EFTA01288997.pdf

a
Deutsche Bank
MP"
P.O. Box 1776, Baltimore, MD 21203
Account Number: N40-023804
Statement Period: 12/0112016 -12/31/2016
Portfolio at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value $114,618,198.25 8103,284,617.80
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 .3 278.060 93
net Securities InlOut of Account 0 00 5 185,557.00
ST THOMAS VI 00802
Adjusted Previous Account Value 114,618,198.2$ 105,192,113.87
Dividends, Interest and Other Income 311.998 62 3,882.558.30
Total Taxes Withheld 0 00 -5.558.07
Net Other Activity -2 00 -430.00
Your Client Adelson Net Chan e in Portfolio 2.139.761 39 8 001,272.18
.DSFLASHOSNAN ncling Account Value 5117,069 956 26 5117,069 956 26
Accrued Interest $250.76877
Estim ated Annual Income 83.121.344 91
Asset Summary
Prior Year-End Lag Period Ibis Period % Allocation
Cash. Money Funds. and Bank Deposits 26,834,143.83 14,052,449.32 15,864,145.94 14% Please review your allocation
Fixed Income 25,438,998.88 20,831,839.41 19,233,099.80 16% perioclicalty wth your Clete Advisor.
Equities 48,000375.11 76.982.109.52 79,000.010.52
Exchange-Traded Products 0.00 2,952,000.00 2,972,400 00 3%
Mutual Funds 3.004.800,03 0.00 0.00 0%
Account Total (PIe Chart) 8103,284,817.80 $111,818,198.26 $117,089,958.26 100%
Page 14019
Go paperless Ratedmai l. nti
11,8AO /1011 C B0 O 09 938 N 0CSF3 F 0024 I D AENTIA r ( C v x A e e L r M s y a A VE R r s N R .. C A S T I i O nc ) e C O 20 M 0 M 7 L IFOCATIONS
SDNY_GM_00046029
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008849
EFTA_00 156634
EFTA01288997

Summary of Gains and Losses
Realized
Ibis Period Year-to-Date Unrealised
Short-Tenn Gain!Loss 0.00 3.039 76 1.201.993.80
Long-Term Gain/Loss -88,74809 1,147,088.09 5.338.614 20
Net GaIn/Loss -80,748.09 1,150,127.85 9,543,608.00
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the 'ECB') and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The
interest will be reported en your Forms 1099 andior 1042 S. 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 Desidiptioe Amount Balance
Sweep Money Market Fund
DEUTSCHE GOVT CASH INSTL
Current Yield: 0.43% Activity Ending: 12130f18
12101116 Opening Balance 13,960,314.37 13.960.344.37
12101/16 Deposit MONEY RAD RiRCFASE 92.101.95 14,052,419.32
12/02116 Withdrawal MONEY FUND REDEMPTION -2.00 14,052,117.32
12/16(16 Deposit MONEY FUND FtiRCFASE 19,380.00 11.101,827 32
12/19116 Deposit MONEY FUND RACFASE 1,648,125.00 15.749,952.32
12/23116 Deposit MONEY FUND FURCFASE 37.059.50 15.787.011.82
12128116 Deposit MONEY FUND PURCFASE 39,11823 15,826,130.05
12130(16 Deposit MONEY FUND FtiRCFASE 3,807.00 15,829,937 05
12130(16 De 01 %COME REINVEST 4.774.69 15.834 711.74
12/30(16 Closing Balance $15,834,711.71
Total All Money Market Funds $15,831,711.71
Income and Expense Summary
DIrrent Period Year-to-Dale
Taxable Noe Taxable Taxable Noe Taxable
Dividend Income
Equities 40,866.50 0.00 1.628.229.19 0.00
Money Market 4.771 69 0.00 23,034 96 0.00
Other Dividends 29.734.20 0.00 1,033,201.69 0.00
Interest Income
Bond Interest 236,623 23 0.00 730,160 43 0.00
Other Interest 000 0.00 139.146.88 0.00
Page 2 of 19
°HAT; +olk A SO cc U o T u H n E t R N N u mber. O N4G-0 NL 2 L 3 C 8 . 0 F 4 ID G E o p N ape T rle I ss A L ! r D ( l v x o A a O u L r B y d L A V L [m R o N R a a C r l A l L a r T r o E d c D , o C 2 O 0 M 07 M UNICATIONS aor
SDNY_GM_00046026
CONFIDENTIAL — PURSUANT TO FE D. R. CRIM. P. 6(e) DB-SDNY-0008850
EFTA_00 156635
EFTA01288998

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
Statement Period: 12//112116 -1213112116
Income and Expense Summary (continued) Current Perkd Year4o-Date
Taxable Noe Taxable Taxable Non Taxable
Expenses
Margin Mimed 000 0.00 0.00 -161.I0
Withholding Taxes 0.00 0.00 4,558.07 0.00
Fees(Foreign Securities] 0.00 0.00 -300.00 0.00
Total Dividends, Interest, Income and Expenses 1311,998.62 10.00 13,547,915.08 4161.10
DIstrIbudons
Alternative Investments 0.00 0.00 0.00 328146.25
Total Distributions 10.00 10.00 10.00 1320,946.26
Portfolio Holdings
Account Activity Opening Codas Accrued Income 30-Day Cuirent
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 14.00% of Portfolio
Cash Balance 92,104.95 0.00
Margin Balance 0.00 29,734.20
Money Market
DEUTSCHE GOVT CASH INSTL
12/01116 15.834.711.740 NM 12/30/16 13.960.344.37 15,834,711.74 0.00 23.034.96 0.38% 0.43%
Total Money Market $13,960,344.37 111834,711.74 123,034.96
Total Cash, Money Funds, and Bank Deposits 114,162,449.32 115,164,446.94 1$00:0000 123,034.96
Page 3 of 19
Account Number: N4G423804 GO paperless Rated excellent,
OLIALI ROLL SOUTHERN D be A e L r O y A v R s R . A S T i E nc D e C 2 O 0 M 07 M UNCATIONS
K1 F I DrErriA rxestimer
SDNY_GM_00046027
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0008851
EFTA_00156636
EFTA01288999

Portfolio Holdings
(continued)
Adjusled Unrealized Accrued Estimated Estimated
Date Acquired Quantity hit Con Cost Bads Market Price Markel Value GainI Loss Interest Annual Income Yield
Fixed Income 16.00% of Portfolio (In Makin?), OM Sequence)
'Asset Backed Securities
WASHINGTON NUT M TG SECS CORP 2004-RA2 Security Identifier: 939333620
TG PASSTH RV CTF CL C-01 VAR RATE
6.693% 07125133 WE DTO 06/01/04
Factor. 0.47620036 Effective Date:12101/16
Current Face Value: 614.298 464
12113/13 1,290,000.000 76.5190 470.052.63 84.9500 521,846.55 51,793.92 3,426.37
Original Cost Basis: 5638.906.71
Total Asset Backed Securities $470,052.63 $521,846.55 $51,793.92 63,426.37 $0.00
1,290,000.000
Total Current Face Value : 614,296.461
Corporate Bonds
EARTHUNK INC GTO SR NT FULLY EXCHANGED Security Identifier: 270321AC8
CUSP FROM 27032IAB8 8.875% 05/15/19 BIE
DTD 05117/11 CALLABLE 01/29/17
10123/12 '.3.12 351.000 000 102 2970 359.061.88 102.3250 359,160 75 98 87 3.980 44 31,151.25 8.67%
Original Cost Basis. 5362.407 50
BARCLAYS 8K PLC CONTINGENT CAP NT Security Identifier: 06739FHK0
ISINPIS06739FEK03 7.750% 04/10123 B/E
DTD 04110/13 CALLABLE 04/10118 38 P Rating 889
04103113 '32.13 300,000.000 100.0000 300.000.00 105.1400 315.420 00 15.420 00 5.231.25 23.250 00 7.37%
Original Cosl Basis: 5300,000.00
1711 ORGAN CHASE & CO DEP SHS REPSTG Security identifier 48625111M1
1/10TH PFD SER 1 FIXED TO FLTG RT BD
7.900% 04129/49 B/E DTD 04/23/08 Moody Rating BAA3 S
& P Rating BBB-
08/15/11 '.3.12 2.500.000 000 107 5000 2,687,500.00 103.5500 2,588,750.00 •98.750.00 32,916.67 197.500 00 7.62%
Original COSI Bans: 52,687,500.00
06/15111 2.500.000 000 107 0000 2.675.000.00 103.5500 2,588,750.00 •86.250.00 32.916 66 197.500 00 7.62%
Original Cosl Basis: 59675,000.00
Total Noncovered 5,000,000.000 5,362,500.00 5,177,500.00 -185,000.00 85,833.33 395,000.00
Total 5,000,000.000 85,362,500.00 $5,177,600.0 -$185,000.00 $65,833.33 $395,000.00
BANK AM ER CORP PERP NON COM ULAT1VE DEP Security Identifier: 0605050T8
SH S FIXED TO FLOAT 8125% 04/30/58 WE
DTD 04130108 CALLABLE 05/15/18 Moody Rating BA2 S d
Rating BB*
01/10/11 '.3.12 2,000500.000 102.7500 2,055,000.00 103.8750 2,077 500 00 22,500 00 20,783 89 162.500.00 7.82%
Original Cost Bank 52,055,000.00
Page 4 of 19
Account Number. N4G-023804 listed tacellordi
rer:099350CSF30 mi..° vet SOL THERA C5. N LLC. FI l i G E o p r ap n erle A ss L rD (v xA e eL r rB y t A y uR e N R s e . A S rT i E nc D e C 2 O '0 M 07 M UNCA MN'S
SDNY GM_00046028
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008852
EFTA_00 156637
EFTA01289000

PA
Deutsche Bank
0ruisev Ram Pnwale Wean PAWItnall
Pdanels Coon., 6,0‘P
P.O. Box 1776, Baltimore, MD 21203
Statement Period: 1210112016 • 12/3112016
Portfolio Holdings (continued)
Adjusted Unrealized Acaued 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)
SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: 842400FU2
6.250% 01(17162 B/E DTD 01/17/12
CALLABLE 02/011221 100.000 Moody Rating BM1 S8 P
Rating BLS
01/30!12'.3.12 3,000,000.000 991550 2.995.641.62 110.8750 3.326.250.00 330.608 38 78.125.00 187.500.00 5.63%
Original Cost Basis: $2,992,564.97
GENERAL ELEC CO GTD FXD-TO-FLTG RT Security Identifier: 369604814
NONCUMULATIVE PERFETL AL PREFERRED
4.000% 12103/65 REG DTD 12/03)15 Moody Rating A3 S
P Rating A
12/03115' 2.469.000.000 88.0930 2,115,016.17 99.2500 2 450.482 50 275,466.33 4,389.33 98,760.00 4.03%
Original Cost Bair $2,175,016.17
'LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4
ADDL TIER 1 SECS13'5SL 6539439AG42
7.500% 04127/88 B/E DTD 04/07/14 S8 P Rating BB.
Please Provide' 1,903,000.000 N/A Please Provide 103.0000 1 960,090 00 NIA 1,585 83 142,725.00 7.28%
Original Cost Basis: Please Provide
CITIGROUP INC FXO RT SR NT PERP DEP RECPT Security Identifier: 17296725
5.950% 08(15/88 B/E DTD 08/12/15
CALLABLE 08/151201 100.000 Moody Rating BA2 S8 P
Rating BB"
08/06/15 3,000,000.000 100.0000 3,000,006.00 101.4950 3,044,850.00 44,844 00 67,433.33 178,500.00 5.86%
Original Cost Basis: 53,000,006.00
Total Corporate Bonds 115,247,225.67 111,711,263.25 $503,937.58 $247,342.40 $1,219,386.25
18,023,000 000
Total Fixed Income $16,717,278.30 $19,233,099.90 $565,731.50 3250,768.77 81,219,386.26
10,313,000.000
Pate5019
Account Number: N46423804 ft...de-4k"
.38..M ROLL SOUTHERN FI D Go r p T ape r rle i s A s r ( C v xA e eL r nM y u A Y rR e r aR ar eA S Tr i E ne D w C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046029
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008853
EFTA_00 156635
EFTA01289001

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date Acquired Gustily Usk Cost Cod Basis Market Price Markel Value Gadd Loss Annual Income Yield
Equities 67.00% of Portfolio
Common Stocks
M OBILEYE NV AM STELVEEN ORD 5115 Security idendlier: M BLY
ISKRA L0010831061 CUSP N51488117
Dividend Ophon Cash
08101114 800.000 25.0000 20,000.00 38.1200 30,496.00 10,496.00
MERU BIOTECHNOLOGIES INC Security Identifier: MN
CON CUSP 00773U108
Dividend Option: Cash
10,000.00 of these shares are in your margin account
04120115 10,000.000 39.8610 398,606 00 2 9000 29,000 00 -369,606 00
AKORN INC COM Security Identifier: AKRX
Dividend Option: Cash CUSP. 009728106
06110/15 5.000.000 46.8410 234,206.00 21.8300 109,150.00 •125,05800
AUBABA GROUP H LOG LTD SPONSORED ADS Security identiller BABA
IS% OUS01609W1027 CUSP. 01609W102
Dividend Option: Cash
06110/15 5.000.000 88.9500 444,749.00 87.8100 439.050 00 -5.699.00
ALUANZ SE SPO NS ADR REPSTG 1110 StIS Security Identifier: AZSEY
Dividend Option: Cash CUSP 018805101
04113/15 5,000.000 18.0110 90,056.00 16.4800 82.400 00 •7.656.00 3,059.77 3.71%
APOLLO GLOBAL M GM T LLC CL A SIM Security Identifier: APO
Dividend Option: Cab CUSP: 037612306
03129/11 ..I3 263,157.000 19.0000 4,999,983.00 19.3600 5,094,719.52 94,736.52 328,946.25 6.45%
APPLE INC COM Security Identifier: AAPL
Dividend Option: Cash CUSP: 037833100
250.000.00 of these shares are in your margin account
10128/13 1 14.000.000 75.5800 1,058,120.50 115.8200 1,621,180.23 563,359.73 31,920.00 1.96%
09105/14 124.180.000 98 9500 12,287,815.97 115.8200 14,382,527.56 2,094,911.59 263.130.40 1.96%
09105/14 1 7.200.000 98 9500 712,440.29 115.8200 833.903.79 121,463.50 16,418.00 1.96%
09105/14 s 18.620.000 98 9500 1,842449.74 115.8200 2,156.568.62 314,118.81 42,453.60 1.96%
01111116 250,000.600 99 0000 24,750,006 00 115.8200 28,954,999.80 4,204,993.80 570,000.00 1.96%
Total Covered 114,000.000 10,650,632.50 47,919,160.00 7,291,647.50 913,920.00
Total 414,000.000 140,660,832.50 147,949,460.00 17,298,847.50 8943,920.00
ARIAD PHARMACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash CL SIP 040334100
02114712'•13 7.535.000 15 2090 114.597 40 12 4400 93.73540 -20,862.00
01124113 9.000.000 19 8000 176.400 00 12 4400 111.980.00 -64,440.00
Page 6 of 19
Account Number: 1440-023804
DriTriAs r
Rated tscerninti
01'099 3,0CSF!' . mm, voi SOUTHERN FI Go paperless r t D n xA . eL ) rB , t Au V Rr e r e Ra r Ae S Tr i C nc O e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046030
CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) OB-SDNY-0008654
EFrA_00 156639
EFTA01289002

Deutsche Bank Oevilm.e. Rana Nta Wean lAeaernais
P.O Box 1776, Baltimore, MD 21203
Statement Period: 12/01/2016 - 12131/2016
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired <hardy UaN Cost Cost Basis Market Price Market Value Gain! Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
ARIAD PHARMACEUTICALSINC (continued)
Total Noncovered 18,535.000 290,997.40 205,695.40 .15,302.00
Total 15,636.000 $290,997.40 1206,096.40 -$66,302.00 50.00
ASCENA RETAIL GROUP INC CON Security Identifier: ASNA
Dividend Option: Cash CLSIP. 013510101
01116101 '.3 70,500 000 21 2770 1,500.000 00 6.1900 136,395 00 -1.063.605 00
BASF SE SPONS ADR Security Identifier: BASFY
ISING L 50552625057 CUSIP 055262505
Dividend Option: Cash
04113115 5.000 000 101.6110 508,056.00 92.5700 462,850.00 -45,206.00 12,163.55 2.62%
BANK OF NEW YORK M ELLON CORP COM Security Identifier: BK
Dividend Option: Cash CUSIP. 064058100
06125/14 250.000.000 36 3060 9.076.406.00 17.3800 11.845.000.00 2,768,594.00 190.000.00 1.60%
BIOGEN IDEC INC CON Security Identifier: BIIB
Dividend Option: Cash CUSP: 09062X103
02/11112 '33 2.095.000 119.5490 250.151.95 283.5800 591,100.10 313,615.15
CENTENE CORP DEL CON Security Identifier: CNC
Dividend Option: Cash CUSP: 151358101
09/08/14 15,550.000 63 6450 989,679.75 56.5100 878,730.53 -110,949.25
DISH NETWORK CORP CL A Security Identifier: DISH
Dividend Option: Cash CUSP: 2517011109
06/10/15 5.000.000 72 9960 364.978.00 57.9300 289,650.00 .75,328.00
FACE800K INC CL A Security Identifier: FB
Dividend Option: Cash CUSP 3030314102
05/17/12 '33 17.500.000 38 0000 665.000.00 115.0500 2,013,375.00 1,348,375.00
FOUNDATION MEDICINE INC CON Security Identifier: FM I
Dividend Option: Cash CUSP 350165100
01/13/14 25,000 000 27 5070 687.663.50 17.7000 412,500 00 -215.163.50
08/05/14 24,830.000 23 2530 577,373.02 17.7000 439,491.00 ,137,882.02
Pa947 of 19
Lt ,
DrffirTA
Account Num her. MG-02380F4 Go paperless Rapiscl tAalikerdi
OPAI, 'IOU SOLTHERA rDLxvAwelAyi vttimst.•Ae5rT~EOC2O0M07MUNCATIONS
SDNY_GM_00046031
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0006855
EFIA_00156640
EFTA01289003

Portfolio Holdings (continued)
Serialized Estimated Estimated
Dale Availed Quality Uait Cosi Cod Bads Martel Price Markel Vale* Geld Lose Annual Income Yield
Equities (continued)
Common Stocks (continued)
FOUNDATION MEDICINE INC COM (continued)
Total Covered 49,830.000 1,285,038.52 811,911.10 -383,015.52
Total 49,830.000 11,215,036.52 $881,991.00 -$383,015.52 WOO
GENERAL ELECTRIC CO COM Security identifier: GE
Dividend Option: Cash CUSP: 369604103
04123113'.1) 23,000 000 21 5700 496,109.08 31 6000 726.800 00 230.690 92 22,080.00 3.03%
GENERAL M TFtS CO COM Security Identifier: GM
Dividend Option. Cash CU SIP 37045V100
11/18110 ' 10.988.200 36.1010 399.978.16 31.8400 382.828 90 -17,11926 16,702.06 4.36%
12/09(10' 86.636.800 36.8160 3,185,969.22 34 8400 3.014.942 10 ,171,027.12 131.535.91 4.36%
Total Noncovered 97,525.000 3,515,947.31 3,397,771.00 -188,171.38 148,238.00
Total 97,525.000 03,515,917.38 03,397,771.00 -$188,178.38 $148,238.00
GILEAO SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP: 376558103
02105/11 5.000.000 79 2810 396.407.00 71.6100 358.050.00 -38.357.00 9.400.00 2.62%
03/07114 3,100.000 79 6120 246 797.00 71.6100 221.991.00 .24,806 00 5,828.00 2.62%
Total Covered 8,100.000 843 204 00 580,011.00 -63,163.00 15,228.00
Total 8,100.000 1643,204.00 $580,041.00 ,163,103.00 315,220.00
GLAXOSM ITHKUNE PLC SPONS ADR Security Identifier: GSK
Dividend Option: Cash CUSP 37733W105
06/10115 5,000.000 43 0010 215.006.00 38.5100 192.550 00 -22.156.00 10.335 20 5.36%
GLOBAL PARTNER ACQUISITION CORP Security Identifier: GPACU
UNIT 1 COM 8 1 WT EXP CL SIR 37954X204
Dividend Option: Cash
07/30115' 2.000.000 10.0000 20,000.00 10.0500 20,100.00 100.00
GODADDY INC CL A Security Identifier: GDDY
Dividend Option: Cash CL.SIP: 380237107
04101115 700.000 20 0000 11.000 00 31.9500 24,465.00 10.465.00
MATCH GROUP INC COM Security Identifier: M TCH
Dividend Option Cash CUSIR 57665R106
11118115 200.000 12 0000 2,100.00 17.1000 3,420.00 1,020.00
SANGAM 0 BIOSCIENCES INC CON Security Identifier: SGM 0
Dividend Option: Cash CUSP. 800677106
05128113 '.13 50,000.000 8.4440 422,211.00 3.0500 152.500.00 -269,71400
SANTANDER CONSUMER USA MIMS INC COM Security Identifier: SC
Dividend Option Cash CUSP. 80283M101
01123/14 1.000 000 24 0000 21.000.00 13 5000 13.500.00 -10.500.00
Page 8 019
Account Number. N46.023804 Rated [wallas
l}tt W011 SO t, TH ERN ttri LLC. Cio paperless U rDxA m eL " sO . At V iRm o R w eA W rT oo:m C . O 20 M 07 M UNCATIONS
N F I DAENTEA L
GCNY_GeA_00046032
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008856
EFTA_00156641
EFTA01289004

Deutsche Bank Ordisov Ram Pnnle Weahn Atragenmt
Pdanet$ CedrateG,O‘p
P.O. Box 1776, Baltimore, MD 21203
Statement Period: 12/01/2016 • 12/31/2016
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)
SQUARE INC CL A Security Identifier: SQ
Dividend Option: Cash CUSIP 852234103
11/19115 200.000 9.0000 1.800.00 13 6300 2 726 CO 926 00
TERRAFORM GLOBAL INC CL A Security Identifier: GLBL
Dividend Option. Cad) CUSIP 88I04M101
07/31115 400.000 14 6300 5.931 84 3.9500 1.580.00 -4,351.81 440 00 2784%
TWITTER INC COM Security Identifier: TW TR
Dividend Option: Cash CUSIP. 901841102
11/07113 1 500 000 26 0000 39,000.00 16.3000 24.450 00 .11,550.00
VIACOM INC NEW CL B Security Identifier: VIAB
Dividend Option: Cash CUSIP. 92553P201
06/10/15 5.000.000 67 7490 338.745 00 35.1000 175.500.00 ,163,215.00 4.000 00 2.27%
VOLKSWAGEN A G AO R ISPO N S) Security Identifier: VLKAY
Dividend Option: Cash CUSP. 928662303
04/13115 5.000.000 50 8610 251306.00 28.6850 143.125.00 .110.881.00 91.85 0.06%
WISDOM TREE 'NM INC COM Security Identifier: W ETF
Dividend Option: Cash CUSP 97717P104
03/31/15 15,000.000 21 6110 324,157.50 11.1400 167,100.00 -157.05750 1,800.00 2.87%
Total Common Stocks $88,136,661.92 $76,061,010.62 38,832,348.60 31,663,302.62
Preferred Stocks (Listed by expirarion dale)
GM AC CAP TR I GTD TR PFD SECS SER 2 CPN. Security Identifier: ALLY PRA
8.125% FRED ORTLY MAP/112/1512040 CALL CUSIP. 361860208
ANYTIME. 25 W130 DAYS BEGINS 02115/16
Dividend Option: Cash
02/22/12'.13 80,000.000 23.5350 1,882,773.60 25.4000 2 032.000 00 149,226.40 136,786.88 6.73%
Total Preferred Stocks $1,882,773.60 $2,032,000.00 $110,226.10 3136,78616
Total Equities 370,018,135.62 070,000,010.62 $8,98137S.00 $1,820,081.50
Page 9 of 19
Account Number:NO.023804 e k Rated tacelleni
09 7 3 80CS ORAB SOUTHERN FI D Go r p W aper r le i s A s e 7 D v A x 7 L . Ir : B y s A Y u R m e a R r e A S r T a E v D a C 2 O 0 M 0 M 7 UNOCATIONS
SDNY_GM_00346033
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008857
EFTA 00156642
EFTA01289005

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cod Cod Bads 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 CUSIR 9771718851
60,000 00 of these shares are in your margin account
12/11113 60.000.000 49 4350 2.966.098.50 49.5400 2.972.400.00 6.301.50 58.834.20 1.97%
Total Exchange-Traded Products $2,966,098.50 $2,972,400.00 $6,301.50 $58,834.20
Unrealized Accrued Estimated
Cost Basis Market Value Geld loss Interest Maud Income
Total Portfolio Holdings $105,566,258.26 $117,069,956.26 $9,543,608.00 $250,768.77 $3,121,344.91
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 ('IRC") (incorporating
amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered snoncovered." 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 alter 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 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.
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 rued
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 information.
Unrealized gains and losses are not reported for securities for which cost basis or market value is not available.
g The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the
security. Factors may change over time and are obtained from sources we believe to be reliable.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering fern or transfening agent and Pershing makes no representation as to the accuracy of this information.
Page 10 of 19
ttz.„
Account Number. N46923804 Rated excelleril
ORAN Rpll SOL THERA FID G AE o p N ape T rle I ss A L rD E x v Ae e Ls r O y u A v rRt « r a . R Ae L rT a E D C 2 O 0 M 07 M UMCATIONS
SDNY_GM_00046034
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008858
EFTA_00156643
EFTA01289006

O
Deutsche Bank .0•11. PI ma mapnent
P.O. Box 1776, Baltimore, MD 21203
Statement Period: 1210112016 - 12131/2016
Schedule of Realized Gains and Losses Current Period
Date Date Realized
Description Disposed Acquired Designation Disposition Method I Trasadion Quantity Proceeds Wank Gold Loss
Long Term
LLOYDS TS8 BK PLC EU 12/16116 12/04113 Noncovered" Fast In First Out I REDEMPTION 1,500,000.000 1.500.000 00 1,589,194.49 -89,194.49
EDIUM TERM NOTES 'SIN/ XS071773 Original Cost Basis: 1,527,500.00
5822 9.875% 12116121 REG DTD
Security Identifier G4515PP48
WASHINGTON MIT MTG S 12/23116 12/13/13 Noncovered" REPYM T OF PRIN 1,290,000.000 1,901 11 1,454.71 446 40
004402 M76 PASSTHRU CIF CL C- Original Cost Basis: 1,454.71
B-1 VAR RATE 6893% 07125133
Security Identifier: 939336S20
Total Long Term 1,01,901.11 1,590,11020 -88,748.09
Total Short and Long Term 1,601,901.11 1,510,649.21 418,748.09
• 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.110-34 3. the Emergency Economic Stabilization Act of 2008) and are. therefore, considered "noncovered.- under the new cost basis reporting rules. and marked or denoted as such.
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 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 reelable.
Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis
reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have available to you.
Page It of 19
°SAO ROLL A SO cc L o T u H n E t R N A u mber N4G-0 K 23 1 80 F 4 I D Go r p i a T pe r rle i s A s L R Dr b xA r . e a I Ln y Bu A Y [ r s R o tr c m Ra o . Ae . n s Tr i e n C s c O e C 2 O 0 M 07 M UNICATIONS •••••=,.':.**=.
SDNY_GM_00046035
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008859
EFTA_00 156644
EFTA01289007

Schedule of Realized Gains and Losses Current Period
(continued)
When you repel 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 requied 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.
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 firm and Pershing makes no representation as to the accuracy of this bformation.
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-Ict disposition method. The disposition method is the method *Nth you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your account's selected tax lot method will be used
to detemine 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.
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 products disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are
not sent for purchases into money market mutual funds processed on the sweep platform.
The U.S. will adopt a shortened settlement fimeframe beginning with trade date September 5, 2017, for equities, corporate and municipal bonds. and unit investment trusts. Moving from a Tr3 to a T+2 settlement
cycle will provide faster access to sale proceeds, but it also means that funds will be due on purchase transactions earlier. This may be a good time to consider e-delivery of your account documents-including
trade confirmations, account statements and more. Ask your advisor about how you can set up e-delivery.
Page 12 of 19
Account Number; N4G•023804 e t c Italia excellent
OAS Rent SOUTHERN FI D G r o i p S ape r rl r e i s A s Dr tw xA i e n U y nM y tm e . a Re r A L rT S E O D , C 2 O '0 M 07 M UNICATIONS Lum •••••••••••••• .0c
SDNY_GM_00O46O36
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008860
EFrA_00 156645
EFTA01289008

Deutsche Bank Gnaw,. Mn, Prvwm swahn .14.arnan
Pere., CodrageGrod)
P.O. Box 1776, Baltimore, MD 21203
Statement Period: 12/01/2016 • 12/31/2016
Activity Summary (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 Bought 0.00 000 0 00 0.00 -24.758.406.00 -21.758.10600
Securities Sold 0.00 0 00 0 00 3,921,433 T6 0.00 3,921,433 76
Securities Deposited 0.00 0 00 0 00 5.185.557 00 0.00 5.185.557 00
Total Securities $0.00 $0.00 $0.00 $9,106,990.76 -$24,758,406.00 415,651,115.24
Dividends and Interest $311,998.62 $0.00 $311,998.62 $3,824,510.64 -$270,898.59 $3,553,612.05
Distributions $1,500,000.00 $0.00 91,500,000.00 $9,597,711.30 $0.00 $9,597,711.30
Fees $0.00 -$2.00 -$2.00 $0.00 -$430.00 -$430.00
Taxes Withheld $0.00 $0.00 $0.00 $0.00 45,558.07 -$5,556.07
Cash
Withdrawals 0.00 000 000 0.00 -11,891,59192 -11.891,59192
Deposits 0.00 000 0 00 8,613.530 99 0 00 8.613.530 99
Total Cash $0.00 $0.00 $0.00 $8,613,530.99 411,891,591.92 43,278,060.93
Totals $1,811,998.62 -32.00 $1,811,996.82 $31,142,743.89 ,838,928,684.58 -85,784,140.89
Transactions by Type of Activity
Proust/
Settlement
Date Activity Type Description Quantity Price Accrued Interest Mc« Dartemq
Dividends and Interest
12115116 BOND INTEREST RECEIVED 2169000 GENERAL ELEC CO GTD FXD.TO.FLTG RT 09,38000 US0
369604BI/1 NON-CUMULATIVE PERPETUAL PREFERRED 000%
12/03/65 REG DTD 12103115 CLB RD 11130 PD 12/15/16
12116(16 FOREIGN BOND INTEREST 1500000 LLOYDS TSB 8K PLC EURO ISSUE MEDIUM TERN 118,125 00 USO
GISI5F448 NOTES ISING X93717 735822 9 875% 12/16121 REG DTD
12/16/11 CIO RD 12/15 PD 12/16/16
12122(16 CASH DIVIDEND RECEIVED 97525 SHRS GENERAL N TRS CO COM RD 12107 PO 37.059 50 BSC,
GM 12122116
12127/16 FOREIGN BOND INTEREST 1903000 LLOYDS BANKING GROUP PLC FXD RATE RESET 35.881 25 USO
539439AG4 AD DL TIER 1 SC-CS ISINIUS539139AG42 7.500% 04/27/88
WE DID 04107111 CIO RD 12112 PD 12/27/16
Tåge 13 of 19
Account Num her. N4G-023804 Go paperless !Laud faalibera
0"13 RO11 SOU THERN CiLNLC. FIDENTIAL rD (v xA e eL r L y n a V u s N R . A e S T t a E c D s C 2 O 0 M 07 M UNICATIONS
SDNY GM 00046037
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY:0008861
EFTA 00156646
EFTA01289009

Transactions by Type of Activity (continued)
Process/
Settlement
Date Activity Type Description Quantity Price Acaved Interest Monet Currency
Dividendsand Interest (continued)
12127116 BOND INTEREST RECEIVED 1290000 WASHINGTON MUT MTG SECS CORP 2001.RA2 3.136 98 6S0
939336520 VG PAW'.I t CTF CL C.8-1 VAR RATE 6.693% 07/25/33
BIE OTD 0610110/ RD 11130 PD 12125/16
12/29/16 CASH DIVIDEND RECEIVED 8100 SH RS GILEAD SCIENCES INC RD 12115 PD 12129116 3,807.00 USD
GILD
12/30116 MONEY MARKET FUND DEUTSCHE GOVT CASH 4.771.69 USD
INCOME RECEIVED
233993682
12/30/16 CASH DIVIDEND RECEIVED 60000 SH RS WISDOM TREE TR APAR HEDGED EQUITY FD 29,731 20 USD
OXJ RD 12/28 PD 12/30116
Total Dividends and Interest - U.S. DOLLARS 0.00 311,998.62
Distributions
12/16116 SECURITY REDEEMED LLOYDS TSB BK PLC El. RO ISSUE MEDIUM TERM NOTES •1,500,000000 1.500.000.00 LSO
G1S15P1348 'SINN X93717735822 9.875% 12116121 REG CITD 12116711
CLB
Total Distributions - U.S. DOLLARS 0.00 1,500,000.00
Fees
12/01/16 FOREIGN CUSTODY FEE Fgn Safekeeping NOV 2016 CUSIP: G1S15P.P1.8 -2.00 USD
G/1515PP18
Total Fees • U.S. DOLLARS 0.00 1.00
Total Value of Transactions 0.00 1,811,996.62 USD
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Security Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment
Dividends
GENERAL ELECTRIC CO COM 1207/16 01/25/17 23,000.000 0.210000 Cash 5.520,00
VIACOM INC NEW CL B 12115/16 01/03/17 5,000.000 0.200000 Cash 1.000. 00
Total Cash Not Yet Received 16,520.00
Page 14 of 19
Account Number. N4G-023804 f.a cellenl
liftAT, 701 SOUTHERN ONLLC.FID G E o p N ape T rle I ss A L r O t x v A c e L r i B y u A V r R n o s R w e A ' s T r a ( n 0 e . C 2 O 0 M 0 M 7 UNICATSONS an".
SDNY_GM_0O346038
CONFIDENTIAL — PURSUANT TO FE D. R. CRIM. P. 6(e) DB-SDNY-0008862
EFTA 00156647
EFTA01289010

a
Deutsche Bank 0euict,e RIM Pow. Wealth Ma nar ent
MIntl% Clema ct fro.
P.O Box 1776, Baltimore, MD 21203
Statement Period: 1210112616 • 12131/2016
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
1 to 5 years 359,160 75 2% Percentages of bond market values are
6 to 10 years 315.120 00 2% I I rounded to the nearest whole percentage.
0
Over 10 years 18.558,519 05 96%
Total 19,233,099.80 100%
Bond Quality
Bond Duality Market Value % of Bond Market Value
A 2,450.482 50 13% - Percentages of bawd market values are
r
BAA 8,503,750 00 44% rounded to the nearest whole percentage.
BA/Lower 7.397.860.00 38% FT
Not Rated 881,007.30 5% 0
Total 19,233,09920 100%
Client Service Information
Your Client Advisor: ENJ Contact Information
DSFLA SI-OSFAA Telephone Number: (212)451-4433
280 PARK AYE - 3R0 FL
NEW YORK NY 10017
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 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
Page 15 of 19
Account Number. N46.023804 Rated La-oSlant
ORAN vet I SOUTHERN ttrj LLC. Go paperless E DA ve LB rt A V R s R , A S T i E nc D e C 2 O 0 M 07 M UNCATIONS
N F I DAENTIAL rxarturnaer
SDNY_GM_00046039
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008663
EFTA_00156648
EFTA01289011

Your Account Information
(continued)
Electronic Delivery
You have not selected any account communications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for more inform 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 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 witted from the Total
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to poMolo value. Cash shown in this statement may not necessarily
be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from venous pricing services thought to be reliable; however, pricing services are
sometimes unable to provide timely information. Mere pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will
be used in the release of the current month's statement. Prior statements vd not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an
order.
Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts nclude several categories of secuntes. Miscellaneous foreign assets
are priced via third party sources believed to be reliable.
For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be
listed. If the last price available for such securities is unchanged for a period of tine deemed appropriate for that asset, the current price will purge and N/A will be placed in the price field in the statement. The
pricing of listed options takes into account the last closing price, as well as the current bid and offer prices.
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
www.pershing.corrkbusiness_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 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 °Maned. 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 firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margn 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 horn customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents
use.
Page16 of 19
co LL
Account Num be; N46.0 AMA tacelloni
USAII 9011 SOUTHERN N 2380 F 1 ID Go r p a ape r rl i e A ss L r L Dx A Ae N ISn , A t V rAw S R . eA S rT I E A D M C 2 O 0 M 07 M UNICATIONS Posey NG awes. ANS. INIC
SDNY_GM_00046040
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008864
EFTA_00156649
EFTA01289012

Deutsche Bank Oeuiv,e Si,, Pon. Wealth Ma nar ent
MWRISIDevarG•pyp
P.O Box 1776, Baltimore, MD 21203
Statement Period: 12/01/2016 • 12/31/2016
Important Inform ation and Disclosures (continued)
Ratings
This statement may contain credit rating information obtained from Standard & Poors. Reproducing and distributing any information received from Standard & Poor's is not omitted 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 & 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 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 (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 suitabiity 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 suitabity of those transactions, where appicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at AI other inarines 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 ft 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: wthy.pershing.com/about/strength-and-stabifity.
• 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
• 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 bled
• 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 generaly more limited in arbitration than in court proceedings.
Page 17 of 19
Account Number N4G-023804 GO pape rless •A.• tocelkini .W: .:19.tr&-'1=1'...•=
OfIAN Vet FA TH ERA F ONLLC. FID-neTTAL M 77 O °7 M 7 V ° E 7 C ' 9 P ° C C O ° 2 M 0 N 0 I 7 LINICATIO•6 Saar. am, amararnieta. rerION. WIC
SDNY_GM_00046041
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0006865
EFEk_00156650
EFTA01289013

Important Information and Disclosures (continued)
Important Arbitration Disclosures (continued)
• 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 Ivies 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
clairns 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 Plata, Jersey City, New Jersey 07399;
Page IS of 19
ttz,
Account Number. N46.023804 14704 tscollona
vent .011 SOL THERA F I D G AE o p N ape T rle I ss A L ( rO v xA e eL r s y 6a A Y rtl e lr R a a r Ae L rT a E t D e C 2 O 0 M 07 N IUMULTIONS ••••••• mamas. IIMA MVOS. MC
SDNY_GM_00046042
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) OB-SDNY-0008866
EFIA_00 I 56651
EFTA01289014

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 LORE. 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. FFLANCIAL 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 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 WWW.PERSHING.COM.
STATEMENT. IF SO, DE 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 RETAINED 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 807(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 FI 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 F YOU DESIRE ADDITIONAL COPIES. WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW
MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A GOWNED 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 REQUIRED BY REGULATION T IS AVALABLE FOR YOUR BEST SCECUTTON: NOTWRHSTANDING 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 SECURfTES 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 (NSW). 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 TAX RETURNS. QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS ANO THEIR ABILITY TO PROVIDE
• DIVIDENDS. INTEREST MA OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSHING ALSO REGULARLY
AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION REVIEWS REPORTS FOR OUAUTY 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 INDEBTED TO PERSHING LLC (*PERSHING, FOR ANY AMOUNT. ALL SECURRES
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 PERSHNG 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 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 THE ABOVE TERMS AND CCNINTONS ARE UNACCEPTABLE TO YOU. PLEASE NOTRYPERS-INO IMMEDIATELY IN WRITING BY CERTFED MAIL TOONE PER9IING RATA JERSEY CITY. NJ 07399, ATTN' LEGAL DEPT
Page 19 of 19
CO
DRAB ROIL A SO cc U o T u H n t E N RA u m Der N4G-0 N 2380 F 4 I = Go I pa A perles s I " D . v A m e L r B y a A V R 7 m . R 7. A a s T a E n D te C Z C 0 R 0 A 7 M UNCATIONS "
SDNY_GM_00046043
CONFIDENTIAL - PURSUANT TO FED. R. CRAM. P. 6(e) DB-SDNY-0008867
EFTA_00156652
EFTA01289015

Deutsche Bank bvisrellana Prsair *Mahn mymiened
Materts t %Pao 4w.10
P.O Box 1776, Baltimore, MD 212O3
Account Number: N 4S-0 2 380 4
Statement Period: 11/01/2016 - 11/3012016
Portfolio at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value $111,001,111.87 6103,284,617.80
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 -3.278,060.93
het Securities InlOut of Account 0 00 5,185,557.00
ST THOMAS VI 00802
Adjusted Previous Account Value 111,008,11117 105,192,11317
Dividends, Merest and Other Income 511,200 26 3.570.559 68
Total Taxes Withheld 0 00 -5,558 07
Net Other Activity -2.00 -428 00
Net Chan e in Porlfolio 95 855 12 5.861.510 77
Your Client Advisor:
DANIEL SABBA nding Account Value $114,618.198.25 5114,618 198.25
Accrued Interest $373,350 44
Estill Wed Annual Incom e 53,257.781 82
Asset Summary Prior Year-End Last Period This Period % Allocation
Cash. Money Funds. and Bank Deposits 26.834.143.83 13,538,251 06 14,052,449.32 12% Pease renew your allocation
Fixed Income 25,438,998.86 20.833.394 55 20.631.639.11 18% per:ArcaI/ we, you' Client Advisor.
Equities 48,006,675.11 76.927,199 26 76.982.109 52 67%
Exchange-Traded Products 000 2,709.000 00 2.952,000 00 3%
Mutual Funds 3 004.800 00 0.00 0.00 0%
Account Total fPle Chart) 5103,204,617.80 $111,008,14117 81141111,198.25 100%
Page Iona
VP N v, C 50 O 10 03 N 64 CSF F 30 ID G E o S pa T per T les I s A L ( Dr k v x i A l e e t L r e m y O d A v L eR . a m a c R . e e A lb s rT r i i n l g E c i 0 e C 2 O 0 M 07 M UNCATKINS reratr="="=
SDNY_GM_00046044
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008868
EFTA_00156653
EFTA01289016

Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short. Tenn Gain/Loss 000 3.039 76 3.204.840.14
Long.Term Gain/Loss 443 83 1,235,836.18 4,126,730.15
Net GalnlLoss 443.83 1,338,875.91 7,331,570.29
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the 'ECB') and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The
interest wig be reported on your Forms 1099 anclior 1042 S. 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 Descried°. Amount Balance
Sweep Money Market Fund
DEUTSCHE GOVT CASH INSTL
Current Yield: 0.30% Activity Ending: 11130116
11101118 Opening Balance 13,340,751.06 13.340.751.06
11101116 Deposit MONEY RAD RIRCFASE 197.500.00 13.538,251.06
11102116 Withdrawal MONEY FUND REDEMPTION -2.00 13,538,249.06
11114(16 Deposit MONEY FUND FURCFASE 283,480.00 13.821,729 06
11116116 Deposit MONEY FUND FURCFASE 130.569.15 13,951,298.21
11115116 Deposit MONEY FUND FURCFASE 1.200.00 13.953.498.21
11128116 Deposit MONEY FUND PURCFASE 3,435.24 13,956,933.45
11130(16 Deposit INCOME REINVEST 3,410.92 13960,34437
11130(18 Closing Balance 813,960,344.37
Total All Money Market Funds $13,960,344.37
Income and Expense Summary
Current Period Yeattaate
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 284,680.00 0.00 1.587.362.69 0.00
Money Market 3,410.92 0.00 18,260.27 0.00
Other Dividends 81.250.00 0.00 1,003.467,49 0.00
Interest Income
Bond Interest 19.010.87 0.00 493.537 20 0.00
Other Interest 33,743.51 0.00 139.146 88 000
Page 2 of 18
Account Number. N4G-013804 Go paperless RSd Excellera
I,K,NM +Olt SOUTHERN ONLLC. FIDENTIAL Dr b x e Ae e Ls f O y u A V rRn e e Ra r Ae S Tr i C nc O e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00016046
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008869
EFTA_00 156654
EFTA01289017

PA
Deutsche Bank (*.Kee Rant Pnvieweainstragenen
Pdateris Coon., 6,o‘t)
P.O. Box 1776, Baltimore, MD 21203
Statement Period: 1110112116 -11130/2116
Income and Expense Summary (continued) Current Period Year-to-Date
Taxable Na Taxable Taxable Non Taxable
Expenses
Margin Interest 0.00 0.00 0.00 -161.I0
Withholding Taxes 0.00 0.00 4,558.07 0.00
Fees(Foreign Securities] 0.00 0.00 -300.00 0.00
Total Dividends, Interest, Income and Expenses $422,095.31 $0.00 $3,235,916.45 4161.10
Distributions
Alternative Investments 0.00 92.104.95 0.00 328.946.25
Total Distributions $0.00 $92,104.95 $0.00 $328,946.25
Portfolio Holdings
Account Activity Opening (Insley kaued Income 30-Day Conant
Opening Date Quantity Number Ending Balance Balance 1110311* Ibis Year Yield Yield
Cash, Money Funds, and Bank Deposits 12.00% of Portfolio
Cash Balance 197.500.00 92.104 95
Money Market
DEUTSCHE GOVT CASH INSTL
11/01116 13.960.344.370 NIA 11130116 13.340.751.06 13.960.311 37 0.00 18.280.27 0.30% 0.30%
Total Money Market $13,340,751.06 $13,960,344.37 $0.00 $18,260.27
Total Cash, Money Funds, and Bank Deposits $13,534251.06 $14,052,449.32 $0.00 $10,260.27
Adjusted Unrealized /sand Estimated Estimated
Date Acquired Citantity UM Cod Cod Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income 18.00% of Portfolio (In Maturity Dote Sequence)
‘Asset Backed Securities
WASHINGTON M UT M TG SECS CORP 2004-RA2 Security Identifier: 939336620
M TO PASSTEIRL, CIF CL C-B-I VAR RATE
8.669% 07125/33 WE DTD 06/01104 S1 P Rating D
Factor: 0.47767409 Effective Date:11101/16
Ca trent Face Value: 616,199.576
12113113 '.3.12 1,290,000.000 76.5190 471,507.34 84.8890 523,085.66 51,578.32 3,31048
Page 3 of 18
PC10036ICSFI0 'I mom; MOLL A S c O c U o T u H nt E N R u / mber: N40.0L23W804. Go paperless ..s ..., D M Ev B o er A d y R V ex o c R n e A l l s e T i n n E t c D , e C 2 O O M 07 M UNICATIONS 7:7"0-7=.'0..?...,"""t:
FI D rWriA 1:411 rxALentmer
SDNY_GM_00046046
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008870
EFTA_00156655
EFTA01289018

Portfolio Holdings (continued)
Adjusted Uarealked Accrued Estimated Estimated
Date As;LIred Quantity Unit Cosl Cost Basis Market Prke Markel Value Gale/ Loss Interest Annual Income Yield
Fixed Income (continued)
'Asset Backed Snaffles (continued)
WASHINGTON MUT NTG SECS CORP 2004•RA2 (continued)
Original Cosl Basis: 3638,906.71
Total Asset Backed Securities 5471,507.34 $523,06518 551,578.32 $3,310.58 $0.00
1,290,000.000
Total Current Face Value : 616,199.578
Corporate Bonds
EARTHUNK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC8
CUSP FROM 270321AB8 8.875% 05/15119 WE
DTD 05117111 CALLABLE 12/30118
10123112 351100 000 102 3200 359,141.45 102.3750 359,33625 194.80 1,297.97 31,151.25 8.66%
Original Cosl Bait $362,407.50
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: GIS15PP4I
TERM NOTES ISM. XS0717735822
9.875% 12/18/21 REG 070 12116111 Moody Rating Baal S
& P Rating BOB
12104113 '.3.12 1,500.000.000 1051890 1,589.832.53 100.6030 1,509,045 00 -80,787 53 141,54L67 148.125 00 9.81%
Original Cord Bait $1,627,500.00
BARCLAYS BK PLC CONTINGENT CAP NT Security identifier: 08739FIIK0
ISKOUS36739FHK03 7.750% 04110/23 B/E
DTD 04110113 CALLABLE 04110118 SB P Rating BB'
04103/13 'AM 300,000 000 100 0000 300.000.00 103.5000 310,500.00 10,500 00 3,229.11 23,250.00 7.48%
Original Cost Basis. 5300.000 00
JPY ORGAN CHASE & CO DEP MIS REPSTG Security Identifier: 46625HHAl
1/1016 PFD SER I FIXED TO FLIG RT BO
7.900% 04129149 WE DID 04/23/08 Moody Rating BAA3 S
B P Rating BBB-
06115111 '.3.12 2,500,001.000 107 5000 2,687.500 00 102.1250 2,553.125.00 .134,375 00 16,458 34 197,500.00 7.73%
Original Cosl Basis: $2187,500.00
06115/11 '.3.12 2,500,000.000 107.0000 2,675,000.00 102.1250 2,553,125.00 ,121,875.00 16,458 33 197.500.00 7.73%
Original Cost Bait $2175100.00
Total Noncovered 5,000,000.000 5 382 SOO 00 5,108,250.00 -258,260.08 32,918.87 395,000.00
Total 5,000,000.000 $5,362,600.00 $5,106,250.00 -$256,250.00 $32,916.07 $395,000.00
BANK AM ER CORP PERP NON CON ULATIVE DEP Security identifier: 060505018
SHS FIXED TO FLOAT 8.125% 04/30/58 WE
DTD 04130108 CALLABLE 05115118 Moody Rating BA2 S & P
Rating BB'
01110111 '.3.12 2,000.000 000 102 7500 2155,000.00 101.8750 2,037,500 00 .17.500 00 6.770 83 162.500 00 7.97%
Original Cost Bait $2,055,000.00
Page 4 e118
Account Number:1440423804 RaiNdtsalbM
et!,036CCSF3, uewy ROLL SOUTHERN FI D G E o p N ape T rle I ss A Drx v Aa n Ur y t Mu V r s .d R . e A V rT i E so D r C 2 O '0 M 07 M UNCATIONS
SDNY_GM_00046047
CONFIDENTIAL — PURSUANT TO FED. R CRINA. P. 6(e) DB-SDNY-0008871
EFTA_00156656
EFTA01289019

Deutsche Bank 0ruicev Ram Fn.!. Weahn Mira"
Penns Costar Gto..p
P.O. Box 1776, Baltimore, MD 21203
Statement Period:11/01/2016 • 11/30/2016
Portfolio Holdings (continued)
Adjusted Unrealized !called 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)
SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: 842400FU2
6.250% 01/17/62 8/E OTD 01/17/12
CALLABLE 02/01122 i3 100.000 Moody Rating BARI St P
Rating BBB•
01130112 3,000,000.000 99 8530 2.995.581 13 111.0000 3.330.000.00 334.418.82 61.979,12 187.500.00 5.63%
Original Cost Baas: 52192,564.97
GENERAL ELEC CO GTD FXD•TO•FLTG RT Security Identifier: 389601B114
KON-CUMULATIVE PERPETUAL PREFERRED
4.000% 12(03/65 REG DTD 12/03/15 Moody Rating A3 St
P Rating A
12103115' 2.469.000.000 88 0930 2.175.016 17 101.2500 2,499,862.50 324.846 33 45.265 00 98.760.00 3.95%
OriginM Cost Bats: $2.175,016.17
5LLOYOS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439A64
AD DL TIER 1 SECS !SIAS L 6539439AG42
1.500% 04122/88 B/E DTD 04/07/I! S 8 P Rating BB-
Please Provide' 1,903,000.000 MA Please Provide 102.0000 1.911,060 00 MA 21,976.88 142.725.00 1.35%
Original Cost Basis: Please Provide
CITIGROUP INC FXD RT SR NT PERP DEP RECPT Security Identifier: 17296726
5.950% 08115/88 8/E OTD 08/12/15
CALLABLE 08/15120 0 100.000 Moody Rating BA2 St P
Rating BB!
08/06/15 3,000,000.000 100.0000 3,000,006 00 100.5000 3.015,000 00 11,994 00 52,062.50 178 500 00 5.92%
Original Cost Basis: S3.000,006.00
Total Corporate Bonds $17,837,077.26 120,108,553.75 1330,016.47 1370,039.86 11,367,511.25
19,623,000.000
Total Fixed Income $18,308,504.62 120,631,639.41 1381,994.79 1373,350.41 11,367,511.25
20,813,000.000
Page 5018
Account Num ber. N4G-023804 Go paperless Plated tacelbni
(very 'Year Since 2007
SO U THERN LLC. rOxAeLnBuArRm ReArT ED COMMUNCATOIS
SDNY_GM_00016048
ON FIDESMAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008872
EFTA_00 156657
EFTA01289020

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Vane Gold Loss Anoual Income Yield
Equities 67.00% of Portfolio
Common Stocks
M OBILEYE NV AM STELVEEN ORD SHS Security Wenner: M BLY
ISORNL0010831061 CUSP. N51488117
Dividend Option. Cash
08101/14 600.000 250000 20.000.00 37.2300 29.781.00 9.784.00
ADVERUM BIOTECHN OLOGIES INC Security Identifier: AIM
COM CUSP 007730108
Dividend Option Cash
10,000.00 of these shares are in your margin account
04120/15 10,000.000 39.8610 398,606.00 2.8500 28,500 00 .370,106 00
AKORN INC COM Security Identifier: AKRX
Dividend Option: Cash CUSP: 009728108
06/10/15 5.000.000 46.8410 234,206.00 21.2200 106,100 00 .128,106 00
AUBABA GROUP BLDG LTD SPONSORED ADS Security Identifier: BABA
ISININS01609W1027 CUSP: 01609W102
Dividend Option: Cash
06110115 5,000.000 88.9500 444,749.00 94.0200 470,100.00 25.351 00
ALUANZ SE SPO NS ADR REPSTG 1/10 SUS Security identifier: AZSEY
Dividend Option: Cash CUSP. 018,505101
04/13/15 5,000.000 18.0110 90,058.00 15.8650 79,325.00 -10.731.00 3.059.77 3.85%
APOLLO GLOBAL MGM T LLC CL A MS Scarily idenWier: APO
Dividend Option: Cash CUSP: 037612308
03129/11 '.13 263,157.000 19.0000 1,999.983 00 192800 5,088,403.82 68,120 82 328,946.25 6.49%
APPLE INC COM Security Identifier: AAPL
Dividend Option: Cash CUSP. 037833100
250.00100 of these shares are in your margin accounl
10/28/13 1 14.000.000 75.5800 1,058,120.50 110.5200 1,547,280.22 489,159.72 31,920.00 2.06%
09105/14 124.180.000 98 9500 12.287,615.97 110.5200 13,724,373.56 1,436,757.59 283.130.40 2.06%
09105/14 7 7,200.000 98 9500 712,440.29 110.5200 795.743.80 83.303.51 16116.00 2.06%
09105114 s 18.620.000 98 9500 1,842,449.74 110.5200 2,057.882.61 215,432.87 42,453.60 2.06%
01111116 250,000.000 99 0000 24,750,006 00 110.5200 27,629,999.81 2,879,993.81 570,000.00 2.06%
Total Covered 114,000.000 40,650,632.50 45,755,280.00 6,101,617.50 913,920.00
Total 114,000.000 S40,660 3230 316,755,280.00 56,111,817.50 1913,920.00
MAO PHARMACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash CUSP 040334100
02114112'.17 7.535.000 15 2090 114.597.10 13.4800 101.571 80 -13,025.80
01124113 'A 9.000.000 19 6000 176.400.00 13.4800 121.320 00 -55,080.00
Page 6 of 18
co LL
Account Number. N46.023804 listed Excelleril
041,0364("F,:: OftAt, ROIL SOUTHERN NF ID Go r p a ape r rl i e A ss L D ( r v xA e eL r s B y tu A Y rR e n R a a r Ae S Tr i n E e D 2007 0CATI0NS .r-r..,44 —.•••••44mrom
SDN Y_GM_0004 6049
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0006873
EFIA_00 156658
EFTA01289021

Deutsche Bank
P.O Box 1776, Baltimore, MD 21203
Statement Period: 11/01/2016 - 11/30/2016
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Cleanllly UM Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
ARIA() PHARM ACEUTICALSINC (continued)
total Noncovered 18,535.000 290,997.40 222,891.80 411,105.60
Total 18,535.000 $290,997.0 $222,891.80 -$1,105.80 $0.00
ASCENA RETAIL GROUP INC CON Security Identifier: ASNA
Dividend Option: Cash CUSP: 043510101
01/11/01 ta 70,500 060 212770 1.500.000 00 6 0400 425,820.00 -1,074,18000
BASF SE SPONSADR Security Identifier: BASFY
ISMO U S0552625057 CUSP: 055262505
Dividend Oplien: Cash
04113115 5.000 000 101.6110 508,056.00 85.6900 428,450.00 -79,808.00 12,163.55 2.83%
BANK OF NEW YORK M ELLON CORP COM Security Identifier: BK
Dividend Option: Cash CUSP 064058100
06/25114 250,000.000 38.3060 9.076.406 00 47.4200 11.855,000.00 2,778.594 00 190 000 00 1.60%
BIOGEN IDEC INC CON Security Identifier: BIIB
Dividend Option: Cash CUSP: 09062X103
02114112 **I3 2,095.000 119.5490 250.454 95 294.0700 616,076.65 365.621.70
CENTENE CORP DEL CON Seaulty Identifier: CNC
Dividend Ohl's»: Cash CUSP: 151358101
09108114 15,550.000 63 6450 989,679 75 57.6300 896,146.50 -93,53325
DISH NETWORK CORP CL A Security Identifier: DISH
Dividend Option: Cash CUSP. 25470M109
06110115 5,000.000 72 9960 164.978 00 57.4500 287,250.00 -77,728.00
FACE800K INC CL A Security Identifier: FB
Dividend Option: Cash CUSP: 30303M102
05117112 MI 17,500.060 38 0000 665.000.00 118.4200 2,072,350.00 1,407,350.00
FOUNDATION M EDICINE INC CON Security Identifier: FM I
Dividend Option: Ceti CUSP 350465100
01/13114 25.000 000 27 5070 687,663 50 20.5500 513,750.00 -173.913.50
08105114 24E30.000 23 2530 577,373.02 20.5500 510,256.50 -87,116.52
pe987 of 18
Account Number: N4G-023804 rless Rated tmellm•
()BAN RCM SOL THERA F I D G U o p S ap I e TIAL D E rx v A e eL r sD y t A V uRN n R i e . A W rT E e D e, C O 0 M 07 M ' UNICATIONS
SDNY_GM_00046050
CONFIDENTIAL — PURSUANT TO FED. R CRINA. P. 6(e) OB-SDNY-0008874
EFTA30156659
EFTA01289022

