EFTA01289764.pdf

Deutsche Asset
& Wealth Management
Ogy W,Yn 14.14.1.,tat
Pdinets Cop,p
Des-barn la* Sewnes
cwt.
P.O. Box 1778, Bahimore. MD 21203 Na Pan Atom*. lkh I ber
Newlin* rtY 1011.4
01/1454.71114. (MI 78•471IS
Account Number: WIG-023812
Statement Period: 1210112014 -12/31(2014
Valuation at a Glance This Period Year-to-Date
SOUTHERN TRUST COMPANY INC Beginning Account Value 0,517,059.11 36,157,677.92
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 911.801.66
ST THOMAS VI 00802 Adjusted Previous Account Value 7,517,00.11 7,369,365.58
Dividends. Interest and Other Income 107,529 86 393,870.82
Net Other Activity 0 00 -3800
Net Chan e in Portfolio -205.321 75 -313.953 18
nding Account Value 57.449 267.22 57,449 267 22
Your Client Advisor: Estimated Annual Morn e 5435.800 88
DANIEL SABBA
Asset Allocation Prior Year-Fad Last Period Ibis Period % Allocation
LSO Cash. Money Funds. and Bank Deposits 1,695,727 91 1,195,973.26 1,196,003.71 16.06% Please review your allocation
Non-LSD Cash, Money Funds, and Bank Deposits 0.00 59,750.93 166,68828 2.21% [ I
Nan-LSD Axed Income 1.650.000 00 1,776,551.92 1.551.11520 61.13%
LSD Equities 1.530,150.00 1,512,780.00 1,532,160 00 20.57% l
LSO Fixed Income 1.581./00.03 0.00 0.00 0.00%
Account Total (Pie Chart) $6,157,577.92 67,617,059.11 67,119,267.22 100.00%
See the Asset AI nation Disclosure and Footnotes secton for important intonation regaudmg you Asset Moreton.
Page 1013
5010 OS 36CSF3002 R (v a e te ry d V Ex s c . e . l S le i n n t c , e 2'007 sotatrisint.' sc=t uec -""=:
DAUM. RATED COMMUNCATIONS
CONFIErrPfa As L exam rmer
SDNY_GM_00046792
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) O13-SDNY-0009616
EFTA_00 I 57401
EFTA01289764

Asset Allocation Disclosure and Footnotes
AP values are displayed m U.S. dollars based on interbank exchange rates as of 12/31r2014 Exchange rates can vary.
Summary of Gains and Losses
Realized
Ibis Period Year-to-Date Unrealized
Lang-Term Gain/Loss 0 00 -'93740 76 -294.442.87
Net Galnaoss 0.00 -193,740.76 -294,442.87
This summary excludes transactions where cost basis information is rot available.
For Your Information
On June 5, 2014, the European Central Bank (the ECG) introduced 'negative interest rates'. This negative interest rate applied to all deposits held at the ECB and other credit institutions.
Effective February 1, 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and will reflect on your account
statement as 'Free Credit Balance Interest Charge'. The interest MI be reported on your Forms 1099 andbor 1042-S for tax year 2015. These rates are subject to change in response to market changes, and we
may, in the future and based on our normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances.
Exchange Rate Table Global Cash
Cerreacy Closing Mount In
Currency USO Equivalent per USD Queasy Balance Base Offrency USD
BRITISF P06 1.D 1 5590 0 6414 BRITISF POUND 106,920.00 166688.28
Total Global Cash Balance 6166,888.28
Exchange rates are based on interbank exchange rates as of 12/31/2014. Exchange rates can vary.
Money Market Fund Detail
Oate Activity Type Desolation Amount Balance
Sweep Money Market Fund
DWS GOVERNMENT CASH INSTL
Account Number: 0000001489 Current Yield 0.03% Activity Ending: 12/31114
11129114 Opening Balance 1.195,97326 1,195,973.26
12131114 Dimwit !NCO,/ E RBA VEST 30.48 1.196.003.74
12131/14 Closing Balance $1,1911,003.74
Total All Money Market Funds $1,198,00324
Page2013
Account Number N46-023812 GO paperless i t ) Itateatace000
00100536032300: 0800 ROLL h C r A o L c M y A V R a R n A W T O oe D s C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00046793
6:06THERtsOnrIDAMSITIA
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0009617
EFTA_00157402
EFTA01289765

