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EFTA01288520.pdf
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Deutsche Asset
& Wealth Management
Gnaw.< Rana Pnwale wren rearmenret
Pdaele$ COMM,. Gro.t)
Dettfor4 la% Settonenk
PO Bon 1778. Bellmore. MO 21203 HI Put Annie. Ita I bet
Account Number:
Statement Period:12/01/2014 -1213112014
Valuation at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value $128,056,222.31 $90,573,050.28
6100 RED HOOK QUARTER B3 net Cash Deposits and Wilhdrawals 0 00 31.086.436 34
ST THOMAS VI 00802 Adjusted Previous Account Value 128,056,222.31 121,659,486.62
Dividends. Interest and Other Income 707.088 33 4,134,773.87
het Other Activity 0 00 -369.754 18
Net Chan e in Porllolio -2 049.017 62 I 289 786 71
nding Account Value $126.714 293.02 S126,714,293.02
Your Client Advisor: Estim ated Annual lncom e 53,853,190.64
CAMEL SABBA
Asset Allocation
Prior Year-End US Period This Period % Allocation
USD Cash. Money Funds and Bank Deposits 18,295,949.71 43,562,095.04 14,273,984.33 34.94% P ease renew yo.• a iozeo-
USD Axed Income 21,7313 72.38 18,308,152.94 18,177,455.58 14.35%
l,, on-I, SD Axed Income 10,227,309.46 7.422228.50 7,150,052.50 5.64%
USD Equities 30,410,519.65 55,404,667.83 54,126,544.61 42.71%
hon-L SD Equities 3,137,192.74 3.359.080.00 2.988.256.00 2.36%
Non-USD Cash, Money Funds. and Bank Deposits 102106.34 0.00 0.00 0.00%
Other 363.000.00 0.00 0.00 0.00%
Account Total (Pie Chart) $90,573,050.28 8128,066,222.31 $126,714,293.02 100.00%
See the Asset Auxaton Dscbsure and Footnotes secton for Fmportant information regardiv yea Asset AlocatOn.
Pate 1021
Bore [memos
OsAe Rota 8010 R1» 23e30023 D (v A e L ry M V R a R s. A W TE oe D s C 2 O 0 M 07 M UNICATIONS
CON Fl rxciturner
SDNCGM_00045548
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008372
EFTA_00 156157
EFTA01288520
Asset Allocation Disclosure and Footnotes
Certain values have been defaulted into the Other Asset Class due to incomplete categorizing data
Al values are displayed in U.S. dollars based on interbank exchange rates as of 12/3112014. 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 000 558,368 41 2.914.886.15
Long-Term Gain/Loss 1.025 53 -8,900.250 31 3.812.149.65
Net Galn/Loss 1,025.53 -8,341,881.93 6,727,03510
This summary excludes transactions where cost basis information is not available.
For Your Information
On June 5. 2014, the European Central Bank (the ICI?) introduced 'negative interest rates'. This negative interest rate applied to all deposits held at the EC8 and other credit institutions.
Effective February 1, 2015. the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and will reflect on your account
statement as 'Free Credit Balance Interest Charge'. The interest will be reported on your Forms 1099 andfor 1042-S for tax year 2015. These rates are subject to change in response to market changes, and we
may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances.
Money Market Fund Detail
Date Activity Type Description Amount Balance
Sweep Money Market Fund
()WSGOVERNMENTCASH INSTL
Account Number Current Yield: 0.03% Activity Ending: 12/31/14
11129(14 Opening Balance 43,562.09504 13.562,095 04
12116114 Deposit MONEY FUND PURCHASE 119250.00 43.681.345.04
12117111 Deposit MONEY FUND PURCHASE 141125.00 13,829,170.04
12/24114 Deposit MONEY FUND PURCHASE 29,257.50 13,851727.54
12/29114 Deposit MONEY FUND PURCHASE 316.02822 44.174.755.76
12130(14 Deposit MONEY FUND PURCHASE 43.739.08 44.218.494.84
12131114 Deposit INCOME REINVEST 1.11419 44.219.609 33
1213111/ Closing Balance 541,219,609.33
Total All Money Market Funds 514,219,609.33
Page 2 of 21
Account Num ber. Rated tsallera
(ISM, von SOUTHERIt1 ONLLC. FID G AE o p N ape T rle I ss A L L Drx y Aa o Lr n Bt , uA V rRn s Ra .S Ae i Tr n E c D e C 2 O 0 M 07 M UNCATIONS
SDNY GM 00045549
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008373
EFTA_00136138
EFTA01288521
Deutsche Asset
& Wealth Management
Oeviwv Si,, 7.mor 707.0.M.viam-tent
Vinets C0/007 0,0‘P
Deote m 94. s<4.-nei AC
*A Mk*
Pa &a 1778, Balamore, MO21203 lee 7.0 A n, kci.
Statement Period: 12 10112114 -1213112814
Income and Expense Summary
Current Period Year•to•Date
Taxable Non Taxable Taxable Non Taxable
Dividend income
Equities 83,632.50 0.00 828,19918 0.00
Money Market 1,114.49 0.00 7,312.02 0.00
Other Dividends 23.679.00 0.00 801,43420 0.00
Interest Income
Bond Interest 312,014.14 0.00 1,227,570.19 0.00
FDIC Insured Bank Deposits 0.00 0.00 2,691.15 0.00
Other Interest 0.00 0.00 162,500.16 0.00
Total Dividends, Interest, Income and Expenses $420,440.13 $0.00 $3,029,707.40 $0.00
Distributions
Long-Term Capital Gain Distributions 177.726.00 0.00 177,72600 000
Short • Term Capital Gin Distributions 108.922.20 0.00 108,92220 0.00
Alternative Investments 0.00 0.00 0.00 818.418.27
Other Distributions 0.00 4.800.96 0.00 584.143.35
Total Distributions $256,646.20 $4,800.96 $288,848.20 $1,382,581.82
Portfolio Holdings
Account Activity Opening Ching Accrued Income 38•Day Cement
Opening Date Quantity Number Ending Balance Balance Income This Year Ylec Yield
Cash, Money Funds, and Bank Deposits 35.00% of Portfolio
Cash Balance 0.00 54,375.00
Money Market
DWS GOVERNMENT CASH INSTL
11129114 14.219.609.330 12131114 43.562.095.04 44,219,609.33 0.00 7.312.02 0.03% 0.03%
Total Money Market $43,582,095.04 514,219,609.33 $0.00 $7,312.02
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
11129114 1213111/ 0.00 0.00 0.00 2,691.15 NM NM
Total FDIC insured Bank Deposits $0.00 $0.00 10.00 $2,891.15
Total Cash, Money Funds, and Bank Deposits $43,562,095.04 $44,273,914.33 10.00 $10,003.17
Page 3 021
Account Number: an_ Go papedess ty.,, tacellenti rr. it 7 .•" rr-trizt,.
DPW" 90Ill SO 17 Matt F I DrErriA D e A xc L B lu A V r R n a R a t e A S r 7 W 02 ). C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045550
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008374
EFTA_00 I 56 I 59
EFTA01288522
Portfolio Holdings (continued)
Adjusted Unrealized Aomued Estimated Estimated
Date ANL tred Quantity Usit Cost Cod Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income 2 0.0 0% of Portfolio (In Meurity Dee Sequence)
(Asset Backed Securities
COUNTRYWIDE HOM E LOANS Security Identifier: 12669DY51
SER 03-1 CL 81 4.090% 03/25(33 WE
DTD 01130103
Factor: 0.21613804 Effective Date:12/01/14
Current Face Value: 972.621.180
12113113'•x•12 4,500.000.000 93.3760 908.19805 83.3080 810,27125 .97,927.80 3.315.02
Onginal Cost Basis 51.111.573.07
WASHINGTON MUT M TG SECS CORP 3001•RA2 Security Identifier: 939336520
M TG PASSTHRU CTF CL C-B-1 VAR RATE
6.982% 07125133 BlE 010 06/01/04 S 8 P Rating 0
Factor. 0.56774322 Effective Date 12101/14
Current Face Value. 732.388 754
12113/13 '.3.I2 1,290,oao 000 76.5190 560.413.70 85.9290 629,334.33 68,920.63 4,261.35
Onginal Cost Basis $638.906.71
Total Asset Backed Securities 61,466,612.76 11,139,805.56 ,129,007.17 17,578.37 $0.00
6,790,000.000
Total Current Face Value : 1,706,009.931
Corporate Bonds
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
NOTES SENIOR MA0=460546525
5.000% 10/28/15 REG D TO 10/28109 Sd P Rating By
12/04(13'.3•t2 2 500 000.000 95.3590 2,383,981.71 75.5000 1,887,500.00 .196,481 71 21,527.78 125,000.00 6.62%
Original Cost Basis. 52.250.000.00
HEADWATERS INC GTD SR NT Security Identifier: 42210PAO5
7.625% 04101/19 GrE DID 03111111
CALLABLE 04/01115 0 103 813 Moody Riling 81 S 1 P
Rating Ti+
10122/12 '.12.13 1.000,000 000 101 9080 1,019,080.22 104 2500 1,042,500.00 23,419.78 19,062 50 76,250.00 7.31%
Onginal Cost Basis $1.035.00.00
EARTHLINK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC6
CUSP FROM 270321AB8 8.875% 05/15/19 WE
DTD 05117/11 CALLABLE 05/15/15 S5 P Rating CCU
10/22/12 '.3.12 400,000.000 102 5300 410.121.26 98.7000 394,800.00 -15 321 26 4336.11 35,500.00 8.99%
Onginal Cost Basis: $414,000.00
10/23112 '.7.17 600.000.000 102 3510 614.10822 98.7000 592,200.00 -21,908 22 6.804.17 53.250.00 8.99%
Original Cod Basis: $619,500.00
Total Noncomod 1,000,000.000 1 021 229.18 987,000.00 -37,229.18 11,310.28 55,750.00
Total 1,000,000.000 $1,024,229.18 1987,000.00 -137,229.18 111,310.28 $58,750.00
Page< of 21
Account Num ber. Rated two-SYS
110100S3SCSTV ORAN SOL THERIZ1O NLW. FID G E o p N ape T rle I ss A L D [v A e L r B y A V R s R . A s T in E c D e C 2 O 0 M 07 M UNICATIONS
T %Ca L MICR
SDNY_GM_00045551
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-00O8375
EFrA_00 I 56160
EFTA01288523
Deutsche Asset
& Wealth Management
Drallsre Rant Pnwile *Mahn &Waren
Mu Caen., 6,0‘p
Des-bOX la* SelloneraC
Yoe bet Pik*
P.O. Boa 1778, BaMimonx, MO 21203 la Put Annie. liver
War Int Pet BMA
Statement Period:12/01/2014 • 12/3112014
Portfolio Holdings (continued)
Adjusted Unrealized Acaued Estimated Estimated
Dale Acquired Quantity Unit Cod Cost Basis Market Price Market Value Gain/ Loss Meted Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
SERVICEM ASTER CO SR NT • CUSIP FULLY Security Identifier: 81760NAN9
EXCFANGED FROM OLD COP 81760kAL3
8.000% 02115120 BIE DTD 02113112 Moody Rating CAA' S
8 P Rating B-
01124/13 '.3.12 440.000.000 104 9300 461.692,79 105.2500 463.100.01 1.407.22 13.297 78 35,200.00 7.60%
Original Cost Basis $468,050.00
02125/13 '.3.17 1,000,000.000 105 4560 1.054.555.77 105.2500 1.052.499.99 .2.055.78 30.222 22 80,000.00 7.60%
Original Cosl Basis: 51,070,000.00
Total Maneuvered 1,440,000.000 1,516,218.56 1,515,600.00 .846.56 43,520.00 115,200.00
Total 1,140,000.000 $1,516,248.56 81,515,600.00 -8646.56 843,520.00 5115,200.00
LLOYDS 768 BK PLC EURO ISSUE MEDIUM Security Identifier: GIS1SPP18
TERM NOTES151NR XS0717735822
9.875% 12/16/21 RIG DTO 12/16/11 Moody Rating Bat SS
P Rating BBB-
12/04113 '.3.17 1,500.000 000 107 6770 1,615,162.18 114.7500 1 721 250 00 106,087 82 5,760.42 148.125.00 8.60%
Original Cos' Basis: $1.627,500.00
BARCLAYS 8K PLC CONTINGENT CAP NT Security Identifier: 06739FHK0
ISIA81.936739FFKO3 7.750% 04/10123 B/E
DTD 04110113 CALLABLE 04110118 S 8 P Rating BB'
04/03/13 %UM 300.000.000 100 0000 300.000.00 109.0000 317.000 00 27.000 00 5.23125 23.250.00 7.11%
Original Cosl Basis $300,000.00
RN ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 46625HISA1
1110T1- FPO S2 1 FIXED TO FLTG RT 80
7.900% 04/29/49 B/E DTO 04/23/08 Moody Rating MI S
P Rating BBB.
06/15/11 '.3,12 2.500.000.000 107 5000 2.687.500.00 107.6300 2.690.750.00 3.250.00 32.916 61 197.500.00 7.33%
Original Cosl Bads' $2,687,500.00
06/15/11 '.3.12 2.500.000.000 107 0000 2.675.000.00 107.6300 2,690.750 00 15.750.00 32.91666 197.500.00 7.33%
Original Cosl Basis 52,675,00000
Total Maneuvered 5,000,000.000 6,362,500.00 5,381,500.00 19,000.00 65,833.33 395,000.00
Total 5,000,000.000 55,362,500.00 $5,381,500.00 519,000.00 565,03.33 $395,000.00
Page 5 021
titt&t• ROI t A SO cc U o T u H n E t R N N u m ber. NLLC. F I D G E o p S ap I e T rle I s A s L I r b D t x a e A. l e cL ia f r B y iu A Y e rR s e n : a Rs S r Ae Y S rT S i E v a D C 2 O 0 M 07 M UN CATIONS
SDNY_GM_00045552
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008376
EFTA_00156161
EFTA01288524
Portfolio Holdings
(continued)
Adjusted Unrealized Mated Estimated Estimated
Dore Acquired Quantity Uait Cosl Cod Basis Market Price Markel Value GaiN Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 0605050T8
SFS FIXED TO FLOAT 8.125% 04/30/58 WE
DTD 04/30/08 CALLABLE 05/15118 Moody Rating BA3 SE P
Rating 813
01/10/11 %tit 2,000,000.000 1021500 2.055.000.00 107.8750 2,157,500.00 102,500.00 20,763 89 162,500.00 153%
Original Cosl Basis: $2,055,000.00
SOUTHERN CAUF EDISON CO PREF SER E Stonily Identifier: 842400FU2
6150% 01/17/62 WE DID 01/17/12
CALLABLE 02/01/22 @ 100000 Moody Rating BAA1 SS P
Rating BBB-
01130/12'.3.1: 3.000.000.000 99 8090 2,994,273.52 110 8750 3,326 250 00 331,97648 78,125 00 167,500.00 5.63%
Original Cosl Basic $2.992.564.97
GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 3696225746
A 7.125% 06/12/62 WE
DID 06112/12 CALLABLE 06115/22 Moody Rating SAM S
P Rating A+
06127/12'.12.13 2,000,000.000 104 9450 2.098.907.53 116.3750 2,327.500 00 228,59247 6.33333 142.500 00 6.12%
Original Cost Basis 52.122.916.67
LOG CAPITAL NO 1 PLC 144A Security Identifier: G5433B668
ISIN# X50473106283 8.000% 09115188 REG
DTD 12i 15109 CALLABLE 06115/20 $8 P Rating BB
12104/13 '.3.12 1.200.000.000 108 2500 1.299.000.00 106.5000 1 278 000 00 41.000 00 4 000 00 96.000 00 7.51%
Original Cosl Basis. 51.299.000.00
5LLOYDS BANKING GROUP PLC FXD RATE RESET Stonily identifier: 539439AG4
ADDL TIER 1 SECSISIAOUS539439AG42
7.500% 09/27/88 WE DTD 04107/14 S 8 P Rating II+
Please Provide' 1,903,000.000 N/A please Provide 1011500 1.936.302.50 1.189 38 142.725.00 7.37%
0 opal Cosl Basis Please Provide
Total Corporate Bonds $21,668,383.20 323,881,902.60 $283,216.80 $282,687.16 31,702,800.00
22,843,000.000
Total Fixed Income 523,136,995.95 $25,327,508.08 $254,209.63 $290,263.53 $1,702,800.00
28,633,000.000
Page 6 of 21
Account Number: Go paperless
WIAti ROLL F iD rgiaiA r ( C v xA e cL r Mi y u A V rRm o R n eA S rT in C c O e C 2 O 00 M 7 M UMULTIONS
SDNY_GM_00045553
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERM DB-SDNY-0008377
EFTA 00156162
EFTA01288525
Deutsche Asset
& Wealth Management
Dean Boa P Wealth PADeaeenne
Meals COveateGKe0
Derticre NM Seabee Mt.
New Net Ma
Boa 1770, Ba!ammo, MO 21203 HS Pen /base Melba,
ferr Vat NY WIL
Statement Period: 12 1011211 4 -1213112114
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Dale Acquired Quality Unit Cog Cog Basis Market Price Market Value Gain, Loss Mood Income Yield
Equities 4 3.0 0% of Portfolio
Common Stocks
N OBILEYE NV AM STELVEEN ORD SHS Security Identifier: M BLY
ISMAL0010831061 CL SIP k 51488117
Dividend Option: Cash
08101/14 800.000 25 0000 20,000.00 40.5700 32.456 00 12.456 00
APOLLO GLOBAL MGM' LLC CL A SHS Security Identifier: APO
Dividend Option Cash CUSP: 037612306
03129/11 '.13 263,157.000 19 0000 1,999,983.00 23.5800 6,205,242.06 1,205,259 06 818,418.27 13.18%
APPLE INC COM Security Identifier: AAPL
Dividend Option. Cash CUSP. 037833100
10128113 14,000.000 75 5800 1,058,120.50 110.3800 1,545,319.93 187,199 13 26,320.00 1.70%
09105/14 150,000 000 98 9500 14,842.506 00 110 3800 16.557.000 07 1,711,194 07 282.000.00 1.70%
Total Covered 164,000.000 15,900,626.50 16,102,320.00 2,201,893.50 308,320.00
Total 164,000.000 115,900,626.50 $16,102,320.00 $2,201,893.50 1308,320.00
MUD PHARN ACEUTICALS INC Security Idendller: ARIA
Dividend Option: Cash CUSP 04033A100
02111/12 7,535 000 15 2090 114.597.10 6.8700 51,765.15 -62,631.95
01124113 .•13 9,000 000 19 6000 176.400.00 6.8700 61,830.00 -114,570.00
Total Noncovered 16,535.000 290,997.40 113,596.45 -171,401.96
Total 16,535.000 1290,997.40 1113,595.45 -1117,401.95 $0.00
ASCENA RETAIL GROUP INC COM Security Identifier: ASNA
Dividend Option: Cash CUSP. 01351G101
01116101 '.3 70.500 000 212770 1,500,000.00 12.5600 885,480.00 •614,52000
BANK OF NEW YORK II ELLON CORP CON Security Identifier: BK
Dividend Option Cash CUSP. 084058100
06125/14 250.000 000 36 3040 9.076.406 00 40.5700 10,142,500.00 1.066.094 00 170,000 00 1.67%
BIOGEN IDEC INC CON Security Identifier: BilB
Dividend Option Cash CUSP 09062%103
02114112••I3 2,095 000 119 5490 250.451.95 339.1500 711,147.75 460,692 80
Pagel of 21
tit„
Account Num ber Rated Cobb re
tient. YOU( SOL THERA F I D G AE o p N ape T rle 1 ss A L De Ev Ax e La r B y m A y R e ,N a R r C A L T I a E b D C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045554
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008378
EFTA_00156163
EFTA01288526
Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date tied Quiet Limit Cod Cost Basis Market Price Market Value Gale/ Lou Anoual !name Yield
Equities (continued)
Common Stocks (continued)
FACEBOOK INC CI. A Security Identifier: FB
Dividend Option: Cash CUSP: 3030311102
05117/12'.13 17.501000 38.0000 665.000.00 78.0200 1.365 350 00 700,350 00
FOUNDATION MEDICINE INC COM Security Identifier: FM I
Dividend Option: Cash CUSP: 350465100
01113/14 25,000100 27.5070 687,683.50 22.2200 555.500 00 -132.163 50
08105114 24,830.000 232530 577,373.02 22.2200 551,722.60 -25,65012
Total Covered 49,830.000 1 205 030.52 1,107,222.60 -151,813.92
Total 49130.000 $1,265,038.52 11,107,222.60 -$157,013.92 30.00
GENERAL ELECTRIC CO CON Security Identifier: GE
Dividend Option: Cash CUSP: 369604103
04123113'.I3 23,000.000 21 5700 496,109.08 25.2700 581,210.00 85,100 92 21,180.00 3.61%
GENERAL MTRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 37045V100
11118/10 10.988.200 36 4010 399.978.18 34.9100 383.598.07 -16.380 09 13,185.84 3.43%
12109/10' 88.536.800 38 8160 3,185,969.22 34.9100 3,020,999.68 -161,969 54 103,844.18 3.43%
Total Hammered 97,525.000 3 585 947.38 3,404,597.76 -111,349.13 117,030.00
Total 97,525.000 63,515147.38 $3,404,597.75 -$111,349.13 $117,030.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02105/14 5,000.000 792810 396,407.00 942800 471,300.00 74,893.00
03107/14 3.100.000 796120 246.797.00 942600 292,208.00 45,409.00
Total Covered 8,100.000 643,204.00 763,506.00 120,302.00
Total 8,100.000 $843,204.00 $763,506.00 $120,302.00 $0.00
HEALTH NET INC COM Security Identifier: H NT
Dividend Option: Cash CUSP 422226108
09108/14 250/0.000 16 9800 1171,506.00 53.5300 1,338,250.00 163.744 00
SANGAM 0 BIOSCIENCES INC CON Security Identifier: SGM 0
Dividend Option: Cash CUSP: 800677106
05/28113'•13 scioact000 8.4140 422,214.00 15.2100 760,500.00 338,286 00
SANTANDER CONSUMER USA HLDGS INC COM Security Identifier: SC
Dividend Option: Cash CUSP. 8028311101
01123/14 1.000.000 24 0000 21,000.00 19.6100 19,610.00 -4.390.00
TWITTER INC CON Security Identifier: 76VTR
Dividend Option: Cash CUSP. 9018/1102
11107/13 1,500.000 26 0000 39,000.00 35.8700 53,805.00 14,805 00
Total Common Stocks $40,353,464.83 $46,581792.61 $5,233,307.78 $1,434,928.27
Page 8 021
OnOCS.SCSF!' 00A11 MOIL Acc L o T u H nt E N M u m C be 4 r. Go paperless D E r M x v a Ae e ta U r r d y tu i M T t r a o r. c aR m e eA l l S e rT a n E m t D i e C 2 O 0 M 07 M UNICATIONS :rat' "17=I C tara•
SDNY_GM_0004555.5
O NFID AENTIA
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(eSO) O13-SDNY-0008379
EFTA_00156164
EFTA01288527
Deutsche Asset
& Wealth Management
Oeuici•v Ram Pon. Wealth Manamnan
Mlf•tt% COMM< 4,04P
0...Uht Marla SeCyri AC
lire bet Mc*
PO 84:* 1778, 8shemore. MO2t203 Ma Part 4,•••••• Mk I kw
'Inv Wet IlY I14
Statement Period: 12/01/2014 - 12/31/2014
Portfolio Holdings (continued)
Serialized Estimated Estimated
Date Acquired Quaetlly Uefi Cost Cost Basis Market Price Market Value Gall/ Loss Annual Income Yield
Equities (continued)
Preferred Stocks (Listed by expiraliort date)
ALLY FINL INC AX TO FLT Security Identifier: ALLY PRB
0 N-8.50% FREQ-QTRLY CALLABLE Q 25.00 CL SIP 02005N308
Oli. A OTRLY BASIS AFTER 05/15/2016
Dividend Option: Cash
02103/12'.13 46.600.000 19 3820 903 217 51 26 8600 1,252 608.01 349,390.50 99,025.00 7.90%
02109/12 '.13 80.000 000 20 1250 1,610,000.00 26 8800 2 150 399.99 540,399 99 170,000.00 7.90%
Total Noncovered 128,800.000 201;217.51 3,403,008.00 889,790.49 289,025.00
Total 125,800.000 $2,513,217.51 83,103,008.00 3889,790.49 $269,025.00
GM AC CAP TR I GTD TR PFD SECS SER 2 CPN- Secorlty Identifier: ALLY PM
8.125% FRED CIR112 MATT-0211512010 CALL CUSP: 361860208
ANYTIME (I 25 W130 DAYS BEGINS 02/15116
Dividend Option: Cash
02122/12'.13 80.000.000 23.5350 1.882.773.60 26.3800 2.110.400.00 227.62640 162,500.00 7.69%
ROYAL BK SCOTLAND GP PLC WON AOR REPSTG Security Identifier: RIM PRT
SER T PFD CPN-7.25% FRED 43RTLY FERP M TY CUSP: 780091113
CALL@ 25 ANY W130 D NOTICE AFTR 12/31/12
Dividend Option: Cash
10/24/12 '.13 40,000.000 231900 951,600.00 25.4900 1,019,599.99 67,999.99 72,500.00 7.11%
01/07/13'.17 40.000.000 21.4100 977.600.00 25.4900 1,019,599.99 41,999.99 72,500.00 7.11%
01/14/13 *.I3 10,000.000 24.8800 995,200.00 25.4900 1,019,600.02 24,400.02 72,500.00 7.11%
Total Noncovered 120,000.000 2,921,100,00 3,058,800.00 134,400.00 217,500.00
Total 120 000 000 82 924 100 00 83 058 800 00 $134,400.00 $217,500.00
Total Preferred Stocks $7,320,391.11 it 572 208.00 31 251 516.89 8619,025.00
Total Equities 847,673,875.94 954,159,000.81 96,485,124.67 12.083.953.27
Page 9021
PC.:,0SZ,CSF3, Account Num ber Cio paperlesS 1 (v 4 e 5 r 0 y 4 V ts s co . ll W on o l e i s 2007 ocIda.rutt.7= Yr=
L TH ERN CNO
N
LLC.
F I DAENTIAL
rOxAeLsBAuRr
N
R
C
AT
I
ED COMMUNICATIONS
SDNY_GM_00045.558
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) DB-SDNY-0008380
EFTA_00156165
EFTA01288528
Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cod Basis Market Prkt Markel Value Gadd Loss Annual Income Yield
Exchange-Traded Products 2.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY ED Security Identifier: DIU
Dividend Option: Cash; Capital Gains Option: Cash CliSIR 97717W851
60,000 00 of these shares are in your margin account
12111113 60.000.000 49 4350 2.966.098.50 492300 2.953.800 00 -12.298.50 58,131.20 1.91%
Total Exchange-Traded Products 12,988,098.50 $2,953,800.00 -$12,298.50 $56,434.20
Um/talked Acaued Estimated
Cod Bads Market Value Galot Loss Interest Animal Income
Total Portfolio Holdings $118,050,951.72 $126,714,293.02 16,727,035.80 1290,263.53 13,853,190.84
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.1.110-343, 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 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wall be reported to the IRS on form 109943 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, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
7 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 evadable.
The Current Face value represents the outstanding principal balance of the underlying 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 dent brokerage statements may differ from the new cost basis reported in this section.
17 The cost basis of this security has been provided to us by the delivering fern or transferring agent and Pershing makes no representation as to the accuracy of this information.
Page 10 of 21
Account Num ber Raba tacellenti
OftAti ,t011. SO I. TH ERN CO N LLC. F I D G A o p E ap N erl T es I s A L ( I D v X A e C L r B y IL A V L R I . N a R . A C S T , i E a D m C 2 O 0 M 07 M UNICATIONS
SDNY_GM_000155.57
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-OOO8381
EFTA_00156166
EFTA01288529
Deutsche Asset
& Wealth Management
Dean a na km,. vinitn•Apmgenan
Minns tonna 6.0‘P
Deelsch• Sank Sta.O n at.
Mar Mbin
PO Dox 1778, Sallimore. MD 21203 HS Pia Asa. member
—'..t NY 10IM
Statement Period: 1210112014 - 12/31/2014
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ loss/
Dale Date Transaction Description Quantity Cost Basis Proceeds Disallowance
Long Term
12123114 12/13113' FFP WASHINGTON MUT MTG S 004-RA2 M TG PASSTHRU CTF CL 1.290900.000 2,61209 3 413 67 801 58
C- B-1 VAR RATE 6.982% 07/25133
Security Identifier: 939336820
Original Cost Bair 2612.09
12126/14 12)13113' l 'P COUNTRYWIDE HOME LOA 1 CL 81 4.090% 03/2583 WE CI 4.509009000 3,15720 3.38115 223 95
TD 01130103
Security Identifier: 12869DYS1
Original Cost Basis: 3,157.20
Total Long Term $5,769.29 16,794.82 $1,025.53
Total Short Term and Long Term $5,769.29 $6,790.82 $1,025.53
• 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.L.110-343, 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. Al 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 1099.8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as folows:
• 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, 2914. or later. as determined by the Secretary of the Treasury.
This Schedule may not reflect an 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 return 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 1099-8 or online 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 requted 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 all liability that may arise with respect to your use and rekance
on the information provided herein for such reporting.
Page 11 of 21
Account Num ber Rated racelle
OBA0 ROLL SQL THERA CON F I . D G AE o p R ape M rles A s L. L Drx y Ae o Lr n Ot . u A Y rRn e Ra w Ae S Tr i E v D a C 2 O 9 M 07 M UNICATIONS
SDNY_GM_000455.58
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008382
EFTA_00 156167
EFTA01288530
Schedule of Realized Gains and Losses Current Period
(continued)
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attrtutes 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 retums.
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 Mich 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 will 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)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market hinds, please visit the DWS Investments website at https:/NAwrdwsrtivestments.com/EN/productshnoney-marketfunds-yeldsjsp. 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 $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 advisor for additional information.
Please note the /Oohing information for Pershmg's 20f4 IRS Forms 1099 (8. DlIONT, 010 and MISC): Your form 1099 will be delivered as early as possible, beginning January 31. 2015. By February 17. you
will receive either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice will 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, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 16. 2015.
Pershing's Impartial Lottery Process: Partial Calls
Information about Pershing's impartial lottery process can be found on pershing.com/business_continuity. You may also request a printed copy of this information by calling (888)387-2583, option 3 then option 5.
When a security is subject to a partial redemption, pursuant to FINRA Rule 4340. Pershing must have procedures in place that are designed to treat clients fatty in accordance with an impartial lottery process.
When an issuer initiates a partial call of securities. the depository holding such securities (typically, the Depository Trust Cleating and Corporation, or DTCC) conducts an impartial. computerized lottery using an
incremental random number technique to determine the alocation of called securities to participants for which it holds securities on deposit (including Pershing). Because DTC's lottery is random and impartial.
participants may or may not receive an allocation of securities selected for redemption.
When Pershing is notified that it received an allocation of called securities, Pershing conducts a similar, computer-generated random lottery. The lottery determines the accounts that will be selected and the
number of securities in the account that will be redeemed. Allocations are based on the number of trading units held in the account The probability of any trading unit held by an account being selected as called
in a partial call is proportional to the total number of trading units held through Pershing.
Once the lottery is complete. Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation. Securities registered in the client's name, either in transit or held in custody, are
excluded from the Pershing lottery process.
Pershing initiates the lottery process by identifying the accounts holding the called security, the total par value of the called securities held, and the trading unit of the security.
Example (unit of trader $25,000):
Client Account Par Value Number of Trading Units
$100,000 4
Page 12 of 21
ct„
Account Number Itned [mane Si
()BAN 901 L THERA F I D G AE o p N ape T rle I ss A L ( D r v x A e e L r l l y B u A Y lt R a e e R w r A S T a E n D te C 2 O 0 M 07 M UNICATIONS "v.
SDNY_GM_00045559
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008383
EFTA_00 156168
EFTA01288531
Deutsche Asset
& Wealth Management
Deshoe Um Power...in mymitnent
Mann. teem. 6,0.1)
ontsciv sem sm. cies M.
Now TM Clio,
PO Boa 1778. Baltimore. MO 2t203 HS Pia Asa. loth I tom
Rem *A NY 101M
Statement Period: 1210112014 • 12/3112014
M essages
(continued)
$75,000 3
$150.000 6
$50.000 2
$25.000
$25.000
$75,000 3
In brief, the allocation process involves the following steps:
• The number of trading units held in each account is identified.
• A sequential number is assigned to each trading unit (e.g.. account would be assigned six numbers).
• A random number is generated that will result in one of these trading units being the first unit in the selection process.
• Thereafter, the trading units participating in the allocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted.
Additional Information
' The allocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not
have any securities selected for redemption at all.
' When a partial call is deemed favorable to the holders of the called security. Pershing will exclude certain accounts from the lottery. Excluded accounts wit include Pershing's proprietary and employee
accounts. as well as proprietary and employee accounts of introducing broker-dealers (if Pershing carries and clears those accounts). No allocation wit be made to these proprietary and employee accounts until
al other client positions at Pershing in such securities have been called. When a partial cal is deemed unfavorable to holders of the called security, Pershing will not exclude any accounts from the lottery.
' If the partial call is made at a price above the current market price as captured in Pershingl's price reporting system, Pershing will generally categorize the partial call as one that is favorable to the holders of
such security. if the partial call is made at a price that is equal to or below the current market price of the security as captured in Pershing's price reporting system, Pershing will generaly categorize that call as
one that is unfavorable to holders of the security.
' Clients have the right to withdraw uncalled, fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial
Page13 of 21
Account Number Go paperiess EPla,tte,,d, C1..cI•AISL MWEDC°MMUNICAb°16
vwf ...N.' Slats 2007
SO L ThERh LL0.
F I DAENTIAL
SDNY_GM_00045560
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008384
EFrA_00 I 56169
EFTA01288532
M essages (continued)
cal. CChents also have the right to withdraw excess margin secuntes, provided that the client account is not subject to restriction under Regulation T or that such withdrawal will not cause an under-margined
condition.
Activity Sum m a ry (All amounts shown are in base currency)
Credits This Period Year.to.0 ate Debits This Period Year.to•Date
Securities Securities
Securities &ought 0 00 0 00 Secudties Bought 0 CO .36 037.468 11
Securities Sold 0 00 19119.726.27 Secunhes Sold 0 00 0 00
Total Securities $0.00 119,419,726.27 Total Securities $0.00 -136,037,488.11
Dividends and Interest $120,410.13 $3,123,511.91 Dividends and Interest $0.00 -$93,807.51
Distributions $291,449.16 18,339,518.77 Distributions $0.00 $0.00
Fees $0.00 $0.00 Fees $0.00 -$72.00
Other $0.00 172,188.00 Other $0.00 .1141,870.18
Cash Cash
Withdrawals 0 00 0.00 Withdrawals 0 00 -1.331.245.00
Depots 0 00 32.117.681 34 Deposits 0 00 0 00
Total Cash $0.00 $32,417,681.34 Total Cash $0.00 -$1,331,245.00
FDIC Insured Bank Deposits $0.00 $37,486,437.18 FDIC Insured Bank Deposits $0.00 ,119,301,781.85
Money Market Funds $0.00 $25,931,926.31 M oney Market Funds •$657,514.29 -170,151,535.64
Total Credits $711,889.29 1126,820,992.78 Total Debits .1657,514.29 -$127,360,763.29
Transactions by Type of Activity
Process/
Settlement
Date Adivity Type Desaiption Quantity Price Awued interest Amount currency
Dividends and Interest
12/15/11 FOREIGN BOND INTEREST 1200000 LE1G CAPITAL NO 1 PLC 111A ISINIXS0173106283 18.000.00 LSD
G54338848 8.000% 09115188 REG DID 12/15109 CLB RD 12/12 PD
12115/14
12/15/14 80h INTEREST RECEIVED 2000000 GENERAL ELEC CAP CORP NON CG M PFD SER A 71,250.00 I.,50
369622Sh6 7.125% 06/12/62 B/E DID 06112/12 CLB RD 11/28 PO
12/15/14
12/16111 FORBGN BOND INTEREST 1500000 LLOYDS TSB BK PLC EL RO ISSUE MEDIUM TERM 148.125 00 LSD
GISISPP18 NOTES ISINSXS0717735822 9.875% 12/16121 REG DTO
12116/11 CLB RD 12/15 PD 1211611/
Page 14 of 21
Account Number. Go paperless Rsd tacellera
08A0 R011 SOL TM IZ ONLLC. rD L x v Ae e L r i B y tu A Y rR e m R ar eA S rT i E v D a C 2 O '0 M 07 M UNICATIONS
SDNW_GM_00045561
FIDESMAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0008385
EFTA_00156170
EFTA01288533
Deutsche Asset
& Wealth Management
DNS,' Bmt PrmaInvkan•Aptagenan
Margit. tisear 6,0.P
ocautv sem setvous M.
Mewbrio:Mar
P.O. Box 1778, Babimore, MO21203 HS Pan ASS., nth I ICISt
Statement Period:12/0112014 • 12/31/2014
Transactions by Type of Activity (continued)
Process/
Settlement
Date Activi Dew ion Clean Price Mated Interest Amount Curren
Dividends and Interest (continued)
12/23114 CASH DIVIDEND RECEIVED 97525 SF RS GENERAL N IRS CO COM RD 12/10 PD 12/23/14 29.257 50 LSO
GM
12/26114 GOAD INTEREST RECEIVED 1290000 WASHINGTON MUT MTG SECS CORP 2004-RA2 4281 21 LSO
939336520 MTG PASSTFRL CTF CL C-B-1 VAR RATE 6.982% 07125/33
BIE DTD 06101/04 RD 11128 PD 12125/14
12/26/14 CASH DIVIDEND RECEIVED 60000 SHRS WISDOM TREE TR JAPAN HEDGED EQUITY FD RD 23,679.00 LSD
OYJ 12123 PD 12126114
12/29114 80ND INTEREST RECEIVED 4500000 COUNTRYWIDE HOME LOANS SER 03.1 CL BI 4.676.68 LSD
12669DYS1 4.090% 03125/33 WE DTD 01130103 RD 11128 PD 12125/14
12/29/14 FOREIGN BOND INTEREST 1903000 LLOYDS BANKING GROUP PLC RD RATE RESET 35,661 25 LSD
539139AG/ ADDL TIER I SECS ISM US539139AG42 7.500% 09/27/88
WE DTD 04107/14 CLB RD 12/26 PO 12/27/14
12/31/14 MONEY MARKET FUND DWS GO VT CASH INSTL 1,11449 LSD
INCOME RECEIVED
233993682
12131/14 FOREIGN SECURITY DIVIDEND 120000 SHRS ROYAL BK SCOTLAND GP PLC SPON ADR 54,375.00 LSD
RECEIVED PIPSTG SER T PFD CP1,-7 25% FREO DRILY PERP MTV
RBS PRT CAUG 25 ANY W/30 D NOTICE AFTR 12131112 RD 12116 PD
1213111/
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 120,410.13
Distributions
12/26/14 RETURN OF PRINCIPAL 1290000 WASHINGTON NUTMEG SECS CORP 2004•RA2 1.119 81 USD
RECEIVED MTG PASSTFRL CTF CL C-6-1 VAR RATE 6.982% 07125/33
939336520 WE DID 06101/04 RD 11128 PD 12125/14
12/26/14 SHORT TERM CAPITAL GAIN WISDOM TREE TR SWAN HEDGED EOUITY FD RD 12/23 PD 108,922 20 LSD
DISTRIBUTION 12/26/14 5Gt, @ 1.815370 60000 SFS
OYJ
Paget5of21
Account Number. Go paperless Rad [sailer.
oftwO ROI t SOUTHERN IO! NLLC. rD L x v Ae e L r n B y u A V rRm s R . eA s Tr i E n S ce ) C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045562
FIDESMAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008386
EFTA_0015617I
EFTA01288534
Transactions by Type of Activity (continued)
Process/
Settlement
Date Activity Type Denai ion Qum Price Accrued Interest Moult Curren
Distributions (continued)
12126114 LONG TERM CAPITAL GAIN 60000 SI- RS WISDOM TREE TR JAPAN HEDGED EQUITY FO RD 177.726 00 US0
DISTRIBUTION 12123 PD 12(26114
DXI
12129114 RETURN OF PRINCIPAL 4500000 COUNTRYWIDE HOME LOANS SERO3.1 CL 81 3,381.15 LSD
RECEIVED 4.010% 03125133 WE DTD 01130103 RD 11128 PD 12125/14
126690Y51
Total Distributions • UNITED STATES DOLLAR 0.00 291,449.16
Money Market Funds
12/16/14 MONEY FUND PURCHASE DWS GOUT CASP INSTL •119,25000 LSD
USD999997
12/17/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL •148,12500 LSD
USD999997
12124114 MONEY FUND PURCHASE DWSGOVT CASH INSTL -29.257.50 LSO
US0999997
12/29/14 MONEY FUND PURCHASE DWS GOUT CASI- INSTL •316,028.22 LSD
USD999997
12/30/14 MONEY FUND PURCHASE DWSGOVT CASP INSTL -43,73908 LSD
US0999997
12/31/14 MONEY MARKET FUND DWSGOVT CASH INSTL INCOME REINVESTED -1,110.49 LSD
REINVESTMENT
233993682
Total Money Market Funds- UNITED STATES DOLLAR 0.00 ,657,514.29
Total Value of Transactions 0.00 64,376.00 USD
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Security Record Date Payable Date Quality Held Rate Dividend Option Mont of Payment
Dividends
GENERAL ELECTRIC CO COM 12/22/14 01/26/15 23.000.000 0.230000 Cash 5.290 00
Total Cash Not Yet Received $5,290.00
a Page 16 of 21
Account Number Go paperless Rated taalbria
ti 07.1, ROI SOUTHERN ter LLC. F IDES,ITIAL •-" D L r x v A e e L r l B y u A Y R M e R a C r A S I T i C v O a C 2 O 0 M 07 M UNCATOONS =awn of Ms vs+IN=•C'"e:Ldiev Awe Iwo.,
SDNY_GM_00045563
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008387
EFTA 00156172
EFTA01288535
Deutsch,'
Man:lc:en:2. it
& 01,1400 RIM Priam Weain mragenmt
Weals Coerce 4,0“)
DeAsov Ssoonei
lire wan Mar
PO Po. 1776, Ball] TOT(' ND 212(3 Na Pon Ammo. Hai ter
Nar wet in• 2111.4
me
Statement Period:12/01/2014 • 12/31/2014
Bond Maturity Schedule
Bond Maturity Market Value of Bond Markel Value
7 to 12 months 1,887,500 00 8% Percentages of bond market values are
1 to 5 years 2,029,500 00 8% rounded to the nearest whole percentage.
6 to 10 years 3.563.850 00 14%
Over 10 ears 17 846 658 013 70%
Total 25,327,501.08 100%
Bond Quality
Bond Quality Market Value % of Bond Market Value
BAA 5.653.750 00 22% Percentages of bond market values are
Bikkower 18.863.486 83 74% rounded to the nearest whole percentage.
Not Rated 810,271 25 4%
Total 25,327,508.08 100%
Client Service Information
Your Client Advisor: DAN
DANIEL SABBA
345 PAR( AVEK LE, 26Th FLOOR
NEW YORK NY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Stocks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Bond Amortization Elections:
Treat all interest as original issue discount tOID): No
Am areae premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types. Ratable Method
Include market discount in income annually. No
Page 17 of 21
t)BAB Dc,,, A SO cc U o T u H n E t R N N u m C he H r. O N LUC. FI D Gor pwaperrleisAs L L 7 0 v X A o C L v B I " L , A V L ta R 7 s c N R . o . C l A ik L 2 T in e O g to i 2 C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00045564
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008388
EFTA_00156173
EFTA01288536
Your Account Information
(continued)
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 inform ation.
Important Information 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, unless otherwise noted,
have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is
not available are marked "NIA" and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) 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
YAW/ pershing.correttsiness_continuity.htri for specific deeds as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends (or other securities shown on your statement may have been reinvested. You wil
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, may be obtained. 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
information is available 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
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 a from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization othervirse. 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, incurred 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 & Poor's is not permitted without prior written
authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or
omissions, regardless of the cause, a for the results of using such content. Standard & Pools makes no express or implied warranties includng warranties of merchantability or fitness for a particular purpose.
Standard & Poor's shall not be legally responsible for any lees, 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 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.
Page IS 021
A SO cc t o , T u H n E t N RA u C n be N r O NLLC. F ID Go r p a ape r rl i e A ss L R Dr [v xA a e e t L r e s B y d a A Y t r s Nt e r c M a a o r e l l U S o r i r n D d c i e C 2 O 0 M 07 M UNICATIONS YS c~I • M •J ' i ~ c„wYr1
SDNY_GM_00045565
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0006389
EFrA_00 156174
EFTA01288537
Deutsche Asset
& Wealth Management
()PASO( Sint PO•l ir *mall PI Manapnad
Mae WS Cootr r G.o t,p
ontsciv sank Smote Ac.
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PO &a 1778. Ballimore, MO21203 MS Put Asa. lob Hee
Web* NY 101W
Statement Period: 1210112014 • 12/31/2014
Important Information and Disclosures (continued)
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.
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 (I) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution
Of
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 confiding or under common control with it liable for any investment losses Mcurred 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 result 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 conceming the positions and balances in your account may be directed to the Pershing Customer Smite Department at (201) 413-3333. AI 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 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 $ecuribes 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: vnviv.pershing.cordstrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to
your fniancial organization and Pershing. 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; MM. Errors and Omissions excepts.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other it court, including the right to a trial by jury, 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 ability 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 wit typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration (mans may impose time limits for bringing a claim 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 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 respell to any
Page19 of 21
Account Number
Go paperless r itry.
1), THERA NLLC. F I DAENTIAL E rDxA n o g L , uO Ar •• MR • • Re • A e S T M ED c• C 2 O 0 M 07 MUNC ATIONS IwaaM lab rear —tart. K
SDNY_GM_00045566
CONFIDENTIAL — PURSUANT TO FED. R CRIM. 6: OB-SDNY-0008390
EFTA_00156175
EFTA01288538
Important Information and Disclosures (continued)
Important Arbitration Agreement (continued)
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;
Page 20 021
Account Nu® ber Rated tacellenti
ORAL Roll soLTHERtz. G E o p S ap T erle I ss Dr L x v Ae er Ur y a M V rtr a . aR t e A 5 rT . E 9 D 0. C 2 O 9 M 07 M UNICATIONS
NFID TAL
SDNY_GM_00045567
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008391
EFTA_00156176
EFTA01288539
TERMS AND CONDITIONS
TRANSACTIONS • PERSHNG MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST, 000 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 APPLICABLE LAWS AND REGULATIONS. 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 AVALABLE FOR YOUR PERSONAL INSPECTION AT
DATE. WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN
• YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT W•VIN,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. VIIWW.PERSHING.COMEUSINESS_CONTINUITY.HTML
THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHCH 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 PERSHING'S 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 F YOU DESIRE ADDITIONAL COPES. SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON
MARGIN INFORMATION: IF YOU MAINTAN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM, THE PERMANENT ORDERS TO ITS AFFILIATE. 8NY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL
RECORD OF THE SEPARATE ACCJMINT AS REQUIRED BY REGULATION T IS AVALABLE FOR YOUR COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT.
INSPECTION UPON REQUEST. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
TAX INFORMATION FLOW. PERSHNG SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE
COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS.
• AFTER YEAR END. PERSHING IS REQUIRED 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 (N880) ON CERTAIN LARGER ORDERS. OR F 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 FLINGS. 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 N880. PERSHING ALSO REGULARLY
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY 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 TM 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
LIABILITIES TO PERSHING. AND PERSHNG 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 OR
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 SECURITIES CARRIED FOR
YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY
PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WLL PERMIT THE
COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR
GREATER THAN YOUR LIABLMES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT
PROHIBITED BY LAW.
F ANY OF DE MOVE TERMS AND OONINTIONS ARE I maraPTASTE TO 10U, PLEASE HOTFY PEREANG SALEMATELY IN WRITING BY GERTFED MAIL TOONE PERSHNG RATA JERSEY CITY, NI OT3S9, ATM LEON. DEPT
Page21ot 21
F n OBAO ROLL Acco T u H nt E N TA u m C be H r. O NLIC. FID G E o p N ape T rle I ss A L M P L v A e L L r A O y A V ta R I c A R o . A P N T er a E A t D e C 2 O 0 M 07 M UNICATIONS rtit7 im = m•• 7 •••• 3 • ....9====
pm:Ammer
SONY GM 00045568
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008392
EFTA_00156177
EFTA01288540
01,41.1. e 114n. of .4. W.W .n 44.41",t.
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De•Iteht Bar n<
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Account Num ber:
Statement Period: 11101r2014 - 1113012014
Valuation at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value $124,598,399.34 $90,573,050.28
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 143,704.98 31,088,436.34
ST THOMAS VI 00802 Adjusted Previous Account Value 124,870,027.30 121,85 9,48 8.62
Dividends, Interest and Other Income 555,244.08 3,427,885.54
het Other Activity 0 00 -369.754.18
het Chan e in Portfolio 2130,950 93 3 338.801 33
nding Account Value 5128 056 222.31 5128.056 222 31
Your Client Advisor: Estimated Annual Income $3,849.726.35
DANIEL SABBA
Asset Allocation
Prior Year-ES Lad Period Ibis Period %Allocation
(.80 Cash. Money Funds. and Bank Deposits 18,295,949.71 12,858,891.12 43,562,095.01 34.02%
Pease a loceo-
LSD Axed Income 27,736,972.38 18,263,210.87 18,308,152.91 14.30%
hon.L SD Axed Income 10,227,309.46 7,532,495.00 7,422,22650 5.80%
LSD Equities 30,410,519.65 52,601121.35 55,404,88713 43.26%
hen-LSD Equities 3,137,192.74 3.270.704.00 3.359.080.00 2.62%
Non-LSD Cash, Money Funds. and Bank Deposals 402,106.31 0.00 0.00 0.00%
Other 363.000.00 0.00 0.00 0.00%
Account Total (Pie Chart) $90,673,060.28 $124,528,322.34 1128,0 68,22 2.3 1 100.00%
See the Asset AllocatOn Disclosure and Footnotes SeCtOA for tniportant dorrnaton regardiv yote Asset Alocebon.
Pap 1 of 18
Rimed tocollordi
08A1 ROL I B011179SCSF30016 D tv A .. U y M V * o R w A S T a E x D e C 2 O 0 M 07 M UNCATIONS it .""r= 0"007•Zrt e
CON F I dERFfisA L rxest unser
SDNY_GM_00045569
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008393
EFTA_00 I 56178
EFTA01288541
Asset Allocation Disclosure and Footnotes
Certain values have been defaulted into the Other Asset Class due to incomplete categorizing data
Al values are displayed in U.S. dollars based on interbank exchange rates as of 1113012014. Exchange rates can vary.
Equities contains Equity Mutual Funds.
Summary of Gains and Losses
Realized
Ibis Period Yeanio•Date Unrealized
Short•Term Gain/Loss 985.85 558,388.41 4,316,350.12
Long-Term Gain/Loss 0.00 4.895.387.36 4.427.630.12
Net GaIn/Loss 98S.86 4,337,01835 1,773,910.64
This summary excludes transactions where cost basis information is not available.
Money Market Fund Detail
Date Wivei Type DewV lo iroeet Balaece
Sweep Money Market Fund
DWS GOVERNMENT CASH iNSTL
Account Num ber Current Yield: 0.03% Activity Ending: 11128/1/
11/01114 Opening Balance 42.858.309.92 42,858,309.92
11103/14 Deposit MONEY FUND PURCHASE 581.20 12,858,891.12
11110/14 Deposit MONEY FLU PURCHASE 12,500.00 12,901,391.12
11/14114 Detroit MONEY FLU PURCHASE 77,080.00 12,978,171.12
11/18114 Detroit MOKEY FLO PURCHASE 233,50629 13,211,977.41
11124114 Deplete MOKEY RAD PURCHASE 192.10111 43,404,082.02
11/26111 Deposit MONEY FLO PURCHASE 156,950.06 13,561,032.08
11128114 Deposit INCOME RBA VEST 1.062.96 13,562.095 04
11/2811/ Cloing Balance 943 662,095.04
Total All Money Market Funds 943,662,095.04
Income and Expense Summary
Correnl Period Yeantaate
Taxable Noe Taxable Taxable Non Taxable
Dividend Income
Equines 186136 25 0.00 714,567.18 0.00
Money Market 1,062.96 0.00 6,197.53 0.00
Other Dividends 81.25000 0.00 777,755.20 0.00
Page 2 of 18
OSSA WU. Account Number: FI D G E o p N ape T rle I ss A etir (( rO v x v A e e " L r' nB y u A V t r m Rt A r Ra o N l Ae l S o Tr n i E m t D i s C 2 O 0 M 07 M UNICATIONS owastni=r,..=1.0:"74...'"=
SDNY_GM_00045570
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67: HEIMCON DB-SDNY-0008394
EFTA_00156179
EFTA01288542
Dreatifle Um rrvwm veka•n•Aptagenan
Margit. toomeit GIO‘P
DeelsON ML Sew Oe. Inc
Now *4 Olk•
PC B4Il 2120 HS Psi Asa 260.1 tom
I•r• Vett NY 10114
Statement Period:1110112114 -11/3012114
Income and Expense Summary (continued) Caned Period Year-to•Date
Taxable Non Taxable Taxable Non Taxable
Interest Income
Bond Interest 53,36522 0.00 915,556.05 0.00
FDIC Insured Bank Deporits 0.00 0.00 2,691.15 0.00
Other Interest 40,625.04 0.00 162,500.16 0.00
Total Dividends, Interest, Income and Expenses $363,139.11 30.00 $2,609,267.27 $0.00
Distributions
/4lernative Investm ents 0.00 192,104.61 0.00 818.418.27
Other Distributions 000 4.254.88 0.00 559,342.39
Total Distributions $0.00 9196,359.49 $0.00 $1,377,760.66
Portfolio Holdings
Account Activity Opening Closing Accrued income 30.Day Cement
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 34.00% of Portfolio
Cash Balance 581 20 0.00
Money Market
DWS GOVERN M DI T CASH INSTL
11101(14 43.562095140 1108114 42,858,309.92 43,562,095.04 0.00 6,197.53 003% 0.03%
Total Money Market 642,959,309.92 $43,662,095.04 $0.00 $6,197.53
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
11101/14 11/25/14 0.00 0.00 0.00 2.691.15 N/A NIA
Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 92,691.16
Total Cash, Money Funds, and Bank Deposits 342,958,891.12 $43,562,095.04 $0.00 $6,696.66
Page 3 014
Account Number Rated [walls nil
l)8AN non SOUTHERN CNO LLC. Go paperless r ( D v xA e eL r n y O Am "A R r sR m eA W rT E o D os C 2 O 0 M 07 M UNICATIONS
N F I DarariA L
SDNY_GM_00045571
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008395
EFTA_00 I 56I 80
EFTA01288543
Portfolio Holdings (continued)
Adjusted Unrealized Ana ued Estimated Estimated
Cale Acquired Quaetlty Unit Cod Cod Basis Market Price Markel Valle Gain/ Loa Interest Annual Income Yield
Fixed Income 20.00% of Portfolio (In M aiunry Dee Sequence)
tAsset Badred Securities
COUNTRYWIDE HONE LOANS Security Identifier: 12669DYS1
SER 03-1 CL 814.090% 03125133 B/E
DM 01130103
Factor. 0.21688941 Effective Date:11103/11
Current Face Value: 976.002 315
12/13/13'.,12 4,500,000.000 93.3760 911 356 25 85 1530 840,855.30 70.500 95 3.215.66
Ong nal Cost Basis. 51.111.573 07
WASHINGTON NUT MEG SECS CORP 2004•RA2 Security Identifier: 939336520
MI6 PASSTHRU CTF CL C.B.1 VAR RATE
6.981% 07125133 B/E DTO 06/01/01 S 6 P Rating 0
Fedor: 0.57038948 Effective Date:11103/14
Current Face Value: 735.802 129
12113/13 '•3.12 1,290,000.000 76.5190 563,025.79 87.1970 611,597.61 78,571 85 4,137.96
Original Cod Basis. 5838.906.71
Total Asset Backed Securities $1,414,312.04 81,182,452.94 58,070.90 0,353.62 80.00
6,790,000.000
Total Current Face Value : 1,711,801.771
Corporate Bonds
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
AOTESSEAI0RISIX XS0460546525
5.000% 10/28/15 REG DTO 10/28/09 S 6 P Rating 94
12/04113 %LT? 2 500 060.000 94.9150 2,372,866.32 84.9000 2,122,500.00 •250.366.32 11.11111 125.000 00 5.88%
Original Coal Basis: 52,250,000.00
HEADWATERS INC GM SR NT Security Identifier: 42210PAQ5
7.625% 04101/19 NE DID 03/11/11
CALLABLE04101/150 103.813 Moody Rating 82 St P
Rating B.
10122/12 '.12.13 1,000,000.000 101.9730 1,019,732.26 104.7500 1,047,500.00 27,767.74 12,496 53 76,250 00 7.27%
Original Cod Basis: 51.035.001700
EARTHUNK INC GM SR NT FULLY EXCHANGED Security Identifier: 270321AC6
CUSP FROM 270321A19 8.875% 05/15/19 DIE
DM 05117/11 CALLABLE 05/15115 SI P Rating CCC+
10122/12 '.3.12 400,000.000 102 5710 410,284.01 101.8750 407,500.00 .2,784.01 1,479.17 35,500.00 8.71%
Onginal Coal Basis 5414,000.00
10/23/12'•3.12 600.000 000 102 3890 614,334.84 101.8750 611,250.00 .3.084.84 2,218.75 53.250.00 8.71%
Original Cost Basis: $619,500.00
Total Noncomed 1,000,000.000 1 024 618.86 1,018,760.00 +5,888.86 3,697.92 88,750.00
Total 1,000,000.000 $1,024,818.86 $1,016,750.00 -KUM $3,697.92 688,750.00
Page4 of 18
re:5 KJ
8011179SCSP, t)8A11 ROIL A S c C c L o T u H n E t R N A u mber: Go paperless R E D v A a e i L le r O y d A V t R a . c a R o r A l S l T e k E r4 X D • C 1 O 0 M 07 M UNCATIONS .113.3= — 1 4- - • = •• = •a nn•C
F ID E NTIAL rxfIL MCI
SDNY_GM_00045572
CONFIDENTIAL — PURSUANT TO FED. R CRIK1 P. 6(e) OB-SDNY-0008396
EFrA_00156181
EFTA01288544
Draw< Um Pon. Witain Alvvitneat
Marais Can.'. OgSD
Devbch• Sank Secio0e.
Maw *4 Ma
HS DH /ass. 2/00 bet
IO
M
Statement Period: 11101/2014 - 11/30/2014
Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Dale Acquired Cluaelity Unit Cost Cost Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
SERVICEM ASTER CO SR NT - CUSP FULLY Security Identifier: 81760NAN9
EXCFANGED FROM OLD CUSP 817601413
8.000% 02/15/20 BIE DTD 02/13112 Moody Rating CAA' S
8 P Rating B-
01124/13 %UM 440.000.000 104 2920 458.886.80 106.0000 466.400.01 7.513.21 10.266 67 35.200.00 7.54%
Original Cosl Basis: $468,050.00
02/25113 %UM 1.000.004.000 104 7690 1.047.687.78 1136.0000 1.059.999.99 12.31221 23.333 33 80,000.00 7.54%
Original Cosl Basis: $1070,000.00
Total Noncovered 1,410,000.000 1,506,574.56 1,526,400.00 19,825.42 33,600.00 115,200.00
Total 1,410,000.000 $1,506,574.58 $1,526,100.00 $19,825.12 $33,600.00 $115,200.00
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: 64$15PP48
TERM NOTES WM0717735822
9.875% 12/16121 REG DM 12/16111 Moody Rating BA' S
P Rating 8%-
12104/13 U.12 1.500 000 000 107.7450 1,616,173.81 115.2500 1,728,750.00 112,576.19 141,541.67 148,125.00 8.56%
Original Cosl Basis: 51.627.500.00
BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 08739FHKO
16941.506739A-K03 7.750% 04/10123 BIE
DTD 04110113 CALLABLE04/10118 S 8 P Rating 884
04103/13 %UM 300.000.000 100 0000 300.000.00 109.1880 327.561 00 27.561 00 3.22917 23.250.00 7.09%
Original Cosl Basic $300,000.00
PM ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 46625HHA1
1110TH PFD SER 1 FIXED TO FUG RI BD
7.900% 0029/49 81E DTO 01/23/08 Moody Rating BA1 S
P Rating BBB•
06115111 '.3.12 2.500.000.000 107.5000 2.687.500.00 108.5610 2.714.025.00 26.525.00 16.158 34 197.500.00 7.27%
Original Cosl Basis: $2,687,500.00
06115/11 '.3.12 2.500.000 000 107 0000 2.675.000.00 108.5610 2.714.025 00 39.025 00 16.458 33 197.500 00 7.27%
Original Cosl Basis: $2,675,000.00
Total Noncovered 5,000,000.000 5,362,500.00 5,426,050.00 65,550.00 32,915.67 395.000.00
Total 5,000,000.000 $5,382,500.00 $5,428,050.00 $65,550.00 $32,916.67 $395,000.00
Page 5 of 18
co.K i
Account Num bet. Rated excellent,
Go paperless beery 'Ism Lace 2007
SOLTHERA FIDEsianAL MrxUesMtu. r N R C AT ! ED COMMUNCA TIONS
SDNY_GM_00045573
CONFIDENTIAL — PURSUANT TO FED. R CR[CA. P. 6(e) DB-SDNY-0008397
EF7A_00156182
EFTA01288545
Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Wit Cosi Cod Basis Market Price Markel Value Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 0605050T8
S FIXED TO FLOAT 8.125% 04/30158 WE
DTD 04130108 CALLABLE 05/15118 Moody Rating BA3 St P
Rating BB
01110111 %sin 2,000,000.000 102.7500 2.055.000.00 107.7500 2,155,000.00 100.000 00 6.770 83 162,500.00 7.54%
Onginal Cost Basis 52,055,00600
SOUTNEFOI CALIF EDISON CO PREF SER E Security Identifier: 842400FU2
6.250% 01117162 WE DM 01117/12
CALLABLE 02101122@ 100000 Moody Rating BAA1 S 8P
Rating BBB-
01/30N2'.3.11 3.000.000.000 99.8070 2,994,220.16 110.5000 3,315.000 00 320.779 81 61.979 17 187.500 00 5.65%
Original Cost Basis 52.992.564 97
GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 3698225148
A 7.125% 06/12/62 WE
DID 06112/12 CALLABLE 06115/22 Moody Rating BAAI S
P Rating A+
06/21112 '.12.13 2,000,000.000 104 9890 2.099.771 77 116 7500 2.335.000 00 23522823 65.312 50 112.500 00 6.10%
Original Cost Basis. 52.122.916 67
USG CAPITAL NO 1 PLC 144A Security Identifier: 654338868
ISM* X50473106283 8.000% OM 5188 FIEG
DTD 12/15/09 CALLABLE06115/20 S8 P Rating BB
12104/13 1.200.000.000 108 2500 1.299.000.00 107.3400 1,288,080.00 -10.920 00 44.000 00 96,000.00 7.45%
Original Cost Basis. 51.299.000.00
5LLOYDS BANKING GROUP PLC FXD RATE RESET Security identifier: 539439A64
ADDL TIER 1 SECS INNS US539439A642
7.500% 09/27/88 WE DID 04/07/I4 S 8 P Rating B+
Please Provide' 1,903,000.000 N/A Neese Provide 1067500 1,955,332.50 N/A 24.976 88 142.725.00 7.29%
Original Cost Basis Please Provide
Total Corporate Bonds $21,850,157.15 $24,217,828.50 $8•12,136.25 $441,632.45 $1,702,800.00
22,843,000.000
Total Fixed Income $23,124,839.79 $25,130,379.41 $550,207.15 $448,986.07 11,702,800.00
28,633,000.000
Page 6 of 18
Account Num berms Rated tacellerigi
lift,kM '4011. SOLTHERA CZ" N LLC. F I D G A o p E ap N erl T es I s A L rD L x v A e eL r sB y Au y R e r N a R r C A W T I E oe D s C 2 O 0 M 07 M UNICA TIONS
SDNY_GM_00045574
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008398
EFTA_00156183
EFTA01288546
isre Ram Pow,W ealth Marra,
Mat% Cowan 4.,.p
Ch.M.!. Ws Sewnel
Yee bet Mc*
341Ps rli Anew.1 10mm
Statement Period: 11101/2014 • 11/30/2014
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gala/ Loss Annual Income Yield
Equities 43.00% of Portfolio
Common Stocks
M OBILEYE NV AM STELVEEN ORD SHS Security Identifier: M BLY
ISIARAL0010831051 CL SIP A51188117
Dividend Option: Cash
08101/14 800.000 25 0000 20.000.00 13.8500 35,080.00 15,080 00
APOLLO GLOBAL M GM T LLC CL A SIM Security Identifier: APO
Dividend Option: Cash CUSP: 037612308
03129111 '.13 283,157.000 19 0000 4,999,983.00 24.4400 6,431,557.08 1,431,574 08 818,418.27 12.72%
APPLE INC CON Security Identifier: AAPL
Dividend Option: Cash CUSP. 037833100
10128113 14.000 000 75 5800 1,058,120.59 118.9300 1,665,019.93 606,899 43 26,320.00 1.58%
09105114 150.000 000 98 9500 14 812.506.00 118.9300 17.839.500 07 2,996,091 07 282.000.00 1.58%
Total Covered 181,000.000 15,900,626.50 19,504,520.00 3,603,893.50 300,320.00
Total 164,000.000 115,900,526.50 $19,504,520.00 $3,603,893.50 $308,320.00
ARIAD PHARMACEUTICALS INC Security 'defiler ARIA
Dividend Option: Cash CUSP 04033A100
02114112',13 7,535.000 152090 114,597.40 7.1100 53,573.85 -61,023.55
01124/13 9,000.000 19.6000 176,400.00 7.1100 63,990.00 -112,410.00
Total Noncovered 16,535.000 290,997.40 117,50315 -173,433.55
Total 16,535.000 5290,997.40 $117,5$3.85 -$173,433.55 $0.00
ASCENA RETAIL GROUP INC CON Security Identifier: ASNA
Dividend Option. Cash CUSP 04351G101
01116101 '.3 70,500.000 21.2770 1,500,000.00 13.3900 943.995.00 -556.005 00
BANK OF NEW YORK M ELLON CORP COM Security 'dentine': BK
Dividend Option: Cash CUSP: 06/058100
06125114 250.000.000 363080 9,076,408.00 10.0300 10.007,500 00 931,094 00 170,000 00 1139%
BIOGEN IDEC INC CON Security Identifier: BIM
Dividend Option: Cash CUSP 09062X103
02114112'.13 2,095.000 119 5490 250.154.95 307.6900 644,610.55 394,155 60
pateieti8
rej
()PAN Lb I A S13 cc L o T u H n E t N RA u mber. F I D G AE o p N ap T erle E ss A L D R r b x r a Ac a te Ui y u d M r v e n « x . a c R . e eA l S l rT e i E n n c D t e C 2 O 0 M 07 M UNCATIONS .r.Lt "rar:
SDNY_GM_OOO45575
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008399
EFTA_00156 84
EFTA01288547
Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Dale ired Quiet Unit Cod Cod Bads Market Price Markel Value GaldLoss Annual Income Yield
Equities (continued)
Common Stocks (continued)
FACEBOOK INC CL A Security Identifier: FB
Dividend Option: Cash CUSP. 303031.1102
05117112 '.13 17.500100 38.0000 665.00010 77.7000 1.359,750.00 694.750.013
FOUNDATION MEDICINE INC COM Security Identifier: FR I
Dividend Option: Cash CUSIP. 350465100
01113114 25,000.000 27.5070 887,663.50 23.6200 590.500.00 -97,163.50
08105114 24.830.000 232530 577,373.02 23.6200 588,484.60 9,111.58
Total Covered 19,830.000 1 285 030.52 1,176,98410 48,051.02
Total 19,830.000 $1,205,038.52 $1,171,981.80 488,051.92 $0.00
GENERAL ELECTRIC CO COM Security Identifier: GE
Dividend Option: Cash CUSP: 38960/103
01123113'.13 23.000.000 21 5700 496,109.08 26.4900 609,270.00 113,160.92 20,240.00 3.32%
GENERAL MTRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 37045V100
11118/10 10,988.200 36 1010 399.978.16 33.4300 367.335.53 -32,642.63 13,185.84 3.58%
12/09/10 ' 88.536.800 36 8160 3,185,969.22 33.4300 2,892,925.22 -293,014.00 103,844.16 3.58%
Total Noncovered 97,525.000 3 585 947.38 3,280,280.76 -325,88813 117,030.00
Total 97,525.000 $3,585,947.31 63,280,280.75 .$326,688.83 $117,030.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02105114 5,000.000 792810 396,407.00 1001200 501,600.00 105,193.00
03107114 3,100.000 79.6120 246.797.00 100.3200 310.092.00 64,195.00
Total Cowed 8,100.000 643,204.00 812,592.00 169,388.00
Total 8,100.000 $813,201.00 1812,592.00 $180,388.00 $0.00
HEALTH NET INC CON Smutty identifier: N NT
Dividend Option: Cash CUSP. 422226108
09108114 25.000100 46 9800 1,174,506.00 51.3800 1.284.500.00 109.994 00
SANGAM 0 BIOSCIENCES INC CON Security Identifier: %MO
Dividend Option: Cash CUSP: 800677106
05128113'•13 Roam 8.100 422,211.00 12.0800 604.00010 181,786 00
SANTANDER CONSUMER USA SLOGS INC COM Security Identifier: SC
Dividend Option: Cash CUSP: 8028314101
01123114 1.000.000 24 0000 24,000.00 18.5900 18190.00 -5,410.00
TWITTER INC CON Security Identifier: TVITR
Dividend Option: Cash CUSP: 901841102
11101113 1,500.000 26 0000 39,000.00 41.7100 62,610.00 23,610 00
Total Common Stocks 640,363,484.83 615,813,383.83 16,610,899.00 $1,434,008.27
Page 8 018
Account Number: Rated tacellere
E,11,79SCSF's : DIME, ROLL SOUTHERN CC3 FI D G r o i p S ap i e T rles i s A Di ( x v A e o r Ur y tM u Y N. e R n eA S rT i E nc D e C 2 O 0 M 01 M UNOTIONS seenerSO nre. .00
SDNY_GM_00045578
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008400
EFIA_00 I 56 I 85
EFTA01288548
ontintv Rant ihttfle Vfteklt Mantrent
Mattet% CettftiaGrottIO
P•„414 2.0 Servnessc
Mee bet 000P.
Ma Part Annwa. )Mn I tact
Statement Period: 1110112014 - 11/30/2014
Portfolio Holdings (continued)
Serialized Estimated Estimated
Date Acquired Otmetity Lien Cost Cod Basis Market Price Nadel Vole. Gain! Loa Annual Income Yield
Equities (continued)
Preferred Stocks (Listed by expiration date)
ALLY ANL INC AX TO FLT Seetnity Identifier: ALLY PRB
DIV-8.50% FREO-OTRLY CALLABLE f) 25,00 CL SIP 02005K308
ON A OTRLY BASIS AFTER 05/15/2016
Dividend Option: Cash
02103!12'.13 46.600.000 191820 903 217 51 26 5400 1,236,764.01 333.546.50 99.025 00 8.00%
02109112 '.13 80,000.000 20 1250 1,610,000 00 26 5400 2,123,199.99 513,199.99 170,000 00 8.00%
Total Noncovered 126,800.000 2,513,217.51 3,359,964.00 848,746.49 289,025.00
Total 126,600.000 32,513,217.51 13,359,964.00 3646,746.49 3249,025.00
GM AC CAP TR 1 GTD TR PFD SECS SER 2 CPN- Secodty Identifier: ALLY PRA
8.125% FRED DRILY MATT-0211512040 CALL CUSP. 381860208
ANYTIME 0 25 W130 DAYS BEGINS 02/15116
Dividend Option: Cash
02122112'.13 80.000.000 23.5350 1.882.773.60 26 4400 2,115,200.00 232.42640 162,500.00 7.68%
ROYAL BK SCOTLAND GP PLC SION AOR REPSTG Security Identifier: PBS PM
SER T PR) CPN-7.25% FRED ORTLY FERP M TY CUSP: 780097713
CALL® 25 ANY W!30 D NOTICE AFTR 12/31/12
Dividend Option: Cash
10124112'.13 40,000.000 231900 951,600.00 25.7600 1,030,399.99 78,799.99 72,500.00 7.03%
01107113'•13 40.000.000 24.4400 977.800.00 25.7600 1,030,399.99 52,799.99 72,500.00 7.03%
01114113'•13 40,000.000 24.8800 995,200.00 25.7600 1,030,400.02 35,200.02 72,500.00 7.03%
Total Noncovered 120,000.000 2,924,400.00 3,091,200.00 168,800.00 217,500.00
Total 120 000 000 $2 924 400 00 33 091 200 00 $168 800 00 3211 500.00
Total Preferred Stocks $7,320,391.11 WM 364.00 31 245972.49 9649,02$.00
Total Equities 347,673,875.94 355,439,747.83 $7,745,171.89 32,083,033.27
Page 9 018
Account Num ber Rated twallent
Et : Itttitit t SO L THERA C3N6 LLC. Go paperless B DrxA r e a Lr y Biu A V rRn s Ra .. eA L rT a E c D e C 2 O 0 M 07 M UNICATIONS /WIWI. LAG ream...IS Peva. OM
NF I DAEN11AL
SDNY_GM_00045577
CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) DB-SDNY-0008401
EFrA_00 I 56 I 86
EFTA01288549
Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Dale Acquired Quality Unit Cost Cod Bodo Market Price Markel Value Gale Loss Annual Income Yield
Exchange-Traded Products 3.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security 'deadlier: DXJ
Dividend Option: Cash; Capital Gains Option: Caen CUSP: 97717W851
60,000 00 of these shares are in your margin account
12/11113 60.000.000 49 4350 2 966 098 50 55.4000 3.324.000.00 357,901.50 55.001.00 1.65%
Total Exchange-Traded Products $2,956,098.50 $3,324,000.00 $357,901.50 165,001.10
Unrea'Med Accrued Estimated
Cost Bans Market Value Gala/ Loss leered Animal Income
Total Portfolio Holdings 6117,326,909.27 $128,056,222.31 $6,773,980.54 $448,986.07 $3,949,726.35
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.L.110-343, 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 'applicable dates)' at which they are subject to the cost basis reporting rules and the adjusted basis wil be reported to the IRS on form 109943 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 (CRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under 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.
t 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 evadable.
I The Current Face value represents the outstanding principal balance of the underlying 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 fen or transferring agent and Pershing makes no representation as to the accuracy of this information.
Pap 10 of 18
Account Number Rated [.ones
0802 ROLL SOUTHERN y, LC Go paperless rC tw xAe in nL y uM y rt e *r Ra eA L rT a E e O , C 2 O 0 M 07 M UNICATIONS
N F I DAENTEA L
SDNY_GM_00046678
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008402
EFTA_00 I 56187
EFTA01288550
Destine Sim Prmair Wealth lAymereneas
Mani& Cow'.. Group
0_ d' UN Selo On Inc
Now *4 Oat*
&II rwc M021202 HS Pan Asa. member
Wry** NY 101M
Statement Period: 1110112014 - 11/30/2014
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Loss/
Dale Date Transaction Description Quantity Cost Basis Proceeds Disallowance
Short Term
11121114 12/13113' RIP WASHINGTON MUT MTG S 004-RA1 M TG PASSTHRU CTF CL 1,290.000 000 2,63220 3 439 95 807 75
C- B-1 VAR RATE 6.981% 07/15133
Security Identifier: 939336820
Original Cost Basis: 2,832.20
11125/14 12/13113' I P COUNTRYWIDE HOME LOA 1 CL 81 4.090% 03125/33 WED 4,500,000.000 2,510.85 2,888.95 178 10
TD 01130103
Security Identifier: 12689DYS1
Original Cost Basis: 2.510.85
Total Short Term $6,143.05 $6,120.90 $985.85
Total Short Term and Long Term $5,143.05 16,128.90 $985.85
• 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.L.110-34 3, 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. M 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 1099.8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as folows:
• 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, 2014. 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 yearend, 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 1099E or online 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 requted 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 all liability that may arise with respect to your use and rekance
on the information provided herein for such reporting.
