12116113 BOND INTEREST RECEIVED 2000000 GENERAL ELEC CAP CORP NON CU kl PFD SER A 71.250 00 USD
369622%6 7.125% 06/12/62 BIE DTD 06112112 CLB RO 11129 PO
12/15/13
12/16/13 BOND IN TEREST RECEIVED 1400000 GENERAL ELEG CAP CORP PERP PFD SER C FIXER 39.200.00 USD
3696225T3 TO FLTG 5 250% 06/03/63 B/E DTD 06/03/13 CLB RD 11/29
PD 12/15/13
12123113 CASE DIVIDEND RECEIVED MORGAN VALLE AD VAN TAGE FL N D INSTITUTIONAL 20,283.65 USD
J/A1X CLASS 80804.9060 %Æ RD 12119 PO 12123113
12126113 BOND INTEREST RECEIVED 10000009 IMPAC CIA8 TR 2005.2 ASSET BKD BD CL 1.1.2 1.16422 USD
45250447 0.899% 04/25/35 BIE DTD 03103105 RD 12124 PO 12/25/13
12131113 FOREIGN SECUR1TY DIVIDEND 20000 %RSBOMBARDIER INC CLASS BRD 12/13 PC/ 475.44 USD
RECEIVED 12/31/13
BDRBF
12131113 FOREIGN SECUR1TY DIVIDEND 120000 SFRS ROYAL BANK SCOTLAND GROUP FLG 7.25% 54.375 00 UD
RECEIVED SPON ADR REPSTG SER T S CALLABLE ON OR AFTER
RBSPRT 12/31/2012 @, 25 RD 12/16 PD 12131113
12/31/13 CASF DIVIDEND RECEIVED 60000 %FIS WISDO M TREE TR JAPAN I, EDGED ECI UITY FD RO 22.249 20 USD
DX1 12/27 PD 12/31/13
Total Dividends and Internt • UNITED STATES DOLLAR 0.00 399,704.74
Page 18 ol 24
Accounl um ber 114G-023804 Go papeYleSS [ S 'M erv e e d n I V ^ ~ e le .. n s t I nA Row C 4/ i e T r Y s M s ~ O ~ C 1 f . ~ I Na CC e M i. M i.C IG . . C • ~ I• C 1~ a •••• M ••• C » Y .. Yd n ?!
SOLTHER fiFIDe\ITIAL I G XC IR IL A L R U I 1 C 1 I A E 1 tO COMMUNICATIONS •••••••• • MC • 0 Id sec
SONY GM_00045510
CF13
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY-0008334
EFTA _G0156119
EFTA01288482

Gnaw e San' PrrosieMotah Magatentm
Mats CeenteCoMp
Deasche Sank Sectoon
Mr. bet Once
Pa Got 1771 Belentos x021203 HI Pot Aar. Nth lice!
IllerneA 10IW
PL7)4,44M. MSS, 7.1.409S
Statement Period: 12/0112013 • 12/31/2013
Transactions by Type of Activity
(continued)
Eleant Trade/
Mellen' Transaction
Date Date Activity Type Desai ion Quant Price Acaued Interest Amount CCI
Distributions
12/13/13 LONG TERM CAPITAL GAIN .P MORGAN VALUE ADVANTAGE FUND INSTITUTIONAL 33.082 25 USD
DISTRIBUTION CLASS 78709.1700 SliRS RD 12/11 PD 12113113
liAlX
12/13/13 SHORT TERM CAPITAL GAIN P MORGAN VALUE ADVANTAGE FUND INSTITUTIONAL 22,161.35 USD
DISTRIBUTION CLASS 78709 1700 SHRS RD 12111 P012113113
NAIX
12127113 RETURN OFPRINCIPAL 10000000 IM PAC CMS TR 2005-2 ASSET BKD BD CL ¶41-2 7.334 16 USD
RECEIVED 0.899% 04125135 WE DTD 03103105 RD 12124 PO 12125/13
45254NAC7
12/31/13 LONG TERM CAPITAL GAIN 60000 SHRS WISDOM TREE TR APAI. HEDGED EQUITY ED RD 26,266 20 USD
DISTRIBUTION 12/27 PD 12131/13
DX1
12/31/13 SHORT TERM CAPITAL GAIN 60000 SHRS WISDOM TREE TR JAPAN HEDGED EQUITY ED RD 11,030.40 USD
DISTRIBUTION 12/27 PD 12131/13
DX1
Total Distributions- UNITED STATES DOLLAR 0.00 99,674.36
TaxesWithheld
12/31113 FOREIGN TAX WITHHELD AT 20000 SHRS BOMBARDIER INC CLASS B RD 12/13 PD .118.86 USD
THE SOURCE 12/31/13
BDRSF
Total Taxes Withheld • UNITED STATES DOLLAR 0.00 110.66
Other Transactions
12/19/13 MARK TO MARKET FROM SHORT ACCOUNT TO MARGIN ACCOUNT 197.702.00 USD
US0999997
12119113 MARX TO MARKET FROM SHORT ACCOUNT TO MARGIN ACCOUNT -197.702.00 USD
US0999997
Total Other Transactions • UNITED STATES DOLLAR 0.00 0.00
Cash Withdrawals and Deposits
12103/13 INCOMING CURRENCY WIRE INCOMING CURRENCY WIRE EURO CURRENCY 291.846.67 EL R
EUR999995 Exchange Rate: 1.3555 395,598.16E USD
Total Cash Withdrawals and Deposits • EURO 0.00 291,846.67
Total USD Equivalent 0.00 395,598.18
Page 19 of 24
Account Number: NIG-023804 Go powerless Ra•ed x<ollOnt OWN.. ••••••••• POWAY Ile. • IMMO. ...HP *SOS.,
imkA8.< ice, 67e)UTHERN T. S O e A v L e I n W V I e i e tA n. l I t n 0 A C P O o M w M UNICATIONS •ITIan a t LC w a o le e s M e a e • A • ~ •• , • .n • C sae a n S e e s c ren =MSS
EXCELLING{
SONY GM_00045511
CON F D ni calAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. DB-S6NY-0008335
EFTA _00156120
EFTA01288483

Transactions by Type of Activity
(continued)
Neese Trade/
Settlement Transaction
Date Dale Aaiyil e Devi' roe Ouan Price Accrued Interest Amami r
FDIC Insured Bank Deposits
12102113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -265,788 57 USD
USO999997
12103113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM .42.156 25 USD
USO999997
12105113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 2381 USD
USO999997
12112113 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 803.311 50 USD
WITHDRAWAL
USO999997
12113113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -869.801.97 USD
USO999997
12113113 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .425.98 USD
DEPOSITS INTEREST
REINVESTED
458997996
12116113 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 2,966.098.50 USD
WITHDRAWAL
USO999997
12117113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -258.575.00 USD
USD999997
12120113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 197,702.00 USD
USO999997
12127113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -1.16422 USD
USO999997
12130113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -7,334 16 USD
USD999997
Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 2,126,141.24
Total Accrued interest Total Amount
Transactions Summary Total Accrued Interest Total Amounl Currency USD Equivalent USD Equivalent
EURO 000 291,846 67 EU R 0 00 395 598 16
UNITED STATES DOLLAR 000 •151.511.19 USD 0 00 -151 511 19
E Represents the U.S. Dollar (USD) Equivalent.
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Security Record Dale Payable Date Quantity Held Rate Mount of Payment Dividend Option
Dividends
GENERAL ELECTRIC CO COM 12123113 01127114 23.000.000 0.220000 5.060 00 Cash
Total Cash Not Yet Received $5,060.00
Page 20 of 24
Drumm PI S A O cc U o T u H n E l N R umber: N4G-023804 Go paperless 1 S 2 e •O ve •c n l r Y .s e . a li s e n In t A C R O s M AAUNICATIONS O co m sm s • • • i c w •• . a ° s s s r . P ... a . s • s s ss u a . C Pa . n c sa a o m s 'S y s c s es c S an a s n e s m
CF-im,IFIDnliAL LACM UCCI
SONY GM_00045512
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008336
EFTA_OO156121
EFTA01288484

Draiu ie .n, Poetic aaini Magnenwl
Mieets COrecia Gap
Dtaische Ilank Settoa
Nr• bet 011o•
MS= 7771 Barrow 1021203 NINA ••••••. 30th Oar
le. AhY IOVA
(M)CA.74.4. MSS, 211409S
Statement Period: 1210112013 - 12/3112013
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
7 to 12 months 5.188.500.00 14% MI Percentages of bond market values are
I to 5 years 2.062.500.00 5% le rounded to the nearest whole percentage.
ED
6 to 10 years 9.829.200.00 26%
Over 10 years 20.884.081 84 55% -
Total 37,964,281.84 100%
Bond Quality
Bond Oualrlv Market Value % of Boad Market Value
8AA 6.656.000 00 Percentages of bond market values are
8Arlower 25.085.139 06 rounded to the nearest whole percentage.
kol Rated 6.223.142 78
Total 37,961,28111
Client Service Information
Your Client Advisor: TDS Contact Information
TAZIA SNI ITh Telephone Number: 1212) 454.2889
345 PARK AVENUE 14Th FLOOR
NEVI YORK ItY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FAST 01,T
Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Copies of Statement Sent
IFFREY EPSTEIN
At your request copies of this statement have been sent to the above.
Electronic Delivery
You have not selected any account cam m unicatMns for electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for more information.
Page21 of 24
Dila•Cti S A O cc U o T u H nt E k R u mbec NIG-02380 F 4 I D G an o pa \ p l e " r T les i s A L l S ( C a A e I • A C v c L e G l I n U L U V x U . I P < It M a e A IS l { l l e t I 0 n n t A C R O o M w M UNICATIONS g fa a la •a • ••••••••• a •• s • • r • a u n LC . n C a a y n aa a n •• ••••d e a ra t
SDNY_GM_00045513
CFI"
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008337
EFTA _00156122
EFTA01288485

Important Inform ation and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained
from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a
price is not available are marked -NIA— and are omitted from the Total.
The estimated annual income (EM) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to tie reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any
time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the
position quantities, interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
wiwtpershing.corNbusress_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your Statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
intonation is available to you promptly upon your written request directed to your introducing km. In order to assist your introducing firm in maintaining current background and financial information concerned
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, Found a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Pools. Reproducing and distributing any information received from Standard & Pools is not permitted without prior written
authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or
or issions. regardless of the cause, or for the results of using such content. Standard & Pools makes no express or implied warranties including warranties of merchantability or fatless for a particular purpose.
Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts: are not
recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Cash Not Yet Received
Assets shawl here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
Page 22 of 24
B010 5109CSF3 0 02: Account h um ber N46-023804 Go paperless P S a e n v e e d n I Y sc e o a ll s so in nt n Row o et w m n a s. s o s n s e f s lo m sa e s a e t a s m . ra su s C a . n ca e w w as e s r e o sa r • e m a s m a m n a s s , *
CALMS, ItAltO COMAALINICATIONS n. n.s tsc see Vs sewn sec
FI D STriAL ICCUILINCE
SDW_GiA 00045514
6: THEIM
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. DB-SDNY-0008338
EFTA_00156123
EFTA01288486

Gralute Sant Poule wean ',anemia
wren, Core. bwp
DMUS Oa* Senn%
Now id Calor
341p etAMist l•th I tcr
lieslat. PM 10114
inn *WIN. wis) nnon
Statement Period: 1210112013 - 12/31/2113
Important Information and Disclosures (continued)
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without Inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the resuit of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the evening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC Snits. For more detailed information please visit wmv.pershing.comIstrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt
of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza: Jersey
City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is Med.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very baited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a clain in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enlace any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action unlit al the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem.
Pershiog's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413.3330.
Page 23 of 24
B0105109C5F300:2 Account Number: N46-023804 Go paperless RaWd Vxet •414.t e 0. t 4 T 00 i 1 n 0 a . O m a a y gh . Oo 'A re n la N s e eds, C ow av .• e • a • C es a S n. T , • • = •• M •S ae I
SOUTHERN Can aC•
AL
°mAer,. • RAZED COMMUNICATIONS sec
SDNY_GA4_00045515
I D AE NT 1 ; Lu4
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008339
EFTA_00156124
EFTA01288487