Deutsche Asset
& Wealth Management
Gnaw* Rana P,,.,,. Wean Papmgenms
Pdatert$ Cednee 00.p
Dettfor4 Set Sew net w[.
lire wan Mo.
PO Boa 1778, Baltimore, ?JD 21203 HI Put einows. Min 1 %v.
*rye en AV VA
in))454.71111. EMKI I >SSC%
Statement Period: 1210112014 • 12/3112014
Income and Expense Summary Current Period Year-to-Dale
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 0.00 0.00 121,12500 000
Money Market 30.48 0.00 232.82 000
Interest Income
Bend Interest 0.60 000 100,000.00 000
FDIC Insured Bank Deposits 000 0.00 80.56 0 00
Total Dividends, Interest, Income and Expenses $30.48 10.00 $221,438.38 $0.00
Portfolio Holdings
U.S. DOLLARS
Account Activity Opening Closing Accrued Income 30-Day Current
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits
Money Market
DWS GOVERN M ENT CASH INSTL
11129/14 1,196,003.740 0000001489 12131114 1.195,973 26 1.I96 003 74 0.00 23212 003% 0.03%
Total Money Market 11,190973.26 11,196,003.74 $0.00 $23222
FDIC Insured Bank Deposits
INSURED DEPOSTS PROGRAM
11129114 N1G023812 12131(14 0.00 000 0.00 60.56 N/A NIA
Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $80.66
Total Cash, Money Funds, and Bank Deposits 11,195,973.26 $1,196,003.74 $0.00 1313.38
Adjusted Unrealized Awued Estimated Estimated
Date Applied Quality Unit Cost Cost Basis Market Price Market Value Gal/ Loss Interest Annual Income Yield
Fixed Income (In Maturity Date Sequence)
Corporate Bonds
PETROLEOS OE VENEZUELA Security Identifier: P7807HAF2
NOTES SENIOR 'SIN* X30460546525
5.000% 10/28/15 REG DID 10/28/09 S8 P Rating
al
12/04/13 '.3.12 2,000,000.000 95 3590 1.907,185 37 75 5000 1110,00010 -397,185.37 17,22222 100,00000 6.62%
Page 3 of 13
Account Number: N4G-023812 Rated Excellent,
OBALI MOLL cum GO paperless E D v A e L r B y A V R im R .. A L T e E a D C 2 O 9 M 07 M UNICATIONS
DENTIA exorarNCI
SDNCGM_00046794
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6:9 11ERk DB-SDNY-0009618
EFTA_00157403
EFTA01289766

Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Adjusted Unrealized Accrued Estimated Estimated
Crate Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain, Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
PETROLEOS DE VENEZUELA (continued)
Onginal Cost Basis $1 800 000 00
Total Corporate Bonds 61,907,185.37 $1,510,000.00 -6397,185.37 $17,222.22 $100,000.00
2,000,000.000
Total Fixed Income $1,907,185.37 $1,510,000.00 .$397,185.37 $17,222.22 $100,000.00
2,000,000.000
Unrealized Estimated Estimated
Cate Acquired Quantity Unit Cod Cod Basis Market Price Market Value Gainflots Annual Income Yield
Equities
Preferred Stocks (Listed by expitatiort date)
ALLY ANL INC Ax TO FLT Security Identifier: ALLY PRB
DIV43.50% FREQ-QTRLY CALLABLE° 25.00 CL SIP 02005A308
ON A QTRLY BASIS AFTER 05115/2016
Dividend Option: Cash
06111113'.13 57,000.000 25.0780 1.429.117.50 26 8800 1.532.160.00 102,742.50 121.125.00 7.90%
Total Preferred Stocks $1,429,417.50 $1.532,180.00 $102,712.50 $121,125.00
Total Equities $1,429,417.50 $1,532,160.00 $102,712.50 $121,125.00
Unrealized Accrued Estimated
Cod Basis Market Value Gain! Loss Interest Annual Income
Total U.S. DOLLARS $4,532,806.61 $1,238,163.71 .$294,442.87 $17,222.22 $221,430.30
BRITISH POUND
Opening Posing Awned 30.0ay
Description Quantity Balance Balance Currency Income Yield
Cash, Money Funds, and Bank Deposits
Global Cash Balance 38,160.00 108,920.00 GBP
166.686 28 1,S0
Total Cash, Money Funds, and Bank Deposits 38,180.00 108,920.00 GBP 0.00
166.688 28 LSO 0.00
Page 4 013
INIMI ROLL Account Num O b S e T r: . I 1 . 4 D 46 A 4 T 2 A 3 A 1 2 D G AE o p N ape T rle E ss A L r R E Cx v A a e e t L e r Ms y d Aa V t R m m . . R o . e A l N l rT o a E n t D i e C 2 O 0 M 07 M UNICATIONS oattarta.r.r.a=2.1r..-.1. =.
SDNY_GM_00046795
N YE I
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 693(6)6THERk DB-SDNY-0009619
EFTA_00 157404
EFTA01289767

Deutsche Asset
& Wealth Management
(Misr< Rant Pnnie *man ..tptagenmt
Weals Cisme 6,0.1)
Destsev lank Sette*es
lire wan Cali*
P.O. Box 1778, Bahimore. MD 21203 HI Pan Ass.. Mk I ber
Nor leek 1,tt 1)fl
01214:4-71114.11115 14,91,
Statement Period: 1210112014 • 1213112014
Portfolio Holdings (continued)
BRITISH POUND (continued)
Acaued Estimated Estimated
Description Quantity Market Price Market Value Currency Interest Annual Income Yield
Fixed Income Marnay Dare Sequence)
Corporate Bonds
NATIONWIDE BUILDING SOCIETY EURO ISSUE 2,000,000.000 97.6400 1,952,800.00 GBP 4,155.22 137,500.00 7.04%
COM/ GBP ISINS X51043181269 3,044,41520 USD 6,477.99 214,362.50
6.875% 09/20/88 REG DID 03111114
S8 P Rating BB
Security Identifier G63980UK3
Total Corporate Bonds : 2,000,000.000 1,952,800.00 GBP 1,156.22 137,600.00
3,044,415.20 USD 6,477.99 214,362.50
Total Fixed Income: 2,000,000.000 1,952,800.00 GBP 1,156.22 137,600.00
3,044,415.20 USD 8477.99 214,362.50
Acaued Estimated
Market Value Currency Interest Memel Income
Total BRITISH POUND 2,059,720.00 GBP 4,155.22 137,600.00
3 211 103 48 LS) 6 477 99 214,362.50
Unrealized Accrued Estimated
Cost Basis Market Value Gain( Loss Interest Mewl Income
Total Portfolio Holdings - U.S. 14,532,605.61 17,449,267.22 .$294,442.87 $23,700.21 1435,800.88
DOLLARS
Footnotes
' Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered.' under the new cost basis reporting rules. and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their 'apple:able date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as knows:
• Stock in a corporation acquired on or after January 1. 2011
• Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1.2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Page 5 of 13
Account Nucmbesr 144o6423n812 n Go paperless Itsted [salient, .17Z1.141-.72.74":="0.=erti=
Ivory Year Woo. 2'007
SOUTHERN DAMSTITA D rx A c L i B tu A r R n a R e A r T ED COMMUNCATIONS
SDNY_GM_00046796
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009620
EFTA_00157405
EFTA01289768