Page 11 of 18
Account Number Nat excellent
08..“ RC)1.1. SOL THERA Cr, C. F I D G A o p E ap N erl T es I s A L r ( C v xA e cL r iMt y u A V rRt a r Ra . Ae S Tr i C nc O e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045579
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008403
EFrA_00 156 I SS
EFTA01288551
Schedule of Realized Gains and Losses Current Period
(continued)
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or mote of these attrtutes 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.
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot 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 accounts selected tax lot method cull 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
Please note the followng information for Pershing's 20f 4 IRS Forms 1099 (6, DIV. INT, OID and MISC ): Your form 1099 will be delivered as early as possible, begiining January 31, 2015. By February 17, you
will receive either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice will be sent it 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, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 16. 2015.
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 products disclosure document or contact your advisor 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 DVVS Investments website at https://wmv.dws-investments.conVEN/productshnoney-market-funds-yields.jsp. Please note that all money
market funds fisted on the website may not be offered through us.
Page 12 of 18
Account Number Rsd tocellordi
Go paperless (very V.A. Stub 2007 etrastrlanes....IMIL:••••••=let Sias*
S0L THERA LLC. rDxAeLOitAuRrn ReArT ED COMMUNICATIONS
N F I DEN"
SDNY_GM_00045580
IV
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008404
EFrA_00156189
EFTA01288552
()now< Rana Prmair Warn lapmgenait
Weals teem., 6,0‘P
Dettsch4 M %„<4n +a.
lire Ion Onto
HI Part Ramo. 160. I ter
War int 10. 101A4
Statement Period: 1110112014 • 11/3012014
Activity Sum m ary (All amounts shown are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Securities Bought 0 00 0 00 Secunties Bought 0 00 -36.037.468 I l
Securities Sold 0 00 19,449,726 27 Securities Sold 0 00 0 00
Total Securities 10.00 $19,449,726.27 Total Securities $0.00 -$36,037,468.11
Dividends and Interest 6383,139.47 $2,703,074.78 Dividends and Interest $0.00 -$93,607.51
Distributions 6196,359.49 11,008,069.61 Distributions $0.00 $0.00
Fees 10.00 $0.00 Fees $0.00 -$72.00
Other $0.00 $72,188.00 Other $0.00 -8441,810.18
Cash Cash
Withdrawals 0 00 0.00 Withdrawals 0 00 -1.331.245.00
Deposits 143 704 96 32 417 681 34 Deposits 0 00 0 00
Total Cash $143,704.96 $32,417,681.34 Total Cash $0.00 -$1,331,245.00
FDIC Insured Bank Deposits $0.00 137,186,437.10 FDIC Insured Bank Deposits $0.00 -$19,304,784.85
Money Market Funds $0.00 $25,931,926.31 Money Market Funds -8703,785.12 -$19,194,021.35
Total Credits 8703,203.92 $126,109,103.49 Total Debits -$703,785.12 -$126,703,249.00
Transactions by Type of Activity
Process(
Settlement
Date Activity Type Description Quantity Prism Accrued Interest Amount Currency
Dividends and Interest
11107114 CASF DIVIDEND RECEIVED 250000 SI-RSBANK OF NEW YORK MELLON COPP COM RD 42,500.00 LSD
8K 10/28 PD 11/02114
11/13/14 CAST DIVIDEND RECEIVED 164000 SF RS APPLE INC COM RD 11110 PD 11113/14 77,080.00 LSD
MPL
11/17/14 CAST DIVIDEND RECEIVED 126600 SF RS ALLY FINL INC FIX TO FLT DIV-8 50% 67,256.25 LSD
ALLY PRB FRECI-CITRLY CALLABLE Q 25.00 ON A OTRLY BASIS AFTER
05/15/2016 RD 11/01 FO 11/17114
Page 13 of 18
Account Number. Ital.. Excellent
LAMB 'toll SOL THERA ONLLC. FID G E o pa T perl I e T s s AL D ' f , X t A r 0 y U F L M Y L e . I N R ar C A S T t i E nc D e C 2 O 0 M 07 M UNCATIONS —Ice —w-wa -w .-,-
SDNY GM 00045581
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008405
EFTA_00156190
EFTA01288553
Transactions by Type of Activity (continued)
Process/
&Klement
Date Activity Type Dina NA Qum Price Accrued Interest Mount Curren
Dividends and Interest (continued)
11/17114 CASE. DIVIDEND RECEIVED BANK AMER CORP PER? NO N COM ULATWE DEP SHS FIXED 81.250 00 LSO
060505DT8 TO FLOAT 8.125% 04130/58 WE RD 11114 PO 11/15114 DIV
PAID AT 40.6250 2000000
11117/14 80N0 INTEREST RECEIVED 1000000 EARTH LINK INC GTD SR AT FULLY EXCHANGED 44.375.00 LSD
270321AC6 CUSIP FROM 270321A88 8 875% 05115119 &E DTD
05117111 CLB RD 10/31 PO 11/15/14
11/17/14 80AD INTEREST RECEIVED 80000 ShRS GM AC CAP TR I GTO IR PFD SECS SER 2 CPS/- 40,625.04 LSO
ALLY PRA 8 125% FRED DRILY M ATY-02/1512040 CALL ANYTIME C/25
*130 DAYS BEGINS 02115/16 RD 11/14 PO 11/15/14
11125114 BOND INTEREST RECEIVED 4500000 COUNTRYWIDE HOME LOANS SER 03-1 CL 81 4,689.56 LSD
126690Y51 4.090% 03125133 WE OTD 01130103 RD 10131 PD 11125/14
11125114 BOND INTEREST RECEIVED 1290000 WASHINGTON MLTMTG SECS CORP 2004-RA2 4,300.66 LSD
939336520 MTG PASSTF Rt. CTF CA. C.8.1 VAR RATE 6.981% 07125/33
EWE DTD 06101104 RD 10131 PD 11125114
11128114 MONEY MARKET FUND DWS GOO' CASH INSTL 1.062.96 LSD
INCOME RECEIVED
233993682
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 363,139.47
Distributions
11/21/14 PARTNERSHIP DISTRIBUTION 263157 SI- RS APOLLO GLOBAL MGM T LLC CL A 51-IS RD 192.104 61 LSO
APO 11114 PD 11/21/14
11/25/14 RETURN OF PRINCIPAL 4500000 COUNTRYWIDE HOME LOANS SER 03.1 CL BI 2.688.96 LSO
RECEIVED 4 NO% 03125133 WE DTD 01130103 RD 10131 PD 11125114
12669DYS1
11125/14 RETURN OF PRINCIPAL 1290000 WASHINGTON IALTMTG SECS CORP 2004.RA2 1,565.92 LSO
RECEIVED MTG PASSTFRL. CTF CL C-8-1 VAR RATE 6.981% 07125/33
939336$20 WE OTD 06101/04 RD 10/31 PD 11125/14
Total Distributions • UNITED STATES DOLLAR 0.00 196,359.49
Cash Withdrawals and Deposits
11/25/14 FEDERAL FL N CIS RECEIVED DEL TSCHE BANK TRUST 00091 143.704 96 LSO
S0999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 143,704.96
Money Market Funds
11/03/14 MONEY SUM) PURCHASE DWSGOVT CASH INSTL -581.20 LSO
050999997
11/10/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL -42,500.09 LSO
050999997
Pape 14 of 18
Account Number. Rated too-Mora
vet.° Roll SOUTHERN C6NO NLLC. FID G r o N pape T rle I s A s L D L 7 v X A e C L r O y II A I V L R e 7 R e N r A e S T t M E C D . C 2 O 0 M 07 M UNCATKINS
SDNY_GM_00045582
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008406
EFTA_OOIS6I9I
EFTA01288554
Snowy Rant Pair Weainstragenmt
Pdaeals Coon., 6,0‘P
Devisag Sat %twos +Ic
Y. wan 011ic•
PC. &w 1775. Belt 11) 21203 Na Pan Anr.es. !Note,
Nar wet liY 101A4
Statement Period: 1110112114 -11/30/2114
Transactions by Type of Activity (continued)
Process/
Settlement
Date Activity Type Description Quantity Price Accrued Interest Amount Currenry
Money Market Funds (continued)
11/14114 MONEY FUND PURChASE DWSGOVTCASh INSTL .77.080.00 USD
US0999997
11/18114 MONEY FUND PURCHASE DWSGOVT CASH INSTL •233.506.29 LSD
USD999997
11/24/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL -192,10461 LSO
USD999997
11/26/14 MONEY FUND PURCHASE DWSGOVT CAS} INSTL •156.95006 USD
USD999997
11/28114 MONEY MARKET FUND DWSGOVT CAST INSTL INCOME REINVESTED .1,062.96 LSD
REINVESTMENT
233993682
Total Money Market Funds UNITED STATES DOLLAR 0.00 -703,185.12
Total Value of Transactions 0.00 -581.20 USD
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Security Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment
Interest
GENERAL ELEC CAP CORP NON CLAM PFD SER 11128/14 12115114 2 00D000 000 0 035625 Cash 71 250 00
A
Total Cash Not Yet Received $71,250.00
Page 15 018
Account Number. Go paperless Masa tacellenvi
VOAD v011 SOUTHERN CHO NLW. FIDENTIAL r E Dx v A e eL r Br y u A V Rm e R e e r A a rT c ED e C 2 O 0 M 07 M UNICATIONS
SDNCGM_00045583
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008407
EFTA 00156192
EFTA01288555
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Markel Value
Ito 12 months 2.122,500 00 8% Percentages of bond market values are
to 5 years 2.064.250 00 8% rounded to the nearest whole percentage.
6 to 10 years 3.582.714 00 14x
Over 10 years 17.958,915 44 70%
Total 25,730,379.11 100%
Bond Quality
Bond Quality Market Valve % of Bond Market Value
BAA 5,650,000.00 22% Percentages of bond market values are
L. (111Itl rounded to the nearest whole percentage.
BAllower 19.239.524.14 75%
Not Rated 840,855.30 3%
Total 15,730,379.41 100%
Client Service Information
Your Client Advisor: DAN
DANIEL SABBA
345 PARK AVENUE, 26Th FLOOR
KEY/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 Reinvestm ent Ran: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Bond Amortization Elections:
Treat an interest as original issue discount f OID): No
Am craze premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types. Ratable Method
Include market discount in income annually: No
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
Pricing
This section includes the net market value of the securities in your account on a settlement dale basis, including shod positions, at the close of the statement period. The market prices, unless otherwise noted.
have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is
Page 16 of 18
Account Number orJFIDtrwriALe-----it-'t- -Ra:te-d e xcellent,
I? :II ti8AB ROLL SOUTHERN CH 6° PaPerless D be A e U fy M va . R r A . I T N E C D * C 2 O '0 M 0 M 7 UNICATCP4S
SDNY_GM_00015584
"nun."
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008408
EFTA_00156193
EFTA01288556
(*Jim. c Paamir,tat
Mtioets Owego c.a.,
De.ticta Nom Sel,"4.1
Yin bet Office
Pant Annw. !WM1kt .n4 oct
tInv tn.
Statement Period: 11/01/2014.11/30/2014
Important Information and Disclosures (continued)
Pricing (continued)
not available are marked "N/A" and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) 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
viwornershing.comlbusiness_continuity.htni for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
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 wit
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, may be obtained. 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
information is available 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 miring 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 Merger 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. dollars 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, incurred a charge, or received a credit. Transactions convened 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 & Poor's. Reproducing and distributing any information received from Standard & Poor% is not permitted without prior written
authorization from Standard & Pouts. Standard & Poor's 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 & 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 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.
coN
Page IT of 1$
1}1.1A.,r volt A S c O c L o T u H nt E N R u h m ber F . D G E o pape tv T r .t l w e a I ss A L eD R Ev A a x e m Lc r B y a l uA Y e Rm x e c a R e e r A l l U r e T n n E t D t , o C 2 O 0 M 07 M UNICATIONS 1 .. 4 .a 1 3,trotr.77='.—. nr...
SDNY_GM_00045585
t.
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008409
EFTA_00 I 56194
EFTA01288557
Important Information and Disclosures (continued)
Bond Quality
Bond quality ratings reflect hloodys or Staroard arc 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 cleating broker pursuant to a cleating 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 (i) any other instructions concerning your account. Pershing is not responsible or hable 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 confiding 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 result 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 cam 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 conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. Al 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 account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. II 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 (SIPCm). 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: www.pershing.com/strength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to
your financial organization and Pershing. Please be advised that any oral communication should be re-confrmed 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; Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other at court, including the right to a trial by jury, 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 ability 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 vall typically include a minorty 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 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; (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 govem.
Pershing's contact information is as follows: Pershing LLC. Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399;
Page IS of IS
Account Number: e t ) Mal tacellera
Mint, ROI s✓JLTHERA nu - Go paperless D (v A e L r B y A V R R . A S T i E v D a C 2 O '0 M 07 M UNICATIONS ••••••••.4 —••••••A im•
F I DrErriA IXCIFLUNCE
SDNY_GM_00045586
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008410
EFTA_00156195
EFTA01288558
Ogvitre ..410 "Mall PI manair-wa
PAN4CSOnti C•ccp
De.tic I. Nom n<
“twbAMar
PO. Set 1770. Billers•MD21203 M.N. hymn. Henri..
Account Number:
Statement Period:10/01/2014 -10131/2014
Valuation at a Glance
This Period Year-to-Ode
SOUTHERN FINANCIAL LLC Beginning Account Value $102,964,199.79 $90,573,050.2$
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 20,785,189.23 30,942,731.38
ST THOMAS VI 00802 Adjusted Previous Account Value 123,719,689.02 121,515,781.88
Dividends. Interest and Other Income 325,411.48 2,872,411.46
Net Other Activity -369.700.18 -369.754.18
Net Chan e in Portfolio 820.922 02 507.853 40
nding Account Value 5124 526 322.34 6124.526 322 34
Your Client Advisor: Estim sled Annual horn e 13,848,663.39
TAZIA SMITH
Asset Allocation
Prior Year-Esd Lad Period This Period % Allocation
USD Cash. Money Funds. and Bank Deposits 18,295,949.71 19,558,803.88 12,858,891.12 34.42% Please revie your allocation
USD Axed Income 27,736,972.38 19,311,881.53 18,263,210.87 14.67%
on-l. SD Fixed Income 10,227,309.46 7.466.705.00 7.532,495.00 6.05%
USD Equities 30,110,519.65 53,078.425.85 52,601,021.35 42.23%
hamU SD Equities 3,137,192.71 3.182.072.00 3.270.701.00 2.63%
Non-LSD Cash, Money Funds. and Bank Deposits 102,106.31 368,631.53 0.00 0.00%
Other 363.000.00 0.00 0.00 0.00%
Account Total (Pie Chart) 990,573,060.21 2102,904,499.79 $121,526,322.34 100.00%
See the Asset Allocation Disclosure and Footnotes secton for important information regardrig your Asset Anocaton.
Pagel of 21
Rated fawner.
BOOMSICSP30011 Go Paper Et D Ev A e U ry M Vs . R . A W TE oe D s C 2 O 0 M 07 M UNICATIONS •—••••••••Awn.
CONF I DAMSITiA xesturnaer
SDNY_GM_00045587
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008411
EFTA_00156196
EFTA01288559
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 10/3112014. Exchange rates can vary.
Equities contains Equity Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short-Term GainfLoss 486.508.77 657,382 56 2.519.418.95
Long-Term Gain, Loss -622821.03 -8,895.387.36 3.405.552.45
Net Galnlloss -136,312.28 -8,338,004.60 5,924,971.40
This summary excludes transactions where cost basis information is not available.
Exchange Rate Table
Currency
Current) USD Equivalent per USD
EL RO 1 2528 0.7982
Exchange rates are based Oil interbank exchange rates as of 10/31/2014. Exchange rates can vary.
Money Market Fund Detail
Date Aaivity Type Dewiplion Amount Balance
Sweep Money Market Fund
CaliS GOVERNMENT CASH INSTL
Account Number: Cuirenl Yield 0.03% Activity Ending: 10131114
10101(14 Opening Balance 19,502,428 88 19.502,428 88
10101/14 Deposit MONEY RAO PURCHASE 54,375.00 19.556.803 88
10102(14 Deposit MONEY FUND PURCHASE 38.107.00 19.594.910.88
10107(14 Deposit MONEY RAO RIRCFASE 20,785,189 23 40.380,100 11
10108114 Deposit MONEY RAO PURCHASE 86,946.86 40,467,046.97
10114(14 Deposit MONEY FUND PURCHASE 11.62500 40.478.671 97
10116114 Deposit MONEY FUND PURCHASE 1,012,048.90 41.490.718.87
10117114 Deposit MONEY FUND PURCHASE 1.150.650.50 42,641,369.37
10123(14 Withdrawal MONEY FUND REDEMPTION -72.18800 42.569.181 37
10128(14 Deposit MONEY RAO PURCHASE 28,172.87 42.597,354 24
10129(14 Deposit MONEY RAO PURCHASE 62,500.00 42.659.854 24
10131(14 Deposit MONEY FUND PURCHASE 197.500.00 42.857.354 24
10131114 Deposit INCOME REINVEST 955.68 42.858.309.92
10131114 Closing Balance 942,868,309.92
Total All Money Market Funds 342,868,309.92
Page2o121
Account Num Der. kilted tacell•ne
paperless (very Year Siva 2'007
SOUTHERN CZ. Ig FI D a TTIAL rDxAeLn BuArRn RseArT ED COMMUNCATIONS
SDNY_GM_000455138
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0008412
EFTA_00156197
EFTA01288560
Dram*. Boma .OUR Weak h 10.8encol
IAW•elt CO•Wip Coa 0
De•baht BM Stwaies
Now 004 Ma
PC. Bcp 1776 &It rnxt MD 21203 HI PH Omega. nth I Nast
Na. Viet NY 101M
Statement Period: 1111112114 -1013112114
Income and Expense Summary
Current Period Year-1o•Date
Taxable Non Taxable Taxable Non Taxable
Dividend income
Equities 5,841.20 0.00 551,130.93 0.00
Money Market 955.68 0.00 5,134.57 0.00
Other Dividends 197,500.00 0.00 696,50520 0.00
Interest Income
Bond 'Merest 121,311.60 0.00 862,190.83 0.00
FDIC Insured Bank Oeposts 0.00 0.00 2,891.1$ 0.00
Other interest 0.00 0.00 121.875.12 0.00
Total Dividends, Interest, Income and Expenses $328,411.48 $0.00 82,246,127.80 80.00
Distributions
Alternative Investm ents 0.00 0.00 0.00 626,313.66
Other Distributions 0.00 14,048 27 0.00 555.087.51
Total Distributions $0.00 $14,018.27 $0.00 $1,1$1,401.11
Portfolio Holdings
U.S. DOLLARS
Account Adbrity Openly Oodng Accrued fame 30•Day Omit
Opening Date Quantity Number Sdig Balance Balsam income This Year Yield Yield
Cash, Money Funds, and Bank Deposits
Cash Balance 54,375.00 581.20
Money Market
DWS GOVERN M DI T CASH INSTL
10101114 12.858.309.920 10131114 19.502.428.88 12.858.309.92 70.46 5.13457 003% 0.03%
Total Money Market $19,502,428.81 612,158,309.92 $70.46 $6,134.57
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
10101114 10131114 0.00 0.00 0.00 2.691.15 NIA NIA
Total FDIC insured Bank Deposits $0.00 80.00 $0.00 $2,691.15
Total Cash, Money Funds, and Bank Deposits $19,556,803.81 612,158,891.12 $70.46 17,825.72
Page 3 of 21
Oft Akl 001.1. A SO cc o T u M n t E N RN u m tk be tr r ie:3 N LLC. F I D G A o E pap N er T les I s A L E R rDx v i A m c e L e t r O y u d A V r [a tRr . t a . M o . e l T L l r * E a n D t il e C 2 O 0 M 07 M UNICATIONS .717.6,-'70...=."0.=.'
SDNY_GM_00045589
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008413
EFTA_00156198
EFTA01288561
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date 'aired Quint Dalt Cosi Cost Basis Market Price Market Value Gain( loss Interest Annual Income Yield
Fixed Income Maturity Doe Sequence)
tAsset Backed Securities
COUNTRYWIDE HOME LOANS Security Identifier: 17669 DYS1
SER 03-1 CL 814.090% 03125133 WE
DTD 01130103
Factor: 0.21148695 Effective Date:10101/14
Current Face Value: 978,691275
12113113'•3.12 4,500,00&000 93.3160 913,867.10 86.1240 812,888.07 .70,979 03 3 335 71
Original Coal Bass. 51,111,513.07
WASHINGTON MUT NI TG SECS CORP 2004.RA2 Security Identifier: 939336520
MTG PASSTHRU CTF CL C.B.1 VAR RATE
6.974% 07125133 WE DTO 06/01/04 S 8 P Rating D
Factor:0.57105611 Effective Date:10101114
Current Face Value: 739.242 382
12113113 '.3,12 1,290,000.000 76.5190 565,657.99 87.1680 644,38210 78,724 81 4,296.36
Original Coal Basis 5638.906.71
Total Asset Backed Securities 61,479,625.09 $1,407,270.07 $1,145.78 37,632.07 $0.00
5,790,000.000
Total Current Face Value : 1,717,933.657
Corporate Bonds
PETROLEOSDE VENEZUELA Security identifier: P7007HAF2
9.0TES SEA ID R ISA 0 X50460546525
5.000% 10/28/15 REG DID 10/28/09 58 P Rating 8+
12104/13 '.3.12 2,500,000.000 94.4740 2,361,850.88 88.5000 2,212,500.00 •149,35088 694.44 125,000.00 5.64%
Original Coal Basic 82,250,000.00
HEADWATERS INC GTO SR NT Security identifier. 42210PAQ5
7.625% 04101/19 WE DTO 03/11/11
CALLABLE 04/011150 103 813 Moody Rating 82 St P
Rating B+
10/22/12 '.12,13 1,000,000.000 102 0380 1,020,380.67 104.5000 1,045,000.00 24,619.33 6,354.17 76,250.00 7.29%
Original Cad Basis: $1,035,000.00
EARTHUNK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC6
CUSP FROM 270321AB8 8.875% 05/15119 WE
DTD 05117/11 CALLABLE 05/15115 S8 P Rating CCC+
10122/12 400,000.000 102.8110 410,443.77 97.2500 389,000.00 .21,443.11 16,369 44 35,500.00 9.12%
Original Cod Bait 5414,000.00
10/23/12 'AM 600 000 000 102 4260 614,557.29 97.2500 583,500.00 .31,057.29 24,554 17 53,250.00 9.12%
Original Cost Basis: $619,500.00
Total Noncovereti 1,000,000.000 1,026,001.06 972,600.00 -62,601.06 40,923.61 88,750.00
Total 1,000,000.000 81,025,001.06 8972,500.00 -02,501.06 $40,923.81 08,750.00
Page< of 21
KJ
B1,04713)ICSF.,' . Ment, Rea A S c D c L o Y u N n E t R N A u m ber. F I D G AE o p N ape T rle I s A s L rD R b x r A . a e I L . y d sO uA Y e R x r e n c a R e r eA l l U r e T r n E d D t i o C 2 O 0 M 07 M UNICATIONS ••••••••,.4 •••••••ns•A P O e = n N t ., tt..
SDNY_GM_00045590
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0008414
EFrA_00156199
EFTA01288562
()raffle
M
8.4
Y I fC6
P
S
r conWt.o,l.in
4 ,0
P
.
A
.p
IM WVIII
°taunt sat se...ft+ 4.K.
sonbrio:Mar
P.O. Bag 1776. Barron MD 21203 Hf Put Asa.. loth bet
Wm** NY 101$4
Statement Period: 10101/2014 - 10/3112014
Portfolio Holdings
(continued)
U.S. DOLLARS
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gad Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
SERVICEM ASTER CO SR NT - CUSP FULLY Security Identifier: 81760NAN9
EXChANGED FROM OLD CUSIP 81780NAL3
8.000% 02/15/20 WE DM 02113112 Moody Rating CAA1 S
P Rating B-
01124113 *AM 440,000.000 104.3920 459,326.78 106.7500 469,700.01 10,37323 7,431.11 35,200.00 7.49%
Original Cost Basic 2468250 00
02125113 %Mu 1,000,000.000 1042800 1,048,803.93 106.7500 1,067,499.99 18,696 06 16,888.89 80,000 00 7.49%
Original Cost Basis: 51.070.000 00
Total Noncovered 1,440,000.000 1,508,130.71 1,537,200.00 29,069.29 24,320.00 115,200.00
Total 1,140,000.000 51,508,130.71 $1,537,200.00 $29,069.29 $24,320.00 $115,200.00
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: G4S15PP48
TERM NOTES ISMS X93717735822
9.875% 12116/21 REG 010 12116111 Moody Rating 8a1 S
P Rating BB8-
12/04113 **3.12 1,500,000.000 107.8120 1,617,178.39 115.0000 1,725,000 00 107,821 61 129,197.92 148,125.00 6.58%
Original Cost Buis: $1,627,500.00
BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 06739FIIKO
ISA US06739FPK03 7.750% 04110123 WE
DM 04110113 CALLABLE 04/10118 St P Rating BB+
04103113 '.12.13 300,000.000 1020000 300.00200 109.6250 328.875 00 28.875 00 1.3513.25 23,250 00 7,06%
0 nginal Cost Basis: $300,000 00
PM ORGAN CHASES CO DEP SHS REPSTG Security Identifier: 45625HHA1
1/10TH PFD SER I FIXED TO FLTG RI BD
1.900% 04129149 WE DM 04/23/08 Moody Rating BA1 S
P Rating BB&
06/15111 '.3.12 2,500.000.000 1072000 2,687,500.00 108.3750 2,709,375.00 21 875 00 0.00 197,500.00 7.28%
Original Cost Basic $2,687,500.00
06/15/11 'AM 2.500.000.000 107 0000 2,675,000.00 108.3750 2.709.375 00 34,375 00 0.00 197,500.00 7.28%
Original Cost Basis: $2275,000.00
Total Noncoms' 5,000,000.000 5,362,500.00 5,418,750.00 56,250.00 0.00 395,000.00
Total 5,000,000.000 $5,362,500.00 25,418,750.00 $56,250.00 $0.00 $395,000.00
Pap SON
ct.„
BOW IYSICSF : Account Number: Go paperless N (v a e t r a y l V Ex s c , e l s le a n n t, e . 2007 ..W.C"=4:===" 4=
LTHERA DAUM. RATED COMMUNICATIONS
F I DAENTIAL rxeriumer
SDNY_GM_00045591
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) O13-SDNY-0008415
EFEk_00 856200
EFTA01288563
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjuded Unrealized Awued Estimated Estimated
Date Acquired Quantity Unit Cog Cog Basis Market Pro Market Vain Ogg Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 080506078
SF S FIXED TO FLOAT 8.125% 04/30/58 WE
DTD 04130/08 CALLABLE 05/15118 Moody Rating BA3 St P
Rating BB
01/10111 ..3.12 2400400.000 102.7500 2,055,000.00 108.5000 2,170,000 00 115,000 00 74,930 56 162.500.00 7.48%
Original Cog Basis: $2.055.000.00
GENERAL ELEC CAP CORP NON CUM PFD SER Seaffity Identifier: 389822S/46
A 7125% 06/12/62 EUE
DTD 06112/12 CALLABLE06/15/22 Moody Rating BAA1 S6
P Rating A+
06127/12 '.12.13 2.000.000.000 105.0320 2,100,631.51 116.5000 2.330.000 00 229,368.49 53,833 33 142,500.00 6.11%
Onginal Cog Basis. $2.122.916 67
LBG CAPITAL NO 1 PLC 144A Security Identifier: G54336868
ISIN $ X90473106283 8.000% 09/15/88 REG
DTD 12115/09 CALLABLE 06/15/20 S 6 P Rating BB
12/04113 '.3.12 1,200,000.000 108 2500 1.299.000.00 107.2500 1,287.000 00 -12,000.00 36,000 00 96,000.00 7.45%
Original Cosl Basis: $1.299,000.00
5LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4
ADDL TIER 1 SECS ISINIKS539439AG42
7.500% 09/27/88 WE DTO 04/07/14 S 8 P Rating B.
Pease Provide' 1.903.004 000 N/A Pease Provide 104.0000 1.979.120 00 N/A 13.08113 142.725,00 7.21%
Original Cosl Basis Pease Provide
SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: 842400FU2
6.250% 12/31/99 WE DT0 01/17/12
CALLABLE 02/01122 0 100 000 Moody Rating BAA1 S 8 P
Rating BBB-
01130/12 '.3.12 3.000.000.000 99 8060 2.994.167.07 110.0830 3.302.490 00 308.32213 0.00 187.500.00 5.67%
Original Cod Basis $2,992,564.97
Total Corporate Bonds $21,643,840.29 $24,308,435.00 $686,474.71 $310,693.41 $1,702,800.00
22,843,000.000
Total Fixed Income $23,123,365.38 $25,795,705.87 $693,220.49 $308,325.46 $1,702,000.00
28,633,000.000
Page 6 of 21
Account Num Der. Go paperless Rated Excellent
I}UAN +Oil SOL THERA CHO NLI.C. FIDENTIAL rD L x v A e cL ry i6u A V rl s l N R . C A L T I a E t D e C 2 O O M 07 M UNCATIONS
SDNY_GM_00045592
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008416
EFTA_00156201
EFTA01288564
Draft,' Illmt
"Wats Conran 4omp
daunt sank Smote' SK.
Now b4 Mar
P.O. Bag 1776. Sawa* MD 21200 SO ran Nona loth I WV
Wow** NY 101M
Statement Period: 1010112014 - 10131[2014
Portfolio Holdings
(continued)
U.S. DOLLARS
(confirmed)
Unrealized Estimated Estimated
Date Aomilred Quantity Unit Cost Cost Bays Market Price Market Value Gain; Loss Annual Income Yield
Equities
Common Stocks
M OBILEYE NV AM STELVEEN ORD SHS Security Identifier: M BLY
IS/4010010831061 CLSIP N51188117
Dividend Option: Cash
08101114 800.000 25 0000 20.00010 51 8800 41.504.00 21.501 00
APOLLO GLOBAL MGM T LLC CL A SHS Security Identifier: APO
Dividend Option. Cash CUSP. 037612306
03129111'.13 263,157.000 19 0000 1,999,983.00 22.7500 5.98682175 986,838.75 818,418.27 13.67%
APPLE INC CON Security Identifier: AAPL
Dividend Option: Cash CUSP: 037833100
10126113 11.000 000 75 5800 1,058,120.50 108.0000 1,511,999 91 453,879 41 26,320.00 1.74%
00105114 150,000 000 98 9500 14,842,506.00 108.0000 16,200,000 06 1,357,491 06 282,000.00 1.74%
Total Covered 164,000.000 15 900 626 50 17,712,000.00 1,811,313.50 308,320.00
Total 164,000.000 $16,900,826.50 911,712,000.00 $1,811,31310 $308,320.00
ARIAD PHARMACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash CUSP 0/0334100
0211/112 '.13 7,535 000 15 2090 111.597.10 5 9600 41.908.60 -69,688.80
0112/113 '.13 9.000 000 19 6000 176400.00 5.9600 53,610.00 -122,760.00
Total Noncovered 16,535.000 290,997.10 98,518.60 -112,448.80
Total 16,535.000 1290,997.10 $98,548.60 -$192,448.80 $0.00
ASCENA RETAIL GROUP INC CON Security Identifier: ASNA
Dividend Option: Cash CUSP. 013516101
01116/01 '.3 70,500.000 21.2710 1,500,000.00 12.1500 877.725.00 •622,27500
BANK OF NEW YORK MELLON CORP CON Security Identifier: BK
Dividend Option: Cash CUSP 08/058100
06125114 250.000.000 38.3080 9176.406 00 38.7200 9.680.000.00 603.594 00 170.000.00 1.75%
MOGEN IDEC INC CON Security BNB
Dividend Option: Cash CUSP 09062X103
02114112'.13 2,095.000 119 5490 250,154.95 321.0800 672,662 60 122,207.65
Pate 7 of 21
Account Number: Go flaked f.scolbrigi
paperless ek [very Von Since 2007
ORAN
ID AirriA
DrxAcLo OuArRn RaAe rT ED COMMUNICAT,ONS Nary 'LAC - IS -on. -c
SDNY_GM_00045593
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6: 6 THERM OB-SDNY-0008417
EFTA_00156202
EFTA01288565
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Acquired Goan Unit Cosi Cod Basis Market Price Markel Value Galatians Annual Income Yield
EqUiiieS (continued)
Common Stocks (continued)
FACEBOOK INC CL A Security Identifier: FB
Dividend Option: Cash CUSP. 30303M 102
05117/12 '.13 17 500 000 38.0000 665,000.00 74.9900 1,312,325.00 647.325 00
FOUNDATION MEDICINE INC COM Security Identifier: FM I
Dividend Option: Cash CUSP: 350465100
01113114 25.000 000 27 5070 687.663.50 25.8800 647.000.00 -40.663.50
08/05114 24.830 000 23 2530 577,373.02 25.8800 642,600.40 65,227.38
Total Covered 19,030.000 1 266 036.52 1,281,600.10 24,563.68
Total 19.830.000 11,265,036.52 11,289,000.40 $21,563.86 10.00
GENERAL ELECTRIC CO COM Seaulty Identifier: GE
Dividend Option Cash CUSP: 36960/103
01123113'.13 23,000 000 21.5700 196,109.08 25.8100 593,630.00 97,520.92 20,210 00 3.40%
GENERAL MTRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP. 37045V100
11118110 ' 10.988.200 36.1010 399,978.16 31.4000 345,029.49 -54,948.67 13,185.84 3.82%
12109/10 ' 86,536.800 36.8160 3,185,969.22 31.4000 2.717,255.51 -168,713.71 103,844.16 3.82%
Total Moncovered 97,525.000 3,565,917.36 3,062,285.00 ,523,661.36 117,030.00
Total 97,625.000 13,665,947.36 13,062,265.00 .1523,662.38 1117,030.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02/05/14 5,000 000 79 2810 396,407.00 112.0000 560.000 00 163,593.00
03107/14 3.100 000 79 6120 246,797.00 112.0000 317.200 00 100.403 00
Total Covered 8,100.000 643,204 00 907,200.00 263,996.00
Total 11,100.000 1013,201.00 1907,200.00 1263,996.00 10.00
HEALTH NET INC CON Security Identifier: H NT
Dividend Option: Cash CUSP. 422226108
09108114 25,000.000 46.9800 1,174,506.00 47.5100 1.187.750.00 13.244 00
SAMOAN° BIOSCIENCES INC CON Security Identifier: SOH 0
Dividend Option: Cash CUSP: 800677106
05128113'13 50,000.000 8.4440 122,214.00 12.1100 607.000.00 181.786 00
SANTANDER CONSUMER USA HLDGS INC COM Security Identifier: SC
Dividend Option. Cash CUSP: 80283M101
01123114 1,000.000 24.0000 24,000.00 18.5000 18,500.00 5.500.00
TWITTER INC CON Security Identifier: TIVTR
Dividend Option: Cash CUSP: 901841102
Page 8 021
ckt.„
OMR RUI A S c 'J c L o T u H n E t R N A u mber: F I D G A o E pa N per T les 1 s AL E R Drx v A Ae e M Ls r O y A a A V t r m Rt A r Ra e N l eA l e W rT n E A i D R C 2 O 0 M 07 M UNICATIONS Immo AC =mar IIMIA AMR. MR
SDNY_GM_00045594
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) DB-SDNY-0008418
EFTA_00156203
EFTA01288566
Draftee8m, PO.). Venal P.m...lune.
Idarat$ COMIC< 4,0‘1,
ontscip opt *woes 4%.
Na.M bn
P.O. Bag 1776. Obi/VAMD21200 HS rut Asia. lid,
le PA' 101
16111 .
Statement Period: 1010112014 • 10i31!2014
Portfolio Holdings
(continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Dale &mired Ouatithy Unit Cosi Cod Basis Market Price Markel Value Gait( Lon Annual Income Yield
Equities (continued)
Common Stocks (continued)
TWITTER INC COM (continued)
11107/13 1,500.000 26 0000 39.000.00 41.4700 62,205.00 23,205.00
Total Common Stocks 140,363,48413 $44,109,757.35 $3,756,272.52 11,434,008.27
Preferred Stotts (listed by expiration date)
ALLY FINL INC FIX TO FLT Security Identifier: ALLY PRB
DIV.8.50% FREO•OTRLY CALLABLE° 25.00 CL SIR 02005N 308
ON A OTRLY BASIS AFTER 05/15/2016
Dividend Option: Cash
02/03/12 '.13 46,600.000 19.3820 903,217.51 26 4800 1,233,968.01 330 750 50 99,025 00 8.02%
02109112'•13 80,000.000 20 1250 1,610,000.00 264800 2.118.399.99 508.399 99 170.000 00 8.02%
Total Noncovered 126,600.000 2,513,217.51 3,352,368.00 839,150.49 269,025.00
Total 126,600.000 $2,513,217.51 13,352,36100 $839,150.49 1269,025.00
GM AC CAP TR I GTD TR PFD SECS SER 2 CPR- Security Identifier: ALLY PRA
8.125% FRED ORTLY MATY-0211512040 CALL CUSII, 361860208
ANYTIME Q 25 W130 GAYS BEGINS 02/15118
Dividend Option: Cash
02122112 .." 80.000.000 23.5350 1.882.773.60 26.7300 2.138.400.00 255,62840 161.500.00 7.59%
ROYAL BK SCOTLAND GP PLC WON ADR REPSTG Security Identifier: RBS PRT
SER T PFD CPN-7.25% FRED ORTLY FERP M TY CUSP. 780097713
CALL@ 25 MY W/30 D NOTICE AFTR 12131/12
Dividend Option: Cash
10124112 '.13 40,000.000 23.7900 951,600.00 25.3500 1,013,999.99 62,399.99 72,500.00 7.14%
01107/13 ..13 40,000.000 24.4400 977,600.00 25.3500 1,013,999.99 36,39999 72,500.00 7.14%
01114113'.13 40,000.000 24.8800 995,200.00 25.3500 1,014.000,02 18,600.02 72,500 00 7.14%
Total Noncovered 120,000.000 2,924,400.00 3,042,000.00 117,600.00 217,500.00
Total 120,000.000 $2,924,400.00 13142,000.00 1117,600.00 $217,600.00
Total Preferred Stocks $7,320,391.11 18132.768.00 $1,212.370.0 $649,025.00
Total Equities $47,673,075.94 $52,642,525.35 $4,960,640.41 $2,003,033.27
Pap 9 of 2I
Account Number: taoiss
800778SICSP, : Deal! Wit CON F I D G E a p N ape T rle I ss A et s L r 0 x y L e o O s n t A , u Y R rt e r R a a . A e v T r o E t D e C Z O O M O7 M UNCATIONS
SDNY_GM_00045595
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6:3; THERN OB-SDNY-0008419
EFIA_00156204
EFTA01288567
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Acquired Gustily Unit Cost Cod Buis Markel Price Markel Valve Gail Loss Annual Income Yield
Exchange-Traded Products
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: WU
Dividend Option: Cash; Capital Gins Option: Cash CUSP. 97717W851
60,00000 of these shares are in your margin account
12111113 60,000.000 49.4350 2.966.098.50 53.8200 3.229.200.00 263,10150 55 004 40 1.70%
Total Exchange-Traded Products $2,988,098.50 63,220,200.00 $283,101.50 355,004.40
Versified Accrued Estimated
Cod Barb Market Value Gain; Loss Interest Annual Income
Total U.S. DOLLARS $118,822,230.94 $124,526,322.34 55,924,971.40 $388,325.48 53,848,663.39
EURO
Opening Closing Accrued 30-Day
Description Ciantily Balance Balance Currency Income Yield
Cash, Money Funds, and Bank Deposits
Global Cash Balance 291,848.87 0.00 EUR
0.00 USD
Total Cash, Money Funds, and Bank Deposits 291,848.87 0.00 EUR 0.00
0.00 USD 0.00
Accrued
Markel Value falrmrq Interest
Total EURO 0.00 EUR 0.00
0.00 USD 0.00
Unrealized Acaued Estimated
Cost Basis Markel Value Gait( Loss Interest Annual Income
Total Portfolio Holdings • U.S. 5116,622,230.94 $124,626,322.34 $5,924,971.40 $388,325.48 $3,848,663.39
DOLLARS
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.L.t 10-343, 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 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis MI be reported to the IRS on form 109943 for the applicable tax year in which the security is
disposed.
Page 10 021
Account Num her Rood [madam',
LAMB ROLL SOL THERk COL NLLC1.F I DGro ipsaprerrleisAs L L rOx a Ae m LnB y u A V rRt a r Ra s. Ae S Tr a E v D a C 2 O 0 M 07 M UNICATIONS —.-•••••••••••• •ac
SDNY_GM_00045596
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008420
EFrA_00 I 56205
EFTA01288568
Omisov Rant PnweWeatnPaptagenan
Pants Caen., 6,0“)
Des-1MM M. Setunla
Vert
PC. Bat 1776 .1110 21203 Na Pan Ammo. 1'.te r
Y
Statement Period: 9/01/2914 • 10/3112014
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 (ORP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization. accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under 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 retums.
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.
T Unrealized gains and losses are not reported for securities for which cost basis or market value is not available.
The Cunent Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the cunent 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 Tim or transferring agent and Pershing makes no representation as to the accuracy of this intonation.
Holdings Summary by Currency
Exchange-Traded
Currency Can Filed Income Equities Funds Total by Currency
U.S. DOLLARS 42 858 891 25.795.705 52842.525 3,229.200 121.526.322 LSD
BIRD 0 0 0 0 0 EuR
Total USD Equivalent 42,858,891 26,796,705 52,042,526 3,229,200 124,628,322 USO
% of Allocation 34.42% 20.72% 42.27% 2.69% 100.00%
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Loss!
Date Date Transaction Description Quantity Cod Ms Proceeds Disallowance
Short Term
10116114 12/05113' ROM G Al ORGAN CHASE/. CO U NTS CAPPED CONTINGENT 1,000,000.000 1,000,000.00 1,012,01690 12,016.90
First In First Out BUFFER ED EQUITY NTS 0.000% 10116114
Security Identifier: 48126kVE4
Original Cost Basis: 1,000,000.00
10/16114 12/11113' SELL CALL AMERICAN AIRLS 20.00 1,000.000 803,311.50 1,150,650.50 317,336.00
First In Rrst Out Security Identifier AAL 01172
Page 11 of 21
I 18 &E, MOI A SO cc L o T u H n t E N RN u m berms L L C. F I D G A o n E an N erl T es I s A L R E D e v A a x e L i c d n O l t u A Y t m a R e c R a e e r A l r S l T e i E r v a D a C 7 O 0 M 07 M UNICATIONS
SDNY_GM_00045597
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008421
EFTA_00 156206
EFTA01288569
Schedule of Realized Gains and Losses Current Period
(continued)
DI:politics Acquisition Disposition Realized Gain/ Loss!
Dale Dale Transaction Desaiptioe Quantity Coil Basis Proaeds Diallorana
Short Term (continued)
10116/14 12111113 BUY KT AMERICAN AIRLS 20.00 -1,000.000 72,188.00 197,702 00 125,511.00
AM In First Out Security Identifier MI. 01172
10123/14 12113113' RFP WASHINGTON MUT M TG S 004-RA2 LUG PASSTHRU CTF CL 1,290,000.000 2,597 15 3,39414 796.99
C. B-1 VAR RATE 6.974% 07/25133
Security Identifier: 939336S20
Original Cost Basit 2,597.15
10127/14 12113113' RPP COUNTRYWIDE HOIA E LOA I CL 81 4.090% 03125133 WE D 4.500.000.000 11,487.85 12.302 73 814.88
TD 01/30103
Security Identifier: 12169DYS1
Original Cost Bait 11.487.85
Total Short Term 91,889,687.60 $2,376,096.27 $486,508.77
Long Term
10103/14 07114105' SELL P MORGAN CHASE 8 CO US46625H 1005 1,453.000 709,767.89 86,946.86 -622.821.03
NM In First Out Security Identifier: ..Pal
Total Long Term $709,767.89 $86,946.86 M22,821.03
Total Short Term and Long Term $2,599,356.39 $2,463,043.13 .$136,312.26
• 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 ('IRC') (incorporating amendments enacted by
P.b.110-343, 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. Al 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
a after their 'applicable date(s)° at which they are subject to the cost basis reporting rules and the adjusted basis wilt be reported to the IRS on form 1099E for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as blows:
• 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, 2014, 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 1099E or online 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 consul 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 all liability that may arise with respect to your use and reliance
on the information provided herein for such reporting.
Page12 of 21
Account Number. Rated tovidlordi
MIAS 1101.t. SC L THERIttle_5. F I DAE p N ape T rle I ss A L I rD v xA o eL r Bs y At V iRm s R . e , A S rT a E n D to C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046698
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008422
EFrA_00 156207
EFTA01288570
Or,
Online Illam Prmiln MEMI MAArnas
Idadrem Drover DAR
°TARN Sat StatAM.
MA MAWR*
PC B<.1776 Elul PK": MD 2120 MS PTA AsaY, member
Pa th D
Statement Period: 910112114 • 10/3112014
Schedule of Realized Gains and Losses Current Period (continued)
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certaii attributes, obtained from
sources believed to be reliable. In the event, one or more of these attfoutes 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.
Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot 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, Fist Out (FIFO). Your accounts selected tax lot method wit be
used to determine the cost basis for calculating gain andlor 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)-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 https://swoydws-investments.comENIproductshnoney-market-lunds-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 $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 advisor for additional information.
Page 13 of 21
Account Number Rated excellent
L)BAR ROU SOUTHERN I!, NLLC. F I D G -E o p N ape T rle I ss A L E Drx v Ae e Ls r O y u A V rRt A r Ra N Ae t rT M E D C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045599
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008423
EFTA_00 156208
EFTA01288571
Activity Sum m ary (All amounts shown are In base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Securities Bought 0 00 0.00 Securities Bought .72 188 00 .36 037 468 II
Secunties Sold 1,237,597 36 19119.726 27 Secunties Sold 0 00 0 00
Total Securities $1,237,597.36 $19,449,726.27 Total Securities -$12,188.00 -$36,037,486.11
Dividends and Interest $325,411.48 $2,339,935.31 Dividends and Interest $0.00 ,193,807.51
Distributions $1,026,095.17 $7,851,710.12 Distributions $0.00 $0.00
Fees $0.00 $0.00 Fees -118.00 -$72.00
Other $72,188.00 $72,188.00 Other -$441,870.18 -$441,870.18
Cash Cash
Withdrawals 000 000 Withdrawals 000 -1,331245.00
Deposits 20.785,189 23 32 27397638 Deposits 000 000
Total Cash $20,785,189.23 $32,273,976.36 Total Cash $0.00 .11,331,245.00
FDIC Insured Bank Deposits $0.00 $37,488,437.18 FDIC Insured Bank Deposits $0.00 -$19,304,764.85
Money Market Funds $72,188.00 $25,931,926.31 Money Market Funds 423,428,089.04 -$68,790,236.23
Total Credits $23,510,869.24 $125,405,899.57 Total Debits -123,942,145.22 -$125,999,463.68
Transactions by Type of Activity
Promo/ Trader
Settlement Transaction
Date Date Activity Type Description Quantity Prim Accrued littered Amount Currenry
Securities Bought and Sold
10/08/14 10103/14 SOLD PM ORGAA CHASE B CO COM ISM/1446625H 1005 BKCM 4453.000 59.9050 86,946 86 USD
.F1.1 A PERSHIAG AFFILIATE M AKES A MKT IN THIS SECURTY
ACTED AS PRACIPAL UNSOLICITED ORDER
10117/14 10116/14 SOLD CALL 100 AMERICAN AIRLS GROUP 'AC COM EXP -1,000.000 11.5368 1,150,650.50 LSD
990ADT2J1 0147.15020 000 OPTION ROOT= AAL CLOSING
TRANSACTION UNSOLICITED ORDER UNCYRD EXCHANGE
LISTED
10/17/14 10/16114 PURCHASED PUT 100 AMERICAN AIRLSGROLP 'AC COM EXP 1.000.000 0.7118 •72.188.00 USD
990ADTZ00 01.17.150 20.000 OPTION ROOT= ML CLOSING
TRANSACTION UNSOLICITED ORDER LAURI) EXCHANGE
LISTED
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 1,185,409.36
Page 14 of 21
Account Number Go paperless Rated tacelibra
+01, SOUTHERN LLC. D (v A e L r B y A Y R e R ar A S T i E v D a C 2 O 0 M 07 M UNCATIONS
FIDESITIAL xClultaCt
SDNY_GM_00045600
(5N
CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0008424
EFTA_00 156209
EFTA01288572
()micro Ram Pnwair WeahnPapmernan
Weets Coon., ,0‘P
Dettsag WA %twos 'ac
wan ,Yin
PC. Sot 17/E. Ball rPoot MD 21202 la Pan Ammo. 160. I be,
War int 10. 1011.4
Statement Period: 10/01/2014 • 1013112014
Transactions by Type of Activity (continued)
Procter/ Trade!
Settlement Transaction
Date Date Activi Death ion Clean Price Accrued Interest Amount Curren
Dividends and Interest
10/01114 80ND INTEREST RECEIVED 1000000 HEADWATERS INC GTD SR NT 7 625% 01/01/19 38.125 00 LSD
42210PAO 5 WE DID 03/11/11 CLB RD 09/15 PD 10/01114
10110114 FOREIGN BOND INTEREST 300000 BARCLAYS BK PLC CONTINGENT CAP AT 11.625 00 LSO
06739FFNO ISINIUS06739FHK03 7.750% 04110123 WE DTD 04110113
CLB RD 10109 PD 10/10/14
10127114 80AD INTEREST RECEIVED 4500000 COUNTRYWIDE HOME LOANS SER 03.1 CL 81 1,718.51 LSD
12669DYS1 1.090% 03125133 B/E DID 01130103 RD 09130 PD 10/25/14
10/27/14 CASH DIVIDEND RECEIVED 23000 ShRS GENERAL ELECTRIC CO COM RD 09/22 PD 5.060.00 LSD
GE 10127/14
10/27/14 80AD INTEREST RE-CEIVED 1290000 WASFINGTON LT MTG SECS CORP 2004-RA2 4,316 09 LSD
939336S20 M TG PASSTF RU CTF CL C-B-1 VAR RATE 6.974% 07/2933
WE DTD 06101/01 RD 09130 PD 10125/11
10128114 FOREIGN BOND INTEREST 2500000 PETROLEOS DE VENEZL B.A NOTES SENIOR 62,500 00 LSD
P7807FAF2 ISINIXS0160516525 5.000% 10/28/15 REG DTD 10/28/09
RD 10/27 PO 10128114
1013011/ CAW, DIVIDEND RECEIVED StiORGAN CHASES CO DEP SHS REPSTG 1710TH PFD SER 1 197.500 00 USD
466251-HA1 7.900% 04129149 BIE RD 09/30 Ft 10/30/11 CASH
PAYMENT 5000000
10131114 MONEY MARKET FUND DWSGOVT CASF !NUL 955.68 LSD
INCOME RECEIVED
233993682
10131114 CASH DIVIDEND RECEIVED 1153 SFRS P MORGAN CHASES CO COM 581.20 LSD
PM 'SINS US16625F 1005 RD 10106 PD 10131114
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 325,411.48
Pap 15021
Account Number. Rated tacellerigi
DGor p aspeimrlessA L very Year Since 2007
SOUTHERN .N
N
LLC.
FI L
DrxAaUrtMirm. ReArT ED COMMUNCATIONS
SDNY_GM_00045801
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008425
EFTA _001562I0
EFTA01288573
Transactions by Type of Activity (continued)
Process/ Trade/
Settlement Transaction
Date Date Activity Type Desaiption Quantity Price Accrued Merest Moult Currency
Distributions
10116114 SECU RITY REDEEMED SIAORGAN CPASEd CO MEDIUM TERM NTS CAPPED -1.000.000000 1.012,04690 USD
48126NVE4 CONTINGENT BUFFERED EQUITY NTS0.000% 10116/14 B/E
DID 09/27/13 ACCOUNT REDEMPTION
10127/14 RETURN OF PRINCIPAL 4500000 COUNTRYWIDE NOME LOANS SER 03-1 CL BI 12.302.73 LSO
RECEIVED 4.090% 03125133 BIE DTD 01130103 RD 09130 PD 10125114
126690Y51
10/27/14 RETURN OF PRINCIPAL 1290000 WASFINGTON NUT MTG SECS CORP 2004•RA2 1,745.54 LSD
RECEIVED MTG PASSIM-RU CTF CI. C-B-1 VAR RATE 6.974% 07/25/33
939336520 WE DTD 06/01/04 RD 09/30 PD 10/25/14
Total Distributions • UNITED STATES DOLLAR 0.00 1,020,095.17
Fees
10/01/14 FOREIGN CUSTODY FEE Fgn Safekeeping SEP 2014 CUSIP GIS15P-P4.8 -6.00 USD
G4S15PP48
10101/14 FOREIGN CUSTODY FEE Fgn Safekeeping SEP 2014 CUSIP 05433B-11G-8 -6.00 1.,S0
G5433B8G8
10/01/14 FOREIGN CUSTODY FEE Fgn Safekeeping SEP 2014 CUSIP. P7807HAF-2 -6.00 LSD
P7807PAF2
Total Fees • UNITED STATES DOLLAR 0.00 -18.00
Other Transactions
10/23/14 MARK TO MARKET FROM MARGIN ACCOUNT TO SPORT ACCOUNT -72,188.00 LSD
USD999997
10/23/14 MARK TO MARKET FROM MARGIN ACCOUNT TO SPORT ACCOUNT 72,188.00 USD
US0999997
10/27/14 OUTGOING NON LSD CUKENCY OUTGOING NON USD CURRENCY WIRE EURO CURRENCY ,291,846.67 EUR
WIRE -369,682.18 USD
EUR999995 Exchange Rate' 1 2667
Total Other Transactions
EURO 0.00 -291,846.67 EUR
TOTAL USD EQUIVALENT 0.00 -369,682.18 LSD
UNITED STATES DOLLAR 0.00 0.00 LSO
Cash Withdrawals and Deposits
10106/14 FEDERAL FUNDS RECEIVED I-58C BANK USA, NA 09427 20,785,189.23 LSD
U S0999997
Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 20,106,189.23
Money Market Funds
10101/14 MONEY FUND PURCPASE DWS GOO' CASP INSTL -54,375.00 LSD
USD999997
10/02/14 MONEY FUND PURCPASE DWSGOVT CAST INSTL 38.101.00 LSO
USD999997
Page 16 of 21
Account Number Go paperless Rated 4cMYSL
08AN 11011 WHET /O4 NLLC. FIDESITAL D be A e L r B y A Y R e R n A S T i E nc D e C 2 O 0 M 07 M UNICATIONS
IXCIFIUNCE
SDNY_GM_00045802
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008426
EFTA_00156211
EFTA01288574
Orvitec limi.mileVeta•nManair-wrat
MN•ets Ont•gt
De-tic la Nom 141,,r1 M.
Viva bark Mar
11)Pant WA.nn**. 101.01cce
tine I0VA
Statement Period: 10/0112014 • 1013112014
Transactions by Type of Activity (continued)
Proasa Trader
%Moment Trsnuction
Data Date Adis Description Quan Price Accreed Interest Amount Curren
Money Market Funds (continued)
10107/14 MONEY FUND PURCHASE EMS GOVT CASE INSTL •20.785.18923 LSD
USD999997
10/08/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL -86.946.86 LSD
USD999997
10114114 MONEY FUND PURCHASE DWSGOVT CASH INSTL -11,625.00 LSD
US0999997
10/16/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL -1,012646.90 LSO
USD999997
10/17/14 MONEY FUND PURCHASE DWS GOUT CAS- INSTL -1150,650.SO LSO
USD999997
10123114 MONEY FUND REDEMPTION DWS GOUT CASH INSTL 72,188.00 LSD
USD999997
10/28/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL 48,17187 LSD
USD999997
10129114 MONEY FUND PURCFASE DWSGOVT CASH INSTL -62.500.00 LSD
US0999997
10/31/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL .197,500 00 LSD
USD999997
10131114 MONEY MARKET FUND DWS GOVT CASH INSTL INCOME REINVESTED -95568 LSD
REINVESTMENT
233993682
Total Money Market Funds- UNITED STATESDOLLAR 0.00 -23,355,881.04
Total Awned liters Total Mount
Trani:adios Summary Total Acaued Interest Total Amount Curreag USD Equisakat USD Equivalent
EL RO 010 -291.846.67 EUR 0.00 -369,682.18
UNITED STATES DOLLAR 0.D0 -53.793.80 USD 0.00 -53 793 80
The price and quantity displayed may have been rounded.
Page 17021
Account Number. Mead CamplImil
Go paperless beery Year Since 200'7 aeffrName.rIZZIffeittrraiNsIONYNMNI
SOUTHERN cbici FI E YENTIAL MUM. RATED COMMUNICA TIMMS
SDNY_GM_00045603
CONFIDENTIAL - PURSUANT TO FED. R CRI9,1 P. 6(e) OB-SDNY-0006427
EFIA_00 156212
EFTA01288575
Cash Not Yet Received
Sea* Record Dab Payable Date Quainky Held Rate Dividend Option Amount of Payment
Dividends
BANK OF NEVi TOR( MELLON COPP COM 1012811/ 1110711/ 250.000.000 0.170000 Cash 42 500 00
interest
BANK AMER CORP PERP NON COMULATIVE DEP 1110111/ 11115114 2A00,000 000 0.010625 Cash 81 250 00
%IS FIXED TO FLOAT
EARTHLINK INC GTD SR NT FULLY SCHANGED 1013111/ 11115114 1,000,000.000 0.011375 Cash 44.375.00
CUSP FROM 210321A08
Total Cash Not Yet Received 0111,125.00
Bond Maturity Schedule
Bond Maturity Market Win % of Bond Market Value
1t o 12 months 2,212,500.00 9',. ME Percentages of bond market values are
CI rounded to the neatest whole percentage.
1 to 5 yews 2,017,500.00 8%
6 to 10 years 3,591,075.00 14% I I
Over 1C it t•t 17,974,630.87 69% fl
Total 25,795,70621 100%
Bond Quality
Bond Oualiti Market Value % of Bond Markel Value
BAA 5,632,19000 22!4 Percentages of bond market values are
MiLower 19,320,327.80 75% rounded to the nearest %tole percentage.
hot Rated 812,686.07 3%
Total 25,705,70627 100%
Client Service information
Your Client Advisor: TDS Contaa Information
TAZIA SMITH Telephone Number:
315 PARK AVENUE 11TH FLOOR
NEW YORK NY 10151
Page II 021
Account Numbers "Mud [moms
OFIAI1 9()I 67:KRIM ñ F I ID-n pape (7 rle 1 ss A L Dr (v xA e eL r r y Stu A Y rFn o I R e a . Ae S Tr e E n D to C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045604
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. OB-SDNY-0008428
EFTA_00156213
EFTA01288576
Oeuiv.v gam Pon. VOW. Ma nlintat
MII•tt% Cote tar 4.pp.p
Dtotem Mr Secylei At
linsbrk
41,Pstli Anine. 161111.:Cr
Statement Period: 1010112014 • 10/3112014
Your Account Inform ation
Tax Lot Default Disposition Method
Default Method for Mutual Funds FIRST IN FIRST OUT
Default Method for Stocks in a Dividend Reinvestment Ran: FIRST IN FIRST OUT
Default Method for all Other Securities FIRST IN FIRST OUT
Bond Amortization Elections:
Treat al interest as original issue discount lOID): No
Amortize premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types: Ratable Method
Include market discount in income annually: No
Electronic Delivery
You have not selected any account comm unications for electronic delivery. To register and turn off paper con m unications, log in to your account or contact your Dient Advisor for in ore inform align.
Important Information 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 dose of the statement period. The market prices, unless otherwise noted,
have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is
not available are marked 'N/A" and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) 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
vnwrpershing.corritusiness_conbnuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities show 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, may be obtained. 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 conSmations previously furnished to you. A summary of this
information is available 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
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 Marge' 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.
Page 19 of 21
ct5
VP AN ROI t A SC cc L o T u H n E t N RA u m ber. F I D G AE o p N ape T rle I ss A L Dr R (v x a A e c te r U y i d uM V t r a . o r c Ri n e eA l l S e rT r i E i v a D a C 2 O '0 M 07 M UNICATIONS °-="rat'ar:r=
SDNY_GM_00045605
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008429
EFrA_00 I 56214
EFTA01288577
Important Information and Disclosures (continued)
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to from U.S. dollars for dividends and similar corporate action
a
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, incurred a charge, or received a credit. Transactions convened by agents (such as depositories) wit be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Pool's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written
authorization from Standard & Poor's. Standard 8 Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard 8. Pool's is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content. Standard & Pool's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard ft 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 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 Polls 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 (i) orders
for the purchase and sale of securities and other property and (i) 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 a that it
receives as the result 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 conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 4133333. AI 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 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 (SIPC6). 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: www.pershing.comistrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to
your fniancial organization and Pershing. Please be advised that any oral communication should be reconfirmed 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; 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 filed.
• Arbitration awards are generally final and binding; a party's ability 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.
Page 20 of 21
A 90 cc 6 o T u H n E t N RA u m C be N r O LLC. DGor pwaperrleisAs L R Dr L x v a Ae e b L r n i B y d u A V t rR a r s dR c , e eA S l rT lo i E n v D i a C 2 O 0 M 07 M UNICATIONS e- i•— t ••••...= w = rit =" 4*=
N F I
SDNY_GM_00045606
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DEI-SDNY-0008430
EFTA_00156215
EFTA01288578
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Statement Period: 1010112014 • 10/3112014
Important Information and Disclosures (continued)
Important Arbitration Disclosures (continued)
• The panel of arbitrators will typically include a ninority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose tine limits for Iminging a claim 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 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 (Ill) the client is excluded from the class by the cowl. Such forbearance to enlace 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:
Page 21 o121
Account Number: Itatod f.scollenl
OBAki ROLL CON F I D G E o p N ape T rle I ss A ek Dr (w xAe a U y m M Y m e . R a e r A S rT i E nc D e C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00045607
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. THERk DB-SDNY-0008431
EFTA_00156216
EFTA01288579
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Account Number:
Statement Period:09101/2114 -09/3012114
Valuation at a Glance This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value $104,219,698.0 $90,573,050.28
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 320,000.00 10,157,542.15
ST THOMAS VI 00802 Adjusted Previous Account Value 104,539,698.69 100,730,592.43
Dividends, Interest and Other Income 129,238.98 2,547,029.98
het Other Activity 0 00 .54 00
het Chan e in Punka .1 704 437 86 -31306862
ndinq Account Value S102.964 499.79 5102.964 499.79
Your Client Advisor: Estim ated Annual horn e $3,924,316.47
TAD% SM ITN
Asset Allocation Prior Year-End Lad Period This Period % Allocation
LSD Cash. Money Funds. and Bank Deposits 18,295,949.71 34,850,094.30 19,556,803.88 18.99% Please review your allocation
LSD Axed Income 27,736,972.38 19,591,460.84 19,311,861.53 18.78% Assets of less than 1% of holdings
hon.L SD Axed Income 10,227,309.46 7,722,321.25 7,466,705 00 7.25% wit not clholay on the pe ciao.
LSD Equities 30,410,519.65 38,644,087.25 53,078,425.85 5155%
hont SD Equities 3,137,192.74 3.027.344.00 3,182,072.00 3.09%
hon.li SD Cash. Money Funds. and Bank Depotils 402,106.34 384,391.25 368,831.53 0.36%
Other 363.000.00 0.00 0.00 000%
Account Total (Pie Chart) 390,573,050.28 $104,219,698.89 $102,984,499.79 100.00%
See the Asset AnocatOn Cisclosure and Footnotes secton for important oformaton %Ong yote Asset Albeation.
Page 10121
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B0101216CSF30023 GUpaperless R Ev a f te ly d Y Ex e c w e l S le i n n t e , , Z007
DA T IONS
CONFIDriTriA rxet""`"`
SDNY_GM_00045608
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) OB-SDNY-0008432
EFTA_00 I 56217
EFTA01288580
Asset Allocation Disclosure and Footnotes
Certain values have been defaulted into the Other Asset Class due to incomplele categonzing data
Al values are displayed in U.S. dollars based on interbank exchange rates as of 0913012014. Exchange rates can vary.
Equities contains Equity Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-t-oDate Unrealized
Short-Term GainfLoss 52,660 89 70.873 79 2 252.239.74
Long-Term Gain, Loss -1.243.50521 -8.272.566.33 2.731.413.27
Net GaIn/Loss -1,190,814.32 -8,201,69231 4,983,653.01
This summary excludes transactions where cost basis information is not available.
Exchange Rate Table Global Cash
Currency Closing Mount in
Currency USO Equivalent per USD Currency Balance Base Currency USD
I
EURO 1 2631 0.7917 EURO 291.846 67 368 631 53
Total Global Cash Balance 8368,831.53
Exchange rates are based on Mterbank exchange rates as of 09130(2014. Exchange rates can vary.
Money Market Fund Detail
Date Activity Type Description Amount Balance
Sweep Money Market Fund
owS GOVERNMENT CASH INSTL
Account Number: Currenl Yield 0.03% Activity Ending: 09130114
08130114 Opening Balance 32,415,580.03 32415,580.03
09102/14 Deposit MONEY FUND FURCFASE 2,434,51427 34.850.094 30
09105114 Deport MONEY FUND PURCFASE 320,000.00 35,110,094.30
09110114 Withdrawal MONEY FUND REDEMPTION 44,756,362.16 20,413,732.14
09111114 Withdrawal MONEY FUND REDEMPTION -1.174,506.00 9,239,226.14
09122114 Deposit MONEY FUND PURCFASE 86,95582 9.326,181 96
09124114 Deposit MONEY FUND PURCFASE 46573.91 9.374.755.87
09126114 Deposit MONEY FUND PURCFASE 62,112.82 9,436,898.69
09129114 Deposit MONEY FUND PURCFASE 29,257.50 9,466,156.19
09130114 Deposit MONEY FUND PURCFASE 35,681 25 9,501,831.44
09130114 Deposit INCOME REIN VEST 591.44 9.502,428 88
09130114 Closing Balance 91 ,502,428.88
Total All Money Market Funds 31 ,502,421.II8
Page 2021
llitA11 .011 A S c O c L o T u H n E t N RA u mber: O NLLC. Go paperless R E Drx v A a e e t L e s r O y d a A V r rR a t A r c Ra N e eA m W rT e E , s D C 2 O 0 M 07 M UNICATIONS ratt r......22...."a"... . = ..- . 7"*"=
SDNY GM 00045609
FIDESMAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008433
EFTA 00156218
EFTA01288581
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Statement Period: 0910112/14 -0113012114
Income and Expense Summary
Current Period Year-to•Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 83,63250 GOO 552,089.73 0.00
Money Market 591.44 0.00 4,178.89 0.00
Other Dividends 0.00 0.00 499,005.20 0.00
Interest Income
Bond 'Merest 45,015.02 0.00 740,87623 0.00
FDIC Insured Bank Oeposts 0.00 0.00 2,691.15 0.00
Other Interest 0.00 0.00 121,875.12 0.00
Total Dividends, Interest, Income and Expenses $129,238.96 $0.00 91,920,716.32 $0.00
Distributions
Alternative Investm ents 0.00 0 00 0.00 626,313.66
Other Distributions 0.00 52.809 05 0.00 541.039.24
Total Distributions $0.00 152,809.05 $0.00 $1,107,352.90
Portfolio Holdings
U.S. DOLLARS
Account Activity (Meng Closing Accrued Income 30•Day tweet
Opening Date Quantity /lumber Ending Balance Balance Income Ns Year Yield Yield
Cash, Money Funds, and Bank Deposits
Cash Balance 2.434.514 27 54,375.00
Money Market
DWSGOVERNM ENT CASH INSTL
08130/14 19.502.428.880 09/30114 32.415.580.03 19 502.428 88 0.00 4.17149 0.03% 0.03%
Total Money Market $32,416,580.03 $19,502,428.88 $0.00 44,178.19
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
08130114 0900/14 0.00 0.00 0.00 2.691.15 NIA N/A
Total FDIC Insured Bank Deposits $0.00 20.00 $0.00 $2,891.16
Total Cash, Money Funds, and Bank Deposits $34,850,094.30 $19,556,803.88 $0.00 $6,870.04
Page 3021
CIO KJ
Account Number. Rated' [mallard,
ORAP POLL SOL THERA F I D G A o p E ap N erl T es I s A L r ( D p % A e L O r B / I A L v Rr « N R . A e S T t l E oo D p C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045610
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008434
EFTA 00156219
EFTA01288582
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date "aired Clues Wit Col Cost Basis Market Puce Market Value Gain! Loa Interest Annual Income Yield
Fixed I ne0 M e (In Malurey Dere Sequence;
iltsset Backed Securities
COUNTRYWIDE HONE LOANS Security Identifier: 12669 DYS1
SER 03.1 CL 81 4.090% 03125133 WE
DTD 01130103
Factor. 0.22022089 elective Date:09102/14
Current Face Value: 990.994005
12113/13'.3.12 4,500,000.000 93.3760 925,354.95 86.1660 853,899 89 .71.455.06 3.265 05
Original Cost Bass. 51,111,573.01
WASHINGTON NUT NIG SECS CORP 2004.RA2 Security Identifier: 939336820
MTG PASSTHRU CTF CL C-B.1 VAR RATE
6.979% 07/25/33 WE DID 06/01/01 S 8 P Rating D
Factor:0.575118723 Effective Date:09102/14
Current Face Value: 742.636 527
12113/13'.3,12 1,290,000.000 76.5190 568,255.14 87.0630 616,561.64 78,306.50 4,175.60
Original Coal Basin 5638.906.71
Total Asset Backed Securities 31,493,610.09 61,500,461.53 66,851.44 37,440.65 $0.00
5,790,000.000
Total Current Face Value : 1,733,630.532
Corporate Bonds
1,IPM ORGAN CHASE 8 CO MEDIUM TERM NTS Security Identifier: 411126NVE4
CAPPED CONTINGENT BLYFERED EOI/ITY NTS
0.000% 10/16/14 WE DID 09127113
12105/13 '.3.12 1,000,000.000 100 0000 1,000,000.00 106.1600 1,061,600.00 61,600 00 0.00
Original Cost Basis: 51,000,000.00
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
NOTES SENIORISWO XS0460546525
5.000% 10128115 REG DTD 10/28109 S 8 P Rating B'
12104/13'•3.12 2,500,000.000 94.0370 2,350,934.50 85.7500 2,143,750.00 .207,184 50 52,777 78 125,000.00 5.83%
Onginal Coal Basis: S2.250.000,00
HEADWATERS INC GTO SR NT Security Identifier: 12210RAC15
7.625% 04/01/19 WE DTD 03/1111t
CALLABLE04101115 103113 Moody Rating B2 St P
Rating Be
10/22/12 '.12.13 1,000,000.000 102 1030 1,021,025.11 104.2500 1,012.500 00 21,474.53 37,913.19 76,250.00 7.31%
Original Coal Balk 61,035,000.00
EARTHUNK INC GM SR NT FULLY EXCHANGED Security Identifier: 270321ACS
CUSP FROM 270321AB8 8.815% 05/15119 WE
DTD 05117111 CALLABLE 05/15/15 S8 P Rating CCC'
10122/12'.3.12 400,000.000 102.6500 410.600.12 99.5000 398 000 00 .12,600.12 13,312 50 35,500 00 8,91%
Page 4 of 21
ein^tr:(C"F:' USAF' MINI A S c C c L o T u H n E t R N N u mber F I D G A o E pap N er T les I s A L D L r ra x a A t e e r U y s d uM Y ta r a . c n w R e eA . l l S o rT e n E n t D i t o C 2 O 0 M 07 M UNCATIONS a- •— l: • 1 -.L = 4c n = r•••••. == ••C " 4=
SDNY_GM_00045611
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008435
EFTA_00156220
EFTA01288583
u•411.4•. Pon.