TERMS AND CONDITIONS
TRANSACTIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER,
• ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY
SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND TRANSACTION YOU MAY MAKE, PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH
INTERPRETATiONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLCABLE LAWS NC REGIKATIONS FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS
• TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN AVAILABLE UPON REQUEST.
WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT
DATE, WHICHEVER IS LATER. PERSHINGS OFFICES. A COPY OF II WILL BE MAILED UPON YOUR WM I TEN REQUEST ON YOU CAN
• YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT WWW.PERSHING.COM.
STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES:
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. YWYvV.PERSHING.COMMUSiNESS_CONTNUTIY.HTML
THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS
FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHINGS PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS-
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. RULE 607(A)(1)-(2))
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS TRADING SESSIONS. CERTAIN Of THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EOUITY ORDERS AS
MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST.
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER PERSHING RECEIVES PAYMENTS FOR DIRECTING USTED OPTIONS ORDER FLOW TO CERTAIN OPTION
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR PAYMENT.
INSPECTION UPON REQUEST. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
TAX INFORMATION FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE-
COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE 70 ACCEPT ORDERS,
• AFTER YEAR END. PERSHING IS REOUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN
REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED
PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY
STATEMENT TO PREPARE YOUR TAX FILINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH
• DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE
AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS Of THE DISTRIBUTION OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE M3430 PERSHING ALSO REGULARLY
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR OUAUTY OF EXECUTION PURPOSES.
GENERAL INFORMATION.
• PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE
ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ARE INDEBTED TO PERSHING LLC (PERSHING') FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
UABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER.
DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR
PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS:
ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECUFUTES CARRIED FOR
YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY
PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE
COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR
GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT
PROHIBITED BY LAW.
IF ANY OF THE ABOVE TERMS AND CCNDIH0NS ARE UNACCEPTABLE TO YOU. PLEASE NOISY PERBING IMIEDIAIELY N WRITE.* BY CERTIFIED &WI 1O ONE PERSHP4G PLAZA JERSEY CITY. NJ 073BB ATTAR LEGAL OEM
Page 24 of 24
Account Number. NIG-0O23804l Da Go T pa T per I le A ss Lte Rs," ', doe, ?ewes.. eete, .••••••••LLC.:•••••••••••••••1104,
1)PAR•C ti I SOUTHERN CA a 0 S txA e t v U e m n l e Y n e Rc a PT s In O A C P O o M w M UNICATIONS
SCINY_GM_00045516
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008340
EFTA _00115611.25
EFTA01288488

Draisre San. Poetic wean Mamtentni
Weals COreiteC01,P
Cettfthe SW Settoneint
Mrs bet Once
PO ka 1776. 8•It Pc.* MD 21203 315 Pot Aire. 20th liter
Mew •ett. hY 101,4
(21))454.7M.IISSInt409,
Account Num ber: N10-02 380 4
Statement Period: 11/01/2013 -11/3012013
Valuation at a Glance
This Period Year-to-Date
Beginning Account Value $64,450,582.78 $0.00
Net Cash Deposits and Withdrawals 5,937.745 77 20,968,004 54
SOUTHERN FINANCIAL LLC
Net SecuAties InlOut of Account 0.00 48,391,728.96
6100 RED HOOK QUARTER B3
Adjusted Previous Account Value 70,3811,328.55 69,362,733.50
ST THOMAS VI 00802 Dividends, Interest and Other Income 505.518.10 703,018.10
K et Chan•e in Portfolio -21.118 32 806 646 73
ndinq Account Value S70.872.398 33 $70,872,398.33
Estim ated Annual Incom e $3.34922298
Your Client Advisor:
TAZIA SMITH
Asset Allocation
Prior Year-Fad last Period This Period % MIcatioe
._. bi Cash. Money Funds. and Bank Deposits' 0.00 11,169,638.27 20,573,902.11 29.03% Pie Chart allocatepn only includes
products that are of positive value.
LSD Fixed Income 0.00 19,790,125.00 19,692,375.00 27.79% I
Assets of less than 1% eg holdings
USD Equities 0.00 28,745,219.55 28.904,515.13 40.78% yid not display on thes pee chart.
Non-USD Equities 0.00 1,013,194.98 986.356.06 1.39% I N N 1
Non-USD Fixed Income 0.00 316,875.00 320,250.00 0.15%
Other 0.00 415.500.00 395,000.00 0.56%
Account Total (Pie Chart) 10.00 284,450,682.78 $70,872,398.33 100.00%
1 The Bank Deposits in your account are FDIC insured bank deposits.
FDIC ins.irel bark deposits are not bounties and are not covered by the Secunbes Investor Protection Corporation
(SIPC). These bank deposts are covered by the Federal Depose! Insurance Corporabon (FDIC), up to dovrable limb.
See page 2 of the statement for important nformation regarclog the Asset Abcatnn section.
Page 1 of 15
B0090 A OWSF 30015 Go paperlesst R Se a v le e d n I Y m e c i o S ll o In nt A Roy* . o . r . 0 T 1 in 0 a .• i • n •• a •• • • • • • • • • • • • • • • • • • • • •• • I • S • O n . o • • W •• IN •• O • / • W •• e • e •• d • •••••••
c A• V 3 /I • 0 ... O TA A C L U IU L U LE I i N tA C M 1 O COMAAUNICATIONS •••••••t“ ••••••••••••A POMO SSC
SDNY_GM_00045517
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008341
EF1'A_00156126
EFTA01288489

Asset Allocation Disclosure and Footnotes
Certain values have been defaulted into the Other Asset Class due to incomplete categorizing data
AI values are displayed In U.S. dollars based on interbank exchange rates as of 11/300013. Exchange rates can vary.
Equities contains Equity Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short-Term Gain/Loss 0 00 0 00 79.822 51
Long.Term Gain/Loss 000 0.00 4,249,111.81
Net Gain/Loss 0.00 0.00 4,159,292.33
This summary excludes transactions where cost basis intonation is not available.
For Your Information
Go Papedess. Deutsche Asset 8 Wealth Management now offers electronic delivery of certain account communications for Wealth Management ckents. Sign up today at vnwtmyedocumentsuite.com for this
easy, convenient and secure way to receive all of your sensitive account information. If you need assistance during enrollment, please contact your Client Advisor or Web Support at 800-776-7564.
Deutsche Bank will change certain service and account-related fees effective January 1, 2014.
See the 'Messages' section at the end of this statement for details.
FDIC Insured Bank Deposits
Oate Activity Type Description Mount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account kumber. N4G023801 Activity Ending: 11129/13
11101/13 Opening Balance 14.169.638 27 11.169.638.27
11105/13 Deposit DEPOSIT 8.331.02 14.177.969 29
11113/13 Withdrawal WITPORAWAL -39,000.00 11,138,969 29
11115/13 Deposit DEPOSIT 6,100.00 14.145.069.29
11115/13 Deposit INTEREST CREDITED 123.24 11,145,192.53
APY 0.01%
11/18/13 Deposit DEPOSIT 233.506.29 11.378.698.82
Associated Bank NA
NO 11118 $250000.00
BUT
NO 11/18 $250000.00
Deutsche Bank
NO 11/18 512128698.
East West Bank
NO 11/18 5250000.00
Page 2 of l6
I)RAP C11 S A O cc L o T u H n E t N R um C ber: O N4G-0 23804 Go paperless I ° S t A a e k L v p A e c n V l I Y A m e < it a o A l s l l i o t I O n nt A C R O o M ve M UNICATIONS P o O t a m T s e i s n n s e a . s t t a c w s w . p • a h •• • s • • • . • • • • • e• • • • • w • U o . r C n . • wl a w p o so o m e n r e c s an ta oe ti * v S w ta a r r t n
FI D tvinA L DECMIMI
SDNY_GM_00045518
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008342
EFTA_00 I 5 6 I 27
EFTA01288490

Gnaw e Ram Prmaie YnYO Maeatentei
Maren Connie G,O.P
Ces041w W Sectanas nt.
Nos Wart 011Ice
PC. Bca I 776, Bat rrow MO 2'2..n 341P ad. MY,Iiith lice!
Reoltat. PM 10114
IM) 4$141•L MOWWf
Statement Period: 11/0112013 -1113012013
FDIC Insured Bank Deposits (continued)
Date Activity Type Description Amount Balance
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
NY Community Bank
NO 11118 3250000.00
Citizens Bank
NO 11118 5250000.00
Texas Capital Bank
NO 11/18 525D000.00
TriState Capilai Bank
NO 11118 $250000.00
Union Bank of CA
NO 11/18 5250000.00
Corn lenity Bank
NO 11/18 5250000.00
11121/13 Withdrawal WITHDRAWAL -126,000.00 14,252,698.82
11125/13 Deposit DEPOSIT 63,000.00 14,315,698.82
11127/13 Deposit DEPOSIT 5.992.41415 20.308.113.57
11129113 Closing Balance $20,308,113.57
Total FDIC Insured Bank Deposits $20,308,113.57
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Income and Expense Summary
Correct Period Tear-to-Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 73156.25 0.00 73,356 25 0.00
Other Dividends 81.250.00 0.00 278.750.00 0.00
Page 3 of IS
rc o
e*D9RROSCSF30015 Account Number: N40-023804 Go ~~g)QrIeSS R S a e l v lr e e n l r Y e e < a M rs N I n n t A Rove O 40 en M . a ae v . o 0 w 1 . 0 P . e . 1 r O sa 1M m e p r u • 1 . 2. 0 1 .• • • • • • • • • • • • • • • • • • • • •• • • • • • • • ~ •• P
SOUTHERN GIALLO, RAMO COMMUNICATIONS P al.a LC iv..,-VP/IA on. UPC
FI D riTnAL
SONY GM_00045519
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008343
EFTA_0015612 8
EFTA01288491

Income and Expense Sum mary (continued) °meat Period Year-to-Date
Taxable Non Taxable Taxable Noe Taxable
Interest Income
Bond Interest 44.375 00 0 00 44.375 00 040
FDIC Insured Bank Deposits 123 24 000 123 24 0.00
Other Interest 40.625 04 0 00 40.625 04 0.00
Total Dividends, Interest, Income and Expenses 1239,729.53 $0.00 $437,229.53 $0.00
Distributions
Alternative Investments 0.00 265.788 57 0.00 265,788.57
Total Distributions $0.00 $265,788.57 $0.00 $285,788.57
Portfolio Holdings
Activity Opening Closing Accrued income 30.Day Current
Opening Date Quantity Account Number Ending Balance Balance income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 29.00% of Portfolio
Cash Balance 0.00 265,788 57
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
11/01113 20.308,113 570 tilG023804 11129/13 14.169,638 27 20.308.113.57 189.33 123.24 I', /A NIA
Total FDIC Insured Bank Deposits 114,169,838.27 120,308,113.57 $189.33 1123.24
Total Cash, Money Funds, and Bank Deposits 111,169,638.21 $20,513,902.14 1189.33 1123.24
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/ Loss Interest Amount Income Yield
Fixed Income 28.00% of Portfolio (In Matunty Date Sequence)
Corporate Bonds
HEADWATERS INC GTD SR NT Security Identifier: 12210PAQ5
7.625% 04/01/19 WE DID 03/11/11
CALLABLE 04/01/15 0 103.813 Moody Rating B2 S & P Rating Bs
10122712'.12,13 1.000.000.000 102.7280 1,027,279 56 107 7500 1,077,500.00 50.220.14 12,196.53 76.250.00 7.07%
Original Cost Ban $1.035.003.00
EARTHLINK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC6
CUSP FROM 27032IA88 8 875% 05/15/19 BIE
DTD 05/17111 CALLABLE 05115115 Moody Rating 83 S 8 P Rating CCC•
10722112'.12.13 100,000.000 102.7690 111,075.49 98.5000 394,000.00 •17,075.19 1,479.17 35,500.00 9.01%
Original Cost Bans: $414,000.00
10123112'.12,13 600,000.000 102.5730 615.139.30 98.5000 591,000 00 -24.439.30 2.218.75 53,250.00 9.01%
Original Cost Bass: 1619.500.00
Page 4 0,16
DRAR•C ti I S A O cc L o T u H nt E N R um L ber: I NIG M -02380 4 F I D G E o p \ a " p l e T rle i s A s L R P S . a t X e i C s e P c n l L Y U x e < M a e r P s lle I n nt A C P O o M w M UNICATIONS O e O t w r Y a o s r . s P o „ a a C n w p . . m I P .P o o o w o s n v . s o I S i n ft w s L o L r v C n a . • c s w w t w . e .< f a w r a c s a c n o o N e Y se m l.o a f w tw * r
SONY GM_00045520
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008344
EFTA (x1156129
EFTA01288492

