EFTA01288772.pdf

Deutsche Asset
& Wealth Management
Dpaisre Rant PnweWeein Paragenms
Pdaterts Cisme 6,..•
oestscry Pat %wort +.c
licenen Oikt
PO Bon 1778. Beware. MO 2t203 Na Pant Ammo. Hal bet
Account Number:
Statement Period: 12/01/200 -1213112015
Portfolio at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 3106,248,127.78 8126,714,293.02
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals -548.663.17 •18.2l6.493 88
Net Securities InlOut of Account 060 .5.861,790.80
ST THOMAS VI 00802
Adjusted Previous Account Value 105,097,404.59 102,630,000.34
Dividends, loftiest and Othet Income 555,11817 3.813,797 20
Total Taxes Withheld 0.00 -S561.18
Net Other Activity -1.00 -305.00
Net Chan ,e in Portfolio -2.968.261.66 -3.152.321 56
Your Client Advisor:
DANIEL SABBA nding Account Value S103 284 617 80 3103 284 617 80
Accrued Interest $319.008 14
Estimated Annual Income 53.596.773 94
Asset Allocation
Prior Year-fait Lad Period This Period % Allocation
LSD Cash. Money Funds and Bank Deposits 44,273,98433 26,827,392.13 26,831,113.83 25.98% Please review your allocation
LSD Axed Income 18,177,455.58 20,288,106.47 20142,233M 19.60% perockally wth you' Giant Advisor.
Non-LSD Axed Income 7.150,052 50 5,335,220.00 5.196,705.00 5.03%
LSD Equities 54,120,544 61 50,481,923.16 47,972,851.11 46.45%
honSSO Equities 2.986.2543.00 3.335.480.00 3.038.824,00 2.94%
Account Total (Pie Chart) 3126,714,293.02 3108,246,12116 3103,284,617.80 101.00%
See the Asset Mutation Disclosure and Footnotes secton b- important information muesli" your Asset Mouton.
Page 14020
osAli aQtt B00971111 CSF30024 Go paperless (it iLtnigreyd Vira. sine. 2007
CONFIDENTiA
SDNY_GM_00045B00
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) reaXCIALLCRAPDC°MMUNICAT°6 DB-SDNY-0008624
EFTA_00156409
EFTA01288772

Asset Allocation Disclosure and Footnotes
M values are displayed in U.S. dollars based on interbank exchange rates as of 12/31/2015 Exchange rates can vary.
Equities contains Equity Mtrtual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date Utilesbred
Short-Term Gain/Loss 0.00 100.107 03 -787.297.04
Lang•Term Gain/Loss 53.721 12 -111.674 91 3.112.278.66
Net GalnlLoss 53.721.42 -11,867.88 2,324081.82
This summary excludes transactions where cost basis information is not available.
Money Market Fund Detail
Date Activity Type Description Amount Balm
Sweep Money Market Fund
DEUTSCHE GOVT CASH INSTL
Account Num ber 0000001490 Current Yield: 0.13% Activity Ending: 12/3tfl 5
12101115 Opening Balance 26,735.287.18 26,735,287.18
12/01115 Deposit MONEY FUND PURCHASE 92,104.95 26,827,392.13
12/02/15 Withdrawal MONEY FUND REDEMPTION -4.00 26.827.388.13
12/04115 Withdrawal MONEY FUND REDEMPTION -596.777.26 26.230.610.87
12/07115 Deposit MONEY FUND PURCHASE 66,500.00 26,297,110.87
12/11/15 Depend MONEY FUND PURCHASE 24,996.00 26,322,106.87
12/16115 Deposd MONEY FUND PURCHASE 51,360.16 26,373,467.03
12/17/15 Deposit MONEY FUND PURCHASE 148,125.00 26.521.592.03
12/23/15 Withdrawal MONEY FUND REDEMPTION -0.08 26.521.591.95
12/29115 Deposit MONEY FUND PURCHASE 61,285.44 26,582,857.59
12/30115 Deposit MONEY FUND PURCHASE 168,540.60 26,751,398.19
12/31115 Deposit MONEY FUND PURCHASE 3.483.00 26,754,881.19
12131115 Deposit INCOMEREINVEST 1169.55 26.756.850.74
12131115 Closing Balance $26,756,650.74
Total All Money Market Funds $16,758,650.74
Income and Expense Summary
Commit Period Year-to-Dale
Taxable Mee Taxable Taxable No. Taxable
Dividend Income
Equities 93,035.16 0.00 1,134,818.48 000
Money Market 1.76955 0.00 15,077.58 000
Other Dividends 27,032.72 0.00 111,090.12 000
Page 2 of 20
BAN ROLL Account Number: Go paperless etc E D v A e L r B y A Y ta R o a R e m , A S o T O r E d S D i O . C r O 00 M 7 M UNICATIONS
FI D riTrIA rxenurraer
SDNY_GM_00045801
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 67:HEIMCON DB-SDNY-0008625
EFTA_00156410
EFTA01288773

Deutsche Asset
& Wealth Management
(*On a na Pnyve wean im.ge-ian
Pram tOdene4.0.4)
DeNsche M Stao0e. at.
Mar let c
P.O. &a 1778, Bahimore. MD 21203 Hs Pia Out/cm. Nth 007
Weer** NY 10IM
Statement Period: 12 101/2115 -1213112116
Income and Expense Summary (continued) Qinent Period Year-to-Bak
Taxable Noe Taxable Taxable Non Taxable
Interest Income
Bond interest 300,14914 0.00 1,081,091.58 0.00
Other Interest 0.00 0.00 162,500.16 0.00
Expenses
Withholding Taxes 0.00 0.00 -6,561.18 0.00
Fees(Foieign Securities) 0.00 0.00 -225.00 0.00
Total Dividends, Interest, Income and Expenses 1421,967.27 10.00 13,167,791.70 10.00
DlsUlbudons
Long • Term Capital Gan Institutions 87,731.40 000 87,731.40 0.00
Short - Tem Capital Gan Distributions 45,70020 0.00 45.70020 0.00
Alternative Investments 0.00 0.00 0.00 515,78732
Other OistAbutions 0.00 0.00 0.00 89.616.40
Total Distributions 1133,431.60 10.00 $133,431.60 1605,404.12
Portfolio Holdings
Amount Activity Opening Gahm nos ed Income 39-Day Cement
Opening Date Omanlity Number Ending Balance Balance Income Pas Year Yield Yield
Cash, Money Funds, and Bank Deposits 26.00% of Portfolio
Cash Balance 92,104.95 74,010.09
Margin Balance 0.00 3.483.00
Money Market
DEUTSCHE GOVT CASH INSTL
12/01115 26.756.650.740 0000301490 12131115 26.735.287.18 26.756.650.74 0.00 15077.56 0.08% 013%
Total Money M arket $16,736,287.18 321,766,850.74 116,077.66
Total Cash, Money Funds, and Bank Deposits 116,627,392.13 $20,934,143.83 1$ 09..00 116,077.66
Page 3 of 20
Account Number: torellerigi
7007764)C573012: UBAO MOLL Ga paperless Dr L x v Ae e M r n y Au Y Nr e r aR a. eA L rT a E c D e C 2 O 0 M 07 M UNICATION6
SDNY_GM_00045802
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERMI I F D AMSITIA DB-SDNY-0008626
EFTA_GO [5641 I
EFTA01288774

Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Ouselity Urnit Cog Cod Basis Market Price Market Value Gain/ Lou Interest Annual Income Yield
Fixed Income 2 5.0 0% of Portfolio (In Maluary Dee Sequence)
‘Asset Backed Securities
WASHINGTON NUT NTG SECS CORP 2004-RA2 Security Identifier: 939338520
MTG PASSTHRU CTF CL C-B-1 VAR RATE
3.187% 07125133 WE DTO 06/01/04 S 8 P Rating 0
Factor. 0.53648940 Effects. Date:12[01/15
Current Face Value: 692.045 526
12113/13',3,12 1,290,000.000 76 5190 529 543 61 84.6460 585.788 86 56.24525 1.838 41
Original Cost Basil $838.906.71
Total Asset Birdied Securities $529,543.61 $585,788.88 $58,245.25 $1,836.41 $0.00
1,290,000.000
Total Current Face Value : 692,045.526
Corporate Bonds
EARTHUNK INC GM SR NT FULLY EXCHANGED Security Identifier: 2103214C8
CUSP FROM 210321AB8 8.875% 05/15/19 WE
DID 05117111 CALLABLE 12/31115 68 P Rating CCC.
10/22/12 ',LIT 146,000 000 102 6360 149.849.05 101.7500 148.555 00 .1.294.05 1.655.68 12.957 50 8.72%
0 nginal Cod Basic $151.110.00
10/23/12 '•3.12 600.000 000 102 5550 615,332.25 101.7500 610.500 00 4.632 25 6.604.17 53.250 00 8.72%
Original Cod Basic $819,500.00
Total Nononered 748,000.000 766,181.30 759,055.00 -8,126.30 8,459.65 86,207.50
Total 746,000.000 $785,181.30 $760,055.00 -$8,121.30 $8,459.65 $86,207.50
FRONTIER COM M UNICATIONS CORP Security Identifier: 35906AAHI
SR KT 8.500% 04/15/20 WE
DID 04112110 1ST CPN DTE 10/15/10 Moody Rating 13A3 S
P Rating BB-
07106115 3,000,000.000 105.2140 3.156.430.37 100.2500 3.007.500.00 -148.930.37 53,833.33 255,000.00 8.47%
Original Cost Basis. S3 171,006 00
LLOYDS TSB BK PLC EURO ISSUE M EOIUM Security Identifier: GISISPP48
TERM NOTES IUD XS0717735822
9.875% 12118/21 REG DTO 12/16111 Moody Rating Bat S8
P Rating BBB
12104113 'AM 1,500.000.000 1068300 1.602.454.90 106.8280 1,602,420.00 .34.90 5,760.42 148,125.00 9.24%
Original Cosl Basic $1,627,500.00
BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 06739FHK0
ISK 8U6067390403 7.750% 04/10123 B/E
DID 04110113 CALLABLE 04110118 S8 P Rating BP.
04103/13 'AM 300,000.000 100.0000 300.00080 106.7500 320,250.00 20,250 00 5,231 25 23,250.00 7.25%
Original Cost Basis: $300,000.00
Page 4 of 20
01,09/843CSF3.' OBAB 901.1. A S c a c o „ u E nt n N um C b O e r: FI D G E o NT rle I ss A etsoi r C D R xA y a eL s r n B , a u A V L rRn a . . Rs w . e A n S rT s i m E rig D i s C 2 O 0 M 07 M UMCATIONS
SDNY_GM_00045803
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Lni OB-SDNY-0006627
EFTA_00156412
EFTA01288775

Deutsche Asset
& Wealth Management
(*„cost 8.4 P0.1,0 W,41P .m...vie,.
Mann. Comm< Gmap
IXMUM Mk smeces4%.
Na, *4 Olk•
PO Boa 1778. Beware. MO21203 30770 Nowa lie01i ce
woe. *A NY 101W
Statement Period: 12/01/2015 - 12131/2015
Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired thiantity Unit Cost Cost Basis Market Price Market Value Gen/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
PM ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 46825HHA1
1110TH PFD SER 1 FD TO MG RT BO
1.900% 04129149 BlE DTD 04123108 Moody Rating BAA3 S
P Rating BBB-
06115111 '.3,12 2,500,000.000 107.5000 2,687,500.00 101.8000 2,545,000.00 .142.500.00 32,916.67 197.500.00 7.76%
Original Cost Basis: 52,687,500.00
06115111 ..3.12 2,500,000.000 107.0000 2,675,000.00 101.8000 2,545,000.00 -130.000.00 32,916.66 197.500.00 7.76%
Original Coal Basis. 52,675,000.00
Total Noncovered 5,000,000.000 6,362,500.00 5,090,000.00 ,272,500.00 65,833.33 395,000.00
Total 5,000,000.000 $5,302,500.00 $5,090,000.00 .$272,500.00 $65,833.33 $395,000.00
BANK AMER CORP PERP NON CON ULATIVE DEP Security Identifier: 0605050 T8
SHS FIXED TO FLOAT 8.125% 04130158 B/E
DTD 01130168 CALLABLE 05115/18 Moody Rating BA2 St P
Rating Bei
01110111 '.3.12 2,000,000.000 1023500 2,055,000 00 101.7500 2,035,000.00 -20,00000 20,763.89 162 500 00 7.98%
Original Cost Basis: 52.055,000.00
SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: I42400FU2
6.250% 01117/62 INE DTD 01117112
CALLABLE02/01122 Q 100.000 Moody Rating BAAt 58 P
Rating BBB-
01130112'.3.12 3,000,000.000 99 8310 2,994,938.15 110 1750 3,305,250 00 310,313 85 78,125 00 187 500 00 5.67%
Original Cost Basis $2 992.564 97
GENERAL SIC CO GTD FXD-TO•ELTG RT Security Identifier: 369604B114
NONCUMULATIVE PERPETUAL PREFERRED
4.000% 12103/85 WE DTD 12/03/15 Moody Rating A3 58 P
Rating AA-
12103115 2,469,000.000 88.0930 2,175,016.17 100.0000 2,169,000 00 293,983.83 4,389 33 98,760.00 IVO%
Original Cost Basis: $2.175.016.17
Page 5 of 20
OMAN 001.1 A 93 cc t o i T u H n t E N RA u m tU be b r ms LL C. DrapapreTrIesAs L R ' C ,a A at L y e M d A V to R s c R e . A ll I e T r E d D i C 2 O 0 M 07 M UNICATIONS =17
NF I 7XCILL774Ct
SDNY_GM_00045804
CONFIDENTIAL — PURSUANT TO FED. R CRI6,1. P. 6(e) OB-SDNY-0006626
EFIA_00 I 56413
EFTA01288776

Portfolio Holdings
(continued)
Adjusted Unrealized /teased Estimated Estimated
Date Acquired Quantity Unit Cod Cost BM Market Price Market Value Gain! Lou Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
CITIGROUP INC FXD RT SR NT PERP DEP RECPT Security Identifier: 17296725
5.950% 08115188 NE DID 08112115
CALLABLE 08115120 0 100000 Moody Rating BA2 S8 P
Rating BB•
08/06115 3,000,000.000 100 0000 3.000.006.00 99.6880 2990.640 00 -9.366.00 68,920 83 1)&500.00 5.96%
anginal Cost Basic 53.001006.00
LBG CAPITAL NO 1 PLC 144A Security Identifier: G543388G8
ISNOXS0173108283 8.000% 09115/88 REG
DID 12115109 CALLABLE 06115/20 S8 P Rating BB*
12/04/13 'AM 1,200,000.000 108 2500 1,299,000.00 103.9500 1,247,400.00 -51.600 00 4.26-667 96.000 00 7.69%
Original Cosl Basis: 51,299,000.00
'LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 519439)104
ADDL TIER 1 SECS ISNOUS539439AG42
7.500% 09127188 BJE DID 0/107111 S 8 P Rating BB-
Please Provide' 1.903.000.000 N/A Pease Provide 106 5000 2.026.695 00 N/A 1.565 83 112.725.00 7.04%
Ong nal Cost Basis Please Provide
Total Corporate Bonds 522,110,524.59 124,863,210.00 1115,990.11 1317,189.73 11,753,587.50
24,118,000.000
Total Fixed Income 523.240.068.50 126,438,998.80 1172,235.38 1311,008.14 11,753,587.50
25,408,000.000
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain! Lou Animal Income Yield
Equities 46.00% of Portfolio
Common Stocks
M OBILEYE NV AM STELVEEN ORD SHS Security Identifier: M BLY
ISIAAL0010831061 CUSP. 651488117
Dividend Option: Cash
0810111/ 800.000 25 0000 20,000.00 422800 33,824.00 13,824.00
AKORN INC COM Security Identifier: AKRX
Dividend Option: Cash CUSP. 009728106
06110115 5.000.000 46 8410 234,206.00 37.3100 186.550.00 -47.656.00
AUBABA GROUP BLDG LTD SPONSORED ADS Security Identifier: BABA
IS% OUS01609W1027 CUSP: 01609W102
Dividend Option: Cash
06f 10/15 5.000.000 88.9500 414,719.00 811700 406,350.00 -38,399.00
ALUANZ SE SPONS ADR REPSTG 1/10 SIIS Security Identifier: AZSEY
Dividend Option: Cash CUSP: 018805101
Page 6 of 20
Account Number Rated ocellonfi
IDOAN ROI 9:THERA COL N ' F I D G A o p E ap N erl T es I s A L I r 0 v x A o O L r O y lt A L Y R I a N R w C A L . T ' a E c D e C 2 O 0 M 07 M UNICATIONS —a-no..., 's a y w n .r c . ore
SDNY_GM_00045805
LC
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6 OB-SDNY-0008629
EFTA_OOI 56414
EFTA01288777

Deutsche Asset
& Wealth Management
Dralsoo Ic Pnvievieualaptagenes
Weals Coon.,
Des4s0r4 ML Smolt. +a.
lire len Oilt•
P.O. Us 1778, Ba'lima*, MO 21203 In Pant Aneo. 160. I ter
N.* Wet 10. 10114
Statement Period: 1210112015 • 12/31/2015
Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Dale Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
ALLIANZ SE SPONS ADR REPSTG 1110 SHS (continued)
04113115 5.000.000 18.0110 90.056 00 17 7660 88.830.00 4.226.00 283314 3.19%
APOLLO GLOBAL M GM T LLC CL A SHS Security Identifier: APO
Dividend Option: Cash CUSIP. 037612306
03129111 '.13 263.157,000 19 0000 4.999.983 00 15.1800 3.994.723 26 •1.005.259.74 515.787.72 12.91%
APPLE INC COM Security Identifier: AAPL
Dividend Option: Cash CUSP 037833100
09/05114 110.180.000 98 9500 10.902.315 41 105 2600 11,597.546 80 695,231.39 229,174.40 1.97%
ARIAD PHARMACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash CL SP. 04033A100
02114112'•13 7,535 000 15 2090 114,597 40 6.2500 47.093 75 -67,50365
01/24113 '.13 9 000 000 19 6000 176.400 00 6 2500 56.250 00 •120.15000
Total Noncovered 16,535.000 290.997.40 103,343.75 -167,653.65
Total 16,535.000 $290,997.40 3103,343.75 -1167,653.65 $0.00
ASCENA RETAIL GROUP INC CON Security Identifier: ASN A
Dividend Option: Cash SIP 043510101
01/16/01 70.500.000 21 2770 1.500.000 00 9.8500 694.425 00 -805.57500
AVALANCHE 810 TECHNOLOGIES INC Security Identifier: AAVL
COM CLSIP 053376107
Dividend Option: Cash
10.000 00 of these shares ate in your margin account
04120115 10.000 000 39.8610 398.606 00 9.5200 95.200 00 -303.40600
BASF SE SPONS ADR Security Identifier: BASFY
!SUL60552625057 CUSIP 055262505
Dividend Option. Cash
04/13115 5.000.000 101.6110 508,056.00 76.8230 184,115 00 -123,941.00 11,276.50 2.93%
BANK OF NEW YORK M ELLON CORP CON Security Identifier BK
Dividend Option: Cash CUSP. 064058100
06/25114 250,000.000 36.3060 9,076,406.00 41.2200 10,305,000 00 1.228,594 00 170.000.00 1.64%
Page 7 of 20
Account Num ber. Go paperless Rated twaller4 =2:..».•=2:1,7=
USA° Roll F I DESITIAL E D X v A e C L r O y IL A Y L R e I ' a R N r A e L T r a E c D e C 2 O 0 M 07 M UNCATIONS
SDNICGM_00045806
6(e)LTHERk 140/ C
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. DB-SDNY-0008630
EFTA_00156415
EFTA01288778

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date ired Quill limit Cost Cal Basis Market Pria Market Value Gale/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
BIOGEN ID EC INC COM Scanty Identifier: Bile
Dividend Option: Cash CUSP: 09062X103
02/14112 '.13 2,095 000 119 5490 250.454.95 306.3500 641.803 25 391.348.30
DISH NETWORK CORP CL A Security identifier: DISH
Dividend Option: Cash CUSP. 2547011109
06110115 5.000 000 72 9960 364.97000 57.1800 285.900 00 -79.078 00
FACEBOOK INC CL A Security Identifier: FB
Dividend Option: Cash CUSP: 3030311102
05111112 '.13 17,500.000 38.0000 665,000.00 104.6600 1,831,550.00 1,166,550 00
FOUNDATION MEDICINE INC COM Security Identifier: FM I
Dividend Option: Cash CUSP: 350465100
01113114 25,000.000 27.5070 687863.50 21.0600 526,500.00 .161,163 50
08105114 24,830.000 232530 577.37302 21.0600 522.919.80 -54,453.22
Total Covered 49,830.000 1,2115,036.52 1,049,41980 -215,614.72
Total 49,630.000 $1,206836.52 $1,049,419.80 -$216,618.72 $0.00
GENERAL ELECTRIC CO COM Security Identifier: GE
Dividend Option: Cash CUSP: 369604103
04123113'.13 23.000 000 21 5700 498109.06 31.1500 716,450.00 220 340 92 21.160.00 2.95%
GENERAL MTRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 37045V100
11118110 ' 10,988 200 36 4010 399,978.16 34.0100 373,708.69 -26,269.47 15,823.01 4.23%
12(09/10 ' 86,536.800 36 8160 3,185,969.22 34.0100 2,943,116.56 .242,85206 124,612.99 4.23%
Total Monavered 97,625.000 3,556,947.38 3,316,826.26 -289,122.13 140,436.00
Total 97,525.000 $3,656,947.38 $3,316,626.26 -$269,122.13 9140,436.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02/05114 5,000.000 792810 396.407.00 101.1900 505.950.00 109.543 00 8.600.00 1.69%
03107114 3.100.000 79 6120 246,797.00 101.1900 313,689.00 66,892 00 5,332.00 1.69%
Total Covered 8,100.000 643,204.00 419,639.10 176,436.00 13,932.00
Total 5,100.000 $643,204.00 $819,639.00 $176,435.00 $13,932.00
GLAXOSM1THKUNE PLC SPONS ADR Security Identifier: GSK
Dividend Option: Cash CUSP: 37733W105
06110115 5,000.000 430010 215,006.00 40.3500 201,750.00 -13,256.00 12,128.20 6.01%
GLOBAL PARTNER ACQUISITION CORP Security Identifier: GPACU
UNIT 1 CON 6 1 WT DIP CUSP: 37954X204
Dividend Option: Cash
07130/15 ' 2.000.000 10 0000 20.000.00 9.9000 19.800 00 -200.00
Page 6 020
KLTHcERrhiin
Account Number: Rated tscolkini
VP N 901 F I I: G Y o E pa N per T les I s A L Dr (v xA e cL r i uO y As V Rn a aR n eA W rT E o D e, C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045807
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008631
EFIA_00 I 56416
EFTA01288779

Deutsche Asset
& Wealth Management
Otållsre P.... Wolin lAneintat
Mantis I then« 4,0‘P
Otauli. Setw
~Tr. OS«.
P.O. Oat 1778, Bahimore, Ma 21203 HfPHMwJMnrtcr
Wm*" MI le».
Statement Period: 12/01/2015 - 12/31/2015
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities (continued)
Common Stotts (continued)
GODADDY INC CL A Security Identifier Gil DY
Dividend Option: CS CUSIP 380237107
04/01/15 700.000 20 0000 14.000 00 82.0600 22.442.00 8.442.00
HEALTH NET INC COM Security Identifier HNT
Dividend Option: Cash 422226108
09/05/14 25.000.000 46 9800 1,174,508.00 68.4600 1,711,500.00 536.994.00
MATCH GROUP INC COM Security Identifier: M TCH
Dividend Option: Cath CUSP. 57665R108
11/18/15 200.000 12 0000 2,400.00 13.5500 2,710.00 310 00
SAMOAN 0 BIOSCIENCES INC COM Security Identifier: SONO
Dividend Option: Cash CUSH>. 800677166
05/28113 ti3 50,000.000 8.4440 422,214.00 9.1300 456,500.00 34,286.00
SANTANDER CONSUM ER USA HLDGS INC COM Security Identifier: SC
Dividend Option: Cash CUSP. 80283M 101
01123114 1.000.000 24 0000 24.000.00 15.8500 15.850.00 -8.150.00
SQUARE INC CL A Security identifier: SO
Dividend Option: Cash CUM? 852234103
11119115 200.000 9 0000 1.800.00 13.0900 2,618.00 818.00
TERRAFORM GLOBAL INC Ct. A Security 'denfiller:OWL
Dividend Option: CS CUSP 88104M101
07131115 400.000 15 0000 6,000.00 5.5900 2,236.00 .3,764.00 272 64 1219%
TWITTER INC CON Security Identifier: TYi TR
Dividend Option: Cash CUSP. 90184L102
11/07/13 1.500.000 26 0000 39.000.00 23.1400 34.710.00 4,290.00
VIACOM INC NEW CL 8 Security Identifier: VIAB
Dividend Option: Cash CUSP. 92553P201
06/10/15 5.000 000 67 7490 338.745.00 41.1600 205,800.00 .132.945.00 8.000 00 3.88%
VOLKSWAGEN A G ADR (SPONS) Security Identifier: VLKAY
Dividend Option. Cash CUSP 928662303
Page 9 of 20
Account Number: Itstas0 tAcello nil
DOWD ROLL CO FI D G An o p T ape r rle i s A s ek :‘ rD [v xA e eL r nB y L A Y Rr e N I n IAe S Tr i E nc O e C 2 O 0 M 07 M UNKATIONS
SDNY_GM_00045808
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6: "HERk OB-SDNY-0008632
EFTA_OOI 56417
EFTA01288780

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date ired Quantity Unit Cost Cat Basis Market Price Markel Value Gelid Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
VOLKSWAGEN A G ADR (SPONS) (continued)
04113115 5,001000 50.8610 254.306 00 30 9160 154,580.00 .99,726.00 4 004 38 259%
WISDOM TREE IN YTS INC COM Security Identifier: W ETF
Dividend Option: Cash CIJSIP 97717P104
03131115 15100.000 211110 324,157.50 15.6800 235,200.00 •88,951.50 4,800.00 2.04%
Total Common Stocks 131672,239.24 139,617,191.11 11,044,95117 11,133,805.68
Preferred Stocks (Listed by expiration date)
ALLY ANL INC AX TO FLT Security Identifier: ALLY PRB
DIV4.50% FREO-OTRLY CALLABLE O 2510 CI, SIP 02005N308
ON A OTRLY BASS AFTER 05/15/2018
Dividend Option: Cash
02103112'•(3 46.601000 19 3820 903.217.51 25 7400 1,199184.01 291268.50 99,025.00 8.25%
02/09112 %13 80.000.000 20 1250 1,610,000.00 257400 2.059.199.99 449,199.99 170.000.00 8.25%
Total Noncovered 128,800.000 2,513,217.51 3,251684.00 745,466.49 289,025.00
Total 126,600.000 32,613,217.51 13,258,884.00 1745,461.49 3289,025.00
GM AC CAP TR I MD TR PFD SECS SER 2 CPN• Security Identifier: ALLY PM
8.125% FRU) ORTLY MATT-0211512040 CALL CUSP 361860208
ANYTIME 0 25 W130 DAYS BEGINS 02115116
Dividend Option: Cash
02122112 '.13 80,000.000 23.5350 1,882,773.60 25.3600 2,028 800 00 146.026 40 162.500.00 8.00%
ROYAL BK SCOTLAND GP PLC WON AOR REPSTG Security Identifier: RBS PRT
SER T PFD CPN.7.25% FRED ORTLY PEW N TY CUSP. 780097713
CALLO 25 ANY W130 D NOTICE AFTR 12131112
Dividend Option: Cash
10124112 '.13 40,000.000 23.7900 951,600.00 25.8500 1,033,999.99 82,399.99 72,500.00 7.01%
01107/13 40,000.000 24.4400 977,600.00 25.8500 1.033.999.99 56,399.99 72.500.00 7.01%
01114/13 *.I3 40,000.000 241800 995.200.00 25.8500 1,034,000.02 38,800.02 72,500.00 7.01%
Total Noncovered 120,000.000 2,924,400.00 3,102,000.00 117100.00 217,500.00
Total 120,000.000 12,924,400.00 33,102,000.00 $171,600.00 3217,500.00
Total Preferred Stocks 17,320191.11 18,389,484.00 11,089,092.89 3849,025.00
Total Equities $45,892130.35 148,008,875.11 32,114,044.78 31,712,830.68
Page 10 of 20
Account Num ber Rated [mallard,
? DEO 813CSEE' Go paperless Every Va. Siva 2'007
L THERA tt, LLC. DAUM. RAT ED COMMUNICA TIONS ear. AC =mow IS wet 'mot
NF I DAENTIAL EXCEL EIKE
SDNY_GM_00045809
CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0008633
EFIA_00 I 56418
EFTA01288781

Deutsche Asset
& Wealth Management
()PASO( P.,.,,. won Manirnent
Mareits COMM, 6,0“)
De...4N sem smote' M.
Now *4 Mk*
PO Boa 1778. Baliimore. MO2t 203 HS P.m An*. IM, I leer
Mrs** NY 10114
Statement Period: 12/01/2015 - 12131/2015
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired fleantity Vail Cat Cod Bails Market Price Market Value Gall Loss Annual Income Yield
Exchange-Traded Products 3.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DU
Dividend Option. Cash: Citadel Gains Option: Cash CUSP: 91717W651
60,00000 of these shares are in your margin account
12111113 60.000.000 49.4350 2,988,098.50 50.0800 3,004,800.00 38,70t50 45,298.20 1.50%
Total Exchange-Traded Products $2,960,018.50 $3,001,800.00 $38,701.50 $45,290.20
Unrealized kaued Estimated
Cost Basis Markel Value Gain/ Loss Interest Annual Income
Total Portfolio Holdings $98,932,111.18 $103,284,617.80 12,324,981.62 $319,008.14 $3,596,773.94
Footnotes
Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or In retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended rIRC") (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 non-retirement,
US taxpayers 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 a after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on a after January 1, 2012
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014.
Cost Basis on (cod income securities may be adpsted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, 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 cost basis system is amended to reflect this change. These calculations will not be pertomved under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less
than one year to maturity. 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 tine and are obtained from sources we believe to be reliable.
13 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.
33 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 1f 020
Account hum her R ; a .- te 7 d t . m . a . c z oll w e zricraiumcATio .-1 N : s 1 :73.==="e=
I rtA )1: SC L THERA C. OKJFI PareTless ....,.% NamlistinileS.n.wilt
DAENTIAC-- rxetturtaer
SDNY_GM_00045810
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0006634
EFEk_001 56419
EFTA01288782

Schedule of Realized Gains and Losses Current Period
Dispositioft Acquisition Disposition Realized Gain! Lossl
Dale Date Transaction Description Quantity Cod 8asis Proceeds Disallowance
Long Term
12/03715 06127112' MERE GENERAL ELEC CAP COR PFD SERA 7.125% 06112162 WE 2000,000.000 2,121,753.26 2,175,016.17 53,262.91
Fun In First Out DTD 08112/12 CLB
Security Identifier: 369622%6
Original Cost Basis. 2,122,916.67
12/23115 12/13/13' FSP WASHINGTON MUT MTG S 004.RA2 LUG PASSTHRU CTF CL 1.290.000.000 1,494.16 1,952.67 458.51
C. RI VAR RATE 3.187% 07125133
Security Identifier 939336520
Original Cost Bait 1A04.16
Total Long Term 32,123,247.42 32,176,988.84 353,721.42
Total Short Term and Long Term 32,123,217.12 $2,176,966.84 $53,721.42
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended CIRC") (incorporating
amendments enacted by P1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered anoncovered," under the new cost basis repotting 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 defied as
non-retirement, US taxpayers 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 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 follows:
• Stock in a melioration acquired on or after January 1. 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1. 2012
• Options and any Debt Instruments that provide a simple Axed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1. 2014.
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 beleve to be reliable.
Adjustments to cost basis can be made after year-end, in particular, for return of caudal 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 requited to be made by
Pershing as it relates to M.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 may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fizzed
income security, and certain attributes. obtained from sources bebeved 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 cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with
less than one year to maturity. 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 taxict 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 wil 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.
Page 12 of 20
cheii ñ
,ttooe v,›It A SC cc L o T u H n t E N RN u mber F I D G . o paperless A * _ R L C v A a e t L e r M y d A Y E R x a c R w e A l S l T en a E t t D , e C Z O 0 M 07 M UNCATIONS .a •• .s • . • t •• r • i 0 r 4 s •• . • . • ." • ." • T. • I n L i , n e ... . . "A n. o n. M .i. C t .-.." at7
FXCIRLINCI
SDNY_GM_00045811
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008635
EFTA_00156420
EFTA01288783

tvialLicerle r.
Mn, WMYV MIMIC.'WM
Mweet$ CIntarG.“,
0...tuhr Secv.n. M.
Vey IS A M
N,Pant Aire. Mb Jicct
Wave tn. 101•A
Statement Period: 12/01/2015 - 12131/2015
M essages
Although a money market mutual fund seeks to preserve the value of your investment at 51 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 falloeing information for Pershmg's 2015 RS Forms 1099 fa DIV. INT OID and MISC 1: Your form 1099 will be delivered as early as possible. beginning January 31, 2016. By February 16. you
will be mailed either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice vrill 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 17, 2016.
Activity Sum m ary (AO amounts shown are m base currency)
Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits year-to-Date Net Year-to-Date
Securities
Securities Bought 000 000 000 0.00 -9,518.227.50 -9.518.227S0
Securities Sold 0.00 000 000 170,757.03 0.00 170,757.03
Securities Withdrawn 0.00 000 000 0.00 -3.383,998.80 -3.383.99880
Total Securities $0.00 $0.00 $0.00 5170,757.03 -512,902,220.30 -$12,731,469.27
Dividends and Interest 5425,279.27 -53,292.00 $421,967.27 $3,167,869.88 -$3,292.00 $3,161,677.88
Distributions $133,131.60 $0.00 $133,431.60 16,966,112.11 $0.00 $6,966,412.15
Fees $0.00 -51.00 -54.00 $0.00 -5305.00 .1305.00
TaxesWithheld $0.00 $0.00 $0.00 $0.00 -56,561.18 -16.561.18
Other 52,175,016.17 -52,175,016.17 $0.00 $2,243,708.90 -12,213,708.90 $0.00
Cash
Withdrawals 0.00 -596.777.26 -596.777.26 0.00 -20.961.316.55 -20,964.316.55
Deposits 18,111.09 0.00 48.111.09 2,717,822 67 0.00 2,717,822 67
Total Cash $48,114.09 -5596,777.26 -5546,663.17 52,717,822.67 -120,961,316.55 -518,216,49316
Money Market Funds $0.00 $0.00 $0.00 52,14952.63 .54,780,931.93 -12,331,979.30
Totals 12,781,011.13 -$2,775,089.43 $6,751.70 $17,715,523.26 -$10,901,341.66 -$23,165,818.60
Page 13 of 20
A S c O c U o T u H n E t R N N u m C be 1 r ONLLC. FID G E o p 1 ap S er M less A L D R L rx v a Ae e te Us ry d uM t r a t',r c Ba e Ae l W l Tr e E n o D i o , C 2 O '0 M 07 M UNICATIONS («op..: «p 'w .n Z . I « a r w e rio s t.»'".".s
SDNY_GM_00045812
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008636
EFFA_00156421
EFTA01288784

Transactions by Type of Activity
Process/ Trade/
Settlement Transaction
Date Date Adivit T pe Dewi an Quad Price Accrued Interest Automat Curren
Securities Bought and Sold
12103/15 MERGER SECURITY EXCHANGED GENERAL ELEC CO NT 1000% 12/31199 B/E DID 12/03/15 2.069.000 000 010 LSD
3696040M4
12/03/15 MERGER SECURITY EXCHANGED GENERAL ELEC CAP CORP NON CUM PFD SER A 7.125% .2,000,000.000 0.00 LSD
3696225/16 06112/62 WE DTO 06/12/12 CLB
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 0.00
Dividends and Interest
12/04115 80AD INTEREST RECEIVED GENERAL ELEC CAP COPP NON CUM PFD SER A 7.125% 66.500.00 LSO
3696225/%6 06112/62 WE RD 12/02 PD 12/03/15 2000000 WS
12115115 FOREIGN BOND INTEREST 1200000 LBG CAPITAL NO 1 PLC 141A ISINCXS0473106283 18,000.00 LSD
G5133BBG8 8.000% 09115188 REG OTD 12115/09 CA.B RD 12/11 PD
12/15115
12/15/15 BOND INTEREST RECEIVED 2469000 GENERAL ELEC CO GTD FXD•TO•FLTG RT 3.292.00 LSO
3696048M4 NON-CUMULATIVE PERPETUAL PREFERRED 4000% 12/03/65
BIE DTD 12103/15 CLB RO 12/14 FO 12/15/15
12/15/15 CAW DIVIDEND RECEIVED 400 SI- RS TERRAFOIN GLOBAL INC CL A RD 12/01 PO 68.16 LSD
GLBL 12115/15
12/16115 FOREIGN BOND INTEREST 1500000 LLOYDSTSB BK PLC EL RO ISSUE MEDIUM TERM 118.125 00 LSD
G4S1SPP48 NOTES ISINUXS0717735822 9.875% 12/16121 REG DTO
12116/11 CLB RD 12/15 ED 12/16/15
12/22/15 12/15/15 BOND INTEREST ADJUSTMENT 2469000 GENERAL ELEC CO GTD FXD•TO•FLTG RT .3.292.00 LSO
369604BM4 NONCUMULATIVE PERPETUAL PREFERRED RD 12114 PD
12115/15 TO CORRECT PAYMENT FROM SOL RCE CODE INZ
TO DYE
12122115 CAW DIVIDEND RECEIVED GENERAL MC CO GTD FXO-TO-FLTG RT NONCUMULATIVE 3.291.92 LSO
3696048M4 4.000% 12/03/65 B/E RO 12/14 PD 12/15115 DIV PAID AT
1.3333 2469000
12/28/15 FOREIGN BOND INTEREST 1903000 LLOYDS BANKING GROUP PLC FXD RATE RESET 35.681.25 LSO
539439AG4 ADDL TIER 1 SECS 'SINN US539439AG42 7.500% 09/27/88
WE DTO 04107/11 CLB RO 12/11 PD 12/27/15
12128115 BOND INTEREST RECEIVED 1290000 WASHINGTON M L T Nit SECS CORP 2000•17A2 1.843.59 LSO
939336520 MTG PASST-IRU CTF CI. C.B.1 VAR RATE 3.187% 07125/33
WE DTO 06101/04 RD 11130 PD 12125/15
12128115 CASH DIVIDEND RECEIVED 60000 SI-RS WISDOM TREE TR aPAN HEDGED EQUITY ED RD 23,710.80 LSD
OXJ 12/23 FD 12/28/15
12/29/15 CAW DIVIDEND RECEIVED 97525 SHRS GENERAL MTRS CO COM RD 12/18 PD 12/29115 35,109.00 LSD
GM
12/30/15 CASH. DIVIDEND RECEIVED 8100 SI-RS GILEAD SCIENCES INC RO 12/16 PO 12/30/15 3,183.00 LSO
GILD
låge 14 of 20
Nell
Account Nora her. Go paperless Itated taalikerdi
iInfy r«. Siva 2'007
SOL THERA KFIDETTIAL rDxAcLiBuArRN ReArT ED COMMUNICATO6
SDNY GM00045813
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY:0008637
EFTA_00 156422
EFTA01288785

Deutsche Asset
& Wealth Management
DraIsev Si,,, Po.or Wealth .117770-nn7
Mv705 Coma,. 4.0.p
sewnet
lire bet 00c•
P.O. Box 1778, Behimore, WO21203 Na Part PLOPOW. lth I bcr
Statement Period: 1210112115 • 12/3112015
Transactions by Type of Activity (continued)
Process' Trader
Settlement Transaction
Date Date Activity T Demriptioe Wait Price Acaued Interest Amotat Correa
Dividends and Interest (continued)
12131115 MONEY MARKET FUND DEUTSCHE GOVT CASH 1.769.55 USO
INCOME RECEIVED
233993682
12/31115 FOREIGN SECURITY DIVIDEND 120000 SHRS ROYAL BK SCOTLAND GP PLC SPON ADR 54.375 00 LSO
RECEIVED RESTS SER T PFD CPN-7.25% FRED DRILY PEW MTV
RBS KT CALL@ 25 ANY W130 D NOTICE AFTR 12131/12 RD 12116 PO
12131115
Total Dividends and interest - UNITED STATES DOLLAR 0.00 421,987.27
Distributions
12129/15 LONG TERM CAPITAL GAIN 60000 *IRS WISDOMTREE TR .APAA HEDGED EQUITY FO RD 87231.40 LSO
DISTRIBUTION 12123 PO 12128115
DXI
12129115 SHORT TERM CAPITAL GAIN 60000 SH RS WISDOM TREE TRJAPAN HEDGED EQUITY FO RD 45,700 20 USO
DISTRIBUTION 12123 PD 12128/15
DXI
Total Distributions- UNITED STATES DOLLAR 0.00 133,431.80
Fees
12101115 FOREIGN CUSTODY FE Fun Safekeeping NOV 2015 CUSIP. G1S15P-P4-$ -2.00 USD
GIS15PP48
12101115 FOREIGN CUSTODY FE Fgn Safekeeping NOV 2015 CUSIP G5133B-BG-8 -2.00 USD
65133BEIG8
Total Fees • UNITED STATES DOLLAR D.00 .4.00
Other Transactions
12/30115 12103/15 CORPORATE ACTIONS FAIR GENERAL ELEC CO GTD FXD-TO-FLTG RT NON-CUMULATIVE -2.175.016.17 USD
MARKET VALUE NEW SECURITY PERPETUAL PREFERRED 4.000% 12/03165 B/E OTD 12/03115
3596048M4 CLB 2169000.00000
12130115 12/03115 CORPORATE ACTIONS FAIR GENERAL ELEC CAP CORP NON CUM PFD SER A 7.125% 2,175,016.17 USD
MARKET VALUE OLD SECURITY 06112162 BIE DTD 06/12/12 CLB
369622%6
Total Other Transactions • UNITED STATES DOLLAR 1.00 0.00
Page 15 of 20
Account Number: Go paperless Rated taalibra
W(.7.8 Every V«.57007 2007
FI D rumL
rDxAeLn BuArRm ReArT ED COMMUN'CATIONS
SDNY_GM_00045814
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6 7er ERN C IO OB-SDNY-0008638
EFT:4_00156423
EFTA01288786

Transactions by Type of Activity (continued)
Process/ Tradel
Settlement Transaction
Date Date Activity Type Desairdioe Quantity Price Accrued lutenist Amourit currency
Cash Withdrawals and Deposits
1210/115 FEDERAL FUNDS SENT THE BANK OF NEW YORK -596.77726 USD
USD999997
12110115 FEDERAL FUNDS RECEIVED DEUTSCHE BANK TRUST 12219 21.996.00 USD
USD999997
12131115 FEDERAL FUNDS RECEIVED HS8C BANK USA, NATIO 51467 23.118.09 USD
USD999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 -540,863.17
Total Value of Transactions 0.00 5,761.70 USD
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Security Record Date Payable Date Quantity Held Rate Dividend Option Moult of Payment
Dividends
GENERAL ELECTRIC CO COM 12121115 01125116 23.000.000 0 230000 Cash 5.29000
VIACOM INC NEW CL B 12115115 0110//16 5.000.000 0.100000 Cate 2.00000
Total Cash Not Yet Received 17,290.00
Bond Maturity Schedule
Bond Maturity Market Value %of Bond Markel Value
1 to 5 years 3.766,555.00 15% I I Percentages of bond market values are
rounded to the nearest whole percentage.
6 to 10 yea's 1.922.670 00 8%
Cl
Over 10 )ears 19.749.713.86 77%
Total 25,438,998.86 100%
Page 16 of 20
Account Number Rated Cacelloria
OLIAtl ROLL SOUTHERN F ID G -E o p N ape - r N less A L E Drx v Ae e Lr r B y u As V Rt o r R w aeA ' L rT S E O D . C 2 O 00 M 7 M UNICATOG
SDNY_GM_00045815
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) V% LLC. DB-SDNY-0008639
EFTA_00 156424
EFTA01288787

Deutsche Asset
& Wealth Management
DnalireRant Prmile Wealth myminmt
meats terrace emir
ontom sem semenMC
Now Teri Onto
P.O. Bat 1778, Skidmore. M021203 MSeLrL kam Ha I to
Statement Period: 12/01/2015 • 12/31/2015
Bond Quality
Pond Quality Market Value of Bond Markel Value
A 2A69,000 00 10% Percentages of bond market values are
BAA 8,395,250 00 33% - rounded to the nearest whole percentage.
BA/loner 14.574,748 86 57% M
Total 26,438,998.86 100%
Client Service Information
Your Client Advisor: DAN
DANIEL SA88A
345 PARK AVENUE, 26TH FLOOR
NEW YORK NY 10154.0003
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Socks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Bond Amortization Elections:
Amortize premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types Constant Yield Method
Include market discount in income annually: No
Electronic Delivery
You have not selected any account corn m unications for electronic delivery. To register and Win off paper communications, login 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 date basis, including short positions, at the close of the statement period. The market prices, unless othervnse 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 'NW and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Page IT of 20
IMAM Mel I Acc L o T u H n t E R N I u N m C be O r. NF D G -AEa o n n p oN a n p i,. e T rle I ss A L ( D n v a A e t r a U y l M V tm o . w R el A . l S o T c. n E a i D C 2 O O M 0 M 7 UNICATIONS 0..:Z.r=
rxerturNet
SDNY_GM_00045816
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) I OB-SDNY-0008640
EFTA_00156425
EFTA01288788

Important Information and Disclosures (continued)
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield tEAY) 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
YAWI.pershing.congbusiness_continuity.htrri 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 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 won 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 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 & Pools. Standard & Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties includng warranties of merchantability or fitness for a particular purpose.
Standard & Ponies 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.
The Role of Pershing
• Pershing canes 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 roles 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
Page 18 of 20
Account hum her Rata. twallerill
[MAO ROI". F I D (s A o E p N ape T rles r s i Ak M L rx v eL e n r B y u • Y rRt e r Ra w eA S rT in E c D e C 2 O .0 M 07 M UNCATIONS
SDNY_GM_00045817
6(e)s THERh t t.\O
CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. OB-SDNY-0006641
EFTA_00156426
EFTA01288789

Deutsche Asset
& Wealth Management
Dryly R•n, PAanair,tat
M.I4ets
De.cie la Bar 14(w•ri M.
Yin brit Mc*
P.O. Om 1778, Bahimore, MD 21203 lilts?' Ann... "Mk rIcce
line Sr\ nY 101:4
Statement Period: 12/01/2015 - 12131/2015
Important Inform ation and Disclosures (continued)
The Role of Pershing (contrnue
orders; the assessment of the suitability of those transactions, where appicable; the tendering of investment advice. if any, to you and in eneral. for the ongoing relationship that it has with you.
• Inquries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at Al other inquines 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 possige circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would hke additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC1. 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 friars. For more detailed information please visit vnwrpershing.coraraboubstrength-and-stability.
• This statement will be deemed conclusive. You are advised to report any inaccuracy a 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-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
• Al 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 part'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 generaly more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, n 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 a are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for barging 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;
Page19 of 20
Account Num berms Go paperless Every Y ta e c a e r l l L er a a c e 2'007 2:4:=70=7.==="'"="
L THERA CNO N LLC. F I DAENTIAL eDxAaL mBA LRi mRAesT ED COMMUNICATIONS
SDNY_GM_00045818
CONFIDENTIAL - PURSUANT TO FED. R CRIIVI P. 6(e) OB-SDNY-00O8642
EFrA_00156427
EFTA01288790

TERMS AND CONDITIONS
TRANSACTIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER.
• ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY
SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY ANO TO ALL APPLICABLE LAWS AND REGULATIONS. FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS
• TITLE TO SECURITIES SOLO 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 WWW.PERSHING.COM.
STATEMENT. IF SO, DE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERMOIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWVV.PERSHING.COMIDISCLOSURES
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS.
THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NM-
FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S RULE 607(AX1)-(2)]
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS.
PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES PI YOUR ACCOUNT APPEARS ON THE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST S ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON
FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COMES. WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW
MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY MID OPTION
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER ORDERS TO ITS AFFILIATE13NY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT.
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVALABLE FOR YOUR BEST SCECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
INSPECTION UPON REQUEST. FLOW, PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER.THE,
TAX INFORMATION COUNTER AND EXCHANGE-LISTED SECURITES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS.
TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN
• AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TM INFORMATION TO THE INTERNAL THE NATIONAL BEST BID OR OFFER (N880). ON CERTAIN LARGER ORDERS, OR F THE DESIGNATED
REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL MARKET CENTERS DO NOT MAKE A MARKET N THE SUBJECT SECURITY. PERSHING DIRECTLY
PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HRH
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. QUALITY OF THER EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE
• DIVIDENDS. MEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSH.NG ALSO REGULARLY
AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES.
DATE. THIS ro ASSFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS
GENERAL INFORMATION.
• PERSHING DOES NOT PROVIDE TAX, INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE
ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ARE NDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITES
HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SMALL 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 PERSHNO TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE NDEBTW TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR
YOUR ACCOUNT ARE OR MAY 8E. 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 LIABLMES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT
PROHIBITED BY LAW.
F ANY OF DE ABOVE TERMS AND CONDITIONS ARE UNACCEPTABLE TO YOU. REASE NOTIFYPERS-ENG IMMEDIATELY IN WRITING8Y CERTFED MAIL TOONE PERSHING PLAZA JERSEY CITY. NJ 07329, ATTN' LEGAL DEPT
Page 20 e120
**
ASccCount Num ber
oNFIDG-or pwaperrleisAs LL'' La d Y•.•
L TH ERN r, LLC. rxesDtuArRtr RaAeTr ED C2O°M°7MUNKATIONS
SDNY_GM_00045819
CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) OB-SDNY-0008643
EFIA_00156428
EFTA01288791

Deutsche Asset
& Wealth Management
DNS,' Um PrmalP *man P......enan
rivets <Dom. G.ouo
IXMUM ML Sew Oa W.
Mat *4 011ie
P.O. Boa 1778, Balamoro, MD 21203 HS Pia Asa. nth I bet
Account Number:
Statement Period: 1110112015 - 1113012015
Portfolio at a Glance
This Period Year-to-Data
SOUTHERN FINANCIAL LLC Beginning Account Value 1106,062,716.64 1126,711,213.02
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 .17,667.830.71
Net Securities InlOut of Account 0 00 4.867190.80
ST THOMAS VI 00802
Adjusted Previous Account Value 106,052,716.54 103,178,671.61
Dividends, Interest and Other Income 422,971 55 3.258.378 33
Total Taxes Withheld 0 00 -6.561.18
Net Other Activity -1.00 -301.00
Your Client Advisor: Net Chan e in Portfolio -229.556.33 -181.059.90
DANIEL SABI3A nding Account Value 1 0 6 246 1 2 7 76 $106 246 127 76
Accrued Interest $471,817 28
Estimated Annual Income 53.638.68259
Asset Allocation
Prior Year-Cad Lag Period This Period % Allocation
LSO Cash. Money Funds and Bank Deposits 11,273,981.33 26,408,624.58 26,827,392.13 25.25% Please review your allocation
LSO Axed Income 18,177,455.58 20,407,884.87 20,266,106.17 19.07% pen:Kiraly wth you Clent Adyscr.
Non.L SD Axed Income 7.150,052 50 5,326,122.50 5,335,22810 5.02%
LSD Equities 5026,544.61 50.675.968.59 50,481,923.16 47.52%
Non•OSD Equities 2.986.256.00 3.233.816.00 3.335.180.00 3.14%
Account Total (Pie Chart) 1126,714,213.02 3106,052,716.54 1106,246,127.76 100.00%
See the Asset A, bcabon Disclosure end Footnotes section for important intonation reganling your Asset flotation.
Pate 1018
Rated [mall* Si
} ttiltt ttt)t t BO 09 6 989CSP 3 0 I> Go paperless D L v A e L r B y A v R s R . A s T i n E c D e C 2 O 0 M 07 M UNICATIONS
CONF IDMTIAL rxesurNer
SDNY_GM_00045820
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008644
EFTA_00 156429
EFTA01288792

Asset Allocation Disclosure and Footnotes
Al values are displayed in U.S. dollars based on interbank exchange rates as of 1113012015. Exchange rates can vary.
Equities contains Equity Mtrtual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short-Term Gain/Loss 0.00 100,107.03 -914.334 24
Long•Term Gain/Loss 455.73 .165.396.33 6.267.271.31
Net GaIn/Loss 455.73 -65,289.30 5,352,937.07
This summary excludes transactions where cost basis information is rot available.
Money Market Fund Detail
Date Activity Type Description Mont Bahia
Sweep Money Market Fund
DEUTSCHE GOVT CASH INSTL
Account Number: 0000001490 Cement Yield: 004% Activity Ending 11130115
10131/15 Opening Balance 25,605,043.43 25,805,043.43
11/02115 Deposit MONEY FUND PURCHASE 803,581.15 26,408,624.58
11/03/15 Withdrawal MONEY FUND REDEMPTION -4.00 26.408.620.58
11/05/15 Withdrawal MONEY FUND REDEMPTION -89,331.36 26,31928922
11/08115 Deposit MONEY FUND PURCHASE 89,331.36 26,408,610.58
11113115 Deposit MONEY FUND PURCHASE 57,293.60 26,465,914.18
11/16115 Deposit MONEY FUND PURCHASE 42,500.00 26,508,414.18
11/17115 Deposit MONEY FUND FURCHASE 222,235.04 16,730,649.22
11/24115 Withdrawal MONEY FUND REDEMPTION -4,200.00 26,726,44922
11/27115 Deposit MONEY FUND PURCHASE 7,985.38 26,734,414.60
11/30115 Deposit INCOMEREINVEST 872.68 26,735,287.18
11130115 Closing Balance 326 735 87.18
Total All Money Market Funds 126,735,257.8
Income and Expense Summary
Current Period Year-taate
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 171.999 85 0.00 1,041,783.30 0.00
Money Market 872 58 0.00 13,308.01 000
Other Dividends 81,150.00 0.00 744,057.40 0.00
Page240 18
11,1,4..011 Account Number: Go paperless e k ) r E D n x a v A e i aL a n B d t . A L V E R i x ,s c R o e r A l S l T e i E n n c D t e C 2 O 0 M 07 M UNICATIONS
FI D ENTIA
SDNY_GM_000451321
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERk DB-SDNY-0008645
EFTA_00156430
EFTA01288793

Deutsche Asset
& Wealth Management
DraSC ••[ Bm, Prmair Wean Pm.genan
mints tonna Gio‘p
Deelsch• ML stare" M.
Now Mbin
PO &a 1778. Ballimore. MO21203 SO Pia Oa* loth l lea
Ms** NY 101M
Statement Period: 1110112015 • 11130/2015
Income and Expense Summary (continued) Current Period Year4o-Date
Taxable Noe Taxable Taxable Non Taxable
Interest Income
Bond Interest 36,119.13 0.00 780,941.74 0.00
Other Interest 40,625.04 0.00 162,500.16 0.00
Expenses
Withholding Taxes 0.00 0.00 -6.561.18 0.00
Fee Foiii n SearNiesl 010 0.00 -22500 0.00
Total Dividends, Interest, Income and Expenses 1330166.60 10.00 $2,735,804.43 $0.00
Distributions
Alternabve Investments 0.00 92,104.95 0.00 515.787 72
Other DiNributions 0.00 0.00 0.00 89.616 40
Total Distributions 10.00 $92,104.9$ $0.00 $605,404.12
Portfolio Holdings
Account ACIO114 Opening Closter; Awned hoar 30-Day Current
Opening Date Quantity Number Ending Balance Balance Inane This Year Yield Yield
Cash, M oney Funds, and Bank Deposits 25.00% of Portfolio
Cash Balance 803.591.15 92,104.95
Money Market
DEUTSCHE GOVT CASH INSTL
10131115 26.735.287 180 0000001490 11130/15 25.605.043.43 26335.287.18 0.00 13.308.01 0.04% 0.04%
Total Money Market 626,605,043.43 $262361202.16 10.00 113,308.01
Total Cash, Money Funds, and Bank Deposits 626,406,62446 126,627,312.13 $0.00 $13,308.01
Page 3 of 18
B*096 9 e 9CSF 30,1 Ott,,,, +01 A S c O c U ou R n t E N RA u m C b S er NO N LLC. F I D Gor paapenrleAss L R rD t x v A a e e t L e r s B y d a A V t rR a t . r a * M o . e l L l Ur e a n D t il e C 2 O 0 M 07 M UNICATIONS -I- —.0- arc.
SDNY_GM_00045822
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008646
EFTA_0015 6431
EFTA01288794

Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Ned Quad Ualt Cod Cod Basis Market Price Markel Value Gain/ Loss Interest Annual Income Yield
Fixed Income 24.00% of Portfolio (In Mown?), Dale Sequence)
'Asset Backed Securities
WASHINGTON NUT NTG SECS CORP 2004-RA2 Security Identifier: 930338520
NIG PASSTHRU CTFCL C-B-1 VAR RATE
5.199% 07/25/33 WE DM 06/0110/ S 8 P Rating D
Factor. 0.53798310 Effective Date:11/02/15
Current Fact Value: 693.998 199
12113/13'•3.12 1,290,000.000 76_5190 531,037.77 84.7000 587,81647 56,778.70 2.905 74
Original Cost Basic $638.906.71
Total Asset Backed Securities $631,037.77 3587,818.47 $56,271.70 $2,906.71 $0 .0 0
1290,000.000
Total Current Face Value : 693,998.199
Corporate Bonds
EARTHUNK INC GTD SR NT FULLY EXCHANGED Scantly 'deadlier: 270321AC6
CUSP FROM 270321AB8 8.875% 05/15119 WE
DID 05117/11 CALLABLE 12/02/15 38 P Rating CCC.
10/22/12 'Ain 146,000 000 102 6620 149,886.88 102.5000 149,650.00 436.88 539.90 12.957 50 8.65%
Original Cod Wit $151,110.00
10/23/12 '.3.12 600.000 000 102 5760 615,457.52 102.5000 615.000.00 -457.52 2,218.75 53.250 00 8.65%
Original Cod Basis: 9119,500.00
Total Nom:owed 718,000.000 766,344.40 764,850.00 .614.40 2,758.65 66,207.50
Total 746,000.000 $706,344.10 3764,650.00 -$891.10 $2,758.66 $66,207.60
FRONTIER CON N UNICATIONS CORP Security Identifier: 36906AAH1
SR NT 6.500% 04/15720 WE
DTD 04112110 1ST CPN DTE 10115110 Moody Rating 843 S
P Rating Elf3
07/06115 3,000,000.000 105.3010 3,159,022.74 100.1250 3,003,750.00 ,155,272.71 31,875.00 255,000.00 8.48%
Original Cod Basis: 53,171,006.00
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: GISI5PP48
TERM NOTES ISM XS0717735622
9.875% 12118121 REG DM 12/16111 Moody Rating Bat SI
P Rating 808
12104/13 'AM 1,500,000.000 106 9040 1.603.555.00 107.8120 1,617,180.00 13,825.00 111,511.87 148,125.00 9.15%
Original Cost Basic 91,627,500.00
BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 06739FHK0
ISN U936739R403 7.750% 0/110123 B/E
DID 04110113 CALLABLE 04/10118 38 P Rating 88'
04103/13 '.12.13 300,000.000 100.0000 300,000.00 108.4060 325218.00 25,218 00 3,229.17 23,250.00 7.14%
Original Cod Basis: 5300.000.00
Page 4 of 18
BE092989CSF :: UM/ER ROIT A S c O c L o T u H n E t N RA u m rt D 5 er . F I D G AE o p N ape T rle I ss A L D R rDxA a a c t L e y i Bt d uA ` E M Rr m w a R e e r A l T l rT e A E n N t D N C 2 O 0 M 07 M UNICATIONS t= ta "-'"e4tr
SDNY_GM_00045823
CONFIDENTIAL — PURSUANT TO FED. R CRINA P. 6(e) OB-SDNY-0008647
EFrA_00 56432
EFTA01288795

Deutsche Asset
& Wealth Management
(*.hoe PAIMIP,Int
MWCS Co.vt•gt
De.tic pl.
*A Office
P.O Boa 1776, Balamore. MD 21203 'Pant Anne.. nalk /ICC.
%Ye Sr\ IOVA
Statement Period: 11/01/2015 • 11/30/2015
Portfolio Holdings (continued)
Adjusted Unrealized Paned Estimated Estimated
Dale Acquired thiantig Unit Cost Cost Basis Market Price Meld Value Gain! Low Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
PM ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 16625HHA1
1110TH PFD SER 1 FD TO FLTG RT BO
1.900% 01129149 BlE DTD 01123108 Moody Rating BM3 S
P Rating BBB-
06115111 '.3.t2 2,500,000.000 107.5000 2,687,500.00 103.0000 2,515,000.00 .112.500.00 16,158.31 197.500.00 7.66%
Original Cost Basis: 52,687,500.00
06/15/11 '.3.12 2,500,000.000 107.0000 2,675,000.00 103.0000 2,515,000.00 -100,000.00 16,458.33 197.500.00 7.66%
Odgnal Cost Basis 52,675,000.00
Total Noncovered 5,000,000.000 6,362600.00 5,150,000.00 -212,500.00 32,916.67 395,000.00
Total 5,000,000.000 55,362,500.00 35,150,000.00 -$212,50060 532,916.67 3395,000.00
BANK AN ER CORP PERP NON CON ULATIVE DEP Security Identifier: 060505D 78
SHS FIXED TO FLOAT 8.125% 04130/58 WE
DTD 0/130108 CALLABLE 05115118 Moody Rating BA2 58 P
Rating BB4
01/10111 '.3.12 2,000,000.000 102.7500 2,055,000 00 103.8750 2,077,500.00 22,500 00 6.770 83 162 500.00 7.82%
Original Cost Basis: 52.055,000.00
SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: 112100FU2
6.250% 01/17/62 INE DTD 01/17/12
CALLABLE 02/01122 4) 100.000 Moody Rating BM1 S 6 P
Rating BB8-
01130112 ..3.12 3.000,000 000 99 8290 2,991,879.33 1i t 0000 3,330,000.00 335,120.67 61,979.17 187,500.00 5.63%
Original Cost Bares: 52,992,564.97
GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 369622916
A 7.125% 06112162 WE
DT0 06112/12 CALLABLE 06/15/22 Moody Rating BAA1 Si&
P Rating A+
06127112'•12.13 2,000,000.000 104.1550 2,089,096.17 It8.8750 2,377,500.00 288,403 53 65,312 50 142,500.00 5.99%
Original Cost Bans: 52.122.916.67
Page 5 of 18
Account Num ber kat.. Lowlier.'
E.:09e9t9,1"F ,' 08A1 ROI s✓JLTHERA CNO NLLC. F I D G -E o p N ape T rle I ss A L rD (v xA e eL r nB y Au V Rr a n R . e A S rT i E nc D e C 2 O '0 M 0 M 7 UNCATOOKS
SDNY_GM_00045824
CONFIDENTIAL — PURSUANT TO FED. R CR[6,1. P. 6(e) OB-SDNY-0008648
EFIA_00156433
EFTA01288796

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Dale Acquired Quantity Unit Cog Cog Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
CITIGROUP INC FXD RT SR NT PERP DEP RECP7 Security Identifier: 17296725
5.950% 08/15/88 BJE DTD 08112115
CALLABLE 08/15120 Q 100 000 Moody Rating BA2 S8 P
Rating BB*
08106115 3.000.000.000 100 0000 3.000.006.00 99.1630 2.974.890 00 45.116 00 53,550 00 178.500.00 6.00%
Original Cog Basis' $3.000.006.00
LBG CAPITAL NO 1 PLC 144A Security Identifier: G5433BBG8
ISIA$XS0473106283 8.000% 09/15/88 REG
DTD 12115/09 CALLABLE 06/15120 S 8 P Rating BB.
12104113 %Elf 1.200.00,0.000 108 2500 1,299,000.00 112.1000 1.345.200.00 46.200 00 44.000 00 96.000.00 7.13%
Original Cog Basis: 51,299,000.00
5LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4
ADDL TIER 1 SECS ISIA liS539439AG42
7.500% 09127188 81E DID 04107114 Sd P Rating BB.
Please Provide' 1.903.000.000 NIA Pease Provide 107.6000 2.047.628 00 NIA 24.976 88 142.725.00 6.97%
Original Cog Basis. Pease Provide
Total Corporate Bonds $22,626,403.94 325,013,516.00 6337,484.06 1468,910.54 31,797,307.50
23,649,000.000
Total Fixed Income 923,159,441.71 125,601,332.47 1394,262.76 5471,617.26 51,797,307.50
24,939,000.000
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cog Cod Basis Market Price Market Value Gain/ Loss Menai Income Yield
Equities 46.00% of Portfolio
Common Stocks
M OBILEYE NV AM STELVEEN ORO SHS Security Identifier M BLY
ISIML0010831061 CUSP. N51488117
Dividend Option: Cash
08/01/14 800.000 25.0000 20.000.00 43.6000 34,880.00 14,880 00
AKORN INC COM Security Identifier: AKRX
Dividend Option. Cash CUSP. 009728106
06110115 5.000 000 46 8410 234.206.00 33 3000 166.500 00 -67.706.00
AUBABA GROUP HLDG LTD SPONSORED ADS Security Identifier: BABA
ISIN 6 LS0160941/1027 CLSIP 01609W102
Dividend ()pion Cash
06110115 5.000 000 88 9500 444.749.00 84.0800 420,400.00 -24,349.00
ALUANZ SE SPONSADR REPSTG 1(10 SHS Security Identifier: AMY
Dividend Option: Cash CUSP: 018805101
Paged of 18
Account Num tier Rated tocelleni
IntAit u011 SOUTHERN CP1 Go PaPerless L O v M er A y N Vo I R ar A S T i E nc D e C 2 O 0 M 07 M UNICATIONS
SDNY_GAt_00045825
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008649
EFTA_001564134
EFTA01288797