Mwocts
O-iuN ilor
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P.O. Bs 1776. BolemonMD21200 141.Psm App.*.) Nw kse
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Statement Period: 09/01/2014 - 09/30/2014
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cod Cod Basis Market Price Market Value Gain/ Lou Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
EARTHUNK INC GM SR NT FULLY EXCHANGED (continued)
Original Cost Basis: $414,000.00
10123112 '.3.12 600 000 000 102.1620 61074.95 99.5000 597,000 00 -17,771.96 19,968.75 53,250 00 8.91%
Original Cod Bads: $619,500.00
88,750.00
Total Noncovered 1,000,000.000 1,021,375.01 995,000.00 .30,376.08 33,211.26
Total 1,000,000.000 $1,026,375.06 3996,000.00 -$30,315.08 $33,211.26 88,750.00
SERVICES ASTER CO SR NT - CUSP FULLY Security Identifier: 81760NAN9
EXCHANGED FROM OLD CUSP 817601413
8000% 02/15/20 8/E DTD 02/13/12 Moody Rating CAA1 S
P Rating 8-
01/24113 '•13.13 410.0080130 101 1920 459.764.38 105.7500 465.300 01 5.535 63 1.400.00 35.200 00 7.56%
Original Cost Basis: $468.050.00
02125/13 %OM ismoct000 104 9910 1,049,914.20 105.7500 1,057,499 99 7,585 79 10.000 00 80,000.00 7.56%
Onginal Cost Basis: $1,070,000.00
Total Noncovered 1,440,000.000 1,509,678.58 1,622,800.00 13,121.42 14,400.00 115,200.00
Total 1,440,000.000 61,609,678.66 $1,522,800.00 $13,121.42 $14,400.00 6116,200.00
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Rientillei: GIS15PPIS
TERM NO TES ISIMS0717735822
9.875% 11/16/21 REG DID 12116/11 Moody Rating Bat 58
P Rating BBB
12101/13 '.3.12 1.500.000.000 107 8780 1.618.175.98 116.1250 1.711.875 00 123.699.02 116,854.17 148.115.00 8.50%
Original Cost Basis: $1.627.500.00
BARCLAYS BK PLC CONTINGENT CAP NT Staidly Identifier: 06739FRK0
ISN01,S06739FHK03 7.750% 04110/23 DIE
DID 04110/13 CALLABLE 04/10/18 S8 P Rating BB•
04/03/13 '.17.13 300.000.000 100 0000 300.000.00 108 2500 324.750 00 24.750 00 10,979 17 23,250.00 7.15%
Original Cosl Buie $300,000.00
Page 5of 2i
N
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SDNY_GM_00045612
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) "172Ens-s-teta0‘ :7:—NY.-0=—0"08 436
EFTA_00 156221
EFTA01288584
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market NU Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
AN ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 4662514H A1
1110Th FED SER 1 FIXED TO FLTG Rt BD
7.900% 04129149 B/E DTD 04/23/08 Moody Rating BAI S d
P Rating BBB-
06115/11 '.1.12 2,500.060.000 107.5000 2,687,500.00 108.2500 2,706,250.00 18,750 00 82,291 67 191,500.00 7.29%
Onginal Cosl Basis; 52.687.500.00
06/15/11 '.3.12 2.500.000 000 101 0000 2.675.000.00 108.2500 2,706,250.00 31.250 00 82.291 66 197.500.00 7.29%
Original Cosl Basis 52,675,000.00
Total Noncovered 5,000,000.000 5,362,600.00 5,412,600.00 50,000.00 161,563.33 395,000.00
Total 6,000,000.000 $5,362,500.00 85,412,500.00 150,000.00 $164,553.33 $395,000.00
BANK AM ER CORP PERP NON COM ULA11VE DEP Staidly identifier: 0605050T8
SF S FIXED TO FLOAT 8.125% 04/30/58 B/E
DTD 01130/08 CALLABLE 05/15/18 Moody Raling BA3 Sd P
Rating BB
01/10/11 '.3.12 2.000.000.000 102 7500 2.055.000.00 108.2500 2,165,000.00 110,000 00 60,937 50 162,500.00 7.50%
Original Cosl Basis: $2.055.000,00
GENERAL EEC CAP CORP NON CUM PFD SER Seartly Identifier: 369622946
A 7.125% 06/12162 BIE
DID 06112112 CALLABLE 06/15/22 Moody Paling BAAI SS
P Rating M
06127/12 '32.13 2,000,000,000 105 5300 2,110,605.12 115.7500 2,315,000.00 204,394 88 41,582 50 142,500.00 6.15%
Onginal Cosl Basis $2.122.916.67
LBG CAPITAL NO 1 PLC 144A Security Identifier: G5433BBGB
IMPX.50473108283 8.000% 09/15188 REG
DTD 12115109 CALLABLE 06/15120 SB P Rating BB
12104/13 '112 1,200,000.000 108 2 500 1,299,000.00 108.0200 1,296.240 00 4,76060 28.000 00 96.000 00 7.40%
Onginal Cosl Basis, 51.299.000.00
!LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4
ADDL TIER 1 SECS ISM US539439AG42
7.500% 09/27/88 BIE DID 04/07/14 S d P Rating BB•
Please Provide' 1.903 000 000 N/A Pease Provide 103.0000 1.960.090 00 NIA 1.189.38 112125.00 7.28%
Onginal Cosl Basis: Please Provide
SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: 842400FU2
6.250% 12/31/99 B/E DID 01/17112
CALLABLE 02101122 0 100,000 Moody Rating BAM S S P
Rating BBB-
01/30/12 '.3.12 3,000,000.000 99.8020 2.994.061.72 109.9000 3.297.000 00 302,938.28 0.00 167,500.00 5.68%
Page 6 of 21
Account Nina Der. Itaud tAallor•
„RAR LICJIt SOUTHERN Lic. Go paperless D Ev A e L r B y A V R s R . A S T i E v D a C 2 O 0 M 07 M UNOT/O16
NI F I DESITTAL 7XCIILL7Net
SIDNY_GM_00045613
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 603) OB-SDNY-0008437
EFTA_00156222
EFTA01288585
Oeuici.v Si,,, Pon. roam Manirri4
Mlf•tt% COMM< 4,04P
Deres0A MM selvnt.t
law bet Mc*
P.O. Bag 1776. Barron MO 21203 Na Part Anew.. Mk I kw
'For Tett Pr 10154
Statement Period: 09/01/2014 - 09/30/2010
Portfolio Holdings
(continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Cluaithy limit Cod Cost Bads Market Pria Market Value Cold Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
SOUTHERN CALIF EDISON CO PREF SER E (continued)
Original Cosl Basis: $2.992.564.97
Total Corporate Bonds 922,646,366.45 926,271,105.00 $671,651.55 $502,471.27 $1,702,100.00
23,843,000.000
Total Fixed Income $24,139,966.54 $26,771,566.53 9676,509.99 $569,916.92 $1,702,800.00
29,633,000.000
Unrealized Estimated Estimated
Date Awned Quantity Limit Cod Cod Bans Market Pria Markel Valve Gainfloss Annual Income Yield
Equities
Common Stocks
M OBILEYE NV AM STELVEEN ORD SHS Security Identifier: M BLY
ISA* AL0010831061 CL SIP K51188117
Dividend Option: Cash
08101114 800.000 25 0000 20.000.00 53 5900 42.872 00 22.872 00
APOLLO GLOBAL MGM T Lit CL A SHS Security Identifier: APO
Dividend Option: Cash CUSP 037612306
03129111'.12 263,157.000 19 0000 4,999,983.00 23 8400 6,273,662.88 1.273.679 88 892,102 23 14.21%
APPLE INC CON Security Identifier: AAPI.
Dividend Option: Cash CUSP: 037833100
10128113 14.000 000 75 5800 1,058.120.543 100 7500 1,410,499.94 352,37944 26,320.00 1.86%
09105114 150.000 000 98 9500 14.842.506 00 100.7500 15.112.500 06 269.994.06 282.000,00 1.86%
Total Covered 164,000.000 16 900 626 60 16,523,000.00 622,373.60 3011,320.00
Total 164,000.000 916,900,62640 $16,523,000.00 9622,373.50 9301,320.00
ARIAS PHARMACEUTICALS INC Searrity Identifier: ARIA
Dividend Option: Cash CUSP 040336100
02114112 '.13 7.535.000 15,2090 114.597.40 5.4000 40.689 00 -73.908.40
01124113 '.I3 9,000.000 19.6000 176,400.00 5.4000 48,600 00 .127,80000
Total Noncovered 16,635.000 290,997.40 69,289.00 ,201,708.40
Total 16,535.000 $290,997.40 969,269.00 -$201,701.40 $0.00
Page 7 021
Account Number: Rated Excellent,
Go paperless tnoyVn. since 2007
DeAti RC1Lt SOL THERA nu - F I DrErriA DrxAeLOsuArRmReArT EDODAVAUN.CATIONS
SoNv_Gm_00045614
CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) DB-SDNY-0008438
EFTA_00156223
EFTA01288586
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date "aired Quo Unit Cosl Cost Bads Market Price Market Value Gala( Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
ASCEMA RETAIL GROUP INC CON Security Identifier: ASNA
Dividend Option: Cash CUSP. 043516101
01116101 70.500.000 21 2770 1,500,000.00 13.3000 937.650 00 -562.350 00
BANK OF NEW YORK M ELLON CORP COY Security Identifier: BK
Dividend Option: Cash CUSP: 084058100
0612511/ 250.000 000 36.3060 9.076.406.00 38.7300 9.682 500 00 606.094 00 170.000.00 1 75%
BIOGEN !DEC INC CON Security Identifier: BNB
Dividend Option: Cash CUSP 090623103
02114112'.13 2,095.000 119 5490 250,451.95 330.8100 693,046 95 442,592 00
FACEBOOK INC CL A Security Identifier: F8
Dividend Option: Cash CUSP: 3030311102
05117112 '.13 17.500.000 38.0000 665,000.00 79.0400 1,383,200.00 718,200.00
FOUNDATION MEDICINE INC COM Security Identifier: FM I
Dividend Option: Cash CUSP: 350465100
01113114 25.000.000 27.5070 687,663.50 18.9600 474,000.00 -213.663 50
08105114 24,830.000 23 2530 577,373.02 18.9600 170,776.80 -106 596 22
Total Covered 49,830.000 1,266,038.52 941,776.80 -320,259.72
Total 49,830.000 31,266,036.52 3944,776.80 -$320,259.72 $0.00
GENERAL ELECTRIC CO CON Security Identifier: GE
Dividend Option: Cash CUSP 369604103
04123113'•13 23,000.000 21.5700 496,109.08 25.6200 589,260.00 93 15092 20 240 00 343%
GENERAL MTRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 3704511100
11118110' 10,988.200 36.4010 399,978.16 31.9400 350,963.12 -49.015.04 13.185 84 3.75%
12!09110' 88,536.800 36.8160 3,185,969.22 31.9400 2.763.985.38 -421.983 84 103.844 16 3.75%
Total Noncovered 97,525.000 3,686 917.31 3,114,946.50 ,470,998.86 117,030.00
Total 97,526.000 33,586,917.30 $3,114,948.50 .5470,998.86 $117,030.00
GILEAD SCIENCES INC Security identifier: GILD
Dividend Option: Cash CUSP: 375558103
02/05114 5,000.000 792810 396,407.00 106.4500 532,250.00 135,843 00
03107114 3,100.000 796120 246,797.00 106.4500 329,995.00 83,198 00
Total Coveted 8,100.000 643,204.00 862,246.00 219,041.00
Total 8,100.000 3643,204.00 3862,245.00 3219,041.00 30.00
HEALTH NET INC CON Security Identifier: NNE
Dividend Option: Cash Cie SIP. 422226108
09108114 25,000.000 46.9800 1,174,506.00 46.1100 1,152,150.00 -21,756.00
Page 8 of 21
ein^tr:CCM DEAN 9.r.X1 A S c O c t o , T u H n E t N RA u m te be t r , Go paperless D R (v a A e te r U y d M V Ex e . c M s e t l T S lo i E n s i D t l a C 2 O 9 M 07 M UNIC4TIOI4S. rytts 1.1 t 4 r m o o r- o e r I t S t .t. W r M . MC
F I DriSignAL
SDNY_GM_00045615
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008439
EFTA_00 156224
EFTA01288587
Destine (Wit POIFIleVNISOMMI,Nat
Marais Conran 4 rap
Deautv Sanii Smokes .4t.
Mee Ibri
P.O. Bag 1776. Barron MO 21203 HS Fla MY. nth I bet
a ir/ MSG
Statement Period: 0910112014 - 09/30/2014
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Ameired Clue'My Unit Cosi Cost Basis Market Price Market Value Gale/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
11 ORGAN CHASE & CO COM Security Identifier: ill
ISMtUS46625H1005 CUSP 46625):100
Dividend Option: Cash
07114105 '.3.12 1,453100 488 4840 709,767.89 60.2400 87.528.72 ,622,239.17 2124.80 2.65%
SAMOAN° BIOSCIENCES INC CON Security Identifier: SOHO
Dividend Option: Cash CUSP 800677106
05128/13 50,001000 8.4440 422,214.00 10.7850 539,250 00 117138.00
SANTANDER CONSUMER USA HLDGS INC COM Security Identifier: SC
Dividend Option: Cash VAR 80283M101
01123/14 1,000100 24 0000 24,000.00 17.8100 17,810.00 1.190.00 600.00 3.36%
TWITTER INC CON Security Identifier: WITH
Dividend Option: Cash CUSP. 901841102
11101113 1,500.000 28.0000 39.000.00 51.5800 77,370.00 38.370.00
Total Common Stodm 141,063,252.72 $43,011,159.85 11,947,907.13 $1,510,017.03
Preferred Stocks (Listed by expiration date)
ALLY SRL INC AX TO FLT Security Identifier: ALLY PRB
DIY-8.50% FRED•QTRLY CALLABLE 2510 CUSP. 020055308
ON A QTRLY BASS AFTER 05/15/2016
Dividend Option: Cash
02103112'.13 46.600.000 191820 903.217.51 26.9300 1,254,938.01 351.720.50 99,025.00 7.89%
02109112'.13 81000.000 201250 1,610,000.00 26.9300 2,154,399.99 544,399.99 17010100 7.89%
Total Noncovered 126,600.000 2,513,217.51 3,409,330.00 896,120.49 269,025.00
Total 126,600.000 12,513,217.51 13,409,335.00 1896,120.49 1269,025.00
GM AC CAP TR I GTD TR PFD SECS SER 2 CPN• Security Identifier: ALLY PRA
8.125% FLED OILY MATY•0211512040 CALL OLSIP 361860208
ANYTIME 025 W130 GAYS BEGINS 02115116
Dividend Option: Cash
02122/12 80,000.000 235359 1 882 773 60 26 6100 2,128,800.00 241026 40 162500.00 7.63%
Pays 9 of 21
tt.
B010,216CSF,' Dann Reit t A9c0coLunt Nu C mber: O N F I D G r o E pap r e r rle i s A s R E rDx v A a e e t L e r rO y a d A V r e Rt i x r t a c aR e e eA l L le rT a n E c t D , e C 2 O '0 M 07 M UNCATIONS wavy AC massy IS wet. •••C
SDNY_GM 00045616
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. THERk OB-SDNY:0008440
EFTA_00 15 6225
EFTA01288588
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Acquired Quastity Usk Cod Cod Bads Market Price Markel Value Gale/ Loa Annual Income Yield
Equities (continued)
Preferred Stocks (continued)
ROYAL BK SCOTLAND GP PLC WON ADR REPSTG Security Identifier: RBS PRT
SER T PFD CPN•7.25% FRED ORTLYF'ERP M TY CUSP: 780097713
CALL® 25 ANY W!30 D NOTICE AFIR 12131112
Dividend Option: Cash
10124112'.13 40,000.000 23.7900 951,600.00 25.2500 1,009,999.99 58,399.99 72,500.00 7.17%
01107/13 40.000.000 21.1400 977,600.00 25.2500 1,009,999.99 32,399 99 72,500.00 7.17%
01111113'.13 40,000.000 21.8800 995,200.00 25.2500 1,010,000.02 11,600 02 72,5430.00 7.17%
Total Noncovered 120,000.000 2 924 100.00 3,030,000.00 105,600.00 217,600.00
Total 120,000.000 $2,924,400.00 $3,030,000.00 1105,600.00 $217,600.00
Total Preferred Stocks $7,320,391.11 16,588,138.00 $1,217,718.89 $649,025.00
Options
CALL 100 AMERICAN AIRLS GROUP INC COM Option Identifier: 990ADTZJJ
EW 01.17.150 20.000 OPTION ROOT: AAL Underlying Security Identifier: MI.
1,000.00 of these contracts are in your margin account Underlying Security Price: $35.48
12111/13 ' 1,000.000 8.0330 803,311.59 15.5000 1,550,000.00 716,685.50
PUT 100 AM ERICAN AIRLS GROUP INC COM Option Identifier: 990ADTZ00
EY201.11.150 20.000 OPTION ROOT: ML Underlying Security Identifier. Ml.
4,000.03 of these contracts are a shod position Underlying Security Price: 535.48
12111/13 ' .1,000.000 1.9770 ,197,702.00 0.0800 43,000.00 189,702.00
Total Options 1606,612.50 $1 542 000.00 $936,387.50 10.00
Total Equities $48,989,256.33 $53,121,297.85 $4,132,041.52 $2,159,842.03
Unrealized Estimated Estimated
Dale Acquired Quantity Unit Cost Cod Basis Market Price Market Valve Gait/ Loss Annual Income Yield
Exchange-Traded Products
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DXJ
Dividend Option: Cash; Capital Gins Option: Cash CUSP:. 97717W851
60,000.00 of these shares are in your margin account
12/11/13 60,000.000 19.1350 2,966,098.50 52.3200 3,139,200.00 173,101 50 55 001.10 1.75%
Total Exchange-Traded Products $2,966,098.50 13,139,200.00 $173,101.50 155,00140
Unrealized Accrued Estimated
Cost Basis Market Value Gain! Loss Interest Annual Income
Total U.S. DOLLARS 19502,125.25 1102,595,868.26 11,963,653.01 1569,916.92 13,924,318.47
Page 10021
Account Number: Go kimpdtacelbM
ROLL SOL THERA paperless Lr D vx A ec M riy A uy R re R amre A Sr T i n O c ) e C 2 O 0 A 0 V 7 AUNCATK*6
COKLII FI D rTriA
SDNY_GM_00045617
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008441
EFrA_00156226
EFTA01288589
0cuicry Ram Pon. wean Mairrill
Mamet% COMIC! 4,0‘P
Dests04 Una Sel•nleisC
Nye bet Mc*
14)Poli Aivorme. Ma I to
kliveve l,et
Statement Period:09/01/2014 • 09/30/2014
Portfolio Holdings ,continued)
EURO
Opening doing Accrued 30-Day
Desorption Quantity Balance Balance Currency Income Yield
Cash, Money Funds, and Bank Deposits
Global Cash Balance 291,848.67 291,816.67 EUR
368.631 53 LSO
Total Cash, Money Funds, and Bank Deposits 291,846.67 291,846.67 EUR 0.00
368.631. 53 USO 000
Accrued
Market Value Currency Interest
Total EURO 291,816.67 EUR 0.00
368.631 53 1,60 000
Unrealized Accrued Estimated
Cod Erases Market Value Gain( Lois Interest Mortal Income
Total Portfolio Holdings - U.S. $95,652,125.25 1102,901,199.79 $4,983,653.01 1569,918.92 $3,924,316.17
DOLLARS
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 'appbcable 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 1099-6 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 (ORP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index4inked 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.
1 This bond is maturing.
Page 11 of 21
()PAN Mel 6 A 9 c 0 co 0 un 3 t ; N T um H b E er e ltO I D G A o p E ap N erl T es I s A L D M tr X A e a $ y L u 7 O O d . A V L e R x o N c R n e C A l L l I T e e E n a D t C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045618
NF
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. OB-SDNY-0008442
EFTA_00156227
EFTA01288590
Portfolio Holdings
(continued)
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.
5 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 underlying security. The Current Face value is determined by multiplying the current factor limes 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 transferring agent and Pershing makes no representation as to the accuracy of this information.
Holdings Summary by Currency
Exchange-Traded
Correary Cask Fixed Income Equities Funds Total by CURB"
U.S. DCLLARS 19,556,803 26,778.566 53.121.297 3.139,200 102,595,86B OW
EURO 291,846 0 0 0 291,846 EUR
Total USD Equivalent 19,925,435 26,778,566 53,121,297 3,139,200 102,914.499 USO
% of Allocation 19.35% 26.01% 51.59% 3.05% 100.00%
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Lout
Date Date Transaction Description Quantity Cost Basis Proceeds Disallowance
Short Term
09/19/14 09/18114 SELL ALIBABA GRP SHSADRO9W1027 2.000 000 136.00010 184.57391 48373.91
First In First Out Security Identifier BABA
09123/14 12/13113' PPP WASHINGTON MUT MTG 5 004RA2 M TG PASSTHRU CTF CL 1.290 000.000 2.054.69 2885.20 630.51
C- 11 VAR RATE 6.979% 07/25/33
Security Identifier: 939336520
Original Cost Basis: 2.054.69
09/25114 12/11113' Ffc COUNTRYWIDE HOM E LOA 1 CL 81 4.090% 03125133 WED 4,500,000.000 48,728.00 52.184.47 3.456.47
TD 01130103
Security Identifier 12669DYS1
Original Cost Basis:48,728.00
Total Short Term 0186,712.69 5239.443.58 152.86019
Long Term
09/05/14 07/14105' SELL P MORGAN CHASES CO US46625H1005 1.450.000 708.302.44 86.143.84 -622 158 60
First In First Out Security Identifier. PM
09/17/14 07/14105' SELL P MORGAN CHASES CO US46625H1005 1.450.000 708.302.43 86.955.82 -621.346.61
First In Fast Out Security Identifier: PM
Total Long Term 91,416,604.87 $173,099.16 -$1,243,508.21
Total Short Term and Long Term 01,603,387.56 1412,543.24 -01,190,844.32
Page 12 ON
Account Number Rated excellent
E'10,21CCSFIC Ottaki ROLL SOUTHERN CO NLLC. F I D G .-5 o 1 pa \' p 11 e r ' le 1 ss A L D r b x e A e e L s r B y tu A V r R t . r A R a . A e L T r a E t D e C 2 O '0 M 07 M UNICATIONS
SDNY_GM_00045619
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008443
EFTA_0015 6228
EFTA01288591
(Misr< Ram Pon. Mahn Manip-flan
levels Con(' 6,0‘P
Des-IuN MY %woes Ac
Y. V.4 Olk•
In Pan Ammo. ≥NuI to
any mu
Statement Period:0910112114 • 09/30/2014
Schedule of Realized Gains and Losses Current Period (continued)
• Nonccvered 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.L.110-343, 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. Al 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 vAR be reported to the IRS on form 1099-8 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, 2014, or later, as determined by the Secretary of the Treasury.
This Schedule may not reflect an 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 bekeve to be reliable.
Adjustments to cost basis can be made alter 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 1099-8 or online displays you may have available to you.
When you repot 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 consul 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 all liability that may arise with respect to your use and reliance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attnbutes, obtained from
sources believed to be reliable. In the event, one or mote 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 consul your tax advisor in the preparation of your tax returns.
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot 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 accounts selected tax lot method wil be
used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time or the security disposal, and this may be reported on the IRS Form 1099-8.
Messages
Pursuant to the Securities Exchange Act of 1934, Pershing LLC (Pershing). a BNY Mellon company, provides individual investors with certain financial information on a semi-annual basis.
Pershing's June Statement of Financial Condition is now available. On June 30. 2014, Pershing's net capital
of $1 848 billion was 12.4% of aggregate debit balances and exceeded the minimum requirements by $1.55 billion.
Pershing is also required to provide the most recent financial information as of this statement mailing. In accordance with this requirement, note that on July 31. 2014, Pershing's net capital of $1.88 bifion was
12.74% of aggregate debit balances and exceeded the minimum requirement by $1.59 billion.
Page 13 of 21
cc Ki
Account num berms Maud tmelleM
D MAP 'It'll SOUTHERN F I D G r o i p s ap r e a r n les A s L E DeA v x e Lc r O / l Au V Rm o R m eA S rT I E A D M C 2 O 0 M 07 M UNICATIONS ealrelio.n"7=rotral: l• al iNte
SDNY_GM_00045620
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008444
EFTA_00156229
EFTA01288592
M essa es
(continued)
A copy of the June 30. 2014, Statement of Financial Condition is available at pershing.corn/statement_offinancial_condition.html. You may also request a free. printed copy by calling (888) 860-8510 or (201)
413-4200, option IS.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection CimporatictitSIPC).
For disclosure of rates for DWS money market funds, please visit the DM Investments website at https:thw.w.dws-investnients.conVENfproductirmoney-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 $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 =tact your advisor for additional information.
Deutsche Bank has combined its asset and wealth management operationsAincluding Deutsche Bank Alex. Biownainto a single division operating under the Deutsche Asset & Wealth Management brand and
future communications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and
investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a motel of FINRA, NYSE and SIPC.
The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding.
Activity Sum m ary (Ailemounts shown are in base amency)
Cred is This Period Year-to-Date Debits This Period Year•to-Date
Securities Securities
Secunbes Bought 0 00 0 00 Securities 04ughl -16.153.012 00 -35.965.28011
Securities Sold 357 573 57 18 212 128 91 Securities Sold 000 003
Total Securities 1357.673.57 $18.212.128.91 Total Securities ,118,153,012.00 -$35.965,280.11
Dividends and Interest 1129,238.96 12,014,523.83 Dividends and Interest 10.00 -193,807.51
Distributions $52,809.05 16,525,614.96 Distributions $0.00 10.00
Fees $0.00 $0.00 Fees 30.00 -$54.00
Cash Cash
With cranals 0 00 0.00 Withdrawals 000 •1.331,215.00
DeposIts 320 000.00 11,188.707 15 Deposits 0 00 0.00
Total Cash 1320,000.00 111,488O7.15 Total Cash $0.00 .$1,331,245.00
FDIC Insured Bank Deposits 10.00 137,48607.11 FDIC Insured Bank Deposits $0.00 ,119,304,764.85
Money Market Funds 115,930,868.18 125,859,738.31 Money Market Funds .$3,017,717.01 .$45,362,167.19
Total Credits 116,790,09.74 110107,230.13 Total Debits -$19,170,729.01 .1102,057,316.66
Page 14 $21
Account Number. Rated tsconent
I }0A0 ROtt S0LTHERA ONLI.C. FID G AE o p N ape T rle I ss A L Lr b x e ae e t r se y a n V rtm s R . e A S rT i E v D a C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045621
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008445
EFrA_00156230
EFTA01288593
0...we Ram Pnwp MAP. PANmenml
Meals Cisme CAM
MANN MY koonerm
AA CAM
JD AM ANNA ISA INA
WA AA IA IONA
Statement Period: 0910112/14 -0113012114
Transactions by Type of Activity
Proceui Trade!
Settlement Transaction
Date Date Activit T pe Desa ion Clean Price floated Interest Amount Curren
Securities Bought and Sold
09/10/11 09105/11 PURCHASED APPLE INC COM UK SOL AVERAGE UNIT PRICE TRANSACTION 150.000 000 98.8900 •14.842.50600 USD
MPL YOUR BROKER ACTED AS AGENT
09110114 0910511/ SOLD .P M ORGAN CHASE 8 CO COM ISINS LS16625141005 BKCM -1.150 000 59.4750 86,11381 LSD
PM A PERSPIAG AFFILIATE MAKES A MKT IN THIS SECURITY
ACTED ASPRINCIPAL UNSOLICITED ORDER
09111114 09/08114 PURCHASED HEALTH NET INC COM UNSOL AVERAGE UNIT PRICE 25,000.001 46.9200 .1,174,506.00 LSD
HAT TRANSACTION YOUR BROKER ACTED AS AGENT
09122114 09/11/14 SOLD MORGAN CHASE 8 CO COM 'SINN US46625141005 BKCM .1.450.000 60.0350 86.955.82 USD
PM A PERS, IK G AFFILIATE MAKES A MKT IN THIS SECURITY 8
ACTED ASPRINCIPAL UNSOLICITED ORDER
0912/114 0911811/ PURCHASED ALIBABA GRP SHS ADR ISIN0US01609W 1027 PROSPECTUS 2.000.000 68.0000 -136,00000 LSD
BABA UNDER SEPARATE COVER
09124114 09119114 SOLD ALIBABA GRP SHS ADRISINOUS01609W1027 AVERAGE UNIT -2.000.000 92.3520 184.573 91 LSO
BABA PRICE TRANSACTION YOUR BROKER ACTED AS AGENT
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 .15,795,338.43
Dividends and Interest
09/25/11 80AD INTEREST RECEIVED COUNTRYWIDE HOME LOAN S SER 03.1 CL 81 4.090% 4.998.56 USD
126690Y51 03/25/33 WE RD 09124 PD 09/25/14 INTEREST 91.110792
1500000 SFS
09/25/14 BOND INTEREST RECEIVED WASHINGTON M U T 14 TG SECS CORP 2004-RA2 M TG 4.335 21 USD
939336S20 PASSTF RU CTF Cl. 6.979% 07125133 WE RD 09124 PD
0912511/ INTEREST LI 3.360627 1290000 91
09/26/14 CASH DIVIDEND RECEIVED 97525 SF RS GENERAL M TRS CO COM RO 09/10 PO 0912611/ 29,257.50 USD
GM
09/29/11 FOREIGN BOND INTEREST 1903000 LLOYDS BANKING GROUP PLC FXD RATE RESET 35,681 25 USD
539439AG4 ADDL TIER 1 SECS 'SIN* US539439AG42 7.500% 09/27188
WE DTD 04/07/14 CLB RD 09/26 FO 09/29/14
Page 15 of 21
Account Number. RANI ExaMme.
URAS Rol SOUTHERN ONLLC. FlD G E o p S ape i rl n es A s L D [ r m XAC y LI B / R A V LRI A N R IN CA E S T o E m D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045622
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008446
EFTA_00156231
EFTA01288594
Transactions by Type of Activity (continued)
Process/ Tradel
Settlement Transaction
Date Date Activity Type Desaiption Quantity Price Accrued Merest Moult Currency
Dividends and Interest (continued)
09130114 MONEY MARKET FUND DWSGOVT CASF INSTL 591.44 LSO
INCOME RECEIVED
233993682
09130/14 FOREIGN SECURITY DIVIDEND 120000 SF RS ROYAL BK SCOTLAND GP PLC SPON ADR 54,375.00 LSD
RECEIVED REPSTG SER T PFD CPT,-7.25% FRED Q RTLY PERP II TY
RBS PRT CALL@ 25 ANY W/30 D NOTICE AFTR 12131112 RD 09115 PD
09130114
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 129,238.913
Distributions
09125114 RETURN OF PRINCIPAL COUNTRYWIDE HOME LOAN S SER 03.1 CL 01 4.090% 52.184.48 USD
RECEIVED 03125/33 WE RD 09124 PD 09/25114 INTEREST 0 11.59655
126690Y51 4500000 SFS
09125114 RETURN OF PRINCIPAL WASHINGTON MUT MTG SECS CORP 2004-RA2 MTG 624.57 LSD
RECEIVED PASSTFRU CTF CL 6.979% 07125)33 WE RD 09124 PD
939336$20 09/25114 INTEREST fl 0.484166 1290000 S-S
Total Distributions • UNITED STATES DOLLAR 0.00 62,809.05
Other Transactions
09/25/14 09124/14 ACTIVITY WITH IN YOURACCT ALIBA8A GRP SFS ADR ISINI US01609W 1027 Ik TRA-ACCT -2.000.000 0.00 LSO
BABA XL
09125114 09124114 ACTIVITY WITF IN YOUR ACCT ALIEIMIA GIV SFS ADR ISINI US01609W 1027 Ik TRAACCT 2,000.000 0.00 USD
BABA ..111.
Total Other Transactions • UNITED STATESDOLLAR 0.00 0.00
Cash Withdrawals and Deposits
09104/14 FEDERAL FUNDS RECEIVED DEL TSCF E BANK TRUST 00586 320,000.00 LSD
LS0999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 320,000.00
Money Market Funds
09/02/14 MONEY FUND PURCHASE DWSGOVT CAP INSTL -2434,51427 LSO
USD999997
09/05/14 MONEY FUND PURCHASE DWS GOUT CASh INSTL .320,00010 LSD
USD999997
09/10/14 MONEY FUND REDEMPTION DWSGOVT CASh INSTL 14,756.362,16 LSO
USD999997
09/11/14 MONEY FUND REDEMPTION DWS GOUT CASF INSTL 1,174,506.00 LSD
USD999997
09/22/14 MONEY FUND PURCHASE DWSGOVT CASI, INSTL -86.955.82 LSD
USD999997
09/24/14 MONEY FUND PURCFASE DWSGOVT CASF INSTL .48.573.91 LSO
U S0999997
Page 16 of 21
Account Number Rated taallene
08Al3 ROI I SOUTHERN CNO NLLC. Go paperless ( D v A e L r y B A Y R e a R r A S T i E v D a C 2 O 0 M 07 M UNCA T10.6
FlD r1SMAL MULL NCI
SDNY_GM_00045623
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008447
EFTA_00 156232
EFTA01288595
I
/4 77 (*shoe Bant InmerManI Mmonan
Minim tonna 6.0‘0
OMAN ML Semis M.
PC '°0 2 & 77 . 7 1 A 7 16 00 tr.vc M0 21202 30 IN M A A A I s M a. W lo IN th I IRN
•A rm *A NY 10IM
Statement Period: 09/01/2014 • 09/3012014
Transactions by Type of Activity (continued)
Protest/ Trade!
Settlement Transaction
Date Date Activity Type Description Quantity Price Accrued Interest Mount Currency
Money Market Funds (continued)
09126/14 MONEY FUND PURCHASE DWS GOUT CASH MIL •62.14282 LSO
USD999997
09129114 MONEY FUND PURCHASE DWSGOVT CASH INSTL .29,257.50 USO
USD999997
09130/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL -35.88125 USD
US0999997
09/30/14 MONEY MARKET FUND DWSGOVT CASH INSTL INCOME REINVESTED .591.44 USD
REINVESTMENT
233993682
Total Money Market Funds • UNITED STATES DOLLAR 0.00 12,913,151.11
Total Value of Transactions 0.00 .1,310,139.17 USD
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Security Record Date Payable Data Quaotity Held Rate Dividend Option Mount of Payment
Dividends
GENERAL ELECTRIC CO COM 09/22114 10121114 23,000.000 0.220000 Cash 5.060.00
Interest
HEADWATERS INC GTO SR NT 09/15/14 10/01/14 1,000.000 000 0.038125 Cash 38.125.00
1.625% 04/01/19 WE
Total Cash Not Yet Received $43,116.00
Page 17 of 21
ilm.7 Poi k A SO cc U o T u H n E t R N N u m C be N r O NLLC. F I I-S (A0 E p M ape - r N less A L D R rWx a i eA n te n R d t V E Mrh m . . Ri . e eA l s l r T o o E n m D i e C 2 O 0 M 07 M UNIOND ONS aoltirrottst a'ara....mresh.
SDNY_GM_00045624
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008448
EFTA_00 156233
EFTA01288596
Bond Maturity Schedule
Bond Maturity Market Valve % of Bond Market Value
Within I month 1,061,600.00 4% CI Percentages of bond market values are
rounded to the nearest whole percentage.
I to 5 years 4181,250 00 16% I:TI
610 10 years 3,589.425 00 13% F1
Over 10 yews 17,146,201.53 67% 0
Total 26,778,566.53 100%
Bond Quality
Bond Quality Market Valve '4 of Bond Market Value
21% FM
EA.) 5,612,000.00 Percentages of bond market values are
eAllower 19,251,066.64 72% rounded to the nearest whole percentage.
hot Rated 1,915,499.89 7% n
Total 26,776,516.53 100%
Client Service Information
Your Client Advisor: TDS Contact Information
TAZIA SMITH Telephone Number:
345 PARK AVENUE 14TH FLOOR
NEW YORK NY 10154
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 Securides: FIRST IN FIRST OUT
Electronic Delivery
You have not selected any account tom m unications for electronic delivery. To register and turn off paper con m unications. log in to your account or contact your Client Advisor for more inform alion.
Important Information 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 dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Secunties for which a pace is
not available are marked —6I/A— and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
Page 18 of 21
Account Number Raid too-Monti
ye, >I k SQL THERA Ct sL,o F I D C i n o P S aP I e T Tle I ss A L I LO % AL C O M AVR I f N IN C T I E DC2rMAIUNCATIONS
SDNY_GM_00045625
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008449
EFTA_00156234
EFTA01288597
Orvitec n Paamir-wrat
Mootts Ongegt 4.0.p
0...,u la Nom 141,..1.1 M.
Yivb LOM1w
li,Pant Ann**. noct
*no writ Pa la VA
Statement Period: 0910112114 • 09/30/2114
Important Information and Disclosures (continued)
Estimated Annual Figures (continue")
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
wompershing.cornibusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
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, may be obtained. 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
information is available 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
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 of 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. dollars 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 cc 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 billed 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 & Poors 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 & Poor's is not responsible for any errors or
omissions, regardless of the cause, of 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 a Poets 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 shown here are not reflected i 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 Duality
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 19021
Account Number: Go paperless (von V ta . celi osanngti e 2007 %er.
SOUTHER cto - FI D riTriA rCxAeLsLuUMrm ReATr ED COMMUNICATIONS
SDNY_GM_00045626
CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) OB-SDNY-0008450
EFrA_00156235
EFTA01288598
Important Information and Disclosures (continued)
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a cleanrg 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 (i) any other instructions concerning your account. Pershing is not responsible or kable 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 result 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 conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. AI 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 account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. II 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: www.pershing.comistrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includtg 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; 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 filed.
• Arbitration awards are generally final and binding; a party's ability 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 patties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators veil 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 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 shaft 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 govem.
Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399;
Page 20 of 21
Account Number Rated tocellenti
DeA0 SC L THERA C$NO LLC. Go paperless r L 0x v Ae e L r nB y uA V rRr a aR . e A S rT in E c O e C 2 O 00 M 7 M UNCATIONS
N F I DArN TEAL
SDNY_GM_00045627
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008451
EFTA_00156236
EFTA01288599
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 POSMONER 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 ANOIOR 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 AU. APPLICABLE LAWS AND REGULATIONS 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. PERSHING'S OFFICES. A COPY OF I T WILL BE MAILED UPON YOUR WRIT TEN REQUEST OR YOU CAN
• YOU MAY HAVE RECEIVED CONFIRMATONS 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. WYPN.PERSHING COM/BUSINESS_CONTINUITY.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 PERSHING'S 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, ELECT RONK: 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 EQUITY 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 LISTED 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 TO ACCEPT ORDERS.
• AFTER YEAR END. PERSHING IS REQUIRED 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 (NBE10). 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 TIM DISTRIBUTION OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHN G ALSO REGULARLY
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY 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 GWEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM 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
LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DSCRETION AT ANY TIME, WITHOUT TENDER,
DEMAND OR NOTICE TO YOU. CLOSE CR 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 SECURITIES 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 8Y LAW.
IF ANY OF TlE ABOVE TERMS MID CCHOITIONS ME UNACCEPTABLE TO YOU. PLEASE NOTIFY PERI:MING OMEGA,E LY IN WRITING BY CERRO:ED PAWL 1001E PERSHING PLATA. JERSEY CITY. NJ 01399. ATM LEGAL DEPT
Page 21 of 21
Account Number: Rated tHreIleS
USAI3 ROLL Go paperless E C v A er L y M V. . A R . A T M E D C 2 O 0 M 07 M UNKATIONS
FI D arnAL rxem wan
SDNY_GM_00045628
6:; THERrON
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. DB-SDNY-0008452
EFTA_00 156237
EFTA01288600
Oeuliv.v gam Pon. Wealth Manip-nent
Vinci% Cowan Gtp‘p
Dt.ltem Mr StIv.nel mc
PA e.11 7/0. Oa..., •MDM203 Ma Pa M rt w A b ne rb w O . ) N M O u tt.
Account Number:
Statement Period:0801/914 -18/31/2114
Valuation at a Glance
This Period Year•to-0ate
SOUTHERN FINANCIAL LLC Beginning Account Value $103,835,665.44 $90,573,050.28
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 473,000.00 9.837,542.15
ST THOMAS VI 00802 Adjusted Previous Account Value 103,362,665.14 100,110,592.13
Dividends. Interest and Other Income 439.623 39 2,417.791 02
het Other Activity 0 00 .54 00
Net Chan e in Porlfolio 417 409 86 1 391 369 21
nding Account Value S10' 2 1 9.6 9 8.6 9 S104.219 698,69
Your Client Advisor: Estim ated Annual hewn e 53.646.365,03
TAZIA SMITF
Asset Allocation
Prior Year•Fad Last Period This Period % Allocation
LSD Cash. Money Funds. and Bank Deposits 18195.919 71 30,329,970.74 31,850,094.30 3344% Please review your aBocabort
LSD Fixed Income 27,736,972.38 23.923.091,06 19.591.46014 1880% Assets allies than 1% of holehnp
han•L SD Fixed Income 10.227,309 46 7.759.787 00 7322,321 25 7 11% %A not display on this pie chart
LSD Equities 30.410.519.65 41.232,354 98 38.644,087 25 3708%
h ant SD Equities 3.137.192 74 0.00 3.027.311.00 2.90%
han•L SD Cash. Money Funds. and Bank Deposits 402,106.34 390,461 66 381,391 25 0.37%
Other 363.000.00 010 0.00 0.00%
Account Total (Pie Chart) 690,573,060.26 5103,635,565.14 $101,219,695.89 100.00%
See the Asset Aliscabon Disclosure and Footnotes sechan br nponant infonaton renewing your Asset Aincation.
Pape 1°120
6161FIDGPEIPaPSffisAL( li v ta e ta ry d V ta e c s e t l I l M •ra O . 2007 aalti=ener—t== lc —"="
rDxAeL BruARm ReArT ED COMMUNC ATIONS
SDNY_GM_00045629
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-00O8453
EFTA_00 I 56238
EFTA01288601
Asset Allocation Disclosure and Footnotes
Certain values have been defaulted into the Other Asset Class due to incompiele categorizing data
Al values are displayed in U.S. dollars based on interbank exchange rates as of O813112014. 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 1.980 38 18.212 90 2.733.326.04
Long-Term Gain/Loss -2.611.813 65 -7.029.061.12 2.717.691.59
Net GaIn/loss -2,809,833.27 -7,010,818.22 5,451,017.83
This summary excludes transactions where cost basis information is not available.
Exchange Rate Table Global Cash
Currency Closing Mount in
Currency USD Equivalent per USD Currency Balance Base Currency USD
I
EURO 1 3171 0.7592 EURO 291.846 67 384 391 25
Total Global Cash Balance $384,391.25
Exchange rates are based on interbank exchange rates as of 08/31/2O14. Exchange rates can vary.
Money Market Fund Detail
Date Activity Type Description Amount Balance
Sweep Money Market Fund
owS GOVERNMENT CASH INSTI.
Account Number: Conant Yield: 0.03% Activity Ending: 0812911/
08101/14 Opening Balance 30,324,169.54 30,324,169.54
08101/14 Deposit MONEY FUND FURCFASE 5.801.20 30.329.970.71
08105114 Deposit MONEY FUND FURCFASE 2,093,750.00 32,423,720.71
08106/14 Deposit MONEY FUND FURCFASE 261.889.92 32,685,610.66
08108114 Withdrawal MONEY FUND REDEMPTION -534.873.02 32,150,737.64
08/12(14 Deposit MONEY FUND FURCFASE 82,091.18 32.232,828 82
0811471/ Withdrawal MONEY FUND REDEMPTION -266.420.00 31.966.408.82
08/18/14 Deport MONEY FUND PURChASE 165,48129 32,131,890.11
08/19/14 Deposit MONEY FUND FURCFASE 82,431.92 32.214.322.03
08/22/14 Deposit MONEY FUND PURCFASE 83,418.63 32,297,740.66
08/26/14 Deposit MONEY FUN() FURCFASE 30.618.92 32.328.359 58
08/29/14 Deposit MONEY FUND FURCFASE 86.404.83 32.414.764.41
08/29(14 Deposit INCOME REINVEST 815.62 32.415,580 03
08/29/14 Closing Balance 632,415,680.03
Total All Money Market Funds $32,415,580.03
Page 2 of 20
Account Number. Rai tacellera
Qol SOUTHER/etO/ N LI.C. FID G E o p N ape T rle I ss A L r I Dx v A o aL r r y Bt Au V Rr a r R . ie S Ar i T n E c D e C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00046630
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008454
EFTA_OO 156239
EFTA01288602
Dean Um km,. Weada lAptagenan
Metreits mSiet 6.0.P
Deelsch• Sank sbes Inc
Mow let Oita.
PC. Bcp 177P. EliI t moot MD 2120 HS Put Asa. loth lbw
weer *A NY 101M
Statement Period: 0 8/11/ 2114 -1813112114
Income and Expense Summary
arrent Period Year-to•Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 116,33625 0.00 468,15723 0.00
Money Market 815.62 0.00 3,587.45 0.00
Other Dividends 93,750.00 0.00 499,005.20 0.00
Interest Income
Bond Interest 67,04426 0.00 695,86121 0.00
FDIC Insured Bank Deposits 0.00 0.00 2,691.15 0.00
Other Interest 40.625.04 0.00 121,875.12 0.00
Total Dividends, Interest, Income and Expenses $316,571.17 $0.00 51,791,477.36 $0.00
Distributions
Alternative Investments 0.00 121,052 22 0.00 626,313.66
Other Distributions 0.00 21.171.66 0.00 488.230.19
Total Distributions $0.00 $142,226.88 $0.00 $1,114,643.15
Portfolio Holdings
U.S. DOLLARS
Account Adbrity Opening Going Ataued Income 31•Day Cermet
Opening Date Quantity Number Biding Balance Balsam Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits
Cash Balance 5,801.20 2,434,514.27
Money Market
DWS GOVERN M ENT CASH INSTL
08101114 32.415.580.030 0812911/ 30.324.169.54 32.415.580.03 26.65 3.587.45 0.03% 0.03%
Total Money Market $30,324,169.54 632,415,590.03 $26.65 $3,587.45
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
0810111/ 0812911/ 0.00 0.00 0.00 2.691.15 N/A NIA
Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 62,691.16
Total Cash, Money Funds, and Bank Deposits $30,329,970.74 $34,650,094.30 $26.65 $6,278.80
Page 3 of 20
Account Number Rated tscollerdi
ORAN ROLL SO t,THERN N LLC. F I D G A o E pa N pe T rle 1 ss A L Dr [v xA o cU n iu M Y r e .n R a e r A W rT E oo D s C 2 O 0 M 07 M UNCA MN'S
SDNY_GM_00045631
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008455
EFTA_00 156240
EFTA01288603
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Acaued Estimated Estimated
Date Acquired Quantity Unit Cost Cog Bass Market Price Market Value Gall Loss Interest Annual Income Yield
Fixed Income (In Maturity Date Sequence)
'Asset Backed Securities
COUNTRYWIDE HOME LOANS Security Identifier: 12869 07 51
SEA 03.1 CL 814.090% 03125/33 DIE
DID 01130103
Fedor. 0.23181744 Effective Date:08101114
Current Face Value: 1.043.178.480
12113113'.3.12 4,500,000.000 93.3760 974.082.95 86.1950 899,167 69 .74,915 26 3,555.50
Original Cost Basis. $1.111.573.07
WASHINGTON MUT MTG SECS CORP 20041142 Security Identifier: 939338520
M TG PASSTHRU CTF CL C.B.I VAR RATE
6.972% 07125133 WE DTD 06/01/04 S & P Rating D
Factor 0.57776879 Effective Date:08101/14
Current Face Value: 745,321.739
12113113'.3.12 1,290,000.000 76.5190 570.309.83 87.0420 648,742 95 78,433.12 4.330.58
Original Cost Basis $638.906.71
Total Asset Backed Securities $1,544,392.76 51,547,910.64 $3,517.86 $7,886.08 $0.00
5,790,000.000
Total Current Face Value : 1,768,500.219
Corporate Bonds
PM ORGAN CHASE & CO M EDIUM TERM NTS Security Identifier: 48126NVE4
CAPPED CONTINGENT BUFFERED EQUITY NTS
0.000% 10118114 WE DID 09/27/13
12105/13 '.3,12 1,000,000.000 100 0000 1,000,00010 105.0400 1,050.400 00 50.400 00 0.00
Original Coal Basis: $1.000,000.00
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
NOTES SENIOR ISA 0 X50460546525
5.000% 10128115 REG DTD 10/28109 S t P Rating B4
12104113'.3.12 2,500,000.000 93.8050 2,340,116.28 93.0000 2,325.000 00 15.116 28 42.361 11 125.000 00 5.37%
Original Cost Basis $2.250.000.00
HEADWATERS INC GTD SR NT Security Identifier: 42210PAQS
7.625% 04101/19 DIE DM 03/11/11
CALLABLE 04101115 {1 103.813 Moody Rating B2 St P
Rating EI4
10122712 '.11.13 1,000,000.000 102 1670 1.021.666.69 105.5000 1,055,000.00 33,333.31 31,770.83 76,250.00 7.22%
Original Cost Basis: $1.035000.00
EARTHUNK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC6
CUSP FROM 2703214B8 8.815% 05/15/19 WE
DTD 05117111 CALLABLE 05/15115 St P Rating CCC•
10122/12 '.3.12 400,000.000 102.6890 410.756.48 102.2500 409,000 00 4,756.48 10,452.78 35,500 00 8.67%
Page 4 of 20
Account Num ber. Rated tacollonl
OSAO ROLL SOL THERA /O4 NLie. FID G E o p I a S pe I r T les I s A L rD L x y A o eL n s O .. u A V R . r 7 n . R 7 e . A 9 rT 0 E 0 D 7 C 2 O 0 M 07 M UMCATIONS
SDNY_GM_00045632
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008456
EFTA_00 15624 I
EFTA01288604
Orals'. exec Pon. wean Mairnent
Mavert$ COMM, GW‘P
°eaui v ML starts W.
New Pon dice
P.O. ea 172E Wens* MD 21243 so Perli Pirtiap
Statement Period: 0810112014 -080112014
Portfolio Holdings
(continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired 004814 Unit Cost Con Basis Market Price Market Value Gain! Lou Infest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
EARTHUNK INC GTD SR NT FULLY EXCHANGED (continued)
Original Cosl Basil; 5414.000.00
10123112'.3.12 600,000.000 102.4990 614191.62 102.2500 613,50000 -1,492.62 15679.16 53,250.00 8.67%
Original Cost Bait $619,500.00
Total Noncovered 1,000,000.000 1,025,749.10 1,012,500.00 .3119.10 26,131.94 68,750.00
Total 1,000,000.000 11,026,749.10 $1,011,500.00 0,249.10 326,131.14 161,750.00
SERVICES ASTER CO SR NT - CUSP FULLY Security Identifier: 11760NAN9
EXCHANGED FROM OLD CUSIP 81760NAL3
6.000% 02115/20 B/E DTD 02113112 Moody Rating CAAI S
P Rating 8-
01124113 '.12.13 440.000 000 104.5910 460.19163 107.2500 471,900.01 11,700.36 1,584.44 35,200.00 7.45%
Original Cosl Bane 5468,050.00
02125/13 1,000, ON. 000 105 1020 1,051,018.62 107.2500 1,072,499.99 21,481.37 3,555.56 80,000.00 7.45%
Original Cost Bane $1,071000.00
Total Nononered 1,140,000.000 1,511,211.26 1,544,400.00 33,181.75 6,120.00 115,200.00
Total 1,140,000.000 $1,511,211.25 11644,400.00 133,111.76 $6,120.00 1116,200.00
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: GIS16PP41
TERM NOTES ISM XS0717735822
9.875% 12116/21 REG DM 12118111 Moody Rating Ba1 S8
P Rating BBB
12/04113 '.3.11 1.500.000.000 107 9440 1.619.166.62 117.0000 1,755,000.00 135.833 38 104.510 42 148.125 00 8.44%
Original Cosl Bans: 51.627.500.00
SOUTHERN CALIF EDISON CO Security Identifier: 042400FU2
PREF SERE 6.250% 02101122 B1E
DTD D1I17/12 CALLABLE 02/01/22 Moody Riling BAA1 S
P Rating BBB-
01130112'•3.12 3,000,000.000 99.8020 1,994,061.72 108.7500 3,262,500.00 268,438.18 15,625 00 187,500.00 5.74%
Original Cost Bait 52,992,581.97
Page 5 of 10
:'0972SZCSF!' ORAN Lek I Acc L o T u H n E t N RA u m bar Go paperless R L D y A a o b L n i B d . A V e R x .. c R . e A ll S e T e n E n t D , t o C 2 O 0 M 07 M UNCATIONS r.atr=
F ID ranAL rxesturtraer
SDNY_GM_00045633
CON
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008457
EFE4_00 156242
EFTA01288605
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Chastity Halt Cog Cod Bads Market Price Markel Yalee Gals: Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
BARCLAYS BK PLC CONTINGENT CAP NT Security identifier: 0673BEHNO
IR US06739F1.103 7.750% 04110123 B/E
DID 04110113 CALLABLE 04110118 S 8 P Rating Bat
04103/13 300800 000 100 0000 300.000.00 111.2500 333.750.00 33.750 00 9.101.25 23.250.00 6 96c..
Original Cost Basis 6300.000.00
Pm ORGAN CHASE 8 CO DEP SHS REPSTG Security Identifier: 48625HHA1
111011- PFD SER 1 FIXED TO FLTG RT BD
7.900% 041291/9 WE DTD 0/123108 Moody Rating BA1 S8
P Rating BBB
06115111 ..3.I2 2,500,000.000 107 5000 2.687.500.00 110.6250 2.765.625.00 78.125 00 65.833 34 197,500.00 7.14%
Original Cosl Basis: $2.687,51100
06115111 1.3.12 2.500.000 000 107 0000 2.675.000.00 110.6250 2.765.625.00 90.625.00 65.833 33 197.500.00 7.14%
Original Cosl Basis: 52.675,01100
Total Noncovered 6,000,000.000 1382,500.00 5,531,250.00 166,760.00 131,886.61 396,000.00
Total 6,000,000.000 15,362,500.00 15,531,250.00 1188,710.00 $131,1166.61 8396,000.00
BANK AM ER CORP PERP NON CON MAUVE DEP Security identifier: 060505075
SHS EDS TO FLOAT 8125% 04/30/58 B/E
DTD 04130/08 CALLABLE 05/15118 Moody Rating BA3 S 8 P
Rating BBB
01/10111 '.3.t2 2 000 000 000 102 7500 2.055.000.00 111.0000 2,220,000.00 165.000 00 47,84722 162.500.00 7.31%
Original Cost Basis: 52.055.000.00
GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 369622SN6
A 7 125% 0611216281E
DTD 06112/12 CALLABLE 06/15122 Moody Rating BAAI S8
P Rating AA-
06127112'•3x•33 2,000,000.000 105 5300 2,110,605.12 117.8750 2,357,500.00 246,89488 30,083 33 142,500.00 6.04%
Onginal Cog Bait 12,122,916.61
LBG CAPITAL NO 1 PLC 1I4A Security Identifier: G5433BBG8
ISM XS0473106283 8.000% 09/15/88 RS
DTD 12/15/09 CALLABLE 06/15120 68 P Rating B8
12104/13 'IA 1 200 000 000 108 2500 1,299,000.00 109.4000 1,312.800 00 13.800.00 0.00 96.00010 7.31%
Original Cog Bags: $1,299,000.00
ILLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439A04
ADDL TIER 1 SECS ISINitt.S539439AG42
7.500% 09121188 B/E DID 04/07/14 S 8 P Rating 81
Please Provide 1,903,000.000 N/A Rease Provide 104.8750 1,995.771 25 N/A 24,976 88 142,725.00 7.15%
Page 6 of 20
OR/.R A S c O c L o T u H n E t N RA u mber. N LLC. FI D Gro ipsapemrlesAs L D L R rx v a Aa n te Ur y t d uM V t r a e n. c e Rs M r Ae L Tr w a C t c O i e C 2 O 0 M 07 M UNCATOONS r • a •• r • l • a •• n L e L a G n•m r. • .. • " • : • •• t• • S • a . L w ta e . e = O m r iC =
SDNY_GM_00045634
CONFIDENTIAL — PURSUANT TO FED. R CRIBA P. 6(e) OB-SDNY-0008458
EFrA_00156243
EFTA01288606
Onasre Ram Pon. WsYn hty.0"-k“.
Matott% COm tie 4.0.p
Destflh• lam stun*, mc
BAromanMD21203 Mrs Ilert Olk•
P.O. Bag 1776. 341Part A . Ita I to
Nrve Int 10114
Statement Period: 08/01/2014 - 08131/2014
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired OuselRy Wilt Cod Cod Basis Market Price Market Value Gale: Loss 'flied Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
LLOYDS BANKING GROUP PLC FXD RATE RESET (continued)
Original Cod Basis: Reese Provide
Total Corporate Bonds 122,839,083.78 18,785,871.25 11,131,011.22 1489,199.85 $1,102,800.00
23,813,000.000
Total Fixed Income 12 4,183,476.58 $21,313,181.89 81,134,534.06 8477,085.73 81,702,800.00
29,633,000.000
Unrealized Estimated Estimated
Dale Acquired Quantity Veit Cod Cod Basis Market Price Markel Valle Gait/ Lou Annual Income Yield
Equities
Common Stocks
M OBILEYE NV AM STELVEEN ORO SHS Security Identifier: M BLY
ISO, 6 AL0010831061 CUSP. h.51488111
Dividend Option: Cash
08101114 800.000 25 0000 20.000.00 43.1800 34.544 00 14,544.00
APOLLO GLOBAL MGM T Lit CL A WS Security Identifier: APO
Dividend Option: Cash CUSP. 037612306
03129111 '.13 263,157.000 19 0000 4,999,983.00 24.4000 6,421,030.80 1,421,047.80 892.102 23 13 89%
APPLE INC CON Security Identifier: AAPL
Dividend Option: Cash CUSP. 037833100
10128113 14,000.000 75 5800 1,058,120.50 102.5000 1,435,000.00 376,879.50 26.320 00 1.83%
AMU PHARMACEUTICALS INC Staidly Identifier: ARIA
Dividend Option: Cash CUSP 04033A100
02114112'.13 7,535.000 152090 114,597.40 6.2200 46,867.70 -67,729.10
01124113'.13 9,000.000 19.6000 176.400.00 6.2200 55,980.00 -120.42000
Total Noncovered 18,535.000 290,997.40 102,847.70 488,140.10
Total 18,535.000 1290,997.10 8102,847.70 -888,149.70 $0.00
ASCENA RETAIL GROUP INC COM Security Identifier: ASNA
Dividend Option: Cash CUSP 04351G101
01116/01 '.3 70,600.000 212170 1,500,000.00 17 3900 1,225,995.00 -214,005.00
Page 020
Account Number. _ Go paperless Lti. Rated Corelleria
IMIAN Mel 67e)LTHERN COO LI FI D r r1 A D ( e v x a e e i r l u t y a n V t. S .. R e t A S T i E ne C , . C 20 O 0 m 7 m uroCATIONS rawt AC ramose nimbi. rent. MK
Somv_Gm 00046636
CONFIDENTIAL — PURSUANT TO FED. R CRIM. OB-SDNY_0008459
EFTA_00 156244
EFTA01288607
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Ind Quad Wit Cod Cod Basis Market Price Market Value Gain, Loss Animal Income Yield
Equities (continued)
Common Stocks (continued)
BANK OF NEW YORK MELLON CORP CON Security Identifier: BK
Dividend Option: Cash CUSP 064058100
06125/14 250.000 000 36.3060 9576.406.00 39.1800 9.795.000.00 715594 00 170.00500 1.73%
BIOGBI IDEC INC CON Security Identifier: Bile
Dividend Option: Cash CUSP. 09062X103
02114112 '.13 2.095.000 119 5190 250.454.95 343.0400 718.668 80 408.21385
FACEBOOK INC CL A Seaway Identifier: FB
Dividend Option: Cash CUSP: 3030311102
05117112'.13 17500.000 38.0000 665,000.00 74.8200 1,309 350 00 644,350 00
FOUNDATION MEDICINE INC COM Security Identifier FM I
Dividend Option: Cash CUSP: 350465100
01113114 25,000.000 27.5070 687,663.50 232700 581.750 00 -105,913.50
08105114 24,830.000 232530 577,373.02 23.2700 577.794.10 421.08
Total Covered 49,830.000 1 20 031 62 1,150,544.10 -115,492.42
Total 49,830.000 $1,285,030.52 0189544.10 -8185,492.42 $0.00
GENERAL ELECTRIC CO COM Security Identifier: GE
Dividend Option. Cash CUSP: 369604103
04123113 '.13 23.0ao 000 21 5700 496,109.08 25.9800 597,540 00 101,130 92 20,240.00 3.38%
GENERAL MTRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 37045V100
11118/10 ' 10.988 200 36 4010 395978.18 34.8000 382,389.37 -17,588.79 13,185.84 3.44%
12109/10 ' 86,536.800 36 8160 3,185,969.22 34.8000 3,011,480.63 -174,188.59 103,844.16 3.44%
Total Noncovered 97526.000 3 50917 38 3,393,870.00 -192,077.38 117,030.00
Total 97,50000 $3,616,047.38 $3,393,870.00 -$192,077.38 $117,030.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02105114 5.000.000 79 2810 396.407.00 107.5600 537.800.00 141.393 00
03107114 3,100.000 79 6120 246,797.00 107.5600 333,436.00 86,639 00
Total Covered 8,100.000 643,204.00 871,236.00 228,032.00
Total 8,100.000 $843,204.00 1871,230.00 $228,032.00 $0.00
P MORGAN CHASE & CO COM Security Identifier: JPN
'Stiff I.:546625H 1005 CUSP 4662514100
Dividend Option: Cash
07114105 '.3.12 1,353.000 188 4840 2,126,372.76 59.4500 258,785 85 -1,867,586.91 6,961.80 2.69%
SANGAN 0 BIOSCIENCES INC CON Security Identifier: SGM 0
Dividend Option: Cash CUSP: 800677106
Page 8 of 20
ORM, v Account Nu C mber: O N Go paperless ( D R w A at a L e y B d A V [m R s P o , A l S l T s I C A M O M C 2 O 0 M 07 M UNICATIONS
FI D AnTriA exarturract
SDNY_GM_00045636
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 67eL) THERN 0B-SDNY-0008460
EFrA_00 156245
EFTA01288608
Draft,' Um .0911. Witil/h114.1Itneet
MOMIIIS COMM, 6,0•P
ontscip Pp* smote' M.
Mal Oilar
P.O. Bag 1776. flatiron MD 21203 30 Pia Asa. loth 007
1004
Statement Period: 0810112014 • 08/3112014
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Dale Acqeired Quality U&t Cod Cod Basis Market Price Market Value Gain/ Lost Annual Income Yield
Equities (continued)
Common Stocks (continued)
SANGAII 0 BIOSCIENCES INC CON (continued)
05/28113 '.I3 50400.000 8.4440 422,214.00 14.3000 715,000 00 292,786 00
SANTANDER CONSUMER USA HLDGS INC COM Security Identifier: SC
Drvidend Option Cash CUSP. 8028311101
01123114 1.000.000 24.0000 24,000.00 18.6200 18,620.00 .5.380.00 600.00 3.22%
TWITTER INC CON Security Identifier: TW TR
Drvidend Option: Cash CUSP. 901841102
11107113 1.500.000 26 0000 39.000.00 49.7500 74.625 00 35.625.00
Total Common Stocks 128,482645.59 128,131,857.25 $1,888,811.68 11,233257.03
Preferred Stocks (listed by expiration date)
ALLY FINL INC PERP PFD FIXEDIFLTG RATE Security Identifier: ALLY PRB
SERA CALLABLE COUPON 8.5% CUSP. 020051008
PERPETUAL MATO 31TY CALLA 25 05115116
Dividend Option: Cash
02/03112 '.13 46,600.000 19.3820 903,217.51 27.2700 1,270,782.01 367,564.50 99,025.00 7.79%
02109112 '.13 80,000.000 20.1250 1.610.000.00 272700 2,181,599.99 571,599.99 170,000.00 7.79%
Total Noncovered 128,800.000 2,513,217.51 3,452,382.00 939,164.49 269,025.00
Total 128,800.000 12,513,217.51 13,452,382.00 1939,184.49 1289,025.00
GM AC CAP TR I GTD TR PFD SECS SER 2 8 Security Identifier: ALLY PRA
125% FIXED RATE/ FLTG CUSP 381860208
Dividend Option: Cash
02122112'.13 80,000.000 23.5350 1,882,773.60 26.8999 2,151,992.00 269,218.40 162.500 00 7.55%
ROYAL BANK SCOTLAND GROUP PLC SPON ADR Security Identifier: RBS PRT
RFYSTG SER T PDF SiSCOUPON 725% CUSP. 780097713
PERPETUAL MATURITY CALLA 25 05114114
Dividend Option: Cash
10124112 '.13 40.000.000 23.7900 951,600.00 25.6800 1,027,199.99 75.599.99 72.500 00 7.05%
01107/13 'in 40,000.000 24.4400 977,600.00 25.6800 1,027,199.99 49,599.99 72,500 00 7.05%
01114/13 40.000.000 24 8800 995,200.00 25.6800 1,027,200.02 32,000.02 72.500 00 7.05%
Page 9 of 20
Account Number:
800,72SZCSF,' : 0870 7, L THERA COHN Go paperless ( 0 v A e L r B y A V R a R n. A S T i E nc D e C 2 O 0 M 0 M 7 UNICATDONS ...A
Fl DrErriA rxesur NCI
SDNY_GM_00045637
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008461
EFIA_00 156246
EFTA01288609
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Acquired Ctimathy UNA Col Cod Basis Motet Price Market Valve Gale! Loss Mnual Income Yield
Equities (continued)
Preferred Stocks (continued)
ROYAL BANK SCOTLAND GROUP PLC SPON ADM (continued)
Total Noncove red 120,000.000 2,924,400.00 3,001,600.00 161,200.00 217,600.00
Total 120,000.000 $2,924,400.00 $3,081,600.00 $157,200.00 $217,500.00
Total Preferred Stocks $7,320,391.11 $8,616,974.00 $1,385,58219 $649,025.00
Options
CALL 100 AMERICAN AIRLS GROUP INC COM Option Identifier: 99GADTZA
EN) 01.17.15a 20 000 OPTION ROOT. AAL Underlying Security Identifier AAL
1,000.00 of these contracts are in your margin account Underlying Security Price: 538.88
12111/13 ' 1.000.000 8.0330 803,314.50 18.6400 1,664 000 00 1,060,685.50
PUT 100 AN ERICAN AIRLS GROUP INC CON Option Identifier: 99C1ADTZOO
01-17.15@ 20.000 OPTION ROOTS ML Underlying Security Identifier ML
.1,040.00 of these minds are a short position Underlying Security Price: 538.88
12111113' .1.000.000 1.9770 .197.702.00 0.0300 •3,00000 194.702 00
Total Options $605,612.50 $1.661.000.00 $1,255,317.50 $0.00
Total Equities $34,388,849.20 $38,678,831.25 $4,289,782.06 $1,882,282.03
Unrealized Estimated Estimated
Date Acquired Quality Usk Col Cost Basis Market Price Market Value Gall Lou Mnual Income Yield
Exchange-Traded Products
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Wenner: DXJ
Dividend Option: Cash; Capital Gains Option: Cash CUSP 97717W8S1
80,000 00 of these shares are in your margin account
12/11113 60200 000 49.4350 2,986,098.50 49.8800 2,992,800.00 26,701 50 55.004 40 1.83%
Total Exchange-Traded Products $2,966,098.50 $2,992,800.00 $28,701.60 155,004.40
Unrealized Awued Estimated
Cost Basis Market Value Gain/ Loss Interest Mnual Income
Total U.S. DOLLARS 196.388,518 56 $103,835,307.44 15,451,017.63 $477,085.73 $3.646,365.03
EURO
Opening Dosing Awued 30-Day
Description Quantity Balance Balance Currency Income Yield
Cash, Money Funds, and Bank Deposits
Global Cash Balance 291,846.67 291,846.67 EUR
384,391 25 LSD
Total Cash, Money Funds, and Bank Deposits 291,646.67 291,640.87 EUR OAO
384.391 25 USD 0.00
Page 10 of 20
800972)2.7SF!' I lEtntl ROLL A S c O co U un T t N H u E m R be N r CO LW. F I D Go r p a ap r er I le A ss L U R rCxA a t e e t L e nM r d u i A V L rRn A a m M N ae . a T S r s i E M m D s C 2 O 0 M 07 M UNICATIONS reit7=.2Sero.thirnr.
SDNY_GM_000451338
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008462
EFTA_00 156247
EFTA01288610
Ogyltet R•ni VrossinPAanair,tat
M.(4(11(...<t w
1.01.141,•art
Vint brit Mc*
P.O. Bag I776. Elatmon MO 21203 ll)Pant An Ugh Icce
Mnrogrit nr IOVA
Statement Period: 08/0112014 • 0813112014
Portfolio Holdings (continued)
EURO (continued)
Accrued
Market Value Currency Interest
Total EURO 291,848.87 EUR 0.00
384,391 25 1.40 0.00
Unrealized Accrued Estimated
Cost Basis Markel Value Gain, loss Interest Annual Income
Total Portfolio Holdings • U.S. $96,388,518.56 3104,219,698.69 35,451,017.63 3477,085.73 $3,846,385.03
DOLLARS
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.L.110-343. 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 '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 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, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those invoking continuously callable bonds, foreign bonds, variable rates, bonds in default, index4inked 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 evadable.
'The Current Face value represents the outstanding principal balance of the underlying 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 n this section.
13 The cost basis of this security has been provided to us by the delivering fern or transferring agent and Pershing makes no representation as to the accuracy of this intonation.
Page 11 of 20
MIAN ROI Acc L o M un a t t t N umber: - F I D Go r p E ap r e r rie i s A s I rD t x a A l eL e nB dt At w rRw o R ro eA lul r T e s E Me D . C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045639
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008463
EFTA_00156248
EFTA01288611
Holdings Summary by Currency
hdiange•Traded
Currency Cad* Fixed Income Equities Funds Total by Currency
L S DOLLARS 34 850,094 27 313 781 38,678 631 2.992,800 103 835 307 LSD
EL RO 291.846 0 0 0 291.846 EUR
Total USD Equivalent 35.234,485 27.313,781 38,878.631 2,992,800 104.219,698 USO
% of Allocation 33.81% 26.21% 37.11% 2.67% 100.00%
Schedule of Realized Gains and Losses Current Period
Dispositioe Acquisition Disposition Realized Gain/ Lou/
Date Date Transaction Description fluidity Cod Basis Proceeds Disallowance
Short Term
08121114 12/13/13' f7PP WASHINGTON MUT II TG S 004•RA2 MTG PASSTI-Ru CIF CL 1.290.000.000 1.927 61 2.519.13 591.52
C. RI VAR PATE 6.972% 07125133
Security Idenbfier 939336320
Original Cost Basis 1.927.61
08125/14 12/13113' RPP COL ATRYWIDEFOME LOA 1 CL BI 4.090% 03/25/33 WED 1,500,000.000 19,579.74 20,968 60 1,388.86
TD 01130103
Security Identifier: 12669DYS1
Original Cost Basis: 19.579.70
Total Short Term $21,507.35 823,467.73 $1,980.38
Long Term
08101114 07114105' SELL P MORGAN CFASE 8 CO L546625H 1005 1,150.000 708.302.41 81,889 92 -626.112.52
Firsl In First Out Security Identifier: PM
08/05/14 07125113' ROMG 135G STRUCTURED PRODS ITT LKD MKT FtUS PROTECTED 2,000,000.000 2,000,000.00 2,200,000.00 200 000 00
Firsl In First Out NOT ES 0.000% 08/05114 EVE DTO 07
Security Identifier: 18423E1'56
Original Cost Basis 2,000,000.00
0810711/ 07114105' SELL P MORGAN CI-ASE 8 CO LS16625H 1005 1,150.000 708,302.44 82,091.18 .628.211.26
First In First Out Security Identifier: PM
08114/14 07/14105' SELL P MORGAN CI-ASE 8 CO LS16625141005 1,150.000 708,302.43 82,431.92 -625,870.51
Firsl In First Out Security Identifier: PM
08119/14 07/14105' SELL ,P MORGAN CI-ASES CO 1.346625H 1005 1,150.600 708.302.44 83.418.63 .624.883.81
Firsl In First Out Security Identifier: 91,1
08126114 07114105' SELL .P MORGAN CFASE 8 CO LS46625H 1005 1,450.600 708.302.43 86.404.83 '321.89760
Firsl In First Oul Security Identifier: PM
08129/14 05124113' ROMG 13118C USA INC MEDIUM LFFERED NOTES LKD TO EURO 2,000,000.000 2,000,000.00 2.313.482.05 313.462.05
Ard In First Out STOX X50 0.000% 08129/14 B/E DTD
Security Identifier: 404327:FP'
Original Cost Basis 2.000.000.00
Total Long Term 87,541,512.18 34,929,698.53 42,611,813.65
Page 12 of 20
Account Num~JbNer.p N Go paperless Itatmed '''' " :re-=
MIAB Melt SOUTHERN LLC. r E Dx v Ae e L r s B y tA V uR a N R n eA V rT e C e D r C 7 O 0 M 07 M UNCATIONS a...v im, ~ .a..
SONY GM 00045640
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY:0008464
EFTA_00 156249
EFTA01288612
()raffle Nina P °filo PAIMINNtat
MINIM teeny Nom p
De74.0.. Sat Stae0in sp.
Na. b4 Mar
PO floc l776, Etat.m in MD 21201 MS Pia ONINa. 0/00 bet
Mrs *ft NY 10IM
Statement Period: 0810112014 • 08/3112014
Schedule of Realized Gains and Losses Current Period
(continued)
Dispositiom Acquisition Disposition Realized Gain/ Lost/
Date Date Transaction Description Quantity Cosi Basis Proceeds Disallowance
Total Short Term and Long Term 97,583,019.53 44,853,186.28 -S2,609,833.27
• Nonccvered 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.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncavered," under the new cost basis reporting rules, and marked or denoted as such. Al 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 1099.8 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, 2014, 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 intonation. 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 return of capital adjustments, but nay 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 1099.8 or online 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 property 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 all liability that may arise with respect to your use and reiance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event one or more of these attrtutes 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
shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
13 The cost basis of this security has been provided to us by the delivering km or transferring agent and Pershing makes no representation as to the accuracy of this information.
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot 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, Fist Out (FIFO). Your accounts 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.
Page 13 of 20
Account Number pi, Rat.. tacenordi
Wink, n011 s✓JLTH ERN F A LLC. F ID C A s E o p N ape T rle I ss A L r L 0x y A o cL n Biu . A V rR . n . R . e A S rT i E nc D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045641
CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) OB-SDNY-0008465
EFIA_00156250
EFTA01288613
Messages
Federal Depose 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 vise the 0WS Investments websee at hdpw/Awverdws-investments.corniENlmoducts/money-market-funds-yieldstsp. Please rote 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 $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 products disclosure document or contact your advisor for additional information.
Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset & Wealth Management brand and
future communications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and
investment adviser. vitich conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC.
The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding.
