EFTA01289724.pdf

Deutsche Bank Dtv1W.he Flfit MI,M, Neatth WIMIlemeti
mains (Ornate Gma;
°vetch, nark Setwites Sic
P.O. Box 1776, Baltimore, MD 212O3 1.14w net MO
3.114 Pol. Awing+. MI Moe
New hr IS
Toll live
Cirt(t.
January 1, 2019 - Januar 31 2019
Account Number:
SOUTHERN FINANCIAL LLC
6'130 RED HOOK QUARTER B3
ST THOM ASVI00 802
Portfolio at a Glance
ThisPerled Year4o-Dale
Your Investment Specialist. BEGINNINGACCOUNT VALUE 394,404,553.11 394,404,553.11
Net Cash Deposits and Withdrawals -0,000,000.00 -0,000,000.00
Adjusted Previous Account Value 86,404,553.11 88,404,553.11
Dividends, Interest and Other Income 210,317.04 210,317.04
Other Transactions 50 .38 50.38
Net Change in Portfolio' 5 268.838 69 5.268.838 69
ENDINGACCOUNTVAt858.48 SB13,858.4(3
Accrued Interest 6416.117 33
Estimated Annual Income 33,235.282 89
'Net Change in Portfolio is the difference between the ending account value and
beginning account value after activity.
Asset Summary
Percent Ass Type Ma Yawed Lae Period ThIshrlod
•
1% Cash, Money Funds, and Bank Deposits 8,127,337 23 8,127,337.23 337,551.57
• 28% Fixed Income 24,993,470.70 24,993,470.70 25,651,747.33
•
71% Equities 81283,745.18 81,283,745.18 85,894,359.56
100% Account Total (Pie Chart) 394,404,553.11 $94,404,553.11 $91,883,858.48
Please review your allocation periodically with your Investment Specialist.
Page ' of '5
Rated “cdent Owing through Main LIC, a wbolly owned
Every Vex Sice 2007 subsidiary el The Sank of New York Mellon
65 1\1F I D fff IFAL4-- DAISAR RAIEDCOMM.RACATICMS Corpontim (MY Mellon) nm.
EXCIALLNa Perstwe 11C, nverrter illiRAAIARIYUPA_ 0 0046752
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-OOO9576
EFTA_OO I 57361
EFTA01289724

Summary of Gains and Losses
Reeked
ThieFeriod Yetto•Date Unrelated
Short-Term Gain! Loss 0.00 0.00 -3,243009.11
Long-Term Gain/ Loss 0.00 0.00 3,337,948.06
Net Gainf Loss 0.00 0.00 94,138.95
This summary excludes transactions where cost basis information is not available
—or 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.
:xchange Rate Table G ooar Casn
Offing 00 Amount in
Oarency 050Equieitsnt per US) Omen" Balance Bare Carew USD
EURO t.1473 0.8716 EURO -42.57 -48.84
HONG KONG DOLLAR 0.1274 7.8465 HONG KONG COLLAR 183,242,25 23,353.31
APANESE YEN 0.0091 108.8100 ,APANESE YEN .49.00 -0.45
Exchange rates are based on interbank exchange rates as of 0 V 311 20 19 Exchange Total Global Cash Balance 523,304.02
rates can vary.
M ney Market Fund Detail
Dote AdIvity Type Dwaiption Amount NINO
Sweep Money Market Fund
CASH AC TR DWSGOVT & AG INSTL
Current Yield: 2.30% Activity Ending:0V 311 89
01/01119 Opening Balance 8,103,932.51 8,103,932.51
01103/19 Withdrawal MONEY FUND REDEMPTION -2.00 8,103,930.51
01110/19 Withdrawal MONEY FUND REDEMPTION 4,000,000.00 103,930.51
01116/19 Deposit MONEY FUND PURCHASE 150,000.00 253,930.51
01128/19 Deposit MONEY FUND PURCHASE 250.00 254,180.51
0141119 Deposit MONEY FUND PURCHASE 55,112.40 309,292.91
01/31/19 Deposit INCOM E REMY EST 4.954.64 314 247.55
01131/19 Closing Balance $314,247.55
Total All Money Market Funds $314,247.56
Page 2 of 15
8C: S,3,1:020
Account Number. Rated Entilent Owing throughP ining PIC. oplally mend
Evay Yaw Since 2007 mbar/ aT e Bonk of New York Makin
CONFIDO. D Ex A C U UL M EN W C ED commumcAnats C Pe a n n i n le a .; t M im C M . iS Y IM M be e r A ta n ) tall:1142Po 00046253
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-00O9577
EFTA_00157362
EFTA01289725

Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
January 1, 2019 - January 31, 2019
SOUTHERN FINA N CIA L LLC
Income and Expense Summary
Current Period Year-to-Dale
Taxable Non Taxable Taal* Non Unable
Dividend Income
Equities 250.00 0.00 250.00 0.00
Money M arket 4,954.84 0.00 4,954.84 0.00
Other Dividends 55,112.40 0.00 55.112.40 0.00
Interest Income
Bond Interest 150,000.00 0.00 150,000.00 0.00
Total Dividends, Interest, Income and Expenses $210,311.04 S0.00 $210,317.04 S0.00
Distributions
Other Distributions 48.38 0.00 48.38 0.00
Total Distributions 448.38 $0.00 448.38 $0.00
Portfolio Holdings
U.S. DOLLARS
Account Atria), OParil49 Going Ataved 110:11110 30•Day Current
Opening Dale Ouentily Number Biding Benno Sluice lame DIY= Yield Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS
Money Market
CASH AC TR DWSGOYT 8 AG INSTL
01101/19 314247.550 NM 01131119 8,103,932.51 314,247.55 0.00 4,954.64 2.30% 2.30%
Total Money Market $8,103,932.51 $314,247.55 $0.00 $4,954.84
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $8,103,932.51 $314,247.55 80.00 $4,954.64
Alluded Laireanized 'Seated Estimated Estimated
DeteAoivired Quantity Unit Cad Coot Baia Merkel Price Merkel Wee Guirlos !funnel Annual Income Yield
FIXED INCOM E On Maturity Date Sequence)
Corporate Bonds
CITIZENSC011 M 1.INICATIONSCO SR Securely Identifier: 17453BAW1
NT FULLY EXCHANGED FROM 17453BAX9
7.45% 031L19 WE DTD03/231071loody Rating CAMS 6 P
Rating CCC•
10/03f17 1,000,000.000 100.0090 1,000,094.64 98.5000 985,000.00 -15.094.64 26,916 67 71.250 00 7 23%
Original Cosl Basis:S*1001006.00
Page 3 of 15
Account Number Med hallent Owing tinge,. ,mks'.P C. • wholly owned
Every Yew Shwa 2007 subsidiary SIM Bordtel New York Mellon
ONIFIDO. AL- DAYAR RAII D COMMLNICATICMS Colnatim (OW Mellon)
EX.:MD1.0E Penn.'s MC. 'wan FiliitAVAWAPM_00048754
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) C DB-SDNY-0009578
EFTA_00157363
EFTA01289726

Portfolio Holdings (continued)
U . S. D O LLA RS (continued)
Adjusted Unrealized Accrued Whaled alined
Date Aquila Quantify Unit Out Cot Basis Market Price Market Value Gallons Interest AnnualIncome Yield
FIXED I NCOM E (continued)
Corporate Bonds (continued)
DELA INTER LLC I DELA RN INC GM Sedulity Id enl Wier 30 S2RAA9
FIRST PRIORITY SR SECO NT 514A
13.000% 07/15123 B/E DTD 07/214 Clef/ oody Rating B3 5b P
Rating
10/24/17 2,000,000.000 97.0250 1,940,506.00 100.0000 2,000,000.01 59.494 01 8,888.89 200,000.00 10.00%
Original Cosl Basis: $1940,506.00
07/09/18 1.000.000.000 102.6200 1,026,197.29 100.0000 999.999.99 -26.197.30 4,444.44 100.000.00 10.00%
Original Cosl Basis: $1028,758.00
Total Covered 3,000,000.000 2,966,703.29 3,000,000.00 33,296.11 13,333.33 300,000.00
Total 3,000,000.000 52,966,703 29 53,000,000.00 533,296.71 $13,333.33 5300,000.00
SS INVTS GM BR GTD SR NT Security Identifier: A29866A95
REG S INNS USA29866AB53
7.250%04/03/24 B/E DTD 04103/MS& P Rating BB
10/31/17 2.000.000.000 99.0650 1.981.300.00 103 4070 2,088,140.00 86.840.00 47,125.00 145.00900 701%
Original Cosl Basis: 51981300.00
DEUTSCHE BANK AG NTSI9Ht US25'625AM 33 Security Idenlifiec 251525AM 3
4296%05/24/28 B/E DTO 05/24113
FOREIGN SECURITY 1ST CPN DTE 41124/43M oody Riling Ba2 S8 P
Rating BB-
06/01/18 1.000.000.000 91.7780 917,776.00 88.7940 887.940.00 -29.836.00 7.995.33 42,960.00 483%
Original Cost Basis:599,776.00
DEUTSCHE BK AG N Y BRH VAR Security Identifier: 255268118
MN* LIS25%26BN89 4 875% 2/0132 WE
DTD 12/0117 CALLABLE 2/0127
06/01/18 1,000.000 000 86.8260 868,256.00 84.3000 843.000 00 -25.256.00 8.125 00 46.750 00 5 78%
Original Cosl Basis 5868255.00
ASSURANT INC FXD TO FLTG WO NT Security Identifies. 0462%AK4
7.000% 03/27148 WE DTD 03/27/S
CALLABLE 03/27128@ 130.000M oody Rating BA1
03/29/18 2,000,000.000 101.9830 2,039,653.55 96.5000 1,930,000.00 -109,653.55 48,222 22 140,000.00 7 25%
Original Cosl Basis: 52,040,006.00
Page 4 of
Account Number
Raleaweilent ClewingI MO. hating LIC, a wbolly owned
BIC:535=02C L Every Vex Since 1007 subsidiary 011ie en of New York Mellon
CONFIDO. DAUM MUD COMMLINICATICOS Cannatim (MY Mellon) n a... a a
EXCIMENCE Perlhe. MC. intryta fitiRnAlAftl 04--1M—U0040755
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009579
EFTA_00 157364
EFTA01289727