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Dale ired Quaint Usk Cod Cost Bads Nadel Price Merkel Valve Gall Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
FOUNDATION II EDWIN! INC CON (continued)
Total Covered 49,830.000 1,265,030.52 1,024,008.50 -241,030.02
Total 49,830.000 $1,215,031.52 $1,024,006.50 -$241,030.02 $1.00
GENERAL ELECTRIC CO COM Semidry Identifier: GE
Dividend Option: Cash CUSP. 369604103
04123/13 '.I$ 23,000 000 21.5700 496.109.08 30.7600 707,480.00 211.370 92 21,160.00 2.99%
GENERAL M TM CO COM Security Identifier: GM
Dividend Option: Cash CUSP 3704511100
11118110 ' 10.988.200 36.4010 399.978.16 34.5300 379,422 56 -20,555.60 16,702.06 4.40%
12109/10' 86.536.800 36.8160 3,185.96922 34.5300 2,988,115.69 -197.853.53 131,535.94 4.40%
Total Noncovered 97,525.000 3,585,947.38 3,367,536.26 -218,409.13 148,238.00
Total 97,525.000 $3,585,947.38 $3,367,538.25 -$218,409.13 9148,238.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02/05114 5,000.000 79 2810 396.407.00 73.7000 388.500.00 -27.907 00 9.400.00 2.55%
03107/14 3,100.000 798120 246,797.00 73.7000 228,470.00 .18,327 00 5,828.00 2.55%
Total Covered 8,100.000 643 204 00 596,970.00 -16,231.00 15,220.00
Total $,100.000 9643,204.00 1596,970.00 -$46,234.00 915,228.00
GLAXOSM 'MUNE PLC SPONS ADR Security Identifier: GSK
Dividend Option Cash CUSP: 37733W105
06/10/15 5.000.000 43 0010 215.006.00 37.7900 188.950 00 -26.05600 10,335.20 5.46%
GLOBAL PARTNER ACQUISITION CORP Security Identifier: GPACLI
UNIT 1 COM & 1 WT EKP CUSP: 37954%204
Dividend Option: Cash
07130/15 ' 2,000.000 10.0000 20.000.00 9.8900 19.180.00 .220.00
GODADO Y INC CI. A Security Identifier: GDDY
Dividend Option: Cash CUSP 380237107
04101115 700.000 20 0000 14,000.00 35.3400 14.738.00 10.738 00
MATCH GROUP INC CON Security Identifier: N TCH
Dividend Option: Cash CUSP: 57615R106
11116115 200.000 12 0000 2,400.00 17.9800 3.596.00 1,196 00
SANGAN 0 BIOSCIENCES INC CON Security Identifier: SGM 0
Dividend Option: Cash CUSP 800677106
05128113 '.13 50,000 000 8 4440 422,214.00 3.2000 160,000.00 -262,214 00
SANTANDER CONSUMER USA HLOGS INC COM Security Identifier: SC
Dividend Option: Cash CUSP. 80283M 101
01123/14 1,000.000 24.0000 24.000.00 13.7800 13,180.00 -10,220.00
Pap 8 of 18
Account Number: N4G423804 Rated Lawn* rigi
ORAN MOIL SOUTHERN K1F I D G AE o p N ape T r-le I s A s L E rDx v Ae e L n i Or t u A V rR o N R w eA ' S rT i E nc D e C 2 O 0 M 07 M UNICATIONS v--.0.c --ma. •••••
SDNY_GM_00046051
CONFIDENTIAL - PURSUANT TO FED. R CRINA. P. 6(e) OB-SDNY-0008875
EFIA_00156660
EFTA01289023

Deutsche Bank °nosey Rant Pnnie *Math uptagenen
Mantis Coon., 6,0.4)
P.O. Box 1776, Baltimore, MD 21203
Statement Period: 11/01/2016 • 11130/2016
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Dale Acquired Quantity thin Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
SQUARE INC CL A Security Identifier: 5Q
Dividend Option: Cat CUSIP. 852234103
11119115 200.000 9.0000 1,800.00 12.9400 2.588.00 788.00
TERRAFORM GLOBAL INC CL A Security Identifier: GLBL
Dividend Option. Cash CUSIP 88104M101
07131115 400.000 it 6300 5.931.84 3.8000 1520.00 .4.411.84 440 00 2894%
TWITTER INC CON Security Identifier:1W TR
Dividend Option: Cash CUSP. 901841102
11/07113 1,500.000 26 0000 39,000 00 18.4900 27.735 00 •11,26500
VIACOM INC NEW CL B Security 'dentine,: NAB
Dividend Option: Cash CGSIP 92553P201
06110115 5.000.000 67.7490 338.745 00 37.4800 187.400 00 .151.345.00 4 000 00 2.13%
VOLKSWAGEN A G AD R ISPONS) Security Identifier: VLKAY
Dividend Option: Cash CUSIP. 928682303
04113115 5.000.000 50.8610 254.306.00 27.3300 131.650 00 •117.65600 91 85 0.06%
WISDOM TREE 'NM INC COM Security Identifier: WETF
Dividend Option: Cash CUSIP 97717P104
03131115 15,000.000 21.6110 324,157.50 11.0600 165,900 00 -158257.50 4 800 00 2.89%
Total Common Stocks 068,135,481.92 $74,910,109.52 $6,834,447.60 $1,682,362.62
Preferred Stocks (Listed by expiration date)
GM AC CAP TR I GTD TR PFD SECS SER 2 CPN. Security Identifier: ALLY PRA
8.125% FRED ORTLY MATT-0211512040 CALL CUSP 361860208
ANYTIME g 25 W/30 DAYS BEGINS 02/15/16
Dividend Option: Cash
02122112'.13 80,000.000 23.5350 1,882,773.60 25.1500 2,012,000 00 129,226.40 136 786 88 6.79%
Total Preferred Stocks $1,882,773.60 02,012,000.00 $129,226.40 $136,786.88
Total Equities $70,016,435.52 $71,982,109.52 $6,963,674.00 81,819,169.50
Pays 9 of 18
teri
Account Number. N46.023804
E.C100364CSFIOM OKA*, "on SOUTHERN F I ID G -E o p a ape / r 1 les A s L E Dr R x av Ae tee Ln dn B t u A Y t r a Rn C e Ra e n l eA le S rT i E v D a C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046052
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008876
EFTA_0015666 I
EFTA01289024

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Oate Acquired Quantity Unit Cost Cost Bads Market Price Markel Value Gold Loss Annual Income Yield
Exchange-Traded Products 3.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY FD Sanity !denttier: DXJ
Dividend Option: Cash; Capital Gains Option: Cash CUSP: 97717W851
60,000.00 of these shares are in your margin account
12111/13 80.000.000 49 4350 2.966.098.50 49.2000 2,952.000 00 -14.098.50 52,840.80 1.79%
Total Exchange-Traded Products $2,966,098.50 $2,952,000.00 -$14,098.50 852,840.80
Unrealized Estimated
Cost Basis Market Value Gale loss AInctcerrueesdt Anneal Income
Total Portfolio Holdings $105,345,567.96 $114,618,198.25 $7,331,510.29 4313,350.44 3,257,781.82
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 ('IRC") (incorporating
amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered lioncovered," under the new cost basis reporting rules, and marked or denoted as suck
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 alter 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.
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 teed
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 intonation is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
Unrealized gains and losses are not reported for securities for which cost basis or market value is not evadable.
The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the
security. Factors may change over time and are obtained from sources we believe to be reliable.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering fern or transfening agent and Pershing makes no representation as to the accuracy of this intonation.
Page 10 of 18
teci
liktAl1 Ron A S c O c L o T u H n E t N RA u mber N46.02380 F 4 I Go paperless L R E rCx v a Ae e t L e r r Ot y d u A V t r a Rt s r m Ra . eA a U r l T e n r s D to C 2 O 0 M 07 M UNICATIONS .1C.L=4...trter..=•trs=
SDNY_GI14_00046053
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008877
EFTA_0015 6662
EFTA01289025

PA Deutsche Bank
Oruisev Ram Pon. Wean Marnan
Mans Canna
P.O. Box 1776, Baltimore, MD 21203
Statement Period:11/01/2016 • 11/30/2016
Schedule of Realized Gains and Losses Current Period
Date Date Realized
Description Disposed Acquired Designation Disposition Method/ Transaction Quantity Proceeds Cod Bads Gain! Loss
Long Term
WASFIAGTOK NUT LNG S 11123116 12/13113 Noncovered" REPYIA T OF ERIN 1,290,000.000 1,890.16 1,446.33 443.83
004•RA2 M TG PASSTHRU CTF CL Original Cod Basis: 1.446.33
8.1 VAR RATE 6169% 07125133
Security Identifier. 939336520
Total Long Tern 1,890.16 1,446.33 443.63
Total Short and Long Term 1,890.18 1,446.33 443.83
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generally nct 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 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 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:
• Stxk 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 fried payment schedule for welch 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. Retum of capital information and cost basis information, as it
relates to corporate actions, has been obtained from sources we believe to be reiable.
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-B or online displays you may have available to you.
Wien 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 we your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shal 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.
Page 11 of 18
teti
Account Number 646.023804 Itnacl excellent,
MAX .40I SOLTHERA F I Go paperless L Dr (v xA e c r Ui y aM r Y n e . aR ar eA S rT i E nc D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046054
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008878
EFrA_00156663
EFTA01289026

Schedule of Realized Gains and Losses Current Period
(continued)
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 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 perfotmed 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 firm 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 account's existing tax-lot disposition method. The disposition method is the method wt ich 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 wit be used
to detemine 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.
Messages
Pease note the faiowng information for Pershing's 2016 IRS Fenn 1099 (8, DIV, INT, OID and MSC y Your form 1099 will be delivered as early as possible, beginning January 31, 2017. By February 15, you will
be mailed either your 1099 form on special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the
securities that are pending final reporting. and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 15, 2017.
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. Pursuant to SEC Rule 10b-10(b)(1) confirmations are
not sent for purchases into money market mutual funds processed on the sweep platform.
Activity Sum mary
(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 Tear-to-Date
Securities
Securities Bought 0 00 0 00 0 00 0.00 -24.758,406 00 •24,758,405.00
Securities Sold 0 00 0 00 0 00 3,921,433.76 0 00 3,921,433.76
Securities Deposited 0 00 0 00 0 00 5,185,557.00 0 00 5,185,557.00
Total Securities 10.00 $0.00 $0.00 $9,106,990.76 .$24,758,406.00 -$15,651,415.24
Dividends and Interest $422,095.31 $0.00 $422,095.31 $3,512,512.02 .$270,898.59 $3,241,613.43
Distributions $92,104.95 $0.00 $92,104.95 $8,097,711.30 WOO $8,097,711.30
Fees $0.00 -$2.00 -$2.00 WOO -1428.00 -1428.00
Taxes Withheld 10.00 $0.00 $0.00 $0.00 -$5,558.07 -$5,558.07
Cash
Withdrawals 0.00 0.00 0 00 0.40 .11,891.591.92 .11.891.591.92
Deposits 0.00 0 00 0 00 6.613.530.99 0.00 6.613.530.99
Total Cash $0.00 $0.00 $0.00 $8,613,530.99 .$11,891,591.92 -$3,271,060.93
Totals $514,200.26 -$2.00 $514,118.26 $29,330,745.07 -936,926,882.56 -$7,596,137.51
Page 12 of 18
Account Number: N4G4123804 et) Naked Camollmi
UBA ROLE SOUTHERN F I D Go r p E ap r er r le i s A s D E rx v Ac e L r i B y tu A Y rRn e a Ra r Ae s rT a E n D e. C 2 O 0 M 07 M UNICATIONS
SDNY_GM_0004605.5
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008879
EFTA_00 156664
EFTA01289027

a
Deutsche Bank Oruisre Ram Pr.. Wean Paptarnmt
Pdaeats teem.,4wLP
P.O. Box 1776, Baltimore, MD 21203
Statement Period:11/01/2016 • 11/30/2016
Transactions by Type of Activity
Process/
Seillement
Date Activit Dew. ion Quart Price Accrued Interest Amara Carre
Diviclendsand Interest
11110(16 CASH DIVIDEND RECEIVED 164000 SHRS APPLE INC COM RD 11107 PD 11 /10 /16 93.480 00 USO
AAPL
11110116 CASH DIVIDEND RECEIVED 250000 SHRS APPLE INC COM RD 11107 PD 11110116 142.500 00 USO
AAPL
11110116 CASH DIVIDEND RECEIVED 250000 SHRS BANK OF NEW YORK MELLON CORP COM 47,500 00 USO
BK P:0 11101 PO 11110116
11115116 CASH DIVIDEND RECEIVED BANK AMER CORP PERP NON COMULATIVE DEP SHS 81,250 00 USO
060505DT8 FIXED TO FLOAT 8,125% 04/30/58 WE RD 11/14 PD
11/15/16 OIV PAID AT 40 625 2000000
11115116 BONO INTEREST RECEIVED 351000 EARTHLINK INC GTO SR NT FULLY EXCHANGED 15.575 63 USO
27032 tAC6 CU SIP FROM 270321A88 8175% 05115119 B/E DTD
05/17/11 CLB RD 11114 PD 11/15/16
11115116 BONO INTEREST RECEIVED 80000 SHRSGMAC CAP TR I GTD TR PFD SECS SER 2 CFN• 33,743 52 USD
ALLY PM 8.125% FRED ORRY MATY.02/1512040 CALL ANYTIME
Q25 W130 DAYS BEGINS 02115116 RD 11/14 PD 11/15/16
11123116 CASH DIVIDEND RECEIVED 15000 SHRS WISDOM TREE IINTS INC COM RD 11/09 FO 1.200.00 USO
WETF 11/23/16
11125116 BONO INTEREST RECEIVED 1290000 WASHINGTON MUT MTG SECS CORP 2004-RA2 3,435 24 USO
939336520 MTG PASSTHRU CTF CL C-B-1 VAR RATE 6.669% 07125133
WE DTO 06101104 RD 10131 PD 11125116
11130116 MONEY MARKET PAD DEUTSCHE GOVT CASH 3.41012 USO
INCOME RECEIVED
233993682
Total Dividends and Interest • U.S. DOLLARS 0.00 422,095.31
Distributions
11130116 PARTNERSHIP DISTRIBUTION 263157 SHRS APOLLO GLOBAL MGMT LLC CL A SHIS RD 92.104 95 USO
APO 11/21 PD 11/30/16
Total Distributions • U.S. DOLLARS 0.00 92,104.95
Page 13 of 18
Account Number. N40-023804 Rated [mannr a
min0 ROI I SOL THERA ONLLC. FID G E o pa S pe M rles A s L r ( 0 v xA e cL r iS y uA V rRn s sR . e A S rT i E nc D e C 2 O 0 M 07 M UNCA TOG
SDNY GM 00046056
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008880
EFTA_00 156665
EFTA01289028

Transactions by Type of Activity (continued)
Process/
Settlement
Date Activity Type Description Quantity Price Accrued Interest Mount Currency
Fees
11101116 FOREIGN CUSTODY FEE Fun Safekeeping OCT 2016 CLSIP 64615P-P4-8 -200 LSD
G4S15PP48
Total Fees • U.S. DOLLARS 0.00 -2.00
Total Value of Transactions 0.00 514,196.26 USD
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Severity Record Date Payable Date Quantity Held Rate Dividend Option Mont of Payment
Interest
GENERAL ELEC CO GTD PAD-TO-FLTG RT 11130/16 12/15116 2.469.000 000 0 020000 Cash 49 380 00
NON-CUMULATIVE
Total Cash Not Yet Received 149,360.00
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value n
1 to 5 years 359,336.25 2% [ I Percentages of bond market values are
6 to 10 years 1.819.545.00 9% rounded to the nearest whole percentage.
ri
Over 10 years 18,452,758.16 89%
Total 20,631,630A1 100%
Bond Quality
Bond Quality Market Value %ot hod Market Vain
A 2 499 862 50 12% • Percentages of bond market values are
BAA 9 945 295 00 48% • rounded to the nearest vtole percentage.
BA1Lower 7 827 145 66 38% ID
•
hot Rated 359 336 25 2%
Total 20,631,639.41 100%
Page 14 of 18
Account Number. N46-023804 Itapemd tacelbrdi
0.1^•0 "OIL SOUTHERN elCeLs F I ID G -5 o p 1 ap \ e M rless A L Dr t x v Ae n Ls y Ba A v tRr « N R . eA L rT a E i D r C 2 O '0 M 07 M UNICATIONS
SDNY GM 00046057
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY:0008881
EFTA_00156666
EFTA01289029

a
Deutsche Bank (Misr< Rana Pnwe wean ,.4•41,v.
manes Codrage6,o‘t)
P.O. Box 1776, Baltimore, MD 21203
Statement Period: 1110112016 • 11/30/2016
Called Bonds
Eligible Called Call Type Redemption
Call Date Security Description Quantity Duality Price of Call Proceeds
12/16/2016 LLOYDS TSB Bk PLC EURO ISSLEMEDILM 1.500.000 006 1.500 000 000 100 0000 Full 1.500.000 00
TERM NOTES ISINIX93717735822
9.875% 12116121 REG DTD 12116111
Client Service Information
Your Client Advisor: DAN
DANIEL SAHA
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
kaug 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 corn m unications, log in to your account or contact your Client Advisor for more information.
m portant Information and Disclosures
Pricing
This section includes the net market value of the securities n your account on a settlement date basis, including shod posrtkons, 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 *NW and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
The *Mg of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily
be available for investment due to unsettled transactions against your accoungs3 Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are
sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will
be used in the release of the current month's statement. Prior statements S not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an
Page15 of 18
ORM, von1 A SO cc U o T u H n E t R N N u m C be A r. O N4G -0 L 23 it 8 04 Go pa I p ' erless 4.1 a 1 i r , i. x . . . . m L ) .. B d , V . ? . „ , . • . • R . • . S . I u C M .. O . C . • C 2 O 0 M 07 M UNCATIONS ..W.t.tr....=.14 r. t
NJ F I D-ENTIAL
SDNY_GM_00046058
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008882
EFTA_00 156667
EFTA01289030

Important Information and Disclosures (continued)
Pricing (continued)
order.
Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets
are priced via third party sources believed to be reliable.
For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be
listed. If the last price available for such securities is unchanged for a period of tine deemed appropriate for that asset the current price win purge and N/A will be placed in the price field in the statement. The
pricing of listed options takes into account the last closing price, as well as the current bid and offer prices.
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
WVAV pershing.comibusiness_confinuity.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 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 intonation regarding this procedure is available upon written request to your introducing firm.
Proxy Vete
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also inctease 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 8 Pools. Reproducing and distributing any information received from Standard & Poors is not permitted without prior written
authorization from Standard & Poors. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard E. Poor's is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content. Standard & Poors makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sell securities; and do net address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Cash Not Yet Received
Assets shown here are not reflected in your account This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
Pap 16 of te
ORA.1t V011 A SO cc U o T u H n E t R N N u m S b N e M r: R C 4 L G L 4 K 23 1 80 F 4 I D Go r p T ape r rle i s A s R Dr L x v A a e e t Ls e r B y u d Ar V t nR w a a a R n e l A ' l r o S T r i C n d c D i e C Z O 0 M 07 M UNOTIONS
SDNY_GM_00046059
CONFIDENTIAL — PURSUANT TO FED. R CISIIVI. P. 6(e) OB-SDNY-0008883
EFrA_00 156668
EFTA01289031

Deutsche Bank GIVISI.V Mm POW.. h Ma rille-rent
P.O Box 1776, Baltimore, MD 21203
Statement Period: 11/01/2016 - 11/30/2016
Important Inform ation and Disclosures (continued)
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 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 Many 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 suitaMity of those transactions, where appicable; the rendering of investment advice, if any, to you ' or 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 state
• 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 hke 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 vnwcpershing.com/aboutistrengthand-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 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 Depanment, 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 Bed.
• 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 aMity 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, Si 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 hearing 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
Page IT of 18
MIAN NW A SO cc L o T u M n t E N RN u mber. O N4G K -0238 I 0 F 4 I D G A o p E ap N erl T es I s A L I D R v a A o t r e U y d M V [s . . a . . . . n M S e E in r D . c e C 2 O 0 M 07 M UNCATIONS ra'" — ne 4 at - e • n • a ••• r . .nonc
SOnlY_GM_00046060
CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) O13-SDNY-00O8884
EFIA_00156669
EFTA01289032

Important Information and Disclosures (continued)
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied: (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC, Legal Department One Pershing Plaza, Jersey City, New Jersey 07399;
Page IS of 18
cr.) ri
Account Num be; N46.023804 Itatad tocellenti
oxnx ,4011 SOUTHERN F I D G A o P E aI N )er T les I s A L I D ( X v A e U L r B L y A L Y R t e N R a C r A S F T i E nc D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046061
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008885
EFTA_00I56670
EFTA01289033

Deutsche Bank 0vviu•V RIM vow, Wealth Ma mar eal
Ma'WS Clover Con
P.O Box 1776, Baltimore, MD 21203
Account Number: N4G-023804
Statement Period: 10/01/2016 - 10/3112016
Portfolio at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 8112,837,058.89 0103,784,617.80
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 0 00 4278,060.93
k el Securities InlOut of Account 0 00 5,185,557.00
ST THOMAS VI 00802
Adjusted Previous Account Value 112,837,058.99 105,92,11317
Dividends. Interest and Other Income 351.548 57 3.055,359 42
Total Taxes Withheld 0 00 -5,558 07
Net Other Activity -27.00 .426 00
Your Client Advisor: Net Chan e in Portfolio 819 566 31 5.765.655 65
DANIEL SABBA nd:ng Account Value 51 1 4,0 0 8 1 4 4 8 7 $1 1 4 0 0 8 1 4 4 87
Accrued Interest $358.974 27
Estimated Annual Incom e 53,280 084 02
Asset Summary
Prior Year-End Lad Period This Period % Allocation
Cash. Money Funds. and Bank Deposits 26.834.143.83 9.982.985.49 13,538,251.06 12% 1111111111111 Please review your allocation
Fixed Income 25.438.998.86 24.050.234.03 20.833.394.55 18% persulicalty %rah your Client Mateo.
Equities 48.006.675.11 76.229,237 47 76.927.499 26 68%
Exchange-Traded Products 0 00 000 2.709.000 00 2%
Mutual Funds 3 004.800 00 2.574.600.00 0.00 0%
Account Total (Pie Chart) $103,284,617.80 8112,837,0509 8114,008,144.87 100%
Pate 1 of 18
Rated Exalt. SL
U!MB V t
C
50
O
10199
N
9CSF3
F
0019
I D cgi <ffisAL
L Drx y Ae o Lg n B . uA V rRn . L Ra . eA L rT a E c D e C 2 O '0 M 07 M UNICA TIOMS ream tat r.rrRwn sec
SDNY_GM_00046062
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008886
EFTA_00156671
EFTA01289034

Summary of Gains and Losses
Realized
This Period Year-to-Date Uorealized
Short-Term GainlLoss 0.00 3,039.76 3,975,392.59
Long-Term Gam/Loss 69.463 82 1,235,392.35 3,238,610.37
Net OaIn/Loss 69,483.82 1,238,432.11 7,214,032.96
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the 'ECB') and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The
interest will be reported on your Forms 1099 andior 1042 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting
arrangements, begin to charge negative interest rates on additional foreign currency balances.
Money Market Fund Detail
Date Activity Type Description Amount Belau*
Sweep Money Market Fund
DEUTSCHE GOVT CASH INSTL
Current Yield: 0.29% Activity Ending: 10131116
10/01/16 Opening Balance 9,979,985A9 1979.985.49
10/03116 Deposit MONEY FUND PURCHASE 3,000.00 9,982,985.49
10/04/16 Deposit MONEY FUND PURCHASE 998.00 9,983,983.49
10112/16 Deposit MONEY FUND PURCHASE 11,625.00 9,995,608.49
10/14116 Depot/ MONEY FUND PURCHASE 2,307.63 9,997,916.12
10118/16 Deposit MONEY FUND PURCHASE 127,500.00 10,125,116.12
10121/16 Deposit MONEY FUND PURCHASE 3,203,741.00 13,329,160.12
10126/16 Deposit MONEY FUND PURCHASE 8,666.95 13,337,827.07
10131/16 De °it INCOME REINVEST 2,923.99 13,340.751.06
10/31116 Closing Balance 113,310,761.06
Total All Money Market Funds 113,310,761.06
Income and Expense Summary
Current Period Year-to-Dale
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 8,62213 0.00 1,302,682.69 0.00
Money Market 2.923.99 0.00 14,819.35 0.00
Other Dividends 197,500.00 0.00 922,217.49 0.00
Interest Income
Bond Interest 142,501.95 0.00 474,526.33 090
Other Interest 0.00 0.00 105,403.38 0.00
Page 2 of 18
ttz"
VBA RC)Ill A SO cc U o T u H n E t R N N u mber. N46.023804 DGor pwaperrleisAs L L D m A n u L t . e y B d A V [ R n a o R . t . A i S o T i n E nc D , e C 2 O 0 M 07 M UNCATIONS ..1°4- 1311.-2.11,-rettt"0.4.N-.-et.
F I xesit INC!
SDNY_GM_00046063
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008887
EFTA_00156672
EFTA01289035

a
Deutsche Bank Oeuicev RIM ...or Wean. Manrnalt
hOteets Conn.. 4,04,
P.O. Box 1776, Baltimore, MD 21203
Statement Period: 11/0112116 -101311211B
Income and Expense Summary (continued) Current Period Year-t-oDate
Taxable Noe Taxable Taxable Non Taxable
Expenses
Margin Interest 0.00 0.00 0.00 •161.10
Withholding Taxes 0.00 0.00 4,558.07 0.00
Fees(Fomign Securities] -25.00 0.00 -300.00 0.00
Total Dividends, Interest, Income and Expenses 1351,523.57 10.00 12,813,821.15 -1151.10
DIstrIbudons
Alternabve Investin ens 0.00 0.00 0.00 236.841.30
Total Distributions 10.00 10.00 10.00 1236,641.30
Portfolio Holdings
Account Adivity Opening Gong Aimed Income 36-Day Current
Opening Date Quantity Number Ending Balance Balance lame Ws Year Yield Yield
Cash, Money Funds, and Bank Deposits 12.00% of Portfolio
Cash Balance 0.00 197400.00
Margin Balance 3,000.00 0.00
Money Market
DEUTSCHE GOVT CASH IMSTL
10101116 13.340.751.060 NM 10131116 9.979.985.49 13.340.751.06 0.00 14,849.35 0.31% 0.29%
Total Money Market 19,979,965.49 113,340,751.06 $0.00 $14,149.35
Total Cash, Money Funds, and Bank Deposits $9,982,985.49 $13,538,251.06 $0.00 114,849.35
Page 3018
eib
Account Number: H4G423804 Go paperless Rated tocellerigi
MIA0 /lel k SOUTHERN F I DrErriAL D L r x v A e Le r Mn y Au V Rr . . nR . eA S rT i E nc D e C 2 O 0 N 0 I 7 N IUMCATIONS
SDNY_GM_00046064
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008888
EFTA_00156673
EFTA01289036

Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quaid limit Out On Basis Market Price Markel Value Gain, Loss Interest Annual Income Yield
Fixed Income 18.00% of Portfolio (In Maiuriry Dee Sequence)
‘Asset Backed Securities
WASHINGTON NUT M TG SECS CORP 2004-RA2 Security Identifier: 939336520
MTG PASSTHRU CTFCL C-B-1 VAR RATE
6.536% 07125133 WE DTD 06/0110/ S 8 P Rating 0
Factor:0.47913933 Effective Date:10103/16
Current Face Value: 616.089 736
12/13/13 'AM 1,290,000.000 76.5190 472,953.67 84.8690 524,56838 51.612 91 3.366.65
Original Cosi Basis: 5838.906.71
Total Asset Backed Securities $472,953.67 $524,556.58 $51,612.91 $3,368.85 $0.00
1,290,000.000
Total Current Face Value : 618,089.736
Corporate Bonds
EARTHUNK INC GM SR NT FULLY EXCHANGED Security Identifier: 270321AC$
CUSP FROM 210321AB8 8.875% 05/15119 WE
DID 05117111 CALLABLE 11/15/16 S8 P Raring CCC+
10123112 ',3,12 351,000.000 102.3420 359.219.52 102.5000 359,775.00 555 48 14.364 19 31,151.25 6.65%
Original Cod Bali $382,407.50
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: GISOPP48
TERM NOTES ISN8 X93717735622
9.875% 12/18721 REG DID 12/16111 Moody Rating Baal S
P Rating BBB
12104/13 'AM 1,500.000000 106.0680 1.591.020.52 101.0540 1.515.810 00 75.210.52 129.609 38 148,125.00 927%
0 nginal Cosi Basis $1.627.500.00
BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 06739FHK0
ISA LS067390-K03 7.750% 04/10123 B/E
DTD 04110113 CALLABLE 04110118 S S P Rating B8.6
04103/13 '.12.13 300.000 000 100 0000 300000.00 105.0000 315.000 00 15.000 00 1.35825 23 250 00 7.36%
Original Cosi Basis: 5300,000.00
PM ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 46625HHA1
1/10TH Ff0 SERI FIXED TO FLTG RT BO
7.900% 04/29/49 NE DID 01/23/08 Moody Rating BAA3 S
P Rating BB&
06115/11 %VII 2,500,000.000 107 .5000 2,687,500.00 103.0750 2.576.875 00 410,62500 0.00 197,500.00 7.66%
Original Cosl Basic 52.687.500.00
08115/11 '.3.12 2,500,000.000 107 0000 2,675,000.00 103.0750 2.576.875 00 -98,125.00 0.00 197,500.00 7.66%
Original Cosi Basic 52.675000.00
Total Noncove red 5,000,000.000 5 362 500.00 5,153,750.00 -208,750.00 0.00 395,000.00
Total 5,000,000.000 $5,362,500.00 $5,153,750.00 -$208,750.00 $0.00 $395,000.00
Pager of 18
MIAN 'IOU A SO cc U o T u H n E t N RN u mber: N4642380 F 4 I D Go r p i a T per r le i s A s I Dr li n x s Ae c te Us . d , uM V t r a 'n, a c Ra e n Ae l k S rT i w n E a o D t s C 2 O 0 M 07 M UNCATIONS rr==. • . • . •• . • . •n " o•A 41==
SDNY_GM_00046085
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008889
EFIA_00156674
EFTA01289037

Deutsche Bank Oruisov Rant PnnieWeahnParagenan
Pdaeals Coon., Gnat)
P.O. Box 1776, Baltimore, MD 21203
Statement Period: 10/01/2016 .10/31/2016
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)
BANK AMER CORP PERP NON COM ULATIVE DEP Security Identifier: 0605050 78
SHS FIXED TO FLOAT 8 125% 04130/58 B/E
DID 04130108 CALLABLE 05115/18 Moody Rating BA2 S8 P
Rating BB4
01110111 4.3.12 2,000,000.000 102.7500 2.055.000 00 102.6750 2,057,500.00 2.500.00 74.930.56 162 500.00 7.89%
Original Cost Bat 52.055,00000
SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: 842400FU2
6.250% 01117/62 81E DID 01/17/12
CALLABLE 02/01122 Q 100.000 Moody Rating MAI S8 P
Raling BBB-
01130112 ..3.12 3,000,000.000 99 8510 2.995.520 95 111.8750 3,356,250.00 360,729.05 46,875.00 187 500 00 5.58%
Original Cost Bans: $2.992,564.97
GENERAL ELK CO GTD FXD-70•FLTG RT Security Identifier: 361160413N 4
NON-CUMULATIVE PERPETUAL PREFERRED
4.000% 12103/65 REG DID 12103/15 Moody Rating A3 St
P Rating A
12103115' 2.469.000000 88 0930 2.175.016 17 101 8130 2.513,76297 338,746.80 37,309.33 98,760.00 3.92%
Original Cost Basis 52.175.016 17
5LLOYOS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4
ADDL TIER 1 SECS ISIN 9 U S539439AGS2
7.500% 04127188 B/E DID 04/07/14 SS P Rating BB-
Please Provide • 1,903,000.000 NIA Please Provide 103.0000 1,960090 00 NIA 13,479.58 142,725.00 7.28%
Original Cost Basis: Please Provide
CITIGROUP INC FXD RT SR NT PERP DEP RECPT Security Identifier: 17296725
5.950% 08/15/88 8/E DTD 08/12/15
CALLABLE 08/15120 0 100.000 Moody Rating BA2 S 8 P
Rating BRI
08/06115 3,000,000.000 100.0000 3.000,006 00 102 5630 3,076090 00 76084 00 37083.33 172000.00 6.80%
Page 5018
l}tt.. +01 t A SO cc U o T u H n E t R N N u m ber. O N4G-0 NL 2 L 3 C 8 . 0 F 4 ID G E o p N ape T rle I ss A L r ' D , x t A r eL y uB Ar Y t n a R e c s a R o r eA l S l rT • i E nc D e C 2 O 0 M 07 M UNCATIONS =tit 7..1."—..M. a."0.=--- "Ittr.
somccoL0004soes
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008890
EFTA_00 156675
EFTA01289038

Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Limit Cod Cod Bads Market Price Markel Value Gadd Loss Interest Mnual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
CITIGROUP INC FXD RT SR NT PERP DEP RECPT (continued)
Original Cost Bads: 53,000,006.00
Total Corporate Bonds $17,838,283.16 $20,308,827.97 $510,454.81 $355,807.62 11,357,511.25
19,523,000.000
Total Fixed Income 018,311,236.03 $20,533,394.55 $562,067.72 $358,974.27 $1,367,511.25
20,813,000.000
Unrealized Estimated Estimated
Date sired Duaatit Unit Cod Cod Bads Market Price Markel Value Glint Loss Mnual Income Yield
Equities 68.00% of Portfolio
Common Stocks
OBILEYE NV AM STELvEEN ORD SHS Security !dentine!: M BLY
1S/4K10010831061 CUS1P 101488117
Dividend Option: Cash
08101/14 800.000 25.0000 20.000.00 37.1800 29,744 00 9.744.00
ADVERLIN BIOTECHNOLOGIES INC Security Identifier: ADVM
COM CUSIP 00773L108
Dividend Option. Cash
10.000 00 of these shares are in your margin account
04120115 10.000.000 39 8610 398,606.00 2.9500 29.500 00 -369,106 00
AKORN INC CON Security Identifier: AKRX
Dividend Option. Cash CUSP: 009728106
06110/15 5.000.000 4684t0 234,206.00 23.9500 119,750 00 .114,456 00
AUBABA GROUP HLDG LTD SPONSORED ADS Security Identifier: BABA
Mkt L5011309W1027 CUSP 01609W102
Dividend Option Cash
06110115 5.000.000 88 9500 444.749.00 101.6900 508.450.00 63,701 00
ALUANZ SE SPONSADR REPSTG 1110 SHS Security Identifier: AZSEY
Dividend Option: Cash CUSP. 018805101
04113115 5.000.000 18.0110 90.056.00 15.5300 77,650.00 •12,406.00 3.059.77 3.94%
APOLLO GLOBAL M GM T LLC CL A SHS Security Identifier: APO
Dividend Option: Cash CUSP 037612306
03129/11 I." 263.157.000 19.0000 4.999.983.00 18.2800 4.810.509.96 •189.47304 328.946 25 6.63%
APPLE INC COM Security Identifier: AAPL
Dividend Option. Cash CUSP: 037833100
250.000.00 of these shares are in your margin account
101281131 14.000.000 75.5800 1.058.120.50 113.5400 1.589.560.23 531,439.73 31,920.00 2.00%
Page 6 of 18
Account Num ber. N4G-023804 Rsd excellent
I :HAN ROI SOUTH ERA LLC. FID Go E pa s pe m rles A s L Dr b x e Ae l L n s O y u ArRn RaAe S Tr i E vo D te C 2 O 0 M 07 M UNCA TOO/4S
SDNY_GM_00046067
CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) OB-SDNY-0008891
EFTA_00 156676
EFTA01289039

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
Statement Period:10101/2016 - 10/31/2016
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Dale Acquired %entity Vail Ozel Cost Basis Market Price Markel Value Gain/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
APPLE INC COM (continued)
09/05114 124,180.000 98 9500 12,287,615.97 113.5100 14.099.397 16 1,811.781 19 283.130.40 2.00%
09105114 3 7.200.000 98 9500 712.110.29 113.5100 817.487 80 105.017 51 16.416.00 2.00%
09105114 3 18,620.000 98 9500 1,842,149.71 113.5100 2.114.115 02 271.665 28 12.453.60 2.00%
01/11/16 250.000.000 99 0000 24.750.006.00 113.5400 28.384.999 79 3.631.993 79 570.000.00 2.00%
Total Covered 414,000.000 40 850 632 60 47,005,580.00 6,354,927.50 943,920.00
Total 414,000.000 $40,650,632.50 947,005,580.00 $6,354,927.50 1943,920.00
ARIAD PHARMACEUTICALS INC Security Identifier: ARIA
Dividend °plain: Cash CUSP 01033A100
02111112'.I3 7.535.000 15 2090 114.597.40 8.7200 65.705.20 -48.892 20
01124113',33 9.000.000 19 6000 178,100.00 8.7200 78,180.00 47,920.00
Total Noncovered 16,535.000 290,997.10 114,185.20 -146,812.20
Total 18,535.000 1290,997.40 1144,185.20 4141,112.20 $6.00
ASCENA RETAIL GROUP INC CON Security Identifier: ASNA
Dividend Option: Cash CUSP: 043516101
01116101 *.3 70.500 000 21 2770 1,500,000.00 4.8900 344,745.00 -1.155,25500
BASF SE SPONS ADR Security Identifier: CASEY
ISM U93552625051 CUSP. 055262505
Dividend Option: Cash
04113115 5.000.000 101 6110 508.056 00 88.1800 440.900.00 •67.15600 12,163.55 2.75%
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 43.2700 10,817,500.00 1,741.094 00 190,000.00 1.75%
BIOGEN IDEC INC COM Security Identifier: BIIB
Dividend Option. Cash CUSP 09062X103
02111112 '33 2,095.000 119.5490 250.154 95 280 1800 586,977.10 336.522 15
CENTENE CORP DEL CON Security Identifier: CNC
Dividend Option: Cash CUSP: 151358101
09105114 15,550.000 63.6450 989,679.75 62.4800 971.561.00 •18.115 75
Pape? 018
Account Num Der. 946.023801 D C A io p E ap N erle 1 ss l Ara, r-ty.•%=":«» '007 ::::="27.=t5.A.= sr=
MIAS Poll
F I
rDxAcL iBtAuRN ReArT ED COMMUNCATIONS
SONY GM 00046068
TH ERN en
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-S6NY:0008892
EFTA_00 156677
EFTA01289040

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date Ned Quiet Umit Cosi Cod Basis Market Price Markel Value Geld Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
DISH NETWORK CORP CL A Security Identifier: DISH
Dividend Option: Cash CUSP. 2541011109
06110/15 5.000.000 72 9960 364,978.00 58.5600 292.800.00 •72,178.00
FACEBOOK INC CL A Security Identifier: F13
Dividend Option: Cash CUSP: 3030311102
05117112 17,500.000 38 0000 665,000.00 130.9900 2,292,325.00 1,827,325.00
FOUNDATION MEDICINE INC COM Security Identifier: FM I
Dividend Option: Cash CUSP: 350465100
01113114 25,000.000 27.5070 687,663.50 22.7000 567,500.00 -120,183.50
08105114 21,830.000 23_2530 577,373.02 22.7000 563,641.00 43,732.02
Total Covered 49,830.000 1 285 038.52 1,131,141.00 ,133,695.52
Total 49,830.000 $1,215,031.52 $1,131,141.00 -$133,895.52 $0.00
GENERAL ELECTRIC CO COM Security Identifier: GE
Dividend Option: Cash CUSP: 369604103
04123113'.13 23.000.000 21.5700 496.109.08 29.1000 669.300.00 173.190 92 21,160.00 3.16%
GENERAL SIRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 37045V100
11118/10 10,988.200 36 4010 399.978.16 31 6000 317.227 13 -52.75103 16,702.06 4.81%
12109/10 ' 86,536.800 36 8160 3,185,969.22 31.6000 2,731,562.87 .451.106 35 131,535.94 4.81%
Total Noncovered 91,525.000 3 585 947.36 3,081,790.00 .504,157.3B 148,238.00
Total 97,525.000 63,585,941.36 $3,081,190.00 .$504,157.38 $148,238.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02105114 5.000 000 79 2810 396.407.00 73.6300 368,150.00 -28.257.00 9,400 00 2.55%
03107114 3.100 000 79 6120 216.797.00 73.6300 228.253 00 .18 511 00 5,828 00 2.55%
Total Covered 8,100.000 843 204 00 596,403.00 -18,801.00 15,221.00
Total 8,100.000 $643,204.00 $596,403.00 -818,801.00 $15,221.00
GLAXOSMITHKUNE PLC SPONS ADR Security Identifier: GSK
Dividend Option: Cash CUSP. 37733W105
06110115 5,000.000 43 0010 215,006.00 40.0100 200,050.00 14.956 00 10,335.20 5.16%
GLOBAL PARTNER ACQUISITION CORP Security Identifier: GPACU
UNIT 1 COM 81 WT EXP CUSP: 3795471204
Dividend Option: Cash
07130/15 ' 2,000.000 10 0000 20,000.00 10.0000 20.000 00 0 00
GO DADDY INC CL A Security Identifier: GDDY
Dividend Option: Cash CUSP. 380237107
04101115 700.000 20.0000 14,000.00 35.7900 25.053 00 11,053.00
Page 8 of 18
PTITITTIITTF, : I>R7.7 ROI I A SO cc U o T u H n E t R N N u mber: N4G423 c 8 • 04 D G r o i p \ a I p T erle I s A s L rD R E x v A S e e U A r sT y a A V [m Rr A w R o N e i A l S r e T A r E . 0 D 7 C 2 O 0 M 07 M UNICATIONS stritroaZ Isua "amte'r"=
SDNY_GM_00046069
IINN F I
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008893
EFTA_00 15 667 8
EFTA01289041

a
Deutsche Bank Oruicov Mn, Pon. Wean Maxernan
Mients CodnreGro.p
P.O. Box 1776, Baltimore, MD 21203
Statement Period: 10/01/2016 • 10/31/2016
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)
MATCH GROUP INC CON Security Identifier: M TCH
Dividend Option: Cub CUSP. 57665R106
11116115 200.000 12 0000 2,400.00 18.0600 3,612.00 1.11100
SANGAM 0 BIOSCIENCES INC COM Security Identifier: SGM 0
Dividend Option. Cash CUSIP 800677106
05428113 I." 50.000 000 8 4440 422.214 00 3.5500 177,500.00 ,241,714.00
SANTANDER CONSUM ER USA HLDGS INC COM Security Identifier: SC
Dividend Option. Cash CUS1P: 8028314101
01123114 1000.000 24 0000 24.000 00 12.2000 12,200.00 -11,800.00
SQUARE INC CL A Security Identifier: SQ
Dividend Option: Cash CU SIP 852234103
11119115 200.000 9.0000 1.800.00 11,2000 2.240.00 440.00
TERRAFORM GLOBAL INC CL A Security Identifier: GLBL
Dividend Option: Cash CUSP. 8810414101
07131115 400.000 14 8300 5.931.84 3 7500 1,500.00 -4,431.84 440.00 29.33%
TWITTER INC CON Security Identifier: TW TR
Dividend Option: Cash CUSP 901841102
11107113 1,500 000 26 0000 39,000 00 17.9500 26,925.00 -12,075 00
VIACOM INC NEW CL 8 Security Identifier: VIAB
Dividend Option: Cash CUSIP 92553P201
06110115 5,000 000 67.7490 331)15.00 37.5600 187,800.00 -150.945.00 1,000 00 2.12%
VOLKSWAGEN A G ADR (SPONSI Security Identifier: VLKAY
Dividend Option: Cash CUSIP-. 928662303
04113115 5.000.000 50 8610 254,306.00 29.7450 148,725.00 -105.581.00 91.85 0.06%
WISDOM TREE INVTS INC COM Security 'deadlier: WETF
Dividend Option. Cash CUSP 97717P104
03131115 15.000.000 216110 324.157 50 8.5800 128,700.00 .195.457.50 4.80000 3.72%
Total Common Stocks $88,135,661.92 874,885,099.26 66,149,437.34 81,882,382.62
Pap 9 of 18
Account Number: N40423804 Rated tocollordi
00A81201.1. SOUTHERN 0. F I D Gor pwaperrleisAs L I E D % v A e L C r O y a A V L R . i N A R . C A S T I a E w D s C 2 O 0 M 07 M UNCATIONS
N SDNY_GM_00046070
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008894
EFTA_00 156679
EFTA01289042

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Cate Acquired Ousetfty Wilt Cost Cod Basis Market Price Markel Value Gain, Loss Annual Income Yield
Equities (continued)
Preferred Rods (Listed by upkeep dale)
GM AC CAP TR I GTD TR PFD SECS SER 2 CPN Security 'dentition ALLY PRA
8.125% FRED ORTLY MATT-02/1512040 CALL CUSP. 361860208
ANYTIME Q 25 W130 DAYS BEGINS 02115/16
Dividend Option: Cash
02122112'.'7 80.000.000 23.5350 1,882,773.60 25.5300 2 042 400 00 159.628 40 162.50010 7.95%
Total Preferred Stooks $1 812 773.60 82,012,100.00 $159,626.40 $102,500.00
Total Equities 370,011435.52 876,927,199.26 16,909,063.74 $1,644,882.62
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cog Cod Basis Market Price Market Value Gait/ Loss Annual Income Yield
Exchange-Traded Products 2.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DXJ
Dividend Option: Cash; Capital Gins Option: Cash CUSP: 97717W851
60,000 00 of these shares are in your margin account
12111113 60,000.000 19.1350 2,966,098.50 15.1500 2,709 000.00 -257,098.50 52,840.80 1.95%
Total Exchange-Traded Products 82,966,098.50 82,709,000.00 -$257,098.50 352,140.10
Unrealized Mooed Estimated
Cog his Market Value Geld Loss liters Anneal Income
Total Portfolio Holdings 8104,831,021.91 8114,008,114.87 57,211,032.96 8358,971.27 83,280,081.02
Footnotes
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generaly not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (*IRC") (incorporating
amendments enacted by P.1.110-343. the Emergency Economic Stabilization Act of 2008) and are. therefore, considered snoncovered," 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 *Stich 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 (ORP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide a simple rued payment schedule for which a yield to maturity can be easty 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 hired
income security, and certain attributes, obtained from sources bekeved to be reliable. In the event, one or more of these attributes is changed, there may be a temporary Mcorrect 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 information.
Fage10 of 18
WOI I A SO cc U o T u H n E t R K N um Der O N4G-0 NL 2 I. 3 C 8 . 0 4 GO paperless • M R tn a e . t " e e ' d r V e a a x g c im e E l l 9 o D 0 rd 0 i . C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046071
FID An alTrii 14/ L
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008895
EFTA_00 156680
EFTA01289043

lril
Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
Statement Period: 10101/2016 - 10/31/2016
Portfolio Holdings (continued)
6 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 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.
Is 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
Date Date Realized
Description Disposed Acquired Designation Disposition Method I Trassaction Quantity Proceeds Cost Basis Gain! loss
Long Term
FRONTIER COMMUNICATI 10118116 07/06/15 Covered First In First Oul / SELL 3,000,000.000 3,190494.00 3,130,474.39 59 :1951
R NT 8.500% 04/15/20 8/E DTD
Original Cost Basis: 3,171,006.00
04112/10
Security Identifier 359068/11
WASHINGTON MUT MTG S 10124116 12113113 Noncovered..1 REPYMT OF PRIN 1,290,000.000 1,891.77 1,447.56 444.2t
004442 MTG PASSTHRU CTF CL C- Original Cost Basis 1.447.56
01 VAR RATE 6.536% 07/25133
Security Identifier 939336520
Total Long Terre 3,201,38 5.71 3,131,921.95 69,46302
Total Shod and Long Term 3,201,38 511 3,131,921.95 69,463.82
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generaNy nee 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.
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 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 yearn which the security is disposed.
Page 11 of 19
et:,
Account Number: NG-023804 Go paperless Rated taallena Ltr;.1..1.-11==.•.'—."%t.
liktAll 14011 SOL THERA FI D ENTIA E D (v X A e L C r B y II A t V L R . f N A M . C U L I a D c e C 2 O 00 M 7 M UNOTIONS
SDNY_GM_00046072
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008896
EFTA_00 I5668 I
EFTA01289044

Schedule of Realized Gains and Losses Current Period (continued)
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
• Options and any Debt Instruments that provide a simple Iced 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 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-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 reiance 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 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 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.
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 defauked to Fist In, Fest ON (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-B.
M essages
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. Pursuant to SEC Rule 10b-10(b)(1) confirmations are
not sent for purchases into money market mutual funds processed on the sweep platform.
Page 12 of 18
ct16 , LL
Account Number. N49.023804 Rated Iacono nri
90 6THERA NF I D G A o p E ap N erl T es I s A L D ( r v xA e eL r s O y a A Y rRt e r Ra .. eA L rT a E c D e C 2 O 0 M 07 M UNICATIONS •••••.,.•—••••••A wit •••
SDNY_GM_00046073
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008897
EFTA_00156682
EFTA01289045

PA Deutsche Bank (Micro Kn. Pon,, WeekniAinagenern
P.O. Box 1776, Baltimore, MD 21203
Statement Period: 10/0112016 • 10/31/2016
Activity Sum m a ry (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 000 000 0.00 0.00 -2058.406.00 -24,751.106.00
Securities Sold 3 203 744 00 000 3,203,744.00 3,921,133.76 0.00 3,921,133.76
Securities Deposted 000 0.00 0.00 5,185,557.00 0.00 5,185,557.00
Total Securities $3,203,744.00 $0.00 $3,203,141.00 $9,108,190.78 ,524,758,106.00 .$15,651,115.24
Dividends and Interest $351,548.57 $0.00 $351,518.57 $3,090,118.71 -$270,898.59 $2,819,518.12
Distributions $0.00 $0.00 $0.00 $8,005,606.35 $0.00 $8,005,606.35
Fees $0.00 •$27.00 -$27.00 $0.00 .$428.00 .$128.00
Taxes Withheld $0.00 $0.00 $0.00 $0.00 -$5,558.07 -$5,558.07
Cash
Withdrawals 0.00 0.00 0.00 0.00 .11 891 591 92 .11 891,591 92
Deposits 0.00 0.00 0 00 8,613,530.99 0 00 8.613.530 99
Total Cash $0.00 $0.00 $0.00 $8,813,530.99 .$11,891,591.92 •$3,275,080.93
Totals $3,555,292.57 -$27.00 $3,555,265.57 $28,816,544.81 .06,926,880.58 .$8,110,335.77
Transactions by Type of Activity
Process/ Trade/
Settlement Transaction
Date Date Activity Type Detription Quantity Price Accrued Interne Mont Comm
Securities Bought and Sold
10/2106 10/18/16 SOLD FRONTIER COMM UNICATIONS CORP SR NT 8.500% .3,000,000 000 106 6500 1250.00 3 203,744 00 L.S0
FTR36845I7 0/115/20 WE DID 01/12/10 YLD 6,312 TO MAT
Total Sea Niles Bought and Sold • U.S. DOLLARS 1.250.00 3,203,7/1.00
Dividends and Interest
10/03(16 CASH DIVIDEND RECEIVED 5000 SHRS VIACOM INC NEW CL B RD 09/21 PD 10/03/16 1.00000 LSO
VIAB
10/11/16 FOREIGN BOND INTEREST 300000 BARCLAYS 8K PLC CONTINGENT CAP NT 11.625 00 LSO
05739F-1K0 ISINIUS06739FHK03 7.750% 04110123 WE OTD 04/10/13
CLB RD 10107 PD 10/10/16
Page 13018
Account Number: 1440-023804 Gommle's Br.. excellent,
USAS ROLL SOUTHERN D L v A e L ry B . A V R s M .. U Sl D at e C 2 O 0 M 07 M UNCA TIONS
FI D riTriA r )Iar. ur NCI
SDNY_GM_00046074
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008898
EFTA_00 156683
EFTA01289046

Transactions by Type of Activity
(continued)
Process/ Tradel
Settlement Transaction
Date Date Activity Type Description Quantity Price Accrued Merest Maoist Currency
Dividends and Interest (continued)
10113116 FOREIGN SECURITY DIVIDEND 5000 SH RS GLAXOSMITHKLINE PLC PONS ADR RD 08/12 2532.63 USD
RECEIVED PD 10113116
GSK
10117116 BOND INTEREST RECEIVED 3000000 FRONTIER COMMUNICATIONS CORP SR NT 12750010 LSD
35906AAF 1 8.500% 04115120 B/E DTD 04/12/10 RD 10114 PD
10115116
10125116 CASH DIVIDEND RECEIVED 23000 SHRS GENERAL ELECTRIC CO COM RD 09/19 PO 5290.00 USD
GE 10125116
10125/16 BOND INTEREST RECEIVED 1290000 WASFINGTON MUT MTG SECS CORP 2004-RA2 3.376,95 USD
939336520 MTG PASSTI. RU CTF CL C-B-1 VAR RATE 6.536% 07/25/33
B/E DTD 06101104 RD 09130 PD 10125/16
10/31/16 MONEY MARKET FLND DEUTSCHE GOVT CASH 1.923.99 USD
INCOME RECEIVED
233993682
10/31/16 CASH DIVIDEND RECEIVED MORGAN CHASER CO DEP SFS REPSTG 1110TH PFD 197500 00 LSD
46625F HAI SER 17.900% 01/29/49 DIE RD 10/28 PD 10130/16 DIV
PAID AT 39.50 5000000
Total Dividends and Interest • U.S. DOLLARS 0.00 351,548.57
Fees
10103116 FOREIGN CUSTODY FEE Fgn Safekeeping SEP 2016 CUSP. G4515P-P4.8 -200 LSD
G4S15PP48
10/13/16 FEE ON FOREIGN DMDEND 5000 SH RS GLAXOSMITHKLINE PLC SP° ADR RO 08/12 -25.00 LSD
WITHHELD AT THE SOURCE PD 10113116
GSK
Total Fees U.S. DOLLARS 0.00 -17.00
Total Value of Transactions 4,250.00 3,555,265.57 USD
The price and quantity displayed may have been rounded.
Bond Maturity Schedule
Bond Maturity Market Valve % of Bond Markel Value
I to 5 years 359.775.00 2% Percentages of bond market values are
rounded to the nearest whole percentage.
6 to 10 years 1.830.810 00 9%
Over 10 years 18142.809 55 89%
Total 20,833,394.55 100%
Page 14 of 18
Account Number. N4G-023804 Rated excellent,
tilte.E1 MOI I SOUTHERN ONFID Ci E o pa T pe I r T less A L E Drx v Ae e Lr r Oa y Ai V sRt n r Ra i, Ae L Tr e E i D to C 2 O 0 M 07 M UNCATOONS
SDNY_GM_00046075
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008899
EFTA_00156684
EFTA01289047

Deutsche Bank Ocmin •e w.. Po...Wealth AIVIlle-witt
Yr•ets ranantsmo
P.O. Box 1776, Baltimore, MD 21203
Statement Period:10/01/2016 • 10/31/2016
Bond Quality
Bond Duality Market Value % of Bond Market Value
•
A 2,513,762.97 12% Percentages of bald market values are
BAA 10,025,810.00 48% - rounded to the nearest whole percentage.
BA/Lower 8,293,821.58 40%
Total 20,833,394.56 100%
Called Bonds
Eligible Called Call Type Redemption
Call Date Security Dewription Quantity Quantity Price of Call Proceeds
12;16/2016 LLOYDS TSB BK PLC ELRO ISSUE MEDIUM 1,500,000.000 1 500 000 000 100 0000 Full 1.500.000 00
TERM NO TES ISM% XS0717735822
9 875% 12/16/21 REG 070 12116111
Client Service Information
Your Client Advisor: DAN
DANIEL SABBA
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 ail Other Securities: FIRST IN FIRST OUT
Bond Amortization Elections:
Am orlize premium on tamable 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 comm imitations for electronic delivery. To register and turn off paper communications, log in to your account or contact your Client Advisor for more information.
&is Page15018
Account Number: N4G423804 GOpaperless Rated tacellenti
MIALI ROI SOL THERN FI D r iTriA I r D . x v A e e L r I n y S A Y u R e n R a s r A e S T r i E nc D e C 2 O '0 M 07 M UNICATIONS
SDNY_GM_00046076
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008900
EFTA_00156685
EFTA01289048