Portfolio Holdings
(continued)
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those invaviig continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
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.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering km or transferring agent and Pershing makes no representation as to the accuracy of this information.
Holdings Summary by Currency
Carting Cub Fixed Income Equities Total by Curency
U.S. DOLLARS 1,196,003 1.510 000 1 532.160 4 238 163 LSD
BRITISH POIAD 106,920 1.952,800 0 2.059,720 GBP
Total USD Equivalent 1 362 692 4 654 415 1 532 160 7 449 267 USD
% of Allocation 11.29% 61.14% 20.57% 100.00%
M essa es
Federal Deposit Insurance Corporation (FDIC-)Insured Bank Deposits are not protected by Securities Investor Protection Caporation(SIPC)
For disclosure of rates for DINS money market funds, please visit the OWS Investments website at https:fivrtwndws-invesbnents.conVENIproducts/money-market4unds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Although a money market mutual fund seeks to preserve the value of your investment at S1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held In your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information.
Please note the following information for Pershing's 2014 IRS Forms 1099 (8, DIV. INT, OID and MISC): Your form 1099 will be delivered as early as possible, beginning January 31, 2015. By February 17, you
will receive either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the
securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 16. 2015.
Pershing's Impartial Lottery Process: Partial Calls
Information about Pershing's impartial lottery process can be found on pershing.corn/business_continuity. You may also request a printed copy of this information by calling (888) 367-2563, option 3 then option 5.
When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process.
When an issuer initiates a partial call of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an
inaemental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because DTC's lottery is random and impartial.
participants may or may not receive an allocation of securities selected for redemption.
When Pershing is notified that it received an allocation of called securities, Pershing conducts a similar, computer-generated random lottery. The lottery determines the accounts that will be selected and the
number of securities in the account that will be redeemed. Allocations are based on the number of trading units held in the account The probability of any trading unit held by an account being selected as called
in a partial call is proportional to the total number of trading units held through Pershing.
Page 6 of 13
Account Number. N4G-023812 Rated t•collordi
i. V S.R at 6:THERreynn D G r o I p S ap I e T rles I s A r D ty x A p e L if O i y tt A r R w R e A r W T E oe D s C 2 O '0 M 07 M UNICATIONS
SDNY_GM_00046797
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. DB-SDNY-0009621
EFTA_00 157406
EFTA01289769

Deutsche Asset
& Wealth Management
Is.. Ram Pow. VeAtahn Manip-ntar
Weals ONe077 0KM)
Des-00/7 M Smelts +x.
N....4 cwt.
PO Bat 1770, Skidmore, MD 21203 Na Pon Annet 16017.0
New** aT 1004
0 30 04.7108. 78114791,
Statement Period: 1210112014 • 12/3112014
M essa • es (continued)
Once the lottery is complete. Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation. Securities registered in the clients name, either in transit or held in custody, are
excluded from the Pershing lottery process.
Pershing initiates the lottery process by identifying the accounts holding the called security, the total par value of the called securities held, and the trading unit of the security.
Example (unit of trade = 125,000):
Ghent Account Par Value Number of Trading Units
ABC-123234 5100,000 4
DEF-325465 $75,000 3
EDR-567433 $150,000 6
EAT-876574 $50.000 2
EGT-888345 $25.000 1
FRT-435234 $25,000 1
FRT-6513797 $75,000 3
In brief, the allocation process involves the following steps:
*The number of trading units held in each account is identified.
• A sequential number is assigned to each trading unit (e.g., account EOR-567433 would be assigned six numbers).
• A random number is generated that will result in one of these trading units being the first unit in the selection process.
Thereafter, the trading units participating in the allocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted.
Additional Information
' The allocation of called securities not made on a pro-rata basis. Therefore, it is possible that a client may receive a full a partial redemption of shares held. Conversely. it is also possible that a client may not
Page 7 of 13
Account Nuaber. N46-023812 R.I.d Excellent,
I Q' >I SOUTHERN CON nD G E o p N ape T rie I ss A D I r x v A e c L r i O y t A V R . r 7 m . R 7. A e L T t a E c D e O 2 0 0 M 07 M UNC ATIONS
SDN Y_GM_00046798
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-00O9622
EFIA_00157407
EFTA01289770