FA
Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
January 1,2019 - January 31,2019
SOUTHERN FINANCIAL LLC
Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Metaled Blinded
Date kilted Ouantily Unit Cod Cost Betts Market Price arV:el yak e Gain Loss Interest Annuli Income Yield
FIXED INCOME (continued)
Corporate Bonds (continued)
ORGAN CHASES CO DEP SHS REPSTG Security Identifiet 46625HHA1
18TH PFD SER 'FIXED TO FLTG RT BD
5.990% 04123/58 B/E DID 04/23/08M oody Rating Baa3 S 8 P
Rating BB8-
06/15/11 ..3,t2 1,100100.000 101.2500 1,179,750.41 100.6000 1,106,600.02 -73,150.39 18314 65,894 .18 595%
Original Cosl Basis: 51182.500 00
06/15/11 .." 2.500.000.000 106.7680 2.669.212.15 100.6000 2.51499998 -154.212.17 416.00 149.759.50 5 95%
Original Cosl Basis:52,675100.00
Total Nonoovered 3,600100.000 3,848,962 56 3,621,600.00 -227,362.56 59914 215,653.68
Total 3.600100.000 $3,848,962.56 53,621,600 00 4227,362.56 5599.04 5215,653.68
SOUTHERN CALIF EDISON CO PREF SER E Security Identifier 842400 FU2
6250% Of 1/62 TMEDTO 0117/12
CALLABLEOMJ0122Q 130.000Moody Rating Baal S8 P Rating
01/30/12 ••112 3100.000100 991090 2,997,261.33 94.0000 2,820.000 00 -177.261.33 93,750 00 187,500.00 6 64%
Original Cosl Bee: $2.992.564.97
GENERAL REC CO GTD FXBTO•RTG RT Security Identifier: 369604BM 4
NON-CUMULATIVE PERPETUAL PREFERRED
4000% 2/03/64 REG DID 11J03/tAloody Raling A3 S 8 P
Rating BBB
12/03115' 2,469.000 000 88.0930 2,175,016.17 671000 1.676.451.00 498,565.17 12,619.33 98,760.00 5.89%
Original Cosl Basis:52,175.01 17
LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4
ADM. TIER 'SECS ISOM US539439AG42
7.500% 04/27/88 B/E DID 04/07/515 8 P Raliry BET
04/10/14 '1,12 1.903.000.000 102.3910 1,948,500.00 101.7500 1136.302.50 -12,197.50 13.479 58 142.725 00 7 37%
Original Cosl Basis: $1,948.500 00
Page 5 of '5
Account Number:
Riled Emellent Owing Sae. holes LLC. a Mlolly owned
BMS9501$1:0/C L Every Vex Saco 2007 sobledEmy of The UM, of New York Mellon
CONFIDO. DAMN, MUD COMMWICATICMS Comonthm (WIT Mellon)
EXCIMENC( Pertre.U.C.Illet,ttlEll4RAAWIIYULGMJ)0046756
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009580
EFTA_00 157365
EFTA01289728

Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Uffealited Acased E9imaled Estimated
Date Applied Quantity Unit Out Cost Bois Merkel Price Merkel Valve Oninnese haunt Mimi Income Yield
FIXED INCOME (continued)
Corporate Bonds (continued)
CITIGROUP INC RD RT SR NT PERP DEP RECPT Sturdy Identifier 17296745
5.950% 08/6/88 B/E DID 081415
CALLABLE 0876120 0.00011oody Rating BA2 S8 P Rating
0
88+
08106/15 3,000,000.000 100.0000 3,000,005.99 100.8750 3,026250.00 26,244.01 82,308.33 178,500.00 5 89%
Oe loaf Cosl Basis: $3900,00600
Total Corporate Bonds $23,743,529.53 $22,794,683.50 4948,846.03 $354,473.83 $1,571,098.68
23,972,000.000
TOTAL FIXED INCOM E $23,743,529.53 $22,794,683.50 4948,848.03 $354,473.83 $1,571,098.68
23,972,000.000
Unrested Estimated Estimated
DeleAcqdred Quantity Unit Cod Cod Bads Market Pram Matt Veen Gelation Annual Income Yield
EQUITIES
Common Stocks
ALIBABA GROUP ROG LTC SPONSORED ADR Securely Idylltiler MBA
istit USO SO9W 1)27 CUSP. 0409W 1)2
Dividend Option Cash
06/10115 5.000.000 86.9500 444,749.00 168.4900 842,450.00 397.70110
AMAZON COM INC Security Identifier: AUDI
Dividend Option: Cash CUSP. 0234646
03129/18 500.000 1,423.8620 711,930 80 1,718.7300 859,365.00 147,434.20
04/02118 500.000 1,367.0210 683,510.38 1,718.7300 859,365.00 175,854.62
Total Covered 1,000.000 1,395,441.18 1,718,730.00 323,288.82
Total 1,000.000 $1,395,441.18 $1,718,730.00 $323,288.82 $0.00
APOLLO GLOBAL MGM T LLC CL A SKS %curdy Identifier: APO
Dividend Option: Cash CUSP 03764306
263,67.00 of these shares are in your margin acconnl
03/29/11 .13 263157.000 19.0000 4,999,983.00 29.2800 7,705,236.96 2,705,253.96 481477.31 8.25%
APPLE INCCOM Security Identifier: AAPL
Dividend Option: Cash CUSP:037833TO
12107/17 214,000.000 169.8140 36,340,223.40 166.4400 35,618,160.08 422,063.32 624,880.00 1.75%
06/20/18 50,000.000 186.1940 9,339,691.00 166.4400 8,321,999.19 1,017,691.21 146,000.00 1.15%
10/15/18 40.000.000 219 0180 8,760,702.00 166 4400 6.657.600.13 4,103,101.87 116,800.00 1.75%
Total Covered 304,000.000 54.440.622 40 50 597,760 00 -3 842,882.40 887,680 00
Total 304.000.000 $54,440.622 40 $50.597,760.00 43,842,862.40 6887.680 00
Page 6 of 15
Account Number.
RstaleadleM cow tinge,. Penton. Ilt. a Sally craned
EmyYerSme2007 subsidiary The Baia New York Mellon
CONFIDO. DMAARLMEDCOMMLWATICN5 Cal:anti:a (MY Mellott)
MUM( U.C.ITterfter fliactlYaGM_ 00046757
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009581
EFTA_00157366
EFTA01289729

Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
January 1, 2019 - January 31, 2019
SOUTHERN FINA NCIA L LLC
Dort folio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized &haled Estimated
DeleAcquired Duality Unit Cost Cot Beds Marker Pin Market Value OW: Loss Annual Income Yield
EQUITIES (continued)
Common Stocks (continued)
AlOGEN DEC INC COM Security Identifier: DID
Dividend Option: Cab CUSP 09062X133
02114112'•4 2.095.000 110.2720 231.019.65 333.7800 699.269 10 468 249 45
7CENTENECOW Da 031 Security Identifier CNC
Dividend Option: Cab CUSIR151355111
09106/14 15,550.000 63.6450 989.67915 130.5700 2,030,363.50 1,040,683 75
KARYOPHARM THERAPEUTICS INC COM Security Idealdim: KPTI
Dividend Option: Cab COW. 48576U136
07112/18 25.000.000 18.6840 481106.00 8.4700 211.750.00 455.356.00
Total Common Stocks $62,968,600.98 $83,805,559.56 $836,958.58 $1,369,257.31
Preferred Stocks (Listed by expiration date)
GMAC CAP TR I GTO TR PFD SECSSER 2CPN- Seardy IdeetilletALLY PRA
SIM FREOORTLY MATY•02/6/2040 CALL CUSIP.361380208
ANYTIME02511730 DAYS BEGINS02/15/13
Dividend Option: Cub
02/22/12 80.000.000 23.5350 1,882,773.60 28.1100 2.088.800.00 206.028.40 163.588.48 7A3%
Total Preferred Stocks 51,882173.60 52,088,800.00 $206,026.40 $163,568.48
TOTAL EQUITIES 564,851,374.58 365,694,359.56 31,042,984.98 81,532,825.79
Unrealized licatied Estimated
Cost Beds MEW Vine GrinGas 'Merest Annul Income
TOTAL U.S. DOLLARS $88,909,151.66 $89,003,290.61 $94,138.95 $354,473.83 53,108,879.11
EURO
Opening Mang Acaued 30-Day
Description Quantity Balance Balance Canemy name Yield
CASH, MONEY FUNDS. AND BANK DEPOSITS
Global Cash Balance 0.00 42.57 EUR
-4814 USD
Page 7 of 15
Account Number Rated (want caw throw* Peaking la. a near aimed
Every Yaw Since 2007 subsidiarft *Me DEMO New York Macon
CONFIDO. DAUM WED COMMUMCATIONS CorMatkol (MY mann)
EX(M D< t Pentint 11C.ritterter fildlactiterytt 00046758
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009582
EFTA_00157367
EFTA01289730

Portfolio Holdings (continued)
EURO (continued)
Opening Oosing Acerved 30 tri
Desolation Dernly Balance Briscoe Caning Isom Yieei
CASH, MONEY FUNDS, AND BANK DEPOSITS (continued)
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 0.00 A2.57 EUR 0.00
48.84 USD 0.00
Awned Estimated Estimated
Destripthn Ouantrty Market Pra Market Value Currency Interest Annual Income ?IS
FIXED INCOME (In Maturity Date Sequence)
Corporate Bonds
CASINO. 6UIDIARO-PERRACHON 2,500,000.000 99 6100 2,490,250.00 EUR 53,729.18 110,175.00 4.42%
SA ISOM FROO 1001180 2,857,063.83 USD 61,643.49 126,403.78
4.407% 0810611R EG DTD 08/0312
Moody Raliag Balsa PRatiog 88
Scarily Idestilier.F111310I4
Total Corporate Bonds: 2,500,000.000 2,490,250.00 EUR 53,729.18 110,175.00
2,857,083.83 USD 61,643.49 126,403.78
TOTAL FIXED INCOME 2,500,000.000 2,490,250.00 EUR 53,729.18 110,175.00
2,857,063 83 USD 61,643.49 126,403.78
Atoned Estimated
Market Value Currency Unlaced Annual Income
TOTAL EURO 2,490,207.43 EUR 53,729.18 110,175.00
2,857,014.99 USD 81,843.49 128,403.78
HONGKONG D 0L LA R
Opening Goring Mated May
Description Quantity Balance Mince Oaten, lame Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS
Global Cash Balance 183,242 25 183,242.25 liKD
23,353.31 USD
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 183,242.25 183,242.25 NW 0.00
23,353.31 USD 0.00
Accrued
Market Vohs Oren, Interest
TOTAL HONG KONG DOLLAR 183,242.25 HKO 0.00
23,353.31 USD 0.00
Page 8 of 15
Account Number
Rated (wart Owing Swab ',fl ing ELL a slay MVOS
t 5,,M.020 Every Vex Soo 2007 subsidNy a IN UK of New York Melba
CONFIDO. AL- DALIAR RATED CONVOCATIONS ONTINATIN (IINY NANO
EXCELLENCE Penne. Etc. nwrter FitatiklYEEPM_000443759
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009583
EFTA_00157368
EFTA01289731

Deutsche Bank
P.O. Box 1776, Baltimore, MD 212O3
January 1,2019 - January 31,2019
SOUTHERN FINANCIAL LLC
Portfolio Holdings (continued)
JA PA NE SE Y EN
Opening Closing Accrued 30•Day
Description Quantity Balance Balance Oaring Income Yield
CASH. MONEY FUNDS, AND BANK DEPOSITS
Global Cash Balance 49.00 49.00 JPY
-0.45 USD
TOTAL CASH, MONEY FUNDS. AND BANK DEPOSITS 49.00 -49.00 JPY 0.00
.0.45 USD 0.00
Acacia
Maker Value Curtency Inletest
TOTAL JA PA N ESE YEN -49 00 JPY 0.00
-0.45 USD 0.00
Unrealized Acaued Estimated
Cod Bat Miter Value Gain, Loss Inlered Annual Income
Total Portfolio Holdings - U.S. DOLLARS $88,909,151.66 $91,883,658.46 $94,138.95 $416.117.32 $3,235,282.89
' Noncovered under the cost basis rules as defined below.
Generally, securities acquired before 2011, in retirement accounts or held by Non•U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of
1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered" Securities marked as "covered", were identified as securities potentially
subject to the cost basis reporting rules and may be reported to the IRS on form 1399-9 for the applicable tax year in which the securities are disposed.
Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 1099B, the cost
basis will not be reported to the IRS.
Cost Basis on fixed income securities may be adjusted for amortization. accretion, original issue discount adjustments. or principal payd owns 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.
2 A corporate action is occurring for this security. Please review the Corporate Action Events Not Yet Processed section of your statement for more details.
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.
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.
t3 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 9 of 5
Account Number
Ratedbcant Clang dewy.h abeg LI.C, a ally armed
BICS35.1,1:3/C L Every vex Sme 2007 risirva The loch of New York Mellon
CONFIDO. DAISMI MUD COMMaKATIONS Conmertim (MT Man)
EXCLUENCt Penhat LI.C.immter milinAWirGPM_00046760
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-OOO9584
EFTA_00 157369
EFTA01289732