Important Information and Disclosures
Pricing
This section irciudes 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.
The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily
be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are
sometimes unable to provide timely information. Mere pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will
be used in the release of the current month's statement. Prior statements wit not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an
order.
Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets
are priced via third party sources believed to be reliable.
For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain thirthparty structured products, the last available pricing will be
listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset the current price wit purge and NA will be placed in the price field in the statement. The
pricing of listed options takes into account the last closing price, as well as the current bid and offer prices.
Estimated Annual Figures
The estimated annual income (EA!) 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
iwyw.pershing.cornibusiness_conbrtuity.htrril 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 confrmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction. incurred a charge. or received a credit. Transactions converted by agents (such as depositories) wit be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poors 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 & 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
Page 16 of 18
Account Num be; N4G-023804 Cio paperless M tv a e u ry d v ta « c . e l S lo in S c e 2007 -csi 3: =Z= =sr=
L THERA FO. NFIDAENTIAL DrxAeLsBtAuRrt RaeArT ED COMMUNICATIONS
SDN Y_GM_0004 6077
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008901
EFrA_00156686
EFTA01289049

Deutsche Bank Gni.,. 4. Ram ksale Wean vAragenmt
PO Box 1776. Bairn-nom, MD 21203
Statement Period: 10/01/2016 • 10/3112016
Important Inform ation and Disclosures (continued)
Ratings (continued)
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
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 eicluded. Please refer to your Path* 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 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 Oil 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 general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at 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 (SIPCI. Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC flings. For more detailed information please visit mwrpershingtorniabout/strength-and-stability.
• This statement will be deemed conclusive. You are advised to report any inaccuracy Of 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 reconfirmed in vetting to further protect your rights. including your rights under the Securities Investor
Protection Act.
• Your financial organization's cont in an 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 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 at 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.
Page 17 of 18
Account Number: N4G4123804
SOUTHERN FI D Go r p i a T per i le l s A s n DtwA o iLn n B r A u VRe m Re e rA S r T eErDa C 2 O 0 M 07 M UNICATIONS
SDN Y_GM_0004 6078
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0006902
EFrA_00156687
EFTA01289050

Important Information and Disclosures (continued)
Important Arbitration Disclosures (continued)
• 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 (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 US, Legal Department, One Pershing Plata, Jersey City, New Jersey 07399
Pap IS of 18
rei
OBAki ROLL A SO cc U o T u H n E t R N N u mber. N416.02380 F 4 l D G AE o p N ape T rle 1 ss A L R Dr [m xA a c t a L e oB y d u A y t r o R e tr c a Ra e r eA i l S e rT i n n O t c i : e . C 2 O 0 M 07 M UNICATIONS tr o...=. 05-.1.=-.---nt=
SDNY_GM_00046079
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008903
EFTA_00 156688
EFTA01289051

Deutsche Bank 0rmlyee Ran..mtle wall rimanair-wa
Mateets Covet C.o.
P.O Box 1776, Baltimore, MD 21203
Account Number: N4G-023804
Statement Period: 0910112016 -09/30/2016
Portfolio at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value $110,455,681.50 $103,284,617.80
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 -3.278,060.93
het Securities InfOut of Account 0 00 5,185,557.00
ST THOMAS VI 00802
Adjusted Previous Aco3unt Value 110,465,581.50 105,192,113.87
Dividends, Intemst and Other Income 135,040 62 2.701.810 85
Total Taxes Withheld 0 00 -5,551.07
Net Other Activity -2 00 -399.00
Your Client Advisor: Net Chan ie in Portfolio 2 246 136 87 1,916,089.34
DANIEL SABBA ncling Account Value $112,837:056.99 $112 837 056 95
Accrued Interest $567.616.30
Estim ated Annual Incom e $3.532.74710
Asset Summary
Prior Year-End Lad Period This Period % Allocation
lu SO Cash. Money Funds. and Bank Deposits 26,834,143.83 6,847,946.87 9.982,985 49 8.85% Please review your allocation
LSD Axed Income 20,242,233.86 20,321,496.69 20,215,720.93 17.94% perodcary wth you' Clem Advsor.
Ken-LSD Axed Income 5.196,765.00 3,786,678.75 3.804.513.10 3.37%
LSD Equities 47,972,851.11 76,868,347.19 76,195,181.47 67.53%
Aon.liS0 Equities 3.038.624.00 2.631.112.00 2.608.656.00 2.31%
Amount Total (Pie Chart) $103,284,617.10 1110,455,681.50 $112,837,056.99 100.00%
See the Asset Summary Disclosure and Footnotes seMen for important information regarding your Asset Summary.
Page 1 019
5009 8190CS F30024 R [v a e t r e y d V ta a ce n n Seinntei . 2'007
CONFIErEPRiil As L
DrxReUstMur.d ReArT ED COMMUNICATIONS
SDNY_GM_00046080
CONFIDENTIAL - PURSUANT TO FED. R CRI0A. P. 6(e) OB-SDNY-0008904
EFTA_001 56689
EFTA01289052

Asset Summary Disclosure and Footnotes
Al values are displayed in U.S. dollars based on interbank exchange rates as of 09/3012016. Exchange rates can vary.
Equities contains Equity Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short-Term Gam/Loss 0.00 3039 76 3 882.237.63
Lon •Term Gam/Loss 76.041 72 1,165.928 53 2,575,792.01
Net GalnlLoss 76,041.72 1,168,968.29 6,456,029.64
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the 'EGB') and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The
interest will be reported on your Forms 1099 and/or 1042 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rale setting
arrangements. begin to charge negative interest rates on additional foreign currency balances.
Money Market Fund Detail
Date Activity Type Description Amount Baba.
Sweep Money Market Fund
DEUTSCHE GOVT CASH INSTL
Current Yield. 0.31% Activity Ending: 09130/16
09/01116 Opening Balance 6.750.578.78 6.750.578.78
09/01116 Deposit MONEY FIND PURCFASE 97,368.09 6,847,946.87
09102116 Wdhdrawal MONEY FIND REDEMPTION -2.00 6,847,944.87
09/23116 Deposit MONEY RIND FtiRCFASE 3,000,000.00 9,847,944.87
09/26/18 Deposit MONEY RAD PURCFASE 87.809.42 9.935.754.29
09127116 Deposit MONEY RIND FURCFASE 2,769.78 9.938.524.07
09/28116 Deposit MONEY RIND FtiRCFASE 35,681 25 9,974,205.32
09/30116 Deposit MONEY RIND PURCFASE 3,807.00 9,978,012.32
09130/16 Deposit INCOME REINVEST 1.973.17 9.979.985 49
09130118 Closing Balance $9,979,985.49
Total All Money Market Funds $9,979,985.49
Page 2 of IT
URA,' .o,, A SO cc U o T u H n E t R N N u mber. ( N 5 4G - N 0 L 2 L 3 C 8 . 0 F 4 I D Go a pa r pe n rle A ss L ( D R r v xA a e e t L r e n y B d u A Y ta rR e N c a S e r eU l l S r e M i r n a O c e C 2 O 0 M 07 M UNICATIONS rivairr•=7====.7:=
SDNv_GM_00046081
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008905
EFTA_DO [56690
EFTA01289053

PA Deutsche Bank Oracre Ram PO.. Wean. Maniienalt
Pints Costae G..p
P.O. Box 1776, Baltimore, MD 21203
Statement Period:09/01/2016 • 0913012016
Income and Expense Summary
Current Period Year-lo-Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 91,616.42 0.00 1,294,060.06 0.00
Money Market 1.973.17 0.00 11,925.36 0.00
Other Dividends 182,987 49 0.00 724,717.49 000
Interest Income
Bond Interest .141.536.46 0.00 332,024.38 0.00
Other Interest 0.00 0.00 105,403.36 0.00
Expenses
Margin Interest 000 0.00 0.00 .161 10
Withholding Taxes 000 ODO 4,558.07 0.00
Fees(Fomign Securities' 0.00 0.00 -275.00 0.00
Total Dividends, Interest, Income and Expenses $135,040.62 $0.00 62,462,207.58 4181.10
Distributions
Alternative 'riven ents 0.00 0.00 0.00 236.841.30
Total Distributions 90.00 $0.00 10.00 $231,141.36
Portfolio Holdings
Account Activny Opening Closing Accrued Income 31•Day Current
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 9.00% of Portfolio
Cash Balance 97,366.09 0.00
M a rgin Balance 0.00 3.000.00
Money Market
DEUTSCHE GOVT CASH IBM
09101116 9 979 985 490 NIA 09130116 6 750 578 78 9.979.905.19 208.00 11,925.36 0.31% 0.31%
Total Money Market $6,750,578.78 $9,979,915.49 $208.00 611,926.36
Total Cash, Money Funds, and Bank Deposits $6,847,946.87 9,982,965.49 $208.00 311,926.36
Page 3 of 19
Account Number: H4G.023804 Go paperless Rated tnellordi
0009e190CSF,, ,:: VIIMI ROI i SOUTHERN Ki F I DrErriA D E rxA n aL v r y Ou A V rRt a r R n a ' eA S rT l E a D te C Z O 0 M 07 M UNCATIONS
SDPW_GM_00046082
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008906
EFTA_0015669 I
EFTA01289054

Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Oate Acquired Quantity Wilt Cost Cod Basis Market Price Market Valve Gain/ Loss Interest Annual Income Yield
Fixed Income 21.00% of Portfolio (In M minty Dee Sequence)
'Asset Backed Securities
WASHINGTON NUT M TG SECS CORP 2001.RA2 Security Identifier: 939338520
N TG PASSTH RI; CTF CL C-B•1 VAR RATE
5.344% 07/25/33 WE DID 06/01/04 St P Rating 0
Factor: 0.48060583 Effective Date:09101/16
Current Face Value: 619.981.521
12/13113 1,290,000.000 76.5190 474.401.23 84.8180 525,855 93 51.45470 2 669 36
Ongmal Cost Basin 5638.906.71
Total Asset Backed Securities $171,401.23 $526,055.93 $51,451.70 $2,669.36 $0.00
1,290,000.000
Total Current Face Value : 619,981.521
Corporate Bonds
EARTHUNK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC8
CUSP FROM 270321A98 8.875% 05/15/19 BIE
DTD 05117111 CALLABLE 10/30/16 S d P Rating CCU
10123112'.3.I2 351.000.000 102 3630 359.295.88 102.5000 359.775 00 479.12 11.681 72 31.151.25 8.65%
Onginal Cosl Basis: 5362.407.50
FRONTIER COMMUNICATIONS CORP Security Identifier: 35906AAH1
SR k T 6.500% 04/15/20 BIE
DTD 04112110 1ST CPA DTE 10/15/10 Moody Rating BA3 S
P Rating BB-
07106115 3.000.000.000 104 4130 3.132.399.12 108.1250 3.243.750.00 111.350.88 116,875.00 255.000.00 7.86%
Onginal Cost Basis $3.171.006.00
LLOYDS TSB BK PLC EURO ISSUE II EDIUM Security Identifier: G1S15PP40
TERM NOTESISAI X50717735822
9.875% 12/16/21 REG DTD 12/16111 Moody Rating Baal S
8 P Rating BBB
12/04113 '• 3.I2 1,500.000.000 106.1470 1,592,200.25 101.6690 1,525,035.00 .67,165.25 116,854.17 148,125.00 9.71%
Onginal Cost Basis: $1.617.500.00
BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 0673IFHKO
'SD til,S06739FF KO3 7.750% 04/10/23 BIE
DTD 04110/13 CALLABLE 04110/18 S B P Rating B134
04103113'•I2•'3 300.000.000 100 0000 300.000.00 104.7500 314,250 00 11.250.00 10.979 17 23.25010 7.39%
Original Cost Basis: $300,000.00
JPM ORGAN CHASES CO DEP SHSREPSTG Security Identifier: 46625HHA1
1110TH Ff0 SER 1 FIXED TO FLTG RT BD
7.900% 04/29/49 EVE DID 04/23/08 Moody Rating BAA3 S
P Rating BBB-
06115/11 ..3.I2 2,500,000.000 10/ 5000 2,687,500.00 102.7500 2,568,750.00 •118,75000 82.291 67 191,500.00 7.68%
Page 4 of 19
Account Number. N46-023804 Go paperless Rated excellent rt. ro rg e
V0A0 von SOUTHERN ONLLC. F IDE\MAL rD [v xA e eL r On y A t Y rR e w R a e r A S rT i E nc D e C 2 O O M 07 M UNICATKIHS ....ay=
SONY GM 00046083
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008907
EFTA_00 156692
EFTA01289055

a
Deutsche Bank ()micro Ram Ihmrir Weahn Maxrent
Mines Costae Goo,
P.O. Box 1776, Baltimore, MD 21203
Statement Period: 0910112016 • 09/30/2016
Portfolio Holdings (continued)
Masted Unrealized Accrued Estimated Estimated
Dale Acquired Quantity trill Cad Cod Bath Market Price Nadel Valve Gainlloss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (conDnued)
RN ORGAN CHASE & CO DEP SHS REPSTG (continued)
Original Cost Bass: $2,687,500.00
06115111 2,500,000.000 107.0000 2,675,000.00 102.7500 2,568,750 00 -106.25000 82,291.66 197 500 00 7.68%
Original Cost Basis: 12,675,000.00
Total Noncovered 5,000,000.000 5,362,500.00 6,137,600.00 -225,000.00 164,583.33 395,000.00
Total 5,000,000.000 36,362,500.00 35,137,500.00 -$225,000.00 3164,583.33 $395,000.00
BANK AMER CORP PERP NON COM ULATIVE DEP Security Identifier: 060505070
SHS MD TO FLOAT 8.125% 04/30158 B/E
DTD 04/30/08 CALLABLE 05115118 Moody Rating BA2 S5 P
Rating BB+
01110111 %Liz 2.000.000.000 102.7500 2,055.000 00 102.5630 2,051,260.00 -3.740 00 60,937 50 162 500 00 7.92%
Original Cost Basis: $2,055,000.00
SOUTHERN CALIF EDISON CO PREF SER E Security Ideetifier. 642100FU2
6.250% 01117162 WE DTD 01117112
CALLABLE02/01122 (/ 100.000 Moody Rating BAA1 SIP
Rating BBB.
01130112'•3.12 3.000.000.000 99 8490 2.995.461 09 11 10000 3,330,000.00 334.538 91 30.729 17 187 500 00 5.63%
Original Cost Bass: $2992564.97
GENERAL ELEC CO GTD FXD-TO-FLTG RT Security Identifier: 3698048114
NONCUMULATIVEPERPETUAL PREFERRED
4.000% 12103/65 RE-G DTD 12103115 Moody Rating A3 S &
P Rating A
12103115 ' 2,469,000.000 88 0930 2,175,016.17 103.0000 2.543.070 00 368.053 83 28.80500 98.760 00 3.88%
Original Cost Bares: 52.175.016.17
5LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4
ADDL TIER 1 SECS16%11U 6539439AG42
7.500% 04127/88 B/E DTD 04/07/14 S & P Rating 813-
Please Provide 1.903.000.000 NM Please Provide 103 2700 1.965,22810 NIA 1,189.38 142 725.00 7.26%
0 nginai Cos: Bans Please Provide
Page 5 of 19
ten
VOI A SO cc U o T u H n E t R N N u m be; N4G.0 N 2380 F 4 I_D G A o E pa N per T les 1 s A L D R E rx v a Ae e te U n n d t u M V E r x t a .a c R . e e A l s l rT e i n E n c D t e C 2 O 0 M 07 M UNICATIONS -statraw==.4.'rt
SDNY_GM_00046084
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008908
EFTA_00 156693
EFTA01289056

Portfolio Holdings (continued)
Adjusted Unrealized Argued Estimated Estimated
Date Acquired Quantity Unit Cod Cog Basis Market Price Market Value Gain! Loa Intereg Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
CMGROUP INC FXD RT SR NT PERP DEP RECPT Staidly Identifier: 17298726
5.950% 08115/88 BJE DTD 08112115
CALLABLE 08115120 (I 100 000 Moody Rating BA2 S 8 P
Rating BB*
08106115 3.000.000.000 100 0000 3.000.006.00 101.8170 3.054.510 00 54.504 00 22.312 50 178.500.00 5.84%
Original Cosl BSI 63,000,006.00
Total Corporate Bonds 620,971,878.51 623,524,378.10 $587,271.49 $564,948.94 S1,622,511.26
22,523,000.000
Total Fixed Income 621,446,279.74 $24,050,234.03 $630,726.19 $567,616.30 11,822,511.25
23,813,000.000
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cod Cod Basis Market Price Market Value Gain( Loss Maual Income Yield
Equities 68.00% of Portfolio
Common Stocks
M OBILEYE NV AM STELVEEN ORD SHS Security Identifier: M BLY
ISIKONL0010831061 CUSP N51488117
Dividend Option. Cash
08101/14 800.000 25 0000 20.000 00 42 5700 34,056.00 14,056 00
ADVERUM BIOTECHNOLOGIES INC Security Identifier: ADVM
COM CUSIP 00773U108
Dividend Option: Cash
10,000 00 of these shares are in your margin account
04120115 10.000.000 39 8610 398.606.00 4.1100 41,100.00 -357,506 00
AKORN INC COM Security Identifier: AKRX
Dividend Option Cash CUSIP. 009728106
06110115 5.000.000 46.8410 234.206.00 27.2600 136.300.00 •97,906.00
AUBABA GROUP ROG LTD SPONSORED ADS Security Identifier: BABA
ISIN0L901609W1021 CUSP. 01609W102
Dividend Option: Cash
06110115 5,000.000 88 9500 444,749.00 105 7900 528,950.00 84,201 00
ALUANZ SE SPONS AOR REPSTG 1(10 SHS Security Identifier: AZSEY
Dividend Option: Cash CUSIP 018805101
04113115 5,000.000 18 0110 90.056.00 14.8300 74,150.00 •15,906.00 3.059.77 4.12%
APOLLO GLOBAL M GM T LLC CL A SHS Security Identifier: APO
Dividend Option: Cash CUSP. 037612306
03129(11 '.51 263.157.000 19 0000 4.999.983.00 17.9600 4.726.299.72 •273,68328 328.946 25 6.95%
Page 6 of 19
Account Num tier. N46-023804 Rated too-SYS
Unit ROI 6(SC LTHERA ONi F 15 G 5 o p 1 a 9 pe 1 rle 1 ss A L D L r x v A e eL r n B y u A V rRn s Rs . eA S rT i I n O c ) e C 2 O 0 M 07 M UNCATKIHS
SDNY_GM_00046085
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. e) OB-SDNY-0008909
EFTA_00156694
EFTA01289057

PA
Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
Statement Period: 0910112016 • 09/30/2016
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Dale Acquired Quantity Unit Cost Cost Basis Market Price Market Value OW Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
APPLE INC COM Security Identifier: AAPL
Dividend Option: Cash CUSIP. 037833100
250.000 00 of these shares are in your margin account
10128113 3 14,000.000 75.5800 1.058.120 50 113.0500 1.582.700 23 524,579.73 31.920.00 2.01%
09105114 124.180.000 98 9500 12.287.615 97 113.0500 14,038.548 96 1.750.932 99 283.130.40 2.01%
09105114 3 7.200.000 98 9500 712.440 29 113.0500 813,959 80 101,519.51 16.416.00 2.01%
09105114 3 18.620.000 98 9500 1,842,449 74 113 0500 2.104.991 21 262,541 47 42,453.60 2.01%
01111116 250.000.000 99 0000 24.750,006 00 113 0500 28.262.499 80 3.512.493 80 570.000.00 2.01%
Total Covered 414,000.000 40,650,632.50 46,802,700.00 6,152,067.50 943,920.00
Total 414,000.000 540,850,632.50 $46,802,700.00 56,152,067.50 5943,920.00
ARIAD PHARMACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash CUSP: 04033A100
02114112 '.13 7.535.000 15 2090 114.597.40 13.6900 103.154 15 .11.443 25
01124113 9,000 000 19 8000 176.400 00 13.6900 123.210 00 -53.190 00
Total Noncovered 18,535.000 290,997 40 228,364.15 -64,633.25
Total 16,535.000 5290,997.40 5226,364.15 ,564,633.25 90.00
ASCENA RETAIL GROUP INC COM Security Identifier: ASN A
Dividend Option Cash CUSP 043516101
01/16101 '.3 70.500 000 21 2770 1.500.000 00 5.5900 394.095.00 -1.105.905 00
BASF SE SPONSADR Security Identifier: BASFY
ISM t, S0552625057 CUSIP 055262505
Dividend Option: Cash
04113115 5.000.000 101 6110 508,056 00 85.5500 427,750 01 •80,30600 12,163.55 2.84%
BANK OF NEW YORK M ELLON CORP COM Security Identifier: OK
Dividend Option. Cash CUSIP 064058100
06125114 250,000.000 36 3060 9.076.406 00 39 8800 9.970.000.00 893.594.00 190 000 00 1.90%
BIOGEN IDEC INC COM Security Identifier: BBB
Dividend Option: Cash CUSP: 09062X103
02/14/12 '.13 2.095.000 119 5490 250.454 95 313 0300 655.797 85 405.342.90
Pest 4019
Account Num ber. N46-023804 Go paperless tacelbrifi
U0A0 Mel I SOUTHERN ONLLC. FIDESITIAL D Ev A e L n O t A Y R e a R r A S T l E o D ts C 2 O 0 M 07 M UNCATIONS
EXCIILINCl
SDNY_GM_00046086
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008910
EFTA_00 156695
EFTA01289058

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date ired Quail hit Cost Cod Basis Market Price Markel Vain Galt( Loss Animal Income Yield
Equities (continued)
Common Stocks (continued)
GEN TENE CORP DEL COM Security Identifier: CNC
Dividend Option: Cash CUSP 151358101
09108114 15,550.000 63 6450 989,679.75 66.9600 1141,228.00 51,548.25
DISH NETWORK CORP CL A Security identifier: DISH
Dividend Option: Cash CUSP: 2547011109
06110115 5,000.000 719960 364,978.00 54.7800 273,900.00 -91,078 00
FACEBOOK INC CL A Staidly Identifier: FB
Dividend Option: Cash CU SP. 30303M 102
05117/12 '.13 17,500.000 38.0000 665,000.0(1 128.2100 2,244,725.00 1,579,725.00
FOUNDATION MEDICINE INC COM Security Identifier FM I
Dividend Option: Cash CUSP: 350/65100
01113114 25,000.000 27.5070 687,863.50 23.3500 583,750.00 ,103,913.50
08105114 21,830.000 232530 517.373.02 23.3500 579.780.50 2.407.48
Total Covered 49,830.000 1,215,036.52 1,183,530.50 -101,506.12
Total 49,830.000 $1,285,036.52 $1,163,530.50 -$181,508.12 $0.00
GENERAL ELECTRIC CO COM Staidly Identifier: GE
Dividend Option: Cash CUSP: 369604103
04123113 '.13 23.080 000 21 5700 496,109.08 29 6200 681,260.00 185,150 92 21,180.00 3.10%
GENERAL MTRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP. 31045V100
11118110 ' 10.988.200 36 4010 399.978.16 31.7700 349,095.12 -50,883.04 16,702.06 4.78%
12109/10 ' 86,538.800 36 8160 3,185,969.22 31.1100 2,749,274.13 .436,695 09 131,535.94 4.78%
Total Noncovered 91,526.000 3,585,917.38 3,096,369.25 ,487,578.13 148,238.00
Total 97,525.000 $3,515,947.38 83,098,389.25 -$187,578.13 $148,238.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02105114 5,000.000 792810 396,407.00 79.1200 395.600.00 -807.00 9.400.00 2.37%
03107114 3,100.000 79 6120 246,79710 79.1200 245,272.00 .1,525.00 5,828.00 2.37%
Total Covered 8,100.000 643,204.00 840,112.00 -2,332.00 15,228.00
Total 8,100.000 $643,204.00 $646,112.09 -82,332.00 $15,228.00
GLAXOSMITHKUNE PLC SPONS ADR Security Identifier: GSK
Dividend Option: Cash CUSP: 37733W105
06110/15 5,000.000 43 0010 215.006.00 43.1300 215.650 00 644.00 10.922 27 5.06%
GLOBAL PARTNER ACQUISITION CORP Security Identifier: GPACU
UNIT 1 CON 8 1 WT EXP CUSP: 37954/Q01
Dividend Option: Cash
07130/15 ' 2.000.000 10 0000 20.000.00 10.0000 20.000.00 0.00
Page 8 of 19
Account Num ber. N4G-023804 taallerill
()PAII SOUTHERN ONFID G AS o p S ape I r T les I s A L ( 7 C v X A e L C r M y I A l V l7 R a N R n A e S T r i ( n O ce C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046087
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008911
EFIA_00156696
EFTA01289059

a
Deutsche Bank Oevicre RIM P.m,. Wealth Masamnan
Mients Codrace 6 NA p
P.O Box 1776, Baltimore, MD 21203
Statement Period: 09/01/2016 - 09/30/2016
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired OeanUh UM 041 Cost Basis Market Price Market Value Gain! Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
GODADDY INC a. A Security Identifier: GO DY
Dividend Option: Cash CUSP 380237107
04101115 700.000 20 0000 14,000.00 34.5300 24371.00 10,171.00
MATCH GROUP INC COM Security Weidner: M TCH
Dividend Option: Cash CUSP 57665R106
11118115 200.000 12 0000 2,400.00 17.7900 3.558.00 1,198.00
SANGAM 0 BIOSCIENCES INC COM Security Identifier: SGM 0
Dividend Option: Cash CUSP 800677106
05128113'.'5 50,000.000 8 4440 422,214.00 4.6300 231,500 00 -190.714.00
SANTANDER CONSUM ER USA HLDGS INC COM Security Identifier: SC
Dividend Option: Cash CUSP. 8028311101
01123114 1.000.000 24 0000 24,000 00 12.1600 12.160.00 .11,840.00
SQUARE INC CL A Sea rIty Identifier: SO
Dividend Option: Cash CUSP 852234103
11119115 200.000 9 0000 1,800.00 11.6600 2.332.00 532.00
TERRAFORM GLOBAL INC CL A Security Identifier: GLBL
Dividend Option: Cash CUSP: 8810111101
07131115 400.000 14 8300 5,931.84 1.1100 1,644.00 -4,287.81 440.00 26 76%
TWITTER INC CON Security Identifier: 11V TR
Dividend Option: Cash CL SIP: 901841102
11107/13 1.500 000 26 0000 39.000 00 23.0500 34,575.00 -4,425.00
VIACOM INC NEW CL B Security Identifier: NAB
Dividend Option: Cash CL, SIP 92553P201
06110115 5.000.000 87 7490 338.745 00 38.1000 190300.00 -148,245.00 4 000 00 2.09%
VOLKSWAGEN A G ADR (SPONS) Security Identifier: VLKAY
Dividend Option: Cash CUSP 928662303
04/11115 5,000.000 50 8610 254.306.00 28.9100 144,550.00 -109.756.00 91 85 0.06%
Page 9 of 19
Account Number: N40423804 e k Rabid taceliongl
1,0097190CSF!, 0770 SOUTHERN FI D Go r p g ape r rle i s A s rD (v xA e eL r nB y Au V Rr . n . R . e A S rT 1 C 00 O 7 C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046088
CONFIDENTIAL — PURSUANT TO FED. R CRIAA. P. 6(e) OB-SDNY-0008912
EFT/COOI56697
EFTA01289060

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Dale Acquired Quantity Usk Cod Cost Basis Market Price Markel Value Gala( Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
W !SOON TREE INVTS INC CON Security Identifier: W ETF
Dividend Option: Cash CUSIP 97717P104
03131/15 15.000.000 21.6110 324.157.50 10 2900 154.350.00 -189.807.50 4.800.00 3.10%
Total Common Stocks $01,135,161.92 $74,198,437.47 $6,060,775.55 $1,682,959.69
Preferred Stocks (Listed by expiration date)
GM AC CAP TR I GTD TR PFD SECS SER 2 CPN - Security Identifier: ALLY PRA
8.125% FREO CIRRY MATY-0211512040 CALL CUSP 361860208
ANYTIME 0 25 W130 DAYS BEGINS 02/15116
Dividend Option: Cash
02/22112 '.13 80.000.000 23 5350 t.882.773.60 25.4100 2.032.800.00 150.026 40 162.500 00 7.99%
Total Preferred Stocks $1,882,773.60 $2,032,800.00 $150,026.40 $162,600.00
Total Equities $70,018,135.52 $76,229,237.47 $6,210,801.96 61,845,469.69
Unrealized Estimated Estimated
Date Acquired Quality Unit Cost Cost Basis Market Price Market Value Gale/ Loss Annual Income Yield
Exchange-Traded Products 2.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY FO Security Identifier: OXJ
Dividend Option: Cash; Capital Gains Option: Cash CUSP 97717W851
60,000.00 of these shares are in your margin account
12111/13 60,000.000 49.4350 2,966,098.50 42.9100 2,574,600.00 -391,498.50 52,840.80 2.05%
Total Exchange-Traded Products $2,966,098.50 $2,674,600.00 -$391,498.60 652,840.80
Umeallzed Atoned EMImated
Cod Basis Markel Value Gala/ Loss Mitered Amoral Income
Total Portfolio Holdings $104,413,799.25 $112,837,058.99 $6,458,029.64 1567,616.30 63,632,747.10
Footnotes
honcovered 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 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 tomi 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 (CRP) 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.
Paps 10 of 19
Account bum ber N4G-023804
DGot piasperiresrs iAr rg' j12s/-1-°14.-7-
OBAS ROLL SOL TH ERN
F I NC 1°6
SDNY_GM_00046089
ti
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008913
EFTA_00156698
EFTA01289061

a
Deutsche Bank Oruisre Rant Pnwair Wolin Paptageneit
Pdaeals teem., 6,O‘P
P.O. Box 1776, Baltimore, MD 21203
Statement Period: 0910112016 • 09/3012016
Portfolio Holdings (continued)
Cost Basis 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 bekeved 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 w ll not be permed 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 fern 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 riot 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.
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
Date Date Realized
Desaiption Disposed Acquired Desigeatim Disposition Method! Traisaction Quantity Proceeds Cost Basis Gelid Loss
Long Ten
ROYAL BK SCOTLAND GP 091231t6 10121112 Nononered..13 First In First Out I REDEMPTION 40,000.000 1.000,000 00 951,600.00 48,400.00
ADRREPSTG SER T PFD CPN-725% Original Cost Basis: 951.600 00
FREO DRILY PER, LI TY CALL 25 A
Security Identifier: 780097113
09123116 01107113 Noncoseredsi 13 First In First Out / REDEMPTION 40.000.000 1,000,000.00 977.600.00 22,400.00
Original Cam Basis: 977.600 00
09123116 01111113 Noon:Aired " 3 First In First Out / REDEM PTION 40.000.000 1.000.000 00 995.200.00 4.800.00
Original Cosl Basis: 995,200 00
Total 120,000.000 3,000,000.00 2,921,400.00 75,600.00
Pap II of 19
ck
09 0190CSF 00 611 Account Num be; N46023804 Go paperless R Ev a e te ry d V [w .. a . f S t e n n a i 2007 -att." " ^11 , 1:1. :**0.=etT's
SOL THERM
F I DAE TIAL
rCxAeLsMuArRtr RaAeTr ED COMMUNICATIONS
SDNY_GM_00046O90
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008914
EFTA_00 156699
EFTA01289062

Schedule of Realized Gains and Losses Current Period (continued)
Date Date Realized
Clesaintioa Disposed Acquired Designation Disposition Method I Transaction Quantity Proceeds Cost Basis GainILoss
Long Term (continued)
WASHINGTON MUT M TG S 09/23116 12113/13 Noncovereds.1 REPYM T OF PRIk 1,290,000.000 1,881.17 1,439.45 441.72
004-RA2 MTG PASSTHRU CTF CL C. Original Cost Basis 1.439.45
B-1 VAR RATE 5.344% 07/25/33
Security Identifier 939335W0
Total Long Term 3,001,881.17 2,925,839.45 76,01112
Total Short and Long Term 3,001,881.17 2,925,839.45 76,041.72
Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are general/ 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.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered snoncovered," 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 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 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 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 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-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 rename on
the information provided herein for such repotting.
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 bed
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 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.
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 tax4ct 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 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 securely disposal, and this may be reported on the IRS Form 1099-B.
Page 12 of 19
Account Number: N40.023804 Rated !molls M
DOAN ROLL SOUTHERN FI D Go r p i a T per r le i s A s D E rx v A La er r O y t Au V Rr a nR n Ae ' L rT a E c D e C 2 O 0 M 07 M UNIC ATOINS ,.R. =amine ••••A NOR. NIAC
SDNY_GM_00046091
HMIWfJOLN
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008915
EFIA_00156700
EFTA01289063

a
Deutsche Bank
Onaisov Ram 0,00 Weahn Papmgenmt
Mantis COMIC! 6,04,
P.O. Box 1776, Baltimore, MD 21203
Statement Period: 09/01/2016 • 09/30/2016
Messages
Pursuant to the SecunDes Exchange Act of 1934, Pershing LLC (Penning), e EtNY Mellon company, provides indimdual investors with certan financial information on a semi-annual basis.
Pershing's June Statement of Financid Comktion is now available. On June 30, 2016. Pershing's net capital of $2.171 billion was 12.59% of aggregate debit balances and exceeded the minimum requirements by
$1.83 billion.
Pershing is arso required to provide the most recent Manual information as of this statement mailing in accordance with this requirement, note that on July 31. 2016. Pershing's net capital of .52227 billion was
13.170°% of aggregate debit balances and exceeded the minimum requirement by $1.89 Neon.
A copy of the June 30. 2016. Statement of Anancial Condition is available at pershingcom/Matemere_of financialc oncktion.hfinl. You may also request a free. panted copy by calling (888)860-8510or (201)
413-4200, option #5.
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. Pursuant to SEC Rule 10b-10(b)(1) confirmations are
not sent for purchases into money market mutual funds processed on the sweep platform.
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 0.00 000 000 0.00 -24.758406.00 -24,158,406.00
Securities Sold 000 000 000 717.689 76 000 717,689.78
Securities Deposited 000 000 000 5.185557 00 000 5,185,557.00
Total Securities $0.00 $0.00 30.00 $5,903,246.76 -824,758,406.00 -$18,865,159.21
Dividends and Interest 8315,028.11 -3179,987.49 8135,040.62 82,738,888.14 -8270,898.59 82,467,989.55
Distributions 83,000,000.00 80.00 83,000,000.00 88,005,606.35 80.00 88,005,606.35
Fees 80.00 -32.00 -32.00 80.00 -8399.00 -8399.00
Taxes Withheld 80.00 80.00 30.00 80.00 -85,558.07 -85,558.07
Cash
Withdrawals 0.00 000 000 0.00 -11.891.591.92 -11.891.59192
Depoets 0.00 000 000 8,613,530.99 0.00 8,613,530.99
Total Cash 80.00 30.00 30.00 88,813,530.99 .811,891,59132 .83,278,080.93
Totals 63,316,028.11 -$179,989.49 83,135,038.62 825,261,262.24 ,836,928,853.68 .81105,601.34
Page 13 of 19
°H^,. QO1 A SO cc U o T u H n E t N RN u mber N40.02380 F 4 I ID Go E p N ape T rle E ss A L rD l L i x m v Ae e L e r nB d y uA V e Rt x o r a c R n e eA l S l rT e i E n n D t e , C 2 O 0 M 07 M UNCATIONS
SDHCGM_00046O92
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008916
EFTA_0015670 I
EFTA01289064

Transactions by Type of Activity
Process/
&Klement
Date Activity Type Description Quantity Price Awned Interest Amount Currency
Dividends and Interest
09121116 80AD INTEREST ADAISTM EN T CITIGRO UP INC RT SR NT PERP DEP RECPT 5.950% -90.73749 LSO
17296125 08115188 B/E DTD 08/12115 CLB RD 02/14 PD 02/15116
ADJSOURCE CODE TO DIVIDEND
09/21/16 BOND INTEREST ADJJSTM EN T CITIGRO JAC FXD RT SR NT PERP DEP RECPT 5.950% .89.25011 LSD
17296725 08115188 B/E DTD 08/12115 CLB RD 08/14 PD 08/15116
ADJSOURCE CODE PAYS DIVIDEND
09/21/16 CAR- DIVIDEND RECEIVED CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 90,737.49 LSO
17296725 08115188 B/E DTD 08/12115 OLD RD 02/14 PD 02/15116
ADJSO URGE CODE TO DIVIDEND
09121116 CASH DIVIDEND RECEIVED CITIGRO UP INC FXD RT SR NT PERP DEP RECPT 5.950% 89,250.00 LSD
17296725 08115188 B/E DTD 08/12115 C113 RD 08/14 PD 08/15/16
ADJSOURCE CODE PAYS DIVIDEND
09/23/16 CASH DIVIDEND RECEIVED 97525 SH RS GENERAL MTRSCO COM RD 09/09 FO 37.059.50 LSD
GM 09123116
09/23/16 FOREIGN SECURITY DIVIDEND 120000 SI- RS ROYAL BK SCOTLAND GP PLC SPON ADR 50.749.92 LSO
RECEIVED REPSTG SER T PFD CPN-715% FRED 0 RTLY PEW IA TY
780097713 CALL@ 25 ANY W/30 CI NOTICE AFTR 12131112 RD 09122
PD 09/23116
09/26/16 80AD INTEREST RECEIVED 1290000 WASHINGTON ML T MTG SECS CORP 2004.1242 2,769.78 LSO
939336S20 MTG PASSTH RU CTF CL C.8-1 VAR RATE 5.344% 07125/33
WE DID 06101104 RD 08/31 PD 09125/16
09/27/16 FOREIGN BOND INTEREST 1903000 LLOYDS BANKING GROUP PLC FXD RATE RESET 35,681 25 LSD
539439AG4 ADDL TIER 1 SECS MIAS L S539439AG42 7.500% 04/27188
DIE DTD 04107114 CLB RD 09126 PD 09127116
09/29/16 CASH DIVIDEND RECEIVED 8100 SH RS GILEAD SCIENCES INC RD 09/16 PD 09129/16 3.807.00 USD
GILD
09/30/16 MONEY MARKET FUND DEUTSCHE GOVT CASH 1,973.17 USD
INCOME RECEIVED
233993682
09/30/16 CASH DIVIDEND RECEIVED 60000 SH RS WISDOM TREE TR JAPAN HEDGED EQUITY FD 3,000 00 LSD
OXJ RD 09/28 PD 09/30/16
Total Dividends and Interest • U.S. DOLLARS 0.00 136,040.62
Distributions
09/23/16 SECL RITY REDEEMED ROYAL BK SCOTLAND GP RC SPON ADR REPSTG SER T .120.000.000 3,000,000 00 LSD
780097713 PFD CPN-7.25% FREO ORTLY PERP M TY CALL° 25 ANY
W/30 D NOTICE AFTR 12131/12
Total Distributions • U.S. DOLLARS 0.00 3,000,000.00
Page 14 of 19
08A0 ROI I A SO cc U o T u H n E t R N N u mber. O N4G-0 NL 2 L 3 C 8 . 0 F 4 I DE p S ape M rles A s L Dr R (v x a A e c te r Ul y d u M Y t m a e . c R a e e r A l s S b I r i D i v e a ) C 2 O 0 M 07 M UNICATIONS tr........'"."..14.142r...•
SDNY_GM_00046O93
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008917
EFTA_00 156702
EFTA01289065

PA
Deutsche Bank Oruisev Mn. POWP WeatnPanagenan
Peacals Owen. 6,0“)
P.O. Box 1776, Baltimore, MD 21203
Statement Period: 0910112016 • 09/30/2016
Transactions by Type of Activity (continued)
Procesd
Settlement
Date Activity Type Description Quaetity Price Accrued Interest Amount Cerrency
Fees
09101116 FOREIGN CUSTODY FEE Fgn Safekeeping AL G 2016 MIR 04S15P.P4.8 •2.00 6S0
G4S15FP413
Total Fees • U.S. DOLLARS 0.00 -2.00
Total Value of Transactions 0.00 3,135,038.62 USD
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Security Reoxd Date Pap* Date Quantity Held Rate Dividend Option Amount of Payment
Dividends
GENERAL ELECTRIC CO COM 09119116 10/25/16 23,000.000 0.230000 Cash 5,290.00
VIACOM INC NEW CL B 09126116 10/03116 5.000.000 0.200000 Cash 1.000.00
Interest
FRONTIER COM MUNICATIONSCORP 09130116 10/15116 3,000,000.000 0.012500 Cash 127,500.00
SR AT
Total Cash Not Yet Received 3133,790.00
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
1 to 5 years 3.603.525.00 15% Percentages of bond market values are
61010 years 1,839,285.00 8% I I rounded to the nearest whole percentage.
Over 10 years 18.607.424.03 77%
Total 21,050,2303 100%
Page 15 of 19
n
Account Number. N46.023804 Rasa tmollormi
DRAB 'It'll SOUTHERN Go paperless E D v A e L r O y A V R A R N A L T a E c D e C 2 O 0 M 07 M UNICATIONS
F ID E N- N AL r %Ca LINCI
SDNY_GM_00046O94
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008918
EFTA_00 156703
EFTA01289066

Bond Quality
Bond Duality Market Value %of Baud Market Value
A 2,513,070.00 11% MI Percentages of bond market values are
rounded to the nearest whole percentage.
ea> 9.992.535O0 42% MI
1J
BA/Lower It 514.629.03 47%
Total 24,050,234.03 100%
Client Service Information
Your Client Advisor: DAL
DANIEL SABBA
345 PARK Asa IA 26Th FLOOR
KEW YORK AY 10154-0003
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IA 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:
Amortize premium on taxable bonds based on Constant Yield Method: Yes
Aoaual 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 corn m unications. log in to your account or contact your Client Advisor for more inform ation.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement 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 M
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.
The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily
be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are
sometimes unable to provide timely information. Mere pricing sources are not readily available, estimated prices may be used. Wien the updated price is received from the price provider, the updated price will
be used in the release of the current month's statement. Prior statements voll not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an
order.
Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets
are priced via third party sources believed to be reliable.
For certain securities, including thinly4raded securities, debt securities in default, securities that do not have a valid pricing source, and certain third.party structured products, the last available pricing will be
listed. If the last price available for such securities is unchanged for a period of tine deemed appropriate for that asset, the current price will purge and N/A will be placed in the price field in the statement. The
Faget6 o119
Account Number: N46-023604 Plated Excellerdi
Go paperless II .very van Lace 2007
tank, 701t. SOUTHERN FI
SDNY_GM_00046O95
DIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) V:TirlakIC°C°M.AL.ICATCHS DB-SDNY-0008919
EFTA_OO 156704
EFTA01289067

Deutsche Bank DINAM •C R4M 0•110 Wolin Mnapntat
Mal4C1(eretne
P.O Box 1776, Baltimore, MD 212O3
Statement Period: 09/01/2016 - 09/30/2016
Important Inform ation and Disclosures (continued)
Pricing (continued)
pricing of listed options takes into account the last closing price, as well as the current bid and offer prices.
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 retied 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 piircipal may be included in the figures for certain securities, thereby overstating them. Refer to
vn'm.pershing.comlbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The doter amount of Mutual Fund distributions. Money Market Fund dividend income. Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased. may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself 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 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 sinter 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 & POOn. Reproducing and distributing any information received from Standard & Pours is not perrt*ted 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 including warranties of merchantability or fitness for a particular purpose.
Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or set securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Cash Not Yet Received
Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information.
Bond Maturity Schedule
Bonds that are in default are not included.
Page IT of 19
ttkci
Account Number. N46.023804 Rated Excellent
ORAN Mel SOL THERA Go paperless D (v A e L r B y A v R « R . A S T i E n D a i C 2 O 0 M 07 M UNICATIONS
FIDranAL IXOFILINC,
SDNY_GM_00046096
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0006920
EFIA_00156705
EFTA01289068

Important Information and Disclosures (continued)
Bond Quality
Bond quality ratings reflect Moody's or Standard and Pocr s ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
The Role of Pershing
• Pershing carries your account as cleating broker pursuant to a cleating agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation 0) 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 controlbng or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other impieties 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.corniabouUstrength-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 contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza,
Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other 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 mail typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The riles 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 n court
• The rules of the arbitration forum in which the claim is Ned, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing US, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399: (201) 413-3330.
Page IS of 19
Account Number. N46.023804 kat.. [malls, •
Go paperless (very 'In. Since 2007
S0L THERA LLC. DAENTIA rCxAaLrLeUaMrr RdAeTr CD COMMUNICATIONS meow ...A Wet wee
N F I L
SDNY_GM_00046097
CONFIDENTIAL - PURSUANT TO FED. R CRIOA P. 6(e) OB-SDNY-00O8921
EFrA_00156706
EFTA01289069

TERMS AND CONDMONS
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 ANDADR SETTLED. OR IF APPLICABLE. OF THE FINANCLILL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. FFLANCIAL 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 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, THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW.PIERSHING.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 NMS -
FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S RULE 807(AKINEB
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 BROKERSEALERS 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 LS 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. PERSHNG REGENTS PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW
MARGIN INFORMATION: IF YOU MAINTAIN A MARGN ACCOUNT. THIS IS A CORENED 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 REOUIRED BY REGULATION T IS AVAILABLE FOR YOUR BEST EXECUTION: 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 SECURITES 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 TM 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 W THE SUBJECT SECURITY. PERSHING DIRECTLY
PROVIDE THAT INFORMATION ON THE ANNUAL TM INFORMATION STATEMENT TO YOU; USE THAT CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
STATEMENT TO PREPARE YOUR TM FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT MOH
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TM RETURNS. QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE
• DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSHING ALSO REGULARLY
AS TAX/ISLE 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 PERSHNG 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 NDEBTED TO PERSHNG LLC cP8ISHING1 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 REMANNG DUE PERSHING TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE NDEEITED 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 ARO CCNOITiONS ARE UNACCEPTABLE TO YOU. PLEASE NOTIFYPERS-MG GILEDIATELY IN WRITING BY CERTFED MAIL TOONE PERSHING PLAZA JERSEY CITY. NJ 07399. ATTE' LEGAL DEPT
,1.,,larattezraRccleboArlill Page 19019
et*
Account Nu® Del. N4G-023804
Go paperless
SO ts THERA CHO N LI.C J . F ID rark Tx/mown raw. UM mast IS /Ha. An
SDNY_GM_00046098
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008922
EFIA_00156707
EFTA01289070

Deutsche Asset
& Wealth Management
Gnaw.< Rant P,,.,,, Wealth Manama,
man, Cadent 4%.4)
PO Da. 1778. Behmore MD 21203
Account Number: N4G-023804
Statement Period: 0810112016 - 08131/2016
Portfolio at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 1108,025,658.08 $103,284,617.80
6100 RED HOOK QUARTER B3 Net Casa Deposits and Withdrawals 0 00 -3.278,060.93
Net Securities InfOut of Account 0 00 5,185,557.00
ST THOMAS VI 00802
Adjusted Previous Account Value 108425,658.08 105,192,113.87
Dividends, Interest and °Met Income 610.204 24 2.569,770 23
Total Taxes Withheld 000 -5.558.07
Net Other Activity -2.00 -397.00
Your client Advisor: Net Change in Portfolio 1.819.721 18 2 699.652 47
DANIEL SABBA nding Account Value 3110 455 581.50 5110,455,581.50
Accrued Interest 5471,779.72
Estim ated Annual Income $3,751,418.53
Asset Summary
Prior Year-bil Lad Period This Period % Allocation
1, SD Cash. Money Funds. and Bank Deposits 26,834,143.83 5,833,979.58 6,847,946.87 6.20% Please review your allocation
USD Axed Income 20,242,233.86 20,828,719.15 20,321,496.89 18.40% perodcally wth your Silent Adviser.
on-, SD Axed Income 5,198,785.00 3,760,417.50 3386,678 75 3.43%
LSD Equities 47,972,851.11 75,320,413.85 76,868,347.19 69.59%
N owl, SD Equities 3.038.824.00 2.482.128.00 2.831.112.00 2.38%
Account Total (Pie Chart) 1103,284,61740 1108,025,658.08 1110,456,501.50 100.00%
See the Asset Summary Disclosure and Footnotes section for knpeetent information regarding your Asset Summary.
Page 10 19
listed Cmcolkinti
OBAP ROLL C B0 O 101$4 N 6CSF3 F 0017 ID G AM o pa S pe M rless A L rD t x v Ae e L r s y Su . A Y rRt e r a w RAe S rT e E r O a C 2 O 0 M 07 M UMCATIONS
SDNY_GM_00046099
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008923
EFIA_00156708
EFTA01289071

Asset Summary Disclosure and Footnotes
Al values are displayed in U.S. dollars based on interbank exchange rates as of 08/3112016. 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 3039.76 2132.178.65
Long•Term Gain/Loss 36022 1.089.886.81 2.180.957.24
Net GalnlLoss 46012 1,092,928.57 4,313,135.89
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the 'ECB') and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The
interest will be reported on your Forms 1099 and/or 1042 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting
arrangements. begin to charge negative interest rates on additional foreign currency balances.
Money Market Fund Detail
Date Activity Type Description Amount Sauce
Sweep Money Market Fund
DEUTSCHE GOVT CASH IN STL
Current Yield. 0.31% Activity Ending. 08131116
07130/16 Opening Balance 5.833.979.58 5.833.979.58
08102/16 Deposit MONEY FM PURCHASE 93,748.00 5,927,727.58
Deposit MONEY FUND PURCHASE 403,765.05 6,331,492.63
08105/16 Deposit MONEY FUND PURCHASE 7.692.90 6,339.185.53
08/12/16 Deposit MONEY FUND PURCHASE 235.980,00 6.575.165.53
08115/16 Deposit MONEY FUNO PURCFASE 47.500.00 6.622.665.53
08116/16 Deposit MONEY FUND PURCHASE 32,411.68 6,655,077.21
08117/16 Deposit MONEY FM PURCHASE 89,250.00 6,744,327.21
08125116 Deposit MONEY FUND PURCHASE 1.200.00 6.745.527.21
08126/16 Deposit MONEY FUND PURCHASE 3.372.64 6.748.899.85
08131116 Deposit INCOME REINVEST 1,678.93 6.750.578.78
08/31(16 Closing Balance $6,750,578.78
Total All Money Market Funds $6,150,578.18
Page 2 of 19
Account Number. N4G-023804 Rated tacellera
Ottn0 401 t SOUTHERN ONLLC. FID G E o p S ap I e T rles I s A L D L v A e L r B y A V R .A R . A S T i E v D a C 2 O 0 M 07 M UNICATIONS
XCIllI .I NCE
SCINv_GM_00046100
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008924
EFTA_00 156709
EFTA01289072

Deutsche Asset
& Wealth Management
Dpalsre Rota Prmair won
Manes Cogent G.0.2
co. 802 1778. Bslarnore. WI71203
Statement Period: 08/01/2016 • 08131/2016
Income and Expense Summary Curren' Period Year4o-Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 284,680.00 0.00 1,202,443.64 0.00
Money Market 1,678.93 0.00 9,952.19 0.00
Other Dividends 93,750.00 0.00 541,730.00 000
Interest Income
Bond Intern' 100,315.54 100 473,56084 0.00
Other Interest 32,41188 0.00 105,403.38 0.00
Expenses
Margin Interest 100 0.00 0.00 .161 10
Withholding Taxes 0.00 0.00 .5.558.07 0.00
Fees(Foreign Securities' 0.00 0.00 -27500 0.00
Total Dividends, Interest, Income and Expenses $612,136.15 $0.00 $2,327,266.96 -1161.10
Distributions
Alternative Investments 0.00 97.368.09 0 00 236.841.30
Total Olstilbutlons $0.00 $97,361.09 60.00 1231,841.30
Portfolio Holdings
sccco..-t Activity Opening Clods° Accrued Income 31.Day Current
Opeaing Date C4antily lumber Ending Bakes* Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 6.00% of Portfolio
Cash Balance 0.00 97.368.09
M oney M arket
DEUTSCHE GOVT CASH INSTL
07130116 6,750,578.780 NIA 08131116 5.833.979.58 6.750.578.78 0.00 9.952 19 0.30% 0.31%
Total N oney U arket $6133,979.58 $6,750,578.71 $0.00 $9,962.19
Total Cash, M oney Funds, and Bank Deposits $6,833,979.58 $6,847,946.87 $0.00 $9,962.19
Page 3 of 19
Account Number: N4G4323804 et Rated Yfaacwell,eLr ell
MIAN ,4011. SOUTHERN FI D G r o W paper r le i s A s L rL (v xA e eM ry mA Rm ReArT a E c D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046101
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) OB-SDNY-0008925
EFTA_00156710
EFTA01289073

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quality Umit Cost Cod Basis Market Price Market Value GainI Loss Interest Annual Income Yield
Fixed Income 22.00% of Portfolio (In Maiurity Dee Sequence)
(Asset Backed Securities
WASHINGTON MUT N TG SECS CORP 2004•RA2 Security Identifier: 939338520
N TG PASSTHRU CTF CL C-0.1 VAR RATE
6.488% 07/25/33 WE DID 06/01/04 S d P Rating 0
Factor: 0.48206410 Effective Date:08101/16
Current Face Value: 621.862 689
12/13113 1,290,000.000 76.5190 475,840.68 84.7320 526.916 69 51,076.01 3.362.53
Onginal Cod Be $638.906.71
Total Asset Backed Securities 1476,840.68 8526,918.69 $51,078.01 $3,362.83 60.00
1,290,000.000
Total Current Face Value : 621,862.689
Corporate Bonds
EARTHUNK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC6
CUSP FROM 270321A98 8 875% 05/15/19 BIE
DTD 05/17/11 CALLABLE 09/30/16 S d P Rating CCU
10123112'.3.I2 351.000.000 102 3850 359.372.24 102.5000 359.775 00 402.76 9.172.31 31.151.25 8.65%
Original Cosl Basis: 5362.407.50
FRONTIER CON RUNIC:MONSCORP Security Identifier: 35908AAH1
SR k T 8.500% 04115120 BIE
DTD 04112110 1ST CPA DIE 10/15/10 Moody Rating BA3 S
P Rating BB-
07/06/15 3,000,000.000 104 5040 3.135.132.59 107.8750 3,236.250 00 101.11781 96,333.33 255,000.00 7.87%
Onginal Cost Basis 53.171.006.00
LLOYDS TSB BK PLC EURO ISSUE II EDIUM Security Identifier: GISISPPRI
TERM NOTESISMS XS0717735822
9.875% 12/16/21 REG DTD 12/16111 Moody Rating Baal S
P Rating BBB
12/04113 '•3.12 1,500,000.000 106 2250 1,593,371.76 102.3170 1.534.75500 .58,616.76 104,510.42 148,125.00 9.65%
Opal Cost Basis: 51.627.500.00
BARCLAYS 8K PLC CONTINGENT CAP NT Security Identifier: 06738FHKO
ISA 81,936739R- K03 7.750% 04/10/23 BIE
DTD 04/10/13 CALLABLE 0010/18 S 6 P Rating B134
04103/13 %UM 300.000.000 100 0000 300.000.00 106.0000 318,000 00 18.000 00 9.106.25 23.250.00 7.31%
Opal Cosi Basis: $300,000.00
JPM ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 46625HHA1
1110Th Ff0 SER 1 FIXED TO R.TG RT BD
7.900% 04/29/49 WE DID 04/23108 Moody Rating BAA3 S
P Rating BBB-
06/15/11 ..3.I2 2,500,000.000 107 5000 2,687,500.00 103.7500 2,593,150.00 .93,150.00 65,833.38 191,500.00 7.61%
Page 4 of 19
Account Num ber. N40-023804 Rat.. Excellone
1,8A0 ROLL SOU THERN ONLLC. FI D G E o p S a T per T ies I s A L rD E xA n eL c s y Btu A V rRn . . Ra . Ae S rT i E nc D e C 2 O '0 M 0 M 7 UNICATIONS
SONYOM_00046102
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008926
EFTA_00 [5671 I
EFTA01289074