M essageS
(continued)
have any securities selected for redemption at all.
' When a partial call is deemed favorable to the holders of the called security, Pershing will exclude certain accounts tom the lottery. Excluded accounts ill include Pershing's proprietary and employee
(if
accounts, as well as proprietary and employee accounts of introducing broker-dealers Pershing caries and clears those accounts). No alocation wit be made to these proprietary and employee accounts until
al other client positions at Pershing in such securities have been called. When a partial can is deemed unfavorable to holders of the called security, Pershing will not exclude any accounts from the lottery.
' If the partial call is made at a price above the current market price as captured in Pershingris price reporting system, Pershing bid generaly categorize the partial call as one that is Favorable to the holders of
such security. If the partial call is made at a price that is equal to or below the current market price of the security as captured in Pershing's price repotting system, Pershing will generaly categorize that call as
one that is unfavorable to holders of the security.
• Clients have the right to withdraw uncalled, fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent andlor depository with respect to the partial
cal. tiClients also have the right to withdraw excess margin securities, provided that the client account is not subject to restriction under Regulation T or that such withdrawal wiN not cause an under-margined
condition.
u
Activity Sum m ary (Ail amounts shovm are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Securities Bought 0.00 0.00 Secuntres Bought 0.00 -6.897.364.62
Total Securities $0.00 $0.00 Total Securities $0.00 -$8,897,384.82
Dividends and Interest $107,529.86 $393,870.82 Dividends and Interest $0.00 $0.00
Distributions $0.00 $1,808,259.24 Distributions $0.00 $0.00
Fees $0.00 $0.00 Fees $0.00 -$38.00
Cash Cash
Deposits 000 911 807 66 Deposits 0 00 000
Total Cash $0.00 $911,807.86 Total Cash Woo $0.00
FDIC Insured Bank Deposits $0.00 $3,444,150.98 FDIC Insured Bank Deposits $0.00 -$1,748,423.06
Money Market Funds $0.00 $1,000,024.00 Money Market Funds -$30.48 -$2,196,027.74
Total Credits $107,529.16 $7,558,112.70 Total Debits -$30.48 -$10,841,861.42
Page 8 of 13
Account Number. N4G-023 12 Rated tmellme
OKA', + lt SOUTHERN Go paperless rD E x v Aa e Lr n St t u A Y rRn e Rs a. eA S rT i E m D s C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046799
Cal lart DENTAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009623
EFTA_00157408
EFTA01289771

Deutsche Asset
& Wealth Management
(Misr* Ram Pon. 'Oath Manip-ntar
Pdaeats I Deena 6,0‘P
Dettsch4 M Sectongs,Ic
ew q
P.O Ocw 1770 Bahimore, MD 21203 141Part AsemO. Ikh I ter
New** rtt 1011.4
VA4VIII. (MI 78/.4,91,
Statement Period: 1210112014 • 1213112014
Transactions by Type of Activity
Process' Trade'
SWlenient Transaction
Date Date Activity Type Description Quantity Price Accrued Interest Amount Currency
Dividends and interest
12124114 12120/14 FOREIGN BOND INTEREST 2000000.00 SHARES NATIONWIDE BUILDING SOCIETY EURO 68.760 00 GBP
G63910UK3 ISSUE CONY GBP ISINd XS1013 181269 8.875% 09120188 107.499 38 LSD
REG DTO 03111/14 CLB FOREIGN BOND INTEREST RD
121914 PD 122011 ASOF 12/19111
Exchange Rate: 1.5631
12131114 MONEY MARKET FUND DWS COVE CASH INSTL 30.18 LSD
INCOME RECEIVED
233993682
Total Dividends and Interest
BRITISH POUND 0.00 68.76010 GBP
TOTAL USD EQUIVALENT 0.00 107,499.38 USD
UNITED STATES DOLLAR 0.00 30A8 U93
Money Market Funds
12131111 MONEY MARKET FUND DVS GOVT CASI- MIL INCOME REINVESTED -30.18 USD
REINVESTMENT
233993682
Total M oney M arket Funds. UNITED STATES DOLLAR 0.00 .30.18
Tolal Acaued lattrest Total Amount
Transadices Summary Trial Acaued Interest Trial Amount Currency USD Equivalent USD Equivalent
BRITISH POUND 0 00 68.760,00 GBP 0.00 107.49938
L KITED STATES DOLLAR 000 0.00 USD 0.00 0.D0
The price and quantity displayed may have been rounded.
Client Service information
Your Client Advisor: DAN
DANIEL SABBA
315 PARK AVENUE 261/1 FLOOR
NEW YORK NY 10151
Page 9 of 13
Account Number: NG-023812 D GO r pwaperrleisAs ( R v a e N r d y e ncoll v o a r c 4 . 2007
CALMAR RATED COmmum.CAMONS
exClurtaer
SDNY_GM_000461300
CONFIDENTIAL — PURSUANT TO FED. R CRIM. 6rer HERNOunn O13-SDNY-00O9624
EFDL00157409
EFTA01289772

Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds. FIRST IN FIRST OUT
Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Bond Amortization Elections:
Treat al interest as original issue discount (DID): No
Amortize premium on taxable bonds based on Constant Yield Method Yes
Accrual market discount method for all other bond types Ratable Method
Include market discount in income annually: No
Electronic Delivery
You have not selected any account tom m unications for electronic delivery. To register and turn off paper communications. log in lo your account or contact your Client Advisor for more information.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted,
have been obtained from independent vendor services. which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is
not available are marked 'N/A" and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE,
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time,
and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities, interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
mwtpershing.corrybusiness_continuity.hbri for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon *Item request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Poofs. Reproducing and distributing any information received from Standard & Poors is not permitted without prior written
Page10 of 13
Account Numcbesr. MeG-02i3n812 n Go paperless
„MAN WA( DENTIA rD L x v A e cL r Bl y u A V rR s n R . e S ArT iv E a D C 2 O 0 M 07 M UNICATIONS
SON Y_GM_OOO4643O1
CONFIDENTIAL - PURSUANT TO FED. R ORIM, 67eL)THERN OB-SDNY-0009625
EFIA_001 57410
EFTA01289773

Deutsche Asset
& Wealth Management
Oralsre Mn, Y,..0 Votall mamair-..
I/worn Cowan 0tp‘p
Ohba* •••• Se4•08e1 AC
40744 Mt*
P.O. &a 1778, Bahimore. 88021203 1417.0 •••••••.. lkhltn
New** 7tt 100.4
030 474.7014.111:078/74MS
Statement Period:1210112114 • 12/3112014
Important Information and Disclosures (continued)
Ratings (ccn:inued)
authorization from Standard ft Poor's. Standard d Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard ft Pools is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content Standard ft Pools makes no express or implied warranties includng warranties of merchantability or fitness for a particular purpose.
Standard ft Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
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 Oh 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.
financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its omi operations and the supervision of your account, its sales representatives
• Your
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where appicable; the rendering of investment advice. if any, to you and in general. faille ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. Al other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: vnwtpershing.corrdstrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to
your financial organization and Pershing. Please be advised that any oral communication should be re-confrmed in writing to further protect your rights, including your rights under the Securities Investor
Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza,
Jersey City, New Jersey 07399: (201)4133330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the tight 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 vAio were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The ivies of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Page
II of 13
Account Number N46-023 12 Rated tacellonli
WRAP ROI SOL THERA OSE.COMPAI at Go paperless r L Cx v Ae e Ls r M y a A v rRt « r R . a eA W rT E oe D s C 2 O 0 M 07 M UMCAT00•6 •--. •••0•••777a 0707 —•c
NYE I ID-EN TEAL
SDNY_GM_00046802
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P OB-SDNY-0009626
6(e)
EFIA_00 I 57411
EFTA01289774

Important Information and Disclosures (continued)
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration. nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action: who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until: (I) the class certification is denied: (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC, Legal Department One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330.
Page 12 of 13
Account Number: N46-023812 i t . Rated torelleS
OBA2 ROLL D G A o p E ap N er T les I s A r [ C v xA e eL r sM y t A ' u Y Rr a dR w eA I r M T E O D D C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00046803
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6:9 m c soln DB-SDNY-0009627
EFrA_0015 7412
EFTA01289775

TERMS AND CONDITIONS
TRANSACTIONS • PERSHNG MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST, ODD LOT DEALER.
• ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY
SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY, WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL, AGENT OR BOTH. DUALS
• TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN AVAILABLE UPON REQUEST
WITH PERSHING UNTL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT
DATE. WHICHEVER IS LATER. PERSHING'S OFFICES. A CONY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN
• YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT IIVINV,PERSHING,COM
STATEMENT. IF SO, TIE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES:
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. VVV/VV.PERSHING.COWBUSINESS_CONTINUITY.HTIA.
THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS W HCH HAVE BEEN EXERCISED. • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS
FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS-
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. RULE 607(A)(1H2)J
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION
STATEMENT, THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED, THE RATE MAY CHANGE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS TRADNO SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
FINANCIAL INSTITUTION F YOU DESIRE ADDITIONAL COPES. SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON
MARGIN INFORMATION: IF YOU MAINTAN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTANED FOR YOU UNDER TO CERTA/N OPTION EXCHANGES. IN MORON, PERSHING ROUTES CERTAIN EQUITY AND OPTION
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT ORDERS TO ITS AFFILIATE. 8NY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL
RECORD OF THE SEPARATE INT AS REQUIRED BY REGULATION T IS AVALABLE FOR YOUR COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT.
NSPECTION UPON REQUEST. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
TAX INFORMATION FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE
COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS.
• AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL TRANSMITTED ELECTRONICALLY UP TO A SPECFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN
REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES AT THAT TIME PERSHNG WILL THE NATIONAL BEST BID OR OFFER (N880) ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED
PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY
STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH
• DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE
AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSHING ALSO REGULARLY
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES.
GENERAL INFORMATION.
• PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE
ASSOCIATED WITH PERSHNG IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ARE INDEBTED TO PERSHNG LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER.
DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR
PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS:
ANY BALANCE REMAINING DUE PERSHNG TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE NDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR
YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY
PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WLL PERMIT THE
COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN EQUAL TO OR
GREATER THAN YOUR LIABLMES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT
PROHIBITED BY LAW.
F ANY OF DE MOVE TERMS AND =EDITIONS ARE I marePPTMEE TO YOU, RIME HOTFY PEREPEN3 BAUEDIATELY IN WRITING BY CERTFED WA TO ONE PERSHING RAM, JERKY CITY, NJ OT3M, ATTN. LEGAL DEPT
Page 13 of 13
OBAO MOLL A SO cc ts o T u H n t E N RA u ® n De o r. N4 r G e -023 n 12 i arlGDo praipsermlessA L R r E D x v A a e e b L r B i n y d A t Y E r R x e t t c R s e e . A l L s l T e a E n c D t e C 2 O 0 M 07 P AUNKATIONS =sr' t.
SDNY_GM_00046804
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009628
EFTA_00157413
EFTA01289776