Holdings Summary by Currency
°maw Cash Fixed Income Equities Toll by Connor
US. DOLLARS 314,247 22,794,683 65,894,359 89,003,290 USD
EURO 42 2,490,250 0 2,490,207 @JR
HONG KONG DOLLAR 183,242 0 0 183,242 HKD
APANESE 49 0 0 -49 JPY
Total USD Equivalent 337,551 25,651,747 65,894,359 91,883,658 UED
% of Allocation 1% 28% 71% 100%
Portfolio Holdings 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.
THEAS OF PRICEDATE ONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THESTATEM ENT DATE
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (MY) 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.com/ disclosuresfor 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.
Option Disclosure
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.
Foreign Currency Transactions
Pershing will 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 S. unless a particular rate is required by applicable law. Your financial
organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or
received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use.
Page 10 of 15
Accout Number
Rated (warm Owing tinge.P iningP IC a Sally weed
Every Yaw Since 2007 subsidiary time MKa New York Mellon
CONFIDO AL- DAUM WED co...monomer* Cal:anti:a (MY Meta)
MULI:NC( Pentre. LI.C. 'newt*, Filiata 00048761
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009585
EFTA_00157370
EFTA01289733

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
January 1, 2019 - January 31, 2019
SOUTHERN FINA NCIA L LLC
Portfolio Holdings 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 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.
Ratings
This statement may contain credit rating information obtained from Standard & Poor's Reproducing and distributing any information received from Standard & Poor's is not permitted
without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness. timeliness or availability of any information. Standard &
Poor's is not responsible for any errors or omissions. regardless of the cause. or for the results of using such content. Standard & Poor's makes no express or implied warranties
including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with
the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for
investment purpose. Credit ratings should not be relied upon as investment advice.
Messages
Important Reminder for Pershing's 2018 IRS Form 1099 (8, OIV, INT, M ISC and CID): As a reminder, by February 15, 2019, you will be mailed either your Form 1099 or a special
Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final information from issuers and trustees of securities you hold by the as of date of
the February 15 1399 mailing. You will also be sent the notice if your information is still being reviewed and finalized. The notice will inform you of the securities that are pending final
reporting and provides the anticipated mail date of your 1099 Your 1099 will be mailed no later than M arch 15, 2019
Although a money market mutual fund seeks to preserve the value of your investment at 51per 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 10 ti-10 ( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
Activity Summary (Au amounts snown areal oase.urren4)
Credits TNsPeikkd Debits ThesPeliod Net ThisPeriod *kits Yesi4o-Dete DebitaYear-to-Date Net Yew-lo-Dale
Dividends and Interest 5210.317.04 50 00 $210.317.04 $210,317.04 50.00 5210.317.04
Fees 50.00 $2.00 42.00 50.00 $2.00 42.00
Other 50.00 448.38 448.38 50.00 $48.38 $48.38
Cash
Withdrawals 0.00 8,000,000.00 -8,000,000.00 0 00 -8.000,000.00 -8.000,000.00
Total Cash 50.00 $8,000,000.00 $8,000,000.00 50.00 48,000,000.00 48.000.000.00
Totals 5210,317.04 48,000,050.38 47,789,733.34 5210,317.04 48,000,050.38 47,789,733.34
Page 1' of 15
Account Number
Rated taceilent Clearing SwabAmboy LIC, a wliolly owned
BIE:535=3/C L Every Vex Since 2007 subsidiary el Ilwa &onkel New York MeBon
CONFIDO DAUM& MUD COMMSCATICOS Caponthan (SW Mellon) n .
EXCIMENC( Penne. MC. mtrytt, FiliRnAIMYLISAA-00046762
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009586
EFTA_00157371
EFTA01289734

Transactions by Type of Activity
Process Trade
Settlement Transaction
Date Dote Activity Type Description Ousmity Rice *caved Interest Amount Currency
Dividends and Interest
01115/19 BOND INTEREST RECEIVED 3000000 EXELA INTER LW? DELA FIN INC GTD FIRST 150,000.00 USD
30162R449 PRIORITY SR SECO NT 114410.000% 07f81238fE DTD 071414
CLB RD 2/31PD 0 YEA
01125119 CASH DIVIDEND RECEIVED 25000 SIRS GENERAL ELECTRIC CO COM RD 12/20 PD 0125/I 250.00 USD
GE
01130119 CASH DIVIDEND RECEIVED -FM ORGAN CHASE 8 CO DEP SKS REPSTG it TH PFD SERI 4.600.000.000 55,112.40 USD
46625HHAI 5.990% 04/23/58 WE RD 0129 PO 0730IS INT PAID AT 6309
3600000
01131/19 MONEY M ARKS' FUND CASH AC TR DWSGOVT 4,954.64 USD
INCOME RECEIVED
PER232045
Total Dividends and Interest - U.S. DOLLARS 0.00 210,317.04
Fees
01/02119 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 2018 CUSP'. PNOLCN4 -2.00 USD
UW999997
Total Fees - U.S. DOLLARS 0.00 -2.00
Other Transactions
01122119 01/19119 FREE CREDIT BALANCE EURO CURRENCY FREE CREDIT BALANCE INTEREST CHARGE -42.57 EUR
INTEREST CHARGE FREE CRWIT INT CHRG 2-20-I TO 01-13-1 FOR CUSTOM ER 48.38 USD
EUR399995 ACCOUNT
Total 01h er Transactions - EURO 0.00 42.57
Total USD Equivalent 0.00 46.38
Cash Withdrawals and Deposits
01110119 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST 4,000,000.00 USD
USDOW997
Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 4,000,000.00
Total Arrived littered Told Awn,
impactions Summary Totd Acaued Intact Told Amount Currency USDEquivolail USD Equlvdent
EURO 0.00 -42.57 EUR 0.00 46.38
U.S. DOLLARS 0.00 -7,789881.96 USD 0.00 -7,780,684.96
The price and quantity displayed may have been rounded.
Page 12 of 15
Account Number
Rated (Kant Owing through holingP IC a mood
a: c Every Yaw Since 2007 subsidiary alines* a New York Mellon
CONFIDO. AL- DAUM WED COMMUNCATIM Caporal._ (MY Meta)
EX( CILD K Penhas MC. ~ter FillatAtYaGlit 0004. 763
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009587
EFTA_00157372
EFTA01289735

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
January 1, 2019 - January 31, 2019
SOUTHERN FINA NCIA L LLC
Corporate Action Events Not Yet Processed
Event Type Et-Dividend Didributian
Security Evert ID Dale Dale Quantity Held Rale Event Cuanhily Current Price Market Vibe
Securities Not Yet Received
CENTEHECORPCEL COW STOCKSPLIT 02107119 02111119 15,550.000 1.0000000 15,550.0000 0.0000 0.00
DANOWOOOLSA
Total Securities Not Yet Received $0.00
The above information has been obtained from sources we believe to be reliable. All items are subject to receipt.
Fixed IncomeAnalysis
Bond Quality Bond Maturity Schedule
%ol Bond %ol Bone
Band Quality Markel Value Nagel Value Percent al Fixed Income Bond MMurply Market Value Markel Value
A 1,676,451.00 1% Mite 6 months 985,000 00 4%
i= 7 to 12 months 2 857.063 83 11%
BAA 6,441,600.00 25%
M1 to 5 years 3.000 000 00 12%
BA! Lower 16,690,696.33 65%
6 to 10 years 2 956 080 00 12%
Not Rated 843,000.00 3%
IIII Over 10 years 15,853 603 50 61%
Total 25.651,747 33 100% 0 20 40 60 80 100
Total 25,651,747 33 100%
Percentages of bond market values are rounded tothe nearest whole percentage.
Bond quality ratings reflect M oody'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.
Client Service Information
Your Investment Specialist: zai Dented Information
MARTIN ZEMAN Telephone Number
345 PARK AVENUE
NEW YORK NY 10 154
Page 13 of '5
Acoount Number:
bled Exceilent Otering through Pelham PIC. %Sully armed
Bit: SZCSIME L Every rev Saxe 2007 sobehliari MTh* ft* of New York Mellon
CONFIDO DAU M fenE D COMMUNICATIONS Corporrtim Ma Mellon)
EXC0ADa U.C. FreIrtel flMOYULGM_00046764
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009588
EFTA_00 157373
EFTA01289736

Your Account Informati n
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for M utual Funds: First In First Out
Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out
Default Method for 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 DEUVERY
Your electronic delivery selections for account communications are listed below:
Electronic Delivery
Enrollment Communication
• Statements and Reports
• Trade Confirmations
• Tax Documents
• Notifications
• Prospectus
• Proxy/Shareholder Communications
You have not enrolled any of the above documents for electronic delivery. Please log in to your account to make any changes to your preferences.
Important Information and Disci sures
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without
inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or
liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the
suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under
common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your
financial institution or that it receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your
account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the
acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where 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 . All other inquiries regarding
your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your 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 (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC
protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.com/ about/ 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
Page 14 of 15
Accout Number
Rated Etcaent Owing tiwomb Pants ISC.• Stay mooed
Every Vex Sine. 2007 solmieliarft Slim &onkel New York Mellon
CONFIDO. AL- OMAR RAT ED COMMUNICATIONS °fleabag (SPO' Melon)
EXCIA t Penh...* LI.C. fI H illatiklYMPM_00046765
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009589
EFTA_00157374
EFTA01289737

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
January 1, 2019 - January 31,2019
SOUTHERN FINANCIAL LLC
Important Information and Disclosures (continued)
The Role of Pershing (continued)
rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be f n n h fir t page of this statement. Pershing's contact information is as follows Pershing LLC, Legal Department,
One Pershing Plaza, Jersey City, New Jersey 07399; . Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which
a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain docum ents. w itness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the
panel at least 20 days prior to the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitratorswho 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 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 w ith 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 '5 of '5
Account Number
Rated taceilent Clewing tTheaNnbeg LIC, a wholly owned
BICS35=3/C L Every Vex Since 2007 sublicharni Ilwa &onkel New York Mellon
CONFID DALIN,M UD C0MMLINICATICt* Cannatim (MY Mellon) onn
EXCIILENCt Penfrre. LLC. mtryta f iliRA,R4W, -1.1-0101-uuumo7u°
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009590
EFTA_00 I 57375
EFTA01289738