Oralute Sant Poule Wei4010.0.0gental
Mats Corrine 6%0
DMUS SW* Senn% 02.
Nor Ibrt OPlor
30 Pat Ao0•00 !Uhl *cc
Ifeolat. PM 10154
nnon
P *WIN.
Statement Period: 1110112013 - 11/30/2013
Portfol io Holdings (continued)
AdJgded Unrealized Acand Estimated Estimated
Date ired Cuzrt, Unit Cod Coat Bads Market Price Market Valve Gals/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
EARTHUNK INC GTD SR NT FULLY EXCHANGED (continued)
Total Noncovered 1,000,000.000 1 020 514 79 985,000.00 -41,514.79 3,697.92 58,750.00
Total 1,000,000.000 $1,026,514.79 $985,000.00 -$11,511.79 $3,697.92 08,750.00
SERVICEM ASTER CO SR NT - CUSIP FULLY SU:WV Identifier: 81760NAN9
EXCHANGED FROM OLD CliSIP 81760KAL3
8.000% 02115/20 8/E DTD 02/13/12 Moody Rating CMI S 8 P Rating
CCCv
01121113 '.12.13 T500.000.000 105.1570 1,581,861.08 100.0000 1.500.000.00 .81,861.08 35,000.00 120.000.00 8.00%
Original Cost Bags: 51,595,625.00
02/25/13 %OM 1,000,000.000 106.0700 1,060,700.13 100.0000 1,000,000.00 -60,700.43 23,333.33 80.000.00 8.00%
anginal Cost Basis: $1.070,000.00
Total Noncovered 2,600,000.000 2,642,561.51 2,500,000.00 -112,551.51 58,333.33 200,000.00
Total 2,600,000.000 S2,642,561.51 $2,500,000.00 -$142,01.51 $58,333.33 $200,000.00
SOUTHERN CALIF EDISON CO Security Identifier: 842400FU2
PREF SERE 6.250% 02/01/22 B/E
DTD 01117/12 CALLABLE 02101122 Moody Rang BAA2 S P Rating BB&
01/30112'.3,12 3,000,000.000 99.7870 2,993,601.03 103.5000 3,105,000.00 111,398.97 61,979.17 187,500 00 603%
Original Cost Bags: 52 992,564 97
BARCLAYS Bk PLC CONTINGENT CAP NT Security Identifier: 06739F1180
13140US06739FHK03 7.750% 04110123 B/E
DTD 04110113 CALLABLE 04/10118 58 P Rating 88'
04103/13 '.12.13 300,000.000 100.0000 300,000.00 106.7500 320,250 00 20.250.00 3,229.17 23.250,00 7.25%
Original Cost Bass: 5300.000.00
PM ORGAN CHASE 8, CO DEP MS FtEPSTG Madly Identifier: 46625HHA1
1110TH PFD SER I AXED TO FLTG RT ee
7.900% 04129149 B1E DID 04123/08 Moody Rating Ml St P Rating BOB
06115/11 '.3.12 2,500,000.000 101.5000 2,687,500.00 110.5.300 2.762.500.00 75.000.00 16,458.34 197.50000 7.14%
Original Cost Bads: $2,687,500.00
06/15111 '.3.12 2,500,000.000 107.0000 2,675,000.00 110.5000 2,762,500.00 87,500.00 16,458.33 197,500.00 7.14%
Original Cost Bares: 52,675,000.00
Total Noncovered 5,000,000.000 5 362 500.00 5,525,000.00 162,500.00 32,916.67 395,000.00
Total 5,000,000.000 $5,362,500.00 0,525,000.00 $162,500.00 532,915.67 $395,000.00
Page5 of 10
' 0 9000SCSF3C01: Account Number: MG-023804 DGon paipgerleisAs r St en Yeas In A Pow o 08 w T e im s• i r g a a g • a •• ••• r • 0 s 0 . • • I • A •• & • n & c ra a d . a o r r e ie lip s a e o• v * S •• a • n •• •
r.064 IVO COMMUNICATIONS Par* twandrairea rata let
SO id TH ERN C hil n 0Atx
SDNY_GIA 00045521
CONFIDENTIAL — PURSUANT TO FED. R CRIKI. P. 6(e) DB-SONY-0008346
EFTA_00156130
EFTA01288493

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date mired Guantit Unit Cost Cost Basis Market Price Market Valve Gain/ Loss 'Merest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
BANK AM ER CORP PERP NON CON ULATIVE DEP Security Identifier: 060505078
SFS FIXED TO FLOAT 8.125% 04/30158 B/E
DTD 04130108 CALLABLE 05/15118 Moody Rating BA3 SS P Rating BB+
01/10/11 '.3.12 2,000,000.000 102.7500 2,055,000.00 111.5000 2,230,000.00 175,000.00 6,770.83 162.50040 7 28%
Original Cost Bass: 52,055,000.00
GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 3698225116
A 7.125% 06/12/62 B/E
DID 08112/12 CALLABLE 06/15122 Moody Rating BAA1 S 8 P Rating M•
06727/12 ',12,13 2.000.004000 105.5300 2.110405 12 1111500 2,225,000.00 114,394.88 65,312.50 142.500.00 6.40%
Original Cost Basis. 52.122.916.67
GENERAL ELEC CAP CORP PERP PFD SER C Security Identifier: 369622573
FIXED TO FLTG 5.250% 06103/63 B/E
DTD 06/03113 CALLABLE 06/15/23 Moody Rating BMI S 8 P Rating M.
0509/13 '.12.13 1.400.000 000 100 0000 1,400.00000 94.5000 1,323,000.00 .77.000.00 36,137.50 73.500.00 5.55%
Original Cost Bass 51.404000.00
PM ORGAN CHASE I CO 6.000% 09/01186 BM Security Identifier: 48126HAA8
DTD 07129/13 1ST CPN DTE 02/01/14
CPN PMT SEMI ANNUAL ON FEB 01 AND AUG 01 Moody Rating BA1 S 8 P
Rating BBB
07/22/13 '.12.13 750,000.000 100.0000 750.000.00 96.2500 721,875 00 .28,125.00 15.125.00 45.000.00 6.23%
Original Cost Bass: 5750,000.00
Total Corporate Bonds 119,668,062.01 120,012,825.00 1344,562.99 1295,996.82 $1,394,250.00
14950,000.000
Total Fixed Income 119,688,062.01 320,012,625.00 1344,562.99 3295,999.62 $1,394,260.00
18,950,000.000
Unrealized Estimated Edimated
Date Acquired Quantity Unit Cod Cod Basis Market Price Market Value Gain/ Loss Animalism.* Yield
Equities 38.00% of Portfolio
Common Stocks
APOLLO GLOBAL M GM T LLC CL A SHS Security Identifier: APO
Dividend Option Cash CUSIP. 037612306
03/29/11 '.13 263. t 57 000 19 0000 4499,983 00 30.1900 7,944,709.83 2.944.726.83 1,039,470.15 13.08%
APPLE INC CON Security Identifier: AAPL
Dividend Option: Cash CLISIP. 037833100
10/28113 2.000 000 529 0600 1.058,120 50 556 0700 1.112.140.00 54,019.50 24.400.00 2.19%
ARIAD PHARMACEUTICALS INC Security Identifier: ARIA
Dividend Option Cash CUSIP 04033A100
02/14112 '.13 7.535 000 15.2090 114,597.40 4 8400 36,469.40 48,128.00
Page 6 of 16
Account Number: N46423804 Go paperless r ellmetarLLO.•••••••••••••••••••••••
PC,C1901301CSF30015 1,11AR < . I SOUTHERN teN OLL - IDAL1Srr iAe ['EC1 1.1O E • C tA C lt O COmmuniCATtOnrS yeses. wearanNA on a In
SDNY_GM_00045522
otsi
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008346
EFTA_00156131
EFTA01288494

Draisre Bana Ponie Mai P. Mamenme
PdarsiesCoreateGoe•P
Cettu IM Smog. Mc
- MIL -or
PO Eka 1716. Bal nbre-tr 2,P33 Ha Paa As~. l•th .Iocr
lereell" 10114
P tOPPPapiss»anon
Statement Period: 11/0112013 - 11/302013
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date A ned (lurt' UnitCosi Coat Basis Martet Prim Martet Valne Gain/ Lou Animal lomme Vidd
Equities (contmued)
Common Stocks (continued)
ARIAD PHARMACEUTICALSINC (continued)
01124113 '.13 9,000 000 19.6000 176,400.00 4.8400 43,560.00 -132,840.00
Total Noncovered 16,535.000 290,997.40 60,029.40 -210,90.00
Total 16,535.000 $290,997.40 00,029.40 4210,90.00 $0,00
ASCE/JA RETAIL GROUP INC CON Security IdentIller ASNA
Dividend Option: Cath CI,S1P: 043516101
01/16101 "Ån 70,500.000 21 2770 1.500.000 00 213000 1,501.650 00 1.650.00
BIOGEN IDEC INC COM Security Identiner: BIIB
Dividend Option: Cash CLS1P: 09062X103
02/14/12 '.13 2,095.000 119 5490 250.454.95 290.9700 609.582 15 359,127.20
BON BARDIER INC CLASS 8 Security Identlfier: 8DRBF
Dividend Option: Cash CUSIP. 097751200
07/10/07 'Ån 20,000.000 6.2850 125.70040 4.5158 90.315.46 -35,383.54 1,939 74 2.14%
FACEBOOK INC CL A Seairity Identifier: F8
Dividend Option: Cash MAP 30303M102
05117/12 ".13 17.500.000 38 0000 665.000.00 47.0100 822.675 00 157,675.00
GENERAL ELECTRIC CO COM Security Identiller GE
Dividend Option: Cash CUSIP: 369604103
04/23/13 ',13 23.000.000 21.5700 496.109.08 26.6600 613,180 00 117,070.92 17.480.00 2.85%
P MORGAN CHASE 8. CO COM Securlty Identifier: PM
IM/1346625h 1005 CUSIP 46625H100
Dividend Option: Cash
07/14/05 9.12 21.753100 488.4840 10.626.002.00 57.2200 1,244,706.66 -9.381,295.34 33.064.56 2.65%
SANGAM 0 BIOSCIENCES INC COM Seairlty identifier: SGM 0
Dividend Option: Cash CUSIP. 800677106
05128113'.13 50.000.000 8.4440 422.214.00 12.2100 810300.00 188,288 00
TWITTER INC CON Security identiller: TWTR
Dividend Option: Cash CUSIP. 90184L102
11/07113 1.500.000 26.0000 39.000.00 41.5700 62.355.00 23.355.00
Total Common Stocks $20,473,580.93 914,691,644.50 -$5,781,738.43 91,116,354.45
Page? «H
BOOMPSO.SF3C 015 Accou um ber: N46423804 Go paperless 0S R e a .d n ~ e d n y ~ ta le n n t i n Rom/ * 0 n ~ r 4 R o u r e r e e i n o / k sa a t ra u m t m . ~ • ~ is a r ess m e e ~ r a e n ro r*
SO L ERN 1 CONISAUNIC"» OSIS ~sett< ens rem. dec
Öm Kl FI D rN TIA "`"“jc"lt
SDW_GA4_00045523
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008347
EFTA_00156132
EFTA01288495