Oeuiv.v Si,, ...mt. Wean minim-war
Mweeis Cowan Gomp
0ftisem law Secyri
WasWA Mar
Pt OM mallMiran MDM203 Pitt Aortae. AM I kci.
Nave Wet AY 10154
PI))4!...7.16.0r1S)7ss.:ns
Account Number: N40.023812
Statement Period:11101/2014 -1113012014
Valuation at a Glance
This Period Year-to-Date
SOUTHERN TRUST COMPANY INC Beginning Account Value 17,650,237.41 $6,457,577.92
6100 RED HOOK QUARTER B3 het Cash Deposits and Wilhdrawals 0 00 911,801.66
ST THOMAS VI 00802 Adjusted Previous Account Value 7,550,237.44 7,369,385.58
Dividends. Interest and Other Income 30310 32 286.34096
het Other Activity 0 00 3600
het Chan e in Portfolio .133.488 65 -108 631 43
nding Account Value 57.547 059 11 57,547 059 11
Your Client Advisor: Estim ated Annual Incom e 5436.705.40
DANIEL SABBA
Asset Allocation
Prior Year•End Lad Period This Period % Allocation
(.90 Cash. Money Funds. and Bank Deposits 1,695,727.92 1.165.662.94 1.195.973 26 15.85% Please review your allocabort
howl, SD Axed Income 1,650,000.00 4.914.173.76 4,778.55492 63.32% I Assets of less than-Mot holdirgs
L SD Equities 1,530450 00 1.509.360.00 1,512,780.00 2004% we rot dspkay on this pie than.
h SD Cash. Money Funds. and Bank Deposis 000 61,040.74 59,750 93 0.79%
L SD Axed Income 1,581,400.00 0.00 0.00 0.00%
Account Total (Pie Chart) $6,457,577.92 $7,650,237.44 37,547,059.11 100.00%
See the Asset Allocabon Disclosure and Footnotes secton b important informatan regerclog your Asset Alocaton.
Page 1 of 10
GO Rated tacellera
50111796CSF30016 L very Year Since 2007
ML BAR RATOZ.COMMUNCATIONS
CONFID AL rxesurtraer
SDN Y_GM_0004 61305
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009629
EFTA_00157414
EFTA01289777

Asset Allocation Disclosure and Footnotes
Al values are displayed in V.S. dollars based on interbank exchange rates as of 11/30/2014. Exchange rates can vary.
Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short-Term Gain/Loss 0 00 0.00 -200.293.05
Long-Term Gain/Loss 0.00 -193,740.76 83,362.50
Net Galn/Loss 0.00 -193,740.76 -116,930.65
This summary excludes transactions where cost basis information is rot available.
Exchange Rate Table Global Cash
Corning Closing Amount in
Datong USD BpiOiled per USO Cowley Mance Base amen, 660
BRITISH POUND 1.5651 0.6386 BRITISH POUND 38.160.00 59.750.93
Total Global Cash Balance $59,760.93
Exchange rates are based on interbank exchange rates as of 11/30/2014. Exchange rates can vary.
Money Market Fund Detail
Date Activity Type Description Amount Waite
Sweep Money Market Fund
OW 6 GOVERNMENT CASH INSTL
Account Number: 0000001489 Cement Yield: 0.03% Activity Ending: 11/28114
11101114 Opening Balance 1,165,682.94 1,165,882.94
11118/14 Deposit MONEY FUND PURCHASE 30,28115 1,195,944.19
11/28/14 Deposit INCOME REINVEST 29.07 1,195,973.26
11/20/14 Closing Balance 61,196,973.26
Total All Money Market Funds $1,196,973.26
Income and Expense Summary
Current Period Year-to-Dale
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 30,281.25 0.00 121.125 00 0.00
Money Market 29.07 0.00 202.34 0.00
Page 2 of 10
Account Number: 1446-023812 D Go A pap T erl e A ss e h ) naiad tscolkinti
b O a AL r B , A V R . . R A W TE ,e D s C 2 O 0 M 07 M UNCATIONS ea v t i r s e ie lt iv rO ivi s u tranit3:4• iivn4 ": 4 0• •••••••••••••
SDNY_GM_00046806
6:THERNCsOnn
CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. OB-SDNY-0009630
EFTA_00I 57415
EFTA01289778