Deutsche Bank OtuttChe 114n\ fMair &talk M.no(eenect
Meneti (went< 000;
°retch, GM Se:w Pu
P.O. Box 1776, Baltimore, MD 21203 POW Ten Unto
}AS Pot Awnas. )40 flow
New a
Tell tree
Over
February 12019 - Februar 28 2019
Account Number:
SOUTHERN FINANCIAL LLC
6'130 RED HOOK QUARTER B3
ST THOM ASVI00802
Portfolio at a Glance
ThisPerbd Year4o-Dele
Your Investment Specialist. BEGINNING ACCOUNT VALUE $91,883,658.46 $94,404,553.11
InA A R1 61iiM• AN Nei Cash Deposits and Withdrawals .11,892,834.15 49,892,834.15
Net Securities InfOul of Account 43,952,355.75 43,952,355.75
Adjusted Previous Account Value 36,038,468.56 30,559,363.21
Dividends, Interest and Other Income 802,145.33 812,462.37
Other Transactions 4.00 42.38
Net Change in Portfolio' 2.335.319.60 7.604.158.29
MOINIZEKEINIEW
$38.975,931.49 $38.975,931.4
Estimated Anneal Income 9665 952 93
Nef Change in Portfolio is the difference between the ending account value and
beginning account value after activity.
Asset Summary
Percent Meet Type Prlor Yew-End Last Period Ms Period
1% Cash, Money Funds, and Bank Deposits 8,127,337.23 337,551.57 190.331.49
99% Equities 61,283,745.18 65,894,359.56 38,785,600.00
0% Fixed Income 24,993,470.70 25,651,747.33 0.00
100% Account Total $94,404,553.11 $91,883,658.46 $38,975,931.49
Meese review your allocation periodically with your Investment Specialist.
Page ' of '6
Rated Eicallent Owing through holing LI.C, a wholly owned
CUNFIDFIT'FAL- Every Vex Since 2007 subsklin e4 The Unto. New Yea Mellon
DALBAR RATED CONVOCATIONS CA•Potatim MYMellon)
EXCIALENCt Penshat LI.C.nwnlan FiliRn304/1 itSV- P"—uuum°7u7
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009591
EFTA_0015 7376
EFTA01289739

Summary of Gains and Losses
Reseed
This Period Yea-lo-Dale Unrealized
Short-Term Gain! Loss -132,436.95 -132,436 95 -2,516,898 77
Long-Term Gain/ Loss 314.042 71 314.042 71 447.003.42
Net Gain! Loss 181 605.76 181.605 76 -2,069.895.35
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 10 99 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.
Exchange Rate Table
alimony
Wing USDEquivalent per USD
EURO 1.1386 0.8782
HONG KONG DOLLAR 0.1273 7 8496
APAIIESE YEN 0.0089 111.3000
Exchange rates are based on interbank exchange rates as of 02! 28/ 20 19 Exchange
rates can vary.
Money Market Fund Detail
Date Adivity Type Dosaction Amount Bianco
Sweep Money Market Fund
CASH AC TR DWSGOVT 4. AG INSTL
Current Yield. 2.31% Activity Ending:02/ 28/19
02/01/19 Opening Balance 314.247 55 314.247.55
02/04119 Withdrawal MONEY FUND REDEMPTION -200 314,245.55
02/06/19 Deposit MONEY FUND PURCHASE 93,750.00 407,995.55
02/07/19 Deposit MONEY FUND PURCHASE 1.979.776.99 2.387.772.54
02/08119 Deposit MONEY FUND PURCHASE 4.080.228.72 6,468,001.26
02/11/19 W ithdrawal MONEY FUND REDEM PTION 800.012.80 5.867.988.46
02/13119 Deposit MONEY FUND PURCHASE 6.129.51119 12.097.499.65
02/14119 Deposit MONEY FUND PURCHASE 96235 04 12.193.734.69
02/15119 Deposit MONEY FUND PURCHASE 221.920 00 12,415,654.69
02/19/19 W ithdrawal MONEY FUND REDEMPTION -12.415.654.69 0.00
02/19/19 Withdrawal SHARES RED EM ED 4.893 84 4,893.84
02/19/19 Deposit ACCRUED DIVIDEND CREDIT 6.893 84 0.00
Page 2 of '6
Account Number
RAW tangent Oang dashh ang LIC, a ally armed
BItnitttAIS L-- Every Ygmr Since 2007 wbsdlayel The eat of New York Man
CONFIDO' DAUMRATED CONVOCATIONS Camonthm (MY Man)
EMIL EW( Penhe. LI.C.rrow-ter liRRANIYIUGM_00°46768
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009592
EFTA_00 157377
EFTA01289740

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
February 1,2019 - February 28, 2019
SOUTHERN FINANCIAL LLC
Money Market Fund Detail (continued)
Date Activity Type Desaiption Amount Bain
Sweep Money Market Fund (continued)
CASH AC TR DWSGOVT & AG INSTL (continued)
02/20/19 Deposit MONEY FUND PURCHASE 42,939.12 42,939.12
02128/19 Deposit INCOM ERBNVEST 24.45 42,963.57
02/28/19 Closing Balance $42,963.57
Total All Money Market Funds $42,963.57
Income and Expense Summary
Quieet Period Yeat-lo-Date
Taxable Non Taxable Tuft Non Treble
Dividend Income
Equities 221,920.00 0.00 222,170.00 0.00
Money Market 8,918.29 0.00 11,872.93 0.00
Other Dividends 89,250.00 0.00 144,382.40 0.00
Interest Income
Bond Interest 93,750.00 0.00 243,750.00 0.00
Other Interest 42,939.12 0.00 42,939.12 0.00
Total Dividends, Interest, Income and Expenses 8454,777.41 $0.00 $665,094.45 $0.00
Distributions
Alternative Investments 0.00 147,367.92 000 147,367.92
Other Distributions 0.00 0.00 48.38 0.00
Total Distributions 80.00 $147,367.92 448.38 $147,367.92
Portfolio Holdings
U.S. DOLLARS
Account Activity Opening doing Maria home 30-Day Defeat
Cpering Dale Cluaraily Number Ending Baron Balm become %NY,* Yield Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS
Margin Balance 0.00 147,367.92
Page 3 of 16
,
Account Number Rateamoont Owing throidthnbing PIC a Sally owned
6 L-- Eon vox Since 2007 subsidiary e4 The Bonita New York Melee
CONFIDO. DAUMM I ED COMMUNCATICt* CarPontim (MY Melon)
EXCIMENCt Penne. u.C.FTwrter FthetalkiteCoM_00046769
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009593
EFTA_00157378
EFTA01289741

ort folio Holdings (continued)
U.S. DOLLARS (continued)
Amon' Adhlty CIPAIN9 GAR Moved Income 30-Day Comsat
Opening Cale Ovally Number Belem Biwa Income This Tex Yield Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS(continued)
Money Market
CASH AC TR DWSGOVT 8 AG INSTL
02101119 42,963.570 N/A 02128/9 314.247.55 42,963.57 0.00 11,872.93 2.31% 2.31%
Total Money Market $314,247.55 $42,963.57 $0.00 $11,872.93
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 3314,247.55 $190,331.49 $0.00 $11,872.93
Unrested Ealimelell blinded
OdeAosired Ovally Unit Colt OA Beds Merkel Pao Market Value Ceinflon Annual Immo Yield
EQUITIES
Common Stocks
APPLE INCC011 Semite Ideatifiet AAPL
DivWead Option: Cask CUSP:0378331)0
12/07/17 34,000.000 169.8140 5,773,680.35 173.1500 5,887,099.83 113.419.48 99280.00 1.68%
12/07/17 332 100,000.000 169.8140 16,981,416.00 173.1500 17,314,999.94 333,583.94 292,000.00 168%
06/20/18 50.000.000 186.7940 9,339,697.00 173.1500 81357,500.17 182,196 83 146,000.00 1.68%
10/15/18 40,000 000 219 0180 8,760,702.00 173 1500 6 926 000.06 .1 834 701 94 116800 00 1.68%
Total Covered 224.000 000 40,855,495 35 38.785,600 00 -2.069,895 35 654.080 00
Total 224,000.000 $40,855,495.35 $38,785,600.00 42,069,895.35 $654,080.00
Total Common Stocks $40,855,495.35 538,785,600.00 42,069,895.35 $654,080.00
TOTAL EQUITIES $40,855,495.35 538,786,600.00 42,069,895.35 $654,080.00
Uarealind Mated EdIrealed
Cod Bads Mad Value Carnes Mead Anneal Income
TOTAL U.S. DOLLARS $41,045,826.84 $38,975,931.49 42,089,895.35 90.00 $665,952.93
EURO
Opening Posing Amend 3"',
OnstrIplioa Qualify Balance Balance 0luency lama Mid
CASH, MONEY FUNDS, AND BANK DEPOSITS
Global Cash Balance 42.57 0.00 EUR
0.00 USD
TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS .42.57 0.00 EUR 0.00
0.00 USD 0.00
Awued
&Arkin Value Coming lined
TOTAL EURO 0.00 EUR 0.00
0.00 USD 0.00
Page 4 of '6
Ataxy( Number. Rated Eicallent Owing tlwonsh Penton. PIC. • %okay waned
2:[:5: SAIL) (my Veit Since 2007 subsidiary a The brat of New York Mellon
CONFID AL- DALBAR RATED COMMUNICATICNS CoPotatimi (MY Meta)
ExCtiaNa Penne.* MC. 'newts. ilitagatrige.4.4_00046 770
CONFIDENTIAL - PURSUANT TO FED. R CRI AA. P. 6(e) DB-SDNY-0009594
EFTA_00157379
EFTA01289742

Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
February 1, 2019 - February 28, 2019
SOUTH ERN FINA N CIA L LLC
Portfolio Holdings (continued)
HONGKONG DOLLA R
DRIES Closing Acaued 30.0n
Desolation Duran Bine Una Canino income Yin
CASH, MONEY FUNDS, AND BANK DEPOSITS
Global Cash Balance 183342.25 0.00 HKO
0.00 USD
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 183,242.25 0.00 HKD 0.00
0.00 USD 0.00
Awned
Merkel Vane Cunene Mead
TOTAL HONG KONG DOLLAR 0.00 HKD 0.00
0.00 USD 0.00
JAPANESEYEN
Opening Closing Atoned 30.017
Description Clamor Bence San Catena Immo field
CASH, MONEY FUNDS, AND BANK DEPOSITS
Global Cash Balance 49.00 0.00 JPY
0.00 USD
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 49.00 0.00 JPY 0.00
0.00 USD 0.00
Awned
Medial Vain Oman lettered
TOTAL JAPANESE YEN 0.00 JPY 0.00
0.00 USD 0.00
Unmade Acaued Estimated
Cod Bois Medal Voss GaMILose Intern Minutemen
Total Portfolio Holdings - U.S. DOLLARS 941,045,826.134 $38,975,931.49 -$2,069,895.35 $0.00 $665,952.93
Page 5 of 16
Account Number
Raltamlint Clewing Dime. Penbets LLC a Si* owoM
Every Yaw Since 2007 subMarft ci the orb O New York Melon
CONFIDO. AL- DAUM WED C0MMUNCATICNS CaDonEki0 (MY Melon)
EX( MEW Penne. UC. rrrrte FiliRAVAtreaGM_00046771
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009595
EFTA_00157380
EFTA01289743