Deutsche Asset
& Wealth Management
DraKey Ram Powr Wn h LL_,,. —
Minns COdel
Oat 1770, Balamore, MD 21203
Statement Period: 0810112016 • 08/31/2016
Portfolio Holdings (continued)
Muted Unrealized Accrued Estimated Estimated
Dale Acquired Quantity Umft Cat OW Bads Market Price Markel Valve Glid Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
RAI ORGAN CHASE & CO DEP SHS REPSTG (contended)
Original Cost Bass: $2,687,500.00
06115111 '.3.12 2,500,000 000 107.0000 2,615,000 00 103.7500 2,593,750.00 -81,25000 65,833.33 197 500 00 7.61%
Original Cost Basis: 12.675.000.00
Total Noncovered 5,000,000.008 5,382,500.00 5,187,600.00 ,175,000.00 131,686.67 395,000.00
Total 6,000,000.000 $5,362,500.00 15,187,500.00 .1175,000.00 1131,666.67 1395,000.00
BANK AMER CORP PERP NON COM ULATIVE DEP Security Identifier: 060505978
SFS FIXED TO FLOAT 8.125% 0/130158 B/E
DTD 0/130108 CALLABLE 05/15/18 Moody Rating BA2 St P
Rating BB+
01110111 *Art 2,000,000.000 102.7500 2.055.000 00 102.9850 2.059,700 00 4.700 00 47.847 22 162 500 00 7.88%
Original Cost Basis: $2,055,000.00
SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: 842100FU2
6.250% 01/17/62 BOE DTD 01/11112
CALLABLE02/01122 (8 100.000 Moody Riling BM1 St P
Rating BBB-
01/30112 t3.12 3.000.000 000 99.8170 2.995.401 53 112 2080 3.366.240 00 370.838 47 15.625.00 187 500 00 5.57%
0 nginal Cost Basis: 52,992,564.97
GENERAL ELEC CO GTD FXD-TO-FLTG RT Security Identifier: 369604BM 4
NO N•CL M ULATIVE PERPETta AL FREFERRED
1.000% 12/03/85 RE-G DTD 12/03/15 Moody Rating A3 S &
PRating M-
12/03115 ' 2.469.000 000 88 0930 2,175,016.17 102.5000 2,530,725.00 355,708.83 20,819.33 98.760 00 3.90%
Original Cost Bass: 52,175,016.17
11.LOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4
ADDL TIER 1 SECS ISINIUS539439AG42
7.500% 04127/88 B/E DTD 04107/14 S & P Rating BB-
Pease Provide • 1.903.000 000 NIA Please Provide 101 6250 1,933,923.75 N/A 25,373.33 142,725 00 7.38%
0 nginal Cost Basis. Please Provide
Page 5 of 19
tet5
Account Number. N416.023804 Rasa Emcollenil
OBAkl ROLL SOUTHERN Go paperless E D v A e L r B y A y R e a R r A S T i C nc D e C 2 O 0 M 07 M UNCATIONS
F I DAENTEAL rxesturmer
GCNY_GM_00046103
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008927
EFTA_00 1567 12
EFTA01289075

Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Gustily Ugh Cod Cost Basis Market Price Markel Vain Gain/ Lou Interest Annual Income Yield
Fixed I n CO me (continued)
Corporate Bonds (continued)
CITIGROUP INC FXD RT SR NT PERP DEP RECPT Security Identifier: 17296725
5.950% 08715188 WE DID 08112115
CALLABLE 08/15120 0 100 000 Moody Rating BA2 38 P
Rating Bliz
08106115 3.000.000.000 100.0000 3.000.005.00 101.8130 3,054,390.00 54,384.00 7,933.33 178,500.00 5.84%
Original Cost Basis: 53.000.006.00
Total Corporate Bonds $20,975,500.29 823,581,258.75 $671,634.71 8468,417.19 81,822,511.26
22,523,000.000
Total Fixed Income 621,451,840.97 $24,108,175.14 8722,810.72 8471,779.72 81,622,511.25
23,813,000.000
Uareallzed Estimated Estimated
Date ired QUAlitii Unit Cod Cod Bads Market Price Market Value Golf Loss Animal Income Yield
Equities 70.00% of Portfolio
Common Stocks
M OBILEYE NV AM STEWEEN ORD SHS Security Identifier: M BLY
ISKONL0010831061 CL SP K51488117
Dividend Option: Cash
08101114 800.000 25 0000 20.000.00 48.8900 39.112 00 19.112 00
ADVERUN BIOTECHNOLOGIES INC Security Identifier: ADVM
COM CUSIP. 00773U108
Dividend Option: Cash
10,000.00 of these shares are in your margin account
04120/15 10,000.000 39.8610 398.606.00 3.5800 35.800.00 362.806 00
AKOFtli INC COM Security Identifier: AKRX
Dividend Option: Cash CUSP. 009728106
06110115 5.000.000 46.8410 234,206.00 26.9200 134,600.00 -99.606.00
MAMBA GROUP BLDG LTD SPONSORED ADS Security Identifier: BABA
ISMSUS01609W1027 CUSP: 01809W102
Dividend Option: Cash
06110115 5,000.000 88 9500 414,749.00 97.1900 185,950.00 11,201 00
ALUANZ SE PONS MIR REPSTG 1110 SHS Security Identifier: AZSEY
Dividend Option: Cash CUSP:018805101
04113115 5,000.000 18 0110 90,056.00 14.8400 71,200.00 •15,856.00 3,059.77 4.12%
APOLLO GLOBAL MGM T LLC CL A SHS Security Identifier: APO
Dividend Option: Cash CUSP. 037612306
03129111 '.13 263,157.000 19 0000 4,999,983.00 18.6200 4,899,981.34 •99.999.66 328,946.25 6.71%
Page 6 of 19
Account Number: N4G423804 Rated tocelleS
OBAI1 ROI L THERN vE Nvl IN F I DCiOr apapreTrlesAs L r ( 0 v xA e aL r c y 0t A Y ul e rl nM ar e T W rE o O es C 2 O 0 M 07 M UNICATIONS -LAC mamasv 0110.A r S e D nt N . w Y e _ t GM_00046104
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(eSO) OB-SDNY-0008928
EFTA_OOI 56713
EFTA01289076

Deutsche Asset
& Wealth Management
Desist...ma Prsair wean wary..
P.O. Elm 1778, Babimore, MO21203
Statement Period: 0810112016 • 0813112016
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Dale Acquired Wag Vail Cod Cost Basis Market Price Market Value Wind Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
APPLE INC COM Security Identifier: AAPL
Dividend Option: Cash CUSIP 037833100
250.00000 of these shares ate in your margin account
10128113 3 14,000.000 75.5800 1.058.120 50 106.1000 1,485.400 21 427.279,71 31.920.00 2.14%
09105114 124.180.000 98 9500 12.287.615 97 106.1000 13,175.497 96 087.881.99 283.130.40 2.14%
09105114 3 7.200.000 98 9500 712140.29 106.1000 763,919 81 51,479 52 16,416.00 2.14%
09105114 3 18.620.000 98 9500 1.842.449 71 106 1000 1.975.582 20 133.132 46 42.453 60 2.14%
01111116 250.000.000 99 0000 24.750,006 00 106 1000 26.521.999 82 1,774,993 82 570,000.00 2.14%
Total Covered 414,000.000 40,650,632.50 43,926,400.00 3,214,767.50 943,920.00
Total 411,000.000 140,650,632.50 $43,925,400.00 13,274,767.60 $943,920.00
ARIAD PHARMACEUTICALS INC Seairlty Identifier: ARIA
Dividend Option: Cash CUSP 01033A100
02114112'.33 7.535.000 15 2090 114.597.40 10.3400 77.911 90 •36.685.50
01/21113 '.33 9.000 000 19 6000 176,400.00 10.3400 93.060 00 43.340 00
Total Noncovered 16,636.000 290,997 40 170,971.90 -120,025.50
Total 16,636.000 9290,997.40 6170,971.90 -$120,026.50 60.00
ASCENA RETAIL GROUP INC CON Security Identifier: ASNA
Dividend Option: Cash CUSP 043516101
01/16101 '.3 70.500 000 21 2770 1.500.000 00 8.1400 573,870.00 -920.130.00
BASF SE SPONSADR Security Identifier: BASFY
IMOU60552625057 CLSIP 055262505
Dividend Option: Cash
04113115 5.000 000 101 6110 508,056.00 81.1150 405,575 01 .102.481.00 12,163.55 2.99%
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 41.6700 10.417.500 00 1,341.094 00 190.000.00 1.82%
BIOGEN IDEC INC COM Security Identifier: BNB
Dividend Option: Cash CUSP. 09062X103
02114112'.13 2.095.000 119.5490 250.454 95 305.6300 640,294 85 389.839 90
Page? of 19
ORM, ROLL A SO cc U o T u M n t Num ber. O N46- N 0 L 2 I 3 .C 8 i. 0 F 4 15 G 5 o p 1 a 9 pe 1 rle 1 ss A L r D k L x a e A e e L t r . s B y . u A Y ta R m e c R s e e . A e S s l T s l E a D te C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00046105
CONFIDENTIAL - PURSUANT TO FED. R CRI9,1. P. 6(e) OB-SDNY-0008929
EFIA_00 15 67 14
EFTA01289077

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date ired Quiet Wit Cod Cod Basis Markel Price Market Value Gain! Lon Annual Income Yield
Equities (continued)
Common Stocks (continued)
GEN TENE CORP DEL COM Security Meaner: CNC
Dividend Option: Cash CUSP 151358101
09108114 15,550.000 63.6450 989.679.75 68.2900 1.061 909 50 72.229 75
DISH NETWORK CORP CL A Security Identifier: DISH
Dividend Option: Cash CUSP: 2547011109
06110115 5,000.000 721900 364,978.00 50.2300 251.150 00 -113,828 00
FACEBOOK INC CL A Security Identifier: FB
Dividend Option: Cash CUSP. 3030311102
05111112 'A 17,500.000 38.0000 665,000.00 126.1200 2,207,100.00 1,542,100 00
FOUNDATION MEDICINE INC COM Security Identifier: FM I
Dividend Option: Cash CUSP: 350465100
01113114 25,000.000 27.5070 687,883.50 20.5200 513,000.00 .174,663 50
08105114 24,830 000 232530 577.373.02 20.5200 509,511.60 -67,86142
Total Covered 49,830.000 1005,03812 1,022,511.60 -242,524.92
Total 49,830.000 $1,286,03812 $1,022,611.80 -$242024.92 $0.00
GENERAL ELECTRIC CO CON Security Identifier: GE
Dividend Option: Cash CUSP: 369604103
04123113 '.13 23.000 000 21 5700 496,109.08 312400 718,520 00 22241092 21.180.00 2.94%
GENERAL MTRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 3704511100
11118/10 ' 10.988.200 36 1010 399.978.16 31.9200 350,743.35 -49.234 81 16,702.06 4.76%
12/09110 ' 86,536.800 16 8160 3,185,969.22 31.9200 2,782,254.65 423314 57 131,535.91 4.76%
Total Noncovered 97,626.000 3016047.38 3,112,998.00 ,472,949.38 148,238.00
Total 97,525.000 $3,686,947.38 13,112,998.00 -$472,949.38 $148,238.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02/05114 5,000.000 792810 396,407.00 78.3800 391100.00 -4.507.00 9.400.00 2.39%
03107/14 3,100.000 79.6120 246.797.00 78.3800 242,978.00 -3,819.00 5,828.00 2.39%
Total Covered 8,100.000 643,204.00 034,810.00 -8,326.00 16,228.00
Total 8,100.000 1643,204.00 $834,878.00 40325.00 $16,228.00
GLAXOSMITHKUNE PLC SPONS ADR Security Identifier: GSK
Dividend Option: Cash CUSP: 37733W105
06110/15 5.000.000 13.0010 215,006.00 43.4600 217,300.00 2,294.00 10,922.27 5.02%
GLOBAL PARTNER ACQUISITION CORP &faulty Identifier: GPACU
L A IT 1 CON 8 1 WT EXP CUSP 37954X204
Dividend Option: Cash
07130115 ' 2.000.000 100000 20,00000 10.1500 20,300.00 300.00
Page 8 of 19
Account Number: N4G423804 GO paperless R Ev a e te n d ! V [m a a n n S o in r. e . 2007 elrektrrS -C.13=01W".".1=
SOUTHERN DALBAR RATED COMMUNWOONS /swot= ••••••• Mak won0C
FI D AL1SITIA rxesurner
SDNY_GM_00046106
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008930
EFrA_00 156715
EFTA01289078

Deutsche Asset
& Wealth Management
Drulm Ram Pr.,. ~MP.M airtat
P.O. Box 1778, &Almon% M021203
Statement Period:08/01/2016 - 08/3112016
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired QeanUh Ual1 Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
GODADDY INC CL A Security Identifier: GD DV
Dividend Option: Cask CUSP. 380237107
04101115 700.000 20 0000 14.000.00 32.3800 22.666.00 8.666.00
MATCH GROUP INC COM Stonily Identifier: M TCH
Dividend Option: Cash CUSIP 57665R106
11/18115 200.000 12 0000 2.460.00 16.1900 3.218.00 838.00
SANGAM 0 BIOSCIEN CES IN C COM Sanity Identifier: SGM 0
Dividend Option: Cash CUSP 800677106
05128113 ..13 50,000.000 8.1140 122214.00 4.2900 211,500.00 -207,714.00
SANTANDER CONSUMER USA HLDGS INC CON Security Identifier: SC
Dividend Option: Cash CUSP 802831101
01123114 1.000.000 24 0000 24.000 00 12.5800 12.580.00 -11,420.00
SQUARE INC CL A Security Identifier: 5Q
Dividend Option: Cash CUSP. 852234103
1119115 200.000 9.0000 1.800.00 12.1900 2.418.00 638.00
TERRAFORM GLOBAL INC CL A Sanity Identifier: GLBL
Dividend Option: Cad' CUSP 881041101
07131115 400.000 14 8300 5,931.81 3.6200 1,146.00 -4,183.84 440 00 30 31%
TWITTER INC COM Security Identifier: TW TR
Dividend Option: Cash CL SIP. 901841102
11107113 1,500.000 26 0000 39.000 00 19.2100 28.815.00 -10,18500
VIACOM INC NEW CL 13 Security Identifier VMS
Dividend Option: Cash CUSIP. 92553P201
06110115 5.000.000 67.7490 338.745.00 40.3400 201200.00 -137.045.00 8.000.00 3.96%
VOLKSWAGEN A G ADR (SPON Si Security Identifier: VLKAY
Dividend Option: Cash CUSP 928662303
04113115 5.000.000 50 8610 254.306.00 29.0100 145.050.00 -109.256.00 91 85 0.06%
Page 9 of 19
Account Nu® Der. N4G-023804 Rated taalladi
I M FID G E o p S ape M rles A s L D ',a AL y B A V R . . R A 5 T ~ ED C 2 O '0 M 07 M UNCA 'DONS
rxerarNer
SDNY_GM_00046107
P. 6S[er HERk
CONFIDENTIAL — PURSUANT TO FED. R CRIM. DB-SDNY-0008931
EFIA_00156716
EFTA01289079

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Dale tied Ousel Unit Cost Cost Basis Market Price Markel Value Gala( Loss Annual Income Yield
Equities (continued)
Common Stooks (continued)
W !SOON TREE IN YTS INC COM Security Identifier: W ETF
Dividend Option: Cash CUSP: 97717P104
03131115 15.00Q000 21.6110 324.157.50 10.5000 157.500.00 •166,657.50 4.800.00 3.04%
Total Common Stocks $11,135,161.92 $71,839,859.19 83,704,197.27 $1,686,969.69
Prelerred Stodts (Listed by expiration date)
GM AC CAP TR I GTD TR PFD SECS SER 2 CPN- Security Identifier: ALLY PRA
8.125% FRED WIRY MATY-0211512040 CALL CUSP 361860208
ANYTIME 0 25 W130 DAYS BEGINS 02/15116
Dividend Option: Cash
02122112'.53 80.000.000 23.5350 1,882,773.60 25.2800 2.020 800 00 138,028.40 162,500.00 8.04%
ROYAL BK SCOTLAND GP PLC VON ADR REPSTG Security Identifier: RBS PRTCL
SER T PFD CPN-7.25% FRED ORTLY PERP M TY CUSP 780097713
CALLO 25 ANY W130 D NOTICE AFTR 12/31/12
Dividend Option: Cash
10124112'.13 40.000.000 23.7900 951.600.00 25.3900 1.015.599.99 63,999.99 72,500.00 7.13%
01107/13 '.13 40,000.000 24.4400 977,600.00 25.3900 1,015,599.99 37,999.99 72,500.00 1.13%
01114113'.13 40.000.000 24.8800 995.200.00 25.3900 1,015,600.02 20.400.02 72,500 00 7.13%
Total Noncovered 120,000.000 2 924 400 00 3,046,000.00 122,400.00 217,600.00
Total 120,000.000 $2,924,400.00 23,046,800.00 $122,400.00 $217,600.00
Total Preferred Rocks 24,601,173.60 $5,067,600.00 $280,426.40 $380,000.00
Total Equities $72,942,835.52 276,907,459.19 $3,964,623.87 $2,066,969.89
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gala/ Loss Annual Income Yield
Exchange-Traded Products 2.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY ED Security Identifier: DXJ
Dividend Option. Cash; Capital Gains Option: Cash CUSP. 91717W851
60,00000 of these shares are in your margin account
12111/13 60,000.000 49.4350 2,966,098.50 43.2000 2,592,000.00 -374,098.50 51,983.40 2.00%
Total Exchange-Traded Products $2,966,090.50 92,592,000.00 -$374,098.50 $51,963.40
Unrealized Acaued Estimated
Cod Basis Markel Value Gain! Los Interest /need Income
Total Portfolio Holdings 1104.208.521.86 $110,465,581.60 $4,313,135.89 $471.779.72 23,751,416.63
Footnotes
' koncovered under the cost basis rules as defined below.
Page 10 of 19
DOLE ROlt A S c C c U o T u H n E t R N A u m C be O r. N 46.0 L 2 U 3 C 8 . 0 4 GO paperless r R D [v xA a e e t L r e mB y d A V t u a R . c s . R e , e A ll S r o T i n E n i c D l e C 2 O 0 M 07 M UNICATIONS nh.• -•
N F I DAMSMAL
SDNY_GM_00046108
CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0008932
EFTA_00156717
EFTA01289080

Deutsche Asset
& Wealth Management
Dralsev Ram Pon. Wealth Manarrat
Vinel% Cpevar faro.
PO. Lica 1778. Sallimore. MO21203
Statement Period: 0810112016 • 08/31/2016
Portfolio Holdings (continued)
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth n the Internal Revenue Code of 1966, as amended ("IRC') (incorporating
amendments enacted by P.L.110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "nonoovered.' under the new cost basis reporting rules. and marked or denoted as such.
Mother securities in this section are securities %filch are 'covered under the new cost basis repotting rules. Securities which are 'covered" under the new cost basis reporting rules are defined as non-retlement,
US taxpayers securities which have been acquired on or after their 'applicable date(sr at *filch 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.
Repotting 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; fowl 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 invoMng 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.
g 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.
Is 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 11 of 19
Account Number R46423804 [manor.
ORAlt ROLL SOL THERk FI D Go r p i a T per r le i s A s rD (v xA e eL ry Bm A y Ri e N R a c . A s rT i n E c D e C 2 O 9 M 07 M UNCATIONS
SDNY_GM_00046109
CONFIDENTIAL — PURSUANT TO FED. R CRI6,1. P. 6(e) OB-SDNY-0008933
EFIA_001 56718
EFTA01289081

Schedule of Realized Gains and Losses Current Period
Date Date Realized
Description Disposed Acquired Designation Disposition Method 1 Transaction' Deaetily Proceeds Cost Bads Gale/ Loss
Long Term
EARTHLINK INC GTD SR owl 10122/12 loncoveredt•I First In First Out l REDEMPTION 148000.000 149,239.74 149,576.30 -336.56
EXCHANGED CUSP FROM 270321AB8 Original Cost Basil 151,110.00
8175% 05115119 WE ()TO 0511
Security Identifier: 270321AC6
08104116 10123/12 Noncovered" First In First Out / REDEMPTION 249,000.000 254,525.31 254888.04 •462.73
Original Cost Basic 257,092.50
Total 395,000.000 403,765 05 404,564.34 -799.29
WASHINGTON MUT MTG S 08124116 12113113 Noncovered" REPYM T OF PRIA 1,290800.000 1,869.86 1,430.81 439.07
(104•RA2 MTG PASSTHRU CTF CL Original Cast Basis 1 430 81
EA1 VAR RATE 8.488% 07125133
Security Identifier: 939338820
Total Long Term 405,634.93 405,995.15 -360.22
Total Short and Long Term 405,634.93 405,995.15 460.22
• 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 non-talisman,.
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 vnll 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 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 requied 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 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 rekance on
the information provided herein for such reporting.
Page 12 of 19
ORAR ROLL A S c O c L o T u H n E t N RA u mber: N4G•023804 F I D Go r E pap r e r rle i s A s L tt L r R Ox y a Ae c e L e s . O d , u A ! V w Rr . n A R a e . R i l W r e T E r . . D C 2 O 0 M 07 IN IUMCATIONS :::::---701=.1.51.A...=" 4
SDNY_GM_00046110
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008934
EFTA_00156719
EFTA01289082

Deutsche Asset
& Wealth Management
Devisee Rant 0,0. Weahn Papmgenmt
Peals Coerce 6,0“)
PO Do.. 1778.B01mm. MD 21203
Statement Period: 0810112016 • 08/31/2016
Schedule of Realized Gains and Losses Current Period
(continued)
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.
I The cost basis of this security has been provided to us by you or your introducing Arm and Pershing makes no representation as to the accuracy of this information.
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method which you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, 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 $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the
money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 106-10(b)(1) confirmations are
not sent for purchases into money market mutual funds processed on the sweep platform
Page 13 of 19
ttz .„
Account Number N46.023804 kilted taallonil
011/40 'Rat SOLTHERA DGoa panperltes s D (v A e L r B y A V R s R . A L T e E a D 0 2 0 0 M 0 M 7 UNCATIONS ralltrn•• •=1 .4.9.4",••••• OW Mae
F I EAL rxammer
SDNY_GM_00046111
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008935
EFTA 00156720
EFTA01289083

Activity Summary (All amounts shaven are in base currency)
Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Ytar-to-Date Net Year-to-Date
Securities
Securities Bought 0 00 0 00 0 00 0.00 .24.758.406 00 .24.758.406 00
Securities Sold 000 000 000 717 689 76 000 717,68936
Securities DepoUted 0 00 0 00 0 00 5,185 557.00 0 00 5,185157.00
Total Securities $0.00 $0.00 $0.00 65,903,248.78 .$14,756,406.00 ,618,855,159.24
Dividends and Interest $511,836.15 $0.00 $512,838.15 $2,423,840.03 -$90,911.10 $2,332,928.93
Distributions $501,133.14 $0.00 $501,133.14 $5,005,606.35 $0.00 $5,005,606.35
Fees $0.00 -$2.00 -$2.00 $0.00 -$397.00 .$397.00
Taxes Withheld $0.00 $0.00 $0.00 $0.00 -$5,558.07 -$5,558.07
Cash
Withdrawals 000 000 000 0.00 -11,891,591.92 -11,891,59192
Deposits 0 00 0 00 0 00 8.613 530 99 0.00 8 613 530 99
Total Cash $0.00 $0.00 $0.00 $8,613,530.99 -$11,891,591.92 -$3,278,060.93
Totals $1,013,969.29 -$2.00 $1,013,967.29 $21,946,224.13 -$36,746,864.09 -$14,800,639.96
Transactions by Type of Activity
Process/
Settlement
Date Activity Type Description Quantity Price Maud Interest Mount Currency
Dividends and Interest
08/01/16 CAST DIVIDEND RECEIVED SOUTHERN CALIF EDISON CO PREF SER E 6.250% 93,750.00 LSO
842400FU2 01117162 B/E DTD 01117/12 CLB RD 07/29 PD 08/01116
DIY PAID AT 31.25 3000000
08/04/16 BOND INTEREST RECEIVED EARTHLINK INC GTD SR NT FULLY EXCFANGED OAP 7.692 90 LSO
270321AC6 FROM 27032988 8 875% 05115119 BIE DTD 05117111
CLB ACCRUED INTEREST
08/11/16 CAS" DIVIDEND RECEIVED 164000 SF RS APPLE INC COM RD 08/08 PD 08/11/16 93.48010 LSD
AAFL
08/11/16 CASH DIVIDEND RECEIVED 250000 SF RS APPLE INC COM RD 08/08 PD 08/11/16 142,500 00 LSD
AAFL
08/12/16 CAST DIVIDEND RECEIVED 250000 SF RS BANK OF NEW YORK MELLON CO RP COM 47.500.00 LSD
8K RD 08/02 PD 08112116
08/15/16 BOND INTEREST RECEIVED 80000 SF RS GM AC CAP TR I GTD TR PFD SECS SER 2 CP/i- 32,411.68 LSO
ALLY PM 8.125% FRED ORTLY MATY-02/15/2040 CALL ANYTIME
.25 W/30 DAYS BEGINS 02/15/16 RD 08/12 FO 08/15/16
Page 14 0119
Account Number. N40-023804 Go paperless Itatad tacellone
007.7 Rol SOU THERN ONLLC. FIDENTIAL Dr L x v Ae e L r r B y u A V rRn a sR . e A S sT i E nc D e C 2 O 0 M 07 P AUNCA TIONS
SDNY_GM_00046112
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008936
EFTA_OO156721
EFTA01289084

Deutsche Asset
& Wealth Management
0ruicev Mn, km]. rosin sa.....enen
Manes Costae/ Gto..p
P.O. Oa 1778, Babimore, MO 21203
Statement Period: 0 8/01/2016 • 08/31/2016
Transactions by Type of Activity (continued)
Process/
Settlement
Date Achy Dewiotion Oust Price Accrued Interest Amami Carrel
Dividends and interest (continued)
08116116 BONO INTEREST RECEIVED 3000000 CITIGROL,P INC FXD RT SR AT PERP DEP RECPT 89.250 00 LiS0
17216725 5.950% 08115188 BIE OTO 08112115 CLB RD 08114 FO
08/15116
08124116 CASH DIVIDEND RECEIVED 15000 SliRS WISDOM TREE INVTS INC COM RD 08110 PO 1.200.00 USO
WETF 08124/16
08125116 BONO INTEREST RECEIVED 1290000 WASHINGTON M LT MTG SECS CORR 2004.RA2 3,372.64 USO
939336820 MTG PASSTFRU CTF CL C-Ell VAR RATE 6.488% 07/25133
WE DTO 06101104 RD 07/29 PD 08125116
08131116 MONEY MARKET FUND DEUTSCHE GOVT CASh 1.678.93 USO
INCOME RECEIVED
233993682
Total Dividends and interest - U.S. DOLLARS 0.00 512,836.15
Distributions
08104116 SECI.4F1TY REDEEMED EARTH LINK INC GTD SR NT FULLY EXCHANGED CUSIP -395,000.000 403.765 05 USD
27032 tAC6 FROM 270321A88 8.875% 05115/19 WE DM 05/17111
CLB CALLED BY LOTTERY
08131116 PARTHERSF IP DISTRIBUTION 263157 SFRS APOLLO GLOBAL IIGMT LLC CI. A SHS RD 97.368 09 USO
APO 08122 PD 08/31/16
Total Distributions • U.S. DOLLARS 0.00 501,133.14
Fees
08101116 FOREIGN CUSTODY FEE Fgn Safekeeping IL 2016 CUSP: G4S15P-P4.8 -2.00 USO
GIS15F1,48
Total Fees - U.S. DOLLARS 0.00 -2.00
Total Value of Transactions 0.00 1,013,967.29 USD
The price and quantity displayed may have been rounded.
Page 15 of 19
Account Number. N4G-023804 Rigid excellent
11[114. 4011. SOU THERN ONLI.C. FID G E o p N ape T rle I ss A L D ( e v x A e c r U y r M u V m o . R n e A L r T a E c D e C 2 O O M 07 M UNICATIOIG
SDNY_GM_00046113
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008937
EFTA_DO 156722
EFTA01289085

Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
1 to 5 years 3,596,025.00 15% Percentages of bond market values are
Fl rounded to the nearest whole percentage.
6 to 10 years 1,852,755.00
Over 10 years 18,659.395.44 TT%
Total 24,101,115.44 100%
Bond Quality
Bond Quality Market Valve % of Bond Market Value
•
A 2,530,725.00 10% Percentages of bond market values are
rounded to the nearest whole percentage.
BAA 10.088.495.00 42%
BNlower 11.488.955.44 48%
Total 24,108,115.44 100%
Client Service Information
Your Client Advisor: DAN
DANIEL SABBA
345 PARK AVENUE, 28111 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 Stocks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT
Default Method for all Other Securities FIRST IN FIRST OUT
Bond Amortization Elections:
Am oroze premium on tumble bonds based on Constant Yield Method: Yes
Aocrual 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 con m unicstions. log in to your account or contact your Client Advisor for more inform don.
Page 18 of 19
ttt,
Account Number. N46023804 0.114.14 Guano
URA ROLL SOUTHERN
F I D
G
AE
o p
N
ape
T
rle
I
ss
A L
B DrxA ra Le y Bn AmR sReA S rT e C n D to C 2 O '0 M 07 M UMCATIONS
SDNY_GM_00046114
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008938
EFTA_00156723
EFTA01289086

Deutsche Asset
& Wealth Management
Dralsev Ram Pon. Wean Ma rem
'Vali Sete. 12 e seLle
PO. Boa 1776, Balmy*, ?JD 21203
Statement Period: 0810112016 • 08/31/2016
Important Inform ation and Disclosures
Pricing
This section inckrdes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted,
have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is
not available are marked "NIA" and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
The pr cing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily
be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are
sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will
be used in the release of the current month's statement. Prior statements will not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an
order.
Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets
are priced via third party sources believed to be reliable.
For certain securities, including thinly4raded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing MP be
listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset, the current price will purge and WA will be placed in the price field in the statement. The
pricing of ksted options takes into account the last closing price, as well as the current bid and offer prices.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are no 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 retied 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
%vim. pershing.comibusiness_continuityhtml 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 disthbutions, 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 lbw.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts. please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may 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
Page17 of 19
• von A SO cc L o T u H n E t N RA u m C be T ; N4 , G -0 N L 2 L 3 C 8 . 0 F 4 I D G A o p E ap N erl T es I s A L R D e tn A x a L o n w B g y l A a f R a — m w IN i n s c T e , m C r/ D I - C 2 O 0 M 07 MUMGTIONS Ss=
SDNY_GM_00046115
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008939
EFrA_00156724
EFTA01289087

Important Information and Disclosures (continued)
Foreign Currency Transactions (continued)
rate may differ from rates in effect on the date you executea a transaction. incuffed 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 & 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 & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and 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 (I) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account. its sales representatives
and other personnel Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where appicable; the rendering of investment advice, if any, to you and 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 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: www.pershing.comfaboutrstrength-ancl-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 fniancial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights. including your rights under the Securities Investor
Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC. Legal Department, One Pershing Plaza,
Jersey City, New Jersey 07399; Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other n couit, 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 knifed.
• 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 veil typically nclude 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.
Page IS of 19
O
Account Number. N4G-023804 Rated tacellsna
17(•1, ROI C NLWJ. DGor paapenrleAss L E D v A e L r B y A '7 R 7 . R 7 A . S T i E nc D e C 2 O 0 M 07 M UNCATIONS .•••••••Y6 --••••••Ainins•c
F I 7XCILLINCI
SDNY_GM_00046116
SOUTHERN
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008940
EFIA_00 156725
EFTA01289088

Deutsche Asset
& Wealth Management
GeRlsoe Rana Pr.. *man Paptagenmt
Manes Leone OoLP
MAUI las Settents Lic
lire Ran Mt*
PO &a 1778. Ballimore. MA 21203 JO Pant Ammo. 16%
Res leek 1,tt ICOR
IM)04.71114. OM) 7./.4,91,
Statement Period: 0810112016 • 0813112016
Important Information and Disclosures (continued)
Important Arbitration Agreement
Any cortroversy 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 govem.
Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza, Jersey City. New Jersey 07399;
Page 19 of 19
co
OSALI ROLL A S c O c L o T u H n E t N RA u mber. N46.02380 F 4 I D G A o p E ap N erl T es I s A L rD R (v x A A e a M L r Or y O t Au Y t R a r e n a R a l e r A l e W rT f E o il e l D s C 2 O 0 M 07 M UNICATIONS aor.Ltron'TZTT=L.' "',"nr.
SDNY_GM_00046117
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008941
EFTA 00156726
EFTA01289089

Deutsche Asset
& Wealth Management
dNM•eM •POT.
P.O. Box 1778, Bahimore, MD 21203
Account Number: N40-023804
Statement Period: 07/01/2016 -07131/2016
Portfolio at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 1102,140162.70 1103,284,61710
6100 RED HOOK QUARTER B3 h. el Cash Deposits and Withdrawals 0 00 -3.278,060.93
het Securities InfOut of Account 0 00 1185,557.00
ST THOMAS VI 00802
Adjusted Previous Account Value 102,140,662.70 105,192,113.67
Dividends, Interest and Other Income 14.488 18 1.959,565 99
Total Taxes Withheld 0 00 -5,558.07
Net Other Activity -27.00 -395.00
Your Client Advisor: Net Chaste in Portfolio 5.870134 20 879.931 29
DANIEL SABBA nding Account Value 3108 025 658 08 3108 025 658 08
Accitied Interest $526,78314
Eshm ated Annual Income 13,797.95130
Asset Summary
Prior Year-Ead Last Period This Period % Allocation
l, S0 Cash. Money Funds. and Bank Deposits 26,834,143.83 5,819,518.40 5,833,979.58 5.40% Please review your allocation
LSD Fixed Income 20,242,233.86 20,267,226.90 20,828,719.15 19.10% perodicarty wth your Clent Advscr.
non-LSD Fixed Income 5,196,765.00 3,717,482.50 1760,417.50 3.48% -
LSD Equities 47,972,851.11 69,972,722.90 75,320,413.85 69.72% 1
Non•DSO Equities 3.038.624.00 2.363.712.00 2.482.121.00 2.30%
Account Total (Pie Chart) $103,284,617.80 $102,140,662.70 $101026,658.01 100.00%
See the Asset Summary Disclosure and Footnotes sea*, for important irtormation regarding your Asset Summary.
Pap 1 or 18
Ram. tmelleM
S009 93 SISCSP 3 0011 GO pal)erless t very Yew Siva 2007 oalrlamablterreit=totraiNniNIMISO
DAUM. RAT CO COMMUNICATIONS
CON FIDAENTEAL exclaimer
SDNY_GM_00046118
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-OOO8942
EFDL00156727
EFTA01289090

Asset Summary Disclosure and Footnotes
A9 values are displayed in U.S. dollars based on interbank exchange rates as of 0713112016. 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 3039 76 1.643.603 31
Long-Term Gain/Loss 459.53 1,090,247.03 879.355.31
Net Gainiloss 169.63 1,093,21639 2,522,90.62
This summary excludes transactions where cost basis information is rot available.
For Your Information
The European Central Bank (the 'ECB') and other credit institutions introduced 'negatrve interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The
interest will be reported on your Forms 1099 and/or 1042 S. 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 Desalptioe Amount Mare
Sweep Money Market Fund
DEUTSCHE GOVT CASH IN SR
Current Yield: 0.30% Activity Ending: 07129116
07101/16 Opening Baena 5,765,051.55 5,765,051.55
07/01/18 Deposit MONEY FUND PURCHASE 54,486.85 5,819,518.40
07/05116 Deposit MONEY FUND PURCFASE 1,998.00 5,821,516.40
07/15/16 Deposit MONEY FUND PURCHASE 2.475.97 5,823,992.37
07126/16 Deposit MONEY FUND PURCHASE 8,475.21 5,832,467.58
07129116 Deposit INCOME RBN VEST 1.512.00 5.833.979.58
07129116 Closing Balance 65033,979.56
Total All Money Market Funds $5,633,979.56
Income and Expense Summary
Carmel Period Year-to-Date
Taxable Na Taxable Taxable Non Taxable
Dividend Income
Equities 9,790.97 0.00 917,763.64 000
Money Market 1,512 00 0.00 8.273.26 OR
Other Dividends 000 0.00 447,980.00 000
Page 2 en
cz5KI
Account Number. N4G-023804 paperless m Ra i k n e d v ei s a . l lef N a am 2007
0,1,04 VOll. SOUTHERN F I DriSITIAL IrSxAeLr0tuArRn RaActT ED COMMUNICATIONS
SDNY_GM_00046119
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008943
EFTA 00156725
EFTA01289091

Deutsche Asset
& Wealth Management
Drain Si. Pon. Wealth Manarrat
Mnt% Comae, Cto.p
PO Da. 1776. Saliimore. MO2t203
Statement Period: 0 710112816 • 0 7/3112016
Income and Expense Summary
(continued) Current Period Year-to-Date
Taxable Noe Taxable Taxable Non Taxable
Interest Income
Bond Interest 3.18521 0.00 373245 30 0.00
Other Interest 0.00 0.00 72.991 68 0.00
Expenses
Margin Interest 0.00 0.00 0.00 .15110
Withholding Taxes 0.00 0.00 4.558 07 0.00
Fees(Foreign Securities) .25.00 0.00 87500 0.00
Total Dividends, Interest, Income and Expenses $14,483.10 10.00 91,614,420.81 -S111.10
Distributions
Alternative Investments 0.00 0.00 0.00 139,473.21
Total Distributions $0.00 $0.00 S0.00 $139,473.21
Portfolio Holdings
Account Activity Opening Closing Acaued Name 31-Day Current
Opening Date Quantity Number Ending Balance Balance lame Reis Year Yield Yield
Cash, Money Funds, and Bank Deposits 5.00% of Portfolio
Cash Balance 54,466.85 0.00
Money Market
DEUTSCHE GOVT CASH MR
07/01/18 5.833.979.580 NM 07129116 5.785.051.55 5.833.979 58 0.00 8.27328 0.30% 0.30%
Total Money Market 86,766,061.56 $5,133,179.68 $0.00 $0,273.25
Total Cash, Money Funds, and Bank Deposits $6.819,5111.40 $5,133,979.60 $0.00 $8473.21
Page 3 or 18
Account Num ber N46.023804 Go paperless Rated tocellenti
• 0,93e6CSF3{ t very Van Since 2007
SQLTHERA ttri N LLC. F I DAENTIAL DrxAcLiBtuArRn aReArT ED COMMUNICATIONS Omer. ma levet. •••0
SDNY_GM_00046120
CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0008944
EFIA_00156729
EFTA01289092

Portfolio Holdings (continued)
Adjuded Unrealized Accrued Estimated Estimated
Date Acquired Ouaathy Unit God Cod Basis Market Price Market Value Gain/ Loss Altered Annual Income Yield
Fixed Income 2 3.0 0% of Portfolio fin Maturity Dale Sequence)
‘Asset Backed Securities
WASHINGTON NUT M TG SECS CORP 2004-PAZ Security Identifier: 939336320
MTG PASSTHRU CTF CL C-B-1 VAR RATE
8.108% 07/25133 NE DTD 06/01104 S 8 P Rating
Factor. 0.48351363 Moire Date:07/01/16
Current Fact Value: 623.732583
12/13/13'•d.17 1,290,000.000 765190 477,271.49 84.6880 528,226 65 50.955.16 3,175.25
Original Cog BaSit. $638.906.71
Total Asset Backed Securities 1477,271.49 1528,220.65 150,95516 13,175.25 10.00
1,290,000.000
Total Current Face Value : 623,732.583
Corporate Bonds
EARTHMAN INC GTD SR NT FULLY EXCHANGED Stagily Identifier: 270321AC6
CUSP FROM 270321AB8 8.875% 05/15119 WE
DM 05117111 CALLABLE 08128/16 S8 P Rating CCC'
10/22/12 '.117 146,000 000 102.4520 149,580.24 1022500 149,285.00 -295 24 2.13541 12,957.50 8.67%
Original Cod Billit $151,110.00
10/23/12 '.3.12 600.000 000 102 4070 614.442.06 1022500 613,500.00 -942 06 11.241 67 53.25010 8.67%
Original Cog Basis: 1619,500.00
Total Honoured 746,000.000 764,022.30 762,785.00 -1,237.30 13,977.14 66,207.50
Total 746,000.000 1704,022.30 3762,785.00 -11,237.30 113,977.14 $66,207.50
FRONTIER CON II UNK ATI° us CORP Security Identifier: 35906AAN1
SR NT 8.500% 04/15/20 WE
DTD 04112110 1ST CPA DTE 10/15/10 Moody Rating 13A3 S
P Rating Elfib
07106/15 3,000,000.000 1015950 3.137.850.00 107 6000 3,226,000.00 90,150.00 75,083.33 255,000.00 7.89%
Original Cost Basis. S3 171,006 00
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: GIS1SPP48
TERM NOTES ISMS X93717735822
9.875% 12/18/21 REG DTD 12/18111 Moody Rating Baal S
P Rating BBB
12104/13 '.3.12 1.500.000.000 106 3020 1,594,535.11 102.8950 1,543,425.00 .51,110.11 92,188.67 148,125.00 9.59%
Original Cog Basis: $1,627,500.00
BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 06739FHK0
ISA. US06739FI-A03 7.750% 04110/23 B/E
DM 04110113 CALLABLE 04/10118 S8 P Rating BB.
04103/13 'AM 300,000.000 100.0000 300.000.00 106.2500 318,750 00 18,750.00 7,168.75 23,250.00 7.29%
Original Cog Bans: $300,000.00
Page 4 of 18
tt LLc.
Account Num ber. N460. 23804 Rama Eacollordi
BC0?933CCSFF paperless Event Va. since Z007
ittOttit u.t SOUTHERN
NFID AENTTAL
rCxAeLMnAuRrn ReArT ED COMMUNOTIONS:
SDNY_GM_00046121
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0008945
EFIA_00156730
EFTA01289093

Deutsche Asset
& Wealth Management
,e Si,,, Pow, won Mairmat
Manes C werace p
PO. Lica 1778. Sallimore, MD 21203
Statement Period: 07/01/2016 - 07/31/2016
Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Dale Acquired tbantity Vett Cost Cost Basis Market Price Market Value Gain! Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
PM ORGAN CHASE & CO DEP 6115 REPSTG Security Identifier: 46625HHA1
1110TH PFD SER 1 AXED TO FLTG RT BO
1.900% 04129149 WE DTD 0023/08 Moody Rating 8M3 S
P Rating BBB-
06115/11 ',3,52 2,500,000.000 107.5000 2,687,500.00 104.0000 2 600.000 00 •87,50000 49.375.00 197.500.00 7.59%
Original Cost Basis: $2,687,500.00
06115111 '.3.12 2,500,000.000 107.0000 2,615,000.00 104.0000 2 600.000 00 .75,000 00 49.375.00 197.500.00 7.59%
Original Cost Basis: 52,675,000.00
Total Noncovered 5,000,000.000 5,362,600.00 5,200,000.00 ,162,500.00 96,750.00 395,000.00
Total 5,000,000.000 95,362,500.00 55,200,000.00 -1162,500.00 $90,750.00 5395,000.00
BANK AN ER CORP PERP NON CON ULATIVE DEP Security Identifier: 060505DT8
SHSFDED TO FLOAT 8.125% 04130/58 B/E
DM 04/30108 CALLABLE 05115118 Moody Rating 8A2 58 P
Rating BP
01110111 '.3.t2 2,000,000.000 102 7500 2,055,000 00 102,2500 2,015,000 00 .10 000 00 3430556 162 500 00 7.94%
Original Cost Basis: 52058000.00
SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: I42400FU2
6.250% 01117182 WE DTD 01/17112
CALLABLE02/01122 Q 100.000 Moody Rating BMt 58 P
Rating BBB-
01130f12'.2,12 3,000,000.000 99 8450 2,995,342.29 111 5000 3,315,000.00 349,657 71 93,750 00 187 500 00 5.60%
Original Cost Beers 52.992,564 97
GENERAL ELEC CO GTD FXD-TO-FLTG RT Security Identifier: 3698048114
NONCUMULATIVE PERPETUAL PREFERRED
4.000% 12103/85 REG DTD 12103/15 Moody Rating A3 58
P Rating M-
12103115 2,469,000.000 88.0930 2,175,016.17 101.7500 2,512,207 50 337,191.33 12,619.33 98,760.00 3.93%
Original Cost Basis: 52.175.016.17
Page 5 of 18
l .c.„.
Account Number. N46023804 Rated tacelkini
Mint, ROI SOL THERA F I D G A o p E ap N erl T es I s A L I D b x e A f e L t r t B y lN A 'Y R C a R w V A L T a E c D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046122
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008946
EFrA_00 I 56731
EFTA01289094

Portfolio Holdings
(continued)
Adjusted Unrealized Acaued Estimated Estimated
Elate Acquired Quantity Unit Cost Cod Bass Market Pria Market Value Gain! Loss Interest Mnual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
4LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4
ADDL TIER 1 SECS 'SIN 8 L S539439AG42
7.500% 04/27188 WE DTD 04/07/11 Sd P Rating Ell
Please Provide' 1.903.000000 NIA Pease Provide 99 7500 1,898.242 50 N/A 13.479 58 142,725 00 7.51%
Original Cost Basis. Please Provide
CITIGROUP INC FXD RT SR NT PERP DEP RECPT Security Identifier: 17296725
5.950% 08/15/88 WE DTD 08/12/15
CALLABLE 08/15120 (a 100000 Moody Rating BA2 S8 P
Rating Bil•
08106/15 3.000.000.000 100 0000 3,000,006.00 100.2500 3.007.500 00 7.494.00 82,308 33 178.500.00 5.93%
Original Cosl Basis: 53,000,006.00
Total Corporate Bonds 821,384,271.87 823,860,910.00 $578,395.83 8623,808.69 $1,657,567.50
22,918,000.000
Total Fixed Income $21,861,543.36 $24,389,136.65 8629,350.79 8526,783.94 $1,657,567.50
24,208,000.000
Unrealized Estimated Estimated
Date aired Domini Unit Cod Cod Basis Market Pria Market Value Gain! Loa Mnual Income Yield
Equities 70.00% of Portfolio
Common Stocks
M OBILEYE NV AM STELVEEN ORD SHS Security IdenUffer: M BLY
ISINONL0010831061 CUSP. 1451488117
Dividend Option: Cash
08101114 800.000 25 0000 20.00000 47.9100 38.328 00 18.328 00
ADVERUM BIOTECHNOLOGIES INC Security Identifier: ADVM
COM CUSP 00773U108
Dividend Option: Cash
10,000.00 of these shares are in your margin account
04120/15 10.000.000 39.8610 398.606 00 3 6200 36.200 00 .362.406 00
AKORN INC COM Security !dentine r: AKRX
Dividend Option: Cash CUSP: 009728106
06110115 5,000.000 46 8410 231.206.00 31.2300 171.150.00 -63.056 00
AUBABA GROUP BLDG LTD SPONSORED ADS Security Identifier: BABA
ISINOUS01609W1027 CUSP: 01609W102
Dividend Option: Cash
06110/15 5.000.000 88 9500 114,719.00 82.4800 112.40000 -32,319.00
ALUANZ SE SPONSADR REPSTG 1110 SHS Security Identifier: AZSEY
Dividend Option: Cash CUSP. 018805101
Page 6 of 18
co.
ILMAI1 NMI A SO cc t o , T u H n t E N RA u m ber. N4G-023804 parerless t( E m Ra , b i 7 n id 1 u [ 1 m ti a , a = lla , , r 1 d, 2;"(17 LINCAT
N F I DAENTIAL
SDNY_GM_00046123
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008947
EFTA_00 156732
EFTA01289095

Deutsche Asset
& Wealth Management
DEVI{OC R4M ,,,nieveniooannp.wat
Manets OwerneC.Tcp
P.O. Box 1778, 'lima., M021203
Statement Period: 07/ 01/ 2016 - 07/31/2016
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired GuniNy UM Cod Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities (continued)
Common Stooks (continued)
ALLIANZ SE SPONS AOR REPSTG 1/10 SUS (continued)
04/13115 5,000.000 18 0110 90,056 00 14.2800 71.40000 •18,65600 3,059.77 4.28%
APOLLO GLOBAL MGM T LLC CL A SUS Security Identifier: APO
Dividend Option: Cash CUSIP 037612306
03/29/11'.'3 263.157,000 19 0000 4.999.983 00 17.1500 4.513.142.55 -486.840.45 342.104.10 7.58%
APPLE INC COM Security Identifier: AAPL
Dividend Option. Cash CUSP 037833100
250,000 00 of these shares are in your margin account
10/28/13 3 14.000.000 75 5800 1.058.120 50 104.2100 1.458.940 21 400.819.71 31.920.00 2.18%
09/05/14 124.180.000 98 9500 12.287.615 97 104.2100 12.940.797 76 653.181.79 283.13010 2.18%
09105114 3 7.200.000 98 9500 112.440 29 104.2100 750.311 81 37.871 52 10416.00 2.18%
09105/14 18,620.000 98 9500 1,842,449 74 104.2100 1,940,390.40 97,940 66 42,453.60 2.18%
01/11/16 250.000.000 99 0000 24,150,006.00 104.2100 26,052,499.82 1,302,493.82 570000.00 2.18%
Total Covered 414,000.000 40,660,032.60 43,142,140.00 2,492,307.60 943,920.00
Total 414,000.000 940,860,632.60 $43,142,940.00 $2,492,307.60 9943,920.00
MAD HARM ACEUTICALS IN C Security Identifier: ARIA
Dividend Option: Cash CUSP. 04033A100
02114/12 '.13 7.535 000 15 2090 114.597.40 9.5100 71,657.85 •42,939.55
01/24/13 ',13 9,000 000 19 6000 176,400.00 9.5100 85,590.00 -90,810.00
Total Noncovered 10,636.000 290,997.40 157,24716 -133,749.66
Total 16,636.000 9290,997.40 0167.24726 -1133,74916 $0.00
ASCENA RETAIL GROUP INC CON Security Identifier: ASNA
Dividend Option: Cash CUSIP: 04351G101
01/16101 70.500 000 21 2770 1.500.000 00 8.1300 573.165 00 -926.835.00
BASF SE SPONS AOR Security Identifier: BASF(
ISMS L 90552625057 CUSIP 055262505
Dividend Option: Cash
04113115 5.000.000 101.6110 508056.00 78.4200 392.100.00 .115.956.00 12.163 55 3.10%
BANK OF NEW YORK M ELLON CORP COM Security Identifier: BK
Dividend Option: Cash CUSP 064058100
Page 7 of 18
v,., AscOco T uL H n E t N RA u m ber. O N4G-0 NL 2 I. 3 C 8 . 0 4 GO paperless ( D R v A a e b L r i y B d A V ta R s c e R , l A lI S T o l n E a i D l b C 2 O 0 M 07 M UNCA TIONS r •- e -„ e e r rs r c o ne n am 't - t re , a ra in1=s1 arc
FIDriSMAL n:MOWS
SDNY_GM_00046124
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008948
EFTA_00156733
EFTA01289096

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date ired Quaint hit Cod Cost Bads Market Price Markel Value Gala/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
BANK OF NEW YORK MELLON CORP CON (continued)
06125/14 250,000300 381060 9,076,06.00 39.4000 9,850,000.00 773,594.00 193000 00 1,92%
BIOGEN IDEL INC COM Security Identifier: 6118
Dividend Option: Cash CUSP: 09062X103
02/14112 ..13 2,095.000 119 5490 250,451.95 289.9300 607,103.35 356,948.10
CENTIME CORP DEL COM Seal rity Identifier: CNC
Dividend Option: Cash CUSP: 151350101
09108114 15,550.000 63 6450 989,679.75 70.5500 1.097.052.50 107,372.75
DISH NETWORK CORP CL A Security Identifier: DISH
Dividend Option: Cash CUSP 2547011109
06110115 5,000.000 72 9960 364,978.00 53.4200 267,100.00 -97,878.00
FACESOOK INC CL A Security Identifier: FB
Dividend Option: Cash CUSP. 3030311102
05111112 '.13 17,500.000 38.0000 665,000.00 123.9400 2,168,950.00 1,503,950.00
FOUNDATION MEDICINE INC COM Satiny Identifier FM I
Dividend Option: Cash CUSP: 350465100
01113114 25.000.000 27 5070 687,663.50 23.3700 584,250.00 ,103,413.50
08105114 24,830.000 23 2530 577,373.02 23.3700 580,277.10 2,904.08
Total Covered 49,830.000 1,215,038.52 1,184,527.10 -100,609.12
Total 19,830.000 $1,285,038.52 $1,184,527.10 4100,501.12 $0.00
GENERAL ELECTRIC CO CON Security Identifier: GE
Dividend Option: Cash CUSP: 36960/103
04123113 '.13 23.000.000 21.5700 196,109.08 31.1400 716,220.00 220,110.92 21,180.00 2.95%
GENERAL M TRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 37045V100
11118110 ' 10,988.200 361010 399,978.16 313400 346,567.84 .53,410.32 16,702.68 4.81%
12109110 ' 86.536.800 36.8180 3,185389.22 31.5400 2,729,370.66 .453598.56 131,535.94 4.81%
Total Nonøvered 97,525.000 3,515 917.30 3,075,938.50 -510,008.88 148,238.00
Total 97,525.000 $3,685,117,38 13,075,938.50 -$510,008.88 $118,238.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP. 375558103
02105/1/ 5,000.000 79 2810 396,407 00 79.4700 397,350.00 943.00 9,400.00 236%
03107114 3,100.000 79 6120 243797.00 79.4700 246,357.00 .440.00 5.828.00 2.36%
Total Coveted 8,100.000 641204.00 843,707.00 503.00 15,228.00
Total 8,100.000 $043,204.00 $843,707.00 1503.00 $15,228.00
GLAXOSM ITHKUNE PLC SPONS ADR Security Identifier: GSK
Dividend Option: Cash CUSP. 37733W105
Pap 8 of 18
05AN 901.1. A SO cc U o T u H n E t R N N u mber: 14404 R 238 i 0 F 1 I D G E o p N ape T rle I ss A (*), rD R tv x a A e t cL t n e i B d u , A • t r • R a • N • a R • e • l A l S • rT r i E d n D i a i C 2 O 0 M 07 M UNICAT,ONS ..«"Cltrient'st=rn=
SDNY_GM_00046125
CONFIDENTIAL — PURSUANT TO FED. R CRINA. P. 6(e) OB-SDNY-0008949
EFTA_00 156734
EFTA01289097

Deutsche Asset
& Wealth Management
Dralsev Na.. povor Wea I n. Manap-nent
Vinett C comae, tmp
PO Boa 1778. Beware. MO21203
Statement Period: 0710112016 - 07/31/2016
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Usli Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
Gin XOSMITH RUNE PLC VOUS ADR (continued)
06/10115 5000.000 43 0010 215,006.00 45.0700 225.350 00 10.344 00 '0 922 27 484Si
GLOBAL PARTNER ACQUISITION CORP Security Identifier: GPACU
UNIT I COM 81 WT EXP CUSP 31954X204
Dividend Option: Cash
07130115 • 2.000.000 10 0000 20.000 00 9.8600 19.720 00 .280 00
GODADDY INC CL A Security Identities: GDDY
Dividend Option: Cash CUSP 380237107
04101/15 700.000 20 0000 14.000.00 29.9200 20.944.00 6.944.00
MATCH GROUP INC COM Security identifier: MTCH
Dividend Oplion: Cash CUSP 5766006
11118115 200.000 12 0000 2.40000 15.7500 3,150.00 750 00
SANGAII 0 BIOSCIENCES INC COM Security identifier: SGM 0
Dividend Option: Cash CUSP 800611106
05128/13 '.13 50,000.000 8.4440 422 211 00 6.3300 316.500 00 .105.711.00
SANTANDER CONSUMER USA HLDGS INC COM Security Identifier: SC
Dividend Option: Cash CUSP 8028311101
01123114 1,000.000 24 0000 21.000 00 10.9900 10.990 00 -13.01000
SQUARE INC CL A Security Identifier: SO
Dividend Option: Cash CUSP 852234103
11119115 200.000 9.0000 1.800.00 10.0700 2.014.00 214 00
TERRAFORM GLOBAL INC CL A Security Identifier:61BL
Dividend Option: Cash CUSP 8810/11101
07131115 400.000 14 8300 5,931.81 3.1800 1,392 00 -4,539.84 410.00 31.80%
TWITTER INC CON Security Identifier: TW TR
Dividend Option: Cash CUSP. 901841102
11/07113 1,500.000 26.0000 39.000.00 16.6400 24,960.00 .14,040.00
VIACOM INC NEW CL 8 Security Identities: VIAB
Dividend Option. Cash CUSP 92553P201
Page 9 of 18
Account Number. N46-023804 Go paperless Rated tffsidlonl
08AN ROIL ONIFIDAMSITIAL r L Ox .. A . e . L m sW y o Y I m ea Re r A S rT e E n D to C 2 O 0 M 07 M UNICATIONS /meg WI amine IR AMme.K
SDNY_GM_00046126
CONFIDENTIAL — PURSUANT TO FED. R CRIN1 P. 66(e°) THEW' DB-SDNY-0008950
EFIA_00156735
EFTA01289098