Activity Sum m ary (Ni amounts shown are in base currency)
Crests This Period Year-to-Date Debits This Period Year-to-Date
Securities Secrtes
Secunbes Bought 0.00 0.00 Securities Bought -597.373.02 -19.812.268 11
Secunbes Sold 416.236.48 17,854,455.34 Securities Sold 0 CO 0 CO
Total Securities $416,236.46 $17,654,455.34 Total Securities 4597.373.02 419,812,268.11
Dividends and Interest $316,571.17 $1,665,264.87 Dividends and Interest 10.00 ,193,507.51
Distributions $4,655.688.93 $6,772.805.90 Distributions $0.00 10.00
Fees $0.00 $0.00 Fees $0.00 -154.00
Cash Cash
Withdrawals 0.00 0.0D Withdrawals -273.00000 -1,331,245.00
Deposits 0.00 11,188,787.15 Deposits 0 00 0.00
Total Cash $0.00 $11,148,767.15 Total Cash -$273,000.00 -$1,331,245.00
FDIC Insured Bank Deposits $0.00 $37,486,437.18 FDIC Insured Bank Deposits $0.00 -$19,304,764.85
Money Market Funds $601,293.02 $9,928,670.15 Money Market Funds -$2,592,703.51 -$42,314,450.16
Total Credits 66,191,789.60 585,096,640.59 Total Debits -$3,763,076.53 .$82,686,589.66
Page 14 of 20
Account Number: Rabid Excellent,
UPAN v[ SOL THERN CON F I D Go r p i a T per r le i s A s D ( e v A x e a L r B y rt A e Y R r e N R ar e A S r T t E u D b C 2 O 0 M 07 M UNCATIONS rentres....t .e.=•' re ns=
SDNY_GM_00045642
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008466
EFTA_00 156251
EFTA01288614
Oruisre Rant Prmair WeahnPaptagenmt
Pdaeals Coon., 6,0.4)
Mttsag Sec tonerac
Ile V.4 Paco
MD 21203 la Put Ammo. 160. Met
War int 10. 101A4
Statement Period: 0010112/14 -0113112114
Transactions by Type of Activity
Proms,/ Trade/
Settlement Transaction
Date Date Activi Dew ion Dean Price Accrued littered Amount Curren
Searltles Bought and Sold
08/06114 08/01/14 PURCHASED MO BILEYE NV AMSTELVEEN ORD SI-S ISIAH, L0010831061 800.000 25.0000 -20.000.013 USD
M BLY PROSPECTUS UNDER SEPARATE COVER
08106114 08101114 SOLD 'MORGAN CHASE & CO COM ISINS L446625111005 -1.150100 56.5112 81,889 92 LSD
PM
UNSOLICITED ORDER
08/08/14 08/05/14 PURCHASED FOUNDATION MEDICINE INC COM UNSOL AVERAGE UNIT 24.830.000 23.1928 -577.37302 LSD
FMI PRICE TRANSACTION YOUR BROKER ACTED AS AGENT
08112114 08107/14 SOLD "MORGAN CHASE & CO COM 'SINS 6S46625H 1005 BKCM -1.450.000 56.6800 82,091.18 I. SO
PM A PERSHING AFF1UATE MAKES A MKT IN THIS SECURITY
ACTED AS PRINCIPAL UNSOLICITED ORDER
08119114 08114/14 SOLD PMORGAN CHASE 8 CO COM 'SINS US16625H 1005 BKCM 4450.003 56.9150 82.131.92 USD
PM A PERSHING AFRUATE M AXES A MKT IN THIS SECURITY 8
ACTED AS PRINCIPAL UNSOLICITED ORDER
08122114 08119114 SOLD .P MORGAN CHASE & CO COM ISMS LS46625H 1005 BKCM -1,450.000 57.5955 83,418.63 LSO
PM A PERSHING AFFIUATE MAKES A MKT IN THIS SECURITY
ACTED AS PRINCIPAL SOLICITED ORDER
08129/14 08126/14 SOLD .P M ORGAN CHASE & CO COM ISINO 6S46625H 1005 BKCM -1.450.000 59.6550 86.404.83 U SO
N A PERSHING AFFlUATE MAKES A MKT IN THIS SECURITY &
ACTED AS PRINCIPAL UNSOLICITED ORDER
Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -111,136.51
Dividends and Interest
08104114 CASH DIVIDEND RECEIVED SOUTHERN CALIF EDISON CO PREF SER E 6 250% 02/01122 93.750.00 USD
842400FU2 WE RD 07105 PD 08101/14 CASH PAYMENT 3000000
08/08114 CASH DIVIDEND RECEIVED 250000 SHRS BANK OF NEW YORK MELLON COPP COM RD 42,500.00 USD
8K 07/29 PD 08108114
08/14114 CASH DIVIDEND RECEIVED 14000 SF RS APPLE INC COM RD 08111 PO 08114/14 6,580.00 USD
AAPL
08/15/14 CASH DIVIDEND RECEIVED 126600 SF RS ALLY FlNL INC PERP PEI/ FIXED!FLTG RATE SER 67.256.25 USD
ALLY PRB A CALLABLE COUPON 85% PERPETUAL MATURITY CALL° 25
05/15/16 RD 08101 PD 08/15111
08/15/14 BOND INTEREST RECEIVED 80000 SHRS GM AC CAP TR I GTD TR PFD SECS SER 2 8125% 40.62504 USD
ALLY PRA AXED RATE/ FLTG RD 08/14 PD 08/15114
Page 15 of 20
Account Num ber. Go paperless Rated ace0orell
ti0AB IOU t SOUTHERN NONN FIDAENTIAL rC L xA y e o L n sB , uA V Rr s n . R eA S rT i E v D a C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00045643
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008467
EFTA_00 156252
EFTA01288615
Transactions by Type of Activity (continued)
Process/ Tradel
Settlement Transaction
Date Date Activity Type Dean -an Quan Price Awued 'Merest Amount Curren
Dividends and Interest (continued)
08115/11 BOA D INTEREST RECEIVED 1110000 SETNICEM ASTER CO SR NT CUSIP FULLY 57.60010 LSD
81760NAN9 EXCHANGED FROM OLD CUSP 81760NAL3 8.000%
02115120 WE DTD 02/13/12 CLB RD 07/31 PO 08/15114
08125/14 BOND INTEREST RECEIVED 1500000 COUNTRYWIDE HOME LOANS SER 03.1 CL 81 5.099.04 LSD
1266901S1 4.090% 03125/33 B/E DTD 01130103 RD 07131 PD 08125/14
08125114 80AD INTEREST RECEIVED 1290000 WASFINGTON litiTMTG SECS CORP 2004•RA2 4,345.22 LSD
939336520 MTG PASSTFRI, CTF C1 GB-1 VAR RATE 6.972% 07125/33
WE DTD 06/01/01 RD 07131 PD 08125111
08/29114 MONEY MARKET RIND DWSGOVT CAST INSTL 815.62 LSD
INCOME RECEIVED
233993682
Total Dividends and Interest - UNITED STATES DOLLAR 0.00 315,571.17
Distributions
08105/14 SECURITY REDEEMED SG STRUCTURED PRODS INC COMMODITY LKD MKT PLUS •2,000,000000 2.200.000.00 LSD
78423E116 PROTECTED NOTES0 000% 0810511/ B/E DTD 07/30113
ACCOUNT REDEMPTION
08/25/14 RETURN OF PRINCIPAL 4500000 COUNTRYWIDE HOME LOANS SER 03-1 CL 81 20,968.61 LSD
RECEIVED 4.090% 03125133 B/E DTD 01130/03 RD 07131 PD 08125/14
12669DYS1
08/25/14 RETURN OF PRINCIPAL 1290000 WASFINGTON MLTMTG SECS CORP 2001.RA2 206.05 USD
RECEIVED MTG PASSTHIL CTF CL C.B-1 VAR RATE 6.972% 07125/33
939336520 WE DTD 06101/01 RD 07131 PD 08125/11
08129111 PARTN ERSF IP DISTRIBUTION 263157 SF RS APOLLO GLOBAL MGM T LLC CL A SHS RD 121,052 22 USD
APO 08122 PD 0812911/
08/29/14 SECL Rill REDEEMED FS8C USA INC MEDIUM TERM NTS BUFFERED NOTES LKO •2,000,000000 2,313,462 05 LS0
40132XFPI TO EURO STOXX 50 0.000% 0812911/ WE DTO 05/30/13
ACCOLAT REDEMPTION
Total Distributions • UNITED STATES DOLLAR 0.00 4455,688.93
Cash Withdrawalsand Deposits
08/11/14 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -273.00000 LSD
L/ S0999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 -213,000.00
Money Market Funds
08/01/14 MONEY FUND PURCHASE DWSGOVT CAST INSTL -5,801.20 LSD
USD999997
08/05/11 MONEY FUND PURCHASE DWSGOVTCASH INSTL -2.093.750.00 LSD
USD999997
Page 16 of 20
08A0 Moll A SO cc U o T u H n E t R N M u m Der. O N4G- N 0 L 2 L 3 C 8 . 0 F 1 I D G E o p N ape T rle I ss A L r R D b X e A a e C t L e f O I y d I , A Y tw RI e N a R w l C A l e L T I O r E ia C D • C 2 O 0 M 07 M UNCATKINS a • w • r •• . • i • . •, t . r “. o .. . .n .. . " • : • = •• •• = • : - Z - =
SONY GM 00045644
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008468
EFTA_00 156253
EFTA01288616
Or0.0e118/0 Pn00v/eahnramitenml
Weals Coorape6,0111
Dezisthi Sat 501.1e.1%
Mee von Onto
PC 11Ot 17/P. &11m at MD 21203 In Pan Asoneo. Halter
War yen. re/ 10114
Statement Period: 0810112014 • 0813112014
Transactions by Type of Activity (continued)
Procem/ Trader
Settlement Transaction
Date Date Activi Dena ion Doan Price Accreed Interest Amount Curren
Money Market Funds (continued)
08/06/14 MONEY FUND PURCFASE DWSGOVT CASK INSTL -261.88992 LSO
US0999997
08108114 MONEY FUND REDEMPTION DWSGOVT CASh INSTL 534,873 02 LSD
USD999997
08112114 MONEY FUND PURChASE DWSGOVT CASh INSTL -82,091.18 LSO
USD999997
08/1014 MONEY FUND REDEMPTION DWSGOVT CAST INSTL 266.120 00 LSO
U S0999997
08118/14 MONEY FUND PURChASE DWSGOVT CASK INSTL -165,18129 LSO
USD999997
08/19114 MONEY FUND PURChASE DWS GM? CASK INSTL -82.431.92 LSD
USD999997
08/22/14 MONEY FUND PURChASE DWSGOVT CASh INSTL 43,118.63 LSD
USD999997
08/26/14 MONEY FUND PURChASE DWSGOVT CASh INSTL -30.61892 LSO
USD999997
08/29/14 MONEY FUND PtiRCFASE DWSGOVT CAST INSTL -86,401.83 LSD
USD999997
08129114 MONEY MARKET FUND DWS GOVT CAST INSTL INCOME REINVESTED -81562 LSD
REINVESTMENT
233993682
Total Money Market Funds- UNITED STATES DOLLAR 0.00 4,091,110.19
Total Value of Transactions 0.00 2,120,713.07 USD
The price and quantity displayed may have been rounded.
Page 17 of 20
Account Number. IlalcY tacollordi
tint, Roll SOL THERI Z1 ONLLC. FID G E o p 1 ap S er M less A L E r0xA n eL v Or y tA u V Rr p N . R D C . A U TI E w D e C Z O 0 M 07 M UNOTIONS
SDNY_GM_00045645
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008469
EFTA 00156254
EFTA01288617
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
1 to 6 months 1,050,400.00 4% n Percentages of bond market values are
rounded to the nearest whole percentage.
1 to 5 years 4.402.500 00 16% [Th
F1
6 to 10 years 6.895.650 00 25%
Over 10 years 14,965.231 89 55% n
Total 27.313,71119 100%
Bond Quality
Bond Duality Market Valve % of Bond Market Value
ea> •
5,620,000.00 21% Percentages of bond market values are
BAflower 19,744,214.20 72% rounded to the nearest whole percentage.
hot Rated 1.949.567.69 7%
Total 27,313,78139 100%
Client Service Information
Your Client Advisor: IDS Contact Information
TAZIA SMITH Telephone Number:
345 PARK AVEh. LE 14TH FLOOR
KEW YORK KY 10154
Your Account Information
Tax Lot Default Disposition Method
Default M ethod 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 SOCUlitlet FIRST IN FIRST OUT
Electronic Delivery
You have not selected any account communications for electronic delivery. To register and turn off paper corn m unications. log in to your account or contact your Client Advisor for more inform ation.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement dale 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 dosing price of the particular exchange or marketplace where your posmon was purchased as the 'Market Price.' Secunties for which a price is
not available an marked "N/A— arid are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
Page 18 of 20
u
WIA8 ROO. A S c O c L o T u H n E t N RA u mber NFID G - o E pa N per T les I s A c--- P D rI gv A i a s e L a rr B yi a A V t r R a tar v n R ae id A e S l T r e El a r D • t e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045646
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008470
EFTA_00 156255
EFTA01288618
0...atre Pam a,,nI Voslin PAanair,tat
M*'e Cintne G.0.9
0..,u la Nom S.W... M.
Yew. York Offite
10 Pant Annw. noct
Wave SA Pa IOVA
Statement Period: 08/01/2014 • 08/3112014
Important Information and Disclosures (continued)
Estimated Annual Figures (continued)
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
www.pershing.combusiness_continuity.htnl for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
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, may be obtained. 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 confrmations previously furnished to you. A summary of this
information is available 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
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. dollars 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, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) wig be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Poors. Reproducing and distributing any information received from Standard & Poors is not permitted without prior written
authorization from Standard 8. 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
emissions, 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 8 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.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and POP'S ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
Page 19 of 20
108A11 MOLL Account Number: FI D GO r p i a T pe r rle I s A s R L LrxA y a e o b Mn n id , At V r e Rt x . r . c aR . e eA l S l Tr e S n C W t D , , C 2 O '0 M 07 M UNIG‘TIONS
SDNY_GM_00045647
CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6706THEIMCON OB-SDNY-00O8471
EFTA_00156256
EFTA01288619
Important Information and Disclosures (continued)
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a cleanrg 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 result 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 n general, for the ongoing relationship that it has with you.
• Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. AI 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 account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. It 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 (SIPCI. 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: www.pershing.comfstrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includng 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; Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other n court. including the right to a trial by jury, 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 ability 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 patties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators WI typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose tine limits for Cringing a claim 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 shad 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 govem.
Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399;
Page 20 of 20
Account Num ben Go paperless R [v a e t r e y d v to « c . e l S lo in n c . e 2007 :%17.Stre,====r -rt a
L TM ERN k NLLC. F ID rarIAL rCxAeLMnAuRrn ReArT ED COMMUNICATIONS
SDNY_GM_00045648
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) 013-SDNY-0008472
EFrA_00 156257
EFTA01288620
Molt, t R•ni anp,n vosiommip,tat
M.W4CS Ong.< Gs.,
O..114 1.0•1•141,.,. M.
Vint brit Mar
PO Set 17/8. Mere" PADM203 JOIN. Ittnik,
Account Number:
Statement Period:07/01/914 -07/3112114
Valuation at a Glance
Thus Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value $104,484,144.07 $90,573,050.28
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 174,637.50 10,110,542.15
ST THOMAS VI 00802 AdJuged Previous Account Value 104,850,782.17 100,803,692.43
Dividends. Interest and Other Income 56,959.99 1,918,161.63
Net Other Activity -18.00 -5400
Net Chan e in Portfolio -1,080.05872 973.959 38
nding Account Value 5103 635 665 44 S103 635 665 44
Your Client Advisor: Estim ated Annual Morn e $3.883.464.43
TAZIA SM Ilk
Asset Allocation
Prior Year-6d lad Period This Period % Alocatioe
USD Cash. Money Funds. and Bank Deposits 18,295,949.71 28,725,102.30 30,329,970.74 2927% Pa Chan allocahon only includes
products that are of poMwe value.
USD Fixed Income 27,136,972.38 25,298,134.48 23,923,091.06 23.08% Assets of less than 1%o1 !tidings
Non.li SD Fixed Income 10,227,309.46 7,819,092.00 7,759,787.00 7.49% will not display on this pe chart
USD Equities 30,410,519.65 39,280,677.80 41,232,354.98 win
Non-USD Cash, Money Funds, and Bank Deposits 402.106.34 399,538.09 390.461.68 0.38%
Non-USD Equities 3.132192.74 2,961,600.00 0.00 0.00%
Other 363.000.00 0.00 0.00 0.00%
Account Total (Pie Chart) $90,573,050.28 3104,484,144.07 3103,035,806.44 100.00%
See page 2 piths statement for important information regarding the Asset Allocation section.
Page lot 19
Rated facellenli
Otint, ROIL 5.0098073CMOD Go paperless L D s A . L .. B v A .W R a R r A S T in E c D e C 2 O '0 M 07 M UNICATIONS
CON FIDAENTIAL rxesu
SDNY_GM_00045649
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-000,3473
EFEk_00156258
EFTA01288621
Asset Allocation Disclosure and Footnotes
Certain values have been defaulted into the Other Asset Class due to incomplete categorizing data
Al values are displayed in U.S. dollars based on interbank exchange rates as of 07/31/2014. Exchange rates can vary.
Equities contains Equity Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short•Terin Gain/Loss 11,982 42 16.232 52 2.473.732.20
Long-Term Gain, Loss -1.211.275 73 -4,417.247 47 -53.473.67
Net GaIn/Loss -1,199,293.31 -4,401,014.95 2,420,25813
This summary excludes transactions where cost basis information is not available.
Exchange Rate Table Global Cash
Currency Closing Mount in
Currency USO Equivalent per USD Corrency Balance Base Currency USD
EURO 1 3379 0.7474 EURO 291.846 67 390 461 66
Total Global Cash Balance 9390,461.66
Exchange rates are based on interbank exchange rates as of 07/31/2014. Exchange rates can vary.
Money Market Fund Detail
Date Activity Type Desaiption Amount Balance
Sweep Money Market Fund
OwS GOVERNMENT CASH IN STI.
Account Number: Current Yield: 0.03% Activity Ending:. 07131114
07101114 Opening Balance 28.725.10230 28.725.102.30
07/02114 Withdrawal MONEY RIND REDEMPTION -18.00 28.721084.30
0710911/ Withdrawal MONEY FUND REDEMPTION -170.000.00 28,555,084.30
07114114 Deposit MONEY FUNCI FURCFASE 344,637.50 28,899,721.80
07116114 Deposit MONEY FUND FURCFASE 1.144.800.00 30.044.521.80
01111114 Deposit MONEY FUND FURCFASE 31568.89 30.080.090.69
07121114 Deposit MONEY FUND PURCFASE 85,29996 30,165,390.65
07128114 Deposit MONEY FUND PURCFASE 158,02825 30,323,418.90
07/31114 Deposit INCOME REINVEST 750.64 30,324.169 54
07131114 Closing Balance 930,324,169.54
Total All Money Market Funds 930,324,169.54
Page 2 of 19
CH
Account Number. Romd [moiler.
Go paperless Envy V... MCe 2007
111 SOUTHERN ONLLC. FIDENTIAL rDxAeLs BuAr[m ReArT ED COMMUNICATIONS
SDNY_GM_00045650
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008474
EFTA_00 156259
EFTA01288622
()PASO( Um prvwm Wea•n•Aptagenem
Marais tonwit GN•P
DesCulv Star Oe. Inc
Mow 0lk•
PC trot.: MO 21203 HS Put Asa. loth lbw
Wm** NY 10114
Statement Period: 0710112014 • 07/3112014
Income and Expense Summary
Current Period Year•lo.Dale
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 10,86120 DOO 352,120.98 0.00
Money Market 750.64 0.00 2,771.83 0.00
Other Dividends 0.00 0.00 405,25520 0 00
Interest Income
Bond interest 15,318.15 0.00 628,816.95 000
FDIC Insured Bank Deposts 0.00 0.00 2,691.15 0.00
Other Interest 0.00 0.00 81.250.08 0 00
Total Dividends, nterest, Income and Expenses 06,959.99 $0.00 $1,472,908.19 9.00
Distributions
Allemative Weft ents 0 00 0 00 0.00 505 261 44
Other Distributions 0.00 57.770 13 0.00 467 055 53
Total Distributions $0.00 157,770.13 $0.00 8972,110.97
Portfolio Holdings
U.S. DOLLARS
Account Activity Openlog Oodng Accrued Income 30-Day Omit
Opening Date Quantity Number bag Balance Balance Income OilYear Yield Yield
Cash, Money Funds, and Bank Deposits
Cash Balance 0.00 5.801.20
Money Market
DWS GOVERNMENT CASH !USTI.
0710111/ 30.324,169 540 07131114 28.725.102.30 30.324.169.54 0.00 2,771.83 0.03% 0.03%
Total Money Market 126,726,102.30 $30,324,169.64 $0.00 12,771.83
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
0710111/ 07131114 0.00 0.00 0.00 2,891.15 N/A N/A
Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 12,691.16
Total Cash, Money Funds, and Bank Deposits 126,725,102.30 $30,329,970.74 $0.00 $5,162.111
Page 3 of 19
ct,
Deno .01 A S c O c L o T u H n E t R N N u mber: F I D G AE o p N ape T rle I ss A L R rD (v xA a e e t L e r s O y d t A V u to Rr a c nM n o e l l U W e r n o D t o i s C 2 O 0 M 07 M UNC4TIONS .77.3-Tre.7:::7.==yernt=
SDNY_GM_00045651
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008475
EFTA_00156260
EFTA01288623
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Acaued Egimated Estimated
Cate Acquired Quantity Unit Cog Cog Basis Market Price Market Value Gild Loss Inters Anneal Income Yield
Fixed Income (In Ma:only Date Sequence)
'Asset Barked Securities
COUNTRYWIDE HOME LOANS Security Identifier: 11669DYS1
SEA 03.1 CL B11.090% 03125133 B/E
DTD 01130/03
FaMor 023647713 Effect. Dale:07/01/14
Current Face Value, 1.064.117.085
12/13113 '.3.12 4,500,000.000 93.3760 993.66269 86.5880 921,12368 .72,239.01 3,626.97
Onginal Cosl Basis: 51.111.573.07
WASHINGTON II UT MTG SECS CORP 1004•RA2 Security Identifier: 939338310
TG PASST8RU CTF CL C.B.1 VAR RATE
6.973% 07/25/33 WE DID 06/01/04 Sd P Rating D
Fagot 0.57972181 Eflectne Dale.07/01/14
Current Face Value: 717.840.877
12/13/13 ..1.12 1,290,000.000 76 5190 572 237.44 86.9620 650,337 38 78,049 91 4,346 08
Original Cost Basis 5638.906.71
Total Asset Backed Securities 31,565,900.13 31,571,761.08 15,880.93 87,973.05 30.00
5,790,000.000
Total Current Face Value : 1,811,987.981
Corporate Bonds
1SG STRUCTURED PRODS INC Security Identifier: 78113EHS8
COMMODITY LKD MKT PLUS PROTECTED NOTES
0.000% 08/05/14 WE DTO 07/30/13
07/25/13 '.11.13 2,000,000.000 100 0000 2,000,000.00 109.1200 2,182,100.00 182,400 00 0.00
Onginal Cosl Ban 52.000.000.00
1HSBC USA INC MEDIUM TERM NTS Security Identifier: 40432XFP1
BUFFERED NOTES LKD TO EURO STOXX 50
0.000% 08/29/11 BIE DTO 05/30/13
05121113 'nu 2,000,000.000 100 0000 2.000.000.00 111.1300 2,222,600 00 222,600 00 0.00
Original Cosl Basis: 52,000,000.00
RN ORGAN CHASE & CO M MUM TERM NTS Security Identifier: 41126NVE4
CAPPED CONTINGENT BUFFERED EOLITY NTS
0.000% 10/16/14 WE DTD 09/27/13
12105/13 '.3.12 1,000,000.000 100 0000 1,000,000.00 103.5900 1,035,900.00 35,900 00 0.00
Original Cosi Basis: 51.000.0f10 00
PETROLEOS OE VENEZUELA Security Identifier: P7807HAF2
NOTES SENIOR 'SINS X50460546525
5.000% 10/28/15 REG DID 10/28/09 S 8 P Rating B4
12104113'.3.12 2,500,000.000 93.1760 2,329,395.36 93.8750 2,316 875 00 17,479.64 31,911.11 125,000.00 5.32%
Original Cost Basis 52,250,000.00
Page 4 of 19
Account Num ber. Rated excellent
VIIAD 14011 SOL THERM C.N LUC. DGro ipsapemrlesAs M L v L er B y A V R s R . A L T a E c D e 0 2 0 0 M 0 M 7 U NCATOONS
NFI L 7XCIIILL7Ner
SDNY_GM_00045652
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008476
EFTA_00156261
EFTA01288624
On/Key Ram PonieVeAtaiinhianap--tent
Miniet% COM< 4,04P
0...s014 SeIVri AC
lire bet Mc*
P.O. Om 177& Bahnnot•MOV203 Na Pan Anerffits. Mk I to
Statement Period: 07/01/2014 - 07/31/2010
Portfolio Holdings
(continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Am:mired Quantity Unit Cost Cost Basis Market Nice Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
HEADWATERS INC GTO SR NT Security Identifier: 42210PAOS
7.625% 04/01/19 B/E DTO 03/11/11
CALLABLE 04101115@ 103813 Moody Rating 62 St P
Rating B•
10122/12 *AA 1,000.00,0.000 102 2300 1.022.304.34 105.0000 1,050,000.00 27.69516 25.416 67 76,250.00 7.26%
Original Cosi Basis 51.035.000.00
EARTHUNK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC6
CUSP FROM 270321A88 8.875% 05/15/19 NE
DTD 05117111 CALLABLE 05/15115 S 6 P Rating CCC.
10/22/12 '.3.12 400,000.000 102 7280 410.912.83 102.2500 409,000 00 -1.912.83 7,494.44 35,500.00 8.67%
Original Cosi Basis. 5414,000.00
10123112 ..3•I2 600.000.000 102 5350 615.210 29 102 2500 613.500 00 -1.710.29 11.241 67 53.250.00 6.67%
Original Cosl Basis $619,500.00
Total Noncerered 1,000,000.000 1,026,123.12 1,022,500.00 .3,623.12 18,736.11 88,750.00
Total 1,000,000.000 81,028,123.12 11,022,500.00 -0,03.12 111,731.11 01,750.00
SERVICEM ASTER CO SR NT - CUSP FULLY Security Identifier: 81760NAN9
EXCHANGED FROM OLD CUSP 81760hAL3
8.000% 02115720 WE DTD 02/13/12 Moody Rating CAA1 S
8 P Rating Eli
01124113 '.12.13 440000.000 104 6890 160.632.52 105,7500 465.300 01 4.667.49 16.231 11 35.200.00 7.56%
Original Cosl Basis' $468,050.00
02125113 'AM 1.000.000.000 105 2120 1.052.117 23 105.7500 1,057.499 99 5.382 76 36.888 89 80.000.00 7.56%
Original Cosl Basis 51,070,000.00
Total Nononered 1,440,000.000 1 512 749.75 1,522,800.00 10,050.25 53,120.00 115,200.00
Total 1,40,011.101 11,612,741.75 11,622,100.00 $10,050.25 03,120.10 1115,200.00
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: GISISPP48
TERM AO TESISIA XS0717735822
9.875% 12/16/21 REG DID 12/16/11 Moody Rating Bat S8
P Rating BBB
12104/13 '.3.12 1.500.000.000 108.0100 1.620.150.31 117.3750 1.760.625 00 140.474 63 92.166 67 148.125.00 8.41%
Original Cosl Basis $1,627,500.00
Page 5 of 19
I rtAil von A W cco / u F nt E N RA umber. A LLD. Go paperless r ( D v xA e eL r n y B uA V t r a Rn a c . Rs e l eA l S e rT n M E il D C . C 2 O '0 M 07 M UNICATIONS
SDNY_GM_00045653
ON FIDEMALS
CONFIDENTIAL — PURSUANT TO FED. R CRINA. P. 6(e) OB-SDNY-0008477
EFTA_00156262
EFTA01288625
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Eginged Estimated
Date Acquired Quality Unit Cost Cog Basis Market Pria Market Value Gild Loss Interest Amaral Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
SOUTHERN CAUF EDISON CO Snootily Identifier: 542400FU2
PREF SERE 6.250% 02/01122 WE
DTD 01/17112 CALLABLE 02101122 Moody Rating BAA1 S&
P Rating 8B13-
01130112 '.3,12 3,000800.000 99 8000 2,994,009.46 108.5000 3,255,000 00 260,990 54 93,750 00 167,500.00 5.76%
Original Cog Basis: 52.992,58417
BARCLAYS 8K PLC CONTINGENT CAP NT Security Identifier: 06739FHKO
ISIN 01,506739Ft-1(03 7.750% 04/10/23 BIE
DTD 0010/13 CALLABLE 04/10118 S 8 P Rating BEt•
04103113 %UM 300,000.000 100 0000 300.000.00 111.3750 334.125 00 34.125 00 7,168.75 23,250.00 6.95%
0 nginal Cosi Basis: 5300,000.00
AN ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 46625HHA1
1110T1- PFD SER 1 FIXED TO R.TG Fa BD
7.900% 04/29/49 WE DID 04123108 Moody Rating BA1 S&
P Rating BBB
06115/11 '.3.12 2,500,000.000 107.5000 2,687,500.00 110.1250 2.753.125 00 65.625.00 49,375 00 197.500 00 7.17%
Original Cosl Baas: 52,687,500.00
06115/11 2.500.000 000 107 0000 2.875.00000 110.1250 2.753.125 00 78.125 00 49.375 00 197.500 00 7.17%
Original Cosl Basis $2,675,000.00
Total Noncoared 5,000,000.000 5 362 500.00 5,506,250.00 143,750.00 98,750.00 395,000.00
Total 5,000,000.000 $5,362,500.00 $5,506,250.00 $143,750.00 898,750.00 $395,000.00
BANK AM ER CORP PERP NON COM ULATIVE OEP Security Identifier: 060505018
SFS FIXED TO FLOAT 8.125% 04/30/58 WE
DTD 04/30/08 CALLABLE 05115118 Moody Raling BA3 S& P
Rating B84
01110/11 '.3.12 2,000,000.000 102.7500 2,055,000.00 110 6940 2.213.880.00 158,880 00 34,305 56 182.500 00 7.34%
Original Cosi Bans 52.055.00800
GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 369622946
A 7.125% 06/12/62 WE
DID 06112/12 CALLABLE 08115/22 Moody Riling BAA1 5 &
P Rating AM
06(27712'.12,13 2,000,000.000 105.5300 2,110,605.12 117.0000 2.340.000 00 229.394 88 18/08 33 142,500.00 6.08%
Original Cosl Basis $2.122,916.67
LBG CAPITAL NO 1 PLC 144A Security Identifier: G543388G8
ISIA R X50473106283 8.000% 09115188 REG
DTD 12/15409 FOREIGN SECURITY S8 P Rating BB
1210013 '.3.12 1,200.000 000 108 2500 1.299.000.00 110.0010 1,320,012.00 21,012.00 12,288.67 96.000.00 7.27%
anginal Cosl Baas $1,299,000.00
Page 6 of 19
Account Number, Rated Caroller.
VSAII ROLL SOL THERA CO N LLC. F I D G AE o p N ape D r r- ie i s A s L rD b xA r e a LB y sA u V Rr . N . R . C A L T I a E c D e C 2 O 0 M 0 M 7 UNICATDONS
SDNY_GM_00045654
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008478
EFTA_00 156263
EFTA01288626
'tine. Pan. "Malin hismir,tat
Manitt$ Cintne G•ccp
De.licht BYe inv.., M.
Mry bet Mar
P.O. Bag 1776. SAMOA MD 21200 11)Pant Annw.)01knoct
tine 'kr'. hY 101M
Statement Period: 07/01/2014 - 07/31/2014
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quaithy Unit Coo Cost Basis Market Price Market Value Gain/ loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
'LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439A04
SECS
ADDL TIER 1 ISMS US539439AG42
1.500% 09/27/88 EUE DTD 04107/1/ S 6 P Rating BEr.
Reese Provide' 1,903,000.000 N1A Rene Provide 105.0000 1,998,150.00 NIA 13,083.13 142,725.00 7.14%
Original Col Baia Reese Provide
Total Corporate Bonds 126,631,837.52 830,111,117.00 $1,481,129.41 8498,916.33 11,702,800.00
27,643,000.000
Total Fixed Income $28,197,737.65 831,682,878.06 81,486,990.41 6506,869.38 11,702,800.00
33,633,000.000
Unrealized Estimated Estimated
Date Acquired Quautity Unit Cost Cod Basis Market Price Markel Value Gainllon Annual Income Yield
Equities
Common Stocks
APOLLO GLOBAL MGM T LLC CL A NS Security Identifier: APO
Dividend Option: Cash CUSP 037612306
03129/11 263,157.000 19 0000 4.999.983.00 26.2600 6,910,502.82 1,910,519.82 1,116,417.25 16.18%
'.13
APPLE INC COM Security Identifier: AAPL
Dividend Option: Cash CUSP 037833100
10128113 14,000 000 75 5800 1.058.120.50 95 6000 1,338,400.00 280,279.50 26.320.00 1.96%
ARIAD PHARMACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash CUSP 04033A100
02/14112 7,535.000 15 2090 114,597.40 5 7600 43,401 60 .71,195 80
'.13
01124113 9.000.000 19 6000 176,400.00 5 7600 51,840.00 .124.560 00
'.13
Total Noncovered 16,535.000 290,997.40 95,241.60 ,195,755.80
Total 16,535.000 9290,997.40 995,241.60 -9195,755.80 80.00
ASCENA RETAIL GROUP INC COM Security Identifier: ASNA
Dividend Option: Cash CUSP. 043516101
01/16101 70.5C0 000 212770 1,500,000.00 16.0600 1,132,230.00 .367.770 00
'.3
Pape 7019
cit5.
0,,09e071C"F3!' : 08A11 MOLL A SO cc U o T u H n E t R N N u mber: F I D G AE o pa M perl I es A s L I I Dr t v x a A o e it L r s e y B d t uA V t r o R . n c A Ra e . A e ll S e Tr i n E n e c D e C Z O 0 M 07 M UNICATIONS Par. um, -IS Pena. NM
SDNY_GM_00045655
CONFIDENTIAL — PURSUANT TO FED. R CRI6,1. P. 6(e) OB-SDNY-0008479
EFTA_00 156264
EFTA01288627
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date tied Duet Wit Cost Cod Basis Markel Price Markel Value Gain, Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
BANK OF NEW YORK M ELLON CORP COM Security Identifier: BK
Dividend Option: Cash CUSP: 084058100
06125114 250.000.000 36.3060 9,076,406.00 39.0400 9,760,000.00 683.594 00 .•77037 74%
BIOGEN IDEC INC CON Security Identifier: Ellie
Dividend Option: Cash CUSP. 09062X103
02114112'.'3 2.095.000 119 5490 250.451.95 334.3900 700.547.05 450.092 10
FACEBOOK INC CL A Security Identifier: FB
Dividend Option: Cash CUSP. 3030311102
05117112 %IS 17,500.000 38 0000 665,000.00 72.6500 1,271,375.00 606,375.00
FOUNDATION MEDICINE INC COM Security Identifier: FM I
Dividend Option: Cash CUSP: 350465100
01113114 25800.000 27 5070 687,663.50 22.5200 563,000.00 •124,663.50
GENERAL ELECTRIC CO COM Security Identifier: GE
Dividend Option: Cash CUSP: 369601103
04123113 '.13 23.000.000 21 5700 496,109.08 25.1500 578,450.00 82.340 92 20,240.00 3.49%
GENERAL N TRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 370458100
11118110' 10.988.200 36 4010 399.978.16 33.8200 371,620.93 -28.357 23 13,185.81 3.54%
12/09110 86.536.800 36 8160 3,188969.22 33.8200 2,926,674.57 •259,29465 103,844.16 3.54%
Total Noncovered 97,525.000 3,585,917.38 3,298,295.50 -287,651.48 117,030.00
Total 97,525.000 $3,585,917.38 $3,296,295.50 -$2117,651.88 $117,030.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP. 375558103
02105114 5,000.000 79.2810 396,407.00 91.5500 457,750.00 61,343.00
0310711/ 3.100.000 79.6120 246.797.00 91.5500 283,805.00 37,008.00
Total Covered 8,100.000 643,204.00 741,555.00 98,351.00
Total 8,100.000 $643,204.00 $741,555.00 $98,351.00 $0.00
M ORGAN CHASE s CO COM Security Identifier: FM
'SW .UW6625141005 CUSP. 46625H100
Dividend Option: Cash
07114105 '.3,11 11 603 000 488 4840 5,667,864 94 57 6700 669,145.01 -4,998,739.93 18,584.80 2.77%
SAMOAN 0 BIOSCIENCES INC COM Security Identifier: SGM 0
Dividend Option: Cash CUSP 800677106
05128113','3 50 CCO 000 8.4440 422,214.00 11.8800 594,000.00 171,786.00
SANTANDER CONSUMER USA HLDGS INC COM Security Identifier: SC
Dividend Option Cash CUSP: 8028311101
Page 8 of 19
CO KJ
Account Number Go Paperless R Ev a e ts r . y Y ta . c R e . l l S er in a e w 2007
L THERA
F I DAENTIAL
rDxAcL OluAmR ReArT ED COMMUNICATIONS
SDNY_GM_00045656
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0008480
EFTA_00 156265
EFTA01288628
Dean (Wit • onin "mai h....vie,.
Marais Conran Gomp
ontscip opt Stwtoes 4%.
Mow brit 011ie
P.O. Bag 1776. SAMOA MD21200 HS Pia Asa. loth I ber
Parredeet WY 101M
Statement Period: 0710112014 - 07/31/2014
Portfolio Holdings (continued)
U.S. DOLLARS (confirmed)
Urealized Estimated Estimated
Date Acquired Duality hit Cod Cod Basis Market Price Markel Bebe GUI Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
SANTANDER CONSUMER USA HLDGS INC COM (continued)
01123114 1.000.000 24 0000 24.00080 19.1700 19,170.00 .4.830.00 600.00 3.12%
TWITTER INC CON Security Identifier: TW TR
Dividend Option Cash CLSIR 901841102
11101113 1.500.000 26.0000 39.000 00 45.1900 67.785.00 28,785.00
Total Common Sloth 629,406,981.75 127,739,696.98 -91,667,287.77 91,471,172.05
Preferred Stocks (Listed by expiration date)
ALLY FINL INC PERP PFD FIXEDIFLTG RATE Security Identifier: ALLY PRB
SERA CALLABLE COUPON 8.5% CL SIR 020051%308
PERPETUAL MATURITY CALLA 25 05115116
Dividend Option: Cash
02103/12 '.13 46,600 000 19 3820 903.217.51 27 1300 1 264 258 01 361,040.50 99.025.00 7.83%
02/09112 '.13 80.000.000 20.1250 1,610,000.09 27 1300 2 170 399 99 560,399.99 170,000.00 7.83%
Total Noncovered 126,600.000 2 513 217.51 3,434,651.00 921,440.49 269,025.00
Total 126,600.000 92,513,117.51 13,434,658.00 9911,440.49 9269,025.00
GM AC CAP TR I GTD TR PFD SECS SER 2 Security Identifier: ALLY PRA
125% AXED RATE / FLTG CUSP: 361860208
Dividend Option: Cash
02122112'.13 80,000.000 23.5350 1,882,773.60 27.1800 2,174,400.00 291,626.40 162,500.00 7.47%
ROYAL BANK SCOTLAND GROUP PLC SPON ADR Security Identifier: RBS PRT
REPSTG SERT PDF SHSCOUPON 725% CUSP: 780097713
PERPETUAL MATURITY CALL@ 25 05114114
Dividend Option: Cash
10124/12 '.13 40,000.000 23 7900 951.600.00 25.1700 1,006,799.99 55.199 99 72.500 00 7.20%
01107113 '.13 40,000.000 24 4400 977.600 00 25.1700 1,006,799.99 29,199 99 72.500 00 7.20%
01114113'•13 40.000.000 24 8800 995,200.00 25.1700 1,006,800.02 11,600 02 72,500.00 7.20%
Total Noncovered 120,000.000 2,924,400.00 3,020,400.00 96,000.00 217,500.00
Total 120,000.000 12,924,400.00 $3,020,400.00 $96,000.00 $217,500.00
Total Preferred Stocks 17,320,391.11 11,629,458.00 11,309,066.89 $649,025.00
Page 9 of 19
MIAS Ron A St c 3 c L o T u H n E t N RA u mber n F I D G AM o p S ap M erles A s L I rD ( t v x a A e a t L o r rB y d tA u V Rr s nR , e A S rT i E nc D e C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00045657
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008481
EFIA_00156266
EFTA01288629
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cog Cost Basis Market Price Markel Value Gain; Loss Annual Income Yield
Equities (continued)
Options
CALL 100 AMERICAN AIRLS GROUP INC COM Option Identifier: 99QADTZJJ
EY? 01.17.15C/ 20 000 OPTION ROOT* AAL Undedying Security Identifier: ML
1100.00 of these connects are in your margin account Undedying Security Price: $38.85
12I11/13 1,000.000 8.0330 803,314.50 18.7000 1,870,000.00 1,066,685.50
PUT 100 AN ERICAN AIRLS GROUP INC CON Option Identifier: 99QADT2610
W01.17.150 20.000 OPTION ROOT: AAL Undedying Security Identifier: ML
4000.00 of these contracts are a shod position Undedying Security Price: $38.85
12111/13 .1.000.000 1.9110 .197.702.00 0.0500 .5 000 00 192.70210
Total Options $605,612.50 61,865,000.00 $1,259,387.50 $0.00
Total Equities $37,332,988.36 $38,234,154.98 $901,166.82 $2,120,197.05
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cod Cod Basis Market Price Market Value Gain? Loss Annual Income Yield
Exchange-Traded Products
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DXJ
Dividend Option: Cash; Capital Gains Option: Cash CUSP. 91111W851
60100 00 of these shares are in your margin account
12111/13 60.000 000 49 4350 2,966,098.50 49.9700 2,998,200.00 32,101.50 55,004.40 1.83%
Total Exchange-Traded Products $2,966,098.50 62,990,200.00 $32,101.60 $66,004.40
Usetaltret4 Accrued Estimated
Cod Basis Markel Value Gala/ Loss Interest Annual Income
Total U.S. DOLLARS $98,826,795.25 $103,245,203.0 62,420,268.53 $506,889.38 $3,883,464.43
EURO
Opening Dosing Accrued 30.0ay
Description Quantity Balance Balance Currency Income Yield
Cash, Money Funds, and Bank Deposits
Global Cash Balance 291,846.67 291,846.67 EUR
390,161 66 USD
Total Cash, Money Funds, and Bank Deposits 291,146.67 291,846.67 EUR 0.00
390,461 66 LSD 0.00
Awued
Market Value Currency liters
Total EURO 291,846.67 EUR 0.00
390.461 66 IAD 0.00
Page 10of 19
OBAN ROLL A SO cc U o T u H n E t R N N u m C bu A r I L N LC. F I D G A O p E ap N erl T es I s A L 1 r u 0x 0 A p c 0 L o i • O n t 0 , u A V t r a Rn w c aR e 7 eA n 0 o rT 0 r E d , D i 7 C 2 O 0 M 07 M UNICATIONS ..711=rii.l=rn or.m" ir" .4107
SDNY_GM_00049393
ri
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008482
EFTA_00156267
EFTA01288630
0rvitec
Mootts CoettfteC•ccp
Le-,u Nom Secy.., M.
mg,. brit Mar
14,Pant Annw. • It.i4loct
Statement Period: 07/01/2014 - 07/31/2014
Portfolio Holdings (continued)
Unrealized Accrued Estimated
coo Baps Market Value Gain/ toss Interest Annual Income
Total Portfolio Holdings • U.S. $98,826,795.25 $103,638,665.44 $2,420,258.53 $506,889.38 $3,883,484.43
DOLLARS
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)(thcorperating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered" noncoverece 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 vAl be reported to the IRS on form 1099-8 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 (ORP) shares acquired on or after January 1, 2012
• Mier securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attrbutes 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 intonation is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
1 This bond is maturing.
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.
1 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 underlying 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 dent 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 transferring agent and Pershing makes no representation as to the accuracy of this information.
Page 11019
Account Num berms Rai tacellenil
Go paperless (very Vow' Siva 2'007
SC L THERA tt, NLLC. F I DraTIAL rDxAcLi OtuARrn ReArT ED COMMUNICATIONS Par. IAA Nampa.I S Wet MC
SDNY_GM_00045659
CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0008483
EFrA_00156268
EFTA01288631
Holdings Summary by Currency
Erdmane•Taded
Curren Casa Fixed Income Equities Ends Total by Currency
LS. D LIARS 30,329,970 31.682 878 38 234 154 2.998,200 103 245 203 LSO
EL RO 291,846 0 0 0 291,846 EUR
Total USD Equivalent 30,720,432 31,582,878 38,234,160 2,998,200 103,636,666 USD
% of Allocation 29.64% 30.57% 36.90% 2.69% 100.00%
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Leal
Date Date Transaction Description Quantity Cod Basis Proceeds Disallowance
Short Term
07123/14 12/13113' PPP WASFINGTON MUT II TO 5004•RA2 MTG PASSTFRU CIF CL 1.290.000.000 36,473.18 47,665.76 11,192.58
C. B•1 VAR RATE 6.973% 07125133
Security Idenbfier 939336S20
Original Cost Basis: 36.473.18
07125114 12113113' REP COUNTRYWIDE FOM E LOA I CL 81 4.090% 03125133 WED 4,500,000.000 11,134.89 11,924.73 789 84
TD 01130103
Security Identifier: 12669DYS1
Original Cost Basis: 11,131.89
Total Short Term 347,608.07 359,590.49 311,982.12
Long Term
07116114 07111105' SELL P MORGAN CFASE 8 CO US16625H1005 1.450 000 708.302 44 85,299.96 -623 002 48
Ard In Firs Out Security Identifier: .PM
07116114 01124113' ROMG ITSERVICEMAST8i CO SR FULLY EXCHANGED FROM OLD 1.060.000.000 1.110.189 67 1.144.800.00 34,610.33
Artil In First Out CUS P 61760NAL3 6.000% 02115/20 B
Security Identifier 81760HAN9
Original Cost Basis: 1,110,189.67
07123114 07114105' SELL P mORGAI,. CEASES CO US46625H1005 1,450.000 708,302.44 85,418.86 4322,883.58
AM In Rd Out Security Identifier: .PM
Total Long Term 12,526,791.55 31,315,518.82 .31,211,275.73
Total Short Term and Long Term 12,574,402.82 31,375,109.31 .$1,199,293.31
• 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.L.110-313, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ncncovered.- under the new cost basis reporting rules, and marked or denoted as such. Al 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
cc after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis MI be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Page 12 of 19
Account Number: Itned Excellent,
ORM Ron. Go paperiess etc I rC L xA . eL .. rM ) t , u A Y rR e r aR ar eA S rT i E nc D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00015660
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERNCO F D AL1SITIA DB-SDNY-0008484
EFTA_00 156269
EFTA01288632
(*shoe Sam r.,..,. WitaiiNPAanrnent
Mamas teem. GNM)
DerbON ML Secto9e. M.
Nos *4 Nice
HS PH Mos. Mehl bet
Now *A NY WIN
Statement Period: 0710112014 • 01/3112014
Schedule of Realized Gains and Losses Current Period (continued)
Reportirg requiremer.ts generally will be phased in cver a three-year penda: as tams
• 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, 2014, 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 inforrnation 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 return 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 1099-8 or online 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 all liability that may arise with respect to your use and reliance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attrbutes 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.
13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information.
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-Iot disposition method. The disposition method is the method vita 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 accounts 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 tine of the security disposal, and this may be reported on the IRS Form 1099-8.
M essa es
Although a money market mutual fund seeks to preserve the value of your investment at S1 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 products disclosure document or contact your advisor for additional information.
Federal Deposit Insurance Corporation (FDICHnsured 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 httpsitiimw.dws-investments.com/ENIproductsimoney-market-funds-yields.jsp. Please note that all money
market funds kited on the website may not be offered through us.
Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset & Wealth Management brand and
future communications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and
investment adviser. which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC.
The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding.
Page 13 of 19
co
Account Number Rated tocellenti
ILMIAN ROIL SOLTH ERA Nnc. F I D G -E O p N ape T rle I ss A L r L Dx y Ae o L n rBt . A u V Rr s N R .. C A S T I i E nc D e C 2 O '0 M 07 M UNCATIONS
SDNY_GM_00045681
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) O13-SDNY-0008485
EF114_00156270
EFTA01288633
Activity Sum m ary (All amounts shaven are in base currency)
Oedits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Securities Bought 0 00 0.00 Securities Bought 0 00 19 214.895 09
Secunties Sold 170 718 82 17 438 218 86 Secunhes Sold 0 00 0 00
Total Securities $170,719.92 $17,438,218.86 Total Securities $0.00 -$19,214,895.09
Dividends and interest $56,959.99 $1,566,713.70 Dividends and Interest $0.00 -$93,007.61
Distributions $1,202,570.13 22,117,116.97 Distributions $0.00 $0.00
Fees $0.00 $0.00 Fees -$18.00 .$54.00
Cash Cash
Withdrawals 000 0 00 Withdrawals •170.000.00 -1.058.245.00
Deposits 344.637.50 11.168.787 15 Deposits 0 00 0 00
Total Cash 6344,627.50 $11,168,787.15 Total Cash -$170,000.00 .$1,058,245.00
FDIC Insured Bank Deposits $0.00 $37,486,437.18 FDIC Insured Bank Deposits $0.00 •$19,304,764.85
Money Market Funds $170,018.00 $9,127,877.13 Money Market Funds -$1,769,085.24 -$39,451,746.67
Total Credits 61,941,904.41 $78,904,850.99 Total Debits .$1,939,103.21 .$79,123,513.12
Transactions by Type of Activity
Process! Trade/
Settlement Transaction
Date Oate Activity Type Dedsiplion Quantity Price Awned !mitred Amount Currency
Securities Bought and Sold
07/21/14 07116114 SOLO SRIORGAN CHASE 8 CO COM 'SINK IA46625311005 BKCM 4450.000 58.8930 85.299.96 LSD
PM A PERSHING AFFILIATE MAKES A MKT IN THIS SECURITY
ACTED ASPRINCIPAL UNSOLICITED ORDER
07/28/14 07123114 SOLD P MORGAN CHASE 8 CO COM ISINOLS46625H 1005 BKCM 4450.000 58.9750 85,418.86 LSD
PM A PERSHING AFFIUATE MAKES A MKT IN THIS SECURITY
ACTED AS PRINCIPAL UNSOLICITED ORDER
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 170,718.82
Dividends and interest
07/16114 80AD INTEREST RC-CE/ED SERVICEM ASTER CO SR NT • CUSP FULLY EXCHANGED 35.568 89 LSD
81760NAN9 FROM OLD CUSP 81760NAL3 8 000% 02/15120 8/E OTD
02113112 CLB ACCRUED INTEREST
07/25/14 80110 INTEREST RECEIVED 4500000 COUNTRYWIDE HOME LOANS SER 03-1 CL 81 5.15618 USD
126690Y51 4.090% 03125133 B/E DTD 01130103 RD 06130 PD 07125/14
07/25/14 CASH DIVIDEND RECEIVED 23000 SHRS GENERAL ELECTRIC CO COM RD 06123 PD 5,060.00 LSD
GE 07125/14
a Page 14 of 19
Account Number Rated facellenti
tient, itot 1 SOUTHERN CA Go paperless DAL OA v R s R . A — TE D C 2 O 0 M 07 M UNICATOIS
FIDAENTIAL rxarturact
SDNY_GM_00045662
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008486
EFTA_00156271
EFTA01288634
Orvisre Rant Pn.a. Weatn Pawn—tan
Weals Coon., 6,0‘P
Dettsag MY Sew
wan 011ic•
PC &w 1776. BPI mom MD 21203 Na Pan Ammo. Ha Met
War wet liY 1011.4
Statement Period: 07(0112114 - 0713112114
Transactions by Type of Activity (continued)
Process/ Trade!
Settlement Transaction
Date Date Activi Desa ion Qua Price Awned Interest Amount Curren
Dividends and Interest (continued)
07/25/14 BOND INTEREST RECEIVED 1290000 WASFIAGTOAMUMTG SECS CORP 2004•RA2 4.623.08 USD
939336520 11 TG PASSTHRL CTF Cl. C-B-1 VAR RATE 6.973% 07125/33
WE DID 06101/04 RD 06130 PD 07125/14
07/31/14 MONEY MARKET FUND DWSGOVT CASF 'ASTI 750.64 LSO
INCOME RECEIVED
233993682
07/31/14 CASH DIVIDEND RECEIVED 11503 SFRS.P MORGAN CFA-% CO COM 5.801 20 LSD
'SINS US46625F 1005 RD 07(03 PD 07131/14
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 56,959.99
Distributions
07/16/14 SECU PITY REDEEMED SERVICEM ASTER CO SR NT - CUSP FULLY EXCHANGED -1.060.000000 1.111.800 00 LSD
81760NAN9 FROM OLD CUSP 81760NAL3 8.000% 0271572081E DID
02113/12 CLB CALLED BY LOTTERY
07/25/14 RETURN OF PRINCIPAL 4500000 COUNTRYWIDE HOME LOANS SER 03-1 CL 131 11.921 73 LSO
RECEIVED 1.090% 03125133 B/E DID 01130103 RD 06/30 PD 07/25/14
126690Y51
07/25/14 RETURN OF PRINCIPAL 1290000 WASFINGTON MLTMTG SECS CORP 2001-RA2 45.815 40 LSO
RECEIVED MTG PASSTFR, CTF Cl. C-B-1 VAR RATE 6.973% 07125/33
939336$20 WE DTD 06101/04 RD 06130 PD 07125/14
Total Distributions • UNITED STATES DOLLAR 0.00 1,202,570.13
Fees
07/01/14 FOREIGN CUSTODY FEE Fgn Safekeeping JJN 2014 CUSP. G4SISP-P4.8 -6.00 LSD
GIS15PP48
07/01/14 FOREIGN CUSTODY FEE Fgn Safekeeping UN 2014 CLSP: 654338.80.8 -6.00 LSO
654338868
07/01/11 FOREIGN CUSTODY FEE Fgn Safekeeping IN 2014 CUSIP: P7807H-AF-2 -6.00 LSO
P7807FAF2
Total Fees - UNITED STATES DOLLAR 1.00 -WOO
Page 15 of 19
Account Number: Rated tacellonil
Go paperless (very V.A. Siva 2007
SOL THERA CAO NLLC. FIDESM AL DrxAeLn BuArRr aReArT ED COMMUNOLTIONS
SDNY_GM_00045663
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008487
EFTA_00 156272
EFTA01288635
Transactions by Type of Activity (continued)
Process/ Trade/
Settlement Transaction
Date Date Adivit Type Desa ion Quin Price Mooed liters Moult Curren
Cash Withdrawalsand Deposits
07109114 CUSTOMER AL THORIZED TRANS TO NIG-076161 -170.00000 LSO
TRANSFER
USD999997
07/11/14 FEDERAL FL NDS RECEIVED DELTSCI- E BANK TRUST 33950 311,637 50 LSD
USD999997
Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 174,631.50
Money Market Funds
07/02/14 MONEY FUND REDEMPTION DWSGOVT CAM- INSTL 18.00 LSO
USD999997
07/09/14 MONEY FUND REDEMPTION DWSGOVT CASH INSTL 170,000 00 LSD
USD999997
07/14/14 MONEY FUND PLRChASE DWSGOVT CASe INSTL •344.63750 LSD
USD999997
07/16114 MONEY FUND PLRCeASE DWSGOVT CASh INSTL -1.144,80000 LSO
USD999997
07/17/11 MONEY FUND PURChASE DWSGOVT CAST INSTL -35.568.89 LSO
USD999997
07/21/14 MONEY FUND PURCI-ASE DWSGOVT CAS-INSTL •85,29996 LSD
USD999997
07/28/14 MONEY FUND PURCeASE DWSGOVT CASe INSTL -158,02825 LSD
USD999997
07/31/14 MONEY MARKET FUND DWSGOVT CASe INSTL INCOME REINVESTED .750.64 LSD
REINVESTMENT
233993682
Total Money Market Funds • UNITED STATES COLLAR 0.00 1,599,067.24
Total Value of Transactions 0.00 5,801.20 USD
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Security Record Date Payable Date Quaky Held Rate Dividend Option Amount of Payment
Dividends
BANK OF KEW YORK MELLON CORP COM 07/29/14 08/08/14 250,000.000 0.170000 Cash 42.500.00
Interest
SERV10EMASTER CO SR NT • CLSIP FLLLY 07/3111/ 08/15/14 1.440.000.000 0.040000 Cash 57.600.00
EXCI-AhGED FROM OLD
Total Cash Not Yet Received 9100,100.00
Page 16 of 19
Account Number: Rated tacell•nri
l)(tAO ROI SOUTHERN CAO NLLC. FlD G E o p S ap I e T rles I s A L r L 0x v Ac e L r iBu y A r V tRr s aR . e A S rT i E v D a C 2 O 0 M 07 M UNCATKINS
SMIv_GM_00045664
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008488
EFTA_00 156273
EFTA01288636
Omicev Rant 0,00 Weahr. 114,0gena0
Mats Owen. 41017
Des4077 MY Sew0a1Ic
11m Ion 0111c•
PC 17 &Itnwc MO 21203 la Put Ammo. Halter
War wet 1,0 17114
Statement Period: 0710112014 • 07/3112014
Bond Maturity Schedule
Bond Maturity Market Vain % of Eland Market Value
Within 1 month 4,405,000.00 14% LI Percentages of bond market values are
1 to 6 months 1,035,900.00 3% LI rounded to the nearest whole percentage.
1 to 5 years 4,419,375 00 14%
6 to ID years 6,872,550.00 22%
•
Over 10 years 14.950.053.06 41%
Total 31,082,870.06 ion
Bond Quality
Bond Quality Market Value % of Bond Market Value
ex> 5.595.000 00 18% Percentages of bond market values are
BAILower 19,725.554.38 62% F1 rounded to the nearest whole percentage.
hot Rated 6,362,323.68 20% •
Total 31,612,87616 100%
Client Service Information
Your Client Advisor: TDS Contact Information
TAZIA SMITH Telephone Number:
345 PARK AVEN t•E 14TH FLOOR
NEWYORK NY 10154
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 Secutides: FIRST IN FIRST OUT
Electronic Delivery
You have not selected any account corn m unications for eledronic delivery. To register and turn off paper con m unications. log in to your account or contad your Client Advisor lot mote inform abon.
Page IT of 19
17137.0 11011 A S c O c L o T u H n E t N RA u m C be I r O LLC. F I D G ^ o E pa N per T les I s A L 1 R D 7 7 X A a . t C L n e O y I d L A Y e L R x e 7 c P a N e . A e l S l T t e i E n v O t a C 2 O 0 M 07 M UNICATIONS reetitraw.....'tirro.r.arnrs•
SCM_GM_00046666
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008489
EFTA 00156274
EFTA01288637
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 rekable. Pershing may not use the dosing 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 "'N/A— and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WIEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) 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
vnwipershing.comibusiness_continuity.htni for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
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 wil
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. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow.
Opgons
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
information is available to you promptly upon your written request directed to your introducing firrn. 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 lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vide 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. dollars for dividends and strider corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate wilt not exceed the highest interbank conversion rate identified horn 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 depositones) will be billed 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 widen
authorization from Standard & Poor's. Standard & Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard S Pools is not responsible for any eras a
omissions, regardless of the cause, a 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 & Poets 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 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 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 IS of 19
Account Num ber Rated Excellent,
Go paperless Every YearSiva 2007
L TH ERN LLC. rDxAeLBnAoRw ReATr IED COMMUNICATIONS 'rare um% per .*MIA went. Nov
N F I DAMSMAL
SDNY_GM_00045666
CONFIDENTIAL — PURSUANT TO FED. R CRIIVI P. 6(e) DB-SDNY-0008490
EFTA_00156275
EFTA01288638
ONIN't PAIMIP-wrat
Mtnets On0/040.1)
De.cul. 140.--4.1 M.
Vinv brit 0*
11128tit A•00...1000:ct
Wry Wet 1,0 Imw
Statement Period:0710112114 .07/3112014
Important Information and Disclosures (continued)
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a dealing agreement will 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 (S) 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 hoed Pershing or any person confiding 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 ads as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result 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 conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. M other inquiries regarding your account or activity should
be directed to your financial institution. Your Mandel 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 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 limits. For more detailed information please visit: vnew.pershing.congstrength_stabilityhtml.
• 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, Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other n court, including the right to a trial by jury. 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 ability to have a court reverse or modify an arbitration award is very firnited_
• 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 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 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 decedified; 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;
Pap 19019
I A SC cc L o T u H n E t N RA u m C be O r LLC. DGr oa paaperr leisAs L rD ( li v x s A e t eL a r n B y d Ao V [m Rt s a R , a eA li S r g T i E n v D ' a C 2 O 0 M 07 M UNICATIONS —.."d
N F I
SDNY_GM_00045667
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008491
EFIA_00156276
EFTA01288639
014404 101.410 Won Manair,tat
Myatt Conran Grab
Des-Whi Sank SeCtettes
PO. Set 1776. Bolieren1.02i203 Na. MA 011f*
In PIA /MS" nth ilea
aN n 10114
Account Number:
Statement Period: 06101/2114 • 06/30/2114
Valuation at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 1102,263,612.61 190,573,050.28
6100 RED HOOK QUARTER B3 h et Cash Deposits and Withdrawals 000 9,935,901.65
ST THOMAS VI 00802 Adjusted Previous Account Value 102,263,842.64 100,608,95413
Dividends, Interest and Other Income 278.264 55 1,921,207.64
het Other Activity 0 00 -36 00
het Change in Punka 1 942,237 48 2054,01810
nding Account Value S104.484.144.67 $104.484.144.67
Your Client Advisor: Estimated Annual Income $3,972.153.79
TAMA SM Ilk
Asset Allocation
Prior Year-Fad La Period This Period % Ababa
USD Cash. M oney Funds. and Bank Depoits 18,295,91911 37,186,10221 28,725,102.30 27.19% Pa Chan allocation only includes
products that are of posrbve value.
USD Fixed Income 27,736,972.38 25,402,86518 25,298,131.48 2121% Assets of less than 1% of holdings
Nor6USD aced Income 10,227,309.16 7,793,313.75 7,819,092.00 7.18% coil not display on this pe chart.
USD Equities 30,410,519 65 28,313,86527 39,280,67710 37.60% I \ "L 1
Non-USD Equities 3.137.192.71 2,869,200.00 2,961,600.00 2.83%
Non-USD Cash. Money Funds. and Bank Deposts 402,106.31 398,195.60 399,538.01 0.38%
Other 363.000.00 0.00 0.00 0.00%
Account Total (Pie Chart) 190,673,060.28 1102,263,642.81 $101,484,141.67 100.00%
See page 2 01 the statement for importart inforrnaten regarding twe Asset Atocation section.
Pete 1021
Ra ted tma llordi
B0097662CSP30022 Go paperless Lvery Von 5100, 2007 Prato UM =mem 0100A inn. —o
CONF I D riciriA
SDNY_GM_00045668
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008492
EFTA_001562 77
EFTA01288640
Asset Allocation Disclosure and Footnotes
Certain values have been defaulted into the Other Asset Class due to mcompiele categorizing data
AI values are displayed in U.S. dollars based on interbank exchange rates as of 06/3012014. Exchange rates can vary.
Equities contains Equity Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date Ulf.'lite,
ShorhTerrn Gain/Loss 6.996 17 4,250.10 2,675,759.17
long-Term Gain/loss 0 00 -3.205,971.74 -405,859.12
Net Gain/Loss 499111 -3,201,72114 2,270,100.05
This summary excludes transactions where cost basis information is rot available.
Exchange Rate Table Global Cash
Currency Closing Mount in
Currency USO Equivalent per USD Currency Balm, Base Cannel USD
EURO 1 3590 0.7304 EURO 291,848.67 399538.09
Total Global Cash Balance 5399,535.09
Exchange rates are based on interbank exchange rates as of 06/30/2014. Exchange rates can vary.
Money Market Fund Detail
Date Activity Type Desaiption Amount Babes*
Sweep Money Market Fund
OW S GOVERNMENT CASH INSTI.
Account Number:— Current Yield 0.03% Actiyity Ending. 06/30114
05131114 Opening Balance 37,265,200.36 37.265.200 36
06102/14 Deposit MONEY FUND PURChASE 221,201.88 37,465,402 24
06117/14 Deposit MONEY FUND PURCI-ASE 119,250.00 37,605,652 24
06126(14 Deposit MONEY FUND RIRChASE 46,833.16 37,652,485.40
06/27(14 Deposit MONEY FUND PURChASE 29,257.50 37,681,742.90
05130114 Withdrawal MONEY FUND REDEMPTION 4,957,559.13 28,724,183.77
06130114 Deposit INCOME REIN VEST 918.53 28,726,102.30
05130114 Closing Balance 525,725,102.30
Total All Money Market Funds 125,725,102.30
Page 2 of 21
ONO ROLL A SO cc U o T u H n E t R N N u m tk tie i r b LLC. D GO a pnapcerrleisAs L R r [ 0 v xA e s eL r d sB y a A Y t r s Rt e r c R a a o r eA r n rT S i n E . f D l C 2 O 0 M 07 M UMCATIONS
NF I SDNY_GM_00045669
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008493
EFTA_00 156278
EFTA01288641
Reasnellant km!. Mat n Mptagenan
INtrais (Nem GION,
0ntic IN Sat Nor On Inc
Mwibri Cake
PC. Bni 1770 Elul moot MO21203 MS Pia Asa. NM I Nor
Mw** MY 101M
Statement Period: 0610112814 • 06/3012014
Income and Expense Summary
Cement Period Year•to•Dale
Taxable Noe Taxable Taxable Non Taxable
Dividend Income
Equities 83,63230 0.00 341,25918 0.00
Money Market 918.53 0.00 2,021.19 0.00
Other Dividends 32,75520 0.00 405,25520 0 00
Interest Income
Bond Interest 160,958.32 0.00 583,468.80 000
FDIC Insured Bank Oeposts 0.00 0.00 2,691.15 0.00
Other Interest 000 0.00 81.250.08 0 00
Total Dividends, Interest, Income and Expenses $278,281.55 $0.00 61,116,918.20 $0.00
Distributions
Alternative Investm ents 000 0.00 0.00 505 261 44
Other Distributions 0.00 36.841.51 0.00 409 285 40
Total Distributions $0.00 $38,811.51 WOO $914,546.84
Portfolio Holdings
U.S. DOLLARS
Account Activity Opening acing Matted Income 30.Oay Curremt
Opening Date Quantity Number Blum Balance Balsam income Ibis Year Yield Yield
Cash, Money Funds, and Bank Deposits
Cash Balance 221,201.88 0.00
Money Market
DWS GOVERNMENT CASH INSTt
0513111/ 28.725,102 300 08130/14 37.285.200.36 24.725.102.30 0.00 2.021.10 0.03% 0.03%
Total Money Market $37,286,200.311 424,725,102.30 60.00 $2,021.19
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
05/31114 0600/14 0.00 0.00 0.00 2.691.15 N/A WA
Total FDIC Insured Bank Deposits OA $0.00 $0.00 42,891.16
Total Cash, Money Funds, and Bank Deposits $37,186,102.21 424,726,102.30 $0.00 $4,712.34
Page 3 of 2I
ñ
Account Num ber F Raced tmolleM
118,4. von TM ERN Go paperless r E Dx v Ae e L r i O y t uA V Rr . n A Re . A L rT a E m D C 2 O 0 M 07 M UNICATIONS
I DAE TIAL
SDNY_GM_00045670
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008494
EFTA_00 156279
EFTA01288642
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date ired Quiet Dalt Cost Cod Basis Market Puce Market Value Gain/ toss Interest Annual Income Yield
Fixed Income de Maturity Dare Sequence)
'Asset Backed Secwitles
COUNTRYWIDE HOME LOANS Security Identifier: 17669 DYSI
SER 03.1 CL 81 4.090% 03125133 WE
DM 01130/03
Factor. 0.23912707 Effective Date:06102/14
Current Face Value: 1.076.071.815
12113113 '.3.11 4,500,000.000 93.3760 1.004.797.58 86.6130 932,018 08 42,779.50 3,545.36
Original Cost Bass. 51,111,573.07
WASHINGTON MUT MTG SECS CORP 2001•RA2 Security identifier: 939336S20
MTG PASSTHRU CTF CL C-B-1 VAR RATE
6.974% 07125133 WE DID 06101101 5 8 P Rating 0
Factor:0.61667181 Effective Date:06102/14
Current Face Value: 795.506.635
12113/13 '.3.12 1,290,000.000 76.5190 608.710.62 86.0290 684,366 40 75,65578 4,469.29
Original Cod Basis 5638.906.71
Total Asset Backed Securities 31,613,608.20 31,618,364.46 $2,876.28 36,014.86 30.00
6,790,000.000
Total Current Face Value : 1,171,578.450
Corporate Bonds
SG STRUCTURED PRODS INC Security Identifier 7$423EHS6
COMMODITY UM MKT PLUS PROTECTED NOTES
0.000% 0810511181E DID 07130113
07125/13 '.12.13 2,000,000.000 100 0000 2,000,000.00 108.9100 2,178,200.00 178 200 CO 0.00
Original Cad Basis: 52,000,000.00
HSBC USA INC MEDIUM TERM NTS Security Identifier: 40432XFP1
BUFFERED NOTES LK/ TO EURO mom so
0.000% 08129114 WE DM 05130113
05124113 %OM 2,000,000.000 100 0000 2,000,000.00 113.0100 2 260 200 00 260 200 00 0.00
Original Cod Basis: 52,000,000.00
AY ORGAN CHASE & CO M EDIUM TERN NTS Security Identifier: 48128NVE4
GAFFED CONTINGENT BUFFERED EQUITY NTS
0.000% 10/16114 WE DID 09127113
12105113 'AM 1,000,000.000 100 0000 1.000.000.00 102.9200 1,029,200.00 29 200 00 0.00
Original Cosl Basic SI,000,000.00
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
NOTES SENIOR Mkt XS0460546525
5.000% 10128115 REG DT0 10128109 S 8 P Rating B.
12/04113 '.3.12 2,500,000.000 92.7510 2,318,770.84 94.1500 2 353 750 00 34,979.16 21,527.78 125.000 00 5.31%
Original Cost Buis: 52,250,000.00
Page 4 of 21
097,662CSF:' Ment, ROIL Acc L ou T nt H Nu E m b x er t en NF Go paperless R DA at L e B d A Y f- R e a c R a e r A l S l T o w E n o i D l t s C 2 O '0 M 07 M UNCATIONS r e e int t r t e i i. = e riertne.'" e 8 i.e . thirrii.
I DAENTIAL
SDN Y_GM_0004 5871
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(eso) OB-SDNY-0008495
EFrA_00 156280
EFTA01288643
Oeuiv.v Si,,, Pon. roam Alvmmnent
Minet% COMM< Gw‘p
0.0s0A Selynel LAC
lire bet Mc*
P.O. Sag 1776. Batman MO2)203 Na Part AMMO. )Mn, kw
Statement Period: 0610112014 - 06/30/2010
Portfolio Holdings
(continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cost Cost (Taos Market Price Market Value Gain; Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
HEADWATERS INC GTO SR NT Security Identifier: 42210PM:15
7.625% 04/01119 B/E DTO 03/11/11
CALLABLE 04101115@ 103813 Moody Rating El2 S& P
Rating B•
taK000no
10122112'•I2.3 102 2910 1.022.938.45 106.7500 1.067.500.00 44.561 55 18.850 69 76,250.00 7.11%
Onginal Cost Basis. 51.035.000.00
EARTHUNK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC6
CUSP FROM 270321A88 8.875% 05/15/19 BIE
DTD 05117111 CALLABLE 05/15115 S 6 P Rating CCC•
10122112'.12.13 40E000.000 102.7670 411.069.18 100.0000 400,000 00 .11,069.18 4,437.50 35,500.00 8.87%
Original Cost Basis. $411,000.00
10123/12 %UM 600.000.000 102 5710 615.127.96 100.0000 600.000 00 -15.427.96 6.656.25 53.250.00 8.87%
Original Cost Basis: $619,500.00
Total Noncevered 1,000,000.000 1,026,497.11 1,000,000.00 -26,497.14 11,093.75 88,750.00
Total 1,000,000.000 $1,026,497.14 91,000,000.00 -626,497.14 111,093.75 $81,750.00
SERVICEM ASTER CO SR NT - CUSP FULLY Security Identifier: 81760 NAN9
EXCHANGED FROM OLD CUSP 817601413
8.000% 02115120 8/E DTD 02113112 Moody Rating CAA1 S
8 P Rating B-
01124/13 '.12.13 1.500.000.000 104 7870 1:571.805.96 101.7500 1.616.250.00 44.444 04 45.000 00 120.000.00 7.42%
Onginal Cosi Basis: $1.595,625.00
02/25113 %IL" 1.000.000.000 105 3210 1053.210.05 107.7500 1.077.500 00 24.289 95 30.000 00 80.000 00 7.42%
Original Cost Basis: $1,070,000.00
Total Noncovered 2,500,000.000 2 625 018.0t 2,693,750.00 16,733.99 75,000.00 200,000.00
Total 2,500,000.M $2,625,616.11 12,693,750.00 $68.733.99 $75,000.00 5200,000.00
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: GISISPP41
TERM NO TES ISIN 1 XS 717735822 Price Estimated as of 06/25/14
9.875% 12116/21 REG 0T0 12/16111
Moody Rating Gal St PRating 888
12104/13 '.3.12 1.500.000.000 108 0750 1.821.127.27 118.6300 1.779.450.00 158.32273 79.82212 118.125.00 8.32%
Original Cosl Basic $1.627,500.00
Page 5 of 21
Account Number Ssd tacelkirdi
ORA,' ',Olt SOUTHERN CHO NLW. FID G E O p N ape T rle I ss A L D E rx v Ae e U r n y Mu V .r e mR st eA A rT n C t D e C 2 O 0 M 07 M UNCATDONS
SDNY_GM_00045672
CONFIDENTIAL — PURSUANT TO FED R CRINA P. 6(e) OS-SONY-OOO8496
EFTA_00156281
EFTA01288644
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Awned Estimated Estimated
Crate Acquired Quantity Unit Cost Cod Basis Market Price Market Value Gain/ Loss Inters Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
SOUTHERN CAUF EDISON CO Security Identifier: 842400FU2
PREF SERE 6.250% 02101122 BlE
DID 01117112 CALLABLE 02101/22 Moody Rating BAA1 S &
P Rating 8B8-
01/30/12 '.3.12 3,000,000.000 99.7990 2,993,957.46 108.5000 3,255,000.00 261,042.54 77,604.17 187,500.00 5.76%
Original Coat Basis $2.992,564,97
BARCLAYS 8K PLC CONTINGENT CAP NT Security Identifier: 06736FHKO
ISIA 61,506739Ft-1(03 7.750% 04/10123 B/E
DTD 04/10113 CALLABLE 04/10118 SB P Rating B84
04103113'•!113 308000.000 100 0000 308000.00 111.3000 333,900 00 31900 00 516667 23 250 00 6.96%
Original Cosi BMis• $300,000.00
PM ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 46625HHA1
111071- PFD SER 1 FIXED TO R.TG Fa BD
7.900% 04/29/49 WE DTD 04/23/08 Moody Rating BAt S &
P Rating BBB
06115/11 '4.12 2,500.000.000 107.5000 2,687,500.00 111.7500 2,793.750.00 106,250.00 32,916 67 197.500 00 7.06%
Original Cass Finis $2887,500.00
06/15/11 '.3.12 2.500.000.000 107 0000 2.675.000.00 111.7500 2.793.750.00 118.750.00 32.916 66 197.500 00 7.06%
Original Cost Basis 52.675.000.00
Total Noncorered 5,000,000.000 6 362 500.00 5,97,500.00 225,000.00 65,833.33 395,000.00
Total 5,000,000.000 65,362,500.00 55,587,500.00 $225,000.00 665,833.33 $395,000.00
BANK AM ER CORP PERP NON COM uurnvE OEP Security Identifier: 08050509
SFS FIXED TO FLOAT 8.125% 04/30/58 B/E
DTD 04130108 CALLABLE 05115118 MoodyRalingBA3S&P
Rating BBL
01/10/11 '.3.12 2,000,000.000 102 7500 2.055.000.00 112.5000 2.250.000 00 195,000.00 20,312 50 162.500 00 7.22%
Ong'nal Cost Basis, 52.055.000.00
GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 369622946
A 7.125% 06/12/62 EVE
DID 06/12/12 CALLABLE 06115122 Moody Riling BAA1 S &
P Rating AM
06127/12'.17.13 2,000,000.000 105.5300 2,110,605.12 118.0200 2,380,400.00 249,794.88 5,937.50 142,500.00 6.03%
Original Cosl Basis $2.122,916.67
LBG CAPITAL NO 1 PLC 144A Security Identifier: 65433B8GB
isistlXS0473106283 8.000% 09115188 REG
DTD 12/15/09 FO REIM% SECURITY S8 P Rating BB
12104/13 '.3.12 1,200,000.000 108 2500 1,299,000.00 110.6000 1,327,200.00 28.200 00 4.000.00 96.000.00 7.23%
Original Coil Basis $1,299,000.00
Page 6 of 21
Account Number: Said tmelloni
°HASPOLL 6(e) IN F I D C r so 1 pa S pe I r T les I s A L Dr (v xA e cL r o B y u A V rRn A Ra N eA S rT I E M D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045673
THERk
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0008497
EFTA_00 156282
EFTA01288645
Dral.C Sim Prruin Wolin PA.111,Nat
Marat$ Conran Comp
Deauk ML Smoke AL
Mew TM Mar
P.O. Bag 1770 EhIbmom MO 21203 HS Pia 0.•••• loth Hoer
Statement Period: 06/01/2014 - 06/30/2014
Portfolio Holdings
(continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Modred Quantity Unit Cost Cost Basis Market Price Market Value Gain Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
'LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439A04
SECS
MIDI TIER 1 ISMS US539439AG42
1.500% 09/27/88 EVE DM 04/0771/ S 8 P Rating
Please Provide 1,903,000.000 NIA Please Provide 106.4000 2 024.792.00 N/A 1,189.38 142,725.00 7.01%
Orin al Cost Basis: Please Provide
Total Corporate Bonds $27,735,412.29 931,500,842.00 11,710,637.71 1366,338.69 11,787,800.00
28,103,000.000
Total Fixed Income 329,311,020.11 $33,117,226.48 $1,713,613.99 1391,353.34 11,787,600.00
34,693,000.000
Vitalized Estimated Enlisted
Date Acquired Quantity Veit Cog Cod Basis Market Market Value Gaiuf Loss Animal Income Yield
Price
Equities
Common Stocks
APOLLO GLOBAL M GM T LLC CL A SUS Security Identifier: APO
Dividend Option: Cash CUSP. 037612306
03129/11 '.13 263.157.000 19 0000 4.999.983.00 27.7200 7,294,712.04 2.294.729 04 1,118,117.25 15.33%
APPLE INC COM Staidly Identifier: AAPL
Dividend Option: Cash CUSP. 037833100
10128/13 14.000 000 75 5800 1.058.120.50 92.9300 1.301.020.00 242,899.50 26,320.00 2.02%
ARIAD PHARMACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash CUSP 04033A100
02114/12'.13 7,535.000 15 2090 114,597.40 6 3700 17,997.95 -66,599.15
01124/13 '.13 9.000.000 19 6000 176,100.00 6 3700 57,330.00 •119,07000
Total Noncovered 16,535.000 290,997.40 105,32715 -116,161.16
Total 16,535.000 9290,997.40 $106,327.95 4186,861.16 10.00
ASCENA RETAIL GROUP INC COM Security Identifier: ASNA
Dividend Option: Cash CUSP. 013516101
01/16101 '.3 70,500.000 212770 1,500,000.00 17.1000 1.205 550 00 •294,45000
Pape 7 of 21
Account Number Rated excellent,
0007776.7C773,' OBAI, ROLI L TH ERN CNO LLC. Go paperless D ',r A a U cy M v R « R . A U T n E t D o C 2 O 0 M 07 M UNICATIONS
N F I DAENTIAL rxClainNer
SDNY_GM_00045674
CONFIDENTIAL - PURSUANT TO FED. R CRINA P. 6(e) OB-SDNY-0008498
EFTA_00156283
EFTA01288646
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Uarealized Estimated Estimated
Date Ind Quiet Writ Col cod Basis Markel Pra Markel Valet Gale/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
BANK OF NEW YORK M ELLON CORP CON Security Identifier: BK
Dividend Option: Cash CUSP: 084058100
06125114 250.000 000 36 3060 9,076,406.00 37.4800 9,370,000.00 293.594 00 170.000.00 1.81%
BIOGEN IDEC INC CON Security Identifier: BUB
Dividend Option: Cash CUSP: 09062)(103
02114/12'.13 2.095.000 119 5490 250.454.95 315.3100 660.574.45 410.119.50
FACEBOOK INC CL A Security Identifier: FB
Dividend Option: Cash CUSP. 3030311102
05117/12 '.13 17,500.000 38 0000 665.000 00 67.2900 1,177,575.00 512,575.00
FOUNDATION MEDICINE INC COM Security Identifier FM I
Dividend Option: Cash CUSP: 350465100
01113114 25,000.000 27.5010 687.663.50 28.9600 674,000 00 43,663.50
GENERAL ELECTRIC CO CON Security Identifier: GE
Dividend Option: Cash CUSP: 389604103
04123113 '.13 23,000.000 21 5700 498,109.08 26.2800 604.440 00 108.330 92 20,240.00 3.34%
GENERAL 11 TRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 37045V100
11118110' 10.988.200 36 4010 399,978.16 36.3000 398.871 67 -1.106.49 13,185.84 3.30%
12109110' 86,536.800 36 8160 3,185,96922 36.3000 3,141,285.83 -44,683.39 103,844.16 3.30%
Total Noncovered 97,525.000 3,585,917.36 3,540,157.50 .45,769.68 117,030.00
Total 97,525.000 $3,515,917.38 $3,510,157.50 -$45,789.88 $117,030.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02105114 5.000.000 79 2810 396,107.00 82.9100 414,55010 18,143.00
03107114 3.100 000 79 6120 246,797.00 82.9100 257.021 00 10.224 00
Total Covered 8,100.000 643,204.00 671,571.00 28,367.00
Total 8,100.000 $613,204.00 $671,571.00 $28,367.00 $0.00
P M ORGAN CHASE i CO COM Security Identifier: AM
MK U S46615111005 CUSP 4662514100
Dividend Option: Cash
07114/05 1%4 14 503 000 488 4840 7,084,489.82 57.6200 835,662.88 -6,248,626.96 23,201.80 2.77%
SAMOAN 0 BIOSCIENCES INC COM Security Identifier: SGM 0
Dividend Option: Cash CUSP. 800677106
05128113 '13 50 COO 000 8.4440 422,214.00 15.2700 763,500.00 341288 00
SANTANDER CONSUMER USA HMS INC COM Security Identifier: SC
Dividend Option Cash CUSP: 8028311101
Page:3021
Account Number Rabid taallordl
ORAN //CM SOL THERA ett, F I ID G An o p S ap i e T rle T ss A L r ( D w xAc a L iB y t Au Y Rw e R a e r A S rT i E v D a C 2 O '0 M 07 M UNICATIONS
SDNY_GM_00045675
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 06-SDNY-0008499
EFTA_00 156284
EFTA01288647
Oeuiv.v Si,, ......Wealth Manarrat
Vinett. COetrar frµp
0.0s0A Mr SeCv.,lei AC
lire bet Mc*
P.O. Bag 1778. Batman MD 21200 41)Parli Aortae. Mk I tcr
'Inv Wet %V WIS.