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date • vired Qeantit Unit Cost Cost Basis Market Price Market Valve Gain/ Lou Annual Income Yield
Equities (continued)
Preferred Stocks Rioted by expiration dale)
ALLY FINL INC PERP no FIXEDIFLTG RATE Security Identifier: ALLY PRB
SERA CALLABLE CUSP 02005N308
Dividend Option: Cash
02/03112 '43 46.600.000 19.9140 927.973.76 267635 1,247,179.11 319,205.35 99.025 00 7.93%
02109/12'.18 80.000.000 20.6580 1,652,500.00 26.7635 2,141,079.99 468,579.99 170.000 00 7.93%
Total Noncovered 126,600.000 2060,473.70 3,381,259.10 807,186.34 269,026.00
Total 126,600.000 $2,660,173.76 $3,368,250.10 $107,715.34 1269,026.00
GM AC CAP TR I GTD TR PFD SECS SER 2 Security Identifier: ALLY PRA
125% FIXED RATE / FLTG CUSIP. 361860208
Dividend Option: Cash
02/22112 80.000.000 23.5350 1,882,773.60 26.8200 2,145,600.00 161.816.40 162,500.00 7.57%
GENERAL MTRS CO a PFD CONV SER B 4 75% Security identifier: 37645V299
Dividend Option: Cash Pose Estimated as of: 11/22/13
11118110'.I3 8.000.000 50.0000 400,000.00 51.4000 411,200.01 11,200.01 19,000.00 4.62%
12109110 '.13 63.000 000 50.5710 3.185,969 22 51.4000 3,238,199.99 52,230.77 149,625.00 4.62%
Total Noncovered 71,000.000 3,515,969.22 3,649,400.00 63,430.78 168,626.00
Total 71,000.000 63,585,969.22 83,649,100.00 163,430.76 1168,625.00
ROYAL BANK SCOTLAND GROUP PLC Security Identifier: RBS PRT
7.25% SPON ADR REPSTG SER T PFD SKS CLAP. 780097713
CALLABLE ON OR AFTER 12131/2012 9 25
Dividend Option: Cash
10/24112.43 40.000 000 23.7900 951.600.00 24.6400 985,599 99 33.999.99 72,500.00 7.35%
01107113 '43 40,000.000 24.4400 977.600.00 21.6400 985,599 99 7,999.99 72,500.00 7.35%
01/14/13 '.13 40.000.000 24.6800 995.200.00 24.6400 985.600 02 939998 72.500.00 7.35%
Total Noncovered 120,000.000 2,924,400.00 2,951,800.00 32,400.00 217,500.00
Total 120,000.000 12,924,400.00 $2,966,800.00 $32,400.00 $217,500.00
Total Preferred Stocks $10,973,616.58 $12,140,059.10 $1.186,442.62 $817,150.00
Total Equities 631,117.197.51 126,831,903.60 .14,615,293.91 $1,934,004.45
Unrealized Estimated Estimated
Date Aosired Quantity that Oil Cost Basis Market Price Market Valve Gain! Loss Annual Income Yield
Mutual Funds 4.00% of Portfolio
P MORGAN VALUE ADVANTAGE FUND Security Identifier: WAIX
INSTITUTIONAL CLASS CUSP 4812A2587
Open End Fund
Dividend Option: Reinvest; Capital Gains Option Reinvest
01109113 '4.52 78,109.170 25.1100 2,000,000.00 27.4800 2,162,921.99 162,927.99 19,960.61 0.92%
Page 8 of 16
00090IMCSF3COn Account Number: N4G-023804 Cso paperiess R S o e b v e e d n ( Y P e i a o r l s lo I n n t A Raw O f0 w 7. e • s . no. No P e a T s s m * •. it • t • e •• . C na • d •• a • , • . • O •• S , •• I • M • S 40 I W O• 1
OALSAII ItAltO COMMUNICATIONS Peftte. 'S
EXCII.W.CC LC r
SDW_GA4 00045524
6: "ERN ONFID -ENTIAL
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. DE-SONY-0008348
EFFA_00156133
EFTA01288496

Draisre Banc Or male Wall" Magatenmi
maeartsConfaireCno.p
CesbOw Yak Mclean vic.
NON M Mo.
345 FM ASso. ]Mir I ker
Ws Wet PM 10114
P 4$4411111. M -409S
Statement Period: 11/0112013 - 11/30/2013
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cod Cost Basis Market Price Market Value Gala? Loss Annual Income Yield
Mutual Funds (continued)
P MORGAN LATIN AMERICA FUND SELECT Suavity Identifier: LTSX
CLASS CU SIP 4812A3478
Open End Fund
Dividend Option: Reinvest: Capital Gins Option: Reinvest
04125113 'OM 49,504 950 20 2000 1 000,000 00 18.1000 896,03910 -103,96040 88465 009%
Total Mutual Funds $3,000,000.00 93,056,967.59 $58,967.59 $20,645.29
Unrealized Estimated Estimated
Date Ameired Quantity Unit Cop Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Exchange-Traded Products t00% of Portfolio
DEUTSCHE BK AG LONDON BRH DB AGRIC Security Identifier: DAG
DOUBLE LONG TRADED NT CUSP: 25154F1558
Dividend Option: Cash; Capital Gains Option: Cash
07112110 '.13 50.000.000 7.0510 352.529.00 7.9000 395.000.00 42.471 00
Total Exchange-Traded Products $352,529.00 $395,000.00 $42,471.00 $0.00
Unrealized Awued Estimated
Cod Basis Market Value Gain/ Loss Interest Annual Income
Total Portfolio Holdings
$75,041,690.66 $70,672,398.33 -$4,169,292.33 $295,998.62 $3,349,222.98
Footnotes
Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC') (incorporating amendments enacted by
P.L110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, coosidered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. AI other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are 'covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wig be reported to the IRS on form 1099.8 for the applicable tax year in which the security is
dsposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January t, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2013, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of feed income security and certain attributes, obtained from
Page 9 of
Account k umber: N46-023804 L • •••••• xtelld.t arose women ...nay ut. • IMMO/
0901305CSF30015 ()RAH (HT Rar,! riess S V•71:112DACCOZMUNICATIONS ••• T •• I• • a • a „C M M • L •• • • F ••. , • • •••IMMO CGO S IN S D C IS MS Mary
K1F I D rN TIA
SONY GM_00045525
67eL)THERk
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. CO DB-SDNY-0008349
EFTA_00156134
EFTA01288497

Portfolio Holdings (continued)
sources believe: to be reliable. In the event. one or more of these attributes is changed. there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those invoNing continuously callable bonds. foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
3 The cost basis of this security has been provided to us by you or your introducing finn and Pershing makes no representation as to the accuracy of this information.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering firm or transfening agent and Pershing makes no representation as to the accuracy of this information.
M essa•es
Please note the following information for Pershing's 2013 IRS Forms 1099 (B, DIV, INT, 0ID and MISC): Your form 1099 Will be delivered as early as possible, beginning January 31, 2014, By February 18, you
will receive either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice wil be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the
securities that are pending final reporting, are will provide the anticipated mad date of your 1099 form. Your 1099 will be mailed no later than March 17. 2014
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing In a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your investment professional for additional information.
Federal Deposit Insurance Corporation (FDIC)-Insured Bark Deposits are rot protected by Securities Investor Protection Corporation(SIPC)
For disclosure of rates for DWS money market funds, please visit the DNS Investments website at https:/Nnwr.dws-investrents.conVEN/products/money-market-fundslields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments
Changes in Program Banks have taken place which require your attention.
For a ist of Program Banks, please visit httolAwerrovan db.conVamericasIentashSweeD0obons html or contact your Client Advisor.
You should advise us of Program Banks with whom you carry deposit accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in
order to maintain the maximum protection under terms of FDIC coverage.
Effective January 1, 2014, service and account-related fees will be adjusted as follows:
• Trade confirm service charge: $6.00 per trade
• Annual IRA fee: $50
• IRA termination fee: S95
• Estate valuation fee: $300 base fee (per client) plus S5 per publicly traded security and $25 per non-publicly traded security
• Foreign safekeeping fee: S6 per position, per quarter
Go Paperless. Electronic delivery of certain account communications is now available. Sign up today at iwnv.myedocumentsuite.com for this easy and convenient way to access all of your account information.
Eliminating paper delivery of al your sensitive account information can help to reduce the risk of identity theft, simplify recordkeeping and, at the same time, h* to preserve the environment's precious
resources. Have questions or need help enrolling? Please contact your Client Advisor or Web Support at 800-776-7564.
Page 10 of 18
BOO 90005-CSF3 0 :I., Account N umber: N46-023804 D G A o p E ap N er T les I s A L *. S fu e , v p e d nVera In A Row Sums. otter AinNoeUti. mad.. awod moms,
OmAentAtoitc RIC O COMMUNICATIONS sessesc six sc.... es sass sec
S0UTI-ERhCON F
SDNY_GM_00045528
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SONY-0008350
EFTA_00156135
EFTA01288498

Draisre Pant PF.ICPotain Ma.zigenan
weans Cowan
CtelsOw Is* Maori vt
Olemelid0Mor
PO Sc,, 1776, Ookon:rx MO 212u3 MS Fmt Awasjfth I Wu
Ifes•at. WIW
P0)454-2101.1,41M-4091.
Statement Period: 11/0112013 - 11130/2113
Activity Sum m a ry (All amounts shown are in base currency: USD)
Credits This Period Tear10-D ate Debits This Period Year-to-Date
Securities Securities
Securities Bought 0 00 0.00 Securities Bought •39.000.00 4,097,120.50
Total Securities $0.00 $0.00 Total Securities .$39,000.00 •St.097,120.50
Dividends and Interest $239,729.53 $437,221.53 Dividends and Interest $0.00 $0.00
Distributions $265,788.57 $705,780.57 Distributions $0.00 $0.00
Cash Cash
Withdrawals 0.00 0.00 Withdrawals •126 000 00 -126,00000
Deposits 0,083,745.77 21,094,004.54 Deposits 000 0.00
Total Cash $6,063,745.71 $21,014,001.54 Total Cash .$116,000.00 4120,000.00
FDIC Insured Bank Deposits 3165,000.00 $1,025,620.50 FDIC Insured Bank Deposits .66.303,175.30 .S21,333,734.07
Total Credits $034,263.87 122,522,613.14 Total Debits •16.468.475.30 -$22.554,554.57
Transactions by Type of Activity
Noma Trade/
&Bimini Transaction
Date Date Activity Type Desuiption Quantity Price Accrued Interest Amorist Ca
SecurlUes Bought and Sold
11113113 11107113 PURCHASED TWITTER INC COM PROSPECTUS UNDER SEPARATE COVER 1 500 000 26 0000 •39.00000 USD
T1NTR
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 -39,000.00
Dividends and interest
11114113 CASH DIVIDEND RECEIVED 2000 SHRS APPLE INC CON RD 11111 PD 11/14/13 6,10000 USD
AAPL
11115113 CASH DIVIDEND RECEIVED 126600 St-REALLY FINL INC PEPP PM FIXED/FLTG RATE SER 67,256.25 USD
ALLY PRB A CALLABLE RD 11101 RD 11115113
11115113 CAS" DIVIDEND RECEIVED KAMERCO PE NONNONC OM ULAT1VE DEP %IS FIXED 81,250.00 USD
0605050 TO TO FLOAT 8.125% 04130158 B/E RD 11101 PD 11/15/13
CASH NT 2000000
11115113 BOND INTEREST RECEIVED 1000000 EARTFUNK INC GTD SR NT FULLY EXCHANGED 11,375.00 USD
270321AC6 CUSP FROM 270321ABI 8.875% 05115/18 DIE DID
05/17/11 CL8 RD 11101 PD 11115/13
Page11 of 18
000901,PSCSF3C01!. Account Number: 114G-023804 Go paperless 0 40 1 1 . , 0 e 1 O 0.• n •• o •• . 1 1.4. Y 01 e • n .1 e .1 •• .0 •• . C • • • • • • • • • f • f • W ••• a O d W •• / • M ••I I N S W , P
SOUTHE RNCA LL CIA R RATED COMaNVICATIONS - a` --A Mr VC
LItA SDNY_GM_00045527
Nc F I D rici viAC I 6)
CONFIDENTIAL — PURSUANT TO FED. R GRIM. P. 6(e) DEt-SDNY-0008351
EFFA_00156136
EFTA01288499

Transactions by Type of Activity
(continued)
ProceØ Trade/
Settlement Transacnon
Date Date Actrv, e Devl Ion Cmantit Prise Accrued Internt Amount CCY
Dividendsand Interest (continued)
11/15/13 BOND INTEREST RECEIVER 80000 ShRSGMACCAP TRIGTD TR PFD SECSSER 2 8 125% 40,625.04 USD
ALLY PRA FIXEO RATE! FLTG RD 11114 PD 11115113
11115113 FDIC INSLREO BANK INSURED DEPOSITS INTEREST CREOITED 123 24 USD
DEPOSTSINTEREST
REC EI VED
458997996
Total Dividends and Intenst • UNITED STATES DOLLAR 0.00 239,729.63
Distributions
11129113 PARTNERSI-IP DISTRIBUTION 263157 SHRSAPOLLO GLOBAL MGM T LLC CL A SI4SRO 265.788 57 USD
APO 11122 PD 11129/13
Total Distributions • UNITED STATES DOLLAR 0.00 265,7116.57
Cash Withdrawals and Deposits
11/04/13 FEDERAL FUNDSRECEIVED 9MORGANCHASEBANK36345 8,33102 USD
US0999997
11/21/13 CUSTOM ER AUTFORIZED TRANS TO N4G-026161 -63,000.00 USD
TRANSFER
US0999997
11/21/13 CUSTOM ER AUTFORIZED TRANS TO N4G-026161 -63,000.00 USD
TRANSFER
US0999997
11/22/13 CUSTOM ER AUTFORIZED TRANS FRIA N4G•026161 63,000.00 USD
TRANSFER
USD999997
11/26/13 FEDERAL FUNDS RECEIVER 9 MORGAN CHASE BANK 35250 5.992.414.75 USD
US0999997
Total Cash WHhdt.ewals and Depodts • UNITED STATES DOLLAR 0.00 5,937,745.71
FDIC lnsured Bank Deposits
11/05/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -8.33102 USD
US0999997
11/13/13 HAG INSURED BANK INSURED DEPOSITS PROGRAM 39.000.00 USD
WITHDRAWAL
USD999997
11/15/13 FDIC INSURED BANK DEPOST INSLRED DEPOS1TS PROGRAM •6,10000 USD
US0999997
11115/13 FDIC INSURED BANK INSURED DEPOSITS INTEREST REIN VESTED •12324 USD
DEFONTSINTEREST
REIS. VESTED
458997996
11/18/13 FDIC INSURED BANK DEPOST INSURED DEPOSITS PROGRAM •233,506.29 USD
USD999997
Page 12 ol 16
() RAR Ctie Accounl tumber N404323804 Gc.) paperless e t . R S O i w i e n t e o tl n d A l Y e x e e R a e O s ll e M In n ^ t cPoomrem umentoers • 0 e • t 1 • V • • • • I • • . 1 • M 0 n . L • . C • • • • • • b • • • le • A r • s • M M • S O t I . O M W • A L o I g . r C e n n . i G • a % a M s S a t e s at t 0••• { • M •• W •• I • S •• . S * e
FIDtNoriAL
SONY GA4_00045628
6:)LTHERk
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0008352
EFTA_00156137
EFTA01288500