Portfolio Holdings (continued)
Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of
1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered" Securities marked as "coveree, were identified as securities potentially
subject to the cost basis reporting rules and may be reported to the IRS on form 1099-8 for the applicable tax year in which the securities are disposed.
Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998, the cost
basis will not be reported to the IRS.
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.
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.
Holdings Summary by Currency
Cuirfilry Cash amities Total by Pommy
U.S. COLLARS 190.331 38.785.600 38,975.931 USD
EURO 0 0 0 EUR
HONG KONG DOLLAR 0 0 0 HKD
APANESE YEN 0 0 0 JPY
Total USD Equivalent 190.331 38.785.600 38.975.931 USD
% of Allocation 1% 99% 100%
Portfolio Holdings Disclosures
Pricing
This section includesthe 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 w hich a price is not available are marked "NI A" and are omitted from the Total.
THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THE STATEM ENT DATE
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (FAY) 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.coml disclosures 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.
Page 6 of 16
Account Number
Rated taceilent OwingI MO. Paging M. a who* owned
SIMMONS L Every Vox Since 2007 subsidiary as Unto. New V. Mellon
CONFIDO. DAIL& ltAlE D C0MMUCATI0NS CAgnatim (MY Melon)
EXCELLENCE Pemag MC. nwIreef I lk,tem-" —U"-m° 0 7 74
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DEt-SDNY-0009596
EFTA_00157381
EFTA01289744

Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
February 1, 2019 - February 28, 2019
iiOUTH ERN FINA NCIA L LLC
Portfolio Hold ngs Disclosures (continued)
Option Disclosure
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.
Foreign Currency Transactions
Pershing will 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 rib, 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.
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.
Schedule of Realized Gains and Losses Current Period
Dale Date Ruined
Description Disposed Acquired Designation Disposition Method) TrmsectIon Quantity Noceeds Cot axis Oeinaoss
Short Term
EUROCURRENCY 02107119 02107/19 Noncovered' First In First Out! SELL 2,588,881 950 2,934.083 47 2,939,157 68 -5,074.21
Security Identifier: 83R999995 02/11/19 02107/19 Noncoveref Arst In Fitt Out! BUY 42.570 48.25 46.03 0.22
Total 2,588,839.380 2,934,131.72 2,939,205.71 4,073.99
CASNO.GUICHARD-FER 02107119 09112/18 Coveted First In First Out! Sal 2,500,000.000 2,874,437.69 2,907,743.60 43,305.91
ISMS FR001001480 4.407%0810 Original Cost Basis: 2,907,74390
6/111 REG OW 0810312
Security Identifier. Fit t3LCN4
HONGKONG DOLLAR CUR 02/14/19 06/01/18 Noncovered. First In Rot Out! Sal 113,600.000 14,478.71 14,175.39 3.32
Security Ideutifier:1110999999 02/14119 06105/18 Noncoverel First In First Out! SELL 69,642.250 8,876.15 8,872.53 3.62
Total 183,242.250 23,354.86 23,347.92 6.94
Page 7 of 16
Atom% Number.
Rated (Kant Owing through Anti% IIC.• Sally owned
Every Vex Since 2007 subsidiary of The Bonita New York Mow
CONFIDO. AL- DALIAN MI ED COMMUNCATIONS Corporal._ (MY Melon)
EX(ULEMI Penha LI.C.rmmber FIIIRAAMESM 00046773
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009597
EFTA_OD157382
EFTA01289745

Schedule of Realized Gains and Losses Current Period (continued)
Dale Dale Realized
Description Disponi! Acquired Designation Cisposition del had Transed ion Quality Proceeds Cod Basis Cellulose
Short Term (continued)
APANESE YEN CURRENC 02/11119 06119118 Noncovered' First In First Out I BUY 49.000 0.45 0.44 0.01
Security Identifier PY999993
DEUTSCHE BANK AG NTS 02/11119 06/01/18 Covered First In First Out I at 1100,000.000 818.474 00 917376.00 .39,302.00
625033 4296%05124)28 81E Adjustment-4,38113 Adjustment Type: R
DTD05/24/13CLB Original Cost Basis: 94,776.00
Security Identifier 216254113
DEUTSCHERK AG N Y B 02/11119 06/01/18 Covered First In First Out! sat 1.000.000.000 813.494 00 868256.00 -54.762.00
NiUS25626BN89 4.876%21013 Adjustment- 3,9691 Adjustment Type: R
2 EI/EDTD 12/0117 CLB Original Cost Basis: 868256.00
Security Identifier 21626BN8
Total Short Term 7,523,892.72 7,656,329.67 -132,436.95
Long Term
CENTER E CORP DEL COM 02/05119 09/08114 Covered First In First Out! SELL 15.550.000 1.979.776.99 989.679.75 990.097.24
Security Identifier 1513561131
GENERAL B.EC CO GTO 02111/19 12103115 Noncovered - First In First Out! SELL 2,469,000.000 1.691.259.00 2,175,016.17 483.757.17
G RT NON-CUM ULATIVEPERPETUAL Adjustment. 5.13.45 Adjustment Type R
PREFERRED 4.000% 2/03/65 REG Original Cost Basis: 2,175,05.4
Security Identifier: 369604BM4
SOUTHERN CALIF EDISO 02111/19 01130/12 Noncovered" First In First Out! SBA 3,000,000.000 2.804194.00 2,997,291.36 -192.297.36
SERE 6250%0117/62 8IE DID Original Cost Basis: 2,992,564.97
0117/12CL8
Security Identifier 842400FU2
Total Long Term 6,476,029.99 6,161,987.28 314,042.71
Total Short and Long Term 13,999,922.71 13,818,316 95 181,605.76
• Noncovered under the cost basis rules as defined below.
Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as
amended by the Emergency Economic Stabilization Act of 20 0 8, and are marked as "noncovered". Securities marked as "covered". were identified as securities potentially subject to the cost
basis reporting rules and may be reported to the IRS on form 1099-8 for the applicable tax year in which the securities are disposed.
Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However. if the account does not receive a 1099B, the cost basis
will not be reported to the IRS.
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 alter 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.
Page 8 of '6
Account Number:
Rated (mearnt Oaring (Them Pagans LIC, a wholly owned
t nittg))l e L (very Vex Since 2007 sbs:Mc/el The en.. New York Mellon
CONFIDO. DAIJAR Glen C0MNAMICATICMS CoMembm (SHY Mellon)
EX W.0 Penne. MC. immte filiRnAckli'll12g40_00046774
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009598
EFTA_00157383
EFTA01289746

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
February 1,2019 - February 28,2019
SOUTHERN FINANCIAL LLC
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 adjustmentswhich you need to make, but are not
required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be
responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims
any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting.
Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal payd owns 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 information.
R Reportable Income- This adjustment is the deferred market discount on a disposed tax lot from the Original Settle Date.
Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which
you have selected to use in the disposal of each tax lot of the securities held in your account If you do not select a method, your account will be defaulted to First In. First Out (FIFO). Your
account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may
be reported on the IRS Form 1099-B
Messages
Although a money market mutual fund seeks to preserve the value of your investment at $1p er 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 10 b-10 ( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
Activity Summary rfro sno,inare,n oase—rLn4)
dedits TN, Period Debits ThisPeilod Net IhisPerboe Credits Yew-to-Date Mils Year-to-Date Net Yew-to-Date
Securities
Securities Bought 0.00 -48.47 -48.47 0.00 .48 47 -48.47
Securities Sold 14106.029.24 0.00 14.106.029 24 14.106.029 24 0.00 14.106.029.24
Securities Withdrawn 0.00 -71,198,985.75 -71,198.985 75 000 -71.198,985 75 -71.198.985.75
Securities Deposited 27,246,630.00 0.00 27.246.630 00 27246.630 00 0.00 27,246,630.00
Total Securities 641,352,659.24 -$71,199,034.22 429,846,374 98 $41,352,659.24 371,199,034.22 -$29,846,374.98
Dividends and Interest $464.777.41 $0.00 5454,777.41 5665.094 45 $0.00 6666.094.46
Distributions 5147,367.92 $0.00 $147,367.92 $147.367.92 $0.00 $147,367.92
Page 9 of '6
Account Number
Rated Eacedlont Owing Sae. Pelbeg LLC, a wholly owned
Al t MtCON S L Every Vex Since 2007 subsernillies brief New York Mellon
CONFIDO DALIAR ell ED COMMLINICATMOS Corponthan (MY Melon)
EXCELLENCE Perhe. ux moznAcaaltaLGM_00046775
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009599
EFTA_00 I 57384
EFTA01289747

Activity Summary (continued)
Qedits This Period IMO Tbis Period Net Thts Wed treditsYsts-to-Dite Debits Yeat-to-Date Net Yen-to-Date
Fees $0.00 $2.00 42.00 $0.00 44.00 44.00
Other $0.00 $0.00 $0.00 $0.00 448.38 448.38
Cash
Midweek 0.00 -16,215,403.55 -16.215.403 55 0.00 -24,21503.55 -24.215,403.55
Deposals 4,322,569.40 0.00 4,322 569 40 4,322,589.40 0.00 4,322,569.40
Total Cash $4,322,669.40 416,215,403.56 411.892,834 15 $4,322,589.40 424,216,403.66 419,892,834.16
Totals $46,277,373.97 487,414,439.77 441.137.055 80 $46,487,691.01 495,414,490.16 448,926,709.14
Transactions by Type of Activity
Protest Trade!
Sell lenient Transection
Dale Delo Activity Type Description Quantity Ma Moved lateral Amount twenty
Securities Bought and Sold
02/07/19 02105119 SOLD CSITBIE CORP DEL =WITH DUE BILLS UNSOLICITED -15,550.000 127.3588 1,979,776.99 USD
CNC ORDER AVERAGE UNIT PIKE TRANSACTION YOUR BROKER
ACTED AS AGENT
02/11/19 02/07119 SOLD EURO 4.588,924 520 1.1333 2,934,131.72 USD
02/11119 02107/19 SOLD CASINO. GUICHARD• PERRACHON SA ISINS FR001B0880 -2,500,000.000 101.2750 57,049.52 2,588,924.52 EUR
Ft %CIA 4.407% 0810619 REG08308/On VARIABLE RATE AS OF 64.768.32 2,939,206.01 USD
02/07/209
02113/19 02111/19 PURCHASED EURO 42.570 1.1283 .48.03 USD
02/13/19 02111119 PURCHASED ,APANESE YEN 49.000 110.3495 •0.44 USD
02113119 02111/19 SOLD DEUTSCHE BANK AG NTS ISMS US25825AM 334296% -1.004000.000 87.8480 9.427.33 887,901.33 USD
D8400955 05/24128 WE DTD 05/24/0 CU YID 6.023TO MAT
02113119 02111/19 SOLD DEUTSCHE 8K AG N Y BAH VAR MINI U5251268889 4,975% -1,000,000.000 81.3500 9,750 00 823,244 00 USD
DB457574 180132 EUE DTI/ 1210,17CLB YLD 7.004 TO MAT
02/13119 02111119 SOLD GENERAL B.EC CO GTD FXD-TO•FLTO RT NONCUMULATIVE -2,489,000.000 68.5000 15,911.33 1,707,170.33 USD
439670 PERPETUAL PREFERRED 4.000% 12/03165 REG DID 12/0315
CIO VARIABLE RATE
02113/19 02111119 SOLD SOUTHERN CALIF EDISON CO PREF SER E6250% 012/82 WE 4,000,000.000 93.5000 6,250.00 2,811,244.00 USD
BXAA DID 012112 CLB VARIABLE RATE
02/19119 02114/19 SOLD HONG KONG DOLLAR ,183,242.250 7.8460 23,354.86 USD
Total Securities Bought and Sold
EURO 57,049.52 2,588,924.52 EUR
TOTAL USD EQUIVALENT 64,768.32 2,939,206.01 USD
U.S DOLLARS 41,338.66 11,166,774.76 USD
Page 10 of 16
Atom( Number.
Rated (Kant Owing tiwonsh P.n IIC.• wholly owned
2: t:)i! )::6 Evert Vex Since 2007 subsidiary or The brat W New York Mellon
CONFIDO. E DA xc W a N te M ta I ED COMMUNCATIONS Cennatim (OW Melltoitnt) alter-/M_00048776
Pen w, LIX. mutter
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009600
EFTA_00157385
EFTA01289748