Statement Period: 06/01/2014 - 06/30/2014
Portfolio Holdings
(continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cod Cost Basis Market Price Market Value Gain/ loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
SANTANDER CONSUMER USA FROGS INC COM (continued)
01123114 1,000.000 24 0000 24.000.00 19 1400 19,440 00 .4 560 00 600.00 3.08%
TWITTER INC COM Security Identifier: TN TR
Dividend Option. Cash CUSP. 901841102
11107/13 1.500.000 26.0000 39.000.00 40.9700 61.455 00 22.455 00
Total Common Stocks $30,823,589.63 $28,2114,985.90 -$2,638,003.83 $1,475,812.05
Prelerred Stocks (Listed by expiration date)
ALLY ANL INC PERP PFD FIXEDIFLTG RATE Security Identifier: ALLY PRB
SERA CALLABLE COUPON 8.5% CUSP 02005k 308
PERPETUAL MATURITY CALL@ 25 05/15116
Dividend Option: Cash
02103112'.'3 46.600.000 19 3020 903.217.51 27.6200 1.287.092.01 383.874.50 99.025.00 7.69%
02109112'. 80,000.000 20 1250 1,610,000.00 27.6200 2,209,599.99 599,599 99 170,000.00 7.69%
13
Total Noncoyered 126,600.000 2 513 217.51 3,496,692.00 993,474.49 269,025.00
Total 126,600.000 12,513,217.51 13,496,692.00 $983,474.49 1269,025.00
GM AC CAP TR I GTD TR PFD SECS SER 2 8 Seaway Identifier: ALLY PRA
125% FIXED RATE/ FLTG CUSP: 361860208
Dividend Option. Cash
02122/12 80,000.000 23 5350 1,882.773 60 27.3000 2,184,000.00 301.22640 162,500.00 7.44%
ROYAL BANK SCOTLAND GROUP PLC SPON ADR Security Identifier: RBS PRT
REP= Sfft T PDF SliS COUPON 725% CUSP: 780097713
PERPETUAL MATUFITY CALL@ 25 05114/14
Dividend Option. Cash
10124/12 '.13 40.000.000 23.7900 951.600.00 25 2500 1,009,999.99 58.399 99 72.500.00 7.17%
40.000. 000
01/07/13 '.13 24 4400 977.600,00 25 2500 1,009,999.99 32,399 99 72.500 00 7.17%
01/14/13 "J3 40.000 000 24 8800 995,200.00 25.2500 1,010,000.02 14,800 02 72,500 00 7.17%
Total Noncovereci 120,000.000 2,924,400.00 3,030,000.00 105,600.00 217,500.00
Total 120,000.000 $2,924,400.00 13,030,000.00 1105,600.00 1217,500.00
Total Preferred Stocks 27,320,391.11 $8,710,692.00 $1,310,300.09 1849,025.00
Page 94021
Account Number Rsd taallonill
Go paperless (nay V.A. LSO, 2007
SOUTHERIZ1 ONLLC. FID ENTIAL DAL OAR RATED COMMUN CATIONS
excrim.ser
SDNY_GM_00045676
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008500
EFTA_00156285
EFTA01288648
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Acquired One Unit Cosi Cost Basis Markel Price Markel Valve Gain( Lou Annual Income Yield
Equities (continued)
Options
CALL 100 AMERICAN AIRLS GROUP INC COM Option identifier: 99C1ADTZM
UP01.17.150 20.000 OPTION ROOT: AAL Undedying Security Identifier: ML
1,000.00 of these contracts are in your margin account Underlying Security Price: $42.96
12111/13 1,000.000 8.0330 803,311.50 22.9000 2,290,000.00 1,486.60550
PUT 100 AM ERICAN AIRLS GROUP INC CON Option Identifier: 990ADT200
W01-17450 20.000 OPTION ROOT: AAL Undedying Security Identifier: ML
.1,000.00 of these contrads are a shod position Underlying Security Price: $12.96
12111/13 -1.000.000 1.9170 •197.70200 0.0500 .5 000 00 192.702.00
Total Options $605,612.50 $2,285,000.00 $1179,387.50 10.00
Total Equities $38,749,593.24 $39,280,67710 9531,084.58 52,124,837.05
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cod Cost Basis Market Price Market Value Gain( Loss Annual Income Yield
Exchange-Traded Products
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DXJ
Dividend Option: Cash; Capital Gains Option: Cash CUSP. 91717W851
60,000 00 of these shares are in your margin account
12111113 60,000.000 19.1350 2,961098.50 19.3600 2,961,600.00 1.49850 55 Cie 40 85%
Total Exchange-Traded Products 22,968,09810 92,961,600.00 -$4,498.60 555,004.40
Unrealized Accrued Estimated
Cod Basis Markel Value Gael Loss 'Merest Annual Income
Total U.S. DOLLARS $99,789,714.53 3104,084,608.58 $2,270,100.05 $394,353.34 $3,972,153.79
EURO
Opening Oozing Accrued 30-Day
Desaiptioe Quality Balance Balance Currency Income Yield
Cash, Money Funds, and Bank Deposits
Global Cash Balance 291,84617 291,816.67 EUR
399,538.09 USD
Total Cash, Money Funds, and Bank Deposits 291,848.87 291,816.67 EUR 0.00
399,538.09 USD 0.00
Maned
Market Value Currency leered
Total EURO 291148.87 EUR 0.00
399.53819 USD 0.00
Page 10021
Account Number: ItaNdtwolles
°PAN MOIL SOLTHERM FI D G E o p N ape T rle I ss A et s ( rD v xA e eL r s y Ou A V rRt o r aR n Ae S rT l E a D te C 2 O 0 M 07 M UMCATIONS • / T a r i o m li ta 'A tr C e a ra = m 04 .. t 0 ie 11 e 01 n 4. Wet NM MIN•0
SDNY_GM_00045677
CONFIDENTIAL - PURSUANT TO FED. R CRIM, P. 6(e) OB-SDNY-0008501
EFIA_00156286
EFTA01288649
Onowe Rant Pn.a. %Wain Paptagenalt
Mats Coorage6,o‘P
Dettsor4 8** Sew `ac.
Mrs wart
In Pan An~. tutu *xi
nv
Statement Period: 06/01/2014 • 06/30/2014
Portfolio Holdings (continued)
Unrealized Accrued Egimated
Cog Basis Market Value Gain, Loss Interest Annual Income
Total Portfolio Holdings - U.S. 199,789,714.53 S104,484,144.67 $2,270,100.05 $394,353.34 53,972,153.79
DOLLARS
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.L.110-343, the Emergency Economic Stabilization Act of 2O08) 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 date4s1 at which they are subject to the cost basis reporting rules and the adjusted basis coil be reported to the IRS on form 1099-8 for the applicable lax 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 (ORP) shares acquired on or after January 1, 2012
• Other securities, principally debt securties and options, acquired on or after January 1, 2O14, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed lo be reliable. In the event, one or more of these attrbutes 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.
7 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 infonnabon.
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 underlying 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 cent 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 &m or transferring agent and Pershing makes no representation as to the accuracy of this information.
Holdings Summary by Currency
&chap-Traded
Qum/ Cash Fixed Inane Equities Funds Total by Currency
U.S. DOLLARS 28.725.102 33,117.226 39.280.677 2.961.600 104.084.606 6W
EURO 29t.846 0 0 0 291.846 EUR
Total USD Equivalent 29.124,840 33.117,228 39,280.071 2,901,600 104,484,144 USD
% of Allocation 27.87% 31.70% 37.80% 2.83% 100.00%
Page 11 021
Account Number Rata. tacollera
01,7 66 2CS F 10 OBAN 'LOLL SOUTHERN FID G An o P S aP I e T ries I s A L E DrxA v e e Ln r B / u A V rRn a Ra n eA S Vr i E v D a C 2 O '0 M 07 M UNICATIONS
SDNY_GM_00046678
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008502
EFTA_OO156287
EFTA01288650
Schedule of Realized Gains and Losses Current Period
DIspositioft Acquisition Disposition Realized Gain! Loss)
Date Date Transadion Description Quantity Cod Basis Proceeds Disallowance
Short Term
06123111 12113113' FFP WASHINGTON MUT IA TG S 004-RA2 it TG PASSThRU CIF CL 1,290,000.000 20,133.98 26,312 52 6,178.54
C- B-1 VAR RATE 6.974% 07125133
Security Identifier 939336520
Original Cost Basis: 20,133.98
06125)14 12)13113' WO COUNTRYWIDE HOME LOA 1 CL 81 4.090% 03125/33 EVE D 4.500.000.000 11.52667 12,344.30 817.83
TD 01130103
Security Identifier 12889DYSI
Original Cost Basis: 11.526.67
Total Short Term 631,660.65 $38,656.82 98,996.17
Total Short Term and Long Term $31,660.65 $38,656.82 $6,996.17
• 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 (IIRC') (incorporating amendments enacted by
P.L.110.343, 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. Al 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 Papplicable 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 1099-8 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, 2014, 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 1099.8 or online 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 property 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 all liability that may arise with respect to your use and reliance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-inked 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.
Please refer to the Your Account Information Section n your brokerage account statement for your account's existing taxrd 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 wil 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.
Page 12 of 21
()PAN Mel A S13 cc L o T u H n E t N RA u m tk be e r ti LLC. Go paperless D R r L x v a Ae e te U r n y d uM V t r a . s r c aR . e . eA l S k rT i i E n n c D i e C 2 O 0 M 07 M UMCATIONS Cr s...."—ro=s.. --•"•=r•
N F I DAENTIAL
SDNY_GM_00046679
CONFIDENTIAL — PURSUANT TO FED. R CRIIVI P. 6(e) OB-SDNY-0008503
EFTA_00156288
EFTA01288651
Dean Una Pr.. rhainmanagenan
Minim (wear 6,0‘P
Otrisch• Sank starts at.
Mow let
PO cal I7/6. Etat mom MD 21200 HS Pert Mow" nth lbw
a ir( IOIM
Statement Period: 0610112/14 • 0613012014
M essa M es
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 https://vnvw.dws-investments.cornrENIproducts/money-rnarket4unds-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 $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 advisor for additional information.
Please note that the following language supersedes previous versions of our disclosure, Pershing's Impartial Lottery Process' Partial Calls:
Pershing's Impartial Lottery Process: Partial Calls
When a security is subject to a partial redemption, pursuant to New York Stock Exchange (NYSE) Rule 402.30, which has been scomorated into the FINRA Consolidated Rulebook, Pershing must have
procedures in place that are designed to treat clients fairly in accordance with an impartial lottery processAblien an issuer initiates a partial call of securities, the depository holding such securities (typically, the
Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for
which it holds securities on deposit (including Pershing). Because °ICUs lottery is random and impartial, participants may or may not receive an allocation of securities selected for redemption.
When Pershing is notified that it received an allocation of called securities, Pershing conducts a similar, computer-generated random lottery. The lottery determines the accounts that will be selected and the
number of securities in the account that will be redeemed. Allocations are based on the number of trading units held in the account. The probability of any trading unit held by an account being selected as called
in a partial call is proportional to the total number of trading units held through Pershing.
Once the lottery is complete. Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation. Securities registered in the client's name. either in transit or held in custody. are
excluded from the Pershing lottery process.
Pershing initiates the lottery process by identifying the accounts holding the called security. the total par valve of the called secunlies held, and the trading unit of the security.
Example (unit of trade = $25,000):
Client Account: Par Value: $100,000; Number of Trading Units: 4
Client Account: Par Value: $75,000; Number of Trading Units: 3
Client Account: Par Value: $150,000; Nunter of Trading Units: 6
Client Account: Par Value: $50,000; Number of Trading Units: 2
Client Account: Par Value: $25.000: Number of Trading Units: 1
Client Account: ; Par Value: $25,000; Number of Trading Units: 1
Page 13 of 21
Account Num ber Rated [nation.,
out Volt SOL THERA Ckk F I D G A o p E ap N erl T es I s A L r L D x y A e o L n n B . A t V r R m e R m e A s r T i n E c D e 0 2 0 0 M 0 M 7 U NICATOONS
SDNY_GM_00045680
L .
CONFIDENTIAL - PURSUANT TO FED. R ORIN1 P 6(e) OB-SDNY-0008504
EFTA_00156289
EFTA01288652
M essa L es
(continued)
Client Account: . Par Value: $75,000, Number of Trading Units: 3
In brief, the allocation process involves the following steps:
> The number of trading units held in each account is identified.
> A sequential number is assigned to each trading unit (e.g., account would be assigned six numbers).
> A random number is generated that will result in one of these trading units being the first unit in the selection process.
> Thereafter, the trading units participating in the allocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted.
Additional Information
The allocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a lull or partial redemption of shares held. Conversely, it is also possible that a client may not
have any securities selected for redemption at all.
When a partial cal is deemed favorable to the holders of the called security, Pershing will exclude certain accounts from the lottery. Excluded accounts will include Pershing's proprietary and employee accounts,
as well as proprietary and employee accounts of introducing broker-dealers (if Pershing carries and clears those accounts) No allocation will be made to these proprietary and employee accounts until all other
client positions at Pershing in such securities have been called. When a partial call is deemed unfavorable to holders of the called security, Pershing will not exclude any accounts from the lottery.
If the partial call is made at a price above the current market price as captured in Pershing's price reporting system, Pershing will generally categorize the partial cal as one that is favorable to the holders of such
security. If the partial call is made at a price that is equal to or below the current market price of the security as captured in Pershing's price reporting system, Pershing will generally categorize that call as one
that is unfavorable to holders of the security.
Clients have the right to withdraw uncalled. fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial cal.
Clients also have the right to withdraw excess margin securities, provided that the client account is nor subject to restriction under Regulation T or that such withdrawal wil not cause an under-margined condition.
Page 14 of 21
Account Number:
Ofint, Go paperless D tw A i L n, B A V R e R n A t T ." E 4 D C 2 O 0 M 07 MUNOLTIONS Male. WI mast ova we.. se
DENTIA exciturraer
SDNY_GM_00045681
CONFIDENTIAL - PURSUANT TO FED. R CRINA, P.
6706THERNCONFI
O13-SDNY-0008505
EFTA_00 156290
EFTA01288653
Goosoo Poo Pon,, weabx iaxygenox
Mao Coon,. 6,o4,
Deslini• Sat %twos %lc
Mr. wan auk.
PO Sc. I 776. Bat more MD 21203 Na no Ammo. Mui 'Poo
Statement Period: 0610112014 • 06/3012014
Activity Sum m ary (AU amounts shown are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Secunhes Bought 0 00 0 00 Secunties Bought -9,076.406.00 19 214.895 09
Secunties Sold 0 00 17 267 500 04 Securities Sold 0 00 0 00
Total Securities $0.00 $17,267,500.04 Total Securities .19,076,406.00 ,119,214,895.09
Dividends and Interest $278,264.55 $1,509,753.71 Dividends and Interest $0.00 -$93,807.51
Distributions $36,841.51 $914,546.84 Distributions $0.00 $0.00
Fees 10.00 $0.00 Fees $0.00 -$36.00
Cash Cash
Withdrawals 0 00 0 00 Withdrawals 0 00 .888 245 00
Deposits 0.00 10.824.149 65 Deposits 000 0 00
Total Cash $0.00 $10,824,149.65 Total Cash $0.00 -$888,245.00
FDIC Insured Bank Deposits $0.00 137,488,437.18 FDIC Insured Bank Deposits $0.00 .$19,304,164.85
Money Market Funds $0,967,550.13 $8,957,559.13 Money Market Funds -$417,461.07 .$3702,01.43
Total Credits $9,272,665.19 $76,959,946.55 Total Debits -$9,493,867.07 -$77,184,409.88
Transactions by Type of Activity
Process/ Trader
Settlement Transaction
Date Date Activity Type Description Quantity Price Aorned Interest Amount Currency
Securities Bought and Sold
06/12/14 STOCK SPLIT RECEIVED 2000 SI- RS APPLE INC COM RD 06102 PD 06112114 12.000 000 0.00 LSO
AAPL
06/18/14 SECURITY CALLED OTY 1,060,000 V.RVICEM ASTER CO SR NT • CUSP FULLY 000 L9:1
81/60NAN9 EXCHANGED KIM OLD CUSP 81760NAL3 8.000%
02115120 WE DTD 02113112 CLB CALLED BY LOTTERY
06130114 06125114 PURCHASED BANK OF NEW YORK MELLON CORP COM UNSOL AVERAGE 250.000 000 36.2556 -9.076.406 00 L SO
BK UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT
Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -9,076,406.00
Page 15021
Account Number Rated 1...colionfi
°PAP ROLL SOL THERA CNO LLC. F I D C A io E pap N er T les I s A L_ r D (v x A o m L n B * o A V t R e s R r . A S T i E nc D e O 2 O 0 M 07 M UNKATIONS
SDNCGM_00045682
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008506
EFTA_00156291
EFTA01288654
Transactions by Type of Activity (continued)
Process/ Trade/
Settlement Transaction
Date Date Adivit T pe Desai ion Quan Price Accrued Interest Amount Curren
Dividends and Interest
06116/14 FOREIGN BOND INTEREST 1200000 LBG CAPITAL NO 1 PLC 144A ISIN#XSO473106283 18,000 00 LSD
G54338868 8.000% 09/15/88 REG OTD 12115109 RO 06/13 PD 06/16/11
06116114 80ND INTEREST RECEIVED 2000000 GENERAL ELEC CAP CORP NON CUM FPO SER A 71.250.00 LSD
369622%6 7.125% 06112162 B/E OTD 06112112 CLB RD 05/30 PO
08115114
06/25/14 80AD INTEREST RECEIVED 4500000 COUNTRYWIDE HOME LOANS SER 03.1 CL DI 5,215.33 LSO
12669DY51 4890% 03/25133 B/E OTD 01/30/03 RD 05/30 PD 06125114
06/25114 BOND INTEREST RECEIVED 1290000 WASHINGTON MLT MTG SECS CORP 2004-RA2 4,776 32 LSD
939336520 MTG PASSTFR6 CTF CI. C-B-1 VAR RATE 6.974% 07125/33
DIE DTO 06101104 RD 05130 PD 06125/14
06/26/14 CASH DIVIDEND RECEIVED 97525 SF RS GENERAL M TRS CO COM RD 06/10 PD 06126114 29.257.50 LSD
GM
06/27/14 FOREIGN BOND INTEREST 1903000 LLOYDS BANKING GROUP PLC MI RATE RESET 31.716.67 LSO
539439A64 ADDL TIER 1 SECS 151111 US539439AG42 7.500% 09/27/68
EVE DID 04107114 CLB RD 06/12 PD 06/27/14
06/27/14 CASH DIVIDEND RECEIVED 60000 SF RS WISDOM TREE TR JAPAN F EDGED EQUITY FD RD 32,755.20 LSO
OXJ 06125 PD 06/27/14
06/30/14 MONEY MARKET FUND DWSGOVT CASH INSTL 918.53 LSD
INCOME RECEIVED
233993682
06/30/14 FOREIGN SECURITY DIVIDEND 120000 SF RS ROYAL BANK SCOTLAND GROUP PLC SPON 54.375.00 LSD
RECEIVED ADRREPSTG SERTPOFSHSCOUPON 7.25% PERPETUAL
RBS PRT MATURITY CALL@ 25 05/11/11 RD 06113 PD 06/30/14
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 276,264.65
Distributions
06/25/14 RETURN OF PRINCIPAL 4500000 COUNTRYWIDE HOME LOANS SER 03.1 CL 81 12,344 30 LSO
RECEIVED 4.090% 03125133 B/E OTD 01130/03 RD 05130 PO 06125/14
12669DYS1
06/25114 RETURN OF PRINCIPAL 1290000 WASHINGTON MLTMTG SECS CORP 2004-RA2 24,497.21 LSD
RECEIVED MTG PASSTFRL CTF C-B-1 VAR RATE 6.974% 07125/33
939336520 8/E DTO 06101/04 RD 05/30 PD 06125/14
Total Distributions • UNITED STATES DOLLAR 0.00 36,84111
Money Market Funds
06/02/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL •221.20188 LSD
US0999997
06117/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL -119,25000 LSD
USD999997
Page16 of 21
Account Number. Go paperless Rated [mama.r a
1,.:.o97C(COSF,C,:.7 OBAB ROI t SOUTHERN CNO NLLC. E D v A e L n B t A V R s R . A S T i E nc D e C 2. O 0 M 07 M UNCA TiONS
I mita I Ha'
SDNY_GM_00045683
FIDESMAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008507
EFTA_00 156292
EFTA01288655
°microRana Pn.PPVIpath&trageng0t
Pdwals CooePee 00M,
Des0,O4 lank Se0onei
lire Von
PC Poi MO 0.0 000:1,10 212Y3 Hannnn Annus, 160. I ter
er 100.4
Statement Period: 06/0112014 • 06/30/2014
Transactions by Type of Activity (continued)
Process/ Trade/
Settlement Transaction
Date Date Activity Type Description Quantity Price Accrued Interest Amount Currency
Money Market Funds (continued)
06126/14 MONEY PAD PIACFASE DWSGOVT CASE INSTL 46.833.16 LSO
USD999997
08127114 MONEY FUND PURCHASE DWSGOVT CASH INSTL 49,257.60 USD
USD999997
06130/11 MONEY FUND REDEMPTION DWSGOVT CASH INSTL 8.957.559.13 USD
USD999997
06130/14 MONEY MARKET FUND DWSGOVT CASH INSTL INCOME ReNVESTED .918.53 USD
REINVESTMENT
233993681
Total Money Market Funds • UNITED STATES DOLLAR 0.00 8,540,098.06
Total Value of Transactions 0.00 ,221,201.88 USD
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Security Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment
Dividends
GENERAL ELECTRIC CO COM 06123/1/ 07/15/14 23.000 COO 0 220000 Cash 5.060.00
Total Cads Not Yet Received 85,080.00
Page IT of 11
ORM. RQtt A so cc o T u H n t E N RN u C m et b i er L s L C. F I D G A o p E ap N erl T es I s A L I L rD t x a o Ae t w L e n B d y u i A Y t Rt o e r r aR a o r eA l l S e rT i n E n t o D i p C 2 O 0 M 07 M UNICATIONS •= 2/.741:='="1=
SDNY_GA4_00045684
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008508
EFTA_00 156293
EFTA01288656
Bond Maturity Schedule
Bond Maturity Market Vale % of Bond Market Value
I to 6 months 5,467,600.00 17% CI Percentages of bond market values are
rounded to the nearest whole percentage.
I to 5 years 4.421,250 00 13% CI
FM
6 to 10 years 8.062.100 00 24%
Over 10 years 15.166.276.48 46% ILI
Total 33,117,226.1e 100%
Bond Quality
Bond Quality Market Valle % of Bond Market Value
BAA 5,615,400.00 17% Percentages of bond market values are
BArLower 21,102,208.10 64% I i rounded to the nearest whole percentage.
hot Rated 6.399.618.08 IS% Ile
Total 33,117,220.48 100%
Called Bonds
eipible Called Call Type Redemption
Call Date SecurNy Desalptict QuaetNy Ninth, Price of Call Proceeds
0711612014 sfiviCEsiasiEn CO SR NT • CUSP FULLY 2,500,000 000 1,060,000.000 108.0000 Partial 1,144,800.00
EXCHANGED FROM OLD CUSIP 81760NAL3
8.000% 02115120 DIE DTO 02113112
Publication Date: 0811712014
Client Service Information
Your Client Advisor: TDS Contact Information
TA/IA SMITH Telephone Number:
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 Stoda In a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Electronic Delivery
You have not selected any account corn m unications for electronic delivery. To register and turn off paper comm unications, log in to your account or contact your Client Advisor for more 'Morn akin.
Page II 021
tto nc.
Account Number Rated tscollenti
Ott.7 got THERA nGon pTapeIrleAss L rC L x v Ac e Lo r M y u A y rRn e a aR r eA S rT i E nc D e C 2 O 0 M 07 M UNICATIONS wain/ remist .00a. raVOS. NOC
N F I
SDNY_GM_00045685
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008509
EFrA_00156294
EFTA01288657
OPII14,t NM{ .,,.,,n *tall n manale-wd
Marais Coon,. 00t,p
IXMuM Sank Smote 4%.
Notarri 011ar
SO Pia Asa. leek 000
Wow** NY 1OIW
Statement Period: 0610112/14 06/3012114
Important Information 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 rekable. Pershing may not use the dosing 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 -N/As" and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) 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
mwr.pershing.ccevtusiness_continuity.Mrrl for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
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 wil
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. may be obtained. 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
information is available 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 intonation 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 lent by Pershing to itself our 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. dollars 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, incurred 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 & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written
authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or
missions, 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 & 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
recorrrnendations 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 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.
Page1902f
ORA,' YOlk Account Num ber F I DAE Pa N pe 1 rle 1 ss / k *, D R r ', x s a Ac o te Ui y u d M r V t t w 'r a , a a R n n eA L o rT a n E l t D i e C Z O O M O P 7 A LIMICATDONS e v a a r i t n i / r 0 r .3 i i m = an = ila. / = IOW ' A WON. MK
SDNY_GM_00045686
CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 670LTHERNUO O13-SDNY-0008510
EFEk_OO156295
EFTA01288658
Important Information and Disclosures (continued)
Bond Maturity Schedule
Bonds that are in default are not induced.
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.
Callable Bonds
Pershing LLC receives the called bond information from several information sources which Pershing believes are reliable. Pershing does not guarantee the accuracy of the information. For callable options that
are available to you please contact your Client Advisor.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement wilt your financial institution. Pershing may accept from your financial institution without inquiry or investigation (it orders
for the purchase and sale of securities and other property and (6) any other instructions concerning your account. Pershing is not responsible or fable 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 result 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. Al 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 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 limits. For more detailed information please visit: wwwpershing.conestrength_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; . Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other n court. including the right to a trial by jury. 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 ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and ether 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 jest 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 %WI typically include a mMordy of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a clam 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 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 unit, (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;
Page 20 of 21
Account Number: GO ItaiNdtfloMM
OPAL, Mel SOL THERM - F I DrE pape r r r le i S A S L I t ) Dr ty xA p eL i s f O y u A V rRt o r ia • t • ^e S rT l E a D te C 2 O 0 M 07 M UNICATIOKS reset. •••••••• rent MC
SDNY_GM_00045687
CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) OB-SDNY-0008511
EFIA_00156296
EFTA01288659
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 POSMONER ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY
SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. LMAGPS. 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 APPLICABLE LAWS AND REGULATIONS. 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 I f WILL BE MAILED UPON YOUR WRIT TEN REQUEST OR 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. WWN.PERSHING COWBUSINESS_CONTINUITY.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 PERSHING'S 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 I: YOU DESIRE ADDITIONAL COPIES. SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS
MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT Cf 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 PERSHNG RECEIVES PAYMENTS FOR DIRECTING LISTED 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 TO ACCEPT ORDERS.
• AFTER YEAR END. PERSHING IS REQUIRED 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 YCUR 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 TIM DISTRIBUTION OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHNG ALSO REGULARLY
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES.
GENERAL INFORMATION.
• PERSHING COES 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 GWEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM 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
LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME, WITHOUT TENDER,
DEMAND OR NOTICE TO YOU. CLOSE CR 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 REMAIMNG DUE PERSHING TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES 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 8Y LAW.
IF ANY OF TIE ABOVE TERMS AND CONDITIONS ARE UNACCEPTABLE TO YOU, FI.EASE NOTIFY PEREMFG IMMEDIATELY IN WRITING BY CERTFIED IAML TO ONE PERSHING PLATA. JERSEY CITY. NI OMB Atlit LEGAL DM
Page 21 of 21
1)0A0 ROLL A S c O c L o unt Num C b e er r : O Ni FID G E o p N ape T rle I s s A L I r R D v x A a o c t L r e i D y d a A y A r R e t x r a R o ie . A n r e T M n E D i C Z O 0 M 07 M UNICATIONS a-reL=.,:ter-Verart:
SDNY_GM_00045688
Tel ERA
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008512
EFTA_00 156297
EFTA01288660
Oc..atoe w„en PAanair,tat
Mwotts 07+v/4ec.a.,
Dee.nO kn. Sec, M.
PO. Sr 177e, fialerreasID2I203 bet ONIce
11,.m Anne.. ibst
Account Number:
Statement Period: 05/0112114 - 05/31/2014
Valuation at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 6101,580,160.73 $90,573,050.28
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdravids 0 00 9,935,904.65
Adjusted Previous Account Value 101,580,160.71 100,508,954.03
ST THOMAS VI 00802
Dividends. Interest and Other Income 484.804 59 1,642,943.09
et Other Activity 0 00 -36 00
Net Chan in Portfolio 198.577 32 III 780 62
ndirg Acccunt Value 5102.263.642.64 S102.263 642.64
Your Client Advisor: Estimated Annual Incom e 53,783,292.26
TAZA SM 1111
Asset Allocation
Prior Year-End Lad Period This Period % Allocation
USD Cash, Money Funds. and Bank Depoats 18,295,949.71 32,900,080.99 37,486,402.24 36.65% Pa Chan allocation only includes
products that are of positive value.
USD Fixed Income 27,736,972.38 26263,141.57 25,402,665.78 24.84% Assets of less than 1% of holdings
Nonill SD Fued Income 10.227,309 46 10,325,843.75 7,793,313 75 7.62% ell not display on this pa chart.
USD Equities 30,410,519 65 28,821,198 20 28,313,865 27 27.6f9 %\t1
Non6 SD Equities 3.137.192 74 2.765.400.00 2.869.200.00 2.81%
Non•USD Cash. Money Funds. and Bank Deponts 402,106.31 404,616 22 398,195.60 0.39%
Other 363.000.00 0.00 0 00 0.00%
Account Total (Pie Chart) 390,573,050.25 3101,580,280.73 3102,283,542.84 100.00%
See page 2 of this statement for imports et inforrnaton imparting me Asset Anocatron Notices
Pate I of 19
Rated excellent,
t)8A0 Rea C 50 O 10504 N 2CSF3 F 00l6 I D ('E)lpa iAs L Dr (v xA e a r Ur y tM u V r. e nR it eA S rT i E nc D e C 2 O 0 M 07 M UNCATIONS --.-rirn•wrini.c
SDNY_GM_00045689
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008513
EFTA_00156298
EFTA01288661
Asset Allocation Disclosure and Footnotes
Certain values have been defaulted into the Other Asset Class due to incomplete categorizing data
Al values are displayed in U.S. dollars based on interbank exchange rates as of 05/31/2014. 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 40,102.93 4,746.07 1 819 419 71
Long-Term Gain/Loss -3.150.389.34 -3.205,971.74 -1,492 771 50
Net Gain/Loss -3,110,286.41 -3,208,717.81 326,648.21
This summary excludes transactions where cost basis information is not available.
Exchange Rate Table Global Cash
Orrreacy Closing Mount in
Currency USD Equivaleat per USD Currency Balance Base Currency USD
I ELRO 1.3844 0.7329 I BJRO 291,846.67 398,195.60
Total Global Cash Balance 6398,195.60
Exchange rates are based on ilerbank exchange rates as of 05/31/2014. Exchange rates can vary.
Money Market Fund Detail
Date Activity Type Desalplim Amount Balms
Sweep Money Market Fund
MS GOVERNMENT CASH INS11.
Account Number:- Curienl Yield 0.03% Activity Ending. 05/30114
05101114 Opening Balance 32,694,294.85 32.694.294.85
05101/14 Deposit !JOKEY ELM) PURCFASE 205,766.14 32,900,060.99
05/05114 Deposit !JOKEY FUND PLIICFASE 1,044,410.37 33,944,471.36
05116/14 Deposit EMT FUND FLRCFASE 240,08629 34,184,557.65
05121/14 Deposit MONEY FUND MCI- ASE 2,632,380.98 36.816.938.63
05127114 Depoit NOti EY FUND FtiRCFASE 391,122.84 37,208,061.47
05/28/14 Deposit MONEYFUND PURCVASE 56,248.60 37,264,310.07
05130/14 Deposit INCOME REINVEST 890.29 37,265,200.36
05130114 Closing Balance 837,265,200.36
Total All Money Market Funds $37,265,200.36
Page 2 of 19
Account Numbers Rated tacelbrell
ILBAIL ROIL SC L TM ERN CO LLC. Go paperless Dr (v xA e eL r nS y u A V rRn e R e s r eA S rT L I E AL D Lo C 2 O 0 M 07 M UNICATIONS Snowy ise remise IS fl . MC
N F I DAENTIAL
SDNY_GM 00045690
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY_0008514
EFTA_00 156299
EFTA01288662
DM'S, Sam Pnnin wean uptagenan
Idareeis tonne 6.0u p
Otriscn• Sp* Stare" W.
Moe MI Ma
PC. Bcp 1770. Elul mum MD 2120:3 HSP H Piss.I th I WM
WNW *et NY 10IM
Statement Period: 0510112/14 -05/3112814
Income and Expense Summary
Cumin Period Year-to•Date
Taxable Non Taxable Taxable Non Taxable
Dividend income
Equities 73,98825 0.00 257,62728 0.00
Money Market 890.29 0.00 1,102.66 0.00
Other Dividends 81,250.00 0.00 372,500.00 0.00
interest Income
Bond interest 87,001.13 0.00 422,510.48 0.00
FDIC Insured Bank Deposts 0.00 0.00 2,891.15 0.00
Other Interest 40.625.04 0.00 81.250.08 0.00
Total Dividends, Interest, Income and Expenses $283,752.71 $0.00 61,137,681.85 $0.00
Distributions
Alternative inveslm ents 0 00 221,051.88 0.00 505.26144
Other Distributions 0 00 74.734.75 0.00 372.443.89
Total Distributions $0.00 $296,788.83 $0.00 $877,705.36
Portfolio Holdings
U.S. DOLLARS
Account Adivity Opening Posing P,caued Income 31•Day Cermet
Opening Date Quantity /lumber ESN Balance Balance Income Ibis Year Yield Yield
Cash, Money Funds, and Bank Deposits
Cash Balance 205,766.14 221,201.88
Money Market
DWS GOVERNMENT CASH INSTL
05101114 37.265.200.360 05130114 32.894.294.85 37.265.200.36 30.63 1.102.66 0.03% 0.03%
Total Money Market 632,694,294.86 637,286,200.36 $30.83 $1,102.86
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
05101114 05130114 0.00 0.00 0.00 2.691.15 NIA NIA
Total FMC insured Bank Deposits $0.00 $0.00 $0.00 $2,891.16
Total Cash, Money Funds, and Bank Deposits 632,900,060.99 $37,486,402.24 $30.83 63,793.81
Page 34019
Account Number: Go paperless ek ). NANO Luang SI
WIAN Pat FI D AL1SITIA r ( C v xA e cL r iM y tu A V rRr a aP . eA S Tr i C m O s C 2 O 0 M 0 M 7 LIPOCATIOP6
SDNY_GM_00045691
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERhC IOKI DB-SDNY-0008515
EFTA_00I56300
EFTA01288663
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Acaued Estimated Estimated
Date Acquired Quality Unit Cog Cog Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income (In Maturity Date Sequence)
'Asset Backed Securities
COUNTRYWIDE HOME LOANS Security Identifier: 12669DYS1
SEA 03.1 CL 814.090% 03125133 DIE
DTD 01130/03
Fedor. 0.21187025 Effective Date:05101/11
Current Face Value: 1.088.416.125
12113113'.3.12 4,500,000.000 93.3780 1.016.324.25 86.4890 941,360 12 .74,964 03 3.709.69
Onging Cost Basis: $1.111.573.07
WASHINGTON MUT 11TO SECS CORP 2001.12/12 Security Identifier: 939336520
Mit PASSIM RU CTF CL C•B•1 VAR RATE
6.973% 07125133 DIE DTO 06/01/01 S 8 P Rating D
Factor:0.63706912 Effete Dale.05101/11
Current Face Value: 821.819 165
12113/13 '.3.12 1,290,000.000 76.5190 628,841.60 86.3670 709,780 56 80,935 96 4.776 13
Original Cosl Bait $638.906.71
Total Asset Backed Securities $1,645,168.85 $1,651,140.78 $5,971.93 $8,485.82 $0.00
5,790,000.000
Total Current Face Value : 1,910,235.290
Corporate Bonds
SG STRUCTURED PRODS INC Security Identifier: 701230156
COMMODITY 1.10 MKT PLUS PROTECTED NOTES
0.000% 08105/11 WE DID 07/30/13
07125113 %UM 2,000,000.000 100.0000 2,000,000.00 108.5500 2,171.000 00 171,000 00 0.00
Original Cog Bait $2,000,000.00
HSBC USA INC MEDIUM TERM NTS Security Identifier: 10132XFP1
BUFFERED AO TES LKD TO EURO STOXS 50
0.000% 08/29111 WE DID 05130/13
0512/113 '•13.13 2,000,000.000 100 0000 2,000,000.00 112.5100 2,250,200 00 250,200.00 0.00
Original Cog Basic $2,000,000.00
PM ORGAN CHASE & CO M EDIUM TERN NTS Security Identifier: 41126NVE4
CAPPED CONTINGENT BUFFERED EQUITY NTS
0.000% 1011671181E DID 09/27/13
12/05/13 '.3.12 1,000,000.000 100 0000 1.000.000.00 107.2200 1,072,200.00 72,200 00 0.00
Original Cosl Bata 81,000,000.00
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
K OTES SEKIOR ISIK# X50460546525
5.000% 10/28/15 REG DID 10128/09 58 P Rating B.
12104113 ' 3.12 2,500,000.000 92.3300 2,308,241.86 92.3750 2.309 375 00 1,133.14 11,11111 125.000 00 5.41%
Original Cog Basis: $2,250,000.00
Page1 of 19
ORM, .011 Account Number: D G A o p E ap N erl T es I s A L D R r B x r a A a e te y Us d uM V tw r s .n a . M . l e le L Tr n a E i t e D C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00045692
6; THERk CO I NC F I
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0008516
EFTA_0015630 I
EFTA01288664
Drastic Um Po...W*0n Ma ',ran
Metrals C.,.,. Gw‘p
Devische See* SenoOn
PO. Pa 177& Bang/ins MD 21203 Mow Ibri flu
HS PH MOM. MOO bet
Pliw 10134
Statement Period: 05101/2014 - 05/3112014
Portfolio Holdings
(continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Accmired Quadty Unit Cost Cost Basis Market Nice Market Value Gainl Loss lathiest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
HEADWATERS INC GTO SR NT Security Identifier: 42210PAQS
7.625% 04/01/19 B/E DTO 03/11/11
CALLABLE 04101115@ 103813 Moody Rating Es2 58 P
Rating B•
10122/12 *AA 1.000.000.000 102 3570 1123.569.03 107.5000 1,075,000.00 51.430 97 12,708 33 76.250.00 7.09%
Original Cosl Basis' 51.035.000.00
EARTHUNK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC8
CUSP FROM 270321A88 8.875% 05/15/19 BIE
DTD 05111111 CALLABLE 05/15115 S1 P Rating CCC.
10122/12 '.12.13 401000.000 102 8060 411.225.54 99.2500 397,000 00 .14,225.54 1,577.18 35,500.00 8.94%
Original Cosl Basis. 5414100.00
10123112 '.12.13 600.000.000 102 6080 615.645.63 99.2500 595.500 00 -20.145.63 2.366.66 53250.00 6.94%
Original Cast Basis $619,500.00
Total Noncoyered 1,000,000.000 1,021,171.17 992,600.00 44,311.17 3,944.41 85,50.00
Total 1,000,000.000 11,028,871.17 $992,500.00 -934,311.1T 93,944.44 800,750.00
SERVICEM ASTER CO SR NT - CUSP FULLY Security Identifier: 81760NAN9
EXCHANGED FROM OLD CUSP 817601413
8.000% 02/15/20 EVE DTD 02/13/12 Moody Rating CAA1 S
P Rating CCC•
01124/13 '.12.13 1.500.010.000 104 8840 1.573.265.84 107.6250 1.614.375.00 41,109.16 35.333 33 120.000.00 7.43%
Original Cosl Basis 51,595,625.00
02/25/13 '.12.13 1.000.010 000 105 4300 1.054.297.13 107.6250 1.076.250 00 21,952.87 23,555 56 80.000.00 7.43%
Original Cosl Basis $1.070,0D0.00
Total Noncoyered 2,500,000.000 2 127 512.07 2,690.1125.00 13,012.03 58,185.89 200,000.00
Total ?ALMA. $2,127,662.97 $2,618,825.01 983,052.83 MAW $250,000.00
LLOYDS TSB BK PLC EURO ISSUE M WIN Security Identifier: GISISPP4I
TERM NOTES IMO X50717735822 Price Estimated as of 05/28114
9.875% 12/16/21 REG 010 12/16/11
Moody Rating Gal SS PFtating 888
12104/13 '.3.12 1.500.000.000 108 1400 1.622.097.36 119.1300 1.786.950 00 164,852.64 67,479.17 148.125.00 8.28%
Original Cosl Basis 51,627,500.00
Pages of 19
Account Number. Ostia Excellent
oftAN itolk SW/KITH N LI.C. F ID (.40 r p i a s pe m rles A s L r ( Dx v A e eL r n y Ou A Y rRn e a Rs r Ae L Tt a (0 te 0 2 0 0 M 0 M 7 UNCATIONS ... vac ...au.. SDNY_GM_00045693
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DES-SDNY-0008517
EFTA_00156302
EFTA01288665
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Acaued Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/ Loss littlest Anneal Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
SOUTHERN CAUF EDISON CO Security Identifier: $42400FU2
PREF SERE 6.250% 02701122 WE
DID 01/17112 CALLABLE 02101122 Moody Rating MAI S &
P Rating WS
01130112 '.3.12 3,000030.000 99.7970 2,993,905.71 107.7500 3,232 500 00 23859426 62,500 00 167,500.00 5.80%
Original Cosi Basis: 52,992,544.97
BARCLAYS 8K PLC CONTINGENT CAP NT Security Identifier: 06739F11K0
L,S06739FF KO3 7.750% 04110123 BIE
DTD 04110113 CALLABLE 04/10/18 S B P Rating BBB
04(03113 '.12.13 300,000.000 100 0000 300.000.00 112.0000 336.000 00 36,00.00 3,293.75 23.250 00 6.91%
Gnome' Cosi Basis 5300,000 00
PM ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 46625HHA1
111011- FfD SER 1 FIXED TO FLTG Fa BD
7.900% 04/29/49 WE DTD 04123/08 Moody Rating BAt S &
P Rating BBB
0605/11 '.3.12 2,500.000.000 107.5000 2,687,500.00 112.7500 2,818.750.00 131,250.00 16,458.34 197.500 00 7.00%
Original Cosi Basis: 52,687,500.00
06/15/11 1.500.000.000 107 0000 2.675.000.00 112,7500 2.818.750.00 113.750 00 16.458 33 197.500 00 7.00%
Original Cosi Basis: 52,675,000.00
Total Noncovered 5,000,000.000 5 362 500.00 5,637,500.00 275,000.00 32,916.67 395,000.00
Total 5,000,000.000 35,361,500.00 $5,537,600.00 5275,000.00 $32,916.67 $395,000.00
BANK AM ER CORP PERP NON COM uurnvE OEP Security Identifier: 060505018
SHS FIXED TO FLOAT 8.125% 01/30/58 WE
DM 01130108 CALLABLE 05/15118 Moody Raling BA3 S& P
Rating BB+
01110ii 1 '.3.12 2,000,000.000 102.7500 2.055.000 00 113 5000 2,270,000.00 215,000.00 7,222.22 162.500 00 7.15%
0 nginal Cosi Basis. 52.055.000.00
GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 369622916
A 7.125% 0/12/62 WE
DM 06112/12 CALLABLE 06115/22 Moody Raling BAA1 S &
P Rating Ak
06/27/12 '.12.13 2,000,000.000 105.5300 2,110,605.12 118.0000 2,360.000 00 249.394 88 65.708 33 112,500.00 6.03%
Original Cost Basit. 52,122,916.67
LBG CAPITAL NO 1 PLC 144A Security Identifier: G54338808
ISIA tt X50473106283 8.000% 09115188 REG
DTD 12115109 FO REIM, SECURITY S8 P Rating BB
12/04113 1,200.000 000 108 2500 1,299,000.00 110.2000 1,322.400 CO 23.400 00 41,286.87 96 000 00 7.25%
Original Cosi Basis: $1,299,000.00
Page 6 of 19
Account Number: N F I Drat EA L ItAadtscolloM
ittlAM ttt)I t SOL Go paperless rD tw xA e eL t s y B V uAr e Rm a R r eA S r t T i E ne O e C 2 O 0 M 0 V 7 A UNICWOONS
SDNY_GM_00045694
THERA n
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008518
EFTA_00 156303
EFTA01288666
DIN41.1•C R•ni PAIMIP,Int
4Y415Lwt'L([Cc'.p
De.,, 1.01.141,"4.1
Yin. brit ONIce
P.O. Bac 171e, Baltome•MD21200 10 Pant Annw.10tititcr
14•-•• 'Er'. kV I0VA
Statement Period: 05/01/2014 - 05/31/2014
Portfolio Holdings
(continued)
U.S. DOLLARS (continued)
Adjusted Demented Accrued Estimated Estimated
Date Acquired Quality Unit Cost Cost Bays Market Price Market Value Gain( Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
'LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4
SECS
MIDI TIER 1 ISMS US539439AG42
1.500% 09117188 EVE DTD 01/07/11 S & P Rating BG
Please Provide 1,903,000.000 WA Please Provide 107.1250 2,038,588.75 WA 21,01229 111,725.00 7.00%
Original Coal Basis: Please Provide
Total Corporate Bonds 127,729,363.26 131,644,131.75 11,776,196.76 3391,05117 31,787,600.00
26,903,000.000
Total Fixed Income 129,374,522.10 $33,195,979.53 $1,782,168.41 3399,537.69 31,787,600.00
34,693,000.000
Ilerealited Estimated Estimated
Dale Acquired Quality Unit Cost Cod Basis Market Price Markel Value Gala( Loss Annual Income Yield
Equities
Common Stocks
APOLLO GLOBAL MON T LLC CL A SUS Security Identifier: APO
Dividend Option: Cash CUSIP 037612306
03129111 '.13 263,157.000 19.0000 4.999.983.00 24.8300 6,534,188.31 1,534,205.31 1,118,117.25 17.11%
APPLE INC COM Secarlty Identifier: AAPL
Dividend Option: Cash CUSIP 037833100
10128113 2.000.000 529 0600 1.058.120.50 633.0000 1.266.000.00 207.879.50 28,320.00 2.07%
ARIAD PHARMACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash CUSP 04033A100
02114112 '.13 7,535.000 15 2090 111597.40 6.4600 18,676.10 -65,921.30
01121113'.13 9.000.000 19.6000 176,400.00 6.4600 58.110.00 •116,260.00
Total Noncovered 16,535.000 290,997.40 106,818.10 ,181,181.30
Total 16,535.000 8290,997.40 $108,816.10 -$184,181.30 30.00
ASCENA RETAIL GROUP INC COM Security identifier: ASNA
Dividend Option: Cash CUSP. 013516101
01/16101 '.3 70,500.000 212770 1,500,000.00 16.6950 1.176.997.50 •323,002.50
pate 7 of 19
201,, 00.0 von A S c O c L o T u H n E t N RA u mber: tit Go paperless R D v A I e t L e r O y d A V t R •C i w R O A I S T S l E I a 4 D t e C 2 O 0 M 07 M UNICATIONS r.43= - 6 -m .. - . n 7 ra A kr t ra tr n a r4 =
F I D.E- N- N AL rxesturrxr
SDNY_GM_00045695
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DES-SONY-0008519
EFTA_00 56304
EFTA01288667
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date "aired Guam tleIt Col Cod Bads Market Price Markel Value Geld Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
BIOGEN IDEC INC COM Staidly Identifier: BNB
Dividend Option: Cash CUSP. 09062%103
02/14/12 '.13 2,095.000 119.5490 250,454.95 319.3100 669.080.15 418.625 20
FACEBOOK INC CL A Security Identifier: FB
Dividend Option: Cash CUSP: 3030311102
05117/12 '.13 17.500.000 38 0000 665.000.00 63.3000 1.107.750.00 442.750 00
FOUNDATION MEDICINE INC COM Security Identifier: FM I
Dividend Option Cash CUSP. 350465100
01/13114 25,000.000 27 5070 687,663 50 23.7300 593,250.00 -94,413.50
GENERAL ELECTRIC CO COM Security Identifier: GE
Dividend Option. Cash CUSP. 369604103
04/23113 '.13 23,000.000 21.5700 496,109.08 26.7900 616,170.00 120,060.92 20.240.00 3.28%
GENERAL MTRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP 31045V100
11118/10 ' 10,988.200 36.4010 399,976.16 34.5800 379,971.97 -20,008.19 13,185.84 3.47%
12109/10 ' 86,536.800 36 8160 3,185.969.22 34.5800 2,992,442.53 -193,526.69 103,844.16 3.47%
Total Noncovered 97,525.000 3,685,947.38 3,372,414.50 -213,532.88 117,030.00
Total 97,525.000 $3,585,947.38 33,372,414.50 -5213,532.85 $117,030.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP. 375558103
02/05/14 5,000 000 792810 396,407.00 81.2100 406,050.00 9,643.00
03107/14 3,100 000 79.6120 246,797.00 812100 251,751.00 4.954.00
Total Covered 8,100.000 843,204 00 557,801.00 14,591.00
Total 8,100.000 $643,204.00 3657,801.00 314,597.00 30.00
P M ORGAN CHASE & CO CON Security Identifier: AM
ISM US46625H1005 CUSP 4662511100
Dividend Option: Cash
07114105 '.3.11 14.503.000 488 4840 7,084,469.82 55.5700 805,931 71 4.278.558.11 23,204.80 2.67%
SANGAN 0 BIOSCIENCES INC CON Security Identifier: SGM 0
Dividend Option: Cash CUSP. 800677106
05/28/13 '.13 50,000 000 8.4440 422,211.00 13.1400 657,000 00 234,786.00
SANTANDER CONSUMER USA HLDGS INC COM Security Identifier: SC
Dividend Option: Cash CUSP. 8028311101
01123/14 1,000.000 24 0000 24,000.00 19.6500 19,650.00 4,350.00 600.00 3.05%
Page 8 of 19
rei
MI AB MO11 A S c C c L o T u H n E t R N A u m tier: F I D G A o p E ap N erl T es I s A L D ( r % v xA R e eL r o n B y d u A V t rR a t s r c Ra . e Ae l S l Tr e a r E a r D a C 2 O 0 M 07 M UNICATIONS = (— A vim t = 7 - -t-rim V m e . s wo t e = ii. •0 " 'TS
SDN Y_GM_0004 6696
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008520
EFTA_00156305
EFTA01288668
Deowe Ram Pon. Man Manap--frent
M'705 Cowan 4.p.p
Deotem 8.0 570•Ats mc
bt• Mo.
P.O. Bag 1776. flatiron MO 21203 40080 Ammo. )Mu to
Statement Period: 05/01/2014 - 05/3112014
Portfolio Holdings
(continued)
U.S. DOLLARS (continued)
Unaided Estimated Estimated
Dale Atimired Quoddy Unit Cost Cost Basis Market Nice Market Value Gail/ Loss Annual Income Yield
Equities
(continued)
Common Stocks (continued)
TWITTER INC CON Security Identifier: TW TR
Dividend Option: Cash CUSIP 901841102
11/07/13 1.500.000 26 0000 39.000.00 32.4400 40.660.00 9.660.00
Total Common Stocks $21,747,163.63 $17,631,709.27 -$4,115,471.36 91,305,812.05
Preferred Stocks (Listed by expirsliort date)
ALLY FINL INC PERP PFD FIXED1FLTO RATE Security IdentlIler: ALLY PRB
SERA CALLABLE COUPON 8.5% CUSP 02005ti308
PERPETUAL MATUFdTY CALLS 25 05/15/18
Dividend Option: Cash
02/03112 '.13 46.600 000 19.3820 903,217.51 27.6600 1.288.956.01 385,738.50 99.025.00 7.68%
02109112 '.13 80,000 000 20.1250 1,610,000.00 27.6600 2,212,799.99 602,799.99 170,000.00 7.68%
Total Noncovered 126,600.000 2,513,217.51 3,501,756.00 966,636.49 269,025.00
Total 126,600.000 72,513,217.51 93,501,756.00 $966,536.49 $269,025.00
GM AC CAP TR I GTD TR PFD SECS SER 2 I Security Identiller: ALLY PRA
125% MEG RATE! FLTG CUSP:381880208
Dividend Option: Cash
02122112 '.13 80.000 000 23.5350 1,882,773.60 27.1300 2,170,400.00 287.62640 162,500.00 7.48%
ROYAL BANK SCOTLAND GROUP PLC SPON ADR Security Identi der: RN PRY
REPSTG SER T EDF SUS COUPON 725% CUSP. 780097713
PERPETUAL MATURITY CALL@ 25 05114114
Dividend Option: Cash
10124112'.13 40,000.000 23.7900 951.600.00 25.5000 1,019,999.99 68,399 99 72300.00 7.10%
40,000.000
01!07113'.13 24.1400 977,600.00 25.5000 1,019,999.99 42,399 99 72,500 00 7.10%
01114113'.13 40,08,0.000 24.8800 995,200.00 25.5000 1,020,000.02 24,800 02 72.500.00 7.10%
Total Noncovered 120,000.000 2,924,400.00 3,060,000.00 135,600.00 217,500.00
Total 120,000.000 $2,924,400.00 93,060,000.00 $135,800.00 $217,500.00
Total Preferred Stocks $7,320,391.11 $8,732,150.00 91,411,764.89 $649,025.00
Page 9 of 19
Account Number: F I DENT EA L Rated tmellor•
Go paperless Every V.a Lam 2007
SOLTHERA TO
N
U. DrxAaLr BtuArRn RseArT ED COMMUNICATIONS
SDNY_GM_00045697
CONFIDENTIAL — PURSUANT TO FED. R CRItiA. P. 6(e) OB-SDNY-0008521
EFIA_00156306
EFTA01288669
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Daft Acquired Cludity Usk Cod Cod Basis Market Price Markel Value Gals/Loss Annual Income Yield
Equities (oatinued)
Options
CALL 100 AMERICAN AIRLS GROUP INC COM Option Identifier: 99CIADTZJJ
EW01.17.150 20.000 OPTION ROOT: AAL Undedying Security Identifier: ML
1,000.00 of these contracts are in your margin account Underlying Security Price: $40.16
12111113' 1,000.000 8.0330 803,314.50 19.7000 1,970,000.00 1,166,685.50
PUT 100 AM ERICAN AIRLS GROUP INC CON Option Identifier: 990ADTZ00
W01.17450 20.000 OPTION ROOT: AAL Undedying Security Identifier: ML
.1,000.00 of these contracts are a shod position Underlying Security Price: $40.16
12111113' .1.000.000 1.9770 .197.70200 0.2000 .20.000.00 177.702 00
Total Options 1605,612.50 11,950,000.00 $1,344,387.50 $0.00
Total Equities 929,673,187.24 $26,313,665.27 -11,359,321.97 11,954,837.05
Unrealized Estimated Estimated
Dale Acquired Quantity Unit Cod Cod Basis Market Price Markel Value Gals/ Loss Annual Income Yield
Exchange-Traded Products
WISDOM TREE TR JAPAN HEDGED EQUITY ED Security Identifier: DXJ
Dividend Option: Cash; Capital Gains Option: Cash CUSP: 91717W851
60.000 00 of these shares are in your margin account
12111113 sosoomo 49.4350 2,966,098.50 47.8200 2.869 200.00 .96,898.50 37 051 43 291,
Total Exchange-Traded Products $2,966,098.50 52,869,200.00 ,196,898.50 137,061.40
Unrealized Accrued Estimated
Cod Basis Market Value Gain! Loss Interest Annual Income
Total U.S. DOLLARS 999,500,210.08 $101,865,447.04 8326,646.21 $399,537.69 $3,783,292.26
EURO
Opening Closing Accrued 30.Day
Desaiptioa Quantity Balance bisect Currency Income Yield
Cash, Money Funds, and Bank Deposits
Global Cash Balance 291,846.67 291,846.67 EUR
398,195.60 USO
Total Cash, Money Funds, and Bank Deposits 291,846.67 291,846.67 EUR 0.00
398,195.60 USD 0.00
Maned
Market Value Currency leered
Total EURO 291,846.67 EUR 0.00
398.195.60 USD 0.00
Page 10 of 19
sin
Account Number: Rated tocellerigi
V070 RCM FI D G An o p T ape r rle i s A s r ( O v xA e eL r n y B tA Y rl e wl a Re r A S rT i C nc O e C 2 O 0 M 07 M UNICATIONS = •• a •• t • = • • WI ....S M. . .W a .. .e tg .. ••U• , • A In . g rie .
SDNY_GM_00045698
CONFIDENTIAL - PURSUANT TO FED. R CRIM. 67(e3)LTHERN OB-SDNY-0008522
EFTA_00156307
EFTA01288670
0ruisev Ram Pon. Weahn Margenan
Maeats Coerµe Gro.t)
MAs07 8.7 %won 77
reyen Pk*
Na Pan 4..y_Halter
. 111 • It
Statement Period: 05/01/2014 • 05/3112014
Portfolio Holdings (continued)
Unrealized Accrued &Olmsted
Cod Basis Market Value Gain/Loss Interest Annual Income
Total Portfolio Holdings - U.S. 899,500,210.08 $102,283,642.64 $326,648.21 $399,537.69 $3,783,292.26
DOLLARS
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.L.110-343, 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 °applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis vAl be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as folows:
• Stock in a corporation acquired on or after January 1. 2011
• Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under 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.
The Current Face value represents the outstanding principal balance of the underlying 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 km or transferring agent and Pershing makes no representation as to the accuracy of this information.
Holdings Summary by Currency
Exchange-Traded
Currency Casa Flied taken Equities Funds Total by Currency
U.S. DOLLARS 37,486,402 33,195.979 28,313.865 2.869.200 101.865.447 USD
EURO 291.846 0 0 0 29t.846 EUR
Total USD Equivalent 37,864,597 33,196,979 26,313,866 2,869,200 102,263,642 USD
% of Allocation 37.04% 32.46% 27.69% 211% 100.00%
Page 11 of 19
Account Number; Rated tscollenti
INI0S0UCSFIC ,!, OBAS RCA, SO L TM ERN N F I ID G -E o p N ape T rle E ss A l_ Dr t x n Ae ,y sU tuM v r « t.r M . a eU S r i D nc e C 2 O 0 M 07 M UNICATIONS vreras 'AA nrgrA rase roc
SDNY_GM_00045699
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008523
EFrA_00156308
EFTA01288671
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain! Loss)
Date Date Transaction Description Quantity Cost Basis Proceeds Disallowance
Short Term
0511611/ 10/16113' SELL GLOBAL MI6 SECA/RIR GLOBAL MTG SCIZA ISINSUS37896 8255000.000 2.545515.17 2 585079 57 37 534 10
Rrst In Fug Out IAV83 5.250% 04125132 WE CITD
Security Identifier 378981AV8
Original Cost Basit 2,545,545.47
0512211/ 12)13113' fFP WASHINGTON MUT MTG S 004•RA2 MTG PASSTHRU CIF CL 1.290.000.000 2.03716 2.662.31 625.15
C. 81 VAR RATE 6.973% 07125133
Security Identifier: 939336520
Original Cost Basis: 2,037.16
0512711/ 12/13113' RPP COUNTRYWIDE HOME LOA 1 CL 81 4.090% 03(25133 WED 1.500.000 000 27401 12 29515.10 1.943.641
TD 01130103
Security Identifier: 12689DYS1
Original Cost Basis: 27,401.42
Total Short Term $2574,984.05 $1,615,086.98 $40,102.93
Long Term
05121/14 07/14105' SELL .P MORGAN *ASE 4 CO US46625H1005 7.250.000 3.541.512.18 391.122.84 -3.150.389.34
Aral In First Out Security Identifier: Al
Total Long Term $3,541,512.19 $391,122.04 -93,150,389.34
Total Short Term and Long Term $6,116,416.23 13,006,209.62 -$3,110,286.41
• 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.L.110-343, the Emergency Econornic Stabilization Act of 2008) and are, therefore, considered "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 they '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 1099.8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as folows:
• 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, 2014, 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 return 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 1099.8 or online displays you may have available to you.
Page 12 of 19
Account Number: Rated exceilordi
Go paperless since 2007 er atioaa.r0077411"0:• 0• .•1=0'0. . 0.000
S13 L THERA nu - DAL OAR RATED COMMUNC ATIONS
F I DrErriA rxarturger
SDNY_GM_00045700
CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) IV " IVI OB-SDNY-0008524
EFrA_00156309
EFTA01288672
daft.. a.n. P090, won MaIrlan
Mamas Codrace 60m)
DeasON UN Smote' 0a.
Niue Int Mc*
HS Pia Asa. loth 00,7
tam Wit NY 101M
Statement Period:05/111I114 4513112014
Schedule of Realized Gains and Losses Current Period (continued)
Aber you report your cost basis cn your tax returr, rt shout: be verified usir ; all of your own records. In particular, there may be other adjustments which you need to make, but are not injured to be made by
Pershing as it relates to H.R. 1424. You should consult wrth your tax advisor in order to properly report your gain or loss for lax 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 all liability that may arise with respect to your use and rekance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attrbutes 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 intonation is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
Please refer to the Your Account Information Section n your brokerage account statement for your accounts existing tax-lot 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, Fist Out (FIFO). Your accounts selected tax lot method wi be
used to determine the cost basis for calculating gain andior 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)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds, please visit the 0WS Investments website at httpsiNnwrdws-investments.comIEN/productshnoney-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 $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 advisor for additional information.
Page 13 of 19
Account Number Maud taceNer0
18"" ROIL K L THERA Cfri N LLC. F I D G A o p E ap N erl T es I s A L I E D x v A C e L r I 0 y L . 4 v L 0 « I 1 N R . C A W T I o O ce , C 2 O 0 M 07 A ILINCATIONS
SDNY_GM_00045701
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008525
EFEk_00 I 56310
EFTA01288673
Activity Sum m ary (All amounts shown are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Secunhes Bought 000 0.00 Securities Bought -2.632.380.98 .10.138.489 09
Secunties Sold 6,659,182 89 17,267.500 04 Secunties Sold 0 00 0 00
Total Securities $6,659,182.69 917,267,500.01 Total Securities -$2,632,380.98 -$10,136,169.09
Dividends and interest $263,752.71 $1,231,489.16 Dividends and Interest $0.00 -993007.51
Distributions $295,786.63 $877,705.33 Distributions $0.00 $0.00
Fees $0.00 $0.00 Fees $0.00 -$36.00
Cash Cash
Withdrawals 0 00 0 00 Withdrawals 0 00 -888.245 00
Deposits 0.00 10.824.149 65 Deposits 000 000
Total Cash $0.00 $10,824,149.65 Total Cash $0.00 -$888,245.00
FDIC Insured Bank Deposits $0.00 $37,486,437.19 FDIC Insured Bank Deposits $0.00 -$19,304,764.85
Money Market Funds $0.00 $0.00 Money Market Funds -$4,570,905.51 -$37,265,200.36
Total Credits $7,218,722.23 $67,687,281.36 Total Debits -$7,203,286.49 -$67,690,542.81
Transactions by Type of Activity
Process( Trade/
Settlement Transaction
Date Date Activity Type Description Quantity Price Awued Interest Amount Currency
Securities Bought and Sold
05105/14 0413011/ SOLD IM PAC CMB TR 2005.2 ASSET MD BO CL 1-M-2 0.887% -10,000,000.000 72.0000 357.40 1,014,410.37 LSO
IMPA34743 04125/35 BIE DTO 03/03105 VARIABLE RATE FACTOR
14500819 REM BAL 1450081.90
05121114 05116/14 SOLD GLOBAL MTG SECURITIZATION LTD/ GLOBAL MTG SCTZN -8,250,000100 92.0000 8,31906 2,632,380.98 LSD
GM SD31266 ISINt US378961A1/83 5.250% 04125/32 B/E OTD 01128105
FACTOR 31572699 REM BAL 2852247 74
05/27/14 0512111/ SOLD "MORGAN CHASE d CO COM 'SINS I/S46625H 1005 INSOL -7,250.000 51.0100 391,122 81 LSO
$1,1 AVERAGE L NIT PRICE TRANSACTION YOUR BROKER ACTED
AS AGENT
05128114 05116114 CANCELLED SELL GLOBAL MTG SECURITIZATION LTD/ GLOBAL MTG SCTZN 8.250.000 000 92.0000 -8.31906 -2,632,380.98 LSO
GM S034266 ISINPUS378961A1183 5.250% 04125/32 B/E OTD 04128/05
FACTOR .31572699 REM BAL 2852247.74 CANCELLED
TRADE
05/28/14 05116114 CORRECTED SELL GLOBAL MTG SECURITIZATION LTD/ GLOBAL MTG SCTZN -8,250,000.000 92.0000 8,189,13 2,591,268.70 LSO
GM 5034266 ISINPUS378961/0/83 5.250% 04125/32 B/E OTD 01128105
FACT/CFS/ CORRECTION FACTOR 34032747 REM BAL
2807701 70 CORRECTED CONFIRM
Total Securities Bought and Sold • UNITED STATES DOLLAR 8,541.63 4,028,101.91
Page 14 4119
u
Account Num Der KFIDEsismAr1P4~ t=acelle"r• -----
V PAN 110111 SOUTHERN Go paperless L very vs, Såra 2'007
SONY GM OOO467O2
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SINY:0008526
EFTA_001563 I I
EFTA01288674
Gnaw< Rana Prmair Wean &Warm,
Pdaeals Cisme 6,0.4)
Dettsch4 ML Stwnes +Ic
lin. yen Oilt•
PC. Sat 177S. aolt mom MD 21203 HI Pan Ramo. It" I ter
War we\ ItY 10114
Statement Period: 05/01/2014 • 05/3112014
Transactions by Type of Activity (continued)
Process/ Trade/
Settlement Transaction
Date Date Activi Desa on puny Price Accreed Interest Amount Curren
Dividends and Interest
05/15/11 CASH DIVIDEND RECEIVED 126600 SHRS ALLY FIN L INC PERP PFD FIXED/FLTG RATE SER 67.255 25 USD
ALLY PRB A CALLABLE COUPON 8.5% PERPETUAL MATURITY CALL@ 25
05/15/16 RD 05101 PO 05115/14
05/15/14 CASH DIVIDEND RECEIVED 2000 SHR$ APPLE INC COM RD 05112 PC 05115/14 6.580.00 USD
AAR
05/15/14 CASH DIVIDEND RECEIVED BANK AMER CORP PERP KOK COM liLATWE DEP SHS FIXED 81,250 00 4S0
060505DT8 TO FLOAT 8.125% 04130/58 B/E RD 05114 PD 05/15111 INT
PAID AT 10 6259 2000000
05/15/14 BOND INTEREST RECEIVED 1000000 EARTH LINK INC GTD SR AT FULLY EXCHANGED 11,375 00 LSD
270321AC6 CUSIP FROM 270321AB8 8.875% 05115119 DIEOTD
05117111 CLB RD 05101 PD 0511511/
05/15/14 BOA D INTEREST RECEIVED 80000 SHRS GM AC CAP TR I GTO TR PFD secs SFR 2 8125% 40.625.04 1.50
ALLY PRA FIXED RATE! FLTG RD 05114 PD 05115/14
05/27/14 80AD INTEREST RECEIVED 4500000 COUNTRYWIDE HOME LOANS SER 03.1 CL 81 5.355.94 USD
12669DYS1 4 090% 03125133 B/E DTD 01130103 RD 04130 PD 05125/14
05/27/14 FORF AN BOND INTEREST 8250000 GLOBAL MTG SECURIDZATION LTD/ GLOBAL MTG 12,478.59 USD
378961AV8 SCTZN ISINOUS378961AV83 5 250% 04125132 B/E DID
0/128105 RD 04130 PO 05/25/11
05/27/14 BOND INTEREST RECEIVED 1290000 WASHINGTON MUT MTG SECS CORP 2004-RA2 4,791.60 USD
939336520 MTG PASSTFRU CTF CL C13.1 VAR RATE 6.973% 07125/33
BIE DTD 06/01/04 RD 04130 PD 05125/14
05/30/11 MONEY MARKET FUND DWSGOVT CASH INSTL 690.29 USD
INCOME RECEIVED
233993682
0513011/ CASH DIVIDEND RECEIVED 1000 SHRS SANTANDER CON% M ER USA HLOGS INC COM 150.00 USD
SC RD 05(12 PO 05130114
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 253,752.71
Page15019
Account Number. Illatod excellent
Go paperless L very. Year Lace 2007
SOUTHERA CAO NLLC. FIDENTIAL DrxAaLr OaArRn aReArT ED COMMUNICATIONS
SDNY_GM_00045703
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008527
EFTA_001563 12
EFTA01288675
Transactions by Type of Activity (continued)
Process/ Trade/
Settlement Transaction
Date Date Adivit Type Disci ion Quan Price Accrued Interest Moult Curren
Distributions
05127/14 RETURN OF PRINCIPAL 1500000 COUNTRYWIDE HOME LOANS SER 03-1 CL 81 29.345 10 LSO
RECEIVED 4.090% 03125133 B/E DID 01130103 RD 04130 PD 05/25/14
12669DYS1
05/27/14 RETURN OF PRINCIPAL 8250000 GLOBAL MTG SECURITIZATION LTD/ GLOBAL MTG 44.546 04 LSD
RECEIVED SCTZN ISINIIUS37896IAV83 5.250% 01125132 B/E DTD
378961AV8 04128/05 RD 04/30 PD 05/25114
05/27/14 RETURN OF PRINCIPAL 1290000 WASHINGTON 141.,TMTG SECS CORP 2004.RA2 843.61 LSO
RECEIVED MTG PASSIM-RI, CTF C1 C-B-1 VAR RATE 6.973% 07125/33
939336520 BIE DTD 06/01/04 RD 04130 PD 05125/14
05/30/14 PARTNERSHIP DISTRIBUTION 263157 SF RS APOLLO GLOBAL MGM T LLC CL A SHS RD 221.051 88 LSD
APO 05/20 PD 05/30114
Total Distributions • UNITED STATES DOLLAR 0.00 295,766.63
Money Market Funds
05/01/14 MONEY FUND PURCHASE DWSGOVT CASI- INSTL -205,766.14 USD
b S0999997
05/05/14 MONEY FUND PURCHASE DWSGOVT CAM-. INSTL -1,044,410.37 LSD
S0999997
05/16/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL -240,08629 LSD
USD999997
05/21/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL -2.632.380.98 USD
USD999997
05/27/14 MONEY FUND PURCHASE DWSGOVT CASI. INSTL -391,12284 LSD
USD999997
05/28/14 MONEY FUND PURCHASE DWSGOVT CASE. INSTL -56,248.60 LSO
U S0999997
05/30/14 MONEY MARKET FLND DWS GOVT CASH INSTL INCOME REINVESTED -89019 LSO
REINVESTMENT
233993682
Total Money Market Funds • UNITED STATES DOLLAR 0.00 .4,570,905.5r
Total Value of Transactions 9,546.53 15,435.74 USD
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Security Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment
Interest
GENERAL ELEC CAP CORP NON CUM PFD SER 05/30/14 06/15/14 2 000,000 000 0.035625 Cash 71 250 00
A
Total Cash Not Yet Received 871,250.00
Page 16 of 19
Account Number Rated tacollordi
UNA!, Rot, SOUTHERN ONLLC.F IDAE pa N per T les I s A L rD L xA y a o Lr n Ba , A V rRn a aR s. eA L rT o E w D s C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00045704
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008528
EFTA_001563 13
EFTA01288676
0irvitre RJR. *nom n mamip,tat
M..nets Co.tneG•ccp
De-tic t. San Secv-ri. M.