Draisre Banc Prmaie Wealth 114,atentm
MaealstonneetomP
CtelsOw Is* Uteri ace.
Now Malta.
345 Pin ASS. tab liter
lieslat PM 10114
12).A4114, 1115121•409,
Statement Period: 11101/2013 - 11/30/2013
Transactions by Type of Activity (continued)
Process/ Trade!
Settlement Transaction
Date Date Activity Type Desaigba Quantity Price Mated Interest Amount CC?
FDIC Insured Bank Deposits (continued)
11121113 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 126.000 00 USD
WITHDRAWAL
US0999997
11125/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -63.000.00 USD
US:1999997
11/27/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -5.992.414.75 USD
U50999997
Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -6,138,475.30
Total Value of Transactions 0.00 265,766.57
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Security Record Date Payable Date Quantity Held Rate Mount of Payment Divkleed Option
Dividends
GENERAL IITRSCO .R PFD CONY SER B 4 75% 11115113 12/02/13 71.000.000 0 593750 42,156.25 Cash
Interest
GENERAL ELEC CAP CORP NON CUM PFD SER 11129113 12/15/13 2,000,000.000 0 035625 71.250.00 Cash
A
GENERAL ELEC CAP COPP PERP PFD SERC 1109/13 12115113 1,100,000.000 0.028000 39.200.00 Cash
FOB TO RIG
Total Cash Not Yet Received 8152,608.25
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
6 to 10 years 7,987,750.00 40% I. .1 Percentages of bond market values are
Over 10 years 12,021,875.00 60% ri rounded to the nearest whole percentage.
Total 20,012,625.00 100%
Page 13 of 16
,D90130SCSF3001/ Account Humcber:s ON46-0K2380I4 FD Go paperless u S r n n d en Ye < a ei s ii • I e n lt A Rove C Cl . ie •S M el a liv e e sp 0 h 10 M 10 T S e S tt Uses, C • w .W ••• . • W • a le •• iI • O •• W Se M l• I W S i S wt
SO t.,11- ERN 0txAct RcALICO COMMUNICATIONS Pal.. LC Iambic VS fa Wile<
rNITIALt
SONY GM_00045529
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DES-S6NY-0008353
EFTA_00156138
EFTA01288501

Bond Quality
Bond Quality Market Value % of Bond Market Value
Ei
BAA 6.653 000 00 33% Percentages of bond market values are
ri rounded to the nearest whole percentage.
PkLevier 13 359.625 CO 67%
Total 20,012,625.00 100%
Client Service Information
Your Client Advisor: WS Contact Information
TAZIA SMITH Telephone Nom bet: {212) 4542889
345 PARK AVENUE 14TH FLOOR
NEW VOW( NY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IA FIRST OUT
Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Copies of Statement Sent
.EFFREY EPSTEIN
Al your request copies of this statement have been sent to the above.
Electronic Delivery
You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Client Advisor for more information.
Important Information and Disclosures
I Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including shod positions, at the close of the statement period. The market prices have been obtained
from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a
pike is not available are marked "'N/A"' and are omitted from the Total.
The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any
time. and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment. trading, or tax decisions. These figures assume that the
position quantities, interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
wiwypershing.com/busthess_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Reinvestment
The dollar amount of Mutual Fund distnbutions. Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your Statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution. information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incuned in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
Page 14 of 16
KI
Account A urm beer NO,G -02380F4 t Rani f .collont Oirelsg•••••li MOWS& • vo•••••••••••“*".110a
e*D9080SCSF30015 SO IA-ERN D Go r P N alwri T ess IA eat' r t .,likvaZITOAct.1.O..cATioNs _• .LC -.S. -Ss In
SONY GM_00045530
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008354
EFTA_00156139
EFTA01288502

Oralute bin POW(' Wei11. Ma.ziental
Maiats GOWN, 0,WP
CeettOw Si* Maori C.
New art Calor
30 Parli Ycr
lers'eat. PM 10114
0 0) CA-MI. PM 7.84091.
Statement Period: 1110112013 - 11/30/2013
Important Information and Disclosures (continued)
Options (continued)
information is available to you promptly upon your written request directed to your introducing fem. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be tent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. doter& for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, routed a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Pools. Reproducing and distributing any information received from Standard & Pools is not permitted without prior written
authorization from Standard & Poor's. Standard & Pools does not guarantee the accuracy. completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts: are not
recommendations to purchase, hold or sell securities; and do net address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Cash Not Yet Received
Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation 0) orders
for the purchase and sale of securities and other property and (6) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your fniancial institution or that it
receives as the resin of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which appty to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitabibty of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413,3333. All other equines regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• FM a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
Page 15 of 16
00090MCSF3001: Sccouni number: N46-023804 Go panerless 4 ) Rsatk-ed- I ' le w s a s b il I • n nt A Rove .....)....01•V•OrPg•INWAS U.C. rear 4.70 •••••lutt
SO 11" ERN CNC, N
LLC.
F I DAENTIAL:
mDArLcSruAr• rRicArT ED COMMUNICATIONS c ..••••• • • • a re SAP<
SDW_GM_00045531
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SONY-00083.5.5
EFTA_00156140
EFTA01288503

Important Information and Disclosures (continued)
The Role of Pershing (continued)
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC°). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: vmw.pershing.comrstrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organtation and Pershing. within ten days after receipt
of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey
City, New Jersey 07399 (201) 413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by kiry. except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's abikty to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators wil typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineigible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (lithe class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330.
Page 16 of 16
CZ,
00090005-7.SF30011, Accounl h umber: N4G-023804 Go rxiiwrless Iret,',7,:ttA a on r e ts . Ian •rnat i i r t• s Y e e u s t. ReC • n a * a M rsa a te w acr e m g a in n s i • o • • l. • • • ••14.1
SOLT& ERN NLLC. FID A 5 W N ,}T I 0 TAL D EX A C L E li L n L • E R N A C T t ED COMMUNECATIONS ••••••• ILC wet. , VS
SDNY_GM_00045532
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008356
EFTA_00156 141
EFTA01288504

Gnaws Banc Prmaie Wealth PAa.zgentive
matins Comm, 6, m,
CesbOw Is* Maori me
PA Oa 1776, Oseproreled 2I203 Nowlbort Oltc•
HI tar% ASS, Ilithitcr
lieslat. PM 10114
45•4101, PSM M-409%
Account Number: N4G-023804
Statement Period: 0811912013 -10/3112013
Valuation at a Glance
This Period Year.W.Date
Beginning Amount Value $0.00 60.00
Net Cash Deposits and Withdrawals 15,030,258.77 15,030.258.77
SOUTHERN FINANCIAL LLC
Net Securities InlOut of Account 48,391,728.96 18,394,728.96
6100 RED HOOK QUARTER B3
Adjusted Previous Account Value 83,124,087.73 83,121,987.73
ST THOMAS VI 00802 Dividends, Interest and Other Income 197,500.00 197 500 00
Net Chan,e in Portfolio 828.095 05 828 095 05
nding Account Value 56 4 4 50,5 8 2 7 8 $64,450,582.78
Estimated Annual Income 53.188.573 97
Your Client Advisor:
Asset Allocation
Prior Year•Eed Lad Period This Period % Allocation
USD Cash. Money Funds, and Bank Deposits' 000 0.00 11,169,638 27 21.99% Po Chad allocation only Modes
products that are of positive value.
USD Fixed Income 0.00 0.00 19,790,125.00 30.71% I
Assets of less than 1% of holdings
USD Equdies 0.00 0.00 28,745,249.55 4410% val not dopey on the pie chart.
Non.USO Equities 0.00 000 1,013,194.96 7.57%I N \ I
Non-USD Fixed Interne 0.00 0.00 378,875.00 0.49%
Other 0.00 0.00 475.500 00 0.64%
Account Total (Pie Chart' $0.00 $0.00 04,450,682.70 100.00%
I The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured barn deposts are not securees and are not covered by the Secuntes Investor Protection Corporation
(SIPC). These bank deposes are covered by the Federal Depose Insurance Corporaton (FDIC), up to Snub* limes.
See page 2 of this statement for important mformation regarding the Asset Atocaton section.
Page 1 of 15
T
C 90 O 09022 N 145E 3 F 0016 I D G AE o .. p N. ap , +I e I D r les T s A L t .... .. R s L C X u I — A C e L I d L It M n f y x • e C t F o — t C • lh V e T in E n D t A C R O e M v' A AUNICATIONS M • O •• r a • m • ll • s e • I . L G C un w m • e • e • n • a w • • • o • N • w I a P s a A , i P u s . s O O a . S • M S •• • • S S • I • M C • • I • T •• I • S •1 M V O O S O S ,
SDNY_GM_00045533
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008357
EF1'A_00156142
EFTA01288505

Asset Allocation Disclosure and Footnotes
Certain values have been defaulted into the Other Asset Class due to incomplete categorizing data
AI values are displayed in U.S. dollars based on interbank exchange rates as of 10/31/2013 Exchange rates can vary.
Equities contains Equity Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year.to•Date Unrealized
Short-Term Gain/Loss 000 0.00 218.634 31
LonpTerm Gain/Loss 0 00 0.00 5 615 240 88
Net GaIrdLoss 0.00 0.00 5,396,606.57
This summary excludes transactions where cost basis information is not available.
For Your Information
Deutsche Bank will change certain service and account-related fees effective January 1, 2014.
See the 'Messages' section at the end of this statement for details.
Go Papedess. Deutsche Asset 8 Wealth Management now offers electronic delivery of certain account communications for Wealth Management clients. Sign up today at www.myedocumentsuite.com for this
easy, convenient and secure way to receive al of your sensitive account information. If you need assistance during enrollment, please contact your Client Advisor or Web Support at M.776-7564.
FDIC Insured Bank Deposits
Oate Activity Type Description Mount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: N4G023804 Activity Ending: 10/31113
08119113 Opening Balance 0.00 0.00
10117/13 Deposit DEPOSIT 314,640.75 314,610.75
10118113 Deposit DEPOSIT 14,516,581.40 14,831,222.15
10122113 Deposit DEPOSIT 199,036.62 15,030258.77
10/31113 Wdhdrawal WITHDRAWAL •860.62050 14.169,638 27
10131/13 Closing Balance 314,169,636.27
Total FDIC Insured Bank Deposits $14,169,636.27
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other sell directed retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Page 2 of 15
SOLTHER
ei,097221CSF30016 ()PAP(t it Account N r um O ber N46-0 23804 Go paperless R ° s A -ae L d M n E A Y x e R t . e A .. l M l U a L t A ) C Y O a M w M UNICATIONS r • a e • s s a a e y w a e n a “ s. m s a i M a m a v S a f . w e m lA L o W an . • c I s o a a v la e s C t s w ad ti a e a . a u w ry
FIDPNTIAL :
SONY GM_00045534
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) "C11""Cr DB-SDNY-0008358
EFTA_OOIS6I43
EFTA01288506