Deutsche Asset
& Wealth Management
Draw, Sam Pon. Wealth Marnent
Iftrat$ COMM, 6,0‘ p
Devlativ SOS 5~0" at.
New *A Olio
PO Boa 1778, Babimore, MO 21203 M PPli /MO. nth I bet
Wm Viet NY INM
Statement Period: 11/01/2015 - 11/30/2015
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Gamily Wit Cod Cost Basis Market Pria Market Value Wind Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
ALLIANZ SE SPONS AOR REPSTG 1110 SIM (continued)
04713/15 5,000.000 18.0110 90,056.00 17.7060 88.530.00 .1.526.00 2.833.81 3.20%
APOLLO GLOBAL MGM T LLC CL A VS Security Identifier: APO
Dividend Option: Care CUSP 037612306
03129/11 '.13 263.157.000 19.0000 4.999.983 00 16.3300 4.297.353.81 402.629.19 515.787.72 12.00%
APPLE INC COM Security Identifier: AAPL
Dividend Option: Cash CUSP 037833100
09105114 110.180.000 98 9500 10,902,315.41 118 3000 13,014,294 00 2,131.978 59 229.174.40 1.75%
ARIA ft PHARMACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash CUSIP:04033A100
02114112'•17 7.535.000 15 2090 111.597 10 64100 48.299 35 -66,29805
01124113 '.13 9.000.000 19.6000 176.400.00 6.4100 57.690.00 .118,710 00
Total Nonovered 18,535.000 290,997.40 105.989.35 -185,008.05
Total 18.535.000 3290,997.40 9105,989.35 -$185,008.05 90.00
ASCENA RETAIL GROUP INC CON Security Identifier: ASNA
Dividend Option: Cat OAP 043510101
01/16101 '.3 70.500.000 21 2770 1.500.000 00 11 3300 798,765.00 -701.23500
AVALANCHE BIOTECHNOLOGIES INC Security Identifier: AAVL
COM CUSIP: 053376107
Dividend Option: Cash
10.000 00 of these shares ate in your margin account
04120115 10.000.000 39.8610 398.606.00 10.4800 104.800 00 -293.80600
BASF SE SPONS AOR Security Identifier: BASET
IA0650552625057 CUSIP 055262505
Dividend Option: Cash
04/13115 5,000.000 101.6110 5043,056.00 82.7380 413,690.00 -94.366 00 11.276.50 2.72%
SANK OF NEW YORK M ELLON CORP CON Security Identifier: BK
Dividend Option: Cash CUSIP. 064058100
06125114 250,000.000 36.3060 9,076,406.00 43.8400 10,960,000 00 1.883,594 00 170.000.00 1.55%
Page 7 of 16
Account Num ber. Rabid tacelle nil
()PAN ROI SOUTH ERA e4O NFID G A o E pa N per T les I s A L r L Dx y Ae n L ' Bi , t A V uRn .. Rs . Ae S Tr l E a D te C 2 O '0 M 07 M UNICA TOG aorrlame=a7rarna ta O• ISriat.S. in ••••••
SDNY_GM_00045826
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008650
EFrA_00 156435
EFTA01288798

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Dale ••aired Quiet Wit Cost Cod Basis Market Price Market Value Gaid Loa Annual Income Yield
Equities (continued)
Common Stocks (continued)
BIOGEN 10K INC COM Security Wenner: BUB
Dividend Option: Cash CUSP: 09062X103
02/14112 *.I3 2,095.000 119 5490 250.454 95 286.8600 600.971 70 350.516 75
DISH NETWORK CORP CL A Semitic)! Identifier: DISH
Dividend Option: Cash CUSP. 25470M 109
06110115 5.000.000 72 9960 364,978.00 62.7100 313.550 00 -51.428 00
FACEBOOK INC CL A Security Identifier: Fll
Dividend Option: Cash CUSP: 3030311102
05117112'•'3 17,500.000 38.0000 665,000.00 1042400 1,824,200.00 1,159,200.00
FOUNDATION NEDICINEINCCOM Security Identifier: MI
Dividend Option: Cash CUSP. 350465100
01113114 25,000.000 2730/0 687,683.50 17.0100 125,25040 ,262,413.50
08105114 24,830.000 232530 577,373.02 17.0100 122.358.30 -155.014.72
Total Covered 49,830.000 1,265,038.62 847,608.30 -417,428.22
Total 49,830.000 31,206,038.52 2847,608.30 -3417,428.22 30.00
GENERAL ELECTRIC CO COM Security Identifier: GE
Dividend Option: Cash CUSP: 369604103
04123113 '.13 23.000 000 21 5700 496,109.08 29.9400 688,620 00 19251092 21,180.00 3.07%
GENERAL M TFtS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 370450100
11118/10 ' 10888 200 36 4010 399,978.16 36.2000 397,772.85 -2,205.31 15,823.01 3.97%
12109/10 ' 86,536.800 36 8160 3,185,969.22 36.2000 3,132,632.15 .53,337.07 124,812.99 3.91%
Total Noncovered 91026.000 3,585,947.38 3,630,405.00 -60642.38 140,436.00
Total 97,525.000 33,506,947.38 33,530,405.00 -$55,642.38 3140,436.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02105114 5,000.000 792010 396,407.00 105.9600 529.000.00 133,393 00 8.600.00 1.62%
03107/14 3.100.000 79 6120 246,797.00 105.9600 328,476.00 81,679 00 5,332.00 1.62%
Total Covered 8,100.000 843,204.00 868,276.00 216,072.00 13,932.00
Total 8,100.000 $643,204.00 3858,276.00 3216,072.00 313,932.00
GLAXOSMITHKUNE PLC SPONS ADR Severity Identifier: GSK
Dividend Option: Cash CUSP: 37733W105
06110115 5.000.000 430010 215,006.00 40.5100 202550 00 .12,156.00 12,128.20 5.98%
GLOBAL PARTNER ACQUISITION CORP Severity Identifier: OPACU
UNIT 1 CON 8 1 WT EXP CUSP: 31954)Q04
Dividend Option: Cash
07130/15 ' 2.000.000 10.0000 20.000.00 10.0000 20.000.00 0.00
Page 8 of 18
cr5.
98..0 vL I A SO cc U o T u H n E t R N N u mber: F I D G E o p N ape r t le " ss I 1 1 Dx 4 0 A 9 a . L 9 0 rO y 0 u A y [m mR e a R a e r A l l S rT s a E rid r D a C 2 O 9 M 07 M UNICATIONS .7 C ro.....377.=ra t=
SDNY_GM_00045827
CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) OB-SDNY-0006651
EFIA_00156436
EFTA01288799

Deutsche Asset
& Wealth Management
Dralu.v Ram Pon. Wealth Manrent
Mv705C0•07,74.pyp
M.1477 law wcwIts.mc.
Mee brk OINMO
PO Boa 1778, Babimore, MO 21203 IONA AMMO_ i %if
Woe We\ 1,0 101•A
Statement Period: 11/01/2015 - 11/30/2015
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain! Lon Annual Income Yield
Equities (continued)
Common Stocks (continued)
GODADDY INC CL A Security Identifier: GOD?
Dividend Option: Cat CU SIP. 380137107
04101115 700.000 20 0000 14.000.00 31.0700 21.749.00 7.749.00
HEALTH NET INC COM Staidly Identifier: HNT
Dividend Option: Cash CUSP: 422226108
09/08114 25.000.000 46 9800 1.174.506.00 63.2600 1.581.500.00 406.994.00
MATCH GROUP INC COM Security Identifier: M TCH
Dividend Oplion: Caffi COP 57665R106
11118115 200.000 12 0000 2,400.00 14.4800 2,896.00 49600
SANGAM 0 BIOSCIENCES INC COM Security Identifier: SGM 0
Dividend Option: Cash CUSIP: 800677106
05128113'•'3 50.000.000 8 4440 422.214.00 8.2800 114,000.00 .8,214.00
SANTANDER CONSUM ER USA HLDGS INC COM Security Identifier: SC
Dividend Option: Cash CUSP. 8028311101
01113/14 1.000.000 24 0000 24.000.00 17.6400 17.640.00 -6260.00
SQUARE INC CL A Security Identifier: SO
Dividend Option. Cash CUSIP. 852234103
11119115 200.000 9 0000 1,800.00 12.0400 2,108.00 608 00
TERRAFORN GLOBAL INC CL A Security Identifier: GLBL
Dividend °pliant Cant CUSP 88104M101
07131/15 400.000 15 0000 6.000.00 4.0300 1,612.00 -4,3a8.00 272.64 16.91%
TWITTER INC COM Security Identifier: TW TR
Dividend Option: Cash CUSP:. 901841102
11101/13 1.500.000 26 0000 39.000 00 25.4000 38.100.00 •90000
VIACOM INC NEW CL 8 Security Identifier: WAS
Dividend Option: Cash CUSIP 91553P201
06710/15 5.000.000 67 7490 338.745 00 49.7900 248.950.00 .89.795.00 8.000.00 3.21%
VOLKSWAGEN A G ADR (SPON Security Identifier: VLKAY
Dividend Option: Cash CUSIP. 928662303
Page 9 of 18
VItAll 6: A )L cc T o H u E nt R N A u m C be O r. FI D Gro ipsaprernAL r ( l D i x v t A a a e L t r o r y Bt d u A Y 4 rR 0 n e 7 a Rs 1 r Ae 1 9 Tr 7 0 E r 0 a D 7 C 2 O 0 M 07 M UN ICA MONS
SDNY_GM_00045828
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. .1I OB-SDNY-0008652
EFIA_00 156437
EFTA01288800

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Monad Quantity Unit Cost Cost Basis Market Price Markel Valle Gelid Loss Annual Income Yield
Equities c:-
Common Stocks .: •
VOLKSWAGEN A G ADR (SPONS) (continued)
04113115 5 000 000 50.8610 254.30600 29 8470 119,235.00 •05.07100 4 004 38 2.68%
WISDOM TREE INVTS INC COM Security Identifier: W ETF
Dividend Option: Cash CIJSIP 97717P104
03131115 15100.000 211110 321,157.513 21.7500 326,250.00 2,092.50 4,860.00 1.17%
Total Common Stocks 135,572,239.21 342015,723.16 13,543,483.92 31,133,195.6e
Preferred Stocks Noted by expiration date)
ALLY FINL INC Ax TO FLT Security Identifier: ALLY PRB
DIV-8.50% FREQ-QTRLYCALLABLE% 25.00 CUSP 020059308
ON A OTRLY BASIS AFTER 05/15/2018
Dividend Option: Cash
02103/12 '.13 46.800.000 191020 903.217.51 25.8000 1,202,280.01 299,062.50 99,025.00 8.23%
02109/12 '.13 80.000.000 20.1250 1,610,000.00 25.8000 2.063.999.99 453,999.99 170,000.00 6.23%
Total Noncovered 126,600.000 2,513,217.51 3,266,280.00 753,062.49 289,025.00
Total 126,600.000 $2,513,217.51 83,266,280.00 3753,062.49 $269,025.00
GM AC CAP TR I GTD TR PFD SECS SER 2 CPN• Security Identifier: ALLY PRA
8.125% FRECI OMIT MATT-0211512040 CALL CUSP 361860208
ANYTIME 025 W130 DAYS BEGINS 02/15116
Dividend Option: Cash
02122112 '.13 80,000.000 23.5350 1,882,773.60 25.5000 2,010,000.00 157,226 40 162,500.00 7.96%
ROYAL BK SCOTLAND GP PLC SPON ADR REPSTG Security Identifier: RBS PRT
SER T PFD CPN.7.25% FRED ORTLY PERP M TY CUSP: 780097713
CALLO 25 ANY W130 D NOTICE AFTR 12131112
Dividend Option: Cash
10124112 '.13 10,000.000 23.7100 951,600.00 25.1900 1,031,599.99 79,999 99 72,500 00 7.02%
01107/13 40,000.000 24.4400 977,600.00 25.7900 1,031,599.99 53,999 99 72.500 00 7.02%
01114113 *.ls 10,000.000 21.8800 995,200.00 25.1900 1,031,600.02 36,400 02 72,500 00 7.02%
Total Noncovered 120,000.000 2,924,100.00 3111,800.00 170,400.00 217,500.00
Total 120,000.000 82,924,400.00 33,094,800.00 $170,400.00 8217,500.00
Total Preferred Stocks 87,320,39111 $6,401,060.00 $1,0110,661119 8649,025.00
Total Equities 815,892,530.35 350,616,603.16 $4,624,172.51 81,182,830.68
Page 10 of 18
Account Number: Go Rated
E!.01,09,9CSF3, 00A11 MOLL FI D Air pa r pe i r A less et c Lr b x e Ac e M r it y Au v rR « r aR eA L rT a E c D e C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00045829
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6: THERM OB-SDNY-0O08653
EFTA_00 156438
EFTA01288801

Deutsche Asset
& Wealth Management
Opaline Sim PonieWniinManalunnd
WINO teeny f„0.0
IXMUM ML smokes C.
Mn *4 Mal
PO Boa 1778, Skidmore, MD 21203 SO Pan AM*. medico
Mrs.:ANY 10114
Statement Period: 11101/2015 - 11/30/2015
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quality NO Cod Cod Basis Market Price Market Value Gala Loss Annual Income Yield
Exchange-Traded Products 3.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY FD Stonily Identifier: DXJ
Dividend Option. Cash: Capital Gains Option: Cash CUSP. 97717W851
61000.00 of these shares are in your margin account
12/11113 60.000 000 49.4350 2,966,09830 55.0100 3.309600.00 334,50110 45,236.40 1.37%
Total Exchange-Traded Products 12,966,09810 13,30000.00 1334,601.50 $45,236.40
Unrealized kaued Estimated
Cod Basis Markel Value Gainl Loss Interest Annual Income
Total Portfolio Holdings 198,145,562.69 $106,246.127.76 16,352,937.07 1411,817.28 53,635,682.59
Footnotes
Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generaly nit subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended FIRC') (incorporating
amendments enacted by P.1.110-343, 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 non-retirement,
US taxpayers securities which have been acquired on or after their 'applicable dateisr 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 a after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on a after January 1, 2012
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easy determined acquired on or after January 1, 2014.
Cost Basis on tad income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, 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 cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less
than one year to maturity. 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 infommtiai
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.
11 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.
11 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.
PagelioH8
Account Number u.....de.....u.s .Isia.-..7.-..-.T=inai «.....i..'-,-.- =.."
MIMI 9On SOL THERA Chti RC- Go Paperless .1 0 LOALEZINTEDC=ILINCATIONS •.a.• ,AC remaer INIOA Melt OOP
F I DAENTIAI f UNCIILITher
SDNCGM_00046830
N
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0006654
EFTA_00156439
EFTA01288802

Schedule of Realized Gains and Losses Current Period
Oispositiol Acquisition Disposition Realized Gain/ Lose
Oate Date Transaction Oescriptios Quantity Cost Basis Proceeds Disallowance
Long Term
11124115 12113113' FO°P ViASHAGTON MUT M TG S 001-RA2 M TG PASSTItRU CTF CL 1.290.000.000 1,185.07 1,910.80 155.73
C- B-1 VAR RATE 5.199% 07/25133
Security Identifier 939336520
Original Cost Bait 1.485.07
Total Long Term $1,415.01 $1,940.80 3455.13
Total Short Term and Long Term $1,415.01 $1,940.10 $45513
' Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (*IRO, (incorporating
amendments enacted by P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered enoncovered," 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
non-retirement, US taxpayers 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 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
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or alter January 1. 2014.
This Schedule may not reflect alt 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 repots, 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 rekance
O11 the information provided herein for such reporting.
Cost Basis on fixed income securities may be adjusted for amortization. accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of foxed
income security, and certain attributes, obtained from sources believed to be rabble. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected
until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with
less than one year to maturity. 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 calculatng 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 totiowng information for Persieng's 2015 IRS Points 1099 (8, DIV. INT. OID and MISC ): Your form 1099 will be delivered as early as possible, beginning January 31, 2016. By February 16, you
will be mailed 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 Wii inform you of the
Page 12 of 18
Account Number: Rated [.ale,.
USAB ROLL Go papedess l rO e xAe v Ls y Bt Au Y Rr e m R ar eA S rT i E s D ta C 2 O 9 M 07 M UNCATIONS
SDNY_GM_00045831
e:ouTHurOKIFIDAirriAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. DB-SONY-0008655
EFTA_00156440
EFTA01288803

Deutsche Asset
& Wealth Management
Onlug< Ram Pnwale vkanstwienan
reaca8 <wrap
oe.8047...* salons Lac
Mee *A Mar
P.O. Box 1778, Bahimore, MD 21203 341P art Annie. It" I ter
War Rot nr 1011.4
Statement Period: 110112015 • 11/3012015
M essages
(continued)
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 17, 2016.
Akhough 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.
Activity Summary
(Alf amounts shown are in base cumency)
Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Mel Year-to-Date
Securities
Securities Bought 0.00 -4.20000 -4.200.00 0.00 1.518.227.50 -9.518.227.59
Securities Sold 0.00 000 0.00 170,757.03 0.00 170.757.03
Securities Withdrawn 0.00 000 000 0.00 -3.383.998.80 -3.383.998.80
Total Securities $0.00 -$4,200.00 -$4,200.00 $170,757.03 -$12,902,225.30 -$12,731,469.27
Dividends and Interest $330,886.60 $0.00 $330,866.60 $2,742,590.61 $0.00 $2,742,590.61
Distributions $92,104.95 $0.00 $92,104.95 $6,832,960.55 $0.00 $6,832,960.55
Fees $0.00 -$4.00 -$4.00 $0.00 -$301.00 -$301.00
Taxes Withheld $0.00 $0.00 $0.00 $0.00 -$6,561.16 -$6,561.16
Other $0.00 $0.00 $0.00 $66,692.73 -$68,692.73 $0.00
Cash
Withdrawals 000 000 000 0.00 -20,367.53929 -20,367,53929
Deposis 0.00 000 000 2.699.708 58 000 2,699.708 58
Total Cash $0.00 $0.00 $0.00 $2,699,708.58 -$20,367,539.29 -$17,667,830.71
Money Market Funds $0.00 $0.00 $0.00 $2,448,952.63 -$4,780,931.93 -$2,331,979.30
Totals 6422,971.56 -$4,204.00 $416,767.55 $14,063,882.13 -$38,126,252.43 -$23,162,570.30
Page13018
IIHAM 4011 A SO cc L o T u H n t E N RA u m ber t NLLO. F ID (so r p a ap r er I le A ss L rD R E xA n i e t L v a n y B . u A Y t r a Rm e c R e a e l A r l S o rT n i E v e D a C 2 O 0 M 07 M UNCATIONS :Tr.t .,:77-retta,
SDNY_GM_00045832
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008656
EFTA_00156441
EFTA01288804

Transactions by Type of Activity
Process/ Trade/
Settlement Transaction
Date Date Adivit T pe Dean-an Qua Price kneed Interest Moult Curren
Securities Bought and Sold
11124115 11118/15 PURCHASED MATCH GROUP INC COM PROSPECTLSLNDER%PARATE 200.000 12.0000 -2.100.00 LSO
TCF COVER
11/24115 11119115 PURCHASED SQUARE INC Cl. A PROSPECTUS LA DER SEPARATE COVER 200.000 9.0000 .1.800.00 LSD
SO
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 .4,200.00
Dividends and Interest
11/12/15 CASH DIVIDEND RECEIVED 110180 SF RS APPLE INC COM RD 11/09 PD 11112/15 57.29310 LSD
AAPL
11/13/15 CASH DIVIDEND RECEIVED 250000 SF RS BAN K OF NEW YORK MB.LON CORP COM RD 42,500.00 LSO
8K 11102 PD 11/13/15
11/16/15 CASH DIVIDEND RECEIVED 126600 SF RS ALLY FIN L INC FIX TO FLT DIV-8 50% 67,256.25 LSO
ALLY PRB FREQ-QTRLY CALLABLE Q 25.00 ON A QTRLY BASIS AFTER
05/15/2916 RD 11/01 PD 11/16115
11/16/15 CASH DIVIDEND RECEIVED BANK AMER CORP PERP NON COM ULATIVE DEP SFS AXED 81.250.00 LSD
060505018 TO FLOAT 8.125% 04/30/58 B/E RD 11113 Ft 11/15115 DIV
PAID AT 40.625 2000000
11/16115 BOND INTEREST RECEIVED 716000 EARTH LINK INC GTD SR NT FULLY EXCHANGED 33.103.75 LSO
270321AC6 CUSIP FROM 270321A88 8.875% 05115119 B/E DID
05/17/11 CLB RD 11113 PD 11/15/15
11/16/15 BOND INTEREST RECEIVED 80000 SF RS GM AC CAP TR I GTD TR FFD SECS SER 2 CA. 40.625.04 LSO
ALLY PRA 8.125% FRED ORTLY M ATV-02/15/2040 CALL ANYTIME @ 25
*130 DAYS BEGINS 02/15/16 RD 11/13 PD 11/15/15
11/25/15 BOND INTEREST RECEIVED 1290000 WASHINGTON MUT MTG SECS CORP 2004-RA2 3,015.38 LSD
939336S20 MTG PASSTHRU CTF Cl. C-B.1 VAR RATE 5.199% 07125/33
BIE OTO 06/01/04 RD 10130 PD 11125/15
11/25/15 CASH DIVIDEND RECEIVED 15000 SF RS WISDOM TREE INVTS INC COM RD 11111 PC 4.950.00 LSD
WETF 11/25/15
11130/15 MONEY MARKET FUND DEUTSCHE GOVT CASH 872.58 USD
INCOME RECEIVED
233993682
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 330,865.60
Distributions
11/30/15 PARTNERSHIP DISTRIBUTION 263157 SF RS APOLLO GLOBAL MGM T LLC CL A SFS RD 92,104 95 LSO
APO 11/20 PD 11/30/15
Total Distributions • UNITED STATES DOLLAR 0.00 62,104.66
Page 11 of 18
Account Number Rated tace.l.
ORM, 4011 SOUTHERN t e4 O NLLC. paperless D (v A e L r B y A Y R e R ar A S T E iv D a C 2 O 0 M 07 M UNICATIONS
rxerturres
SDNY_GM_000458.33
FIDESMAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008657
EFTA 0015644?
EFTA01288805

Deutsche Asset
& Wealth Management
Dnalsi Ne M..,. Pnwale vinia up.genmt
wrens tonne Oat)
Peautv Ponk Sectongs
Mew5M 000.
P.O. Boa 1776, Skidmore. MD 21203 301140 Ammo. Ha Mc
Pal./ *A WY 10114
Statement Period: 11/01/2015 • 11/30/2015
Transactions by Type of Activity (continued)
Process/ Trade!
Settlement Transaction
Date Date Activity Type Description Quantity Price Accrued Interest Amoent Carrency
Fees
11102(15 FOREIGN CUSTODY FEE Fgn Safekeeping OCT 2015 USW G4S15P-P48 •2.00 USD
G1S15FP48
11102115 FOREIGN CUSTODY FE Fgn Safekeeping OCT 2015 CU IR 65433(313GS -2.00 USO
G513313868
Total Fees • UNITED STATES DOLLAR 0.00 400
Total Value of Transactions 0.00 411,767.55 USD
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Security Record Date Payable Date Quantity Held Rale Dividend Option Amount of Payment
Interest
GE‘ERAL ELEC CAP CORP kOh CUM PFD SER 11130/15 12115115 2,000,000.000 0.035625 Casn 71 250 30
A
Total Cash Not Yet Received $71,250.00
Bond Maturity Schedule
acted Maturity Market Value V. of Bond Market Value
1 to 5 years 3,768,100.00 15% Percentages of bond market values are
6 lo 10 years 1,912,398.00 Eta Li rounded to the nearest whole percentage.
Over 10 years 19,890,531.17 77%
Total 25,601,332.47 100%
Page 15 of 18
Account Number: excellent,
OBAM Molt Go paperless D L v A er U y M va . R t A s T in E c D e C 2 O 0 M 07 M UNICATIONS r • . —•-nt4n
NCR
SDNY GM 00045834
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERMIFID ALTITIA DB-SDNY-0008658
EFTA_00156443
EFTA01288806

Bond Quality
Bond Duality Market Valle Ili of Bond Market Value
FAA 10,857,500.00 42% M Percentages of bond market values are
EArlovier 14.743.832.47 58% rounded to the nearest whole percentage.
Total 25,601,332.47 100%
Client Service Information
Your Client Advisor: DAN
O AN IEL sAssa
345 PARK AVENUE 26Th FLOOR
NEW YORK NY 10154.0003
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Socks in a Dividend Reinvestm ent Ran- FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Bond Amortization Elections:
Am orbze premium on taxable bonds based on Constant Yield Method: Yes
lomat market discount method for all other bond types- Constant Yield 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 corn m unications. log in to your account or contact your Client Advisor for more inform alien.
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 axe marked NM" and are omitted 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 cedain securities, thereby overstating them. Refer to
viworpershing.cornbusiness_continuity.htrri 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 lime of execution and the name of the person from
Fage 16 of 18
ti
Account Numbers 'gated tacellenti
URAR ROIL XLTHERA F I D Gor pwaperrleisAs L D ( r v xA e eL r i Bt y u A Y rRt e r Ra a eA rS rT e E r D a C 2 O 0 M 07 M UNICA TICKS
SDNY_GM_00045835
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008659
EFTA_00156444
EFTA01288807

Deutsche Asset
& Wealth Management
Drdhat Sim Pon. VMY ',Maine,.
Weals I wear 4.0.,p
°eaui v s sew on 4%.
Now Mbin
Oat 1770, Balamore, MD 21203 30 PM Asa. lothI lev
Am** NY 10IM
Statement Period: 1110112015 • 11/3012015
Important Inform ation and Disclosures (continued)
Reinvestment (continued(
whom your security was purchased, may De obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order how.
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 Mn. 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 fight to vote your shares held on margin may be
reduced by the amount of shares on ban. 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 automaticaly 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 & P006. Reproducing and distributing any information received from Standard & Poor's is not pemtitted without prior written
authorization from Standard & Pooes. 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 & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sel 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 Pod'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 Rote of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pushing 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
.,„ .kc on Fage17 of 18
Account Number: tmellone
FI D Go I pa A perle L ss I rO x v Ae o Ls n Bu . A Y rRn a Ra m Ae S Tr i E m D s C 2 O 0 M 07 M UNICATIONS •--. "Al
SDNY_GM_00045836
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008660
EFTA_00 156445
EFTA01288808

Important Information and Disclosures (continued)
The Role of Pershing (continued)
orders, the assessment of the suitability of those transactions, where applicable, the rendering of investment advice, d any, to you and in eneral 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 . 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 (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: mvetpershing.cortrabouUstrength-and-stability.
• 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-confrrned in writing to further protect your rights, including your rights under the Securities Investor
Protection Act.
• Your financial organization's conta 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 will typically include a minority of arbitrators 'AO were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for fringing 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 IS of 18
Account Number: Go listed torelleril
lE)8At, ROI SOUTHERN - FI D riTr Me i s A s rD (v xA e eL r s y IM u v Rr s r R . ie . A s r T i n C c O e C 2 O '0 M 07 M UNICATICed
SDNY_GM_00045837
CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) OB-SDNY-0008661
EFIA_OO 156446
EFTA01288809

Deutsche Asset
& Wealth Management
DnalsrefilM Pr If tle "mall 'amine,.
8688 Coonge 8,8.8
Ontsciv NA Smote'
Mar *nOok•
P.O. Box 1778, Balamore, MD 21203 Pa 5ft MY, IM,I bet
10118
Account Number:
Statement Period: 10/0112015 -1013112015
Portfolio at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 1105,363,013.88 $116,714,113.02
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals -3,791,288.18 .17,567.830.71
Net Securities 'rant of Account 010 .5.867,790.80
ST THOMAS VI 00802
Adjusted Previous Account Value 101,571,726.70 103,178,871.61
Dividends, Interest and Other Income 414.01712 2.835,406 78
Total Taxes Withheld 0 00 -6,561.18
Net Other Activity -3110 -297 00
Your Client Advisor: Net Charlie in Portfolio 4 067.003 92 45.496 43
DANIEL SABBA nd[ng Account Value $ 1 0 0 5 2 7 1 6.5 4 5106,052 716 54
Accrued Interest 6440,763.61
Estim ated Annual Incom e 13,633,217.37
Asset Allocation
Prior Year-6d Lan Period This Period X Allocation
S0 Cash. Money Funds. and Bank Deposits 44,273,984.33 27,285,925.84 26,408,624.58 24.90% Please review your allocation
USD Axed Income 18,177,455.58 20,185,466.73 20,407,884.87 19.24% peosclicalry wth your Clent Adviser
hon4, SO Axed Income 7.150,052.50 7,730,472.70 5.321422 50 5.02%
SD Equities 54,121,544 61 47,225,164 61 50,675,968.59 47.79%
hon•LISO Equities 2.988.256 00 2.955.984.00 3.233.816.00 3.05%
Account Total (Pie Chart) 1128,714,293.02 1105,363,01318 1108,062,716.54 100.00%
See the Asset A, beaten Disclosure and Footnotes secton tor important information reveling you Asset Alocabon.
Page ler 18
B014028183830018 Go paperless ri„, R [ve a e id r facel S lo i n v l a 7007 rereitreertri="0«:“%e'r *-=
DAL BAR RATED COMMUNCATDONS
CONFIDEMiA """'""
SDNY_GM_00045838
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008662
EFTA_00156447
EFTA01288810

Asset Allocation Disclosure and Footnotes
AI values are displayed in U.S. dollars based on interbank exchange rates as of 1W3112015. 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 000 100,107.03 -906.643.38
Long-Term Gain/ Loss 452 94 112,389.23 6.508.653.68
Net GalnlLoss 452.94 212,47128 6,802,010.30
This summary excludes transactions where cost basis information is not available.
For Your Information
Please note that the Valua6on at a Glance section on page one of your account statement wdl be updated and renamed Palk:0 al a Glance beginning with the October 2015 statement. This change does not
apply to accounts which display only opening and closing balances on page one.
Money Market Fund Detail
Date Activity Type Description Amount Balance
Sweep Money Market Fund
DEUTSCHE GOVT CASH INSTL
Account Num bar 0000001490 Commit Yield 0.04% Activity Ending: 10130115
10101115 Opening Balance 27,231,556.84 27,231,556.84
10101/15 Withdrawal MONEY FUND REDEMPTION 12,86325 27,168,693.59
10/02115 Withdrawal MONEY RiND REDEMPTION -6.00 27,188,887.59
10114115 Deposit MONEY FUND PURCHASE 11,625.00 27,180,312.59
10116115 Deposit MONEY FUND PURCHASE 127,500.00 27,307,812.59
10/19115 Withdrawal MONEY FUND REDEMPTION -25,277.78 27,282,53411
10/27115 Deposit MONEY FUND PURCHASE 9.091.64 27,291,826.45
10129115 Withdrawn MONEY FUND REDEMPTION -4,187,50000 23,104,126.45
10130115 Depost MONEY FUND PURCHASE 2,500,000 00 25,604,128.45
10130115 Deposit INCOME REINVEST 916.98 25,605,043.43
10130115 Closing Balance 425,405,043.43
Total All Money Market Funds 625,605,043.43
Page 2 of 18
Account Num berms Go paperless R (w A a M y V Em s m . o S ns i M m s 2007 a=1,"
SOUTHERN N LLC. F I DAENTIAL DrxAeUnMurRtr MaeUr D COMMUNICATIONS
SDNY_GM_00045839
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0006663
EFTA_00 156448
EFTA01288811

Deutsche Asset
& Wealth Management
Devi., 'Ana PI Ma nair-wan
Marotts Ontia C•ckp
De.cie Bou Xlv.n M.
w brit Oat*
P.O. Boa 1776, Banimore, MD 21203 Pant Ann**. loct
tine writ n't vA
Statement Period: 11/0112115 -1013112115
Income and Expense Summary
Current Period YeaMoDate
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 10,174.30 0.00 869,783.45 0.00
Money Market 916.98 0.00 12,435.43 0.00
Other Dividends 197,500.00 0.00 662,807.40 0.00
Interest Income
Bond Interest 205,426.64 0.00 744,822.61 0.00
Other Interest 0.00 0.00 121,875.12 0.00
Expenses
Withholding Taxes 0.00 0.00 .6,561.18 0.00
Fees(Foreign Securities' -25.00 0.00 •225.00 0.00
Total Dividends, Interest, Income and Expenses $413,192.92 80.00 $2,404,137.63 $0.00
Distributions
Alternative Investm ents 0.00 0.00 0.00 423,682.77
Other Distributions 0.00 0.00 0.00 89.616.40
Total Distilbutlons $0.00 $0.00 $0.00 $513,299.11
Portfolio Holdings
Account Acdvily Opening Closing Accrued Inmate 31•Day Current
Opening Date Quantity Number Ending lialmme Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 25.00% of Portfolio
Cash Balance 54.369.00 803,581.15
M oney N arket
DEUTSCHE GOVT CASH INSTL
10101115 25.805.043.430 0000001490 10130115 27.231.556.84 25.805.043.43 28 06 12.435.43 0.04% 0.04%
Total Money Market $27,231,556.64 $25,605,043.43 528.06 312,435.43
Total Cash, M oney Funds, and Bank Deposits $27,215,925.84 $26,408,824.58 $28.06 512,435.43
Page 3 of 18
.rtAft RCM Acc L o T u H n t E N RA u mber IP : O 4 NL LC. FID G E o p N ape T rle I ss A L D R r L x v a Ae e te s r U y d u M V t r o t w .r c Ra o . Ae l W l rT s E if D e C 2 O 0 M 07 M UNICA TIONS ao •• l •• t • r •- i • r L r .c o — n . t - r n L s• . A .. in “` n " r = c =
SDNY_GM_00045840
CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) OB-SDNY-0008664
EFTA_00156449
EFTA01288812

Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date ACAl ;red Quality Limit Cod Cod Basis Market Price Markel Value Gain/ Loss Interest Annual Income Yield
Fixed Income 24.00% of Portfolio (In Maturity Date Sequence)
'Asset Backed Securities
WASHINGTON NUT N TO SECS CORP 2004•RA2 Security identifier: 939338620
MTG PASSTHRU CTF CL C-B•1 VAR WE
6.537% 07125133 81E DTO 06/01/01 S 6 P Rating 0
Factor: 0.53948760 Effective Date:10101/15
Current Face Value: 695.939 004
12/13113 '•1.12 1,290,000.000 76.5190 532,522.84 84.5390 588,339 87 55,817 03 3.791.13
Original Cosi Basis. $638.906.71
Total Asset Birdied Securities 9532,522.81 3568,339.87 05,817.03 $3,791.13 $0.00
1,290,000.000
Total Current Face Value : 695,939.001
Corporate Bonds
EARTHUNK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC6
Cl/SIP FROM 210321AB8 8.875% 05/15/19 EWE
DTD 05117/11 CALLABLE 10130115 S 6 P Rating CCC•
10122/12 '.342 146.000 ON 102 6880 149.924.01 103.2500 150,745 00 820.99 5.974.85 12.957.50 8.59%
Original Cosi Bat 5151.110 00
10123/12 '.1.12 600.000.000 102.5970 615.58013 103 2500 619.50000 3.919.57 24.554 16 53.250.00 8.59%
Original Cosl Basic $619,500.00
Total Nonmetal 710,000.000 766,604.44 770,245.00 1,710.60 30,621.01 86,207.60
Total 748,000.000 3786,504.44 3770,245.00 91,710.66 330,629.01 388,207.50
FRONTIER COM M UNICAT1ONS CORP Security Identifier: 35906AAH1
SR T 8.500% 04/15/20 81E
DTD 04112110 1ST CPN DTE 10/15110 Moody Rating BA3 S
P Rating BB•
07106115 3,000,000.000 105 3870 3.161.599.88 103.0000 3,090,000.00 41.599.88 11.333 33 255.000.00 8.25%
Original Cosi Basis. $3,171,006.00
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: G4S16PP48
TERM NOTES ISMS XS0717735822
9.875% 12/16/21 REG DM 12/16/11 Moody Rating Bat S
P Rating BBB
12104113 '.1.12 1,500,000.000 106 9760 1.604.647.45 108.5740 1.628.610 00 23.96255 129,197.92 148,125.00 9.09%
Copal Cosl Basis $1.627.500 00
BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 06739FHKO
ISM el.936739F1- KO3 7.750% 04/10123 B/E
DTD 04110113 CALLABLE 04/10118 S 6 P Rating BB4
04103/13 '.12.13 300,000.000 man 300.000.00 108.6250 325,875 00 25,875 00 1,356.25 23,250.00 1.13%
Original Cosi Basis' $300,000.00
Page 4 of 18
Account Num Der. Go paperless R U a te te ry d V [n .a o . t i L o a n c , e 2007 :t Ls =tr=
SOL THERA CZ" F /cynm, 4) rOXAeL 0llAufrt
N
R
C
AT
.
ED COMMUNCATIC*6
SDNY_GM_00045841
CONFIDENTIAL - PURSUANT TO FED. R CRI6,1. P. 6(e) `CAI OB-SDNY-0008665
EFIA_00156450
EFTA01288813

Deutsche Asset
& Wealth Management
Dean Sint P •I fl ir \Wall I, Ma~ulr-vin
Marat$
°taunt unii smote 4%.
Nourbri Mar
PO. Bca 1776. Ballimore. MO 21203 SO Pia Asa. lothlbw
Mos** NY 101M
Statement Period: 10/0112015 - 10/31/2015
Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Qoanfity Unit Cost Cost Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
PM ORGAN CHASE & CO DEP SNS REPSTG Security Identifier: 46825HHA1
1/10TH PFD SERI FDB) TO FLTG RT BO
7.900% 0029149 WE DTD 01123108 Moody Rating BM3 S
P Rating BBB•
06115111 '.3,t2 2,500,000.000 107.5000 2,687,500.00 103.9000 2 597.500 00 •90.00000 0.00 197.500.00 7.60%
Original Cost Basis: 52,687,500.00
06115111 '.3.12 2,500,000.000 107.0000 2,675,000.00 103.9000 2 597.500 00 •77,50000 0.00 197.500.00 7.60%
Original Cost Basis. 52,675,000.00
Total Noncovered 5,000,000.000 6,362,600.00 5,195,000.00 157,500.00 0.00 395,000.00
Total 5,000,000.000 55,362,500.00 $5,195,000.00 -$167,500.00 50.00 5395,000.00
BANK AMER CORP PERP NON CON ULATIVE DEP Security Identifier: 060505D 78
SH5 FOB TO FLOAT 8.125% 04130158 B/E
DTD 04130108 CALUBLE 05115118 Moody Rating BA2 S8 P
Rating BB•
01/10111 '.3.12 2,000,000.000 102.1500 2,055,000.00 104.1340 2,082,680.00 27.580 00 74,930.56 162,500.00 7.80%
Original Cost Basis: 52.055,060.08
SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: I42400FU2
6.250% 01117162 WE DTD 01117112
CALLABLE02/01122 Q 100.000 Moody Rating BAA1 5S P
Rating BBB-
01130112 '.3.12 1000,000 000 99 8270 2,994,822.81 111.2500 3,337,500.00 342,677 19 46,875.00 187 500 00 5.61%
Original Cost Basis 52,992,564 97
GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 3696225N6
A 7.125% 06112/62 EVE
DTD 06112/12 CALLABLE 06/15/22 Moody Rating BAA1 SS
P Rating A+
06127112'.11,13 2,000,000.000 101.5010 2,090,011.89 117.5000 2,350,000 00 259,988.11 53,833 33 142 500 00 6.06%
Original Cost Basis: 52.122.916.67
n Pap 5 of 18
'IA CSF!' : DO AN ROIL Acco T un H t E N M u mber: Go paperless R L D v A a a M w y A l V e N x I c . R . e . A l l s e T i n E n t D e , . C ? O O M W V AUNICATIONS
FI D rTriA rxesurner
SDNY_GM_00045842
CONFIDENTIAL - PURSUANT TO FED. R CRICA. P. 6(e) OB-SDNY-0008666
EFrA_00 15645 I
EFTA01288814

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Dale Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
CITIGROUP INC FXD RT SR NT PERP DEP RECPT Security Identifier: 17296725
5.950% 08/15/88 BIE DTD 08112115
CALLABLE 08115120 @ 100 000 Moody Rating BA2 S8 P
Rating BB*
08106115 3.000.000.000 100 0000 3.000.006.00 99.8040 2.994.120 00 .5.886.00 39,170 83 178,500.00 5.96%
Original Cosl Basis: 93.000.006.00
LBG CAPITAL NO 1 PLC 144A Security Identifier: 654338868
ISIASXS0473106283 8.000% 09/15188 REG
DTD 12115/09 CALLABLE 06/15/20 SB P Rating BB'
12/04113 %En 1.200.000.000 108 2500 1.299.000.00 112.5000 1.350.000.00 51.000 00 36.286 67 96.000.00 7.11%
Original Cosl Basis 51,299,000.00
5LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439A04
ADDL TIER 1 SECS1S%* ldS539439AG42
7.500% 09127188 EUE DTI) 04/07114 Sd P Rating BB.
Please Provide' 1.903.000.000 N/A Please Provide 106.2500 2.021.937 50 N/A 13.179 58 142,725.00 7.05%
Original Cosl Basis Please Provide
Total Corporate Bonds $22,633,092.47 825,145,967.50 8490,937.53 1136,972.48 31,797,307.50
23,649,000.000
Total Fixed Income 823,165,615.31 825,734,307.37 8546,754.56 1440,783.61 11,797,307.50
24,939,000.000
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain( Loss Mosel Income Yield
Equities 46.00% of Portfolio
Common Stocks
M OBILEYE NV AM STELVEEN ORD SHS Security Identifier: M BLY
ISIML0010831061 CUSP. N51488117
Dividend Option: Cash
08101/14 800.000 25 0000 20.000.00 45.5200 36,116.00 16.416 00
AKORN INC COM Security identifier: AKRX
Dividend Option Cash CUSP. 009728106
06110/15 5.000 000 46 8410 234.206.00 26.7400 133.700.00 -100.506 00
AUBABA GROUP HLDG LTD SPONSORED ADS Security Identifier: BABA
ISINSLS01609W1027 CLSIP 01609W102
Dividend Option Cash
06110/15 5.000.000 88 9500 444.749.00 83.8300 119,150 00 -25,599.00
ALUANZ SE SPONSADR REPSTG 1/10 SHS Security Identifier: AZSEY
Dividend Option: Cash OAP 018805101
Page 6 of 18
Account Num tier Rated tocellonfi
peAe 4011 SOUTHERN cti4O NFID G E o p N ape T rle I ss A L rD L x v Ae e L r n B y u A V rRm s R . eA S rT i E v D a C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045843
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008667
EFTA_00 156452
EFTA01288815

Deutsche Asset
& Wealth Management
Diviv R•rn Paamir-wrat
Mootts tuntiegtG•ap
Le-,u Bar Secv.4. M.
“tw brit My
PO Bat 1778, &Amore, M021203 'Pant Ann**. iloct
Sne writ n't la vA
Statement Period: 10/01/2015 - 10/31/2015
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Omanllly Unit Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
ALLIANZ SE SPONS AOR REPSTO 1110 MS (continued)
04/13115 5,000.000 18.0110 90,056.00 17.6030 88,015.00 •2,041.00 2.833.84 3.21%
APOLLO GLOBAL II GMT LLCCL A SH Security Identifier: APO
Dividend Option: Cash CUSIP 037612306
03129/11 '.13 263.157.000 19.0000 4.999.983 00 18.2700 4.807.878.39 -192.104.61 515.787.72 10.72%
APPLE INC COM Security Identifier: AAPL
Dividend Option: Cash CUSIP 037833100
09105114 111180.000 98 9500 10,902115.41 119 5000 13,166.510.00 2.264.194 59 229,174.40 1.74%
ARIA() PHARMACEUTICALS INC Staidly Identifier: ARIA
Dividend Option: Cash MIR 04033A100
02/14112 ..13 7.535 000 15 2090 114,597 40 6.8400 51.539 40 -63,058 00
01124113 '.13 9.000.000 19.6000 176,400.00 6.8400 61.560.00 -114,840.00
Total Noncovered 18,535.000 290197.40 113,099.40 -177,895.00
Total 18,535.000 3290,997.40 $113,099.40 -$177198.00 90.00
ASCENA RETAIL GROUP INC COM Security Identifier: ASNA
Dividend Option: Cash COP 043510101
01/16101 '.3 70.500.000 21 2770 1.500.000 00 13 3200 939.060 00 -560140 00
AVALANCHE BIOTKHNOLOGIES INC Security Identifier: AAVL
COM CLSIP 053370107
Dividend Option: Cash
10.000 00 of these shares are in your margin account
04120115 10.010.000 39.8610 398.60610 8.4300 84.300 00 -314.306.00
BASF SE VONS AOR Security Identifier: BASF!
ISINIt LS0552625057 CUSIR 055262505
Dividend Option: Cash
04113/15 5,000.010 101.6110 508.056.00 82.3300 411,650.00 16,406 00 11,276.50 2.73%
BANK OF NEW YORK M ELLON CORP COM Security Identifier: BK
Dividend Option: Cash CUSIR 064058100
06/25114 250,000.000 36.3060 9,076,406.00 41.6500 10,412,500 00 1,336,094 00 170,000.00 1.63%
Page 7 of 18
1)8AI , .011 A S c O c L o T u H n E t N RA u m ber. N LIC. FI D Gro ipsapemrlesAs L D ( k e v a xA o t . o U n : d m M V tw u o . - R w o s M Ae ' S S T, i E n S c D e C 2 O '0 M 07 M UNCATIONS swampy tiAl mamas Ms.. wet. witc
SDNY_GM_00045844
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008668
EFIA_00156453
EFTA01288816

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date ••aired Quiet Liait Cost Cost Basis Market Price Mantel Valet Gala! Lou Annual Income Yield
Equities (continued)
Common Stocks (continued)
BIOGEN 10K INC COM Security Identifier: 8118
Dividend Option: Cash CUSP: 09062X103
02/14112 '.13 2,095.000 119 5490 250,454.95 290.5100 608,618.45 358,163.50
DISH NETWORK CORP CL A Security Identifier: DISH
Dividend Option: Cash CUSP: 2547011109
06110115 5.000.000 72 9960 364,978.00 62.9700 314,850.00 -50,128.00
FACEBOOK INC CL A Staidly Identifier: FB
Dividend Option: Cash CUSP. 30303M 102
05117112 '.13 17,500.000 38.0000 665,000.00 101.9700 1,784,475.00 1,119,475 00
FOUNDATION MEDICINE INC COM Security Identifier: FM I
Dividend Option: Cash CUSP. 350465100
01113114 25,000.000 27.5070 68703.50 22.4200 560,500.00 .127,163 50
08105114 24.830.000 232530 577.373.02 22.4200 556,688.60 -20.684.42
Total Covered 49,830.000 1,285,038.52 1,117,188.00 -117,817.92
Total 49,830.000 $1,285,038.52 81,117,188.80 -$117,817.92 $0.00
GENERAL ELECTRIC CO CON Security Identifier: GE
Dividend Option: Cash CUSP: 369604103
04123113 '.13 23.000 000 21 5700 496,109.08 28 9200 665,160 00 169,050 92 21,160.00 3.18%
GENERAL MTRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 3704511100
11118/10 ' 10,988 200 36 4010 399,978.16 34.9100 383.598.07 -16,38099 15,823.01 4.12%
12109/10 ' 86.538.800 36 8160 3,185,969.22 34.9100 3,020,999.68 ,164,969.54 121,612.99 4.12%
Total Noncovered 91,525.000 3,585,947.39 3,404,597.75 -181,319.93 110,13100
Total 97,525.000 $3,555,947.38 $3,404,597.75 -$181,34913 $110,43100
GILEAD SCIENCES INC Security identifier: GILD
Dividend Option: Cash CUSP: 375558103
02105114 5,000.000 792810 396.407.00 108.1300 540,650.00 144,243.00 8.600.00 1.59%
03107/14 3,100.000 79.6120 246,797.00 1081300 335,203.00 88,408.00 5,332.00 1.59%
Total Covered 8,100.000 643,204.00 875,853.00 232,819.00 13,932.00
Total 8,100.000 $643,204.00 $875,853.00 9232,819.00 $13,932.00
GLAXOSMITHKUNE PLC SPONS ADR Security Identifier: GSK
Dividend Option: Cash CUSP: 37733W105
06110115 5,000.000 43.0010 215,006.00 43.0600 215.300.00 294.00 12,128.20 5.83%
GLOBAL PARTNER ACQUISITION CORP Security Identifier: GPACU
UNIT 1 CON 8 1 WT EXP CUSP: 37954X204
Dividend Option: Cash
07130/15 ' 2.000.000 10.0000 20.000.00 10.0800 20.160 00 160.00
Page 8 of 18
sot,THcErR5h.N
ORAN ROIL Account Number: F I D G A o p E ap N er- T les I s A L Dr ( M v xA o e eL u r n B l y d u A V t rR s r a r aR e . eA n S Tr • M C re O O , D C 2 O 0 M 07 M UNICATIONS . .7 . 3 . = v 7 an : 6 — = a 1 . % ..a . "`"=....".""="
SDNY_GM_00045845
CONFIDENTIAL — PURSUANT TO FED. R CRI6,1. P. 6(e) 0B-SDNY-0008669
EFL/COO156454
EFTA01288817

Deutsche Asset
& Wealth Management
Ram Pon. wean Manirnent
PAVRIS COM•ligt 4,04P
Ott.s014 MY Se4wrisC
Yee bet Mc*
P.O. Bat 1778, Babimore, MO 21203 Na Pot Anerffits.
/Inv Wet nr NIL
Statement Period: 10/01/2015 - 10/31/2015
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Markel Value Gainl Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
CODA° DV INC CL A Security Identifier: MT
Dividend Option: Cath CU SIP 380237107
04101115 700.000 20 0000 14.000 00 27.4800 19.236.00 5.216.00
HEALTH NET INC COM Security Identifier: HNT
Dividend Option: Cash CUSP:422226108
09108114 25.000.000 48 9800 1.174.506.00 64 2600 1.606.500.00 431.994.00
SANGAM 0 BIOSCIENCES INC COM Security Identifier: SGM 0
Dividend Option: Cash CUSIP 800677106
05126113 '.I 3 50,000.000 8.4440 422,214.00 7.0500 352,500.00 •69,71400
SANTANDER CONSUMER USA HLDGS INC CON Security Identifier: SC
Dividend Option: Cash CUSIP. 802831101
01123114 1.000.000 24.0000 24,000.00 18.0100 18.010.00 .5.990.00
TERRAFORM GLOBAL INC CI. A Security Identifier: GLBL
Dividend Option: Cash CUSP. 8810411101
07131115 400.000 15.0000 6.000.00 7.6300 3.052.00 -2,948.00
TWITTER INC COM Security Identifier: TW TR
Dividend Option: Cash CL SIP 901841102
11107113 1,500.000 26 0000 39.000 00 28 4600 42,690.00 3,690.00
VIACOM INC NEW CL B Security Identifier: VIAB
Dividend Option: Cash CUSIR. 92553P201
06110115 5,000.000 67 7490 338.745 00 49.3100 246,550 00 -92,195 00 8.000.00 3.24%
VOLKSWAGEN A G ADR ISPON Si Security Identifier: VLKAY
Dividend Option: Cash CUSIP 928662303
04113/15 5.000.000 50 8610 254.306.00 27.8590 139.295.00 ,115,011.00 4.004.38 2.87%
WISDOM TREE INVTS INC CON Security identifier: W ETF
Dividend Option, Cash CUSIP 977179104
03131115 15.000 000 21 6110 324.157 50 19.2300 281.450 00 -35.707 50 480.00 0.16%
Total Common Stocks 338,568,039.24 342,334,764.59 33,765,725.35 31,129,213.04
Page 9 of 18
Account Number: Go paperless Rated [amiss
qoik (v., Year Slate 2007
DAL BAR RATED COMMUNICATIONS
FIDESTTIAL IXCILLI'Net
SDNY_GM_00045846
CONFIDENTIAL — PURSUANT TO FED R CRIM. P. 67eL)THERMN OB-SDNY-0006670
EFrA_00 156455
EFTA01288818

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date "sired Quail Uoit Cost Cod Basis Market Price Markel Value Golf Loss Annual Income Yield
Equities (continued)
Preferred Rocks (listed by expiretiort date)
ALLY FINL INC FIX TO FLT Security Identifier: ALLY PRB
DP/-8.50% FREQ-QTRLY CALLAISE@ 2510 CL SIP 02005k 308
ON A QTRLY BASIS AM 05/1512016
Dividend Option: Cash
02/03/12 ..13 18.600100 19.3820 903,217 51 25.7000 1,197,620.01 294,402.50 99,025.00 8.26%
02109/12 '.13 80,000.000 20.1250 1,610,000.00 25.7000 2,055,999.99 415,999.99 170,000.00 6.26%
Total Noncovered 128,600.000 2,513,217.51 3,253,620.00 740,402.19 269,025.00
Total 128,600.000 $2,613,217.51 $3,253,620.00 3740,402.49 $269,025.00
GM AC CAP TR I GTD TR PFD SECS SER 2 CPN - Security Ideellffer: ALLY PRA
8.125% FRED DRILY MATY-0211512040 CALL CUSP. 361860206
ANYTIME 025 W130 DAYS BEGINS 02/15116
Dividend Option: Cash
02122/12'.13 80,000.000 23.5350 1,882,773.60 25.8300 2,086,400.00 183,626 10 162,500.00 7.86%
ROYAL BK SCOTLAND GP PLC WON ADR REPSTG Security Identifier: RBS PRT
SER T PFD CPS-7.25% FREQ DRILY PERP M TY CUSP. 780097713
CALLO 25 ANY W130 D NOTICE AFTR 12/31112
Dividend Option: Cash
10/24/12 '.13 10,000.000 23.7900 951,800.00 25.4800 1,019,199.99 67,599 99 72,500.00 7.11%
01107/13 ..13 10,000.000 21.4100 977,800.00 25.4800 1,019,199.99 41,599 99 72,500.00 7.11%
01114113 '.13 10,000.000 24.8800 995,200.00 25.4800 1119,200.02 24,000 02 72,500.00 7.11%
Total Noncovered 120,000.000 2 924 400.00 3,057,600.00 133,200.00 217,500.00
Total 120,000.000 $2,924,100.00 13,057,600.00 $133,200.00 $217,500.00
Total Preferred Stocks $7 320 391.11 18 377,020.00 $1,057,228.89 1649,025.00
Total Equities 315,888130.35 150,712,384.59 14,823,954.21 11,778,238.01
Unrealized Estimated Estimated
Date Acquired Quality Uok Cod Cost Bads Market Price Markel Valle Gala/ Loss Monet Income Yield
Exchange-Traded Products 3.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DXJ
Dividend Option: Cash; Capital Gains Option: Cate CUSP 97717W851
60,000.00 of these shares are in your margin account
12/11/13 80.000.000 49.4350 2.986.098.50 53.2900 3.197 000 00 231 301 50 45.236.40 1.41%
Total Exchange-Traded Products 12,986,098.50 33,117,400.00 3231,301.50 $15,238.10
Unrealized Attend Estimated
Cost Bads Markel Value Gain] Loss Interest Amnia' Income
Total Portfolio Holdings $16,421766.74 6108,052,718.54 15,802,010.30 $110,783.61 13,833,217.37
Page 10018
?':110283CSF,, °BAN ROIL A S c 'J c L o 7 u M n t E N RN u m te be n r LLC. GO paperiess r R E Dx v A a e e t L e r Bn y d A t V E rR m w a R n e eA l S l rT o a E n m D i e C 2 O 0 M 07 M UNICATIONS r t s i n] AC —0 - n os.ra v a arc
NF I DAMSMAL
SDNY_GM_00045847
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008671
EFrA_00 156456
EFTA01288819

Deutsche Asset
& Wealth Management
Device e Ram Ihmile wean &Waren
Mit70% COMM< GK.."
0...Kehl Mar Steyr' AC.
Yra ISA MO
P.O. Bat 1770, Balamore, MO 21203 JO Park Arens.. 101k Iccr
WaveSr\ Pet 10114
Statement Period: 10/01/2015 • 10/31/2015
Portfolio Holdings
(continued)
Footnotes
' Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generally net subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended rIRC') (incorporating
amendments enacted by P.L.110-34 3, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ft:covered,' under the new cost basis repotting rules, and matked 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 non-retirement.
US taxpayers securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis repotting rules and the adjusted basis will 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 follows:
• Stock in a corporation acquired on or after January 1. 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on after January 1, 2012
or
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014.
Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, 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 cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those invoking foreign bonds, bonds sold short or bonds issued with less
than one year to maturity. 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 available.
5
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 tine and are obtained from sources we believe to be reliable.
Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
12
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.
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Lost/
Date Date Transaction Description Quantity Cod Bans Proceeds Disallowance
Long Term
10122/15 12/13/13' RPP WASNINGTOk MUT IITG S 00444/12 MTG PASSTHRU CIF CL 1.290.000 000 1.475.98 1.928.92 452.94
C- B-1 VAR RATE 6.537% 07125133
Security Idenbfier. 939336S20
Original Cost Basis: 1,475.98
10/29/15 12/01/13' RD MG PETROLEOS DE VENEZIA ENIOR 'SNP Y30460546525 5.000 2.500.000.000 2.500.000.00 2.500.000.00 0.00
first In First Out % 10/28/15 REG OTD 10/28/09 CL
Security Identifier P7807HAF2
Original Cost Basis: 2.250.000.00
Page 11 of 18
VINO ROLL Account Num C ber: O FI D G A o L pa T pe I r T les I s A R D E rx v A a e e s M r n a y Au Y E Or e x r c aR a e r eA l s l rT e i n E v t a D , C 2 O 0 M 07 M UNICATIONS -cterl,1.-.74.7ZTO:C=7"te
SDNY_GM_00045848
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: UTHERN DB-SDNY-0008672
EFTA_00156457
EFTA01288820

Schedule of Realized Gains and Losses Current Period
(continued)
Disposition Acquisition Disposition Realized Gain/ Loss/
Date Date Transaction Description Quantity Cod Basis Proceeds Disallowance
Total Long Term $2,501,475.98 52,501,928.92 1452.94
Total Short Term and Long Term $2,501,475.98 12,501,928.92 1452.94
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generafty not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (9RC") (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 we 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
non-retirement, US taxpayers 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 yew 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
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014.
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 retum 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 beieve 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 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 may be adjusted for amortization, accretion. original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed
income security, and certain attributes, obtained from sources believed to be reiable. In the event, one or more of these attributes is changed, there may be a temporary ncorrect adjusted cost basis reflected
until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances. including those involving foreign bonds, bonds sold short or bonds issued with
less than one year to maturity. 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-k4 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 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
Please note that the Valuation at a Glance section on page one of your account statement will be updated and renamed Portfotio at a Glance beginning with the October 2015 statement This change does not
apply to accounts which display only opening and closing balances on page one.
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.
Pap 12 of 18
Account Number: 1404•0 Excellent
Go paperless ,.very Vs. Soso. 2007
TM ERN co
N"- F I DrErriA
MrxUenMir.m ReArT ED COMMUNCATIONS L4C
SDNY_GM_00045849
CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) OB-SDNY-0006673
EFTA_00 I 56458
EFTA01288821

Deutsche Asset
& Wealth Management
Ginatre PAaminntat
Mn?, Cintne 6.0.9
De.ticta 1.01.141,"4.1 M.
VI« ISA Mar
PO. am 1778. Sallimore, MO 21203 ll)Pant Annw.)00.11cce
Mnetrit nr IOVA
Statement Period: 10/01/2015 - 10/31/2015
Activity Sum m ary (NI amounts shown are in base currency)
Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date
Securities
Securities Bougn: 000 000 0.00 0.00 -9.514.02750 -9.514.027.50
Securities Sold 0.00 000 000 170.75703 0.00 170757.03
SecurifiesWilhdumn 0.00 0.00 000 0.00 -3,383,99810 -3,383,998.80
Total Securities $0.00 $0.00 $0.00 $170,757.03 -$12098,020.30 -$12,727,219.27
Dividends and Interest $414,017.92 $0.00 $414,017.92 $2,411,724.01 $0.00 $2,411,724.01
Distributions $2,500,000.00 $0.00 $2,600,000.00 10740,87060 $0.00 $8,740,875.60
Fees $0.00 -$31.00 -$31.00 $0.00 -$297.00 -1297.00
Taxes Withheld $0.00 $0.00 $0.00 $0.00 -$6,561.11 -femme
Other $0.00 $0.00 $0.00 $68,612.73 -$68,692.73 $0.00
Cash
Withdrawals 000 -4397.36933 -4,397.369.33 0.00 -20,367.539.29 -20,367.53929
Deposits 606.081 15 000 606.081.15 2.699.708 58 0 00 2.699.708 58
Total Cash $606,081.15 -$4,397,369.33 -$3,791,208.18 $2,699,708.58 -$20,367,539.29 -117,667,830.71
M oney Y arket Funds $0.00 $0.00 $0.00 $2,448,952.63 -$4,780,931.93 -$2,331,979.30
Totals $3.520,099.07 .$4,397,400.33 $877,301.26 114,540,710.58 -$38,122.048.43 -$23.581.337.85
Transactions by Type of Activity
Process/
Settlement
Dale Activity Type Descriptioe Quantity Price Accrued Interest Amount Currency
Dividends and interest
10/01115 FOREIGN SECURITY DIVIDEND 5000 SHRS GLAXOSMITHKUNE PLC SPONSADR RD 08/14 2.884.30 USO
RECEIVED PD 10101115
GSK
10/01115 CASH DIVIDEND RECEIVED 5000 SHRS VIACOM INC NEW D. B RD 09/15 PO 10/01115 2,000.00 USO
YIAB
10113115 FOREIGN BOND INTEREST 300000 BARCLAYS BK PLC CONTINGENT CAP NT 11,02500 USD
06139FHK0 ISA 9 U S06739FHK03 7.750% 04110/23 B/E DTD 04/10/13
CLB RD 10109 PD 10110115
Page 13018
.!T402T3CSF,': ORAN Tull I A S c O c L o un E t N R ue r be r L . F I Go paperiess L Dr b A xA r M e a LsO A y aA V t rR m t A r Ra N e eA l l w rT o E o n D o i , C 2 O 0 M 07 M UNICATIONS tr.....n a.c.trn
SDNY_GM_00045850
CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) THAN OB-SDNY-0006674
EFEk_00 I 56459
EFTA01288822

Transactions by Type of Activity (continued)
Process/
Settlement
Date Adivit Type Dean -son Chian Price Awned Interest Moult Curren
Dividends and Interest (continued)
10115115 BOND INTEREST RECEIVED 3000000 FRONTIERCOMMUNICATIONSCORP SR NT 8.500% 127.500 00 LSO
35906AAF 1 04115/20 BIE DTO 04/12/10 RD 10101 PO 10115115
10/26/15 CASH DIVIDEND RECEIVE') 23000 SF RS GENERAL ELECTRIC CO COM RD 09121 PD 5,290.00 LSD
GE 1(1126/15
10126115 BOND INTEREST RECEIVED 1290000 WASFINGTON kILTMTG SECS CORP 2004-RA2 3.801 64 LSO
939336520 MTG PASSTFRU CTF CL C.8.1 VAR RATE 6.537% 07125/33
WE DID 06101/04 RD 09130 PD 10125/15
10/28/15 FOREIGN BOND INTEREST 2500000 PETROLEOS DE VENEZUELA NOTES SE\ IOR 62,500.00 LSD
P7807FAF2 ISINIXS0460546525 5.000% 10128/15 REG DTD 10/28109
CLB RD 10/27 PD 10128115
10/30/15 MONEY MARKET FUND DEUTSCHE GO VT CAST 916.98 LSD
INCOME RECEIVED
233993682
10/30/15 CAST DIVIDEND RECEIVED $14ORGAA CHASES CO DEP SHS REPSTG 1110TF PFD SER 1 197.500 00 LSO
46625FFA1 7.900% 04129149 B/E RD 10/29 PD 10130115 DIY PAID AT
39.50 5000000
Total Dividends and Interest- UNITED STATES DOLLAR 0.00 414,017.92
Distributions
10/29/15 SECL RIFT REDEEMED PETRO LEOS DE VENEZUELA NOTES SENIOR .2.500.000 000 2.500.000.00 LSO
P7807FAF2 ISIN#X50460546525 5000% 10/28/15 REG DTO 10/28109
CLB ACCOUNT REDEMPTION
Total Distributions -UNITED STATES DOLLAR 0.00 2,500,000.00
Fees
10/01/15 FOREIGN CUSTODY FEE Fgn Safekeeping SEP 2015 CUSP. 04915P-134.8 •2.00 USD
G4S15PP48
10/01/15 FOREIGN CUSTODY FEE Fgn Safekeeping SEP 2015 CUSIP G5433B-BG-8 -2.00 USD
G54338868
10/01/15 FOREIGN CUSTODY FEE Fgn Safekeeping SEP 2015 CUSP P7807H-AF-2 •2.00 LSO
P78071-AF2
10/01/15 FEE ON FOREIGN DIVIDEND 5000 SFRS GLAXOSM ITHKLINE PLC SPONSAOR RD 08/14 -25.00 LSO
WITHHELD AT THE SOURCE PD 10101115
GSK
Total Fees- UNITED STATES DOLLAR 0.00 -31.00
Cash Withdrawals and Deposits
10/01/15 FEDERAL FLNDS SaT TFE BANK OF NEW YORK -122,091.55 LSD
USD999997
10/19115 FEDERAL FLNDS SENT DEUTSCHE BANK TRUST -25,277.78 USD
USD999997
Page 14 of 18
Account Number. Rated tace0onl
tilt&B 4011 SOUTH ERA CI1 NJ FI D G E o p N ape T rle I s A s L ei : t - ) "D L e A e 'L f B y f A Y Rt e R n "A S T a E v D a C 2 O 0 W 07 A UNCATiONS
SDNY_GM_00045851
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008675
EFTA_00 156460
EFTA01288823

Deutsche Asset
& Wealth Management
Dreatifle Bm, Vnwm veka•n•Mnagenan
Nang,. Near G.. •
De...4N ML La+4+M.
Noe bit CNN*
PO Lica 1778, Balmer*, MO 21203 MS Pin /gam loth I low
Mr ** NY 101W
Statement Period: 1010112015 • 1013112015
Transactions by Type of Activity (continued)
Process/
Settlement
Date Activity Type Description Quantity Price Accrued Interest Amount I:fluency
Cash Withdrawals and Deposits (continued)
10129115 FEDERAL FUNDS SENT 6110 HARRIS BANK NA •4.250.00000 USD
US0999997
10130115 FEDERAL FUNDS RECEIVED DEUTSCHE BANK SaUfil 86869 606,081.15 00
US0999997
Total Cash Withdrawalsand Deposits - UNITED STATES DOLLAR 0.00 -3,791,2101.1$
Total Value of Transactions 0.00 -077,301.21 USD
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Security Record Date Payable Date Quantity Held Rale Dividend Option Amount of Payment
Interest
BANK AMER CORP PEP NON COMULATIVE DEP 10130/15 11/15115 2.000.000 000 0.040625 Cash 81.250 00
SHS FIXED TO FLOAT
EARTHLINK INC GTD SR NT FULLY EXChANGED 10130/15 11115115 746 000 000 0.044375 Cash 33,103.75
CUSP FROM 270321A88
Total Cash Not Yet Received 1114,353.75
Bond Maturity Schedule
Bond Maturity Market Value %of Bond Market Value
1 to 5 years 3,860245 00 15% Percentages of bond market values are
rounded to the rearest whole percentage.
6 to 10 years 1,954,485.00 8% fl
Over 10 years 19.919.577.37 77%
Total 25,734,307.37 100%
Page 15 of 18
Account Number Rasa tmelloni
',HAN Q0I t SOUTHERN CSNO LLC. Go operless D ( r v xA e aL r r B y tu A V rRn A Ra N Ae S Tr i E nc D e C 2 O 0 M 07 M UNICATIONS
N F I ID-EN TEA L
SDNY_GM_00045852
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008676
EFTA_00 15646 I
EFTA01288824