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date ired Qua Umit Cod Cost Bads Market Price Markel Value GaielLoss Annual Mame Yield
Eq uities (continued)
Common Stocks (continued)
VIACOM INC NEW CL B (continued)
06110115 5,000100 67.7490 338,745.00 45.4700 227,350.00 •111,39500 8.000.00 3.51%
VOLKSWAGEN A G ADR (SPONS) Security Identifier: VLKAY
Dividend Option: Cash CUSP. 928662303
04113115 5100.000 50.8610 254,306.00 29.5800 147100.00 .101406 00 91.85 0.06%
WISDOM TREE INVYS INC CON Security Identifier: W ETF
Dividend Option: Cash CUSP: 97717P104
03131115 15,000.000 21 6110 324,157.50 9 9400 149.100.00 -175.057.50 4.800.00 3.21%
Total Common Stocks $66,135,861.92 $70,248,341.15 $2,112,679.93 $1,700,127.54
Preferred Stocks (bated by expiration date)
GM AC CAP TR I GTD TR PFD SECS SER 2 CPN• Security Identifier: ALLY PRA
8.125% FRED ORLY MATT-0211512040 CALL CLSP 361860208
ANYTIME 0 25 W130 DAYS BEGINS 02115116
Dividend Option: Cash
02122/12 I'M 80,000.000 23.5350 1,882,773.60 25.4200 2,033,600.00 150,826 40 162,500 00 7.99%
ROYAL BK SCOTLAND GP PLC WON ADR REPSTG Security Identifier: RBS PRT
SER T PFD CPN•7.25% FRED DRILY PERP M TY CUSP. 780097713
CALLO 25 ANY W130 D NOTICE AFTR 12131/12
Dividend Option: Cash
10124/12 '.13 40.010 000 23 7900 951.600.00 25.6400 1.025.599.99 71919 99 72.500.00 7.06%
01107/13 '.13 40.000 000 24 4400 977.600.00 25.6400 1,025.599.99 47,999 99 72,500.00 7.06%
01114/13 '.13 40,000 000 24 8800 995,20010 25.6400 1125,600.02 30100 02 72,500.00 7.06%
Total Noncovered 120,000.000 2,924,400.00 3,076,100.00 152,400.00 217,500.00
Total 120,000.000 $2,924,400.00 $3,076,600.00 $152,400.00 $217,500.00
Total Preferred Stocks $4,807,173.60 $5,110,400.00 $303,226.40 1380,000.00
Total Equities 172,942,835.52 $76,368,741.85 $2,415,906.33 12,060,127.54
Unrealized Estimated Estimated
Date Acriked Quoit/ Uok Cod Cost Bads Markel Price Markel Value Gale/ Loss Maual Income Yield
Exchange•Traded Products 2.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DXJ
Dividend Option: Cash; Capital Gins Option: Cash CUSP: 97717W851
60,000.00 of these shares are in your margin account
12111113 61000.000 49 4350 2.966.098.50 40.7300 2,443,800.00 -522,298.50 51,983.40 2.12%
Total Exchange•Traded Products $2,966,096.50 $2,443,600.00 •1622,298.50 $51,983.40
Page 10018
Account Number: N4G423804 s s Rasa tacelionvi
OBAB 4011 SOUTHERN FI D Go I pa A p erl e L ss a D n (v o A e n r U y ru M V n a . g 1 .S e 4 r i 0 n ( c 0 e C 2 O '0 M 07 M UNCATIONS
SDNY_GM_00046127
CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) OB-SDNY-0008951
EFTA_00 I 56736
EFTA01289099

Deutsche Asset
& Wealth Management
Drolsev Si,,, MOM Manale-rent
Ow 1770, Ba!ammo, MD 21203
Statement Period: 07/01/2016 • 0713112016
Portfolio Holdings (continued)
Unrealized Accrued Estimated
Cod Bails Market Value Gain/ Loss Interest Annual Income
Total Portfolio Holdings 8103604,456.98 $105,025,658.08 12,522,958.62 $526,783.94 13,797.95120
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 ('I RV') (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 nonretitement,
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 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
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired or after January 1, 2014.
011
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 Woking foreign bonds, bonds sold short or bonds issued vie 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 firm and Pershing makes no representation as to the accuracy of this information.
I Unrealized gains and losses are not reported for securities for which cost basis market value is not available.
or
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.
17
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 11 of 18
r
liflAB ROI A S c O c L o T u H n E t N RA u mber. N49.023804 DGor paapenrleAss L D R Ev a A e b U r i y d M V ta A . m R N o A s l T lo i C n n C e i I . C 2 O 0 M 07 M UNICATIONS 87.7.13=0..=."0.:—%"..•••••••=.
F I rxenurnaer
SDNCGM_00046128
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008952
EFTA_00 56737
EFTA01289100

Schedule of Realized Gains and Losses Current Period
Date Date Realized
Desaiptio- Disposed Acquired Designation Disposition Method I Transactioa Quantify Proceeds Cost Basle Gale/ Loa
Long Term
WASHINGTON MUT MTG S 07/22/16 12/13/13 Noncovered', REPYMT OF PRIN 1.290 000 000 1 956 99 1,497.46 459.53
004•RA2 MTG PASSTHRU CIF CI. C- 0 num& Cost Basis 1 497 46
B-1 VAR RATE 6.108% 07/25/33
Security Identifier: 939336S20
Total Long Term 1,956 99 1,491.46 459.53
Total Short and Long Term 1,956 99 1,497.46 459.53
• 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 (1RC") (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 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-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 hinds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide a sirnple rued 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 believe to be reliable.
Adjustments to cost basis can be made after year-end, in particular, for retum of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis
reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099.8 or online displays you may have avalable 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 on
the information provided herein for such reporting.
Cost Basis on fixed income securities may be adjusted for amorteation, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fired
income security, and certain attributes, obtained from sources bekeved 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 consult your tax advisor in the preparation of your tax retums.
1 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.
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax4ot disposition method. The disposition method is the method which you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your accounts selected tax lot method Mil 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 18
Account Number. N46.023804 Rated taceibria
IL)8AB MCYLL SOUTHERN ttri LLC. Go paperless E Drx v Aa e Lr r Bt y u A V rRt e r R e a r eK s rT o E w DC 2 O 0 M 07 M UNCATIONS -1.16 ameast noon warn. K'
NF I DAENTIAL
SDNY_GM_00046129
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008953
EFTA_0015 6738
EFTA01289101

Deutsche Asset
& Wealth Management
Dralcre Si,, Pon. Wealth Mariarmmt
P.O. Bo* 1778, Babimore, MD21203
Statement Period: 0710112016 • 07/31/2016
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 hell 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. Pursuant to SEC Rule 10b-10(bX1) confirmations are
not sent for purchases into money market mutual funds processed on the sweep platform
If Article 15 of the Ell Securities Financing Transactions Regulation f'SFTR1 is applicable to you, please refer to htqx://wiwtpershing.comCglobal-assets/pdfidisclosures/peneu-article-15-info-strntpdf for
access to an information statement disclosing the risks and consequences of delivering non-cash colateral under a relevant collateral arrangement with Pershing I1C (including a margin account). This statement
does not amend or supersede the express terms of any transaction, collateral arrangement or othenvise affect your or our liabilities or obligations. Please contact your financial professional if you have any
questions.
Activity Sum m a ry
(Alf 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 Bough: 000 000 000 0.00 -24.758.40600 -24.758,40600
Secuntres Sold 000 000 000 717.689 76 000 717.689 76
Securities Deposited 000 000 000 5,185.557 00 000 5,185.557 00
Total Securities $0.00 10.00 10.00 $5,903,246.76 -124,758,406.00 -118,855,159.24
Dividends and Interest 114,488.18 $0.00 $14,488.18 $1,911,003.18 -190,911.10 $1,820,092.78
Distributions 10.00 10.00 10.00 $4,504,473.21 10.00 $4,504,473.21
Fees $0.00 -827.00 -827.00 $0.00 -8395.00 -$395.00
Taxes Withheld 10.00 10.00 10.00 $0.00 -$5,558.07 -$5,558.07
Cash
Withdrawals 000 000 000 0.00 .11,891.59192 .11.891.591 92
Dentists 0.00 0.00 000 8,613,530.99 0.00 8,613.530 99
Total Cash 30.00 $0.00 $0.00 58,613,530.99 -$11,891,591.92 -83,278,080.93
Totals $14,486.18 -827.00 $14,461.18 $20,932,254.84 -08,7413,862.09 -515,814,607.25
Page 13 of 18
Account Num Der N46.023804 Rated tszollenti
Go paperless beefy Var. Lace 2007
SO TM ONLI.C. FIDAENTIAL DrxAeUstMor.m ReArT COCOMMUNCATIONS
SDNCGM_00046130
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008954
EFTA_00 156739
EFTA01289102

Transactions by Type of Activity
Process/
Settlement
Date Activity Type Description Quantity Price Accrued Interest Amount Currency
Securities Bought and Sold
07108116 SECURITY CALLED 011 395.000 EARTH LINK INC GTD SR AT FULLY 000 USD
270321AC6 EXCHANGED CUSP FROM 270321AB8 8.875% 05/15119
BIE DID 05117111 CLB CALLED BY LOTTERY
Total Securities Bought and Sold • U.S. DOLLARS 0.00 0.00
Dividends and Interest
07101116 CASH DIVIDEND RECEIVED 5000 SHRS VIACOM INC NEW CL B RD 06115 PD 07101116 2000.00 USD
MB
07/14116 FOREIGN SECURITY DIVIDEND GLAXOSSITHKUNE PLC PONS ADR FD 05113 FD 2,50097 USD
RECEIVED 07111116 5000
GSK
07125/16 CASH DIVIDEND RECEIVED 23000 SHRS GENERAL ELECTRIC CO COM RD 06/20 PD 5.290.00 USO
GE 07125116
07/25/16 BOND INTEREST RECEIVED 1290000 WASHINGTON MUTMTG SE-CS CORP 2001-RA2 3.18521 USO
939336520 M TG PASSTH RU CTF CL C-8-1 VAR RATE 6.108% 07/25/33
WE DTD 0610110/ RD 06130 PD 07125/16
07/29116 MONEY MARKET FUND DEUTSCHE GOVT CASH 1,512.00 USD
INCOME RECEIVED
233993682
Total Dividends and Interest • U.S. DOLLARS 0.00 14,416.10
Fees
07/01/16 FOREIGN CUSTODY FEE Fgn Safekeeping IN 2016 CUSR G1S1SPP4-8 -210 USD
GISISPP48
07/1/116 FEE ON FOREIGN DIVIDEND 5000 SH RS GLAXOSMITHKLINE PLC SPO NS NOR RD 05/13 -25.00 LSD
WITHHELD AT THE SOURCE PD 0711//16
GSK
Total Fees - U.S. DOLLARS 0.00 -27.0a
Total Value of Transactions 0.00 14,461.1$ USD
The price and quantity displayed may have been rounded.
Page 14 of 18
Account Number. MG-023804 Go paperless Rated [mallard,
liktAl• ROI I. SOU THERM ONLW. FIDESITIAL rDxAeLn BuA V rRn o a Ps r Ae S Tr i E v D a C 2 O 0 M 07 M UNICATOIS
SDNY_GM_00046131
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008955
EFTA_00 156740
EFTA01289103

Deutsche Asset
& Wealth Management
DIMS,' Beta P Wealth Mmarma
PO Boa 1778. Beware. MO21203
Statement Period: 0710112016 - 07/31/2016
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
1 to 5 years 3,990,785.00 16% Percentages of bond market values are
6 to 10 years 1,882,175.00 8% rounded to the nearest whole percentage.
Over 10 years 18,538,176.55 76%
Total 24,319,135.56 100%
Bond Quality
Bond Quality Market Value % of Bond Market Value
A 2,512 20750 11% IM Percentages of bond market values are
rounded to the nearest whole percentage.
BAA 10.088.425 00 41% MI
117j
8NLower 11,788,504.15 48%
Total 24,359,131.55 100%
Called Bonds
Eligible Called Call Type Redemption
Call Date Security Description Quantity Quality Price of Call Proceeds
08/0412016 EARTHLIKK INC GTD SR NT FL LLY EXCFAA GED 716,000 000 395.000 000 102 2190 Partial 403 765 05-
CUSIP FROM 270321A88 8.875% 05/15/19 BIE
DM 05)17111 CALLABLE 08128/16
Publication Date: 07/0612016
Client Service Information
Your Client Advisor: DAN
DANIEL SABBA
345 PARK AVENUE, 26184 FLOOR
NEW YORK NY 10154-0003
Page IS of 18
ttz5
Account Number. N46.023804 'Mud tmell•M
E"099386CSF30 :11 OBAII ROI t t,THERN F I D G AE o p N ape T rle I s s A L r [ O v xA e eL r n y Gu M Y rTn e Pa e Ae S Tr e C m O * C 2 O 0 M 07 M UNICATIONS
SDNCGM_00046132
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008956
EFTA_00 I5674 I
EFTA01289104

Your Account Information
Tax Lot Default Disposition M ethod
Default Method in 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:
Amortize 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
Electronic Delivery
You have not selected any account comm unications for electronic delivery. To register and turn off paper con m unications, log in to your account or contact your Qient 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 WI-IEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfoio value. Cash shown in this statement may not necessarily
be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are
sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will
be used in the release of the current month's statement. Prior statements wit not be revised. You should always request a current valuation fa your securities prior to making a financial decision or placing an
order.
Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts. Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets
are priced via third party sources believed to be reliable.
For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be
listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset the current price will purge and N/A will be placed in the price field in the statement. The
pricing of listed options takes into account the last closing price, as well as the current bid and offer prices.
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. polgical, 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
annipershing.conbusiness_continuity.Mml for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial intonation concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available anon written request to your introducing firm.
Fage16 of 18
I 'RA.,son A SO cc U o T u H n E t R N N u m tt b h e; b N 400 L 2 L 3 C 8 . 0 4 Go paperless R E rCx v A a e e b Ln r i L y d uU V t rM a t a r c Ra n e Ae l S l Tr o O E n S D i O . C 2 O 0 M 07 M UNICATIONS rear X.rttli= 'Cr vv. "%tr,
NF I D-ENTIAL
SDNY_GM_00046133
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008957
EFrA_00156742
EFTA01289105

Deutsche Asset
& Wealth Management
•C Mn, G.P fa' VMY nManapnera
Manias Cwrµf G•CaP
PO, ficw 1778, Bahimore, MD 21203
Statement Period: 07101/2016 - 07/3112016
Important Inform ation and Disclosures (continued)
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 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 & POOn. Reproducing and distributing any information received from Standard & Poors is not pennitted 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 a implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Pools shall not be legally responsible fa 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 (stags 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 Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
Callable Bonds
Pershing LLC receives the called bond information from several information sources which Pershing believes are reliable. Pershing does not guarantee the accuracy of the information. For callable options that
are available to you please contact your Client Advisor.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement 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 (I) any other instructions conceming your account Pershing is not responsible a 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 suitabdriy 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, is 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 suriabdity of those transactions, where applicable; the rendering of investment advice. if any, to you and in general. for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (291)413-3333. Al other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every posstle 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, ukase 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
Page 17 of 16
I }F1Alt A SO cc L o T u H n E t K RA u m hr. O N4G- K 023 I 80 F 4 ID G A o L pa 1 pe T rle r s I s A L 4 6 0 R rD b x e A a e e t L e f sO y d t A V u E R x r o n c R n e eA l W l rT e n E o t D , w C 2 O '0 M 07 M UNCATIONS •••••••ISC •••••••••••••• •••C
SDNY_GM_00046134
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008958
EFIA_00156743
EFTA01289106

Important Information and Disclosures (continued)
The Role of Pershing (continued)
provides coverage in excess of SIPC limits. For more detailed information please visit: vrtwrpershing.comfabout/strength-and-stability.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includag 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 fights, 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 U.C, 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, inckiding the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and ether discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reasons) for their awad, 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 ainority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose tin* 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 ULC 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 unfit (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 intonation is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399;
Page IS of 111
ORAN Ret A S c O c L o T u H n E t N RA u mber: N46423804 F I D Go r p E ap r er r le i s A s I R Cr v x a A o e c L r e sM y d u A V e rRt x a r c Ra . e . eA l L l r e T a n E c t D , e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046135
CONFIDENTIAL - PURSUANT TO FED. R CRIIVI P. 6(e) OB-SDNY-0008959
EFEk_00156744
EFTA01289107

Deutsche Asset
& Wealth Management
P.O. Lk* 1776. euluimore. MO2t203
Account Number: N48-023804
Statement Period: 06/01/2016 -0613072016
Portfolio at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 2108,801,648.02 $103,284,617.80
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals -1,000,000.00 -3 278.060 93
Net Securities InlOut of Account 0.00 5,185,557.00
ST THOMAS VI 00802
Adjusted Previous Acosunt Value 106,801,648.02 105,192,113.87
Dividends, Intemst and Other Income 211,376.27 1.945.077.81
Total Taxes Withheld -32.90 -5.551.07
Net Other Activity -2.00 -368.00
Your Client Advisor: Net Charlie in Portfolio -3.872.326.69 .4.990,602.91
DANIEL MESA nding Account Value S102 140 662 70 $102 140 662 70
Accrued Interest 5385,573.27
Estim ated Annual Income 33.777.098.34
Asset Summary
Prior Year-51d Lad Period This Period % Allocation
LSD Cash. Money Funds and Bank Deposits 26,834,143.83 6,608,177.03 5,819,518 40 5.70% Please review your allocation
LSD Axed Income 20,242,233.86 20,252,405.45 20,267,226.90 19.84% peroOcaiy wth you' Dlent Athos(
Non.L SD Axed Income 5.198,765.00 3,786,897.50 3117,482 50 3.84%
LSD Equities 47,972,851.11 73,490,392.04 69,972,722 90 68.51% r
Non-U SD Equities 3,038,624.00 2.663.778.00 2.383.712 00 2.31%
Account Total (Pie Chart) $103,2114,617.80 $106,801,648.02 3102,140,882.70 100.00%
See the Asset Summary Disclosure and Footnotes section for important information regarding your Asset Summary.
Page1019
ONA(.4 .011 B0097716CSF30024 GO NWTl ess D E k v a A e t U r . y . M VE * xa c R e. A l sl T ei E nv O ta C 2 O 0 M 07 M UNCATOONS
CON F IDEErriA rxerartraer
SDNY_GM_00046136
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008960
EFTA_00 156745
EFTA01289108

Asset Summary Disclosure and Footnotes
Al values are displayed in U.S. dollars based on interbank exchange rates as of C650/2016. 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 3039 76 -594.392 64
Long•Term Gain/Loss 438 61 1 r89.787 50 -2.720.588.12
Net Galn/Loss 438.81 1,092,827.26 -3,314,980.76
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the 'ECB') and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The
interest will be reported on your Forms 1099 and/or 1042 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting
arrangements, begin to charge negative interest rates on additional foreign currency balances.
Money Market Fund Detail
Date Activity Type Description Amount Babes*
Sweep Money Market Fund
DEUTSCHE GOVT CASH IN STI.
Current Yield. 0.34% Activity Ending. 06/30116
06101/16 Opening Balance 6342.387.78 6.542.387.18
06/01/16 Deposit MONEY FUND PURCFASE 65,78925 6,608,177.03
06/02/16 Withdrawal MONEY FUND REDEMPTION -2.00 6.608.175.03
06/16/16 Deposit MONEY RAO FURCFASE 49,38010 6,657.555.03
06/17/16 Withdrawal MONEY RAO REDEMPTION -1.000.000.00 5.657.555.03
06/24/16 Deposit MONEY FUND FIACFASE 37.059.50 5.694.614.53
06/27(16 Deposit MONEY FUND FURCFASE 26,100.00 5,720,714.53
06/28/16 Deposit MONEY FUND PURCFASE 38,992.00 5,759,706.53
06/30/16 Deposit MONEY FUND NRCI-ASE 3.807.00 5.763.513.53
06130/16 Deposit INCOME REINVEST 1.538.02 5.765.051.55
06130116 Closing Balance $5,765,051.55
Total All Money Market Funds $5,765,051.55
Page 2 of 19
URAL, ROI t A SO cc U o T u H n E t R N N u mber. C N4 5 0 . 4 23804 F I D G E p N p T a perless R D L rx v A a e e t L e s r B y d aA C rRt a r Ra ro eA L l rT le a E r t . D e C 2 O 00 M 7 M UNCATKINS —17. =
SDNY GM 00046137
IA Cr—jr
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008961
EFTA_00 156746
EFTA01289109

Deutsche Asset
& Wealth Management
0ruicre Ram P',ni roan masaienan
P.net$ COdn774,0.7
PO Boa 1778, 8shimore. M021203
Statement Period: 06/01/2016 • 06130/2016
Income and Expense Summary
Current Period Year-to-Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 95,36625 0.00 907,972.67 0.00
Money Market 1,538.02 0.00 6,761.26 0.00
Other Dividends 75,480.00 0.00 447,980.00 000
Interest Income
Bond Interest 38,99210 000 37006019 0.00
Other Interest 0.00 0.00 72,991.68 0.00
Expenses
Margin Interest 0.00 0.00 000 .161 10
Withholding Taxes •32.90 000 .5.558.07 0.00
Fees(Foreign Securities) 0.00 0.00 -250.00 0.00
Total Dividends, Interest, Income and Expenses $211,343.37 $0.00 61,799,957.63 -1181.10
Distribudons
Alternative Investments 0.00 0.00 000 139.473.21
Total Distributions $0.00 20.00 $0.00 6130,473.21
Portfolio Holdings
Account Activity Opening dose Awued Income 31.Day Current
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 6.00% of Portfolio
Cash Balance 65,78925 54,466.85
Money M arket
DEUTSCHE GOVT CASH INSTL
06101116 5,765.051 550 MA 06130116 6,542,387.78 5.765.051.55 0.00 6.76126 0.30% 0.34%
Total Money Market 56,542,387.78 $5,785,051.55 $0.00 $6,761.26
Total Cash, Money Funds, and Bank Deposits $6,608,177.03 $5,819,518.40 $0.00 $6,761.26
Page 3 of 19
AAccccoouunntt Number 646623804 Mood tscolleria
Into,. r,,,, SO U TH ERA ttn NLLC. F ID r p a ap r er I le A ss L D E rx v Ae e nU ry u M • r • t • .r R • a • eA v rT o E t O e C Z O 0 M 07 M UNCATIONS
SDNY_GM_00046138
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008962
EFTA_00156747
EFTA01289110

Portfolio Holdings (continued)
Adjuged Unrealized Accrued Estimated Estimated
Date ired Quail Umit Cost Cod Basis Market Price Market Valve Gain/ Loss Interest Annual Income Yield
Fixed Ineome 23.00% of Portfolio (In M meaty Dee Sequence)
'Asset Backed Securities
WASHINGTON NUT NTG SECS CORP 2004•RA2 Security Identifier: 939336520
I/ TG PASSTHRU CTF CL C-B-1 VAR RATE
6.330% 07/25/33 WE DID 06/01/01 S 8 P Rating
Factor. 0.18503068 Effective Date:06101/16
Current Face Vgue: 625.689577
12/13/13'•3.12 1,290,000.000 76.5190 478.76815 84.0220 525,716 90 46,917.95 3,190.86
Onginal Cosl Basis: $638.906.71
Total Asset Backed Securities 8478,768.95 5526,718.90 $48,947.95 53,190.68 $0.00
1,290,000.000
Total Current Face Value : 625,689.577
Corporate Bonds
EARTH UNK INC GTO SR NT FULLY EXCHANGED Security Identifier: 270321AC8
CUSP FROM 270321488 8.875% 05/15/19 BIE
DID 05117/11 CALLABLE 07130116 S8 P Rating CCU
10/22/12 '.3.12 148,000 000 102 4790 149.619.65 102.0000 148,920.00 499 65 1.619,69 12.957 50 8.70%
Original COI Bak 9151,110.00
10/23/12 '.3.12 800.000 000 102 4290 614.572.59 102.0000 612.000.00 -2.572.59 6.656.25 53.250 00 8.70%
Onginal Cod Basis: $819600.00
Total Noncoured 718,000.000 754,192.24 760,920.00 4,272.24 8,276.94 88,207.50
Total 718,000.000 $751,192.24 5760,920.00 -$3,272.24 88,276.94 $86,207.50
FRONTIER COMMUNICATIONS CORP Security Identifier: 35908AAN1
SR NT 8.500% 04115120 WE
DTD 04112110 1ST CPR DTE 10/15/10 Moody Rating BA3 S
P Rating ES
07/06115 3,000,000.000 104 6850 3.140.551.46 106.1250 3.183.750.00 43,198.50 53,125.00 255,000.00 8.00%
0 nginal Cost Basis. S3 171,006 00
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: GIS1SPP48
TERM NOTES 'S94%90717735822
9.875% 12/16/21 REG DTD 12/16111 Moody Rating Baal S
P Rating BBB
12104/13 '.3.12 1,500,000.000 106 3790 1,595,690.36 103.1700 1,547,550.00 .48,110.36 79,822.92 118,125.00 9.57%
Original Cosl Basis: 51.627,50000
BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 08739FIIKO
INK It US06739F1403 7.750% 04/10/23 B/E
DTD 0/110113 CALLABLE 01/10118 S8 P Rating BB.
01103/13 '.12.13 300,000.000 100.0000 300.000.00 103.2500 309,750.00 9 750 00 5.16667 23 250 00 7.50%
Original Cod Basic 9300,000.00
Page < of 19
Account Number: 144G-023801 Rated taconenti
Be0977:CCSF3,' . U8A0 /4011 SOUTHERN LL 0. Go paperless I rC v xA o cL r iMt y u A V rRt . r A Ra . eA L rT a E c D e C Z O O M 07 M UNC ATIONS etrelmaa."2=rint la ONta•••••••••
IN F I DAENT I AL
SDNY_GM_00046139
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008963
EFrA_00 156748
EFTA01289111

Deutsche Asset
& Wealth Management
Drolly ,e Ram Pow, Wealth Manap-'wat
Vineit. Comae, Gopyp
PO. Bca 1778. Ballimore, MD 21203
Statement Period: 0610112016 - 06/30/2016
Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Clardy 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 SHS REPSTG Security Identifier: 46825HHA1
1110TH PFD SERI FD TO FLTG RT BO
7.900% 04129/49 WE DTD 01123108 Moody Rating BM3 S
P Rating BB&
08115/11 '.1.12 2,500,000.000 107.5000 2,687,500.00 102.0000 2 550.000 00 •137.50000 32,916.67 197.500.00 7.74%
Original Cost Basis: 52,687,500.00
09115111 '.3.12 2 500,000 000 107 0000 2,675,000.00 102.0000 2 550.000 00 -125.00000 32,916.66 197.500.00 7.74%
Original Cost Basis: 52,675,000.00
Total Noncovered 5,000,000.000 6,362,600.00 5,100,000.00 ,262,500.00 65,833.33 395,000.00
Total 5,000,000.000 25,302,500.00 $5,100,000.00 -$262,500.00 565,833.33 $395,000.00
BANK AMER CORP PERP NON COM ULATIVE DEP Security Identifier: 060505D T8
SHS FIXED TO FLOAT 8125% 0/130/58 WE
DTD 04130108 CALLABLE 05/15/18 Moody Rating BA2 58 P
Rating BP
01111)111 2,000,000.000 1027500 2,055,000.00 100.2500 2,005,000 00 •50,00000 20,312.50 162 500 00 8.10%
Original Cost Basis: 52055,000.00
SOUTHERN CALIF EDISON CO PREF SER E Security identifier: I42400FU2
6.250% 01117182 WE DTD 01117112
CALLABLE 02/01122 0 100.000 Moody Rating BAA1 S 8 P
Rating BBB-
01130112'.3.12 3,000,000.000 99 8430 2,995,283.36 110.0000 3,300,000.00 304,716 64 77,604 17 187 500 00 5.68%
Original Cost Basis: 52,992,564.97
GENERAL SIC CO GTO FXD-TO•FLTG RT Security Identifier: 369604BM 1
NONCUMULATIVE PERPETUAL PREFERRED
4.000% 12103/85 REG DTD 12/03/15 Moody Rating A3 58
P Rating M-
12103115 2.469,000 000 88 0930 2,175,016.17 100.0000 2,169,000 00 293,983.83 1,11500 98,760 00 4.00%
Original Cost Basis: 52.175.016.17
Page 5 of 19
l)8A11 RCM Acc U o T u H n E t N RN u mber:NG-0 I 2 N 3 8c0 • F 4 I D G A o p E ap N erl T es I s A L P D L e v Ax a e Lt r d O y r aA V [w R . , . N a R . i C l A e W I T r . E o D e, C 2 O 0 M 07 M UNICATIONS i • r •••• e •• la L t • r C O nThtri lta rmarmilor=
SDNY_GM_00046140
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008964
EFDLOO 156749
EFTA01289112

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cosa Cost Basis Market Nice Market Valve Gain/ Loss Interest Mnual name Yield
Fixed Income (continued)
Corporate Bonds (continued)
'LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4
ADDL TIER 1 SECSISINt0S539439AG12
7.500% 04/27/88 WE DTD 04/07/14 S 8 P Rating EIS
Please Provide' 1.903.000.000 N/A Please Provide 97.7500 1.860.182.50 N/A 1.189.38 147725.00 7.67%
Original Cost Basis: Please Provide
CITIGROUP INC FXD RT SR NT PERP DEP RECPT Security Identiner: 172987ES
5.950% 08/15/88 WE DTD 08/12/15
CALLABLE 08/15120 ftl 100 000 Moody Rating BA2 S 8 P
Rating BB.
08106/15 3.000.000.000 100 0000 3.000.006.00 97.4280 2.922.840.00 •71.168.00 66.937 50 178.500.00 6.10%
Original Cost Basis $3,000,006.00
Total Corporate Bonds 121,388,239.69 123,458,99230 3210,570.41 6382,382.41 $1,657,567.60
22,918,000.000
Total Fixed Income 621,887E011.54 $23,984,709.10 1257,518.38 6385,673.27 $1,857,587.50
24,208,000.000
Unrealized Estimated Estimated
Date 'acquired Quality Unit Cod Cost Basis Market Price Markel Value Gain/ Loss Mnual Income Yield
Equities 69.00% of Portfolio
Common Stocks
M °BREVE NV AM STELVEEN ORD SHS Security Identifier: M BLY
IA010010831061 CL SP N51488117
Dividend Option. Cash
08101/14 800.000 25 0000 20.000.00 46.1400 36.912.00 16,912.00
ADVERUM BIOTECHNOLOGIES INC Security Identifies: AOVM
COM COSIP 00773L 108
Dividend Option. Cash
10.000 00 of these shares are in your margin account
04120115 10,000.000 39 8610 398,606.00 3.1600 31,600.00 .367,006 00
AKORN INC COM Security Identifier AKRX
Dividend Option: Cash CU SIP. 009728106
06110115 5.000.000 468410 231.206.00 28.1850 112,425 00 -91.781.00
AUBABA GROUP HLOG LTD SPONSORED ADS Security Identifier: BABA
IS% tiliS01809W1027 CUSP 01609W102
Dividend Option: Cash
06110115 5,000.000 88 9500 411,749.00 79.5300 397,650.00 .47,099.00
ALUANZ SE SPONSADR REPSTG 1110 SUS Security Identifier: AZSEY
Dividend Option: Cash CUSP 018805101
Page 6 of 19
Account Num Der. N4G-023804 Go paperless R Lv a e te ry d V ta e r e o , l l S e i r n 4 c e 7007 .17.:=7...'.-..'.1:==1.7 art=
SOUTHERN ONLLC. FI D ESITIAL rDxAcL OiuAmR ,TeEr D COMMUNCATIONS
SDNY_GM_00046141
FV
CONFIDENTIAL — PURSUANT TO FED. R CRI6,1. P. 6(e) O13-SDNY-00O8965
EFTA_00 15 6750
EFTA01289113

Deutsche Asset
& Wealth Management
(70.((e Si. 0,00 V000. Manarent
MWRISIDevarGtop.p
P.O. Box 1778, BaMimorce, M021203
Statement Period: 06/01/2016 - 06/30/2016
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Omantlly UM Cod 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 14.1980 70.990.00 .19,066 00 3,059.77 4.31%
APOLLO GLOBAL NOM T LLC CL A SHS Security Identifier: APO
Dividend Oplion: Cash CUSIP 037612306
03129(11 1.33 263.157.000 19 0000 1.999.983 00 15.1500 3.986.828.55 .1.013.15415 342.104.10 8.58%
APPLE INC COM Security Identifier: AAPL
Dividend Option: Cash CUSIP 037833100
250,000 00 of these shares are in your margin account
10(26(13 3 14.000.000 75 5800 1.058.120 50 95.6000 1,338,400.19 280.279.69 31.920.00 2.38%
09(05114 124.180.000 98 9500 12.287.615 97 95.6000 11,871,607.97 -116.008.00 283.130.10 2.38%
09105111 3 7.20.0.000 98 9500 712.110 29 95.6000 688.319.83 •24.12016 16,416.00 2.38%
0910511/ 18,620.000 98 9500 1,812,449 71 95.6000 1,780,072 18 -62,377.56 12,453.60 2.38%
01111(16 250.000.000 99 0000 21350.006 00 95.6000 23.899.999 83 .850.006.17 570.000.00 2.38%
Total Covered 411,000.000 10,850,832.50 39,578,100.00 1,072,231.50 943,920.00
Total 411,000.000 310,850,83350 $39,578,400.00 .$1,072,232.60 5943,910.00
ARM PHARMACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash Cli&P 040334100
02111(12'.13 7.535.000 152090 114.597.10 7 3900 55.683.65 48,913.75
01121113'.13 9,000.000 198000 176,100.00 7 3900 66,510.00 -109G90.00
Total Noncovered 18,535.000 290097.10 122,193.65 -188,80335
Total 18,635.000 5290,997.10 $122,193.65 -6168,803.75 30.00
ASCENA RETAIL GROUP INC CON Seaffity Identifier: ASNA
Dividend Option: Cash CUSIP: 013516101
01/16101 70.500 000 21 2770 1,500.000 00 6 9900 092.795 00 -1.007.20500
BASF SE SPONS AOR Security Identifier: BASFY
ISIN8 LS0552625057 CUSIP 055262505
Dividend Option: Cash
04113115 5 000 000 101.6110 508.056.00 76.2560 381,280.00 .126176.00 12.163 55 3.19%
BANK OF NEW YORK M ELLON CORP CON Security Identifier: BK
Dividend Option: Cash CUSIP 064058100
Page 7 of 19
Account Num ber. N40-023804 IIMW tacelloni
()PAP 2011 SOUTHERN ONLI.C. iFID Go E pa S pe M rless A L rD (v xA e imL r B y u A V rR s m R 0 e A 5 T r 1 007 C 2 O 0 M 07 P AUNCATIONS
SDNY_GM_00046142
CONFIDENTIAL — PURSUANT TO FED R CRIM. P. 6(e) O13-SDNY-0008966
EF114_00 I 5675 I
EFTA01289114

Portfolio Holdings
(continued)
Uerealized Estimated Estimated
Dale ired Ottani Unit Cost Cot Basis Market Price Market Valet Gait Loss Annual Income Yield
Equities (continued)
Common Stotts (continued)
BANK OF NEW YORK II ELIO N CORP CON (continued)
06125114 250,000 000 36.3060 9,076,406.00 38.8500 9,712,500.00 636,094.00 170.000 00 1.75%
BIOGEN IDEC INC COM Security Identifier: BIIB
Dividend Option: Cash CUSP. 09062X103
02114112 '.13 2,095.000 119 5490 250.454.95 241.8200 506,612.90 256,157.95
CENTIME CORP DEL COM Security Identifier: CNC
Dividend Option: Cash CUSP. 151358101
09108114 15,550.000 63 6450 989.679.75 71.3700 1.109.803.50 120.123.75
DISH NETWORK CORP CL A Security Identifier: DISH
Dividend Option: Cash CUSP: 2547011109
06/10/15 5,000.000 72 9960 364.978.00 52.4000 262,000.00 •102,97800
FACEBOOK INC CL A Security Identifier: RI
Dividend Option: Cash CUSP: 3030311102
05117/12 '.13 17,600.000 38.0000 665,000.00 114/800 1,999,900.00 1,334,900.00
FOUNDATION MEDICINE INC COM Security Identifier: FM I
Dividend Option: Cash CUSP: 350465100
01113114 25.000.000 27 5070 687,663.50 18.6600 466,500.00 ,221,163.50
08(05114 24,830.000 23 2530 577,373.02 18.6600 463.327.80 -114.04522
Total Covered 49,830.000 1,286,038.52 929,82710 -336,208.72
Total 49,830.000 91,266,030.52 $929,827.80 -63315,208.72 $1.00
GENERAL ELECTRIC CO CON Staidly Identifier: GE
Dividend Option: Cash CUSP: 369604103
04123113 '.13 23.000.000 21.5700 496,109.08 31.4800 724,040.00 227,930 92 21,160.00 2.92%
GENERAL M TFtS CO COM Security identfiler: GM
Dividend Option: Cash CUSP: 37045V100
11118110 ' 10,968.200 36.4010 399,976.16 28.3000 310,966.07 .89,012.09 16,702.08 5.37%
12109/10 ' 80.536.800 36.8180 3,185,969.22 28 3000 2,448,991.43 ,736,977.79 131,535.94 5.37%
Total Nonoovered 97,525.000 3,586 947.38 2,760,957.60 ,826,989.88 148,238.00
Total 97,525.000 03,06,947.38 $2,759,957.50 -6826,989.88 $148,238.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP 375558103
02/05114 5,000.000 792810 396,407 00 83.4200 417.100 00 20.693.00 9,400.00 2.25%
03107/14 3,100.000 79.6120 246,797.00 83.4200 258,602.00 11,606.00 5,828.00 2.25%
Total Coveted 8,100.000 643,204.00 875,702.00 32,498.00 16,228.00
Total 8,100.000 6843,204.00 $675,702.00 632,498.00 616,228.00
GLAXOSM ITHKUNE PLC SPONS ADR Security Identifier: GSK
0 widend Opbon Cash CUSP 37733W105
Page 8 of 19
Account Number. N4G-023804 Rated tscolleni
Go paperless Lowy Year Since 2007
SO L TH ERN Cti.
NJ F I D.-ENT-NAL
DrxAeUsMtm. RieArT ED COMMUMCATIONS
SDNY_GM_00046143
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-00O8967
EFrA_00 156752
EFTA01289115

Deutsche Asset
& Wealth Management
R•ni Wolin PAnair,tat
Mnts tovet•gtO•ap
PO &a 1776, &Amon% MO21203
Statement Period: 06/01/2016 - 06130/2016
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Qeantity Uilt Cost Cost Basis Market Price Markel Valve Wind Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
Gin XOSM ITH KLINE PLC SPONS ADR (continued)
06/10115 5,000.000 43.0010 215,006.00 43.3400 216,700 00 1,694.00 11.580.91 5.34%
GLOBAL PARTNER ACQUISITION CORP Security Identifier: GPACU
UNIT 1 COM 8 1 WT EXP CUSP 37954X204
Dividend Option: Cash
07130115 ' 2.000 000 10 0000 20.000 00 9.8000 19.600.00 •40000
GODADDY INC CL A Security Identifier: GO DT
Dividend Option: Cash CUSP 380237107
04101115 700.000 20 0000 14.000 00 31.1900 21.833.00 7.633.00
MATCH GROUP INC CON Security Identifier: M TCH
Dividend Option: Cash CUSP 57665R106
11116115 200.000 12.0000 2.400.00 15.0750 3,015.00 615.00
SANGAM 0 BIOSCIENCES INC COM Security Identifier: SGM 0
Dividend Option: Cash CUSP. 800677106
05128113',I3 50,000.000 8.4410 422.214 00 5.7900 289,500.00 -132,714.00
SANTANDER CONSUMER USA SLOGS INC COM Security Identifier: SC
Dividend Option: Cash CUSP 8028314101
01123114 1.000.000 24 0000 24.000 00 10.3300 10.330.00 •13.67000
SQUARE INC CL A Security Identifier: SO
Dividend Option: Cash CUSP 852234103
11119115 200.000 9.0000 1,800.00 9.0500 1,810.00 10.00
TERRAFORM GLOBAL INC CL A Security Identifier: GLBL
Dividend Option: Cash CUSP 8810414101
07131115 400.000 14 8300 5.931.84 3.2600 1,304.00 -4,627.84 41000 33.74%
TWITTER INC COM Security Identifier: TIV TR
Dividend Option: Cash CUSP 901841102
11107113 1.500000 26 0000 39.000 00 16.9100 25.365.00 -13,035.00
VIACOM INC NEW CL 8 Security Identifier: VIA8
Dividend Option: Cash CUSP 92553P201
Page 9 of 19
Account Number. 1146423801 Rated 4I.S
MIAN V, 67e; THERA ENO. LI.C. Go paperless D E A n L v y B A Y R e a R r A S T i E nc D e C 2 O 0 M 07 M UNICATIONS
Ni F I DESTITAL rxenurmer
SDNY_GM_00046144
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. OB-SDNY-0008968
EFIA_00156753
EFTA01289116

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Dale Appired Quatity Limit Cod Cod Basis Market Price Markel Value Geld Loss Mnual Income Yield
Equities (continued)
Common Stocks (continued)
VIACOM INC NEW CL B (continued)
06110115 5,001000 67.7490 338,745.00 41.4700 207,350.00 .131,395 00 8.000.00 3.85%
VOLKSWAGEN A G ADR (SPONS) Stonily Identifier: VLKAY
Dividend Option: Cash CUSP: 928662303
04113115 5.000.000 501610 254,306.00 26.7520 133,760.00 .120.546 00 91.85 0.06%
WISDOM TREE IN VTS INC CON Security Identifier: W ETF
Dividend Option: Cash CUSP: 97717P104
03131115 15,000.000 21 6110 324,157.50 9.7900 146,850.00 -177,307.50 4.800.00 3.26%
Total Common Stocks 188,135,881.92 184,998,834.90 -$3,138,827.02 91,880,788.18
Preferred Stocks (Listed by expiration date)
GM AC CAP TR I GTD TR PFD SECS SER 2 CPN - Security Identifier: ALLY PM
8.125% FRED DRILY MATY-0211512040 CALL CUSP. 361860208
ANYTIME 0 25 W130 OATS BEGINS 02/15116
Dividend Option: Cash
02122112'•12 80,000.000 23.5350 1,882,773.60 24.8200 1,985,600.00 10212640 162 500 00 8.18%
ROYAL BK SCOTLAND GP PLC WON ADR REPSTG Security Identifier: RBS PRT
SER T PFD CPN-7.25% FRED DRILY F'ERP M TY CUSP. 780097713
CALL@ 25 ANY W130 D NOTICE AFTR 12/31/12
Dividend Option: Cash
10124112 '.13 40.000 .000 23 7900 951.600.00 25.2100 1.008.399.99 56.799 99 72.500 00 7.18%
01107113 '.12 40.000 000 24 4400 977.600.00 25.2100 1,008,399.99 30.799 99 72.500 00 7.18%
01114113 '.13 40,000 000 24 8800 995,200.00 252100 1,008,400.02 13,200 02 72,500 00 7.18%
Total Noncovered 120,000.000 2,924,400.00 3,025,200,00 100,800.00 217,500.00
Total 120,000.000 $2,924,400.00 $3,025,200.00 1100,800.00 $217 500.00
Total Preferred Stocks $4907,173.80 15,010,800.00 $203,828.40 1380,000.00
Total Equities 172,942,835.52 170,009,834.90 -$2,933,200.62 12,060,786.18
Unaided Estimated Estimated
Date Acuired QuaetNY Uoil Cod Cod Basis Market Price Markel Value Gold Loss Mnual 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 CUSP. 97717W851
60,000.00 of these shares are in your margin account
12111/13 60,000.000 49 4350 2,966,098.50 38.7800 2,326,800.00 .639,298 50 51,983.40 2.23%
Total Exchange-Traded Products 92,988,098.50 02,326,800.00 -8839,298.50 051,983.40
Page 10 010
4t)
USAF, VL I A SO cc U o T u H n E t N RN u mber N46-02380 F 4 I D Go r p i a T pe n rles A s L I D R r v x a A o e te s U r d , u M V [ r s n s . a i a i t l r 0 e i e S r T n O E S t O , O , C 2 O 0 M 07 M UNICATIONS ••••••eima --••••••••..flue.•e
SDNY_GM_00046145
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008969
EFTA_00 56754
EFTA01289117

Deutsche Asset
& Wealth Management
Drallsev Ram r. .. wean savvernan
Maniet$ COMM 00.p
ea
&a 1778, Balmer*, MA 21203
Statement Period: 0610112016 • 06/30/2016
Portfolio Holdings (continued)
Unrealized Accrued Estimated
Cod Basle Market Value Gain/ Loss Interest Annual Income
Total Portfolio Holdings 3103,595,410.96 $102,140,662.70 -13,314,980.76 3385,513.27 63,777,098.34
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 ('IRC') (incorporating
amendments enacted by P.L.110-343. the Emergency Economic Stabilization Act of 2008) and are. therefore, considered "noricovered." under the new cost basis reporting rules. and marked or denoted as such.
M other securities in this section are securities which are 'covered under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non4ettement,
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 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 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 form and Pershing makes no representation as to the accuracy of this information.
g 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
6
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
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.
Page II of 19
cr.) KJ
Account Num be; N46023804 Rated I...1bn' nt Tr, •t . =nests.v — vr.v.
OBAS ROLL SOL THERA F ID G E o p N ape T rle 1 ss A L Dr (v xA e aL r r y Ba Y rAn e . aR w eA S rT l C a O te C 2 O 0 M 07 M UNICATIONS
SDNCGM_00046146
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008970
EFTA_00 156755
EFTA01289118

Schedule of Realized Gains and Losses Current Period
Date Date Realized
DescriMioe Disposed Acquired Designation Disposition Method I Transaction Quantity Proceeds Cost Bads Wet Loss
Long Term
WASHINGTON MUT NIG S 06124116 12113113 Noncovered'. REPYMT OF PM 1.290 000 000 1.867 91 1,429.30 438.61
004•RA2 MTG PASSTHR11 CIF CL Original Cost Basis 1 429 30
8-1 VAR RATE 6330% 07125133
Security Identifier: 939338520
Total Long Term 1,861.91 1,429.30 438.61
Total Short and Long Term 1,867.91 1,429.30 436.61
• 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 ('IRC") (incorporating
amendments enacted by P.L.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 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 rued payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014.
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 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 aid 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 property report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or
warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and 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 trod
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 n the preparation of your tax returns.
1 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 alternation.
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax4ot disposition method. The disposition method is the method which you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaufted 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-B.
Page 12 of 19
Account Num ber. N4G-023804 GO paperless Rated Excellent, eor.L:7:6=="0..=="'"-=
DOAN 901.1 SOUTHERN C5 DrxAeLs OuA V rRt a r R n a eA 5 rT 4 E 0C D . C 2 O 0 M 07 MUNICATIONS
NJ F ID rifilAL
SDNY_GM_00046147
NJ
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) DB-SDNY-0008971
EFTA_00 I 56756
EFTA01289119

Deutsche Asset
& Wealth Management
Dralsev RIM P.P.,. W,Yn Mair ,ryd
P.O. Box 1770, BaOmar*. MD 21203
Statement Period: 0610112016 - 06/30/2016
M essages
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 produces disclosure document or contact your advisor for additional information. Pursuant to SEC Rule l Ob-10(b)(1) confirmations are
not sent for purchases into money market mutual funds processed on the sweep platform.
If Ankle 15 of the EU Securities Financing Transactions Regulation ('SFTR•( is applicable to you, please refer to Ittps://wempershing.corni_global-assetsipdfidisclosures/peneu-article-15-info-strntpdf for
access to an information statement disclosing the risks and consequences of delivering non-cash collateral under a relevant collateral arrangement with Pershing I1C (including a margin account). This statement
does not amend or supersede the express terms of any transaction, collateral arrangement or otherwise affect your or our liabilities or obligations. Please contact your financial professional if you have any
questions.
Activity Sum m ary
(Alf 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
Secontles
Securities Bought 000 000 000 0.00 -24.75840600 -24.758.40600
Securities Sold 0.00 000 0.00 717.689.76 0.00 717.689 76
Securities Deposited 000 000 0.00 5,185,557.00 0.00 5 165 557 CC
Total Securities $0.00 $0.00 30.00 15,903,246.76 -$24,158,408.00 .$18,655.159.24
Dividends and Interest 6211,376.27 60.00 $211,318.27 81,898,515.70 -390,911.10 61,805,604.60
Distributions $0.00 60.00 30.00 14,604,473.21 $0.00 $4,504,473.21
Fees $0.00 •62.00 -62.00 $0.00 -8388.00 -$368.00
'faxes Withheld $0.00 -$32.90 -632.90 $0.00 -65,558.07 -$5.558.07
Cash
Withdrawals 0.00 -1.000,000.00 -1,000,000.00 0.00 -11,891,591.92 -11,891,591.92
Deposits 0.00 0.00 0.00 8,613.530.99 0.00 8,613,530.99
Total Cash $0.00 -$1,000,000.00 -$1,000,000.00 18,813,530.99 -811,891,59132 -13,278,080.93
Totals 8211,378.27 -$1,000,034.90 -$788,656.63 $20,917,78636 -$36,748335.09 .$15,829,068.43
DrErriAeilt Page 13 of 19
Account Number: PM-023804 Go paperless Every v m a o . l s ls in M c e 2007 raratrot=" 41.....TIIIIIIIIIIMMOIIMO
SOL THEM K1F I RDrxAAaIrDMtuA[rRn RaAeTr ED COMMUNICATIONS MAIM NA Am., "..., "n"..0
SDNY_GM_00046148
CONFIDENTIAL - PURSUANT TO FED. R CRIN1. P. 6(e) OB-SDNY-0008972
EFTA_00 156757
EFTA01289120

Transactions by Type of Activity
Process/
Settlement
Date Activity Type Desaidtion Dean Price Accrued littered Moult Curren
Dividends and Interest
06115116 CASH DIVIDEND RECEIVED GENERAL BIC CO GTD FXD-TO-FLTG RT NON-CUM 6 LATIVE 49.38010 LSO
3696040M4 4.000% 12103165 REG RD 6/14 PO 611 5116 DIV(' 20.0
2169000SHS
06123116 CASH DIVIDEND RECEIVED 97525 SI•RS GENERAL M TRS CO COM RD 06/10 PO 06/23/16 37.059.50 LSD
GM
06124116 CASH DIVIDEND RECEIVED 60000 SF RS WISDOM TREE TR JAPAN HEDGED EQUITY PD RD 26.100.00 LSD
OM 06/22 PD 06/24/16
06/27/16 FOREIGN BOND INTEREST 1903000 LLOYDS BANKING GROUP PLC FXD RATE RESET 35,681.25 LSD
539439AG4 ADDL TIER 1 SECS ISM/ US539439AG42 7.500% 0/127188
WE DTD 04107/14 CLB RD 06/21 PD 06/27/16
06/27/16 BOND INTEREST RECEIVED 1290000 WASHINGTON MLTMTG SECS CORP 2004.12/L2 3,310.75 LSO
939336S20 WIG PASSTFRL. CTF Cl. C-B-1 VAR RATE 6.330% 07125133
WE DTD 06101104 RD 05131 PD 06125116
06129/16 CASH DIVIDEND RECEIVED 8100 ShRS GILEAD SCIENCES INC RD 06/16 PO 06/29/16 3,807.00 LSD
GILD
06130/16 MONEY MARKET FIEND DELTSCFEGOVT CASF 1,538.02 LSD
INCOME RECEIVED
233993682
06/30/16 FOREIGN SECURITY DIVIDEND 120000 SF RS ROYAL 8K SCOTLAND GP PLC SPON ADR 54,375.00 LSO
RECEIVED REPSTG SER T PFD CPA-7.25% FRED DRILY PERP II TY
Ft1S PRT CALLA 25 ANY W/30 D NOTICE ARA 12/31112 RD 06115 PD
06/30/16
06/30/16 FOREIGN SECURITY DIVIDEND 5000 SFRS VOLKSWAGEN AG ADR(SPONS) RD 06/22 PD 124.75 LSD
RECEIVED 06/30/16
VLKAY
Total Dividends and Interest • U.S. DOLLARS 0.00 211,376.27
Fees
06/01/16 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 2016 CLSIP: G/SI5P-P4.8 -2.00 LSO
G1S15PP48
Total Fees - U.S. DOLLARS 0.00 .2.00
Taxes Withheld
06/30/16 FOREIGN TAX WITHHELD AT 5000 SI-RS VOLKSWAGEN AG ADR(SPONS) RD 06/22 PD .32.90 LSO
THE SOURCE 06/30/16
VIKAY
Total Taxes Withheld • U.S. DOLLARS 0.00 .39.90
Cash Withdrawals and Deposits
06/17/16 FEDERAL FL NOS SENT TD BANK, NA .1.000,000.00 LSO
LSD999997
Total Cash Withdrawals and Deposits • U.S. DOLLARS 0.08 .1,001000.00
Page 14 of 19
Account Number. N4G-023804 Go paperless R be s e d f y Y ta e c a e r l b S r in if c i e 2007 *Tr. 7:rm Ir =
tlitAtt VOI SOL THEW, ONLLC.F IDE1SMAL DrxAaLrBaArRn aReArT ED COMMUNCATIONS
SMIY_GM_00048149
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008973
EFTA_00I56758
EFTA01289121

Deutsche Asset
& Wealth Management
Isre Mn. 00•410 "Malin Mamie-wan
Pent% Iow s a e ,. w nG.%to. pA c
Des-b1h4 Mai Coto
P.O. Box 1778, Uhlman, MO 21203
Hann Anne0.16ffiltir
New Rn ktt 1011.4
Inn 454.71111.1115178114MS
Statement Period: 0610112016 • 06/3012016
Transactions by Type of Activity (continued)
Process!
Settlement
Dale Activity Type Desaiption Quantity Price Accrued Interest Amount Currency
I
Total Value of Transactions 0.00 -788,658.63 USD
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Secatity Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment
Dividends
GENERAL ELECTRIC CO COM 06120116 07/25116 23.000 000 0.230000 Cash 5.290.00
NACOM INC NEW Ct. B 06115116 07(01116 5.000 000 0 400000 Cash 2.000.00
Total Cash Not Yet Received 87,290.00
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
1 to 5 years 3,944,670.00 16% Percentages of bond market values are
I rounded to the nearest whole percentage.
610 10 years 1,657,300.00 8%
0
Over 10 yea's 18,182,739.40 76%
Total 23,984,709.40 100%
Bond Quality
Bondi:totality Market Value % of Bond Market Value
A 2,469,000.00 11% Percentages of bond market values are
BAA 9,947,550.00 41% rounded to the neatest whole percentage.
BA/Lower 11,568,159.40 48%
Total 23,004,709.40 100%
te_a, Page 1$ of 19
MiAll Lek I A S c O c L o T u H n E t N RA u mber: N4G4123804 F I D Go r p E ap r er r le i s A s R Dr (v xA a e e t L r e n y B d uA Y L rR u e r a a R a n r eA sn rT e i E v D a C 2 O 0 M 07 M UNICATDONS
SDNY_GM_00046150
CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) 08-SDNY-0008974
EFIA_00 156759
EFTA01289122

Client Service Information
Your Client Advisor: DA',
DANIEL SABBA
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 far 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 turn off paper tom m unications, log in to your account or contact your Oient Advisor for mare 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.
The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily
be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are
sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will
be used in the release of the current month's statement. Prior statements wit not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an
order.
Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets
are priced via third party sources believed to be reliable.
For certain secur ties. including thinly4raded securities. debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be
listed. If the last price available for such securities is unchanged for a period of tine deemed appropriate for that asset, the current price vrill purge and N/A will be placed in the price field in the statement. The
pricing of listed options takes into account the last closing price, as well as the current bid and offer prices.
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 subbed to change at any tine,
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
vnvw.pershing.conxbusiness_conbnuky.htrril 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, Mduding the time of execution and the name of the person from
Page16 of 19
rt., KJ
Account Num be; N46023804 R.I.d [scones
ORM, Roll SOUTHERN F I D GOr pwaperrleisAs L Dr b xA r e a Ls y Oa A V rRt . r . Ra . e A s rT i n E c D e C 2 O 0 M 07 M UNICATIONS ••C
SDNY_GM_00046151
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008975
EFTA_OO 156760
EFTA01289123

Deutsche Asset
& Wealth Management
Drolly ,e Si,, P.,.,', Wealth Ma na
Prom Comm, 4,ap
P.O fica 1776. Skidmore. MO21203
Statement Period: 06/01/2016 • 06/30/2016
Important Inform ation and Disclosures (continued)
Reinvestment (conlnuect)
whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order bow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confinnatims previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares In your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and singer 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 depositorieslvAll 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 & 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 & 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 ratans 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 lit orders
for the purchase and sale of securities and other property and (ii) any other Ostructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
is employees and It does not supervise them. Pershing provides no investment advice nor does it assess the sugability 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
Pagel? of 19
Account Kum bet N4G-023804 Go paperless Rated tacellona .1:..:Lron..31t1=.”:""t•
ORAN MEAL L ERA OKIFIDEISITIAL rDxAaLBmARm ReArT ED COMMUNCATIONS
SDNY_GM_00046152
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0006976
EFIA_00 I 56761
EFTA01289124

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 yo • or 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 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 sta
• 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: vAmv.pershing.corniaboutistrength-and-stability.
• 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 financial organization and Pershing. Please be advised that any oral communication should be re-conlimed in writing to further protect your rights, including your rights under the Secitilies 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 cart. 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 reasons) for their awatd, 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 brining 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 019
ttoKi
A SC cc L o T u H n E t N RA u mber. N46.02380 F 4 I D G A o p E ap N erl T es I s A L R D (v A a e L b n B a t A V E R x s c R , e A l S l T e i n E n t c D , e C 2 O '0 M 07 M UNICATIONS ao w r e ie . t L: is 7 e 4 — . w 7 av = er . . r , w .. e . t r m im *-=t
SDNY_GM_00046153
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0O08977
EFIA_00156762
EFTA01289125