Deutsche Bank
R 0. Box 1776, Baltimore, MD 21203
February 1,2019 - February 28,2019
SOUTHERN FINA NCIA L LLC
Transactions by Type of Activity (continued)
Proms Trade/
SNllemenl Deneadion
DIM Dele Actively Type Desaiplion Ovenlity Mee Accrued lateral Amount Cumency
Securities W it hdr awals and Deposits
02107119 CUSTOMER AUTHORIZED ALPHABET INC CAP STK Cl. C TRANS FRM N10.021913 3,000.000 3,296,130.00 USD
TRANSFER
GOOG
02107119 CUSTOMER AUTHORIZED CARVANA CO CL A TRANSFRM N46.024943 25.000.000 825.500.00 USD
TRANSFER
CYNA
02107119 CUSTOMER AUTHORIZED CITIGROUP INC DEP SHS REPSTG 11300 TH PFD SER K DIV 79,000.000 2.101.400.00 USD
TRANSFER 6.875% PERPETUAL LI ATY PERPETUAL CALL IV512302510
C PRX TRANS FRY N46-024943
02107119 CUSTOMER AUTHORIZED SW ORGAN CHASE 8 CO DEP SHS REPSTG 113N PFD SER 1 2,160,000 000 2,170,800.00 USD
TRANSFER FIXED TO RTC RT BD 5.900% 04123/58 B/E DTD 04123/08 CIO
46625HHA1 TRANS FRIA N4G 024943
02107119 CUSTOMER AUTHORIZED UNITED TECHNOLOGIES CORP COM TRANSFRM H40-024943 15.000.000 1,810,800.00 USD
TRANSFER
UTX
02111119 YOUR ASSET TRANSFERRED AUBABA GROUP HLDG LTD SPONSORED ADR -5,000 000 -837.250.00 USD
BABA USO 109W 127 DEB TO AM FRITRADE CLEARING. INC. A/C
867730320
02111119 YOUR ASSET TRANSFERRED ALPHABET INC CAP STK CL C 018 TO AM ERITRAD E CLEARING, -3,000.000 .3.285,030.00 USD
GOOG INC. A/C 867730320
02111/19 YOUR ASSET TRANSFERRED AMAZON COM INC 018 TD AM OMTRADE CLEARING, INC. NC .1,000.000 .1,591,000.00 USD
AM ZN 867730320
02111/19 YOUR ASSET TRANSFERRED BIOGEN IDEC INC CON 0138 TD AM FRITRADE CLEARING. INC. -2.095.000 -663.812 65 USD
BUB AMC 867730320
02111119 YOUR ASSET TRANSKieitD CARVANA CO CL A 0138 TO AM ERITRADE CLEARING. INC. A/C -25.000.000 499,500.00 USD
CYNA 867736320
02111119 YOUR ASSET TRANSFERRED KAI0OPHARM TH EMPEUTICSI N C COM 0138 TO AM ERIMADE .25,000.000 ,215,500.00 USD
KPTI CLEARING. INC. A/C 867730320
02111119 YOUR ASSET TRANSi- UNITED TECHNOLOGIES CORP COM 018 TO AM ER1TRADE -15.000.000 4.810.800.00 USO
UTX CLEARING. INC. NC 867730320
02115119 CUSTOMER AUTHORIZED APPLE INCCOM TRANSFRM N46.02611 100.000.000 17,042,000.00 USD
TRANSFER
AAPL
Page " of 13
Account Number:
bled tamient Clewing tbramb Prom. MC, a ebony armed
Bttnittg3)t. L- Every Yew Shea 2007 sub~ of Me bake. New York ~on
CONFID DAMMt RME D COMMUMCATIM* Cemontim MMY Melon) n ,
EXCIUMICt Penhas MC. nWirte. filiR,V;IWIYUPIVI 00046777
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009601
EFTA_00 I 57386
EFTA01289749

Transactions by Type of Activity (continued)
Process, Had&
Sell kneel Hapsection
Dale Dale AdivAy Type Description Quantity Price Arrived lateral Amount Currenq
Securities Withdrawals and Deposits (continued)
02128119 YOUR ASSET TRANSFERRED .135 INYTS GM BH GTD SR NT REG SISINt USA29866A653 .2.000.000.000 4.066.020.00 USD
A29856ABS 7.250% 04/03/21 WE DTD 01103/14 CL8 018 TD AY ERITRADE
CLEARING. INC. NC 867730320
02128/19 YOUR ASSET TRANSFERRED APOLLO GLOBAL MGM T LLC CL A SHS 0 118 TD AM ERITRADE -263.157.000 -7,710.500.10 USD
APO CLEARING. I NC. NC 867730320
02128/19 YOUR ASSET TRANSFERRED APPLE INCCOM 018 TD AMDTITRADE CLEARING, IN C. NC -180,000.000 -31.167,000.00 USD
AAPL 867730320
02128/19 YOUR ASSET TRANSFERRED ASSURANT INC FXD TO FLTG SUB NT 7.000% 03/271488/E DTD 4,000,000.000 .1,960,000.00 USD
0 462TAAK4 03/27/1C LB 018 TD AM ERITRADE CLEAR NG. INC. NC
867730320
02128119 YOUR ASSET TRANSFERRED CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5 950% 4,000,000.000 -3.037,500.00 USD
9296725 0 8/ V88 B/E DTD 081215 C1B 0138 TD AM ERITRADE
CLEARING. I NC. NC 867730320
02128119 YOUR ASSET TRANSFERRED CITIGROUP INC DEP SHS REPSTG 1800TH PFD SER K DIV -79.000.000 -2.137.710.00 USD
C PR% 6.875% PERPETUAL MATT PERPETUAL CALL 11112302510
0 118 TO AM ERITRADE CLEARING. INC. NC 867730320
02/28/19 YOUR ASSET TRANSFERRED CITIZENS COM MUNICATKINS CO SR NT FULLY EXCHANGED ,000,000.000 -998,750.00 USD
174538AWI FROM 945381X9 7 25% 0311/1 WE DID 03/23/07 018 TO
AM ERITRADE CLEARING, INC. A/C 867730320
02/28/19 YOUR ASSET TRANSFERRED EXELA INTER LLC l MLA FIN INC GTD FIRST PRIORITY SR SECD .3.000.000.000 4.060.000.00 USD
30162RAA9 NT 144A 0.000% 07/15/23 WE DTD 0712/17 CLB 018 TB
AM ERITRADE CLEARING, INC. NC 867730320
02/28/19 YOUR ASSET TRANS- GM AC CAP TR I GTO TR PFD SECS SER 2 CPN- 8.25% FREO -80.000.000 -2.079,200.00 USD
ALLY PRA DRILY MATT-02/1/2040 CALL AN YTIM EQ25 W/30 DAYS
BEGINS 02/15/10 18 TO AM ERITRADE CLEARING. INC. NC
867730320
02128/19 YOUR ASSET TRANSFERRED "MORGAN CHASE 8 CO DEP SHS REPSTG 19TH PFD SER 1 4,760,000.000 4,787,360.00 USD
46625HHA1 FIXED TO FLTG RT 80 5.990% 04/23/58 BtE DTD 04/23/08 CLB
088 TO AM ERITRADE CLEARING. INC. NC 867730320
02128119 YOUR ASSET TRANSFERRED LLOYDS BANKING GROUP PLC FXD RATE RESET ADD L TIER I -1.903,000.000 -1.961,993.00 USD
539439A64 SECS ISOM US539439AG4 2 7 500% 04/27/88 WE DTD 0 4/0 7I14
CLB 018 TO AM ERITRADE CLEARING. I NC. NC 861730320
Total Securities Withdrawals and Deposits - U.S. DOLLARS 0.00 43,952,355.75
Dividends and Interest
02105(19 BOND INTEREST RECEIVED 3000000 SOUTHERN CALIF EDISON CO PREF SERE 6250% 93,750.00 USD
842400F02 0117/62 B/E DID 011712 CLB RD 0131PD 02/015
021109 CASH DIVIDEND RECEIVED 304000 MRS APPLE INC COM RD 02/11PD 02111/19 221,920.00 USD
AAPL
Page '2 of '6
Amount Number
Med Excellent Clearing dimes Pining LIC, a wholly owned
AI t nitttAt L Every Vex Since 2007 subsidiary*. Ilwa Sank of New VO4 Melon
CONFIDO DAUM WED COMMSCATICOS esponthal (SW Mellon)
EXCELLENCE Pemba* MC. mtrytt. F iliRnAIMYLEP10-000467 78
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009602
EFTA_00 157387
EFTA01289750

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
February 1, 2019 - February 28, 2019
)0UTH ERN FINA N CIA L LLC
Transactions by Type of Activity (continued)
Roca' Tram
Settlement Transaction
Deg Me Activity Type Description Quantity Price Raved interest Amount Currency
Dividends and Interest (continued)
02115119 CASH DIVIDEND RECEIVED CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5 950% DOO DOO .000 89,250.00 USD
172957.26 08/6188 B/E DID 08112/1CL6 RD 0201 PO 02/15/9
02119119 MONEY MARKET FUND CASH AC TR EMS GOVT 8 AGENCY INSTI. INCOM E REDEEMED 6,893.84 USD
INCOME RECEIVED
PER232045
02119119 BOND INTEREST RECEIVED 80000 SHRSGM AC CAP TR I GTO TR PFD SECS SER 2 CPR. 42,939.12 USD
ALLY PRA 8.125% FRED ORTLY M ATY-0 2/ 6/20 4 0 CALL ANYTIME 025
111130 DAYSBEGINS02MS RD 02f14 PD 021619
inner,
9 MONEY MARKET FUND CASH AC TR DWSGOVT 24.45 USD
INCOME RECEIVED
PER232045
Total Dividends and Interest - U.S. DOLLARS 0.00 454,777.41
Distributions
02128/19 PARTNERSHIP DISTRIBUTION 26367 SHRS APOLLO GLOBAL M GM T LLCCL A SHS RD 02/21PD 117,367.92 USD
APO 02/28/13
Total Distributions - U.S. DOLLARS 0.00 147,367.92
Fees
02/01119 FOREIGN CUSTODY FEE Fon Safekeeping AN 209 CUSP F613L-CII-4 -2.00 USD
US0995197
Total Fees - U.S. DOLLARS 0.00 -2.00
Cash Withdrawals and Deposits
02107/19 CUSTOMER AUTHORIZED TRANS FRU N4G•024943 4.080.228.72 USD
TRANSFER
US0999997
02111/19 YOURASSET TRANSFERRM ACAT BALANCE 098 TD AM ERITRADE CLEARING. INC. NC 3,534,144.52 USD
US0999997 861730320
02113119 FEDERAL FUNDSRECEIVED DEUTSCHE BANK TRUST 04851 96,235.04 USD
USD999991
02/15/19 CUSTOMER AUTHORIZED TRANS FRY N46-02661 13,100.14 USD
TRANSFER
US0999997
Page '3 of '6
Account Number
Rated Excellent Clearing Sae, Amboy LLC, a wholly owned
L Every Vex Site 2007 sublichme et The Rent of New York Mellon
CONFIDO. DAUM WED COMMUMCATIM Comentke (WIT Mellon)
Cita/ANC( Penns[ rren-ter EniRnAckiiltar-IM_000467
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009603
EFTA_DO I 57388
EFTA01289751