Bond Quality
Bond Quality Market Value fir of loud Market Value
BAA 10482,500.00 42% Percentages of bond market values are
SAILower 14.851.807.37 58% n rounded to the nearest whole percentage.
Total 25,734,307.31 100%
Client Service Information
Your Client Advisor: DA`,
DAAIEL SABBA
345 PARK AVENUE, 28TH FLOOR
NEW YORK NY 1015/0003
Your Account Information
Tax Lot Default Disposition Method
Default Method tot 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 06 T
Bond Amortization Elections:
Amortize premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types Constant Yield Method
Include market discount in income annually: No
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 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 NM" and are omitted 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 (EM) 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
www.pershing.corn/business_continuity.htrri 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 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
Fage16 of 18
Account Number: Rated Excellent,
DIAS ROIL SOUTHERNCON F I D Go r p W ape rl r es I s AL, L rOx v Ae e Ls r O y u A Y rRt e r a Ra r eA S rT a E n D te C 2 O '0 M 07 M UNICATIONS
SDNY_GM_00045053
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008677
EFTA_00 156462
EFTA01288825

ra
Deutsche Asset
& Wealth Management
Dryly Missal n
PAN4.11Owega
De.tic la eau
...mice* Office
P.O. Boz 1778, Bahimore, MD 21203 IA 'Pant Ann**, noct
...writ nY IOVA
Statement Period: 1001/2015 • 10/31/2015
Important Inform ation and Disclosures (continued)
Reinvestment (contInuel)
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 confinnaticris 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 Cf 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 ban. The Proxy Voting Instruction Form sent to you may reflect a smaler 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 automaticaly 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 & Poors. Reproducing and distributing any information received from Standard & Poors is not pemtitted without prior written
authorization from Standard & Poor's. Standard & Poors 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 & Poor's 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 sel 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 Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation Ii) 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
Page 17 0118
irizare•
Account Number Rated tacellonil
paperless
ORAN Mel SO TH ERN tirt5 LLC. Go .4....„....„„ee "liftman ED C 2 O 0 M 07 MUNICATIONS (—as.= --•••—•,••••
N F ID riTriAL
SDNY_GM_00045854
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008678
EFrA_00 156463
EFTA01288826

Important Information and Disclosures
(continued)
The Role of Pershing (continued)
orders; the assessment of the sudability of those transactions, where applicable: the rendering of investment advice, if any, to you and in eneral 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 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: vnvezpershing.conVabouristrength-and-stability.
• 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 cont 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;a 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 wit typically include a minority of arbitrators into were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for dinging 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 bnng 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:
Pap IS of IS
Account Num ber Rated excellent,
Go paperless Every V... Lace 2007
SOLTHERA CAO LLC. CrxAeLnMuArRtr RaAerT ED COMMUNCATIONS
NF I DAENTIAL
SDNY_GM_00045855
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008679
EFTA_00 156464
EFTA01288827

ra
Deutsche Asset
& Wealth Management
DraIsre Rana Prmair. *MAP. warn..
Weals %Page 4WD
MAUM settelen8.
wan Oat*
P.O. Box 1778, BaOmar*, MO 21203 In Pant Any. It" I ter
Account Number:
Statement Period: 0910112015 - 0913012015
Valuation at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 3117,206,307.04 $126,714,293.02
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals -10.000.000.00 •13.876.542.53
het Securities InlOut of Account 0 00 -5,861,790.80
ST THOMAS VI 00802
Adjusted Previous Account Value 107,206,307.04 100,969,959.69
Dividends, Interest and °Met Income 135.554 11 2.421,388 86
Total Taxes Withheld 0 00 -6,561.18
Net Other Activity -12.00 -266 00
et Chance in Portfolio -1.978.835 27 -4.021.50749
Your Client Advisor:
DANIEL SABRA nding Account Value Si 0 5,3 6 3 013.88 Si 0 5,3 6 3 0 1 3 8 8
Acciued Interest $676 775 65
Estimated Annual Income $316179819
Asset Allocation
Prior Year-End Lad Period This Period % Allocation
USD Cash. Money Funds and Bank Deports 11,173,981.33 37,150,383.73 17,285,915.81 25.90% Please review your allocation
USD Axed Income 18,177,455.58 20,400,148.10 20,165,466.73 19.11% perodcaily wth you Cleft Adysct.
Aon-LSD Axed Income 7,150,052 50 7,781,221 25 7,730,472.70 7.34%
USD Equities 51,126,511.61 48,693,705 96 47,225,164.61 4481%
hon-LISD Equities 2.986.256.00 3.180.848.00 2.955.984.00 2.81%
A unt Total (Pie Chart) $126,714,293.02 $117,206,307.04 $105,363,013.$6 100.00%
See the Asset Macation Disclosure end Footnotes sentinel for important intonation regenting your Asset Atocaton.
Page 1 020
Rated twallerigi
I,ttAfi yolk C 50 O 097NOC N SF30D F 24 IErEViAs L D ( r v xA e eL r n O y u A Y rRn . . Ra . eA S Tr i m ED s C 2 O 0 A 0 V 7 A UMICATIONS
SDNY GM 00045856
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008680
EFTA_00 156465
EFTA01288828

Asset Allocation Disclosure and Footnotes
AM values are displayed in U.S. dollars based on interbank exchange rates as of 09130/2015. Exchange rates can vary.
Equities contains Equity Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short-Term Gain/Loss 0.00 100,107 03 -1,422.35240
Long•Term Gain/Loss 448 64 111,916 29 3.041.719.03
Net Gain!Loss 448.64 212,023.32 1,819,388.63
This summary excludes transactions where cost basis information is not available.
For Your Information
Please note that the Valuation at a Glance section on page one of your account statement Will be updated and renamed PoNolo) at a Glance beginning mth the October 2015 statement This change does not
apply to accounts which display only opening and closing balances on page one.
Money Market Fund Detail
Oate Activity Type Demsiption Amount Balance
Sweep Money Market Fund
DEUTSCHE GOVT CASH INSTL
Account Number: 0000001490 Current Yield 0.04% Activity Ending: 09130(15
09/01115 Opening Balance 37,150,383.73 37,150,383.73
09101115 Withdrawal MONEY FUND REDEMPTION -7,500,000.00 29.650.383 73
09102115 Withdrawal MONEY FUND REDEMPTION •6.00 29.650.377.73
09128115 Withdrawal MONEY FUND REDEMPTION -2.458.379.75 27.191.997.98
09130115 Deposit MONEY FUND FURChASE 38,592.00 27.230,589 98
09130115 Deposit INCOME REINVEST 966.86 27.231,556 84
09/30115 Closing Balance $27,231,556.84
Total All Money Market Funds 927,231,558.64
Income and Expense Summary
Current Period Year-to-Oate
Taxable Noe Taxable Taxable Non Taxable
Dividend Income
Equities 92,967.00 0.00 859.609 15 0 00
Money Market 988.86 0.00 11,518.45 000
Other Dividends 2.142.60 0.00 465.307 40 0 00
Pagt1 of 20
°KAM .,o,, A SO cc U o T u H n E t R N N u m be 6 r 1 . O4 NLLC. FID G E o p N ape T rle I ss A L rD R L x v A s e e L d s r B y tu A V f rR a n e w Ra st n Ae S e rT r i E / v I D a C 2 O 0 M 07 M UNCATIONS rwr3.1^.D.T.7,1:11=2,:.Trey-t7.77.:1..:7
SDNY_GM_000451357
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008681
EFTA_00 156466
EFTA01288829

Deutsche Asset
& Wealth Management
Dtriv..e Aim 'own Wolin Man/mnem
Myer,. CorecarG'c..p
De.c.seN Bou n<
my. bd. Mar
PO 802 1778, Baltimore. MO21203 .O)Pant Ann**. 101k ilmt
tine writ n't
Statement Period: 09/0112115 -0913012110
Income and Expense Summary (continued) Current Period Year-to-Date
Taxable Noe Taxable Taxable Non Taxable
Interest Income
Bond Interest 39,417.65 0.00 539,395.97 0.00
Other Interest 0.00 0.00 121,815.12 0.00
Expenses
Withholding Taxes 0.00 0.00 -6.561.18 0.00
Fee Foie' n Searitiesl 0.00 COO -20000 0.00
Total Dividends, Interest, Income and Expenses $136,664.11 10.00 $1,190,944.91 $0.00
DIstrIbudons
elternabye Inyestm ents 0.00 0.00 0.00 423,68217
Other Distributions 000 COO 0.00 $9,616.40
Total Distributions $0.00 10.00 10.00 $513,299.17
Portfolio Holdings
Scco...1 Arthily Opening Closely Paned Income 36-Day Count
Opening Date Quantity 'lumber Ending Balance Balance Isom Tbis Year Yield Yield
Cash, Money Funds, and Bank Deposits 26.00% of Portfolio
Cash Balance 000 54,369.00
Money Market
DEUTSCHE GOVT CASH INSTL
09/01115 27.231.556 840 0000001490 09130115 37.150.383.73 27,231.556.84 0.00 11,518.45 0.04% 0.04%
Total Money Market 637,150,353.73 127,231,656.14 $0.00 111,616.46
Total Cash, M oney Funds, and Bank Deposits 137,150,35333 127,256.92524 $0.00 611,618.46
Page 3 of 20
:,,09/21OCSF1' . ORM; ROLE Acc L o T u H n E t N RA u m C be O r N ILL FIDCio rpaaperrlieAss L R E Drx v A a e e L t r n a B y . uA V t rR m a r aR t o eA ll S rT o l E n a D t i e C 2 O 0 M 07 M UNICATIONS -ar.t.t"
SDNY_GM_00045858
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Ce-SDNY-0008682
EFIA_00 156467
EFTA01288830

Portfolio Holdings (continued)
Adjuged Unrealized Accrued Estimated Estimated
Date Acquired Quaid Deft Cost Cod Bags Market Price Markel Value Gain/ loss Interest Annual Income Yield
Fixed Income 2 6.0 0% of Portfolio (In (dewy Dee Sequence)
‘Asset Backed Securities
WASHINGTON NUT NIG SECS CORP 2004-RA2 Security Identifier: 939336520
MTG PASSTHRU CTFCL C-B-1 VAR RATE
8.510% 07/25133 WE DTD 06/0110/ S 8 P Rating D
Factor: 0.54098288 Effective Date:09101/15
Current Face Value: 697.167 915
12/13/13 'XII 1,291000100 763190 533,998.82 84.4840 589,586.73 55,587.91 3.65984
Onginal Cosl Basin $638.906.71
Total Asset Backed Securities $533,998.82 6589,586.73 465,587.91 $3,656.64 90.00
1,790,000.000
Total Current Face Value : 697,867.915
Corporate Bonds
1PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
NOTES S9i IOR 1%0 7.50460546525
5.000% 10128115 REG DTD 10/2/109 S 8 P Rating To
12/04/13'.3.12 2,500.0G0 000 99 5470 2,488,670.77 99.2500 2.481.250.00 -7,420.77 52,777.78 125.000 00 5.03%
Original Coal Buis: $2.250.000.00
EARTHUNK INC GTO SR NT FULLY EXCHANGED &sanity Identifier: 270321AC8
CUSP FROM 270321AB8 8.875% 05/15/19 B/E
DTD 05117/11 CALLABLE 09/30115 58 P Rating CCC•
10/22/12 'AA 146.010 000 102.7130 149,960.32 103.0000 150,380.00 419.68 4.859.06 12.957 50 8.61%
Original Cod Basis... $151,110.00
10123112 '.3.12 600,000.000 1021170 615,700.64 103.0000 618,000.00 2,299.36 19,968.75 53.250 00 8.61%
Original Coal Bags: $619,500.00
Total Noncovered 746,000.000 766 660.96 768,380.00 2,719.04 74,827.61 86,207.60
Total 746,000.000 $785,660.96 $766,380.00 $2,719.04 $24,627.81 $86,207.50
FRONTIER COM IA UNICAllONS CORP Security Identifier: 35906AAN1
SR NT 8.500% 04/15/20 WE
DTD 041121101ST CPN DTE 10/15/10 Moody Rating 8A3 S
P Rating Bfl-
07106115 3,000,000.000 105.4720 3,164,161.90 97.2500 2,917,500.00 .246.661 90 116.875 00 255,000.00 8.74%
Original Coal Bags: $3.171,006.00
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security identifier:
TERM NOTES 'S/4/0717735822
9.875% 12118/21 REG DTD 12/16111 Moody Rating Bel S8
P Rating BBB
12104/13 '.3.12 1,500,000.000 107.0490 1.605.732.29 108.8450 1,632,675.00 26.942 71 116,854.17 148.125.00 9.07%
Original Cod Basic $1,627,500.00
Page 4 of 20
Account Number: Rated tacellenti
B1)01O210CSF,' °BAB ROIL L T HERA F I D G A o E pa N per T les 1 s AL Dr (v xA e cL r oB y u A V rRn a Ra n eA S rT i E nc D e C 2 O 0 M 07 M UNICATIONS —ma. ammo. noon rent. Nee
SDNY_GM_00045859
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0O08683
EFrA_00156468
EFTA01288831

Deutsche Asset
& Wealth Management
Drelv .e Or Vona h
ManietS (Int4t4..0.9
De.tuN M.
..evf *A Mar
P.O. Box 1778, Bahimore. MD 21203 31,Pant Aore.NwY. UWMIt. F4irst
*yr writ
Statement Period: 09/01/2015 - 09/30/2015
Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Eslimated
Date Acquired Wientity Uilt Ont Cost Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
BARCLAYS OK PLC CONTINGENT CAP NT Security Identifier: 06739FHK0
laki Li S06739FHK03 7.750% 04110/23 BM
DM 04110/13 CALLABLE 04/10/18 St P Rating BB*
04103113 '.11,13 300,000.000 100.0000 300,000.00 107.1250 321,375.00 21.375 00 10.979 17 23.250.00 7.23%
Origins Cost BasH: 5300.000.00
FN ORGAN CHASE d CO DEP SHS REPSTG Security Identifier: 46625HHA1
1110TH PFD SER 1 FIXED TO FLTG RT BO
7.900% 04129/49 WE DTD 04/23/08 Moody Rating BAA3 S
d P Rating BBB-
06115111 t3.12 2300,000.000 1075000 2,687,500.00 103.8750 2,596,875.00 •90,62500 82 291 87 197.500.00 7.60%
Original Cost Basis: 52,687,500.00
06115111 '.3,12 2,500,000.000 107.0000 2,675,000.00 103.8750 2,596,875.00 -78,125 00 82 291 66 197.50900 7.60%
Original Cost Baia: $2,675,000.00
Total Noncovered 6,000,000.000 6,362,500.00 6,193,760.00 ,168,750.00 164,683.33 396,000.00
Total 6,000,000.000 96,362800.00 96893,760.00 -$168,750.00 5164883.33 $396,000.00
BANK AM ER CORP PERP NON CON ULATIVE DEP Security Identifier: 060605011
%M FIXED TO FLOAT 8.125% 04130158 WE
DTD 04130/08 CALLABLE 05/15/18 Moody Rating 8A2 Sd P
Rating BEI+
01110111 '.3.12 2.000.000.000 102.7500 2.055.000.00 104.5000 2,090,000.00 35.000 00 60.937 50 162.500.00 7.77%
Original Cost Basis: 52,055,000.00
SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: 842400FU2
6250% 01117162 WE DTD 01117112
CALLABLE02/01122 (I 100.000 Moody Rating BMI S d P
Rating BB8-
01130112 '.3,11 3,000,000.000 99.8260 2.994.766 58 111.2500 3,337,500.00 342.733.42 30.729 17 187 500 00 5,61%
Original Cost Basis: 52,992,584.97
Page 5020
Account Number: Railed excellent
'1•7.7.10C?1,.. DGor paaperlmess Every VAN Sate 2007
SC L THERM CO LW. DALOAR RATED COMMUNICATIONS
NJ F I L xcia r NCI
SDNY_GM_000454360
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008684
EFEk_00156469
EFTA01288832

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Wilt Cod Cost Basis Market Price Markel Value Gain/ Loa Interest Annual Income Yield
Fixed Income (confirued)
Corporate Bonds (continued)
GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 369622916
A 7.125% 06112162 WE
DTD 06112/12 CALLABLE 06115/22 Moody Rating BAA1 S&
P Rating A4
06127112 '.12.13 2100.000.000 104 5460 2,090,922.54 115.5000 2,310 000 00 219.077 46 41.562 50 142,500.00 6.16%
Original Cost Basis: S2,122916.67
CITIGROUP INC FXD RT SR NT PERP DEP RECPT Security Identifier: 17296725
5.950% 08/15/88 WE DID 08112115
CALLABLE 08115120 Q 100000 Moody Rating BA2 58 P
Rating B84
08106115 3.000.000.000 100 0000 3.001006.00 98 6250 2.958.750.00 .41,256.00 23,800 00 178.500 00 6.03%
Original Cosi Basis $3.000.00600
LBG CAPITAL NO 1 PLC 144A Security Identifier: 054338868
IMO X50473106283 8.000% 09115188 REG
DID 12115109 CALLABLE 06115/20 58 P Rating Bg4
12104113 'AM 1200.000.000 108 2500 1,299,000.00 1127000 1,352,400.00 53,400.00 28,000 00 96.000 00 7.09%
Original Cost Basis 51.299.000 00
'LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439464
ADDL TIER 1 SECS ISNOUS539439A042
7.500% 09/27/88 WE DID 04/07/14 St P Rating BB-
Please Provide' 1.903.000.000 NM Pease Provide 102 0900 1,942,772.70 NM 1.189.38 142.725 00 7.34%
Original Cost Basis. Pease Provide
Total Corporate Bonds $25,126,421.04 527,306,352.70 $237,156.18 $673,115.61 $1,922,307.50
26,149,000.000
Total Fixed Income $25,660,419.86 $27.895,939.43 8292,746.87 $676,775.65 81,922,307.50
27,439,000.000
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Pria Market Value Gain/ Loss Annual Income Yield
Equities 45.00% of Portfolio
Common Stocks
IA OBILEYE NV AM STELVEEN ORD SHS Security Identifier: M SLY
ISIAIAL0010831061 CL SIP A51488117
Dividend Option: Cash
0810111/ 800.000 25 0000 20 000 00 45 4800 36,384.00 16,384 00
AKORN INC COM Security Identifier: AKRX
Dividend Option: Cash Min 009728106
06110115 5.000.000 48.8410 234.206.00 28 5050 142.525.00 41,081.00
con Page 6 of 20
°BALI ROLL A SO cc U o T u H n E t R N N u mber: F I D Go r p E ap r er r le i s A s R E Drx v A a e t Le e r Os y d Au Y t R w m e a R o r e - A a L rT b a E r t D . e C 2 O 0 M 07 M UNICATIONS 8-C.t.tri....""Tatta..r..r...'
SDNY_GM_00045861
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008685
EFTA_00 156470
EFTA01288833

Deutsche Asset
& Wealth Management
d,rw•< Rana P,,.,,, Wean. Paragenen
Pdaeals (wrap Gro.p
DeAsov km *clones
lire von Onto
P.O. Oat 1778, Ballimore, MD 21203 Hann Aneo.160.Iber
War wet Ire 1011A
Statement Period: 0910112015 • 09/30/2015
Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Dale Acquired CMantity Unit Cost Cost Basis Market Price Market Value Gain? Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
ALIBABA GROUP HLDG LTD SPONSORED ADS Security Identifier: BABA
ISIML,931609W1027 CUSIP. 01609W102
Dividend Option: Cali
06110115 5.000.000 88 9500 444.719 00 58.9700 294,850.00 -119.899.00
ALLIANZ SE SPONS ADR REPSTG 1110 SHS Semidry Identifier: AZSEY
Dividend Option. Cash CUSP 018805101
04113115 5,000.000 18 0110 90.056 00 15.6550 78,275.00 -11,78100 2,833.81 3.62%
APOLLO GLOBAL MGM T LLC CL A SUS Security Identifier: APO
Dividend Option: Cash CUSIP 031612306
03129111 '.11 283,157.000 19.0000 1,999,983.00 17.1800 4,521,03726 -478.945.74 615,787.38 13.62%
APPLE INC COM Security Identifier: AAPL
Dividend Option: Cash CUSIP. 031833100
09105114 110,180.000 98 9500 10,902,315.41 110.3000 12,152,854.00 1,250,538.59 229,174.40 1.88%
ARIAO PHARMACEUTICALS INC Security Identifier ARIA
Dividend Option: Cash CUSP 01033A100
02114112 '.13 7.535.000 15 2090 111.597.40 5.8100 44.004 10 -70,59300
01124113 ',13 9.000.000 19 6000 176100.00 5.8100 52.560.00 •123.810.00
Total Noncovered 16,535.000 290,997.40 06,661.40 -191,433.00
Total 16,535.000 0290,997.10 $96,564.40 -$194,433.00 90.00
ASCENA RETAIL GROUP INC CON Security Identifier: ASNA
Dividend Option: Cash CUSIP: 0/3516101
01116101 ..3 70.500 000 21 2770 1,500,000.00 13.9100 980,655.00 -519,345.00
AVALANCHE BIOTECHNOLOGIES INC Security Identifier: AAVL
COM CUSIP: 053376107
Dividend Option: Cash
10,000 00 of these shares are in your margin account
04120115 10.000.000 39.8610 398,606.00 8.2400 82.400.00 -316.206.00
pate 7 of 20
co
Account Num berms Rated 1..colibrigi
P*097 22 OCSF 30 OBAN ROLL 6; ;THERA F I D G A o n E an N er T les I s A L E eG v xA e .L r : y Ls I V uA o m. R w eA . L rT e E a D C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00045862
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0008686
EFTA_GOI5647I
EFTA01288834

Portfolio Holdings
(continued)
Ilarealized Estimated Estimated
Date ired Quiet Limit Cosl Cod Basis Market Price Markel Value Gain( Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
BASF SE WOWS ADR Security Identifier: BASF(
ISA Li S0552625057 CUSP: 055262505
Dividend Option: Cash
04113115 5.000.000 1011110 508,056.00 76.2620 381,310.00 -126.74600 11,276 50 2.95%
BANK OF NEW YORK M ELLON CORP CON Security Identifier: BK
Dividend Option: Cash CUSP: 064058100
06125114 250,000.000 36.3060 9,076,406.00 39.1500 9,787,500.00 711.094 00 170.000 00 1.73%
BIOGEN IDEC INC COM Security identifier: BIIB
Dividend Option: Cash CUSP. 09062X103
02114/12 '.I3 2191000 119 5490 251454.95 291.8100 611,341.95 360,887 00
DISH NETWORK CORP CL A Security Identifier: DISH
Dividend Option: Cash CUSP: 2541011109
06110/15 5,000.000 72 9960 384,978.00 58.3400 291,700.00 -73.278.00
FACEBOOK INC CL A Security Identifier: FB
Dividend Option: Cash CUSP. 3030311102
05117112'.I3 0.500.000 38 0000 665.000.00 89.9000 1,573,250.00 908.250 00
FOUNDATION MEDICINE INC COM Security Identifier: FM I
Dividend Option: Cash CUSP: 350465100
01113114 25,000.000 27 5070 687,663.50 18.4500 461,250.00 -226,413.50
08/05114 24.830.000 23 2530 50.373.02 18.4500 458,113.50 -119,259.52
Total Covered 49,830.000 1 266 036.52 919,363.60 .346173.02
Total 49,830.000 $1,265,036.52 $919,363.60 -1346,613.02 $0.00
GENERAL ELECTRIC CO COM Security Identifier: GE
Dividend Option: Cash CUSP: 369604103
04123113 %Is 23.000.000 21.5700 496,109.08 25.2200 580,080.00 83,950.92 21,180.00 3.64%
GENERAL M IRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 37045i/100
11118110 10.988 200 36 4010 399,978.16 30.0200 329,865.77 -70,112 39 15,823.01 4.79%
12109110 86,536 800 36 8160 3,185,969.22 30.0200 2,597,834.73 -588,134 49 124,612.99 4.79%
Total Noncovered 97,525.000 3 686 947.38 2,927,700.50 -656,246.88 140,436.00
Total 97,525.000 0181947.38 12,927,700.50 -9651,246.08 1140,436.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02105/14 5,000.000 792810 398,407.00 98.1900 490,950.00 94,543.00 8,600.00 1.75%
03107114 3.100.000 791120 246.797 00 98.1900 304.389 00 57,592.00 5.332 00 1.75%
Total Covered 8,100.000 643,204.00 795,339.00 152,135.00 13,932.00
Total 8,100.000 1643,204.00 $795,339.00 9152,135.00 $13,932.00
Pap 8 of 20
??09,240CSF30024 OPAL, 40.1.1 s Acco ' u E nt Num R Der ZONF G I o D pap n er i l - e T ss AL it R r ( D v xA a e c t L e r iLu y d I As Y I. Rt . r Y . a2 M .e0 I5` 7 r 1 1 00 7 7 0 C 2 O 0 M 07 MUNICATIONS
SDNY_GM_00045883
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) O13-SDNY-0008687
EFIA_00156472
EFTA01288835

Deutsche Asset
& Wealth Management
°ruin Ram Pon. *Ink P. lAve•i~
Mw.ets I inerw p
Otis< he II" f«,ner".
Mew bet M..
P.O. Boa 1778, Babimore, MO 21203 Ma Par* Ann«. !Mk Mc,
We. wrk. nr NIL
Statement Period: 09101/2015 - 09130/2015
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quality Unit Cost Cost Basis Market Price Markel Value Gain/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
GLAXOSMITHKLINE PLC SPONS ADR Security Identifier: GSK
Dividend Option: Cash CL SIP. 37733W105
OM 0115 5.000.000 43.0010 215.006.00 38.4500 192.250.00 •22.75600 12.306.34 6.40%
GLOBAL PARTNER ACQUISITION CORP Security Identifier: GPACU
L NIT I CON 8 t WT EØ CL SIP 37954X204
Dividend Option: Cash
07130115 ' 2.000.000 10 0000 20,000 00 9.9800 19.960.00 -40.00
GODADDY INC CL A Security Identifier: GDDY
Dividend Option: Cash CUSIP: 380237107
04101115 700.060 20.0000 14.000.00 25.2100 11.647.00 3.647.00
HEALTH NET INC COM Security Identifier: NNT
Dividend Option: Cash CLSIP:42222G108
09108114 25.000.000 46 9800 1.174.506 00 60.2200 1.505.500.00 330.994.00
SANGAM 0 BIOSCIENCES INC COM Security Identifier: SGM 0
Dividend Option: Cash CUSIP 800677106
05/28113 '.13 50.000.000 8 4440 422.214 00 5.6400 282.000 00 -140.214.00
SANTANDER CONSUM ER USA HMS INC COM Security Identifier: SC
Dividend Option: Cash CLSIP- 80283M101
01123/14 1.000.000 24.0000 24.000.00 20.4200 20.420.00 -3.580.09
TERRAFORM GLOBAL INC CL A Security Identifier: GLBL
Dividend Option: Cash CUSP. 88104M101
07131115 400.000 15.0000 6.000.00 6.6600 2.664.00 -3.336.00
TWITTER INC COM Security Identifier: TV TR
Dividend Option: Cash CL SIR 901841102
11107113 1.500.000 26.0000 39.000 00 26.9400 40.410.00 1.410.00
VIACOM INC NEW CL B Security Identifier: VIAB
Dividend Option: Cash CUSIP 92553P201
06!10115 5.000.000 67 7490 331.745.00 43.1500 215,750 00 -122.995.00 8.000.00 3.70%
Page 9 of 20
A S c O c L o T u H n E t N RA u m e b k et (5N LLC. FID G E o p N ape T rle I s A s L 1 r i D l x 4 A v e ~ n L r y D e A y a tA R e r N a a R l r A l e h S T t o i C n v O i a C 2 O '0 M 07 M UNIaTIONS :7Z= ga. 74=1
SDNY_GM_00045864
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-00O8688
EFTA30156473
EFTA01288836

Portfolio Holdings
(continued)
Verealized Estimated Estimated
Date ired Quiet Dalt Cosi Cod Basis Market Price Markel Valae GUI Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
VOLKSWAGEN A G ADR (PONS) Security Identifier: VLKAY
Dividend Option: Cash CUSP: 928662303
04113115 5.000.000 50.8610 254.306.00 23.4300 117,150.00 •137.15600 4104.38 3.41%
WISDOM TREE INVTS INC COM Security Identifier: WETF
Dividend Option: Cash CUSP. 97717P104
03131115 15,000.000 21.8110 324,157.50 16.1300 241.950 00 -82,207.50 4,800.00 1.98%
Total Common Stocks $38,568,039.24 $38,908,810.61 $340,771.37 $1,233,710.84
Prelerred Stocks (Listed by expiration date)
ALLY FINL INC AX TO FLT Security Identifier: ALLY PRB
DIV4.50%FREQ•QTRLYCALLABLEQ 25.00 CUSP 020058308
ON A OTRLY BASS AFTER 05/15/2016
Dividend Option: Cash
02103112'.11 48,610.000 19.3820 903.217.51 25 9300 1.208.338.01 305.120.50 99,025.00 8.19%
02109712'.13 81004100 20.1250 1,610,000.00 25.9300 2,074,399.99 464.39919 170,000.00 8.19%
Total Noncoyered 126,600.000 1,513,117.51 3,262330.00 789,520.49 269,025.00
Total 126,600.000 12.513.217.51 $3,282,738.00 $769,520.49 $269,025.00
GM AC CAP TR I GTO TR PFD SECS SER 2 CPN• Security Identifier: ALLY PRA
8.125% FRED ORTLY MATY4211512040 CALL CUSP. 361860208
ANYTIME 025 W130 DAYS BEGINS 02/15118
Dividend Option: Cash
02122112 '.13 80,000.000 23.5350 1,882,773.60 25.5300 2,042,400.00 159,826.40 162.500.00 7,95%
ROYAL BK SCOTLAND GP PLC SPON AOR REPSTG Security Identifier: RBS PRT
SER T PFD CPN-7.25% FRED ORTLY F'ERP M TY CUSP 780097713
CALLS 25 MY W130 0 NOTICE AFTR 12/31/12
Dividend Option: Cash
10124/12 '.13 40,004.000 23.7900 951.600.00 25.2300 1,009,199.99 57.599 99 72.500 00 7.18%
01107/13 '.13 40,000.000 24.4400 977.600.00 25.2300 1,009,199.99 31,599 99 72.500 00 7.18%
01114/13 '.13 40.000.000 24.8800 995.200.00 252300 1,009,200.02 14,000 02 72.500 00 7.18%
Total Noncovered 120,000.000 2 924 400.00 3,027,600.00 103,200.00 217,500.00
Total 120,000.000 $2,924,400.00 $3,027100.00 $103,200.00 $217,500.00
Total Preferred Stocks $7,320,391.11 $6,352,738.00 $1,032,348.89 $649,025.00
Total Equities $45,888,430.35 $47,261,548.61 $1,373,118.26 $1,882,735.84
Page 10020
Minx v. t Account Number: FI D G AM o pa S pe M rless A ek D R L rx o a Ae w te nU y d u M % m to . c t m n o . l e l o w rT r o C e e l D l s C 2 O 0 M 07 M UNICATIONS I . a 11 s . i T L i W t-t - i I e S r.4 '7= MC
SDNY_GM_00045885
CONFIDENTIAL — PURSUANT TO FED. R CRIM. 67(e3)LTHERh arKI O6-SDNY-0008689
EFrA_00 156474
EFTA01288837

Deutsche Asset
& Wealth Management
()PASO( Um kmale vitakr.
matins tonne Gio‘o
ontsciv sem sew/sat,
Niue 011nr
P.O. Box 1778, Bahimore, MD 21203 HS Pm% Asa. 140meer
Mrs** NY 101W
Statement Period: 0910112015 • 09/30/2015
Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date Acquired Chunky Viii Cod Cost Basis Market Price Markel Value Gala/ Los Annual Income Yield
Exchange-Traded Products 3.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: 0 XJ
Dividend Option: Cash: Capital Gains Option: Cash CUSP: 97717W851
60,00000 of these shares are in your margin account
12111113 60.000.000 19.4350 2,966,098.50 18.6600 2.919.600.00 .46,498.50 45,236.40 1.54%
Total Exchange-Traded Products $2,986,098.50 32,919,600.00 -$40,4911.50 $15,236.40
Unrealised Accrued Estimated
Cost Basis Market Value Gain( Loss Interest Annual Income
Total Portfolio Holdings $101,800,874.55 $105,363,013.88 $1,619,366.63 $676,775.65 $3,861,798.19
Footnotes
' Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended r1RC") (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 non.retiement,
US taxpayers 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
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014.
Cost Basis on food income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, 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 cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances. including those involving foreign bonds, bonds sold short or bonds issued with less
than one year to maturity. 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.
3 The cost basis of this security has been provided to us by you or your introducing km 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 Gwent Face value is determined by multiplying the curtent factor times the original lace amount of the
security. Factors may change over tine 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 11 of 20
Account Number. Raced Excell•rdi
t03AN NOLI SOUTHER( CRCS LL . Go paperless 4 ? [ L A v L e D ry A V N ir a R r A L T a E c D e C 2 O 0 M 07 M UNICATIONS
F ID ranAL rxest unser
SDNY_GM_00045866
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008690
EFTA_00156475
EFTA01288838

Portfolio Holdings (continued)
[ 13 The cost basis of this security has been provided to us by the delivenng frm or transfening agent and Pershing makes no representation as to the accuracy of this information.
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized 0ainl Loaf
Date Date Transadion Description Quantity Cost Basis Proceeds Disallowance
Long Term
09/23/15 12113113' PPP WASPMGTOk MUT MI6 5 ODARA2 NIG PASSIHRU CIF CL 1 290 000 000 1.462 01 1.910.65 448 64
C- B•1 VAR RATE 6.510% 07125133
Security Identifier. 939336520
Original Cost BasM 1 462 01
Total Long Term $1,462.01 $1,910.65 3448.64
Total Short Term and Long Term $1,462.01 $1,910.65 3448.64
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generaty 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 P1.110-343, 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 securi0es 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
non-retirement, US taxpayers 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
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014.
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 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 N.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
warranhes 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 may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, 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 Mooned adjusted cost basis reflected
until the cost basis system is amended to reflect this change. These calculations MI not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with
less than one year to maturity. This information is meant as a general guide and you should consuk 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 defaufted to First In, First Out (FIFO). Your accounts selected tax bl 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-B.
Page 12 of 20
" Ac Account Number Paperless b e r .t a . y a ., s . i , n • c e 2007
DAENT1AC--- DrxAesUtMur.t RaAe rT ED COMMUNICATIONS
SDNY_GM_00045887
THERN F I
CONFIDENTIAL — PURSUANT TO FED. R DB-SDNY-0008691
EFrA_00 156476
EFTA01288839

Deutsche Asset
& Wealth Management
Destine Sim Ponle Ve/f4 It Mamie,.
Marais teeny fa tow
°taunt Sam seue*es sk.
Mn *4 Mar
PO. Lica 1778. Sollimore. MO21203 HS Pan Asa.. loth I bet
Mrs** NY 101N•
Statement Period: 0910112015 • 09/3012015
M essages
Please note that the Valuation of a Glance section on page one of your account statement will be updated and renamed Port/goals Glance beginning with the October 2015 statement. This change does not
apply to accounts which display only opening and closing balances on page one.
Pursuant to the Securities Exchange Act of 1934, Pershing LLC (Pershing), a SHY 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, 2015, Penhing's net capital of 52.179 billion was 10.78% of aggregate debit balances and exceeded the minimum requirements by
$1.77 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, 2015, Pershing's net capital of 52.163 billion was
11.55% of aggregate debit balances and exceeded the minimum requirement by $1.79
A l the June 30, 2015, Statement of Financial Condition is available at ‘wmpershing.comIstaternent-ol-financial-condition. You may also request a free, printed copy by calling
or
, option 05.
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 20
Account Number: Go Rabid too-NYS
08A18 MOIL KLTHERNCO - FI D riT r r il i e A s r ( C v xA e eL r iM y tu ArRtr aReA S rT in E c D e C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00045888
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) O13-SDNY-0008692
EFrA_00 156477
EFTA01288840

Activity Sum m a ry (All amounts shaven are in base currency)
Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date
Securities
Securities Bought 0 00 0 00 0 00 0.00 -9.511.027.50 -9.514.027.50
Securities Sold 0 00 0 00 0 00 170,757.03 0.00 17025203
Securities Withdrawn 0 00 0 00 0 00 0.00 -3,383.998,80 -3,383.998.80
Total Securities $0.00 $0.00 $0.00 $170,757.03 -$12,898,026.30 .$12,727,289.27
Dividends and Interest $135,554.11 $0.00 $135,554.11 $1,997,706.09 $0.00 $1,997,708.09
Distributions $0.00 $0.00 $0.00 $1,200,875.60 $0.00 $4,240,875.60
Fees $0.00 -$12.00 -$12.00 $0.00 -$286.00 -$286.00
Taxes Withheld $0.00 $0.00 $0.00 $0.00 -$6,581.18 -$6,581.18
Other $0.00 $0.00 $0.00 $68,692.73 -$68,692.73 $0.00
Cash
Withdrawals 000 -10.000.000.00 -10.000.0-00 00 0 00 •15.970.169 96 -15 970.169 96
Deposits 0.00 0 00 0 00 2,093 627 43 0 00 2,093 627 43
Total Cash $0.00 .$10,000,000.00 .$10,000,000.00 $2,093,627.13 -$15,970,169.96 -$13,876,542.53
Money Market Funds $0.00 $0.00 $0.00 $2,418,952.83 -$1,780,931.93 -$2,331,979.30
Totals $135,551.11 -$10,000,012.00 -$9,864,457.89 $11,020,611.51 -$33,724,618.10 -$22,704,036.59
Transactions by Type of Activity
Process/
Settlement
Date Activity Type Description Quantity Price Accrued Interest Amount Currency
Dividends and Interest
09/25/15 80ND INTEREST RECEIVED 1290000 WASHINGTON MU T MTG SECS CORP 70041292 3.796.40 LSO
939336S20 LIM PASS1116 CTF Cl. C-B-1 VAR RATE 6.510% 07125/33
WE DID 06101/01 RD 08/31 PD 09/25115
09125115 CASH DIVIDEND RECEIVED 60000 SH RS WISDOM TREE TR JAPAN HEDGED EQUITY FD RD 3,142 60 USD
DX.1 09/23 PD 09125115
09/28/15 FOREIGN BOND INTEREST 1903000 LLOYDS BANKING GROUP PLC FXD RATE RESET 35,681.25 LSD
539139AG1 ADDL TIER 1 SECS 'SINS U 39139AG42 7.500% 09/27188
WE DTD 0/107114 CLB RO 09/25 PD 09/27/15
09/29/15 CASH DIVIDEND RECEIVED 97525 SN RS GENERAL M TRS CO COM RD 09114 PD 09129115 35.109.00 LSO
GM
09129/15 CASI. DIVIDEND RECEIVED 8100 Si-RS GRIND SCIENCES INC RD 09716 PD 09/29115 3,483 00 LSD
GILD
Page14 $20
Account Num her Rated tscolibrill
tiltAD Rol SOUTHERN ONLLC. FID G E o p S ap I e T rles I s A L r ( C v xA e e r Ln y .m * V .s a Rs .s eA i Tr n C c O e C 2 O 0 M 07 M UNCA MONS
SDNY_GM_00045869
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008693
EFTA_00156478
EFTA01288841

Deutsche Asset
& Wealth Management
Dralsre Rana Pn.a. WerknPAP•airnall
NYf6l Dome 6,0‘P
Devisov ML%won +Ic
lin. von Oilt•
P.O. Bat 1778, Babimore, MO21203 In Pan Anis.. 160. I be,
War *A in• 10114
Statement Period: 0 910112015 • 09/30/2015
Transactions by Type of Activity (continued)
Process/
Settlement
Date Activity T Demiotioe Quiet Price Accrued Interest Amain Carreec
Dividends and Interest (confirmed)
0900/15 MONEY MARKET FUND DEUTSCFE GOUT CASF 966 88 USD
INCOME RECEIVED
233993682
09130115 FOREIGN SECURITY DIVIDEND 120000 SFRS ROYAL BK SCOTLAND GP PLC SPON ADR 54.375 00 USD
RECEIVED RESTS SER T PFD CPN-7.25% FRED DRILY PEW M TY
RBS FRI CALL° 25 ANY WI30 D NOTICE AFTR 12131112 RD 09115 PO
09130/15
Total Dividends and Interest- UNITED STATES DOLLAR 0.00 135,554.11
Fees
09101115 FOREIGN CUSTODY FEE Fgn Safekeeping AUG 2015 OAP G4515P-P4.8 -2.00 USD
04515F948
09101115 FOREIGN CUSTODY FEE Fgn Safekeeping AUG 2015 CUSP 054339-8G-8 -2.00 USD
054339808
09101115 FOREIGN CUSTODY FE Fgn Safekeeping AUG 2015 CUSP P78071I-AF.2 -2.00 USO
P7807FAF2
09130115 FOREIGN CUSTODY FEE Fgn Safekeeping SEP2015 CUSP. GaSI5RP4.8 .2.00 USD
04515PP48
09130115 FOREIGN CUSTODY FEE Fgn Safekeeping SEP2015 CUSP. 054338.80.8 -2.00 USO
G54338B68
09130115 FOREIGN CUSTODY FE Fgn Safekeeping SEP2015 CUSP. P7807F -AF-2 -2.00 USD
P7807FAF2
Total Fees • UNITED STATES DOLLAR 0.00 .12.00
Cash Withdrawals and Deposits
09101115 FEDERAL RADS SENT BIA0 FARRIS BANK NA -7.500.000.00 USO
LSD999997
091213115 FEDERAL FUNDS SENT DEL TSCFE BANK TRUST 4,500,000.00 USD
L 50999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 .10,000,000.00
Total Value of Transactions 0.00 .9,864,457.89 USD
The price and quantity displayed may have been rounded.
Page 15 of 20
Account Num ber Rasa [amain@ Clan on...m.•••••AC • ...dry a...anis,
liftAR ROLL SOUTHERN ONLLC. FID G AE o p N ape T rle I s A s L E D e v A x e L c n B l . a A V i R m . . R . e A L r T a E t D e C 2 O 0 M 07 M UNICATIONS r * O TW a O . li . m . t e r. • I S N O o •4 . 0 v •0 s 1 . .0 4A,I4 tr ‘. e e id e P t e e n ablini•••••
SDNY GM 00045870
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-S5NY:0008694
EFTA_00 156479
EFTA01288842

Cash Not Yet Received
Security Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment
Dividends
GENERAL ELECTRIC CO COM 09121/15 10125/15 23.000 000 0 230000 Cash 5.29000
VIACOM INC NEW CL B 09/15/15 10101;15 5.000 000 0.400000 Cash 2.000.00
Total Cash Not Yet Received 51,290.00
Bond Maturity Schedule
Bond Maturity Market Valle % of Bond Market Value
Within 1 nonth 2,481,250.00 9% Percentages of bond market values are
I to 5 years 3,685,880.00 13% rounded to the nearest whole percentage.
1- 1
6 to 10 years 1,954,050.00 7%
Over 10 years 19,174,759.43 71% Li
Total 21,095,930.43 100%
Bond Quality
Bond Qualily Market Value %of Bond Market Value
BAS 10.841.250.00 39% Percentages of bond market values are
MiLower 17.054,689.43 61% rounded to the nearest whole percentage.
Total 27,095,939.43 100%
Client Service Information
Your Client Advisor: DAN
DANIEL SABEIA
345 PARK AVENUE, 26TH FLOOR
NEW YORK NY 10154.0003
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT
Default Method for all Other SecuAtiet FIRST IN RRST OUT
Bond Amortization Elections:
Treat al interest as original issue discount (OID): No
Am orbze premium on taxable bonds based on Conant Yield Method: Yes
Accrual market discount method for all other bond types- Constant Yield Method
Include market discount in income annually: No
Page 164020
Account Numcber:o Mad excel..
BC047.NOCEF30,:t ROIL SOLTHERN SiFI D G A o L pa T pe I r T les I s A L r0x v Ae e Ls r B y uA Y rRt a r Ra w eA S rT i n E e D w C 2 O 0 M 07 M UNCATIONS —
SDNY_GM_00045871
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008695
EFTA_00 I 56480
EFTA01288843

Deutsche Asset
& Wealth Management DrainellYnt
MweiPts0 •C1o1o0e 'MraPg, 4GI toyp
°taunt Sat StueNei
Now In Mar
PO Boa 1778. Baliimoro. MD 21203 30 Pin Asaw, loth tom
Mrs** NY 101M
Statement Period: 0910112015 • 09/30/2015
Your Account Information (continued)
I
Electronic Delivery
You have not seleded any account corn m unit:Miens 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 date basis, including short posrtions, 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 'K 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,
arid 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 princMal may be included in the figures for certain securities, thereby overstating them. Refer to
wmv.pershing.com/busirass_continuity.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 shown on your statement may have been renrested. 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 autocratically 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 automaticaly 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 intonation obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not penritted 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 responstrle for any errors or
Page 17 of 20
Account Number Go paperless ay y L ri a v N er e y d V to e c s e t l S le in n c ti e 2007 ..1°1-.Tat"
I,KA.' SO L THERA Ckt5KI FIE SEN11 rDxAaLrOuAlrtNitAerTO)000ANILIFOCATIONS
A
SDNY_GM_00045872
CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) OB-SDNY-0008696
EFrA_OO I 56481
EFTA01288844

Important Information and Disclosures (continued)
Ratings (continued)
omissions. regardless of the cause. cc for the results of using such content Standard & Pools makes no express or implied warranties includin 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.
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 (w) 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 nal 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 in enrol 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 . 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 (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 mete detailed information please visit: www.pershing.comfaboutIstrengthanthstabilny.
• 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 wining 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 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 Maim in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Page IS of 20
Account Nun tier Ratml tocelloni
Go paperless [way Voor Sims 2907
KL THERA CSN LLC. Drat EAL [ D R A O L B IL AR IN R C A E T ED COMMUNICATIONS
ON SDNY_GM_00045873
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) FI OB-SDNY-0009697
EFIA_001 56482
EFTA01288845

Deutsche Asset
& Wealth Management
Desist.< Rota PnwilevkanDaragenan
wrens Codrage6Km)
oftiscry smongs Lac
Onigir
PO &a 1778. Ballimore, MD 21203 HI Pan Ratak Halter
War to ItY 10114
Statement Period: 09/01/2015 • 09/30/2015
Important Information and Disclosures (continued)
Important Arbitration Agreement
My 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 intonation is as follows: Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399;
Page19020
Account Number Med Cacellera
OftAkl ROLL SOUTHERN I!, LLC. Go paperless E rDxA v c e Li r Bu t Ar Y Rn e aR ar eA rT a E D Y C 2 O 0 M 07 M UNCATIONS 4-“.044 —4-•••••• •••••
N F I DAEN L
SDNY GM 00045874
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008698
EFTA_00156483
EFTA01288846

TERMS AND CONDITIONS
TRANSACTIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MIXER, 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 TILE OF ANY
SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND TRANSACTION YOU MAY LUXE. 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 FNANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY ANO TO ALL APPLICABLE LAWS AND REGULATIONS. FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS
• TITLE TO SECURITIES SOLO 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 NSPECTION AT
DATE. WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF [TWILL 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 WWW.PERSHING COM
STATEMENT. IF SO, TIE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWVV.PERSHING.COMMISCLOSURES
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS.
THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS-
FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S RULE 607(AWN-12)1
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS.
PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES PI YOUR ACCOUNT APPEARS ON THE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. TIE RATE MAY CHANGE TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST S ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON
FINANCIAL INSTITUTION F YOU DESIRE ADDITIONAL COPIES. WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW
MARGIN INFORMATION: IF YOU MAINTAIN A MARGN ACCOUNT. THIS IS A COMNNED STATEMENT OF TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT.
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR BEST EXECUTOR: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
NSPECTION UPON REQUEST. FLOW, PERSHNG SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE.
TAX INFORMATION COUNTER AND EXCHANGE-LISTED SECUMTES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS.
TRANSMITTED ELECTRONICALLY UP TO A SPECFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN
• AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL THE NATIONAL BEST BID OR OFFER (M380). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED
REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL MARKET CENTERS DO NOT MAKE A MARKET 14 THE SUBJECT SECURITY. PERSHING DIRECTLY
PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. QUALITY OF THER EXECUTIONS IN ONE OR MORE MARKET SEGMENTS ANO THEIR ABILITY TO PROVIDE
• DIVIDENDS. INTEREST MID OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSH:NG ALSO REGULARLY
AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES.
DATE. THIS r• ASSFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS
GENERAL INFORMATION.
• PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE
ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ARE NDEBTED TO PERSHING LLC (*PERSHING, FOR ANY AMOUNT, ALL SECURITES
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 NDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR
YOUR ACCOUNT ARE OR MAY 8E. 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 LIABLMES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT
PROHIBITED BY LAW.
F ANY OF THE ABOVE TERMS ANO CONDITIONSARE UNACCEPTABLE TO YOU. REASE NOTFY PERS-IN3 IMMEDIATELY IN WRITING BY CERTFIED MAIL TO ONE PERSHING PLAZA JERSEY CITY. NI 07399, ATTN' LEGAL DEPT
Page 20 020
Account Number Ra•Y ImINS
SOUTH ERIN Cri N LC_ F I
DGor w
pap
r
er
i
le
A
ss
c---e-
rDx .A. e .LY s B tAV .Rr . w "R eA
v
rT
n
ED
u
C 2O°M°7M UNICATIONS
SDNY_GM_00045875
CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) OB-SDNY -0008699
EFTA_00156484
EFTA01288847

Deutsche Asset
& Wealth Management
DmIwo Rant km!. Wolin &Worm
Pdaeals Coon., 6,.p
Des0477 ML %„,a+ +w.
lire Ont•
P.O. Box 1778, Ballimore, MD 21203 Na Pult 4„y_ 160. I bet
Pk-. wet in* Ian.
Account Number:
Statement Period: 081011201$ - 0813112015
Valuation at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value $125,334,293.94 $126,714,293.02
6100 RED HOOK QUARTER B3 het Cash Depots and Withdrawals -826.992 53 -3.876.512.53
K el Securities Int Out of Account .3.383,998.80 -5.867.790 80
ST THOMAS VI 00802
Adjusted Previous Acosunt Value 121,123,30241 116,909,959.89
Dividends, Interest and Other Income 135,220.92 2.285,831 75
Total Taxes Withheld 000 -6,561.18
Net Other Activity 0 00 -254.00
Your Client Advisor: het Chan, e in Portfolio .4.352,216 49 .2.042.672 22
DAS IEL SABBA nding Account Value $ 1 1 7 2 0 6 3 0 7 0 4 $1 1 7 2 0 6 3 0 7 0 4
Accrued Interest $556,215.44
Estim ated Annual Income $3,856,768.25
Asset Allocation
Prior Year-lad tad Period Ibis Period % Allocation
SD Cash. Money Funds and Bank Deposits 44,273,984.33 40,562,801.44 37,150,383.73 31.70% P ease review your allocation
LSD Axed Income 18,177,455.58 17,508,60321 20,400,148.10 17.41% cer cdray wth your Client Advisor.
h on-I, SD Axed Income 7.150,052.50 7,846,312.50 7,781,22125 6.64% -
SD Equities 54,128,544.61 55,921,496.79 48,693,705 96 4151% I
hon-LISD Equities 2.986.256.00 3.495.080.00 3.180.848.00 2.71%
A unt Total Dile Chart) 1126,714,213.02 $125,334,293.94 8117,208,307.04 100.00%
See the Asset A, bcabon Disclosure and Footnotes secton br important iniconetian reputing you Asset flotation.
Page 1 of 18
L•colloni
117AN Quit 8009809 CSF300l7 Go paperless ' 0 I A n L n B , A V R a R n A S T i E v D a C 2 O 0 M 07 M UNICATIONS
CONFIDENTIAL rxesarmer
SDNY_GM_00045876
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008700
EFTA_00 156485
EFTA01288848

Asset Allocation Disclosure and Footnotes
Al values are displayed in U.S. dollars based on interbank exchange rates as of 08/3112015. 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 0.00 100.107 03 957 267 02
LongiTerm Gain/Loss 447 28 111A 67.65 2 607 760 08
Net Galniloss 447.28 211,571.68 3,585,027.10
This summary excludes transactions where cost basis information is not available.
Money Market Fund Detail
Date Activity Type DeccriMion Mount Bahia
Sweep Money Market Fund
DEUTSCHE GOVT CASH INSTL
Account Num Der 0000001490 Current Yield: 0.04% Activity Ending: 08131(15
08101115 Opening Balance 40,562,801.44 40,562,801.11
08105115 Deposit LIOKEY RAD PURCHASE 73,109.90 40,635,911.31
08/12115 Withdrawal MOKEY MAO REDEMPTION -3.000.006.00 37.635.905.31
08114/15 Deposit MOKEY FUND PURCHASE 116.75600 37,752,661.31
08/18115 Deposit MOK EY FUND PURCHASE 107,88129 37,860,542.63
06126/15 Deposit MOKEY FUND PURCHASE 3,789.92 37.864,332.55
08127/15 Deposit LIOAEY FUND PURCHASE 1,200.00 37,865,532.55
08131/15 Withdrawal MOKEY FUND REDEMPTION ,716,166.59 37,149165.96
013131,15 Deposit IlsCOME REINVEST 1,317.77 37.150.383.73
08/31115 Closing Balance 637,150,383.73
Total All Money Market Funds 637,150,383.73
Income and Expense Summary
Current Period Yeart-Dale
Taxable Nos Taxable Taxable Noe Taxable
Dividend Income
Equities 185,212.25 0.00 768,642.15 0.00
Money Market 1,317.77 0.00 10,551.59 000
Other Dividends 0.00 0.00 463,164.80 0.00
Interest Income
Bond Interest 97,53912 0.00 499,918.32 0.00
Other Interest 10,625.04 0.00 121,875.12 0.00
Pap 2 of 18
Account Number: Go paperless ct .a) Rated rtreeaarr..,,,,,,
OSAS 7OO. SOUTHERN 5 FI D AENTIA r b C x e A a e L r r M y a A Y r R t e r a R ar e A S r T i E nc D e C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00045877
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008701
EFTA_001564S6
EFTA01288849

Deutsche Asset
& Wealth Management
Deasre Boa km,. vinia Pm.genan
IdLreilL COMO.Group
OtellON let stare" at.
me. Irk 011c•
P.O. Box 1778, Bahimore. MD 21203 30 ON AS.* member
weer** BY IOW
Statement Period: 01/01/2115 -1113112115
Income and Expense Summary (continued) Current Period Year4o-Date
Taxable Noe Taxable Taxable Non Taxable
Expenses
Withholding Taxes 0.00 0.00 43,561.18 0.00
Fees(Foreign Securities' 0.00 0.00 .200.00 0.00
Total Dividends, Interest, Income and Expenses $324,891.98 10.00 51,/55,310.80 $0.00
Distributions
Alternative Investments 0.00 110,525.94 0.00 123,682.77
Other Distributions 0.00 0.00 0.00 89.010.40
Total Distribudons $0.00 $110,525.04 $0.00 3513,2017
Portfolio Holdings
Account Adivity Opening °Sag Aimed Income 3O-Day Carrot
Opening Date Quantity Number Ending Balance Balance Income Ibis Year Yield Yield
Cash, Money Funds, and Bank Deposits 32.00% of Portfolio
Money Market
DEUTSCHE GOVT CASH INSTI.
08101115 37.150.383.730 0000001490 08131115 10.562.801.41 37.150.383.73 0.00 10.551.59 0.04% 0.04%
Total Money Market 040,562,001.44 $37,150,313.73 30.00 $10,551.59
Total Cash, Money Funds, and Bank Deposits $40,562,801.44 $37,160,313.73 $0.00 $10,551.59
Adjusted Unrealized Accrued Estimated Estimated
Dale Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gainl Loss Interest Annual Income Yield
Fixed Income 24.00% of Portfolio (In Maturdy Date Sequence)
'Asset Backed Securities
WASHINGTON UT TG SECS CORP 2004-RA2 Security Identifier: 939336S20
M TG PASSTH RU CTFCL C.17-1 VAR RATE
6.481% 07125133 WE DTD 06101101 S8 P Rating D
Fedor 0.54246401 Effective Date:08103/15
Current Face Value: 699,778.573
12113113'.3.12 1,290,000.000 76.5190 535.460 83 84.4050 590.648.10 55.187 27 3,779.83
Page 3 of 18
Account Number: Ga paperless ets kilted facellerigi
P*098 091CSF 301: OLIALI NOLL D (v A e L r M y V R s R . A S T o E n D o, C 2 O 9 . 0 .. 7 M U...CATIONS
FI D riTrIA rxestur NCI
SDNY_GM_00045878
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERh DB-SDNY-0008702
EFTA_00 156487
EFTA01288850

Portfolio Holdings (continued)
Adjulted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Ueit Cod Cod Bags Market Prim Markel Value Gain/ Lou Interest Annual Income Yield
Fixed Income (continued)
'Asset Backed Seaultles (continued)
WASHINGTON MUT NTG SECS CORP 2004•11A2 (continued)
Original Cosl Bass $538 9D6 71
Total Asset Backed Securities 1535,460.83 $590,648.10 155,187.17 $3,779.63 10.00
1,290,000.000
Total Current Face Value : 699.778.573
Corporate Bonds
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
NOTES SENIOR ISINIX$0460546525
5.000% 10128/15 REG DTD 10/28109 S t P Rating B+
12104(13'.3.12 2.500.000 000 99 0650 2.476.613.94 98.4000 2,460,000.00 -16,613.94 42,708 33 125,000 00 5.08%
Onmnal Cosl Ban $2.250,00100
EARTHUNK INC GTD SR NT FULLY EXCHANGED Security identifier: 270321AC8
CL SIP FROM 270321468 8.875% 05/15/19 WE
DTD 05117111 CALLABLE 09/02115 SS P Rang CCC•
10/22/12 '4.12 146,000.000 102.1990 149,210.47 103.0000 150,380.00 1,169.53 3,815.26 12,957.50 8.61%
Original Cosl Ban $151.110.00
10/23/12 '.3.12 600,000 000 102 0440 612.262.35 103.0000 618,000.00 5,737.65 15,679.17 53,250.00 8.61%
Original Cost Bat $619.500.00
Total Nonconred 746,000.000 761 472.62 70,380.00 6,907.18 19,494.43 66,207.60
Total 746,000.000 $781,472.82 $766,380.00 $6,907.18 $19,494.43 $66,207.50
FRONTIER CON II UNICABONS CORP Security identifier: 351106AAH1
SR NT 8.500% 04115/20 WE
DTD 04/12/10 1ST CR DIE 10115/10 Moody Rating 8A3 S
P Rating BB-
07/06/15 3,000,000.000 105 5570 3,166,708.87 102.7500 3,082,500.00 -84,208.87 96,333.33 255,000.00 8.27%
Ongmal Cost Ban 53.171.006.00
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: G1S1SPP48
TERM NOTES ISM 00717735822
9175% 12/16/21 REG DID 12/16111 Moody Rating Sal S
P Rating BBB
12/04113 '.3.12 1,500 000 000 107 1210 1,606.809.58 109 5310 1,642,965.00 36,155.42 104,510.42 148,125 00 9.01%
Original Cost Basis: 51.627.500.00
BARCLAYS BK PLC CONTINGENT CAP NT Seaulty Identifier: 06739FHK0
ISM* LS06739FF KO3 7.750% 04/10/23 WE
DTD 0010/13 CALLABLE 0010/18 S b P Rating Fl8+
04/03/13'.12.13 300.000.000 100 0000 300.000.00 108.0000 324.000 00 24.000 00 9.108.25 23,250.00 7.17%
Original Cost Basit $300,000.00
Page 4 of 18
Account Num Der DGroi pvapeerlresisA L & v k e i r d y tocolle W rig ie i r ZO07 =r=
SOL THERA CH
N
LLC.
FI L
rDxAeLsOuArRt aReArT ED COMMUNCATIONS
SDNY_GM_00045879
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008703
EFrA_00156488
EFTA01288851

0rvitec ,21/...Yrnsil manair-wa
Marotts Coettia6.a.p
De.tic la Nom Secy.., M.
mg,. bete Mar
14,Pant Annw. iloct
tine t,h. 1.v vA
Statement Period: 08/01/2015 - 08/31/2015
Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cod Cost Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
PM ORGAN CHASE & CO DEP SIM REPSTG Security Identifier: 4662SHHA1
1/10Th PFD SER 1 FIXED TO FLTG RT BD
7.900% 04129149 B/E DTD 04123108 Moody Rating BAA3 S
P Rating BBB.
06115111 t3.12 2,500,000.000 107.5000 2.687.500.00 105.0000 2.625.000.00 •62.50000 65.833.34 197.500.00 7.52%
Original Cost Basis: 52,687,500.00
06/15111 '.3.12 2 500,000 000 107 0000 2,675,000.00 105.0000 2,625,000.00 •50,00000 65.833.33 197.500.00 7.52%
Original Cost Basis: 52.675.00000
Total Noncovered 5,000,000.000 6,362,600.00 5,250,000.00 ,112,500.00 131,666.57 395,000.00
Total 5,000,000.000 66,362,500.00 $5,250,000.00 -$112,500.00 $131,666.67 $395,000.00
BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 060505DT8
SFS FIXED TO FLOAT 8125% 0413015881E
DTD 04130108 CALLABLE 05115/18 Moody Rating BA2 S8 P
Rating BIP
01/10111 '.3.12 2.000,000 000 102 7500 2,055,000.00 105.6250 2,112,500.00 57500 00 47.84722 182,500.00 7.69%
Original Cost Baas: 52.055,000.00
SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: 842400FU2
6.250% 01(17/62 B/E DTD 01/17/12
CALLABLE 02/01122 0 100.000 Moody Rating BAA1 S8 P
Rating BBB-
01130112 '.3.12 3,000.000 000 99 8240 2.994,710 64 110 4500 3,313,500 00 318,789.36 15,625.00 187,500 00 5.65%
Original Cost Bass $2.992.564 97
GENERAL ELEC CAP CORP NON CUM PIO SER Security Identifier: 3696225146
A 7.125% 06/12/62 8/E
DTO 06/ 12112 CALLABLE 06115/22 Moody Rating BAA1 Sd
P Rating As
06127112 '.12.13 2.000.000.000 104.5910 2,091,828 43 115.3700 2,307,400 00 215,571 57 30,083.33 142,500.00 6.17%
Original Cost Bass: 52.122.916.67
Page 5 of 18
Account Num Der listed tacell•ra
(54) plc0nerleSS (very Vs, Siva 2'007
L)TH ERN CO. F I DESITIAL rDxAeLn BuArRn RseArT ED COMMUNCATIONS
SDNY_GM_00045880
NI
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 673(e OB-SDNY-OOO87O4
EFIA_00156489
EFTA01288852

Portfolio Holdings (continued)
Adiumed Unrealized Accrued Estimated Estimated
Date ired Quaith UmIt Cosi Cost Basis Market Price Markel Value Gain, Loss Interest Annual Mame Yield
Fixed Income (continued)
Corporate Bonds (continued)
CMGROUP INC FXD RT SR NT PERP DEP RECPT Security Identifier: 17298725
5.950% 08/15/88 WE DID 08112/15
CALLABLE 08/15120 0 100 000 S 8 P Rating BB+
08106115 3.000.000000 100 0000 3.000.006.00 99.1710 2.975.220.00 •24.788.00 9.420 83 178.500 00 5.99%
Original Cosl Basis: S3.000006.00
LBO CAPITAL NO 1 PLC 14414 &malty Identifier: G54338868
ISA. XS0473108283 8.000% 09/15188 REG
DID 12115109 CALLABLE 06115/20 S8 P Rating BB+
12/04/13 '.3,11 1.200.000.000 108 2500 1.299.000.00 114.0000 1,368,000.00 69.000.00 20.266 67 96.000.00 7.01%
Original Cod Basis: $1,290000.00
'LLOYDS BANKING GROUP PLC FXD RATE RESET Sloan)! Identifier: 539439AG4
ADDL TIER I SECS ISINSLIS539439A042
7.500% 0912718/ EUE DTD 04107114 S 8 P Rating BB-
Please Provide' 1,903,000.000 N/A Please Provide 104.3150 1080256.25 N/A 25,373.33 142,725.00 7.18%
Original Cod Basis: Pease Provide
Total Corporate Bonds $25,114,850.28 927,590,721.25 1489,814.72 9552,435.81 91,922,307.50
26,119,000.000
Total Fixed Income 925,550,111.11 $21,101,3$9.35 9545,001.99 9550,215.44 91,922,307.50
27,139,000.000
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Markel Value Gale/ Loss Annual Income Yield
Equities 41.00% of Portfolio
Common Stocks
M OBILEYE NY AM STELYEEN ORD SliS Security Identifier: M BLY
ISM/ NL0010831081 CUSP. N51488117
Dividend Option: Cash
0810111/ 800.000 25.0000 20,000.00 56.5800 15.218 00 25,248 00
AKORN INC COM Security Identifier: AKRX
Dividend Option: Cash CUSP. 009728106
06110/15 5,000.000 16.8110 234,206.00 39.7900 198.950 00 -35,256.00
AUBABA GROUP liLDG LTD SPONSORED ADS Security Identifier: BABA
ISINOUS01609W1027 CUSP. 01609W102
Dividend Option: Cash
06110/15 5,000.000 88 9500 141,719.00 66.1200 330.600.00 ,114,119.00
ALUANZ SE SPONS AIM REPSTG 1110 SIIS Security Identifier: AZSEY
Dividend Option: Cash CUSP 018805101
04113115 5.000.000 18.0110 90.056.00 15.9390 79,895.00 .10,381.00 2,833.84 3.55%
Page 6 of 18
Account Number: litaled excellent,
Go paperless (very Year Since 2007
FI D AnTriA
rCxAeLfMfuArRtr RaeArT E000MMUNCATIONS
SDNY_GM_00045881
CONFIDENTIAL — PURSUANT TO FED. R GRIM. P. 6: THERM OB-SDNY-0006705
EFTA_0015 6490
EFTA01288853