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. DETAILS
• TITLE TO SECURITIES SOLO TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN AVALABLE 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 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, THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWVV.PERSHING.COINDISCLOSURES
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. • THIS STATEMENT SHOULD BE RETARD) 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 807(AX1H2/T
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 6 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 COPES. WRITTEN REQUEST. PERSHNG RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW
MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A GOWNED 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 REQUIRED BY REGULATION T IS AVALABLE FOR YOUR BEST EXECUTION: 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 SECURITES 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 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 IN THE SUBJECT SECURITY. PERSHING DIRECTLY
PROVIDE THAT INFORMATION ON THE ANNUAL TM INFORMATION STATEMENT TO YOU; USE THAT CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
STATEMENT TO PREPARE YOUR TM 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 THEIR 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. PERSHNG 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 CA ANSIFICATION 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 PERSHNG 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 TM TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ARE NDEBTED TO PERSHING LLC CPERSHI NC') 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 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 AND CONOITONS ARE UNACCEPTABLE TO YOU. PLEASE NOTIFY PERS-ING IMEDIATELY IN WRITING BY CERTFED MAIL TOONE PERSHING PLAZA JERSEY CITY. NJ 07399, ATTN' LEGAL DEPT
nri ENT/AL„.....„ Page 10019
Account Num Del. N4G-023804 pisperless rargyvtrUac*". 2007
S✓JL THERA F I DA RA4lItiag C°MMISICATIONS
SDNY_GM_00046154
CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6(e) OB-SDNY-0008978
EFIA_00156763
EFTA01289126

Deutsche Asset
& Wealth Management
O,.Iu RIM POW,. Wealth mannewn
P.O. Box 1778, Bahimore, MD 21203
Account Number: N46-023804
Statement Period: 0510112016 -0513112016
Portfolio at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value $102,566,621.05 6103,281,617.80
6100 RED HOOK QUARTER B3 Nel Cash Deposits and Withdrawals 010 -2,278160.93
Nel Securities InlOut of Accounl 0 00 5,185,557.00
ST THOMAS VI 00802
Adjusted Previous Account Value 102,566,621.05 101,192,113.87
Dividends, Interest and Other Income 783.038.30 1.733.701.51
Total Taxes Withheld -5,525.17 -5.525.17
Net Other Activity -202.00 -366.00
Net Chan ie in Porlfolio 3.457.715 84 .1.118.276 22
Your Client Advisor:
DANIEL SABBA riding Account Value S106 801 648 02 8106,801 648 02
Accrued Interest 8336 39187
Estimated Annual Income S3.788.87414
Asset Summary
Prior Year-6d Lag Period Ibis Period % Allocation
LSD Cash. Money Funds. and Bank Deposits 26,834,113.83 2,662,826.11 8,608,177.03 6.19% Please review your allocation
LSD Axed Income 20,212,233.86 20,011,11819 20,252,105.15 18.96% 1 periudicalty wth your Client Adviser.
hon.L SD Fixed Income 5,198,785.00 3,771,721.50 3 786,89750 3.55%
LSD Equities 47,972,851.11 73,611431.72 73,190,392.04 68.81%
hon-LISD Equities 3.038.821.00 2.196.520.00 2.663.778.00 2.49%
Account Total (Pie Chart) 1103,211,617.80 $102,566,621.05 6106,80164812 100.00%
See the Asset Summary Disclosure and Footnotes secto for important rtforrnation regarding your Asset Summary.
Page 10 19
DRAB MINI B009878TCSF30016 R E D v A a e t L e r B y d A V E R m . A R e . A l s l T o i E v n D l a C 1 O .0 M 07 M UNICATIONS r e e rr t - t 1 n 36 e rette..."4 noet •i ee e re e " ="
CON F I D(351f) f‘rfiAs L xart unser
SDNY_GM_0004615.5
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008979
EFTA_00 156764
EFTA01289127

Asset Summary Disclosure and Footnotes
AM values are displayed in U.S. dollars based on interbank exchange rates as of 05/3112016. 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 3.039 76 3039 76 52.748 00
Long-Term Gain/Loss 652.218.48 1.089.348 89 451.649.51
Net GalnlLoss 655,258.21 1,092,388.65 501,387.51
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the 'ECB') and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The
interest will be reported on your Forms 1099 and/or 1042 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting
arrangements. begin to charge negative interest rates on additional foreign currency balances.
Money Market Fund Detail
Date Activity Type Description Amount Balance
Sweep Money Market Fund
DEUTSCHE GOVT CASH INSTL
Current Yield. 0.28% Activity Ending 05/31/16
04130/16 Opening Balance 2.662.826.11 2.662.826.14
05/03/16 Deposit MONEY FUND PURCHASE 197,498.00 2,860,324.14
05/10116 Deposit MONEY FUND PURCHASE 12,163.55 2,872,187.69
05/13/16 Deposit MONEY FUND FURCFASE 235,980.00 3,108,167.69
05/16/16 Deposit MONEY FUND PURCFASE 3,210,559.77 6.319.027.46
05/11/16 Deposit MONEY FUND PURCHASE 205.576.64 6.524.604.10
05119116 Deposit MONEY FUND FURCFASE 11,139.76 6,536,043.86
05126/16 Deposit MONEY FUND PURCHASE 5,191.96 6,511,238.82
05131116 Deposit INCOME REINVEST 1.118.96 6.542.387 78
05131118 Closing Balance $6,512,381.18
Total All Money Market Funds $6,542,381.78
PILO& 19
Account Num ber. N40-023804 Itatad tscolibra
US AF, vOt SOUTHERN ONLLCF. IDE G N o p T a ' perle I s A s L rD (v xA e aL r r B y t Au V Rr . r . Ri . e A U sT E w D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046156
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008980
EFTPx_00 156765
EFTA01289128

Deutsche Asset
& Wealth Management
Desist.< Rana Pnwair Wean varagenms
Pdaeals Coon., 6,0.1)
P.O. Boa 1770, Banimore, MD 21203
Statement Period: 0510112016 • 05/31/2016
Income and Expense Summary
Current Period Year-to-Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 367,884.74 0.00 811,606.42 0.00
Money Market 1,148.96 0.00 5,213.24 0.00
Other Dividends 178,750.00 0.00 371,50010 000
Interest Income
Bond interest 37,098/1 000 331,06819 0.00
Other Interest 32,36664 0.00 72,991.68 0.00
Expenses
Margin Interest 0.00 0.00 0.00 .161 10
Withholding Taxes .5,525.17 0.00 6.515.17 0.00
Fees(Fomign Securities' -200.00 0.00 -250.00 0.00
Total Dividends, Interest, Income and Expenses $711,523.81 10.00 $1,588,614.26 -1101.10
Distributions
Alternative Investments 0.00 65.789.25 000 139.473.21
Total DistrIbutions $0.00 $85,789.25 $0.00 $139,473.21
Portfolio Holdings
Account Activity Opening Closing Accrued Income 3I•Day Current
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 6.00% of Portfolio
Cash Balance 0.00 65.789.25
Money M arket
DEUTSCHE GOVT CASH INSTL
04130116 6.542.387 780 NIA 05131116 2,862,826.14 6.542.387.78 0.00 5.22324 0.18% 0.28%
Total Money Market $2,862,826.14 $6,542,387.71 $0.00 $5,223.24
Total Cash, Money Funds, and Bank Deposits $2,862,826.14 00,608,177.03 $0.00 $5,223.24
Page 3 of 19
E;
Account Number: N4G-023804 aperless ita.a
OBAki ROI SOUTHERN i FI D GO r P iT riAL D D rx A a ar U r t t u M v r e n . R s s . e A s r T i v E a D C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046157
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008981
EFTA_00I56766
EFTA01289129

Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date ANL:red Ouaatlty Unit Cod Cott Basis Market Price Markel Valve Gala/ Lots Interest Annual Income Yield
Fixed I Geo m e 23.00% of Portfolio (/n Mowery Date Sequence)
'Asset Backed Securities
WASHINGTON NUT NIG SECS CORP 2004•RA2 Security Identifier: 939336020
MTG PASSTHRU CTF CL C-B-1 VAR RATE
7.816% 07/25133 WE DTD 06/01/04 S 8 P Rating D
Factor. 0.48647867 Effective Date:05102/16
Current Fact Value: 627.557 484
12113113 1.3.I1 1,290,000.000 76 5190 480.198.25 83.9380 526'5920 46,560.95 3,983.18
Original Cosl Basis: 5838.906.71
Total Asset Backed Securities 3400,198.25 0526,759.20 $48,580.05 33,903.16 00.00
1,290,000.000
Total Current Face Value : 627,557.484
Corporate Bonds
EARTHUNK INC GTD SR NT FULLY EXCHANGED Security IdenUffer: 270321AC8
CUSP FROM 270321A86 8.875% 05/15119 WE
DTD 05117/11 CALLABLE 06130/16 St P Rating CCC.
10122/12 '.3.12 146,000 000 102 5060 149,659.06 1022500 149,285.00 -374.06 575.89 12,957.50 6.67%
Original Coq Basis: $151,110.00
10/23/12'•3.12 600.000 000 102 4510 614.703.12 1022500 613400.00 -1.203.12 2,366.67 53,250.00 8.67%
Original Cost Basic 3619,500.00
Total Honoured 740,000.000 764,360.16 762,765.00 -1,57718 2,942.56 66,207.50
Total 746,000.000 1784,362.10 3762,705.00 -$1,571.16 62,942.56 $66,207.50
FRONTIER COMMUNICATIONS CORP Security Identifier: 3590SAAH1
SR NT 6.500% 04/15/20 WE
DTD 0412/10 1ST CPN DTE 10/15/10 Moody Rating BA3 S
P Rating BO
07106/15 3,000,004.000 104 7750 3,143,237.06 105.8150 3,176,250.00 33,012.94 32,583.33 255,000.00 8.02%
Original Coal Ban's' 53,171,006.00
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: G4S1SPP48
TERM NOTES ISMS VS0717735622
9.875% 12/18121 REG DTD 12/16111 Moody Rating Baal S
P Rating BBB
12104/13 '•3.12 1,500,000.000 106A560 1,596,837.57 104.0760 1,561,140.00 -35.697.57 67.479 17 148,125.00 9.48%
Original Cod Basis: 51627,500.00
BARCLAYS BK PLC CONTINGENT CAP NT Security 'dentine r: 0($739FHKO
ISN US06739FF KO3 7.750% 04/10/23 B/E
010 04/10/13 CALLABLE 04/10/18 St P Rating BB.
04/03/13 '.12.13 300,000.000 1001000 300.000.00 106.0000 318,000 00 18,000 00 3,293.75 23,250.00 7.31%
Original Coal Basis' 5300,000 00
Page 4 of 19
Account Number: N40423804 kilted excellenti
04'0,e7,7CSF', l)fent, Le,. I SOUTHERN NFID G E o p N ape T rle I ss A D (v A e L r B y A Y R e R ar A S T a E n D te C 2 O 0 M 07 M UNCATIONS •••••••utt nommen.... Wet NIC
I %CIL L
SDNY_GM_00046158
CONFIDENTIAL — PURSUANT TO FED. R CRINA P. 6(e) OB-SDNY-0008982
EFT:4_00156767
EFTA01289130

Deutsche Asset
& Wealth Management
Dralsi,e Ram Pon. Wean Manarrat
Vinett. Corerw4,t,p
0c0 1770, BaNamara, MD 21203
Statement Period: 0510112016 - 05/31/2016
Portfolio Holdings
(continued)
Adjusted Unrealized leaned Estimated Estimated
Dale Acquired Quantity Unit Cost Cost Basis Market Puce Markel Value Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
PM ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 46625HHA1
1/10Th PFD SER 1 FIXED TO FUG RT BD
1.900% 04129149 WE DTD 01123108 Moody Rating BM3 S
P Rating BBB-
06/15111 '.3.12 2,500,000.000 107.5000 2,887,500.00 102.2500 2,658,250.00 .131.250.00 16,458.34 197.500.00 7.72%
Original Cost Basis: 52,687,500.00
06115111 '.3.12 2.500,00t000 107.0000 2,675,000.00 102.2500 2,556,250.00 .118,750.00 16,158.33 197.500.00 7.72%
Original Cost Boris: 52,675,000.00
Total Noncovered 5,000,000.000 5,362,500.00 5,112,500.00 -250,000.00 32,916.67 395,000.00
Total 5,000,000.000 $5,362,500.00 55,112,500.00 4250,000.00 $32,016.67 5395,000.00
BANK AMER CORP PERP NON COM ULATIVE DEP Security Identifier: 060505DT0
SHS FRIED TO FLOAT 8 125% 04130158 BIE
DTD 04130108 CALLABLE 05115118 Moody Rating BA2 S8 P
Rating BB4
01410111 2.000,000 000 102 7500 2,055,000 00 101 0000 2,020,000.00 •35,00000 7,222 22 16250000 8.04%
Original Cost Basis 52.055.000 00
SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: 042400FU2
6.250% 01117162 WE DTD 01117112
CALLABLE02401122 Q 100.000 Moody Rating BAA1 S8 P
Rating BBB-
01130112 '.3.12 3,000,000.000 99 8410 2,995,224.73 110 5000 3,315,000.00 319,775 27 62,500.00 187 500 00 5.85%
Original Cost Bass 52992.564 97
GENERAL ELEC CO GTD FXD-TO-FLTG RT Security Identifier: 369604BM 4
NONCUMULATIVE PERPETUAL FREFERREO
4.000% 12103165 REG 010 12/03415 Moody Rating A3 S
P Rating M-
12103115 ' 2,469,000.000 88 0930 2,175,016.17 97.6250 2,410,361.25 235,345 08 45,539 33 98,760.00 4.09%
Original Cost Basis: 52,175,016.17
Page 5 of 19
L,,:090787CSF31:,1, VBAS XVI I A SO cc U o T u H n E t R N N u mber: N4G42380 F 4 I D G AS o pa T per r le i s A s R b e O a r x A a il c a e n a l d , a m V C im t . a . R . r e o A v l r T le a E r c D . . C 2 O 0 m 02 en umaCaTsOrd .7r.t.tro..117==.'
SDNY_GM_00046159
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008983
EFTA_00156768
EFTA01289131

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Markel Value Gala! Los Interest Mnual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
5LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: $39439AG4
ADDL TIER 1 SECS ISIN 5,539439AG42
7.500% 04/27/88 BIE DTD 04/07/14 S 8 P Rating BEI.
Please Provide' 1.903.000.000 N/A Reese Provide 100.2500 1.907.757.50 N/A 25,373.33 142.725 00 7.48%
Original Cost Basis: Please Provide
CITIGROUP INC FXD RT SR NT PERP DEP RECPT Security Identifier: 1729872S
5.950% 08/15/88 WE DTO 08/12/15
CALLABLE 08/15120 0 100 000 Moody Rating BA2 S 8 P
Rating 084
08/06/15 3.000.000.000 100 0000 3,000,006.00 97.6250 2.928.750 00 •71,256.00 52,558.33 178,500.00 6.09%
Original Cost Basis: 53,000,006.00
Total Corporate Bonds $21,392,183.71 223,512,643.26 $212,602.54 $332,408.69 11,657,562.50
22,918,000.000
Total Fixed Income $21,872,381.96 $24,039,302.95 $259,163.49 $336,391.87 $1,657,567.50
24,208,000.000
Unrealized Estimated Estimated
Date aired Quaid Unit CoM Cost Basis Market Price Market Value Gain/ Loss Mnual Income Yield
Equities 69.00% of Portfolio
Common Stocks
M OBILEYE NV AM STELVEEN ORD SHS Security Identifier: M BLY
15114N10010831061 CL SIP N51488117
Dividend Option: Cash
08101/11 800.000 25 0000 20.000 00 37.9700 30.376 00 10,37600
ADVERUM BIOTECHNOLOGIES INC Security Identifier: ADVM
COM CLSIP 0077311108
Dividend Option: Cash
10,000.00 of these shares are in your margin account
04120/15 10,000.000 39.8610 398.606.00 4.5200 45.200.00 ,353,406.00
AKORN INC COM Security Identifier: AKRX
Dividend Option: Cash CUSP: 009728106
06110/15 5.000.000 46 8410 234.206.00 29.8900 149.45000 -84.756.09
AUBABA GROUP HLDG LTD SPONSORED ADS Security Identifier: BABA
l9k*LS01609W1027 CUSP: 01609W102
Dividend Option: Cash
06110115 5.000.000 88 9500 444,749.00 82.0000 410.000 00 .34,749.00
ALUANZ SE SPONSADR REPSTG 1/10 SHS Security Identifier: AZSEY
Dividend Option: Cash CUSP. 018805101
Page 6 of 19
Account Number. N4G-023804 Rated tacelbrdi
()KAM von SOUTHERN FJMjN NF ID G A o E pa N per T les I s A i_ rD tv xA w eLBn y A trRw ReA S rT i n E e D w C 2 O '0 M 07 M UNICAtIONS
SONY GM00046160
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY:0008984
EFTA_DO 156769
EFTA01289132

Deutsche Asset
& Wealth Management
Dryllyet Min/0.4911P9Int
MlinletS CeverVe 49.p
P.O. Bow 1778, Skidmore. MO21203
Statement Period: 05/01/2016 - 05/31/2016
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Omantity Vail Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities (continua)
Com mon Stooks (continued)
ALLIANZ SE SPONS AOR REPSTG 1110 MS (continued)
04113115 5,000.000 18.0110 90,056 00 16.3310 81,855.00 .8.401.00 3,059.77 3.74%
APOLLO GLOBAL N GM T LLC CL A VI 5 Security Identifier: APO
Dividend Oplion: Cash CUSIP: 037612306
03/29/11 '.13 263.157.000 19 0000 4.999.983.00 16.4200 4,321,037.91 •678.915.06 342,104.10 7.91%
APPLE INC COM Security IdentIller. AAPL
Dividend Option: Cash CUSP 037833100
250,000.00 of these shales ale in your margin account
10126/13 3 14000.000 75.5800 1,058,120.50 99.8600 1,398,04020 339,919.70 31,920.00 2.28%
09105114 121.180.000 98 9500 12,287,615.97 99.8600 12.400,61417 112,998.80 283.130.40 228%
09105114 3 7.200.000 98 9500 712,440.29 99.8600 718,991.82 6,551.53 16,416.00 2.28%
09/05/14 1 18,620.000 98.9500 1,842,449.14 99.8600 1,859,393 39 16,943.65 12,453.60 2.28%
01111116 250,000.000 99.0000 24,750,006.00 99.8600 24,964,999.82 211,993.82 570.000.00 2.28%
Total Covered 411,000.000 40,860,832.60 11,342,040.00 8110107.10 943,920.00
Total 411,000.000 640,850,632.50 641,312,040.00 $891,407.60 6943,910.00
ARVID PHARM ACEUTICALS IN C Security Identifier: ARIA
Dividend Option: Cash CUSP. 04033A100
02/11/12 '.13 7.535.000 151090 114.597 40 8.8500 66,684.75 .47,912.65
01124/13 '.13 9,000.000 19 6000 176,100.00 8.8500 79,650.00 -96,750.00
Total Noncovered 18,636.000 290,097.40 116,331.76 -111,682.66
Total 18,636.000 6290,997.40 6118,331.75 -0141,882.66 60.00
ASCENA RETAIL GROUP INC CON Security Identifier: ASIA
Dividend Option: Cash CUSP: 01351G101
01/16/01 70,500.006 21 2770 1,500,000 00 7.2200 509,010 00 -990.990 00
BASF SE SPONS MIR Security Identifier: BASF/
ISMS U 50552625057 CUSP 055262505
Dividend Oplion: Cash
04113116 5.000.000 It 1 6110 508,056.00 772930 386,165.00 ,121,591.00 12.163.55 3.11%
BANK OF NEW YORK M PION CORP COM Security Identifier: BK
Dividend Option: Cash CUSP 064058100
Page 7 ofifi
ekr
Account Number: N46423804 Go paperless natal [sangria retriZtt===r 1=
MIAMI V, 9 SOUTHERN D (v A er L y B A V R • R •• A S T a E w D a , C 2 O 0 M 07 M UNCATIONS r-seaL.c ••• ••••••••, 'sync
FI D riTriA IXCILLIFNer
SDNY_GM_00046161
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) OB-SDNY-0008985
EFIA_00156770
EFTA01289133

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date ired Ousith liait Cod Cod Bads Market Price Markel Value Gainlloss Annual Income Yield
Equities (continued)
Common Stocks (continued)
BANK OF NEW YORK MELLON CORP CON (continued)
06125114 250,000 000 36.3060 9,076,40610 42.0600 10,515,000.00 1,438,594.00 170.000 00 1,61%
BIOGEN IDEC INC COM Security Identifier: BIIB
Dividend Option: Cash CUSP. 09062%103
02114112 *.i3 2,095,000 119 5490 250.454,95 289.7300 606,984.35 356,529.40
CEN NNE CORP DEL COM Security Identifier: CNC
Dividend Option: Cash CUSP: 151358101
0910811/ 15,558000 63 6450 989.679 75 62.3500 969,542 50 -20.137.25
DISH NETWORK CORP CL A Security Identifier: DISH
Dividend Option: Cash CUSP 2547011109
06110115 5,000.000 72 9960 361.978.00 19.9000 219,500.00 ,115,478.00
FACEBOOK INC CL A Security Identifier: ED
Dividend Option: Cash CUSP: 3030311102
05/17/12 '.13 17,500.000 38.0000 665,000.00 118.8100 2,079,175.00 1,414,175.00
FOUNDATION MEDICINE INC COM Security Ida tiller: FM I
Dividend Option: Cash CUSP: 350465100
01113114 25,000.000 27 5070 687.663.50 18.8500 171,250.00 -216,413.50
08105114 24,830.000 23 2530 577,373.02 18.8500 468,045.50 -109,32752
Total Covered 49,830.000 1,286,038.52 939,295.60 -326,741.02
Total 49,830.000 31,206,030.52 3931,295.50 025,741.02 $0.00
GENERAL ELECTRIC CO CON Security Identifier: GE
Dividend Option: Cash CUSP:368604103
04123113'.13 23,000.000 21.5700 496,109.08 302300 695,290.00 199,180 92 21,160.00 3.04%
GENERAL III RS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 370453100
11118/10 • 10,988.200 36.4010 399,978.16 312800 343,710.90 -56,26726 16,702.06 4.85%
12109/10 86.536.800 308100 3,185,969.22 312800 2,706,871.10 ,479,098.12 131,53514 4.85%
Total Noncovered 97,525.000 3,585 947.38 3,050,582.00 ,536,365.38 148,238.00
Total 97,525.000 $3,685,947.38 $3,050,682.00 -3535,385.38 $148,238.00
GILEAD SCIENCES INC Security identifier: GILD
Dividend Option: Cash CUSP. 375558103
02105/14 5,000.000 79 2810 396,107.00 87.0600 435,300.00 38,893.00 8400.00 2.15%
03107114 3,100.000 79 6120 246,797.00 87.0600 269.88680 23,089.00 5.828.00 2.15%
Total Covered 8,100.000 643,204.00 705,186.00 61,982.00 15,228.00
Total 8,100.000 $643,204.00 3705,180.00 $61,982.00 $15,228.00
GLAXOSM 1THKUNE PLC WOWS ADR Security Identifier: GSK
Dividend Option: Cash CUSP. 37733W105
Page 8 019
l)8At1 MOIL Account Number: N4042380 F 4 I D G AM O pa S pe M rless A L r L D k x o . A I c w L . l d O y a Ar [ R a n t aR e eA l S i rT e l E a r D , te C 2 O 0 M 0 M 7 UNICATDONS
SDNY_GM_00046162
CONFIDENTIAL — PURSUANT TO FED. R CRINI, P. 67.","ERZON OB-SDNY-0008986
EFrA_00 156771
EFTA01289134

Deutsche Asset
& Wealth Management
Drat,' •c Mn, Fon. Vosalinmamp—wrat
Minns CaroN 7 G•CLP
P.O. Box 1778, BaMimorce, M021203
Statement Period: 05/01/2016 - 05/31/2016
Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Dale Acquired Qeantity Unit Cost Cost Basis Market Price Market Value Gain! Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
GLA XOSM ITH KLINE PLC SPONS ADR (continued)
06110115 5,000.000 43.0010 215,006.00 42.3700 211,850.00 •3,156.00 ' ' 580 91 54651
GLOBAL PARTNER ACQUISITION CORP Security Identifier: GPACU
UNIT 1 COM 81 WT EXP CUSP. 37954X204
Dividend Option: Cash
07130115 ' 2.000.000 10 0000 20.000 00 10.0000 20.00000 0.00
CHAIM INC CL A Security Identifier: GO DY
Dividend Option: Cash CUSIP 380237107
04101115 700.000 20 0000 14.000 00 32.5300 22.771.00 8.771.00
MATCH GROUP INC CON Security Identifier: M TCH
Dividend Option: Cash CUSIP 57665R106
11116115 200.000 12.0000 2.400.00 11.0000 2,800.00 400.00
SANGAN 0 BIOSCIENCES INC COM Security Identifier: SGM 0
Dividend Option: Cash CUSIP: 800677106
05128113 .013 50.000.000 8.4440 422.214.00 6.9000 345.000 00 •77,21400
SANTANDER CONSUMER USA HLDGS INC CON Security Identifier: SC
Dividend Option: Cash CUSP 80283M101
01123114 1.000.000 24 0000 24.000 00 12.8600 12.860 00 •11.14000
SQUARE INC CL A Security Identifier: SQ
Dividend Option: Cash CUSP 852234103
11119115 200.000 9.0000 1,800.00 9.5300 1,906.00 106.00
TERRAFORM GLOBAL INC CL A kalrily Identifier: GM
Dividend Option: Cash CUSIP 8810411101
07131115 400.000 14 8300 5,931.84 2 7800 1,112.00 -4,819 81 410.00 39.56%
TWITTER INC COM Security Identifier: TIV TR
Dividend Option: Cash CL SP: 901841102
11107113 1.500 000 26.0000 39.000 00 15.2200 22.830 00 .16,170.00
VIACOM INC NEW CL 13 Security Identifier: VIA8
Dividend Option: Cash CUSIP 92553P201
Pape 9 of 19
VSAI1 A SO cc U o T u H n E t R N N u mber. O N40-0 NL 2 L 3 C 8 . 0 F 4 ID G E o p S ap I e T rles I s A L Dr b x e Ae e U f r y aM Y t r o n e . c sR e e e . A l S l r e T l C a D te C 2 O 0 M 07 M UNCATIONS : .- 7 a . - 1 gi : s 7 t " •— ... • = -• . . " . . .. = .. • .. ..-i-
SIONV_GM_00046163
CONFIDENTIAL — PURSUANT T O FED. R CRIM. P. 6(e) DB-SDNY-0008987
EFTA_00156'772
EFTA01289135

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date ired Quaid Belt Cod Cost Bads Market Price Markel Wee Gals/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
VIACOM INC NEW CL B (continued)
06110115 5,000.000 67.7490 338,745.00 44.3700 221550.00 •116,89500 8.000.00 3.60%
VOLKSWAGEN A G ADR (SPONS) Security Identifier: VLKAY
Dividend Option: Cash CUSP: 928662303
04113115 5,000.000 50.8610 254,306.00 30.8930 154,465.00 •99,841.00 90.87 0.05%
WISDOM TREE IN VTS INC CON Security identifier: WETF
Dividend Option: Cash CUSP: 97717P104
03131115 15,000.000 21.6110 324.157.50 12.4000 186.000.00 -138.157 50 4.800.00 2.58%
Total Common Stocks $66,135.661.92 $68,435,568.04 $299,906.12 $1580,786.20
Preferred Stocks (Listed by expiration date)
GM AC CAP TR I GTD TR PFD SECS SER 2 CPN• Security Identifier: ALLY PRA
8.125% FRED ORLY MATY-0211512040 CALL CUSP 361860208
ANYTIME 0 25 W130 DAYS BEGINS 02115116
Dividend Option: Cash
02122/12'.1/ 80,000.000 23.5350 1,882,773.60 25 0450 2,003,600.00 120,826 40 162500.00 8.11%
ROYAL BK SCOTLAND GP PLC WON ADR REPSTG Security Identifier: RBS PRT
SER T PFD C1114.7.25% FRED DRILY P'ERP M TY CUSP 780097713
CALLO 25 MY W130 D NOTICE AFTR 12/31/12
Dividend Option: Cash
10124112 '.13 40.000 000 23 7900 951.600.00 25.6800 1.027.199.99 75.599 99 72.50010 7.05%
01107113 '.13 40.000 000 24 4400 977.600.00 25.6800 1,027,199.99 49,599 99 72.500.00 7.05%
01114113 '.13 40000 000 24 8800 995,200.00 25.6800 1,027,20002 32,0002 72,500.00 7.05%
Total Noncovered 120,000.000 2,924,400.00 3,081,600.00 167,200.00 217,600.00
Total 120,000.000 $2,924,400.00 $3,081,800.00 $157,200.00 $217,500.00
Total Preferred Stocks $4,807,173.60 $5,085,200.00 1278,026.40 $380,000.00
Total Equities 172,912,836.52 $73,620,768.04 $577,932.52 12,060,785.20
Unrealized Estimated Estimated
Date Acquired Quaid Uoit Cod Cod Bads Market Price Markel Value Gale/ Loss 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 CUSP. 97717W851
60,000.00 of these shares are in your margin account
12111113 60.000 000 49.4350 2.966.098.50 43.8900 2,633,400.00 ,332,698.50 45,298.20 1.72%
Total Exchange-Traded Products $2,966,098.50 $2,633,400.00 -$332,698.50 $46,208.20
Page 10 or 19
Account Num beg N46023804 natal tarns ="D =
DRAB 9011 SOL THERA ttri LLC. Go paperless D (v A er U y M Vs . R .S AT is E t 0 a 0 2 0 0 M 0 M 7 UNICATIONS C
N F ID-Ea/1AL rxems NCI
SDNY_GM_00046164
CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) OB-SDNY-0008988
EFTA_0015 6773
EFTA01289136

Deutsche Asset
& Wealth Management
DraIsev Ram PonleVhaikniAvvienalt
I/VIM Cedrate 6,0.p
PO 00‘ 1778. !wore MD 21203
Statement Period: 0510112016 • 05/3112016
Portfolio Holdings (continued)
Unrealized Accrued Estimated
Cod Basis Market Value Gain/ Loss Interest Annual Income
Total Portfolio Holdings 3104,389,493.01 $106,801,648.02 3504,397.51 3336,391.87 33,768,814.14
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 '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(sr 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 cian (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.
3 The cost basis of this security has been provided to us by you or your introducing firrn and Pershing makes no representation as to the accuracy of this information.
I Unrealized gains and losses are not reported for securities for vAtich cost basis or market value is not available.
f 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.
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.
n 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.
Page114019
Account Number: N48-023804 Rabid tacellorigi
OftAkl ROLL SOUTHERN vBNAkUJvAL F I D Go r a pap T erle I s A s L r E Dx v Ae e L n n B t Au Y Rr e n M a e . U S r in D c e C 2 O 0 M 07 M UMCATIONS
SDNY_GM_00046165
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008989
EFTA_00156774
EFTA01289137

Schedule of Realized Gains and Losses Current Period
Date Date Realized
Description Disposed Acquired Designation Disposition Method 1 Transadion Quantify Proceeds Cort Basis Cale/ Loss
Short Term
SITED NE LANDSCAPE SU 05/16116 05112/16 Covered Versus Purchase / Sal 400.000 11,439.76 8.400.00 3.039.76
Ohl
Security Identifier: 82982L103
Total Short Term 11,439.76 8,100.00 3,039.76
Long Term
ALLY FINL INC FIX TO 05/16116 02103/12 Roncovered"3 Firrt In Rat Out 1 REDEMPTION 46.600 000 1,165,000.00 903,217.51 261.782 49
.50% FREO•OTRLY CALLABLE O. 25. Original Cost Basis: 927.973.16
000N A OTRLY BASIS AFTER 0511
Security Identifier 02005N308
05/16116 02/09/12 ttoncovered"3 First In Fug Out 1 REDEMPTION 80,000.000 2,000,000.00 1,610,000.00 390,000.00
Original Cost Basis 1.652.500.00
Total 126.600.000 3,165,000.00 2.513.217.51 651.782.49
WASFINGTON MUT re 5 05/24116 12/13/13 Noncovered" REPYMT OF PRA 1.290.000.000 1.856.78 1.420.79 435.99
004.RA2 MTG PASSDiRt CTF CL C,- Original Cost Basis: 1,420.79
6.1 VAR RATE 7.616% 07/25133
Security Identifier: 939336620
Total Long Term 3,166,856.78 2,511,638.30 652,I18.48
Total Short and Long Term 3,178,296.54 2,523,038.30 655,258.21
• 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"1 (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 sappficable date(sr at which they are subject to the cost basis reporting rules and the adjusted basis %trill be reported to the IRS on form 1099-19 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.
Page 12 of 19
liaAti ROI I A S c O c L o unt Nu® Der. O N46-0 NL 2 L 3 C 8 . 0 F 4 ID G E o p N ape T rle I ss A L D R E A v a e L i n d B t A V L R a . c . R . e A ll L • T n a E r t D i e C 2 O 0 M 07 M UNCA TONS raltro.r.tre,
THERA f XORLINC7
SDNY_GM_00046166
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008990
EFTA_00 156775
EFTA01289138

Deutsche Asset
& Wealth Management
Drat,' •c Mn, Fon. Wolin a.t
Manias CedriteG.CLP
PO ficp 1776, Ssluimore. M021203
Statement Period: 05/0112016 • 05/31/2016
Schedule of Realized Gains and Losses Current Period (continued)
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.
Wien 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 shal 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 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 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.
I The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
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 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 vri1 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 es
Although a money market mutual hind 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 products disclosure document or contact your advisor for additional information. Pursuant to SEC Rule lob-10(b)(1) confirmations are
not sent for purchases into money market mutual hinds processed on the sweep platform
Page 13019
, • . Account Number: N4G423804 Go paperless R Lv a e te n d . Y ex e c w e l L e o nt a , 2007 o a— nt a L n , . —a...a ' , C . a r -*.=
SOUTHERN DAL OAR RATIO COMMUNICATIONS
IN F I ID-EN-NAL rxesturner
SDNY_GM_00046167
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008991
EFIA_00156776
EFTA01289139

Activity Summary (All amounts shown are in base currency)
Credits This Period Debits This Period Net This Period Oedits Year-to-Date Debits Year-t-oDate Net Year-to-Date
Securities
Securities Bought 0 00 -8.400 00 .8,400 00 000 .24.758.406 00 -24.756.406.00
Securities Sold II 439 76 0 00 11,439 76 717,689 76 0 00 717,689.76
Securities Deposited 0 00 0 00 0.00 5.185.557 00 0 00 5,185,557.00
Total Securities $11,439.76 .18,400.00 $3,039.76 $5,903,246.76 ,624,758,406.00 ,618,855,159.24
Dividends and Interest $717,249.05 $0.00 6717,249.05 $1,685,139.43 -$90,911.10 61,594,228.33
Distributions $3,230,789.25 WOO $3,230,789.25 $4,504,473.21 $0.00 $4,504,473.21
Fees $0.00 .1202.00 .6202.00 $0.00 .6365.00 .6365.00
Taxes Withheld $0.00 -$5,525.17 -$5,525.17 WOO 45,525.17 -$5,525.17
Cash
Withdrawals 0 00 0 00 0 00 0.00 -10.891,591.92 -10,891.59192
Deposits 0 00 0 00 0.00 8,613,530.99 000 8,613,530.99
Total Cash $0.00 $0.00 $0.00 $8,613,530.99 -$10,891,591.92 -$2,278,080.93
Totals $3,959,476.06 -614,127.17 $3,945,350.89 $20,706,390.39 -$35,746,800.19 .$15,040,409.80
Transactions by Type of Activity
Process/ Trade!
Settlement Transaction
Date Date Activity Type Description Quality Price Accrsed Interest Mount Currency
Securities Bought and Sold
05113/16 NAME CHANGED ADVERUM BIOTECFNOLOGIES INC COM 10,000 000 0.00 6 SO
ADVM
05113/16 NAME CHANGED AVALANCHE BIOTECFNOLOGIES INC IOC EFF 051121161 .10.000 000 0.00 USD
05337G107 OLD/1 CU 00773U100 ADVERUM B1OTECFNOLOGIES INC
05/17/16 05112116 PURCHASED SITEONE LANDSCAPE SUPPLY INC COM PROSPECTUS 400.000 21.0000 .8.400.00 USD
SITE LACIERSEPARATECOVER
05/19/16 05116116 SOLD SITEONE LANDSCAPE SUPPLY INC COM UNSOLICITED .400.000 28.7400 11.439.76 LSD
SITE ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER
ACTED AS AGENT
Total Securities Bought and Sold • U.S. DOLLARS 0.00 3,039.76
DIWdends and Interest
05/02/16 CASt. DIVIDEND RECEIVED "ORGAN CHASE 8 CO DEP SHS REPSTG 1110TH PFD SER 197,500 00 LSD
46625F hAl 7 900% 04129/49 WE RD 01129 PD 0030/16 DIV PAID AT
3950 5000000
05109/16 FOREIGN SECURITY DIVIDEND 5000 SF RS BASF SE POI% S ADR ISIN# U S0552825057 RD 16.792 60 LSO
RECEIVED 04129 PD 05/09116
BASFY
Page 144019
Account Number. N4G-023804 Rated
DEMO Rol SOUTHERN LLC. Go paperless E DA n L v y O A V R a M n' U M D C 2 O 0 M 07 M UNCA TIONS •—tasi.c —4-na ..viv
NFIDEstrnA L FXCIIIFNCI
SDNY GM 00046168
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008992
EFTA_00 156777
EFTA01289140

Deutsche Asset
& Wealth Management
Dr...We NM POnlevenanmannunna
Vbfiel •rm
P.O. Eke 1778, &Alma*, MO 21203
Statement Period: 05/01/2016 - 05/31/2016
Transactions by Type of Activity (continued)
Process/ Trade/
Settlement Transaction
Date Date Adivit T Dewi ion Quantit Price Accrued Interest Amami Carree
Dividends and Interest (continued)
05112116 CASH DIVIDEND RECEIVED 164000 SHRS APPLE INC COM RD 05109 PD 05112116 93.480 00 USD
MPL
05112116 CASH DIVIDEND RECEIVED 250000 SHRS APPLE INC COM RD 05109 FO 05112/16 142.500 00 USD
MPL
05113116 FOREIGN SECIATY DIVIDEND 5000 SHRSALLIAAZ SE SPONSADR REPSTG 1/10 SHS RD 4,155.89 USD
RECEIVED 05104 PO 05113/16
AZSEY
05113116 CASH DIVIDEND RECEIVED 250000 SHRS BANK OF NEW YORK MELLON CORP COM RD 42,50000 USD
BK 05103 PD 05113/16
05116116 CASH DIVIDEND RECEIVED 126600 SH RS ALLY ANL INC FIX TO FLT DIV-8.50% 67,256.25 USD
01005A 308 FREQ-QTRLY CALLABLE a 25.00 ON A QTRLY BASIS AFTER
0511512016 RD 05101 PD 05/16/16
05116116 CASH DIVIDEND RECEIVED BANK AMER CORP PERP NON COMULATIVE DEP SHS FIXED 81,250 00 USD
D60505DT8 TO FLOAT 8.125% 04/30158 WE RD 05/13 PO 05/16/16 DIV
PAID AT 40.625 2000000
05/16116 BONO INTEREST RECEIVED 746000 EARTF LINK INC GTO SR NT FULLY EXCHANGED 33,103.75 USD
27032 IAC6 CUSP FROM 270321A988875% 05/15/19 WEDTD
05117111 CL8 RD 05113 PD 05/15116
05116116 BO NO INTEREST RECEIVED 80000 SH RS GMAC CAP TR I GTD TR PFD SECS SER 2 CFN• 32.36664 USO
ALLY PRA 8.125% FRED DRILY MATY•0211512040 CALL ANYTIME a 25
W/30 DAYS BEGINS 02/15116 RD 05113 PD 05116116
05125116 BOND INTEREST RECEIVED 1290000 WASHINGTON MIA MTG SECS CORP 2004•RA2 3,994.96 USD
939336S20 MTG PASSTHRU CTF CL C-8.1 VAR RATE 7 616% 07/25133
WE DTD 06/01/04 RD 04/213 PO 05/25/16
05125116 CASH DIVIDEND RECEIVED 15000 SHRS WISDOMTREE IN VTS INC COM RD 05111 PD 1.200 00 USD
WETF 05125116
05131(16 MONEY MARKET FUND DEUTSCHE GOVT CASH 1,14896 USD
INCOME RECEIVED
233993682
Total Dividends and Interest- U.S. DOLLARS 1.00 711,241.1$
Page IS 019
Account Number. N4G-023804 Rated tecedlene
Go paperless Lyon, Vast Snow 2007 earrratreltrernen ta t trpoleeneelre SSD
08A8 DOI I SOUTHERN ONLLC. FIDESMAL DALOAR RATEOCOMMUNCATOONS
rxeturtraer
SDNY_GM_00046169
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008993
EFTA_00156778
EFTA01289141

Transactions by Type of Activity (continued)
Process/ Tradel
Settlement Transaction
Date Date Activity Type Description Oman Price Accrued littered Mount Curren
Distributions
05/16/16 SECURITY REDEEMED ALLY FINL INC FIX TO FLT DIV-8.50% FRECI-OTRLY CALLABLE -125.600.000 3.165.000 00 USD
02005k306 (I 2500 ON A OTRLY BASS AFTER 05/1512016
05/31/16 PARTNERSHIP DISTRIBUTION 263157 SI-RS APOLLO GLOBAL MGM T LLC CL A SHSPD 65,789.25 USO
APO 05/20 PO 05/31116
Total Distributions • U.S. DOLLARS 0.00 3,230,789.25
Fees
05/02/16 FORSCH CUS1ODY FEE Fun Safekeeping APR 2016 CU SIP G4S15P-P4-8 .2.00 USO
G1S15PP48
05/09/16 FEE ON FORBGN DIVIDEND 5000 SI- RS BASF % SADA S ADR ISISIL S0552625057 RD -200.00 USD
WITHHELD AT THE SOURCE 04/29 PD 05109116
BASET
Total Fees - U.S. DOLLARS 0.00 .202.00
Taxes Withheld
05/09/16 FORBGN TAX WITHHELD AT 5000 SHRS BASF SE SPONS ADR ISINIU S0552625057 RD -.429.05 LSD
THE SOURCE 01129 PD 05/09116
8WY
05/13/16 FOREIGN TAX WITHHELD AT 5000 SHRSALLIANZ SE SPONSADR REPSTG 1110 PS RD .1.096.12 USO
THE SOURCE 05104 PD 05113/16
AZSEY
Total Taxes Withheld • U.S. DOLLARS 0.00 .5,525.1?
Total Value of Transactions 0.00 3,916,360.89 USD
The price and quantity displayed may have been rounded.
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Markel Value
t to 5 years 3.939.035 00 16% Percentages of bond market values are
6 to 10 years 1,879,110.00 8% rounded to the nearest whole percentage.
Over 10 years 18221.127.95 76%
Total 21,039,302.95 100%
Page 16 of 19
cke,KI
Account Number. N4G-023804 Rated tacelloni
OftAkl ROLL SOUTHERN F I ID G -E O p a ape / r 1 les A s L D ( N v A) e l4L r L O y L A Y NR e N R w CA R S T l E a D te C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046170
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008994
EFTA_OO 156779
EFTA01289142

Deutsche Asset
& Wealth Management
Drolly •e Mn, F,,,.', Wea I n. Manap-narr
Mines CoderageGtoip
PO Boa 1778, Ballimore, MD 21203
Statement Period: 0510112016 • 05/31/2016
Bond Quality
Bond Duality Market Value % of Bond Merkel Value
A 2A10,361 25 10% • Percentages of bond market values are
BAA 9,988,640.00 12% • rounded to the nearest whole percentage.
9A/Loner 11,640,301.70 teii
Total 24,039,302.96 110%
Client Service Information
Your Client Advisor: DA
DANIEL SA994
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 Ran: FAST 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 communications for electronic delivery To register and turn off paper communications, log in to your account or contact your Client Advisor for more information.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis. including short positions, at the close of the statement pericid. The =Met 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 WA' and are omitted from the Total
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shovm in this statement may not necessarily
Fage17 of 19
cti ",
Account Number N4G.023804 Plated [notion'
DGrow papreirAlessL ----
tenit L THERA ' rxe ; nO fi Ao t Kw neaTr ED /CrOALIUN CATIONS
F I
SDNY_GM_00046171
CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) OB-SDNY-0008995
EFTA_00156780
EFTA01289143

Important Information and Disclosures (continued)
Pricing (continued)
be available for investment due to unsettles transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable: however. pricing services are
sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will
be used in the release of the current month's statement. Prior statements TNI not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an
order.
Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets
are priced via third party sources believed to be reliable.
For certain securities, including thinly4raded securities, debt securities in default, securities that do not have a valid pricing source, and certain thirdparty structured products, the last available pricing will be
listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset, the current price will purge and WA will be placed in the price field in the statement. The
pricing of listed options takes into account the last closing price, as well as the current bid and offer prices.
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
www.pershing.comfbusiness_continuity.htrri for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wil
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the 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 confimiations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself cr others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Pools. Reproducing and distributing any information received from Standard & Pools is not permitted without prior written
authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or
omissions, regardless of the cause, cc for the results of using such content Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
Page 18 of 19
Account Number N4G-023804 Go paperless ,* R tr a w te y d Y E e . a . r S — ince 2007 nttatrOmv•M''..reirOserieore=
L THEM CO L N I.C J . F I DA Ft`" jag Et' C°MMUNCADONS var. tan as neat. wet mot
SDNY_GM_00046172
AL
CONFIDENTIAL — PURSUANT TO FED. R ORIM. P. 6(e) OB-SDNY-0008996
EFrA_00156781
EFTA01289144

Deutsche Asset
& Wealth Management
Minale,ent
ficw 1778, Bahimore, MD 21203
Statement Period: 05/01/2016 - 05/31/2016
Important Inform ation and Disclosures (continued)
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no imestment 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 fast page of this statemen
• 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 bke 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 vompershing.corniabout/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 tights under the Securities Investor
Protection Act.
• Your financial organization's con • an 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
• 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 partys 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 alt parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators will typicafty include a minority of arbitrators who were a 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 shalt not constitute a waiver of any rights under this agreement except to the extent slated 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
Paps 19019
re:"K J
ItA 11 ROI Acc L o T u H n E t N RA u mber. 1446.02380 F 4 I D G A o p E ap N erl T es I s A L R D b e e x A a e t t L e i r a O y d r A V E m R x e c e R s e t r A l U l T e n n t t , o C 2 O 0 M 0 M 7 UNICATOONS . V 1- a 4 .. 1 1 ' , A -- C 7 ra = mo = se I . S f itr w a it r O ir M a
SDNY_GM_00046173
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008997
EFIA_00156782
EFTA01289145

Deutsche Asset
& Wealth Management
0i.elu Si,,, Pow, Wealth Manar-terd
hent% CORtatt Gw.p
P.O. Boa 1776, Saliimore. MO2t203
Account Num ber: N4G-023804
Statement Period: 04101i2016 - 04/3012016
Portfolio at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value $108,083,235.12 1103,281,617.80
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 0.00 -2.278,060.93
het Securities inlOut of Account 0.00 5,185,557.00
ST THOMAS VI 00802
Adjusted Previous Account Value 108,013,236.82 106,192,113.87
Dividends. Interest and Other Income 153,161 00 950.663.21
et Other Activity -127.00 -161.00
het Chan te in Portfolio -5.669.618.77 .1 575 992 06
Your Client Advisor: ncling Account Value 5102.566 621.05 6102,566,621.05
DANIEL SABBA Accrued Interest $305,536.16
Est[m wed Annual Income $4.061.016.85
Asset Summary
Prior Year-6d Lad Period This Period % Allocation
LSD Cash. Money Funds. and Bank Deposits 26,834,143.83 2,509,792.11 2,662,826.11 2.60% Please review your allocation
LSD Axed Income 20,242,233.86 19,812,993.44 20.014,11819 19.51% perodcally wth you' Stern Adv4or.
h on.l. SD Axed Income 5,196,765.00 3,776,869.70 3,774,721.50 3.68%
LSD Equities 47,972,851.11 79.271,118.54 73,618,131.72 71.78%
Non.LISD Equities 3.038.621.00 2,652,432.00 2,496,520.00 2.43%
Account Total (Pie Chart) 6103,211,817.80 1108,083,235.12 6102,566,821.06 100.00%
See the Asset Summary Disclosure and Footnotes section for important eiformation regarding your Asset Statutory.
Pap1016
Ram Dams
r 50098 ESSESF 3 0E IS E C v A e E r S y A V R .A R . A S T i E va D C 2 O 0 M 07 M UNICATIONS Paw. tat ••••••• es mow. wa,c
CON F I EreArnAs L rxememer
SDNY_GM_00046174
CONFIDENTIAL — PURSUANT TO FED. R CRIIVI. P. 6(e) DB-SDNY-0008998
EFTA_00156783
EFTA01289146

Asset Summary Disclosure and Footnotes
Al values are displayed in U.S. dollars based on interbank exchange rates as of 0430/2016 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 -1.620056.10
Long•Term Gam/Loss 433.34 437.130.41 -662.845.24
Net Galnlloss 433.34 437,130.41 4,282,901.34
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the 'ECB') and other credit institutions introduced 'negatrve interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The
interest yrill be reported on your Forms 1099 and/or 1042 S. These rates are subject to change in response to market changes, and we may, in the Mute 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 Desalptioe Amount Salaam
Sweep Money Market Fund
DEUTSCHE GOVT CASH IN STl.
Current Yield: 0.29% Activity Ending: 04129116
04101116 Opening Sabra 2,455,417.14 2,455,417.14
04101/16 Deposit MONEY FUND PURCFASE 54,375.00 2,509,792.14
04104116 Deposit MONEY FUND PURCFASE 1,998.00 2,511,790.14
04106116 Withdraws MONEY FUND REDEMPTION -100.00 2,511.690.14
04112/16 Depotit MONEY FUND PURCFASE 11,625.00 2,523,315.14
04115116 Depotit MONEY FUND PURCFASE 6,101.83 2,529,422.97
04118/16 Depoit MONEY FUND RARCFASE 127,500.00 2,656,922.97
04128/16 Deposit MONEY FL ND RACFASE 5,290.00 2,662,212.97
04129/16 Deposit IkCOM E REIN VEST 613.17 2,662,826.14
04129116 Closing Balance 32,662,626.14
Total All Money Market Funds 32,662,826.14
Page 2 of 18
e
Account Number: N4G423804 Go paperless tacellerigi
01,01MCSF30 OBAS MOI t SOL THERA FI D riSiTiA ( r C v x A e e L r r M y tu A v r R e n e R a r A e S T r i E nc D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046176
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008999
EFTA_00 156784
EFTA01289147

Deutsche Asset
& Wealth Management
Draye t Ponle Wolin PAnno,nt
rarest_ r
P.O Box 1778, Bahimore. MD 21203
Statement Period: 04/0112016 • 0113012016
Income and Expense Summary
Current Period YeaMo-Date
Taxable Noe Taxable Taxable Non Taxable
Dividend Income
Equities 13,42213 0.00 444721 68 0.00
Money Market 613.17 0.00 4.074,28 0.00
Other Dividends 0.00 0.00 93.750 00 000
Interest Income
Bond Interest 139,125.00 100 293.969 38 0.00
Other Interest 0.00 0.00 40.625 04 0.00
Expenses
Margin Interest 0.00 0.00 0.00 -161.10
Fees(Foreign Securdiest .25.00 0.00 50.00 0.00
Total Dividends, Interest, Income and Expenses 9153,1313.00 10.00 6877,090.38 -9161.10
Distributions
Alternative Investments 0.00 0.00 0.00 73,683 96
Total Distributions 90.00 80.00 40.00 173,883.96
Portfolio Holdings
Account Activity Opening Clots's, Acaued 'none 31-Day Current
Opening Date Quantity Number dilig Balance Balance Income llis Year Yield Yield
Cash, Money Funds, and Bank Deposits 3.00% of PortfolEion
Cash Balance 54 375 00 0.00
Money Market
DEUTSCHE GOVT CASH INSTL
04101116 2,882,826.110 MA 0/129/16 2455 417.14 2,882,820.11 19.66 1,07128 0.29% 0.29%
Total li oney Market 12,455,417.14 12,562,826.11 $19.66 11,074.21
Total Cash, Money Funds, and Bank Deposits 12,509,792.11 12,882,828.11 $19.66 81,071.21
Page 3 of 18
D!PBNCSF3,. Account Number: N4G•023804 Go paperless R [m at a e y d V ta o c a o . n L e a n c ti e 2007 oast
DAUM. MUD COMMUNICATIONS
F I DrSITTAL r xesi Le NCR
SDNY_GM_00046176
CONFIDENTIAL — PURSUANT TO FED. R CRIM. p 6: LTHERN OB-SDNY-0009000
EFrA_00156785
EFTA01289148

Portfolio Holdings
(continued)
Adjusted Unrealized Acaued Estimated Estimated
Cale Arei.tred Ouaatfv Usit Cost Cost Buis Market Price Markel Value Gain/ Loss Interest Annual Income Yield
Fixed Income 23.00% of Portfolio (In Maiuriry Dee Sequence)
lAsset Backed Securities
WASHINGTON NUT MTG SECS CORP 2004-RA2 Security Identifier: 939336520
MTG PASSTHRU CTF CL C-B-1 VAR RATE
0.000% 07/25/33 WE DTD 06/0110/ S 8 P Rating D
Factor. 0.48791804 Effective Date:04101116
Current Face Value: 629.414 272
12/13/13'•3.12 1,290,000.000 76.5190 481.619.04 83.8070 527,49322 45,874.18 0.00
Original Cosl Basis; $638.906.71
Total Asset Backed Securities 8481,619.04 $627,493.22 $46,874.18 80.00 80.00
1,290,000.000
Total Current Face Value : 629,414.272
Corporate Bonds
EARTHUNK INC GTD SR NT FULLY EXCHANGED Searlty Identifier: 270321AC6
CUSP FROM 210321A198 8.875% 05/15119 WE
DID 05117111 CALLABLE 05115/16 58 P Rating CCC•
10/22/12 %Li: 146,000 000 102 5330 149,697.73 102.1250 149,102.50 595 23 5.938 85 12.957 50 8.69%
Onginal Cod Bait 5151,110.00
10/23/12 '•3.12 600.000 000 102 4720 614.831.19 102.1250 612,750.00 -2.081.19 24.406 25 53.250 00 8.69%
Original Cast Basis: $619,500.00
Total Noncoveted 740,000.000 764,628.92 701,652.50 -2,876.42 30,345.10 06,207.50
Total 748,000.000 $784,628.12 8701,852.50 -82,876.42 $30,345.10 $86,207.50
FRONTIER COM M UNICATIONS CORP Security Identifier: 35906AAH1
SR KT 8.500% 04115720 WE
DID 04112/10 1ST CPK DTE 10/15/10 Moody Rating BA3 S
P Rating 98-
07/06115 3,000,000.000 104 8640 3,145,906.89 105.7500 3,172,500.00 26,593.11 10,625.00 255,000.00 8.03%
Original Cosl Basis. 53,171,006 00
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: GISISPP48
TERM NOTES 'Ski YS0717735822
9.875% 12/18121 REG 010 12/18111 Moody Rating Bal 58
P Rating BBB
12/04/13 '.3.12 1,500,000.000 108.5320 1,597,976.79 104.6150 1,569,225.00 .28,751.79 55,135.42 148,125.00 9.43%
Original Cosl Basic S1,627,500.00
BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 06739FHK0
ISK LS06739Fh KO3 7.750% 04110123 WE
DID 04110/13 CALLABLE 04/10118 88 P Rating BRA
04103/13 '.12.13 300,000.000 100.0000 300.000.00 106.2250 318,675 00 18,675.00 1,291.67 23,250.00 7.29%
Onginal Cost Basis: 5300,000.00
Page 4 of 18
Account Number. 144G-023804 i t ; Rabid Email.n il
B0090IMCSF!' 1 1)8A11 M(>1.1 SOL THERN FI D Go r p i a T per r le i s A s D ( r v xA e eL r s B y a A Y rRt e r R a a r Ae S Tr a m ED s C 2 O 4:1 M 0 M 7 UNCATIONS Oar. LAC meat IS
SDNY_GM_OOO46177
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009001
EFDLOO 156786
EFTA01289149