Vint %A 0at*
lilts?' Ann*. 100.11cce
Ihw W.1. 1.v 101:4
Statement Period: 0 51011211 4 • 05/31/2014
Bond Maturity Schedule
Bond Maturity Market Value %of Bond Markel Value
1 to 6 months 5A93,400 00 17% n Percentages of bond market values are
1 to 5 years 4,376,875.00 13% IIMI rounded to the nearest whole percentage.
6 to 10 years 8.046,075-00 24% M
Over 10 years 15.279.629.53 46% -
Total 33,195,979.63 100%
Bond Quality
ecnd 0.3 Markel Value %of Bond Markel Value
5,592,500 00 17% Percentages of bond market values are
rounded to the nearest %tole percentage.
21,168,719.31 64%
6.434.76022 19%
Total 33,105,09.53 100%
Client Service Inform ation
Your Client Advisor: TDS Contact Information
TAZIA SMITH Telephone Number:
345 PAW AVENUE 14TH FLOOR
NEW YORK NY 10154
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 SKR MIRE FIRST IN FIRST OUT
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 inform alien.
Page 17 of 19
MAN ROI t A SO cc U o T u H n E t R N N u m C be N r O NLLC. F I D Go r a pap T erle I s A s L R L rDx v A a e a t L e s y O d uA V t r a Rt s r c . aR . o eA ll S e rT i n a E m i D C 2 O 0 M 07 M UNICATIONS /ear. laC mango. 1•0•C
SDNY_GM_00045705
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 013-SDNY-0008529
EFTA_00156314
EFTA01288677
Important Inform ation and Disclosures
Pricing
This section includes the net market value of the securities in you 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 rekable. Pershing may not use the dosing 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 —N/A— and are ornited from the Total.
THE AS OF PRICE DATE ONLY APPEARS MIEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) 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
vnwipershing.comlbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
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 wil
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the lime of execution and the name of the person from
whom your security was purchased. may be obtained. 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
information is available to you promptly upon your written request directed to your introducing fin. 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 lent by Pershing to itself or others in accordance with the terms outlined in the Marge) 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. dollars for dividends and silkier corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified horn 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) vM be billed 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 & 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
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 & 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 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 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 III of 19
Account Number Go paperless l t i w st in e y d Y to e c a e r l l S on in e e . 2007 rwritri.te=la..r.r...'" —I—stet
SO LTHERN NL LC. F I DENTIAL DrxAeLs BtuArRn RaAeTr ED COMMUNCA TIONS Vary i.46 swam non PIM,. K'
SDNY_GM_00045706
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0006530
EFIA_00 156315
EFTA01288678
Dean
Mweits I wear Goa,p
°Muhl Sat Smote 4%.
Mar Olin
30 Pia Aso. Mk low
Rem *A NY 101M
Statement Period: 0510112914 • 05/3112014
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 Nil 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 controling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions al 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 of that it
receives as the result 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. Al 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 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 ISIPC'). 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: vAwrpershing.convistrength_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: Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other n court, including the right to a trial by jury. 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 ability 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 arbitrators16410 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 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; (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;
Page 19019
00.0 ROI I A SO cc o T u H n E t N RA u m ber F I D G AE l o aa p eo a .w p t. e tv T r .i l a e z I s A s L R Dr (v xA a e e b L r n i B y d u A Y E rR e x r a c R a e r eA l S l rT e i E n n c O t e C 2 O 0 M 0 M 7 UNICATDONS ..7.2.•7:)..—..:.72==..'= el=
SDNY_GM_00045707
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008531
EFTA_00156316
EFTA01288679
Destine 14m POnle VOIP40AlMfrwad
Weals Cowan Gmt,p
DestuN Sat StueNei 4%.
PO eat 1710. IlieltweateMD21203 Nourfrt unmoor
HS Psi Asa.
Ms** NY 101$4
Account Number:
Statement Period: 0410112/14 -0413012014
Valuation at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value $102,831,003.21 $90,573,050.28
6100 RED HOOK QUARTER B3 ts el Cash Deposits and Withdrawals -19,250.00 9,935,904.65
ST THOMAS VI 00802 Adjusted Previous Account Value 102,811,153.21 100,508,951.63
Dividends. Interest and Other Income 393,627.76 1,158,138.50
het Other Activity -18.00 -3800
het Chance in Punka -1 425,102 24 -86,796.70
nding Account Value 3101 580 260 73 2,101 580 260 73
Your Client Advisor: Estim ated Annual hewn e $3,722.349.58
TAZIA SMITH
Asset Allocation
Prior Year-Ead Lasi Period This Period %Monti°.
l,S0 Cash. Money Funds. and Bank Depontsl 18,29514911 32,415,56317 32,900,060.99 32.39% Pe C ?me allocation only includes
pros -cts that are of positwe value.
USD Feed Income 27,736,972.38 26,281,208.08 26,363,141.57 25.95% Assets of less than 1% of holdings
Non•ti SD Axed Income 10,227,309.46 10,215,566.88 10,325,843.75 10.17% wit no: display on this pe chart
USD Equities 30,410,51165 30,470,070.48 28,821,198.20 28.37% 1 N l 1
Mont SD Equities 3.137.192.74 2,840,400.00 2.765.400.00 2.72%
Won-USD Cash. Money Funds and Bank Desalts 402,106.34 402,193.90 404,616.22 0.40%
Other 363.000.00 0.00 0.00 0.00%
Account Total (Pie Chart) 190,573,050.28 1102,831,003.21 1101,580,200.73 100.00%
I The Bank Deposes In your account are FDIC Insured bank deposits.
FDIC insured bank deposits are not secordies and are not covered by the Securities Investor Protect:an Cowden
(SIPC). These bank deposrts are covered by the Federal Deposrt Insurance Corporation (FDIC). W to aeon* limits.
See page 2 of the statement for Imports rt information regardng the Asset Allocatich section.
Page 1 of 23
c 5 o 0097 N 61SCS F F300l6 I D G . nO le / SS A illkt Rene^ tit b. A R."' CON•Ininnuelfiknon. u.C. • lamer *sad ••••••••••
E.„,...,_=.,.... ,C r= RAIL DCOMMUNCA110.4%
SDNY_GM_00045708
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008532
EFTA_00156317
EFTA01288680
Asset Allocation Disclosure and Footnotes
Certain values have been defaulted into the Other Asset Class due to incomplete categorizing data
Al values are displayed in U.S. dollars based on interbank exchange rates as of 04/3012014. Exchange rates can vary.
Equities contains Equity Mutual Funds.
Summary of Gains and Losses
Realized
TIM Period Year-to-Date llerealized
Short.terin Gain/Loss 71,498.98 -42.849.00 1,891,176.26
long-Term Gain/loss 0.00 -55.582.40 4.714.445.86
Net GaIn/loss 71,498.911 .98,431.40 4,823,289.60
This summary excludes transactions where cost basis information is rot available.
Exchange Rate Table Global Cash
Currency Owing Mount In
Currency USO Equivalent per USD Onrency Balance Base Currency USD
ELRD 1 3864 0 7212 EURO 291,846.67 404,616.22
Total Global Cash Balance $404,616.22
Exchange rates are based on interbank exchange rates as of 04/30/2014. Exchange rates can vary.
Money Market Fund Detail
Date Activity Type Desaiptioa Mount Balsam
Sweep Money Market Fund
DWS GOVERN M R_IULC IINSTL
Account Number: Current Yield: 0.03% Activity Ending. 04/30114
04101114 Opening Balance 0.00 0.00
04123114 Deposit MONEY FUND PURCFASE 32,140,403.83 32,140A03 83
04124/14 Deposit MONEY FUND PURCFASE 66,552.92 32,206,956 75
04128/14 Depoit MONEY FUND PURCFASE 101,597.96 32,308,554.71
04129/14 Deposit MONEY FUND PURCFASE 73.527.77 32.382.082.48
04130114 Deposit LIDA EY FUND FURCFASE 312,000.00 32,694,082.48
04130/14 Deposit INCOME REINVEST 212.37 32,694,294.85
04130114 Closing Balance $32,694,294.85
Total All Money Market Funds 632,694,294.85
Page 2 of 23
V,09/6ISCSF30016 Account Number Go paperless et Raise' 1.cetlent Cleawri••••••• Moat. U.C. • awl. ararod ••••••••••
SOUTHERN CALM* RATED COMMUMICA11O.4
K1F ID r L eXCCLUNCI
SDNY_GM_00045709
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008533
EFTA_00 I 56318
EFTA01288681
0euiv.v gam Po... Wealth Man/rem
Vinci% CoterarGtoyp
0toutm Yr Secynei
lire bet Mc*
PC. Sc, 1776. Bali moot MD 21203 Ma Part Aortae. IM I kw
Statement Period: 04/0112014 • 04/30/2014
FDIC Insured Bank Deposits
Date Activity Type Description Amount Bann
Other FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Atcount k um bet Activity Ending: 04130114
04101114 Opening Balance 32,373,328.83 32,373,328.83
04101114 Deposit DEPOSIT 64,634.57 32,437,963.40
04102114 Denali DEPOSIT 10,107.00 32,448,070.40
04103114 Dermal DEPOSIT 29,703.34 32,477,773.74
04109114 Withdrawal WITHDRAWAL -331,250.00 32.148.523.74
04115114 Derail INTEREST CREDITED 798.68 32,147,320.32
APY 0.03%
04116114 Assodated Bank kA 32,147,320.32
NO 04116 5250000.00
BUT
NO 04116 $250000.00
Bank of America
NO 04116 9250000.00
Citibank k A.
NO 04116 $250000.00
Deutsche Bank Trst Co
NO 04116 $29960325.
East West Bank
NO 04116 $250000.00
NY Comm unity Bank
NO 04116 $250000.00
Teas Capital Bank
NO 04116 $250000.00
DiPate Capital Bank
NO 04116 $250000.00
Union Bank of CA
NO 04116 $186995.32
04122114 Withdrawal WITHDRAWAL -32.147.478 83 -158.51
04122/14 Denali INTEREST POSTED 158.51 0.00
OM 0/14 Posing Balance 40.00
Total FDIC Insured Bank Deposits 40.00
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 4250,000 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.
Page 3 of 23
MC097611CSF 30 Mt Account Number F DGo- EoapNerleTss /Ar, Rated Ir ewaonll.e enat A as.. *wimp Owenby uLC. ••••••••••••104.....1
SOUTHERN gerctittlIVIDCOMPALINICA/1O.6
SDNY_GM_00045710
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Ce-SDNY-0008534
EFIA_00 156319
EFTA01288682
Income and Expense Summary
Current Period Year.M.Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 13,326.14 0.00 183.64113 0.00
Money Market 212.37 0.00 212.37 0.00
Other Dividends 197.500.00 0.00 291,25010 0.00
Interest Income
Bond interest 181134.16 0.00 35510915 0.00
FDIC Insured Bank Depotts 955.09 0.00 2,891.15 0.00
Other Interest 0.00 0.00 40.625.04 0.00
Total Dividends, Interest, Income and Expenses $393,627.76 $0.00 $873,928.94 $0.00
Distributions
Alternative 'riven ents 0.00 0.00 0.00 284,209.56
Other Distributions 0.00 83.481 57 0.00 297.709.14
Total Distributions $0.00 $83,481.57 $0.00 $581,918.70
Portfolio Holdings
U.S. DOLLARS
Account Activity Opening Owing Accrued Income 30.Day Garnet
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits
Cash Balance 42.235.04 205.766.14
Money Market
DWS GOVERN M ENT CASH I STL
04101114 32.694.294 850 04130114 0.00 32.694.294.85 0.00 212.37 0.03% 0.03%
Total Money Market $0.00 $32,694,294.85 $0.00 $212.37
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
04101114 04130114 32.373.328.83 0.00 0.00 2.891.15 NM NM
Total FDIC Insured Bank Deposits $32,373,328.83 $0.00 $0.00 92,691.15
Total Cash, Money Funds, and Bank Deposits 932,415,563.87 $32,900,060.99 $0.00 $2,903.52
Paget of 23
P*09") 6 ISCSF 30 016 Account Number: Go paperless et t Ran. I ..ellera a•• • • • l • e • •• M •• A •4 I 11 O 0 f 0 P 1 S . I 1 M •O 1 . 1 1 M 4. S . 0 • 1 - , 0 1 0S”.. 4 . 11IPSO•0" ,1
SOUTHERN K F I DA ENT1AL D EX A C L IE IN LIA * N It C A E T EDCOMMUNICAlIONS POMP.. &AC •••••••M•11 .014 &PC
SDNY GM 00045711
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY:0008535
EFTA_00156320
EFTA01288683
Oeuliv•v Si', Po...WeanAlan/rem
Minet% town< G•ap
Otsittht Mr Selynel AC
lire bet Mc*
P.O. Bev 177& Batmen MO 21203 11)Parli Mow. )Mu to
Woe wet liY NIL
Statement Period: 04/01/2014 - 04/30/2014
Portfolio Holdings
(continued)
U.S. DOLLARS (confirmed)
Adjusted Unrealized Accrued Estimated Estimated
Date Milted Guantffy Unit Cost Cost Basis Market Nice Market Value Gain! Loss Interest Annual Income Yield
Fixed Income (In Maturity Date Sequence)
'Asset Backed Securities
GLOBAL M TG SECURITIZATION LTD/ Security Identifier: 378961AV8
GLOBAL IA TG SCT2k 'SU U 6378961AV83
5.250% 01125132 WE OTO 04128/05 Moody Rating CAA3 S
8 P Rating &
Factor: 0.34572699 Effective Date:01/01/14
Current Face Value: 2.852.247 668
10116/13'.3,12 8,250,000.000 89 2170 2.515.545.47 93 8610 2.677.23375 131.688 28 2.079 76
Original Cost Basis 52.705.004 09
COUNTRYWIDE HON E LOANS Security Identifier: 12669 DYS1
SER 03-1 CL (31 1.090% 03125/33 B/E
DTD 01130103
Factor: 0.24839139 Effective Date 04/01114
Current Face Value. 1.117.761 255
12113/13 '.3,12 4.500.000 000 93.3780 1,043.725 67 86.4810 966.684 64 -77,01103 3,68271
Original Cosl Basis: 51,111,573.07
WASHINGTON MUT N TG SECS CORP 2001-RA2 Security Identifier: 939338820
MTG PASSTHRU CTF CL C-9-1 VAR RATE
6.973% 07/25133 81E DTO 06/01/04 St P Rating 0
Factor: 0.63913293 Effective Date:04101114
Current Face Value: 824.481 180
12/13/13 ..3.12 1.290.000.000 76 5190 630.881.76 86.3190 711.68417 80.802 41 4.631.70
Original Cosl Basis. 5638.906 71
IM PAC CM B TR 2005.2 ASSET B140 BD CL Security Identifier: 15254NNC7
14-2 0.887% 04125/35 B/E
DTD 03103105 Moody Rating CA58 P Rating CC
Factor: 0.14500819 Effective Dale 01125/14
Current Face Value: 1.450,081 900
12113/13 '.3 1,500,551.000 0.0990 147.910.91 73.5750 160,093.77 12,152 83 26.81
Odra' Cosl Beare $147,94094
12/13113 t3 8.499.446.000 0.0990 837.967.95 73.5750 906,803 99 68,838.04 151.89
Original Cosl Basic 5837.967.95
Page 5 of 23
Account Number. Go paperless R Sc a r t e e e d n Y m e o a l s le I n n t A Re. e et s e n ge a . a ... n .. t . i t . • n •• o •• t • a •• m o w n e o . w • s e o m f e 4 m .... e .s t e s e .• n etan
SOL THERM CHO KLL I FIDAnc ITIAL D eX A C M IU AR AN R C A I T I tDCOmmutiOCATIONI.
SDNY_GM_00045712
CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) DB-SONY-0008536
EFIA_00 156321
EFTA01288684
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Dale"aired Qua. Usk Coe Cod NS Market Price Market Value Gain? Lots Interest Annual Income Yield
Fixed Income (continued)
'Asset Backed Securities (continued)
IM PAC CIA B TR 2005.2 ASSET BIM BD CL (continued)
Total Noncovered 9,000,000.000 985,906.69 1,066,897.76 80,988.87 178.70
Total 9,000,000.000 1985,908.89 11,066,897.76 110,9811.17 $176.70 $0.00
Total Asset Backed Securities $5,206,061.79 $5,422,500.32 $216,436.13 110,572.87 $0.00
24,040,000.000
Total Current Face Value : 6,244,572.303
Corporate Bonds
SG STRUCTURED PRODS INC Security Identifier: 78423EHS6
COMMODITY LKO MKT PLUS PROTECTED NOTES
0.000% 08105/14 BA DTD 07130113
07125113 'ATM 2.000.000 000 100 0000 2,000,000.00 107.1200 2,118.400 00 118,100 00 0.00
Original Cost Buis: $2.000,000.00
HSBC USA INC MEDIUM TERM NTS Security Identifier: 40432XFP1
BUFFERED NOTES LKD TO EURO STOXX 50
0.000% 08/29/11 DIE DTD 05130113
0512/113 'AM 2,000,000.000 100 0000 2,000,000.00 110.6400 2,212,800 00 212,800 00 0.00
Original Cosl Basic. $2,000,000.00
PM ORGAN CHASE & CO M EDIUM TERM NTS Security Identifier: 4$126NVE4
CAPPED CONTINGENT BUFFERED EQUITY k TS
0.000% 10/18/11 WE DID 09127113
12/05113 '•3.12 1.000.000 000 100 0000 1,000,000.00 105.3800 1,053.800 00 53.600 00 0.00
Original Cost Bait. S1.000,000.00
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
NOTES SENIOR MK XS0060546525
5.000% 10128/15 REG DTD 10128/09 S 6 P Rating Be
12104/13 '.3.t2 2 500 000.000 91.9120 2,297,807.57 89.8750 2,216,875.00 •50.932 57 694 44 125,000.00 5.56%
Original Cost Basic $2.250.000.00
HEADWATERS INC GTD SR NT Security Identifier: 12210PAG5
7.625% 04101119 81E DID 03111111
CALLABLE 0//01115 (1 103.813 Moody Rating B2 St P
Rating B.
10122/12'.12,13 1,000,000.000 102.1200 1,028196.11 107.5000 1,075,000.00 50.803 89 6.142 36 76 250 00 7.09%
Original Cosl Base $1.035.09,00
EARTHUNK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC6
CUSP FROM 270321AB8 8.875% 05115119 WE
DTD 05117111 CALLABLE 05115/15 St P Rating CCC+
10122112 'ATM 100,000.000 102.8150 411,379.03 100.0000 100,00000 .11,37903 16,270 83 35,500.00 8.87%
Original Cosl Basic 99.000.00
Page 6 of 23
1,009/61CSF30,16 Account Number Go paperless It R Se a v te e d n I Y ' i e n 3 .e 14 ll e In n. Raw CO T N IO S O . 0 a . . 1 4 Il 1 i 8r1e1s0w0a1r.r1a1 S ,1 O 10 . 2. C • 1 • 0 • 1 • • • 0 • 1 • 9 • • * • M • ScSa w•• •r•e•Ss, t
SOUTHERN K1F I D'E. NTTA •-• E DA x L c S u A a R n R c A i TED COMMUNICAT1ONS
SDNY_GM_00045713
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) 013-SDNY-0008537
EFTA_00156322
EFTA01288685
0euiv Si,,, Pon. wealth Mywrient
PA/net% COMM< 4,0‘P
OtOta4 lam Selyner
P.O. Bag 1778. &lemon MD 21203 Ma Pu M t aw A n b e rk w . M . 1 c . * 6 m i tar
'Inv Wet /11. NIL
Statement Period: 04/01/2014 - 04/30/2014
Portfolio Holdings
(continued)
U.S. DOLLARS
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cog Cost Bags Market Price Market Valve Gain! loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
EARTHUNK INC GTD SR NT FULLY EXCHANGED (continued)
10123112 '.12.13 800,000.000 102 6430 615,859.29 100.0000 600,000.00 -15,859.29 24,40625 53,250.00 8.87%
Original Cost Basic 5619.500 00
Total Noncovered 1,000,000.000 1 027 230.32 1,000,000.00 -27,236.32 40,677.08 88,750.00
Total 1,000,000.000 $1,027,236.32 21,000,000.00 227,238.32 $40,677.08 188,750.00
SERVICES ASTER CO SR NT - CUSP FULLY Security Identifier: 81760NAN9
EXCHANGED FROM OLO CUSP 81760NAL3
8.000% 02115120 WE DTD 02113112 Moody Rating CAA1 S
P Rating CCOi
01124113 'AM 1500.000.000 104 9810 1,574,717.83 107.8750 1,618,125.00 43,401.11 25,000 00 120,000.00 7.41%
Original Coal Basic 51,595,625.00
02125113 '.12.11 1,000,000.000 105 5380 1,055,378.11 107.0750 1,078,150.00 23,311.53 16,666 67 80,000.00 1.41%
Original Cog Basic $1,070,000.00
Total Noncovered 2,500,000.000 2,530,096.30 2,696,875.00 66,778.70 41,866.67 200,000.00
Total 2,600,000.000 $2,630,096.30 82,696,875.00 $66,778.10 $41,666.51 1200,000.00
LLOYDS TSB BK PLC EURO ISSUE MEOWS Security Identifier: G1515PPIII
TERM NOTES ISMS00717735822 Price Estimated as or: 04128114
9.875% 12/16721 REG DTO 12116111
Moody Rating BM St P Rating BBB
12104113 '.3,12 1500.000 000 108 2010 1,623,060.70 118.5000 1,777,500 00 154.43930 55,135 42 148.125 00 8.33%
Original Coal Basic 51,627,580.00
SOUTHERN CALIF EDISON CO Security Identifier: 842400FV2
PREF SER E 6.250% 02101122 WE
DTD 01117/12 CALLABLE 02101122 Moody Rating BAA1 St
P Rating BBB-
01130112'.3.12 3,000,000 000 99.7950 2.993.854.29 107.0000 3,210,000.00 216.14571 46.35417 187,500.00 5.84%
Original Cosl Basic 52,992,564.97
BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 06739FNK0
ISA R US06739FH K03 7 750% 04/10123 B/E
DID 04110/13 CALLABLE 04110118 St P Rating 812,
04103113 '.12,11 300,000.000 100 0000 300,000.00 111 0000 333,000 00 33,000.00 1.291 67 23,250.00 6.98%
Page 74023
EN,71 rxt,ItaltDCOMMILINICIOIONS
B009/61CSF30016 01,11 ( re A SO cc U o T u H n E t N RN um ber ti G ,„ o paperless 436) Satan years MA Rev i b ll a •n rn na " w O L a i . e -N re r neft Ple a a m a w in e C • t i o •• g • S n •• I i C se * s N o C va a e , a S ta S t " t ibq
FI AL
SDNY_GM_00045714
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) O13-SDNY-0O08538
EFTA_00156323
EFTA01288686
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Bun Bak Cod Cod Basis Market Puce Markel Valve GairilLoss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
BARCLAYS BK PLC CONTINGENT CAP NT (continued)
Original Cost Basis 6333 00C 00
PM ORGAN CHASE & CO DEP SNS REPSTG Security Identifier: 46625141141
1110D- PFD SER 1 FIXED TO FLTG RT BO
7.900% 04/29/49 WE DTO 04/23/08 Moody Rating BA1 S8
P Rating BBB
06415/11 '.3.12 2.500.000.000 107 5000 2.687.500.00 113.0000 2.825.000.00 137.500 00 0.00 197,500.00 6.99%
Original Cost Basis; 52,687,500.00
06115/11 '.3,12 2.500,000 000 107 0000 2.675.000.00 113.0000 2,825,000 00 150,000 00 0.00 197,500 00 6.99%
Original Cost Banc $2.675400.00
Total Noncovered 5,000,000.000 5,362,500.00 5,650,000.00 287,500.00 0.00 395,000.00
Total 5,000,000.000 $5,352,500.00 85,650,000.00 8287,500.00 $0.00 $395,000.00
BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 060505DT8
SF S FIXED TO FLOAT 8.125% 04/30/58 EVE
DTD 04130108 CALLABLE 05/15118 Moody Rating BA3 S8 P
Rating BB+
01/10711 '.3.12 2.000.000.000 102.7500 2.055.000.00 113.5500 2.271.000.00 216.000 00 74.4794 7 162.500.00 7.15%
Original Cost Basic 52.055.000.00
GENERAL ELEC CAP CORP NON CUM PFD SER Sum*Identifier: 3696228N6
A 7.125% 061t2/62 BIE
DTD 06112112 CALLABLE 06/15/22 Moody Rating BAA1 S
P Rating AA-
06127112 tlt,I3 2.000.000.000 105 5300 2.110.605.12 115.0000 2.300.000.00 189.39418 53.437 50 142.500.00 6.19%
Original Cost Basis: 52.122.916.67
LBG CAPITAL NO 1 PLC 114A Security Identifier: G5433BBG8
16948X60473106283 8.000% 09/15/88 REG
DTD 12115109 FOREIGN SECUMTY S8 P Rating BB
12104113 '.3.12 1.200.000.000 108 2500 1.299.000.00 108.5500 1,302,600.00 3.600.00 36.000 00 96.000.00 7.36%
Original Cost Basis SI 299,000 00
'LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4
ADDL TIER 1 SECS ISM US539439AG42
7.500% 09/27/88 WE DTD 04/07/14 S 8 P Rating BEI.
Reese Provide' 1,903,000.000 N/A Rease Provide 104.5000 1,988,835.00 N/A 9,118.54 142.725.00 7.17%
Original Cost Basis: Rene Provide
Total Corporate Bonds 327,723,358.41 131,280,185.00 11,551,491.59 $384,997.12 81,787,000.00
28,903,000.000
Total Fixed Income $32,929,420.20 136,881,985.32 11,770,930.12 8375,689.89 81,717,600.00
52,943,000.000
Page 8 of 23
1,009/6flCSF3' 1 Account Number F D G AE o N pa .M p . e rless R Se a v te e d n t V io ... c elle In nt A Row Loa «amw an
SO L TH ERN CALMAR RATED COMAILINICATIONS
AL IPCCIELLINCI
SDNY_GM_00045715
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008539
EFTA_00 156324
EFTA01288687
DPASOf Sim POnle won 4.11r. , ,
Mweits I wear Gw.p
°taunt Sat Stuenci C.
Notarri Caw
P.O. Bag 1778. Balernot•MO 21203 30 rat 4,w,111,1%3
!Owl:ANY 101W
Statement Period: 04101/2014 - 04/30/2014
Portfolio Holdings
(continued)
U.S. DOLLARS
(continued)
Unrealized Estimated Estimated
Date kindred Quantity UPNCod Cost Basis Market Price Markel value Gaud Loss Annual Income Yield
Equities
Common Stocks
APOLLO GLOBAL MGM T LLC CL A SHS Security Identifier: APO
Dividend Option: Cash CUSP: 037812308
03129111 283.157.000 19 0000 4.999.983.00 27.1300 7.139.449.41 2.139.468.41 1,047,361.86 11.67%
APPLE INC CON Security Identifier: AAPL
Dividend Option: Cash CUSP: 037833100
10128113 2,000.000 529 0600 1,058,120.50 590.0900 1,180,180.00 122,059 50 26,320 00 2.23%
ARIAD PHARM ACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash CUSP 04033A100
02114112 '613 7,535.000 15 2090 114,597.40 7.2700 54,779.45 -59,817.95
01124113 '.13 0.000.000 19 8000 176.40040 7.2700 85430.00 -110,970.00
Total Noncovered 16,535.000 290,997.40 120,209.45 ,170,787.95
Total 16,535.000 $290,997.40 $120,209.45 -8170,787.95 $0.00
ASCRIA RETAIL GROUP INC CON Security Identifier: ASIA
Dividend Option: Cash CUSP. 043516101
01116101 **3 70.500.000 21 2770 1100.000.00 17.2000 1.212.600.00 -287,40000
BIOGEN IDEC INC CON Security Identifier: BIIB
Dividend Option: Cash CUSP: 01062M03
02114/12 'A 2,095.000 119 5490 250.454.95 287.1200 601,516.40 351,061.45
FACEBOOK INC CL A Security Identifier: FB
Dividend Option: Cash CUSP. 3030311102
05117112 '.13 17,500.000 38.0000 665,000.00 59.7800 1,046,150.00 381,150.00
FOUNDATION MEDICINE INC COM Security identifier FM I
Dividend Option: Cash CUSP: 350465100
ammo
01113114 27.5070 687,663.50 29.1600 729,000.00 11,336.50
GENERAL ELECTRIC CO CON Security Identifier: GE
Dividend Option: Cash CUSP: 369604103
04123113 '.13 23,000 000 21 5700 496.109.08 26 8900 618.47010 122,380.92 20,240.00 3.27%
Page 9 of 23
B009/61CSF30,16 Account Number: Go paperless R Se a v w en l ( Y w e a a il r e s r I s N ? A Row CWiwyammlinwairvi...C.•••••• wow onoNWN
KJFIDE W N,filIC TIAL D EX A C M et N A * iN R C N R T RD COMMUNICAlIONS
SDNY_GM_00045716
67e)UTHERN
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. OB-SDNY-0008540
EFTA_001 56325
EFTA01288688
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Acquired duality lak Cod Cod Bids Market PrIa Markel Value Gold Loss Maul Income Yield
Equities (continued)
Common Stocks (continued)
GENERAL MTRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP. 370451/100
11118110 ' 10,988.200 36.4010 399.978.16 34.4800 378,873.15 -21,105.01 13,185.84 3.48%
12/09/10 ' 86,536.800 36.8160 3.185,969.22 34.4800 2,983,788.85 -202.180.37 103,844.16 3.48%
Total Noncovered 97,625.000 3886917.36 3,362,682.00 -223,285.38 117,030,00
Total 97,625.000 53,686,917.38 13,362,662.00 -6223,266.38 $117,030.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02/05114 5,000.000 792810 396,407.00 78.4900 392,450.00 -3,957.00
03101114 3,100.000 79°120 246.797.00 78.4900 243,319.00 -3,478.00
Total Covered 8,100.000 643,204.00 635,789.00 -7,436.00
Total 0,100.000 $643,204.00 $636,789.08 -$7,135.00 $0.00
P MORGAN CHASES CO CON Wally Identifier: PM
ISIN LS46625H1005 CUSP. 46625/1100
Dividend Option: Cash
01114105'.3 21 753 000 488 4840 10.626.002.00 55.9800 1217.732.94 9.408.269.06 34.804 80 2.85%
SAMOAN° BIOSCIENCES INC CON Security Identifier: SGM 0
Dividend Option: Cash CUSP: 800677106
05128113 '.13 50 OCC 000 8 4440 422.214.00 13.8400 692,000 00 269.786 00
SANTANDER CONSUMER USA HLDGS INC COM Security Identifier: SC
Dividend Option: Cash CUSP. 8028311101
01123114 1,000.000 24 0000 24,000.00 22.7400 22,740.00 -1.260 00
TWITTER INC CON Security Identifier: TWTR
Dividend Option: Cash CUSP: 901841102
11107113 1,500.000 26.0000 39.000.00 38.9700 58.455.00 19.455 00
Total Common Stocks 525,288.695 81 $11,636,934.20 -$8,651,761.61 $1,245,769.66
Preferred Sods (Listed by expiration date)
ALLY MIL INC PERP PFD FIXEDIFLTG RATE Security ideniTher: ALLY PRB
SERA CALLABLE COUPON 8.5% CUSP. 020051408
PERPETUAL MATURITY CALL° 25 05115116
Dividend Option: Cash
02/03112 '.13 46,600 000 19.3820 903,217.51 27.0400 1260.084.01 356,846.50 99.025.00 7.85%
02109/12 '.13 80.000 000 20.1250 1°10,000.00 27.0400 2,163,199.99 553,199.99 170°00.00 7.85%
Total Noncovered 126,600.000 2,513,217.51 3,423,264.00 910,046.49 269,025.00
Total 126,600.000 52,513,217.51 $3,423,264.00 $910,046.49 $259,025.00
Page 10 of 23
800106fleSF30116 Account Number GEo p NiperleTss IAr DZAT=I rt.:,,,Rer. b er o n a e . o a os k m ose r s e • n •• e •• w •• • s .u a . w 0. n a o m s e . n a .. s C s O N a Y s S s IN , AI
SOUTHERN LOAVR A T OMMUNICAT IONS P•nre. LUC saes Plea MOO an
F I DA
SDNY_GM_00045717
CONFIDENTIAL — PURSUANT TO FED. R CRITA P. 6(e) OB-SDNY-0008541
EFrA_00156326
EFTA01288689
Gni..., gam Numn—wrn,
her.ets Ont.., G.a,p
Dectsam Mn 'Wynn mc
Near, Mt*
P.O. Bag 1776. Barron MO 21203 341Parli ilareet 1141. I to
Nay Rrt 1tY 10114
Statement Period: 04/01/2014 04/30/2014
Portfolio Holdings (continued)
U.S. DOLLARS (confirmed)
Unrealized Estimated Estimated
Date Acquired ikauthy Unit Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities (continued)
Preferred Stocks (continued)
GM AC CAP TR I GTD TR PFD SECS SER 2 It Stagily Identifier: ALLY PRA
125% FIXED RATE/ FLTG Mil' 361860206
Dividend Option: Cash
02122/12 'A 80,000.000 23.5350 1 882 773 60 27 4900 2,199,200.00 316,12640 162 500 00 7.38%
ROYAL BANK SCOTLAND GROUP PLC SPON ADR Security Identifier: RBS PRT
REP= SER T FOP StISCOUPON 725% CUSP. 780097713
PERPETUAL MATURITY CALL@ 25 05114/14
Dividend Option: Cash
10/24112'.13 40.000.000 23.7900 951,800.00 25.3900 1:015.599.99 83,999 99 72,500 00 7.13%
01107113'.13 40.000.000 24.4400 977,800.00 25.3900 1,015,599.99 37,999 99 72,500 00 7.13%
01714113'.13 40,000.000 24.8800 995,200.00 25.3900 1,015,600.02 20,10(102 72,500 00 7.13%
Total Noncovered 120,000.000 2 924 400.00 3,046,800.00 122,100.00 217,600.00
Total 120 000.000 $2 921 400.00 $3 048 800.00 $122,400.00 6217 600.00
Total Preferred Stocks $1,320,391.11 $8,669,284.00 61,341,172.19 6649,025.00
Options
CALL 100 AM ERICAN AIRLS GROUP INC COM Option Identifier: litIOADTZ.0
EW 01-17-14420 000 OPTION ROOT: ML Undedying Security Identifier: ML
1,000.00 of these contracts are in your margin account Underlying Security Price: $35.07
12711113' 1,000.000 8.0330 803.314.50 15.5000 1.550 000 00 746.885.50
PUT 100 AMERICAN AIRLS GROUP INC CON Option identifier: 91/OADTZ00
ET01-17-15Q 20000 OPTION ROOT= AAL Undedying Security Identifier: ML
-1,00000 of these comrade are a shod position Underlying Security Price: $35.07
12111113' 1.000.000 1.9770 •197.70200 0.3500 -35.000.00 182,702 00
Total Options $805,612.50 11,515,000.00 6000,317.50 $0,00
Total Equities $33,214,699.42 $28,821,198.20 -64,393,501.22 61,014,704.60
Page II of 23
1,009761CSF,' : A SO cc U o T u H n E t N RN um ber Go p spetieSS R D 5- A a - t L e S d A I Y R .. e I . t — f A lo T r I a D CO Pc M .'w MUNCATIOWS C ••• o • T 1 n . 1 0 a 1 D v “ O L ie M i n e u O 0 F g N • l 4 i O O • O • • W w • P e . s a S tr M a w . t . a C • s S •• W • o • n • • • S •• I • M S S M O O S N , .
FIDENTIAL EXCIILIANCI
SDNY_GM_OOO45718
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008542
EFTA_00156327
EFTA01288690
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Markel Vain Wallets Annual Income Yield
Exchange-Traded Products
WISDOM TREE TR JAPAN HEDGED EQUITY FO Security Identifier: DXJ
Dividend Option; Cash; Capital Gains Option: Cash CUSP 97717W851
60,00000 of these shares are in your margin account
12(11/13 60,000.000 19.1350 2.966.098.50 46.0900 2.765.400.00 .200.698.50 37,061.40 1.34%
Total Exchange•Traded Products $2,968,098.50 $2,786,400.00 .$200,898.50 $37,061.40
Unrealized Awued Estimated
Cost Basis Markel Valve Gaintlost Interest Mnual Income
Total U.S. DOLLARS $102,010.219.11 6101,175,641.61 -S2,823,269.60 $375,569.89 $3,122,349.58
EURO
Openlag dosing Accrued 30-Day
Desaiptioa Quality Balance Balsam Curreaq Income Yield
Cash, Money Funds, and Bank Deposits
Global Cash Balance 291,818.87 291,816.67 EUR
104,616.22 USD
Total Cash, Money Funds, and Bank Deposits 291,816.87 291,816.67 EUR 0.00
404,618.22 USD 0.00
Acaued
Markel Value Currenq Interest
Total EURO 291,818.87 EUR 0.00
104.616 22 LSO 0.00
Unrealized Accrued Estimated
Cost Basis Market Value GainfLoss Interest Mnual Income
Total Portfolio Holdings - U.S. $102.010,279.11 6101,580,260.73 -$2,823,269.60 $375,169.89 $3,722,349.58
DOLLARS
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 1966, as amended ('IRCI) (incorporating amendments enacted by
P.L.110-313, 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 tvill be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Page 12 of 23
Account Num ber Go p iperlessA D i S s A m ea s rZ rw it el * io Ti n cap t a cr avacjottis Cals••••••••••••••••1.1.1.02.•••••••••••••••••••••
8009/6fleSF30116
F I DAENTI eXCELIANCI
SDNY_GM_00045719
CONFIDENTIAL — PURSUANT TO FED. R CRIM.
67eU) ntO
OB-SDNY-0008543
EFTA_00 56328
EFTA01288691
()PASO( Um Pnwill, Wean •Aptagenan
Metroits ear G.O.P
Deelsche So* Stow On W.
Now *4 Mar
PC. Ba. 177 &It mrc MD 21203 HS Put Asa. Ioth Hoer
Mow** NY 10114
Statement Period: 0410112114 • 04/3012014
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 (ORP) shares acquired on or after January 1, 2012
• Ciller securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization. accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attnbutes, obtained from
sources believed to be reliable. In the event, one or more of these attrioutes 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.
$ The cost basis of this security has been provided to us by you or your introducing film and Pershing makes no representation as to the accuracy of this infonriabon.
Unrealized gains and losses are not reported for securities for which cost basis or market value is not available.
1 The Current Face value represents the outstanding principal balance of the underlying 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 transferring agent and Pershing makes no representation as to the accuracy of this information.
Holdings Summary by Currency
chap-Traded
Comm Gal Fixed lame Equities Foods Total lyCottenq
U.S. DOLLARS 32,900.060 36.688.985 28.821.198 2.765.400 101.175.644 USD
EURO 291,846 0 0 0 291,846 EUR
Total USD Equivalent 33,304,677 36,1111$4105 28,021,196 2,766,400 101,6$0,200 USD
% of Allocation 32.79% 36.12% 21.37% 2.72% 100.00%
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Clain/ Lose/
Elate Date Transaction Description Duality Cod Basis Proceeds Disallowance
Short Term
0411711/ 04/16114 SELL SABRE COPY COM 4,000.000 64,000.00 66,552.92 2,552.92
Rid In First Out Security Identifier: SABR
04123/11 12113113' FiPP WASHINGTON MUT MTG 5 004-RA2 MTG PASSTHRU CIF CL 1,290,000.000 2.02380 2.64414 621.04
C- B-1 VAR RATE 6.973% 07125/33
Security Identifier 939336320
Original Cost Basis: 2,023.80
Page 13 of 23
or
B00MISCSF30016 Account Number F GV pa N pe T rle T ss A L * J Rated Iy .eeoeA R ll.o o a.ot. w OlioWo *soup Onto. U.C. • seal. woo. walMws
SOUTHERN CIAatiLIVEDCOMMUNOCOJIONS
I SDNY_GM_00045720
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008544
EFTA_00 156329
EFTA01288692
Schedule of Realized Gains and Losses Current Period (continued)
Disposition Acquisition Disposition Realized Gain/ Loss/
Dale Date Transaction Description Quantity Cos1 Basis Proceeds Disallowance
Short Term (continued)
04/24/14 12113113' EPP IM PAC CM B TR 2005.2 BD CL 1461-2 0.887% 04125135 B IE 1,500,554 000 1,125 08 1,654.77 529.69
DTD 03/03105
Security Identifier. 45254KNC7
Original Cost Basis. 1.125.08
04124/14 12/13113' FPP IM PAC CM B TR 2005.2 BO CL 1461-2 0.887% 04125135 B fE 8.499.446.000 6.37269 9.372.99 3,000.30
DTD 03/03/05
Security Identifier: 45254KNC7
Original Cost Basis 6.372.69
04125/14 12/13113' RIP COL NTRYVVIDEFOME LOA 1 CL BI 4.090% 03/25/33 WE D 4,500,000.000 23,784.37 25,471.48 1.687.11
TD 01/30/03
Security Identifier: 12669DYS1
Original Cost Basis: 23.784.37
04125114 10/16/13' FFP GLOBAL kl TG SECURITIZ GLOBAL MTG SCTZN US37896 8,250.000.000 41,198.59 46,162.43 4.963 84
IAV83 5.250% 04/25/32 WE DID
Security Identifier: 378961AV8
Original Cost Basis: 41.198.59
04130/14 12/13113' SELL IM PAC GAB TR 2005.2 BO CL 1461-2 0.887% 04125135 B IE 1,500.554.000 147.940.94 156.665.79 8.724 85
Fusl In First Out DTD 03/03/05
Security Identifier: 45254KNC7
Original Cost Basis 147,940.94
04130114' 12/13/13' SELL IM PAC CM B TR 2005.2 BD CL 144-2 0.8-87% 04125135 B IE 8,499,446.000 837,967.95 887,387.18 49.419.23
Rrs1 In First Out DTD 03103105
Security Identifier: 45254KNC7
Original Cost Basis. 837.967.95
Total Short Term $1,124,413.42 $1,195,912.10 $71,498.98
Total Short Term and Long Term 51,124.413.42 31,195,912.40 371,491.98
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 (IRV) (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncoverece 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
after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis vAR be reported to the IRS on form 1099.8 for the applicable tax year in which the security is
or
disposed.
Reporting requirements generally will be phased in over a three-year period, as folows:
• 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, 2014, or later, as determined by the Secretary of the Treasury.
Page 14 of 23
Account Number. Go paperless R S a t ted & Y w ew el s k I i n n. A Fter. Away we. • ...or *was ...oleos
SOUTHERN CI16. LLC. ECxIAcait• RAtTED COMMLIPOCATONS
NFIDEciuriAc
SDNY_GM_00045721
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008545
EFrA_0015 6330
EFTA01288693
Draw ( Sint P WsS i P.m...yr,.
Marais Cootqa4,0“)
Deaulv sank Smote' 4%.
Now *4 Cato
HS Pia AS*. IM, I leer
Now *A NY 101W
Statement Period: 04/0112014 • 04/3012014
Schedule of Realized Gains and Losses Current Period (continued)
This Schedule ray 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 everts 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 return 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 109943 or online displays you may have avajable 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 all liability that may arise with respect to your use and reliance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default. index-finked 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 retums.
These shares are unsettled and have been recently disposed. You will also see these shares on the Portfolio Holdings section until this transaction has been settled.
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-Ict disposition method. The disposition method is the method winch 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, Fist Out (FIFO). Your account's selected tax lot method wil 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
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 advisor 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 https://vnwv.dws-investrnents corn/EN/productshnoney-market-funds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Page 15 of 23
Account Number: Go paper-less 11•14.1I ..enent CONS.M.1010101011.01.1.02..••••••••••••••••••••1
Sea"' 'rt. " . P.^.
SOUTHERN EN isi TED COMMUNCATONS
F I Ei A
SDNY_GM_00045722
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008546
EFTA_00156331
EFTA01288694
Activity Sum m ary (All amounts shown are on base currency)
Credit This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Securities Bought 0.00 0.00 Securities Bought -92.000.00 -7,506.108.11
Secunhes Sold I 18.655 79 10.608.317 15 Securities Sold 000 000
Total Securities $118,655.19 $10,600,317.15 Total Securities -692,000.00 -$7,506,100.11
Dividends and interest $393,686.97 1962.736.45 Dividends and Interest -$51.51 -S93,807.51
Distributions $83,481.57 $581.918.70 Distributions $0.00 WOO
Fees $0.00 $0.00 Fees -018.00 -$36.00
Cash Cash
Withdrawals 0 00 0 00 Withdrawals -331.250.00 -888.215.00
Deposits 312 000 00 10.824.149 65 Deposits 0 00 0.00
Total Cash 6312,000.00 610,824,149.65 Total Cash -8331,250.00 -$888,245.00
FDIC Insured Bank Deposits 632,478,570.32 137,486,437.18 FDIC Insured Bank Deposits -6106,211.19 119,304,76415
Money Market Funds $0.00 $0.00 Money Market Funds -$32,894,294.85 -132,691,294.85
Total Credits $33,386,392.95 $60,168,558.13 Total Debits -133,222,86115 -$60,487,256.32
Transactions by Type of Activity
Process/ Trade/
Settlement Transaction
Date Date Actin ity T) se Description Quantity Price /caved littered Moult Currency
Securities Bought and Sold
04101114 0312711/ SOLD TF0NET GROUPING COM UNSOL AVERAGE UNIT PRICE -1,200.000 19.1000 22,399.53 LSD
TN ET TRANSACTION YOUR BROKER ACTED AS AGENT
04102114 0312711/ PURCHASED CBS OUTDOOR &MESS INC COM 1,000.000 28.0000 .28,000.00 LSO
CBSO
04102114 0312811/ SOLD CBS OUTDOOR AMERS INC COM IJNSOL AVERAGE UNIT -1.000.000 29.7700 29,703.31 LSD
&ISO PRICE TRANSACTION YOUR BROKER ACTED AS AGENT
04/10/14 SECURITY EXCHANGED 186 CAPITAL NO 1 PLC 111A ISM* X$3473106283 8.000% -1,800,000000 0.00 USD
G5133BI948 09115/68 REG
04110114 SECURITY EXCHANGED LLOYDS BANKING GROUP PLC FXD RATE RESET ADOL TIER 1 1103,000 000 0.00 LSD
539139AG1 SE-CS 7.500% 09127/88 B/E
04/23/14 01116/14 PURCHASED SABRE CORP COM PROSPECTUS UNDER SEPARATE COVER 1.000.000 16.0000 -64,00000 LSD
SABR
04/23/11 0411711/ SOLD SABRE COPP CAM UN SOL AVERAGE UNIT PRICE -1.000.000 16.7001 66.552.92 USD
SABR TRANSACTION TOL R BROKER ACTED AS AGENT
Total Securities Bought and Sold UNITED STATES DOLLAR 0.00 26,656.79
Page 16 of 23
o
Account Number. NFIDGAEo paNpeTrlesIsA L 'lia„•d" V " ee " n In A Raw CIIPOS.0/11•10110.••••••••• We. • %SOP 11••••••1......0
SOL THERA CH LLC. CALM* RATE D COMMUNICAllOWS •IOPS.F.O• .014 .4.1.
SONY_GM_00045723
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008547
EFTA 00156332
EFTA01288695
Gevist.< Pan, Pnnir VMOa Meaetenein
Nevens Con..«004)
Cettsog MY Smones +ic.
Ilert CM«.
I% eet Anr~.26shilter
Statement Period: 04/01/2014 • 04/3012014
Transactions by Type of Activity (continued)
%ceel Track/
Ornement TranuctIon
Date Date Adivi Desa ion Qua Prise Pareed Interest Amount Duren
Dividends and Interest
04/01/14 80ND INTEREST RECEIVED 1000000 FEADWATERS INC GTD SR NT 7 625% 04/01/19 38.125 00 LSD
12210PAQ 5 BIE DTO 03111/11 CLB PC 03/13 PO 01/01/14
04110114 BOA D INTEREST RECEIVED 186 CAPITAL NO 1 PLC I44A 'SIMT XS0473106283 8.000% -1,869,000 000 45.300 00 LSD
G54338808 09115/18 REG
04110114 FORE1GN BOND INTEREST 300000 BARCLAYS 8K PLC CONTINGENT CAP NT 11.625.00 USO
06739FFKO ISINIUS06739BIK03 7.750% 01/10/23 BJE DTD 0/110113
CLB RD 04/09 PC 04/10111
04115114 FDIC INSURED BANK INSURED OEPOSITS INTEREST CREDITED 798.58 USO
OEPOSITS INTEREST
RECEIVED
458991996
04/21114 04119114 CAS, DEBIT INTEREST CASF DUE INTEREST FOR t DEBIT DAYSAVBAL -57.51 USO
USD999997 331.250.00 RATE 6250 04,08.11 TO 04.08.14
04/22/14 CASh DEBIT INTEREST REVERSECASh DUE INT 04/21/2014 57.51 USO
ADISTM Eh T
4/50999997
04/22/14 FDIC INSURED BANK INSURED OEPOSITS INTEREST CREDITED INCOM E 158.51 LSD
OEPOSITS INTEREST RED EEN ED
RECEIVED
/58991996
04/25/14 BOA D INTEREST RECEIVED 4500000 COUNTRYWIDE HOME LOANS SER 03.1 CL BI 5.477.99 USO
126690Y51 4 090% 03125133 B/E DTD 01130103 RD 03/31 PO 01125/11
04/25/14 CAS- DIVIDEND RECEIVED 23000 ShRS GENERAL ELECTRIC CO COM RD 02121 PO 5.060 00 USO
GE 04125/14
04/25/14 FORBGN BOND INTEREST 8250000 GLOBAL MTG SECURITIZATIO LTD/ GLOBAL MTG 12,680.55 LSD
378961AV8 SCTZN ISINSUS378961AVB3 5250% 04125132 B/E DTD
04128105 RD 03131 PO 01125/11
04/25/14 BOND INTEREST RECEIVED 10000000 IMPAC DAB TR 2005.2 ASSETBK0 BD CL 1.11-2 1,118.84 LSD
45251N NC7 0.887% 04125/35 BIE DTD 03103105 RD 01121 PO 01/25/11
Page 17 of 23
Account Num Der. Go paperless S % v le e d n ( V « e te e l n le r n n , ' A Ree Y.._.~.._.. Lise. new. eneel ineselen,
SOL TH ERA Ctil N C .. etlxArt RAITILDCOMMUNICATIONS
FIDENTTAL
SDNY GM 00045724
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-S5NY:0008548
EFTA_00 156333
EFTA01288696
Transactions by Type of Activity (continued)
Process/ Tradel
Settlement Transaction
Date Date Adivit Type Demsi me Qua Price Awued Altered Amount Curren
Dividends and Interest (continued)
04125114 BOND INTEREST RECEIVED 1290000 WASHINGTON OIL T MTG SECS CORP 2004-RA2 4.806 78 LSD
939336S20 MTG PASSTHRL CTF CL OEM VAR RATE 6.973% 07125/33
WE DTD 06101/04 RD 03131 PD 04/25/14
04128/14 FOREIGN BOND INTEREST 2500000 PETROLEOS OE VENEZUELA NOTES SENIOR 62,500.00 LSO
P7807HAF2 ISINIXS0460546525 5.000% 10128115 REG DTD 10/28109
RD 04127 PD 04128114
04130114 MONEY MARKET FLND DWSGOVT CASH INSTL 212.37 LSD
INCOME RECEIVED
233993682
04/30/14 CASH DIVIDEND RECEIVED SIAORGAA CHASE & CO DEP sris REPSTG 1110TH PFD SER 1 197.500 00 USD
46625H FA1 7.900% 04/29149 B/E RD 03/31 FO 04/30114 INTEREST
PAYMENTS 39.5
04/30114 CASH DIVIDEND RECEIVED 21753 SFRSP MORGAN CFASE& CO COM 8,266 14 LSD
PM ISINtUS46625h 1005 RD 04104 PD 04/30/14
Total Dividends and Interest - UNITED STATES DOLLAR 0.00 393,827.76
Distributions
04/25/14 RETURN OF PRINCIPAL 4500000 COUNTRYWIDE HOME LOANS SER 03.1 CL Ell 25,471.48 USD
RECEIVED 4 090% 03125133 B/E OTD 01130/03 RD 03131 PD 04125/14
12669DYS1
04/25/14 RETURN OF PRINCIPAL 8250000 GLOBAL MTG SECURITIZATION LTD/ GLOBAL MTG 46,182 43 LSO
RECEIVED SCTZA ISINOUS378961AV83 5 250% 04/25/32 BIE DTD
378961AV8 04/28/05 RD 03/31 PD 04/25/14
04/25/14 RETURN OF PRINCIPAL 1290000 WASHINGTON M L T MTG SECS CORP 2004•RA2 819.89 LSD
RECEIVED MTG PASSTF RL CTF CL C-B-1 VAR RATE 6.973% 07/25/33
939336520 WE DTD 06101/04 RD 03131 PD 04/25/14
04128/14 RETURN OF PRINCIPAL 10000000 IMPAC CM B TR 2005.2 ASSET BKD BD CL 1.14.2 11,027.77 USD
RECEIVED 0.887% 04/25/35 WE DID 03/03105 RD 04124 PD 04125/14
45254N NC7
Total Distributions • UNITED STATES DOLLAR 0.00 03,401.57
Fees
04/01/14 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 2014 CUSIP. G4515P-P4-8 -6.00 LSD
64515P948
04/01/14 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 2014 CUSP. G5433B-BG.8 -6.00 LSD
G5433B8G8
04/01/14 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 2014 CUSP. P7807H•AF•2 -6.00 USD
P7807HAF2
Total Fees - UNITED STATES DOLLAR 0.00 -18.00
Page 18 of 23
Account Num ber. o N FIDGt or pu aprearTlesAs L Ral*d I-W*11*M we. • •••••• *arra ••••••••••
SOUTHERN t t.N LI.C. CIALOA* RATED COMMUNICATIONS
EXCIELUENCI
SDNY_GM_00045725
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008549
EFTA_OO 156334
EFTA01288697
ONISOe Nn, Prmalr Warn &Warm.%
Marais wear 6,0“,
Deels•I v Sank Smote ,(.
Mn *4 Mc*
PC. are, 12/6. Belt mom M021203 HS Pan AM,. loth I lea,
WI"
Statement Period: 0410112/14 -04/30/2814
Transactions by Type of Activity (continued)
Process/ Trade!
Settlement Transaction
Date Date Adivit Dem ion Clean Price Awud Intend Mount Curren
Other Transactions
04121114 WITHDRAWAL OF REORG QTY 3.000.000- L8G CAPITAL AO 1 PLC 144A 0.00 USD
INSTRUCTIONS ISINIXS0473106283 8.000% 09/15/88 REG OTD 12/15109
G51338868 EXCHANGE OFFER
Total Other Transactions- UNITED STATES DOLLAR 8.00 0.00
Cash Withdrawals and Deposits
04/08114 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST •331,25000 LSD
US0999997
04129114 FEDERAL FUN DS RECEIVED DEUTSCHE BANK TRUST 34691 312,000 00 LSD
USD999997
Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 1.00 -19,250.00
FDIC Insured Bank Deposits
04/01/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITSPROGRAM 44,831.51 USD
USD999997
01102114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -10,107.00 USD
USD999997
04103114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -29,703.34 USD
USD999997
04109114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 311.250.00 USD
WITHDRAWAL
USD999997
04115114 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -796.58 USD
DEPOSITS INTEREST
REINVESTED
458997996
04122114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM FULL FRACIPAL REDEEMED 32,147,320.32 USD
WITHDRAWAL
USD999997
Total FDIC Insured Bank Deposits. UNITED STATES DOLLAR 0.00 32,373,328.83
Money Market Funds
04123/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL -32.140,403.83 USD
USD999997
04124114 MONEY FUND PURCHASE DWS GOUT CASH INSTL -66,552.92 USD
USD999997
Pave 19 of 23
?009261SCSF30016 tr. A SO cc U o T u H n E t R N N u mber F D G - o E p N ape T rle I ss A rga: tvo I c t e tl l ) le m n ta C s O to M w P ALINKA110.4 0010•100 III.N•01.1.01.1.N.I.IC6 • ••••• ilion••• ••••••••*/
SDNY_GM_00045726
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008550
EFTA_00 156335
EFTA01288698
Transactions by Type of Activity (continued)
Process/ Tradel
Settlement Transaction
Date 0 ate Activity Type Description Price Accrued liters LLrrenry
Money Market Funds (continued)
04128114 MONEY FUND PURChASE DWSGOVT CASh INST1 -101.59796 USD
US0999997
04129114 MONEY FUND PURChASE DWSGOVT CAST INSTL 43,527.77 USD
US0999997
04/30114 MONEY FUND PURChASE DWSGOVT CASh INSTL -312,00000 USD
US0999997
04130114 MONEY MARKET FUND DWSGOVT CASh. INSTL INCOME REINVESTED .212.37 USD
REIN VESTM EAT
233993682
Total Money Market Funds • UNITED STATES DOLLAR 0.00 42,694.29415
Total Value of Transactions 0.00 183,53110 USD
The price and quantity displayed may have been rounded.
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
El
1 to 6 months 5,415.000 00 15% Percentages of bond market values are
1
to 5 years 3.321.875 00 9% 1.1 rounded to the nearest whole percentage.
EJ
6 to 10 years 9.017,375-00 25%
Over 10 years 18.934.735 32 51% -
Total 36,658,985.32 100%
Page 20 of 23
Account Number GO paperless Ftel*d Cy..., ...bit *nine use. . ••••••••••••••••••*".
SOUTHER/teOr N DA MA* RATED COMMLIMCADONS
FIDnITIAL EXCELIANCI
SDNY_GM_00045727
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008551
EFTA_00 156336
EFTA01288699
Opasre Ram Prspr wean imaigtmpi
Weans (pomp 4,04,
Ms-UM Sank SeC.Mes
Mr. Onair
PC &T. 1776 BPI mwo AID 21203 Na Part AnPreet /kb I bgr
Nay *A ItY 101E
Statement Period: 04/0112014 • 04/30/2014
Bond Quality
Bond Duality Market Value % of Bond Market Value
PAS 5 510,000 00 15% Percentages of bond market values are
BA Lower 24 797,300 68 66% I I rounded to the nearest Mole percentage.
hot Rated 6 381 681 61 17%
Total 36,688,985.32 100%
Trades Not Settled
Settlement Trade Activity Accrued Settlement
Date Date Type Description Quantity Price Interest Amount
05105114 0030/14 Sell IMPAC CUB TR 2005.2 ASSET BKD BD CL 10,000,000.000 72 0000 35710 1 044 410.37
1-M-2 0887% 01/25/35 BIE
0 TO 03/03/05 VARIABLE RATE
FACTOR .14500819 REM BAL 115008110
Total Amount of Trades Not Settled $1,044,410.31
Client Service Information
Your Client Advisor: TDS Contact Information
TAZIA SMITh Telephone Number:
315 PARK AVEA LE 11Th FLOOR
KEW YORK KY 10154
Your Account Information
Tax Lot Default Disposition Method
Default M ethod for Mutual Funds: FIRST IK FIRST OLT
Default Method for Sloth in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST It, FIRST OUT
Electronic Delivery
You have not selected any account corn m unications for electronic delivery. To register arid turn off paper communications. log in to your account or contact your Client Advisor for more information.
olic, V.wrong.' Page 21 of 23
Account Number. C1-O Paperless Itaisd venom. We. • am. —d ••••••••••
SOUTHERN ENTIAL, k—aN.t7-4:ttat"CAIICH%
Fl SDNICGM_00046728
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008552
EFTA_00 156337
EFTA01288700
Important Inform ation and Disclosures
Pricing
This section includes the net market value of the securities in you 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 dosing 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 "'N/A— and are omMed from the Total.
THE AS OF PRICE DATE ONLY APPEARS WIEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EN) and estimated annual yield (EAY) 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
vnwipershing.ccnbusMess_continuity.Nrri for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
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 wil
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the lime of execution and the name of the person from
whom your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow.
Opdons
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confismations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing fern. 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 *earns 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 Marge) 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. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate MN not exceed the highest interbank conversion rate identified from customary banking sources our 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 convened by agents (such as depositones)vall be billed 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 & Poors is not permitted without prior written
authorization from Standard & Poor's. Standard & Poors does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poors is not responsible for any errors or
ornissions, regardless of the cause, a for the results of using such content. Standard S Poors makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Poors 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 Poors 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 (i) orders
for the purchase and sale of securities and other property and (i) any ether 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 controling 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
Page 22 of 23
8001O6fleSF30116 Account Number GA9..pajiwr ,lesys st.:11=11VA Rem, C el r T o w w e e a ve k n f u a e • s •• • • • • • W ••• . • • S • L M it . . n Ce o g w lIM . I , S a IIM rs C a a n s S s w . •
SOUTHERN Mr s:4WD COMMUNICATIONS ,tyre. Lie - Ps was an
SDNY_GM_00045729
CONFIDENTIAL — PURSUANT TO FED. R CRIIVI P. 6(e) N C FIDE lAr OB-SDNY-0008553
EFIA_00156338
EFTA01288701
Destine8m, Pr..I le Voalinmanirnd
Pants teeny Comp
Deetsche sanii SecteCon 4%.
Now *4 Cato
HS Par% glom. member
WIrredeet NY 101M
Statement Period: 04/01/2814 • 04/3012014
Important Information and Disclosures (continued)
The Role of Pershing (conNwed)
receives as the result 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 obtainthg 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. Al 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 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 limits. For more detailed information please visit: vnvetpershing.corn/strength_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; Elton and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other 0 court, including the right to a trial by jury, 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 ability to have a court reverse or modify an arbitration award is very fimited.
• 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 vnl typically include a minority of arbitrators who were or are affiliated vnth 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 for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is Ned, 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;
ess
Page 23 of 23
Account Number II3E-WrITAL R.Sd Excellent 010••••••••••••••••••1•11C • Seep •••••• ••••••••••,
B009/61CSF30,16 Seven Yeas In A Row,
SOUTHERN bAISAlt ItNTeDCOMMUNOCATIONS
F EXCSLUINCII
SDNY_GM_00045730
CONFIDENTIAL — PURSUANT TO FED. R CRIN1 P. 6(e) OB-SDNY-0008554
EFIA_00156339
EFTA01288702
0,41.0t R•ni vosiommip,tat
Mn?.( ovttne
0...cid I. Bar StO., M.
VItv. brit Me
PC eat 1771 aelorerea021203 JO Part Men.. lOtkik,
Account Number:
Statement Period: 03/01(2014 -03!3112114
Valuation at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 3103,084,741.76 $90,573,050.28
6100 RED HOOK QUARTER B3 el Cash Deposits and Withdrawals .141149.42 9,955,154.65
Adjusted Previous Account Value 102,942,792.36 100,526,204.93
ST THOMAS VI 00802
Dividends. Interest and Other Income 108,611.68 764,510.74
Net Other Activity 0 00 -18 00
Net Chan e in Porlf olio -420.400 83 1 338.305 54
nding Account Value 3102,631 0 0 3 2 1 5102.631 0 0 3 2 1
Your Client Advisor: Estimated Annual Incom e 53.720.537.12
TAZIA SMIThi
Asset Allocation
Prior Year-End Lad Period This Period % Allocation
LSD Cash. Money Funds. and Bank Deposts1 18,295,949.71 32,642,234.04 32,415,563.87 31.59% Pe Chart allocabco only includes
products that are of positive value.
USD Fixed Income 27,736,972.38 26.189.194.60 26.287.208.08 25.61% 1 Assets of less than 1% of holdings
Non-LSD Fixed Income 10.227,309 46 10.150,034 85 10,215,566.88 9.95% wd not display on this pa chart
USD Equities 30.410,519 65 30.837,538 04 30,470,070.48 29.69% i
Nan-LSD Equities 3.137.192.74 2.862.600.00 2.840.400.00 2.77%
Non.L.S0 Cash. Money Funds and Bank Deposits 402,106.34 403,040.25 402,193.90 0.39%
Other 363.000.00 0.00 0.00 0.00%
Account Total (Pte Chart) 90,673,060.18 0103,084,141.10 1102,031,003.21 100.00%
I The Bank Deposes In your account are FDIC Insured bank deposits.
FDIC insured bank deposits are not secarems and are not covered by the Securdies Irwestor Potectbn Corporaton
(SIPC). These bank deposts are covered by the Federal Deposrt Insurance Corporatton (FDIC). W to alterable limes.
See page 2 of the statement for important 'Monahan regarong the Asset Allocattaa sechon.
Page 1 of 24
501071I SCSF30022 Go paperless Rsca.t—ed Ytwee.a..kIn.?A Rew CYO.. ualiell•••••••• ISA • soder *was ••••••11•110
CALMAR RATED COONNUNICATIONS
CONFIDENTIAL ""`""c`
SDNY_GM_00045731
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008555
EFDC00 156340
EFTA01288703
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 0313112014. 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 19.654 19 -114,34798 2.180.725.12
Long-Term GainlLoss 0 00 -55.582 40 -3.510.638.20
Net Galniloss 19,654.19 -189,930.38 -1,329,913.08
This summary excludes transactions where cost basis information is not available.
Exchange Rate Table Global Cash
Currency Closing Mount in
Currency USD Equivalent per USD Currency Balance Base Currency USD
EURO 1 3781 0.7256 EURO 291.846 67 402 193 90
Total Global Cash Balance $402,193.90
Exchange rates are based on interbank exchange rates as of 03/31/2014. Exchange rates can vary.
FDIC Insured Bank Deposits
Date Activity Type Description Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSINIAM
Account Number Activity EMing: 03131114
03101114 Opening Balance 32,612,231.01 32.642.231.04
03107114 D epost DEPOSIT 115,000.00 32,757,231.04
03112114 Withdrawal WITHDRAWAL -500,000.00 32,257,234.04
03113114 Depost DEPOSIT 253.253.58 32.510.48712
03114114 Deposit INTEREST CREDITED 703.55 32.511.191.17
03114111 Withdrawal WITHDRAWAL -257,000.00 32,254,191.17
APY 0.03%
03117(14 Associated Bank NA 32.254,191 17
NO 03(17 $250000.00
BEST
NO 03/17 5250000.00
Bank of America
NO 03(17 $250000.00
Citibank NA.
NO 03I17 5250000.00
Deutsche Bank Trst Co
Page2 of 24
Account Num her Go paperless t Ralvd ( WARM away wwwwwWww. Rt. • wWwwwWw•wWW
ONFIDarriAc -Rw-ew -Yew-s In A Row
SO li THERA Cii LW. RAW* RATED COMMUNICATIONS
SDNY_GM_00045732
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008556
EFTA_00156341
EFTA01288704
(Misr< Rana P.M. Wee* P. IMAagentot
Weals Codrage6KM)
Dettsch4 M SettolesW
wan Oilt•
In Pan Ammo. 160. Me,
Statement Period:0310112114 • 03/31/2114
FDIC Insured Bank Deposits (continued)
Date Activity Type Description Amount Selena
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
N0 03/17 $30067194.
East West Bank
N0 03/17 5250000.00
NY Comm unity Bank
NO 03/17 5250000.00
Texas Capital Bank
NO 03/17 5250000.00
TnState Capital Bank
N0 03/17 5186996.41
Union Bank of CA
NO 03/17 5250000.00
03124/14 Withdrawal WITHDRAWAL -17,000.00 32.237.191.17
03125/14 Depokl DEPOSIT 28.117.06 32.265.968.23
03126114 Deposit DEPOSIT 87.600.05 32.353.568.28
03121/14 Depokt DEPOSIT 1,578.05 32.355.14633
03131/14 Deposit DEPOSIT 18.182.50 32.373.328 83
03131114 Posing Balance $32,373,32813
Total FDIC Insured Bank Deposits 332,373,328.83
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 5250,000 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
Current Period Year•totiate
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 83.632.50 0.00 170,314.89 0.00
Other Dividends 0.00 0.00 93,750.00 0.00
Page 3 of 24
Account Number. Go paperless (t ) Rated e«MNnt Ct.., ups.% /Wee. We. • ••••.••••• ••••••••••
A Sten 'lets In A Ran
SOUTHERN L NC FIDENTIAL rxcr ugge RAIL D COMMUNICAT.0.4
SDNY_GM_00045733
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008557
EFTA_00 156342
EFTA01288705
Income and Expense Summary (continued) Parent Period Year•to•Date
Taxable Non Taxable Taxable Non Taxable
Interest Income
Bond Interest 24.275 63 000 173,875.19 000
FDIC Insured Bank Deposits 703.55 0 00 1,738.06 0.00
Other Interest 000 0.00 40,625.01 000
Total Dividends, Interest, Income and Expenses $108,611.88 90.00 $480,301.18 $0.00
Distributions
Alernabve Investments 0.00 0.00 0.00 284,209.56
Other Distributions 0.00 61.902.47 0.00 214,227.57
Total Distributions $0.00 $64,302.47 $0.00 $495,437.13
Portfolio Holdings
U.S. DOLLARS
Account Activity °gulag Codng Accrued Income 36-Day Cermet
Opiates Date Cluaetity Number Ending Balance Mace Income This Year TS' Yield
Cash, Money Funds, and Bank Deposits
Cad Ulna 0.00 12,235.04
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
03101114 32.373.328.830 03131114 32.642.234.04 32.373.328.83 398.15 1.735 06
Total FDIC Insured Bank Deposits $32,642,234.04 $32,373,328.83 $398.15 $1,736.06
Total Cash, Money Funds, and Bank Deposits $32,642,234.04 332,415,563.87 $300.15 $1,736.06
Adjusted Unmanned Accrued Estimated Estimated
Date Acquired Wordy Nett Cosi Cost Basis Market Price MarkelValve Gait/ Loss Interest Annual Income Yield
Fixed Income (In Nalarify Date Sequence)
gAsset Backed Securities
GLOBAL M TG SECURNIZATION LTD) Security Identifier: 378961AV8
GLOBAL M TG SCTZN ISI1414378961AV83
5.250% 04/25/32 WE DID 04/28105 Moody Rating CAM S
8 P Rating B-
Factor: 0.35132244 Effective Date:03103114
Current Face Value: 2,898,410.130
10116113'.3M 8.250.000.000 89 2470 2.586.744.06 94.1660 2,729,316.68 142.572 82 2.53511
Original Coal Basis: $2.705.004.09
Paged of 24
Account Number Clo paperiess (3k)R abmftweeflont COmmerpOwm0O0weWnoWisamProomwdeolineWO
8010/I3OCSF30022 SevenYearsInARow
SOUTHERN DALOARRATEDCOMPAUNICA110.6
F ID AEISITIAL eXCCLIANCIE
SDNY_GM_00045734
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008558
EFrA_00156343
EFTA01288706
Oeuiv.v gam Pon. Wealth Manarrat
Vinett. Cowan Gote.p
Deoutm Sewne•
lays betM.