Deutsche Asset
& Wealth Management
Ovviv.c R•nt
M.nets te.tne •cc p
a.€,o Bar Sec," 4. M.
VI« brit Me
PO Bat 1778, Babimore, MO 21203 14,Pa nt Annw. 1011•31cce
F.1. nr 101:4
Statement Period: 08/01/2015 - 08131/2015
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Chiantity Unit Cost Cost Basis Market Price Market Value Gam/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
APOLLO GLOBAL M GM T LLC CL A SHS Security Identities: APO
Dividend Option. Cash CL SIP 037612306
03129111 '.13 263.157.000 19 0000 4.999.983 00 18.5800 4.889.457 06 •110.52594 615.787.38 12.59%
APPLE INC CON Security Identifier: AAPL
Dividend Option: Cash CUSP 037833100
09105114 110.180.000 98 9500 10.902.315.41 112 7600 12.423.896.80 1,521.581 39 229.174.40 1.84%
ARIAD PHARMACEUTICALS INC Staidly Identifier: ARIA
Dividend Option: Cash CUSP 04033A100
02114112 ',II 7,535.00D 15 2090 114,597.40 9.4400 71,130.40 -43,46700
01124113 '.13 9.000.000 19 6000 176.400.00 9.4400 84.960.00 .91,440.00
Total Noncovered 16,535.000 290,997.40 156,090.40 ,134,907.00
Total 16,535.000 3290,997.40 3156,090.40 -3134,907.00 30.00
ASCENA RETAIL GROUP INC COM Security Identifier: ASN A
Dividend Option: Cash CL.SIP 043516101
01116101 '.3 7C.500,000 21 2770 1.500.000 00 12.0700 850.935.00 -649,065 00
AVALANCHE BIOTECHNOLOGIES INC Security Identifier: AAVL
COM CbSIP: 053376107
Dividend Option: Cash
10.000 00 of these shales ate in your margin account
04120115 10.000.000 39 8610 398,606.00 10.4600 104.600.00 •294.00600
BASF SE SPONSADR Security Identifier: BASFY
IMO U 50552625057 CUSP 055262505
Dividend Option: Cash
04113115 5.000.000 101.6110 508,056.00 80.4740 402,370 00 -105.686.00 11,276.50 2.80%
BANK OF NEW YORK M ELLON CORP COM Security Identifier: OK
Dividend Option: Cash CUSP. 064058100
06125114 250.000.000 36.3060 9.076.406 00 39.8000 9.950.000 00 873.594.00 170.000.00 1.70%
BIOGEN IDEC INC COM Security Identifier: BIIB
Dividend Option: Cash CUSP: 09062X103
Page? of 18
Account Num ber. urismALt.. R tn ate . d . " e xcellent
Go paperless
SOL THERA CO.LI KCI Ktgag V.' c2o°mWp.,' ,Don
r SDNY_GM_00045882
IN
CONFIDENTIAL — PURSUANT TO FED. R GRIM. P. 6(e) OB-SDNY-0008706
EFIA_00 156491
EFTA01288854

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Dale '•aired Quantity Unit Cost Cod Basis Market Prke Markel Value Geld loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
BIOGEN ID EC INC CON (continued)
02114/12 2,095.000 119 5490 250,154.95 297.3000 622,813.50 372,388.55
DISH NETWORK CORP CL A Security Identifier: DISH
Dividend Option: Cash CUSP: 25470M 109
06110115 5.000.000 72 9960 384.978.00 59.2700 296,350.00 •68,628.00
FACEBOOK INC CL A Security Identifier: FB
Dividend Option: Cash CUSP: 30303M 102
05117112'.13 17.500.000 38 0000 665.000.00 89.4300 1,565,025.00 900.025 00
FOUNDATION MEDICINE INC COM Security Identifier: Fill
Dividend Option: Cash CUSP 350/65100
01113114 25,000.000 27 5070 687,663.50 23.5400 588,500.00 -99,163.50
08105/14 24.830.000 23 2530 577.373.02 23.5400 584,498.20 7.125.18
Total Covered 49,830.000 1,266,038.52 1,172,995.20 .92,038.32
Total 49,830.000 11,286,030.52 21,112,998.20 -$92,035.32 $0.00
GENERAL ELECTRIC CO CON Security Identifier: GE
Dividend Option: Cash CUSP: 369604103
04123113'.13 23,000.000 21.5700 496,109.08 24.8200 570,860.00 74,750.92 21,160.00 3.70%
GENERAL NTRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 37045V100
11118/10 ' 10,988.200 38.4010 399.978.16 29.4400 323.492.62 -76.485.54 15,823.01 4.89%
12109/10 88,536.800 36.8160 3,185,969.22 29.4400 2,547,643.38 -638,325.84 124,612.99 4.89%
Total Noncuvered 91,525.000 3,586,947.38 2,811,135.00 414,511.31 140,436.00
Total 91,525.000 23,556,917.35 22,871,138.00 -2714,511.35 $140,436.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP. 375558103
02105114 5,000.000 791810 396,107.00 105.0700 525,350.00 128,943.00 8,600.00 1.63%
03107114 3,100.000 79 6120 246.797.00 105.0700 325.717.00 78,920.00 5.332.00 1.63%
Total Covered 8,100.000 643,204.00 561,067.00 207,663.00 13,932.00
Total 8,100.000 $843,204.00 2551,087.00 $201,883.00 $13,932.00
GLAXOSM 'TULIN E PLC SPONS A DR Severity Identifier: GSK
Dividend Option: Cash CUSP 37733W105
06110115 5,000.000 13 0010 215,006.00 40.9300 204,650 00 -10 356 00 12,385.86 6.05%
GLOBAL PARTNER ACQUISITION CORP Severity Identifier: GPACU
UNIT I CON & IWT EXP CUSP. 37954X201
Dividend Option: Cash
01130/15 ' 1000.000 10.0000 20,000.00 10.0000 20,000.00 0.00
Page 8 of 18
0870 Well Account Num C be O r: HN F I D Go r p E ap r er r le i s A s e t ) R b Orx e a A e e t L e f s y B d t u V A ta rl e lr c e Ra e r Ae l L l rT e a E n c D i e C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00045883
CONFIDENTIAL - PURSUANT TO FED. R 6:J1:MEW' OB-SDNY-0008707
EFIA_00156492
EFTA01288855

Deutsche Asset
& Wealth Management
0eviv &int w.• Paamir-wren
Marto.,n. 6.0.P
0...tufa Ba M.
Yiv bete Mar
P.O. Boa 1778, &Almon", MO 21203 14,Pant Armco. noct
tine writ tied la VA
Statement Period: 08/01/2015 - 08/31/2015
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
GODADDY INC CL A Security Identifier: MY
Dividend Option: Cat CUSIP 380237107
04/01115 700.000 20 0000 14.000 00 25.0800 17.556.00 3.551.00
HEALTH NET INC COM Security Identifier: HNT
Dividend Option: Cash CUSP:422226108
09108/14 25.000.000 46 9800 1.174.506 09 64.0600 1.601.500.00 426.994.00
SANGAM 0 MOSCIENCES IN C COM Security Identifier: SGM 0
Dividend Option: Cash OAP 800677106
05/28113 ..13 50,000.000 8.4440 422,214.00 7.5600 378,000.00 .44,214 00
SANTANDER CONSUMER USA HLDGS INC CON Security identifier: SC
Dividend Option: Cash CUSIP. 8028311101
01123114 1.000.000 24.0000 24,000.00 22 4600 22.160.00 4510.00
TERRAFORM GLOBAL INC CI. A Security Identifier: GLBL
Dividend Option: Cash CUSP. 8810411101
01131115 400.000 15.0000 6.000.00 9.7400 3.896.00 4,104.00
TWITTER INC COM Security identifier: TW TR
Dividend Option. Cash CL SIP 901811.102
11/07/13 1,500.00 26 0000 39,000 00 27 7900 41185 00 2,685 00
VIACOM INC NEW CL 8 Security Identifier: WAS
Dividend Option: Cash COMP 92553P201
06110115 5,000.000 67 7490 338,745 00 40.7700 203,850 00 -134.89500 8,000.00 3.92%
VOLKSWAGEN A G ADR (SPONS) Security identifier: VLKAY
Dividend Option: Cash CUSP 928662303
01/13/15 5,000.000 50 8610 251.306.00 37.3570 186.785.00 •67.52100 4.004.38 2.14%
WISDOM TREE INVTS INC COM Security Identifier: WETF
Dividend Option: Cash GUMP 97717P104
03131115 15.000 000 21 6110 321.157 50 18.7500 281.250 00 -42.907 50 4.800.00 1.70%
Total Common Stocks $38,568,039.24 140,343,753.96 31,775,711.72 11,233,790.36
Purger 18
Account Number: Rated tscelbnil
Go paperless Unary 'Year Siva 2007
CON FI D r1SMAL D 7X A C L 0 IL 4 L 11 7 R N A e V t ED COMMUNICATIONS
SDN Y_GM_0004 5884
67e)UMI ERN
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. OB-SDNY-0008708
EFIA_00156493
EFTA01288856

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date "sired Quasi Uoit Cosl Cod Basis Market Price Markel Value Gala! Loss Annual Income Yield
Eq uities (continued)
Preferred Stocks (listed by expires'', date)
ALLY ANL INC FIX TO FLT Security Identifier: ALLY PRB
DIV43.50% FREO-OTRLY CALLABLE 0 2100 Eli SIP 02005A 308
ON A OTRLY BASIS AFTER 05/15/2016
Dividend Option: Cash
02103112 *J3 46,600.000 19.3820 903,217.51 26 0000 1,211,600.01 308,382.50 99,025.00 8.17%
02109112'.12 80,000.000 20,1250 1,610,000.00 26 0000 2.079.999.99 469.999 99 170,000.00 8.17%
Total Noncovered 126,600.000 2,513,217.51 3,291,600.00 778,382.49 269,025.00
Total 126,600.000 92,613,217.51 $3,291,600.00 $771,382.49 $269,025.00
GM AC CAP TR I GTD TR PFD SECS SER 2 CPN - Seterity Identifier: ALLY PRA
8.125% FRED DRILY MATT-0211512040 CALL CUSP 361860208
ANYTIME 0 25 W130 DAYS BEGINS 02/15116
Dividend Option: Cash
02122/12'.13 80,000.000 215350 1.882,77310 25.5300 2,042,400.00 159,026 40 162,500.00 7.95%
ROYAL BK SCOTLAND GP PLC WON ADR REPSTG Stonily Identifier. RBS PRT
SER T PFD CPN•7.25% FRED ORTLY F'ERP MTV CUSP. 780097713
CALLO 25 ANY W130 LI NOTICE AFTR 12/31112
Dividend Option: Cash
10/24/12 ',13 40,000.000 23.7900 951,600.00 25.5100 1,020,399.99 68,799 99 72,500.00 7.10%
01/07/13 40,000.000 24.4400 977,800.00 255100 1,020,399.99 42,799 99 72,500.00 7.10%
01114/13'.12 40,000.000 24.8800 995,200.00 25.5100 1,020,400.02 25,200 02 72,500.00 7.10%
Total Noncovered 120,000.000 2 921 400.00 3,081,200.00 138,800.00 217,600.00
Total 120,000.000 $2,924,400.00 63,081,200.00 2138,800.00 $217,500.00
Total Preferred Stocks $7,320,391.11 $8,395,200.00 $1,074,808.89 $649,025.00
Total Equities $45,888,430.35 848,738,953.96 $2,850,523.61 $1,812,815.36
Uarealized Estimated Estimated
Date Acquired Ouanmy Unit Cost Cod Basis Merkel Price Make Value Gain/ Loss Anal Income Yield
Exchange-Traded Products 3.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY FO Seamity Identifier: DU
Dividend Option: Cash; Capital Gains Option: Cash CUSP 97717W851
60.000.00 01 these shares are in your margin account
12/11/13 80.000.000 49.4350 2.966.098.50 52.2600 3.135.600.00 169.501 50 43.093.80 1.37%
Total Exchange-Traded Products $2,968,098.50 63,135,600.00 $169,501.50 $43,093.80
Umealized Awued Estimated
Cost Basis Markel Value Gain! Loss lateral Mosel Income
Total Portfolio Holdings 5111,665,023.89 $117,206,307.04 $3,646,027.10 $550,215.44 $3,858,768.25
Page 10 of 18
Account Number: Rasa
Go paperless Every Ye Sane. 2007
nu - F I DrErriA rOxAeLlBcAulrl RmeAr7 (O COMMUNKATIONS /awe UM minima 011•.. Meet MC
SDNY_GM_00045885
CONFIDENTIAL - PURSUANT TO FED. R CRINI, 67(e3)LTHERN OB-SDNY-0008709
EFTA_00 156494
EFTA01288857

Deutsche Asset
& Wealth Management
Deasnellant Vnwm vitaknim.genan
mints COMM* 4.0.4P
OtetION SSA SetiO0e. W.
Mow let OlIce
PO 80.• 1778. Beware. MO21203 30 Pal Asa. loth HON
•A rm let NY 101M
Statement Period: 0 8101/2115 • 0 8/3112015
Portfolio Holdings
(continued)
Footnotes
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1988, as amended (IRC') (incorporating
amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ft:covered,' 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 non-retirement.
US taxpayers securities which have been acquired on or after their 'applicable date(sr at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099E
for the apphcable tax year in which the security is disposed.
Reporting requirements generally MO 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 Oen (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014.
Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, 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 cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less
than one year to maturity. 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 frm 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.
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 tine 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.
11 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.
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gall/ Loss/
Date Date Transaction Description Quality Cast Basis Proceeds Disallows's*
Long Term
08/21115 12113113' RPP WASHINGTON MUT MTG S001•RA2 IITG PASSTHRU CTFCL 1.290.000 000 1,457.55 1.901.83 44728
C- 8-1 VAR RATE 6.181% 01125/33
Security Identifier. 939336520
Original Cost Basis: 1.451.55
Total Long Term 81,157.55 81,901.83 844728
Page II of 18
B0096 09ICSF 30 ?I V8 tl 4CYll I A 90 c 1 c • o T u H n E t R N A u m C b O e L rm s Ni L c F I D G A o E p N al T e I rless A L_ R D ( r v x a A e e t L e n f B d f t uA ' V E rRn x . . e c Ra e eA l s l rT e i n E n c D t e C 2 O 0 M 07 M UNICATIONS asttrronT."h"31Tetcrt.
SDNY_GM_00045886
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008710
EFTA_00156495
EFTA01288858

Schedule of Realized Gains and Losses Current Period (continued)
Disposition Acquisition OlsposMon Realized Gain/ Loss(
Date Date Transadion Description Duality Onl Basis Proceeds Disallowance
Total Short Term and Long Term $1,457.55 $1,904.83 1447.28
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (9RC") (incorporating
or
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
non-retirement, US taxpayers securities which have been acquired on or after their "applicable dare(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 hinds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide a simple fired payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014.
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.
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 shag 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 may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, 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
and the cost basis system is amended to reflect this change. These calculations wit not be performed under certain circumstances, including those involving foreign bonds, bonds sold shod or bonds issued with
less than one year to maturity. This information is meant as a general guide and you should consuk 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 Fist In, Fist Out (FIFO). Your accounts selected tax fit 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 Fonn 1099-8.
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.
Page 12 of 18
Account Number Rated tscollenti
MiA11 ROI SOL THERA L LLC. paperless D ( r v xA e aU r c y tMu V r'n . , A Ra . Ae L rT a E c D e C 2 O '0 M 07 M UNCATIONS
N F I DAENTIAL
SDNY_GM_00045887
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0008711
EFIA_00156496
EFTA01288859

Deutsche Asset
& Wealth Management
Draft,' Sim Ponle W.41,1P A.Ille,nd
"lamb teeny Gopt,p
oeaum 84,* sewn 4%.
Now *4 Cato
P.O. Om 1778, Balamore, MD 21203 SO Pant Noma loth HON
Nos*.( NY 10154
Statement Period: 0810112115 -11!3112110
Activity Sum m ary (Ail amounts shown are in base currency)
Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date
Securities
Securities Bop: 0 00 -3.026,006.00 -3.026.006.00 0.00 -9.514.027 50 -9.514.027.50
Securities Sold 5 359 90 000 5,359.90 170,757.03 0.00 170,757.03
Securities Withdrawn 000 -3.383.998.80 -3,383,998.60 0.00 -3.383.99880 .3,383,998.80
Total Securities $5,359.90 -$6,410,001.80 -10,404,644.90 5170.757.03 -612,898,026.30 -512,727,219.27
Dividends and Interest 8324,694.98 10.00 5324,694.98 $1,862,151.96 $0.00 $1,862,161.98
Distributions $110,525.94 $0.00 $110,525.94 $4,240,875.60 $0.00 $4,240,875.60
Fees $0.00 10.00 $0.00 10.00 -$254.00 -$254.00
TaxesWithheld $0.00 10.00 $0.00 10.00 -$6,561.18 -$6,511.11
Other $0.00 $0.00 $0.00 $68,692.73 -568,692.73 $0.00
Cash
Withdrawals 000 -826,99253 -826,99253 000 -5.970.169.96 -5.970.16196
Oeporits 0-00 000 000 2 0.93 er 43 0.00 2.093.627.43
Total Cash 30.00 -$826,992.53 -$826,992.53 12,093,627.43 -15,970,169.96 -$3,176,542.53
Money Market Funds $0.00 10.00 $0.00 $2,448,952.63 -$4,780,931.93 -$2,331,979.30
Totals $440,580.82 -$7,236,997.33 .$6,796,416.51 II0,885,057.40 -123,724.636.10 -$12,839,578.70
Transactions by Type of Activity
Process' Trader
Settlement Transaction
Date Date Activity Type Dewtptla Quantity Prig Accrued Intend MGM Owe'
Securities Bought and Sold
0810//15 07130/15 SOLD BLUE BUFFALO PET PRODS INC COM UNSOLICITED ORDER -200.000 27 0800 5.359.90 USO
BUFF
08104715 07/30115 PURCHASED GLOBAL PARTNER ACQUISITION CORP UNIT 1 COM 81 WT 2.000 000 10.0000 -20.00000 USO
GPACU EXP 00112020 PROSPECTUS UNDER SEPARATE COVER
Page 13 of 18
LI,P0 9ICSF!.. : ORAN A SO cc L o T u H n t E N RN u mber: NL LC. F ID Go r p I a S pe I r T les I s A L R L rDx y A a a o t L e r n Bt d , u A V e rNt x n r c aR i e , eA ll rT e M E n D t C 2 O 0 M 07 M UNICATIONS —.•••••• = A " m 0 v . s . o = n = "4=
SDNY_GM_00045888
CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) OB-SDNY-0008712
EFIA_00 156497
EFTA01288860

Transactions by Type of Activity (continued)
Process/ Trade/
Settlement Transaction
Date Oate Activity Type Desaiption Quantity Price Awned littered Moult Currency
Securities Bought and Sold (continued)
08105115 07131(15 PURCHASED TERRAFORM GLOBAL INC CI. A FROMM UN OER 400000 15.0000 400000 LSO
GLBL SEPARATE COVER
08112/15 08106115 PURCHASED CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 3,000,000.000 100.0000 -3.000.006.00 LSD
C4276150 0811548 REG DTD 08/12/15 CLB HORAN PAYING SC YLD
5950 TO PAR
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 -3,020,646.10
Securities Withdrawals and Deposits
08125115 CL STOM ER AL TH DRIED APPLE INC COM TRANS TO MG-026161 .32,620.000 .3,383,998.80 LSD
TRANSFER
AAFL
Total Securities Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 .3,363,696.60
Dividends and Interest
08104115 BOND INTEREST RECEIVED 3000000 SOL TF ERN CALIF EDISON CO PREF SERE 6.250% 93,750.00 LSD
842400FU2 01117/62 BIE DM 01/17112 CLB RD 07131 PD 08101/15
08/13/15 CASH DIVIDEND RECEIVED APPLE INC COM RD 08/10 PD 08/13/15 DIV (6 52 142800 74,256.00 LSO
WI. SHARES
08113115 CASF, DIVIDEND RECEIVED 250000 SF RS BANK OF NEW YORK MELLON COPP COM RD 42,500.00 LSD
8K 08103 PD 08/13/15
08/17/15 CAM- DIVIDEND RECEIVED 126600 SF FtS ALLY FM INC FIX TO RI DIV.8.50% 67,256.25 LSO
ALLY PRB FREO.OTRLY CALLABLE e 25.00 ON A QTRLY BASIS AFTER
05/15/2016 RD 08/01 PO 08/17/15
08117115 80N D INTEREST RECEIVED 80000 SF RS GM AC CAP TR I GTD TR FfD SECS SER 2 CPN- 40,625.04 LSD
ALLY PRA 8.125% FRED DRILY IA ATV-02/15/2040 CALL ANYTIME e 25
W/30 DAYS BEGIN502115/16 RD 08/14 PO 08/15/15
08/25/15 BOND INTEREST RECEIVED 1290000 WASHINGTON MLTMTG SECS CORP 2004-1142 3,789.92 LSD
939336520 MTG PASSTHRU CTF CL C.8.1 VAR RATE 6.481% 07125/33
B(E DTD 06101/04 RD 08121 PD 08125115
08/26115 CAS, DIVIDEND RECEIVED 15000 SF RS WISDOM TREE 'AVIS INC COM RD 08/12 FO 1.200.00 LSD
WETF 08126115
08/31115 MONEY MARKET FUND DELTSCFE GOVT CAST 1,317.77 LSO
INCOME RECEIVED
233993682
Total Dividends and Interest- UNITED STATES DOLLAR 0.00 324,694.96
Distributions
08/31115 PARTNERSHIP DISTRIBUTION 263157 SF RS APOLLO GLOBAL MGM T lit Cl. A SHS RD 110.525 94 USD
APO 08/18 PD 08/31/15
Total Distributions • UNITED STATES DOLLAR 0.00 110,525.04
Page 14 or 18
Account Number Go paperless Rsd tace0onfi
URA!, 4()i t SOUTHERN CAO NLLC. L D y A n L B ,. A Y R e R ar A L T a E c D e C 2 O 0 M 07 M UNICATIONS
FlD r1SMAL rxciurnaer
SDNY_GM_00045889
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008713
EFTA_00 156498
EFTA01288861

Deutsche Asset
& Wealth Management
Dralsre Rant Pn.air Wean Paptagenan
Weals COMM, Gnat)
Des-bag la* %WM.' a.
lire *A Olk•
P.O. Boa 1778, BaMimore, M021203 Na Part Anne*. tauMe,
War we\ liY 101A4
Statement Period: 0810112015 • 08/31/2015
Transactions by Type of Activity (continued)
Process/ Trader
Settlement Transaction
Date Date Activity Type Description Quantity Price Accrued Interest Amount Currency
Cash Withdrawals and Deposits
08/31115 FEDERAL FLNDS SENT TI-E BANK OF KEW YORK -826.992.53 LSO
L SD999997
Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 -826,992.53
Total Value of Transactions 0.00 .6,796,416.51 USD
The price and quantity displayed may have been rounded.
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
CI
1 to 6 months 2.460.000 00 9% Percentages of bond market values are
I
to 5 years 3,850,880.00 14% IMI rounded to the nearest whole percentage.
6 to 10 years 1,966,965 00 7% Ell
Over 10 years 19 903 524 35 70% -
Total 28,181,369.35 100%
Bond Quality
Bond Quality Market Value % of Bond Markel Value
BAA 10,870,900.00 39% Percentages of bond market values are
a
BA/Lower 17 310,469.35 61% rounded to the nearest whole percentage.
Total 28,181,369.36 100%
Page15018
Account Number. Rated excelbni
ORAN R.,,, SOL THETAO NLIC. FID G E o p S ap I e T rles I s A L D Lv A e L n O t. A Y R e R a. A S T l E a D te C 2 O 0 M 07 M UNCATIONS
exciarmer
SDNICGM_00045890
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008714
EFTA_OO 156499
EFTA01288862

Client Service Information
Your Client Advisor: DAN
DANIEL SABBA
345 PARK AVENUE 213Th FLOOR
ARV YORK NY 10154.0003
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds. FIRST IN FIRST OUT
Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Bond Amortization Elections:
Treat al interest as anginal issue discount (01D): No
Amortize premium on taxable bonds based on Constant Yield Method: Yes
Muni 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 corn m unications for electronic delivery. To register and turn off paper coin m unications, log in to your account or contact your Client Advisor for pore inform akin.
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, 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
wwenpershing.comibusiness_continuity.hb-ri 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 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 now.
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 km. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in smiting 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 Cleating Connotation. 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.
n ac. Faye 16 of 18
Account Num ber !laud excel...Si
ORAN g011 St3 L THERA D G A o E pap N er T les I s A Dr (v xA e eL r mB y A V rRt a r aR st eA S rT i E nc D e C 2 O 0 M 07 M UNCATIONS •••••rin —4.••••••••.rinnn
N F I L
SDNY_GM_000458.91
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008715
EFIA_00156500
EFTA01288863

Deutsche Asset
& Wealth Management
Destine Sim ..,.n. Wolin Manaluntat
Mwerb teeny Comp
otautit um smote 4%.
Now *4 Cato
P.O. Boa 1778. Babimore. MO 2t203 30 Pant Asa. lothlbw
Now** NY 10154
Statement Period:0110112115 • 01/3112115
Important Inform ation and Disclosures (continued)
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 & Pools. 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 & Pools makes no express implied warranties including warranties of merchantability or fitness for a particular purpose.
or
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 set securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Bond Maturity Schedule
Beads that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (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 appicable; the rendering of investment advice, if any, to you and in eneral for the ongoing relationship that it has with you.
• Inquiries concerning the postern and balances in your account may be directed to the Pershing Customer Service Department at . Al other ingiries 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 hke additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPCO). 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 wivezpershing.comiaboutistrength-and-stability.
• 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-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.
Page IT of 18
cri
Account Number: tacelloni
DOAN RCM L THERA FI D G E o p N ape T rle I ss A r ( w v x1 e e r 8s y .u 8 V rR o m w Ae ' T S rE iv D a C 2 O 0 M 07 M UNICATIONS eatr'N•Laa..rNatraaliNswiNmeeseenONYNSO
SDNY_GM_000458.92
CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) OB-SDNY-00O8716
EFTA_00156501
EFTA01288864

Important Information and Disclosures (continued)
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other ri 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 parry's abilky 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 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 forums 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 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;
Pap IS 018
r
Account Num berms Itstall [mallard,
1111004 .011 SOL THERA F I D G A o p E ap N erl T es I s A L r E Dx v Ae e L n Bm , A V mk a R . e S ArT i v E a D C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045893
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008717
EFTA_00156502
EFTA01288865

Deutsche Asset
& Wealth Management
Oeuiwv gam P,,.,I Wean Manarrat
Mvern COterarG.p.p
De.n04 Bat stwrt
Mee bet CON*
PO Boa 1778, 8•8imore. MO2t203 Ha Pan Anenwv. n,mthom M cr
tave wet
Account Number:
Statement Period: 07/01/2015 - 17/3112015
Valuation at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value $129,227,491.74 1126,714,293.02
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 4,950,781.31 -3.049,550.00
Net Securities InfOut of Account 0.00 -2,483,792.00
ST THOMAS VI 00802
Adjusted Previous Account Value 121,276,710.43 121,180,961.02
Dividends, Interest and Other Income 12458 79 1.850,813 83
Total Taxes Withheld 0 00 -6,561.18
Net Other Activity -18.00 -254.00
Your Client Advisor Net Chan ,e in Portfolio 4.954.855 28 2,309,544.27
DANIEL SABBA ncling Account Value 3125 134 293 94 5125.334 2 3.94
Accrued Interest $495.215.75
Estim ated Annual Income 33.74800 08
Asset Allocation
Prior Year-tad WI Period This Period % Allocation
LSD Cash. Money Funds. and Bank Deposits 14,273,984.33 45,718,843.35 40,562,801.11 32.36% P your allocation
ease review
LSD Fixed Income 18,177,455.58 14,401,824.61 17,508,603.21 13.97% cer coca y wth yov Cleft Adyscr.
Non-LSD Axed Income 7,150,052 50 7,770,340.00 7,816,312 50 6.26%
LSD Equities 5026,511 61 57,862,147.75 55,921,496.79 44.62%
Kon-LISO Equities 2.986.258 00 3.471.538.00 3.495.080.00 2.79%
Account Total (Pie Chart) $126,714,293.02 9129,227,491.74 $125,334,293.94 109.00%
See the Asset Aincatron Disclosure and Footnotes secton for important information reganfirc your Meet Alocaton.
Page forte
Go paperless Rated facelleni e-'vt
t)(t&t, ROIL B0123688CSF30018 E 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 UNICATIONS —•••••••Awaswww
CONF I DAMSITiA IXCILLINCt
SDNY_GM_00045894
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0006718
EFTA_00156503
EFTA01288866

Asset Allocation Disclosure and Footnotes
Al values are displayed in V.S. dollars based on interbank exchange rates as of 07/31/2015. Exchange rates can vary.
Equities contains Equity Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date Ululated
Short-Term Gan/Loss 1034745 100,107.03 3,101,434.73
Long-Term Gain/Loss 444.07 111,020.37 4.981.541.77
Net GalnlLoss 11,791.82 211,127.40 8,082,97610
This summary excludes transactions where cost basis information is not available.
Money Market Fund Detail
Date Activity Type Descriptioe knout Bahia
Sweep Money Market Fund
DEUTSCHE GOVT CASH INSTL
Account Num ber 0000001490 Current Yield 0.04% Activity Ending: 07131(15
07101(15 Opening Balance 45,671,218.35 45,671,218.35
07101115 Deposit MONEY FUND PURCHASE 44,825.00 45,718,043.35
07/02115 Withdrawal MONEY FUND REDEMPTION 4.076.557.49 39.639,485.86
07/06115 Depout MONEY FUND PURCHASE 409148916 43.731.354.92
07107115 Withdrawal MONEY FUND REDEMPTION -15,100.00 43,718,254.92
01109115 Withdrawal MONEY FIJN0 REDBAPTION -3,230,506.00 40,485,748.92
07120(15 Dapped MONEY FUND PURCHASE 24,087.55 40,509,838.47
07126115 Depoit MONEY FUND PURCHASE 5.068.20 40,514,904.67
07131(15 Deposit MONEY FUND FURCHASE 46,508.16 40,561,412.85
07131(15 Deposit INCOME REINVEST 1.38839 40.562.801.44
07131115 Closing Balance 040,662,801.44
Total All Money Market Funds 140,662,801.44
income and Expense Summary
Omen Period Year-to-Date
Taxable Noe Taxable Taxable NO. Taxable
Dividend Income
Equities 7,290.00 0.00 581,429.90 0.00
Money Market 1.388.59 0.00 9.233.82 000
Other Dividends 0.00 0.00 463.164.80 000
Interest Income
Bond Interest 3,778 20 0.00 402,378.40 004
Other Interest 0.00 0.00 81,250.08 000
Page 2 of 18
Account Number: tt . Rated twolle0ol0l .
f> PAN 201 SOUTH ET N- F I D G A O r E pap r e r rle i s A s L I r 0 n x A n e L , n O t V m R .. R . e 0 A r T ED C 2 O 0 M 07 M UNICATIONS orrlan=otrontiaterelia.400*0040
SDNY_GM_00045895
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008719
EFTA_00156504
EFTA01288867

Deutsche Asset
& Wealth Management
()PASO( Bana .0•11. roan Ma nip-neat
Marais teem. 6,0“)
ontsciv ML smote' ft.
Now *4 Mk*
PO Lica 1778, Balmy*. MD 21203 HS Pin AS!" loth lbw
Wow** NY 101W
Statement Period: 07/0112115 -0713112110
Income and Expense Summary (continued) Cement Period Yearao-Date
Taxable Noe Taxable Taxable Non Taxable
Expenses
Withholding Taxes 0.00 0.00 4,561.18 0.00
Fees(Foreign Securities) 0.00 0.00 •200.00 0.00
Total Dividends, interest, income and Expenses 312,458.79 30.00 31,530,105.82 30.00
Distributions
Alternative Investments 0.00 0.00 0.00 313,156.83
Other Distributions 0.00 0.00 0.00 89.618.40
Total Distributions 10.00 30.00 10.00 1402,773.23
Portfolio Holdings
Account Activity Opening Closiog Amsted loom 30.Day Carrot
Opening Date Quantity Number Ending Balance Balance Income Ibis Year Yield Yield
Cash, Money Funds, and Bank Deposits 32.00% of Portfolio
Cash Balance 28,21020 0.00
Margin Balance 19,414.80 0.00
Money Market
DEUTSCHE GOVT CASH INSTL
07101115 40.562.801.440 0000001490 07131115 45,671,218.35 40.562.801.44 88.91 9.233.82 0.04% 0.04%
Total Money Market 345,671,218.36 $40,582,801.44 3115.01 39,233.52
Total Cash, Money Funds, and Bank Deposits 145,711,143.35 $40,512,eat.44 SUM $1,233.82
Page 3 of 18
Account Number Radii tacellenti
GO paperless Every Year 5ante 2007
SC TM ERN CSNO LLC. DrxAeLs BtAuRrw ReArT ED COMMUMCATIONS grew. (La ••••••• went. MC
N F ID ranAL
SDNY_GM_00045896
CONFIDENTIAL — PURSUANT TO FED. R CRIM, P. 6(e) OB-SDNY-0008720
EFTA_00 156505
EFTA01288868

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date no:pined Quantity Unit Coll Cost Basis Market Price Markel Value Gain/ loa Interest Annual Income Yield
Fixed Income 20.00% of Portfolio (In Maiunry On Sequence)
'Asset Backed Securities
WASHINGTON NUT M TO SECS CORP 200411A2 Security Identifier: 939336520
N TG PASSTHRU CTF CL C-11.1 VAR RATE
6.444% 07125133 WE DTO 06/01/04 S d P Rating 0
Fador. 0.54391063 Effective Date:07101115
Current Face Value: 701.683 413
12113113 '.3.I2 1,290,000.000 76 5190 536,918.38 84.3470 591,848 91 54,930.53 3,768.05
Original Coal Bass $638.906.71
Total Asset Backed Securities 5536,918.38 $591,813.91 $54,930.53 53,766.95 $0.00
1,290,000.000
Total Current Face Value : 701,683.413
Corporate Bonds
PETROLED S DE VENEZUELA Security Identifier: P7807HAF2
NOTES SEA '0 R ISIN0XS0460546525
5.000% 10/28/15 REG DTD 10/28109 S8 P Rating Etz
12/04113 '.344 2.500.000.000 98 5870 2.464.665.53 100.3500 2,508.750 00 44,084.47 32,291.67 125,000.00 4.98%
Original Coal Basis: 52.250.000.00
EARTHUNK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC8
CUSP FROM 210321AM 8.875% 0915/19 WE
DTD 05117/11 CALLABLE 07/31115 58 P Rating CCC,
10122112 '.3.12 146.000 000 1022410 149,272.30 103.9550 151,774.30 2.502.00 2,735 47 12,957.50 8.53%
Original Coal Basis: 5151,110.00
10/23112 600.000 000 102.0830 612,498.28 103.9550 623.730.00 11.231 72 11241 67 53.250.00 8.53%
Original Cod Basis: $619,500.00
Total Noncovered 746,000.000 781 770.68 775,504.39 13,733.72 13,977.14 66,207.50
Total 748,000.000 $761,770.56 $775,504.30 $13,733.72 $13,977.14 566,207.50
FRONTIER CON M UNICATIONS CORP Security Identifier: 3S906AAHI
SR AT 6.500% 04/15/20 WE
DTD 041121101ST CPN DTE 10/15/10 Moody Rating 8A3 S
P Rating B8•
07106115 3,000,000.000 105.8110 3,169,240.89 103.5000 3,105,000.00 .64 240 89 75.083 33 255,000.00 8.21%
Original COI Basis: $3,171,006.00
LLOYDS TSB BK PLC EURO ISSUE M ED» Security Identifier: G4S1SPP16
TERM AO TESI914 XSO7l7735822
9.875% 12116/21 REG DTD 12/16/11 Moody Rating Bel 584
P Rating BBB
12/04/13 '•3.12 1,500,000.000 107.1920 1.807.879.37 110.0890 1,651,335 00 43.455 53 92.166 67 148,125.00 8.97%
Original Cost Bain: $1,627,500.00
Page 4 of 18
Account Number: LCF Rimed tarellordi
r",:12.369BCSF USALI ROLL SOL TH ERIN CIO
I DAE
p ape
T
rle
I
s
A
s
L
rD (m xAe a L sD y Au V Rr a
N
R s.
C
A W T
I
E . D » C ? O O M a? M UNCATIONS
SDNY GM 00045897
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY:0008721
EFTA_00 156506
EFTA01288869

Deutsche Asset
& Wealth Management
Destine Sim PO, Vosiin PAanaluntat
Mwert5 I wear Gtpt,p
°taunt sat seueiun
New *4 Ma.
P.O. Box 1778, Bahimore, MD 21203 HS Pia AM*. loth I leer
New Vett NY 10114
Statement Period: 0110112115 - 07/3112115
Portfolio Holdings (continued)
Adjusted Unrealized kaued Estimated Estimated
DateAcquired Guiltily Writ Cost Cod Basis Market Price Market Value Gain! Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
BARCLAYS BK PLC CONTINGENT CAP NT Security identifier: 06739FHK0
INAS 606739FHK03 7.750% 04110123 WE
DTD 0/110/13 CALLABLE 04/10/18 S8 P Rating BB*
04/03113 '.11.13 300,000.000 100.0000 300,000.00 109.6500 328.950.00 28,950 00 7.16875 23,250.00 7.06%
Original Cost Batts: 5300,000.00
FM ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 48825HHAI
1110TH FED %RIMED TO FLTG RT BO
7.900% 04129/49 WE DTD 0/123/08 Moody Rating BM3 S
P Rating 888-
06115111 t3.12 2,500,000.000 107.5000 2,687,500.00 105.5000 2,637,500.00 -50 000 00 49.375 00 197,500.00 7.48%
Original Cost Bass: 52,687,500.00
06/15/11 'Au 2,500,000.000 107.0000 2,675,000 00 105.5000 2,637,500.00 -37,50000 49,375 00 197.500.00 7.48%
Original Cost Basis: 52,675,000.00
Total Noncovered 6,000,000.000 6,382000.00 6,276,000.00 -17,500.00 95,760.00 396,000.00
Total 5,000,000.000 $5,302,500.00 $5,275,000.00 -07,500.00 $95,750.00 095,000.00
BANK AN ER CORP PERP NON CON ULATIVE DEP Security Windier: 0505050T$
SHS FIXED TO FLOAT 8.125% 04130158 8/E
DTD 01/30108 CALLABLE 05/15/18 Moody Rating 8A2 St P
Rating BB.
01110111 '.3,13 2.000.000.000 102.7500 1.055.000 00 106.8750 2,137,500.00 82.500 00 34.305 56 162.500.00 7.60%
Original Cost Basis: 52,055,000.00
SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: 842400FU2
6.250% 01117/62 B/E DTD 01/17112
CALLABLE02/01122 Q 100.000 Moody Rating BM1 S d P
Rating BBB-
01/30/12 '.3,12 3,000,000.000 99.8220 2,990,855.00 110.3750 3.311,250.00 316.595.00 93.750.00 187.500.00 5.66%
Original Cost Bares: 52,992,584.97
Page 5 of 18
co
Account Number Rabid t malisria
Ofent, 4(>1. SC L THERA FID Go r p a ape r rle i s A s L rD b x e Ae e L f sB y Au V Rr iw N R C A S T I O E S D O , C 2 O 0 M 07 M UNICATIONS Pater=
SDNY_GM_00045898
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008722
EFTA_00 156507
EFTA01288870

Portfolio Holdings (continued)
Adruded Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cod Cod Basis Market Price Market Value Gain/ Loss Interest Mnual Income Yield
Fixed Interne (continued)
Corporate Bonds (continued)
GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 389822948
A 7125% 06/12/62 BIE
DTD 06112112 CALLABLE 06115122 Moody Rating BAA1 Sd
P Rating As
06/27/12'.11,13 2.000.000.000 104 6360 2.092.729.60 115.6250 2.312.500 00 219,770.10 18,208.33 112.500.00 6.16%
Original Cod Basia $2.122.916.67
LBG CAPITAL NO 1 PLC 144A Security Identifier: 05433EIBG8
ISA $ XS0173106283 8.000% 09/15/88 REG
DTD 12115/09 CALLABLE 06/15/20 SB P Rating BB'
12104/13 '.3.11 1.200.000.000 108 2500 1,299,000.00 114.4500 1,373,400.00 74.400 00 12.266 67 96,000.00 6.98%
Original Cost Basis: 51,299,000.00
4LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4
ADDL TIER 1 SECS 1%0 US539439AG42
7.500% 09127/88 BJE 010 04/07/11 Sd P Rating BB.
Please Provide' 1.903.000.000 N/A Please Provide 104.2500 1.983.877 50 N/A 13.479 58 142.725.00 7.19%
Original Cod Basis, Please Provide
Total Corporate Bonds 822,107,410.97 824,763,086.80 9671,748.33 8491,07.70 $1,713,807.50
23,119,000.000
Total Fixed Income 822,614,359.35 825,354,915.71 8726,878.86 8495,215.75 $1,713,807.50
24,439,000.000
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cod Cod Basis Market Price Market Value Gain( Loss Mnual Income Yield
Equities 45.00% of Portfolio
Common Stocks
M OBILEYE NV AM STELVEEN ORD SHS Security Identifier: M SLY
L0010831051 CUSP. N 51488117
Dividend Option: Cash
08101114 800.000 25 0000 20.000.00 60.1000 48,080.00 28,080 00
AKORN INC COM Security Identifier: AKRX
Dividend Option. Cash CUSP. 009728106
06110115 5.000 000 46 8410 234.206.00 16.1100 230.550.00 3.656 00
AUBABA GROUP HLDG LTD SPONSORED ADS Security Identifier: BABA
ISIN81.931609W1027 CUSP 01609W102
Dividend Option. Cash
06110/15 5.000.000 88.9500 444.749.00 78.3400 391,700.00 -53,049.00
ALUANZ SE SPONSADR REPSTG 1/10 SHS Security Identifier: AZSEY
Dividend Option: Cash CUSP: 018805101
Page 6018
MIA11 VL A SO cc L o T un H t N E um R be I r t . Oi NLLC. FID G E o p N ape T rle I ss A L L R D f % A y at L C n e B I ' d , L A Y E L R I e x N c R a e C r A l L l T I e a F n c O t e C 2 O '0 M 07 M UNCATIONS aor. t.."—X ••• s •• Z ••" t 0 r ". e re • . O . e r .r=
SDNY_GM_00045899
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008723
EFTA_0015 6508
EFTA01288871

Deutsche Asset
& Wealth Management
'Noll Pi Unary.
Vinets (Pt,/(. G.0.9
De-,u W. Stcn, m.
Vitae. Office
P.O. Box 1778, Ba'lima., MD21203 11)Park Annw.101.01cce
R.., SA Pet I0VA
Statement Period: 07/01/2015 - 07/31/2015
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Cantlly UM Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
ALLIANZ SE SPONS AOR REPSTG 1110 MS (continued)
04/13115 5,000.000 18.0110 90.056 00 16.4730 82.365.00 •7,691.00 2,833.84 3.44%
APOLLO GLOBAL MGM T LLCCL A SHS Security Identifier: APO
Dividend Oplion: Cash CUSIP. 037612306
03129111 '.13 263.157.000 19 0000 4.999.983 00 20.5700 5.413.139.49 413.158.49 815.787.38 11.37%
APPLE INC COM Security Identifier: AAPL
Dividend Option: Cash CUSIP 037833100
09105114 142.800.000 98 9500 14,130.065 71 121 3000 17,321,640 00 3,191.574 29 297.024.00 1.71%
ARIAD PHARMACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash MP: 04033A100
02114112'.13 7,535 000 15 2090 114,597.40 8.1600 61.485.60 -53.111 80
01124113 '.13 9.000 000 19 6000 176,400.00 8.1600 73.440,00 •102.98000
Total Nononered 16,535.000 290,997.40 134,925.80 -156,071.60
Total 16,535.000 090,997.40 $134,925.60 4151,071.50 $0.00
ASCENA RETAIL GROUP INC CON Security Identities: ASNA
Dividend Option: Cash CLSIP 043510101
01116/01 70.500.000 21 2770 1.500.000 00 12 5200 882.660 00 417.340.00
AVALANCHE BM TECHNOLOGIES INC Security Identifier: AAVL
COM CUSIP:053376107
Dividend Option: Cash
10.000 00 of these shares ate in your margin account
04120115 10.000 000 39.8610 398.606.00 14.7200 147,200 00 -251.406.00
BASE SE SPONSAOR Security Identifier: BASEY
M94650552625057 CUSP 055262505
Dividend Option: Cash
04/13115 5,000.000 101.6110 508,056.00 86.7860 433,930.00 -74.126 00 11,276.50 2.59%
BANK OF NEW YORK M ELLON CORP CON Security Identifier: BK
Dividend Option: Cash CUSIP. 064058100
06125114 250,000.000 36.3060 9,076,406.00 43.4000 10,850,000 00 1,773,594 00 170.000.00 1.56%
Page 7 0118
Account Num ber (.40 paperless Rasa tacellIonil
08..I1 P,,, SOL7MERNFJMNt3 N IW. F I DESMAL n E D v Ao e L: r nB y Aa Y Rm e R a e r A S sT i E va D C 2 O '0 M 07 M UN' CATIONS ---
SDNCGM_000454000
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008724
EFIA_00156509
EFTA01288872

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date ired Quiet Usk Cost Cost Basis Market Price Market Value Gale/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
BIOGEN IDEC INC COM Security Identifier: 8116
Dividend Option: Cash CUSP. 09062X103
02114/12 '.I3 2.095.000 119.5490 250.454.95 318.7800 667.844.10 417.389.15
BLUE BUFFALO PET PRODS INC CON Security Identifier: BUFF
Dividend Option: Cash CUSP. 09531U102
$Secwity Disposition Method: Versus Purchase
07122115 200.000 20.0000 4,000.00 27.9100 5,588 00 1.588.00
DISH NETWORK CORP CL A Security Identifier: DISH
Dividend Option: Cash CUSP. 2547011109
06110115 5,000.000 729980 364,978.00 64.6100 323.050 00 -41,928 00
FACEBOOK INC CL A Security Identifier: FB
Dividend Option: Cash CUSP: 3030311102
05117/12 ..13 17100.000 38.0000 865.000.00 94.0100 1,645,175.00 980.175 00
FOUNDATION MEDICINE INC COM Security Identifier: FM I
Dividend Option: Cash CUSP: 350465100
01113114 25,000.000 27.5010 687,663.50 20.2950 507,375.00 -180.288 50
0810511/ 21.830100 232530 577,373.02 202950 503,924 85 -73,448.17
Total Covered 49,830.000 1,286,038.62 1,011,299.65 ,213,736.57
Total 49,830.000 $1,286,03812 $1,011,299.86 -9253,136.67 $0.00
GENERAL ELECTRIC CO CON Security Identifier: GE
Dividend Option: Cash CUSP: 369604103
04123113 '.13 23 000 000 21 5700 196,109.08 26.1000 600,300 00 104190 92 21,160.00 3.52%
GENERAL MIMS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 37045V100
11118/10 ' 10.988.200 36 4010 399,978.16 31.5100 346,238 19 .53,739.97 15,823.01 4.56%
12109110 ' 86,536.800 36 8160 3.185.969.22 31.5100 2.726.774.56 -459.194 66 121,612.99 4.56%
Total Noncovered 97,525.000 3,581947.38 3,073,012.75 ,512,834.43 140,436.00
Total 97,525.000 63,685,917.38 33,073,012.75 -$612,934.83 6140,438.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02105114 5.000.000 79 2810 396.407.00 117.6600 589,300.00 192.893 00 8.600 00 1.45%
03107114 3,100.000 79 6120 216,797.00 117.8600 365,366.00 118,569.00 5,332.00 1.45%
Total Covered 8,100.000 643,204.00 961,685.00 311,162.00 13,932.00
Total 8,100.000 $843,204.00 $954,866.00 6311,462.00 $13,932.00
GLAXOSM WHIM E PLC SPONS A DR Security Identifier: GU
Dividend Option: Cash CUSP: 37733W105
06110115 5,000.000 43.0010 215.006.00 43.4400 217.200.00 2,194.00 12,385.86 5.70%
Pape 8 of 18
Sin236SeCSF!' {JOAN MOIL Acc L o T u H n E t N RA u m C be t r i LLC. DGor niasnmerlesAs L R r0 tn xA o e . L a , O s d Au V ta Rm e c e R o e r l A l L e rT r a E ig c D i e C 2 O 0 M 07 M UNCATOONS ru......Wr=7.- arra
N F I
SDNY_GM_00045901
CONFIDENTIAL — PURSUANT TO FED. R CR[6,1 P. 6(e) OB-SDNY-00O8725
EFIA_0015 6510
EFTA01288873

Deutsche Asset
& Wealth Management
0.41.0e Vritsli Pi PM...P-4w
MW•ets Ont•gt
0...tic la kn. Selv,ael
brk Olice
PO Occt 1770, Skidmore, MD 21203 ii Anne.. lialk Icce
thine W.1. nY ,OVA
Statement Period: 07/01/2015 - 07/31/2015
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Ai:cuffed Quantity UM Cat Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
GODADDY INC CL A Security Identifier: GO DT
Dividend Option: Cash CUSP. 380231107
04101115 700.000 20 0000 14,000.00 28.4400 19.908.01 5.908.00
HEALTH NET INC COM 5410.1rIty Identifier: MN T
Dividend Oplion: Cash CUSIP: 422226108
09108114 25.000 000 46 9800 1,174,508.00 66.8600 1.671.500 00 496.994.00
SANGAM 0 BIOSCIENCES INC COM Security Identifier: SGM 0
Dividend Option: Cash CUSP. 800677106
05128113'.13 50,000.000 8.4440 422,214.00 9.1500 457,500 00 35,286 00
SANTANDER CONSUMER USA HLOGS INC CON Staidly Identifier: SC
Dividend Oplion: Cash CUSP. 8028311101
01123114 1,000.000 24 0000 24,000.00 24.1800 24.180 00 180.00
TWITTER INC COM Security Identifier: nv TR
Dividend Oplion: Cash CUSP. 901841102
11107113 1.500.000 26 0000 39.000.00 31.0100 46.515 00 7,515.00
VIACOM INC NEW CL 8 Security 'dandier: NAB
Dividend Oplion: Cash CUSP 92553P201
06110115 5,000.000 67 7490 331,745.00 57.0000 285,000 00 -53.74500 8,000 00 2.80%
VOLKSWAGEN A G ADR iSPON Si Security Identifier: VLKAY
Dividend Oplion: Cash CUSP 928662303
04113115 5,000.000 50 8610 254,306.00 40.6700 203,350.00 -50,956 00 4,004 38 1.96%
WISDOM TREE INVTSINC CON Sladty Inane!: WETF
Dividend Oplion: Cash CUSP 97717P104
03131115 15.000.000 21.6110 324.157.50 24.9000 313.50040 49.342.50 4.800.00 1.28%
Total Common Stocks $41,773,10.54 247,515,716.79 $5,741,969.25 $1,301,639.96
Page 9 of 18
l/PAII MOLL A SO cc U o T u H n E t R N N u mber F I D G A o p E ap N erl T es I s A L R D ( e v a Ax e l L o r c y B c i l uA V fa Rr c n R o . e A ll S e r T r l E a e D t i e C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00045902
LLC.N
CONFIDENTIAL — PURSUANT TO FED. R CRINI, P. 6(e) OB-SDNY-0006726
EFTA_00156511
EFTA01288874

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date "sired Quail Dalt Cod Cod Basis Market Price Markel Value Geld Loss Annual Income Yield
Eq uities (continued)
Preferred Stocks (Listed by expires'', date)
ALLY ANL INC FIX TO FLT Security Identifier: ALLY PRB
DIY-8.50% FREO-OTRLY CALLABLE g 25.00 CL SIP 02005k 308
ON A OTRLY BASS AFTER 05/15/2016
Dividend Option: Cash
02/03/12 ..13 16.600.000 19.3820 903,217.51 26.0300 1,212,998.01 309,780.50 99,025.00 8.16%
02/09112 '.13 80,000.000 20.1250 1,610,000.00 26.0300 2,082,399.99 472,399.99 170,000.00 6.16%
Total Noncovered 126,600.000 2,513,217.51 3,295,398.00 712,100.49 269,025.00
Total 126,600.000 92,613,217.51 $3,295,398.00 5702,160.49 $269,025.00
GM AC CAP TR I GTD TR PFD SECS SER 2 CPN• SetwIty Identifier: ALLY PRA
8.125% FRED DRILY MATY-0211512040 CALL CUSP: 361860206
ANYTIME 0 25 W130 DAYS BEGINS 02/15116
Dividend Option: Cash
02122/12'.13 80,000.000 23.5350 1,882,773.60 26.2300 2,090100.00 215,626 40 162,500 00 7.71%
ROYAL BK SCOTLAND GP PLC WON ADR REPSTG Security RBS PRT
SER T PFD CPN•7.25% FRED ORTLY PERP M TY CUSP: 780097713
CALLO 25 MY W130 D NOTICE AVER 12131112
Dividend Option: Cash
10124112 '.13 10,000.000 23.7900 951,600.00 25.5000 1,019,999.99 68,399 99 72,500.00 7.10%
01107/13 10,000.000 24.4400 977,600.00 25.5000 1,019,999.99 12,399 99 12,500.00 7.10%
01114113 '.13 10,000.000 24.8800 995,200.00 25.5000 1,020,000.02 21,800 02 72,500.00 7.10%
Total Noncovered 120,000.000 2 921 400.00 3,060,000.00 135,600.00 217,600.00
Total 120,000.000 52,921,400.00 $3,060,000.00 5135,600.00 $217,500.00
Total Preferred Stocks $7,320,391.11 $8,453,198.00 $1,133,406.89 $649,025.00
Total Equities 549,094,180.65 $55,969,576.79 56,675,396.11 $1,950,664.96
Uarealized Estimated Estimated
Date Acquired Quality Usk Cod Cod Bads Mane Price Market Value Gala/ Loss Mutual Income Yield
Exchange-Traded Products 3.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DXJ
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 57.4500 3.447.000.00 180.901 50 13.093.80 1.25%
Total Exchange-Traded Products $2,966,098.50 $3,147,000.00 $460,901.50 543,093.60
Uarealized honed Estimated
Cod Bans Market Value Gain/ Loss lute red Annual Income
Total Portfolio Holdings 2115,767,439.94 1125,334,293.94 98,087,976.50 2495,716.75 23,746,800.08
Page 10 of 18
Wiwi; ROLLL A so cc L o T un H t E N M u m ber LLC. Go paperless R D ( r v xA a e eL s r nB y a u A Y E rR x o n c R e a e , Ae l S l rT e i E n n c D t e C 2 O 0 M 07 M UNICATIONS aria=arettt..."'C'r=
N F ID ranAL
SDNY_GM_00045903
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008727
EFrA_OOI 56512
EFTA01288875

Deutsche Asset
& Wealth Management
Draffle Prmalr Wea•n•Apmgenan
Mats Onear 4M‘0
Deelscli• ML Secio0e. W.
Now bar Olio
PO Boa 1778, Balmy*, Ma) 21203 HS Pant Asa. IM,I tom
Wow** NY 101W
Statement Period:0710112115 • 07/3112015
Portfolio Holdings
(continued)
Footnotes
' Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (-IR') (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 non-retirement,
US taxpayers 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 Oen (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014.
Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, 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 cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less
than one year to maturity. 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 frm 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.
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 tine and are obtained from sources we believe to be reliable.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
12 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information.
l You have selected a disposition method for this security that differs from the default disposition method indicated in the Your Account Information Section. If you choose to sell or transfer a portion of these
shares, the disposition method noted here well be used.
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Clain/Loud
Date Date Transaction Description Duality Cost Basis Proceeds Disallowance
Short Term
07115/15 07/01)15 SELL CONFORNIS INC COM 500.000 7,500.00 11,343.79 3,843.79
First In First Oul Security Identifier CRS
07115115 06/30)15 SELL TELADOC INC COM 100.000 7,600 00 12,743.76 5,143.76
First In First Oul Security Identifier TOOC
Page 11 of 18
Account Number Rated Excellent
ORAN ROI k SOL THERA CNO LLC. paperless E D v A e L r B y A y R e a R r A S T in IX ce . C 2 O 0 M 07 M UNICATIONS
N F I DAENTIAL exanurtraer
SDNY_GM_00045904
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008728
EFrA_00 1565 13
EFTA01288876

Schedule of Realized Gains and Losses Current Period (continued)
Dispositioe Acquisition Disposition Realized Gain/ Loss!
Dale Date Transaction Description Quantity Cost Basis Proceeds Diu'romance
Short Term (continued)
07130115' 07122115 SELL BLLE BUFFALO PET FRO 200.000 4 000 00 5,359.90 1,359.90
Versus Purchase Security Idenbfier BUFF
Total Short Tema 919,100.00 929,447.45 610,347.45
Long Term
07123115 12)13113' F$9 WASHINGTON MUT MTG S 0044tA2 MTG PASSTHRU CTF CL 1,290,000.000 1.44709 1,891.16 444.07
C- B-1 VAR RATE 6.444% 07125133
Security Identifier 939336520
Original Cost Basis: 1.447.09
Total Long Term $1,447.09 61.191.16 6444.07
Total Short Term and Long Term $20,547.09 $31,335.81 $10,791.52
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended FIRC") (incorporating
amendments enacted by P1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered anoncovered," 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
non retirement, US taxpayers 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 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
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014.
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 109943 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 a 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 may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed
income security, and certain attributes, obtained from sources believed to be rebable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected
until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with
less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
Page 12 of 18
Account Number: Go paperless &„ R [v a e t r e y d Y ta e n ar * S in ria c e 2007 :143===sr sb=
CON
F I D ENTIA
rCxAeLMrtAuRr RieArT ED COMMUNCATIONS
SDNY_GM_00045905
CONFIDENTIAL — PURSUANT TO FED. R CRINA. P. 6: THERN OB-SDNY-0008729
EFTA_00156514
EFTA01288877

UCii1SChe .11..*;.
& EMILIperle It Omisre Rant Prmair Wolin Papmgenait
Pdaeals I voyage
creoso4 sank %wort
N.. wan Oikt
PO no. 1776, Baltimore. ND 2127 Na Put Annus. !Note,
taw to 10. 101A4
Statement Period: 0710112015 • 07/3112015
Schedule of Realized Gains and Losses Current Period
(continued)
v These shares are unsettled and have been recently disposed. You wi 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-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 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
Although a money market mutual fund seeks to preserve the value of your investment at 31 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.
Activity Summary
(All amounts shown are in base currency)
Credits This Period Debits This Period Net This Period Credits Year•to-Date Debits Year•to-Date Net Year•to-Date
Securities
Securities Bought 000 -3254.406.00 -3.254,406.00 0.00 .6,488,021.50 .6 488 021 50
Securities Sold 36 70561 000 36.706 61 165397 13 000 165.397 13
Total StaritItS 336,706.61 -33,254,406.00 -33,217,699.39 $165,397.13 -36,488,021.50 -36,322,624.37
Dividends and Interest 312,456.79 30.00 312,456.79 31,537,457.00 $0.00 31,537,457.00
Distributions 30.00 30.00 30.00 34,130,349.66 30.00 34,130,349.66
Fees 30.00 -318.00 -318.00 30.00 -3254.00 -3254.00
Taxes W ithheld 30.00 30.00 30.00 $0.00 -38,581.18 -$8,561.18
Other 30.00 30.00 30.00 388,692.73 -368,692.73 30.00
Cash
Withdrawals 0.00 -1.997.28949 .1.991,289.49 0.00 -5.143.17743 -5143.17743
Deposits 46.508 18 0.00 46.508 18 2.093.627 43 0.00 2093.627 43
Total Cash 348,50818 -31,997,289.49 -31,950,781.31 32,093,827.43 -35,143,177.43 -33,049,560.00
M oney M arket Funds 30.00 30.00 30.00 32,448,952.63 .34,780,931.93 -32,331,979.30
Totals 395,671.68 .$6,251,713.49 .36,156,041.91 310,444,476.58 -116,487,638,77 .36,043,162.19
Page 13 of 18
Account Number. Rated tacell•nil
ORM, RV„ F D G E o P S a 1 pe T le T ss A L D L. A ... L m B y A Y R e R ar AA S eT i E nc D e C 2 O 0 M 07 M UNCATIONS .„.....—
SDNY_GM_00045906
L) Th "k Cri
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0008730
EFTA_001565 IS
EFTA01288878

Transactions by Type of Activity
Process/ Trade/
Settlement Tranudion
Date Date Activity Type Deseri on Qua Price Accrued leterest Mould Curren
Securities Bought and Sold
07101115 06126(15 PURCHASED XACTLY CORP COM PROSPECTUS L NDER SEPARATE COVER 600.000 8.0000 -4.800.00 LSD
XTLY
07106115 06130115 SOLD TRANSLA ION COM COM UNSOLICITED ORDER AVEFtAGE .300.000 25.2603 7,521.96 LSD
TRU UNIT PRICE TRANSACTION YOUR BROKER ACTED ASAGENT
07106115 06130/15 SOLD YACTLY CORP COM UNSOLICITED ORDER AVERAGE I.. NIT 400.000 8.5886 5.097.10 LSO
XTLY PRICE TRANSACTION YOUR BROKER ACTED AS AGENT
07/07/15 06130115 PURCHASED TELADOC INC COM PROSPECTUS UNDER SEPARATE COVER 400.000 19.0000 -7.600.00 LSO
TDOC
07/07/15 07101/15 PURCHASED CONFORM IS INC COM SFS PROSPECTUS LNDER SEPARATE 500.000 15.0000 -7.500.00 LSO
CFMS COVER
07/09/15 07106115 PURCHASED FRONTIER COMMUNICATIONS COPP SR NT 8.500% 3,000,000.000 105.7000 -59.500.00 4,230,506.00 LSO
FTR3684517 04/15/20 WE DTO 04/12110 TIM 7.066 TO MAT
07/20/15 07115115 SOLD CONFORM IS INC COM UNSOLICITED ORDER .500.000 22.8000 11,343.79 LSD
CFOS
07/20/15 07115115 SOLD TELADOC INC COM UN SOLICITED ORDER ALLOCATED -400.000 32.0000 12,743.76 LSD
TDOC ORDER YOUR BROKER ACTED AS AGENT
07/27/15 07122/15 PURCHASED BLUE BUFFALO PET PRODS INC COM PRO SPECTL S LACIER 200.000 20.0000 -4,000.00 LSO
BUFF SEPARATE COVER
Total Seaultles Bought and Sold • UNITED STATES DOLLAR .59,500.00 4,217,699.3S
Dividends and Interest
07/01/15 CASH DIVIDEND RECEIVED 5000 SFRS VIACOM INC NEW CL B RD 06/15 PD 07/01115 2.000 00 LSD
NAB
07/27/15 CASH DIVIDEND RECEIVED 23000 SF RS GENERAL ELECTRIC CO COM RD 06122 PD 5.290.00 LSO
GE 07127115
07/27/15 BOND INTEREST RECEIVED 1290000 WASFINGTO it MLTMTG SECS CORP 2004M2 3.77420 LSO
939336S20 LI TG PAS,STFRL CTF CA. C•B.1 VAR RATE 6.444% 07(25/33
WE DTD 06101104 RD 06130 PD 07125/15
07/31/15 MONEY MARKET FUND DEUTSCHE GOVT CASF 1,388.59 LSD
INCOME RECEIVED
233993682
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 12,456.79
Fees
07/01/15 FOREIGN CUSTODY FEE Fgn Safekeeping );N 2015 CUSIP: G4S15PR44 4.00 LSD
GIS15PP48
07/01/15 FOREIGN CUSTODY FEE Fgn Safekeeping IN 2015 CUSP: 6543384G-8 -6.00 LSO
G5433B8G8
07/01/15 FOREIGN CUSTODY FEE Fgn Safekeeping JAN 2015 CUSIP. P7807H-AF•2 4.00 LSO
P7807FAF2
Total Fees • UNITED STATES DOLLAR 8.00 -18.00
Page 14o118
Account Number. Go paperless Naiad Excellent
livery 'tar Slate 2007
011A11 MOI TH ERA CNC)
N
LLC.
FIDEsianAL
MrxaLr BtuARrm ReArT CDCOMMUNCATOONS
SDNY GM 00045907
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: DB-SDNY-0008731
EFTA_00I565 16
EFTA01288879

Deutsche Asset
& Wealth Management
Ogvisot Rant Pon. roan
mantis C04,4,4,0.4)
oftiscry sank smengs+sc
ihre 4n Mt*
P.O. Occt 1770, Banimore. MD 21203 MI Pan Mist lkh r to
Weir** rn 10114
Statement Period: 07/01/2015 • 0713112015
Transactions by Type of Activity
(continued)
Protest/ Trader
SeMemeet beadkm
Date Date Activity Type Demriptioe Quantity Price Accrued Interest Amount riency
01
Cash Withdrawals and Deposits
07102115 CUSTOMER AUTHORIZED TRANS TO N4G-028161 .1 748150 00 USD
TRANSFER
USD999997
07102115 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST .26.111 11 LSO
US0999997
07102/15 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST •222.928.38 LSO
US0999997
07130(15 FEDERAL FUNDS RECEIVED DEUTSCHE BANK SECUR1 02249 46,508 18 LSD
LS13999997
Total Cash Withdrawals and D eposits • UNITED STATES DOLLAR 0.00 -1,950,181.31
Total Value of Transactions .59,500.00 4,166,011.91 USD
The pace and quantity displayed may have been rounded.
Bond Maturity Schedule
Bond Maturity Market Value %of Bond Market Value
1 to 6 months 2,508,750.00 10% Percentages of bond market values are
1 to 5 years 3,880,504.30 15% 1- 1 rounded to the nearest whole percentage.
6 to 10 years 1,980,285.00 ex Lil
Over 10 years 16,985,316.41 67% n
Total 95,351,915.71 100%
Page 15 of 18
Account Number; Gopaperless c k ; Rasa
ORAN QL I CON D Ev A e U ry M vs . . R A S T O E S D O , C 2 O '0 M 07 M UNCATIONS /rare ua ••••••• MIRA inn. mac
FI D riTrIA ex.:sumer
SDNY_GM_00045908
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6: THERh OB-SDNY-00O8732
EFIA_0015 6517
EFTA01288880