Deutsche Asset
& Wealth Management
d.uw•e ram 00.0 V07.11i M.00.0•,
Mmetts ..,.rate G•n0
P.O. Box 1778, BaMimore, MO 21203
Statement Period:04/01/2016 - 04/30/2016
Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Dale Acquired Quantity Unit Cost Cost Basis Market Price Markel Value Gain/ toss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
PM ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 46625HHA1
1110TH PFD SER 1 FIXED TO CLIO RT BD
7.900% 04129/49 B/E DTD 04123108 Moody Rating BAA3 S
P Rating BBB-
06115111 t3.12 2300.000.000 107.5000 2.687.500.00 100.5630 2.514,075.00 -173,425.00 0.00 197.500.00 7.85%
Original Cost Basis: 52,687,500.00
06(15(11 '.3,12 2 500,000 000 107 0000 2,615,000.00 100.5630 2,514,075.00 -160.925.00 0.00 197.500.00 7.85%
Original Cost Basis: 52.675.00000
Total Noncovered 5,000,000.000 6,362,600.00 5,018,150.00 -334,350.00 0.00 395,000.00
Total 5,000,000.000 $5,362,500.00 $5,018,150.00 -$334,350.00 $0.00 9195,000.00
BANK AMER CORP PERP NON COM ULATIVE DEP Security Identifier: 060505D T8
SFS FIXED TO FLOAT 8.125% 04130158 B/E
DTD 04130108 CALLABLE 05/15/18 Moody Rating BA2 S8 P
Rating BB4
01110111 t3.12 2.000,000100 102 7500 2,055,000.00 98.2500 1,965,000 00 •90,000.00 74,479.17 162,500.00 8.26%
Original Cost Basis: $2,055,000.00
SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: 1142400FU2
6.250% 01(17/62 B/E DTD 01117112
CALLABLE 02/01122 Q 100.000 Moody Rating BAAI S8 P
rating BBB-
01130112 *-3-12 3,000,000.000 99 8390 2,995,166 41 109 7000 3,291,000 00 295,833.59 46,354.17 187,500.00 5.69%
Original Cost Bass 52.992.564 97
GENERAL ELEC CO GTD FXD•TO•FLTG RT Security Identifier: 369604BM 4
0 N -CL MULATIVE FERFETL AL PREFERRED
4.000% 12103/65 REG DID 12103115 Moody Rating A3 58
P Rating M-
12103(15' 2,469,000.000 88 0930 2,175,016.17 95.8130 2,365,622 97 190,606 80 37,035 00 98,760.00 4.17%
Original Cost Basis: $2.175.016.17
a Page 5 of 18
A
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r 7 C '0 x 0 A 1 e 07 L 7 nM y0 .A V u 7 R 7 s n . R 0 s 7 eA S 0 Tr a 0 E n 0 D te C 2 O 0 M 07 M UNCATIONS ••••••••.L44 —••••••••-•.-44 404
SDNY_GM_00046178
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) A OB-SDNY-0009002
EFrA_00156787
EFTA01289150

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quaality Unit Cog Cost Basis Market Nice Markel Valve Gala/ Loss Interest Annual Income Yield
Fixed interne (continued)
Corporate Bonds (continued)
'LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4
ADDL TIER 1 SECS ISIAtUS539439AG42
7.500% 04/27/88 WE DTD 04/07/14 St P Rating BB•
Please Provide' 1.903.004.000 N/A Please Provide 99.1500 1.886.824.50 N/A 13.083 13 142.725.00 7.56%
Original Cost Basis: Pease Provide
CITIGROUP INC FXD RT SR NT PERP DEP RECPT Security Identifier: 172987ES
5150% 08/15/88 B1E DM 08/12/15
CALLABLE 08/15120 ftt 100.000 Moody Rating BA2 S8 P
Rating BB.
08/06/15 3.000.000.000 100 0000 3.000.006.00 96.7500 2.902.500.00 .97.506 00 37,187.50 178.500.00 6.14%
Original Coss Ba $3 000 006 00
Total Corporate Bonds 821,398,101.18 $23,261,349.97 -821,675.71 6305,638.18 $1,657,567.50
22,918,000.000
Total Fixed Income 821,877,720.22 823,788,843.19 824,298.47 8305,638.18 81,857,587.50
24,208,000.000
Umeslized Estimated Estimated
Date A uired Ouletit Unit Cost Cost Basis Market Price Market Value Gals/ Loss Annual Income Yield
Equities 72.00% of Portfolio
Common Stocks
M °BREVE NY AM STELYEEN ORD 511$ Security Identifier: M BLY
169410.0010831061 CLSP A51488117
Dividend Option: Cash
08101/14 800.000 25.0000 20.00000 38.1500 30,520.00 10,520.00
AKORN INC COM Security Identifier: AKRX
Dividend Option: Cash CUSP. 009728106
06110/15 5.000.000 46.8410 234.206.00 25.4500 127.250.00 •106,95600
AUBABA GROUP HLDG LTD SPONSORED ADS Security Identifier: BABA
ISA SO160%1/1027 CUSP. 01609W102
Dividend Option': Cash
06110/15 5,000.000 88 9500 444,749.00 76.9400 384.700 00 -60,049.00
ALUANZ SE SPONS ADR REPSTG 1110 SI1S Security Identifier: AZSEY
Dividend Option: Cash CUSP: 018805101
04113/15 5,000.000 18.0110 90.056.00 16.9800 84,900.00 -5.156.00 2,959.81 3.48%
APOLLO GLOBAL M GM T LLC CL A SHS Security Identifier: APO
Dividend Option Cash CUSP: 037612306
03/29/11 '.13 263.157.000 19 0000 4.999.983.00 16.9100 4.449.984.87 -549.998.13 363.156.66 8.16%
Page 6 of 18
TAL .,
l)Pikit Vol I A S c O c L o T u M n t E N RN u mber N4G-023804 djo paperless R = te a M e te n I d N e E xc D el lent C 2 O ° M °7 M UNICATIONS --makwenn
NJ FI D SDNY_GM_00046179
NJ
CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0009003
EFTA_00156788
EFTA01289151

hManale,tnt
PO Do. 1776, Baltirn<.re. ND 217(3
Statement Period:04/01/2016-04/30/2016
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Dale Acquired Quantity WM Cod Cost Basis Market Price Market Value Win/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
APPLE INC COM Security Identifier: AAPL
Dividend Option: Cash CUSP. 037833100
250.000 00 of these shares are in your margin account
10128113 3 14,000.000 75.5800 1.058.120 50 93.7400 1.312.360 19 254.239.69 31,920.00 2.43%
09105114 124.180.000 98 9500 12.287.615 97 93.7400 11,640,633.17 446.982.80 283.130.40 2.43%
09105114 3 7.204.000 98 9500 712.440 29 93.7400 674,927 83 .37,512 46 16,416.00 2.43%
09105114 3 18.620 000 98 9500 1,842,449 74 93 7400 1.745.438 98 -97410 76 42.453 60 2.43%
01111116 250.000.000 99.0000 24.750,006 00 93.7400 23.434,999 83 •1.315,006.17 570.000.00 2.43%
Total Covered 114,000.000 40,650,632.50 38,808,360.00 4,042,272.60 943,920.00
Total 414,000.000 640,850,632.60 330,808,360.00 -61,042,272.60 8943,900.00
ARIAD PHARMACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash CUSP: 04033A100
02114/12'•33 7.535.000 15 2090 114.597.40 7.1800 54.101 30 -60.496.10
01124113 9,000 000 19 6000 176.400 00 7.1800 64.620 00 -111.78000
Total Noncoveted 16,535.000 290,997 40 118,721.30 -172,276.10
Total 16,636.000 6290,997.40 $114721.30 -9171,076.10 60.00
ASCENA RETAIL GROUP INC COM Security Identifier: ASNA
Dividend Option Cash CUSP 043516101
01/16101 '.3 70.500 000 21 2770 1.500.000 00 8.8100 621.105 00 -878.89500
AVALANCHE BIOTECHNOLOGIES INC Security Identifier: AAVL
COM CUSP 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 5.6400 56.400.00 -342,206 00
BASF SE SPONSADR Security Identifier: BASFY
ISINOL 50552625057 CUSP 055262505
Dividend Option: Cash
04/13/15 5.000.000 101.6110 508.056 00 82 6370 413,185 00 -94,87100 11,564.11 2.79%
BANK OF NEW YORK M ELLON CORP COM Security Identifier: BK
Dividend Option: Cash CUSP 064058100
Page 7 of 16
Account Num ber. N4G-023804 Rated tacellera
UNA,' ROI I SOU THERM ONLLC. FID G E o pa S pe M rless A L Dr L x v Ae e L r s B y u A V rRn . . Ra eA S rT l E a D te C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00046180
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009004
EFTA_00 156789
EFTA01289152

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date ••sired Quiet Deft Cosi Cost Buis Market Price Markel Value Gain/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
BANK OF NEW YORK MELLON CORP COM (continued)
06125114 254000.000 36.3060 9,076,406.00 40.2400 10,060,000.00 983,594.00 170.000 00 1,68%
BIOGEN ID EC INC COM Security Identifier: Bile
Dividend Option: Cash CL SR 09062%103
02114112 '.13 2,095.000 119 5490 250.454.95 274.9900 576,104.05 325,849.10
CENTENE CORP DEL COM Security Identifier: CNC
Dividend Option: Cash CUSP. 151358101
09108114 15,550.000 63 6450 989.679.75 61.9600 963.470.00 -26.201.75
DISH NETWORK CORP CL A Security Identifier: DISH
Dividend Option: Cash CUSP 2547011109
06110115 5,000.000 72 9960 364.978.00 49.2900 246,450.00 .118,528.00
FACEBOOK INC CL A Security Identifier: FS
Dividend Option: Cash CUSP: 3030311102
05/17112 17,500.000 381000 665.000.00 117.5800 2,057,650.00 1,392,650.00
FOUNDATION MEDICINE INC COM Security Identifier: FM I
Dividend Option: Cash CUSP: 350465100
01113114 25,000.000 27.5070 687,663.50 15.9500 398.750.00 .288,913.50
08105114 24,830.000 23 2530 577,373.02 15.9500 396,038.50 -181,334.52
Total Covered 40,830.000 1,206,030.52 794,788.50 -470,248.02
Total 40,830.000 11,205,030.52 5794,788.50 4470,248.02 $5.00
GENERAL ELECTRIC CO CON Severity Identifier: GE
Dividend Option: Cash CUSP 369604103
04123113'.13 23,000.000 21.5700 496,109.08 30.7500 707,250.00 211,140.92 21,180.00 2.99%
GENERAL M TRS CO COM Security identifler: GM
Dividend Option: Cash CUSP: 37045Y100
11118110 ' 10,988.200 36.4010 399,978.16 31.8000 349,424.77 -50,553.39 1470298 4.77%
12109/10 86.536.800 36 8160 3,185,969.22 31.8000 2,751,870.23 -434,09899 131,535.94 4.77%
Total Noncovered 97,525.000 3,585 947.38 3,101,295.00 484,852.38 148,238.00
Total 97,525.000 $3,585,947,38 $3,101,295.00 4484,662.38 $148,238.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02/05/14 5,000.000 79 2810 396,407.00 882100 441,050.00 44,643.00 9,400.00 2.13%
03107114 3,100.000 79 6120 246,797.00 882100 273,451.00 28,654.00 5,828.00 2.13%
Total Covered 8,100.000 643,204.00 714,501.00 71,297.00 15,220.00
Total 8,100.000 9043,204.00 $714,501.00 $71,297.00 $15,228.00
GLAXOSMITHKUNE PLC SPONS ADR Security Identifier: GSK
Dividend Option: Cash CUSP'. 37133W105
Page 8 of 18
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SDNY_GM_00046181
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009005
EFrA_00 156790
EFTA01289153

Deutsche Asset
& Wealth Management
Drålly,e Ram Ponl.~ So.M a.ramt
Mr.ets COMIC< 4,04P
PO &a 1778. 8881mØ, MD 21203
Statement Period: 04101/2016 - 04/30/2016
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quality Viii Cost Cast Bans Market Price Merkel Value Gain/ loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
GLAXOSM ITH KLINE PLC SPONS ADR (continued)
06110115 5.000100 43.0010 215,006.00 42.9100 211,550 00 .456 00 11,580.91 5.39%
GLOBAL PARTNER ACQUISITION CORP SiOlrIty Identifier: GPACU
UNIT 1 CON 81 WT EFP CUSP: 37954Y204
Dividend Option: Cash
07130115 ' 2.000.000 10 0000 20.000.00 9.6000 19.200 00 800 00
GODADOY INC CL A Security Identifier. GDDY
Dividend Oplian: Cash CUSP 380237107
04101115 700.000 200000 14,000.00 30.3700 21.259 00 7.259.00
MATCH GROUP INC CON Seculty Identifier: M TCH
Dividend Oplian: Cash CUSP 57665R106
11/18/15 200.000 12.0000 2,400.00 11.4000 2,280.00 -12000
SANGAII 0 BIOSCIENCES INC COM Security Identifier: SON 0
Dividend Oplian: Cash CUSP 800677106
05128113'.13 50,000.000 8.4440 422,214.00 6.3000 315,000.00 .107.211.00
SANTANDER CONSUMER USA HLDGS INC CON Security Wearier: SC
Dividend Oplion: Cash CUSP 80283M101
01123114 1,000.000 240000 24,000.00 13.1700 13.170.00 -10.83000
SQUARE INC CL A Security Identifier: SQ
Dividend Oplion: Cash CUSP 852234103
11119115 200.000 9.0000 1,800.00 14.8900 2.978.00 1,178 00
TERRAFORM GLOBAL INC CL A Sear rity Identifier:61BL
Dividend Oplian: Cash CUSIP. 8810/11101
07131115 400.000 148300 5,931.84 2.9100 1,164.00 -4,767.84 110.00 3780%
TWITTER INC COM Security Identifier: TY4 TR
Dividend Oplion: Cash CUSP: 901841102
11/07113 1.500.000 26.0000 39.000.00 14.6200 21,930.00 •17,070.00
VIACOM INC NEW CL 8 Security VIAB
Dividend Option. Cash CUSP 92553P201
Pap 9 of 18
Account Number. N46-023804 Rabid toc•ibrdi
MIA,' RCM Cio paperless D t v A e L r B y A Y R e R s. A s T a E w D * C 2 O '0 M 07 M UNICAT,ONS
F IDAMTIAL rxenuNer
SDNY_GM_00046182
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 69033; "E" OB-SDNY-0009006
EFTA_00156791
EFTA01289154

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date ired Ousel Limit Cost Cost Basis Market Price Minkel Value GaialLoss Annual Income Yield
Equities (continued)
Common Stocks (continued)
VIACOM INC NEW CL B (continued)
06110115 5,000100 67.7190 338,745.00 40.9000 204,500.00 •134,24500 8,000.00 3.91%
VOLKSWAGEN A G ADR (SPONS) Staidly Identifier: VLKAY
Dividend Option: Cash CUSP: 928662303
04113115 5.000.000 50.8610 254.306.00 31.6920 158,460 00 •95,846.00 4,004.38 2.52%
W ISHII' TREE IN YTS INC COM Security Identifier: W ETF
Dividend Option: Cash CUSP: 97717P104
03131115 15.000.000 21 6110 324,157.50 10.8900 163.350.00 -160107 50 4,800.00 2.93%
Total Common Stooks $66,135,661.92 $65,454,483.12 -12,681,178.20 8705,051.87
Preferred Stocks (Listed by expiration date)
ALLY FINL INC FIX TO FLT Security Identifier: ALLY PRBC
DIV-8.50% FRED-QTRLY CALLABLE Q 25.00 CUSP. 02005N308
ON A OTRLY BASS AFTER 05115/2016
Dividend Option: Cash
02103112 '.13 16,600.000 19 3820 903,217.51 241800 1,164,066.01 260,850.50 99,025 00 8.50%
02109/12 80,000.000 20 1250 1,610,000.00 24.9800 1,998,399.99 388,399.99 170,000.00 8.50%
Total Nononered 126,600.000 2 513 211.51 3,162,168.00 649,250.49 269,025.00
Total 126,600.000 $2.513,217.51 $3,162,468.00 $649,250.49 $269,025.00
GM AC CAP TR I GTO TR PFD SECS SER 2 CAN- Security Identifier: ALLY PRA
8.125% FRED ORTLY BATY-0211512040 CALL CUSP: 361860208
ANYTIME Q 25 W130 GAYS BEGINS 02/15116
Dividend Option: Cash
02122/12 '.13 80,000.000 23.5350 1,882,773.60 25.0700 2,005,600.00 122,82610 162,500.00 8.10%
ROYAL BK SCOTLAND GP PLC WON AOR REPSTG Security mouser RBS PRT
SER T PFD CPN-7.25% FRED ORTLY FERP M TY CUSP: 780097713
CALLS 25 ANY W130 D NOTICE AFTR 12/31/12
Dividend Option: Cash
10124112 '.13 40100.000 23.7900 951.600.00 25.2200 1,008,799.99 57,199.99 72,500 00 7.18%
01107/13 '.13 40.000 000 24 4400 977.600.00 25.2200 1.008.799.99 31,199.99 72.500 00 7.18%
01114/13 '.I3 10,000 000 24.8800 995.200.00 252200 1,008,800.02 13,600.02 72,500 00 7.18%
Total Noncovered 120,000.000 2)924,400.00 3,08,100.00 102,000.00 217,500.00
Total 120,000.000 $2,924,400.00 $3,026,400.00 $102,000.00 $217,500.00
Total Preferred Stocks $7,320,391.11 $8,194,468.00 $874,071.89 $649,025.00
Total Equities $75,456,053.03 $73,648,951.72 -$1107,101.31 $2,354,076.87
Page 10 or is
ttEci
108,..11 Me, A SC cc L o T u H n E t N RA u mber. N46.02360 F 4 I D G AE o p N ape T rle I ss A L R E rDx v A a c e t L e r iBu y d A V r t n o R is c aR o e r eA l L l rT e a E n c D i e C 2 O 0 M 07 M UNCATOONS Pare •••••••••••.. ra.10.
SDNY_GM_00046183
CONFIDENTIAL — PURSUANT TO FED. R CRIN1 P. 6(e) OB-SDNY-0009007
EFTA_00156792
EFTA01289155

Deutsche Asset
& Wealth Management Dralsev gam pow. Manap-ned
Mweels ComWaee,a I nG.t o‘p
PO. Lica 1778. Sallimore, MO21203
Statement Period: 04101!2016 - 04/30/2016
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Dandy Vail Cod Cost Basis Market Price Market Value Gain! Low Annual Income Yield
Exchange-Traded Products 2.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DXJ
Dividend Option. Cash: Caplet Gains Option: Cash CL SIP 977I7W851
60,00000 of these shares are in your margin account
12/11113 80.000 000 49.4350 2.955.09850 41.1000 2,488,000.00 -500.098.50 45,298.20 1.83%
Total Exchange-Traded Products $2,966,098.50 $2,466,000.00 -$500,098.50 $45,296.20
Unrealized kaued Estimated
Cod Basis Market Value Gain/ Loss Interest Annual Income
Total Portfolio Holdings $102,962,697.89 $102,556,621.05 -$2,282.901.34 $305,536.15 *4,061,016.85
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 FIRM (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(sF 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 foced payment schedule for which a yield to maturity can be easily detemined acquired on or after January 1. 2014.
Cost Basis on (cod 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 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 ttne and are obtained from sources we believe to be reliable.
if 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.
I3 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 11 of 18
Account hum Der. N4G-023804 Raid excelleni
WIAlf RCM L TM ERN LI.C. Go paperless l p - il n Va n lr ' e V : a NR n W SS O W) . C 2 O 0 M 07 M UNICATIONS
NI FI D A.
SDNY_GM_00046184
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009008
EFIA_00156793
EFTA01289156

Schedule of Realized Gains and Losses Current Period
Date Date Realized
Dewier° - Disposed Acquired Designation Disposition Method I Tumuli°, Quantity Proceeds Cod Bads Gale/ Loa
Long Term
WASHAGTON MUT M TG S 01)22/16 12/13/13 NoncovereC, t REPYMT OF PMN 1.290.000.000 1.845 50 1,412 16 433.34
00447A2 LUG PASSTHR11 CIF CL C- Original Cost Basis 1 412 16
B-1 VAR RATE 0.000% 07/25/33
Security Identifier: 93933020
Total Long Term 1,815.50 1,112.16 133.31
Total Short and Long Term 1,05.50 1,112.16 133.31
• 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 (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 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 lone 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 hinds 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 believe to be reliable.
Adjustments to cost basis can be made after year-end, in particular, for retum of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis
reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099G or online displays you may have available to you.
When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by
Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to property report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or
warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on
the information provided herein for such reporting.
Cost Basis on fixed income securities may be adjusted for amortQation, 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 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.
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, First Out (FIFO). Your accounts selected tax lot method wit be used
to delemtine 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 18
Account Number: 1446423804 paperless R [v a e t r e y d Y ta e c a o r l l S o M n O fl D 2007 Ste--t--Atzt
6(e)SOUTHERN vONAIUJvAL
K1F I DAEN TEAL
DrxAeLs BuArRtr RaeArT ED COMMUNICATIONS
SDNY_GM_00046185
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. OB-SDNY-0009009
EFTA_0015 6794
EFTA01289157

Deutsche Asset
& Wealth Management
Dryly, on. Wolin Many....,,,
PO. Bop 1778. Baliimore, MO 21203
Statement Period: 04101/2016 - 04/30/2016
M essages
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 produces disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10(b)(1) confirmations are
not sent for purchases into money market mutual funds processed on the sweep platform
Activity Sum m ary (NI amounts show ere 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
Secunites Bought 000 000 000 0.00 .24,750.006.00 -24,750,006.00
Securities Sold 000 000 000 706,250.00 0.00 706.250.00
Securities Depotiled 000 000 000 5.185.557.00 0.00 5.185.557.00
Total Securities $0.00 10.00 $0.00 $5,891,807.00 ,124,750,000.00 -$18,858,119.00
Dividends and Interest $143,161.00 $0.00 $153,161.00 $967.890.38 -$90,911.10 $070,979.211
DIstrIbudons 60.00 10.00 10.00 $1,273,683.96 10.00 $1,273,183.98
Fees $0.00 .1121.00 -$127.00 $0.00 -$164.00 -$184.00
Cash
Withdrawals 0.00 0.00 000 0.00 -10,891,591.92 -10,891,591.92
[reprints 0.00 0.00 000 8,613,530.99 0.00 8,613,530.99
Total Cash $0.00 $0.00 $0.00 68,613,530.99 -$10,891,591.92 -62,278,060.93
Totals $153,161.00 -$127.00 $153,034.00 $10,746,912.33 -$35,132,613.02 -$1$,905,710.89
Transactions by Type of Activity
Process'
Settlement
Dale Activity Type Description Quantity Ma Aimed littered Anoint Curer,
Dividends and Interest
04101/16 CASH DIVIDEND RECEIVED 5000 SHRS VIACOM INC NEW Cl. B RD 03113 PO 04/01/16 2,000.00 USD
YIAB
01111(16 FOREIGN BOND INTEREST 300000 BARCLAYS ex PLC CONTINGENT CAPNT 11,625.00 LIS)
06739FHKO ISA US06739FHK03 7 750% 04/10123 EVE DTD 01110113
CL8 RD 04108 PD 04/10/16
Page 13 of 18
: Account Number. N4G-023804 Go paperless I ( t v a e N ry d Year Since 2007
00A18 M(>1.1. SOUTHERN CVO N LLC. F I DAENTIAL r C x A e L n M u AR rw R e A r T ED COMMUNICATIONS
SDNY_GM_000461136
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009010
EFIA_00156795
EFTA01289158

Transactions by Type of Activity (continued)
Process/
Settlement
Date Adivity Type Desdi ma flea Price Actreed littlest Mount Curren
Dividends and Interest (continued)
0111/116 FOREIGN SECURITY DIVIDEND 5000 SHRSGLAXOSMITHKLINE PLC S'ONSADR RD 02/19 6.132.83 USD
RECEIVED PD 04114/16
GSK
01/15/16 BOND INTEREST RECEIVED 3000000 FRONTIER COMMU NICATIONS CORP SR NT 8.500% 127,500.00 USD
35906AAH1 04115/20 BIEDTD 04/ 12110 REI 414114 PD 04115/16
01/25/16 CASH DIVIDEND RECEIVED 23000 SIRS GENERAL ELECTRIC CO COM RD 02129 PD 5,290.00 U&
GE 04125/16
01/29/16 MONEY MARKET FUND DEUTSCHE GOVT CASH 813.17 USD
INCOME RECEIVED
233993681
Total Dividends and interest • U.S. DOLLARS 0.00 153,101.00
Fees
01/01/16 FOREIGN CUSTODY FEE Fyn Safekeeping MAR 2016 CUSP: GIS' 5144.8 -2.00 USD
G4515PP48
01105/16 AGENT SERVICING FEE AUBABA GROUP HLDG LTD SPONSORED ADS .100.00 USD
BABA ISINIUS01609W1027 RD 03131 PD 04105116 5000 SHS•SVC
FEE N1G0238041
04/14/16 FEE ON FOREIGN DIVIDEND 5000 SHRSGLAXOSMITIIKLINE PLC SPONSADR RD 02/19 .25.00 USD
WITHHELD AT THE SOURCE PD 01114116
GSK
Total Fees • U.S. DOLLARS 0.00 .127.00
Total Value of Transactions 0.00 153,03410 USD
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Security Record Date Payable Date 0usetily Held Rate Dividend Option Mount of Payment
Interest
EARTFLINK INC GTD SR NT FULLY EXCHANGED 04/29/16 05115116 146,000.000 0.044375 Cash 33.103.75
CUSP FROM 270321A68
Total Cash Not Yet Received $33,103.75
Page 14 of 18
cr,
Account Number. N46023804 Rated [...Ilona
R': TBESSCSE EMAII MN I SOUTHERN F I D G A o E pa N per T les 1 s AL r ( D v xA e eL r On y A t Y rR e w a Re r A L rT a E t D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046187
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009011
EFTA_00 156796
EFTA01289159

Deutsche Asset
& Wealth Management
Dnnw••• P,n, 0•1.01, Wolin Parai nntrn
MANT.(cmint Smp
P.O. Box 1778, Baltimore, MO 21203
Statement Period: 0410112016 - 04/30/2016
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
1 to 5 years 3,931.352 50 17% 1=1 Percentages of bond market values are
6 to 10 years 1,887,900.00 rounded to the nearest whole percentage.
Oyer 10 years 17,966,590.69 75
Total 23,7814843.19 100%
Bond Quality
Bond Quality Market Value % of Bond Market Value
A 2 365.612 97 10% IN Percentages of bond market values are
8AA 8,319.15000 35% rounded to the nearest whole percentage.
MI
BA/Loner 13.104.070.22 55% F\71
Total 23,711,843.19 100%
Client Service Information
Your Client Advisor: DAN
DANIEL SABBA
315 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 Flan: 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: ConMant Yield Method
Include market discount in income annually: No
Page 15 of 18
KJ
Account Number. N4G-023801 Go paperless Rated Emellonl
L/BALI toll SOUTHERN U lt .,. F I E D v A e L r B y A V R s R . A S T N E O D T C 2 O 0 M 07 M UNICATIONS
Dani sriAL rxaruir.ses
SDNY_GM_00046188
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009012
EFTA_00 156797
EFTA01289160

Your Account Information
(continued)
Electronic Delivery
You have not selected any account COMMUMCVIOAS for electronic delivery. To register and turn off paper communications, 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 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 "NIA" and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily
be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are
sometimes unable to provide timely information. tititere pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will
be used in the release of the current month's statement. Prior statements vd not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an
order.
Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets
are priced via third party sources believed to be reliable.
For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be
listed. If the last price available for such securities is unchanged for a period of tine deemed appropriate for that asset, the current price will purge and WA will be placed in the price field in the statement. The
pricing of listed options takes into account the last closing price, as well as the current bid and offer prices.
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
wvm.pershing.convbusiness_continuity.htn for specific deeds as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income. Bank Deposit interest income. or dividends 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 'low.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously finished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margn 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 relied a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction. incurred a charge, or received a credit. Transactions convened by agents (such as depositories) wit be billed at the rates such agents
use.
Page 16 of t8
WOAI, 'OII A SO cc U o T u H n E t R N N u mber: N4G-0238 • 04 r Go paperless It R E r D x A v a c e L s l r B a u t A Y E r R i e a x a R r a r s A m S T i E n s D e C .2 O 0 M 0 M 7 UNICATDONS
SDNY_GM_00046189
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009013
EFIA_00156798
EFTA01289161

Deutsche Asset
& Wealth Management
Diralsr. Prstir wean lAviagenent
PO Doh 1776. Balomore MD 21203
Statement Period: 04/0112016 • 04/30/2016
Important Inform ation and Disclosures (continued)
Ratings
This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Pools is not perrritted 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 Star dard & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not
recommendations to purchase. hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Cash Not Yet Received
Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
The Rae of Pershing
• Pershing conies 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 nstructions concerning your account. Pershing is not responsible or fable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitabiity 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 suitabity of those transactions, where appicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department a Mother implies regarding your account or activity should
be deeded to your financial institution. Your financial organization's contact information can be found on the frist 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: vrivw.pashing.comfabout/strength-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 reconfirmed in witting 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 rrors 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 bindiig; 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 generally more limited in arbitration than in court proceedings.
Page 17 of 18
4 .,
gl >I t ASccC I o T u H n t E N RN u mber. O N4G- R 0 L 2 I. 3 C 8 .i 0 4 F ID G E o p 1 ap T e I le T ss A L g R Ly a t& t o e n d , V V ta e c a a e t l l g S en l E a li t D e c 2 ° 0 ' 0 *" 7 " u mcscr°6 Pam. MA ••••••• Mat
SDNY_GM_00046190
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009014
EFIA_00156799
EFTA01289162

Important Information and Disclosures (continued)
Important Arbitration Disclosures (continued)
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators wil typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
clans encompassed by the putative class action until; (I) the class certification is denied: (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem.
Pershing's contact information Is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399
Page IS of IS
min
Account Number. N416.023804 Rabid Excellent,
OBAB MOLL S/3 L THERA F I D Gor paapenrleAss L D E rx v Ae e sU r t , uM V r e n. R e a r Ae S Tr i E n D e, C 2 O 0 M 07 M UNICATIONS —tat err VS fl s
SDNY_GM_00046191
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009015
EFIA_00156800
EFTA01289163

Deutsche Asset
& Wealth Management
Desist.< Mn. Prlyale Wealth
P.O. Box 1778, &adman", MD21203
Account Num ber: N46-023804
Statement Period: 02101i2016 -1212912116
Portfolio at a Glance This Period Year-to-Cate
SOUTHERN FINANCIAL LLC Beginning Account Value $100,011181.07 9103,284,617.80
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 1,831100.66 3,721,939.07
het Securities InlOut of Account 5,185,557.00 5185,557.00
ST THOMAS VI 00802
Adjusted Previous Account Value 107,035,138.73 112,192,11317
Dividends, Interest and Other Income 625.01511 640,748.62
Net Other Adivity -4.00 -33.00
Net Chan .e in Portfolio -1 066 125 15 -6,239,071.00
Your Client Advisor: ncling Account Value 5106.593 755.49 S106 593 755 49
DANIEL SABRA Accrued Interest $416,710.12
Est[m aced Annual Income 14.071.873 39
Asset Allocation Prior Year-End Led Period This Period % Allocation
1,S0 Cash. Money Funds. and Bank Deposits 26,834.143 83 3.990.349.95 6,446.792 52 6.05% Please revmw your allocation
LSD Axed Income 20.242.233.86 20.001.602.76 19.778.229.72 18.55% pen:dimity wth your Cbent Advisor.
hon-LSD Axed Income 5.196,765 00 5.102.565 00 1.882,712 00 1.58%
LSD Equities 47,972,851 11 68.018,359 36 72.962,823 25 6845%
lion-LISD Equities 3.038.624 00 2.875.304.00 2.523.168.00 2.37%
Account Total Nile Chart) $103,2114,617.80 1100,016,191.07 9106,593,755.49 100.00%
See the Asset Allocation Disclosure and Footnotessectioning exponent information regarded your Asset /Melton.
Page 1 of 19
()RAM e t paperlei sA ry D R Ly a A o te U n d , M V E * x a c R n e A l S l T e i n E n t c D , e C 2 O '0 M 07 M UNCATIONS rt. Zr.....'ate-'73=17.7~.=
CONFIDI misrur rxOLLPNCr
SDNY_GM_00046192
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009016
EFTA_00 I 56801
EFTA01289164

Asset Allocation Disclosure and Footnotes
Al values are displayed in U.S. dollars based on interbank exchange rates as of 02/29/2016. 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 -1,970.246.31
Long-Term Gain/Loss 12.751 67 13.206.30 -115614085
Net GalnlLoss 12,751.67 13,206.30 -3,426,687.16
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the 'ECB') and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The
interest will be reported on your Forms 1099 and/or 1042 S. 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
Oats Activity Type Description Amount Sauce
Sweep Money Market Fund
DEUTSCHE GOVT CASH INSTL
Account Number 0000001490 Current Yield: 0.26% Activity Ending'. 02129/16
01130116 Opening Balance 3.990.349.95 3.990.349.95
02101116 Withdrawal MONEY FUND REDEMPTION -577,350.93 3,412,999.02
02102116 Deposit MONEY FUND FIrEFASE 93,716.00 3,506,745.02
02101/16 Deposit MONEY FIND RIRCFASE 2,108,751.59 5.915.196.61
02/12/16 DepoOt MONEY RAO PURCFASE 215.280.00 6.130.776.61
02116116 Deposit MONEY FUND F1JRCFASE 42.500.00 6.173.276.61
02117/16 Deposit MONEY FUND FURCFASE 107,881 29 6,281,157.90
02118116 Deposit MONEY FUND PURCFASE 90,750.00 6,371,907.90
02123(16 Withdrawal MONEY FUND REDEMPTION -12.50 6.371.895.40
02129/16 Deposit INCOME REINVEST 1,21116 6.373.108.56
02(29(113 Closing Balance 66,373,108.56
Total All Money Market Funds $8,373,108.56
Page 2 of 19
Account Number. Ni1G-023801 Go paperless Raid tszollerdi
till.M1 ROI SOUTHERN LNLC . F I DESMAL ' ( Ds v A e uL r m y B A V mR e R s e t A S rT i E nc D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046193
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009017
EFTA_00 156802
EFTA01289165

Deutsche Asset
& Wealth Management
Mar
P.O. Boa 1778, Skidmore. MO21203
Statement Period: 0210112016 • 02129/2016
Income and Expense Summary
Current Period Yeamo-Date
Taxable Noe Taxable Taxable Non Taxable
Dividend Income
Equities 325,03625 0.00 335,071.35 0.00
Money Market 1,213.16 0.00 3,255.14 0.00
Other Dividends 93,750.00 0.00 93,750.00 000
Interest Income
Bond Interest 90,737.50 0.00 94,363.13 0.00
Other Interest 10,62104 0.00 40625.01 0.00
Expenses
Fees(Foreign Securities) 0.00 0.00 -25.00 0.00
Total Dividends, Interest, Income and Expenses $651,361.95 60.00 9567,039.60 $0.00
Distributions
Mernatne Inseam ents 0.00 73.683.96 0.00 73.683 96
Total Distributions $0.00 $73,813.96 $0.00 $73,663.91
Portfolio Holdings
kk nout Activity *al Closieg Maned Wow 31Day Curent
Opening Date Quantity Number Ending Balance Balance lawn ibis Year Yield Yield
Cash, Money Funds, and Bank Deposits 6.00% of Portfolio
Cash Balance 0.00 73.683.16
Money Market
DEUTSCHE GOVT CASH INSTL
01130116 6,373,108.560 0000001/90 02129116 3190,349.95 6.373.108.56 0.00 3.255.11 0.26% 0.26%
Total Money Market 63,990,349.96 $0.00 $3165.14
Total Cash, Money Funds, and Bank Deposits $3.990.349.91 6$68:437463,170982.162 $0.00 63,265.11
Page 3 of 19
• : USA„ ROLL A SO cc U o T u H n E t R N N u mber: N4G4 K 23 1 801 GO paperiess R D (v A a e t L e r B y d A V [m R o R a n l A l a S T r a E d n D , t e C 2 O '0 M 07 M UNICATIONS
F I DAENT EA L exarkuwee
SDNY_GM_00046194
CONFIDENTIAL — PURSUANT TO FED. R CRIIVI. P. 6(e) OB-SDNY-0009018
EFTA_00 156803
EFTA01289166

Portfolio Holdings (continued)
Adjuged Unrealized Accrued Estimated Estimated
031e Acquired Cluaatfty Usit Cost Cod Basis Market Price Markel Value Gain/ Loss Isle red Annual Income Yield
Fixed Income 23.00% of Portfolio (In M awrity Dee Sequence)
‘Asset Backed Securities
WASHINGTON NUT M TG SECS CORP 2004-RA2 Security Identifier: 939338320
M TG PASSTHRU CTF CL C-B-1 VAR RATE
0.000% 07/25/33 WE DM 06/01104 S 8 P Rating
Factor. 0.49287123 Blithe Date:02/01116
Current Fact Value: 635.803.887
12113/13 '.3.I2 1,291000.000 76.5190 486.508.28 84.9090 539,854.72 53,346.44 0.00
Ongmal Cosl Basin $638.906.71
Total Asset Backed Securities $486,508.28 $539,854.72 $63,348.44 50.00 50.00
1,290,000.000
Total Current Face Value : 635,803.887
Corporate Bonds
EARTHUNK INC GTD SR NT FULLY EXCHANGED Security IdenUfler: 270321AC8
CUSP FROM 210321AB8 8.875% 05/15119 WE
DM 05117111 CALLABLE 03102/16 S8 P Rating CCC•
10/22/12 ..3.12 146,000 000 102 5650 149.773.39 99.7500 145.635 00 .4 138 39 3.743 28 12.957 50 8.89%
Original Cod Basic 5151,110.00
10/23/12 ',LIZ 600.000 000 102 5140 615.081.72 99.7500 598.500 00 -16.581 72 15.383 33 53.250 00 8.89%
Original Cod Basic $619,500.00
Total Nonowered 746,000.000 764,866.11 744,135.00 -20,720.11 19,126.61 88,207.50
Total 746,000.000 5784,865.11 5744,135.00 -520,720.11 519,128.81 $86,207.60
FRONTIER COMMUNICATIONS CORP Security Identifier: 35908AAH1
SR NT 8.500% 04/15/20 WE
DTD 04112/10 1ST CPN DTE 10/15/10 Moody Rating BA3 S
P Rating
07/06115 3,000,000.000 105.0400 3,151,199.62 101.7500 3,052,500.00 -98.699 62 94,916.67 255,000.00 6.35%
Original Cosl Basis: 53,171,006.00
LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: G4S1511P48
TERM NOTES ISNI Y10717735822
9.875% 12/16/21 REG DM 12/16111 Moody Rating Bal S
P Rating BBB
12104/13 1.500.000.000 106 6620 1,600,231.49 105.0320 1,575,480.00 .24.751 49 30.036 46 148.125.00 9.40%
Original Cosl Basic 51,627,500.00
BARCLAYS BK PLC CONTINGENT CAP NT Security Identilter: 06739FHKO
ISA US06739FF KO3 7.750% 04/10/23 B/E
DM 04110113 CALLABLE 04110118 S8 P Rating BB.
04/03/13'.12.13 300,000.000 100.0000 300,000.00 101.3190 303,957.00 3 957 00 8.977.08 23,250.00 7.64%
Original Cost Basic 5300,000.00
Page 4 of 19
ttt,
Account Num ber. N46023804 Rated tocellenti
erl^CI?655 L' ORAN Lek 513 L THERA F I ID Go E oa N oer T les I s A L r ( D v xA e eL r On y A u V Rr . n A Re . A S rT i E nc D e C 2 O 0 M 07 M UNCATIONS 0—.0= --nrakinni•C
SDNY_GM_00046195
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009019
EFrA_00156804
EFTA01289167

Deutsche Asset
& Wealth Management OTIONt ,,•Ile vonaorrannp-wia
.0)(4(11(e.tneG•ap
P.O. Bca 1776, Bal6mone, MO 21203
Statement Period:01/01/2016 - 02129/2016
Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Dale Anzeired Quantity Unit Cost Cost Basis Market Price Markel Value Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
PM ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 46625HHA1
1110TH PFD SER 1 FIXED TO CLIO RT BD
1.900% 04129/49 B/E DTD 04123108 Moody Rating BAA3 S
P Rating BBB.
06115111 t3.12 2300.000.000 107.5000 2.687.500.00 99.7500 2.493.750.00 .193.750.00 65.284.72 197.500.00 7.91%
Original Cost Buis: 52,687,50000
06115111 '.3.17 2,500,000 000 107 0000 2,675,000.00 99.7500 2,493,750.00 .181.250.00 65.284.72 197,500.00 7.91%
Original Cost Basis. 52.675.000,00
Total Noncovered 5,000,000.000 5,362,600.00 4.987,500.00 ,375,000.00 130,569.44 311,000.00
Total 5,000,000.000 55,311500.00 $4,987,500.00 -1375,000.00 $130,569.44 9395,000.00
BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier 0605050T8
SFS FIXED TO FLOAT 8.125% 04130158 B/E
DID 04130108 CALLABLE 05115/18 Moody Rating 8A2 S8 P
Rating BB4
01110/11 ..3.12 2,000,000.000 102 7500 2,055,000 00 100 0000 2,000,000 00 -55.00000 46,944.44 162,500.00 8.12%
engine' Cost Bass 52.055.000 00
SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: I42400FU2
6.250% 01(17162 B/E DTD 01117/12
CALLABLE 02701122 0 100.000 Moody Rating BAAI S d P
Rating BBB-
01130112 ..3.12 3,000,000.000 99 8350 2,995.050 68 108 8000 3,261,000 00 268,949.32 14,583 33 187,500.00 5.74%
Origins Cost Bans 52.992.564 97
GENERAL ELEC CO GTD FXD•TO•FLTG RT Security Identifier: 369604BM 4
KON•CUMULATWE PERPETUAL PREFERRED
4.000% 12103/65 REG DTD 12103115 Moody Rating A3 58
P Rating M-
12103115 ' 2,469,030100 88 0930 2,175,016 17 96.0000 2,370,240 00 195,223 83 20,300.67 98,760.00 4.16%
Original Cost Baas: 51175.016.17
Pap of 19
Account Num ber. N4G-023804 Go paperless R L v a e t r e y d . Y ta e c a o r l L le a ra c e 2007 ra iorron=ftC.C. a . tc r ...,
SOUTH ERN ONLIC. FIDESTTIAL rDxAeLBsAuRrn ReArT ED COMMUNCATIONS
SDNY_GM_00046196
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009020
EFTA_00156805
EFTA01289168

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Dale Acquired Quantity Unit Cost Cod 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: 17298725
5.950% 08115/88 BIE DTD 08112115
CALLABLE 08/15/20 0 100.000 Moody Rating BA2 S8 P
Rating BB*
08106/15 3,000,000.000 100 0000 3.000.006.00 94.0000 2,820.000 00 •180,00600 6.941.67 178,500.00 6.32%
anginal Cosl Basis: 53.000006.00
USG CAPITAL NO I PLC 14411 Security Identifier: 654336668
ISA P XS0473106283 8.000% 09/15/88 REG
DTD 12115109 CALLABLE 08115/20 S8 P Rating BB4
12104/13 '.3.12 1.200.000.000 108 2500 1,299,000.00 102.0000 1224.000.00 •75.000.00 19.733 33 96.000.00 7.84%
Original Cosl Basin 57299,000.00
5LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4
AUDI TIER 1 SECS ISIst US539439AG42
7.500% 09/27188 131E DTD 04/07/14 S 8 P Rating BEI-
Please Provide' 1.903.000.000 N/A Please Provide 93.5000 1.779.305.00 N/A 24.580 42 142.725,00 8.02%
Original Cod Basis: Please Provide
Total Corporate Bonds $22,702,869.07 $24,121,117.00 4361,047.07 1416,110.12 51,753,58730
24,118,000.000
Total Fixed Income 923,189,387.35 $24,660,971.72 .$307,700.63 $416,710.12 $1,753,567.60
25,408,000.000
Unrealized Estimated &limited
Date Acquired Quantity Unit Cost Cod Basis Market Price Markel Value Gain( lass Animal Income Yield
Equities 6 9.0 0% of Portfolio
Common Stocks
M OBILEYE NV AM STELVEEN ORD SHS Security Identifier: M BLY
ISh0 M.0010831061 CUSP. 651488117
Dividend Option: Cash
08101114 800.000 25 0000 20,000.00 32.4800 25,968.00 5,968.00
AKORN INC COM Security Identifier: AKRX
Dividend Option: Cash CUSP: 009728106
06110/15 5.000 000 46 8410 234,206.00 26.5900 132.95000 101.256 00
AUBABA GROUP HLDG LTD SPONSORED ADS Security Identifier: BABA
ISINOUS01609W1027 CUSP. 0160918102
Dividend Option: Cash
06110115 5.000.000 88 9500 444,749.00 68.8100 344,050.00 •100,69900
ALUANZ SE SPONSADR REPSTG 1/10 SNS Security Identifier: AZSEY
Dividend Option: Cash CUSP. 018805101
Page of 19
Account Number. N4G-023804 Go paperless Rabid excellerill
littAtt .011 CON F lD Ani sriA D ( r v xA e cL r Bi y Aa V Rr a mR n eA d rT u E s D t C 2 O '0 M 07 M UNCATIONS
SDNY_GM_00046197
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERk DB-SDNY-0009021
EFTA_00 156806
EFTA01289169

Ala nerWat
Statement Period: 02/01/2016 - 02/29/2016
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Omantlly LIII1 Cod Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continua)
ALLIANZ SE SPONS AOR REPSTO 1110 MS (continued)
04113115 5,000.000 18.0110 90,056 00 14.9130 74.565.00 .15,191 00 2.95911 3.96%
APOLLO GLOBAL N GMT LLC CL A SHS Security Identifier: APO
Dividend Option: Cash CU SIP 037612306
03129111 '.13 263.157.000 19.0000 4.999.983 00 15 5500 4.092.091 35 407.891.65 363.156.66 8.87%
APPLE INC COM Seaulty Identifier: AAPL
Dividend Option: Cash CUSIP 037833100
250,000 00 of these shares are in your margin account
10128/13 3.12 14.000.000 75 5800 1.058.120 50 96.6900 1.353.660 20 295.539.70 29.120.00 215%
09105114 124.180.000 98 9500 12.287.615 97 96.6900 12.006.964 17 -280.651.80 258,294.40 2.15%
09105114 3.12 7.200.000 98 9500 712.440 29 96.6900 696.167 83 •16.27246 14.976.00 215%
09105114 1.13 18,620.000 98.9500 1,842,149 74 96.6900 1.800.367 98 •42,081.76 38,729.60 2.15%
01111116 250.000.000 99 0000 24350,006.00 96.6900 24,172,499.82 .577.506.18 520.000,00 2.15%
Total Covered 411,000.000 10,660,632.60 40,029,660.00 420,972.50 861,110.00
Total 414,000.000 $40,850,632.50 940,029,660.00 -9620,972.60 1861,120.00
ARIA() PHARMACEUTICALS INC Security Identifier: ARIA
Dividend Oplion: Cash CUSP C4033A100
02114112'.'3 7.535.000 152090 111,597.40 5 4600 41.111.10 .73.456 30
01124113 '.13 9,000.000 19 6000 176,100.00 5.4600 49,140.00 -127.26000
Total Noncovered 16,636.000 290097.10 90,281.10 -200,716.30
Total 16,636.000 9290,097.10 $90,281.10 -9200,716.30 90.00
ASCENA RETAIL GROUP INC CON Security Identifier: ASNA
Dividend Option: Cash CL SIP 04351G101
01116101 '.3 70,500,000 21 2770 1,500,000 00 8 4500 595,725 00 -904.275.00
AVALANCHE B1OTECHNOLOGIES IN C Security Identifier: AAVL
COM CLSIP: 053376107
Dividend Option: Cash
10,000 00 of these shares are in your margin account
04120115 10,000.000 39.8610 398,606.00 5.1200 51,200 00 -347,406.00
Page 7 of 19
/A
Account Number. N4G-023804 Go paperless dea.gt Rated taalleni a=.=
ORAN Rol I SOUTHERN LUC. F L. t . li , t . h irtr Y ag e ar Sl C a D te C 2 O 4) M (17 U NOTIC.6
FI D AENT
SDNY_GM_00046198
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0009022
EFIA_00156807
EFTA01289170

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Dale ired Quad hit Cod Cod Basis Market Price Markel Value Gale/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
BASF SE SPONS ADR Setwity Identifier: BASF/
ISN9US0552625057 CUSP: 055262505
Dividend Option: Cash
04113115 5.000.000 101.6110 508.056.00 65.3890 326.945.00 -181.111 00 11.276 50 3.44%
BANK OF NEW YORK MELLON CORP CON Security Identifier: BK
Dividend Option: Cash CUSP: 064058100
06125/14 250.000 000 36 3060 9,076,406.00 35.3900 8,847,500.00 -228,906 00 170.000 00 1.92%
BIOGEN IDEC INC CON Security Identifier: BII8
Dividend Option: Cash CUSP: 09082)(103
0211//12'.13 1095.000 119 5490 250,454.95 259.1200 513,484.90 293,029 95
DISH NETWORK CORP CL A Swift Identifier: DISH
Dividend Option: Cash CUSP: 25470M 109
06110115 5,000.000 72 9960 381,978.00 17.1300 235,650.00 •129,328.00
FACE800K INC CL A Security Identifier: FB
Dividend Option: Cash CUSP: 30303M 102
05117112 17.500.000 38 0000 665.000.00 106.9200 1,871,100.00 1.206.100 00
FOUNDATION MEDICINE INC CON Security Identifier: FM I
Dividend Option: Cash CUSP: 350465100
01113/1/ 25,000.000 27 5070 687,663.50 11.8300 370,750.00 -316,913 50
08/05116 24,830.000 23 2530 577,373.02 14.8300 368,228.90 ,209,144.12
Total Covered 49,830.000 1 286 036.52 738,976.90 -520,057.62
Total 49,830.000 $1,285,036.62 8736,079.90 ,026,057.82 $0.00
GENERAL ELECTRIC CO CON Security Identifier: GE
Dividend Option: Cash CUSP: 369604103
01/23/13 '.13 23.000.000 21.5700 496,109.08 29.1400 670,220.00 171,110.92 21,160.00 3.15%
GENERAL M TRS CO COM Security Identifier: GM
Dividend Option: Cash CUSP: 37045V100
11118110 10.988.200 381010 399,978.16 29.1400 323,492.62 -76,485.54 16,702.06 5.16%
12109110 88.538.800 38.8160 3,185,969.22 29.1400 2,547,643.38 -638,325.84 131,535.91 5.16%
Total Noncovered 97,625.000 3 586 947.38 2,871,138.00 ,714,811.38 148,238.00
Total 97,525.000 $3,585,947.38 $2,871,138.00 4714,811.38 $148,238.00
GILEAD SCIENCES INC Security Identifier: GILD
Dividend Option: Cash CUSP: 375558103
02105111 5,000.000 792810 396,407.00 87.2500 136,250.00 39,843.00 8,600.00 1.97%
03107/11 3,100.000 79.6120 216.797 00 87.2500 270.475.00 23,678.00 5.332 00 1.97%
Total Covered 8,100.000 643,204.00 706,725.00 63,521.00 13,932.00
Total 8,100.000 $643,204.00 1706,726.00 $63,521.00 $13,932.00
Page of 19
801001e ecsr 30017 OBAB ROL,. Account Number: O N464 N 238 F 04 ID G A o E pa N per T les I s A L ( rC v xA e eL r nM y u A Y t r a Rt e r c Va o e l O l S e r i r v I i D o a t o C 2 O 0 M 07 M UNICATIONS ?CC 7......3.-nar..=.—.."%tra
SDNY_GM_00046199
6: "Erth
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. OB-SDNY-0009023
EFTA_00156808
EFTA01289171

Deutsche Asset
& Wealth Management
Dews... Ran, P,ruli• Wean Pleaernail
Pdrais I ~age 4,0.4)
P.O. Ben 1778, Ullman% MO 21203
Statement Period: 0210112016 • 02/29/2016
Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Puce Market Value Gain! Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
GLAXOSMITHKLINE PLC SPONSADR Security Identifier: GSK
Dividend Option: Cash CL SIP 37733W105
06110115 5.000.000 43 0010 215.006 00 38.6700 193.350.00 •21.65600 11.807 56 6.10%
GLOBAL PARTNER ACQUISITION CORP Security Identifier: GPACU
L NIT 1 COM 8 1 WT EXP CUSIP. 37954X204
Dividend Option. Cash
07130115 ' 1000.000 10 0000 20,000 00 9.8000 19,600.00 -400 00
GODADDY INC CL A Security Identifier: GDDY
Dividend Option: Cash CLSIP 380237101
04101115 100.000 20 0000 14.000 00 31.3500 21,945.00 7,915.00
HEALTH NET INC COM Security Identifier: HNT
Dividend Option. Cash CLSIP 422220108
09108114 25.000.000 46 9800 1.174.506 00 62.2200 1,555,500.00 380.994.00
MATCH GROUP INC CON Security Identifier: M TCH
Dividend Option: Cash CUSP 57665R106
11/18115 200.000 12 0000 2.400.00 10.8900 2.178.00 -222 00
SANGAM 0 BIOSCIEN CES INC CON Security Identifier: SGM 0
Dividend Option. Cash CUSIP. 800677106
05128113 1.13 50.000 000 8 1140 122.211 00 5.2400 261.000.00 -160214.00
SANTANDER CONSUM ER USA HLDGS INC COM Security Identifier: SC
Dividend Option: Cash CUSIP. 80283M101
01123114 1.000.000 24 0000 24.000 00 10 2500 10.250.00 13,750.00
SQUARE INC CL A Security Identifier: SQ
Dividend Option: Cash CL SIP 851234103
11/19115 200.000 9.0000 1.800.00 10.4400 2.088.00 288 00
TERRAFORM GLOBAL INC CL A Security Identifier GLBL
Dividend Option: Cash CUSIP 8810411101
07131115 400 000 14 8300 5.931.84 3.1700 1,268.00 -4.683.84 272 64 21.50%
Page 9 of 19
08AB Mel I Account Num Der. N4G-02380 F 4 ID G E o p N ape T rle I ss A L I D ( e t v a A x e l L • r a d y B u A V ta r R a n a R . l e l A o S r T r i d n E l e D w C 2 O .0 M 0 M 7 UNCATSONS r r•— a. r- m ~ . —.-~.•••• n • ' - o -, . .===
SDNY GM 00046200
6: THERk
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. DB-S6NY:0009024
EFTA_00 156809
EFTA01289172

Portfolio Holdings
(continued)
Uerealized Estimated Estimated
Date Ind Quaid limit Cost Cod Basis Market Price Market Value Geld Loss Annual Income Yield
Equities (continued)
Common Stooks (continued)
TWITTER INC COM Security Identifier: TWTR
Dividend Option: Cash CUSP. 901841102
11107113 1,500 000 26.0000 39.000.00 18.1200 27.180.00 .11.820.00
VIACOM INC NEW CL B Security Identifier: VIM
Dividend Option: Cash CUSP: 92553P201
06110115 5.000 000 67 7490 338,745.00 36.8500 184.250 00 -154,49500 8,000.00 4.34%
VOLKSWAGEN A G ADR (SPON SI Security Identifier: VLKAY
Dividend Option: Cash CUSP: 928662303
04113/15 5400.000 50.8610 254,306.00 27.9900 139,950.00 ,114,356.00 4,004 38 1.86%
WISDOM TREE INYTS INC CON Security Identifier: W ETF
Dividend Option: Cash CUSP: 97717P104
03131115 15.000.000 218110 324.157.50 11.8500 177,750.00 ,146,407.50 4 800 00 2.70%
Total Common Stodcs 168,320,488.17 564,545,539.25 -23,414,945.92 31,620,727.55
Preferred Stocks (Listed by expiration date)
ALLY FINL INC FIX TO FLT Security Identifier: ALLY PRO
DIV4.50% FREQ-QTRLY CALLABLE @ 25.00 CUSP. 020056308
ON A QTRLY BASIS AFTER 0511512016
Dividend Option: Cash
02103112'.13 40,600.000 19.3820 903,217.51 252200 1,175,252.01 272,034.50 99,025.00 8.42%
02109112 '.13 80,000 000 20.1250 1410,060.00 252200 2,017,599.99 407.599.99 170,000.00 8.42%
Total Moncovered 126,800.000 2,513,217.51 3,192,852.00 679,634.49 269,025.00
Total 126,600.000 $2,613,217.51 $3,192,662.00 5679,634.49 5269,025.00
GM AC CAP TR I GTD TR PFD SECS SER 2 CPN- Security Identifier: ALLY PRA
8.125% FREQ QRTLY MATY-0211512040 CALL CUSP 361860208
ANYTIME 025 W130 GAYS BEGINS 02115116
Dividend Option: Cash
02122112'.13 80.000.000 23.5350 1,882,773.60 24.2600 1.940.800.00 58,026 40 162.500.00 8.37%
ROYAL BK SCOTLAND GP PLC SPON ADR REPSTG Security ROS PRT
SER T PFD CPN-7.25% FREQ QRTLY PERP M TY CUSP: 780097713
CALL@ 25 MY W130 D NOTICE AFTR 12131112
Dividend Option: Cash
10124112 '.13 40.000 000 23.7900 951,600.00 25.0800 1,003,199.99 51,599 99 72400.00 7.22%
01107113 '.13 40.000 000 24 4400 977,600.00 25.0800 1,003,199.99 25,599 99 72,500.00 7.22%
01114/13 ..I3 40.000 000 24 8800 995.200.00 25.0800 1.003.200.02 8.000.02 72,500.00 7.22%
Page 10 of 19
tt ac
Account Number. N46.023804 RatemdtscolYM
B01,01SCCSF 513 L THERM Go paperless ( Dr s xA r cL e Oi ry uA V rRmR w eA r W T E o D es C 2 O 0 S 0 M 7 O UNICATIONS weer.e
N F I DAENTEAL
SDNY_GM_00046201
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0009025
EFrA_00 156810
EFTA01289173