P.O. Bag 1776. SAMOA MD 21200 Shriek Anew Mk I tcr
Statement Period: 0310112014 - 03/31/2014
Portfolio Holdings
(continued)
U.S. DOLLARS
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Aoteired thiaillty Unit Cost Cost Basa Market Price Market Value Gain/ Lou Interest Annual Income Yield
Fixed Income (continued)
'Asset Backed Semitic's (continued)
COUNTRYWIDE HOME LOANS Security Identifier: 12669 DYSI
SEA 03.1 Cl 81 4.090% 03125/33 B/E
DID 01130/03
Factor. 0.25405172 Effective Date:03103/14
Current Face Value: 1,143,232.740
12113113'.1.12 4,500,000.000 93 3760 1,067,510.04 86.5140 989.056 37 .78.453 67 3 865 62
Original Cod Basis: 51,111,573.07
WASHINGTON MUT NIG SECS CORP 2004•RA2 Security Identlfler: 138336320
TG PASSTHRU CTF CL C.8.1 VAR PATE
6.973% 07125/33 WE DID 06/01/04 S 8 P Rating D
Factor: 0.64118319 Effective Date:03I03/14
Current Face Value: 827,126.315
12[13/13 1,290,000.000 76.5190 632,905.56 86.2850 713,685 94 80.780 36 4,806.60
Original Coal Basis: $638,906.71
IN PAC CM B TR 2005.2 ASSET BKO BD CL Security Identifier: 45254NNC7
1-M-2 0.889% 04125135 WE
DID 03/03105 Moody Rating CA S P Rating CC
Factor: 0.14611096 Effective Date:03125/14
Current Face Value: 1,461,109.600
12/13/13 %IA 1.500.554.000 67 9900 149.066.02 70.5810 154,74700 5.680.98 21.66
Original Coal Basis: 5153,090.22
12113113'.3.12 8,499,446.000 67 9900 844.340.64 70.5810 876,518 77 32,178 13 122.71
Original Coal Basis: $867,134.46
Total Noncevered 10,000,000.000 113 408 88 1,031,285.77 37,881.11 144.37
Total 10,000,000.000 $113,406.68 $1,031,266.77 $37,859.11 $144.37 $0.00
Total Asset Badted Seduldes $6,280,566.32 $6,463,324.96 $182,75804 $11,38300 $0.00
24,040,000.000
Total Current Face Value : 6,321,878.785
Page S of 24
8010// 'Oar 30 022 Account Number: Go paperiess Itsteel I Ne " e . l le la n t A Raw COnagOnueli Oniodown.“.••••••••••••••••••••••••
SOUTHERN FIDE• NTIAL nDAaLLINI *IIN R C A 1 T ED COMMUNOCATONS
SDNY_GM_00045735
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0008559
EFTA_00 156344
EFTA01288707
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Cate Acquired Quantity Usk Cod Cost Basis Market Price Markel Valve Gale: Lou Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds
SG STRUCTURED PRODS INC Security Identifier: 78.123EHS6
COMMODITY LKD MKT PLUS PROTECTED NOTES
0.000% 08/05/11 WE DM 07/30/13
07125113 '.12,13 2.000.000100 100 0000 2,000,000.00 105.7800 2,115,600.00 115,800.00 000
Original Cost Ban $2,000,000.00
MC USA INC MEDIUM TERM NTS Security Identifier: 40132XFP1
BUFFERED NOTES LKD TO EURO STO/S 50
0.000% 0812911181E DM 05130113
05124113 %Mrs 2.000.000.000 100 0000 2.000.00010 109.3800 2.187.600.00 187.600 00 0.00
Original Cost Basis: $2,000,000.00
PM ORGAN CHASES CO MEDIUM TERM NTS Security Identifier: 11121INVE4
CAPPED CONTINGENT BUFFERED EQUITY NTS
0.000% 10/18/11 DIE DTD 09127113
12105113 '.1.12 1,000,000.000 100.0000 1,000,000.00 101.7500 1,047,500 00 17,500 00 0.00
Onginal Cost Basis: 51.000.000.00
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
NOTES SENIOR ISINSXS916C516525
5.000% 10128115 REG DTD 10/28109 S 8 P Rating
12/04113 *.1.12 2,500,000.000 91.1990 2,287,167.11 86.0000 2,150,000.00 -137167.11 52,777.78 125,000.00 5.81%
Original Cost Basis: $2.250,000.00
HEADWATERS INC GTO SR NT Security Identifier: 42210PA05
7.625% 04101119 DIE DM 03111111
CALLABLE 0/101115 0 103 813 Moody Rating B2 58 P
Rating
10/22/12 %It" 1,000,000.000 102 1820 1,024,819.69 107.7500 1,077,500 00 52,680.31 38,125.00 76,250.00 7.07%
Original Cost Ban $1,035,000.00
EARTHUNK INC GM SR NT FULLY EXCHANGED Security Identifier: 270321ACII
CUSP FROM 27032 IA88 8.875% 05115119 DIE
DID 05117/11 CALLABLE 05/15115 58 P Rating CCC+
10122112 '.12,13 400,000.000 102.5310 410,135.18 1002500 101,000.00 1,135.48 13,411 11 35,500.00 8.85%
Original Coss Basic $114,000.00
10123112 '.12.13 600,000.000 102.3550 614,130.32 1002500 601,500.00 -12,630.32 20,116 67 53,250.00 8.85%
Original Coss Basis: $619,500.00
Total Nonoovered 1,000,000.000 1 024 205.10 1,002,600.00 41,71610 33,621.76 51,750.00
Total 1,000,000.000 $1,024,215.10 $1,002,600.00 .$11,765.10 $33,527.71 91,750.00
Page 6 of 24
8010/138CSF30022 Account Number Go paperiess it R Se a v te e d n I Y . e .. a ti r e s n In t A Raw COnswinenuenOweninoti.4.••••••••••dosInnian
SOUTHERN DALIN* RATED COMMUNICATIONS
F I DAENITIAL naLaNc`
SDNY_GM_00045736
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0008560
EFTA_00 156345
EFTA01288708
Ogvitre Pam on.. Wolin Univ.-wan
Mmotts C were C•cco
De.ncht Bar e(v-ri
Yin bet Office
P.O. Bag 1776. SAMOA MOV203 11)Prit Annw.)011titcr
tin SA Pet la VA
Statement Period: 03/01/2014 - 03131/2010
Portfolio Holdings
(continued)
U.S. DOLLARS
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Dale Acuired Quantity Unit Cost Cost Basis Market Price Market Value Gain/ Lou Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
SERVICES ASTER CO SR NT - CUSP FULLY Security Identifier: 81760NAN9
EXCHANGED FROM OLD CUSIP 81760kAL3
8.000% 02115120 WE DID 02113112 Moody Rating CAA1 S
P Rating CCU'
01121113 *AM 1,500,000.000 105.0770 1376,161.99 1083000 1,627,500.00 51,338.01 15,333.31 120,000.00 7.37%
Original Cost Buis: $1,595,625.00
02125113 'no 1,000,000.000 1051450 1,056,051.13 108.5000 1,085,000.00 28,515.87 10,222.22 80.000 00 1.31%
Original Cosl Basic 51,070,000.00
Total Nononered 2,600,000.000 2,632,816.12 2,712,500.00 79,883.81 26155.58 200,000.00
Total 2,500,000.000 $2,832,816.12 12,712,500.00 $79,883.88 $26,555.58 $200,000.00
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: GIS15PP11
TERM NOTES 'SIN* X93717735822 Pnce Estimated as of: 03128/14
9.875% 12/16/21 REG DTD 12/16/11
Moody Rating Hal SI P Raling BBB
12104113 1%3.12 1,500,000.000 108 2680 1,824,017.33 119.0000 1,785,000 00 161982 67 12,79137 118,125.00 8.29%
Original Cost Basic $1,627,500.00
SOUTHERN CALIF EDISON CO Security Identifier: 842400FU2
PREF SERE 6.250% 02101122 WE
DID 01117/12 CALLABLE 02101122 Moody Haling BAA1 S
P Rating BBB-
01130112 'Pt" 3,000,000.000 99.7930 2,993,803.11 106.5000 3,195,000 00 201,196 89 31,250 00 187,500 00 5.86%
Original Cosl Basic $2,992.564.97
BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 08739FHKO
ISA LaS06730FHK03 7.750% 0/110123 WE
DTD 01110113 CALLABLE 04110/18 S8 P Rating B84
04103113 '.12.13 300,000.000 100 0000 300.000 00 110 2500 330.750 00 30.750 00 11.043 75 21250.00 7.02%
Original Cost Basis S300.000 00
Page7 of 24
8010/138CSF30022 Account Number F DGropN1IwTrIe/sAs L Rsaaiwsd- ty*ece—ihrlant A Pe.. CaletapowNaeliftres".1.1.4.•••••r•••••••••••ma.
SOUTHERN it: at* ItAirDCOMMUNICATIONS
SDNY_GM_00045737
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-00O8561
EFEk_00156346
EFTA01288709
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
CV.? Acq. red OuastIty Usk Cod Cost Basis Market Price Markel Value Gals/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
RN ORGAN CHASE & CO DEP SHSREPSTG Security Identifier: 4662514H41
1110TH FFD SER I FIXED TO FLTG RI BO
7.900% 04129149 EUE DID 0/123108 Moody Rating BM S
P Rating BBB
06115111 '.3.12 2100100.000 1071000 2,887,500.00 113.0000 2,825,000.00 137,500 00 82,291.67 197,500.00 6.99%
Original Cost Basic 52.66110100
06115111 '.3.12 2.500.000.000 107 0000 2.675.000.00 113.0000 2.825.000.00 150.000 00 82.291 66 197100.00 6.99%
Original Cod Basis: S2,675100.00
Total Noncovered 6,000,000.000 5,362,500.00 6,650,000.00 287,500.00 164,683.33 386,000.00
Total 5,000,000.000 55,382,600.00 $5,850,000.00 1287,500.00 $164,583.33 5395,000.00
BANK AM ER CORP PERP NON CON UUiTIVE DEP Security Identifier: 060506028
SFS FIXED TO FLOAT 8.125% 04/30/58 O/E
DID 04130/08 CALLABLE 05/15118 Moody Rating BA3 SS P
Rating BB.
01110/11 %UT 2,000,000.000 102.7500 2.055.000.00 114.2500 2,285,000.00 230,000 00 61,38889 162,500.00 7.11%
Original Cosl Basic $2.055.000.00
GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 3686225116
A 7.125% 06412/62 EUE
DID 06112/12 CALLABLE 06/15122 Moody Riling SAM S
P Rating AA-
06127/12 '.12.13 2,000,000.000 105.5300 2,110,605.12 114.0000 2,280,000 00 169,394.88 41,958.33 142,500.00 8.25%
Original Cod Buda $2.122,616.67
LBG CAPITAL NO 1 PLC 144A Security Identifier: 654330868
IMO X50473106283 8.000% 09115188 REG
DID 12/15/09 FOREIGN SECUIITY St P Rating BB
12104/13'.3.12 3,000,000.000 108 2500 3,247,500.00 1073500 3,220,500.00 -27,000.00 70,666 67 240,000.00 7.45%
Original Cod Ba 53.247.501.00
Total Corporate Bonds 129,682,594.28 $31,039,450.00 $1,376,855.72 $573,668.76 11,788,875.00
28,800,000.000
Total Fixed Income $34,943,160.60 536,502,774.98 $1,559,814.38 $585,052.36 $1,788,875.00
52,840,000.000
Unrealized Estimated Estimated
Dale &ignited Quantity Unit Cod Cost Baps Market Price Markel Value Gaial Loss Anneal Income Yield
Equities
Common Stocks
APOLLO GLOBAL MGM T LLC CL A SHS Security Identifier: APO
Omdend Option Cask CLSIP. 037612306
Page 8 of 24
BOIC011OCSF30022 Account Number Go paperless Rain' . Y .. e e a ll t e s n la .. A Re... OM...IF•n.IIO•'...bMrUs.••••••••••••••••WW.P
SOUTHERN F ID r NITTA12 DA LOA* RA'T ED COMMUNICATIONS
SDNY_GM_00045738
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008562
EFTA_00 156347
EFTA01288710
Girvim,,R•nt
My,ets to...tx<G•ct,
De.c.sch• Bar Se<v., "
P.O. ea min EiBlemonMDV200 .11,P• m nt t A . b n r n ie « C . d 1 M 0 1 : c. t Icce
»ny writ nr laVA
Statement Period: 03101/2014 - 03/31/2010
Portfolio Holdings
(continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cod Basis Market Price Markel Value Gainl Loss Annual Income Yield
Equities (continued)
Common Stooks (continued)
APOLLO GLOBAL MGM T LLC CL A SH5 (continued)
03129111 '33 283,157.000 19 0000 4,999,983.00 31.8000 8,368,392.80 3.368.409.60 1,047,364.86 12.51%
APPLE INC CON Security Identifier: AAPL
Dividend Option: Cash CUSP 037833100
10128113 2.000.000 529 0600 1.058.120.50 5361400 1,073,480.00 15,359.50 24,100.00 2.27%
ARIAD PHARMACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash CUSIP 04033A100
02114112 '.13 7.535.000 15 2090 114.597.40 8 0600 60.732.10 43.855.30
01124113 '.13 9,000.000 19 6000 178,400.00 8.0600 72,540.00 .103,86000
Total Noncovered 9,535.000 290,997.40 133,272.10 -157,725.30
Total 16,535.000 2290,997.40 2133,272.10 4157/25.30 $0.00
ASCENA RETAIL GROUP INC CON Security Identifier: ASNA
Dividend Option: Cash CUSP. 04351G101
01116101 '.3 70,500.000 21 2770 1600,000.00 172800 1,218,240.00 .281.760 00
BIOGEN IDEC INC CON Security Identifier: Bile
Dividend Option: Cash CU SIP: 090622103
02/14112 2.095.000 119 5490 250,454.95 305.8700 640.797.65 390,342.70
FACEBOON INC CL A Security Identifier: FB
Dividend Option: Cash CU SP: 3030311102
05117/12 '.13 17.500.000 38 0000 665,000.00 60.2400 1,054200.00 389.200 00
FOUNDATION NEDICINEINCCOM Security Identifier: FM I
Dividend Option: Cash CUSP 350465100
01113114 25,000.000 27.5070 887,663.50 32 3700 809,250 00 121.586 50
GENERAL ELECTRIC CO COM Security Identifier: GE
Dividend Option: Cash CUSP: 369604103
04123113'.13 23.000.000 21.5790 496,109.08 25.8900 595.470.00 99.360 92 20,240.00 3.39%
GENERAL It TRS CO COM Security identifier: GM
Dividend Option: Cash cusw. 37045)/100
11118110' 10.988.200 36.4010 399.978.18 34.4200 378.213.85 -21,781.31 13,185.84 3.48%
Page 9 of 24
8010,138C5F 30 022 Aaount Number Go paperless *.... , S R e ab v e e r n f f V v e e e l r f s i r I a n t A Row TI..— In 1 s ~ •• •• We. • C o l• N • f • il • eM ..1 «C 4 I W NIT h IM il IN li I• a •• r •
SOUTHERN DAWR RATEDCOMMUNICATIONS
KIFIDffillAl_ IXCILUNCI
SDNY_GM_00045739
CONFIDENTIAL — PURSUANT TO FED. R CRII\A. P. 6(e) DB-SDNY-0008563
EFTA_0() I 5634S
EFTA01288711
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Acquired Quantity UDR Coel Cod Bads Nettet Price Markel Value Gaiel Ides Mimi Income Yield
Equities (continued)
Common Stods (continued)
GENERAL 11TRII CO CON (continued)
12109/10 ' 88,536.800 36.8180 3,185,98922 34.4200 2,978,596.65 -207,372.57 103,844.18 3.48%
Total Nonoovered 97,525.000 3 515 947.38 3,356,310.50 -229,131.18 111,030.00
Total 17,526.000 13,616,147.36 13,356,110.50 .1229,131.11 1117,030.00
GILEAD SCIENCES INC Security Identifies: GILD
Dividend Option: Cash CUSP. 375558103
02/05/14 5.000.000 79 2810 396,407.00 70.8600 354,300.00 -42,107.00
03107114 3.100.000 79 8120 246.797.00 70.8800 219.666.00 -27,131.00
Total Covered 3,180.000 843 204 00 573,911.00 -60,238.00
Total 8,180.000 6843,204.00 $573,918.00 -$19,236.18 $0.00
P M ORGAN CHASES CO CON Security Identifier: AN
isoitUS18825H1005 CUSP 4662511100
Dividend Option: Cash
07114105 '.3 21,753 000 488 4840 10,626,002.00 60.7100 1.320.624 63 -9.305,377.37 34.804.80 2.63%
SAMOAN° BIOSCIENCES INC CON Security Identifier: SGM 0
Dividend Option: Cash CUSP 800677106
05128113 '.13 50.000 000 8.4440 422.211,00 18.0800 904.000 00 481.786.00
SANTANDER CONSUM ER USA HLDGS INC COM Security Identifier: SC
Dividend Option: Cash CUSP 802831/101
01123114 1,000.000 24 0000 24.000.00 24.0800 24.080.00 80.00
TRINET GROUP INC COM Security Identifier: TN ET
Dividend Option: Cash CUSP 896288101
03127114 1.200.000 18 0000 19.200.00 21.3100 25.572 00 6.372.00
TWITTER INC CON Security Identifier: TWTR
Dividend Option: Cash CUSP. 901841102
11107113 1,500.000 26 0000 39,000.00 46.6700 70,005.00 31,005.00
Total Common Stods 625,307,195.61 $20,181,180.41 -15,139,735.33 11,243,139.88
Preferred Stocks (Listed by expiration date)
ALLY FINL INC PERP PFD FIXEDIFLTG RATE Security Identifier ALLY PRB
SER A CALLABLE CUSP 02005N308
Dividend Option: Cash
02703112'.13 46,600.000 19.3820 903,217.51 27.3500 1,274,510.01 371,292.50 99,025.00 7.76%
02/09112 '.13 80.000 000 20.1250 1,610,000.00 27.3500 2,187,999.99 577,999.99 170.000.00 7.76%
Total Noncovered 121,600.000 2,513,217.51 3,482,510.00 949,292.49 289,025.00
Total 126,800.890 $2,613,217.51 13,482,510.00 $949,292.49 $219,026.00
Page 10 of 24
8010',138C5F30022 Account Number GGo 4:* ". 5 ti . m 1, e 0• d 1 I Y eats In a Rem C~~41r. ~by •—• rms. ran,
SOUTHERN DA I. WI RATED COMMUNICATIONS
fi F I DAEN ITTA L
SDNY_GM_00045740
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 0B-SDNY-0008564
EFIA_00156349
EFTA01288712
Opilitre ram Votslin PAanair,tat
Mitoet$e CaPu t,1{t4.0.p
0..itcht
P.O. e4177& Barron MO 21203 .1.n• ISA Oat*
JI,Pant Anne. 101h1loct
tine we\ AT 101M
Statement Period: 03/01/2014 - 03/31/2014
Portfolio Holdings
(continued)
U.S. DOLLARS (confirmed)
Uartallzed Estimated Estimated
Date &kilted Ouaithy Unit Cost Cost Basis Market Nice Market Value Gale/ Loss Annual Income Yield
Equities (continued)
Preferred Stocks (continued)
GM AC CAP TR I GTD TR PFD SECS SFR 2 Stagily Identifier: ALLY PRA
125% FIXED RATE/ FLTG CUSIP 361860208
Dividend Option: Cash
02122/12 80,000.000 23.5350 I 882 773.60 27.3000 2,184,000.00 301,228.40 162,500.00 7.44%
ROYAL BANK SCOTLAND GROUP PLC Security Identifier: RBS PRT
cusw.
7.25% SPON ADR REPSTG SER T FED SHS 780097713
CALLABLE ON OR AFTER 1213112012 Q 25
Dividend Option: Cash
10124112 '.13 40,000 000 23.7900 951,600.00 24.9200 996.799.99 45,199.99 72,500.00 7.27%
01107113 40.000.000 24.4400 977,600.00 24.9200 996,799.99 19,199.99 72,500.00 7.27%
01114113'.13 40,000.000 24.8800 995,200.00 24.9200 996.800.02 1,600.02 72,500.00 1.27%
Total Noncovered 120,000.000 2 924 400.00 2,990,400.00 86,000.00 217,600.00
Total 120,000.000 $2,924,400.00 12,990,400.00 886,000.00 2217,500.00
Total Preferred Sloth $7,320,391.11 $8,636,910.00 81,318,118.89 $649,025.00
Options
CALL 100 AM ERICAN AIRLS GROUP INC COM Option Identifier: 99OADTZ.0
60,01-17-15ed 20 000 OPTION ROOT: AAL Underlying Secunty Identifier, AAL
1,000.00 of these conlracts are in your margin account Underlying Security Price: $36.60
12111113' 1,000.000 8.0330 803.314.50 17.0000 1.700 000 00 896.885.50
PUT 100 AM ERICAN AIRLS GROUP INC COM Option IdentIllee: 9903ADTZ00
DP 01-17-15Q 20 000 OPTION ROOT= ML Underlying Security Identifier: ML
-1,000.00 of these contracts are a shod position Underlying Security Price: 536.60
12111113' .1.000.000 1.9770 -197.70200 0 3500 -35.000.00 162.702 00
Total Options 2605,612.50 $1,665,000.00 $1,059,387.50 30,00
Total Equities 233,233,899.42 $30,470,070.48 -22,163,028.94 21,892,864.66
Page 1144 24
Account Number Go paperless ejt-,, RAOn.d I ...float COrmirog Onueli•webm • mower eammos •••••••aq
8010, I 30CSF30022 Yeat. la A Rew
SOUTHERN DAVILA* ItAT ID COMMUNSCATIONS
JFIDrtSi'i1A 1
SDNY_GM_00045741
CONFIDENTIAL — PURSUANT TO FED. R CRIM, P. 6(e) OS-SDNY-0008565
EFrA_00156350
EFTA01288713
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Acquired Quality Unit Cost Cod Bads Market Price Markel Value Geld loss Annual Income Yield
Exchange-Traded Products
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DEJ
Dividend Option: Cash; Capital Gains Option: Cash CUSP. 97717W851
60,000 00 of these shares are in your margin account
12111113 60.000.000 49.4350 2.966.098.50 17.3100 2,810,100.00 •125.698.50 37,061.10 1.30%
Total Exchange-Traded Products 61,966,098.50 $2,840,400.00 .1126,696.50 537,061.40
Oahelized Accrued Estimated
Cost Bash Market Value Gain; Loss Intered Annual Income
Total U.S. DOLLARS 5103,558,722.39 1102,228,809.31 -61,329,911.08 6565,052.16 63,710,537.12
EURO
Openlag Dosing Acaued 30-Day
Description Quantity Balance Balance Currency Income Yield
Cash, Money Funds, and Bank Deposits
Global Cash Balance 291,848.87 291,846.67 EUR
402,193.90 USD
Total Cash, Money Funds, and Bank Deposits 291,846.87 291,816.67 EUR 0.00
402,193 90 US) 0.00
Accrued
Market Value Currency Interest
Total EURO 191,846.67 EUR 0.00
402.193 90 LSD 000
Unrealized Accrued Estimated
Cost Basis Market Value Gainf Loss Interest Annual Income
Total Portfolio Holdings • U.S. 6103,556,722.39 8102,631,003.21 -$1,329,913.08 $585,052.36 63,720,537.12
DOLLARS
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 CIRCl(incomciating amendments enacted by
P.L.110-313, 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
011 or after their 'appkable date(s)• at which they are subject to the cost basis reporting rules and the adjusted basis MI be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Page 12 of 24
P*10,I3OCSF30022 Account Number: Go powerless * R St a e le e d n Y x e te a l s le I n n t A Rea COnaleiMeueli•Weallyilla.••••••••••••••••1118.1
SOUTHERN GAWK
F I DAENITIAL
SDNY_GM_00046742
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008566
EFTA_00156351
EFTA01288714
Drafrie Beta Prmair Wean lAymgentot
Mr Mb Cone 6.0..P
Derlsclv BH Stao7w7 W.
Noe let
PC 17 &II mm MD 2120 HS PH AM*a. nth lbw
Now *et BY 101W
Statement Period: 0310112014 • 03/3112014
Portfolio Holdings
(continued)
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock F a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012
• Cther securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization. accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attrbutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfoho system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those invoking 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 film and Pershing makes no representation as to the accuracy of this information.
6 The Current Face value represents the outstanding principal balance of the underlying 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 transferring agent and Pershing makes no representation as to the accuracy of this information.
Holdings Summary by Currency
Etcha age-Traded
Currency Cask Fixed fume Equities Funds Total by Cerienty
U.S. DOLLARS 32,416,663 36,602,1/4 30,470,010 2,840400 102 228,809 L50
EURO 291,846 0 0 0 291.846 EUR
Total UN Equivalent 32,817,757 35,502,771 30,170,070 2,810,100 102,831,003 IISO
% of Allocation 31.98% 35.58% 29.89% 2.77% 100.00%
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Lossl
Date Date Tranuction Description Quantity Cost Bads Proceeds Disallowance
Short Term
03119114 03/18114 SELL PAYLOCITY11LOG COPP 1.000.000 17,000.00 28.777 06 11.777.06
Rail In First Out Security Identifier Kr(
03121/14 12/13113' PPP IMPAC CMS TR 2005.2 BD CL 144-2 0.889% 04125135 B 1E 1,500,554.000 161.00 236.79 75.79
DTD 03/03105
Security identifier 45254NNC7
Original Cost Basis:161.00
Page 13 of 24
A5N,71
P0100130CSF30022 Account Number Go p sperless Rated !waking' Omese *raga Ono* use. •••••• eons ••••••••••
SOUTHERN le‘talr COMMUNOCA7100.15
NFI
SDNY_GM_00045743
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008567
EFTA_00 156352
EFTA01288715
Schedule of Realized Gains and Losses Current Period
(continued)
DI:politico Acquisition Disposition Realized Gain/ Loss!
Date Date Transaction Description Quantity Cost Basis Proceeds Disallowance
Short Term (conlinued)
03/21114 12/13113' EPP IM PAC CM B TR 2005.2 BD CL 1-M-2 0.889% 04/25/35 B 1E 8,491446.000 911.91 1,341.21 429.33
DTD 03103105
Security Identifier: 45254ANC7
Original Cost Basis: 911.91
03121114 12/13(13' FPP WASF Ili GTOA. MUT MTG S 004 12A2 M TG PASSTI•RU CIF CL 1,290,000.000 2.006.81 2.622.64 615.83
C. B.1 VAR RATE 6.973% 07125133
Security Idenbfier. 939336S20
Original Cost Basis 2.00611
03125114 12113113' RPP COUNTRYWIDERIME LOA 1 CL 01 4.090% 03125133 WED 4300.000.000 19345.84 20718.11 1.372 27
TD 01130103
Security 'dealer. 12669DYS1
Original Cost Basis: 19.345.84
03125/14 I0/16113' FFP GLOBAL M TG SECIJR1TIZ GLOBAL MTG SCTZN 'SINS US37896 8,250.000.000 31,315.66 41,811.66 4,496.00
1AV83 5.250% 04/25/32 WE DM
Security Identifier: 378961AV8
Original Cost Basis: 37.315.66
03126/14 03/26114 SELL KING DIGITAL EN TM T P ISINelE0OBK.130058 1100.000 38.250130 33,236.25 .5,01315
NW In First Out Security Identifier. KING
03/26114 03/28114 SELL li ORD ANGLIA EDUCATIO ISIN8 KYG6583A1022 500.000 8.00000 8.998.79 998.79
First In First Out Security Identifier: AORD
03127114' 03/21114 SELL TRINET GROUP INC COM 1,200.000 19.200.00 22.399.53 3.199.53
First In First Out Security Identifier: TN ET
03128114' 03/27114 SELL CBSOLTDOOR ARDIS IA 1,000.000 28.000.00 29.703.34 1.703.34
First In First Out Security Identifier, CBSO
Total Short Term 4110,191.22 $189,84141 $19,654.19
Total Short Term and Long Term 4110,181.22 4189,845.41 419,644.19
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.L.110-343, 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. Al 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 they '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 1099.8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as folows:
• 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, 2014. or later, as determined by the Secretary of the Treasury.
Page 14 of 24
) CAO.
Account Number Go paperless lial•cl I wrong.. Row Camay name% •••••••• ac. b %waft embed".....,.
SOUTHERN K
"
IFIDEcTIAL IDX.C ,.IALURN RGATI ED COMMUNICATIONS
SDNY_GM_00045744
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6 e DB-SDNY-0008568
EFTA_00 156353
EFTA01288716
Dryly R•nt PAanair,tat
10.141s( Ingo 4.0.p
De.,,o Bar 141,"4.1
Vint brit Mc*
Marv% Ante. tutu Sze
Nevi Rn hY 1011.4
Statement Period: 0310112014 • 03/3112014
Schedule of Realized Gains and Losses Current Period (continued)
This Schedule rray rot reflect ad cost basis acjustroents 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 109943 or online displays you may have evadable 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 consul 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 all liability that may arise with respect to your use and reliance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under 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.
These shares are unsettled and have been recently disposed. You will also see these shares on the Portfolio Holdings section until this transaction has been settled.
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 ki 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, Fist Out (FIFO). Your accounts selected tax lot method wil 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
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 products disclosure document or contact your advisor for additional information.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporatiou(SIPC)
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https://iinwtdws-invesunents.corn/EN/productshnoney-market-funds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
In accordance with the Securities Exchange Act Rule 606 (Disclosure of Order Routing Information), upon your request, the following information is available to you:
i) the identity of the venue to which your orders were routed for execution in the six months prior to the request,
i) whether the orders were directed orders or non-directed orders,
ii) the time of the transactions, if any that resulted from such orders
We will notify you on an annual basis of the availability of the above information upon request.
Page 15 of 24
.91,10/130C.SF30022 Account Number GO less 43, 6 ) Rated f y e e N a M •e n a s A Row Coma*.., Isms. use, •smor ass ormolu,
SOUTHERN F I DAENTIAL OALSAR ItAT ED COMMUNOCAT10.11
SDNY_GM_00045745
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008569
EFTA_00 156354
EFTA01288717
Activity Sum m ary (All amounts shown are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Securities Bought 0.00 0.00 Securities Bought -329,247.00 -7.414.108.11
Securities Sold 71,012.10 10.489.661 36 Securities Sold 0 00 0.00
Total Securities $71,012.10 $10,489,561.38 Total Securities -$329,247.00 -17,414,108.11
Dividends and Interest 9108.611.6E 1514,051.18 Dividends and Interest $0.00 -193,750.00
Distributions $64,902.47 $498,437.13 Distributions $0.00 $0.00
Fees $0.00 $0.00 Fees $0.00 .118.00
Cash Cash
Withdrawals 0.00 0.00 Withdrawals .257.00000 .556.99500
Deposits 115.050.58 10,512,149.65 Deposits 0 00 0.00
Total Cash $115,050.58 $10,512,149.55 Total Cash -$257,000.00 -$556,995.00
FDIC Insured Bank Deposits $774,000.00 $5,007,868.88 FDIC Insured Bank Deposits -$505,094.79 -$19,199,523.38
Total Credits $1,133,576.83 127,082,166.18 Total Debits -$1,091,341.79 -$27,284,394.47
Transactions by Type of Activity
Process/ Trade!
Settlement Transaction
Date Date Activity Type Duo Price Accrued Merest Moult Olsten
thla
Securities Bought and Sold
03112114 03107/14 PUBCFASED GILEAD SCIENCES INC UNSOL AVERAGE UNIT PRICE 3,100.000 79.5500 -246.79700 LSD
GILD TRANSACTION YOUR BROKER ACTED AS AGENT
03124114 03118/14 PURCHASED PAYLOOTY HLDG CORP COM PROSPECTUS UNDER 1.000.000 17.0000 -17.000.00 USO
KIT SEPARATE COVER
03124114 03119/14 SOLD PAYLOCITY BLDG CORP COM UNSOL AVERAGE UNIT PRICE -1.000.000 28.8437 28.77716 USO
Fen' TRANSACTION YOUR BROKER ACTED AS AGENT
03131114 03126114 PURCHASED KING DIGITAL EN TM T PLC ORD ShS 'SINS lE0OBK.000 58 1.700.000 22.5000 -38.250.00 USO
KING PROSPECTUS UNDER SEPARATE COVER
03131/14 03126114 SOLD KING DIGITAL EN TM I PLC ORO SFS 'SINN lE0OBK.000 58 -1,700.000 19.6147 33.231.25 USO
KING UNSOL AVERAGE UNIT PRICE TRANSACTION YOUR BROKER
ACTED AS AGENT
03131114 03126114 PURCHASED NORD ANGLIA EDUCATION INC SF S ISIASKYG6583A1022 500.000 16.0000 -8.000.00 LSD
NORD PROSPECTUS UNDER SEPARATE COVER
Page 16 of 24
Account Number. GEo pNapeTrlesIsA L mtvalent eye" ......tarnane tit. • ••••••••••••••••••••••
67e)LTH ERN Cet5. MAWR RATED COMMUNICNTIONS
N FI D A EXCILLINC
SDNY_GM_00045746
CONFIDENTIAL — PURSUANT TO FED, R CRIM. DB-SDNY-0008570
EFIA_00156355
EFTA01288718
DraSC•filint P., .,,n "mall •MIAlle,Ild
Marais Comm, Goot,p
Destulv Sat Sew Con 4%.
New *A Cato
SO Pia NS*. IM, I leer
Wm** NY 101W
Statement Period: 0310112014 • 03/3112014
Transactions by Type of Activity (continued)
Process/ Trade/
Settlement Transaction
Date Date Actisi Desai• ion than Price Acased Interest Amount Curren
Securities Bought and Sold (continued)
03131/14 03126/14 SOLO NORD ANGLIA EDUCATION INC SFS ISINAKYG6583A1022 500000 18.1100 8.998 79 LSO
NORD L 90 L AVERAGE UNIT PRICE TRANSACTION YOUR BROKER
ACTED AS AGEN T
03131114 03127114 PURCHASED TMNET GROLP INC COM FROSPECTLSIA DER SEPARATE 1.200 000 16.0000 -19.20000 LSO
TN ET COVER
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 -250,234.90
Dividendsand Interest
03114114 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 70355 LSD
DEPOSITS INTEREST
RECEIVED
458997996
03125114 BOND INTEREST RECEIVED 4500000 COUNTRYWIDE HOME LOANS SER 03.1 CL B1 5,577.26 LSO
12669DYS1 4.090% 03125133 RADIO 01130103 RD 02128 PD 03/25/14
03125114 FOREIGN BOND INTEREST 8250000 GLOBAL MTG SECUTODZATION LTO/ GLOBAL MTG 12,863.47 USD
378961AV8 SCTZN ISINOUS378961AV83 6.250% 04125/32 WE OTD
04128105 RD 02/28 PD 03125/14
03/25/14 BOND INTEREST RECEIVED 10000000 IMPAC CM B TR 2005.2 ASSET BKD BD CL 1-M-2 1,013.07 USD
45254NNC7 0.889% 04125135 B/E DTD 03103105 RD 03124 PD 03/25/14
03/25/14 BOND INTEREST RECEIVED 1290000 WASHINGTON MUT MTG SECS CORP 2004•RA2 4,821.83 USD
939336520 TG PASSTh RU CTF Cl. C•B-1 VAR RATE 6.973% 07/25/33
WE DTO 06101104 RD 02128 PD 03125/14
03128114 CASH DIVIDEND RECEIVED 97525 ShRS GENERAL MTRS CO COM RD 03/18 PD 03128/14 29,257.50 USD
GM
03/31/14 FOREIGN SECURITY DIVIDEND 120000 SIRS ROYAL BANK SCOTLAND GROUP PLC 725% 54,375.00 USD
RECEIVED SPON AOR REPSTG SERTFID SHS CALLABLE ON OR AFTER
RBS PRT 12131/2012 0 25 RD 03114 PD 03131114
Total Dividends and Interest - UNITED STATES DOLLAR 0.00 108,611.68
Page 17 of 24
8010/138C.SF30022 Account Number: GO imperless Rated r *cet•io enat CoNspOreue. Nosey -C. • soar rasa aasaMlp
SOUTHERN DAWN* NA TED COMMUNICATIONS
F ID r NITTA L EXCEISINCI
SDNY_GM_00045747
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008571
EFIA_00156356
EFTA01288719
Transactions by Type of Activity (continued)
Process/ Trade/
Settlement Transaction
Date Date Adivit Type Desai ion Qua Price Accrued littered Mont Curren
Distributions
03125111 RETURN OF PRINCIPAL 1500000 COUNTRYWIDE HOME LOANS SER 03-1 CL 81 20.718.12 6S0
RECEIVED 4.090% 03125133 B/E DID 01130103 RD 02128 PD 03125/14
12669DYS1
03125114 RETURN OF PRINCIPAL 8250000 GLOBAL MTG SECURITIZATION LTD/ GLOBAL M TG 41.811.68 LSD
RECEIVED SCTZN ISINIIUS378961AV83 5.250% 04125132 B/E DTD
378961AV8 04128/05 RD 02128 PD 03125/14
03/25/11 RETURN OF PRINCIPAL 1290000 WASHINGTON MLTMTG SECS CORP 2004•RA2 794.62 LSD
RECEIVED M TG PASSTHRt, CTF CL C-B-1 VAR RATE 6.973% 07125/33
939336520 WE DTD 06101/04 RD 02128 PD 03125/14
03/26/14 RETURN OF PRINCIPAL 10000000 IMPAC CM B TR 2005.2 ASSET BKD BD CL 1-M-2 1,578 05 LSD
RECEIVED 0 889% 04125135 B/E OTO 03103105 RD 03121 PD 03/25/14
45254N KC7
Total Distributions • UNITED STATES DOLLAR 0.00 61,902.47
Other Transactions
03/31/14 REORGANIZATION INSTRUCTION OTT 3.000,000 LBG CAPITAL NO 1 PLC 144A 0.00 LSD
G54338868 ISINOXS0473106283 8.000% 09/15/68 REG DTD 12/15109
EXHAAGE OFFER
Total Other Transactions- UNITED STATES DOLLAR 0.00 0.00
Cash Withdrawals and Deposits
03106/11 FEDERAL FL i‘ CIS RECEIVED DELTSCHE BANK TRUST 01951 115.000.00 LSO
LS0999997
03/12/11 FEDERAL FL k CIS RECEIVED .P14 ORGAN CHASE BANK 38988 50.58 LSD
US0999997
03/14/11 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -257.00000 LSD
US0999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 441,949.42
FDIC Insured Bank Deposits
03/07114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM •115.00000 LSD
US0999997
03112/14 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 500,000 00 LSO
WITHDRAWAL
US0999997
03/13114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM •253,253.58 LSD
US0999997
03/14114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 257,000 00 LSO
WITHDRAWAL
US0999997
03/14/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -703.55 LSD
DEPOSITS INTEREST
REINVESTED
458997996
Page 18 of 24
CA
A S c O c U o T u H n E t R N N u mber ONLLCJ. FID G o paperless rScevaent Y,e:w„sW In Ac Rpacw ommun nosy tit. • wer". ••••••doranan
SDNY_GM_00045748
CONFIDENTIAL - PURSUANT TO FED. R CRIN1 P. 6(e) DB-SDNY-0008572
EFEk_00156357
EFTA01288720
°raw< Papa wean stptagenan
Weanksm Calon drapeeKaP
Devisch4 M Setwari +gc
Proven OPIp,
PC. &. MC &pv,ceMD21pp Inn et Ammo. Ha ibp
Statement Period: 0310112114 -0313112014
Transactions by Type of Activity (continued)
Processf Trade!
Settlement Transaction
Date Date Activity Type Desaiption Quantity Price Accrued littered Amount Currency
FDIC insured Bank Deposits (continued)
03124114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 17 000 00 LSO
WITHDRAWAL
U50999997
03125114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM .28,777.06 LSD
USD999997
03126114 FDIC INSURED BMA DEPOSIT INSURED DEPOSITS PROGRAM .87.600.05 USD
USD999997
03127114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -1.578.05 LSD
USD999997
03131114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -18,182.50 USD
USD999997
Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 288,905.21
Total Value of Transactions 0.00 42,235.04 USD
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Security Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment
Dividends
GENERAL ELECTRIC CO COM 02721111 04125114 23,000.000 0.220000 Cash 5,060 00
Interest
BARCLAYS BK PLC CONTINGENT CAP NT 03126114 000714 300.000.000 0.038750 Cash 11.625.00
ISIAO LS06739F1-K03
FEADWATERS INC GTO SR NT 03113114 04101/14 1.000.000 090 0.038125 Cash 38.125.00
7.625% 01/01/19 BIE
,PM ORGAN CHASE 8 CO DEP SHSREPSTG 0313111/ 01/30/14 5,000,000.000 0.039500 Cash 197.500.00
1710Th PFD SER 1
Total Cash Not Yet Received $252,310.00
Page 19 of 24
Account Number noway use. •
Go paperless re" tYttr:A Re" %SOP IP/POW •••••••• ,7
CALM* RATED COMPAUNICAlIONS
SOUTHERN LLC.
Whiv_GM_00045749
F Dt itiNTIA EXCE"N"
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008573
EFTA_00 156355
EFTA01288721
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
Ito 6 months 4,303,20010 12% Percentages of bond market values are
rounded to the nearest whole percentage.
7 to 12 months 1147,500 00 3% -
to 5 years 2.150.000 00 6% n
K_
6 to 10 years 10.103.25100 28% E.1
Over 10 years 18.898,82416 51% 0
Total 36,502,774.96 100%
Bond Quality
Bond Quality Market Value % of Bond Market Value
BM 5,415,000.00 15% Percentages of bond market values are
BAllower 24,688,018.59 68% I I rounded to the nearest whole percentage.
tot Rated 6,339,756.37 17%
Total 36,502,774.96 100%
Trades Not Settled
Settlement Trade Activity Accrued Settlement
Date Date Type Description Quantity Price lidera Amount
r 1,
04101114 03/27/14 Sell TRINET GROUP IAC COM -1.200000 19.1000 0.00 22.399.53
UNSOL AVERAGE Lk IT PRICE
TRANSACTION YO If R BROKER
AGaT
ACTED AS
04102114 03/28/14 Sell CBS OUTDOOR AMERS INC COM -1,000.000 29.1700 0.00 29,703.31
UNSOL AVERAGE UNIT PRICE
TRANSACTION YOUR BROKER
AGaT
ACTED AS
Total Amount of Trades Not Settled 524,102.67
Client Service Information
Your Client Advisor: TDS Contaa Information
TAZIA SMITH Telephone Number:
345 PARK AVENUE 11TH FLOOR
ABY YORK NY 10154
Pap 20 of 24
8010/I3OCSF30022 Account Number Go I) iperless ista.l.e.dn !Kyo.n..e ena\ A Row COMMIVOMION INIMMOMILLie. • ••••• ••••d ••••••,/
SOUTHERN MW* RCAITtDCOMMUNICAllONS
NFIDEN `1AL
SDNY_GM_00045750
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008574
EFTA_00156359
EFTA01288722
DirvItet R•ni Vr/t4/111PAIMIP,Int
M4 4CS toevia p
De.tic 1.01.141,•art
gr. brit Mc*
Jilts?, Annie. )00.31.1
14•-•• 'krI t hY IOVA
Statement Period: 0310112114 -03/3112114
Your Account Inform ation
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Sloths in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Electronic Delivery
You have not selected any account corn m unications for electronic delivery. To register and turn off paper con in unications, log in to your account or contact your Client Advisor for more inform ation.
Important Information 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 dose of the statement period. The market prices have been obtained from
sources which we believe to be rehable. 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 —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
ynwipershing.cornibtisiness_continuily.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 wit
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, may be obtained. In dividend renvestment 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
information Is available 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
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. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate win 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 billed at the rates such agents
use.
Page 21 of 24
8010/138CSF30022 Account Nun ber DfN pap I e T rle I s A s L Rs e . ab idLvas te.ll e.n.t A Row Condo. onmagir•magitiC. • imam apes •••••••.
CO KiFI DAUM* MUD COMMUNOCATIONS
SDNY_GM_00045751
6: U)THERN
CONFIDENTIAL — PURSUANT TO FED. R CRIM. O6-SDNY-0008575
EFT:4_00156360
EFTA01288723
Important Information and Disclosures (continued)
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 & Pools. Standard & Poor's 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 & Poor's makes no express or implied warranties inducing warranties of merchantability or fitness 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 riot
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 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 Pools 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 (i) orders
for the purchase and sale of securities and other property and (itany 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 result 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 am 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 appicable; the rendering of investment advice, if any, to you and n general, for the ongoing relationship that it has with you.
• Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. M 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 account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. II 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: ynnv.pershing.coinfstrength_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; . 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 filed.
• Arbitration awards are generally final and binding; a party's ability 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 MI typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose tine limits fa bringing a claim 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.
Page 22 of 24
Account Number Go paperiess tidir .R.O„bi.rd.f.cfel,loe nat comae onauss sonsinosa. ernenetan
B010/I3OCSF30022 Row
SOUTHERN F I 1:i5NTIAL CALM * RATI D COMMUNICA1100.1
SDNY_GM_00045752
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0006576
EFIA_OO156361
EFTA01288724
Oraisoveana kmaln Wok Paragenen
Weans t Odrie 6,0‘P
DeAsch4 M Smelts W.
lin. von Ont•
PC. B<. 177o B-411 mon: MD 21203 Na tin Annetlkh I ter
Na verk we 10114
Statement Period: 0310112014 • 03/3112014
Important Information and Disclosures (continued)
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 blows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399;
Page 23 et 24
P*10/138CSF30022 t Account Nun Dr Go paper less tzt :t PUPS I ...Wont A Re*" Crow. Orgy sorry's& 'Aar artistes"
SOUTHERN CAd e"K IFI etrct•cAil IitctDCOMMILINICATiONS
OrN ITTA
SDNY_GM_00045753
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008577
EFTA_00 156362
EFTA01288725
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. LIAAGFS. 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 ANDIOR 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 APPLICABLE LAWS AND REGULATIONS FINANCLAJ. 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
GATE. WHICHEVER IS LATER. PERSHINGS OFFICES. A COPY OF I T WILL BE MAILED UPON YOUR WRIT TEN REQUEST OR 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. WVAN.PENSHIN(3 COWBUSINESS_CONTINUITY.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 PERSHING'S 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)I
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 I; YOU DESIRE ADDITIONAL COPIES. SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS
MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT Cf 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 LISTED 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 TO ACCEPT ORDERS.
• AFTER YEAR END. PERSHING IS REQUIRED 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 (NBSO). 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 Ti IE DISTRIBUTION OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHN G ALSO REGULARLY
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY 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 TM ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL. INFORMATION
• WHENEVER YOU ARE INDEBTED TO PERSHING LLC CPERSHING1 FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DSCRETION AT ANY TIME. WITHOUT TENDER.
DEMAND OR NOTICE TO YOU. CLOSE CR 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 REMAINNG DUE PERSHING TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES 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 PE ABOVE TERMS MID CONDITIONS ME UNACCEPTABLE TO YOU. FI.EASE NOTIFY PEREFING IMMEDIATELY DI WRITINGBY CERTFED WAIL 10 OM PERSHING RNA. JERSEY CRY. NI 07399. ATM MOE DEPT
Page 24 of 24
Account Number Go paperless PUBS t wrong.' Amory WC • — easel •••••14inr
f/CIAB•rt 17 MAMA* RATED COmmuteCA71O•47
COILNFIDEVIIAL
SDNY_GM_00045754
: THERk
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6 DB-SDNY-0008578
EFTA_00 156363
EFTA01288726
Gnt,. e Pam wan.
Maniets int•gt 6.0.9
°taut.. N. SSW". n<
Vintage Ma
en Mont asenionastifloa 11)Peit Arens.. 1011•11cce
Wave WA Pa IOVA
Account Number:
Statement Period: 0210112/14 -0212812014
Valuation at a Glance
this Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value $91,003,606.46 $90173,050.28
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 10.207.099.07 10,097,104.07
Adjusted Previous Account Value 101,210,70613 100,670,154.36
ST THOMAS VI 00802
Dividends, Interest and Other Income 617.091.87 655.899.06
het Other Activity 0 00 -18 00
het Chan e in Pollak() I 256.94438 1 758.706 37
nding Account Value 5103 084 741.78 S103.084 741 78
Your Client Advisor: Estim ated Annual Income $3,718.093.33
TAZIA SM IIN
Asset Allocation
Prior Year-End Lag Period This Period % Allocation
USD Cash. Money Funds. and Bank Depoitsl 18,295,919.71 21,938,379.16 32.642,231.04 31.66% Pe Chan allocation only nudes
products that are of positive value.
USD Fixed Income 27,736,972.38 25,708,949.55 26,189,29160 25.41% Assets of less than 1% of holdings
Non-USD Fixed Income 10,227,309.46 10,201,807.02 10.150,031.85 9.85% win not display on this pie chad.
USD Equities 30,410,519.65 29.756.390.18 30,837,538.01 29.91% I N
Non6SD Equities 3.137.192.71 2.796.600.00 2.862.606.00 2.78%
Non•USD Cash. Money Funds. and Bank Deposits 402,106.31 393,526.05 403.010.25 0.39%
Other 363.000.00 210.151.50 0.00 0.00%
Account Total (Pte Mart) $90,573650.28 $91,003,606.16 3103,061,711.18 100.00%
I The Bank Deposes in your account are FDIC Insured bank deposits.
FDIC insured bank deposits are rot secs lies and are not covered by the Securities Investor Protectian Cotentin
(SIPC). These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC). W to aicnvable limes.
See page 2 of the statement for importer( informaton regarcing the Asset Allocation section.
Page 1 of 22
B0 1992SCSF30D15 GO pallet-less 4 ., sunxte e ll a. In A beat snow. owes.i s& flume, *ass *snow.
CONFIDE ,• N A . T ,1 I C IAr_T-r- """` llt " R " at IICOMMUNICATIONS
SDNY_GM_00045755
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008579
EFTA_00 156364
EFTA01288727
Asset Allocation Disclosure and Footnotes
Certain values have been defaulted into the Other Asset Class due to incomplete categorizing data
Al values are displayed in U.S. dollars based on interbank exchange rates as of 02/2872014. 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 8 C33 'p .134,00217 2.235.144.89
Long-Term Gain/Loss .3 :.^^» : -55.582.40 -3.127.045.22
Net Gain/Loss 4.7”.45 -189,584.57 -891,900.33
This summary excludes transactions where cost basis information is not available.
Exchange Rate Table Global Cash
Canary Closing Mount in
Currency USD Equivalent Per USD Cyrano/ Balance Base Cerrence USD
I
EURO 1.3810 0.7241 I EURO 291,846.67 403,040.25
Total Global Cash Balance $403,040.25
Exchange rates are based on iderbank exchange rates as of 0228/2014. Exchange rates can vary.
FDIC Insured Bank Deposits
Date Act ,[ty Type DeacrIption Amount Sabena
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number:- Activdy Ending: 02/28/14
02101114 Opening Balance 21,928,113.02 21,928,113.02
02/03(14 Deposit DEPOSIT 8,266.14 21,936,379.16
02101(11 Withdrawal WITHDRAWAL -96.250.00 21.840.129 16
02/05(14 Deposit DEPOSIT 33.543.41 21.873.872.57
02106/14 Deposit DEPOSIT 110,399.92 21,984,072.49
02107114 Deposit DEPOSIT 17,047.14 22,001,119.63
02/10(14 Withdrawal WITHDRAWAL -342,92254 21,658,197.09
02/14(14 (legal DEPOSIT 6.100.00 21.664.297.09
02114714 Deposit INTEREST CREDITED 581.67 21.664.858/8
APY 003%
02/18114 Associated Bank NA 21,664,858.76
NO 02(18 5250000.00
BEAT
NO 02/18 5250000.00
Bank of America
N0 02118 5250000.00
Page 2 of 22
Account Number F rGino p\arpreirletsAs L ...ON In", YC. • am. 4~ wiaMien,
SOUTHERN C.Nej. DA ISAR RATLD COMMUNICA11O.4
11X<CLUINCI
SDNY_GM 00045756
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY_0008580
EFTA_00 156365
EFTA01288728
Da...hoeUm row.. wean maParneat
Marais Cedric, 6,o‘P
Destulv Met Smote' hit.
Mow TM Oita.
PC Bo, 1110. Etat, PK": MD 2120 SO Put Asa IM,I tom
Statement Period: /2/0112114 - 12/2812114
FDIC Insured Bank Deposits
(continued)
Date Activity Type Dew • Ice Mouni Salaam
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
Otibank NA
NO 02118 $250000.00
Deutsche Bank Trst Co
NO 02118 519477861.
East Wes' Bank
NO 02/18 5250000.00
AY Comm unity Bank
NO 02/18 5250000.00
Texas Capital Bank
NO 02/18 $250000.00
TriSlate Capital Bank
NO 02/18 5186997.38
Union Bank of CA
NO 02118 5250000.00
02119114 Depoe1 DEPOSIT 207,881.29 21,872,740.05
02120/14 Depoil DEPOSIT 10,397,099.07 32,269,839.12
02126/14 Donald DEPOSIT 82.542.72 32 352,381.84
02127/14 Depotil DEPOSIT 289,852.20 32,642,234.04
02/28/14 dosing Balance $32,642,234.04
Total FDIC Insured Bank Deposits $32,642,234.04
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 5250,000 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
Corrent Period Year4oGale
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Eq wires 73,35625 0.00 86682 39 000
Other Dividends 93,750.00 0.00 93.750 00 0.00
Page 3 of 22
801199nCSF30015 Account Plumber Go paperless P Se a v le e d n t Y p e a ar ll s a In t A Row * C I o T n i s e t i r e ik v i e n o • s •• e • s •• O 0 nt. LLC. C • S •• o •• l • o •• • • • •• • M •• IN • T • • M •~ a 1 "
SOUTHERN iF I DAEN T. "NAL D EX A C U IL M U * IN P C A E T IO COMMUNICATIONS Pm•PINIII Lcc..ws revue was an
SDNY_GM_00045757
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0008581
EFrA_00 156366
EFTA01288729
Income and Expense Summary (continued) Current Period Year.to•Date
Taxable Non Taxable Taxable Non Taxable
Interest Income
Bond Interest 124.589 35 000 149,599.56 0 00
FDIC Insured Bank Deposits 561 67 000 1,032.51 000
Other Interest 40.625 04 000 40,625,04 000
Total Dividends, Interest, Income and Expenses 1332,882.31 $0.00 $371,619.60 10.00
Distributions
Alternative Inyestm ents 000 284.209 56 0.00 284,209.56
Other Distributor's 0 00 63.596 01 0.00 149.32510
Total Distributions $0.00 $347,805.57 WOO 1433,634.66
Portfolio Holdings
U.S. DOLLARS
A=unt Activity Opening Closing Accrued Income 30•Day Cermet
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits
Cash Balance 8 266 14 0.00
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
02101(14 32.642.234.040 02126114 21.928.113.02 32.612.234 04 328.84 1.032.51 N/A N/A
Total FDIC Insured Bank Deposits 621,928,113.02 132,642,234.04 1328.84 $1,032.51
Total Cash, Money Funds, and Bank Deposits $21,938,379.18 132,642,234.04 1328.84 $1,032.51
Adjusted Unrealized 4io4tMtrveend Estimated Estimated
Date Acquired Quantity Unit Colt Cod Basis Market Price Market Value Gainfloss Annual Income Yield
Fixed Income (In Usuirey Date Sequence)
'Asset Backed Securities
GLOBAL M TG SECUR1TIZATION LTD/ Security Identifier: 378961AV8
GLOBAL MTG SCTZN ISM US37896IAV83
5.250% 04/25/32 WE DID 04/28/05 Moody Rating CAM S
8 Pasting B-
Fedor: 0.35639052 Effective Date:02103/14
Current Face Value: 2,940,221.790
10116113 'AM 8.250.000.000 89 2470 2.624.059.12 94.1650 2.768.659.85 144.600 13 1.286.35
0 nginal Cost Basis $2,705.004.09
Page 4 of 22
C11992SCS F300I S l'IlAlt LI' A SO cc U o T u H n E t N RN um ber NFID G 4E o p N ape T rle I ss A L R C S i e A o v t L e e d n M Y * ig e R t a a r A l s le T O n I n O t A C R O o M w M UNICAY1O.11 Conavukragli Ormsby u.C. nods. araniewbollin
EXCELaNCII
SDNY_GM_00045758
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008582
EFTA_00 156367
EFTA01288730
Destine Sint Pr ,.,,n "mall Ma napnad
MYf6I0Mr,F Gtot,p
Destulv Sat Stuettei 4%.
Now *4 Mk.
P.O. Bag 1776. Batman MD 2i200 HS Pin Asa. loth I tom
Mos** NY 101M
Statement Period: 0210112014 - 02/28/2014
Portfolio Holdings
(continued)
U.S. DOLLARS (continued)
Adjusted Uarealtzed Accrued Estimated Estimated
Dale airs Ousatlt Unit Cost Cost Basis Market Price Market Value Galatia* Interest Annual Income Yield
Fixed Income (continued)
'Asset Backed Securities (continued)
COUNTRYWIDE HOME LOANS Security Identifier: 12869 OYS1
SER 03•t CI el 4.090% 03125133 WE
DTD 01130103
Factor 0.25865574 Effective Date:02103114
Current Face Value: 1,183,950.830
12113113'.3.12 4,500400.000 93.3760 1,086,855.88 86.9870 1,012,485 91 -74,369.97 3,570.42
Original Cost Basis: $1,111.573.07
WASHINGTON NUT MTG SECS CORP 2004R42 Security Identifier: 939338320
MTG PASSTHRU CTF CL C-B-1 VAR RATE
6.973% 07125133 WE DID 06/01/04 S 8 P Rating D
Factor:0.64321625 Effective Date:02103/14
Current Face Value: 829,748.963
12113113'•3.I2 1,290400.000 76.5190 631,912.37 86.2600 715,74146 80,829.09 4,339.48
Original Con Basis: 5638,906.71
HI PAC CM B TR 2005.2 ASSET BKD BD CL Security [decaliter 45254NNC7
tad -2 0.890% 04125135 WE
DTD 03103105 Moody Rating CA SE P Rating CC
Factor:0.14826877 Effective Date:02125/14
Current Face Value: 1,462,687.700
12113113 '•3.12 1.500.554.000 67.9900 144227.02 71.4450 156.81048 7.583.46 10.86
Original Cost Bans: 5153,090.22
12113113'.3.12 8,499,446.000 67 9900 845.252.55 71 4450 888,206.75 42,954 20 61.50
Original Con Basis: 5867,134.46
Total Noncovered 10,000,000.000 914 479 67 1,045,017.23 50,53746 72.36
Total 10,000,000.000 6994,479.57 $1,045,017.23 550,537.06 972.38 90.00
Total Asset Backed Semi/Ides 95,340,307.54 $5,641,904.46 $281,696.11 $9,268.61 $0.00
24,040,000.000
Total Current Face Value : 6,390,609.283
Page 5 of 22
Account Nun Der' Rated I .eaileni •••••• oar's ••••••••
1,01199nCSF30015 TehmC O Go IN11.wriess tt, L'ILA'vort:TTD4:O7....u...cAnons
F I DAENTIAL eXCELIENCI
SDNY_GM_00045759
6(e)U
CONFIDENTIAL — PURSUANT TO FED. R CRIM. OB-SDNY-0008583
EFTA_00156368
EFTA01288731
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Awued Estimated Estimated
Date Asired Ouantit Unit Cost Cod Basis Market Pria Market Value Gain! loos Interest Annual Income Yield
Fixed Income (confirued)
Corporate Bonds
SG STRUCTURED PRODS INC Security Identifier: 7812381$3
COMMODITY LKD IA KT PLUS PROTECTED NOTES
0.000% 08105114 WE DTD 07/30113
07/25/13 '4141 2.000.000.000 100 0000 2.000.000.00 104.5000 2.090.000 00 90.000 00 0.00
engine' Cosl Basis: $2.000,000.00
HSU USA INC MEDIUM TERM PITS Security Identifier: 10432XFP1
BUFFERED NOTES LW TO EURO ST0/0(50
0.000% 0812911181E DTO 05130113
05121/13 %UM 2.000.000. 000 loo moo 2.000.000 00 108 6100 2.172.200 00 172,200 00 0.00
Original Cosl Basis $2.000.000.00
JPM ORGAN CHASE & CO MEDIUM TERM NTS Security Identifier: 41121INVE4
CAPPED CONTINGENT BUFFERED EQUITY NTS
0.000% 1011611181E DTO 09127113
12/05113 '.3.12 1,000,000.000 100.0000 1,000,000.00 105.1600 1,051,600.00 51,600 00 0.00
Onginal Cosl Basis: 51.000.000.00
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
NOTES SENIOR ISA XS0460546525
5.000% 10/28/15 REG D TO 10/28109 S & P Rating BP
12104113 '.3.12 2,500,000 000 91 0890 2,277,219.61 82.9000 2,072,500.00 201.71964 11.666 67 125.000.00 6.03%
anginal Cosl Basis $2.250,00.00
HEADWATERS INC GTD SR NT Security Identifier: 42210PA05
7.625% 04/01/19 WE DID 03/11/11
CALLABLE 04/01115 0 103 813 Moody Rating 02 St P
Rating Ei•
10/22/12 '.12.13 1,000,000.000 102 5440 1.025.139.81 108.5000 1,085,000.00 59,560.19 31,13542 76,250 00 7.02%
Original Cod Basis: 51,035,000.00
EARTHLINK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC8
CL SIP FROM 270321018 8.875% 05/15/19 WE
DTD 05117/11 CALLABLE 05115115 S 6 P Rating CCC+
10122/12 '.12.13 400,000.000 102 5930 410,372.81 100.7500 103,000 00 .7,372.81 10,156 94 35,500.00 8.80%
Original Cosl Basis $411.000.00
10123/12 %ILO 600,000.000 102 1100 611,460.81 100.7500 601,500 00 .9,960.81 15 235 42 53,250.00 8.80%
Original Cosl Basis: 8619500.00
Total Nona:meted 1,000,000.000 1 021 833.86 1,007,500.00 -17,333.86 25,392.38 88,750.00
Total 1,000,000.000 81,021,833.85 31,007,500.00 -817,333.85 825,392.38 $86,750.00
Page 6 of 22
Account Number Go paperless R st a y is — e' Y fia e— llen h t i. Raw ...41. 0••••••• LLA • ....I *S....FP
SOL METH ONLW. FIDENTIAc -CA„W—* RATED COMMUNICAlICHS
SDNY_GM_00045760
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008584
EFTA_00 156369
EFTA01288732
Destine 8.m PO,l ir *Aria Maria,....,,
Marais Conran Comp
Deauhi M Smote 4%.
P.O. Bag 1776.N1w/winMDM00 Mar Int Moo
HS Pia Asa. lothlbw
Wieredeet NY 101M
Statement Period:02101/2014 - 02/28/2014
Portfolio Holdings (continued)
U.S. DOLLARS (conwieed)
Monied Unrealized Accrued Estimated Estimated
Date sired Quail Usk Cod Cost Basis Market Puce Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
SERVICEM ASTER CO SR NT - CUSP FULLY Security Identifier: 81760NAN9
EXCHANGED FROM OLD CUSP 81780HAL3
8.000% 02115120 BIE DTD 02113112 Moody Rating CAM S
P Rating CCC•
01124113 '.12.13 1,503000.000 1031760 1377,846.11 106.7500 1.601.250 00 23.60378 4.333.33 120,000.00 7.49%
Original Cost Basis: 51.593625 00
02125113 %UM 1,000,060.000 105.7600 1,057,59343 106.7500 1.067.500 00 9904 57 2,888.89 80,000.00 7.49%
Original Cosi Basis: 51.070.000.00
Total Noncovered 2,600,000.000 2,635,241.65 2,568,750.00 33,508.35 7,222.22 200,000.00
Total 2,500,000.000 $2,635,241.65 $2,668,750.00 833,508.35 $7,222.22 $200,000.00
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: GIS15PPIII
TERM NOTES ISIN$230717735821 Pnce Estimated as of 02117114
9.875% 11/16/11 REG DTD 12118111
Moody Rating 8a1 SI P Raling BBB
12104/13 *.3.12 1,500,000.000 108.3310 1,624,967.30 119.7500 1,796,150 00 171.282 70 29,625 00 148 125 00 8.24%
Original Cost Basis: $1,627,500.00
SOUTHERN CALIF EDISON CO Security Identifier: 142400FU2
PREF SERE 8.250% 02101122 WE
DID 01117/12 CALLABLE 02101/22 Moody Raling BAAI S
P Rating 8B8-
01/30112'.3.12 3,000,000300 99.7920 1,993,751.19 106 0000 3,180,000.00 186,24781 14,062 50 187 500 00 5.89%
Original Cost Basis 51.992.564 97
BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 06739FHKO
ISA US06739FHK03 7.750% 04110123 BIE
DID 0/110/13 CALLABLE 04110118 58 P Rating 884
04/03/13 '.12.13 300,000.000 100 0000 300.00000 111.5000 334,500.00 34,500.00 8,912.50 23.250.00 6.95%
Original Cost Basis 5300,000 00
Pagel of 22
Account Number Go paperless Rated I ellemt Owspismap Owes* •••••• imam rasa"
801199nCSF30,15 Sea'. Watt la 4 R.•••
SOUTHERN D-ENTTA DA SAU[ALTE`D COMMUNICAlIONS
F I L `M1C
SDNY_GM_00045761
CONFIDENTIAL — PURSUANT TO FED. R. CRINI P. 6(e) OD-SONY-0008.585
EFIA_00156370
EFTA01288733
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Ihrealized Accrued Estimated Estimated
Date AP wired Quad Usk Cost Cost Bays Market Pria Markel %lee Gale/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
PM ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 4662514H41
1/10TH PFD SER 1 FIXED TO FLTG RI BO
7.900% 04/29/49 WE DTO 0/123108 Moody Rating BAt S
P Rating 888
06/15111 '.3.12 2,500,000.000 107.5000 2,687,500.00 112.2200 2,805,500.00 118,000.00 64,736 11 197.500 00 7.03%
Original Cost Basic $2.687,500.00
06/15111 '.3.12 2.500.000 000 107 0000 2.675.000.00 112.2200 2.805.500.00 130.500 00 64,736.11 197.500 00 7.03%
Original Cost Basic $2,675,000.00
Total Noncovered 6,000,000.000 5,362,500.00 5,611,000.00 248,800.00 129,472.22 395,000.00
Total 5,000,000.000 $5,362,500.00 $5,611,000.00 $248,500.00 $129,472.22 $395,000.00
BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 060505028
SHS FIXED TO FLOAT 8.125% 04130/58 WE
DID 0030108 CALLABLE 05/151'8 Moody Rating BA3 S8 P
Rating 88•
01(10/11 'AM 2.000.000.000 102.7500 2,055,000.00 114.0000 2,280 000 00 225,000 00 46,493 06 162,500.00 7.12%
Original COS! BOOS: $2.055.000.00
GENERAL EEC CAP CORP NON CUM PFD SER Security Identifier: 3696228N6
A 7.125% 06/12162 WE
GTO 06,12/12 CALLABLE 06115122 Moody Rating BAA1 S
P Rating AA-
06127/12 '.12.13 2,000,000.000 105.5300 2,110,605.12 113.5000 2,270,000 00 159,394.88 28,895 83 142,500.00 6.27%
Original Cost Basic $2.122.016.67
LBG CAPITAL NO I PLC 144A Security Identifier: G54338668
ISINOXS0473108283 8.000% 09/15188 REG Price Estimated as of: 02/21/14
DM 12/15109 FOREIGN SECURITY
S t P Rating BB
12/04113 '.3.12 3,000,000.000 1082500 3,247,500.00 105.9375 3,178,125.00 •69,375.00 48,868.67 240.000 00 7.55%
Original Cop Begit. $3.247.500.00
Total Corporate Bonds $29,657,059.36 $30,797,425.00 $1,140,365.64 2411,544.46 81,788,875.00
28,800,000.000
Total Fixed Income $34,997,366.90 $36,339,329.15 $1,341,962.55 $420,613.06 $1,788,875.00
52,840,000.000
Page 8 of 22
B01199nCSF3011S A SO cc U o T u H n E t N RN um ber iq F I D G f o N pap I e T rle I s A s L tt s E b X A C t A tA RA ll I I N N C T I L DC O R • e iu ., m uediCATIO•el b e o l n a o . D L a i i e l e ' m sn s o t Pe a n d a o D % n • C a • o • • g a • a • n n 's a C m O mo N . • Y • • S • S •• " • ••
SDNY_GM_00045762
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0008586
EFTA_00156371
EFTA01288734
()PASO( Illma Pon'. Weal Pt Maine,.
Marais Conran 4.0..p
DestuN Sanii Smote 4n.
Mn 1,4 Mar
PCBs Int Iliolens•MD2i200 30 Put Asa. lothlbw
Mw** NY 10114
Statement Period: 02101/2014 • 02/28/2014
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date ired Nut Unit Cosi Cod Bads Market Price Market Value Gainl Loss Annual Income Yield
Equities
Common Stocks
APOLLO GLOBAL MGM T LLC CL A SliS Security Identifier: APO
Dividend Option: Cash CUSP. 037612308
03129111 '.13 283.157.000 19 0000 4.999.983.00 32.1900 8.471.023.83 3,471,040.83 1.047.364 86 12 36%
APPLE INC CON Security Identifier: AAPL
Dividend Option: Cash CUSP. 037833100
10128113 2,000.000 529 0600 1,058,120.50 5282400 1,052 480 00 -5,1340.50 24.400 00 2.31%
ARIAD PHARMACEUTICALS INC Security Identifier ARIA
Dividend Option: Cash CUSP 04033A100
02114112 '.13 7,535000 15 2090 114,597.40 8.6900 65,479.15 .49,11825
01124113 '.13 9.000.000 19 6000 176,400.00 8.6900 78,210.00 -98,190.00
Total Noncovered 16,535.000 210,997.40 143,691.15 -147,308.25
Total 16,535.000 929,997.40 943,689.15 -9147,3925 90.00
ASCENA RETAIL GROUP INC COM Security Identifier: ASNA
Dividend Option: Cash CUSP 043516101
01116101 ..3 70500 000 21 2770 1,500,000.00 18.2900 1.289.445.00 -210.555 00
BIOGEN IDEC INC COM Security Identifier: BNB
Dividend Option: Cash CUSP: 09062903
02114/12 'A 2,095.000 119 5490 250,454.95 340.6800 713,724.60 463269 65
FACEBOOK INC CL A Security Identifier: FB
Dividend Option: Cash CUSP: 3030311102
05117/12 '.13 17,500.000 38.0000 665,000.00 68.4600 1,198,050.00 533.050 00
FOUNDATION MEDICINE INC COM Security Identifier: FM I
Dividend Option: Cash CUSP. 350465100
01113114 2ssol000 275070 687,663.50 35.6300 890,750.00 203,086.50
GENERAL ELECTRIC CO CON Security Identifier: GE
Dividend Option: Cash CUSP: 369604103
04123113 '.13 2390 000 21 5700 496.109.08 25.4700 585,810.00 89,700.92 20,240.00 3.45%
Page 9 of 22
8011992SCSF30015 A SO cc U o T u H n E t N RN um ber FID G A•E o • Oc p Nc i IT p I e C T rles I s A L D seA A .I—N LI .' N I V * I. . . S . . 1 .A 4 . 1 T 0 laE 01 D C ROawMMUNICA110.6 1 0 O • 1 • I • N 1 11 1 S 1 0 f • 1 i 0 l l • L • • U • • • C • • O • • e F • l t r e i e n /.. S 0 0 01 1 n % 1 e 6 w Mi • l C I O III • I 1 a I 1 • n 0 0 0 1 • 0 •• 0 •• , C 0 O 4 W ••• S •• I • M •• I • •1
SDNY_GM_00045763
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) OB-SDNY-0008587
EFTA_00156372
EFTA01288735
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date bed Nam tleit Col 0:41 Buis Market Price Markel Value Gale/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
GENERAL M TRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 37045V100
11118110 ' 10,988.200 38.1010 399,978.16 36 2000 391,772.85 .2,20&31 13,185.81 3.31%
12109110 ' 86,536.800 36.8160 3,185,969.22 36.2000 3,132,632.15 -5&337.07 103,811.16 3.31%
Total Noncovered 97,526.000 3 515 917.38 3,530,405.00 -55,642.35 117,030.00
Total 97,825.000 13,615,917.31 $3,530,105.00 -155,542.35 $117,030.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02105114 5,000.000 79 2810 396407.00 82.7900 113,950 00 17,513.00
JP M ORGAN CHASE & CO CON Security Identifier: PM
ISM US16625H1005 CUSIP. 1662514100
Dividend Option: Cash
07111105 '.3 21,753.000 488 4840 10 626.002 00 56.8200 1,238,005.16 -9,389,99634 33,061.56 2.67%
SARGASSO BIOSCIENCES INC CON Security Identifier: SGM 0
Dividend Option: Cash CUSP:800677106
05128113'.12 50.000.000 8.4140 422.211.00 18.2000 910.000.00 187.786.00
SANTANDER CONSUMER USA HLDGS INC COM Security identifier: SC
Dividend Option: Cash CUSP: 8028311101
01123114 1,000.000 24 0000 21,000.00 25.3300 25,330.00 1,330.00
TWITTER INC CON Security Identifier: TWTR
Dividend Option: Cash CUSP: 901841102
11107113 1,500.000 26 0000 39,000.00 51.9100 82.365.00 13,365.00
Total Common Stocks 125,011,591.51 $20,543,025.04 -64,498,870.77 $1,242,099.42
Preferred Stocks (Listed by expiration date)
ALLY ANL INC PERP PFD FIXEDIFLTO RATE Security Identifier: ALLY PRB
SER A CALLABLE CUSP. 02005N308
Dividend Option: Cash
02103112 'AM 46.600.000 193820 903,217.51 27.3500 1,274,510.01 371,292.50 99,025.00 7.76%
02109112'•12.12 80.000.000 20.1250 1,610,000.00 27.3500 2,187,999.99 577,999.99 170.000.00 7.76%
Total Noncovered 125,500.000 2,513,217.51 3,462,510.00 919,292.19 269,025.00
Total 128,600.000 $2,513,217.51 $3,462,510.00 6949,292.49 5259,025.00
GM AC CAP TR I GTD TR PFD SECS SER 2 II Security Identifier: ALLY PRA
125% FlYZO RATE/ FUG CUSP 361860208
Dividend Option: Cash
02122/12 '.13 80,000.000 23.5350 1,882,773.60 27 1500 2,172,000.00 289,22610 162,500.00 768%
Pap 10 of 22
B01199nCSF3011S Account Number: Go I ktperless Raboel v lm t o a o r, ll o 1 n 1.A t Re.'" Conay•••••••••rabwiti.C.•••••••••••••••••••••
SOUTHERN CALM* RATED COMMUNICATIONS
F ID r NITTA L '
SDNY_GM_00045764
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008588
EFTA_00156373
EFTA01288736
01,41.1.0 Vots• n M,n alP -wtat
Mwoets (Inger G•c c
De.tic la Nom Stcv,ari M.
“tw g Office
P.O. Bag 1776. alltin0t• MD 21200 JO Pant Annw. ire,
Mann wrik. nr iavA
Statement Period: 02/01/2014 - 02128/2014
Portfolio Holdings
(continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Ired Quiet Uok CoM Cost Basis Market Price Market Value Gainf Loss Annual Income Yield
Equities (continued)
Preferred Stocks (continued)
ROYAL BANK SCOTLAND GROUP PLC Security Identifier: RBS PRT
7.25% SPON ADR REPSTG SER T PFD SHS CUSP. 780097713
CALLABLE ON OR AFTER 12/3112012 0 25
Dividend Option: Cash
10/24/12 '.13 40.000.000 23.7900 951,600.00 25.0000 999.999.99 48.399.99 72,500 00 7.25%
01/07/13 '.13 goact000 24.4400 977,600.00 25.0000 999,999 99 22,399 99 72,500 00 7.25%
01114113 '.13 40,000.000 248840 995,200.00 25.0000 1,000,000.02 4.800.02 72,500 00 7.25%
Total Noncovered 120,000.000 2,924,400.00 3,000,000.00 15,600.00 217,600.00
Total 120,000.000 $2,924,400.00 $3,000,000.00 i76 001.10 3211,500.00
Total Preferred Stocks $7,320,391.11 $8,834,610.00 $1,314,11119 049,026.00
Options
CALL 100 AMERICAN AIRLS GROUP INC COM Option Identifier: 99CIADTZS
EXP01-17-15@ 20.000 OPTION ROOT: AL Undedying Security Identifier: AL
1,00000 of these conlrads are in your margin account Underlying Security Price: 936.93
12111/13 ' 1,000 000 8.0330 803,314.50 17.0000 1,700,000.00 896,685.50
PUT 100 AM ERICAN AIRLS GROUP INC COM Option Identifier: 99CIADTZQO
EXP 01.17-150 20 000 OPTION ROOT: AAL Undedying Security Identifier: AAL
.1,000.00 of these contracts are a shod position Underlying Scarily Price: $36.93
12/11113 -1,000000 1.9770 -197,70200 0.4000 -40,000.00 157,702 00
Total Options $606,81210 $1,660,000.00 11,054,387.50 $0.00
Total Equities $32,967,902.42 $30,837,530.04 -32,130,384.38 $1,891,124.42
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cod Cod Basis Market Price Markel Valle Gain! Loss Annual Income Yield
Exchange-Traded Products
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DXJ
Dividend Option: Cash; Capital Gins Option: Cash CUSP. 9771700851
60.000.00 of these shares are in your margin account
12111/13 60,000.000 49.4350 2,988,098.50 47.7100 2,882,800.00 ,103,498.50 37,061.40 1.29%
Total Exchange-Traded Products $2,986,098.50 32,882,600.00 -$103,498.50 $37,081.40
Page 11 of 22
801199nCSF30,15 Account Number Go papetieSS It r R t a . t - e Y d I e .. — ell ent Rew Co ri w e r ' y a w lio e vo re in n h e o w si n s . e w a fl m ow m e o r a * r . r t a o w es e o a r " S P
SOUTHERN DA I.B AR RAT ED COMMUNCATIONS
F I DAEN ITTA L
SDNY_GM_00045765
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SONY-0006Sn
EFrA_00 156374
EFTA01288737
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Accrued Estimated
Cod Basis Market Value Gainl Loss Interest Aneval Income
Total U.S. DOLLARS $103,573,601.86 9102,681,701 53 4891,900.33 4120,813.06 93,718,093.33
EURO
Opals° Poring Awued 30-Day
Description Quality Balance Balance Currency Income Yield
Cash, Money Funds, and Bank Deposits
Global Cash Balance 281,81617 291,81647 EUR
103,040.25 US0
Total Cash, Money Funds, and Bank Deposits 291,846.87 211,916.67 EUR 0.00
103,010.25 USO 000
Awued
Market Value Currency Interest
Total EURO 291,848.87 EUR 0.00
403 040 25 LSD 000
Unrealized Awued Estimated
Cost Basis Market Value Gaintloss Interest Mnual Income
Total Portfolio Holdings • U.S. 8103,573,601.86 8103,084,741.78 4891,900.33 4120,813.06 93,718,093.33
DOLLARS
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 repotting rules are defined as secunnes 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 109943 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as folows:
• 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, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attrtartes 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
shat 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.
I 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 efformation.
6 The Current Face value represents the outstanding principal balance of the underlying 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.