Bond Quality re,
Bond Quality Market Vake % ol Bond Markel Value
BAA 10.898.750.00 43% Percentages of bond market values are
BArLcwer 11.158165 71 57% rounded to the nearest ntiole percentage.
Total 25,351,915.71 100%
Trades Not Settled
Settlement Trade Activity Acaued Settlement
Date Date Type Description Quantity Price Interest Amount
08104/15 07/30/15 Sell BILE BLFFALO PET PRODS IAC COM -200 006 27 0800 0.00 5.359.90
UNSOLICITED ORDER
08104/15 07/30/15 Buy GLOBAL PARTA ER ACQUISITION CORP 2.01)0.000 10.0000 0 00 -20.000.00
UNIT 1 COM 81 WT EXP 0710112020
PROSPECTUS UNDER SEPARATE COVER
08105/15 07/31/15 Buy TERRAFORM GLOBAL INC CI A 100.000 15.0000 0.00 -6.000.00
PROSPECTUS LADER SEPARATE COVER
Total Amount of Trades Not Settled 420,610.10
Client Service Information
Your Client Advisor: DAN
DANIEL SABBA
315 PARK AVEN LE. 26TH FLOOR
NEWYORK NY 10151
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Rocks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Bond Amortization Elections:
Treat a interest as original issue discount t OID): No
Amortize premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types: Ratable M ethod
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 con m unications. log in to your account or contact your dent Advisor for more inform ation.
Page IS of 18
Account Number. Go paperless Rand ta6070.00
00.0 RCA I SOL THERA eN e iN LLC. FI D tiSiTIAL I Dr . x v Aa e L r n B y k A V uR s w R . eA S rT å E cr D . 0 2 3 0 0 0 0 7 .4 UNICATIONS
SDNY GM 00045909
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY:0008733
EFTA_001565 IA
EFTA01288881

Deutsche Asset
& Wealth Management
Destine8m( P0•110 W,Y n manapnerd
Mwert$ Use. GtoP.p
°eaui v Sam smote sk.
Mn *4 Ma.
Oat 1770, Balamore, MD 21203 SO nn Asa. IM, Ilea
Now** NY 101W
Statement Period: 0710112815 • 07/3112015
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, unless othervrise 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 masked *NrK 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 retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to
mwrpershing.conVbusiness_continuilyhtml for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dolar 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 maintairing 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 ban. The Proxy Voting Instruction Form sent to you may reflect a smaler 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 automaticaly 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 & Pools is not permitted without prior written
authorization from Standard & Poor's. Standard & Pools does not guarantee the accuracy. completeness. timeliness or availability of any information. Standard & Pools is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sell securities; and do 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.
F onc. Page IT of 18
Account Number Go paperless R Ev a e te ry d v to a c n el l s o i n v li a 2007 Lt,"
Dews ROL t SO L ERA N F I DAENTIAL r D x A a L r B t A u R rn R e A r T EO COMMUNICATIONS
SDNY_GM_00045910
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008734
EFrA_00 156519
EFTA01288882

Important Information and Disclosures (continued)
Bond Quality
Bond quality ratings reflect Moody's 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 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 cable 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 that it
or
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 eneral, 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 . 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 (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: vnvw.pershing.conValowt/strength-and-stability.
• 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-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; and Omissions excepted.
Errors
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 wit 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 Jules 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 I1C 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 U.C. Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399;
Page Is of 18
Account Num berms Italia [manor,'
Go paperless (very Year SOSO, 2007
L THERM teNO
N
LLG.
F ID ranAL
rDxAeLs OaARr
N
R
C
AT
I
CO COMMUNICATIONS PS.. me err OS fl OK
SDNY_GM_00045911
CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) OB-SDNY-0008735
EFIA_00156520
EFTA01288883

Deutsche Asset
& Wealth Management
Onalso<Rna Pnwair vkatnPaptagenen
Pdaeals L voyage Gro.p
Des4s477 M* Salons
Year7.71 Onto
PO Oat 1778, Ballimore, MD 21203 Pon Ratak 160.11ber
Account Number:
Statement Period: 06/01/2015 -06!30!2015
Valuation at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 1132,106,023.17 $126,714,293.02
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals -1.529.290.08 -1.098.768.69
Net Securities InlOut of Account 0 00 -2.483.792.00
ST THOMAS VI 00802
Adjusted Previous Account Value 130,576,733.09 123,131,732.33
Dividends, Interest and Other Income 279.139,20 1,838,157.01
Total Taxes Withheld 0 00 -6,561.18
Net Other Activity 0 00 -236.00
Your Client Advisor: Net Chan e in notch() -1,628,380.55 4,264,399.55
DANIEL SABBA nifing Account Value 3129 227 491.74 9129 227 491 74
Accrued Interest $293,629.59
Estimated Annual Income 53,501,193.62
Asset Allocation
Prior Year-fad Lad Period lbk Period % Allocation
SD Cash. Money Funds and Bank Deposits 44,273,984.33 47,382,855.08 45,718,843.35 35.38% Pease renew your allocation
LSD Axed Income 18,177,455.58 15,587,101.74 14,401,824.84 11.11% cer athca'y wth your Client Advect
Non-LSD Axed Income 7.150,052.50 7,812,416.25 7,770,340.00 8.01%
LSD Equities 54,128,544.61 57,699,186.10 57,862,147.75 14.78%
Kon•LISO Equities 2.986.258.03 3.624.464.00 3.174.538.E 2.69%
Account Total (Pte Chart) 1126,714,213.02 $132,106,023.17 $129,227,411.74 100.00%
See the Asset kbcabon Disclosure and Footnotes section for important intonate:In regenfing your Asset mouton.
Pagel of 21
OBAkl ROLL C B0 O 097137 N CSP3 F 002 3 I D('357firlliAs L Mr L x v eU e n ry Mu V r.t a rRa .. Ae L Tr o E c D o C 2 O 0 M 07 M UNICATKIHS
SDNY_GM_00045912
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008736
EFTA_0015652 I
EFTA01288884

Asset Allocation Disclosure and Footnotes
M values are displayed in U.S. dollars based on interbank exchange rates as of C6/30/2015. 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 89,759 58 89 759 58 4 067.895 97
Long•Term Gain/Loss 67,178.21 110.576 30 5.950.707.48
Net GalnlLoss 158,937.79 200,335.88 10,018,603.15
This summary excludes transactions where cost basis information is not available.
For Your Information
On June 5. 2014, the European Central Bank (the ICH') introduced 'negatrve 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 and/or 1042-5 for lax year 2015. These rates are subject to changer 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 Desarlion Amount Bahr:
Sweep Money Market Fund
DWS GOVERNMENT CASH INSTL
Account Number 0000001490 Curter Yield: 0.04% Activity Ending: 06130115
05130115 Opening Balance 47,296,013.27 47,296,013.27
06101115 Withdrawal MONEY FUND REDEMPTION -1,442,44827 45,853,565.00
06115115 Withdrawal MONEY FUND REDEMPTION -1,211,282.94 44,642,282.06
06123/15 Withdrawal MONEY RAO REDEMPTION -2,891.00 41639,391 06
08124/15 Withdrawal MONEY FUND REDEMPTION -2,000.00 44.637.391 06
06125115 Deposit MONEY FUND PURCHASE 957,771.70 45,595,162 76
06126115 Deposit MONEY FUND PURCHASE 15,983.69 45,611,146.45
06129/15 Deposit MONEY FUND PURCHASE 19,41410 45,630,561.25
06130115 Depot MONEY FUND PURCHASE 39.16425 45.669.725.50
06130/15 Deposit INCOME REINVEST 1.492.85 45.671.218.35
08130115 Closing Balance $45,671,218.35
Total All Money Market Funds 845,671,218.35
Page 2 021
coN
OSAB ROLL A SO cc U o T u H n E t R N N u m berms F I D Gor paapenrleAss L I Dr ( t v x n A e n e r U y d u M v t r s « n. c R . o e A ll W e rT r E o e o D i s C 2 O 0 M 07 M UMCATIONS r iv— s v ri t si r m i m . . — Z . . i - n ." v re .. r . ai.r i . i . - . i- .—.."*=
SDNY GM 00045913
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008737
EFTA_00 156522
EFTA01288885

Deutsche Asset
& Wealth Management
DnaIsre Ram Ponw Weal n Mannunna
rants Use...
otautv sank Selv-an
Mee Ten ORo r
P.O. Box 1778, Bahimore. MD 21203 JO PH AMMO. 360.11oct
Warta MY laVA
Statement Period: 06/0112015 • 06130/2015
Income and Expense Summary
Current Perkd Year-to-Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 92,967.00 0.00 574,139.90 0.00
Money Market 1,492.85 0.00 7,845.23 0.00
Other Dividends 90,664.80 0.00 463,164.80 000
Interest Income
Bond interest 94,014.55 0.00 398,60020 0.00
Other Interest 0.00 0.00 81,250.08 0.00
Expenses
Withholding Taxes 0.00 0.00 -6,561.18 0.00
FeesfFoieign Securities! 0.00 0.00 -200.00 0.00
Total Dividends, interest, income and Expenses 6211,139.20 10.00 61,518,239.03 so.00
Distributions
Alternative Investm ents 0.00 0.00 0.00 313.15683
Other Distributions 0.00 1.528,93 0.00 89.616 10
Total Distributions $0.00 $7,520.13 $0.00 $102,113.23
Portfolio Holdings
Accoent Activity Opening Closing Accrued Income 30-Day entrant
Opening Date Quantity Number &dig Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 35.00% of Portfolio
Cash Balance 88,841.81 28,210.20
Margin Balance 0.00 19,411 80
Money Market
DW S GOVERNMENT CASH INSTL
05130115 45.671.218 350 0000001490 08130/15 41.296.01321 45,611,218.35 0.00 7.14523 0.04% 0.04%
Total M oney Market $47 998 013.27 $45 071 tills $0.00 $7145.23
Total Cash, Money Funds, and Bank Deposits $47,382,855.08 $45,711,143.35 $0.00 $7,445.23
Page 3 of 21
Account Number: Rated [mallard,
()PAN vL 1 SO TH ERA CO. F I D G AE o p N ape T rle I ss A L rD L x . A .. e . L m nO y At y rR e w a Me r U S r D iv a C 2 O 0 M 07 M UNICATIONS i - r 'Ac e tatrle s • e r w . tVtrget= e 0 a 1 rn. lIC ' ..... t-
SDNY_GM_00045914
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DEMSDNY-0008738
EFTA_00156523
EFTA01288886

Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Aok4.red Ousetity Limit Cod Cod Basis Market Price Markel Value Gale/ Loss Interest Annual Income Yield
Fixed Income 17.00% of Portfolio (In Maiudry Date Sequence)
'Asset Backed Smithies
WASHINGTON NUT M TG SECS CORP 200441A2 Security Identifier: 039338820
MTG PASSDIRG CTF CL C-B-1 VAR RATE
8.985% 07/25/33 EUE DTD 08/01/01 S 8 P Rating
Fedor. 0.54540884 Effective Date:06101/15
Current Face Value: 703.574 566
12/13/13'.0.12 1,290,000.000 76_5190 538,365.47 84.3080 593,18984 54,801.17 3.959 40
Original Cosl Basis: $838.906.71
Total Asset Backed Securities $636,365.17 8593,165.81 $64,801.17 $3,951.40 $0.00
1,290,000.000
Total Current Face Value : 703,574.566
Corporate Bonds
PETROLEOS OE VENEZUELA Security Identifier: P7807HAF2
NOTES SENIOR ISMSX.50460546525
5.000% 10/28/15 REG DTD 10/28/09 S8 P Rating 8+
12104/13 '•3.11 2 500 000 000 98 1130 2,452,824.58 98.1000 2.452.500.00 -311.58 21,527.78 125.000 00 5.09%
Original Coal Basic 52.250.000.00
EARTHUNK INC GTO SR NT FULLY EXCHANGED Seaulty Identifier: 270321ACI
CUSP FROM 270321AB8 8.875% 05/15/19 IKE
DTD 05117/11 CALLABLE 07/01115 58 P Rating CCC•
10/22/12 146.000.000 1021010 149,334.13 104.2500 152,205.00 2 870 87 1.619 69 12.957 50 8.51%
Original Cosl Basic 5151,110.00
10/23112 '.3.12 600.000.000 102.1220 612,134.22 104.2500 625,500.00 12.765.78 6.656.25 53.250 00 8.51%
Original Cosl Basic $819,500.00
Total Monter. red 746,000.000 762.066.3$ 177,705.00 15,636.65 8,275.94 86,207.50
Total 716,000.000 5782,068.36 $777,705.00 116,636.66 58,276.01 566,207.50
LLOYDS TSB 8K PLC EURO ISSUE MEDIUM Security Identifier: GISISPPIII
TERM AO TES ISIAd X507'7735822
9.875% 12/16/21 REG DTD 12/16111 Moody Rating Bat 58
P Rating BBB
1210//13 '.3.12 1,500,000.000 107/830 1,808,941.70 110.5750 1,858,825.00 49,683.30 79,822.92 148.125 00 8.93%
Original Cod Basic 51,627,500.00
BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 0673901K0
ISM./ L•936739FMK03 7.750% 04/10/23 B/E
DTD 04110113 CALLABLE 04/10118 S 8 P Rating 613+
04103/13 '.12.13 300.000 000 100 0000 300.000 00 108 3750 325,125.00 25.125 00 5.16667 23,250 00 7.15%
Original Cost Basis: $300,000.00
Page< of 21
Account Number Rated tscollenil
Go paperless (very Y.R, Woes 2007
L THERA CNO
N
LLC.
F ID rarIAL
DrxAeLsBuArRn RaeArT ED COMMUNICATIONS.
SDNY_GM OOO45915
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY:0008739
EFIA_00156524
EFTA01288887

Deutsche Asset
& Wealth Management
DraSC ••1B m, Prmair Wean lAvogentot
Margin tonne GIO‘P
DerbON M starenac
Mw
PO 80.• 1778. Baltimore. MO 2t203 HS Put Oyes* maker
New** NY 101M
Statement Period: 06/0112915 • 06/30/2015
Portfolio Holdings
(continued)
Adjusted Unrealized kaued Estimated Estimated
Dale Acquired Quantity Unit Cost Cog Basis Market Price Markel Value Gainl Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
FM ORGAN CHASE & CO DEP MS REPSTG Security Identifier: 46625HHA1
1110TH PFD SER 1 MED TO FITG RT BD
7.900% 04129149 BIE DTD 0/123108 Moody Rating BM3 S
P Rating BBB-
06115111 ',3,12 2,500,000.000 107.5000 2,687,500.00 105.7750 2,644,375.00 •43,12500 32,916.67 197.500.00 7.46%
Original Cost Basis: 52,687,500.00
06/15/11 '.3.t2 2,500,000.000 107.0000 2,675,000.00 105.7750 2,644,375.00 •30,62500 32,916.66 197.500.00 7.46%
Origins Cost Basis: 52,675,000.00
Total Noncovered 5,000,000.000 5,362,600.00 6,218,150.00 -73,750.00 $6,133.33 395,000.00
Total 5,000,000.000 16,362,500.00 65,218,760.00 -$73,760.00 $65,133.33 1305,000.00
BANK AMER CORP PERP NON COM ULATIVE DEP Security Identifier: 060605DW
SHS FIXED TO FLOAT 8125% 04/30158 WE
DTD 04/30108 CALLABLE 05115118 Moody Rating BA2 S8 P
Rating BB
01/10111 'An 2.000,000 000 102 7500 2,055.000 00 106 1250 2,122,500 00 67,500 00 20,312.50 162 500 00 7.65%
Origins Cost Basis 52.055.000 00
SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: 142400FU2
6.250% 01117182 WE DTD 01117112
CALLABLE 02/01122 Q 100.000 Moody Rating BAA1 S8 P
Rating BBB-
01130112 t3.12 3.000.000 000 99 8200 2,994,599.61 110 4000 3,312,000 00 317400 36 77,604 17 187 500 00 5.66%
Origins Cost Basis: 52,992,544.97
GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 369622SN6
A 7.125% 06/12/62 B/E
DTD 06112/12 CALLABLE 06115122 Moody Rating BAA1 SE
P Rating in
06127112'.12,12 2.000,000 000 101.6810 2,093,628.07 115.3750 2 307.500 00 213,873.93 5,937.50 142,500.00 6.17%
Origins Cost Basis: 12,122,916.67
Page 5 o121
Account Number: Rated tocetler4
ROLL SOUTHERN CLIN O LLC. Ddor paaperrleisAs Dr (v xA e eL r s y IA u 'V Nr a n R n eA W rT E oo D s C 2 O '0 M 07 M UNICATIONS
N F I L
SDNY_GM_00045916
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008740
EFTA_00156525
EFTA01288888

Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quatny Unit Cost Cost Basis Market Price Markel Value Gain/ Loss Interest Mnual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
LBG CAPITAL NO 1 PLC 144A Security identifier: G54338808
ISM8%50473108283 8.000% 09/15/88 REG
DTD 12/15109 CALLABLE 06115/20 58 P Rating BB+
12/04/13 '•4.11 1,200,000.000 108 2500 1,299,000.00 114.5000 1,374,000 00 75,000.00 4.000 00 96.000 00 6.98%
Original Cost Basis: 51,299,000.00
'LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4
MIDI TIER 1 SECS IMO US539439AG42
7.500% 09/27188 WE DTI) 04/07/14 S 8 P Rating BB-
Please Provide' 1,903,000.000 N/A Reese Phavide 103.0000 1.960.090.00 N/A 1,189.38 142.725.00 728%
Original Coal Basis: Please Provide
Total Corporate Bonds $19,924,560.32 $21,578,795.00 $690,144.68 2219,670.9 21,418,807.50
20,149,000.000
Total Fixed Income $19,466,92539 $22,171,964.64 $744,948.85 $293,629.59 $1,488.807.50
21,439,000.000
Unrealized Estimated Estimated
Date ired Duman Unit Cod Cost Basis Market Price Markel Value Gelid Loss Mnual Income Yield
Equities 15.00% of Portfolio
Common Stocks
MOBILEYE NV AM STELVEEN ORD SHS Security Identifier: M BLY
ISII484001083106i CUSP:851488117
Dividend Option: Cash
08101/14 800.000 25.0000 20,000.00 53.1700 42,536.00 22,536.00
AKORN INC COM Security Identifier: AKRX
Dividend Option: Cash CUSP: 009728106
06/10/15 5.000 000 46 8410 234.206.00 43.6600 218,300.00 -15,906 00
AUBABA GROUP HLDG LTD SPONSORED ADS Security Identifier: BABA
ISINeUS01609W1027 CUSP. 01609W102
Dividend Option: Cash
06/10/15 5,000.000 88 9500 144,749.00 82.2700 411,350.00 .33,399.00
ALUANZ SE SPO NS AD R REPSTG 1110 WS Security Identifier: AZSEY
Dividend Option: Cash CUSP: 018805101
04/13/15 5.000.000 18 0110 90.055.00 15.5660 77.830.00 .12.226.00 2.833.84 3.64%
APOLLO GLOBAL MGM T LLC CL A SHS Security Identifier: APO
Dividend Option: Cash CUSP 037612306
03/29111 '.13 263.157 000 19 0000 4.999.983.00 22.1500 5.828 927.55 828.944.55 626.313.66 10.74%
Page6 of 21
Account Number s Raid taallardi
0,7137CSF: MIA11 MOLL SOL THERA et, n F I D G Ar o g paper an -les A s L rD L x v A e eL r n y O . uA •• Rr • d • R • e • A s rT i n E c D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045917
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-00O8741
EFTA_00156526
EFTA01288889

Deutsche Asset
& Wealth Management
Devlsev Ram Pon. Wealth ManIrient
Minet% COMige 4,04P
0...Uht Yr Sewner AC
P.O. Box 1778, &Almon", MO 21203 lire bet ONO
41)Parli PLOPOW. )Mn I to
WA Wet IlY NIL
Statement Period: 06/01/2015 - 06130/2015
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Nantity Ual1 Cost Cost Basis Market Price Market Value Gild Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
APPLE INC COM Security Identifier: AAPL
Dividend Option: Cash CUSIP 037833100
09105114 142.800.000 98 9500 14,130,065.71 125.4250 17,910.690 00 3,780.624 29 297.024.00 1.65%
ARIAD PHARMACEUTICALS INC Security Identifier: ARIA
Dividend Option. Cash CLS1P 040331000
02/14112 I." 7.535 000 15 2090 114.597/0 8.2700 62.314 45 -52.282 95
01124113 9.000.000 19 6000 176.400 00 8.2700 74.430 00 -101.970.00
Total Noncovered 16,535.000 290,997.00 136,744.45 ,154,252.95
Total 10,636.000 $290,997.40 $136,744.45 .1164,252.95 $0.00
ASCENA RETAIL GROUP INC COY Security Identifier: ASNA
Dividend Option: Cash CUSP 043516101
01/16/01 ti 70.500 000 21 2770 1.500.000 00 16 6550 1174.177.50 -325.822.50
AVALANCHE 810 TECHNOLOGIES INC Security Identifier: AAVL
COM CLSIP 053376107
Dividend Option: Cash
10,000 00 of these shares are in your margin account
04/20115 10.000.000 39.8610 398.606 00 16.2400 162.100.00 -236.206.00
BASF SE PONS ADR Security Identifier: BASET
ISMS U $0552625057 COP 055262505
Dividend Option. Cash
04413115 5,000.000 101.6110 508.056 00 87.8220 439,110 03 -68.946 00 11,276 50 2.56%
BANK OF NEW YORK MELLON CORP COM Security Identifier: BK
Dividend Option: Cash CUSIP 064058100
06/25114 250.000.000 36.3060 9,076,406 00 41.9700 10,492,500.00 1,416,094 00 170,000.00 1.62%
BIOGEN IDEC INC CON Security Identifier: BIM
Dividend Option: Cash CL SIP 09062X103
02114112 2.095.000 119.5490 250.454 95 403 9400 846,254.30 595.799.35
DISH NETWORK CORP CL A Security Identifier: DISH
Dividend Option: Cash CUSIP 2547011109
Page 7 of 21
,.RAN YOU Acco i u x n t E N RN u m C b e er. 1 O NLLC. Go paperless R D L e v x a A e t aU e n n d r M u Y t . a r e N c R a e e r A l i S s b T i n E n i c D e C 2 O 00 M 7 M UNCATKINS
SDNY_GM_00045918
FIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008742
EFIA_00 156527
EFTA01288890

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Dale Ned Ousel Wit Cost Cod Basis Market Price Markel Value Gaird Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
DISH NETWORK CORP CL A (continued)
06110115 5,000.000 7219430 364,978.00 67.7100 338 550 00 -26,428.00
FACE/300K INC CI A Security Identifier: FB
Dividend Option: Cash CUSP: 3030314102
05/17112 ..I3 17.500.000 381000 665,000.00 85.7650 1.500.887.50 835,887.50
FOUNDATION MEDICINE INC COM Security Identifier: FM I
Dividend Option: Cash CUSP: 350465100
0111311/ 25.001000 27.5070 687,663.50 33.8400 846.000 00 158.336 50
08105114 24130.000 232530 577,373.02 33.8400 840 247 20 262,874 18
Total Covered 49.830.000 1 265 036.52 1,686,247.20 421,210.68
Total 49,830.000 $1,265,036.52 $1,888,247.20 $421,210.66 $0.00
GENERAL ELECTRIC CO COM Security Identifier: GE
Dividend Option Cash CUSP: 38980/103
04123113 '.12 23,000.000 21.5700 496,109.08 263700 611,110.00 115,000.92 21,180.00 3.46%
GENERAL M TRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 37045V100
11118/10 10.988100 361010 399,978.16 33.3300 366,236.71 •33,741.45 15,823.01 4.32%
12109110 ' 86.536100 36.8160 3,185,969.22 33.3300 2,884,271.54 -301,697.68 121,612.99 4.32%
Total Nona:mired 97,525.000 3,566,947.38 3,250,508.25 -335,139.13 110,130.00
Total 97,525.000 $3,565,917.38 $3,250,608.25 -6336,139.13 8110,131.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option. Cash CUSP: 375558103
02105/14 5,000.000 79 2810 396,407.00 117.0800 585,400.00 188,993 00 8,600.00 1.16%
03107/14 3.100.000 716120 246,797.00 117.0800 362,948.00 116,151 00 5,332.00 1.46%
Total Covered 6,100.000 643,204 00 948,346.00 305,114.00 13,932.00
Total 8,100.000 $843,204.00 $946,318.00 $306,114.00 $13,932.00
GLAXOSMITHKLINE PLC SPONS ADR Security Identifier: OSK
Dividend Option: Cash CUSP: 37733W105
06110115 5.000.000 430010 21510610 41.6500 208.250.00 -6.756.00 12,611.71 6.07%
GO DADDY INC CL A Security Identifier: GDDY
Dividend Option: Cash CUSP: 380237107
04101/15 700.000 20 0000 14,000.00 28.1900 19,733.00 5.733 00
HEALTH NET INC CON Security Identifier: H NT
Dividend Option: Cash CU SR 42222G108
09/08114 25,000.000 469800 t,174.506.00 64.1200 1,603,00100 428,491.00
SANGAN 0 BIOSCIENCES INC CON Security Identifier: SGM 0
Dividend Option: Cash CUSP. 800677106
Page ft 021
ORAN MOIL Account Number: Go paperless E R D n A at v L e y O d A Y e R n « : R 0 . 1 A S 1 T 0 a E M n D t e C 2 O 0 M 07 M UNICATIONS . Ia T . A . TS= na 8 me , i = r O $ lOs — ta. rev A ell n . IO e C . =,12'"=
FI D IAL rxesairmer
SDNY_GM_00045919
CONFIDENTIAL — PURSUANT TO FED. R CRIK P. 6706THERk OB-SDNY-00O8743
EFrA_00 156528
EFTA01288891

Deutsche Asset
& Wealth Management
Deasnellma Pon. man ma,miewn
marons I Doemp6m.8
oeaum sem sectoms
Now bri
P.O.Boa 1778, IlaMmore. MD 21203 MS Put Asa. loth How
I•r• RA NY 10IM
Statement Period: 06/01/2015 - 06/30/2015
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Dale Acquired Quantity Ual1cod Cost Basis Market Price Market Value Gain/ Loa Annual Income Yield
Equities (continued)
Common Stocks (continued)
SANGAM 0 BIOSCIENCES INC COM (continued)
05128/13 50,000.000 8.4440 422.214.00 11.0900 554,500 00 132,286.00
SANTANDER CONSUM ER USA HLDGS INC COM Security Identifier SC
Dividend Option: Cash CUSP: 80283M101
01123114 1.000.000 24 0000 24.00040 25.5700 25.570.00 1.570.00
TRANSUNION COM Socially Identifier: TRU
COM CUSP. 894001107
Dividend Option: Cash
06/25115 300.000 22.5000 6,750.00 25.1000 7,530.00 780.00
TWITTER INC COM Security Identifier: 119 TR
Dividend Option: Cash CUSP. 901841102
11/07113 1.500.000 26.0000 39,000 00 362200 54,330.00 15,330 00
VIACOM INC NEW CL 8 Security Identifier: DAB
Dividend Option: Cash CI, SIP. 92553P201
06110115 5.000.000 67.7490 338.745 00 64.6400 323,200.00 •15.54500 8.000 00 2.47%
VOLKSWAGEN A G AD R ISPONS) Security Identifier: VLKAY
Dividend Option: Cash CUSP 928662303
04113115 5.000.000 50.8610 254.306.00 46 2510 131255.00 -23.051 00 4,004.38 1.73%
WISDOM TREE INVTSINC COM Security Identifier: WETF
Dividend Option: Cash CUSP 97717P104
03131115 15,000.000 21.6110 324,157.50 21.9650 329,475.00 5,317.50 1,800 00 1.45%
Total Common Stocks 341,776,539.54 349,433,313.75 67,651,774.21 $1,312,422.09
Preferred Stocks (listed by expiration dale)
ALLY FINL INC FIX TO FLT Security Identifier: ALLY PRB
DIV4.50% FRECI•OTRLY CALLABLE 0 25.00 CUSP. 02005h308
ON A OTRLY BASIS AFTER 05/1512016
Dividend Option: Cash
02103112',II 46,600 000 19 3820 903,217.51 26.4500 1 232.570 01 329,35250 99.025 00 8.03%
02109112 t 13 80.000.000 20 1250 1410.000 00 26.4500 2.115.999 99 505,999.99 170.000 00 8.03%
Page 9 of 21
Account Num Der. Rated [molls M
1.)BAN MOIL L THERA Cr, Go paperless b C e A e E f S y A V R A R N A L T a E t D e C 2 O 0 M 07 M UNICATIONS •—•-oiAn —.-••••A•nonisc
F I DAMSMAL rxestmser
SDNY_GM_00045920
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008744
EFDC00156529
EFTA01288892

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date ANL tred Cluaetity Limit Cod Cod Bads Nadel Price Market Yale. GalelLoss Annual Income Yield
Eq pities (continued)
Preferred Stocks (continued)
ALLY FtNL INC FIX TO FLT (continued)
Total Noncovered 126,600.000 2,513,217.51 3,345,570.00 036,352.49 261,025.00
Total 126,600.000 12,613,217.61 $3,346,670.00 $635,352.49 $269,025.00
GM AC CAP TR I GTD TR PFD SECS SFR 2 CPN - Staidly Ides dlier: ALLY PRA
8.125% FREO (ATV MATY-0211512040 CALL CUSP: 361860208
ANYTIME 025 W130 DAYS BEGINS 02/15116
Dividend Option: Cash
02122112'.13 80.000.000 235350 1,882,773.60 25.9800 2,078,400.00 195.626.40 162.500.00 7.61%
ROYAL BK SCOTLAND GP PLC SPON ADR REPSTG Sultrily Identifier: RBS PRT
SER T ETD CPA -7 25% FRED ORTLY PERP M TY CUSP. 780097713
CALLS 25 ANY WI30 D NOTICE AFTR 12131112
Dividend Option: Cash
10124112 '.13 40,000.000 23 7900 951.600 00 25.3700 1,014399.99 63,119 99 72,500.00 7.14%
01107113 '.13 40,000.000 24 4400 977.600.00 25.3700 1,014,799.99 37,199 99 72,500.00 7.14%
01114113 '.13 40.000 000 24 8800 995.200 00 25.3700 1.014.800.02 19.800 02 72,500.00 7.14%
Total Noncovered 120,000.000 1 924 400 00 3,044,400.00 120,000.00 217,600.00
Total 120,000.000 $2,924,400.00 $3,044,400.00 $120,000.00 $217,600.00
Total Preferred Stocks $7,320,391.11 $8,471,370.00 $1,150,978.89 $649,025.00
Total Equities $49,096,930.65 157,904,683.75 88,807,753.10 $1,961,447.09
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Markel Wee Gain! Loss Annual Income Yield
Exchange-Traded Products 3.00% of Portfolio
WISDOMTREE TR JAPAN HEDGED EQUITY FO Security Identifier: DXJ
Dividend Option: Cash; Captal Gains Option: Cash CUSP. 97717W851
60,000.00 of these shares are in your margin account
12/11113 60,000.000 49.4350 2,966,098.50 57.2000 3.432.000.00 465.901.50 43.093.80 1.25%
Total Exchange-Traded Products $2,968,098.50 $3,432,000.00 $465,901.50 $43,093.80
Unrealized Accrued Estimated
Cost Basis Market Value Gala/ Loa Interest Annual Income
Total Portfolio Holdings 8117,248,798.29 $129,227,491.74 810,011,603.45 $293,629.59 13,501,93.62
Footnotes
• Nonccvered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended rIRC") (incorporating
amendments enacted by F.L.110-343. the Emergency Economic Stabiraation 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 ncin-retirement.
Page10 of 21
, a
PRA,' VOII: A S c O c L o T u H n E t N RA u m ber oinFonGoe pTapeTrleAss L R L c y a l e t g e n d ! t y t ` a e g c a o r i l s l g e in n w c il e 2 c 9 ° 0 " 7 •""r-Anais ..113 -2:::::/.•.8A..=4....'""e=
SDNY_GM_00045921
CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0008745
EFTA_0015 6530
EFTA01288893

Deutsche Asset
& Wealth Management
DmIwo Rant PnnieWeahniaragenen
Manes Coon., 6,0“)
Destsag la* %won +Ic
mar
P.O. Box 1778, Bahimore. MD 21203 in Put An.*. Ita I *xi
War we\ liY 1011.4
Statement Period: 0610112015 • 06/30/2015
Portfolio Holdings (continued)
US taxpayers securities which have been acquired on or after their 'applicable date(sT 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 after January 1, 2011
or
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide a simple fixed payment schedule for vouch a yield to maturity can be easily determined acquired on or after January 1, 2014.
Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed
inane 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 cost basis system is amended to reflect this change. These calculations MI not be performed under certain circumstances, including those invoking foreign bonds, bonds sold short or bonds issued with less
than one year to maturity. 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 km and Pershing makes no representation as to the accuracy of this information.
3
s 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.
Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
12
11 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.
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Redirect Gain/ Loss/
Date Date Transaction Description Chastity Cod Basis Proceeds Disallowance
Short Term
06122/15 06118/15 SELL FITBIT INC CI. A 800.000 16,000.00 31 094 03 15 094.03
First In First Oul Security Identifier FIT
06122115 06/19/15 SELL F000 DE CHAO INC COM 100.000 2,000.00 2.549 95 549.95
First In First Oul Security Identifier. FOGO
06/22/15 06/18/15 SELL UNIVAR INC COM 1.000.000 22.000.00 26.35311 4,353.81
First In First Oul Security Identifier UNVR
06122115 04/20/15 XOPTS CALI. AVALAN CH E BIOT 40.00 -100.000 0.00 68.692.73 68.692.73
First In First Oul Security Identifier. AAVL 0619
061301154 06125/15 Sal. TRANSLINION COM COM 300.000 6.750.00 7.52196 771.96
First In First Out Security Identifier TRU
06130/15 4 06126/15 SELL XACTLY CORP COM 600.000 4.800.00 5,097.10 297.10
First In First Oul Security Identifier MY
Page 11 of21
Account Number: Go paperless Rated [malign'
ORAN ROLL SOUTHERN CO FI D EIST/IA& b e C e x A e c L f M l y u A Y r R r e i c R a r r A S T i E nc D e C 2 O 0 M 0 M 7 UNICATDONS
SDNY_OM_00045922
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008746
EFTA_00 I 56531
EFTA01288894

Schedule of Realized Gains and Losses Current Period (continued)
frispositioe Acquisition Disposition Realized Gain/ load
Date Date Transadion Description Quantity Cod Basis Proceeds Disallowance
Total Short Term 551,550.00 $141,309.58 $89,759.58
Long Term
06115115 10122112' ROM G EARTHLINK INC GTD SR EXCHANGED CUSP FROM 251,000 000 259,857.81 265272 52 5,114.68
Rol In First Out 270321A88 8.875% 05115119 WE DTO 05/1
Security Identifier 270321AC6
Original Cost Basis: 262,890.00
06123115 12/13113' FRP WASHINGTON MUT MTG S 00142A2 LUG PASSTHRU CTF CL 1.290000.000 7,191.57 9.790 51 2,298.91
C. B-1 VAR RATE 6.985% 07125133
Security Identifier 939336520
Original Cost Beet 7.491.57
06/25/15 12113113' VAG COUNTRYWIDE HOME LOA I CL 81 1.090% 03/25/33 WED 1.500.000 000 838,309.32 897,173.91 59,161.59
First In First Out TD 01130103
Security Identifier 12889DYS1
Original Cost Basis: 838,309.32
Total Long Term $1,105,658.73 81,172,836.94 $67,178.21
Total Short Term and Long Term $1,157,208.73 81,314,146.52 $156,937.79
' Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended rIRC") (incorporating
amendments enacted by P.L.110-343, the Emergency Economic Stabifization Act of 20081 and are, therefore, considered enoncovered," 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
non-retirement, US taxpayers 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
1311 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
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014.
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.
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 Wormation 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.
Page 12o121
Account Number Its' Excellent,
WIAB ROI SOL THERA N ac. F ID (so S pap T erle ' s E s A L D ( r v xA e eL r n B y u A V rRt a r Ra n Ae S Tr i E nc D e C 2 O '0 M 07 M UNICATIONS
SDNY_GM_00045923
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008747
EFIA_00156532
EFTA01288895

Deutsche Asset
& Wealth Management
DraIsev RIM Wealth Minim,.
Matern I omrar Gto‘p
(MAIM 110i•
was bet Pik*
P.O Box 1770, Ba!ammo, MD 21203 Na Pot Anna. 1611. fiat
likve 10114
Illlllll
Statement Period: 01//112115 -1613012115
Schedule of Realized Gains and Losses Current Period (continued)
Cost Basis on fixed income secobes may be adjusted for amortization, accretion. onginal issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, 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 cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with
less than one year to maturity. 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 wil 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 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 MI be defaulted to First In, First 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.
M essa g es
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 be advised that Reich & Tang Asset Management LLC will be liquidating its funds (the 'RAT Funds') by the end of July 2015 and as such the R&T Funds will no longer be available as money market
funds in the ()BSI cash sweep program (the 'Sweep Program')
What this means for you:
If you are curtently invested in an R&T Fund. please refer to our earlier letter for more information about your available cash sweep options, or contact your client advisor.
If you are not curtently invested in the R&T Funds. this change will not affect the existing sweep for your uninvested cash balances and no action is required on your part
For information on all cash sweep options evadable in the Sweep Program, please visit our website at: httpilivealthdeutscheawm.cornlamericas/eniCashSweep0plicoshtml and click on 'Cash Sweep
Options-Rates'.
Pap1302f
co c.
Account Nun tier Nn Go paperless R (v a e te ry d Y [m ea a r ll a S r i d n , e . ?007 rr.L.."—"ZrZtratnarr...—. "=7
SC L THERA FID ENT1AL rDxAeL mBAsRn ReArT ED OOMMUNICATICW6
SDNY_GM_00045924
CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0008748
EFIA_00 156533
EFTA01288896

Activity Sum m a ry (All amounts shaven are in base currency)
Oedits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Securities/lough! 000 0.00 Securities Bought -1.644.434.00 -3.233.615.50
Securities Sold 59,997 79 128,690 52 Securities Sold 0 00 0 00
Total Securities $59,997.79 $128,690.52 Total Securities -$1,644,434.00 -93,233,615.50
Dividends and interest 9279,139.20 $1,525,000.21 Dividends and Interest $0.00 90.00
Distributions $1,170,575.35 $4,130,349.66 Distributions $0.00 90.00
Fees $0.00 $0.00 Fees $0.00 -9236.00
Taxes Withheld 10.00 $0.00 Taxes Withheld $0.00 -96,561.18
Other 10.00 $68,692.73 Other $0.00 -960,692.73
Cash Cash
Withdrawals 0 00 0 00 Withdrawals -1.529.290.08 -3.145.887.94
Deposits 0 00 2,047 119.25 Deposits 0 00 0 00
Total Cash $0.00 92,047,119.25 Total Cash -$1,529,290.08 -93,145,887.94
Money Market Funds $0.00 $2,448,952.63 Money Market Funds $0.00 -94,780,931.93
Total Credits $1,509,712.35 $10,348,805.00 Total Debits -$3,173,724.08 -111,235,925.28
Transactions by Type of Activity
Process/ Trade/
Settlement Transaction
Date Date Activity Type Dewiption Quantity Price Accrued liters Amount Currenry
Securities Bought and Sold
06/15/15 06110/15 PURCHASED MORN INC COM UNSOLICITED ORDER ALLOCATED ORDER 5.000.000 46.7800 .231,206 00 LSD
AKRX YOUR BROKER ACTED AS AGENT
06/15/15 06110115 PURCHASED ALIBABA GROUP FLDG LTD SPONSORED ADS 5,000.000 88.8886 -441,74900 LSD
BABA ISINIUS01609W1027 UNSOLICITED ORDER AVERAGEUNIT
RICE TRANSACTION YOUR BROKER ACTED AS AGENT
06/15/15 06110/15 PURCHASED DISH NETWORK CORP CL A UNSOLICITED ORDER AVERAGE 5.000.000 72.9344 -361,97800 LSO
DISH UNIT PRICE TRANSACTION YOUR BROKER ACTED ASAGENT
06/15/15 06110/15 PURCHASED GLAXOSMITHKLINE PLC SPONS ACM LASOLICITE0 ORDER 5.000.000 12.9100 -215.00600 1.4S0
GSK ALLOCATED ORDER YOUR BROKER ACTED AS AGENT
06115115 08110115 PURCHASED VIACOM INC NEW CL B UNSOLICITED ORDER AVERAGE UNIT 5.000.000 67.6878 -338.74500 1.,S0
VIAB PRICE TRANSACTION YOUR BROKER ACTED AS AGENT
06/22/15 YOUR OPTION WIRED CALL 100 AVALANCHE BIOTECHNOLOGIESINC COM ET 100.000 0.00 IAD
99002AM 6 06-19-150 10 000 OPTION ROOT= AAVL MVL CLOSING
TRANSACTION
Page 14 of 21
CA
US AO Rol A SO cc U o T u H n E t R N N u mber. O NLLC. FID G E o p N ape T rle I ss A L rL B L x v A a e c w M r i y d uA V f Rr a a n c R e n eA l l 5 e rT 1 r E 0 ia 2 D e C 2 O 0 M 07 M UNCATIONS rivat
SDNY_GM_00045925
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008749
EFTA_00 156534
EFTA01288897

Deutsche Asset
& Wealth Management
DraIsre Rana P.,... Wean iMaigentot
Pdaeals COMM, Gnat)
Des-boit ML SettolesW
lire Pan Onto
P.O. Boa 1778, Babimore, MD21203 M Pant Ammo_ lia liter
War Wet hY 1011A
Statement Period: 06/0112015 • 060012015
Transactions by Type of Activity (continued)
Proceed Trade/
Settlement Transaction
Date Date Activi Dewi ioa Quantit Price Accrued Intend Amain Carren
Securities Bought and Sold (continued)
06123(15 06/18115 PURCHASED FITBIT INC CI A PROSPECTUS UNDERSEPARATECOVER 800 000 2011000 •16.00000 USD
FIT
06123115 06/ 18115 PURCHASED l•AIVAR INC COM PROSPECTUSUNDER SEPARATE COVER 1.000.000 22.0000 •22,00000 USO
UNVR
06124115 06119115 PURCHASED FOGO DE CHAO INC COM PROSPECTUS UNDER SEPARATE 100.000 20.0000 .2,000.00 USO
POGO COVER
06125115 06122/15 SOLD FITBIT INC CL A UNSOLICITED ORDER AVERAGE UNIT PRICE .800.000 38.9382 31,094 03 USO
FIT TRANSACTION YOUR BROKER ACTED AS AGENT
06125115 06122/15 SOLD FOGO DE CHAO INC COM UNSOLICITED ORDER .100.000 26.0600 2,549.95 USD
FOGO
06125115 06122/15 SOLD tAIVAR INC COM UNSOLICITED ORDER .1,000 000 26.4203 26.353 81 USD
KYR
06130115 06/25115 PURCHASED IFtAN SWOON COM COM PROSPECTUSUKDER SEPARATE 300.000 22.5000 .6,750.00 USO
TRU COVER
Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -1,584,436.21
Dividends and Interest
06115115 FOREIGN BOND INTEREST 120000018E CAPITAL NO I PLC 144A ISINBXSO473106283 48,000 00 USD
654338BGS 8.000% 09115188 REG DTD 12/15109 CLB RD 06112 PD
06115/15
06115115 BOND INTEREST RECEIVED EARTH iNK INC GTO SR NT FULLY EXCHANGED CUSP FROM 1,878 54 USO
270321AC6 270321A88 8.875% 05/15/19 BIE DTD 05/17/11 CIA
ACCRUED INTEREST
06115115 CASH DIVIDEND RECEIVED GENERAL ELEC CAP CORP NON CUM PFD SERA 7.125% 71,250.00 USD
389622%6 06112/62 EVE RD 06112 PD 06/15115 DIV PAID AT 35.6250
2000000
06123115 CASH DIVIDEND RECEIVED 97525 SIRS GENERAL MTRS CO COM RD 06110 PD 06123115 35,109 00 USD
GM
06125115 BONO INTEREST RECEIVED 4500000 COUNTRYWIDE HOME LOANS SER 03.1 CL B1 4,301 83 USD
12669DYS1 4.090% 03125133 EVE DTO 01/30/03 RD 05129 PD 06125115
Page 15 of 21
C
Account Number. Raid excellent,
ti8AD 8011 SOL, THERA AO NLLC. FID G E o p N ape T rle I ss A L I L 0 X v A C e L r I B y L A V L7 l . l . N R . A C L T I a E c D e C Z O 0 M 07 M UNCATIONS —4-•••••••
SDNY GM 00045926
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008750
EFTA_00 156535
EFTA01288898

Transactions by Type of Activity (continued)
Process/ Trade/
Settlement Transaction
Date Date Activity Type DeØielån Quart Price Awned Interest Artrouat Curren
Dividends and Interest (continued)
06125115 BOND INTEREST RECEIVED 1290000 WASHINGTON NUT MTG SECS CORP 2004-RA2 4.152 93 LSD
939336520 MTG PASSTHRL CTF Cl. C-81 VAR RATE 6.985% 07125/33
WE DID 06101/04 RD 05129 PD 06125/15
06/26/15 CASH DIVIDEND RECEIVED 60000 SHRS WISDOM TREE TRJAPAN HEDGED EQUITY Fti RD 19.411.80 LSO
COU 06121 PD 06126/15
06129115 CASH DIVIDEND RECEIVED 8100 SHRS GILEAD SCIENCES INC RD 06116 PO 06/29/15 3.483.00 LSO
GILD
06129115 FOREIGN BOND INTEREST 1903000 LLOYDS BANKING GROUP PLC FM RATE RESET 35.681.25 LSD
539439AG4 ADDL TIER 1 SECS !SINS US539439AG12 7.500% 09/27/88
WE DTD 0/107/14 CLB RD 06126 PD 06/27/15
06/30/15 MONEY MARKET FLND DWSGOVT CASH INSTL 1,492.85 LSD
INCOME RECEIVED
233993682
06/30/15 FOREIGN SECURITY DIVIDEND 120000 SF RS ROYAL BK SCOTLAND GP PLC SPON AM 54.375.00 LSO
RECEIVED REPSTG SER T PFD CPN.7 25% FRED 0 RTLY PERP MTV
REIS PRT CALL@ 25 MY W/30 D NOTICE AFTR 12/31112 RD 06115 PD
06130115
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 279,139.20
Distributions
06/15/15 SECL MY REDEEMED EARTH LINK INC GTO SR NT FULLY EXCHANGED CLSIP FROM -251,000.000 265.272 52 LSO
270321AC6 27032088 8.875% 05/15119 B/E DTD 05117/11 CLB
CALLED BY LOTTERY
06/25/15 SECL MTV REDEEMED COUNTRYWIDE HOME LOAN S SER 031 CL El1 4.090% .4.500,000.000 897.773 91 1.9)
12669DYS1 03125133 WE DTD 01/30/03
06/25/15 RETURN OF PRINCIPAL 1290000 WASHINGTON lilLTMTG SECS CORP 2004-RA2 7.528.93 LSO
RECEIVED MTG PASSTH RIJ CTF CL C.B.1 VAR RATE 6.985% 07125/33
939336520 WE DTD 06101/04 RD 05/29 PD 06125/15
Total Distributions • UNITED STATES DOLLAR 0.00 1,170,575.36
Cash Withdrawals and Deposits
06103/15 FEDERAL FUNDS SENT DEUTSCHE MK TRUST -1.529.29008 LSO
USD999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 1,529,290.06
Total Value of Transactions 0.00 .1,664,01123 USD
The price and quantity displayed may have been rounded.
Page 16 of 21
uid`
I.)14AN VOI A S c O c L o T u H n E t N RA u m Der. F I D G E o p S ape M rles A s L ! I rD L n xA a n cL u . iB d tAu V ta RN s c R . e e A i S l rT e i n r E a e D w Ø 2' W 00 K 7 ATOG re...rat
SONY GM 00045927
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY:0008751
EFTA30 156536
EFTA01288899

Deutsche Asset
& Wealth Management
Drain Ram Pon.VeAtahnhivmp.cat
hIlf Comna6Km)
oe.osot %IVY. AC
live bet Cali*
PO &a 1778. Ballimore, MO 21203 MI Pot Anremie. Ikh I bet
Statement Period: 0610112015 • 06/30/2015
Cash Not Yet Received
Security Record Date Payable Date Quantity Held Rate Dividend Option Mount of Payment
Dividends
GENERAL ELECTRIC CO COM 06122115 07127115 23.000 000 0.230000 Cash 5,290.00
VIACOM INC NEW Cl B 06115115 07101115 5.000 000 0.400000 Cash 2,000.00
Total Cash Not Yet Received $7,290.00
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
1 to 5 rn or:re 2,452.500 00 Percentages of bond market values are
1 to 5 years 777/05.00 rounded to the nearest whole percentage.
6 to 10 years 1,983,750.00
Over 10 years 16,951009.64
Total 22,171,96414 100%
Bond Quality
Bond Quality Market Value %of bed Market Value
10,906,250.00 49% Percentages of bond market values are
PIL oner 11.263.714.64 51% rounded to the nearest whole percentage.
Total 22,171,964.04 100%
Page 17 of 21
Account Num berms Rated excellent,
L)8Atl u. I ; THERA COL uN DGor tiisl ler rrleisAs L I D v A or U y M Ye . R w A L T a E c D e C 1 O 0 M 07 M UNICATIONS
rxest unser
SDNY_GM_00045928
F I
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. O13-SDNY-0O08752
EFIA_00 156537
EFTA01288900

Trades Not Settled
Settlement Trade Activity Mooed Settlement
0ate Date Type Desolation Quantity Price Interest Mount
07/01/15 06i26/15 Buy XACTLY CORP COM 600.000 8.0000 0.00 4800.00
PROSPECTUS IADER SEPARATE COVER
07/06/15 06/30/15 Sell TRANSIAION COM -300.000 25.2603 0.00 7,521.96
COM UNSOLICITED ORDER
AVERAGE UKIT PRICE TRANSACTION
YOURBROKER ACTED AS AGENT
07106115 06/30/15 Sell XACTLY CORP COM -600.000 8.5866 0.00 5.097 10
UNSOLICITED ORDER AVERAGE UNIT PRICE
TRANSACTION YOUR BROKER
ACTED AS AGENT
Total Amount of Trades Not Settled 97,819.06
Client Service Information
Your Client Advisor: DAN
DANIEL SABSA
345 PARK AVENUE 26Th FLOOR
KEW YORK AY 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 (OID): 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 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 mare inform alien.
Important Information and Disclosures
Pricing
This section indudes 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 otheweise 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 WA' 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
Page18 of 21
det
'DOAN ROIL A SO cc U o T u H n E t R N N u m be; Go paperless Ram O a A V ta R t c a R e n A ll T a • E n s i D l e C n O 0 M 0 MUNICATIONS .a.r.i.trositt.'t...9.r..-t......Prt Waft
Nc FI D r/Wink rxentmer
SDNY_GM_00045929
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) UO L DB-SDNY-0008753
EFTA_OOI56538
EFTA01288901

Deutsche Asset
& Wealth Management
Destine Um Pon. wean Miner-vat
Mareits Cedric, 6,0.4)
ontsciv ML sectotes M.
Mar *4 Mar
PO. Bca 1778. Ballimore, MO 21203 SO Pan AS,* 140meop
mow *a NY 101M
Statement Period: 06/0112015 • 06/3012015
m portant Inform ation and Disclosures (continued)
Estimated Annual Figures (continued)
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.com/business_continuity.html for specific detads 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 confirrnahon 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 mewed 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 maintainng 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 automaticaly 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 pernitted 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 & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts, are not
recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Cash Not Yet Received
Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
Pap 19 of 21
Account Number:
Go paperless
ti, R
E v
a
e
i
r
d
y
Str".l
S
lo
in
ria
es 2007
SOUTHERN DALOARRATC000MMUNICATIONS
F I DrErnAL rxenurrder
SDNY_GM_00045930
CONFIDENTIAL — PURSUANT TO FED. R. CPIM. P. 6(e) OB-SDNY-0008754
EFIA_00156539
EFTA01288902

Important Information and Disclosures (continued)
The Role of Pershing
• Pershing carves 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 ) 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 eneral 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 . 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 (SIPC1. 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: vninv.pershing cornistrength_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-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 WI typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration locums 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 n 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 LLD, Legal Department. One Pershing Plaza. Jersey City, New Jersey 07399;
Page 20 of 21
Account Number Rated tnellenti
V8"" ROI SOL TH ERk L LLC. DGor paapenrleAss L Dr L x v Ae e U r n y Mu r',m LeA L rU a D te C 2 O 0 M 07 M UNICATIONS
N F I
SDNY_GM_00045931
CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6(e) OB-SDNY-0006755
EFrA_00156540
EFTA01288903

TERMS AND CONDITIONS
TRANSACTIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST. ODD LOT DEALER.
• ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY
SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ARE EXECUTED ANDADIR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY ANO 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 NSPECTION AT
DATE. WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF [TWILL 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 WWW.PERSHING COM.
STATEMENT. IF SO, THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW.PERSHNG.COINDISCLOSURES
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS.
THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS -
FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S RULE ISIMAX1)-(2)]
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS.
PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES PT YOUR ACCOUNT APPEARS ON THE NETWORKS, OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON
FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COMES. WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW
MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY MID OPTION
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT.
RECORD OF THE SEPARATE ACCOUNT AS REOUIRED BY REGULATION T IS AVALABLE FOR YOUR BEST OCECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
NSPECTION UPON REQUEST. FLOW, PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER.THE.
TAX INFORMATION COUNTER AND EXCHANGE-LISTED SECURITES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS.
TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN
• AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL THE NATIONAL BEST BID OR OFFER (NERO). ON CERTAIN LARGER ORDERS, OR F THE DESIGNATED
REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES AT THAT TIME PERSHING WILL MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY
PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TM RETURNS. QUALITY OF THER EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE
• DIVIDENDS. MEREST AM) OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSH.NG ALSO REGULARLY
AS TAX/ISLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION REVIEWS REPORTS FOR QUAUTY OF EXECUTION PURPOSES.
DATE. THIS Co ASSFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS
GENERAL INFORMATION.
• PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE
ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ARE NDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITES
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 PERSHNG TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE ND USTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR
YOUR ACCOUNT ARE OR MAY 8E. 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 LIABLITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT
PROMBITED BY LAW.
IF ANY OF THE ABOVE TERMS AIM CONOITONS ARE UNACCEPTABLE TO YOU. REAM HOTFY PERS-IBIO IMIEDIATELY IN WRITING BY CERTFED MAIL TOONE PERSHING PLC& JERSEY CITY. NJ MOO ATM WW1DEPT
Pap 21 OD
Account Number: R•I•Y tsconenti
Go papertess L very Year Sac 2007
FIDENTIAL rOxAeLi BtuArRtr RaeArT ED COMMUNICATIONS
SDNY_GM_00045932
CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6: THERhCON OB-SDNY-0008756
EFTA_00156541
EFTA01288904

Deutsche Asset
& Wealth Management
Draw •V gam Ponln Wealth Manrent
Vinets Cowan40...p
Deote4 Bat 144.....et
In. bet 0111o.
PO Boa 1778, Ba!limey°, MD 21203 Ma Part Anew. b.4bc,
corm AY 101
Account Number:
Statement Period: 0510112015 -151311211$
Valuation at a Glance
This Period Year-tmOate
SOUTHERN FINANCIAL LLC Beginning Amount Value 9130,639,936.04 9126,711,293.02
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 430.521.39
Net Securities InfOut of Account 000 -2.483,792.00
ST THOMAS VI 00802
Adjusted Previous Account Value 130139,93611 121,661,022.41
Dividends, Interest and Other Income 471277.13 1.559,01714
Total Taxes Withheld -6,56118 -6,561.18
Net Other Activity -200.00 -236.00
Your Client Advisor: Net Chan ie in Portfolio 999.570.38 5,892,780.10
DANIEL MBI3A nclrng Account Value 5132.''06 C23.'7 5132.106 023 17
Accrued Interest $331,375 <4
Estim ated Annual !nom e 33.511.941 96
Asset Allocation
Prior Year-End Lad Period This Period % Allocation
LSD Cash. Money Funds. and Bank Deposits 11,273,981.33 16,910,315.07 17,382,855.08 35.87% P else rev ew your allocation
LSD Axed Income 18,177,155.513 15.589,02515 15,587,101.74 11.80% ner coca y wth you' Cleft Advoct
on.L SD Axed Income 7.150,052 50 7,812,452.50 7,812,41825 5.91%
USD Equities 51,121511 61 56,907,025.62 57,699,186.10 13.68% I
Kon.liSD Equities 2.986.256 00 3121.08100 3.624.164.00 2.74%
Account Total title Chart) 9126,714,293.02 1130,839,936.11 9132,106,023.17 109.00%
See the Asset Allocation Disclosure end Footnotes secton Sr important intonation reganding your Asset Allocation.
Page 1019
DRAB 901.1 B012 991003830017 Go paperless S M [v a e s ry a V t s. Since 2007 o o ca - t a n -e o o tr o o o...-==" o 4 ne = r i o r c t :
CONF IDENTiA
SDNY_GM_00045933
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 19161LBALILLIEDMIAMUNICAT°6 OB-SDNY-0008757
EFIA_00156542
EFTA01288905

Asset Allocation Disclosure and Footnotes
M values are displayed in U.S. dollars based on interbank exchange rates as of 05/3112015. Exchange rates can vary.
Equities contains Equity Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short-Term Gainfloss 000 0 00 6 875.488 60
Long•Term Gain/Loss 1.003 35 13.398.09 4.870.371.13
Net GaIn/Loss 1,003.35 43,398.09 11,745,859.73
This summary excludes transactions where cost basis information is not available.
For Your Information
Cr June 5. 2014. the European Central Bank (the -ECB1i ntroduced 'negatrve interest rates'. This negative interest rate applied to all deposits held at the ECG 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 and/or 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 Adivity Type Description Amount Balance
Sweep Money Market Fund
DV/ 5 GOVERNMENT CASH I N STL
Account Number 000-0001490 Cuirenl Yield: 0.01% Activity Ending: 05/29115
0901/15 Opening Balance 46,551,588.63 46,551,588.63
05101/15 Deposit MONEY FLND PURCHASE 358.756.11 16.910,31507
05113/15 Deposit MONEY FUND FURCHASE 11,276.50 15,921,621.57
05114115 Deposit MONEY FUND PURCHASE 4.001 38 46.925.625 95
05115115 Deposit MONEY FUND PURCHASE 119.589.81 17.015.215.79
05118/15 Deposit MONEY FUND PURCHASE 233506 29 17,278,722.08
05127115 Deposit MONEY FOND PURCHASE 11,491.06 17,293,213.14
05128115 Deposit MONEY FUND PURCHASE 1200.00 47294,413.14
05129115 Deposit INCOME REINVEST 1.600.13 47.296.013 27
06129115 Closing Balance 147,296,013.27
Total All Money Market Funds 847,296,013.27
Page 2 of 19
Account Num ber Railed f-acellenti
UPAII ROI 1 SOL:KITHO NMC. paperless rD L xA y a o Lr n Bt , u A V rRn e aR st eA L rT o E c D o C 2 O 0 M 07 M UNICATIONS
SDNY GM 00045934
FIDESMAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008758
EFTA_00 156543
EFTA01288906

Deutsche Asset
& Wealth Management
°mist.< Roo OPOOMMOPIPAPMernalt
minim <Dome 4,8.8
M.-UM la* sectonet lc.
Int 44 Olgo
P.O. Boa 1778, Banimoro. MD 21203 Habn •OrtiO .!Note,
One wet ItY 10114
Statement Period: 0510112015 • 05/3112015
Income and Expense Summary
Current Period Year-t-oDate
Taxable Noe Taxable Taxable Non Taxable
Dividend Income
Equities 210,088.15 0.00 481,172.90 0.00
Money Market 1,600.13 0.00 6,35228 0.00
Other Dividends 81,250.00 0.00 372,500.00 000
Interest Income
Bond Interest 52,87210 0.00 304,58565 0.00
Other Interest 40,625.04 0.00 81,250.08 0.00
Expenses
Withholding Taxes 4561.18 0.00 6,561.18 0.00
FeesfFoieign Securibes -200.00 0.00 -200.00 0.00
Total Dividends, Interest, Income and Expenses $371,874.14 10.00 K239,099.0 $0.00
Distributions
Aternabte Inseam ents 0.00 86641.81 0.00 313.15683
Other Distributions 0.00 5.99416 0.00 82.087 47
Total Distributions $0.00 $92,835.87 $0.00 $395,244.30
Portfolio Holdings
Account Activity Opening Closing Awned Income 30-Day Current
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 36.00% of Portfolio
Cash Balance 358,756.44 86.841 81
M oney N arket
DWS GOVERNMENT CASH INSTL
05/01115 47.296.013 270 0000001490 05129115 46.551.5U 63 47 296.013 27 0.00 6.35238 0.04% 0.04%
Total Money Market $48,551,586.63 $47,296,013.27 $0.00 $6,352.38
Total Cash, M oney Funds, and Bank Deposits 148,910,345.07 147,382,855.08 $0.00 16,352.38
Page 3 of 19
ri
Account Number Rated tocolloni
OttAM SO L Th ERIN CT, Go paperless D be A e L f O y A V R o R n O W TE o D o C 2 O 0 M 07 M UNICATIONS
F I DAENTEAL rxerurnaer
SDNY_GM_00045935
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008759
EFTA_00 156544
EFTA01288907

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acc4.rez Quantity Unit Cod Cod Basis Market Price Markel Value Gain/ Loss Interest Annual Income Yield
Fixed Income 18 .0 0% of Portfolio tin Maw* Dee Sequence)
'Asset Backed Securities
COUNTRYWIDE HOM E LOANS Security Identifier: 12889 DT 51
SER 03-1 CL 81 4.090% 03(25133 BrE
DTD 01130103
Factor: 0.19950531 Effective Date:05101/15
Current Face Value: 897.773 895
12113113'.1.12 4,500,060.000 933760 838.309.32 83.6530 751,014 80 .87,294.52 3.059 91
Original Cosl Basis: $1,111,573.01
WASHINGTON MUT NI TG SECS CORP 200441A2 Security Identifier: 939338620
TO PASSTHRU CTF CL C-B-1 VAR RATE
6.985% 07125133 WE 010 06/01/01 S & P Rating 0
Factor. 0.552.99619 Effective Dale.05101/15
Current Face Value: 713.365.085
12113/13 u.3." 1,290,000.000 76.5190 545157.04 84.4360 602,336 94 56,479 90 4,152.62
0 nginal Cost Basin $638.906.71
Total Asset Backed Securities 61,384,166.38 61,353,361.74 -630,814.82 $7,212.63 30A
6,790,000.000
Total Current Face Value 1,811,138.910
Corporate Bonds
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
NOTES Sell ICIR ISM, X60460546525
5.000% 10/28/15 REG DTD 10/28109 S& P Rating B.
12104/13'.3.12 2,500,000.000 976440 2,441,090.09 98,0000 2,450,000.00 8,909.91 11,458 33 125,000.00 5.10%
Original Cod UN $2.250.00.00
EARTHUNK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC8
CUSP FROM 270321A81 8.875% 05/15/19 EUE
DTD 05117111 CALLABLE 05/29/15 S & P Rating CCC+
10122112 '.3.12 400,000.000 102,3280 409.301.00 104.0000 416,000 00 6.696.00 1.577.78 35,500.00 8.53%
Original Cost Bait 6114,000.00
10123/12 u.3.O 600.000 000 102 1620 612.970.16 104.0000 624.000 00 11,029.84 2.366.66 53,250.00 8.53%
Original Cost Basic $619,500.00
Total Noncovered 1,000,000.000 1,022,274.16 1,010,000.00 17,726.84 3,944.41 88,760.00
Total 1,000,000.000 61,022,274.18 $1,040,000.00 617,726.84 $3,944.44 688,760.00
LLOYDS TSB BK PLC EURO ISSUE M EDIUM Security Identifier: 64616PPIll
TERM KOTESIMP XS0717735822
9.875% 12/16/21 REG DM 12/16111 Moody Rating Bat S8
P Rating BBB-
12104/13 '.3.12 1,500,000.000 107.3330 1,609,996.64 111.7900 1,676,850.00 66,853.36 67,479 17 148,125.00 8.83%
Onginal Cosl Basis: $1,627,500.00
Page 4 of 19
ORM, t A S c O c U o T u H n E t R N ? u , m C be H r. O NLI.C.i FID G AE o p N ape T rle I ss A L Dr (v xA e eL r s B y i Ao Y E Rn x e c R a s e r eA l l S e rT r i E n e c l D l e C 2 O 0 M 07 M UNOTOONS
SEM Y_GM_0004 6036
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) O13-SDNY-0008760
EFIA_00156545
EFTA01288908

Deutsche Asset
& Wealth Management
Oralsre Rana Pnwale vkan Alpmernait
Pdaeals (Dona Gro.p
De.isch4 ML Settonesw
Mee wan 0at*
PO Boa 1778, Banimore, MD 21203 Hann Ass.. Ikkilbgr
War *A M',0114
Statement Period: 05/01/2015 • 05/31/2015
Portfolio Holdings
(continued)
Adjusted Unrealized kaued Estimated Estimated
Date Acquired Quantity Uait Cod Cast Basis Market Price Market Value Gain? Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 06739FHK0
ISMS Li 606739FH(03 7.750% 04110123 B1E
DTD 04110/13 CALLABLE 04/10/18 S8 P Rating BB*
04103113'.12.13 300,000.000 100.0000 300,000.00 110 7500 332,250.00 32.250 00 3,29375 23.250.00 6.99%
Original Cost Bass: 5300,000.00
PM ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 46825HHA1
1/10TH PFD SERI FIXED TO FLTG RT BO
7.900% 04129/49 B/E DTD 04/23/08 Moody Rating BA1 S8
P Rating BBB-
05115111 '.3.13 2,500,000.000 107.5000 2,687,500.00 106.6500 2,666,250.00 -21,25000 16,458.31 197.500.00 7.40%
Original Cost Bait: 52,687,500.00
06115111 '.3.12 2,500,000.000 107.0000 2,875,000 00 106.6500 2,666,250.00 -8,750.00 16,458.33 197,500.00 7.40%
Original Cost Bass: 52,675,000.00
Total Noncovered 5,000,000.000 5.362.500.00 5,332,600.00 .30,000.00 32,916.437 395,000.00
Total 5,000,000.000 $5,362,50000 $5,332,500.00 -330,000.00 $32,916.52 3395,000.00
BANK AMER CORP PERP NON COM ULATIVE OEP Security Identifier: 060505D16
SFS FIXED TO FLOAT 8.125% 04130158 B/E
DTD 04130108 CALLABLE 05/15/18 Moody Rating BA2 St P
Rating BB
01110111 '.3.12 2,000,000.000 102.7500 2.055.000.00 107.7500 2,155,000.00 100.00000 7.222 22 162 500 00 7.54%
Original Cost Basis: 52.055.000.00
SOUTHERN CALIF EDISON CO PREF SER E Security Identities: I42400FU2
6.250% 01117/62 WE DTD 01/17/12
CALLABLE02/01122 0 100.000 Moody Rating BM1 S 8 P
Rating BBB-
01130112',3,t2 3,000,000.000 99.8180 2.994.544 58 112.3750 3,371,250 00 376.705.42 62.500.00 187.500.00 5.56%
Original Cost Be 52,992,581 97
Page 5 of 19
kiLC
Account Number Italia [...mos rats=
E:129930CSF10:,1 ' Et..kl ROLL SOUTHERN CO F I D G A o p E ap N erl T es I s A L r E D x v A e e L r O s y A t V i R m . . R . e A L r T a E c D e C 2 O 0 M 07 M UNOLTIONS
SDNY_GM_00045937
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008761
EFTA_00 156546
EFTA01288909