Deutsche Asset
& Wealth Management
Drolly ,e Si. P.P.,. w,» Inn. Mantrent
Manes I enrage 4.04
PO a:* 1776, Balamore. MO 21203
Statement Period: 02/01/2016 - 02/29/2016
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Duality U.N Cod Cod Basis Market Pria Market Value Gain! Loss Annual Income Yield
Equities (continued)
Preferred Stocks (continued)
ROYAL BK SCOTLAND GP PLC SPOM ADRREPSTG (continued)
Total Noncovered 120,000.000 2,921,400.00 3,009,600 00 86,200.00 217,500.00
Total 120,000.000 $2,921,100.00 $3,009,600.00 916,200.00 $217,500.00
Total Preferred Stocks $7,320,391.11 56,143,262.00 9822,860.89 $619,026.00
Total Equities 376,610,879.28 $72,088,711.25 -$2,662,088.03 $2,269,762.66
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Valve Gain/ Loss Annual Income Yield
Exchange-Traded Products 2.00% of Portfolio
WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DXJ
Dividend Option. Cash, Capdal Gains Option. Cash MAP 97717W851
60,00000 of these shares are in your margin account
12111113 60,000.000 494350 2,966,098.50 41.6200 2.497.200.00 -468.898.50 45.298.20 1.81%
Total Exchange-Traded Products 62,966,098.60 0,497,200.00 -$168,898.50 646,298.20
Unrealized accrued Estimated
Cost Basis Markel Valve Gain/ Loss Interest Anneal Income
Total Portfolio Holdings 5106,243,131.65 1106,593,755.49 -0,428,687.16 $416,710.12 $4,071,873.79
Footnotes
Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generally not subbed to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (VC') (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 1099-8
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 11 of 19
OBAN 4(21 A S c O c L o T u H n E t N RA u m ber. C N4 5 G . -0 N L 2 L 3 C 8 . 0 F 4 I DGOr mpapeTrleisAs L D',tAr LyO V [m s N R a ., C A i l s e T I i n r E / cD I e C 2O0M07M UNICATIONS te a 7 — =7 0 : - 1 •• 7 •A = inne " " "
SDNY_GM_00046202
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009026
EFTA_00156811
EFTA01289174

Portfolio Holdings
(continued)
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 resale. 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 n 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 infuriation.
; Unreafized 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 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 horn sources we believe to be reliable.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous cient brokerage statements nay differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information.
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Loaf
Date Date Transaction Description Quantity 43i)Sl Bilis Proceeds Disallowance
Long Term
02124116 12/13113' FO"P WASHINGTON MtiT MTG 5 004-RA2 M TG PASSTHRLI CTF CL 1,290,000.000 41,553.80 51,305.47 12/51.67
C. B-1 VAR RATE 6.286% 07125133
Security Identifier: 939336520
Original Cost Basis: 41,553.80
Total Long Term $41,663.60 $54,306.47 $12,761.67
Total Short Term and Long Term $41,553.50 $54,306.47 212,761.67
• Noncovned 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
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 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 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 10994 or online displays you may have available to you.
Page 1200
uci
OttAti KAI A S c O c L o T u H n E t N RA u mber. N46.02380 F 4 l D G AE o p N ape T rle 1 ss A L rD ( 'g v xA a e nL u n uB d t Ar V E nR x a a c R t e e A l S l rT e i E n n c D t e C 2 O 0 M 07 M UNICATIONS ?Cari' ......rettrtre..:Z—...s=
SDNY_GM_00046203
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009027
EFrA_00156812
EFTA01289175

Deutsche Asset
& Wealth Management
Drain RIM Power WolthMarl04--nrat
PO Boa Ills, Beware. M021203
Statement Period: 02/1112111 - 0212912114
Schedule of Realized Gains and Losses Current Period (continued)
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 shal 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 fwed 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 behaved 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.
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 wit be defaulted to First In, First Out (FIFO). Your accounts selected tax lot method will be
used to detemtine 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.
M essages
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the
money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are
not sent for purchases into money market mutual funds processed on the sweep platform.
Page 13 of 19
Account Number. N4G-023804 Italia Excellent,
IDBA2 ROLE Lit Go paperless E Drx v Ae e L r n B y u A Y rR e r aR ar eA S Tr O E S D O , C 2 O 0 M 07 M UNICATIONS Maoist= ••••••••••••••01
NJ F I DAENTIAL
SDNY_GM_00046204
SOUTHERN CO .
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009028
EFTA_00 156813
EFTA01289176

Activity Summary (All amounts shown are in base currency)
Credits This Period Debits Ibis 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 .24.750.006 00 .24,750.006 00
Secunties Decanted 5,185.557 00 0.00 5,185.557 00 5,185,557.00 0 00 5,185.557 00
Total Sewnles $5,165,557.00 $0.00 $5,115,557.00 15,135,557.00 424,750,0011.00 -$11,564,449.00
Dividends and interest 1512,111.95 490,759.00 1551,361.95 1657.814.66 490,760.00 $667,064.66
Distributions 173,663.96 $0.00 173,663.95 $73,683.96 $0.00 $73483.96
Fees $0.00 44.00 41.00 40.00 433.00 437.00
Cash
Withdrawals 0.00 -577.350.93 -577.350.93 0.00 491.591 92 •891.59192
Deposits 2,108,751.59 0.00 2,108,751 59 1,613,530.99 000 4,613,530.99
Total Cash 12,406,751.59 4577,350.93 $1,831,100.66 14,613,530.99 4891,591.92 $3,721,939.07
Totals $8,310,104.50 4668,104.93 $7,641,999.57 110,530,566.61 425,732,380.92 -115,201,794.31
Transactions by Type of Activity
Processi Trader
Settlement Transaction
Date Date Activity Type Desa Qua Price Acamed Interest Amount Curren
Securities Withdrawals and Deposits
02103116 CI,STOMERAL71-ORIZED APPLE INC CON TRANSFRM N4G-026161 53,820.000 5.185,557 00 LSO
TRANSFER
AAP1
Total Scarifies Withdrawals and Deposits - U.S. DOLLARS 0.00 5,114,557.06
Dividends and Interest
02/01/16 CASH DIVIDEND RECEIVED SOUTHERN CALIF EDISON CO PREF SER E 6 250% 01117162 93,750.00 LSD
842400FU2 BIE DTD 01/17/12 CLB RD 01/29 PD 02/01/16 DIV PAID AT
31 25 3000000
02/11/16 CASH DIVIDEND RECEIVED 161000 SHRS APPLE INC CON RD 02108 PD 02111/16 85,260 00 LSD
PAFL
02/11/16 CASH DIVIDEND RECEIVED 250000 SHRS APPLE INC CON RD 02108 PD 02111118 130,000 00 LSD
AAPL
02112116 CASH. DIVIDEND RECEIVED 250000 SHRS BANK OF NEW YORK MELLON CORP COM RD 42.500.00 LSD
8K 02/02 PD 02/12/16
02/16/16 CASH DIVIDEND RECEIVED 126600 SHRS ALLY FIAL INC FIX TO RS DIV-8.50% 67.256.25 LSD
ALLY PRB FREO.OTRLY CALLABLE 0 25.00 Ok A QTRLY BASIS AFTER
05/15/2016 RD 02101 PO 02/16116
02/16/16 BOND INTEREST RECEIVED 80000 SH RS GM AC CAP TR I GTO TR PFD SECS SER 2 Ciftii- 10.625.01 LSO
ALLY PRA 8.125% FRED ORTLY M ATY-02/15/2010 CALL ANYTIME@ 25
WI30 DAYS BEGINS 02115/16 RD 02/12 PD 02/15/16
Page 14 of 19
Account Number. WIG-023801 Rats. taaller•
. Go paperless ['my Vs. Wm» 2'007
(5K
FIDESITTAL
rDxAaL nBAuRm ReArT ED COMMUNICATOIS
SDNY_GM_00046205
6: LITHE"
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. OB-SDNY-0009029
EFIA_00156814
EFTA01289177

JUBASr:11r
& WI-Litter:1e it
()NM ••• Lyn Pr rnIn Worn PAnaiontat
PO Om 1776, Baltimore. ND 21263
Statement Period: 0 2101/2 016 0 2/29/201 6
Transactions by Type of Activity (continued)
Process/ Trade/
Settlement Transaction
Date Date Activity T Desaiotioa Queen Price Accrued Intend Mound Correa
Dividends and Interest (continued)
02117116 BOND INTEREST RECEIVED 3000000 CITIGROUP INC FXD RT SR NT FERP DEP RECPT 90.75000 USO
17296725 5.950% 08115188 BIE DTO 08112/15 CLB RD 02114 PD
02115116
02122116 02117/16 BONO INTEREST AUSTM EN T 3000000 CITIGROUP INC FYJ) RT SR NT FERP DEP RECPT -90.750.00 USO
17296725 5.950% 08/15188 EVE DTO 08112115 CLB RD 02114 PD
02/15116 AEU RATE 11 30.245833
02122116 02111/16 BONO INTEREST RECEIVED 3000000 CITIGROUP INC PAD RT SR NT FERP DEP RECPT 90,737.50 USO
17296725 5.950% 08/15188 WE DTD 08/I2/15 CLB RD 02/14 PD
02115116 ADJ RATE 0 30.245833
02129116 IA °KEY PARKET FUND DEUTSCHE GOUT CASH 1,213.16 UM
INCOME RECEIVED
233993682
Total Dividends and Interest - U.S. DOLLARS 0.00 551,381.95
Distributions
02129/16 PARTNERSHIP DISTRIBUTION 263157 SHRS APOLLO GLOBAL 11GUT LW CL ASPS RD 73,683 96 USEI
APO 02/19 PD 02129116
Total Distributions • U.S. DOLLARS 0.00 73,883.98
Fees
02/01/16 FOREIGN CUSTODY FE Fgn Safekeeping AN 2016 CUSIR G1S15P-P4-8 -2.00 UW
04515FP48
02101116 FOREIGN CUSTODY FE Fgn Safekeeping *t 2016 CUSIP.G5433MBG.8 .2.00 USO
05433B808
Total Fees • U.S. DOLLARS 0.00 .4.00
Cash Withdrawals and Deposits
02101f16 FEDERAL EOMSEAT THE BANK OF NEW YORK -577.350.93 USO
LS0999997
02103/16 CUSTOMER AUTHORIZED TRANS FRI N4G-026161 2.408.751.59 USO
TRANSFER
LS0999997
Total Cash Withdrawals and Deposits • U.S. DOLLARS D.00 1,831,400.88
Page IS of 19
2011 A SO cc U o T u H n E t R N N u m her N4G- K 02380 I 4 FI G D o p E ap N erles T s IAL? I D b t r A a a u L y d B' A„ V R s " . R A" S T i n E c D e C 2 O .0 M 07 M UNCA TIONS -• —
SDNY GM 00046206
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009030
EFTA_00156815
EFTA01289178

Transactions by Type of Activity (continued)
Process/ Trade/
Settlement Transaction
Date Date Activity Type Description Quantity Price Accrued littered Amount Currency
Total Value of Transactions 0.00 7,641,999.57 USD
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Security Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment
Dividends
WISDOM TREE INVTS INC COM 02/17/16 03/02/16 15.000.000 0.080000 Cash 1.200 00
Total Cash Not Yet Received 81,200.00
Bond Maturity Schedule
Bond Maturity Market Value %of Bond Markel Value
1 to S years 3.796.635 00 15% In Percentages of bond market values are
rounded to the neatest whole percentage.
6 to 10 years 1,879,437.00 8% r I
ri
Over 10 yen 18,984.899.72 77%
100%
Total 24,660,971.72
Bond Quality
Bond Quality Market Value % of Bond Market Value
A 2,370,240.00 10% Percentages of bond market values are
BAA 8,251,500.00 33% rounded to the nearest *bole percentage.
BA/Lower 14,039,231.72 57%
Total 24,060,971.72 100%
Client Service
Information
Your Client Advisor: DAA
DANIEL SABBA
Page 16 of 19
cto
Account Number. N46.023804 Raba tacellerdi
0/1/10 .011. SOL THERA Go paperless D Ev A e U n, M V . s M . T W E oo D s C Z O 0 M 07 M UNCATIONS
F I DAENTIAL rxenurnaer
SDNY_GM_00046207
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009031
EFTA_00156816
EFTA01289179

Deutsche Asset
& Wealth Management
Dralcry Ram Pow, Wealth Manip-na.
Mines Costar Gto.p
PO Boa 1778. himore. MD 21203
Statement Period: 0210112016 • 02/29/2016
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 Elections:
AM /Mile premium on taxable bonds based an 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 hare not selected any account corn m unications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Client Advisor for mote information.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in you account on a settlement date basis, including shod positions, at the close of the statement period. The market prices, unless otherwise noted,
have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is
not available are marked 'WA' and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS VVHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily
be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are
sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will
be used in the release of the current month's statement. Prior statements will not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an
order.
Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets
are priced via third party sources believed to be reliable.
For certain securities, including thinly-traded securities. debt semmities in default. securities that do not have a valid pricing source, and certain thud-party structured products. the last available pricing MI be
ksted. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset, the current price will purge and N/A will be placed in the price field in the statement. The
pricing of listed options takes into account the last closing price, as well as the current bid and offer prices.
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 reined 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.corn/business_continuity.html 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
Fage 17 of 19
MOW 4011 Account Num FJ b M e A r. N46-023801 Go paperless S Ox t A a e t L e sB d uA ts Rr c m o R l eA lo rT n E a D C 2 O 0 M 07 MUNICATIONS
SDNY_GM_00046208
67eL) THEM OKIFI D AENTI A L
CONFIDENTIAL - PURSUANT TO FED. R CRIM. OB-SDNY-0009032
EFrA_00156817
EFTA01289180

Important Inform ation and Disclosures (continued)
Reinvestment (continued)
whom your security was purchased, may be obtained. In owideno 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 infomation concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Marge) Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and 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 horn customary banking sources on the
conversion date cr 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. neared a charge, or received a credit. Transactions converted by agents (such as depositories) veil 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 inhumation 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 & 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 & 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 Pool'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 any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions 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 our 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 • 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 other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact infatuation 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 mare detailed information please visit wwwpashing.corrifaboutrstrength-andstability.
Page 18 of 19
"Alt trOl A SO cc L o T u H n E t N RA u mber: 0 N4 . 64 N 2380 F 4 I DG-Eo pNapeTrleIssA Lta R c a lg ce tr d a ta g .c E e, D t l 5 e 1 C n 0 t . ° i 0 M , 2 M 00 U 7 N ICATICed reLrf...re••-17= =rad
SDNY_GM_00046209
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009033
EFrA_00156818
EFTA01289181

Deutsche Asset
& Wealth Management
Destine lima Pr Ifl irw.r ,043napnera
Marais Conran G.p.p
°taunt mai sm....m.."‘
Mar *4 Oat*
P.O. Oco 1776. euluimom MD 21203 HS Past Amino, 26% I to
Mew** NY 1011A
VI 4914,111.1.14178114MS
Statement Period: 02/0112016 • 0212812016
Important Inform ation and Disclosures (continued)
The Role of Pershing (couttnue7)
• 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 reconfirmed in wring 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 01399; Enors 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 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 generaly more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, ii art 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 typicaly include a minority of arbitrators who were of are affaiated 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 LW 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 19
ORAN ROI A S c O c L o T u H n E t N RA u mber: N4642380 F 4 I D GO r E pap r er r le i s A s R L r [M x v a e e t I e m r A y d M m I e R r A I W • T ~ E o o D s C 2 O 0 A 0 V 7 A UNICATIONS
SDNY_GM_00046210
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009034
EFTA_00156819
EFTA01289182

Deutsche Asset
& Wealth Management
Dralsev Ram Pon. Wealth Manap--...
Mantis Coder G•,,.
PO. Bat 1778, Banimore. MD 21203
Account Number: N46-0 2 3 804
Statement Period: 0110112016 - 01/31/2016
Portfolio at a Glance This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 8103,281,817.80 $103,281,817.80
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 1,890,538.41 1,890,538.41
ST THOMAS VI 00802 Adjusted Previous Account Value 105,175,156.21 105,175,156.21
Dividends. Interest and Other Income 15,702.71 15,702.71
Net Other Activity 2900 -29 00
Net Chan e in Portfolio -5 172.648 85 -5172,64885
nding Account Value 6100.018.181.07 $t 0 0.0 1 8 1 8 1 7
Your Client Advisor: Accrued Interest $466,915.84
DANIEL SAHA Estimated Annual Income $1.103,738.35
Asset Allocation Prior Year-End Lad Period This Period %Allocation
LSD Cash. Money Funds. and Bank Deposits 26,831,113.83 26,834,113.83 3,990,349.95 3.99% Pease review your allocation
LSD Fixed Income 20,212,233.86 20,242,233.86 20,001,602.78 20.00% perodcally wth you' Dlent Adviser.
Non-LSD Axed Income 5,198,765.00 5,196,785.00 5.102,565,00 5.10%
LSD Equities 17,972,851.11 17,972.851 11 68,048,359.36 68.04%
hon4.160 Equities 3.038.621.03 3.038.621.00 2.875.301.00 2.87%
A unt Total Chart) 8103,284,817.80 $103,264,617.60 8100,016,181.07 100.00%
See the Asset Alecation Disclosure and Footnotes secton for important inicenation riveting you Asset Abortion.
Page 10r 18
Rated excellent
DRAB 901.1 5009816 CSF30015 E D v A e L r B y A V R w R . A W T E K D C 2 O 0 M 07 M UNICATIONS SariatrIttiltilen IC= T NANOV NS*
CONFIET5MITAL extra, traer
SDNY_GM_00046211
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009035
EFTA_00156820
EFTA01289183

Asset Allocation Disclosure and Footnotes
Al values are displayed in U.S. dollars based on interbank exchange rates as of 01/31/2016 Exchange rates can vary.
Equities contains Equity Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short-Term Gam/Loss 000 0 00 .1.699.922 22
Long-Term Gain/Loss 454 63 454.63 -1.085.352.01
Net GaIn/Loss 164.63 154.63 -2,785,274.23
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the 'ECB') and other credit institutions introduced 'negatrve interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The
interest win be reported on your Forms 1099 and/or 1042 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting
arrangements. begin to charge negative interest rates on additional foreign currency balances.
Money Market Fund Detail
Date Activity Type Description Amount Balance
Sweep Money Market Fund
DEUTSCHE GOVT CASH INSTL
Account Num bet 0000001490 cowl Yield: 025% Activity Ending'. 01129(16
01101/16 Opening Balance 26.756.650.71 26.756.650.74
01104116 Withdrawal MONEY FUND REDEMPTION -234,747.90 26,521,902.84
01105116 Withdrawal MONEY FUND REDEMPTION 400 26,521,898.84
0111/116 Withdrawal MONEY RAO REDEMPTION -24,747,285.90 1,774,612.94
01121116 Deposit MONEY FUND PURCHASE 893,27040 2.667.883.31
01122/16 Deposit MONEY FUND FIACFASE 1,311,509.00 3.979.392.34
01126(16 Deposit MONEY FUND FtiRChASE 8,915.63 3,988,307.97
01129(16 Deposit INCOME REINVEST 2,0/1.98 3,990,319.95
011291t6 Closing Balance 93,990,349.95
Total All Money Market Funds 63,990,349.95
Income and Expense Summary
Current Period Year-to-Date
Taxable Nos Taxable Taxable Non Taxable
Dividend Income
Ea Lilies 10.035.10 0.00 10.035 10 0.00
Money Market 2,011.98 0.00 2,001.98 0.00
Page2018
Account Num ber. 144G-023804 Go paperless Rioted taallordi
IIKONN 4 11 SOUTHERN ONLLC.
FlD ESMAL
U rCxA m eLmM ,. A V rRtr s aR .. eA L rT a E c D e C 2 O 0 M 07 M UNCA TIONS
SDNCGM_00046212
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009036
EFTA_00156821
EFTA01289184

Deutsche Asset
& Wealth Management
Dralsev RIM von. roam MaNp-mat
Marl{ INTNEV SNIP
P.O Box 1778, Bahimore, MD 21203
Statement Period: 01//112116 -01/31/2116
Income and Expense Summary (continued) Current Period Year-to-Date
Taxable Non Taxable Taxable Non Taxable
Interest income
Bond Interest 3,625.63 0.00 3,625.63 0.00
Expenses
Fee ore' n Securities -25.00 0.00 -25.00 0.00
Total Dividends, Interest, Income and Expenses $15,677.71 $0.00 116,677.71 $0.00
Portfolio Holdings
Acco;lt Activity Opening Closing Accrued income 30-Day Current
Opening Date Quantity 'Sumter EON Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 4.00% of Portfolio
Cash Balance 74,010.09 000
Margin Balance 3,483.00 0.00
M on ey Market
DEUTSCHE GOVT CASH IMSTL
01101116 3,990,349.950 0000001490 01129116 26,756,650.74 3.990.34995 0.00 2.04198 0.20% 0.25%
Total M on ey Market 126,758,660.74 63,990,349.95 $0.00 $2,041.98
Total Cash, M oney Funds, and Bank Deposits $26,634,143.63 63,990,349.95 $0.00 $2,041.98
Adjusted Unrealized knurl Estimated Estimated
Date Acquired Quantity Unit Cod Cod Basis Market Price Markel Value Glint Loss Interest Annual Income Yield
Fixed Income 2 5.0 0% of Portfolio (In Maturity Date Sequence)
‘Asset Backed Securities
WASHINGTON IA UT lit TG SECS CORP 2004-RA2 Security Identifier: 939336820
Mt PASSTF.RL, CIF CL C-B-1 VAR RATE
6.286% 07125133 WE DTD 06101104 58 P Rating D
Factor 0.53496850 Effective Date:01104116
Current Face Value: 690,109.365
12113113 '.3.t2 1,290,000.000 76 5190 528,062.08 84.7290 584.722.76 56,660.68 3,615.48
Page 3 of 18
T.T.161.CTE! MIMI v. A S c O c U o T u H n E t R N N u mbe k r. f C N : 4 1 G 5 - 0 L 2 L 3 C 8 . 0 4 DrpaapenrleAss L I E D N v A N e L r B S y A T t R o e c R m o A l S l T o A E n D M i C 2 O 0 M 07 M UNICATIONS ".'o'.' 4..%.."-""
N F I exalt unser
SDNY_GM_00046213
CONFIDENTIAL - PURSUANT TO FED. R DRINA, P. 6(e) OB-SDNY-0009037
EFTA_00156822
EFTA01289185

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cost Cod Basis Market Price Markel Valve Gain! Loss Interest Annual Income Yield
Fixed Income (continued)
'Asset Backed Securities (continued)
WASHINGTON MUT MTG SECS CORP 2004-RA2 (continued)
Original Cost Basis: $638,906.71
Total Asset Backed Securities $520,062.00 9504,722.76 656,660.68 $3,615.48 $0.00
1,290,000.000
Total Current Fact Value : 690,109.365
Corporate Bonds
EARTHUNK INC GTO SR NT FULLY EXCHANGED Security Identifier: 270321AC6
CUSP FROM 270321A98 8 875% 05115119 BIE
DTD 05117111 CALLABLE 01/29/16 S& P Rating CCC.
10122112 '.3,12 146,000 000 102 6100 149.81112 100.5000 146,730 00 -108112 2,735.47 12,957.50 8.63%
Original Cost Bat $151,110.00
10/23/12 %En 600,000.000 102 5340 615.206.99 100.5000 603,000.00 .12,706.99 11,241.67 53,250.00 8.83%
Original Cosl Bads: $619,500.00
Total Noncovered 746,000.000 765,016.21 749,730.00 -15,286.21 13,977.14 66,207.50
Total 746,000.000 $765,018.21 $749,730.00 -$15,288.21 $13,977.14 $60,207.50
FRONTIER CON NUNICATIONS CORP Security Identifier: 35906AAH1
SR NT 8.500% 04115/20 DIE
DTD 04112110 1ST CPA OTE 10115110 Moody Rating BA3
8 P Rating Blit.
07106/15 3100.000.000 105 1270 3.153.822 70 99.1250 1973.750 00 -180,072.70 75,083 33 255.000.00 8.57%
Original Cost Basis: $3,171.006.00
LLOYDS TSB BK PLC EURO ISSUE M EDIUM Security Identifier: G1S15PP40
TERM AO TES ISIkt X60717735812
9.875% 12/16/21 REG VD 12/16111 Moody Rating Bat S
P Rating BBB
12/04113 %LH 1,500,000.000 106 7560 1.601.317.08 105.7440 1.586.160 00 -15,107 08 18.10417 148.125.00 9.33%
Original Cost Basis: $1.627,5130.00
BARCLAYS 8K PLC CONTINGENT CAP NT Security Identifier: 06739FHKO
161/%66936739n. KO3 7 750% 04/10113 B/E
DTD 04110113 CALLABLE 04/10118 St P Rating 884
04103113 '.22.22 300.000 000 100 0000 300.000.00 106 0000 318,000 00 18,000 00 7,158 75 23,250.00 7.31%
Original Cost Bast $300.000.00
JPM ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 46625HHA1
1/1011- PFD SER 1 FIXED TO FLTG RT BD
7.900% 04/29/49 DIE DID 04/23/08 Moody Rating BAA3 S
8 P Rating BB8-
06/15/11 '.3,12 2.500.000.000 107 5000 1687.500 00 100 9380 1523.450 00 -164,050 00 49,375 00 197,500.00 7.82%
Original Cost Basis: $2.687,500.00
Page 4 of 18
Account Num ber. N4G-023804 Rated excellent,
OFIAD Rol I SOU THERN ONLLC. FID G AE O p N ape T rle I ss A L r I Dx v Ae o L r sB y u A V rRn . A aR . eA rT S E , D C 2 O 0 M 07 M UNCATIONS
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009038
EFTA_00 156823
EFTA01289186

Deutsche Asset
& Wealth Management
Divilsregam Pon. W.M'. Manarmat
PO Boa 1778, Babimore, MO21203
Statement Period: 0110112016 • 01/31/2016
Portfolio Holdings (continued)
Adjusted Unrealized ktrued Estimated Estimated
Date Acquired Olantity Unit Cost Cost Basis Market Price Market Value Gal Loss Interest Anneal Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
PM ORGAN CHASE & CO DEP SHS REPSTG (continued)
06115111 '.3,12 2.500,000 000 107.0000 2,615,000 00 100.9380 2,523,150 00 ,151,550.00 19,375.00 197.500.00 7.82%
Original Cost Bass: $2.675.000.00
Total Noncovered 5,000,000.000 5,362,500.00 5,016,900.00 -315,1100.00 96,750,00 395,000.00
Total 5,000,000.000 $5,362,500.00 15,016,900.00 .1311,600.00 196,710.00 1365,000.00
BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 06060501/
SFS FIXED TO FLOAT 8.125% 04130158 B/E
DTD 04/30/08 CALLABLE 05/15/18 Moody Rating BA2 SS P
Rating BED
01110111 '.3,12 2,000,000 000 102 7500 2,055,000 00 101 1380 2,028,760 00 -26.240.00 34.305.56 162,500.00 8.00%
Onginal Cost Banc 12,055,000.00
SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: $42400FU2
6250% 01117/62 WE DID 01117112
CALLABLE 02/01122 0 100.000 Moody Rating BAA1 S 8 P
Rating BBB-
01130112 ',3,12 3,000,030 000 99 8330 2,991,993 26 110 0000 3,300,000 00 305,006 74 93,750 00 187 500 00 5.68%
Original Cost Baas: 52,992,564.97
GENERAL ELEC CO GTD FXD-TO-FLTG RT Security Identifier: 369604BM 1
NON-CUMULATIVE PERPETUAL PREFERRED
4.000% 12103165 REG DTD 12103/15 Moody Rating A3 S8
P Rating AA-
12/03115 ' 2.169,000 000 88 0930 2.175.016 17 96.0000 2,370,240 01 195,223.83 12,619.33 98.760 00 1.16%
Original Cost Bass: 52,175,016.17
OTIGROUP INC FXO RT SR NT PERP DEP REPT Security Identifier: 17296725
5.950% 08/15/88 B/E DTD 08/12/15
CALLABLE 08/15120 0 100.000 Moody Rating BA2 S8 P
Rating Mr
08106115 3,000,000.000 100.0000 3.000.006 00 98.2500 2.917.500 00 -52.50600 83,795.83 178.500 00 6.05%
Original Cost Bass: 53,000,006.00
Page 5 of 18
Account Num ber. N4G-023804 Rated [mailer.'
ORAN 11 1 SOUTH ERA ONLLC.FID G E o S pap T er T les I s A L E DA n L v y O A Y R e R ar A S T i E nc D e C 2 O 00 M 7 M UNKATOIS ••••••••Lm,•••••••••••••••••••oc
rxenurmer
SDNY_GM_00046215
CONFIDENTIAL — PURSUANT TO FE D R P. 6(e) OB-SDNY-0009039
EFIA_00156824
EFTA01289187

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quaetity Umit Cost Cod Basis Market Price Market Value GalefLoss interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
LBG CAPITAL NO 1 PLC 144A Security Identifier: G5433BBG$
ISO XS0473108283 8.000% 09115188 REG
DID 12115109 CALLABLE 08/15120 S8 P Rating Bar
12/04/13 '.3.12 1.200.000.000 108 2500 1,299,000.00 102.4000 1,228,800.00 •70.200.00 12,266 67 96.000 00 7.81%
Original Cod Bads 51,299,000.00
'LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4
ADDL TIER 1 SECS 'SINS US539439AG42
7.500% 09127188 WE DID 0/107114 S 8 P Rating Ell
Please Provide' 1,903,000.000 Nirt Please Provide 103.5000 1.969.605.00 NIA 13.47958 142.725.00 7.24%
Original Cosl Basis: Please Provide
Total Corporate Bonds 122,708,703.41 124,510,445.00 -1156,163.42 1463,300.36 11,153,567.50
14,118,000.000
Total Fixed Income 123,234,785.50 125,104,167.78 -1100202.74 1468,115.64 11,153,567.50
15,408,000.000
Unrealized &limited Estimated
Date Acquired Quantity Unit Coal Cep Bans Market Price Markel Value Gain/ loss Anneal Income Yield
Equities 68.00% of Portfolio
Common Stocks
MOBILEYE NV AM STELVEEN ORD 5115 Seaulty Identifier: M BLY
ISA ONL0010831061 MGR N51488117
Dividend Option: Cash
0810111/ 800.000 25.0000 20.000 00 27.1300 21,704.00 1,704.00
AKORN INC CON Security Identifier: AKRX
Dividend Option: Cash CUSP. 009728106
06110115 5.000 000 46 8410 234,206.00 25.9900 129,950.00 -104,256 00
AUBABA GROUP BLDG LTD SPONSORED ADS Security Identifier: BABA
ISA 811501609W1027 CUSP. 01609W102
Dividend Option: Cash
06110115 5.000.000 88.9500 114119.00 67.0300 335,150.00 •109.59900
ALUANZ SE PONS /KIR REPSTG 1110 WS Security Identifier: AZSEY
Dividend Option: Cash CUSP 018805101
04113115 5.000.000 18 0110 90,056.00 16.0850 80.425 00 •9.631.00 2.833.84 3.52%
APOLLO GLOBAL MGM T LLC CL A WS Security Identifier: APO
Dividend Option: Cash CUSP 037612306
03129111 '.13 263.157 000 19 0000 1.999.983.00 13.5800 3.573 672 06 •1,426.310.94 515,787.72 11.13%
Page 6 of 18
ut,
W8AB ROIL A SO cc U o T u H n E t R N N u mber. N4602380 F 4 I D G ^ o E pa N per T les I s A L I Dr L t x v a Ae e l U i r s a y uM v Ia r « *t c aR . o eA n L rT o a E ni D i C 2 O 0 M 07 M UNICATIONS . t 7 i— .,4e A Z=
SDNY_GM_00046216
CONFIDENTIAL — PURSUANT TO FED. R CRI6,1. P. 6(e) OB-SDNY-0009040
EFTA_00156825
EFTA01289188

Deutsche Asset
& Wealth Management
Drat,' •C Mn, Fon,r vonloommip.wm
matins Coon/. G.a.P
PO Boa 1770, Ballimore, MD 21203
Statement Period: 01101/2016 • 01/31/2016
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Dale Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gild Los Anneal Income Yield
Equities (continued)
Common Stocks (continued)
APPLE INC COM Seaulty Identifier: AAPL
Dividend Option: Cat CUSP, 037833100
250.00000 of these slimes ate in your margin account
09(05114 110,180.000 98 9500 10,902,315.41 97.3400 10,724,921.05 -177.394.36 229,114.40 2.13%
01(11116 250.000.000 99 0000 24,750,006.00 97.3400 24,335,000.15 -415.005.85 520,000.00 2.13%
Total Covered 360180.000 36,862,321.11 35,051,121.20 -592,40011 740,174.40
Total 360,180.000 135,662,321.41 135,059,921.20 -$592,400.21 $719,174.40
ARIAD PHARMACEUTICALS INC Security Identifier: ARIA
Dividend Option: Cash CUSP: 01033A100
02114112 '.13 7,535.000 152090 114,597.40 5.0200 37,025.70 -78,771.70
01724113 '.13 9,000.000 196000 176,400.00 5.0200 45, I80.00 -131,220.00
Total Noncovered 16,535.000 290 997.40 63,005.70 407,911.70
Total 16,535600 9290,997.40 313,005.70 4207691.71 $0.00
ASCENA RETAIL GROUP INC CON Security Identifier: ASN
Dividend Option: Cash CUSP. 043510101
01(16101 '.3 10.500.000 21 2770 1.500.000 00 7.3800 520.290 00 -979,710.00
AVALANCHE BIOTECHNOLOGIES INC Security Identifier: AAVL
COM CUSP 05337G107
Dividend Option: Cash
10,000.00 of these shares are in your margin account
04(20115 10,000.000 39.8610 398,606.00 6.0000 69000.00 138,606.00
BASFSESPONSADR Security Identifier: BASFY
ISNB U 50552625057 CUSP 055262505
Dividend Option: Cash
0013/15 5,000.000 101.6110 508,056.00 66.1130 310,565 00 -177,491.00 11,276 50 341%
BANK OF NEW YORK M ELLON CORP CON Security Identifier: BK
Dividend Option: Cash CUSP 064058100
06(25114 250000.000 38.3060 9,076,406.00 36.2200 9,055,000.00 -21,100.00 170 000 00 1.87%
BIOGEN IDEC INC COM Security Identifier: 811B
Dividend Option: Cash CUSP: 090623103
Page 7 of 18
Account Number: 1440423804 e t :, Rated toren.r ia
Dent, IOU SOUTHERN FI D Go r p W aper r le i s A s r D (v x A e e L r i M y a r Y 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 raw. ;An meow OS wee. •0•C
SDNY_GM_00046217
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 08-SDNY-0009041
EFIA_00156826
EFTA01289189

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date ired Quality hit Cod Cost Bads Market Price Markel Valve Gaid Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
BIOGEN ID EC INC CON (esounded)
02/14/12 2195.000 119 5490 250,451.95 273.0600 572,060.70 321,605.75
DISH NETWORK CORP CL A Security Identifier: DISH
Dividend Option: Cash CUSP: 25470M 109
06110115 5.000.000 72 9960 364,978.00 482700 211,350.00 •123,62800
FACEBOOK INC CL A Security Identifier FB
Dividend Option: Cash CUSP: 30103M102
05117112'.13 17.500 000 38 0000 665.000.00 112.2100 1.963.675.00 1.295.675 00
FOUNDATION MEDICINE INC COM Security Identifier: FM I
Dividend Option: Cash CUSP 350465100
01113114 25,000.000 27 5070 687,663.50 14.5900 361,750.00 -322,913.50
06105114 24.830.000 23 2530 577,373.02 14.5900 362.269.70 -215,103.32
Total Covered 49,630.000 1,266,038.52 727,019.70 ,531,018.02
Total 49,630.000 11,285,038.52 $727,019.70 -$536,016.52 $0.00
GENERAL ELECTRIC CO CON Security Identifier: GE
Dividend Option: Cash CUSP: 369604103
04123113'.13 23,000.000 21.5700 496,109.08 29.1000 669,300.00 173,190.92 21,160.00 3.16%
GENERAL MTN CO COM Security Identifier: GM
Dividend Option: Cash CUSP. 37045V100
11115110 ' 10.988.200 36.4010 399,975.16 29.6400 325,690 25 -74.257.90 15123.01 4.85%
12109110 ' 86,536.800 36.8160 3,185,969.22 29.6400 2,554,950.74 •621,018.48 121,612.99 4.85%
Total Noncovered 97,525.000 3,585,947.36 2,890,641.00 ,695,306.36 140,436.00
Total 91,525.000 13,586,947.36 62,890,641.00 -$696,308.36 1140.436.00
GILEAD SCIENCES INC Security identifier GILD
Dividend Option: Cash CUSP 375558103
02105114 5100.000 79,2810 396,407.00 83.0000 415,000.00 18,593.00 8,600.00 2.07%
03107114 3.100.000 796120 246.797.00 83.0000 257.300 00 11503.00 5.332.00 2.07%
Total Covered 8,100.000 643,204.00 672,300.00 29,096.00 13,932.00
Total 8,100.000 $643,204.00 $672,300.00 $29,096.00 $13,932.00
GLAXON 'TULIN E PLC SPONS A DR Security Identifier: GSK
Dividend Option: Cash CUSP 37733W105
06110115 5.000.000 431010 215,006.00 41.2900 206.450 00 -8,556.00 12,128.20 5.87%
GLOBAL PARTNER ACQUISITION CORP Security Identifier: GPACU
UNIT 1 COM 81 WT EXP CUSP. 37954X204
Dividend Option: Cash
07130/15 ' 2,000.000 10 0000 20,000.00 9.8100 19,620.00 -390.00
Page of 18
Mint, A SO cc U o T u H n E t R N N u mber: N4G423804 Go paperless i t R E D v A a e b L r B i y d A V ts R a z R e .L A llo T a n E c e D e C 2 O 0 M 07 V AUNCATIONS rt=
F I DrErriA exesturner
SDNY_GM_00046218
CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) OB-SDNY-0009042
EFIA_00 156827
EFTA01289190

Deutsche Asset
& Wealth Management
Oruicov Kam PO•lin Weahn Ma•mernalt
Vine's CoderageOtcp
P.O. Bat 1778, BaMimorce, MO 21203
Statement Period: 0110112016 • 01/31/2016
Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Dale Acquired Quantity Viii Cod Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities (continued)
Common Stocks (continued)
GODADDY INC CL A Security Identifier: GOD?
Dividend Option: Cash CUSIP. 380237101
04101115 700.000 20 0000 14.000 00 30.4900 21.313.00 7.343 00
HEALTH NET INC COM Security Identifier: HNT
Dividend Option. Cash CUSP. 422226108
09108114 25.000.000 16 9800 1.174.506 00 66.2200 1,655,500.00 480.994.00
MATCH GROUP INC CON Security Identifier: M TCH
Dividend Option. Cash CUSIP 57665R106
11118115 200.0DD 12 0000 2.400.00 12.5500 2,510.00 110 00
SANGAM 0 BIOSCIEN CES IN C COM Security Identifier: SGM 0
Dividend Option: Cash CUSIP 800677106
05128113'.t3 50.000.000 8 4440 422.214.00 6.0500 302,500.00 ,119,714.00
SANTANDER CONSUM ER USA HLDGS INC COM Security Identifier: SC
Dividend Option: Cash CUSP $0283M101
01123114 1.000.000 21 0000 24.000.00 10.4500 10.450.00 -13.55000
SQUARE INC CL A Security Identifier: SO
Dividend Option. Cash CUSIP 852234103
11119115 200.000 9 0000 1.800.00 8.7700 1,754.00 -46.00
TERRAFORM GLOBAL INC CI. A Security Identifier: GLBL
Dividend Option: Cash CUSP. 88104M101
07131115 400.000 15 0000 6.000.00 4.2300 1,692.00 -4,308 00 272 64 16.11%
TWITTER INC COM Security Identifier: 11V TR
Dividend Option: Cash CLSIP 901841102
11101113 1.500.000 26 0000 39.000 00 16.8000 25.200.00 •13.80000
VIACOM INC NEW CL B Security Identifier: WAS
Dividend Option: Cash CUSIP 9254553740010
06110115 5.000.000 67 7490 338.715 00 228,200.00 -110.51500 8.000.00 3.50%
VOLKSWAGEN A G ADR (SPONS) Security Identifier: VLKAY
Dividend Option: Cash CUSIP 928662303
Page 9 of 18
Account Number. N46-023801 Rated Excell•ne
1.)(tALI ROI SOUTHERN ONLLC.F ID G E o 1 pa S per M less A L D tv A .y L OA V R s ? R A S T i E nc D e C 2 O '0 M 0 M 7 UNICATIONS
XCIIL l'Net
SDNY_GM_00046219
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009043
EFTA 00156825
EFTA01289191

Portfolio Holdings (continued)
Uerealized Estimated Estimated
Date ired Quantity Unit Cost Cost Basis Markel Pike Markel Value Gala! Loa Annual Income Yield
Equities (continued)
Common Stocks (continued)
VOLKSWAGEN A G ADR (SPON St (continued)
04113115 5,000 000 50.8610 251,306.00 26.0990 130,495.00 •123,81100 4 004 38 3.06%
WISDOM TREE IN YTS INC COM Security Identifier: WETF
Dividend Option: Cash CUSP. 97717P104
03131115 15.000.000 21 6110 324,157.50 12.0000 180,000 00 ,114,157.50 4,800.00 2.66%
Total Common Stocks $63,322,245.24 959,771,743.36 -$3,550,501.88 $1,653,805.68
Preferred Storks (Listed by expiration date)
ALLY FINL INC FIX TO FLT Security Identifier: ALLY PRO
DIV-8.50% FREO-OTRLY CALLABLE Q 25.00 CUSP. 02005K308
ON A OTRLY BASS AFTER 05/15/2016
Dividend Option: Cash
02103112 ..13 16100.000 19.3820 903,217.51 25.2000 1,174,320.01 271.102 50 99.025 00 8.43%
01109/12 '.13 80.000.000 20.1250 1,610,000.00 25.2000 2.015.999.99 405.999 99 170.000 00 8 43%
Total Noncovered 126,600.000 2,513,217.51 3,190,320.00 677,102.49 269,025.00
Total 126,600.000 $2,513,217.51 $3,190,320.00 $677,102.49 9259,025.00
GM AC CAP TR I GTD TR PFD SECS SER 2 CPN - Security Identifier: ALLY PRA
8.125% FRECI ORTLY MATT-0211512040 CALL CUSP 361860208
ANYTIME 0 25 W130 DAYS BEGINS 02115116
Dividend Option: Cash
02122112 '.13 80,000.000 23.5350 1,882,773.80 25.4500 2,036,000.00 15322840 162,500.00 7.98%
ROYAL BK SCOTLAND GP PLC WON ADR REPSTG Security Identifier: RBS PRT
SER T PFD CPN-7.25% FRB) ORTLY FERP M TY CUSP: 780097713
CALL® 25 ANY W130 D NOTICE AFTR 12131/12
Dividend Option: Cash
10124112'.13 40,000.000 231940 951.600.00 25.6000 1,023,999.99 72,399.99 72,500 00 7.08%
01107/13 40,000.000 241400 977.600.00 25.6000 1.023.999.99 16,39399 72.500 00 7.08%
01114/13 *.I3 10,000.000 241800 995.200.00 25.6000 1,024,000.02 28,800.02 72,500 00 7.08%
Total Noncovered 120,000.000 2,924,400.00 3,072,000.00 147,600.00 217,500.00
Total 120,000.000 $2,924,400.00 93,072,000.00 1147,800.00 9217,500.00
Total Preferred Stocks $7,320,391.11 $8,298,320.00 $977,928.89 $649,025.00
Total Equities $70,642,636.35 966,070,063.36 -$2,572,572.91 92,302,830.68
Page 10 of 18
Account Number. N46.023804 Rat.. tacelkingi
?H),BIOSICSF'' : Ottnit REAL 906 THERA t,t0 NLLC. F I D G A o E pap N er T les I s A L [ 7 D v X A e L O r y B 7 A O V R . « 7 R N . A e s T l i n E c D e C Z O 0 M 07 M UN CATIONS
SDNY_GM_00046220
CONFIDENTIAL — PURSUANT TO FED. R CRIAA, P. 6(e) OB-SDNY-0009044
EFTA_00156829
EFTA01289192

Deutsche Asset
& Wealth Management
Dna,' •C .41•4 Vota• PI Mantle,.
Penns Cowla ce G.cm)
P.O. Box 1778, Bahimore, MD 21203
Statement Period: 01101/2016 • 01/31/2016
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cat Cod Balls Market Price Market Value Galnl 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. 977i7WeSt
60,000.00 of these shares are in your margin account
12/11113 80.000 000 194350 2,966,098.50 47.5600 2.853.600.00 -112.198.50 45,298.20 1.58%
Total Exchange-Traded Products $2,966,098.50 0,853,600.00 -1112,498.50 $45,29810
Unrealized Acaued Estimated
Cod Bills Market Value Gains Loss Interest Annual Income
Total Portfolio Holdings $100,833,860.30 1100,018,181.07 -M78527413 1486,915.84 $4,103,738.35
Footnotes
Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 or in retirement accounts are generally nut 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 "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(sy 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 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 unto
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 shod 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 infomiation.
s 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 Sr* and are obtained from sources we believe to be reliable.
Is 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.
Is 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 11 of 18
Mint, ROI l A S c O c L o T u H nt E N M u mber: 1446423C804 I D G A o E pap N er T les I s A L a L m -- k R rD L x ' A a a e t L r e s i B d t ' A u V ta Rr a c n R e n eA l l S e rT M n E t C D i • C 2 O 0 M 07 MUNICATIONS r er g a el / l st t r a v t ONES w 0 e , t = M •• c •' •...... =
SDNY_GM_00046221
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009045
EFrA_00156830
EFTA01289193

Schedule of Realized Gains and Losses Current Period
DIspositioe Acquisition Disposition Realized Gain! Lossl
Date Date Transadion Description Quantity Cod Basis Proceeds Disallowance
Long Term
01122116 12113113' rRP WAShINGTOK MUT NIG S 001-RA2 MTG PASSThRU CTF CL 1,290.000 000 1,48153 1,936.16 454.63
C- B-1 VAR RATE 6.286% 07/25133
Security Identifier 939336520
Original Cost Basis: 1.481.53
Total Long Term $1,461.53 $1,936.16 $454.63
Total Short Term and Long Term Kum $1.936.16 1454.63
' 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 ("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 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 10994 for the applicable tax year in which the security is disposed.
Repotting 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 alter January 1. 2014.
This Schedule rrey 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 10994 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 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 Snorted 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-Id disposition method. The disposition method is the method which you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your accounts selected tax lot method wil be
used to determine the cost basis for calculating gain and/or loss. unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 10994.
Messages
Important Reminder lot Pershing's 2015 IRS Forms 1099 (8, DAUNT, O10 and MSC): As a reminder, by February 16, 2016, 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 will inform you of the securities that are pending final reporting, and will provide the anbccated
Fage 12 of 18
Account Number 1446423804 Rai tacollonil
I)EtAl, 1.'01 I. SOUTHERN FI D Go I pa A perle L ss r0 tv xA e cL r i g Bu A V rnR s s . R eA S rT l C o O b 0 2 3 0 M 0 M 7 UN CATIONS ••-•00.0 --.-••••0••••
SDNY_GM_00046222
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) v v OB-SDNY-0009046
EFTA_OOI 56831
EFTA01289194

Deutsche Asset
& Wealth Management
P.O. Box 1778, Bahimore. MD 21203
Statement Period: 01/01/2016 - 01/31/2016
M essages
(continued)
mad date of your 1099 form. Your 1099 will be mailed no later than March 17, 2016.
Although a money market mutual fund seeks to preserve the value of your investment at 91 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. Pursuant to SEC Rule 10b-10(b)(1) confirmations are
not sent for purchases into money market mutual funds processed on the sweep platform
Activity Summary CM amounts shown are m base currency)
Credits This Period Debits This Period Net This Period Credits Yearto-Date Debits Year-to-Date Net Year-to Date
Securities
Securities Boughl 000 -24.750.00600 -24.750.006 00 000 .24 750 006 00 -24,750,00600
Total Searitles $0.00 ,224,750,008.00 ,224,750,006.00 $0.00 -$24,750,006.00 -$24,750,006.00
Dividends and Interest 915,702.71 $0.00 515,702.71 $15,702.71 $0.00 $15,702.71
Fees 60.00 -$29.00 -$29.00 $0.00 -$29.00 -$29.00
Cash
withdrawals 0.00 -314,240.99 -314,240.99 0.00 .314.240 99 •314.24099
Noon's 2204.779.40 000 2.204.779.40 2.204,779 40 0 00 2.204.779 40
Total Cash $2,204,779.40 -2314,240.99 $1,890,538.41 42,204,779.40 -8314,240.99 $1,890,538.41
Totals $2,220,482.11 -$25,064,275.99 -822,843,793.88 22,220,482.11 -926,064,275.99 -922,843,793.88
Transactions by Type of Activity
Process/ Trade/
Settlement Transaction
Date Date Activity Type Description Bundy Prke Accrued Interest Amount Currency
Securities Bought and Sold
01/14116 01/11/16 PIACI-ASED APPLE INC COM LNSOUCITED ORDER AVERAGE UNIT PRICE 250,600.000 98.9400 -24.750.008.00 USO
AAR. TRANSACTION YOUR BROKER ACTED AS AGENT
Total Securities Bought and Sold - D.S DOLLARS 1.00 -24,750,006.00
Page 13018
Account Number N4G4323804 Rated excellent,
litin0 ROI k SOUTHERN Go paperless E CA n L v M y A V R s R . AT M E D C 2 O 0 M 07 M UNCATIONS
FI D rWriA rxestumer
SDNY_GM_00046223
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009047
EFTA_00156532
EFTA01289195

Transactions by Type of Activity (continued)
Process/ Tradel
Settlement Transaction
Date Date Activity Type Desairdiu Quality Price Accrued 'Merest Mont Currency
Dividends and Interest
01104116 CASH DIVIDEND RECEIVED 5000 SHRS VIACOM INC NEW CL B RD 12115 PO 0110/116 2000.00 LSD
VIAB
01/14/16 FOREIGN SECURITY DIVIDEND 5000 SHRS GLAXOSM ITHKLINE PLC SPOASACIR RD 11/13 2.745.10 LSD
RECEIVED PO 01114116
GSK
01/25/16 CASH DIVIDEND RECEIVED 23000 SF RS GENERAL ELECTRIC CO COM RD 12/21 PO 5.290.00 Li SO
GE 01125116
01/25/16 80AD INTEREST RECEIVED 1290000 WASHINGTON MU MTG SECS CORP 2004-RA2 3.625.63 LSO
939336520 MTG PASSTHIll. CTF CL C-8-1 VAR RATE 6.285% 07125/33
WE OW 06/01/04 RD 12131 PD 01/25/16
01/29/16 MONEY MARKET RAD DEUTSCHE GOVT CASH 2.011.98 LSO
INCOME RECEIVED
233993682
Total Dividends and Interest • U.S. DOLLARS 0.00 15,702.71
Fees
01/04/16 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 2015 CUSP: GIS15P-P4.8 -2.00 LSD
G4S15PP113
01/04/16 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 2015 CUSP. 6543384W-8 -2.00 LSD
654339868
01/14/16 FEE ON FOREIGN DIVIDEND 5000 SHRS GLAXOSMITHKLINE PLC SPOASADR RD 11/13 -25.00 LSO
WITHHELD AT THE SOURCE PO 01111/16
GSK
Total Fees - U.S. DOLLARS 0.00 -29.00
Cash Withdrawals and Deposits
01/04/16 FEDERAL FUNDS SENT THE BANK OF AEW YORK -288.96321 LSD
USD999997
01/01/16 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -25.277.78 LSO
USD999997
01/20/16 FEDERAL FUN DS RECEIVED DEL TSCHE BANK TRUST 29009 893,270.40 LSO
USD999997
01/21/16 FEDERAL FU A DS RECEIVED DEUTSCHE BANK TRUST 40942 1.311.509.00 LSO
USD999997
Total Cash Withdrawals and Deposits • U.S. DOLLARS 0.00 1,890,538.11
Total Value of Transactions 0.00 -M013,793.88 USD
The price and quantity displayed may have been rounded.
Page 14 of 18
Account Number. Ni1G-023804 RANO tacell•ra
1/011 SOL THERA ONLLC. FID G A o p E ap N erl T es I s A L r E Dx v Aa e L r Bt y L A V IR i N s R o C r A S TI i E v D a C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046224
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009048
EFTA_00 156833
EFTA01289196

Deutsche Asset
& Wealth Management
Dralsev Ram Pr.. wean suarnmt
macs C84,08,68%8
PO Boa 1778, Ba!limey*, MD 21203
Statement Period: 0110112016 • 01/3112016
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
1 to 5 years 3,723,480.00 15% Percentages of bond market values are
6 to 10 years 1,904,180.00 Ste rounded to the nearest whole percentage.
Over 10 years 19,476,527.78 77
Total 28,104,167.76 100%
Bond Quality
Bon,
Duality Market Value %of Bond Market Value
A 2,370,240.00 10% Percentages of bond market values are
BAA 8,346,900.00 33% • rounded to the nearest whole percentage.
BA/Loner 14.387.027.76 57%
Total 25,104,117.78 1007 [2
Client Service Information
Your Client Advisor: DAN
DANIEL SABBA
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 Man: 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 typos: Constant Yield Method
Include market discount in income annually: No
Page 15 of 18
intAtt .0i A SO cc L o T u H n E t R N N u mber. N4G-02380F4 Go paperless R D (v A a e U r i y M V E ' e x , c R e e r A l S l T e in E n c t D e C 2 O 0 M 07 M UNICATIONS Oat tWitt own..
II DAENTEAL rxenurnaer
SDNY_GM_00046225
CONFIDENTIAL - PURSUANT TO FED. R. CRAM. P. 6(e) DB-SDNY-0009049
EFTA_00I56834
EFTA01289197

Your Account Information
(continued)
Electronic Delivery
You have not selected any account corn in unioations for electronic delivery. To register and turn off paper communications, log in to your account or contact your Client Advisor for more intone 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 witted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily
be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are
sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will
be used in the release of the current month's statement. Prior statements Witt not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an
order.
Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets
are priced via third party sources believed to be reliable.
For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured voducts, the last available pricing will be
listed. If the last price available for such securities is unchanged for a period of tine deemed appropriate for that asset, the current price will purge and N/A will be placed in the price field in the statement. The
pricing of listed options takes into account the last closing price, as well as the current bid and offer prices.
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_continufry.htin for specific deeds as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income. or dividends for other securities shown on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance wqh the terms outlined in the Margn 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 relied 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 horn customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents
use.
Page16 of 18
°PAN ROI A SO cc U o T u H n E t R N N u mber: N4G-023804 Go paperless RL C v A ae L ir M dy A V to R o c w R o A ' l S l T e i E n v D i a C 2 O 0 M 07 M UNCATDONS rat.Z= — . 4 7 -• = ••• . A . t •• = ••• t • sc
F I DrErriA IXORLINCr
SDNY_GM_00046226
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009050
EFrA_00156835
EFTA01289198

Deutsche Asset
& Wealth Management
P.O. Boa 1778. Ihmore. MO 21203
Statement Period: 01/01/2016 - 01/31/2016
Important Inform ation and Disclosures (continued)
Ratings
This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Pools 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 & Pools is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not
recommendations to purchase. hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Duality
Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Partici° 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 conceming your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• 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 ' or 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 frst 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 posstle 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 (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: wew.pershing.com/abouustrength-and-stability.
• This statement viii be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized leading) 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 fights 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 01399allie. Errors and Omissions excepted.
Important Arbitration Disclosures
• AI 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 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 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.
Pagel? of 18
Account Number. N46.023804 Rated tocellsni ---Istratt
087,0 7011 ri LLC. Go pa(erless D L v A e L r B y A Y R e R ar A S 7 i E nc 0 e C 2 O 0 M 07 M UNICATIONS
N F I DAENTIAL exariormer
SDNY_GM_00046227
SOUTHERN t t
CONFIDENTIAL - PURSUANT TO FED. R CR[6,1. P. 6(e) OB-SDNY-0009051
EFTA_00 156836
EFTA01289199

Important Information and Disclosures (continued)
Important Arbitration Disclosures (continued)
• The panel of arbitrators vnl typically include a mirouty of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forms 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 shat 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;
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Account Number. N4G-023804 Rated excellent,
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SDN Y_GM_0004 6228
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009052
EFIA_00156837
EFTA01289200