Gnaw e San. Poo/lewean Ma.zientra
Myatt. Corey" C01,1,
Myna* Sank Setwari
Mew bet Once
P0. em 177,8 $4p ee MO 212d3 .115 Pan Owner. Halter
Mrs vest kV IOVA
(21))4!A.M..111517.44091.
Statement Period: 08/19/2013 - 10131/2013
Income and Expense Summary Current Period Year-to-Date
Taxable !Ion Taxable Taxable Hon Taxable
Dividend Income
Other Onidends 197.500 00 0.00 137 5C0 CC 0 J)
Total Dividends, Interest, Income and Expenses $197,500.00 $0.09 1197,500.00 10.00
Portfol io Holdings
Activity Opening Goring Accreed lissome 30•Day Current
Opening Date Quantity A nt Number Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 22.00% of Portfolio Ending
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
08119113 14.161631270 N16023804 10/31113 000 t4.169.63827 57.30 000 NM NM
Total FDIC Insured Bank Deposits $0.00 $14,169,535.27 167.30 $0.00
Total Cub, Money Funds, and Bank Deposits $0.00 $14,169,631.27 $67.30
Adjusted Unrealized A$w0ued Estimated Estimated
Date Awaked Welk, Unit Cod Cost Basis Market Price Market Value Gale/ Lou Interest Annual Income Yield
Fixed Income 3 1.0 0% of Portfolio (In Maturity Date Sequence)
Corporate Bonds
HEADWATERS INC GTD SR NT Security Identifier: 42210PA05
7.625% 01/01/19 WE DID 03111/11
CALLABLE 04101/15 0 103.813 Moody Rating B2 68 P Rating EH
10122(12'.12.13 1,000.000 000 102.7890 1,027,886.00 106.5000 1.065.000.00 37,114.00 6,354.17 76.250.00 7.15%
Original Cost Bass: $1,035,000.00
EARTHLINK INC GTO SR NT FULLY EXCHANGED Security Identifier: 210321AC6
CUSP FROM 270321188 8.875% 05/15/19 WE
DTO 05117111 CALLABLE 05115115 Moody Rating 03 68 P Raling CM
10122112'.12.13 400,000.000 1021270 111,306.63 98.7500 395,000 00 -16,306.63 16.369.44 35.50000 8.98%
Original Cost Ban, $414.00010
10123112'.11.13 600,000.000 102.6270 615.761.13 98.7500 592,500 00 -23,261.13 24,554.17 53,250.00 8.98%
Original Cost Basis: $619,500.00
Total Noncovered 1,000,000.000 1,027,087.71 957,500.00 -3907.70 40,923.11 06,160.00
Total 1,000,000.000 $1,021,007.16 $907,500.00 -$39,501.78 $40,923.51 $58,150.00
Page 3 of 15
00097ZZICSF3C016 Account Number: N46-023804 Go parerless 1 S 2 te •• e •c n lr V m e < e o n lle In nt A Pow C es a m n n o p m le s i w n a .• m •• p • O •• w •• a • s r s a u n .C y . e • a 'A r p e a a r g w e o n r e ••• m al a la r w * t
oUTHERN COoALNFIDArWriAL OAL
ilL
IW
UI C
*A
IE
IM COMMUNICATIONS •••brettc rens ran sec
SDW_GIA_00045535
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 693( DB-SDNY-0008359
EFTA_00156144
EFTA01288507

Portfolio Holdings
(continued)
Adjusted Unrealized Awued Estimated Estimated
Date ired Ouantit Unit Coal Cost Basis Market Price Market Value Gain/ Lou Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
SERVICEM ASTER CO SR NT - CUSIP FULLY Security Identifier: 81760NAN9
EXCHANGED FROM OLD CUSIP81760NAL3
8.000% 02115120 81E DTI) 02/13/12 Moody Rating CAA' S 8 P Rating
MC+
01124113 '.12,13 1,500,000.000 105.5510 1,583,266.87 102.5000 1,537,590.00 .45,766.67 25,333.33 120,000.00 7.80%
Original Cost Baas: $1,595,625.00
02/25113 ..12.13 1.000.000.000 106.1750 1.061,748 07 102.5000 1.025.000 00 -36,748.07 16,888.89 80,000.00 780%
Original Cost Basis: 51,070,000.00
Total Noncovered 2,500,000.000 2,645,014.71 2,512,500.00 -82,514.74 12,222.22 200,000.00
Total 2,500,000.000 $2,645,014.74 12,562,600.00 -112,511.71 82,222.22 $200,000.00
SOUTHERN CALIF EDISON CO Security Identifier: 842400FU2
FREE SER E 6.250% 02101122 WE
DTD 01117112 CALLABLE 02/01122 Moody Rating BAA2 S 8 P Rating 888.
01130112 %OM 3,000,000.000 100.0000 2,999,984 99 104.5000 3,135,00100 135,015.01 46,875.00 187,500.00 5.98%
Original Cost Bass 52.999.962 50
BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 06739FHKO
ISIN 6506739R- KO3 7.750% 04110123 B/E
DTO 04110113 CALLABLE 04110118 5 8 P Rating Btu
04103113 '.12.13 300,000.000 100.0000 300.000,00 105.6250 316,875 00 16.875.00 1,356 25 23,250.00 7.33%
Original Cost Basis- $300.000.00
BANK AM ER CORP PERP NON COM ULAT1VE OEP Security Identifier: 060505078
SHS FIXED TO FLOAT 8.125% 04130158 WE
DTO 04130108 CALLABLE 05115118 Moody Rating El1 S 8 P Rating BB+
01110111 2,000,000.000 104.0590 2,081,180.56 111.7500 2,235,000.00 153,819.44 71130.56 162.500.00 7.27%
Original Cost Bans: $2,081,180.56
GENERAL BR CAP CORP NON CUM PFD SER Security Identifier: 369622916
A7 125% 06112162 B/E
DTD 06112112 CALLABLE 06/15122 Moody Rating BAA1 S 8 P Rating AA.
06127112 ',12,I3 2,000,000.000 105.5300 2,110,605.12 111.5000 2,230,000.00 119,394.88 53,833.33 142,500.00 6.39%
Original Cost Batis: 52.122.916.67
GENERAL ELEC CAP CORP PERP PFD SER C Security Identifier: 369622573
FIXED TO FLTG 5/50% 06103163 WE
DTO 06103113 CALLABLE 06/15123 Moody Rating BA11 S8 P Rating AA-
05/29113 '•12.13 1,100,000.000 100.0000 1,400,000.00 95.5000 1,337,000.00 •63.000.00 30,216.67 73,500.00 5.49%
Original Cost Basis: 51.400.000.00
PM ORGAN CHASE 8 CO 6.000% 09/01188 BIE Security Identifier: 48126HAA8
DID 071291131ST CPN DTE 02/01/14
CPN PUT SEMI ANNUAL ON FEB 01 AND AUG 01 M oody Rating BM 5 8 P
RAN BBB
07122113 %OM 750,000.000 100 0000 150,000.00 95.7500 725,625.00 .2437500 11.500.00 45.000.00 620%
Page 4 0115
?.]: 97221CSF30016 OMR< ti I Acco T u H nt E RN u m C be H r: O N46-0 N 2380 F 1 ID Go r i p V ape T rle I s A s L u S D s r A . v . L e .. l n s in i. • , e .. R . , , . A ., l , E In D A C P O a M w M UNICATIONS P trw es m o _ p „C w t p s W wa ly n dlA LW ra . : W S _ W - W w t. w w/aWase,
SO ExCELLWCI
SONY_GM_00045536
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DES-SDNY-0008360
EFTA_00156145
EFTA01288508

GramoellmOrSalewookhurmgolon
POestisComWreCnisp
Ceelf4NlanhfeftwoOlvt
ONNOWICalor
mfrarlifteswkluhlbo
WeValOW WIM
O0/451-2311.1lOMY044095
Statement Period: 08/19/2013 • 10 131/201 3
Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cod Cost Basis Market Price Market Value Bala/ Loss Interest Annual Income Yield
Fixed Income (con:Inued)
Corporate Bonds (continued)
PM ORGAN CHASE I CO 6.000% 09/01186 B/E (continued)
Original Cost Bans' 5750.000 00
PM ORGAN CHASE 8 CO DEP SHS REPSTG Staidly Identifier: 466251111A1
1/10TH PFD SERI AXED TO FITG RATE
7.900% 12101/99 8/E DTO 04123/08 Moody Rating BA1 55 P Rating BBB
06/15111 %OM 2.500000.000 108.0970 2,702,430.58 110.2500 2.756.250.00 53,819.44 0.00 197,500.00 7.16%
Origins Cost Bass: $2,702430.56
08115/11 %12.13 2,500,000.000 1000970 2,702,430.56 110.2W 2,756,250.00 53,819.44 0.00 197,500.00 7.16%
Original Cost Batis: S2.102,430.50
Total Noncovered 6,000,000.000 6,404,861.12 5,612,600.00 107,63518 0.00 395,000.00
Total 1000,000.000 86,404,561.12 85,512,600.00 $107,638.85 $0.00 $395,000.00
Total Corporate Bonds $19,746,600.29 320,107,000.00 $360,399.71 $305,211.51 $1,394,250.00
11950,000.000
Total Fixed Income 319,746,600.29 520,107,000.00 $360,399.71 5305,21111 $1,394,250.00
18,950,000.000
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gale/ Loss Annual Income Yield
Equities 41.00% of Portfolio
Common Stocks
APOLLO GLOBAL MGM T LLC CL A SUS Security Identifier: APO
Dividend Option: Cash CUSP. 037612306
03/29/11 ..11.I3 263.157 000 19.0000 4.999.983 00 32.2600 8.489,444 82 3.489,461 82 878.944 38 10.35%
APPLE INC COM Security AAPL
Dividend Option: Cash CUSP. 037833100
10/28113 2,000.000 529.0800 1,058,120.50 522.7020 1,045,404.00 42716.50 24.400.00 2.33%
ARIAD PHARMACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash CUSP 04033A100
02/14112 '.11.13 7.535.000 15.2090 114,597.40 22000 16,577.00 48,020 40
01124/13'.12,13 9,000.000 19.6000 178,400.00 22000 19,800.00 •156,60000
Total Noncovered 16135.000 290 99710 36,377.00 ,264,620.40
Total 16,635.000 $290,997.40 $36,371.00 4254,620.40 50.00
Page5 of IS
BOO 97:21CSF30 016 Account H um ber: N464 t 238 i 0 F 4 IE G 5 o 5 pa N pe T rles i s L VICEL V LIN L CE S ACRew 'CATIONS n fearn t• e C se a r s o ilN a i k ci a M . a • o g ooey awanaiert
A SDW_GM_OOO45537
6706 THERN
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. DB-SDNY-0008361
EFTA_00156146
EFTA01288509

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Dale A ited Giant link Cod Cost Basis Market Price Market Valle Gain/ Loss Annual income Yield
Equities (continued)
Common Stocks (continued)
1ASCENA RETAIL GROUP INC COM Security Identifier: ASNA
Dividend Option: Cash CUSP: 043516101
Please Provide' 70,500.000 N/A Please Provide 19.1900 1,395,195.00 N/A
BIOGEN IDEC INC COM Security Identifier: BIIB
Dividend Option. Cash CLEW 09062X103
02114112'•12,I3 2.095.000 1195490 25045/95 244 1900 511,578.05 261.123.10
580M BARDIER INC CLASS 8 Security Identifier: 13DROF
Dividend Option: Cash CUSP. 097751200
Please Provide' 20,000.000 N/A Please Provide 4.5458 90.917.74 NIA 1.939.74 213%
FACE600K INC CL A Security Identifier: F8
Dividend Option Cash CUSP. 3030311102
05/11112 '•12.13 17,500.000 38.0000 665.000.00 50.2050 878.587 50 213,587.50
GENERAL ELECTRIC CO COM Security Identifier: GE
Dividend Option: Cash CuSIP. 389604103
04123113 '.32.33 23.000.000 21.5700 496.109.08 26.1400 601.220 00 105.110.92 17.480.00 2.90%
UP MORGAN CHASE & CO COM Security Identifier: SN
1%11,6466251-1005 CUSP 46625H100
Dividend Option. Cash
Please Provide' 21,753.000 WA Meas. Provide 51.5400 1,121,119.62 N/A 33.064.56 2.94%
SANGAMO BIOSCIENCES INC COM Security Identifier: SGM 0
Dividend Option. Cash CUSP. 800677108
05/28113'•12.13 50.000.000 8.4440 422.214.00 9.3600 468.000 00 45.786.00
Total Common Stocks $8,182,878.93 114,837,873.73 $3,847,732.44 $955,828.68
Preferred Stocks (Listed by expiration date)
ALLY MIL INC PERP PFD FIXEDIFLTG RATE Security Identifier: ALLY PRB
SERA CALLABLE CUSP 02005h308
Dividend Option: Cash
02/03112 '.1233 46.600.000 19.9140 927.973.76 27.0000 1.258.200.01 330,226.25 99.025.00 7.87%
02!09/12'.12.13 80.000.000 20.6560 1.652,500 00 27.0000 2.159.999.99 507,499.99 170.000.00 7.87%
Total Noncovered 126,600.000 2,6110.473.76 3,411,200.00 837,721.24 269,026.00
Total 126,600.000 $2680,473.715 $3,418,200.00 $837,726.21 6269,025.00
GM AC CAP TR I GTD TR PFD SECS SER 2 8 Security Identifier: ALLY PRA
125% FIXED RATE! FLTG CUSP 361860208
Dividend Option: Cash
02/22112 '.12.13 80.000.000 23.5350 1,882,773.60 26 8600 2,148,800.00 266,026.40 162,500 00 7.56%
Pape 6 0115
Account Number: 1146-023804 Go A xtaillont SWAN: writ, MO...16 • *Aar •••••• ••••••••••
PC,09,221CSF30014 ()Ran," t p I SOUTHERN F I DAE Pa N Pe rlesS so s 7 x a c s E T L hy L se i s sc ts v s iericRotssu.scAsiosts Paola. I LC Owe., IOW.. Pt.& s-C
SDNY_GM_00045538
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008362
EFTA_OOIS6I447
EFTA01288510