Portfolio Holdings
(continued)
Adjuded Unrealized Awned Estimated Estimated
Date Acquired Quantity Unit Cost Cod Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 3696223116
A 7.125% 06/12/62 BIE
DTD 06112112 CALLABLE 06/15/22 Moody Rating BAA1 Sd
P Rating A*
06127/12 'AA 2.000.000.000 104 7260 2.094.517.86 116.7500 2,335 000 00 240.182 14 65,708 33 142.500.00 6.10%
Original Cosl Basis: 52.122.916 67
LOG CAPITAL NO 1 PLC 144A Security Identifier: G54330668
ISIA XS0473106283 8.000% 09/15/88 REG
DTD 12115/09 CALLABLE 06/15/20 SB P Rating BB
12/04/13'•3,u 1.200.000.000 108 2500 1,299,000.00 110.7500 1.329.000.00 30.000 00 44.286 67 96.0'30.00 7.22%
Original Cost Basis 51,299,000.00
1LLOWS BANKING GROUP PLC FXD RATE RESET Security identifier 539439AG4
ADDL TIER 1 SECS 'SIN a 1, S539439AG42
7.500% 09/27/88 WE DID 04/07114 Sd P Rating Br
Please Provide' 1.903.000.000 N/A Please Provide 106.3750 2.024.316 25 N/A 25.373 33 142125.00 7.05%
Onginal Cosl Basis: Please Provide
Total Corporate Bonds 319,176,923.33 322,046,165.25 3812,926.57 3324,162.91 31,511,350.00
20,103,000.000
Total Fixed Income 320,553,089.69 323,399,517.99 1812,112.05 1331,375.44 31,511,350.00
26,193,000.000
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cod Cod Bads Market Price Market Value Gain/ Loss Mena! Income Yield
Equities 4 3.0 0% of Portfolio
Common Stocks
OBILEYE NV AM STELVEEN ORD SHS Security Identifier: M SLY
ISIASKI.0010831061 CUSP. N51488117
Dividend Option: Cash
08101/14 800.000 25 0000 20.000.00 47 0800 37.661.00 17,664 00
ALUANZ SE SPONSADR REPSTG 1110 SHS Security Identifier: AZSEY
Dividend Ophon. Cash CUSP. 018805101
01113/15 5.000.000 180110 90.056 00 15.6500 78,250 00 -11.806.00 2.833 81 3.62%
APOLLO GLOBAL M GM T LLC CL A 3115 Security Identifier: APO
Dividend Option: Cash CUSP-. 037612306
03129/11 '.13 263,157.000 19 0000 1.999,983 00 221000 5,812,085.40 842,102 10 626.313.66 10.72%
APPLE INC COM Security Identifier: AAPL
Dividend Ophon Cash CUSP. 037833100
Page 6 of 19
Account Num her. litatad Excellent,
USAD Rol k SOL THERI Z1 ONLLC. Go paperless ( D v A e L r y B A V R . . R . A S T l E a D b C 2 O '0 M 07 M UNCATIONS
noilu I Het
SMIY_GM_00015938
FIDE1SMAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) DB-SDNY-0008762
EFTA_00 156547
EFTA01288910

Deutsche Asset
& Wealth Management
Vritslin
Maniets I...VW G.0.9
0ee.ruN N.
Yin bet Office
PO &a 1778. Bahimore, MO 21203 10 Pant Annw.)01knoct
tine ',kr\ JiY IOVA
Statement Period: 05/01/2015 - 05/31/2015
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Dale Acquired Quantity Unit Cod Cost Basis Market Price Market Value Gainlloss Animal Income Yield
Equities (continued)
Common Stocks (continued)
APPLE INC COM (continued)
09105114 142,800.000 98 9500 14,130,065.71 130.2800 18,603,984 00 4,473,91829 297.024.00 1.59%
ARIA() PHARMACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash CUSP: 04033A100
0211012 '.I3 7.535.000 15 2090 114.597.40 9.1800 69.171.30 •45.426.10
01/24113 ',13 9.000.000 19 6000 176.400.00 9.1800 82.620.00 -93.780 00
Total Noncovered 16,535.000 290 997.40 151,791.30 -139,206.10
Total 18,635.000 9290,997.40 1151,791.30 .$139,206.10 80.00
ASCENA RETAIL GROUP INC COM Security Identifier: ASN A
Dividend Option: Cash CUSP 043516101
01116101 70,500.000 21 2770 1,500,000 00 14.7800 1,041,990 00 -458,010.00
AVALANCHE BIOTECHNOLOGIES INC Security Identifier: AAVL
COM CUSP: 053376107
Dividend Option: Cash
10,000 00 of these shares are in your margin account
04120115 10,000.000 39.8610 398,606.00 37.2800 312,800 00 •25,80600
BASF SE SPONS ADR Security Identifier: BASFY
ISM U 93552625057 CUSP. 055262505
Dividend Option: Cash
04/13/15 5.000.000 101.6110 501.05600 92.3120 461,560.00 -46.49800 11,276.50 2.44%
BANK OF NEW YORK M ELLON CORP COM Security Identifier: BK
Dividend Option. Cash CUSP 064058100
06125114 250.000.000 36.3060 9.076.406 00 43.3600 10.840.000 00 1,763,594.00 170.000.00 1.56%
BIOGEN IDEC INC COM Security Identifier: 8116
Dividend Option: Cash CUSP 09062X103
02/14112 %13 21951130 119.5490 250,454.95 396.9900 831,694.05 58t,239.10
FACEBOOK INC CI. A Security 'detainer: FB
Dividend Option: Cash CUSP: 3030311102
05/17112 ..13 17,500.000 38 0000 665,000.00 79.1900 1.385.825.00 720,825.00
Pape/ of 19
Account Number Go paperless R Ly a o il n e . d . V [.. . . ISM W ier 2007
SOL THERA CHO NLW. FIDESITIAL rDxAeLOnAtR e wRAeTr ED COMMUNCATIONS
SDNY_GM_00045939
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008763
EFrA_00 156548
EFTA01288911

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date ired Oineth U&t Cod Cot Basis Market Pike Markel Value Geld Lou Annual name Yield
Equities (continued)
Common Stocks (continued)
FOUNDATION MEDICINE INC COM Security Identifier: FM I
Dividend Option: Cash CUSP: 350465100
01113114 25,000.000 27.5070 681,883.50 35.7700 894.250.00 206,586.50
08105114 21,830.000 232530 577,373.02 35.7700 888,169.10 310,796.08
Total Covered 19,830.000 1,205,03012 1,782,419.10 517,362.6$
Total 19,830.000 31,266,03042 31,782,419.10 3517,382.58 30.00
GENERAL ELECTRIC CO COM Security Identifier: GE
Dividend Option: Cash CUSP: 389604103
04123113 '.13 23 000.000 21.5700 496,109.08 27.2700 627 210 00 131,100.92 21,180.00 3.37%
GENERAL M TRS CO COM Security Identifier: GM
Dividend Option. Cash CUSP: 370459100
11118110 ' 10 988.200 36.1010 399,978.16 35.9700 395,245 56 4.732.60 15,823.01 4.00%
12/09110 86 536 800 36.8180 3.185.96922 35.9700 3.112.728 69 .73,210,53 121.612.99 4.00%
Total Noncovered 97,525.000 3,606,917.36 3,607,971.26 .77,973.13 110,130.00
Total 97,525.000 33,616,947.34 33,507,174.26 -977,973.13 9140,138.00
GILEAD SCIENCES INC Severity Identifier: GILD
Dividend Option: Cash CUSP: 375558103
0210511/ 5 000 000 792810 396,107.00 1122700 561,350.00 164,913 00 8,600.00 1.53%
03107/14 3.100 000 79.6120 246.797.00 1122700 318,037.00 101,240.00 5,332.00 1.53%
Total Covered 8,100.000 643,204.00 909,307.00 268,183.00 13,932.00
Total 0,100.000 $643,204.00 $909,387.00 3286,163.00 313,932.00
GO DADDY INC CL A Security Identifier: GDDY
Dividend Option: Cash CUSP: 380237107
04101115 700.000 20.0000 14,000.00 26.9300 18,851.00 4.851.00
HEALTH NET INC COM Security Identifier: H NT
Dividend Option: Cash CUSP. 422226108
09108114 25400 000 46 9800 1.174,50640 62.2400 1.556.000.00 381.494 00
SANGAM 0 BIOSCIENCES INC COM Security Identifier: NM 0
Dividend Option: Cash CUSP 800677106
05128/13 '.13 50,000.000 44440 122,211.00 12.2500 612,500.00 190,286 00
SANTANDER CONSUMER USA HLDGS INC COM Security Identifier: SC
Dividend Option: Cash CUSP: 8028314101
01123114 1.000.000 24 0000 24,000.00 24.5000 21,500.00 500.00
TWITTER INC COM Security Identifier: TSYTR
Dividend Option: Cash CUSP. 901811.102
11107113 1,500.000 26 0000 39,000.00 36.6700 55,005.00 16,005 00
Page of 19
Account Number: kilted tacell ona
8012.9910CSF's I 0870 well SO 17 THERM - FI D G r o i p S ape r rl r e i s A s r0 t xA v e e Ls r O y uA '0 rRt 7 r R • a 7 eA W rT E oe D s C 2 O 0 M 07 M UMOLTIONS
SDNY_GM_00045940
CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) OB-SDNY-0006764
EFrA_00 156549
EFTA01288912

Deutsche Asset
& Wealth Management
Oeviwe "Mall POMmir-wrat
Mtioets OntitetC•ap
De•CUNI Nom
bet Mar
P.O. Boa 1778, BaMimore, MO 21203 Annw. iloct
tine w.f. nr laVA
Statement Period: 05/01/2015 - 05/31/2015
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
VOLKSWAGEN A 0 ACM (WON Si Security Identifier: VLKAY
Dividend Option: Calk CUSIP. 928662303
04113115 5.000.000 50.8610 254.306.00 48.1300 240.650 00 .13,656.00 4.004.38 1.66%
WISDOM TREE INVISINC COM Security Identifier: W ETF
Dividend Option: Cash CUSIP 97717P104
03131115 15.000.000 21.6110 324.157.50 21.3600 320.400 00 -3.757.50 4.800 00 149%
Total Common Stocks 240,172,105.54 $49,302,540.10 29,130,434.56 21,291,760.36
Preferred Stocks (listed by expiration date)
ALLY FIR INC FIX TO FLT Security Identifier: ALLY PRB
DIV8.50% FREOCURLY CALLABLE.) 25.00 CLSIP 02005h308
ON A OTRLY BASIS AFTER 05115/2016
Dividend Option: Cash
02103112 "13 46,600.000 19.3820 903217.51 26.3500 1,227,910 01 324,692.50 99.025.00 8.06%
02109112 t13 80,000.000 20.1250 1.610,000,00 26.3500 2,107,999.99 497,999.99 170.000.00 8.06%
Total Noncovered 126,600.000 2 613,217 51 3,335,910.00 822,692.49 269,025.00
Total 126,600.000 22,513,217.51 $3,335,910.00 2622,692.49 2269,025.00
GM AC CAP TR I GTD TR PFD SECS SER 2 CPN- Security Identifier: ALLY PRA
8.125% FRED ORTLY MATY-02/1s no4o CALL CUSP: 361860208
ANYTIME.) 25 W130 DAYS BEGINS 02115116
Dividend Option: Cash
02722112',13 80,000.000 23.5350 1,882.773 60 26 0600 2,084.800 00 202.026.40 162.500.00 719%
ROYAL BK SCOTLAND GP PLC WON ADR REPSTG Security Identifier: RBS PRT
SER T PFD CPN-7 25% FRB) ORTLY PERP M TY CUSIP. 780097713
CALL.) 25 ANY W130 D NOTICE AFfR 12131/12
Dividend Option: Cash
10/24/12 '.13 40.000.000 237900 951.600.00 25.4800 1.019.199 99 67.599 99 72,500.00 7.11%
01107113 '.13 40,000.000 24.4400 977,600.00 254800 1,019,199 49 41,599 99 72,500.00 7.11%
01114113'•13 40.000.000 24 8800 995,200.00 25.4800 1.019.200 02 24.000 02 72,500.00 7.11%
Page 9 of 19
Account Num ber. Go paperless Rated excellent .Trar
081.0 KLTHERIZ1O NLW. FlD r1SMAL rD b x e Ae e L f n B y u A V rR • m a R r eA S rT i E nc D e O 2 O 0 M 07 M UNC ATIONS
SDNY_GM_00045941
CONFIDENTIAL — PURSUANT TO FED. R DRINA, P. 6(e) OB-SDNY-0008765
EFI:4_00 156550
EFTA01288913

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date Acquired Quantity UM Cost Cod Bads Market Prke Markel Value Gold Loss Annual Income Yield
Equities (continued)
Preferred Stocks (continued)
ROYAL BK SCOTLAND GP PLC WON ADR REPSTG (continued)
Total Noncovered 120,000.000 2,924,400.00 3,057,600.00 133,200.00 217,600.00
Total 120,000.000 $2,921,100.00 63,067,600.00 $133,200.00 $217,600.00
Total Preferred Stocks $7,320,391.11 68,476,310.00 61,157,918.19 $649,025.00
Options
CALL 100 AVALANCHE 810TECHNOLOGIES INC Option Identifier: 99QAF2AM
COM DT 06-10-I 5(} 40 000 Underlying Security Identifier M.
OPTION ROOT= AAVL Underlying Security Price: $37.28
.100.00 of these contracts are a shod penguin
04120115 • .100.000 6.8690 48.692.73 4.4000 44100.00 24,692.73
Total Options -$66,692.73 -144,000.00 $24,692.73 $0.00
Total Equities $47,423,103.92 $57,730,650.10 110,313,046.1$ $1,940,006.38
Usrealized Estimated Estimated
Date Acquired Quantity Unit Cod Cost Basis Market Price Markel Value Gale/ Loss final Income Yield
Exchange-Traded Products 3.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY FO Security Identifier DU
Dividend Option: Cash; Capital Gans Option: Cash CUSIP. 97717W$51
60.000 00 of these shares are in your margin account
12/11/13 80400.000 494350 2.986.098.50 59.7800 3.586 800.00 620.701.50 56.04.20 1.57%
Total Exchange-Traded Products $2,966,091.50 13,586,800.00 $60,701.60 $56,434.20
Unrealized Accrued Estimated
Cod Basis Market Value Gain( Loss Interest Annual Income
Total Portfolio Holdings 111,335,847.19 $132,106,023.17 611,745,859.73 $331,375.44 $3,514,941.96
Footnotes
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generaty 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 non-retirement,
US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reportng rules and the adjusted basis WI 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
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014.
Page 10 of 19
Account Number: ItmledtwcolleM
VBAH ROIL 6(e)1, TH ERA CJO N H FID G A o p n ap T erl r es i s A L D L r v xA e Le ry Os V Am ip Rw a Re r Ar S T i n O ce )C 2 O '0 A 07 V AUNICAIKM6
SDNY_GM_00045942
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. DB-SDNY-0008766
EFTA_00156551
EFTA01288914

Deutsche Asset
& Wealth Management
Dests4,e Um Poet. wean mvvrnent
mavens tonna
onts8,4 ML sectotes
Now Mb lao
P.O. Box 1778, Balamore. MD 21203 HS Pia Asa. loth NON
NY.** NY 101M
Statement Period: 0610112/15 - 05/31/2815
Portfolio Holdings (continued)
Cost Basis on roved income securities may be adjusted for amortization, accretion. original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, 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 cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less
than one year to maturity. 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 fern and Pershing makes no representation as to the accuracy of this information.
3
g Unrealized gains and losses are not reported for securities for which cost basis or market value is not available.
The Current Face yak* represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original lace amount of the
6
security. Factors may change over time and are obtained from sources we believe to be reliable.
Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
12
The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information.
13
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Dispos ticn Realized Cain/ Lose/
Date Date Tranuct:oi Descionct Quantity Cod Bads Proceeds Disallowance
Long Term
05121115 12113113' RPP WASH, DION MUT NTS S DOCRA2 WS PASSTHRU CTF CL 1.290.000000 2.058.34 2,689.98 631.64
C- 13-I VAR RATE 6.985% 07/25133
Security Identifier 939336S20
Original Cost Basis: 2,058.34
05/26/15 12/13/13' RPP COUNTRYWIDE HONE LOA 1 CL 81 4.090% 03/25133 BA 0 4.500.000000 5.240 27 5,611.98 371.71
TO 01130103
Security Identifier 12669DYS1
Original Cost Basic 5,240.27
Total Long Term $1,298.81 $1,301.96 $1,003.35
Total Short Term and Long Term $7,291.61 $8,301.96 $1,003.35
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IR') (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 'coverer under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as
non-retirement, US taxpayers 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 m which the security is disposed.
Pager' of 19
Account Number : ck ; Naiad tacelloni
Go p aperless (very Year Siva 2007
SO THERA CO NLIC- FI D ENTIA rDxAaLr BtAuRrr RieArT ED COMMUNICATIONS yaw. gul Nam.. MO.. rivet •INC
SDNY_GM_00045943
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008767
EFTA_00156552
EFTA01288915

Schedule of Realized Gains and Losses Current Period
(continued)
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
• Options and any Debt Instruments that provide a simple fixed payment schedule for winch a yield to matunty can be easily cetermined acquired on or after January 1, 2014.
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 mior 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
ft 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 avaiaWe 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 alternation 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 may be adjusted for amortabon, accretion, original issue discount adjustments, or principal payclowns. The calculation is based upon the taxpayer election, type of fixed
income security, and certain attributes. Mailed from sources believed to be rekable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected
until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with
less than one year to maturity. 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, 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.
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.
Page 12 of 19
Account Number Rated Emolloni
ORAN MOIL St3 L TH ERN ONLLC. FID G A o E pap N er T les I s A L I Dr v xA o mL r B y a A V rRt A r Ra N eA S rT i E m D s C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045944
CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) OB-SDNY-0008768
EFIA_00156553
EFTA01288916

Deutsche Asset
& Wealth Management
Onalsnellana Pnwale WeMn lAvogenan
Metral$ tcsear G...•
ontsciv Sank Star Oa Inc
Now 1st Cato
PO Box 1778, Bahimore, MD 21203 HS Pia AM*. loth I leer
Ss** NY 101W
Statement Period: 0510112015 • 0513112015
Activity Sum m a ry(N7amouMs sholvn are in base cum3ncy)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Securities Bought 000 0.00 Securities Bought 000 •i 589.181 50
Securities Sold 000 68,692.73 Securities Sold 000 000
Total Securities 30.00 08,692.73 Total Securities $0.00 -31,589,181.50
Dividends and Interest $386,435.32 0,245,661.01 Dividends and interest $0.00 $0.00
Distributions 02,835.87 $2,959,774.30 Distributions $0.00 30.00
Fees 30.00 $0.00 Fees -$200.00 -$236.00
Taxes Withheld 30.00 30.00 Taxes Withheld -36,561.18 -36,561.18
Other $0.00 388,692.73 Other $0.00 -368,692.73
Cash Cash
Withdrawals 000 000 Withdrawals 000 -1.616.597 86
Deposits 000 2,047.119 25 Deposits 000 000
Total Cull 30.00 $2,047,119.25 Total Cash 30.00 -$1,616,597.86
Money M arket Funds 30.00 32,448,152.83 Money Market Funds 30.00 -$4,780,931.93
Total Credits 3479,271.19 $8,839,092.65 Total Debits -36,761.18 -$8,062,201.20
Transactions by Type of Activity
Process!
Settlement
Date Activity Type Description Quantity Price Accrued Interest Amount Currency
Securities Bought and Sold
05119115 SECUMTY CALLED 0 TY 254.000 EARTI- LIK I< INC GTO SR NT FULLY 0.00 USO
27032IAC6 EXCFAAGED CUSP FROM 210321AB8 8.875% 05115119 WE
DTD 05/17111 CAB CALLED BY LOTTERY
Total Securities Bought and Sold - LIMITED STATES DOLLAR 0.00 0.00
Page134019
Account Number toted tacollerdi
OBALI ROI k SOUTHERN CNO LLC. Go paperless E D v A e L n B t A V R a R s. A W TE K D ID C 2 O 0 M 07 M UNICATIONS
N F I DAENTIAL r xenur NCI
SDNY_GM_00045945
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008769
EFTA_OO 156554
EFTA01288917

Transactions by Type of Activity (continued)
Process/
Settlement
Date Adivit Type Deur ion Clean Price Accrued liters Monet Curren
Dividends and Interest
05112115 FOREIGN SECURITY DIVIDEND 5000 SF RS BASF SE SPOKS ADR ISM 50552625057 RD 15,58810 LSO
RECEIVED 04130 PO 05/11/15
BASFY
05/13/15 FOREIGN SECURITY DIVIDEND 5000 SFRS VOLKSWAGEN A G ADR(SPONS) RD 05/05 PO 5A3888 LSD
RECEIVED 05/13115
VLKAY
05114115 FOREIGN SECURITY DIVIDEND 5000 SFRS ALLIANZ SE SPOASAOR REPSTG 1110 SFS RD 3.849.02 LSD
RECEIVED 05106 FO 05/14/15
AZSEY
05114115 CAS/. DIVIDEND RECEIVED 142800 SF RS APPLE INC COM RD 05111 PD 05114/15 74,256 00 LSO
.APL
05/14/15 CASH DIVIDEND RECEIVED 250000 SF RS BANK OF NEW YORK MELLON COPP COM RD 42.500.00 LSD
8K 05104 FO 05/14/15
05115115 CASH DIVIDEND RECEIVED 126600 SF RS ALLY FINL INC FIX TO RI DIV-13.50% 67,256.25 LSD
ALLY PRB FRE-Q-CITRLY CALLABLE Q. 2510 ON A QTRLY BASIS AFTER
05/15/2016 RD 05/01 PD 05/15/15
05/15115 CASH DIVIDEND RECEIVED BANK AMER CORP PERP NON COM LAATIVE DEP SFS AXED 81,250.00 LSD
060505DT8 TO FLOAT 8.125% 04130/58 B/E RD 05114 PD 05/15115 DIV
PAID AT 40 8250 2000000
05115115 BOND INTEREST RECEIVED 1000000 EARTH LINK INC GTD SR NT FULLY EXCHANGED 44.375.00 LSD
270321AC6 CUSIP FROM 270321A88 8.875% 05115119 B/E OTD
05/17/11 CID RD 05/14 FO 05/15/15
05115115 80AD INTEREST RECEIVED 80000 ShRS GM AC CAP TR I GTD TR FfD SECS SER 2 CFN• 40,625.04 LSD
ALLY PRA 8.125% FRED ORTLY MATY-02/15/2040 CALL ANYTIME 0 25
W130 DAYS BEGINS 02115116 RD 05/14 PD 05/15/15
05/26/15 BOND INTEREST RECEIVED 4500000 COUNTRYWIDE HOME LOANS SER 03.1 CL 81 4,328.72 LSO
12669DYS1 4,190% 03125133 WE DTD 01130103 RD 04130 PD 05/25/15
05/26/15 BOND INTEREST RECEIVED 1290000 WASHINGTON MLTMTG SECS CORP 2004-RA2 4.168,28 LSD
939336520 MTG PASSTFRU CTF CL C-B-I VAR RATE 6.985% 07125/33
EVE DTD 06101/04 RD 04130 PD 05125/15
05/27/15 CASH DIVIDEND RECENT() 15000 SF RS WISDOM TREE INVTS INC COM RD 05/13 PD 1.200.00 LSO
WETF 05127/15
05129/15 MONEY MARKET FUND DWSGOVT CAST INSTL 1.600.13 LSO
INCOME RECEIVED
233993682
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 386,435.32
Page 14 of 19
Account Number. Go paperless Rated tacellonli
IIKAV q()I SOUTHERN CA LLC. Mrx v Ue e f r Mf y u V .r n .A Ra . eA L rT a E t D e C 2 O 00 M 7 M UNCATOIS
O N SDNY_GM_00045946
FIDESMAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008770
EFTA_00 156555
EFTA01288918

Deutsche Asset
& Wealth Management
Dinitsrellana Prmalevkansawirnan
mats tonwite.".•
ocautv ML sec...ftes
New *4 Mc*
P.O. Box 1778, BaMimorce, M021203 HS Pan itoes. 26th loot
Statement Period: 0510112015 • 05/3112015
Transactions by Type of Activity
(continued)
Process/
Settlement
Date Activity T Descriotioe Quanta Price Accrued Interest Amount Carteec
Distributions
05126115 RETURN OF PRINCIPAL 4500000 COLA TRYWIDE HONE LOAN S SER 03.1 Cl B1 5111.98 USO
RECEIVED 4.090% 03/25/33 WE DTO 01/30/03 RD 04130 PD 05/25115
12669DYS1
05126115 RETURN OF PRINCIPAL 1290000 WASHINGTON LI LiT IITG SECSCORP 2004-RA2 382.08 USO
RECEIVED II TG PASSTHRU CTF CL C-8.1 VAR RATE 6 985% 07125133
939336520 B1E DTD 06/01/04 RD 04130 PD 05/25115
05129115 PARTNERSHIP DISTRIBUTION 263157 SHRS APOLLO GLOBAL MGIIT LLC CL *SFS RD 86,841 81 USO
APO 05120 PD 05129/15
Total Distributions • UNITED STATES DOLLAR 0.00 02,835.87
Fees
05112115 FEE ON FOREIGN DIVIDEND 5000 SHRS BASF SE WOKS ADR 'SINS 6 50552625057 RD -20000 USD
WITHHELD AT THE SOURCE 04130 PD 05111/15
BASFY
Total Fees - UNITED STATES DOLLAR 0.00 -200.00
Taxes Withheld
05112115 FOREIGN TAX WITH FELD AT 5000 SHRS BASF SE SPO NS MR ISMS L S0552625051 RD -4,111.50 USD
THE SOURCE 04130 PD 05/11/15
BASFY
05113/15 FOREIGN TAX WITH FELD AT 5000 SHRS VOLKSWAGEN AG ADR lSPOk Si RD 05/05 PD .1.434.50 USO
THE SOURCE 05113/15
VLKAY
05114115 FOREIGN TAX WITHHELD AT 5000 SHRS ALLIAAZ SE SPONS ADR REPSTG 1/10 SHS RD -1,015.18 USO
THE SOURCE 05106 PD 05114115
AZSEY
Total Taxes Withheld • UNITED STATES DOLLAR 0.00 -8,581.18
Total Value of Transactions 0.00 472,510.01 USD
The price and quantity displayed may have been rounded.
Page15019
Account Num ber Itatodl tacelbrifi
oxen ROI SOL THERA NLLC. FI D G E o p N ape T rle I s s A L I D ( X v A e C L r I B y L A V L R 7 a R N .S A e T t i v E a D C 2 O 0 M 07 M UNICATKINS
SDNY_GM_00045947
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008771
EFTA_00 156556
EFTA01288919

Cash Not Yet Received
Security Record Date Payable Date Quality Held Rate Dividend Option Mount of Payment
Interest
GENERAL EL C CAP CORP NON CUM PFD SER 05129115 06/15;15 2 000.000 000 0.035625 Cash 71 250 00
A
Total Cash Not Yet Received $71,250.00
Bond Maturity Schedule
Bond Maturity Market Valve % of Bond Market Value
I to 6 months 2.450.000.00 IC% Percentages of bond market values are
1 to 5 years 1,040,000.00 5% rounded to the nearest whole percentage.
I
6 to 10 years 2,009,100.00 9% I
Over 10 yea's 17,900,417.99 76%
Total 23499,517.9 100%
Bond Quality
Bond Quality Market Valve %of Bond Market Value
BAA
5,706,250.00 24% Percentages of bond market values are
BAILower 18,942,253.19 72% CI rounded to the nearest %tole percentage
Not Rated 151,014.80 4%
Total 23,399,517.99 100%
Called Bonds
Eligible Called Call Type Redemption
Call Date Security Description Quantity Quantity Price of Call Proceeds
06115/2015 EARTFLINK INC STD SR N T FULLY EXCHANGED 1,000,000.000 254.000.000 164 4380 Parbal 265.27232
CUSPFROM 27032IA98 8 875% 05/15/19 WE
DTD 05117111 CALLABLE05/29115
Publication Date: 0511612016
Client Service Information
Your Client Advisor: DAN
CAMEL SABBA
345 PARK AVENUE, 28TH FLOOR
NEW YORK NY 10154
Page 16 of 19
OKA!. +Olt A SO cc U o T u H n E t R N N u m te be n r N LLC. F ID Go r p N ape l rl I e A ss L 1 D ( r v x 4 A e e 1 L . r s 1 B y t 1 Au Y ta Rr . r c L Rd e . eA u W e rT n E o a e D s C 2 O 0 M 07 M UNICATIONS oictrivtr....== .0-.--Z---- %sr—,
SDNY_GM_00045948
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008772
EFTA_00156557
EFTA01288920

Deutsche Asset
& Wealth Management
Deasfle Sim PO,l ir Vona P.m...lair,.
Weals Ieeerag,G,Lp
ocautv ML Sectettenk.
M_Mbn
P.O. &a 1778. Balismore. MO 21203 HS Pin Aso.. loth Hoer
I•prOtet NY 10O4
Statement Period: 0510112015 • 05/31/2015
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Socks in a Dividend Reinvestment Flan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Bond Amortization Sections:
Treat all interest as original issue discount (IA): No
Amortize premium on taxable bonds based on Constant Yield Method: Yes
Acaual 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 con m unications for electronic delivery. To register and tun off paper con m unications, 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 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 mice. Securities for which a price is
not available are marked 'MA" and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS VVHEN 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 More economic, political, and business conditions. they should not be rehed 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
wnw.pershing.cornfbusiness_continuity.html for specific detads 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 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 confinations 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 financial situation. Expiring options which are valuable are exercised automatically pursuant to
or
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 light 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.
Fage 17 of 19
WOAD ROIL A S c O c U o T u H n E t R N N u m C be N r O NLLC. F I D G -E O p N ape T rle I ss A L R B rDxA a r e a t L e n n B d , u A V t Rt a r a c aR n o eA ll rT o M 0 n c 2 i e C 2 O 0 M 07 M UNICATIONS aotarrortr:=2..r....'
SDNY_GM_00045949
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008773
EFrA_001 56558
EFTA01288921

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 or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization °Chemise. 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 8 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 S 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 includng 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 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 caries 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 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 in eneral 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 . 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: vriverpershing.cornistrength_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-confinned in writing to further protect your rights, including your tights 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.
Page IS of 19
DRAB R"" Acc L o T u H n E t N RA u m te be t r , N LLC. F I ID G - o E p N ape T rie E ss A L R Dr (v xA a e eL r i i Bt d y u A ' t r V a Rn c s Ra e . Ae l l S e rT i n E n t D i a i C 2 O 0 M 07 M UNICATIONS rtitro= -- 1 •• “ •• = •A "c ..: • Z •••= r a=
SDNY_GM_00045950
CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) O13-SDNY-0008774
EFrA_00156559
EFTA01288922

Deutsche Asset
& Wealth Management
()PASO( PriFtle Vr/.4/11.PAIMI,Wat
Mwats I wear Gtot,p
°taunt sat sm.* es sk.
Naar' Mk.
P.O. Box 1778, Bahimore, MD 21203 HS Pin Asa. loth I tom
WIrorVett NY 10114
Statement Period: 0510112015 • 05/3112015
Important Inform ation and Disclosures (continued)
Important Arbitration Disclosures
• Al parties to this agreement are giving up the fight 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 fatal 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 generaly 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 al parties to the panel at least 20 days prior to
the first scheduled healing date.
• The panel of arbitrators will typicaty include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time knits 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 shal 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 IA of is
Account Num tier Go paperless RANO tscolleria
Oftnt, RCM SC L THERA CO LLC. Dr (v xA e cU r it y uM V rt', a r Ra n eA W rT E o D o. C 2 O 0 M 07 M UNICATIOP6
NF I DAMSMAL
SDNY_GM_00045951
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008775
EFIA_00156560
EFTA01288923

Deutsche Asset
& Wealth Management
Deasnelltra P •I fl ir VMY hi Ma nalu ntat
Marais Cowan Comp
ontsciv ML smokes 4%,
P.O. Mw brit Olio,
Dom 1778, 8,,Iiimore. MO 0203 HS Pia AS.. lothlbw
Account Number:
Statement Period: 0410112015.1413112115
Valuation at a Glance
This Period YeaMo-Oate
SOUTHERN FINANCIAL LLC Beginning Amount Value 3130,418,471.65 5128,714,293.02
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals -282458.71 430,521.39
el Securities InfOut of Account 000 -2.483,792.00
ST THOMAS VI 00802
Adjusted Previous Account Value 130,134,012.01 124,601,022.41
Dividends, Interest and Gibes Income 335.881.23 1,085,740.71
Net Other Adivity -18.00 -36.00
Net Chan e Porhch /2
Your Client Advisor:
DANIEL MBM Accrued Interest 5328,158 09
Estim aced Annual Income 53.636.818.86
Asset Allocation
Prior Year-End Last Period This Period % Allocation
650 Cash. Money Funds. and Bank Deports 44,273,984.33 46,684,169.83 46,910,345.07 35.91% Pease review you allocanon
LSD Fixed Income 18,177,45538 17,333,38702 15,589,025.85 11.93% peroolicalty will you Client Moony
honL SD Axed Income 7,150,052.50 7,705,812.50 7,812,452.50 518%
LSD Equities 54,125,544.61 55,352,277.70 56,907,025.62 43.56% I
Non•LISO Equities 2.986.258.00 3.340.824.00 3.421.088.03 2.62%
Amount Total (Pie Chart) $126,714,293.02 $130,416,471.85 $130,639,936.84 100.00%
See the Asset A, bcabon Disclosure end Footnotes secton for important infconation repartling you Asset
AIDC3b:1.
Page1019
Rsd t ocolionti awlt—what' wwewar
5012SIIICSF300l0 L very 'Van Sento 2007 ii—wy on —.nisi-int win
CON F I EreiTfisAL
rDxAeLs BuArRtr aRAe rT O! COMMUNICATIONS
SDNY_GM_00045952
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008776
EFTA_00156561
EFTA01288924

Asset Allocation Disclosure and Footnotes
Al values are displayed in U.S. dollars based on interbank exchange rates as of 0413012015. Exchange rates can vary.
Equities contains Equity Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short-Term Gain/Loss 0.00 0 00 5 863.015 80
Long-Term Gain/Loss 28.798 39 42.394.74 1.884.183.88
Net Galnlloss 28,798.39 42,394.74 10,747,199.68
This summary excludes transactions where cost basis intonation is not available.
For Your Information
Cr June 5. 2014. the European Central Bank (the -ECB*) introduced 'negatrve interest rates'. This negative interest rate applied to all deposits held at the ECG 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 and/or 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
Cate Adivity Type Detaiptioe Amount Balance
Sweep Money Market Fund
DWS GOVERNMENT CASH INSTL
Account Number: 0010001190 Current Yield: 0.04% Activity Ending: 04/30115
04101115 Opening Balance 16,629,794.83 46,629,794.83
04101115 Deposit MONEY FUND PURCFASE 692.49500 47,322,289.83
04102115 Withdrawal MONEY FUND REDEMPTION -246.748.16 17,075,511.37
04106/15 Withdrawal MONEY FUND REDEMPTION -321,15750 16.751.383 87
04107115 Withdrawal MONEY FIJNO REDEMPTION -166,70591 46.584.677.93
04113115 Deposit MONEY FUND PURCFASE 11,625.00 46,596,302.93
04116115 Withdrawal MONEY FUND REDEMPTION 4352,418.00 45,743,884.93
04122115 Deposit MONEY FUND PURCFASE 68,692.73 45,812,577.66
04123115 Deposit MONEY FUND FIJRCFASE 644.18372 46.456.761 38
04128/15 Deposit MONEY FUND FtiRCFASE 30.90252 46.487.663 90
04/29115 Deposit MONEY FUND PURCFASE 62,500.00 16,550,163.90
04130115 Deposit INCOME REINVEST 1,424.73 46,551,588.63
04/30115 Closing Balance $48,551,555.63
Total All Money Market Funds $46,551,588.63
Page 2 of 19
Account Num ber. Go paperless Rated tneller4
1,0,0, 401 t SOUTHERIZ1 LLC. E rDxA n aL v n B y Aa V Rm . . Re , A W r T E e D er C 2 O 0 M 07 M UNCA TIONS
SDNY_GM_00045953
ONFIDE1SMAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008777
EFTA_00 156562
EFTA01288925

Deutsche Asset
& Wealth Management
orals' ana Pr.. Weida .A.Lernall
Manes Coon., 4,0“)
Destsay I** Settongs Lac
R,. bet 011Ict
PO Boa 1776, Balamore. MO21203 HI Put Anows. !Note,
Statement Period: 04/01/2015 • 04130/2015
Income and Expense Summary
Current Period YeaMo•Date
Taxable Nee Taxable Taxable Non Taxable
Dividend Income
Equities 5,290.00 0.00 211,084.75 0.00
Money Market 1,424.73 0.00 4,152.25 0.00
Other Dividends 197,50100 0.00 291,250.00 000
Interest Income
Bond Interest 131,666.50 0.00 251,713.65 0.00
Other Interest 0.00 0.00 40,625.04 0.00
Total Dividends, Interest, Income and Expenses 1335,081.23 10.00 059,425.69 $0.00
Distributions
Alternative Investments 0.00 0.00 0.00 226,315.02
Other Distributions 0.00 17,009.52 0.00 76,093.11
Total Distributions $0.00 $17,009.52 $0.00 1302,406.43
Portfolio Holdings
Account Activity Opening Clodso Acaued Income 30•Day Current
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 36.00% of Portfolio
Cash Balance 51,375.00 358,756.11
Money Market
OW S GOVERNMENT CASH INSTL
04/01/15 46.551.588.630 0000001490 0/130115 16,629,794.83 46,551,58863 0.00 1.75225 0.04% 0.04%
Total Money Market $46,629,704.03 $46,561,611.63 $0.00 $4,752.25
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
04/01/15 K46023804 01102115 0.00 0.00 0.00 0.00 WA NIA
Total FDIC Insured Bank Deposits WOO $0.00 $0.00 $0.00
Total Cash, Money Funds, and Bank Deposits 145,684,169.03 $46,910,346.07 $0.00 $4,762.25
Page 3019
co
Account Number: kat.. [sailor.
08A0 ROLL SOL THERA F I D G A o p E ap N erl T es I s A L D (v x A e a r U r y u M V r . a N R .S C A i T I n E c D e C 2 O 0 M 07 M UNICATIONS
SDNCGM_00045954
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008778
EFTA_00156563
EFTA01288926

Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quality Wilt Cod Cod Bads Market Price Markel Value Gain/ Loss Interest Annual Income Yield
Fixed Income 18.00% of Portfolio (In mawnry Otte Sequence)
'Asset Backed Securities
COUNTRYWIDE HOME LOANS Security Identifier: 12669 DY SI
SEA 03-1 CL 81 4.090% 03125133 FWE
DTD 01130103
Factor: 0.20075242 Effective Date:04101115
Current Face Value: 903.385.890
12/13/13 '.1.12 4,500,000.000 93.3760 843,519.59 83.7430 756,522.45 .87,01711 2.976 41
Original Cosl Basis: 51,111,573.07
WASHINGTON MUT N TG SECS CORP 2001-RA2 Security Identifier: 939336520
M TG PASSTHRU CTF CL C-E11 VAR RATE
6.981% 07125133 WE DTD 06/01/01 S 8 P Rating D
Factor: 0.55508145 Effective Date:04101/15
Current Face Value: 716.055.071
12113113 '.3.12 1,290,000.000 76.5190 547,915.38 84.3920 604,29320 56,377 82 1,029.10
Original DOM 9899. 1638.906.71
Total Asset Backed Secwides 31,391,461.97 11,360,815.65 -130,819.32 37,005.61 30.00
6,790,000.000
Total Current Faa Value : 1,619,440.a 1
Corporate Bonds
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
NOTES SENIOR IMO XS0460516515
5.000% 10/18/15 REG DTO 10128109 S 6 P Rating 84
12/04/13'.3.12 2,500,000.000 97.1780 2,429,461.13 98.1000 2,451,500 00 23,038 87 694 44 125.000 00 5.09%
Original Cost Basis: S2,250.000.00
EARTHUNK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC6
CUSP FROM 270321AB8 8.875% 05115119 WE
DID 05117/11 CALLABLE 05115115 58 P Rang CCC'
10/22112 '.3.12 400,000.000 102.3880 409.470.29 104.0000 416,000 00 6.529 71 16,270 83 35,500.00 8.53%
Original Cost Badt 1414,000.00
10/23112 '.3.12 600.000 000 102 2000 613,201.74 104.0000 624.000 00 10.798 26 24.106 25 53.250.00 8.53%
Original Coal Basis: 1619,500.00
Total Noncovered 1,000,000.000 1,02;672.03 1,010,000.00 17,327.97 10,677.08 88,750.00
Total 1,000,000.000 31,012,872.03 11,010,000.00 117,327.97 340,677.08 $88,750.00
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: G1S1SPP18
TERN NOTES 'SINS X50717735822
9.875% 12/18/21 REG 010 12116111 Moody Rating Bat 58
P Rating BBB-
12104/13 '.1.12 1,500,000.000 107 1030 1611.044.24 112.4000 1,686,000.00 74,955.76 55,135 12 148.125 00 8.78%
Original Cost Basis $1,627.500.00
Page < of 19
E:125144CSFII 08A0 ROI Account Nu C mber: O N F I D G E a p N ape T rle I ss A R rD (v xA a e e t L e r Bs y d A u V t R s r . c n . R o , e A ll S e rT w n E o ti D t s C 2 O 0 M 07 M UNCATIONS 8117:2„."-X.,7=417.17Z-1- •17r.
SDNY_GM_00045955
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6:3; THERk DB-SDNY-0008779
EFTA_00 156564
EFTA01288927

Deutsche Asset
& Wealth Management
Orvisooliv0 P,,.,,, vkan mptagenen
MYf61 Donee 4,0.7
DesbOit ML %0004.1,K
lire von Onto
PO Us 1778, BaMimonre, M021203 In Pon Annotlia I 774r
War It 0.11Y 1004
Statement Period: 0410112015 • 04/30/2015
Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cod Cost Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 06739FHK0
ISM/ 1,936739FFKO3 7.750% 0/110123 BIE
DID 04/10113 CALLABLE 04110/18 St P Rating BB*
04103113 300.000.000 100.0000 300.000.00 111.0000 333.000.00 33,000 00 1,29167 23.250 00 6.98%
Original Cost Bass: 5300.000.00
PM ORGAN CHASE & CO DEP PIS REPSTG Security Identifier: 46625HHA1
11101) PFD SER I FIXED TO FUG RT BD
7.900% 04129/49 B/E DID 04/23/08 Moody Rating BAI S&
P Rating BBB-
06115111 '.3.12 2,500,000.000 107.5000 2,687,50010 106.5000 2 662,500 00 •25,00000 0.00 197.500.00 7.41%
Original Cost Baas: 52.687.500.00
06115111 '.3.12 2.500,000 000 107.0000 2,675,000 00 1063000 2,662.500 00 -12,50000 0.00 197,500.00 7.41%
Original Cost Bass: $2,675,000.00
Total Honoured 5,000,000.000 5,352,500.00 6,326,000.00 .37,500.00 0.00 396,000.00
Total 5,000,000.000 $5,362,500.00 65,325,000.00 -$37,500.00 $0.00 $395,000.00
BANK AMER CORP PERP NON COM ULATIVE DEP Security Identifier: 060505DTO
SFSFIXED TO FLOAT 8.125% 04130/58 B/E
DTD 04/30108 CALLABLE 05/15/18 Moody Rating BA3 S& P
Rating BB
01110111 2.000.000.000 102.7500 2.055.000 00 108.0000 2.164.000.01 105.00010 74,479.17 162.500.00 7.52%
Original Cost Bass: 52.055.000.00
SOUTHERN CALIF EDISON CO PREF SER E Security Identifier. I42400FU2
6.250% 01(17/62 Ei/E DID 01/17/12
CALLABLE 02/011220 100.000 Moody Rating BAA1 55 P
Rating BBB•
01130/12 '.3.12 3,000,000.000 99 8160 2.994.489 80 112.6070 3.318.210.00 383,720.20 46.354.17 187.500.00 5.55%
Original Cost Basis: 52,992,564.97
Page 5 of 19
Account Num ber. Rated excellent,
007,0 ROI t SOUTHERN CT, LLC. Go paperless D L v A e L r B y A V R . . R . A L T a E c D e C 2 O 0 M 07 P AUNCATIONS
N FIDa rnAL rxelfurNCIF
SDNY_GM_00045956
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008780
EFTA_00 156565
EFTA01288928

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cod Cod Basis Market Price Markel Value Gam/ Loss interest Annual Income Yield
Fixed Income (cortfrued)
Corporate Bonds (conttrwed)
GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 3696225116
A 7.125% 06112162 BIE
DID 06112/12 CALLABLE 06115122 Moody Rating BAA1 S
P Rating A+
06127/12 'AM 2,000,000.000 104/700 2,095,405.00 116.2500 2,325,000.00 229,595.00 53,437 50 142,500.00 6.12%
Original Cost Bads: $2.122,916.67
LOG CAPITAL N01 PLC 144A Security Identifier: 654338BGO
ISINRXS0473108283 8.000% 09115188 REG
DTD 12115109 CALLABLE 06115120 St P Rating BB
12104113 'AM 1.200.000.000 108 2500 1.299.000.00 109.1250 1,309.500 00 10.500 00 36.000 00 96.000 00 7.33%
Original Cod Bads: 31,299,000.00
'LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4
ADDL TIER 1 SECS ISlAtt.S539439AG42
7.500% 09/27/88 131E DTD 04107111 St P Rating B.
Please Provide' 1.903.000.000 NIA Please Provide 106.7500 2.031 452 50 N/A 13.083 13 112,725.00 7.02%
Original Coal Basic Please Provide
Total Corporate Bonds 319,169,572.20 822,040,662.50 $839,637.80 $321,152.58 81,611,360.00
20,403,000.000
Total Fixed Income 320,561,037.17 $23,401,478.15 $806,988.46 $321,156.09 $1,611,360.00
26,193,000.000
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cod Cod Basis Market Nice Market Value Gain( Lou Mona' Income Yield
Equities 43.00% of Portfolio
Common Stocks
OBILEYE NV AM STELVEEN ORD SHS Security Identifier: M BLY
ISIASNI.0010831061 C6 SIR k 51488117
Dividend Option: Cash
08101114 800.000 25 0000 20,000.00 44.8600 35.888.00 15,888.00
ALUANZ SE SPONSADR REPSTG 1110 SHS Security Identifier: AZSEY
Dividend Option: Cash CUSP: 018805101
04113115 5.000.000 18 0110 90,056.00 17.1000 85.500 00 -1.556.00 2 828 03 3.30%
APOLLO GLOBAL M GM T LLC CL A SHS Security Identifier: APO
Dividend Option: Cash CUSP: 037612306
03129111 '.13 263,157.000 19 0000 1,999,983.00 22.8600 6,015 769.02 1,015,786 02 760.523.73 12 64%
APPLE INC COM Security Identifier: AAPL
Dividend Option: Cash CUSP 037833100
Page 6 of 19
Account Number: e t ir Rated Excellent
Kat CON
F I )
G
t
o
1
rte
1
s
A
I rD v xA o eL r y On AtRm ReA w rT o E e D s C 2 O '0 M 07 M UNICATIONS
SDNY_GM_00045957
CONFIDENTIAL — PURSUANT TO FED. R. CRIM . P. THERk DB-SDNY-0008781
EFTA_00 156566
EFTA01288929

Deutsche Asset
& Wealth Management
Dryly •e Para ,12/.0rMsolin Mnaiontm
1.0,40% 0...,•0 G.0.2
De.ticht Bar Stly.,r1"
vb•LOPq
P.O. Dew 1778, Skidmore, MD 21203 31,2ent Ann«. »011«,
tine <n hY I0VA
Statement Period: 04101/2015 - 04/30/2015
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unh Cog Cat Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
APPLE INC COM (continued)
09105114 142,80e000 98 9500 14.130 065 71 125 1500 17.811.420.00 3,741,354.29 297.024.00 1.66%
ARIAD HARM ACEUTICALS INC Security Identifier: ARIA
Dividend Oplion: Cash CUSP. 04033A100
0211012 7 535 000 15 2090 114.597 40 8.6700 65.328.45 •49,288.95
01124/13'.I3 9.000 000 19 6000 176.100 00 8.6700 78.030.00 -98,370.00
Total Noncovered 18,535.000 290 997.48 143,358.45 -147,838.95
Total 18,535.000 8290,997.40 $143,358.45 4147,838.95 10.00
ASCENA RETAIL GROUP INC CON Security Identifier: ASNA
Dividend Oplion: Cash CUSP 04351G101
01/16/01 70,500.000 21 2770 1,500,000 00 14 9900 1,05839500 -443,205.00
AVALANCHE BIOTECHNOLOGIES INC Security Identifier: AAVL
CAM LIM 05337G107
Dividend Oplion: Cash
10,000 00 of these shares are in your margin account
04120115 10,000.000 39.8610 398.606 00 31.8600 318,600 00 •80,00800
BASF SE SPONS AOR Security Identifier: BASFY
ISIM US0 552625057 CUSP. 055262505
Dividend Oplion: Cash
04113115 5.000.000 101.6110 504056.00 100.2670 501.335 00 •6.721.00 10,705.50 2.13%
BANK OF NEW YORK M ELLON CORP COM Security Identifier: BK
Dividend Option: Cash CUSP 064058100
06125114 250.000 000 36.3060 9.076.406 00 42.3400 10.585.000 00 1.508.594 00 170.000.00 1.80%
BIOGEN IDEC INC COM Security Identifier: 611B
Dividend Oplion: Cash CUS>. 09062X103
02114112 '.13 2.095.000 119.5490 250 454 95 373.9300 783,383.35 532,928.10
FACEBOOK INC CL A Security Identifier: FB
Dividend Option: Cash CUSP 303034102
05/17/12 '.13 17,5130.000 38 0000 665.000 00 78.7700 1,378,475.00 713,175.00
Pape 7 of 19
OPAII VL A SO cc L o T u H n E t R N A u mber: fiF I _ D C A io p E ap N erl T es I s A L P D ( t v t4 w A e L L , r Y y L B r t A V ø N l l a f t Y t R n n A L S T i E ne D s C 2 O 0 M 07 M UNICATIONS erne, ist rams«n e" writ. awe
SDNY_GM_00045958
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008782
EFIA_00156567
EFTA01288930

Portfolio Holdings (continued)
Uereaked Estimated Estimated
Dale ired Quantity Uelt Cod Cost Basis Markel Price Martel Valet Geld Loss Annual Income Yield
Equities (continued)
Common Stoats (continued)
FOUNDATION MEDICINE INC COM Staidly Identifier: FM I
Dividend Option: Cash CUSP: 350465100
01113114 25,000.000 27.5070 687,683.50 45.5100 1,137,750.00 450,088.50
08105114 24,830.000 232530 577,373.02 45.5100 1,130,013.30 552,64028
Total Covered 19,830.000 1,265,036.52 2,267,763.30 1,002,726.76
Total 19,630.000 $1,265,036.52 32,267,763.30 $1,002,726.76 80,00
GENERAL ELECTRIC CO COM Security Identifier: GE
Dividend Option: Cash CUSP: 38960/103
04123113'.13 23 000 000 21.5700 496,109.08 27.0800 622,610.00 126,730.92 21,180.00 3.39%
GENERAL MTRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 37015V100
11118/10 10,988 200 36.4010 399 978.16 35.0600 385,246.30 •14,731.88 15,823.01 4.10%
12/09/10 ' 86.516 800 36.8160 3.185.969.22 35.0600 3.033.980.20 •151.98902 121.612.99 4.10%
Total lioncovered 97,525.000 3,585,947.36 3,119,226.50 -166,720.86 140,436.00
Total 97,525.000 $3,515,917.36 33,119,226.50 .$168,720.66 $110,436.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02105114 5,000.000 792810 396,407.00 100.5100 502,550.00 106,143 00
0310711/ 3,100.000 79.6120 246,797.00 100.5100 311,531.00 64,784 00
Total Covered 6,100.000 643 204.00 814,131.00 170,927.00
Total 6,100.000 $643,204.00 $814,131.60 3170,927.00 $0.00
GO DADDY INC CL A Security Identifier: GDDY
Dividend Option: Cash CUSP: 380237107
04101115 700.000 20.0000 14.000.00 25.0700 17,549.00 3,549.00
HEALTH NET INC CON Security Identifier: HNT
Dividend Option: Cash CUSP 422226108
0910811/ 25.000 000 46 9800 1.174.506.00 52.6500 1,316,250.00 141,714.00
SANGAII 0 BIOSCIENCES INC CON Security Identifier: SGM 0
Dividend Option: Cash CUSP: 800677106
05128113'.13 50,000.000 8.4440 122,211.00 12.3700 618,500.00 196,286.00
SANTANDER CONSUMER USA HLDGS INC CON Security Identifier: SC
Dividend Option: Cash CUSP. 8028311101
01123114 1,000.000 24 0000 24,00000 24.6900 21.690.00 690.00
TWITTER INC CON Security Identifier: TWTR
Dividend Option: Cash CUSP: 901841102
11107/13 1,500.000 26 0000 39.00000 38.9800 58,440.00 19,410 00
Pap 6 of 19
8012S114CSF,' . oewB 1.O13. A SO cc U o T u H n E t N RN um ber: fiFID Go = pap T erle A ss L 1 rD [w % 4 A a 0 C L U . B y €1 L A V 7 L R ' . e N ~ R s S e t A 5 e Tt i ~ E l D C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045959
CONFIDENTIAL — PURSUANT TO FED. R CRINA. P. 6(e) OB-SDNY-0008783
EFIA_00156568
EFTA01288931

Deutsche Asset
& Wealth Management
0eviv .c Pam .mile "Mall Pi PM...P-4.
Maniet$ (uncap c.c.,
De.tic ea. wc,-,er. M.
Mrs ball 0at*
PO Bat 1778, Babimore, MO21203 JI,Pant Annw. Itytknoct
Wave SA Pa IOVA
Statement Period: 04/01/2015 - 04/30/2015
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain! Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
VOLKSWAGEN A G ADR iSPON SI Security Identifier: VLKAY
Dividend Option: Cash CUSIP. 928662303
04113115 5.000.000 50.8610 254.306.00 50.9100 254.700 00 394.00 7.780.15 3 051i)
WISDOM TREE INVTSINC COM Security Identifier:W67F
Dividend Option: Cash CUSP 97717P104
03131/15 15.000.000 21.6110 324.157.50 19.0400 285.600 00 -38.557 50 4.800 00 1.68%
Total Common Stocks 940,172,105.54 $10,475,213.62 $6,303,108.08 81,415,257.41
Preferred Stocks (listed by expiration date)
ALLY F1NL INC FIX TO FLT Security Identifier: ALLY PRB
DIV.8.50% FREQ.QTRLY CALLABLE ig 25.00 CL SIP. 02005h308
ON A QTRLY BASIS AFTER 05115/2016
Dividend Option: Cash
02/03/12 '.13 46,600.000 19.3820 403217.51 26.5000 1.234.900 01 331.682.50 99,025.00 8.01%
02109112 t13 80,000.000 20.1250 1.610.000.00 26.5000 2,119,999 99 509,999.99 170.000.00 8.01%
Total Noncovered 126,600.000 2 613,217 51 3,354,900.00 811,882.19 269,026.00
Total 126,000.000 92,513,217.51 $3,354,100.00 8841,882.49 9269,025.00
BM AC CAP TR I GTD TR PFD SECS SER 2 CPN- Security Identifier: ALLY PRA
8.125% FRED QRTLY MATY42/15rto4o CALL CUSP: 361860208
ANYTIME° 25 W130 DAYS BEGINS 02115/16
Dividend Option: Cash
02122112'.13 80,000.000 23.5350 1,882.773 60 26 2800 2.102.400 00 219.626.40 162.500.00 7.72%
ROYAL BK SCOTLAND GP PLC WON ADR REPSTG Security Identifier: RBS PRT
SER T PFD CPN-725% FRED ORTLY PERP MIT CUSP 780097713
CALLA 25 ANY W130 D NOTICE AFTR 12131/12
Dividend Option: Cash
10124112'.13 40.000.000 23 7900 951,600.00 25.4200 1.016.799 99 65.199 99 72.500.00 7.13%
01107113 '.13 40,000.000 24 4400 977,600.00 25.4200 1.016.799 99 39,199 99 72.500.00 7.13%
01/14/13 '.13 40.000.000 24 8800 995,200.00 25.1200 1.016.800 02 21.800 02 72.500.00 7.13%
Page 9 of 19
O
Account Num ber (.40 paperless R Ev a e te ry d V E i x s c o e r l S le i n n t c , e 2007 ratitr•-•'1.1:7=1=" ""4"=".•
I .tA.14 VVLL SOUTHERN CN NFIDESTT1AL DAL BAR RATED COMMUNCATIONS nary tact •••••••• nista. we. MC
rxesturmer
SDNY_GM_00045960
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 08-SDNY-0008784
EFIA_00156569
EFTA01288932

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Dale Acquired Quantity Unit Cosl 0:41 Bab Market Price Mattel Valve GalefLoss Annual Income Yield
Equities (continued)
Preferred Stocks (continued)
ROYAL BK SCOTLAND GP PLC SPON ADR REPSTG (continued)
Total Noncovered 120,000.000 2,924,400.00 3,050,400.00 126,000.00 217,500.00
Total 120,000.000 $2,924,400.00 $3,050,400.00 6126,000.00 $217,600.00
Total Preferred Stocks $7,320,391.11 66,501,700.00 $1,187,308.69 6649,025.00
Options
CALL 100 AVALANCHE EHOTECHNOLOGIES INC Option Identifier: 99QAF2AM
COM EXP 06-19-1541; 10 000 t,ndedying Security identifier. M.
OPTION ROOT= AAVL Underlying Security Price: $31.88
.100.00 of these contracts are a short position
04120115' •100.000 6.8690 438.692.73 4.0000 ♦0.000.00 28,692.73
Total options •$60,692.73 -$40,000.00 $26,692.73 $0.00
Total Equities 147,423,103.92 656,942,913.62 $9,519,109.70 $2,064,282.41
Unrealized Estimated Estimated
Dale Aquired Quantity Unit Cod Cod Basis Market Price Markel Value Gain! Loss Annual Income Yield
Exchange-Traded Products 3.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY FO Security Identifier: 0 XJ
Dividend Option: Cash: Capital Gains Gabon: Cash CL SIP. 97717W851
60.000 00 of these shares are in your margin account
12111113 60.000.000 49 4350 2.966.098 50 56.4200 3.385.200.00 419,101.60 56.434 20 1.66%
Total Exchange-Traded Products $2,966,098.50 $3,305,200.00 $419,101.10 $56,434.20
Unrealized Awned Estimated
Cod Basis Market Value GainfLoss Interest Minor Income
Total Portfolio Holdings 6117,061,204.66 $130,639,936.04 10,747,199.68 6320,158.09 $3,636,8$846
Footnotes
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended rIRC") (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 nal-retirement,
US taxpayers securities which have been acquired on or alter their 'applicable date(s)" at which they are subject to the cost basis reporting rules and the adjusted basis wig be reported to the IRS on form 1099-8
for the applicable tax year in which the security is 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
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014.
Page 10 aria
Account Number Go paperless 4. ) Plated tocelleni
SOL THERA te‘Ci LLC. rDxAaL BruARm ReArT ED COMMUNCATIONS
N F I DAENTIAL
SDNY_GM_00045961
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008785
EFTA_00 156570
EFTA01288933

Deutsche Asset
& Wealth Management
Dr.,Iwo Ram PnwilnWeahnParagenmt
Pants Coon., 6,0“)
DettsaR Seitonerac.
R yen (/ict
P.O. Box 1778, Banirawm, MD21203
s
i
i
n Pan Ammo. Iutam M. et
Y
Statement Period: 0410112015 • 04/30/2015
Portfolio Holdings (continued)
Cost Oasis on fixed income securities may be adyusted for amortization, accretion. original issue discount adjustments. or principal paydowns. The calculation is based upon the taxpayer election. 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 inconect adjusted cost basis reflected until
the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those invoking foreign bonds, bonds sold shat or bonds issued with less
than one year to maturity. 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 turn and Pershing makes no representation as to the accuracy of this information.
Unrealized gains and losses are not reported for securities for which cost basis or market value is not available.
6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original lace 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.
14 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.
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Loss/
Date Date Transaction Description Ouaality Cost Bait Proceeds Disallowance
Long Term
04101115 02125/13' RDMG SERVICEM ASTER CO SR FULLY EXChANGED FROM OLD CU% 602,000.000 633,472.32 638,120.00 4,647.68
First In First Oul P 81760kAL3 8.000% 02115/20 B
Security Identifier. 131760NAN9
Original Cost Basis: 644,110.00
0023115 10/22/12' RD MG 14HEADYVATERS INC GTD 5% 04101/19 B/E ND 03/11/11 1,000,000.000 1,018,591.99 1.038.130.00 21.539.01
First In First OW C LD
Security Identifier 12210PAO5
Original Con Basis: 1,035,000.00
04123115 12/13/13' RPP WAShINGTOk 11 LT MTG S 004-RA2 MTG PASSTHRLi CTF CL 1,290,000.000 5,666.85 7,405.84 1,738.99
C- B-1 VAR RATE 6.981% 07125133
Security Identifier. 939336520
Original Con Basis: 5.66615
04127115 12/13/13' RPP COUNTMINIDE POME LOA 1 CLB1 4.090% 03125/33 B/E 0 4,500,000.000 12,303.20 13,175.91 872.71
TO 01/30103
Security Identifier. 12669DYSI
Original Cost Basis: 12,303 20
Total Long Tern $1,668,033.38 $1,696,1131.76 $28,70.39
Page 11 of 19
Account Number Rated [mailer.
USAF Rol SOL TM ERA cop4O NLic. Go paperless ( D v A e L r y B A Y R e a R r A S T l E a D te C 2 O 0 M 07 M UNCATIONS
I' %CROWS
SDNY_GM_00046962
FIDESITIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008786
EFTA_0015657 I
EFTA01288934

Schedule of Realized Gains and Losses Current Period
(continued)
Disparities Aotaisition Disposition Realized Gain/ Loss/
Date Date Transaction Description Quantity Con Basis Proceeds Disallowance
Total Short Term and Long Term $1,668,033.36 $1,696,831.75 $28,798.39
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generafty 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 Iioncovered," under the new cost basis repotting 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
non tetirernent US taxpayers securities which have been acquired on or after their "applicable date(st at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS
CO 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 pencid, 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
• Options and any Debt Instruments that provide a simple Aced payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014.
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 beleve 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 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 rekance
on the information provided herein for such reporting.
Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed
income security, and certain attributes, obtained from sources believed to be rekable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected
unti the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with
less than one year to maturity. This information is meant as a general guide and you should consul 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-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 defauted 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,
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 Corporation.(SIPC).
For disclosure of rates for DWS money market funds. please visit the DM Investments website at https://vAvw.dws-investments com/ENfproducts/money-marketfunds-velds.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Page12019
CPA., vel Acc L o T u H n E t R N A u mbe U r N F I D (s .- o E p T ape N rles A s L D M E rx v Ae e e rU n d t . u M V t r a n a . c Ra e . A e lk W Tr in E o g e D i s C 2 O 0 M 07 M UNICATIONS Lt=1.;='.. —"="
SDNY_GM_00045963
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008787
EFIA_00156572
EFTA01288935

Deutsche Asset
& Wealth Management
DMISOf e. P Wealth Miayentle.
Marais Cent* GO.0
Deelacht Gni Stages at.
Mow Mri 011ie
P.O. Bat 1778, Baldmorce, MO 21203 M Pin *won lothlbw
Statement Period: 0410112015 • 04/3012015
Activity Summary
(tfl amounts shown am in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Securities Bought 000 0 00 Securities Bought -1.589.181 50 -1.589.181 50
Securities Sold 68 692 73 68.692 73 Securities Sold 000 000
Total Securities $68,692.73 $68392.73 Total Securities -$1,589,181.50 -$1,589,181.50
Dividends and Interest $335,861.23 $659,125.69 Dividends and Interest $0.00 $0.00
Distributions $1,693,259.52 $2,866,938.13 Distributions $0.00 $0.00
Fees $0.00 $0.00 Fees -$18.00 -$36.00
Other $68,692.73 $68,692.73 Other -$68,692.73 -$68,692.73
Cash Cash
Withdrawals 0 00 0 00 Withdrawals -633.264 69 -1.616.597 86
Deposits 350,805 95 2 047 119 25 Defrosts 0.00 0.00
Total Cash $350,805.95 $2,017,119.25 Total Cash -6633,264.69 -$1,616,597.86
M on ey M arket Funds $1,590,029.90 $2,413952.63 M oney M arket Funds -$1,511,823.70 -61,780,931.93
Total Credits $1,107,362.06 $8,359,821.16 Total Debits -$3,802,980.62 -$8,055,410.02
Transactions by Type of Activity
Process/ Trade!
Settlement Transadioe
Date Date Activity Type Descriptios Guiltily Price Awned Interest Amount Currency
Securities Bought and Sold
04106115 03131115 PURCHASED WISDOM TREE IN VTS 'AC COM UNSOL AVERAGE UNIT PRICE 15,000.000 21.5501 .324.157 50 USD
WETF TRANSACTION YOUR BROKER ACTED AS AGENT
04107115 0/101/15 PURCHASED GODADDY INC CL A PROSPECTUS UNDER SEPARATE COVER 700.000 20.0000 -14.000.00 USO
GDDY
04116115 0/113115 PURCHASED ALLIAla SE SPONS ACM REPSTG 1110 SHS UNSOLICITED 3000.000 17.9500 -90.05800 USO
AZSEY ORDER
04116115 04113115 PURCHASED BASF SE SPOKS ADR ISINOUSO 552625051 UNSOLICITED 5.000.000 1013500 -508.056.00 USO
BASFY ORDER ALLOCATED ORDER YOUR BROKER ACTED AS AGEN T
Page 13 of 19
Account Num ber. Rated tscolkini
t)° AO ROI k SOUTH ERA ONLLC. Go paperless L D y A o L n O , A V R a R n A S T i E nc D e C 2 O 0 M 07 M UNICATIONS
FIDESMAL rximurnser
SMAY_GM_00045964
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008788
EFTA_OO 156573
EFTA01288936