OreHoe gin. ....In W. PA.Mlintat
PIII•tt% CPet r fray
P- Secvnes a.
lin...4 Mar
10 Put asenet lieh I to
Hewlett. M'1011.4
0 III 454.71114.1114.178114MS
Statement Period:1111112114 - 11 /3012114
Income and Expense Summary (continued) Current Period Year-to-Date
Taxable Non Taxable Taxable Non Taxable
Interest Income
Bond Interest 0.00 0.00 100,000.00 0.00
FDIC Insured Bank Deposits 0.00 0.00 80.56 0.00
Total Dividends, Interest, Income and Expenses $30,310.32 $0.00 $221,407.90 80.00
Portfolio Holdings
U.S. DOLLARS
Account Activity Opening Closing Accrued loose 30-Day Carrell
Deeming Date Quality Number Eadig Balance Balance Income ibis Year Yield Yield
Cash, Money Funds, and Bank Deposits
Money Market
MS GOVERN M DIY CASH Mil
11/01114 1.195.973.280 0000001489 11128/14 1.165.682.94 1.195.973.26 0.00 202 34 0.03% 0.03%
Total Money Market $1,185.112.94 91,195,113.28 $0.00 $202.34
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
11101114 N46023812 1108114 0.00 0.00 0.00 80 56 NiA
Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $80.56
Total Cash, Money Funds, and Bank Deposits 31,165,662.94 11,195,913.26 10.00 1282.90
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Markel Value Gale/ Loss Interest Annual Income Yield
Fixed Income (!r, Maturity Date Sequence)
Corporate Bonds
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
DIES KkIOR ISA 0 AS0460546525
5.000% 10128/15 REG DTO 10/28109 S t P Rating Be
12104113 '.3.11 2,000,000.000 919 150 1,898,293.05 84.9000 1,698.000 00 -200,29305 8.888 89 100,000 00 5.88%
Original Coal Basis: 51,800,000.00
Total Corporate Bonds $1,896,293.05 $1,696,000.00 -$200,293.05 $8,888.89 $100,000.00
2,080,000.000
Total Fixed Income $1,696,293.05 61,696,000.00 -$200,293.05 $6,688.89 $100,000.00
2,000,000.000
Page 3 of 10
Account Number: MG-023 12 Illated [wailer.
Ufte.0 WM SOL Obrennr(3i0p prapwerlresisA L E D v A e L r O y A V R e e R r A 5 T J E 0 D 01 C 2 O 0 m 07 m uN.CATIONS
exaartraer
SDN Y_GM_0004 6807
THERA
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009631
EFrA_00 I 57416
EFTA01289779

Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Dale Acquired Quaky Usk Cod Cod Basis Market Price Markel Vain GaislLoss Annual Income Yield
Equities
Preterite Stocks (Used by expiration date)
ALLY FINL INC FIX TO FLT Security Identifier: ALLY PRO
DIV4.50% FREO.OTRLY CALLABLE e 25.00 CU SIP. 020058308
ON A OTRLY BASIS AFTER 0511512016
Dividend Option: Cash
06111113'•x3 57,000.000 25.0780 1,429,417.50 26.5400 1,512,780.00 83,362.50 121.125.00 8.00%
Total Preferred Stocks 81,420,41710 81,512,780.00 383,382.50 8121,125.00
Total Equities 81,420,41730 81,512,780.00 $83,362.50 8121,125.00
Unrealized Accrued Estimated
Cod Basis Market Value Gain/ loss Interest Annual Income
Total U.S. DOLLARS 54,523,683.81 84,406,753.26 .1115,930.55 18,868.89 1221.407.90
BRITISH POUND
Opening Posing Accrued 30-Day
Description Quantity Balance Balance Currency Income Yield
Cash, Money Funds, and Bank Deposits
Global Cash Balance 38,160.00 38,160.00 GBP
59,750.93 LSO
Total Cash, Money Funds, and Bank Deposits 38,160.00 38,160.00 GBP 0.00
59,750.93 USD 0.00
Accrued Estimated Estimated
Description Onantity Market Price Market Value Currency Interest Annual Income Yield
Fixed Income (in Al aturtiy Date Sequence)
Corporate Bonds
NATIONW IDE BUILDING SOCIETY EURO ISSUE 2,000,000.000 98.3700 1,967,100.00 GBP 61,236.31 137,500.00 6.98%
CONY GBP ISINOXSI013181269 3.080.554 92 LSD 95,883.86 215,297.50
6.875% 09120188 REG DTD 03111114
S8 P Rating BB
Security Identifier 063980663
Total Corporate Bonds : 2,000,000.000 1,967,400.00 GBP 61,236.34 137,600.00
3,080,551.92 USG 95,883.86 215,297.50
Total Fixed Income: 2,000,000.000 1,907,400.00 GBP 61,236.34 137,600.00
3.080.554.92 USD 95.883 86 215.297 50
Page4010
Account Number. N4G-023 1Y2 AGDo prawperrleIsAs L Itstocl Excellent
I l79C CS F3 l'HAN L TH ERA OM r E Dx v A e eL n Bn . A V mR s Ri ' e . A S rT i E nc D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046808
CONFIDENTIAL - PURSUANT TO FED. R CRIPA P. 6(e) OB-SDNY-0009632
EFrA_00157417
EFTA01289780

Onisre cuff. Pnnie weahn Paragenmt
Pdaent% COR•nt4,0‘P
Desitthe Oar Stcylet
M.e ISA Mat
PC. Sot 1776. &It room AID 21203 14)Parlt AITW. 10th I Szcr
yen, pet AY IOVA
CM) 1111S1 >114:31
Statement Period:11/01/2014 • 11/30/2014
Portfolio Holdings (continued)
BRITISH POUND (continued)
Accrued Estimated
Market Value Currency Interest Mnual Income
Total BRITISH POUND 2,005,560.00 GBP 61,236.34 137,500.00
3,140,305.85 LSO 95,883 86 215 297 50
nonsked Accrued Estimated
Cost Basis MarkelVille Galaf loss littered Mnual Income
Total Portfolio Holdings - U.S. 34,523,683.81 $7,547,069.11 .3116,930.56 3104,772.76 9436,705.40
DOLLARS
Footnotes
Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these arkbutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
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.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous dent brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information.
Page5010
Account kum Der. N4G-023 12 Itsted tacellenil
I }WNW von SO L TH ERN OSTOIN vrt I D G A o p E ap N erl T es I s A L Dr (v xA e eL r r B y a A V rRn .. aR . eA S rT i E v D a C 2 O 0 A 0 V 7 A LINICATIONS
SDNY_GM_00046809
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009633
EFTA_00157418
EFTA01289781