Page 12 of 22
E,11992SCSF300IS
,:11en.,.,,, Account Number:
G° PaP,Ies s 411fr* C..tili2D:O17..cAno.s
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F I DAEN L
SDNY_GM_00045766
: UTHERNCO
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6 DB-SDNY-0008590
EFTA_00 156375
EFTA01288738
Gnaw.< Rana PnvieWeal.P.Paragenan
Weals Coon., 6,0‘P
DeAsch4 Sat Settolenk
lire von Mar
PC. Boa 1776 Elul min: MD 21203 Hobnt Ramo. I*' I be,
War wet Ire lmv
Statement Period: 0210112014 • 02/28/2014
Portfolio Holdings (continued)
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
&change-Traded
Fixed Income Equitie s Funds Total by Currency
NIRLARS 32,612,r 36.339.329 30.837.538 2.862,600 102.681.761 USO
EUR.O 291,846 0 0 0 291,846 EUR
Total USD Equivalent 33,045,271 36,339,329 30,837,535 2,862,800 103,054,741 USD
% of Allocation 32.06% 35.25% 29.91% 2.75% 100.00%
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Loss/
Date Date Transaction Description Quantity Coll Basis Proceeds Disallowance
Short Term
0210304 12113113' RPP COUNTRYWIDE HOM E LOA 1 CL 81 4.090% 03/25/33 B/E D 4.500.000.000 12,068.36 12.924.41 856.05
TD 01130103
Security Identifier 12669DYS1
Original Cost Basis: 12.068.36
02103114 10/16113' RIP GLOBAL M TG SECUR1TIZ GLOBAL MTG SCTZN 'S17411337896 8,250.000 000 39,492 36 11,250 63 1.75817
1AV83 5.250% 04/25132 B/E DTD
Security Idenbfier 37896 tAV8
Original Cost Bat 39,492.36
02103/14 12113113' Fl4P WASH', GTON MUT MTG S004-RA2 LUG PASSTHRU CTF CL 1.290.000.000 1.99818 2.611.75 613 27
C. B.1 VAR RATE 6.973% 07125133
Security Idenbfier 939336320
Original Cost Basis: 1.998.48
02125/14 12113113' FFP IMPAC CM B TR 2005.2 BD CL l-M-2 0.890% 01125/35 BCE 1,500 554 000 575.68 846 70 271 02
DTD 03/03105
Security identifier: 15254NNC7
Original Cost Basis: 575.68
02.125/14 12/13113' Rif IMPAC CM B TR 2005.1 BD CL 1-11-2 0.890% 04125/35 B tE 8,499,446.000 3.260 74 4,195.92 1,535.18
DTD 03103/05
Security Idenbfier 45254NNC7
Original Cost Basis: 3.260.74
Page 13 of 22
8011992SCSF3001S Account Number GGC ) paperless t . rit,t,c7.:1:1TA Raw eiwasevireueo ••••••....L.2. • wooer •••••• •••••••••1
SOUTHERN DALIN* RATED COMMUNICATIONS
K1F I DA5NTIAL fl at...INCE
SDNY_GM_00045767
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008591
EFTA_00 156376
EFTA01288739
Schedule of Realized Gains and Losses Current Period (continued)
Disponi°, Acquisition Disposition Realized Gain/ Loss/
Date Date Transaction Descr p:ron Quantity Cost Basis Proceeds Diullorance
Total Short Term 157,395.62 185,428.11 18,033.78
Long Term
0210311/ 07112110' SELL DEUTSCHE BK AG LONDO GRIC DOUBLE LONG TRADED NT 16 200 000 111,219.10 110,399.92 -3,819.18
First In First Out Security Identifier: DAG
02/0411/ 07112110' SELL DEUTSCHE BK AG LONDO GRIC DOUBLE LONG TRADED NT 2.100 000 16,921.39 17,017.11 125.75
First In First Out Security Identifier DAG
02105/14 07/12110' SELL DEUTSCHE BK AG LONDO GRIC DOUBLE LONG TRADED NT 7.531.000 53,119.07 53,184.18 365.39
First In First Out Security Identifier: DAG
Total Long Term 8181,259.88 $180,931.62 -$3,328.31
Total Short Term and Long Term 8211,855.18 $218,380.93 54,705.15
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.1.110.343, 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. Al 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 aria 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, 2014, or later, as determined by the Secretary of the Treasury.
This Schedule may not reflect an 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 tarn 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 cbent brokerage statement at year end versus any subsequent reports, including your 1099.8 or online displays you may have avalaWe 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 N.R. 1424. You should consul 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 all liability that may arise with respect to your use and reliance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under 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.
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot 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, Fist Out (FIFO). Your accounts selected tax lot method will 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.
Page 14 of 22
801199nCSF3011S Account Number F DGor lNaripieTrleis sA It.”...t72;;VA Row Olney! snags owning u.a. • sr. omens «Ammon
SOUTHERN Mt; RAIZDCOMMUNICA110.41
SDNY_GM_00045768
CONFIDENTIAL — PURSUANT TO FED. R CRINA P. 6(e) OB-SDNY-0008592
EFTA_00156377
EFTA01288740
Dean Um PnwalP *math up.agenan
61/MI, tonna 41010
Deetic he UN Stare" at.
Now brio:Mc*
PC. Bra 17/6, Bali moot 7,1D 21203 30 ON Ass. IM, ber
Rem *A NY 101M
Statement Period: 0210112111- 02/28/2014
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 fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporatko.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:/AwAv.dws-investments.conVEN/products/moneyrnarket-funds-Melds.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Activity Sum m ary (All amounts shown are in base amency)
Credits This Period Year-to-Date Debits Thu Period Year-to-Date
Securities Securities
SecuntiesBoughl 000 000 Secunties Bought -396,40700 -7,084861.11
Secuntes Sold 214 474 93 10 418 649 26 Securities Sold 000 000
Total Securities 3214,474.93 310,418,649.28 Total Securities -$396,407.00 -$7,084,861.11
Dividends and Interest $426,832.31 3465,439.50 Dividends and Interest -$93,750.00 -$93,750.00
Distributions 3347,805.57 3433,534.66 Distributions $0.00 $0.00
Fees 30.00 30.00 Fees $0.00 -$18.00
Cash Cash
Withdrawals 0 00 0.00 Withdrawals ,190,000.00 ,299,995.00
Deposits 10.397.099.07 10.397.099.07 Deposits 0.00 0.00
Total Cash 310,397,099.07 310,397,099.07 Total Cash -$190,000.00 -$299,995.00
FDIC Insured Bank Deposits 3439,172.54 34,233,868.88 FDIC Insured Bank Deposits .$11,153,293.56 -318,694,428.57
Total Credits 311,825,184.42 325,946,589.35 Total Debits ,111,833,150.56 -326,173,052.66
Page 15 of 22
PC'11992SCSF3001S Account Number GO paper-less Raise, vccene e n n t Row ComaNN•••••••••••••” lig. • imam aro ....a.,
SOUTHERN OMAN* RATED COMMUNICATIONIS
NFIDENTTAL
SDNY_GM_00046769
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008593
EFTA_00I56378
EFTA01288741
Transactions by Type of Activity
Proceed Trade!
Settlement Transaction
Date Date Activi Dew ion Cleant ' Price Awed Interest Amount Curren
Securities Bought and Sold
02105114 0113111/ SOLD DELTSCHEBK AG LONDON BR,- DB AGRIC DOUBLE LONG -5.000.000 6.7500 33,613.41 LSO
DAG TRADED NT UNSOL AVERAGE UNIT PRICE TRAK SACTION
YOUR BROKER ACTED AS AGENT
02106111 02103/14 SOLD DEUTSCHE BK AG LONDON BRH DB AGRIC DOUBLE LONG -16,200000 6.8553 110,399 92 LSD
DAG TRADED NT IASOL AVERAGE UNIT PRICE TRAKWT(0k
YOUR BROKER ACTED AS AGENT
02/07/14 02104/14 SOLD DEUTSCHE BK AG LONDON BRH DB AGRIC DOUBLE LONG -2,400.000 7.1556 17.017.14 USD
DAG TRADED NT UNSOL AVERAGE UNIT PRICE TRANSACTION
YOUR BROKER ACTED AS AGENT
02110114 02105/14 SOLD DELTSCHEBK AG LONDON BRH DB AGRIC DOUBLE LONG -7.534.000 7.1500 53,184.46 LSD
OAG TRADED AT UNSOL AVERAGE UNIT PRICE TRANSACTION
YOUR BROKER ACTED AS AGENT
02110114 02105/14 PURCHASED GILEAD SCIENCES INC UNSOL AVERAGE UNIT PRICE 5.000.000 79.2202 •396,40700 LSO
GILD TRANSACTION YOUR BROKER ACTED AS AGENT
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 ,181,932.07
Dividends and Interest
02104114 BOND INTEREST RECEIVED 3000000 SOLD, ERN CALIF EDISON CO PREF SERE 6.250% 93,750.00 LSD
842400F62 02101/22 WE DTO 01/17/12 CLB RD 01/04 PD 02/01/14
02113114 CASH DIVIDEND RECEIVED 2000 SFRS APPLE INC COM RD 02110 PD 02/13/14 6.100,00 LSD
02114114 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 561.67 LSD
DEPOSITS INTEREST
RECEIVED
458997996
02118114 CASH DIVIDEND RECEIVED 126600 SF RS ALLY Fl L INC PERP PFD FIXEDIFLTG RATE SEE 67.256.25 LSD
ALLY PRB A CALLABLE RD 02101 PD 02118114
02/18/14 BOND INTEREST RECEIVED 80000 SF RS GM AC CAP TR I G TD TR PFD SECS SER 2 8 125% 40,625.04 LSD
ALLY PRA FIXED RATE RIG RD 02/14 PD 02115/14
02/18/14 80ND INTEREST RECEIVED 2500000 SERVICEM ASTER CO SR NT • CUSIP FULLY 100,000.00 LSD
81760NAN9 EXCHANGED FROM OLD CUSP 81760NAL3 8.000%
02115/20 WE DTD 02/13112 CLB RD 01/31 PD 02/15/14
02/25/14 BOND INTEREST RECEIVED 4500000 COUNTRYWIDE HOME LOANS SER 03.1 CL 81 5,639 20 LSD
12669DYS1 1090% 03125133 B/E OTEI 01130103 RD 01131 PD 02125/14
02/25/14 FOREIGN BOND INTEREST 8250000 GLOBAL MTG SECURITIZATION LTDI GLOBAL MTG 13.057.07 LSD
378961AV8 SCIZN ISINOUS378961A1/83 5.250% 01125132 B/E DTD
04/28/05 RD 01131 PD 02125114
Page 16 of 22
Account Number. o N, Fo G r o N pap r e r rle i s A s L Ral•d tiocel.n l• M c- ....%.n.. WC • am. arra •••••••••••
SOUTHERN Ck LLC. CAW* RATED COMMUNICAlIONS
EXCILIANC I
SDNY_GM_00045770
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008594
EFTA_00 156379
EFTA01288742
0eviv,e Ram Dnwrr. Worth Maernalt
1.14e<C, Conn« Grod)
MAV M Pa* ~net `ac
IlmIlert Mc*
PC. Sot 12/6. aPt mat MD 21203 Ha Part 4.~ lNnrxcr
Wm. RA. PY BMA
Statement Period: 0210112/14 -0212812114
Transactions by Type of Activity (continued)
Process/ Trade)
Settlement Transaction
Date Date ACtiVi Dew' on Doane Price Accrued littered Amount Curren
Dividends and Interest (continued)
02125114 BOND INTEREST RECEIVED 10000000 IM PAC CM B TR 2005.2 ASSET BC BD CL 114.2 1,056.26 LSO
45254NNC7 0 890% 04125135 BIE DID 03103105 RD 02124 PD 02125114
02/25/14 BOND INTEREST RECEIVED 1290000 WASHINGTON MUT MTG SECS CORP 2004-12A2 4,836.82 USD
939336S20 MIG PASSTHRU CTF CL C-8.1 VAR RATE 6.973% 07125/33
EVE DTD 06101/04 RD 01131 PO 02125/14
02126114 02104114 BOND INTEREST ADJUSTMENT 3000000 SOUTHERN CALIF EDISON CO PREF SER E 6.250% .93.750.00 USD
842400FU2 02101/22 WE RD 01/04 PO 02/01/14 SOURCE CODE RUSL
ADJ TO FOLLOW
02/26/14 CASH DIVIDEND RECEIVED SOUTHERN CALIF ED ISOA CO PREF SER E 6 250% 02101122 93.750.00 LSD
842400FU2 WE RD 01/04 PD 02/01/14 CASH PAYMENT 3000000
Total Dividends and Interest- UNITED STATES DOLLAR 0.00 332,882.31
Distributions
02125/14 RETURN OF PRINCIPAL 4500000 COUNTRYWIDE HOME LOANS SER 03-1 CL BI 12,924 41 LSD
RECEIVED 4 090% 03125133 WE DTD 01130103 RD 01131 PO 02125/14
126690Y51
02/25/It RETURN OF PRINCIPAL 8250000 GLOBAL MTG SECURMZATIOA LTD/ GLOBAL MTG 44,250 63 USD
RECEIVED SCTZN ISINAUS378961AV83 5 250% 04125132 B/E DTD
378961AV8 04128/05 RD 01131 PD 02/25/14
02/25/14 RETURN OF PRINCIPAL 1290000 WASHINGTON MUT MTG SECS CORP 2004•RA2 778.33 LS0
RECEIVED MIG PASSTHRL CTF Cl. C.B-1 VAR RATE 6.973% 07125/33
939336S20 WE DTD 06101/04 RD 01/31 PD 02125/14
02/26/14 PARTNERSHIP DISTRIBUTION 263157 SHRS APOLLO GLOBAL MGM T LLC CL A SHS RD 284,209 56 LSO
APO 02/19 PO 02/26/14
02/26/14 RETURN OF PRINCIPAL 10000000 IM PAC CM B TR 2005.2 ASSET Be BO CL 14.2 5,642 64 LSD
RECEIVED 0.890% 04/25135 WE DTD 03103105 RD 02124 PD 02125/14
45254A NC7
Total Distributions • UNITED STATES DOLLAR 0.00 347,805.57
Page 17 of 22
Account Aura Dec- GeJ paperless R Sa a n l• e cl . Yews In A Row ag,,,,,,,~•~ 9 msg. • •~•~••••••••••
SO Li THERAeri t\C IFIDEhrstaliAL rxctiatui NItAI`TZ DCOMMUNSCATIONS
SDNY GM 00045771
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY:0008595
EFTA_00 156380
EFTA01288743
Transactions by Type of Activity (continued)
Process/ Trade!
Sttlenient Transaction
Date Date Activi Deal ion Giant' Price Awned Interest Arn cunt Garen
Cash Withdrawals and Deposits
02104114 FEDERAL FADS 0. DEUTSCHE BANK TRUST ,190,000.00 USD
USD999997
02(19/14 FEDERAL FUNDS RECEIVED ?MORGAN CHASE BANK 35437 10.397.099.07 USD
USD999997
Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 10,207,099.07
FDIC Insured Bank Deposits
02/03114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -8,266.14 LSD
USD999997
02/04/14 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 96,250.00 LSO
WITHDRAWAL
USD999997
02/05/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITSPROGRAM -33,54341 LSD
USO999997
02/06/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM •110,39992 LSD
USD999997
02/07/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -17,047.14 LSO
U5O999997
02/10/14 FDIC INSURED BANK INSURED DEPOSITSPROGRAM 342.922 54 LSD
WITHDRAWAL
USO999997
02/14/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITSPROGRAM 4100.00 USO
USD999997
02/14/14 FDIC INSURED MK INSURED DEPOSITS INTEREST Ran VESTED .661.67 LSD
DEPOSITS INTEREST
REINVESTED
458997996
02/19/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM •207.88129 USD
USD999997
02/20/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITSPROGRAM •10,397,099O7 LSD
USD999997
02/26/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM .82.542.72 USD
USD999997
02/27/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITSPROGRAM -289,852.20 LSD
50999997
Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 40,714,121.02
Total Value of Transactions 0.00 .8,266.14 USD
The price and quantity displayed may have been rounded.
Pap 18 of 22
Account Nu® Der F Go paperl less R Se a v n e d n t V ia e l e le n n In t A Row Cf.........t. 14/0.•••• We. • ••••••••••••••••••141M7
SOUTH ERA CLIO
EN MAL
CexAcLuMm*u RcAcT ED COMMInCATIONS
SDNY_GM_00045772
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008596
EFTA_OOI5638I
EFTA01288744
Deshoe Pnwe Weada mr.agenms
Marais tonna ro‘P
Deaulv Sank Secto9e. Inc
Mow Int Olk•
PC. Bc.1776 B4I .M021203 HS Put Asa. IM, I leer
Statement Period: 0210112114 -02/2812114
Cash Not Yet Received
Security Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment
Dividends
GENERAL ELECTRIC CO CON 02124114 04125114 23 000 COO 0 220000 Cash 5.060.00
Total Cash Not Yet Received 15.060.00
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
1 to 6 months 2,090,000.00 6% Percentages of bond market values are
rounded to the nearest whole percentage.
I to 12 months 3.223.800.00 9%
1 to 5 years 2.072.500.00 6%
6 to 10 years 10,012,000.00 28%
Over 10 years 18,881,029.45 51%
Total 36,331,329.45 100%
Bond Quality
Bond CHAN Market Value % of Bond Market Value
BAA 5.450 000 00 15% F1 Percentages of bond market values are
eAlLower 24.563.043 54 68% rounded to the nearest whole percentage.
hot Rated 6.326.285 91
Total 36,339,329.45 100%
Client Service Information
Your Client Advisor: TDS Contact Information
TAZIA Irk Telephone Number:
345 PARK MtEh LE 141.f. FLOOR
KEW YORK NY 10154
Page 19 of 22
Pin1992SCSF300IS A SO cc U o T u H n E t N RN um ber N LI 0. FID G E o p N . a IT p . e I I rle 1 s V s A L E ( l s i N s X t t e W C e n E d * L I Y . . . e . . R . N a t . i ' A C e la T I n E t D A C R O e M w PALINOCADONS C•NISIIII.NIONOWSIP.114.•••••0011.••••••••••••MI
SDNY_GM_00045773
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008597
EFTA_00 156382
EFTA01288745
Your Account Information
Tax Lot Default Disposition M ethod
Default Method for Mutual Funds: FIRST lie FIRST OUT
Default Method for Socks In a Dividend Reinvestment Plan: FIRST lk FIRST OUT
Default Method for all Other Securities: FIRST lk FIRST OUT
Electronic Delivery
You have not selected any account com m unications for electronic delivery. To register and turn off paper con m unications, log in to your account or contact your Client Advisor for more inform alion.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in you 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 dosing 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 —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
vAwrpershing.cornibusiness_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 securties 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. may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information WO 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
information is available to you promptly upon your written request directed to your introducing fern. 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 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. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate win 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) wit be billed 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 & 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 & Poor's 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 & Pod'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.
Cash Not Yet Received
Assets shown here are not reflected is your account This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information.
4 Page 20 of 22
rrnan.r. • T Account Number: Go paperless R Se a v b e id n E Y x e c a e rs lle In n t A Row blew. •••••401.1.1.C. • se. ••••• istat
SOUTHERN DAL•All ILATCOCOWALINICAT1ONS
K1F I DA5NITIAL:. '' . """""
SDNY_GM_00045774
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0008598
EFTA_00 156383
EFTA01288746
01,41.1•C PAIMIP,Ind
Maroets (Ino 4.0.9
De.tic Nom M.
...iv, bete Office
14,°m n...... .lent
tine writ 1.v laVA
Statement Period: 0210112014 • 02/28/2014
Important Information and Disclosures (continued)
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 cleating 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 (i) 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 controling or under common control with it liaNe 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 result 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 appicable; 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. AI 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 account. This notice is not meant as a definitive enumeration of
every possible circumstance, btu as a general disclosure. II 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. Fa more detailed information please visit: wmv.pershing.cornistrength_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 reconfirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
• Your financial organization' iinnnformation 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; . 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 filed.
• Arbitration awards are generally final and binding; a party's ability 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 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 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.
Page 21 of 22
801199nCSF30,15 Account Number F DG o rp<TIlwrIleAss sowteen year, ea aft. Corwopienueliftreinpu.0.•••••.••••••••••••••ar
SOUTHERN atilt; RTC) COMPAUPOCA110.4%
L
SDNY_GM_00045775
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 013-SDNY-0008599
EFTA_00156384
EFTA01288747
Important Information and Disclosures (continued)
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 (Ill) 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;
Page 224122
B011992SCSF300IS Account Nun her Go paperless a ., Rate — d Y I . e .. n me ii a D t A COOMI..a.A Cons.••••41. ••••••wo.I.C. • sea. *arts •••••••••
SO Mar
F I DAENTIA r
SDNY_GM_00045776
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008600
EFIA_00 156385
EFTA01288748
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New brit Cato
PA Os 1775. Swam MDPIXO HS Past Asa. Ammer
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Account Number:
Statement Period:0110112114 -01/3112114
Valuation at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 90,673,060.28 590,573,050.28
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals -109,995.00 -109.995.00
Adjusted Previous Account Value 90,463,056.28 90,463,056.28
ST THOMAS VI 00802
Dividends. Interest and Other Income 38.807.19 38.807.19
Net Other Activity -18 00 -18 04)
Net Chan e in Portfolio 501 761 99 501.761 99
nding Account Value S91 003 606.46 591.003.606.46
Your Client Advisor: Estim aced Annual Morn e 13,709,636.95
TAZIA 9M ITN
Asset Allocation
Prior Year-Bed led Period This Period % Allocation
ISO Cash. money Funds. and Bank Deposts1 18295,949.71 18,295,949.71 21,930379.16 21.10% Pe Chart allocation only inctdes
products that are of positve value.
USD Axed Income 27,736,972.38 27,736,972.38 25,708,949.55 2825% Assets or lass than 1% of hue:linos
Noniti SD Fixed Income 10.22230916 10,222309.46 10,201.60702 1121% wit not display on this pe chart
USD Equities 30,41051965 30,410,519.65 29,750390.18 3211% 1 l N
Non-LSD Equities 3.137.192.74 3,137,192.74 2,796,600.00 3.07%
Non.liSD Cash. Money Funds. and Bank Deposits 402106.34 402106.34 393,526.05 0.43%
Other 363.000.00 363.000.00 210.154.50 0.23%
Account Total (Pie Chart) 990,573,050.28 590,572050.20 $91,003,806.46 100.00%
I The Bank Deposis In your account are FDIC insured bank deposits.
FDIC insured bank deposits are rot securities and are not covered by the Securities Investor Piotectbn Corporaton
These bank deposits are covered by the Federal Deposrt Insurance Corporation FDIC). up to stowable lents.
See!pp aagpe 2 01 the statement for important nformaton regarding the Asset
APOC8t)Casecoon.
Page 1 of 23
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SDNY_GM_00O45777
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008601
EFTA_00156386
EFTA01288749
Asset Allocation Disclosure and Footnotes
Certain values have been defaulted into the Other Asset Class due to incomplete categorizing data
Al values are displayed in U.S. dollars based on interbank exchange rates as of 01/3112014. Exchange rates can vary.
Equities contains Equity Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short.Tern Gain/Loss -155,710.40 ,155,770.40 1,381,904.52
Long-Term Gain/Loss -50.544 57 -50,544.57 4,707,158.03
Net GaIn/Loss -206,314.97 -206,314.97 4,345,253.51
This summary excludes transactions where cost basis information is rot available.
Exchange Rate Table Global Cash
Orating Closing Amount in
Currency USD Etolvalent pee USD Wrenn, Balance Base Wrens* USD
EURO 1.3404 0.7416 EURO 291,846.67 393,526.05
MEXICAN PESO 0.0747 13.3801 Total Global Cash Balance 5393,526.05
Exchange rates are based on interbank exchange rates as of 0113112014. Exchange rates can vary.
FDIC Insured Bank Deposits
Date Activity Type Desaiption Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number. AaMily En ing: 01/31114
01101114 Opening Balance 18,181,672.33 18,181,672.33
01102114 Deposit DEPOSIT 114,277.30 18,295,949.71
01103/14 Withdrawal WITHDRAWAL -18.00 18.295.931.71
01113/14 Deposit DEPOSIT 2,216,07141 20,512,003.12
01115114 Deposit Its TERM CREDITED 470.84 20,512,473.98
01115/14 Deposit DEPOSIT 2,149,274.07 22,661,748.03
AN 0.03%
01116114 Withdrawal WITHDRAWAL -3,684,681.32 18,977,088.71
Associated Bank NA
NO 01/16 5250000.00
BB&T
NO 01/16 5250000.00
Bank of America
NO 01116 S250000.00
Citibank N.A.
Page 2 of 23
80100212C5F30016 A SO cc U o T u H n E t R N N u mber NcI F I D G ,• o • p a N pe T rle I ss A t M st A ". L—SAII RA`TA Rae M UNCAT ONS C ea a n is o lo M p * A m I l a a p P s O i w y e e n s b l y e L a L n C . C • s • a •• m •• e • . • o •• a • r C . a • r • t • a • l • l. • 1 ••
VCCOUNC
SDNY_GM_00045778
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 0B-SDNY-0008602
EFrA_00156387
EFTA01288750
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Statement Period: 01/01/2014 • 01/31/2014
FDIC Insured Bank Deposits (continued)
Date Activity Type Description Amount Balance
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
NO 01/16 5250000.00
Deutsche Bank
NO 01/16 $16790068.
East West Bank
NO 01/16 5250000.00
NY Comm unity Bank
NO 01/16 5250000.00
Texas Capital Bank
NO 01/16 $25000000
Miele Capital Bank
NO 01/16 $186998.58
Union Bank of CA
NO 01/16 5250000.00
01/23/14 Dermal DEPOSIT 93.47910 19.070.546.41
01124/14 Withdrawal WITHDRAWAL 109,995.00 18.960.551.41
01128/14 Deposit DEPOSIT 99,559.34 19,060,110 75
01129/14 Deposit DEPOSIT 2.868,00227 21.928.113 02
01131/14 Closing Balance 521,928,113.02
Total FDIC Insured Bank Deposits 521,928,113.02
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
Cement Period Yeahlo•Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 13,326.14 0.00 13,326.14 0.00
Interest Income
Bond Interest 25,010.21 0.00 25,010.21 0.00
FDIC Insured Bank Deposts 470.84 0.00 470.84 0.00
Total Dividends, Interest, Income and Expenses $38,807.19 $0.00 $38,801.19 $0.00
Page 3 of 23
Account Number Go paperless 0„,....0,.....•••••••• us& • ••••• Paned •••••••••
SOL THERM CH
FIDtgataTAL
CALM* ItATED CrC6PwA.PALINICATIONS
SDNICGM_000,15779
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008603
EFTA_00 156388
EFTA01288751
Income and Expense Summary (continued) Current Period Year.to-Date
Taxable Non Taxable Taxable Non Taxable
Distributions
Other Cis:nu:ir:us 000 85.72909 0 00 85 729 09
Total Distributions $0.00 685,729.09 $0.00 $85,729.09
Portfolio Holdings
U.S. DOLLARS
Account Activity Opening Closing Accrued Income 30•Day Oment
Cimino Date Quantity Number Baba Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits
Cash Balance 54,731 58 8.26614
Margin Balance 59,545.80 0.00
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
01101114 21,928,113.020 01531/14 18,181,672.33 21 928.113 02 292.99 470 84 NIA NIA
Total FDIC Insured Bank Deposits $18,181,672.33 $21,928,113.02 $292.99 $47044
Total Cash, Money Funds, and Bank Deposits 318,295,949.71 $21,936,379.16 $292.99 $47014
Adjusted Utrealized Awued Estimated Estimated
Date Ned Ousetit Daft Cos! Cod Basis Market Price Markel Value Gala/ Loss hung Muesli Income Yield
Fixed Income (In Maturity Date Sequence)
'Asset Backed Securities
'GLOBAL M TG SECURITIZATION LTD/ Security Identifier: 378961AV8
GLOBAL MTG SCTA ISM/ US3789611V83
5250% 04125132 WE DM 04128105 Moody Rating CAA3 S
P Rating B-
Factor. 0.36175424 Effete Date:01/02/14
Current Face Value: 2.984.472.480
12113/13 '.3.12 3,078,211.000 919900 1,024 360 05 94.0780 1,047,611 09 23,251 04 974.36
0 nginal Cost Basis: $1,040,301.84
Total Noncovered 3,078,211.000 1,024,360.06 1,047,611.00 23,261.01 974.38
Variouse.1.11 5,171,789.000 N/A Pease Provide 94.0780 1.760.120.93 N/A 1,637.05
Original Cost Bait Rena Provide
Total Unallocated 6,171,789.000 Please Provide 1,760,120.93 NIA 1437.05
Total 8,260,000.000 NIA $2,607,732.02 NIA $2,611.41 $0.00
'COUNTRYWIDE HOME LOANS Security Identifier: 12669DYS1
SER 03-I CL 81 4.090% 03126/33 B/E
DID 01130103
Factor: 0.26152783 Effective Date:01102114
Current Face Value:1.176.875.235
12113/13 Urn 1,211,860.000 95.4990 302469.88 86.9630 275,61628 -27,053.60 1,080.22
Page 4 of 23
ñ
80100242CSF30016 A SO cc U o T u H n E t N RN um ber c G E o . p ap . e i T rles i s , S , ..-r-, C *I O M N P I. S D . O O M .N IO Il N a I n N • I • M •• S •• O S L M LI . C . • C 1 • 0 • 1 •• 1 • 0 •• 0 • . • • 1 •• 4 • • • M •• M Y M elt S , *
laxt ir C""L"CATICNI SDNY_GM_00045780
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0008604
EFTA_00156389
EFTA01288752
Draftee lima P0•110 YMY I, PAIMI,Nat
Mareits I wear Comp
°tau iv sat sew *es 4%.
Naw b4Niko
P.O. e41776. Balemon MD21200 HS Pia Aso* IM, I Icor
Now** NY 101M
Statement Period: 01/0112014 - 01/3112014
Portfolio Holdings
(continued)
U.S. DOLLARS
(continued)
AdJudmi Usrealized Acaued Estimated Estimated
Date Ned Ouaetlt Deft Cori Cad Bads Market Price Markel Ville GaialLoss Interest Annual Income Yield
Fixed Income (continued)
'Asset Backed Securities (continued)
COUNTRYWIDE NOM E LOANS (continued)
Original Cosl Basis: 5306.153.67
Total Noncovered 1,211,660.000 302,669.10 275,616.21 -27,053.60 1,000.22
Various',1,11 3,288,140.000 Pi/A, Hesse Provide 86.9630 747,829.73 N/A 2.930 96
Original Cost Basis: Ream Provide
Total Unallocated 3,210,140.000 Please Provide 747,1129.73 NIA 2,930.96
Total 4,500,000.000 NIA 51,023,446.01 N/A 94,011.18 $0.00
!WASHINGTON NUT N TG SECS CORP 2004-RA2 Semite Identifier: 939338320
TG PASSTHRU CTFCL C43-1 VAR RATE
6.972% 01125/33 WE DID 06/01104 S 8 P Rating D
Factor:0.64524087 Effective Date:01(02414
Current Face Value: 832,360122
12113113'.x•12 837,723.000 77 0000 416.210.59 86.0460 465,107 12 48.896 62 3.14090
Original Cost Basis 5417,514.76
Total Noncovered 837,723.000 416,210.50 465,107.12 48,396.62 3,140.90
Various'.3.11 452,277.000 NIA Please Provide 86.0460 251 105 99 NIA 1.695 74
Original Cosl Baas: Please Provide
Total Unallocated 452,277.000 Please Provide 251,105.99 NIA 1,695.74
Total 1,290,000.000 NIA 1710,213.11 NIA 14,835.54 WOO
11N PAC CM B TR 2005.2 ASSET 61(0 BD CL Security Identifier: 45254NNC7
14-2 0.893% 04125135 WE
DID 03103105 Moody Rating CA S 8 P Rating CC
Factor: 0.14683303 Effective Date:01127114
Current Face Value: 1.468.330.300
12113/13 'An 1,500.554 000 69 4090 152.929.44 71.1550 156,776.45 3,847 01 32.79
Original Cosl Basis: 5156,285.58
Total Noncovered 1,500,554.000 152,929.44 156,776.45 3,047.01 32.79
Various'.3.11 8,499,446.000 N/A Please Provide 71.1550 888,013.98 N/A 185.75
Original Cosl Basis: Please Provide
Page 5 of 23
Account Number paperless t ir Rated t y ia e l w le s n e t n A Consp0••••• Ono.. U.C. • sop *sad •••••Nan
SOUTHERN F I DrW[1AL I L N A C M E A LI R A N RA C T I ED COMMLNOCA110.41
SDNY_GM_00045781
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0008605
EFTA_00156390
EFTA01288753
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unasked Accrued Estimated Estimated
Date A ired act WM Cost 0:41 Basis Market Price Markel Valet Gala/ Loss Interest Annual Income Yield
Fixed Income (Generated)
'Asset Backed Securities (continued)
III PAC CM B TR 2005.2 ASSET WO BD CL (continued)
Total Unallocated 1199,416.000 Please Provide 888,013.98 NIA 05.75
Total 10,000,000.000 NM $1,044,790.43 NIA 921151 $0.00
Total Asset Backed Securities 11,896,16917 55192,181.57 548,941.07 911,877.77 50.00
24,010,000.000
Total Current Face Value : 6,482,038.737
Corporate Bonds
SG STRUCTURED PRODS INC Security Identifier: 78423EHS5
COMMODITY LKO MKT PLUS PROTECTED NOTES
0.000% 08/05/14 WE DM 07/30113
07/25/13 '•12.13 2,000.000 000 100 0000 2,000,000.00 100.3900 2,007,800.00 7,800.00 0.00
Original Cosi Basic 52,000,000.00
HSBC USA INC MEDIUM TERM NTS Security Identifier: 10132XFP1
BUFFERED NOTES LKD TO EURO STO)S 50
0.000% 08/29/14 WE DTD 05/30/13
05124113 2,000,000.000 100 0000 2,000,000.00 105.9300 2,118 600 00 118100 00 0.00
Original Cosi Basic 52.000.000.00
PM ORGAN CHASE & CO M EDIUM TERM NTS Security Identifier: 18126NVE4
CAPPED CONTINGENT BUFFERED EQUITY NTS
0.000% 10/16/11 WE D10 09/27/13
12/05113 '•2.2! 1.000.000 000 100 0000 1.000.000 00 101 6900 1A16.900 00 16100 00 000
Original Cosl Base 51.000.000.00
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
NOTES SENIOR 'SIM XS0460516525
5.000% 10/28/15 REG DTD 10/28109 S 8 P Rating B•
12/04/13 '.3.t2 2 500 000.000 90.6830 2,267,064.32 82.8000 2,070,000.00 .197.064 32 31.94444 125.000 00 6.03%
Original Coin Basic 52.250.000.00
HEADWATERS INC GTD SR NT Security Identifier: 42210PA05
7.625% 0110111981E DTD 03/11/11
CALLABLE 0//01115 (I 103.813 Moody Rating B2 St P
Rating B•
10122112'.22,23 1,000,000.000 102.6060 1.026.056.48 108.0000 1,080,000.00 53.943 52 25.416 67 76,250.00 7.06%
Original Cosi Basic 51,035,000.00
EARTHUNK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC6
CUSP FROM 270321AB8 8.875% 05115119 WE
DTD 05117111 CALLABLE 05115/15 S8 P Rating CCC•
10/22/12 '.12,13 400,000.000 102.6520 410.808.59 99.7500 399 000 00 .11108.59 7,491.44 35,500.00 8.89%
Original Cosi Basic 5414.000.00
Page 6 of 23
Account Number Go paper less aR tcat ;17:A R— CONIES. OMUI.111.010•MPISC. • i••••.••••• ••••••••••
80100212CSF30016
SOUTHERN
F I
I:YrNITTA '''`turccmmumesitta
SDNY_GM_00045782
K1
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 06-SDNY-0008606
EFIA_00 156391
EFTA01288754
0..n.,•, Pam w,. PAanair-wor
Mtnets (Pt„(* G.0.9
De.ite Nom Sew"... 4(
P.O. Bag 1776. Baltnnot•MOV203 Yin lkirk Office
JI,Pant Anne.. 101.01cce
trine SA nY 101:4
Statement Period: 01101/2014 - 01/31/2014
Portfolio Holdings
(continued)
U.S. DOLLARS
(continued)
Adjuded linearized Acaued Estimated Estimated
Date 'red Quad Usk Cod Cod Bads Market Price Market Value Galnl Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
EARTHUNK INC GTD SR NT FULLY EXCHANGED (continued)
10123112 %DM 800,000.000 102.4650 614,789.17 99.7500 598,500.00 .16,289.17 11,241.07 53,250.00 8.89%
Original Cad BaSit $619,500.00
Total Noncovered 1,000,000.000 1 025 397.76 997,600.00 -27,897.76 18,738.11 68,750.00
Total 1,000,000.000 51,025,397.76 $997,500.00 -327,007.76 113,731.11 111,750.00
SERVICES ASTER CO SR NT - CUSP FULLY Security Identifier: 81760NANI
EXCHANGED FROM OLO CUSP 81760NAL3
8.000% 02/15120 WE DTD 02113112 Moody Rating CAA1 S
P Riling CCOr
01124113 'AM 1,500.000.000 1052680 1,579,026.96 103.5000 1,552,500.00 -26.526.96 55,333 33 120,000.00 7.72%
Original Cod Basis: SI.595,625.00
02125113 %UM 1,000,000.000 105.8590 1,058,588.49 103.5000 1,035,000.00 -23,588.19 38.888 89 80,000.00 7.72%
Original Cod Bass: 51,070,000.00
Total Noncovered 2,500,000.000 2,637,615.45 2,517,600.00 -60,116.16 92,222.22 200,000.00
Total 2,600,000.000 $2,637,615.46 $2,617,600.00 -$50,115.15 $12,222.22 1200,000.00
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: GIS15PP48
TERN NOTESISMSX.50717735822
9.875% 12116/21 REG DM 12/16111 Moody Rating Del St
P Rating BBB
12104/13 '.3.12 1,500.000 000 108 3940 1.625.910 66 119 2500 1.788350 00 162,83934 18.10117 118.125 00 8.28%
engine! Cost Basis. 51 627,500 00
SOUTHERN CALIF EDISON CO Security Identifier: 842400FU2
PREF SER E 6.250% 02101122 WE
DTD 01117/12 CALLABLE 02701122 Moody Raring BAA2 S
P Rating BBB.
01130112'.3.I2 3,000,000 000 99.7900 2.993.701 54 103.7500 3,112,500.00 118.798 46 93.750 00 187.500 00 6.02%
Original Cost Ban 52,992,564.97
BARCLAYS BK PLC CONTINGENT CAP NT Smithy Identifier: 06739FliK0
ISM LS06739FH KO3 7.750% 04/10123 B/E
D1D 04110113 CALLABLE 04110118 St P Rating BB*
04103113 %ISM 300,000.000 100.0000 300,000.00 108.3750 325,125.00 25,125.00 7,188 75 23,250.00 7.15%
Page 7 of 23
(MAR.( o r Account Number: KIFID G A o p E ap N erl T es I s A L R D Se A a v t M e e d A n O Y i , m e R a e A r e s l T l e I E n n D t A C R O o M w I NIUNICAT10.41 CO M N R S D II O III M M f u a e m l. P a O w NS s . a Il w e. • c o W n I m NO in . 0 ta •1 • 0 c 0 a 4 n Y M AW S0 S 4 ,
eXCELISPICI
SDNY_GM_00045783
CONFIDENTIAL — PURSUANT TO FED. R CRIPA. P. 6(e) OB-SDNY-0008607
EFTA_00156392
EFTA01288755
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date A ired al Usk Cot Cot Basis Market Pria Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
BARCLAYS BK PLC CONTINGENT CAP NT (cod/ended)
Original Cost Basis. 5300,000 00
PM ORGAN CHASE & CO DEP SHSREPSTG Security Identifier: 48825141141
1/10TH Pf0 SER 1 FIXED TO FLTG RT BD
7.900% 04/29/49 B1E DID 04/23108 Moody Rating BA1 S d
P Rating BBB
06/15/11 '.3.12 2.500.000.000 107 5000 2.687.500.00 110.6200 2.765.500.00 78.000 00 49.375 00 197.500.00 7.14%
Original Cost Basis. 52,687,510.00
06115/11 2.500,000 000 107 0000 2.675.000.00 110.6200 2,765,500 00 90,500 00 49,375 00 197,500 00 7.14%
Original Cosl Basis: 52,675,000.00
Total Noncoyeted 5,000,000.000 5,362,500.00 5,531,000.00 168,500.00 98,750.00 395,000.00
Total 5,000,000.000 35,362,500.00 $5,531,000.00 $166,500.00 196,750.00 $395,000.00
BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 060505018
FINEI TO FLOAT 8.125% 04130/58 EVE
DTD 04130/08 CALLABLE 05/15118 Moody Rating BA3 Sd P
Rating BB+
01/10/11 '.3.12 2.000.000 000 102 7500 2.055.000.00 111.2600 2.225.200.00 170.200 00 34.305 56 162.500.00 7.30%
Onginal Cast Basic 52.055.000.00
GENERAL ELEC CAP CORP NON CUM PFD SER Searlty Identifier: 3696228N6
A 7.125% 00112/62 ENE
DTD 06112112 CALLABLE 06/15/22 Moody Rating BAA1 S
P Rating AA-
06127/12 %ILO 2.000.000.000 105 5300 2.110.605.12 112.3750 2.247.500.00 136.89488 18.208 33 142.500.00 6.34%
Onginal Cost Basis. 52.122.916.67
LBG CAPITAL NO 1 PLC 144A Security Identifier: 054338808
ISMS X50473106283 8.000% 09/15/88 REG
DTD 12115109 FOREIGN SECURITY S8 P Rating BB
12104/13 '.3.12 3.000.000.000 108 2500 3.247.500.00 107.0000 3.210.000 00 •37.500.00 30.666 67 240.000 00 747%
Original Cosl Basis: 53,247,510.00
Total Corporate Bonds $29,651,351.33 $30,318,375.00 $661,023.67 $469,272.92 11,788,875.00
28,800,000.000
Total Fixed Income $31,547,521.20 135,910,556.67 $716,984.74 $480,950.69 11,788,875.00
52,840,000.000
Page 8 of 23
cr5. ejtik
80100212CSF30016 Account Number. Go paperless woemn Yea/. en A Rew eyes.,. ..IA Anse. We. • am. •••••• •••••••••
SOLTHERA FtDrniariAr--""rt--
SDNY_GM_00045784
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008608
EFTA_00156393
EFTA01288756
Onisre Ram kmalPVItaltniAmigenes
Pdatal$ Poen< 6,..p
Dettsch4 Oat Stwles
wan Onto
PC. Sat Ills. flat moot MD 21203 Put 4+~Y.1r 6,p0a.w "t er
War we\
Statement Period: 01/01/2014 01/31/2011
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Cate A- aired Outfit Unit Cod Cost Basis Market Prim Nadel Value Gain! Loa Annual Income Yield
Equities
Common Stocks
APOLLO GLOBAL M GM T LLC CL A SHS Security Identifier: APO
Dividend Option: Cash CUSP. 037612306
03129/11 '.13 263.157.000 19 0000 4,999,983.00 32.4500 6.539.444.65 3.539.46115 1 039 470 15 12 17's
APPLE INC COM Security Identifier: AAPL
Dividend Option: Cash C699 037833100
10/28113 2,000.000 529 0600 1,058.120 50 500.6000 1,001,200.00 -56.920.50 24,400.00 2.43%
ARIAD PHARM ACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash CUSP. 04033A100
02114/12 '.13 7,535.000 15 2090 114,597.40 7.3900 55,683.65 48,913.75
01124/13 '.13 9.000.000 19 6000 176.400.00 7.3900 66.510.00 -100,890.00
Total Noncovered 16,535.000 211,997.10 122,193.65 ,188,003.75
Total 16,535.000 1290,997.10 $122,193.65 -116803.75 $0.00
ASCENA RETAIL GROUP INC CON Security Identifier: ASNA
Dividend Option: Cash CIAP. 04351G101
01116101 70.500.000 21 2770 1.500.000.00 18.7600 1.322.580 00 -177,420 00
BIOGEN IDEC INC CON Security Identifier: BNB
Dividend Option: Cash CL SIP 09062X103
02114/12'.13 2,095.000 119 5490 250,454.95 312.6400 654.980 80 404,525 85
FACEBOOK INC CL A Security Identifier: FB
Dividend Option Cash CUSP: 3030311102
05117/12 '.13 17.500.000 38.0000 665.000 00 62.5700 1.094.975.00 429,975.00
FOUNDATION MEDICINE INC COM Security Identifier FM I
Dividend Option: Cash CUSP. 350165100
01113114 25.000 000 27.5070 687.66350 29.9400 748.500.00 60,836.50
GENERAL ELECTRIC CO COM Security Identifier: GE
Dividend Option Cash CUSP: 369604103
04123/13 23,000 000 21.5700 496,109.08 25.1300 577,990.00 81,880.92 20210.00 3.50%
Page 9 of 23
P0100212CSF30:0:: Account Number Go paperless R se a — nd v o - w - ' - ,l 8 en ^ t Itew Condo& enuoiralwabyti.a. •floor *gabs mums.,
SOUTHERN FIDE• • N• TIAL D eX A C L I I L N U * N R C A E T ED COMMUNICAtIONS
SDNY_GM_00045785
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) N C DB-SDNY-0008609
EFTA_00 156394
EFTA01288757
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unedited Estimated Estimated
Date ired Quail Usk Cod Cod Buis Market Price Markel Value Gala/ Low Annual Income Yield
Eq uities (continued)
Common Stocks (continued)
GENERAL MTN CO COM Security Identifier: GM
Dividend Option: Cash CUSP. 37045V100
11118110 ' 10.988.200 36.4010 399.978.16 36.0800 396,454.21 .3,623.89 13,185.84 3.32%
12109110 ' 86,536 800 36 8160 3,185,969.22 36.0800 3,122,247.73 -63,721.49 103,844.16 3.32%
Total Noncovered 97,525.000 3 586 947.36 3,516,702.00 -67,245.36 117,030.00
Total 97,525.000 $3,686,947.38 23,516,702.00 -$17,246.38 $117,030.00
P M ORGAN CHASE & CO COM Severity Identifier: PM
ISktUS46625H1005 CUSIP. 4662511100
Dividend Option: Cash
07114105 '.3 21 753.000 488 4840 10.626.002 00 55.3600 1,204,246.08 -9,421,755.92 33,064.58 2.74%
SANGAN 0 BIOSCIENCES INC COM Security Identifier: SGM 0
Dividend Option: Cash CUSP. 800677106
05128/13 '.13 50.000 000 8 4440 422,214.00 19.3400 967,000.00 544,786.00
SANTANDER CONSUMER USA HMS INC COM Security Identifier: SC
Dividend Option: Cash CUSP. 8028311101
01123/14 1.000.000 24 0000 24.000.00 25.6300 25.630.00 1.630.00
TWITTER INC COM Security Identifier: TWTR
Dividend Option: Cash CUSP. 901841102
11107/13 1,500.000 26 0000 39.000.00 64.5000 96,750.00 57,750 00
Total Common Sods $24,645,491.81 $19,874,192.18 -94,771,299.63 $1,234,204.71
Preferred Sods (Listed by expiration data)
ALLY FINL INC PERP PFD FIXEDIFLTG RATE Security Identifier: ALLY PRB
SERA CALLABLE CUSP. 0200511308
Dividend Option: Cash
02103112 '.13 46.600.000 19.9140 927,973.76 27.0300 1,259,598.01 331,62425 99,025.00 7.86%
02/09112 '.13 mom 000 208580 1.652.500.00 27 0300 2,162,399.99 509,899 99 170.000.00 7.86%
Total Noncovered 126,600.000 2,580,473.76 3,421,998.00 841,624.24 269,025.00
Total 126,600.000 $2,580,473.76 $3,421,998.00 $841,524.24 $289,025.00
GM AC CAP TR I GTD TR PFD SESSER 2 8 Security Identifier: ALLY PRA
125% FIXED RATE/ FLTG CUSP. 361860208
Dividend Option: Cash
02/22112'.13 80,000.000 23.5350 1,882,773.60 27 3800 2,190,400.00 307,626.40 162,500.00 7.41%
Page 10 of 23
?:0024-CSF'" Account Num Der Go paperless R s O — wd l Y .e e d a o - l le 8 n ^ t Pc."' awry •••••••••••••• node. ••••••1•••••••••
F I DA5NITIAL DA LM* ItATI D COMMUNICATIONS
SON Y_GM_00045786
CONFIDENTIAL - PURSUANT TO FED. R CRIM.
67e)UThatt
EXCILISNCI OB-SDNY-0008610
EFEk_00156395
EFTA01288758
Oeuiv.v gam Pr Fn. Wealth Ma nerrat
Mnts Cowan . p
Dtotem 544,. ',lc
Ilre bet CON*
P.O. Bag 1776. BAbay** MO21203 M Pant Anew. 16.1h I kw
Statement Period: 01/01/2014 - 0 1/311201 0
Portfolio Holdings
(continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date tied aunt Unit Cod Cost Basis Market Price Markel Value Gain! Loa Annual Income Yield
Equities (continued)
Preferred Stocks (continued)
ROYAL BANK SCOTLAND GROUP PLC Security Identifier: RBS PRT
7.25% WON AD R REPSTG SER T PFD SHS CUSP 780097713
CALLABLE ON OR AFTER 12/3112012 0 25
Dividend Option: Cash
10124112 '.13 40.000.000 23.7000 951.600.00 24.5400 981.599.99 29.999 99 12,500 00 7.38%
01107113 40.000.000 21.1400 977.600.00 24 5400 981.599 99 3.999 99 72,500 00 7.38%
01111113 '.13 40,000.000 21.8800 995,200.00 24.5400 981.600.02 .13,599 98 12,500 00 7.38%
Total Noncovered 120,000.000 2,924,100.00 2,911,500.00 20,400.00 217,600.00
Total 120,000.000 $2,924,406.60 12,944,11011.115 $20,400.00 2217,500.00
Total Preferred Stocks 17,387,647.36 $5,651,198.00 11,169,660.64 $619,025.00
Options
CALL 100 AMERICAN AIRLS GROUP INC COM Option Identifier: 990AOTZX
EXP 01.17.15Q 20.000 OPTION ROOT: AL Lnderlying Security Identifier: MI.
1,000.00 of these conlracts are in your margin account Underlying Security Price: $33.55
12111113' 1.000.000 8.0330 803,311.50 13.9000 1,390,000.00 586.68550
PUT 100 All ERICAN AIRLS GROUP INC COM Option Identifier: 99CIADTZGO
EV0147450 20 000 OPTION ROOT: AAL Undedying Security Identifier: AAL
-1,000.00 of these conlrads are a short position Underlying Security Price: $33.55
12111113' -1,000.000 1.9770 -197,702.00 0.6500 -65,000.00 132,702 00
Total Options 2606,012.50 $1,326,000.00 $719,357.50 $0.00
Total Equities 632,635,751.57 $29,756,390.18 -$2,582,351.49 11,083,220.71
Estimated Estimated
Date Acquired Quantity Unit Cog Cost Basis Market Price Markel Value Gale/ Lon Mind Income Yield
Exchange-Traded Products
DEUTSCHE BK AG LONDON BRH DB AGRIC Security Identifier DAG
DOUBLE LONG TRADED NT CUSP 2515411558
Dividend Option: Cash: Capital Gains Option: Cash
07/12/10 %UM 31,134.000 7.0510 219,512.76 6.7500 210.154.50 .9,358.26
Page 11 of 23
Account Num tier bGroN papieTrleIsAs l*c Rsa•leend I ...tien la t A no.- C es o n m o a t e ie O r n O o P P . S ow I'S e . s s . e is w & . c . o . np . o n ss r o o s d c a a n s m s a a w ss % in
DALIN* RA T ED COMPALINICADONS •••••••• tic yes new w el an
CO F I EXCELIAINCI
SDNY_GM_00045787
67e)UTHERk
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. DB-SONY-0008611
EFT:4_00156396
EFTA01288759
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Cafe Acq..red Quantity Unit Cost Cost Ban Market Price Market Value Gain! Loss Annual Income Yield
Exchange-Traded Products (continued)
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DXJ
Dividend Oren Cash. Capital Gans Option. Cash CLSIP 97717W851
60,000 00 of these shares are in your margin account
12/11113 60.000 000 19 1350 2.966.098 50 166100 2.796.600 00 -169.19850 37.06I 10 132%
Total Exchange-Traded Products $3,185,611.26 63,006,751.50 -$178,858.78 $37,081.10
Unrealized Awued Estimated
Cost Basis Market Value Gain/ Ws Interest Annual Income
Total U.S. DOLLARS $89,308,263.29 $90.610,08041 -$2,315,253.51 $180,950.69 $3,709636.95
EURO
Opening Posing Accrued 30-Day
Description Quantity Balance Balance Currency Income Yield
Cash, Money Funds, and Bank Deposits
Global Cash Balance 291,816.67 291,816.87 EUR
393.526 05 LSO
Total Cash, Money Funds, and Bank Deposits 291,846.67 291616.67 EUR 0.00
393.526 05 LSO 000
Accrued
Markel Value Currency Interest
Total EURO 291,846.67 EUR 0.00
393.52605 ISO 0.00
Unrealized Accrued Estimated
Cost Basis Market Value Gain/ loss Interest Annual Income
Total Portfolio Holdings - U.S. 889,308,263.29 $91,003,60666 -$2,315,253.51 $480,950.69 $3,709,636.95
DOLLARS
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.L.110-343, 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 "applicable date(s)' at which they are subject to the cost basis reposing rules and the adjusted basis vAll be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Page 12 of 23
80100242CSP30016 I IIAI1 Account Num ber oNFIDAGoE prNlesTs IAL C r A ti W * f R a A t T V E A D C R O e M ., mutaCi14/1..4 0...yowaoltOwww.ousGswoodyommo......,
SOL THERA CN LLC. IPICCLUNCI
SDNY_GM_00045788
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008612
EFTA_OO 156397
EFTA01288760
Wean
aon.r •r MR4iMn Pn,,. C'od rar GeP.APP Mernalt
De.ticht 11.4. Stc, mc
mtv, bete Oina,
leant Annw. riccr
tine writ et la vA
Statement Period: 0110112114 • 01/3112014
Portfolio Holdings (continued)
Reporting requirements generally will be phased in over a three-year penod, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2013, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization. accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
f 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.
f Unrealized gains and losses are not reported for securities for which cost basis or market value is not available.
;The Current Face value represents the outstanding principal balance of the underlying 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 dent 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 transferring agent and Pershing makes no representation as to the accuracy of this information.
Holdings Summary by Currency
Facitange•Traded
Currency Cash Fixed Income Equities Funds Total by Correa°,
I., S. DOLLARS 21.936.379 35,910,556 29,756,390 3,006,754 90,610,080 USD
EL.R0 291,816 0 0 0 291,816 EUR
Total USD Equivalent 22,329,906 36,910,666 29,766,390 3,006364 91,003,601 USD
% of Allocation 24.54% 39.46% 32.70% 3.30% 100.00%
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Loser
Date Date Tranuclion Description Quantity Cot Bois Proceeds Disallowance
Short Term
01/10114 05/29/13' SELL GENERAL ELEC CAP COR SR C FIXED TO FUG 5.250% 0 1,100,000.000 1,400,000.00 1,316,869.00 .83,131.00
Ruth First Out 6/03/63 B/E OTD 06103/13 CLB
Security Identifier: 369622513
Original Cost Basis: 1.400.000.00
01/10/14 07/09/13' SELL P M °RCM% VALUE ADMINSTITUTIONAL GASS 78309.170 2,000,000.00 2.138,528.15 138,528.15
First In First Out Security Identifier: JINX
Page 13 of 23
Account Number zt Osessownusii•nin.u .a.• 101•000•1••• eaten"
Go p aperless M OAL t O A C R M t A It U t D A C R O e M " M UNICJOIONS MR DINA OF ISM 'MS Seen C••••••••• SISII
SOUTHERN ñ F I DA5NTIAL WAILUINCII
SDNY_GM_000457139
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008613
EFTA_00156398
EFTA01288761
Schedule of Realized Gains and Losses Current Period
(continued)
Disposition Acquisition Disposition Realized Gain/ Loss/
Dale Date Transaction Description Quantity Cost Basis Proceeds DiulInane*
Short Term (continued)
01110/14 12/13/13 SELL P MORGAN VALUE ADVA INSTITUTIONAL CLASS 840.719 22161.35 22142.34 68099
Engin First Out Security Identifier: MIX
01110/14 12113/13 SELL P MORGAN VALUE ADVA INSTITUTIONAL CLASS 1,255.017 33182.25 34,098.81 1,016.50
NM In First Out Security Identifier: JVAIX
01110114 12/23/13 SELL P MORGAN VALUE ADVA INSTITUTIONAL CLASS 758.267 20.283.85 20,602.11 318.46
Fusl In First Out Security Identifier. JVAIX
01110114 07122113' SELL .PM ORGAN CHASE 8 CO 101188 WE OTD 07129/13 750.000.000 75010100 724.681.50 -25.31150
Ars1 In First Out Security Identifier: 48126FAA8
Original Cast Basis 750,000.00
01124/14 12/13113' RPP WASFINGTON MUT IA TG 5 004-RA2 MTG PASSTHRU CTF CL 837,723.000 1,30426 1.69314 389.58
C- B-1 VAR RATE 6.972% 07/25/33
Security Idenbfier. 939336 0
Original Cost Basis 1.304.26
01127/14 01127114' SELL MEXICAN PESO CtiRREAC 38.199.653.100 2.628.807.68 2.841.918.91 11111.23
Firs1 In First Out Security Identifier. M Xh999994
01127/14 01114114' SELL L WED IA 64 STATES 7 2011-13.11.42 ISM M XOM 000000 380.000.000 3.000.030.70 2103.970.02 -204.060.68
Finn In First Out R8 0.000% 11113/42 REG DTD 12
Security Identifier PIROC9EK5
Original Cost Basis 3.008.030.70
01127/14 12/13113' FPP COL ATRYWIDEHOME LOA I CL B1 4.090% 03/25/33 B/E D 1.211.860100 3.48379 3.64718 164.19
TD 01130103
Security Identifier. 12669DYS1
Original Cost Basis: 3.483.79
01/21/14 12/13113' FR GLOBAL MTG SECURITIZ GLOBAL MTG SCTZN 1Si/40337896 3,078,211.000 15.941.79 17,329.91 1.388.12
14V83 5.250% 04/25/32 WE DID
Security Identifier. 3789614V8
Original Cast Basis 15.941.79
01127/14 12/13113' FfP IM PAC CM B TR 2005.2 BD CL 1-M-2 0.893% 04125/35 B 1E 1500,554.000 2,592 27 3,734.77 1.142 50
DM 03/03/05
Security Identifier: 45254NNC7
Original Cast Basis: 2.592.27
Total Short Term $10.016,887.74 39,929,917.34 -$165,770.40
Long Term
01110/14 07110/07' SELL BOMBARDIER INC CLASS 20.000.000 125.700 00 80.848 57 -44.851.43
NM In First Out Security Identifier. BOW
01117/14 07/12110' SELL DEUTSCHE BRAG LONDO GRIC DOUBLE LONG TRADED NT 13.866.000 97,763.34 93,479.70 •4,28364
Ars1 In First Out Security Identifier. DAG
01123/14 07/12110' SELL DEUTSCHE BRAG LONDO GRIC DOUBLE LONG TRADED NT 5.000.000 35.252.90 33143.40 -1.409.50
Firs1 In First Out Security Identifier. DAG
Page 14 of 23
Account Number. F D G . o A pNa . p eTrlesIsA L MA easm Ile. • 101•11. •••••••••••••0
SOUTHERN co Ii E rxcltiit P I 4 tA C iTLDCOMMUNKATIONS
SDNVIGM 00045790
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DES-SDNY:00086 14
EFTA_00I56399
EFTA01288762
Dean Rana Pon,. wean Alvvienret
Parsecs Codrace6,o‘P
Ontscip NA Smote' irk.
Now Irk Nice
PO. Bap 1776, Balt min MD 21203 HS Pia AS*. Ioth Hoer
•A rm *A NY 10IM
Statement Period: 0110112114 -01/3112114
Schedule of Realized Gains and Losses Current Period
(continued)
Disposition Acquisition Disposition Realized Gain/ Loss/
Dale Date Transaction Description Quantity Cod Basis Proceeds Disallowance
Total Long Term $258,716.24 8308,171.87 -$50,544.57
Total Short Term and Long Term $10,344,403.98 $10,138,089.01 -$206,314.97
▪ 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.1.110-343, 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. Al 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 thee '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.
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.
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 1099.8 or online 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 consuk 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 all liability that may arise with respect to your use and reliance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event one or more of these attrbutes 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
shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-IM 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 Fist In, Fist Out (FIFO). Your account's selected tax lot method will 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.
Page 15 of 23
Account Number: Go paperless la) R Se a v te e d n f Y . e e a l, r m s I l n A Row best Onus& On*. ISC. • Inaltemeni rows,
SOUTHERN tleb. NL LC. F I DAERTIAL " DA 'f M l N a * w RAT " ID COMSALNOCATIONS
SDNY_GM_00045791
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DES-SDNY-0008615
EFTA_00 I 56400
EFTA01288763
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 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 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 https://www.dws-investments.corn/EN/productsfirioneysarket-fundslields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Important Reminder for Pershing's 2013 IRS Forms 1099 (B. DIV. INT, OID and MISC): As a reminder, by February 18. you will receive Sher your 1099 form ore special Pending 1099 Notice. The Pending 1099
Notice will 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, and wit provide the anticipated mail date of
your 1099 for. Your 1099 will be mailed no later than March 17, 2014.
Activity Sum m a ry (Al! amounts shown are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Secunties (taught 0.00 0.00 Secunties Bought 4.688.45411 4.688.454.11
Secunties Sold 10.204.174.33 10.201.174 33 Secunties Sold 0.00 0.00
Total Securities $10,204,174.33 $10,204,17433 Total Securities -96,688,154.11 -96,688,154.11
Dividends and Interest $38,807.19 $38,807.19 Dividends and Interest $0.00 $0.00
Distributions $85,729.09 $85,729.09 Distributions $0.00 $0.00
Fees $0.00 $0.00 Fees -$18.00 -$18.00
Cash Cash
Withdrawals 0 00 0 00 Withdrawals .109495 00 -109.995 00
Total Cash $0.00 $0.00 Total Cash -$109,995.00 -$109,995.00
FDIC Insured Bank Deposits $3,794,694.32 0,791,691.32 FDIC Insured Bank Deposits -97,511,135.01 -$7,511,135.01
Total Credits $14,123,404.93 914,123,404.93 Total Debits -$11,339,602.12 -$11,339,602.12
Transactions by Type of Activity
Process/ Trade/
Settlement Transaction
Date Date Activity Type Description Quantity Price Acaved Interest Amount Currency
Securities Bought and Sold
01113114 0111011/ SOLO PlIORGAA VALI. E ADVAN TAGE FUAD INSTITUTIONAL -81.563.173 27.1700 2.216,071 41 1.30
JVAIX CLASS UNSOLICITED ORDER
01115114 0111011/ SOLD BOMBARDIER INC CLASS B AVERAGE UNIT PMCE -20.000000 1.0828 80.818 57 ISO
8D RBF TRANSACTION YOUR BROKER ACTED AS AGENT
01115114 01110114 CORRECTED SELL GENERAL ELEC CAP CORP PERP PFD SER C FIXED TO FLTG •1,400,000.000 91.0625 6,125 00 1322,994.00 USD
369622573 5 250% 06103163 BIE DTD 06103113 CIS VARIABLE RATE
CORRECTED CONFIRM
Page 16 of 23
80100212CSP30016 Account Number oNFIDAGoE paNiwrTIesIsA L (*) P S U M P .% S C allen In ,' A Row Amway tat. • %war arra ••••••••••••
SOUTHERN CA LLC. bALSAlt RATtDCOMMUNICATIONS
EXCIELIANCI
SDNY_GM_00045792
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008616
EFTA_0015640 I
EFTA01288764
(Misr< arta Pn.air Wean lApmgenas
Weals lowrp 6,..P
Dettsch4 SP* Smola% W.
Mee von OPIp,
PC. &w 1226. &II moot AID 21203 In Pon A . 160. I Pper
War wet ItY 1011.4
Statement Period: 01/01/2014 - 01/31/2014
Transactions by Type of Activity (continued)
Process/ Trade/
Settlement Transaction
Date Date Activi Desa ion Oea Price Accroed Interest Amount Curren
Secudtles Bought and Sold rcortinued)
01115/14 01110114 SOLD .14/ORGAN CHASE 8 CO 6000% 09101188 WE DID .150.000000 951250 20.750 00 745,431 50 LSD
,PM 403173 07/29/13
01/16/14 01113114 PURCHASED FOUNDATION MEDICINE INC COM AVERAGE Is NIT PfdCE 25,000 000 27.4463 -687,66350 LSD
FMI TRANSACTION TOL R BROKER ACTED AS AGENT
01/16/14 0111411/ PURCHASED MEXICAN PESO 39,253,141.020 13.0975 -2.991,017.82 LSD
01/16/14 0111411/ PURCHASED UNITED MEX STATES 7314% BONOS2011-13.11.42 380.000.000 102.6957 .22985536 •39.253,44102 M XN
PIROC9EK5 MINI MXOM 600000R8 0.000% 11113142 REG DTD 12122111 -17 ,38786 -2.979,772.79 LSD
AS OF 01114/14 YLD ..094 TO MAT
Exchange Rate. 13.1733
0112311/ 0111711/ SOLD DELTSCHEBK AG LONDON BR1- DB AGRIC DOUBLE LOAG -13.866.000 6.8022 93.479.70 LSO
DAG TRADED NT UNSOL AVERAGE UN IT PRICE TRANSACTION
YOUR BROKER ACTED AS AGENT
01/28/14 0112311/ SOLD DELTSCHEBK AG LONDON BRH DB AGRIC DOUBLE LONG -5.000.000 6.8100 33813.40 LSD
DAG TRADED NT LASOL AVERAGE UNIT Ff3CE TRANSACTION
YOUR BROKER ACTED AS AGENT
01/28/14 0112311/ PURCHASED SANTANDER CONSUMER USA 1- LOGS INC COM PROSPECTUS 1,000.000 21.0000 .24,000.00 LSO
SC LA DER SEPARATE COVER
01/29/14 0112711/ SOLD MEXICAN PESO -38199,653.100 13.1115 2,811,918.91 LSO
01/29/14 0112711/ SOLD UNITED MEX STATES 73/4% BONOS2011-13.11.42 480.000.000 99.6127 335,102.78 38.199853.10 MTh
PIROC9EK5 ISINIMX0MG00000R8 0.000% 11111142 REG DTD 12/22111 25,195.71 2,869,586.81 LSO
AS OF 0112711/
Exchange Rate. 13.3119
Total Securities Bought and Sold
MEXICAN PESO 106,347.22 -1,053,78792 M Xh
TOTAL USD EOL IVALENT 7807.85 -110.18595 LSO
UNITED STATES DOLLAR 26.875.00 3,625,906.11 LSD
Page 17 of 23
Account Num Der.o NFIDA G E o p N ape T de T ss I AL:-.-Lemrdt7t:u:=Ai-r R—c-- ay.. pp..% INnedby LIA. • alto armed •••••••••••
SOUTHERN CR
SDNICGM_00045793
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008617
EFTA_00 156402
EFTA01288765
Transactions by Type of Activity (continued)
Proms/ Trade/
Settlement Transaction
Date Date Adivi Dew Dean • Price Accrued Interest Amount Curren
Dividends and Interest
01115114 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 470.84 LSO
DEPOSITS INTEREST
RECEIVED
458997996
01/27/14 BOND INTEREST RECEIVED 4500000 COUNTRYWIDE HOME LOANS SER 03-1 CL BI 5304.10 LSD
12669DYS1 4890% 03125133 WE DTD 01130103 RD 12131 PD 01125/14
01/27/14 CASH DIVIDEND RECEIVED 23000 SF RS GENERAL ELECTRIC CO COM RD 12123 PD 5,060 00 LSD
GE 01127/1/
01/27/14 FOREIGN BOND INTEREST 8250000 GLOBAL MTG SECURITIZATIO LTD/ GLOBAL MTG 13.260.27 LSO
378961AV8 SCTZA 'SINS US378961AV83 5 250% 04/25132 B/E DTD
04128/05 RD 12131 PD 01125114
01/27/14 BONG INTEREST RECEIVED 1290000 WASHINGTON N L T MTG SECS CORP 2004•RA2 4.651.79 LSO
939336S20 MTG PASSTFRL CTF CL C-B.1 VAR RATE 6.972% 07125/33
WE DTD 06101/04 RD 12131 PD 0112511/
01/28114 BOND INTEREST RECEIVED 10000000 IM PAC CM B TR 2005.2 ASSET BKD BD CL 14.2 1,194.05 LSD
45254K NC7 0.893% 0/125135 WE DTD 03103105 RD 01124 PD 01125/14
01/31114 CASH DIVIDEND RECEIVED 21753 SFRS,113 MORGAN CHASE 8, CO CON 8266.14 LSD
SM 'SINS US46625141005 RD 01/06 PD 01131/11
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 38,807.19
Distributions
01/27/14 RETURN OF PRINCIPAL 4500000 COUNTRYWIDE HOME LOANS SER 03-1 CL 81 13,546 06 LSO
RECEIVED 4 090% 03125133 WE DTD 01130103 RD 12131 PD 01/25/14
12669DYS1
01/27/14 RETURN OF PRINCIPAL 8250000 GLOBAL MTG SECURMZATION LTD! GLOBAL MTG 16,146.39 LSO
RECEIVED SCTZN ISINAUS318961AV83 5.250% 04125/32 B/E DTD
378961AV8 04128/05 RD 12131 PO 01/25/11
01/27/14 RETURN OF PRINCIPAL 1290000 WASHINGTON N L T MTG SECS CORP 2004•RA2 841.33 LSD
RECEIVED MTG PASSTFRL CTF C1. C-B-I VAR RATE 6.972% 07125/33
939336520 WE DTD 06/01/04 RD 12131 PD 01/25/14
01/28/14 RETURN OF PRINCIPAL 10000000 IMPAC CME1 TR 2005.2 ASSET B0 BD CL 1-14-2 21,8119.31 LSD
RECEIVED 0 893% 04125/35 WE DTD 03/03105 RD 01124 PO 01/25/14
45254K NC7
Total Distributions • UNITED STATES DOLLAR 0.00 05,720.09
låge 18 of 23
Account Number Go paperless zt %PS I" zollem trr~wwr~WM. LLA • ism» •••••• ••••••••
80100242C5P30016 DtErriAL
SOUTHERN eN bALOAR RATED COmmumeCaTiO“S
FI WALLIN«
SDNY GM 00045794
dejk
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SINY:0008618
EFTA_00 156403
EFTA01288766
°now< Rana Pnwiln Wean &Warm,
Mats Codrage Groat)
MAUIMAUIla, %t n. +IL
lire wan Calict
PC. Bat 177S. Balt AID 21203 In Pan An~. 160. I be,
Statement Period: 0110112/14 -01/3112114
Transactions by Type of Activity (continued)
Prxessi Trade/
Settlement Transaction
Date Date Adivi Dem ion Nan ' Price Accrued letered Mount Curren
Fees
01102114 12131113 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 2013 CUSP: G4S15P444.8 •6.00 LSO
G/S15F948
01102114 12131113 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 2013 CUSP 65433B43G-8 4.00 LSD
G5433EIBG8
01102114 12131113 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 2013 CUSP. P7807h.A.F.2 •6.00 LSD
P7807I-AF2
Total Fees • UNITED STATES DOLLAR 0.00 .18.00
Cash Withdrawals and Deposits
01124114 FEDERAL FL NDS SENT DEUTSCHE BANK TRUST .109,995 00 LSD
LS0999997
Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 -109,995.00
FDIC Insured Bank Deposits
01/02/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -111,27738 LSO
USD999997
01103114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 1800 LSD
WITHDRAWAL
USD999997
01/13/ FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -2,21807141 LSD
USD999997
01/15/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -2.149,274.07 LSD
USD999997
01/15/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -470.84 LSO
DEPOSITS INTEREST
REINVESTED
/58997996
01/16/14 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 2681,681 32 LSO
WITHDRAWAL
USD999997
01/23/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -93.479.70 LSO
USD999997
01/24/14 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 109.995 00 LSO
WITHDRAWAL
050999997
Page 19 of 23
orIFIDtwriTAL...„
Account Num Der. Go papedess Z.ts° tett A Wray Amain. msg. • •••••,....”.••••••••
SO L THERM CPI CexIActr ul PIZ D COMPALINICATIONS
SDNY_GM_00045795
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008619
EFTA_00 156404
EFTA01288767
Transactions by Type of Activity (continued)
Process/ Trade!
Settlement Transaction
Date Date Activity Type Desolation Quantity Pike Awned hayed Amount Currency
FDIC Insured Bank Deposits (continued)
01128114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -99,559.34 USD
LS0999997
01129/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -2.868,002.27 USD
USD999997
Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -3346,44019
Total Accrued Interest Total Amovit
Transadioas Summary Total Awued littered Total Amount Currency USD Equivalent USO Equivaleit
MEAGAN PESO 106,317.22 -1.053,787.92 MA 7.80785 -110,185.95
UNITED STATES DOLLAR 26,875.00 ,106,011.24 USD 26,875 00 -106,011.24
The price and quantity displayed may have been rounded.
Cash Not Yet Received
security Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment
Interest
SERV10EMASTER CO SR NT • CUSP FULLY 01/31/14 02)15/14 2 500,000 000 0.040000 Cash 100 000 CO
EXCHANGED FROM OLD
Total Cash Not Yet Received $100.000.00
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
7 to 12 months 5.113,300 00 11% MI Percentages of bond market values are
1 to 5 years 2,070,000.00 6% In rounded to the nearest whole percentage.
6 to 10 years 9,891,375.00 28%
In
Over 10 years 18105.881.57 52%
Total 35110,556.67 100%
Bond Quality
Bond Quality Market Value % of Bond Market Value
BAA 5.360.000 00 15% la Percentages of bond market values are
BAiLower 24,383,810 56 68% [0 rounded to the nearest whole percentage.
hot Rated 6,166.746 01 17%
Total 35,910,55617 100%
Page 20 of 23
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EFTA_00 156405
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Statement Period: 0110112114 • 01/3112014
Client Service Information
Your Client Advisor: WS Contact Information
TAZIA SMITH Telephone Number:
345 PARK AVEA LE 14TH FLOOR
NEW YORK NY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for M utual Funds: FIRST IN FIRST OUT
Default Method for Stocks In a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for ill Other Securities: FIRST IN FIRST OLT
Electronic Delivery
You have not selected any account corn in unications for electronic delivery. To register arid turn off paper comm unications. log in to your account or contact your Client Advisor for more inform ation.
Important Information 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 —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 are,
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
vmw.pershing .corn/business_conbnuky.h url 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 secunlies shown on your statement may have been reinvested. You coil
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, may be obtained. 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 confrmations previously furnished to you. A summary of this
information is available 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
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Page 21 of 23
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SOUTHERN Go bnActiNAJNIVID COMMUNI CATIONS
SDNY_GM_00045797
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008621
EFTA_00156406
EFTA01288769
Important Information and Disclosures (continued)
Proxy Vote
Securities not fully paw 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. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate MU 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) wit be billed 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 & 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
emissions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties includng warranties of merchantability or fitness 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 shown here are nol 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.
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 (I) 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 result 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 appicable; the rendering of investment advice, if any, to you and it general, for the ongoing relationship that it has with you.
• Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)113-3333. M 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 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 limits. For more detailed information please visit: www.pershing.conVstrength_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 reconfirmed 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; . Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other it court, including the right to a trial by jury, 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 ability to have a court reverse or modify an arbitration award is very fimited.
Page 22 of 23
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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, 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 fawns may impose tine limits for bringing a claim 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 enforce any predispule 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 (Ill) 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;
Page 23 of 23
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SOUTHERN IttDCOMMUNICA/IONS
SDNY_GM_00045799
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008623
EFTA_00156408
EFTA01288771