Transactions by Type of Activity (continued)
Process/ Trade/
Settlement Transaction
Date Date Adivit Type Desmi min Qua Price Accrued Interest Amount Curren
Securities Bought and Sold (continued)
04116115 04113115 PURCHASED VOLKSWAGEN AG ADR(SPONS) UNSOLICITED ORDER 5.000000 508000 -254.30600 USD
VIKAY
04/21/15 04120/15 SOLD SHORT CALL 100 AVALANCHE BIOTECFNOLOGIES 'AC COM EXP 100100 6.9000 68,692.73 1.450
99QAF2AM 6 06-19.156i 40 000 OPTION ROOT: AAVL OPENING
TRANSACTION UNSOLICITED ORDER CVRD
04123115 04120115 PURCHASED AVALANCHE BIOTECH NOLOGIES INC COM AVERAGE L NIT 10,000 000 39.8000 -398.60600 USD
AAVL PRICE TRANSACTION YOUR BROKER ACTED AS AGENT
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 4,520488.77
Dividends and Interest
04/01/15 80AD INTEREST RECEIVED 1000000 HEADWATERS INC GTD SR AT 7.625% 04/01/19 38,125 00 USD
42210PA05 EWE DTD 03111/11 CLB RO 03/15 PO 04101/15
04101115 80AD INTEREST RECEIVED SERACEM ASTER CO SR NT CUSP FULLY EXCHANGED 6.153 78 USD
81760NAN9 FROM OLD CLSIP 81760NAL3 8 000% 02/15120 8/E OTD
02113/12 CLB ACCRED INTEREST
04/10115 FOREIGN BOND INTEREST 300000 BARCLAYS 8K PLC CONTINGENT CAP NT 11.625.00 USD
06739FFKO ISIN#U506739FHK03 7.750% 04/10/23 WE DTD 04/10/13
CLB RD 04109 PD 04110115
04/23115 80ND INTEREST RECEIVED HEADWATERS IN C GTD SR NT 7.625% 01101119 81E DID 4.659.72 USD
42210PA05 03/11111 CLB ACCRUED INTEREST
04/27115 80AD INTEREST RECEIVED 4500000 COUNTRYWIDE HOME LOANS SER 03.1 CL 81 4.391.86 LSD
12669DYS1 4 HO% 03125133 B/E DTD 01130103 RD 03131 PD 04125/15
04/27115 CASH DIVIDEND RECEIVED 23000 SF RS GENERAL ELECTRIC CO COM RD 02/23 PD 5,290 00 LSD
GE 04127/15
04/27115 80AD INTEREST RECEIVED 1290000 WASHINGTON MUT MTG SECS CORP 2004-RA2 4,211.14 USD
939336S20 MTG PASSTHRU CTF CL C-8-1 VAR RATE 6.984% 07125/33
WE DTD 06/01/04 RD 03131 PD 04125/15
04/28/15 FOREIGN BOND INTEREST 2500000 PETROLEOS OE VENEZUELA NOTES SSNIOR 62,500.00 LSO
P7807HAF2 ISINIXS0460546525 5.000% 10128/15 REG DTD 10/28/09
CLB RD 04127 PD 0/128115
04/30/15 MONEY MARKET FUND DWSGOVT CASH INSTL 1,424.73 USD
INCOME RECEIVED
233993682
04/30/15 CASH DIVIDEND RECEIVED ,PMORGAN CHASE 8 CO DEP SHS REPSTG 1110Th PFD SER 1 197,500.00 USD
466251-PA1 7.900% 04129149 B/E RD 04129 FO 04/30115 DIV PAID AT
39.50 5000000
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 335,881.23
Page 14 of 19
Account Num ber Rated twoollordi
liitAN ROLL SOUTHERN CA LLC. Go paperless Dr L x v Ae e Ls r O y a A V rRt a r Ra st Ae U rT n E t D o C Z O 0 M 07 M UNCA TOG
ON FIDESMAL
SONYGM_OOO45965
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008789
EFTA_00 [56574
EFTA01288937

Deutsche Asset
& Wealth Management
OIeIM Rana PnwaleVieuitnstwienmt
wrens <Dome 68...8
oe.88,47...* %Avows Lac
lire bet ORw
P.O. Box 1778, Babimore, MD 21203 HI Pan Ramo. Ita I ter
War we\ ItY 10114
Statement Period: 0410112015 • 04130/2015
Transactions by Type of Activity (continued)
Process' Trade/
Settlement Trans:idiom
Date Date Activi Descri, ion Cluaetit Price Accrued Interest Amount eine
Distributions
04/01115 SEC 6F0TY REDEEMED SERV10EMASTER CO SR NT • CUSP FULLY EXCHANGED ,802,000.000 638.120 00 USO
81760kAk9 FROM OLD CUSP 81160kAL3 8.000% 02/15120 BlE DID
02113/12 CL8
04123115 SECURITY REDEEM ED hEADWATERSIAC GTD SR NT 7.625% 04101119 BIEOTO -1,000.000.000 1.038.130 00 USO
42210PA05 03111111 CL8
04127115 RETURN OF PRINCIPAL 4500000 COUNTRYWIDE HOME LOANS SER 03.1 CL 81 13,175 91 USO
RECEIVED 4.090% 03125133 DIE DTO 01130103 RD 03/31 PD 04125115
12669DYS1
04127/15 RETURN OF PRINCIPAL 1290000 WASHINGTON MIJTM TG SECS COPP 2004•RA2 3,833 61 USO
RECEIVED M TG PASSTHRUCTF CL C.B.1 VAR RATE 6.984% 07125133
939336520 B/E DTD 06/01/04 RD 03131 PD 041251t5
Total Distributions • UNITED STATES DOLLAR 0.00 1,093,259.52
Fees
04101(15 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 2015 CUSP: 04515P-P4.8 -6.00 USO
GIS15PP48
04101/15 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 2015 CUSP: 654338.86.8 ..6.00 USD
654339808
04/01115 FOREIGN CUSTODY FE Fgn Safekeeping MAR 2015 CUSP: P7807H-AF-2 -6.00 USO
P7807FAF2
Total Fees • UNITED STATES DOLLAR 0.00 -18.00
Other Transactions
04121115 MARK TO MARKET MARK TO MARKET 68,692 73 LSD
US0999997
04/21115 MARK TO MARKET MARK TO MARKET -68,692.73 USO
US0999997
Total Other Transactions • UNITED STATES DOLLAR 0.00 0.00
Cash Withdrawals and Deposits
04101115 FEDERAL FUNDS RECEIVED DEUTSCHE BANK SEMI 87332 189,549 51 USO
US0999997
04102115 FEDERAL FUNDSSENT DEUTSCHE BANK TRUST -480.558.75 USO
U S0999997
Page 15 of 19
Account Num ber. Go paper ass kilted tacelibra
tnIAU ROLL SOUTHERN C611O NLLC. FIDETITAL Dr L x v Ae o Ln n B . uA Y rR e m R a e r A L sT a E c D e C 2 O 0 M 07 M UNICATOIS
SDNY_GM_00045966
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008790
EFTA_00 156575
EFTA01288938

Transactions by Type of Activity
(continued)
Process/ Trade/
Settlement Transaction
Date Date Adivit Type Dewi ion Chia Price Accrued littered Moult Curren
Cash Withdrawals and Deposits (continued)
04109115 FEDERAL FUNDS SENT DEUTSCHEMK TRUST -152.70591 1.,SO
USO999997
04130115 FEDERAL FL OS RECEIVED DEUTSCHE BANK SECURI 11123 161256.11 USD
LSO999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 .212,45834
Money Market Funds
04/01115 MONEY FUND PURCHASE DWSGOVT CASH INSTL -692.19500 USD
USO999997
04/02115 MONEY FUND REDEMPTION DWS GOO' CASH INSTL 216,748 46 USD
USD999997
04/06115 MONEY FUND REDEMPTION DWSGOVT CASH INSTL 324.157 50 USD
USO999997
04/07115 MONEY FUND REDEMPTION DWSGOVT CASH INSTL 166,705.94 USD
USO999997
04/13/15 MONEY FUND PURCHASE DWSGOVT CASH INSTL -11.625.00 USD
USO999997
04/16115 MONEY FUND REDEMPTION DWSGOVT CASH INSTL 852.418 00 USD
USD999997
04/22/15 MONEY FUND PURCHASE DWSGOVT CASH INSTL -68.692.73 USD
USD999997
04/23/15 MONEY FUND PURCHASE DWSGOVT CASH INSTL -644,183.72 USD
USD999997
04/28/15 MONEY FUND PURCHASE DWSGOVT CASH INSTL -30,902.52 LSD
O5O999997
04/29/15 MONEY FUND PURCHASE DWSGOVT CASH INSTL -62,500.00 USD
USO999997
04/30/15 MONEY MARKET FUND DWSGOVT CASH INSTL INCOME REINVESTED -1.024.73 USD
REIN VESTU ENT
233993682
Total Money Market Funds • UNITED STATES DOLLAR 0.00 78,206.20
Total Value of Transactions 0.00 304,381.41 USD
The price and quantity displayed may have been rounded.
Page 16019
Account NumFbNJer.j Rated excellent,
WPM, '1011 SOUTHERN ONLLC. FID G E o p T ape I r T les A s L E Drx v Ae e Ls r O y u A V rRt a r Ma ., e L Ur o D op C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00045967
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-OOO8791
EFTA_OO 156576
EFTA01288939

Deutsche Asset
& Wealth Management
OlgiSOf Bm, Pn•DIP won im.genan
markets remake Moe
°teem um Woofer W.
Now brio:Aar
PO Lim 1778, Skidmore, MD 21203 HS Pan Asa. lothlbw
Mrs Rea NY 101$4
Statement Period: 0410112015 • 04/3012015
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
I I
I to 6 months 2,452,500.00 10% Percentages of bond market values are
I to 5 years 1,010,000.00 5% C I (3 rounded to the nearest whole percentage.
I I
6 to 10 years 2,019,000.00 9%
Over 10 years 17.889.978.15 78% C
Total 23,401,470.15 100%
Bond Quality
Bond Duality Market Value %of Bond Market Value
BAA 5,703,210.00 21% El Percentages of bond market values are
BA/Lower 16,941,745.70 72% rounded to the nearest whole percentage.
Not Rated 756.522.45 4% C
Total 23,101,00.16 100%
Client Service Information
Your Client Advisor: DAN
DANIEL SABBA
345 PARK AVENUE, 26TH FLOOR
NEW YORK NY 10151
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Stocks in a Dividend Reinvestment Flan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Bond Amortization Elections:
Treat all interest as original issue discount (010): No
Am onize premium on taxable bonds based on Constanl Yield Method: Yes
Accrual market discount method for all other bond types: Ratable Method
Include market discount in income annually: No
Page IT of 19
PCIV:114,SF,0,18 Uswo vole Account Nucmber:o F DGEo pNapeTrleIssA (it I E D ta v A h e L N n B . I A V I. R a s c R . e S A ll T e iv r E a a O C 2 O 0 M 07 M UNICATIONS ratte.."—X.1=. 143.f.=t7
SDNICGM_00045968
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERN DB-SDNY-0008792
EFTA_00 156577
EFTA01288940

Your Account Information (continued)
Electronic Delivery
You have not selected any account corn in unications for electronic delivery. To register and turn off paper cam m unications, log in to your account or contact your Qient Advisor for more inform alion.
Important Information and Disclosures
Pricing
This section indudes 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
YAW/ pershing.cornibusiness_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 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 famished 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 itseff ar 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 wig 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 196, 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 & 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 & Pools 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 not
recommendations to purchase, hold or sell securities; and do not address suitabibly for investment purpose. Credit ratings should not be relied upon as investment advice.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
Page IS of 19
crsin
MIA11 'OIL A St c 3 c L o T u H n E t N RA u m ben FID G r o i p s ap c erl r e i s A s L [ Dr v xA e eL r s y Ot A V E iRn n w C aR e . eA l l S e rT r i . E n c D e C 2 O 0 M 07 M UNOTIONS fratst-X.--e-n=== -4-=
SDNY_GM_00045969
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008793
EFrA_00 156578
EFTA01288941

Deutsche Asset
& Wealth Management
Deviv ,'0.4.10 Wolin PAnair,tat
MW•lets (Inger C•ccfl
Ede.,,, Bar secv-rr. M.
Yin brk Office
P.O. Box 1770, Skidmore, MD 21203 11)Park Anne.. 1011•11cct
%yr SA nY IOVA
Statement Period: 0410112115 • 04/3012015
Important Inform ation and Disclosures (continued)
The Role of Pershing
• Pershing tames your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (ii) any other instructions concerning your account Pershing is not responsible or liable for any acts or omissions of your financial institution or
Its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the 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 eneral 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 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 possbe 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: vnwrpershing.cornistrength_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-confirmed in writing to further protect your rights, including your tights 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 Orrissions excepted.
Important Arbitration Disclosures
• Au 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 Mal 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 generaly 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 afNiated 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 shat 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;
mac. Page 19 of 19
Account Number Rated tocolleria
t)PAN MOLL SOL THERA Cio pal)erless E O n m v i y lm Y a e R w A S T l E a D b C 2 O 0 m 07 m umiCaTe0•6
N F I IDEN TEAL rxaturxr
SDNY_GM_00045970
CONFIDENTIAL — PURSUANT TO FED. R GRIM. P. 6(e) OB-SDNY-0008794
EFE4_00156579
EFTA01288942

Deutsche Asset
& Wealth Management
Dralst.v Ram Pon. Votel07117,vm-frent
Vinet% CO/Vir
De.146. W. Sew ler %.
Kra bet ark*
P.O. Boo 1778, Baltimore. MD 21203 Marini Anne. 169.1* xi
tay. wet 10 VA
Account Number:
Statement Period: 03101i2015 - 1313112115
Valuation at a Glance
This Period Year-t-oDate
SOUTHERN FINANCIAL LLC Beginning Account Value $129,771,073.42 3126,714,293.02
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 680,64732 712,980.13
Net Securities InlOut of Account 0.00 -2,483,792.00
ST THOMAS VI 00802
Adjusted Previous Account Value 130,051,721.04 124,943,411.16
Dividends. Interest and Other Income 129.166 12 749,859.48
Net Other Activity 0 00 -18.00
Net Chan e in Portfolio -364.415 51 1 723 149 02
Your Client Advisor: nding Account Value 5130 416 471.65 5130,416,471.65
DANIEL SABRA Accrued Interest 5520 520 93
Estimated Annual Income $3.681.091.45
Asset Allocation
Prior Year-led Lad Period This Period X Allocation
LSD Cash. Money Funds. and Bank Deposits 44,273,984.33 45,663,179.31 16,681,169 83 35.80%
Pease re. leo roc' a location
LSD Axed Income 18,177,455.58 17,335,68822 17,333,387.82 13.29%
N owl, SD Axed Income 7.150,052.50 7,585,517.50 7,705,812.50 5.91%
LSD Equities 54,120,544.61 55,926,104.39 55,352.277.70 42.44%
Kan-LSD Equities 2.986.250.00 3.260.584.00 3.340.824.00 2.56%
A unt Total (Pie Chart) 3126,714,293.02 $129,771,073.42 3130,416,471.66 101.00%
See the Asset Mocation Cfsclosure and Footnotes secton for important information reganaing your Asset Alocaton.
Pap 1018
wit
tocelleria
DOAN 901.1 BOOSISIMS130023 D be A e U fy M V . s R .. A S T e E n D to C 7 O 0 M 07 M UNICATIONS /eon. LAC ••••••••701•A
CONFID ('EiTfiAs L receurNee
SDNY_GM_00045971
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008795
EFTA_00 I 56580
EFTA01288943

Asset Allocation Disclosure and Footnotes
AO values are displayed in U.S. dollars based on interbank exchange rates as of 03/3112015. 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 0.00 0 00 5 590.698 57
Lon •Term Gain/Loss 1.334 04 13.596.35 5.029.921.86
Net GaIn/Loss 1,334.04 13,596.35 10,620,620.43
This summary excludes transactions where cost basis information is not available.
Money Market Fund Detail
Date Activity Type Desaislion Amount Balance
Sweep Money Market Fund
OwS GOVERNMENTCASH INSTL
Account Number 0000001490 Current Yield: 0.03% Activity Ending: 03/31(15
02126(15 Opening Balance 45,436.864 29 45.436.864 29
03102/15 Deposit MOSEY FUND FIACFASE 226,315.02 45,663,179.31
03105/15 Deposit MOSEY ELM) FIACFASE 905.092.06 46.568.271 37
03125/15 Deposit MOSEY RAO FURCFASE 4.813 06 16.573,081 13
03126/15 Deposit MONEY FUND PURCFASE 19.645.46 46.592.929 91
03/30/15 Deposit MOSEY FUND FURCFASE 35,68115 46.628.611 16
03131/15 Deposit INCOME REINVEST 1,183.67 46.629.794 83
03/31115 Closing Balance $48,629,794.63
Total All Money Market Funds $46,629,794.63
Income and Expense Summary
Current Period Year-to.Date
Taxable Non Taxable Taxable Von Taxable
Dividend Income
Equities 83.632 50 0.00 265,794 75 0.00
Money Market 1,183.67 0.00 3.327.52 0.00
Other Dividends 000 0.00 93,750.00 0.00
Interest Income
Bond Interest 44,349,95 0.00 120.047 15 0.00
Other Interest 000 0.00 40,625.04 0.00
Total Dividends, Interest, Income and Expenses 5129,166.12 $0.00 $523,644.46 $0.00
Page 24018
Account Number. listed tace00.4
UN,,' VOI SOL THERIZ1O NLLC. FID G E o p N ape T rle I ss A L ( D r v x A e e L r s y B t u A V r R i n s R o s r A e S r T l E a D te C 2 O 0 M 07 M UNICATIONS
SDNY_GM_000459T2
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008796
EFTA_0015658 I
EFTA01288944

Deutsche Asset
& Wealth Management
DPIISOe P • If lir
Mweits I wear Gtpt,p
°taunt Sam smote Ac,
Mn *4 Moo
P.O Box 1770, Ba!amt.*, MD 21203 SO rut Asa. member
Pe,.. Vett NY 10114
Statement Period:0311112116 -1313112115
Income and Expense Summary (continued) Current Period Year-to-Date
Taxable Non Taxable Taxable Non Taxable
ons
0.00 0.00 0.00 226,315.02
0.00 11.176.78 0.00 59.08319
Kiel CiSnCcaons $0.00 $11,176.71 $0.00 $285,318.91
Portfolio Holdings
Amount Activity Opening Dosing Atcrued Income 30-Day tweet
Opening Date Quantity Number Esdklg Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 36.00% of Portfolio
Cash Balance 228.315.02 54.375.00
Money Market
DWS GOVERNMENT CASH INSTL
02128115 46.629.794.830 0000001490 03131115 45.436.864.29 46.629.794 83 0.00 1327.52 0.03% 0.03%
Total Money Market 545,436,854.29 146,629,794.83 $0.00 $3,327.82
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
02128115 N46021804 01102115 0.00 0.00 0.00 0.00 N/A NIA
Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $0.00
Total Cash, Money Funds, and Bank Deposits $45163,1713 1 $41,684,169.83 10.00 $1327.53
Adjuded Usrealded Acaued Edimated Estimated
Date Acquired Quantity Unit Cod Cod Basis Market Price Markel Valet Odd Loss liters Annul income Yield
Fixed Income 19.00% of Portfolio (In M awary Date Sequence)
lAsset Backed Securities
COUNTRYWIDE HOME LOANS Security Identifier: 12669DYS1
SER 03-1 CL BI 4190% 01/25/33 WE
DID 01130103
Fedor: 0.20368040 Effective Date:03102/15
Current Face Value: 916,561 800
12113113'.3.12 4.500.000.000 93.3760 855.852.79 83.7240 767.382 20 -88.470.59 3.123.95
Original Cosl Basis. $1.111.573.07
Page 3 of 18
Account Number Rated tacelleria
goeMCSF, Go paperless Lven. Year Since 2007
L TM ERA CAO LLC. rGxAeLnLItArw. ReArT 0DCOMMUNICATIONS
N F I DAENTIAL
SDNY_GM_00045973
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008797
EFTA_00156582
EFTA01288945

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Cale Acquired Ouaetny limit Cod Cod Basis Market Price Markel /aloe Gail« Loss Interest Annual (name Yield
Fixed Income (continued)
tAsset Backed Securities (continued)
WASHINGTON MUT N TG SECS CORP 2004•RA2 Security Identifier: 93933020
MTG PASSTHRU CTF CL C.8.1 VAR RATE
6.984% 07125133 WE DTD 06/01/04 S 8 P Rating
Factor: 0.56082241 Effective Date:03102115
Current Face Value: 723,460 909
12/13113 %En 1,290,000.000 76 5190 553.582 23 84.3080 609/35 42 56,353.19 4.210 84
Onginal Cosl Basis $638/06.71
Total Asset Backed Securities $1,409,435.02 $1,377,317.02 132,117.40 $7,334.79 $0.00
5,790,000.000
Total Current Face Value 1,640,022.109
Corporate Bonds
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
NOTES SENIOR Int XS0460546525
5.000% 10/28/15 REG DM 10/28109 S t P Rating B'
12104113'•2.12 2,500 000 000 96.7170 2,417,936.76 93.9900 2,349,750.00 -68,186.76 52,777.78 125,000.00 5.31%
Onginal Cosl Basis $2.250.00100
HEADWATERS INC GID SR NT Security identifier: 42210PAQ5
7.625% 04101)19 WE DID 03/11/11
CALLED 04123/15 1ST CPA DTE 10/01/11 Moody Rating Bt
St P Rating 00-
10122112 '•12.12 1,000,000.000 101 7100 1,017,102.16 104.1700 1,041,700.00 24,597.84 38,125 00 76,250.00 7.31%
Onginal Cosi Basis' $1.035.000.00
EARTHUNK INC GM SR NT FULLY EXCHANGED Security Identifier: 270321AC6
CUSP FROM 270320188 8875% 05115/19 WE
DTD 05117111 CALLABLE 05/15/15 5 6 P Rating CCC•
10122112 %En 400.000 000 102 4080 409.63313 103.0000 412,000 00 2.366.97 13,411.11 35,500.00 8.61%
Original Cosi Basis: 1414,000.00
10123112'.3.12 600.000 00 102 2380 613.428.36 103.0000 618.000 00 4,571.64 20.116 67 53.250.00 8.61%
Original Cosl Basis $619,500.00
Total Nonavered 1,000,000.000 1 023 061.39 1,030,000.00 6,938.61 33,527.78 88.750.00
Total 1,000,000.000 $1,023,061.39 $1,030,000.00 $6,938.61 $33,527.78 88,750.00
SERVICESAST& CO SR NT • CUSIP FULLY Security Identifier: 817SONAN9
EXCHANGED FROM OLD CUSP 8176043
8.000% 02/15120 WE DM 02/13/12 Moody Rating B3 S 8 P
Rating B-
02125/13 '.3.12 602,000.000 105 2300 633,487.55 106.0000 631120 00 4.63245 6.153.78 48,160.00 7.54%
Original Cod Basis 5644,140.00
Page 4 of 18
Account Num ber. Rai tace0onti
()PAN ROI I SOL THERA )JkiANfJAI N LI.C. F ID Go r p i a s pe m rles A s L Mr ', x a eL y n B uA V rRn s Rs . eA L rT a E t D e C 2 O 0 M 07 M UNCATIONS SDNY_GM_00045974
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008798
EFTA_0015 6583
EFTA01288946

Deutsche Asset
& Wealth Management
(Misr< Rana Po.. wean &a...qt....I
Pdvais <wrap 68...2
M.IUMM Setwomsw,
wan Onar
P.O. &a 1778, Balamore. MD 21203 Na iro. i be,
Wry RA M',0114
Statement Period: 03/01/2015 • 03/31/2015
Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Dale Acquired (beefily Unit Cost Cost Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: 64$15PP48
TERM NOTES ISA* U0717735822
9.875% 12/18/21 REG DTD 12/16111 Moody Rating Bat St
P Rating BBB-
12104/13 '.3.12 1,500,000800 107.4720 1112.084.54 113.3000 1.699 500 00 87.415.46 42.791 67 148 125 00 8.71%
Original Cost Basis, 51,627,500.00
BARCLAYS 8K PLC CONTINGENT CAP NT Security Identifier: 06739FHK0
!SIN 61,936739FF KO3 7.750% 04110/23 BIE
DTD 04110/13 CALLABLE 04110118 St P Rating BB4
04103/13 %IL" 300.000 000 100 0000 300,000.00 110.8750 332 625 00 32,625 00 11,043 75 23,250 00 6.98%
Original Cost Basis: $300,00000
RN ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 46625H11A1
1/10Th KO SER 1 FIXED TO F1.76 RT BD
7.900% 04/29/49 WE D70 0023108 Moody Rating BM S
P Rating 8B8-
06/15/11 '•3,12 2,500,000.000 107 5000 2187,500.00 107.6250 2.690.625 00 3,125.00 82,291.67 197,500.00 7.34%
Original Cosl Basis: $2,687,500.00
06115111 '.3.12 2.500.008000 107 0000 2.675.000 00 107.6250 2.690.625 00 15,825.00 82.291 66 197.500.00 7.34%
Original Cost Basis: $2,675,000.00
Total Noncovered 6,000,000.000 5 362 500.00 5,381,250.00 18,750.00 164,583.33 385,000.00
Total 5,000,000.000 $5,362,500.00 $5,381,250.00 $18,750.00 $164,583.33 $395,000.00
BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 00506018
SF S AXED TO FLOAT 8.125% 04/30/58 B/E
DTD 04130108 CALLABLE 05/15/18 Moody Rating BA3 S8 P
Rating BB
01110111 '.3.12 2.000.000.000 102.7500 2.055.000.00 107.8750 2.157.500 00 102,500.00 61.38889 162.500.00 7,53%
Onginal Cost Basis: $2,055,000.00
Page 5 of 18
Account Number: Go paperless E Rated tacolloni
090B86CSFIO,,:: OBAN CM F IDErwriA r ( C v xA e eL r Ls y U a V Mm e R s e t A S rT O E S D O , C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045975
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THEM DB-SDNY-0008799
EFTA_00 156584
EFTA01288947

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cost Cod Basis Market Pria Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
SOUTHERN CALIF EDISON CO PREF SER E Stonily Identifier: 842400FU2
6.250% 01117162 NE DM 01117112
CALLABLE 02101122 0 100100 Moody Rating BAA1 S 8 P
Rating BBB-
01/30/12'.3.17 3,000400.000 991150 2,994,035.30 112.0000 3,360,000.00 365,564.70 31,250 00 187,500.00 5.58%
Original Cost Basis: 52,992,561.97
GENERAL ELEC CAP CORP NON CUM PFD SER Secerliy Identifier: 369622916
A 7.125% 06/12162 WE
DID 06112/12 CALLABLE 06115/22 Moody Baling BAA1 S
P Rating A+
06127112 '.13.13 2,000,000.000 1011110 2,096,287.52 117.3750 2,317,500 00 251,21288 01,958.33 112,500.00 6.07%
Original Catania: 52.122,916 67
LBG CAPITAL NO 1 PLC 141A Security Identifier: G5433BBG8
IMOX.50173106283 8.000% 09115/88 REG
DID 12115109 CALLABLE 06115120 St P Rating B8
12104/13 '.3.12 1,200,000.000 108_2500 1,299,000.00 108.5000 1,302,000.00 3.000.00 28.000 00 96,000.00 7.37%
Original Cosl Basis: 51.299.00100
•LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 5391391%61
ADDL TIER 1 SECS ISHII t,S539439A012
7.500% 09/27/88 BJE DTO 04107111 S 8 P Rating B.
Please Provide' 1.903.000.000 N/A Reese Provide 106.2500 2.021.937 50 N/A 1.585.83 112,725.00 7.05%
Original Cost Basis. Please Provide
Total Corporate Bonds 120,810,895.22 323,661,882.50 $629,019.70 $513,186.11 31,635,760.00
22,005,000.000
Total Fixed Income 822,220,330.24 125,039,200.12 1796,932.38 $520,520.93 $1,635,760.00
27,795,000.000
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Pria Market Value Gain/ Loss Annual Income Yield
Equities 4 2.0 0% of Portfolio
Common Stocks
M OBILEYE NV AM STELVEEN ORD SHS Security Identifier: M BLY
IA010010831061 CL SIP N51488117
Dividend Option: Cash
08/01111 800.000 25.0000 20.000 00 42.0300 33,621.00 13,621 00
APOLLO GLOBAL MONT 1.1.0 CL A SHS Security Identifier: APO
Dividend Option: Cash CbSIP 037612306
03/29/11 '.I3 263.157 000 19 0000 4.999.983.00 21 6000 5,881,191.20 681.208 20 780,523.73 13.37%
Page 6 of 18
Account Number: Go paperless rt. Itstal taalkinti
OBAR ROLL SCI FI D Ani ariA r E Dx v Ae e L n nB t Au V Rr s r Ri , e A S rT i E nc D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045976
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6:THERM DB-SDNY-0008800
EFTA_00 156585
EFTA01288948

Deutsche Asset
& Wealth Management
Draw.< Rae Pnwar Week P. lamarnee
Pdarat$ Iterate 6,0‘e
oevtury ML %„<4n
Yt/ We
P.O. &a 1776. Baltimore. MO21203 HI Put /owes. Ita Mei
War Rot Pet 1011.4
Statement Period: 03/01/2015 • 03/31/ 2015
Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Dale Acquired Quantity Unit Cog Cost Basis Market Price Market Value Gale/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
APPLE INC COM Sanity Identifier: AAPL
Dividend Option: Cash CUSP. 037833100
09105/14 142.800 000 98.9500 14.130.065 71 124 4300 17,768.604 00 3.638.538.29 261464 00 151%
ARIAD PHARM ACEUTICALS INC Security Identifier: ARIA
Dividend Ophon. Cash CUSIP 01033A100
02114/12'.13 7,535.000 152010 114,597.40 8 2400 62.088.40 •52.509.00
01124/13 9,000.000 19.6000 176,400.00 8.2400 71,160.00 .102,210 00
Total Noncovered 18,535.000 290 997.10 130,218.40 ,154,749.00
Total 16,535.000 5290,997.10 6136,218.10 .5154,719.09 $0.00
ASCENA RETAIL GROUP INC CON Security Identifier: ASIA
Dividend Option: Cash CUSP 043516101
01116/01 '.3 70.500.000 212770 1.500.000.00 11.5100 1.022.955.00 477,0/500
BANK OF NEW YORK II ELLON CORP COM Security Identifier: 8K
Dividend Option Cash CUSP. 064058100
06125/11 250.000 000 36 3060 9.076.406 00 40.2400 10.060.000 00 983.594 00 170.000 00 1.68%
BIOGEN IDEC INC COM Security Identifier: BNB
Dividend Option: Cash CUSP: 09062X103
02114/12 '.11 2.095 000 119 5490 250,454.95 422.2400 884.592 80 634,137 85
FACEBOOK INC CL A Security Identifier: FB
Dividend Option Cash CUSP 3030311102
05/17/12 '41 17.500.000 38 0000 665.00090 82.2150 4438.762.50 773,762.50
FOUNDATION MEDICINE INC COM Security Identifier: FM I
Dividend Option: Cash CUSP. 350/65100
01113114 25.000.000 27.5070 687,663.50 18.1100 1.202.750.00 515.086.50
08105114 21,830.000 232530 577.373.02 18.1100 1,191,571.30 617,198 28
Total Covered 19,530.000 1 246 035 52 2,397,321.30 1,132,284.71
Total 49,830.000 91,266,030.52 52,397,321.30 11,132,251.75 $0.00
GENERAL ELECTRIC CO COM Security identifier: GE
Dividend Option Cash CUSP- 369601103
Pate 7 4018
Account Num ber " ct Rated [atelier.
Oft..L1 ROLL 50LT"ERh OJFI D G AE o p I a S per M less A L rD b x e Ae e L f n O y At V rR e h e Ri r eA U rT n E t D o C 2 O 0 M 07 M LMKATIONS
SDNY_GM_00045977
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008801
EFTA_00 156586
EFTA01288949

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Dale Aoivired Quantity Usk CoM Cost Bads Market Price Market Vales Gain/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
GENERAL ELECTRIC CO COM (continued)
04123/13 23.000.000 21.5700 496,109.08 24.8100 570,630.00 74,520.92 21,160.00 3.70%
GENERAL M TRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP. 37045V100
11118/10 10.988200 36.4010 399,978.16 37.5000 412,057.51 12,079.35 13,185.84 3.20%
12109110' 86,536.800 361160 3.185,96922 37.5000 3,245,129.99 5%160.77 103,844.16 3.20%
Total Noncovered 97,525.000 3 585 947.38 3,657,187.50 71,250.12 117,030.00
Total 97,525.000 13,685,947.35 13,657,187.50 171,240.12 8117,030.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02105114 5,000.000 792810 396.407.00 98.1300 490.650.00 94,243 00
03107114 3,100.000 796120 246,797.00 98.1300 304,203.00 57,406 00
Total Covered 8,100.000 643,204.00 794,853.00 161,549.00
Total 8,90.000 $853,205.00 $794,853.00 1151,649.00 $0.00
HEALTH NET INC COM Secuiliy HN T
Dividend Option: Cash CUSP 42222G108
09108114 25,000.000 46.9600 1,174,506.00 60.4900 1.512.250.00 337,744.00
SAMOAN 0 BIOSCIENCES INC CON Security Identifier: SGM 0
Dividend Option: Cash CUSP: 800677106
05128113 '.13 50.000.000 8.4110 422.211.00 15.6800 784,000 00 361.786 00
SANTANDER CONSUMER USA HLDGS INC COM Security Identifier: SC
Dividend Option: Cash CUSP: 8028311101
01123114 1,000.000 246000 24,000.00 23.1400 23,140.00 860.00
TWITTER INC CON Security Identifier: TWIN
Dividend Option: Cash CUSP: 901841.102
11107/13 1,500.000 26 0000 39,000.00 50.0800 75,120.00 36,120.00
Total Common Stocks 138,557,124.04 546,843,479.70 $5,250,655.55 $1,337,177.73
Prelerred Stocks (Listed by expiration date)
ALLY FINL INC FIX TO FLT Security Identifier: ALLY MB
DIV-8.50% FREG-OTRLY CALLABLE g 25.00 CUSP 02005k308
ON A OTRLY BASIS AFTER 05/15/2016
Dividend Option: Cash
02103112 ..13 46.600.000 19.3820 903.217.51 26.6700 1.242.822.01 339.604 50 98.792 00 7.94%
02109112'.11 80,000.000 20.1250 1,610,000.00 26 6700 2,133,599.99 523,599.99 169,600.00 7.94%
Total Noncovered 125,800.000 2 513 217 51 3,376,522.00 563,204.49 268,392.00
Total 128,800.000 12,613,217.51 $3,376,422.00 1883,204.49 $255,392.00
Page 8 of 18
Account Number Rsd excellent,
es,00P8tr.IF' Go paperless (very 'tem Lace 2007 .401-41:17.... volt= r•eja••••0070•070
e✓JLTMERA CO nc. DAENTIAL rDxAtLv BaArRtr aMeUr D COMMUNICATIONS -F. ,4' -
SDNY_GM_00045978
N F I
CONFIDENTIAL — PURSUANT TO FED. R DRINA, P. 6(e) OB-SDNY-0008802
EFIA_00 156587
EFTA01288950

Deutsche Asset
& Wealth Management
Destine8m, Pon. Nva• Maviunad
Idwat5 CfrovarGtot,p
ontsciv Lim smokes4n,
New *4 Cato
P.O Occt 1770, Ba!limy*, MO 21203 SO Pia AS*w, lite' lbw
Mw** NY 101M
Statement Period: 03/01/2015 - 03131/2015
Portfolio Holdings (continued)
Ilarealked Estimated Estimated
Dale Acquired Quantity Unit Cost Cost Basis Market Pria Market Value Gala/ Loss Annual Income Yield
Eq uities (continued)
Preferred Stotts (continued)
GM AC CAP TR I GTD TR PFD SECS SER 2 CPN- Security Identifier: ALLY PRA
6.125% FREO QRTLY MATT-0211512040 CALL CU SIP. 361860208
ANYTIME (a 25 W130 OATS BEGINS 02/15116
Dividend Option: Cash
02122112'•11 80,000.000 23.5350 1.882.773.50 26.2500 2,100,000.00 217,228.40 182,500.00 7.73%
ROYAL BK SCOTLAND GP PLC WON AOR REPSTG Security Identifier: RBS PRT
SER T PFD CPN-7.25% FRED ORTLYPEFe M TY CUSP 780097713
CALLS 25 MY W130 D NOTICE AFTR 12131112
Dividend Option: Cash
10124112'.17 40,000.000 23.7900 951,600.00 25.5500 1,021,999.99 70,399 99 72,500.00 7.09%
01107113 '.13 40,000.000 24.4400 977,600.00 25.5500 1,021,999.99 44,399 99 72,500.00 7.09%
01114113 40.000.000 24.8800 995.200.00 25.5500 1,022,000.02 26.800 02 72,500.00 7.09%
'•17
Total Noncoveted 120,000.000 2,924,400.00 3,086,000.00 141,800.00 217,500.00
Total 120,000.000 $2,924,400.00 $3,085,000.00 $141,600.00 $217,500.00
Total Preferred Stocks 57,320,391.11 $8,542,422.00 $1,222,030.19 $646,392.00
Total Equities $45,903,315.15 $55,385,001.70 99,402,556.55 $1,915,589.73
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Pria Market Value Gaud Loss Annual Income Yield
Exchange-Traded Products 3.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY ED Security Identifier: 02J
Dividend Option. Cash; Capital Gains Option Cash CLSIP 97717W851
60,000 00 of these shares are in your margin account
12111113 60,000.000 49 4350 2,966.098 50 55.1200 3,307,200.00 341,10130 56,434 20 1,70%
Total Exchange-Traded Products $2,908,091.50 $3,307,200.00 $341,101.50 $58,434.20
thrtalized honed Estimated
Cod Basis Markel Value Gale/ Loss Interest Mewl Income
Total Portfolio Holdings $117,773,113.72 $130,416,471.65 $10,620,020.43 $628,520.93 $3,911,091.45
Page 9 or 15
Account Number: Go paperless Rated [sailer/I
SOLTHERN nu - F I D rgriA O ex A e L m OA em R R er A TED C 2 O 00 m 7 mumiCaTiOnS NounsLan Namara. 01104. NON,. IOC
SDNY_GM_00045979
CONFIDENTIAL - PURSUANT TO FED. R CRIN1. P. 6(e) OB-SDNY-0008803
EFrA_00 15658S
EFTA01288951

Portfolio Holdings (continued)
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 Stabilisation Act of 2008) and are, therefore, considered " nonce:refer:I,' 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 1099.8 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, 2O14, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adyusted 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.
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.
Unmated 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 undedying 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 fin or transfening agent and Pershing makes no representation as to the accuracy of this information.
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Loss/
Date Date Transaction Description Quantity Cost Basis Proceeds Disallowance
Long Term
03123/15 12/13/13' FIPP WASHINGTON MUT II TG S 004.RA2 M TG PASSTHRU Cif CL 1.290.000100 2,09011 2 731 50 611 39
C. B.1 VAR RATE 6.984% 07125133
Security Identifier 93933020
Original Cost Basis! 2.090.11
03125/15 12/13/13' RPP COUNTRYWIDE HOM E LOA 1 CL 81 4.090% 03125133 WED 4,500,000.000 9,76474 10 457 39 692.65
TD 01130103
Security Identifier. i2669DYSt
Original Cost Basis: 9.764.74
Total Long Term $11,854.85 $13,188.89 61,334.04
Total Short Term and Long Term $11,854.85 $13,188.89 $1,334.04
Page 10 of 18
Account Num bar Rated exceller4
VC01,01388CSFIO 178A7 ROLL SOL THERM Cr) NLLC. F I D G -E o n N ane T rle I ss A L rD L x v A e eL r sO y aA V Rm e R s e t A S rT i E n D e. C 2 O 0 M 07 M UNCATIONS •—•-swz --•-••••••• ••••• tioc
SDNY_GM_00045980
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008804
EFTA_00 156589
EFTA01288952

Deutsche Asset
& Wealth Management
Dryly •.e R•ni "MA Mamm.-win
M.I4ets Ont. eG•ccp
Be-1, Bar 141,"4.1 v.
Vint %A Mc*
P.O. Oat 1778, 8a8imore. MO2t203 IMPant Ann**. 100.31cm
en nr mu
Statement Period: 0310112015 - 03131/201S
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.1.110-343, the Emergency Econornc Stabilization Act of 2008) and are, therefore, considered "noncovered' under the new cost basis reporting rules• and marked or denoted as such. Mother 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 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. awned on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
This Schedule may not reflect al 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 bebeve 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 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 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 more of these attbutes 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 defauft, 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 n your brokerage account statement for your account's existing tax4ot disposition method. The disposition method is the method which you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, 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
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.//wwn dmirvestrents.comEN/products/money-marketrunds-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 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
;age II of 18
A St c 3 c L o T u H n E t N RA u mber KJFI D G A o E pap N er T les I s A ,4 R ro v a z o t 8 e rY d C V . .. " n R ' e A , m s V ^ I " ) C 2 O 0 A 07 Z .L INI CA TOG ocratro..tr.17...rt,
SDNY_GM_00045981
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008605
EFIA_00156590
EFTA01288953

M essages
(continued)
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Activity Sum m ary (All amounts shown are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Dividends and Interest 1129,166.12 $523,544.46 Dividends and Interest $0.00 $0.00
Distributions 111,176.76 $1,173,678.91 Distributions $0.00 $0.00
Fees 10.00 $0.00 Fees WOO -118.00
Cash Cash
Withdrawals 000 0.00 Withdrawals -24,44444 -983.33317
Deposits 905 092 06 1.696 313 30 Deposits 0 00 000
Total Cash $905,092.06 $1,696,313.30 Total Cash -124,144.44 -$903,333.17
Money Market Funds $0.00 $858,922.73 Money Market Funds -$1,192,930.54 -$3,269,108.23
Total Credits $1,045,434.96 $4,252,459.40 Total Debits •$1,217,374.98 •$4,252,159.10
Transactions by Type of Activity
Process/
Settlement
Date Activity Type Desa ron Clean Price Acaeed Interest Mount Curren
Dividends and Interest
03124115 CAS. DIVIDEND RECEIVED 97525 SI- RS GENERAL MTRS CO COM RD 03/11 PD 03/24/15 29.257.50 GSO
GM
03125115 BOND INTEREST RECEIVED 4500000 COUNTRYWIDE HOME LOANS SER 03-1 CL SI 4,111 96 LSD
12669DY51 10 90% 03125133 B/E OTD 01130103 RD 02127 PD 03125/15
03125115 BOND INTEREST RECEIVED 1290000 WASHINGTON M L T LUG SECS CORP 2001-RA2 4,226.74 LSD
939336520 MTG PASSTHRU CTF CL C.B-1 VAR RATE 6.984% 07125/33
WE DTD 06101/01 RD 02127 PD 03/25/15
03127115 FOREIGN BOND INTEREST 1903000 LLOYDS BANKING GROUP PLC FXO RATE RESET 35.681.25 LSD
539439AG4 ADDL TIER 1 SECS151kt US539139AG12 7.500% 09/27/88
WE DID 04/07/14 CLB RD 03/26 PD 03/27/15
03131115 MONEY MARKET FUND DWS GOUT CASH INSTL 1.183.67 LSO
INCOME RECEIVED
233993682
03/31/15 FOREIGN SECURITY DIVIDEND 120000 SI- RS ROYAL BK SCOTLAND GP PLC SPON AM 54.37900 LSO
RECEIVED REPSTG SER T PFD CPN-7 25% FRED 0 RTLY PERP M TY
RBS PRT CALL@ 25 MY W/30 D NOTICE AFTR 12131112 RD 03116 PD
03131115
Total Dividends and Interest • UNITED STATES DOLLAR 9.00 129,166.12
Page 12 of 18
UBAB Rol I A SO cc U o T u H n E t R N N u m C b P er. 1 O NLLC. FID G E o p S ap T e r I le T ss A L D ( l r i v x s A e e te r sU y d tu M V E r x n s . c Ps . e . eA l 2 l r e T . 1 n E 0 t 0 ) 7 C 2 O 0 M 07 M UNCATIONS n ca t a ir r ' . t 4 t w — a .s a om r a .....a-
SDNY GM 00045982
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008806
EFTA_00 I5659 I
EFTA01288954

pout: :1:p
& It (*.awe Rana Pnwair Wean laptagenes
Pdaeals CodvageG,..P
Dettsch4 lank Stwoari
lire bet Ont•
PO Box 1776, Baltimore. ND 21263 HI Part A . Ita to
War wet ItY 10114
Statement Period: 0310112015 • 03/3112015
Transactions by Type of Activity (continued)
Process(
Settlement
Date Activity T Description DunlK Price Aimed Interest Amount Curren
Distributions
03/25(15 RETURN OF PRINCIPAL 4500000 COUNTRYWIDE HOME LOANS SER 03.1 CL 81 10.457 39 LSD
RECEIVED 1.090% 03125)33 BIE OTD 01)30103 RD 0207 PO 03/25115
12669DYS1
03/25/15 RETURN OF PRINCIPAL 1290000 WAShINGTON MLT MTG SECS CORP 2004-RA2 719.39 LSO
RECEIVED MTG PASSTF RI, CTF CL GB-1 VAR RATE 6.984% 07125133
939336520 DIE DTD 06101104 RD 02127 PO 03125115
Total Distributions - UNITED STATES DOLLAR 0.00 11,176.79
Cash Withdrawals and Deposits
03/04(15 FEDERAL FUNDS RECEIVED DELTSCF E BANK SEGUES 21098 905,092 06 LSD
USD999997
03/26/15 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -24.44444 USD
USD999997
Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 $80317.02
Money Market Funds
03/02/15 MONEY FUND PURCHASE DWSGOVT CAST INSTL -226,31502 USD
USD999997
03/05/15 MONEY FUND PURCHASE DWSGOVT CASF INSTL -905.09206 LSD
USD999997
03/25/15 MONEY FUND PURCHASE DWSGOVT CASI- INSTL 4,813.06 LSO
USD999997
03/26/15 MONEY FUND PURCHASE DWS GOV'T CASF INSTL -1934548 LSO
USD999997
03130115 MONEY FUND PURCHASE DWSGOVT CASI, INSTL -35,68125 LSD
USD999997
03/31/15 MONEY MARKET FUND DWSGOVT CASE INSTL INCOME REINVESTED -1,183.6T LSO
REINVESTMENT
233993682
Total Money Market Funds - UNITED STATES DOLLAR 0.00 4,192,93031
Total Value of Transactions 0.00 -171310.02 USD
The price and quantity displayed may have been rounded.
Page 13018
ik
Account Number. Go paperless Rawl Excellent
PAN 8011 SOUTHEMUO NLLC.F IDr1SITIAL D Ev A e U ry M Ye . R ar A L T a E c D e C 2 O '0 M 07 M UNCATIONS
ntolltiNct
SDNY_GM_00045983
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008807
EFTA_00 156592
EFTA01288955

Cash Not Yet Received
Security Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment
Dividends
GENERAL ELECTRIC CO COM 02123/15 04127115 28000 000 0 230000 Cash 5.290.00
Interest
h EADWATERS INC GTD SR NT 03/15/15 01101115 1.009000000 0 038125 Cash 38,125.00
7.625% 04101119 BIE
Total Cash Not Yet Received $43,416.00
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
7 to 12 months 2,349,750 00 9% Percentages of bond market values are
rounded to the nearest whole percentage.
1 to 5 years 2309,820.00 11%
6 to 10 years 2,032,125.00 8%
Over 10 years 17.947.505.12 72%
Total 28,039,200.12 100%
Bond Quality
Bond Quality Market Valve % of Bond Market Value
BAA
5,707,500 00 23% Percentages of bond market values are
rounded to the nearest whole percentage.
BAiLovier 18.564.317,92 74%
•
Not Rated 767.382.20 3%
Total 25,039,200.12 100%
Called Bonds
Eligible Called Call Type Redemption
Call Date Security Description Quantity Quantity Price of Call Proceeds
0410112015 SERY10EMASTER CO SR NT CLOPFULLY 602.000 000 602.000 000 '06.0000 Full 638.120.00
EXCHANGED FROM OLD CUSIP 81760NAL3
8.000% 02115120 B1E DM 02/13/12
0412312015 HEADWATERS INC GTO SR NT 1,000,000 000 1.000,000 000 103.8130 Full 1,038,130.00
7.625% 04101119 B1E DM 03111/11
CALLED 041231151ST CPN OTE 10/01111
Page 14 011 8
t)IIAO ROI I A S c Q c L o T u H n E t N RA u m C be V r O NLLC. F ID Go r p a ap r er I le A ss L r R D b x e A a c e t L e f lB y d u A V t r a Rt s c a R . e e . A l l S r o T i n E n l c D i e C 2 O 0 M 07 M UMCATIONS rett.:7===.N. —"1=
SDNCGM_00045984
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008808
EFTA_00 156593
EFTA01288956

Deutsche Asset
& Wealth Management
Desist.< Ram Pnair vkan swim-man
Idwats crane Gap
Dettschi Pak Setwnes IC.
11.7 Olni•
P.O. Oat 1778, Bahimore, MD 21203 HI Part A . NM I ter
War to M I0114
Statement Period: 0310112015 • 03/3112015
Trades Not Settled
Settlement Trade Activity Accrued Settlement
Date Date Description Quantity Price Interest Amount
04106/15 03/31/15 WISDOMTREE INYTSItiC COM 15 000 000 21 5501 000 -324,15750
UNSOL AVERAGE UNIT PRICE
TRANSACTION YOUR BROKER
ACTED AS AGENT
Total Amount of Trades Not Settled -$324,1$7.50
Client Service Information
Your Client Advisor: DAN
DANIEL SABRA
345 PARK AVENUE, 26Th 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 Reinvestm ent Flan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Bond Amortization Elections:
Treat al interest as original issue discount tOID): No
Am orbze premium on taxable bonds based on Constant Yield Method: Yes
Aoffual market discount method for all other bond types. Ratable Method
Include market discount in income annually: No
Eledronic Delivery
You have not selected any account comm unications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Orent 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 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 14/A" and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Page 15 of 18
Account Number Rated V-r ational.,
VRAM ROLL SOL THERA CO N LLC. F ID Go r p a ape r rl I es A s L D L rx o Ae w sU y tuM V rn. . . Ra . Ae L Tr a E m D C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00045985
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008809
EFTA_00 156594
EFTA01288957

Important Information and Disclosures (continued)
Estimated Annual Figures
The estimated annual income (EAI) and estimatea arnuai 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.cornibusiness_continuity.htri 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 mitten 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 won 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 vole 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) vii 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 & Poor's is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Poots 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 Poons 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 with your financial insbtubon. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and 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
page 16 of 18
nano q01 A SO cc U o T u H n t E N l% u m F he i r n O L N LC. FoGroN papTerleIsAs L r R D T xA a y c t L r e / Oi d tA T D imR e a R m l e i A a S rT n M E ' E D • C 2 O 0 M 07 M UNICATIONS C 0 O . T. I .Tt •• n • i • s tramerT.notlirs eanttat"i.m.... =
SDNY_GM_Ona459136
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008810
EFTA_00156595
EFTA01288958

Deutsche Asset
& Wealth Management
()PASO(
Marais Cowan 00‘p
°taunt sat seuenes sk,
Mn *4 Mao
P.O. Box 1778, Bahimore, MD 21203 HS Pia Asa. IM,I Ow
Mrs** NY 101W
Statement Period: 0310112/15 • 03/3112015
Important Information and Disclosures (continued)
The Role of Pershing (continued)
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 appbcable; the rendering of investment advice, if any, to you and in eneral 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 . 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 (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: vnwitpershing.cornistrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includng 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 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 Ned.
• 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 v I 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 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 17 of 18
Account Number: Go paperless Round tacellonii
00741 NOR r E 0xA v e e L r Os y A a % Rr o r R w ieA S rT i E nc D e C 2o0o0p7
SDNY_GM_00045987
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6: THERM K1 FI DENTIA OB-SDNY-0008811
EFTA_00 156596
EFTA01288959

TERMS ANDCONDITIONS
TRANSACTIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST, ODD LOT DEALER.
• ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY
SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL, AGENT OR BOTH. DETALS
• TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN AVAILABLE UPON REQUEST
WITH PERSHING UNTL 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 WVWV.PERSHING.COM
STATEMENT. IF SO, TIE 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. WWW.PERSHING.COMBUSINESS_CONTINUITY.HTA/L
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)(1H2))
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 TRADNO SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHNG 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 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 MAINTA/NED FOR YOU UNDER TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPT/O N
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 Are-AIINT AS REQUIRED BY REGULATION T IS AVALABLE FOR YOUR COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT.
NSPECTION 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 (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 PERSHING MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER.
DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC 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. AU. 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 1TE MOVE TERMS AND °COMMONS ARE Man-PPM:WE TO YOU, PLEASE NOTIFY PERSYNO IIMEDIATRY IN WRITING BY CERTFED MM. TOONE PERSHOM RAZA, JERSEY CITY, NI 07399, ATTN. LEON. DEPT
Page 18 of IS
OEM O MOLL A S c O c L o T u H nt E N TA u m C b H er . NLI.C. FI D GEo paNperTlesAs L I D r v x A o o r U y t M V o tm w . s R e e . A I L N s T o E M D a C 2 O 0 M 07 M UNICATIONS ram/ 7 t .. a ..-. n 7 s 4 u . m 2 s t n IL m L m .t a atZ..NIts. rOr—
SDNY GM 00045988
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008812
EFTA_00 156597
EFTA01288960

Deutsche Asset
& Wealth Management
Or.Kr* Kam lion. Wolin PAnair,tat
Pant% Ceretw
Dests04 Mai Se4wri
lire Vert Crnal
P.O. Du 1778, !ammo. MD 21203 HI Pan Annek It" tcr
Account Num ber:
Statement Period: 0210112015 -1212512115
Valuation at a Glance
This Period Year.to-Oate
SOUTHERN FINANCIAL LLC Beginning Account Value $124,868,906.38 1128,714,293.02
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 691.237.24 47.667.49
Net Securities InlOut of Account 0 00 .2,483,792.00
ST THOMAS VI 00802
Adjusted Previous Account Value 125,560,11342 124,002,633.63
Dividends, loftiest and Other Income 605.364 59 620393.38
Net Other Activity 0 00 -18.00
Net Chan .e in Portfolio 3 605,565 21 5 087,564 53
Your Client Advisor: nding Account Value 3129 771 073.42 S129.771 073 42
DANIEL SABBA Estlmated Annual Income $3.679.907 78
Asset Allocation
Prior Year-Fold LM Period This Period % Allocation
L S0 Cash. Money Funds. and Bank Deposits 44,273,984.33 13,453,016.70 15,663,179 31 35.19% P ease renew 0,.• a lozeo-
LSD Fixed Income 18,177,455.58 18184,692.34 17,335,688.22 13.38%
non.L SD Axed Income 7.150,052 50 7,393,617.50 7,585,517 50 5.85% -
LSD Equities 54,126,544.61 52,872,867.84 55,926,104 39 13-09%
Sanaa SD Equities 2.986.258.00 2.984.712.00 3.280.584 00 2.51%
Account Total (Pie Chart) $126,714,293.02 1124,80,906.38 $129,771,073.42 100.00%
See the Asset A1babon Disclosure and Footnotes secton for important oformaton regarding your Asset Alocabon.
Pate 1 of 18
Rated tacimena
ORAN /101 C 50 O 09773 N 0CSF3 F 0016 lE rilTfiAs L Pr tv xA e eL r s y Mu V rAn a Ra n Ae L rT a E te D C 2 O 0 M 07 M UNICATIONS •—••••,.c tin
SDNY_GM_00045989
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008813
EFTA_0015 6598
EFTA01288961

Asset Allocation Disclosure and Footnotes
AO values are displayed in U.S. dollars based on interbank exchange rates as of 02/28/2015. Exchange rates can vary.
Equities contains Equity Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short-tern, Gam/Loss 0.00 0.00 5.872.898.07
Long•Term Gain/Loss t 0.065 04 12.26131 5.148.031.92
Net GaIn/Loss 10,085.04 12,212.31 11,120,929.99
This summary excludes transactions where cost basis information is not available.
For Your Information
Cm June 5. 2014. the European Central Bank (the Eel?) 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 and/or 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 Des siption Amount Balms
Sweep Money Market Fund
DWS GOVERNMENT CASH INSTL
Account Number: 0000001490 Current Yield 0.03% Activity Ending: 02127/15
01131115 Opening Balance 43,453,016.70 43,453,016.70
02104/15 Deposit MONEYFUND PURCHASE 628,29418 44,081,310.98
02/06115 Deposit MONEY FUND FURCHASE 93,750.00 44,175,060.98
02109/15 Deposit MONEY FUND PURCHASE 62,942.96 44,238,003 94
02/13/15 Deposit MONEY FUND PURCHASE 67,116.00 44,305.119 94
02117115 Deposit MONEY FUND FURCHASE 930,780.00 45,235,899 94
02118115 Deposit MONEY FUND PURCHASE 165,85313 45,401,753.67
02126/15 Depoit MONEYFUND PURCHASE 34,083.14 45,435,836.81
02127/15 Deposit INCOMERBNVEST 1.027.48 45.436.864 29
02/27115 Closing Balance $45,436,884.29
Total All Money Market Funds $45,436,864.29
Page 2°118
PJ,09/730CSF30 MIMI NO„ A S c O c L o T u H n E t N RA u m C be O r N LLC. F I D G AE o p N ape T rle I ss A L I R Dr v xA a o e t L r e sB y d uA Y [ rR s t e r a Ra w l eA e W rT n E o t D , o . C 2 O 0 M 07 M UNICATIONS avet atr — iZ rt.•=r4 . . -i . - "
SDNY_GM_00045990
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008814
EFTA_00 156599
EFTA01288962

Deutsche Asset
& Wealth Management
Dral.C Prmair Wean lAvogenein
Metrat5 Cann. GICNP
Otelache SSA SeCiOila W.
mar let t
PO Lica 1778, Balamore, MA 21203 HS Pia AS.. MObet
lbw *A NY 101W
Statement Period:0211112115 -12/21112115
Income and Expense Summary
Current Period Year-bDate
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 176,87225 0.00 182,16225 0.00
Money Market 1,027.48 0.00 2,143.85 0.00
Other Dividends 93,750.00 0.00 93,750.00 0 00
interest income
Bond Interest 66,774.80 000 75,697.20 0.00
Other Interest 40.625.04 0.00 40,625.04 0.00
Total Dividends, Interest, Income and Expenses 5379,049.57 $0.00 $394,374.34 10.00
Distributions
Alternative investments 0.00 226.315.02 0.00 226.315.02
Other Distributions 0.00 25,280.78 0.00 47,907.11
Total Distributions $0.00 $251,595.80 $0.00 $374,202.13
Portfolio Holdings
Account Activity Opening Clodng Acaued Income 30•Day Current
Opening Date Quantity Number Ending Balance Baleen. Income DINYear Yield Yield
Cash, Money Funds, and Bank Deposits 35.00% of Portfolio
Cash Balance 0.00 226,315.02
Money Market
DWS GOVERNMENT CASH INSTL
01131/15 45.436.864.290 0000001490 02127115 43,153,016.70 45.436.86429 37.35 2,143.85 003% 0.03%
Total Money Market $43,453,016.70 $45,436,154.29 $37.35 $9,14315
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
01131715 N4G023804 01102115 0.00 0.00 0.00 0.00 N/A N/A
Total FDIC Insured Bank Deposits $0.00 10.00 $0.00 $0.00
Total Cash, Money Funds, and Bank Deposits $43,453,016.70 $45,663,179.31 $37.35 $2,143.85
Page 3018
OBAkl ROLL A S c O c U ou R n t E N RN u m C be I r O : L LC. paperless N E D v A a e L t n a B t l A V ta R a c R . e S A llo i T v n ( a 0 d C 2 O 0 M 07 M UNICATIONS "7.. .=4.7.r...."*=.
N F I IDENTIAL rxourner
SDNY_GM_00045991
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008815
EFTA_00156600
EFTA01288963

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Umit Cog Cost Basis Market Price Markel Value Gain/ Loss Interest Annual Income Yield
Fixed Income 19.00% of Portfolio (In Maturity Dee Sequence)
'Asset Backed Securities
COUNTRYWIDE HON E LOANS Security Identifier: 12669DYSI
SER 03-1 CL 81 4.090% 03/25/33 WE
DTO 01130103
Factor: 0.20600426 aegis. Date:02102/15
Current Face Value: 927.019.170
12113/13'.3.I2 4,500,000.000 93.3760 865.617.53 83.2630 771,863.97 .93,753.56 2,843.63
Original Cost Basis: 51.111.573.07
WASHINGTON MUT II TG SECS CORP 2004-RA2 Security Identifier: 939336620
MTG PASSTHRU CTF CL C.B.1 VAR RATE
6.983% 07125133 WE DM 0610110/ S 8 P Rating 0
Fador 0.56293985 Effete Date:02102115
Current Face Value: 726.192 407
12113/13 'AM 1,290,000.000 76.5190 555,672.31 84.3010 612,20925 56,536 91 3,803.79
Original Cod Baia $638.906.71
Total Asset Backed Securities $1,421,289.81 $1,314,073.22 ,137,216.66 16,647.42 $0.00
5,700,000.000
Total Current Face Value : 1,653,211.577
Corporate Bonds
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
OTES SEA IOR ISA0 X60460546525
5.000% 10/28/15 REG DTO 10/28109 S 8 P Rating 94
12104113 '.3.12 2500.000.000 962610 2406,516.01 91.2500 2,281,250.00 •125,266.01 41,666 67 125.000 00 547%
Original Cog Basis: $2.250.000.00
HEADWATERS INC GTD SR NT Security Identifier: 42210PA05
7.625% 04/01119 WE DID 03/11/11
CALLABLE041011150 103 813 Moody Rating Bt St P
Rating BB-
10122/12 '.12,13 1,000,000.000 101 7770 1,017,765.19 103.8750 1,038,750 00 20,981.81 31,135.42 76,250.00 7.34%
Original Cosl Basic $1.035.000.00
EARTHUNK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC6
CUSP FROM 270321488 8.875% 05115119 WE
DID 05117111 CALLABLE 05/15115 S 6 P Rating CCC•
10122112 '.3.12 400,000.000 102 4490 409.795.78 102.7500 411,000 00 1,204.22 10,156 94 35.500 00 8.63%
Onginal Cosl Basic 5414,000.00
10/23/12 %Li: 600.000100 102 2760 613.654.98 102.7500 616.500 00 2.845.02 15,235 42 53.250 00 8.63%
Original Cost Basis: $619,500.00
Total Noncovered 1,000,000.000 1 023 450.76 1,027,500.00 4,049.24 26,392.36 88,750.00
Total 1,000,000.000 $1,023,450.76 $1,027,500.00 $4,049.24 $25,392.36 $88,750.00
Page4 of 18
Account Number: Raitod extoller.
PC, 09/7 30L-S F 30 : DRAB ROLL SO L TH ERA L NL LC. F I D G A O E pap N er T les I s A L E Drx v Aa e Lv r B y aA Y rRn e a Ra r eA W rT E e D er C 2 O '0 M 0 P 7 AUNCATIONS
SDNY_GM_00045992
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008816
EFTA_00I5660 I
EFTA01288964

Deutsche Asset
& Wealth Management
ONISOf Bm, kmiln Wea•n•Apmgenem
Marais'sear YD
ocautv sem sew cies rte.
Now Olk•
P.O. Boa 1778, Babimore, MD21203 HS Pan 4.100111, member
Statement Period: 020112015 • 02/2812015
Portfolio Holdings
(continued)
Adjusted Unrealized Acaued Estimated Estimated
Dale Annulled Quantity Unit Cod Cost Basis Market Price Market Value Gain/ Loa Intend Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
SERVICEM ASTER CO SR NT • CUSIP FULLY Security Identifier: 81760NAN9
EXCI•ANGED FROM OLD COP 81760kAL3
8.000% 02115120 WE DM 02/13/12 Moody Rating B3 S 8 P
Rating B.
02125/13 ..3.12 602.000.000 105 3110 633.972.02 105.7500 636,615 00 2.642.98 1.739.11 48.160.00 7.56%
Original Cost Basis, $644,140.00
LLOYDS TSB FIK PLC EURO ISSUE MEDIUM Staidly Identifier: GIS15PPII
TERM NOTES151kt XS0717735822
9.875% 12/16/21 REG DID 12/16111 Moody Rang Bat St
P Rating BBB-
12/04113 ..3.17 1,500.000.000 107 5410 1.613.117.59 113.7500 1,706.250.00 93.132 41 29,625 00 148.125.00 8.68%
Original Cosl Basis: 61,627,500.00
BARCLAYS 8K PLC CONTINGENT CAP NT Security Identifier: 06739FHKO
1%91406739A-K03 7.750% 04/10/23 B/E
DTD 04/10/13 CALLABLE 04/10/18 S8 P Rang OW
04103113 '.12.13 noolocko no moo 300.000.00 110.3150 331,125 00 31,125 00 8,912.50 23,250.00 7.02%
Original Cost Bait $300,000.00
RN ORGAN CHASE & CO DEP SFIS REPSTG Security Identifier: 466261111A1
MOTE PFD SER 1 FIXED TO FLTG RT BD
7.900% 04/29/49 WE DTD 04/23/08 Moody Rating BA1 S
P Rating BBB.
06115111 %En 2,500,000.000 107 5000 2.687.500.00 107.6250 2,690,625 00 3,125.00 64,736 11 197,500 00 7.34%
Original Cost Basis: $2.687,500.00
06/15/11 %En 2.500.000.000 107 0000 2.675.000.00 107.6250 2.690.625 00 15.625 00 64.736 11 197.500 00 7.34%
Original Cost Bait $2,675,000.00
Total Noncoyered 6,000,000.000 6,362,500.00 5,301,250.00 18,750.00 129,472.22 395,000.00
Total 5,000,000.000 55,362,600.00 $5,381,250.00 $18,750.00 $129,472.22 $395,000.00
Page 5 of 18
Account Number Rated tacelloni
Go paperless L very Vs. Since 2007 —
SOL THERA LLC. FIDESITIAL D X A C L I B IL A L R l'N RA e T t ED COMMUNCAT/004S
SDNY GM 000,15993
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008817
EFTA_00 156602
EFTA01288965