Transactions by Type of Activity (continued)
Process Trade
Settlernerl Transadmn
Date Date Adroit). Type Desorption Quantity Price Admed tittered Amount Omar"
Cash Withdrawals and Deposits (continued)
02119/19 COSTNERAUTHORIZED TRANS FRU N48428131 73,005 50 USD
TRANSFER
VS0999991
02119119 FEDERAL FUNDS SENT DEUTSCHE SANK TRUST -12,808,253.53 USD
USD999997
02119/19 FEDERAL FUNDS66NT DEUTSCHE SANK TRUST -73,005.50 USD
U50999997
Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 -11,892,834.15
Total Atoned Interest Total Amount
Titieittions%mntery Totil Ammon Murat Total Amount Oniony USDEquivolent USD Equivskil
EURO 57449.52 2,588,924.52 EUR 64,768.32 2,939,208.01
U.S. DOLLARS 4143888 44,078,271 81 USD 41,338.88 44,078,271.81
The price and quantity displayed may have been rounded.
Client Service Information
Your investment Swan:ZEN Doman termination
MARTIN ZBA AN Telephone Number:
345 PARK AVENUE
NEW YORK NY 13154
Your Account Informati n
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for Mutual Funds: First In First Out
Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out
Default Method for all Other Securities: First In First Out
BOND AMORTIZATION ELECTIONS
Amortize premium on taxable bonds based on Constant Yield M ethod: Yes
Accrual market discount method for all other bond types: Constant Yield Method
Include market discount in income annually: No
Page 14 of 16
Atom( Number
Rated (Kant C1n Swish Penton. U.C. • Sally owed
Every Yaw Since 2007 subsidiary as Osaka New York Mete
CONFID AL- DAUM WED COMMUNCATIONS Carpontim (SW Mao)
EXCULDCI Penh...* IL C. rrrrte FiliFLAAWYDPA_00046780
CONFIDENTIAL — PURSUANT TO FED. R CRI M. P. 6(e) DB-SDNY-0009604
EFTA_00157389
EFTA01289752

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
February 1, 2019 - February 28, 2019
SOUTH ERN FINA NCIA L LLC
Your Account Information (continued)
ELECTRONIC DELIVERY
Your electronic delivery selections for account communications are listed below:
Electronic Delivery
Enrollment Communication
Statements and Reports
O Trade Confirmations
O Tax Documents
O Notifications
O Prospectus
• ProryiStarehoWerCommeniNtions
You have not enrolled any of the above documents for electronic delivery. Please log in to your account to make any changes to your preferences.
Important Information and Disclosures
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without
inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or
liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the
suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under
common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your
financial institution or that it receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your
account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the
acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where 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 . All other inquiries regarding
your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your 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 (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC
protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit:www.pershing.com/ about/strength-and-stability.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after
receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your
rights. including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department,
Page 15 of 16
,:c„„cm,
Accout Number.
Rated Eicallent Clewing thconsh PenbangI IC.• wholly owned
Every Vest Since 2007 subsklin a The Bonita New York Mellon
CONFID AL— OMAR RAC ED COMMUNICATIONS CorPonthm (MY Melba)
Vail INC t Penhat 4C. newts. iliFLAUSELCat00046781
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009605
EFTA_00157390
EFTA01289753

Important Information and Disclosures (continued)
The Role of Pershing (continued)
One Pershing Plaza, Jersey City, New Jersey 07399; Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which
a claim is filed.
• Arbitration awards are generally final and binding: a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents. witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the
panel at least 20 days prior to the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitratorswho 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 w ith respect to any claims encompassed by the putative class action until; (I) the class certification is denied. (II) the class is decertified. or
(III) the client is excluded from the class by the court Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to
the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows. Pershing U_C, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399;
Page '5 of '6
Account Number:
bled CaMent Clam iThel habeg LIC, a .lolly armed
8[E111ttrAtti L Every Yea Since 2007 vafdlcya The ear of New Yo4 Melba
CONFIDO. PALMM I ID COMMUNICATIONS Caponthm (MY Man)
EXCISLENC( Penne. LIX.rner-ter EilivACeily,em_00046782
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009606
EFTA_0015739 I
EFTA01289754

Deutsche Bank DeuttChe ROM POIsain *teeth MinMemet4
Mann. (*.watt 6mo ;
°retch, Omit Semerbes hc
P.O. Box 1776, Baltimore, MD 21203 POw Yen Me
34$ NA 4.4w. )401bOr
Now la
Tog ;nit
a',"'
March 1,2019 - M arch 31 OS
Account Number:
SOUTHERN FINANCIAL LLC
6/30 RED HOOK OUA RTER B3
ST THOM ASVIO 0 402
Portfolio at a Glance
This Period Year4o-Dele
Your Investment Specialist. BEGINNINGACCOUNT VALUE 338,975,931.49 894,404,553.11
MARTIN ZEMAN Nel Cash Deposits and Withdrawats -199,415.39 .20,083,249.54
Nel Securities InfOuI of Account 40,073,800.00 .84,025,955.75
Adjusted Previous Account Value -1,288,063.90 -9,704,652.18
Dividends. Interest and Other Income 83.90 812,548.27
Other Transactions 0.00 42.38
Net Change in Portfolio' 1.288.000.00 8.892.158.29
END INGACCOUNT VALIT S0.00 so og
Estimated Annual Income $11.956 83
'Nef Change in Portfolio is the difference between the ending account value and
beginning account value after activity.
Asset Summary
Percent Mat Type Prlor Tuand Last Period DasPeriod
0% Cash, Money Funds, and Bank Deposits 8,127,337.23 190.331.49 0.00
0% Equities 81,283,745.18 38285:600.00 0.00
0% Fixed Income 24,903,470.70 0.00 0.00
0% Account Total $94,404,553.11 $38,975,931.49 $0.00
Please review your allocation periodically with your Investment Specialist.
Page 1 of 9
Rated tacaNnt Owing SwishP aging PIC a Sally owned
Every Vox Since 2007 subsidiary The Bonita New York Mellon
ono nN F I D I A L-- DAIJAR RAT ED COMMUNICATIONS CorPontim (MY Mellon)
EXCULENCC Penmag LIX. inerrta 5-4101-01—uuln 0 7 04
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009607
EFTA_00 I 57392
EFTA01289755

Summary of Gains and Losses
Realized
ThisPeriod Yer4o•Dale Uweaits4
Short-Term Gain! Loss 0.00 -132,436.95 0.00
Long-Term Gain! Loss 0.00 314,042.71 0.90
Net Gain! Loss 0.00 181,605.76 0.00
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 on your Forms 1399 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.
Exchange Rate Table
Oairong
angry USD Equivalent per VW
EURO 1.1227 08907
HONGKONG DOLLAR 0.1273 7 8497
Exchange rates are based on interbank exchange rates as of 03/ 29/ 2019. Exchange
rates can vary.
Money Market Fund Detail
Dote Activity Type Desalptlon Amount Blom
Sweep Money Market Fund
CASH AC TR DWSGOVT & AG INSTL
Current Yield: 2.37% Activity Ending: 03! 07/ 19
03101119 Opening Balance 42,983.57 42,983.57
03/01/19 Deposit MONEY FUND PURCHASE 147,387.92 190,331.49
03/08119 Withdrawal MONEY FUND REDEMPTION -190,331.49 0.00
03108/19 Withdrawal SHARES REDEEM ED 13.90 -83.90
03108/19 Deposit ACCRUED DIVIDEND CREDIT 83.90 0.00
03/07/19 Closing Balance $0.00
Total All Money Market Funds $0.00
Page 2 of 9
Atom% Number.
Rated taceNnt OwingI nc. Pining LLC. • Say mend
Ern Vox Since 2007 subsidiary ti Thellordtel New York Melon
CONFIDO. DAIJAR WED COMMUNICATICt* CoWatim (MY Melba)
EXC0AD.Ct Penmet LIX. nimbi(F111nA1tY'JCSI2PM00046784
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009608
EFTA_00157393
EFTA01289756

Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
M arch 1, 2019 - M arch 31, 2019
SOUTH ERN FINA N CIA L LLC
Income and Exoense Summa y
Current Period Year-to-age
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 0.00 0.00 222,170.00 0.00
Money Market 83.90 0.00 11,956.83 0.00
Other Dividends 0.00 0.00 144,36240 0.00
Interest Income
Bond Interest 0.00 0.00 243,750.00 0.00
Other Interest 0.00 0.00 42,939.12 0.00
Total Dividends, Interest, Income and Expenses $83.90 $0.00 $665,178.35 $0.00
Distributions
Alternative Investments 0.00 0.00 0.00 147,36792
Other Distributions 0.00 0.00 48.38 0.00
Total Distributions $0.00 $0.00 448.38 1147,367.92
Portfolio Holdings
Opening Ming Acatted Income 30•Day
Desolation Ovally Balance Behest Wane This Year Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS 0.00% of Portfolio
Margin Balance 147,367.92 0.00
Money Market
CASH AC TR lAVSGOVT 8 AG INSIL 42,963.57 0.00 0.00 11,956.83 2.32%
Total Money Market $42,963.57 $0.00 $0.00 $11,956.83
TOTAL CASH, MONEY FUNDS. AND BANK DEPOSITS $190,337.49 $0.00 $0.00 $11,956.83
Awued Estimated
Merkel Value IMaat Annul Income
Total Portfolio Holdings $0.00 $0.00 $11,956.83
Page 3 of 9
Account Number:
Medea-64W Owing tlwoninenling PIC emboli/owned
a:wan:on Every War Shwa 2007 subsidiary or The Sank of New York Melba
CONFIDO. AL- DALSAR WED COMMUNCATIONS Cal:wake (SW Meson)
MULE/4U Penne. LK. ritterter fI liatiAteaGM_ 00046785
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009609
EFTA_00157394
EFTA01289757