Draisre can, Po'nle wean Ma.zienan
Weals CO•tcytC0C,P
Chtsche M Setwan
Mw bet Once
PO &e. 1776, Siat nee MD 2IN3 .115 Pot Ramo. tan bcf
Mew %A PIT IOVA
Il tHEA.M..11151211.409S
Statement Period:08/1912013 -10/31/2013
Portfol io Holdings (continued)
Unrealized Estimated Estimated
Date Added Ouartfy Unk Cod Cod Basis Market Price Market Value Gain/ Las Annual Income Yield
Equities (continued)
Preferred Stocks (continued)
GENERAL M TRS CO a PFD CONV SER B 4 75% Searily Identifier: GM PRO
Dividend Option: Cash CUSS? 370451/209
11116/10 ',Mit 8,000000 50.0000 400,000.00 51.3200 410,500.01 10,580.01 19.000.00 4.62%
12/09/10'.12.13 63,000.000 50.5710 3,185,909.22 51.3200 3,233,159.99 47,190.77 149.625 00 4.62%
Total Noncovered 71,000.000 3 686 969.22 3,643,720.00 57,750.78 160,625.00
Total 71,000.000 $3,585,969.22 $3,643,720.00 $67,760.78 $168,625.00
ROYAL BANK SCOTLAND GROUP PLC Security Identller: RBS PRT
7.25% SPON ADR REPSTG SER T PFD S IS COMP. 780097713
CALLABLE ON OR AFTER 12/31/2012 0 25
Dividend Option: Cask
10/24/12 %OM 40,000.000 23.7900 951,600.00 24.0700 962.799 99 11,199.99 72,500.00 7.53%
01107/13 'Mit 40,000.000 24.4400 977,600.00 24.0700 962,799 99 -14,600.0I 72,500.00 7.53%
01/14/13 '.12.13 40,000.000 24.8800 995,200.00 24.0700 962.800 02 -32.399.98 72.500 00 7.53%
Total Noncovered 120,000.000 2,924,400.00 2,880,400.00 -36,000.00 217,500.00
Total 120,000.000 $2,924,400.00 $2,858,400.00 -$36,000.00 $217,500.00
Total Preferred Stocks $10,073,618.58 $12,099,120.00 $1,125,503.42 9817,850.00
Total Equities $19,156,495.51 $26,736,993.73 94,973,236.86 $1,773,476.61
Unrealized Estimated Estimated
Date Acquired ReantIty Unit Cod Cod Basis Market Pik* Market Value Gad/ Loss Annual Income Yield
Mutual Funds 5.00% of Portfolio
tR M ORGAN VALUE ADVANTAGE FUND Security Identifier: RAIX
INSTITUTIONAL CLASS CU SIP. 4812A2587
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
Please Provide 78,709.170 N/A Pending Receipt 26.6700 2,099,173.56 19,960.64 0.95%
'.10
OF M ORGAN LATIN AM ERICA FUND SELECT Security 'deadlier:17SX
CLASS CUSP. 4812A3478
Open End Fund
Dividend Option: Reinvest; Capital Gains Oplian: Reinvest
Please Provide Mil 49.504.950 N/A Pending Receipt 16.6300 922.277.22 88465 0.09%
Total Mutual Funds $0.00 $3,021,450.76 $0.00 $20,545.29
Page? of IS
BOO 97:21CSFICOI S A O cc L o T u H n E t R N N u mber: N46-02360 F 4 I D G A Eo pNa T p e n T rleIssA L- R S C E a I X A A k C L . e e I U d IA . I I L M - m U R . C co A C ll l • t e 0 lt C P O G M A MUNICATIONS . • c . • . . • . m • .. • y . • . • , . t . r u t a r c a g v . t o re n N a .• v a • o n •• n . • a •a t a r r e t e . e • v . - . . f p s tw a e r o c a ra w ed se m re o r r e
SDNY_GIA_0004 5539
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008363
EF1'A_00156148
EFTA01288511

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Dale Acquired Quantity Unit Cost Cod Basis Market Price Market Valle Gain/ Loss Annual Income Yield
Exchange-Traded Products 1.00% of Portfolio
DEUTSCHE BK AG LONDON BIM DB AGRIC Security IdeaOften DAG
DOUBLE LONG TRADED NT CUSP 25154H558
Dividend Option: Cash; Capital Gains Option: Cash
07112110'.11.13 50.000.000 7.0510 362.629.00 8.3100 115.50060 82.971.00
Total Exchange-Traded Products $362,529.00 $415,500.00 $62,971.00 $0.00
Unrealized Accrued Estimated
Cod Basis Market Value Gain/ Lou Interest Annual Income
Total Portfolio Holdings
$53,425,263.07 $64,450,502.78 65,396,606.57 6308,211.81 $3,1118,573.97
Footnotes
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.L110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered' noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered° under the new cost basis reporting rules. Securities which are *covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their "appkable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2013, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or princlial paydovins. The method of calculation is based upon the type of toted income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
6 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available.
10 This security has recently been transferred into your account. Upon receipt of cost basis information from the delivering firm or transferring agent Pershing will perform a validation and update the cost basis
accordingly.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delvering firm or transferring agent and Pershing makes no representation as to the accuracy of this information.
Messages
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual hind's prospectus or the bank deposit product's disclosure document or contact your investment professional for additional information.
Federal Deposit Insurance Corporation (FDIC)insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC).
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at httpsINAwr dvis-investments.com/EN/products/money-market-funds-yields isp. Please note that all money
market funds fisted on the website may not be offered through us.
Page 8 of 15
Account Amcber: iN46.-0 K238I0 F4 I D G o naperless t Rsat-ed- ,I x,- pt. e-ll• ept now 0.•6110.••••011.e......• ISCP.••••••••••••••.......P1
VC097221=3001G UPIPLAR•C i P I SOLTI-ERk AENin) T1A
L . ..... E
['A
X
L
C
B
E
N
LL EN
R
C
A
E
T i E n D A CONWAINICATIONS e A l s T . . Ila l“ .. e .o d r .r.i. , • • . 44 S . a A l m
S
fn
O
C It l
N
op s
Y
• a • c •• •
G
••M
M
H
_
Y
0
••
0
••
0
•v
4
ik
6 640
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008364
EFTA_00156149
EFTA01288512

Gnaw e Ponie Wean ientai
Mitets CortgaG,0.9
Dectuhe W Setter..<
PO Sc. ims.84itracau MO 21N3 New Wart Once
345 Pia Awls. !UM Poo
liesVat. PM 101•A
IM) CA4114..I I 7.1409S
Statement Period: 08/19/2013 -1013112013
M essageS (continued)
To: Clients who have selected the Deutsche Bank Alex. Brown insured Deposit Program for Sweep Program investments
Changes in Program Banks have taken place which require your attention.
For a kst of Program Banks, please visit http://wiwt.pwm.db.comfamericasieniCashSweep0ptions.html or contact your Client Advisor.
You should advise us of Program Banks we whom you carry deposit accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in
order to maintain the maximum protection under terms of FDIC coverage.
Effective January 1, 2014, service and account-elated fees will be adjusted as follows:
• Trade confirm service charge: $6.00 per trade
• Annual IRA fee: $50
• IRA termination fee: $95
• Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded security and $25 per non-publicly traded security
• Foreign safekeeping fee: $6 per position, per quarter
Go Paperless. Electronic delivery of certain account communications is now available. Sign up today at vivnv.myedocumentsuite.com for this easy and convenient way to access al of your account information.
Eliminating paper delivery of as your sensitive account information can help to reduce the risk of identity theft, simplify recordkeeping and, at the same time, help to preserve the enWronment's precious
resources. Have questions or need help enrolling? Please contact your Client Advisor or Web Support at 800-776-7564.
A ct iv ity Sum mary (All amounts shown are in base cutiency: USD)
Credits This Period Year-to-Date Debits This Period Year-to•Date
Securities Securities
Secunbes Sought 0.00 0 00 Secunties Bought -1 058,120 50 .1,058,120.50
Total Securities $0.00 $0.00 Total Securities .$1,058,120.50 -$1,068,120.60
Dividends and interest $197,600.00 $197,500.00 Dividends and Interest $0.00 $0.00
Cash Cash
Deposits 15,030,258.77 15,030,258.77 Deposits 0.00 0.00
Total Cash $16,030,266.77 116,030,788.77 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $880,620.80 $800,62030 FDIC Insured Bank Deposits -$16,030,218.77 -$15,030,258.77
Total Credits $11,088,379.27 $16,088,379.27 Total Debits -$16,088,379.27 -$16,086,379.27
Page 9 of IS
BOO 7ZZICSF3C01 S A O cc U o T u H n E t R N N u mber: d N4 c 6-0 La 2 L 3 8 •O 0 4 ID G A o 5 pa N p " e T ries I s A L R s D m A c L s - B . - ( , ' A f Y R A e R e . o A , l T i d i E n n D t A C R O e M v, MUNICATIONS r tom i w a: m oa c r me IN s n a i s a lv.11 - 0 - . rad — a C r a ses•Wwwr
SDW_Git00045541
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008365
EFTA_00156150
EFTA01288513

Transactions by Type of Activity
Proav' Trade!
Settlement Transaction
Date Date Activi •e Den 100 Qua Price Awned Interest Amount Ca
Securities Bought and Sold
10/31/13 10128113 PURCHASED APPLE INC COM LNSOL AVERAGE UNIT PRICE TRANSACTION 2,000.000 528.9980 -1,058,12050 USD
AAPL YOUR BROKER ACTED AS AGENT
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 4,058,120.50
Securities Withdrawals and Deposits
10/11/13 SECURITY RECEIVED ALLY FINL INC PERP PFD FIXED/FLTG RATE SER A CALLABLE 126.600.000 0.00 USD
ALLY PRB 0902 .PMCBAA NC P 72500
10/11/13 SECURITY RECEIVED APOLLO GLOBAL MGM 1 LLC CI A WIS 0902 ,PMCBN A AIC P 263.157.000 0.00 USD
APO 72500
10/11/13 SECUMTY RECEIVED ARIAD PNAMIACEUTICALS INC 0902 PMCBNA NC P72500 16,535.000 0.00 USD
ARIA
10111113 SECURITY RECEIVED ASCEN A RETAIL GROUP INC COM 0902 ,Fal CBN A NC P 70,500.000 0.00 UM
ASAA 72500
10111113 SECURITY RECEIVED BANK AMER CORP PERP NON COMULATIVE DEP SNS FIXED 2,000,000100 0.00 USD
060505018 TO FLOAT 8.125% 04/30158 WE DTD 04/30108 CLB 0902
.PMCBNA NC P 72500
10111/13 SECURITY RECEIVED BARCLAYS BK PLC CONTINGENT CAP NT 300.000.000 0.00 USD
06739FHK0 ISINSUS06739FNK03 7.750% 04110/23 WE DTD 04/10/13
CLB 0902 SMCBNA NC P 72500
10111/13 SECURITY RECEIVED 810GEk INC INC COM 0902 PM CBNA NC P 72500 2.095.000 0.00 USD
BUB
10111/13 SECURITY RECEIVED BOMBARDIER INC CLASS B 0902 .PMCBNA NC P 72500 20,000.000 0.00 USD
BDRBF
10/11/13 SECURITY RECEIVED OEUTSCI•E BK AG LONDON BAN DB AGM DOUBLE LONG 50.000.000 0.00 USD
DAG TRADED NT 0902 ,FIACBN A NC P 72500
10/11/13 SECURITY RECEIVED EARTI-LINK INC GTD SR NT FULLY EXCHANGED CUSIP FROM 1.000.000.000 0.00 USD
270321AC6 270321AB8 8.875% 05115/19 B/E DTD 05117/11 CLB 0902
PMCBNA NC P 72500
10111/13 SECURITY RECEIVED FACEBOOK INC CL A 0902 SMCBN A NC P 72500 17,500.000 0.00 USD
FB
10/11/13 SECURITY RECEIVED GM AC CAP TR I GTO TR PFD SECS SER 2 8 125% AXED RATE 80.000.000 0.00 USD
ALLY PRA I FLTG 0902 SU CBNA NC P 72500
10111/13 SECURITY RECEIVED GENERAL ELECTRIC CO CON 0902 al CBNA NC P 72500 23.000.000 0.00 USD
GE
10/11/13 SECURITY RECEIVED GENERAL ELEC CAP COPP AO N CUM PFD SERA 7.125% 2.000.000 000 0.00 USD
369622SN6 06/12162 B/E DTD 06/12/12 CLB 0902 SIKEINA NC P
72500
10111/13 SECURITY RECEIVED GENERAL ELEC CAP CORP PERP PFD SER C AXED TO FLTG 1,400,000.000 0.00 USD
369622513 5.250% 06/03/63 B1E DTD 06103113 CLB 0902 BA CBN A NC
P 72500
Page 10 ol 15
()RAP en Accounl Number: NAG-023804 Go paperless D R Sa a A w re W e ed n A r 'f . e < * a 4 A . r 1 s I 1 I M ~ n , / . C R O o M w M UNICATIONS • 0 4 S . 1 1 p M ~ 1 e 1 li 1 a „ . . 1 C ~ •• m • M • a • O • . W • . • M I t . W M M I A i . e L n i C fl . C • ~ a M .« S Y . A C SW • •• 0 • • • 1 ~ 4 1 ~
fiFIDENTIAL RACRUIN«
SONY GM_00045542
6: THERN
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0008366
EFTA_GOI5M5 I
EFTA01288514