Portfolio Holdings (continued)
Adjusted Unrealized Awned Estimated Estimated
Date Acquired Ova, Uafi Cost Cod Basis Markel Price Markel Valle GainfLoss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
BANK AM ER CORP PERP NON CON OLATIVE DEP Security Identifier: 0605050T8
SI- S FIXED TO FLOAT 8.125% 04130158 WE
DTD 01130108 CALLABLE 05115118 Moody Riding BA3 St P
Rating BB
01110/11 '.3.11 2,000,000.000 102.7500 2.055.000.00 101.6250 2,152,500.00 97,500.00 46,493 06 162,500.00 7.54%
Onginal Cosl Basis $2,055,000.00
SOUTNEWI CALIF EDISON CO PREF SER E Security Identifier: 842400FU2
6.250% 01117/62 WE DTD 01117112
CALLABLE 02101122@ 100000 Moody Rating BAA1 S P
Rating BBB-
01/30N2'.3.11 3.000.000.000 99.8130 2,994,381.10 112.0000 3,360,000 00 365,818.90 14,062 50 187,500.00 5.58%
Original Cost Basis' 52,992,564.97
GENERAL ELEC CAP CORP NON CUM PFD SER Security 'dentine,: 3696228N6
A T 125% 06/12/62 WE
DTD 06112/12 CALLABLE 06115/22 Moody Raling BAA1 S8
P Rating AL
06/27/12 '.11,13 2,000,000.000 104.8580 2,097,165.43 117.7500 2,355,000 00 257,834.57 28,895.83 142.500.00 6.05%
Onginal Cosl Basis $2.122.916.67
USG CAPITAL NO 1 PLC 144A Security Identifier: G54338860
ISIAOXSO473106283 8.000% 09115188 PEG
DTD 12115/09 CALLABLE 06115/20 S8 P Rating BB
12/04/13 '.3.12 1.200.000.000 108 2500 1.299.000.00 106.1250 1,273,500.00 -25.500 00 19,466 67 96,000.00 7.53%
Original Cost Basis $1.299.000.00
4LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4
ADDL TIER 1 SECS ISIASUS539439AG42
7.500% 09/27/88 WE DTD 04107/I4 S 8 P Rating
Please Provide' 1,903,000.000 N/A Reese Provide 104.7500 1,993,392.50 N/A 24.183 96 142'25.00 7.15%
Original Cast Basis Pease Provide
Total Corporate Bonds 120,802,868.10 623,537,132.60 6740,811.96 6401,046.30 61,636,760.00
22,005,000.000
Total Fixed Income 922,224,167.97 624,921,206.72 6703,655.26 9407,692.72 91,636,760.00
27,795,000.000
Page 64018
Account Num be, Rated tacelbre•
DGor paaperrlieAss L 7777y Vow' since 2007
OBAN ROLL SOL TM ERN tin N LLC. F I D 7, A 2 L 0 B ,L A 7 R N R C A 7 T ED COMMUMCATIONS
SDNY_GM_00045994
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008818
EFTA_00 156603
EFTA01288966

Deutsche Asset
& Wealth Management
Drålsre Ran, Pnwair Wok P. Meaernalt
Mai, Codr".4,o‘p
Des-tul* lar* Sew na Lac.
lire yen Ma>
PO &a 1778. Ballimore, MD 21203 NrIE ~.16,h I be,
Statement Period: 02/01/2015 • 02/28/2015
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Markel Value Gain/ Lon Metal income Yield
Equities 43.00% of Portfolio
Common Stocks
°METE NV AM STELVEEN ORO SHS Security identifier: M BLY
161141%10010831061 CUSIP. A51488117
Dividend Option: Cash
08101/14 800000 25 0000 20,000.00 35.4800 28,384.00 8.384.00
APOLLO GLOBAL MGM I LLC CL A SHS Security Identifier: APO
Dividend Ophon. Cash CUSIR. 037612308
03129/11 '.13 263,157.000 19.0000 4,999,983.00 23.3200 8,138,821.24 1,136,838.24 760,523.73 12.39%
APPLE INC COM Security Identifier: AAPL
Dividend Option: Cash CUSP: 037833100
09105/14 142,800.00D 98.9500 14,130,065 71 128.4600 18,344,088.00 4,214,022.29 268,464.00 1.46%
ARIAD PHARMACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash CUSIP. 040334100
02114112',13 7.535.000 15 2090 114,597.40 8.1300 61.259.55 -53.337.85
01124113 '.13 9,000.000 19.6000 176,400.00 8.1300 73.170.00 ,103,230.00
Total Noncovered 16,636.000 290 991.40 134,429.65 ,168,567.85
Total 16,535.000 9290,997.40 $134,429.66 .$156,561.45 $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 13.4000 944,100.00 ,555,300.00
BANK OF NEW YORK MELLON CORP CON Security Identifier: BK
Dividend Option: Cash CUSP 084058100
06/25/14 250,000.000 36.3060 9,076,406.00 39.1400 9,785,000.00 708,594.00 170,000.00 1.73%
BIOGEN IDEC INC CON Security identifier: BilB
Dividend Option. Cash CU SIP. 09062%103
02/14/12 '31 2.095.000 119 5490 250,454.95 409.5900 858.091.05 607,636.10
FACEBOOK INC CL A Security Identifier: F8
Dividend Ophon. Cash CUSP 3030311102
05117/12 'AI 17,500.000 38 0000 665,000.00 78.9700 1,381,975.00 716,975.00
Pep 7 of 18
Account Num ber listed tsalis rdi
usAO 11011 SOUTHERN 1AfJ8L N LLC. F I D G E o p N ape T rle I ss A L D [ e m A x a L a L y r I t S V u * e r . d R st e A 5 r T ~ ED C 2 O 00 M 7 M UNIaTIONS
SDNY GM 00045995
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY:0008819
EFTA_00156604
EFTA01288967

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date tied Quaid Ueit Cosi Cod Basis Market Price Markel Value Gain/ Loss Annual Income Yield
Equities (continued)
Common Soda (continued)
FOUNDATION MEDICINE INC COM Security Identifier: FMI
Dividend Option: Cash CUSP 350465100
01/13/14 25,000.000 27.5070 687,663.50 47.7600 1,194,000.00 506.336 50
08105/14 21.830.000 232530 577.37302 17.7600 1,185,880.80 608,507.78
Total Covered 19,830.000 1,215,031.52 2,379,880.80 1,111,81118
Total 10,830.000 $1,205,030.52 $2,379,880.80 $1,114,844.28 $0.00
GENERAL ELECTRIC CO COM Security Identifier: GE
Dividend Option: Cash CUSP 369604103
04123/13'.13 23 000.000 21.5700 496,109.08 25.9900 597.770 00 101,660 92 21.160 00 3.53%
GENERAL MTRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 37015V100
11118/10 ' 10 988.200 36.1010 399978.16 37.3100 109.969 75 9,991.59 13,185 84 3.21%
12109110' 86536 800 361180 3.185.969 12 37.3100 3.228.688.00 42,718 78 103.844 16 3.21%
Total Noncovered 97,815.000 3,586,047.36 3136,657.76 62110.37 117,030.00
Total 97,525.000 $3,686,947.38 $3,636157.76 $62,710.37 $117,030.00
GILEAD SCIENCES INC Sonority Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02105/1/ 5,000.000 792810 396,107.00 103.5300 517,650.00 121,243 00
03107/14 3,100.000 791120 246,797.00 103.5300 320,913.00 74,146 00
Total Covered 8,100.000 643 204.00 838,503.00 195,389.00
Total 8,100.000 $1313,201.00 $8311,503.00 $116,389.00 $0.00
HEALTH NET INC COM Secwity Identifier: H NT
Dividend Option: Cash CUSP. 412226108
09/08/14 25.000100 46.9800 1,174,506.00 57.3500 1,433,150.00 259,244.00
SANGAM 0 BIOSCIENCES INC COM Security Identifier: SONO
Dividend Option. Cash CUSP 800677106
05128113 '.13 50.000.000 8.4440 422,211.00 16.8200 841.000.00 418.788 00
SANTANDER CONSUMER USA HLDGS INC COM Security Identifier: SC
Dividend Option: Cash CUSP. 8028311101
01123/14 1100.000 24 0000 21.00010 22.5300 22,530.00 1,/70.00
TWITTER INC COM Security Identifier: TWTR
Dividend Option. Cash CUSP 901841102
11107/13 1300.000 26 0000 39.00100 18.0800 72,120.00 33,120.00
Total Common Stocks $38,581,921.04 $17,137,790.39 28,851,868.36 $1,337,177.73
Page 8 of 18
Account Num ber Rated excellent
91,09.77Z0C?Ir. : ORAN MOLL TH ERN taNO NRC. F ID Go r p a ape r rl i e A ss L O E rx A n e v L s B y t A u V r R n s R r a A e S r T i E n D e, C 2 O 0 M 07 M UNICATIONS Peal AC namioarni•A WM. MC
SDNY_GM_00045996
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008820
EFIA_00 1 56605
EFTA01288968

Deutsche Asset
& Wealth Management
Dralsev gam Pow,. WO1O. Manymnent
Vinets Cowan 4tp.p
Deotem Mr secwm, mc
Mc*
P.O. Boa 1778, BaIlimore, MD 21203 40280 Ann Mk I kci.
8.-o, web, /0 ion.
Statement Period: 02/01/2015 - 02/28/2015
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit cod Cost Basis Market Price Market Value Gala/ Loss Annual Income Yield
Equities (continued)
Preferred Stocks (Listed by expiration date)
ALLY ANL INC AX TO FLT Security Identifier: ALLY PRO
DW-8.50%FREOQTRLYCALLABLEQ 25.00 CL, SIP 02005h308
OK A OTRLY BASIS AFTER 06/15/2016
Dividend Option: Cash
02103112'.13 46.600.000 19 3020 903.217.51 26 5300 1.236.298.01 333.080.50 96.792 00 7.99%
02109112 '.13 80,000.000 20 1250 1,610,000.00 26.5300 2,122 399.99 512,399.99 169.600 00 7.99%
Total Noncovered 128,600.000 2,513,217.51 3,358,698.00 145,410.49 261,392.00
Total 126,600.000 $2,513,217.51 $3,358,698.00 $545,450.49 $268,392.00
GM AC CAP TR I GTD TR PFD SECS RR 2 CPN - Socorlty Identifier: ALLY PM
8.125% FREQ ORRY MATYD211512040 CALL CUSP: 381860208
ANYTIME (12 5 W130 DAYS BEGINS 02/15116
Dividend Option: Cash
02122112 '.13 80.000.000 23.5350 1.882.773.80 26.0300 2.082.400.00 199.628.40 162,500.00 7.80%
ROYAL BK SCOTLAND GP PLC WON ADR REPSTG Security Identifier: RBS PRT
SER T PR) CPN-7.25% FREQ QRTLY 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 25.6300 1,025,199.99 13,599.99 72,500.00 7.07%
01107113'•13 40.000.000 24.4400 977.600.00 25.6300 1,025,199.99 47,599.99 72,500.00 7.07%
01114113 1.13 40,000.000 24.8800 995,200.00 25.6300 1,025,200.02 30,000.02 72,500.00 7.07%
Total Noncovered 120,000.000 2,924,400.00 3,076,600.00 161,200.00 217,600.00
Total 120.000.000 $2,924,400.00 $3.075.100.00 $151,200.00 $217,600.00
Total Preferred Stocks $7,320,391.11 16,516,690.00 $1,1116,306.19 048,392.00
Total Equities $46,903,315.15 $55,954,468.39 $10,051,173.21 $1,986,689.73
Page 9 of 18
DOAN ROILI A S c C c L o T u H n E t R N A u m C be N t O F I D G AE o p N ape T rle I ss A L D K r t x v A o e . w , Ls y B a t uA V E rR s n a c Ra . o S Ae ll i e Tr n r E i c a D e C 2 O 0 M 07 M UNICATIONS caust= " =a
SDNY_GM_00045997
CONFIDENTIAL - PURSUANT TO FED. R CRIA,1 P. 6(e) OB-SDNY-00O8821
EFTA_00156606
EFTA01288969

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cod Cod Basis Market Price Markel Value Gain/ loss Annual Income Yield
Exchange-Traded Products 3.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DXJ
Dividend Option: Cash; Capital Gains Option: Cash CUSP 977171/451
60,000 00 of these shares are in your margin account
12111113 60.000.000 49 4350 2.966.098 50 53.8700 3.232.200.00 266.101.50 66.43420 1.74%
Total Exchange-Traded Products $2,966,098.50 $3,232,200.00 $216,101.50 $66,434.20
UarealMed Accrued Estimated
Cost Basis Market Valve Gale/ Loss littered Maul Income
Total Portfolio Holdings 7116,156,750.93 $129,771,073.42 911,020,929.99 $407,692.72 $3,679,907.78
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 Econonic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked Of 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 1099-8 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
• 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.
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.
6 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.
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 18
Account Number Rated Excellent,
18A" ROLL SOL THERA Cti LLC. F ID G E o p N ape T rle I ss A L E r[Ax v e e L r nB y u V Arr. s aR . eA S rT i E v D a C 2 O 0 M 07 M UNICATIONS •4074'ittarval. tar.0.
SONY GM 000459913
N
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008622
EFTA_00 156607
EFTA01288970

Deutsche Asset
& Wealth Management
Des BON Wealth Paroaarynell
Idirall Carnet G,C4,0
Onudw oath sta....
Mem Met
PO &a 1778, Balamore, MO 21203 HS PM% AM*. likh I /ON
Wm** NY 101M
Statement Period: 02/01/2015 02/28/2015
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
02/17115 01/24113' FONG SERVICEMASTER CO SR FULLY EXCHANGED FROM OLD CUSI 440,000000 461.234 77 466.400 00 5 165 23
Rral In First Out P 81760NAL3 8.000% 02/15120 B
Security Identifier: 81760NAN9
Original Cost Basis: 468,049.99
02/17115 02/25113' FONG SERVICENIASTER CO SR FULLY EXCHANGED FROM OLD CUSI 398.000.000 419,258.37 421680.00 2,621.63
First In First Out P 8 I760NAL3 8100% 02/15120 8
Security Identifier: 131760NAN9
Original Cost Basis: 425.860.00
02/23115 12/13113' r8P WASHINGTON MUT MTG 5 004-RA2 MTG PASSTHRU CTF CL 1,290000.000 2,11376 2,762.41 64815
C. B-1 VAR RATE 6.983% 07/25/33
Security Identifier. 939336520
Original Cost Basis: 2,113.76
02125115 12/13/13' F8P COUNTRYWIDE NOM E LOA 1 CL 81 4.090% 03/25/33 BM D 4,500.000100 22,972.48 24,60201 1,629.53
TD 01130103
Security Identifier 12669DYS1
Original Cost Basis: 22.972.48
Total Long Term $905,579.38 1915,644.42 $10,065.04
Total Short Term and Long Term $905,579.38 $915,844.42 $10,065.04
• 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 Porn 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 alter 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 alter January 1, 2014, or later, as determined by the Secretary of the Treasury.
Page 11 of 18
Account Num ber Go paperless R br a a t y e d Y [n e a w ile v r/ a I c. 2007
R011 SOUTHERN CPO N LLC. F IDnenAL D ex a C ul l d u u rn l R ae ^T r EDCOfivonfrCoalONS
SDNY_GM_00045999
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008823
EFTA_00 II 56608
EFTA01288971

Schedule of Realized Gains and Losses Current Period
(continued)
This Schedule may not reflect all cost basis adjustments necessary for tax reporting p.rposes. especially for noncovered securities. Adjustments to cost basis may have been mane 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 beieve 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-B 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 alUbutes 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
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-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.
Messages
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporatien.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at httpstArrow.dws-investments.corNEN/productshnoney-market-funds-Welds.jsp. Please note that all money
market funds tested 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.
Activity Sum mary ma amounts shown are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Dividends and Interest $379,049.57 $394,378.34 Dividends and Interest $0.00 $0.00
Distributions $1,139,875.80 $1,162,502.13 Distributions 80.00 $0.00
Fees 10.00 10.00 Fees 80.00 -$18.00
Cash Cash
Withdrawals 000 0.00 Withdrawals -99,984.00 -958.888.73
Deposits 791 221.24 791.12121 Deposits 000 0.00
Total Cash $791,221.24 $791,221.24 Total Cash 499,984.00 4956,888.73
Money Market Funds $0.00 8858,92233 Money Market Funds -81,983,847.59 -$2,076,177.69
Total Credits $2,310,146.61 13,207,024.14 Total Debits -$2,083,83139 43,035,081.12
Page 12 of 18
1,,:091730CSF31 mint, Roil A SO cc L o T u H n E t R N A u n tr b i e r LLC. Go paperless R Dr tv xA a e e t L e r s O y d t iA Y t r a Rt e r c R a a o r eA l l 5 o rT 7 r E d ,0 D i 7 C 2 O 0 M 07 M UMULTIONS ZitL e.72....'- '17==.'.-.6.
N F I DAENT1A L.
SDNY_GM_00046000
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008824
EFTA_00156609
EFTA01288972

potaIscho
n.A,cnr It (Misr< Rana Prma. wean. lAptagenan
Weals Codrage Gnat)
MAUMML Stare “c
Mee yen Onto
PO no. 1776, SailITCPIt ND 212(3 HI Pon Ammo. 160. I be,
Statement Period: 0210112015 • 02/28/2015
Transactions by Type of Activity
Process/
Settlement
Date Adiv Desolation Clean Price Awed Interest Amount Curren
Dividends and Interest
02/05/15 CASH DIVIDEND RECEIVED SOUTHERN CALIF EDISON CO PREF SER E 6 250% 01/11/62 93350 00 LSO
842400FL2 DTD 01117/12 CLB RD 01/04 PO 02/01/15 DIV ON OTT
3000000
02/12/15 CASH DIVIDEND RECEIVED 142800 SI-FtS APPLE INC COM RD 02109 PD 02112/15 67.116.00 LSO
AAFL
02113115 CAS. DIVIDEND RECEIVED 250000 SF RS BANK OF NEW YORK MELLON CORP COM RD 42,500 00 LSD
8K 02103 FD 02/13/15
02117115 CASH DIVIDEND RECEIVED 126600 SF RS ALLY PAL INC FIX TO FLT DIV-830% 67,256.25 LSD
ALLY PRB FREO.OTRLY CALLABLE 0 25.00 ON A QTRLY BASIS AFTER
0511512016 RD 02101 PO 02/17/15
02117115 80ND INTEREST RECEIVED 80000 SF RS GM AC CAP TR I G TO TR PFD SECS SER 2 CPN• 40.61514 LSD
ALLY PRA 8.125% FRED ORTLY MATY•02/15/2040 CALL ANYTIME 0 25
W130 DAYS BEGINS 02/15/16 RD 02/13 PO 02/15/15
02/17/15 130AD INTEREST RECEIVED 1440000 SERVICEM ASTER CO SR NT • CUSP FULLY 57.600.00 LSO
81760NAN9 EXCHANGED FROM OLD CUSP 81760NAL3 8.000%
02/15120 B1E DTD 02113/12 CLB RO 02/01 FO 02/15/15
02/17/15 BOND INTEREST RECEIVED SERVICEM ASTER CO SR NT • CUSP FULLY EXCHANGED 372.44 LSD
81760NAN9 FROM OLD CUSP 81760NAL3 8000% 02115120 8/E DTD
02/13/12 CLB ACCRUED INTEREST
02/25115 BOND INTEREST RECEIVED 1500000 COUNTRYWIDE HOME LOANS SER 03-1 CL DI 455985 LSD
12669DYS1 1.090% 03125133 B/E DTD 01130103 RD 01130 PO 02/25/15
02/25/15 BOND INTEREST RECEIVED 1290000 WASHINGTON SILT MTG SECS CORP 2004-RA2 4.242.51 LSO
939336520 MTG PA.SSTFR6 CTF CL C•B•1 VAR RATE 6.983% 07125/33
DIE DTD 06101/04 RD 01130 PD 02125/15
02/27/15 MONEY MARKET FUND DWSGOVT CASH INSTL 1.027.48 LSO
INCOME RECEIVED
233993682
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 379,049.57
Page 13 of 18
Account Num ber. Rated eacellera
IIKONIt Y111 SOUTHERN CHO NLLC. FID G A o p E ap M erles I s A L 7 D L v X A e L 0 r O y Il A Y L R 7 e a N R r A e S t T i E m D * C 2 O 0 M 07 M UNCATIONS a-a-vac --
SDNY GM 00046001
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008825
EFTA_00 156610
EFTA01288973

Transactions by Type of Activity (continued)
Process/
Settlement
Date Activity Type Desa Qum Price Accrued littered Amont CUrrill
Distributions
02117115 SECU RITY REDEEMED SERVICEM ASTER CO SR NT - CUSP FULLY EXCF ANGED -838.000.000 888.280 00 USO
81760NAN9 FROM OLD CUSP 81760NAL3 8 000% 02/15120 WE OTD
02113/12 CLB CALLED BY LOTTERY
02/25/15 RETURN OF PRINCIPAL 4500000 COUNTRYWIDE HOME LOANS SER 041 CL 131 24402.01 LSO
RECEIVED 1.090% 03125133 B/E DID 01130103 RD 01130 PD 02125115
126690Y51
02/25/15 RETURN OF PRINCIPAL 1290000 WASHINGTON ML T MTG SECS CORP 2001•12A2 618.77 LSO
RECEIVED MTG PASSTHRL CTF CL C-B-1 VAR RATE 6.983% 07125/33
939336S20 WE DTD 06/01/01 RD 01130 PD 02/25/15
02/27/15 PARTNERSHIP DISTRIBUTION 263157 SFRS APOLLO GLOBAL MGM T LLC CL A SHS RD 226.315 02 LSD
APO 02/17 FO 02/27/15
Total Distributions • UNITED STATES DOLLAR 0.00 1039,875.80
Cash Withdrawals and Deposits
02/03/15 RECEIVE FED WIRE WF RECD NO 02/02115 DEUTSCHE BANK 728,278 28 LSD
U S0999997 F251502027318800
02/01/15 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST .99.981.00 LSO
USD999997
02106/15 FEDERAL FUNDS RECEIVED FSBC BANK USA, NA 35803 62,912.96 LSO
US0999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 691,231.24
Money Market Funds
0210/115 MONEY FUND PURCHASE DWSGOVT CASE INSTL •628.29428 LSO
USD999997
02106/15 MONEY FUND PURCHASE DWSGOVT CASF INSTL -93,750.00 LSD
USD999997
02/09/15 MONEY FUND PURCHASE DWSGOVT CASF INSTL -62,942.96 LSO
USD999997
02/13/15 MONEY FUND PURCHASE DWSGOVT CASh INSTL 47,116.00 LSO
USD999997
02/17/15 MONEY FUND PURCHASE DWSGOVT CASE INSTL •930.78000 LSD
USD999997
02/18/15 MONEY FUND PURCHASE DWSGOVT CASF INSTL -165,853.73 LSD
USD999997
02/26/15 MONEY FUND PURCHASE DWSGOVT CASF INSTL -31,083.11 LSD
USD999997
02/27/15 MONEY MARKET FUND DWSGOVT CASE INSTL INCOME REINVESTED .1.027.48 LSO
REINVESTMENT
233993682
Total Money Market Funds • UNITED STATESDOLLAR 0.00 4,983,847.59
Page 14 of 18
Account Number Itatod taceibrie
litint, ROLL 6(e)LTHERnO NH FID G E o p S ap I e T rles I s A L I Dr v xA o aL r r y Bt Au Y Rr e r a Ri r eA L rT a E t D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046002
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. DB-SDNY-0008826
EFTA_00 15661I
EFTA01288974

Deutsche Asset
& Wealth Management
Ontsoe Seta Prmaw *man LYwrmm
minim tonna Gwo
Devlache •se. Wooten at.
New *4 01110
P.O. Bat 1770, Ba!ammo. MD 21203 HS PH Meta. nth I bet
10114
Statement Period: 0210112015 • 02/28/2015
Transactions by Type of Activity
(continued)
Process'
Settlement
Date Activity Type Description Quantity Price Awued Interest Amount Currency
Total Value of Transactions 0.00 226,315.02 USD
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Stonily Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment
Dividends
GENERAL ELECTRIC CO COLI 02123115 04121115 23.000.000 0.230000 Cash 5.290 00
Total Cash Not Yet Received 55,290.00
Bond Maturity Schedule
Bond Maturity Market Value %of Boad Market Valle
•
7 to 12 months 2,281,250 00 9% Percentages of bond market values are
1 to 5 years 2,702,865.00 11% • rounded to the nearest whole percentage.
8 to 10 years 2,037,375.00 8%
•
Over 10 years 17,899,715.72 72%
Total 24,921,206.72 100%
Bond Quality
Bond Quality Markel Value of Bad Market Valle
BAA
5,715,000.00 23% Percentages of bond market values are
8AlLower 18,434,341.75 74% rounder, to the nearest wt ole percentage
hot Rated 711,863.97 3%
Total 21,921,205.12 100%
Page 15018
Account Number Rated [malign'
WIA8 ROI soLTHERA F L N LLC. F I D Gor paapenrleAss L ' ( Dx v A e iL: r o y B wA V R s n ReA S rT i C nc D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046003
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008827
EFTA_00156612
EFTA01288975

Client Service Information
Your Client Advisor: Dtki,
DANIEL SABRA
345 PARK MEN UE, 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 Socks in a Dividend Reinvestm ent 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 ( OID): No
Amortize pram ium on taxable bonds based on Constant Yield Method: Yes
Acme' 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 con m unications for electronic delivery. To register and turn off paper coin m unications. log in to your account or contact your Oient Advisor for more inform alma
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 'N/A" and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS VillEN 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
wwerpershing.contbusiness_continuity.hh-ni 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 will
not receive confirmation of these reinvestments. Upon mitten 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 km. 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 hilly 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.
Faye 16 of 16
Account Number Raid excellent
()R...61 ROLL SOUTHERN CNO n F I D G AE o p N ape T rle E ss A L Dr (v xA e c r oU y u M Y rn e . R a a r eA S rT i E nc D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046004
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) OB-SDNY-0008828
EFTA_OOI 56613
EFTA01288976

Deutsche Asset
& Wealth Management
Draftee Illma POIFIleVNI400Alirwad
Marais Conran Comp
otautv sank smote' 4%.
Na. TM Cato
PO Boa 1778. Balismore. MD 21203 Hf Pal Asia lith ber
Now** NY 101M
Statement Period: 0210112115 • 0212812015
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 or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate MI 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 & Pools does not guarantee the accuracy, completeness, timeliness or avaitability of any information. Standard & Pooes 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 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 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 Poets 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 cleating agreement with your fniancial 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 appbcable, the rendering of investment advice. if any, to you and in eneral 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 . 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: vnwr.pershing.ccrnistrength_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-confrmed in writing to further protect your rights, including your rights under the Securities Investor
Protection Act.
Page 17 of 18
Account Num ber Ravi. twaller4
paperless
Drina von 5a^C• 2007
SO to THERA C N N LLC. F I riEN TEAI : D rx A e M s A u N r t R a A e T r ED COM...UN/CATIONS
SDNY_GM_00046005
(15
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008828
EFTA_00156614
EFTA01288977

Important Information and Disclosures
(continued)
The Role of Pershing (continued)
• Your !martial 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 expiated 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.
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;
Pap IS of IS
MOI A SC cc L o T u H n E t N RA u m C be N r O NLLC.
F I D
G
A
o p
E
ap
K
er
T
les
I
s
A L
R D
rx
A a
a
b L
r
i B
t
d
u
A C
r
R
n
a p R
s
o
e
A n s T
r
e i n E S c D i e C 2 O .0 M 07 M UNICATIONS =ni
SDNY_GM_00046006
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0008830
EFrA_00 I 56615
EFTA01288978

Deutsche Asset
& Wealth Management
()PASO( Sint Pr If Ile WON n manapnerd
Mantis Conran Comp
otautv sat Mar' 1a ,c.
Mn tint Mao
P.O. Ow 1778, Bahimore. MD 21203 MS Pia Asa. nthI M
Account Num ber:
Statement Period: 01/0112015 -11131!2116
Valuation at a Glance This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value $126,714,293.02 612 6,714,293.02
6100 RED HOOK QUARTER B3 hel Cash Deposits and Withdrawals 458,90413 -858,904.73
het Securities InlOut of Account -2,483,792.00 -2,483,792.00
ST THOMAS VI 00802
Adjusted Previous Account Value 123,371,596.29 123,371,696.29
Dividends, Interest and Other Income 15.328 77 15,328.77
Net Other Adivity -1800 -18.00
Net Chan,. in Portfolio 1 481 999 32 1 481 999 32
Your Client Advisor: nding Account Value 3124.868.906.38 5124,868,906.36
DANIEL SABBA Eshm aced Annual Income 53 803 814 84
Asset Allocation Prior Year-Fad Last Period This Period %Allocation
LSD Cash. Money Funds. and Bank Deposits 44,273,984.33 44,273,984.33 13,153,016.70 34.80% P ease renew yo'. 00.2'. 0"
LSD Axed Income 18,177,455.58 18,177,455.58 18,161,692.34 14.55%
h on4. SD Axed Income 7,150,052.50 7,150,052.50 7,393,617 50 5.92%
LSD Equities 54,126,544.61 54,126,544 61 52,872,867.81 42.34% I
hon•DSD Equities 2.986.256.00 2.988.258.00 2,984,712.00 2.39%
Account Total (Pte Chart) 8126,714,293.02 8126,714,293.02 $124,866,906.36 100.00%
See the Asset baeon Disclosure end Footnotes secton io important inkonatisn reap:ling your Asset Mouton.
Page 1 of 18
C B0 O 118615 N CSP 30 F 017 IDM pap T erle I s A s L P D [ r v xA i e s eL r a s B y a A C rRm a R c e e A s 0 rT a 0 C n 0 D e . C 2 O 0 M 07 M UNICATIONS • r • a •• t • r •• o •. n 4. t .. = .•• r •• 2 •• . • 4 •o r n h ni o c rrat."
SDNY_GM_00046007
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008831
EFTA_00156616
EFTA01288979

Asset Allocation Disclosure and Footnotes
Al values are displayed in U.S. dollars based on interbank exchange rates as of 0113112015. Exchange rates can vary.
Equities contains Equity Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short-Term Gain/Loss 0.00 0 00 3.527.176 07
Lon •Term Gain/Loss 2.197 27 2.197 27 3.951.427.22
Net GaIn/Loss 2,197.27 2,197.27 7,176,693.29
This summary excludes transactions where cost basis information is not available.
For Your Information
Cr June 5. 2014, the European Central Bank (the -ECB') introduced 'negative interest rates'. This negative interest rate applied to all deposits held at the ECG 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
Cate Adivity Type Description Amount Balance
Sweep Money Market Fund
OWS GOVERN M ENT CASH !NM
Account Num bet 0000001490 Gwent Yield: 0.03% Activity Ending: 01/30(15
01101115 Opening Balance 44,219,609.33 44.219.609.33
01102115 Deposit MONEY RAO RIRCFASE 54.3-79800 44,273,984.33
01/05/15 Withdrawal MONEY FUND REDEMPTION 1 00 1073,966.33
01114/15 Withdrawal MONEY FUND REDEMPTION -366,963.73 43.907.002 60
01116115 Withdrawal MONEY FUND REDEMPTION -491.94100 13.415.061.60
01127115 Deposit MONEY FUND PURChASE 5,290.00 43,420,351.60
01128115 Deposit MONEY FUND PURCFASE 31,518.73 43,451,900.33
01130(15 Deposd INCOME REINVEST 1,116.37 49453,016 70
01130(15 Closing Balance $43,453,016.70
Total All Money Market Funds 143,453,016.70
Page 2 of 18
Account Num tier. Go paperless Rated Lac...bra
URA', von SOUTHERN CH FI D ENTIAL ( Dr V xA e eL r sB t uA V rR o n i Rs le eA S rT a E n D ta C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00046008
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008832
EFTA_00 156617
EFTA01288980

Deutsche Asset
& Wealth Management
Oralsre Rana PnwalemanNAmenan
Pdaeat$ Cedragee,o‘P
MANN ML Samna LA
mr. Tut OSA,
PO Dm 1778, Ballimore, MO 21203 Hann Any_ Ita Met
War Int nr 1011.4
Statement Period: 0110112015 • 01/3112015
Income and Expense Summary
Current Period Year•to•Dale
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 5,290.00 0.00 5,290.00 0.00
Money Market 1,116.37 0.00 1,116.37 0.00
Interest income
Bond Interest 8.922.10 0.00 8.922.40 0.00
Total Dividends, Interest, Income and Expenses $15,320.77 $0.00 $15,321.77 $0.00
Distributions
Other Distributions 0.00 22,626.33 0.00 22.626.33
Total Distributions $0.00 $22,521.33 $0.00 $22,521.33
Portfolio Holdings
Account Activity Opening Closing Accrued laces. 30.Day Genet
Opening Date Quantity Number Ending Balance Salaam Income ibis Year Yield Yield
Cash, Money Funds, and Bank Deposits 3 5.0 0% of Portfolio
Cash Balance 51,375.00 0.00
Money Market
DWSGOVERNM ENT CASH INSTL
01101/15 13,153,016.700 0000001/90 01130115 11,219,609.33 13,153,016.70 35.72 1,116.37 0.03% 0.03%
Total Money Market $44,210,109.33 $43,453,016.70 $36.12 $1,111.37
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
01/01/15 N160231301 01102/15 0.00 0.00 0.00 0.00 NIA NIA
Total FDIC Insured Bank Deposits $0.00 30.00 $0.00 $0.00
Total Cash, Money Funds, and Bank Deposits $44,273,014.33 $43,453,016.70 $35.72 $1,116.37
Page 3 4018
Account Number Rated tocellordi
011Akl ROLL SOLTHERA CNO LLC. DGor pwaperrleisAs r E Cx v Ae e L r Ms y Au Y Rr e n R a e r A S r T i n E c D e C 2 O '0 M 07 M UNICATIONS
N F I L
SDNY_GM_00046009
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008833
EFTA_00I56618
EFTA01288981

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Oate Aoleired Quantity DAN Cod Cost Basis Market Price Markel Value Gain/ Loss Interest Annual Income Yield
Fixed Income 21.00% of Portfolio (In Maiurity Dee Sequence)
'Asset Backed Securities
COUNTRYWIDE NOM E LOANS Security Identifier: 126690Y51
SER 03.1 CL 814.090% 03125/33 B/E
DTD 01130103
Fador: 0.21147138 Effective Date:01102115
Current Face Value: 951.621 210
12113/13'.3.12 4,500,000.000 93.3180 888,590.01 83.2470 792,196.11 -96,393.90 3,243.44
Original Cosl Basis. 51.111.513.07
WASHINGTON MUT 11 TG SECS CORP 2004-RA2 Security Identifier: 939336520
M TG PASSTHRU CTF CL C-11.1 VAR RATE
6.983% 07125133 WE DID 0610110/ S 6 P Rating D
Fodor: 0.56508126 Effective Date.01102/15
Current Face Value: 728.951 826
12113113 '.3.12 1,290,000.000 76.5190 557,786.10 81.1940 613,736 23 55.950.13 4,241.93
Original Coal Basis: $638.906.71
Total Asset Backed Securities 11,416,376.11 $1,405,932.34 -110,443.77 0,116.31 $0.00
6,790,000.000
Total Current Face Value : 1,680,576.035
Corporate Bonds
PETROLEO S DE VENEZUELA Security Identifier: P7007HAF2
NOTES SENIOR 15150850160546525
5.000% 10/28/15 REG DTD 10/28/09 S 6 P Rating 94
12104113'.3.12 2,500,000.000 95.8080 2,395,197.97 85.7500 2,143.750 00 -251,447 97 31,944 44 125.000 00 5.83%
Original Cod Basis: $2,250.000.00
HEADWATERS INC GTD SR NT Security Identifier: 42210PAQ5
7.625% 01/01/19 BlE DID 03/11/11
CALLABLE04101115Q 103813 Moody Rating 81 S8 P
Rating BB-
10122/12 %it" 1,000,000.000 101.8120 1,018.124.51 101 0000 1,040,000.00 21,57516 25,416.67 76,250.00 7.33%
Original Cod Basis. $1.035.000.00
EARTHUNK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC6
CUSP FROM 210321AB8 8.875% 05/15/19 WE
DTD 05117/11 CALLABLE 05115115 $ 8 P Rating CCC*
10122/12 '.3.13 400,000.000 102 4900 409.958.52 100.5000 402,000 00 -7.958.52 7,191.41 35,500.00 8.83%
Onginal Coal Basis: 5414,000.00
10/23/12 %lull 600.000 000 102 3140 613,881.60 100.5000 8,03,000 00 -10.881.60 11,241.67 53,250.00 8.83%
Original Coal Basis: $619,500.00
Total Noncomed 1,000,000.000 1 023 840.12 1,005,000.00 -18,810.12 18,736.11 88,750.00
Total 1,000,000.000 11,023,140.12 $1,005,000.00 -116,840.12 511,731.11 $81,750.00
co Page 4 of 18
Account Number: toceINM
E,118648CSF30:': ' 8ALI ROLL SOUTHERN N CAL. F I E G I o E pa N pe T rles I s A L r E Dx v Ae e L r s O y t A V mR A sR N eA S rT i E m D s C 2 O 0 M 07 M UNICATIONS
GDNY_GM_00046010
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008834
EFTA_00 156619
EFTA01288982

Deutsche Asset
& Wealth Management
Dralsro Rota PnwaleWeakniaragenmt
NY161w rap Gro.p
Des-bor4 Settongs %lc
Mee Ion Oat*
P.O. Boa 1776, Babimoro, MD21203 HI Part Annus. 160. I be,
War Vert ItY 10114
Statement Period: 01/01/2015 • 01/3112015
Portfolio Holdings
(continued)
Adjusted Unrealized Acaued Estimated Estimated
Dale Acquired Quality Unit Cost Cost Basis Market Pea Market Value Gain/ Loss Interest 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% 02/15/20 8/E DTD 02113112 Moody Rating CAA1 S
8 P Rating B-
01124/13 ..3.12 440.000.000 104.8630 461.397.41 105.7500 465,300.01 3.902.57 16.231 11 35,200.00 7.56%
Original Cosi Basis $468,05000
02125113'.3.12 1,000,000.000 105 3810 1.053.809.67 105.7500 1,057,499.99 3.690.32 36.888 89 80,000.00 7.56%
Original Cosl Basis: $1,070,000.00
Total Noncovered 1,410,000.000 1,515,207.11 1,511,800.00 7,50219 53,120.00 115,200.00
Total 1,410,000.000 $1,515,207.11 $1,522,800.00 $7,592.89 $53,120.00 $115,200.00
LLOYDS TSB 8K PLC EURO ISSUE MEDIUM Security Identifier: GIS15PP48
TERM NOTES IMO XS0717735822
9.875% 12/16/21 RIG DTD 12116)11 Moody Rating Bat SS
P Rating BBB-
12104/13'.3.12 1,500,000.000 107 6100 1,614,143.46 114.0000 1,710,000 00 95,856.54 18,104 17 148,125.00 8.66%
Original Cosi Basis: 51.627.500.00
BARCLAYS 8K PLC CONTINGENT CAP NT Security Identifier: 66739FHKO
ISINS1.936739FF K03 7.750% 01/ 10123 B/E
DTD 04110113 CALLABLE 04/10118 SB P Rating 884
04103/13 %an 300.000.000 100 0000 300.00010 109.3500 328.050 00 28.050 00 7.168 75 23.250.00 7.08%
Original Cosl Basic 5300,000.00
P11 ORGAN CHASE & CO DEP SHS REPSTG Searlty Identifier: 48826HHA1
1/10TF PFD S2 1 FIXED TO FLTG RI 80
7.900% 04/29/19 81E DTO 04/23/08 Moody Rating BA1
P Rating 8B8•
06/15/11 '.3.12 2.500.000.000 107 5000 2.687.500.00 107.4690 2.686.725.00 .77510 49.375 00 197.500.00 7.35%
Original Cosl Basic 52,687,590.00
06115/11 '.3,12 2.500.000 000 107 0000 2.675.000.00 107.4690 2.686.725 00 11.725.00 49,375 00 197.500.00 7.35%
Original Cosi Basic $2,675,0(10.00
Total Noncovered 5,000,000.000 5,382,500.00 5,373,150.00 10,950.00 98,750.00 395,000.00
Total 5,000,000.000 $5,382,600.00 15,373,150.00 $10,950.00 598,750.00 $395,000.00
Pages of 18
Account Num ber. tacellone
IIHAe .01, SOL THERA ONLLC. FID G E o p PR ape I r T les I s A L E D f % v A e L O r B y R A Y R O e R a N r A O I T d E e D a C 2 O 0 M 07 M UNCATONS —.........n.—
SDNY_GM_00046011
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008835
EFTA_00 156620
EFTA01288983

Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Dale Acquired Quality Unit Cosi Cod Basis Markel Price Markel Valve Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
BANK AM ER CORP PERP NON CON ULATIVE DEP Security Identifier: 080506078
SF S FIXED TO FLOAT 8.125% 04130/58 WE
DTD 04130108 CALLABLE 05/15118 Moody Rating BA3 S& P
Rating BB
01110/11 '.3.12 2,000,000.000 102.7500 2.055.000 00 101.4380 2,148,760.00 93,760.00 34,305.56 162500.00 7.56%
0 nginal Cosl Basic 52,055,000.00
SOUTNEFOI CALIF EOISON CO PREF SER E Security Identifier: 842400FU2
6.250% 01117162 WE DM 01/17/12
CALLABLE 02/01122 0 100100 Moody Rating RAM S & P
Rating BBB-
01130/12'.3.12 3.000.000.000 99 8110 2,994,327.17 111.3750 3.341.250 00 346.922 83 93.750 00 187.500 00 5.61%
Original Cosi Basic 52.992.564 97
GENERAL ELEC CAP CORP NON CUM PFD SER Security Wenner: 3698225/18
A 7.125% 06/12/62 WE
DID 06112/12 CALLABLE 06115/22 Moody Raling SAM S &
P Rating A+
06127/12 '.12.13 2,000,000.000 104.9020 2,098.03116 116.3750 2,321,500.00 229,46124 16,208.33 142.500.00 6.12%
()num' Cosi Basis 52,122,916.67
LOG CAPITAL NO 1 PLC 144A Security Identifier: 054330008
ladX.60473106283 1000% 09/15/88 PEG
DTD 12115/09 CALLABLE 06115/20 St P Rating BB
12/04/13 ..3.I2 1.200.000.000 108 2500 1.299.000.00 105.5000 1 266 000 00 .33,000.00 12,000.00 96 000 00 7.58%
Original Cosi Basis 51.299.000.00
5LLOYDS BANKING GROUP PLC FXD RATE RESET Security identifier 539439A04
ADDL TIER 1 SECS ISMS US539439A042
7.500% 09127/88 WE DID 04/07/14 S & P Rating B+
Please Provide' 1,903,000.000 N/A Please Provide 1022500 1.945.817.50 N/A 13,083.13 142.725,00 7.33%
Original Cosi Mit Pease Provide
Total Corporate Bonds 521,875,519.13 $24,152,377.60 5630,880.81 5424,687.18 61,702,800.00
22,843,000.000
Total Fixed Income $23,122,056.24 525,558,309.84 $490,437.10 1432,072.53 11,102,800.00
28,633,000.000
Page 6 of 18
Account Nun bur RaNdencolloM
VRAWRCHt SO Di ERA CIO LLC. Go paperless r L x v c e i ry u V rm w e s r i nce 2007 OCATq+6
NF I DAEN11A L
SDNY_GM_00046012
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008836
EFTA_00156621
EFTA01288984

Deutsche Asset
& Wealth Management
DIVISre gam Pon., Vona 'thump-win
rents Congn,o‘P
otautv Sat Mui4+M.
Ilre MA din
P.O. Boa 1778, 8shimore. M021203 Maria MM." nth I bet
30134
Statement Period: 0110112015 - 01/31/2015
Portfolio Holdings (continued)
Unrealised Estimated Estimated
Date Acquired Quantity Unit Cost Cod Basis Market Price Market Value Gain! Loss Annual Income Yield
Equities 42.00% of Portfolio
Common Stocks
M OBILEYE NV AM STELVEEN ORD SHS Security Identifier: ki BLY
IA140010831061 CL SIP A51488117
Dividend Option: Cash
08101114 800.000 25 0000 20,000.00 39 3900 31,512.00 11,512 00
APOLLO GLOBAL MGM T LLC CL A SUS Security Identifier: APO
Dividend Option: Cash CUSP: 037612306
03129111'.13 263,157.000 19 0000 4,999,983.00 248700 8,544,714.59 1,544,731 59 818,418.27 12.50%
APPLE INC COY Security Identifier: AAPL
Dividend Option: Cash CUSP. 037833100
09105114 142,800.000 98 9500 14,130,065.71 117.1600 16,730,448.00 2,600,38229 268,464.00 1.60%
MAD PHARM ACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash CUSP 04033A100
02!14112'.13 7.535.000 15 2090 114,597.40 6.4500 48,600.75 -65.996.65
01124113 '.13 9,000.000 198000 176,400.00 6.4500 58,050.00 ,118,350.00
Total Noncomed 16,535.000 290 997.40 116,650.75 ,114,341.15
Total 16,535.000 5290,997.40 3106,650.75 .1181,341.65 10.00
ASCINA RETAIL GROUP INC COY Security Identifier: ASNA
Dividend Option: Cash CUSP. 04351G101
01116101 '.3 70,500.000 212770 1,500,000.00 11.5600 814,980.00 .685,020 00
BANK OF NEW YORK MELLON CORP CON Security Identifies: BK
Dividend Option: Cash CUSP: 064058100
06125114 250,000.000 36.3060 9,076,40610 36.0000 9,000,000.00 76,406.00 170,000.00 1.88%
BIOGDI IDEC INC CON Security Identifier: BUB
Dividend Option: Cash CUSP: 09062%103
02114112 '.13 2.095.000 119 5490 250,454.95 389.1600 815,290.20 564.83525
FACEBOOK INC CL A Security Identifier: FB
Dividend Option: Cash CUSP: 30303M102
05117112 A 17,500 000 38 0000 665,000.00 75.9100 1,328,425.00 663.425 00
Pap 7018
E. :leelecsn. : ORAN Well A S c O c L o T u H n E t N RA u C n D T er , F I D G A o p E ap N erl T es I s A L E R r D x A a n a t L v e r B y d t A u ' t r R a e r c n m R e e A i s v r T s o E r t • D e C 2 O 0 M 07 M UNICATIONS /abr. ISO =maw Ms.. ram.
SDNY_GM_00046013
CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) OB-SDNY-0008837
U1:4_00156622
EFTA01288985

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date Med Quiet UeICto st Cost Basis Market Price Markel Value GalelLoss Annual Income Yield
Equities (continued)
Common Stull' (continued)
FOUNDATION MEDICINE INC COM Security Identifier: FM
Dividend Option: Cash Min 350465100
01113114 25,000.000 27.5070 687,883.50 47 6600 1,191,500.00 503,836.50
08105114 21,830.000 232530 577,373.02 47.6600 1,183,397.80 606,024.78
Total Covered 19,830.000 1,205,031.52 2,371,697.10 1,109,661.26
Total 19,630.000 $1,206,03012 $2,374,697.60 51,109161.26 $0.00
GENERAL ELECTRIC CO COM Security Identifier: GE
Dividend Option: Cash CUSP: 36960/103
04123113'.13 23 000.000 21.5700 496,109.08 23.8900 549.47000 53,360.92 21,160.00 3.85%
GENERAL MTRS CO COM Seaulty Identifier: GM
Dividend Option: Cash CUSP: 370151/100
11118/10 ' 10.988 200 36 4010 399 978 16 32.6200 358 435 09 .41,513.07 13,185.81 3.67%
12109110 ' 86.536 800 36 8160 3.185.969.22 32.6200 2 822 830 41 -363.138.81 103.811.16 3.67%
Total Noncovered 97,525.000 3,616,917.36 3,101,265.50 -101,161.66 117,030.00
Total 97,525.000 13,686,917.36 $3,181,265.50 -$101,661.86 0117,030.00
GILEAD SCIENCES INC Sandty Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02105114 5,000.000 792810 396,407.00 101.8300 521,150.00 127,713 00
03107114 3,100.000 796120 216.797.00 104.8300 324.973.00 78,176 00
Total Covered 8,100.000 613,201.00 019,123.00 205,919.00
Total 8,100.000 6613,201.00 6849,123.00 8205,919.00 $0.00
HEALTH NET INC CON Security Identifier: HNT
Dividend Option: Cash CUSP: 42222G108
09108114 25,000.000 46 9800 1,174,506.00 54.1700 1,354,250.00 179,744.00
SAXONY° BIOSCIENCES INC CON Seairity Identifier: SGM 0
Dividend Option: Cash CUSP. 800677106
05128113 '.13 50.000.000 8.4440 422,211.00 12.7900 639.500.00 217.286 00
SANTANDER CONSUMER USA HLDGS INC COM Security Identifier: SC
Dividend Option: Cash CUSP: 8028311101
01123114 1,000.000 24 0000 24,000.00 17.8500 17,850.00 -6,150.00
TWITTER INC CON Security Identifier: MIR
Dividend Option: Cash CUSP: 901811102
11101113 1.500.000 26 0000 39,000.00 37.5300 56,295.00 17,295.00
Total Common Stocks 138182,924.01 $14,391171.81 16,611,717.10 11,395,072.27
Page 8 of 18
01:11e4ISCM:: : mine you Acc L o T u M n t E N RN u m C be I r O : LI.C. Go paperless R D (v A a e t L e r B y d A V t R s s a R . l . A l e S T r i E i v l D l a C 2 O '0 M 07 M UNCATIONS aor. 2 t = om a ..r.t. t = o• A Plat —."ao=
N F ID ranAL
SDNY_GM_00048014
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008838
EFTA_00156623
EFTA01288986

Deutsche Asset
& Wealth Management
Dar Own Wealth Maaarnsel
wows C00000047
Oftualw sem sesses
Now Teri Ma
P.O. Om 1778, larnore. MD 21203 HS Per% MY. MOWS,
Pliereint NY INM
Statement Period: 0110112015 • 01/3112015
Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date Acquired Quaellty Unit Cost Cost Basis Market Price Market Value Gala/ Loss Annual Income Yield
Equities (continued)
Preferred Stocks (Listed by expiration date)
ALLY FINL INC FIX TO FLT Security Identifier: ALLY PRB
DIV-8 50% FREQ-QTRLY CALLABLE Q 25.00 CL SIP 02005K308
OK A QTRLY BASIS AFTER 05/15/2016
Dividend Option: Cash
02103112'.13 44600.000 191820 903.21751 26 3800 1,229 308.01 326.090.50 98.792 00 8.03%
02109112 '.13 80400 000 20 1250 1,610,000.00 26 3800 2 110 399.99 500,399.99 169.600 00 8.03%
Total Noncovered 126,600.000 2,513,217.51 3,339,709.00 826,490.49 268,392.00
Total 126,800.000 92,513,217.51 $3,339,708.00 5826,490.49 $268,392.00
GM AC CAP TR I GTD TR PFD SECS SER 2 CPN- Security Identifier: ALLY PRA
8.125% FREQ DRILY MATY.02115/2040 CALL CUSP: 361860208
ANYTIME 025 W/30 DAYS BEGINS 02115116
Dividend Option: Cash
02/22112 '.13 80.000.000 23 5350 1.882.773.60 26.3000 2.104.000.00 221.226 40 162.500.00 7.72%
ROYAL BK SCOTLAND GP PLC WON AOR REPSTG Security Identifier: RBS PRT
SER T PFD CPA-7.25% FREQ QRTLY FERP N TY CUSP. 780097713
CALLA 25 ANY W130 D NOTICE AFTR 12131112
Dividend Option: Cash
10124112'.13 40,000.000 231900 951,600.00 25.5500 1,021,999.99 10,399.99 72,500 00 7.09%
01107113'•13 40.000.000 24.4400 977.600.00 25.5500 1.021.999.99 44.399 99 72,500 00 7.09%
01114113'.13 40,000.000 24.8600 995,200.00 25.5500 1,022,000 02 26.60042 72,500.00 7.09%
Total Noncovered 120,000.000 2,924,400.00 3,066,000.00 141,600.00 217,600.00
Total 120.000.000 $2,924.400.00 $3,086.000.00 5141,600.00 $217.500.00
Total Preferred Stocks $7,320,391.11 58,509,709.00 51,189,316.89 $648,392.00
Total Equities $45,903,316.15 $52,904,379.84 $7,001,064.69 $2,043,464.27
Page 9of 18
ri
Account Number Itsted [malign'
DG o papcerrleisAs L Every Year sine. 2007
08AN 11011 SOL THERA CIO F I ris e O x m a B lu A r R m R e A r T ED COmmumCaTiOnS
GDNY_GM_00046014
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008839
EFTA_DO 156624
EFTA01288987

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Oate Aozeired Quantity Unit Cost Cod Basis Market Price Markel Value Gainf Lou Annual Income Yield
Exchange-Traded Products 2.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DXJ
Dividend Option: Cash; Capital Gains Option: Cash MIR 97717W851
80000.00 of these shares are in your margin account
12/11113 80.000.000 49 4350 2,988,098.50 49.2200 2,953.200 00 -12.898.50 58.434.20 1.91%
Total Exchange-Traded Products $2,988,098.50 92,953,200.00 -812,898.50 $68,434.20
UarealMed Actrued Estimated
Cost Bads Market Value Gals/ Loss Mitered Maul Income
Total Portfolio Holdings 5115,444,485.59 $124,868,906.38 97,471,803.29 9432,072.53 53,903,814.84
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.L.110-343, the Emergency Econontic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked Of 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 'apphcable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wia 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 (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.
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.
13 The cost basis of this security has been provided to us by the delivering fan or transferring agent and Pershing makes no representation as to the accuracy of this information.
Page 10 018
Account Number GO paperiess
OBALI Roll DAENTIA Dr L x v Aa e r r U y tu M V rn s . Ra .. Ae W Tr E o D o. C 2 O 0 M 07 M UNICATIONS
SONY GM_00046016
67e)L THEM%
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-OOO884O
EFTA_OO 156625
EFTA01288988

Deutsche Asset
& Wealth Management
Isre Rana Pnwair won lapmgenais
r eals teem., 6,0“)
Dettsch4 NM Smelt. %..c
lire wart Oat*
P.O. Box 1778, Bahimore, MD 21203 341P an A . Ikh I ter
War leek ItY 101E
Statement Period: 0110112015 • 01/3112015
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Loss/
Date Date Transaction Description Quantity Cost Basis Proceeds Disallowance
Long Term
01122/15 12/13113' Fel) WASHINGTON MUT MTG S 004-RA2 M TG PASSTHRU CTF CL 1.290000.000 2.62760 3 433 93 806 33
C- B-1 VAR RATE 6.983% 07125133
Security Identifier: 939336820
Original Cost Basis: 2.627.60
01126/15 12)13113' I'P COUNTRYWIDE HOM E LOA 1 CL 81 4.090% 03/25/33 WED 4.500.000.000 19.609.04 20.999 98 1 390 94
TD 01130103
Security Identifier: 12369DYS1
Original Cost Basis: 19,609.04
Total Long Term 322,236.64 $24,433.91 32,197.27
Total Short Term and Long Term 322,236.64 324,433.91 32,197.27
• 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 "noncoveredr 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 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 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 dent 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 13
ll8A13 ROI I Account Number: Go paperless e t :. R Dr (v xA a e e t L e r nB y d uA V t rR a s r c aR . e . eA ll S e rT i n E n e c D e C 2 O '0 M 07 M UNCATIONS stow.t.:7=====
SDNY_GM_000460n
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERMI FI D AMSITIA DB-SDNY-0008841
EFrA_00 156626
EFTA01288989

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 a 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 retums.
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 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 accounts selected tax lot method will be
used to determine the cost basis for calculating gain andfor 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 $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 Conporation.(SIPC)
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at httpc/Armwdws-investments.conVEN/products/money-market-funds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
lmportarn Reminder for Pershing's 2014 IRS Forms 1099 (8, DN. 1NT, 010 and MISC): As a reminder, 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 vrill 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.
Activity Summary (Ad amounts shown are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Dividends and Interest $15,328.77 $15,328.77 Dividends and Interest $0.00 $0.00
Distributions $22,626.33 $22,626.33 Distributions $0.00 $0.00
Fees 50.00 50.00 Fees -$18.00 -$18.00
Cash Cash
Withdrawals 0.00 0.00 Withdrawals -858,90473 -858.90473
Total Cash $0.00 $0.00 Total Cash -$855,904.73 -$558,904.73
Money Market Funds $158,922.73 $158.922.73 Money Market Funds -$92,330.10 -$92,330.10
Total Credits $898,877.83 3896,877.83 Total Debits -$961,252.83 -$961,252.83
Page 12 of 18
Account Number. Rated Imam@
Go paperless Event Veer Since 2007
S0L ix ERA FIDAE1SM AL DrxAaLr BtuArRn RsAerT ED COMMUNCATIONS
SDNY_GM_00046018
CONFIDENTIAL - PURSUANT TO FED. R CRINI, P. 6(e) OB-SDNY-0008842
EFTA_00 156627
EFTA01288990

Deutsche Asset
& Wealth Management
Draisev Ram Pon. Weahn PAragenalt
Mats Coon., Gro.t)
Dests0A lima %won Mc.
lire bet M
P.O. Bat 1778, Babimore, MD21203 Na Pont Anremeo. Halter
Statement Period: 0110112015 • 01/31/2015
Transactions by Type of Activity
Process/
Settlement
Date Activity Tvoe Description Quan Price Accrued Interest Amount Curren
Securities Bought and Sold
01121/15 SECL RITY CALLED QTY 838.000 SERVICEM ASTER CO SR NT • CUSP FLLLY 0.00 LSD
81760kAN9 EXCHANGED FROM OLD CLSIP 81760NAL3 8.000%
02115120 WE DTO 02/13/12 CLB CALLED BY LOTTERY
Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 0.00
Securities Withdrawals and Deposits
01130115 CUSTOMER AUTHORIZED APPLE INC COM TRANS TO k4G.026161 -21,200.000 0.00 LSD
TRANSFER
AAPL
Total Sea/titles Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 0.00
Dividends and Interest
01/26/15 CASH DIWDEND RECEIVED 23000 SF RS GENERAL ELECTRIC CO COM RD 12/22 PO 5.290.00 LSO
GE 01126115
01/27115 80AD INTEREST RECEIVED 4500000 COUNTRYWIDE HOME LOANS SER 03.1 CL B1 4,660.48 LSO
12669DYS1 4.090% 03125/33 B/E DID 01/30/03 RD 12/31 PD 01125/15
01/27/15 80ND INTEREST RECEIVED 1290000 WASFINGTON ML T MTG SECS CORP 2001.RA2 4,261.92 LSO
939336520 M TG PASSTF RI., CTF CL C.B-1 VAR RATE 6.983% 07125/33
WE DTD 08101104 RD 12/31 PD 01125/15
01/30/15 MONEY MARKET FUND DWSGOVT CASF INSTL 1,116.37 LSD
INCOME RECEIVED
233993682
Total Dividends and Interest- UNITED STATES DOLLAR 0.00 15,326.77
Distributions
01/27/15 RETURN OF PRINCIPAL 4500000 COUNTRYWIDE HOME LOANS SER 03-1 CL 81 20.99918 LSO
RECEIVED 4.010% 03125/33 B/E DTD 01130/03 RD 12131 PO 01/25/15
12669DYS1
01/27/15 RETURN OF PRINCIPAL 1290000 WASHINGTON IILT NTS SECS CORP 2004.RA2 1.626.35 LSO
RECEIVED M TG PASSTFRL CTF CL C.B.1 VAR RATE 6.983% 07/25/33
939336520 WE DTD 06101104 RD 12/31 PD 01125/15
Total Distributions • UNITED STATES DOLLAR 0.00 22,628.33
Page 13 of 18
Account Number Rated E.a celbrill
ORM, VOI SOL THERA ENO Go paperless rD L
%
v A e L
C
r B y
a
A Y
l
R
i
e
N
R ar
C
A S T
I
i E v D a C 2 O 0 M 07 M UNCATPONS ea". —
SDNY_GM_00046019
O NFIDEVTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008843
EFTA_00156628
EFTA01288991

Transactions by Type of Activity (continued)
Process/
Settlement
Date Adivity Type Des aiolion Clean' Price Accrued Niters Mont Curren
Fees
01/02/15 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 2014 CU SIR GISISP-P4.8 -6O0 USD
G4S15PP48
01/02/15 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 2014 CU SIP: 6513318G-8 •6.00 LSD
G5433B13G8
01/02/15 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 2014 CU SIR. P7807h-AF-2 -6O0 LSD
P7807EAF2
Total Fees - UNITED STATES DOLLAR 0.00 411.00
Cash Withdrawals and Deposits
01114115 CUSTOMER AUTHORIZED TRANS TO N46-026161 -366.96373 LSD
TRANSFER
USD999997
01116/15 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST •491.94100 LSO
USD999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 -$50,901.73
Money Market Funds
01/02115 MONEY FUND PURCHASE DWSGOVT CASE INSTL -54,375.00 LSD
USD999997
01/05/15 MONEY FUND REDEMPTION DWSGOVT CASE 1NSTL 18.00 USD
USD999997
01/11/15 MONEY FUND REDEMPTION DWSGOVT CASE INSTL 366.963 73 LSD
USD999997
01116/15 MONEY FUND REDEMPTION DWSGOVT CASE INSTL 191111 00 USD
USD999997
01127/15 MONEY FUND PURCHASE DWSGOVT CASE INSTL -5,29C00 USD
USD999997
01/28/15 MONEY FUND PURCHASE DWSGOVT CASE INSTL -31.548.73 USD
USD999997
01/30/15 MONEY MARKET FUND DWSGOVT CASE INSTL INCOME REINVESTED -1.116.37 USD
REINVESTMENT
233993682
Total Money Market Funds- UNITED STATES DOLLAR 0.00 766,592.63
Total Value of Transactions 0.00 -51,376.00 USD
The price and quantity displayed may have been rounded.
Page 14 of 18
Account Number. Rated tacelbra
OBAB Roll SOUTHERN ONLLC. Go paperless D be 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 UNCA TIONS
r%CLLNCE
SDNY_GM_00046020
FIDE1SMAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008844
EFTA_OO 156629
EFTA01288992

Deutsche Asset
& Wealth Management
DraIsre Sam km,. Weep Paptagenan
Maniel$ COMM, 6,0.p
°num. sem seo.03e, Lac
Mee in Mt*
P.O. Be* 1778, Bellmore. MO 2t 203 so Peet *AO. lta Met
War Viet MI 1011.4
Statement Period: 01/0112015 • 01/31/2015
Cash Not Yet Received
Security Record Date Payable Date Quantity Held Rate Dividend Option Amon of Payment
Interest
SERVICEMASTER CO SR NT - CUSP FULLY 02101115 02/15115 1 440.000 000 0 040000 Cash 57 600 00
EXCHANGED FROM OLD
Total Cur Not Yet Received 557,600.00
Bond Maturity Schedule
Bold Maturity Market Yale % of Bond Market Value
7 to 12 months 2,143,750.00 8% Percentages of bond market values are
• rounded to the nearest whole percentage.
1 to 5 years 2,045,000.00 8%
6 to 10 years 3,560,850.00 14%
•
Over 10 years 17,808,709.84 70%
Total 25,550,300.04 100%
Bond Quality
Bond Quality Market Vain %of Bud Market Valet
BAA 5.668.750 00 22% M Percentages of bond market values are
BAllower 19,097,363.73 75% 1 1 rounded to the nearest whole percentage.
Not Rated 792,196.11 3%
Total 25,558,30914 100%
Called Bonds
Eligible Called Call Type Redemption
Call Date Security Desaieion Quantity &entity Price of Call Proceeds
02117/2015 SERVICEMAsTa CO SR NT • CUSP FULLY 1,440,000 008 838,000.000 106.0000 Partial 888.280.00
EXCHANGED FROM OLD CUSP 81760/413
8.000% 02115120 WE DID 02/13112
Publication Date: 0112012015
Page 15 of 18
Account Number Rated [atelier.
paperless Every Va.. Since 2007
SOUTHERN CSNO L LC. DAL BAR RAT ED COMMUNICATIONS
F I I-JENTEAL rxentrwer
SDNY_GM_00046021
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008845
EFTA_00 156630
EFTA01288993

Client Service information
Your Client Advisor: DAN
DANIEL SABBA
345 PARK MIEN LE 267F 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 Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Bond Amortization Elections:
Treat al interest as origins issue discount ( OID): 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 corn m unications for electronic delivery. To register and turn off paper tom 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 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 '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
vnwepershing.comfinsiness_continuity.htrnt 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 nil
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 now.
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 prornptty upon your written request directed to your introducing km. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in veiling 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 nth 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 smaler number of shares entitled to vote than the number of shares in your margin account.
Page 16 of t6
Account Number: e t ) Rawl tacellenti
OlitAE1 MOLL FI D G An o p T ape r rle I s A s rD (v xA e eL r s B y Aa Y Rr e r w Rie S A O r T C SO O . C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046022
CONFIDENTIAL - PURSUANT TO FED. R CR[6,1. P. 6: THEIMCON DB-SDNY-0008846
EFTA_00156631
EFTA01288994

Deutsche Asset
& Wealth Management
Dryly R•ni Wolin PAnair,tat
10.141s (Ingo 4•0.p
De.cul. Bar St(r."41M.
Mr. brit Mc*
P.O. Box 1778, Bahimore, MD 21203 la 'tart Annw Icce
ta-r. 1. nr 101:4
Statement Period:0110112115 • 01/31/2015
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 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 & Pooes 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 inducing warranties of merchantability or fitness for a particular purpose.
Standard & Pooes 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 Pooes 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 guarartee 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 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 cable 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
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 eneral 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 . 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: vnwtpershing.coinfstrength_stability.html.
Paget? of 18
Account Number: e t ) Rated twallella
9O1.1. FI D G E o p N ape T rle I ss A D b e r A x a L a y B r a A 'I R r a m n R e A L r T S E O D , C 2 O '0 M 07 M UNICATIONS .....
SDNY_GM_00046023
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6:06THERk OB-SDNY-0006847
EFrA_00156632
EFTA01288995

Important Information and Disclosures (continued)
The Role of Pershing (continued)
• 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-confrrned 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; Emirs 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 arbdcators wil typically include a 'Snotty 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 piedispute 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 ercompassed 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 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 govem.
Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399;
to nc. Pap IS of 18
Account Number Rated tacolloria
WIA0 ROLI St3L THERA N F I D C A so p E ap N erl T es I s A L rO t x v A e eL r n y IM t Y rI e tw R a e r A S rT l E a D te C 2 O 0 M 07 M UNICATIONS Iron. YQ ••••••••6000.. Fait ilflO
SON Y_GM230046024
CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6(e) DB-SDNY-0008848
EFFA_00156633
EFTA01288996