Portfolio Holdings 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 w hich a price is not available are marked "N/ A" and are omitted from the Total.
THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THE STATEM ENT DATE
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or
guarantee of future results. These figures are computed using information from providers believed to be reliable; however. no assurance can be made as to the accuracy. Since interest
and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions. they should not be relied on for making
investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal
may be included in the figures for certain securities, thereby overstating them. Refer to www Pershing corn/ disclosures 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, Sank 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.
Foreign Currency Transactions
Pershing will 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 w ill 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.
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.
Messages
Although a money market mutual fund seeks to preserve the value of your investment at S1per 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 10 b-10( is) (t) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
Page 4 of 9
Account Number:
Rated taceilent Owing Sae. Pathan LIC, a wbolly owned
AI:6917O3,1:33 L Every Yew Sac 2007 subsidiary 011ie Sank of New York Mellon
CONFIDO. DAIL& WED COMMLINICATICOS Cannatim (SHY Mellon) a... a a at
EXC0AD4C C Penne. KC iliRnAletql -410-101_,J004070°
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009610
EFTA_00 I 57395
EFTA01289758

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
M arch 1,2019 - M arch 31,2019
SOUTHERN FINANCIAL LLC
Activity Summary (AD amounts snown vein oase currency)
Credits Tits Period Debits This Period Net IbisPetiod Credits Yam-to-Date DebitsYear-to-Date Net Year-to-Date
Securities
Securities Bought 0.00 0.00 0.00 0.00 48.47 -48.47
Securities Sold 0.00 0.00 0.00 14,106.029.24 0.00 14,106.029.24
Securities Withdrawn 0.00 40.073.600.00 -40.073.600.00 0.00 -111.272,585.75 -111.272.58515
Securities Deposits 0.00 0.00 000 27.246.630 00 0.00 27,246.630.00
Total Securities $0.00 440.073.600.00 440.073,600.00 $41.352.659.24 4111272.634.22 469,919,974.98
Dividends and Interest $83.90 $0.00 $83.90 $665.178.35 $0.00 $665,178.35
Distributions $0.00 $0.00 $0.00 $117.367.92 $0.00 $147,367.92
Fees $0.00 $0.00 $0.00 $0.00 44.00 44.00
Other $0.00 $0.00 $0.00 $0.00 448.38 448.38
Cash
Withdrawals 0.00 -190,415.39 -190,415.39 0.00 -24405.818.94 -24.405,818.94
Deposits 0.00 9.00 0.00 4,322,569 40 0.00 4,322.569.40
Total Cash $0.00 4190,415.39 4190,415.39 $4,322,569.40 424,405,818.94 420e83.249 54
Totals $83.90 410,264,015.39 440.263.931.49 $46.487.774.91 4135.678.50554 489.190.730.63
Transactions by Type of Activity
Procne Nadel
Settlement Transaction
Date Dote Activity Type Description Quantity Price Accrued Intere9 Amount Currency
Securities Withdrawals and Deposits
03111/19 03118119 SECURITYDELIVERED APPLE INCCOM 0534 INTERACTIVE BROKERS LLORETAIL NC -224.000.000 40,073,600.00 USD
AAPL U2268698
Total Securities Withdrawals and Deposits - U.S. DOLLARS 0.00 -40,073.600.00
Dividends and Interest
03/08/19 MONEY MARKET FUND CASH AC TR OWSGOVT 8 AGENCY INSTL INCOME REDEEM ED 83.90 USD
INCOME RECEIVE)
PER232045
Total Dividends and Interest - U.S. DOLLARS 0.00 83.90
Page 5 of 9
Acoount Number:
Rated hernent Omit. SmithP atens LIC, a wholly owned
At: L Every Veer Since 2007 subekhady or tae WS of New York Mellon
CONFID DAIL& WED C0MMUMCATICMS Ceeponban (MY Mellon)
EXC0AD4CC Penne. µCinema,. f ineta:411YGM_00046787
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009611
EFTA_00 157396
EFTA01289759

Transactions by Type of Activity (continued)
Process Trade
Sett'user' Transadron
Date Date Activity Type Description Quantity Price *caved Maid Amount Coning
Cash Withdrawals and Deposits
03/08119 FEDERAL FUNDS 011 DEUTSCHE BANK TRUST 490,415.39 USD
US0999991
Total Cash Withdrawals and Deposits -U.S. DOLLARS 0.00 -190,415.39
Total Value of Transactions 0.00 40,263,931.49 USD
The price and quantity displayed may have been rounded,
Client Service Information
Your inwornantSpedakt.Zal Canted laroemation
MARTIN ZEMAN Telephone Number:
345 PARK AVENUE
NEW YORK NY 13154
Your Account Information
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for M utual Funds: First In First Out
Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out
Default Method for 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
Your electronic delivery selections for account communications are listed below:
Electronic Delivery
Enrollment Communication
• Statements and Reports
CO Trade Confirmations
O Tax Docaments
• Notations
CO
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Page 6 of 9
Accost( Number
heed Cacellent Owing tinge,. ',mks'.P IC. • wildly owned
Every Yew Shwa 2007 subsidiary a The brat ar New York Mellon
CONFIDO. AL- PAW RAII D C0MMUNCATI0NS Ccnaatim (MY Melon)
CO:WM( Penhas MC. 'sent. F ilatatAtitgPM_00046 788
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009612
EFTA_00157397
EFTA01289760

Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
M arch 1,2019 - M arch 31,2019
SOUTHERN FINANCIAL LLC
Standing Instruct' ns
We are providing the below information on your behalf to allow you to confirm the Standing Instructions on this account. Our records indicate that you previously provided these
Standing Instructions to your Investment Specialist as part of the account opening process or subsequent to opening your account. A standing instruction is an instruction an account
holder gives to their Investment Specialist to permit the withdrawal or transmittal of funds or other assets from the account holder's account at regular intervals, or as needed. The
items included below are both Instructions that appear to be third party asset movements, as well as first and third party journal Instructions for accounts that are custodied with
Pershing.
We may remove any standing instructions that have not been used in the past 36 months (except for Automated Clearing House (ACH) which does not expire). You have the ability to
re-establish those instructions through your Investment Specialist.
Please review all the below information carefully. If you have any questions or if any information is inaccurate, please contact your Investment Specialist.
Ttaesadloo Type Redplent Rune Bank Name Receiving Account Nubby Sled Dale Reenact Amount Went,
NON-USO WIRES DEUTSCHE BANK AG, LONDON DEUTSCHE BANK POLSKA SA. ""3035
DEUTG821
FED FUND WIRES DEUTSCHE BANK AG LONDON DEUTSCHE BANK TRUST CO. AMERIC ""-739
Important Information and Disclosures
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without
inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or
liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the
suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under
common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your
financial Institution or that it receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your
account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the
acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where 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 . All other inquiries regarding
your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your 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 (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC
protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.com/ about/ strength-and-stability.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after
receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your
rights, including your rights under the Securities Investor Protection Act.
Page 7 of 9
Account Number
Rated Clairol Owing Sough holingP IC a Sally owned
A: :,ittSc):32. Every Year Shwa 2007 subsidiary albs Bonita New York Melon
CONFIDO. AL- DALIMRAIIDC0MMLINICATI0NS Cannatim (MY Mellon)
EXCLUDICt Pentree u.0 arta fit iR AVAtiliegt 00 046789
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009613
EFTA_00157398
EFTA01289761

Important Information and Disclosures (continued)
The Role of Pershing (continued)
• Your financial organization's contact information can be found on the fir t page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department.
One Pershing Plaza, Jersey City, New Jersey 07399; . Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which
a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the
panel at least 20 days prior to the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time lim its for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto. shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class
action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative
class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or
(III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to
the extant stated herein. The laws of the Rate of New York govern.
Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399;
Page 8 of 9
Account Number
Rated (414rnt Owing tfl# PagingI SC.• Sally owned
A: :,it'MO213 Every Vex Since 2007 subsidiary as Bonk of New York Mellon
CONFIDO. AL- DALBAR RAT ED CONVOCATIONS Cannatim (MY Meta)
EXCIAL INC( RentwwLI.C. 'newt*, Filitagtia00046790
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009614
EFTA_00157399
EFTA01289762

TERMS AND CONDITIONS
TRANSACTIONS WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABILITIES
TO PERSHING, BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW.
• ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT
TO THE CONSTITUTION, RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER SPECIALIST. ODD LOT DEALER,
THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, IF ANY, WHERE THE TRANSACTIONS ARE BLOCK POSffI ONER ARBITRAGEUR OR INVESTOR. CONSEQUENTLY, AT THE TIME OF ANY TRANSACTION
EXECUTED AND/OR SETTLED. OR IF APPLICABLE OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE
AND TO ALL APPLICABLE LAWS AND REGULATIONS. PARTIALLY OR COMPLETELY HEDGED.
• TITLE TO SECURITIES SOW TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WITH • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL
PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS AVAILABLE UPON
WHICHEVER IS LATER. REQUEST.
• YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S
STATEMENT. IF SO, THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS WWW.PERSHING.COM.
IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: YVVAVBERSHING.COM/DISCLOWRES
• THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS
PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF
RECORD, ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS - RULE
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE 607 (A) (1) - (2))
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM PERSHING SENDS EQUITY AND OPTION ORDERS TO EXCHANGES. OR BROKER-DEALERS AS MARKET
TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS MAKERS OR AUTOMATED TRADING SYSTEMS (ATSS). CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO
DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE
INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE
MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT Of UPON WRITTEN REQUEST. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER CASH PAYMENT. IN ADDITION, PERSHING ROUTES CERTAIN EQUITY TO ITS AFFILIATE. BNY MELLON
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL.
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
INSPECTION UPON REQUEST. FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER.THECOUNTER
TAX INFORMATION AND EXCHANGE.LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS, TRANSMITTED
ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL
• AFTER YEAR END, PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE BEST BID OR OFFER I NB80) IN CERTAIN SECURITIES THAT ARE NOT ELECTRONICALLY QUOTED. PERSHING
SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL PROVIDE THAT DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS
INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH
PREPARE YOUR TAX FILINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO QUALITY OF THEIR EXECUTIONS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT
ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. PRICES SUPERIOIR TO THE N880. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF
• DIVIDENDS, INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS EXECUTION PURPOSES.
TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE.
THIS CLASSIFICATION 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 GfVEN. 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 I'PERSHING') FOR ANY AMOUNT, ALL SECURITIES
HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
LIABILITIES TO PERSHING, AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER,
DEMAND OR NOTICE TO YOU, CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR
PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS; ANY
BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT, ALL SECURITIES CARRIED FOR YOUR
ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU, LOANED OR PLEDGED BY PERSHING,
EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF.
If ANY Of 114 A•04 TERMS MD CONOMONS ARE UNACCEPTASEE TO TOO. PLEASE NOTIFY PEI4/410 RAMEOIMELY NWRRNOSY CERTIFIED MAA. TO CASE PERSHING PLAZA JERSEY Mt NJ 07399, ATM: LEGAL DUI
Page 9 of 9
Account Number: Rated helot Owing Sae.h abeg LLC, a wbolly owned
ItIMittnIff L Every Vox Since 2007 subsdiarft of The Sank of New York Mellon
CONFID DALY.), RAlED COIMALNICATICt* Camonthal (MY Mellon)
EXCELLENCE Panting LLC. metre. filiRAAPAIKeLGM_00046791
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009615
EFTA_00I57400
EFTA01289763