DnitiO, SIM Prmaie WO/th Ma.tenail
Main 00014•4•001•41
oeov wit set...en w.
Nee *4 Mo.
Pa Bet 1776, Barrow NO 21203 US Part Am.*, ]Mn Met
Pala PM 10114
PM4544M 1•1117.04091
Statement Period: 08/1912013 - 10/31/2013
Transactions by Type of Activity
(continued)
Preant Trade/
Salemeol Transaction
Date Date MN. Desci ion Qua Prise Accrued Interest Amount ON
Securities Withdrawals and Deposits (continued)
Pro
10111113 SECURITY RECEIVED GENERAL M TRS CO CO N V SER B 4 75% 0902 71100.000 000 USD
GM FRB SW CORA NC P 72500
10)11113 SECURITY RECEIVED HEADWATERS INC GTD SR NT 7625% 04/01/19 WE DID 1,000,000.000 0.00 USD
42210PAO5 03/11111 CLB 0902 PM CB& A NC P 72500
10111/13 SECURITY RECEIVED ,144 ORGAN CHASE 8 CO DEP SH5 REPSTG 1110TH. PFD SER 1 5.000.000.000 0.00 USD
46625HFA1 FIXED TO FLTG RATE 7.900% 12101199 B/E DTO 04/23108
GIB 0902 S1ACBNA NC P 72500
10)11/13 SECURITY RECEIVED P MORGAN CHASE 8 CO COM ISM* 6546625H 1005 0962 21,753.000 0.00 USD
PM PM CBNA NC P 72500
10/11/13 SECURITY RECEIVED PMORGAN CHASE 8 CO 6.000% 09101188 B/E DTO 750,000.000 0.00 USD
48126HAA8 07129113 0902 .PMCBNA NC P 72500
10111/13 SECURITY RECEIVED ROYAL BANK SCOTLAND GROUP PLC 7.25% WON ADR 120.000.000 0.00 USD
RBS PRT REPSTG SER T PFD SHS CALLABLE ON OR AFTER 12/3112012
25 0902 SM CBN A NC P 72500
10/11/13 SECURITY RECEIVED &MONAD BIOSCIENCES INC COM 0902 .PMCEMA NC P 51000 000 0,00 USD
SGM 0 72500
10111/13 SECURITY RECEIVED SERYTCEMASTER CO SR NT CUS1P FULLY EXCHANGED 2.500.000.000 0.00 USD
81760NAN9 FROM OLD CIAIP 81760NAL3 8.000% 02/15120 WE DTD
02113/12 CLB 0902 .PMCBS.A NC P 72500
10/11/13 SECURITY RECEIVED SOUTHERN CALIF EDISON CO PREF SER E 6 250% 02101122 3,000,000.000 0.00 USD
842400FU2 WE DTD 01/17/12 CLB 0902 51ACBNA NC P 72500
10/22/13 RECEIVED INTO YOUR ACCOUNT P MORGAN VALUE ADVANTAGE FUND INSTITUTIONAL 78,709.170 0.00 USD
JVAIX CLASS AS OF 10/18/13 FROM N ON ACATS
10/22/13 RECEIVED INTO YOUR ACCOUNT P MORGAN LATIN AMERICA FUND SELECT CLASS AS OF 49.504.950 0.00 USD
1TSX 10/18/13 FROM NON ACATS
Total Securities Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 0.00
Dividends and Interest
10130/13 CASH DIVIDEND RECEIVED .PM ORGAN CHASE 8 CO DEP SHS REPSTG 1/10TH PFD SER I 197,500 00 USD
46625HFA1 7.900% 12/01199 WE RD 09/30 PD 10/30113 CASH
PAYMENT 5000000
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 197,500.00
Page 11 015
1)114 4,I S A O cc ounl Number. NIG-0 I 2 q 3804 F ID G E o p N ape T rle I ss A L R S O lit e o A C v w L e M S e n A E r V m I N e I P < d G o I A S ( ll I e C In n O t A C R O o M w A AUNICATIONS • a O • n la •• a e N I W a L C e • a 1 - k Pe n a w • k a a y l a M • s A a m L y • s •• a • S e •• a s c • ••• a •• n Fi • a • l • a •• ••
SONY GM_00045543
6(eL)THERN OF
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0008367
EFTA 00156152
EFTA01288515

Transactions by Type of Activity (continued)
Firm:esti Trade!
Settlement Transaction
Date Date AdNi Dela. ion Ouantit Price Accrued Interest knout CCY
Cash Withdrawals and Deposits
10/16/13 FEDERAL FUNDS RECEIVED P MORGAN CHASE BANK 20546 314,64175 USD
US0999997
10/17/13 FEDERAL FUNDS RECBVED P MORGAN CHASE BANK 20498 14116,581.40 USD
USD999997
10/21/13 RECEIVE FED WIRE WF RECD AIO 1W18113.PMC BANK 199.036.62 USD
US0999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 15,030,258.77
FDIC Insured Bank Deposits
10/17/13 FDIC IN% RED BANK DEPOSIT INSURED DEPOSITS PROGRAM 414140.75 USD
USD999997
10/18/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -14.511581.40 USD
US0999997
10/22/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -199,03612 USD
USD999997
10/31/13 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 860.62010 USD
WITHDRAWAL
LS0999997
Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 •14,169,631.27
Total Value of Transactions 0.00 0.00
The price and quantity displayed may have been rounded.
Bond Maturity Schedule
Bond Maturity Market Value % of Bold Market Value
I I t
6 to 10 years 8 066 875 00 40% Percentages of bond market values are
Over 10 years 12.040.125 00 60% rounded to the nearest whole percentage.
Total 20,107,000.00 100%
Bond Quality
Bond Duality Market Value % of Bold Market Value
BAA 6,702 000 00 33% Percentages of bond market values are
BA/Lower 13,405,000 00 67% rounded to the nearest whole percentage.
Total 20,107,000.00 100%
Page 12 of 15
Account hi um ber: NIG-023804 Go paperless Rawl r.cMyn, 01.011.1111•••••••••••..0 'Sc.. - IMMO/ •••••110/1
I>RPR•CiP I SOLTHER baO KI FI D E \"I TIAL M S D e E II a C w n I R L M Ye C P a I . s . O I 1 n O A C f O lo M w MUNICATIONS - MO M L a L = C ro 1 w .• ' • . NV a . w l•• e • • G • N . O & C S N I S V v S IS _ C M G T M I _0 = 0 M 0 O 4 M 5 544
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008368
EFTA_00I56I53
EFTA01288516

Dralsre Sam Pinnie *math Maatenmi
Mieets Coot.a te ComP
Cavische Sn Settanti "lc
Mrs bb Mop
PC B:a. 1176, aril no.. VD 2,13 Odolrene 20th liter
Mew %A 1.1. 10114
(21))4541.M21.1311.17.1,4I9S
Statement Period: 08/1912013 • 10/3112013
Client Service Information
Your Client Advisor: TDS Contact Information
TAZIA SMITH Telephone Number: (212) 454-2889
345 PARK AVENUE 14TH FLOOR
NEW YORK NY 10151
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Searildes: FIRST IN FIRST OUT
Copies of Statement Sent
.EFFREr EPSTEIN
Al your request copies of this Oaten ent have been sent to the above.
Electronic Delivery
You have not selected any account cam m unications for electronic delivery. To register and turn off paper corn m unications, log in to your account or contact your Olen' Advisor for m ore information.
Important Information and Disclosures
I Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained
from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities fa which a
price is not evadable are marked "'N/A— and are omitted from the Trial.
The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks.
These figures are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any
time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment trading, or tax decisions. These figures assume that the
position quantities, interest and dividend rates. and prices remain constant A capital gain or return of principal may be included in the figures for certain securities. thereby overstating them. Refer to
went pershing.corNbusiiess_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your Statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow.
Options
in
Information with respect to commissions and other charges incuned in connection with the execution of option transactions has been included confirmations previously furnished to you. A summary of this
information is evadable to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
Page 13 *115
PC. 097221=30016 1MARC•) I I S Ac O c O ou - n E t R H N um C be N r: C N46 •0 L 2 L 3 C 8 . 0 4 DGor p N ailiwo T rles I s A L tt .) . R 1 u - a n 7 S s c e n r l y I _ A e C m 0 o 11 d ib L r O a A C ! o s m r. m uniCATIOnS r ten.. e n „ t C . ". di w sI it S s ". IA r & e • . er U r P . C , w ow, ••••••••••
NF I
SONY_GM_0004 5545
"c""(
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008369
EFTA_00156154
EFTA01288517

Important Information and Disclosures (continued)
Options (continued)
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing fem.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The tight to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dohrs for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate coil not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be baled at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written
authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availabiMy of any information. Standard & Poor's is not responsible for any errors or
omissions, regardless of the cause. or for the results of using such content Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation 0) orders
for the purchase and sale of securities and other property and (ii) any other instructions conceming your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershng performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the resul of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your amount. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC"). Please note that SIPC does not protect against loss due to market fluctuation. In addition to sin protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit vnviv.pershing.occastrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (notedly unauthorized trading), to your fniancial organization and Pershing, within ten days after receipt
of this statement Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey
City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by airy, except as provided by the rules of the arbitration tow in which a claim is Ned.
• Arbitration awards are generaly final and binding; a party's abiity to have a court reverse or modify an arbitration award is very knifed.
Page 14 of IS
00097ZZICSF30014 Account Number: N46-023804 Go Paperless RiSel I xtelld•Nt 0 *I . 0 T 1 i 0 a 0 n l ialp * 1 n 0 e 0 w 1 s 1 " 0 m •0 u 4 m 0. i 1 s . e 0 a . • r a w y a e d a e s r i C na •• ••• ••• m •• e 1 s •M e r
SOUTHERN %pa I1 :15NTIALtte) rya. II< ono nee sass sec
co SDW_GM_00045.546
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008370
EFTA_00156155
EFTA01288518

Gnaw e Sant Prmaie Wall" Maatenmil
Weals COM•VI Comp
CeIrttOw IS* Senonel
New Wart Orto
PC ba '176 Bat froNi VD 2,13 341F M MY. 26th I Ices'
lieslat. WI 10114
P 0/4544114. 17144 M409,
Statement Period: 08/19/2013 - 10/31/2013
Important Information and Disclosures (continued)
Important Arbitration Disclosures (continued)
• The ability of the parties to obtain documents. witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, man eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible fcc arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied: (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330.
Page 15 of IS
Account A umber: N4G-023804 Go riess Rated I mcollont Camelog amyl. Persis.U .C. • radar awards.a.e..,
P,097221CSF30016 Difae.Cti, SO L.THERk CO NC FIDrwriAL I S O X e A C v L e I I L U n L U Y U I e 4 a IC 1 rs I I O I n A C R O o M w M UNICATIONS fe manna's, von w.en et.easeavadvun.a
SONY GM_00045547
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008371
EFTA_00156156
EFTA01288519