Holdings Summary by Currency
Currency Case Fixed Intone Equities Total by Currency
U.S. DOLLARS 1,195 973 1.698 000 1,512,780 4 406,753 LSD
BRITISH POUND 38,160 1.967,400 0 2,005560 GBP
Total USO Equivalent 1 55 724 4 778 664 1 612 780 7 647 069 USO
% of Allocation 18.64% 83.32% 20.04% 100.00%
Messages
Please note the fdlowing inlonnation for Pershing's 2014 IRS Forms 1099 (8, DIV INT, 010 and MC ): Your form 1099 will be delivered as early as possible, beginning January 31, 2015. By February 17, you
will receive either your 1099 form on special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the
securities that are pending final reporting. and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 16, 2015.
Although a money market mutual fund seeks to present the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit produces disclosure document or contact your advisor for additional information.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds. please visit the DWS Investments website at httpalfronvot dws-investments.conVEN/prOduCt/mOney-market-fundayields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Activity Summary (All amounts shown are in base currency)
Credits This Period Year-to-Dale Debits This Period Year.to.fiate
Securities Securities
Securities Bought 0.00 0.00 Securities Bought 000 -6.897.364.62
Total Securities $0.00 $0.00 Total Securities $0.00 .$6,897,364.62
Dividends and Interest $30,310.32 $286,340.96 Dividends and Interest $0.00 $0.00
Distributions $0.00 11,806,259.24 Distributions $0.00 $0.00
Fees $0.00 $0.00 Fees $0.00 -$36.00
Cash Cash
Deposits 000 911 807.66 Deposits 0 00 000
Total Cash $0.00 $911,807.66 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $0.00 $3,444,150.98 FDIC Insured Bank Deposits $0.00 .$1,748,423.06
Money Market Funds $0.00 $1,000,024.00 Money Market Funds .$30,310.32 -$2,195,997.26
Total Credits $30,310.32 $7,448,682.84 Total Debits -$30,310.32 410,841,820.94
Ost5N..m0 Page 6 of 10
°BAH ROLL A SO cc U o T u H n E t N RN u mber:NG-023 1 Y 2 r' D C A io p E ap N erl T es I s A L I R Dr v xA a o e t L r e s & y d u M V [ r m n A t Ra o N Ae n S T o r i C N nc O i e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_000464310
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009634
EFTA_00l 57419
EFTA01289782

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Statement Period: 11101/2814 • 11/30/2014
Transactions by Type of Activity
Process/
Settlement
Date Activity Type Description Quantity Price Accrsed interest Amount Currenry
Dividends and Interest
11/17/14 CASF DIVIDEND RECEIVED 57000 SFRS ALLY Fiat INC FIX TO FLT DIV-8 50% 30.281 25 LSO
ALLY PR8 FREO-OTRLY CALLABLE Q 25.00 Ok A OTr.Y BASIS AFTER
05/15/206 RD 11/01 FO 11117114
11/28/14 MONEY MARKET FUND DWSGOVT CASF INSTL 29.07 LSO
INCOME RECEIVED
233993682
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 30,310.32
Money Market Funds
11/18/14 MONEY FUND PURCFASE DWSGOVT CASF INSTL -30,281 25 USD
USD999997
11/28/14 MONEY MARKET FUND DWSGOVT CAM-, INSTL INCOME REINVESTED -29.01 LSD
REIN VESTM ENT
233993682
Total Money Market Funds- UNITED STATES DOLLAR 0.00 -30,310.32
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: DAN
DANIEL SABBA
345 PARK AVEh LE. 26Th FLOOR
NEWYORK NY 10154
Pate 7 of 10
Account Number. N4G-023 12 Go paperless Paced tacelbre• :et
liSAD ROI I SOUTHERN D L v A e L r B y A Y e R ar A S V i E v D a C 2 O 0 M 07 M UNKATIONS
PPOILLPNCE
SDNY_Gf0.4_00046811
COT eniarl DESMA
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009635
EFTA_00 157420
EFTA01289783

Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds. FIRST IN FIRST OUT
Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT
Default Method for all Other Securities FIRST IN FIRST OUT
Bond Amortization Elections:
Treat all interest as original issue discount lOID): No
Amortize premium on taxable bonds based on Constant Yield Method. Yes
Accrual market discount method for all other bond types Ratable Method
Include market discount in income annually. No
Electronic Delivery
You hare not selected any account Comm unications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Diem Advisor for more information.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless othenwse 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 am marked 'WA" and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time,
and may be affected by current and future economic, political. and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
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
wmtpershing.coMbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You veil
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 reimestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available won written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itseff or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Poors. Reproducing and distributing any information received from Standard & Poors is not permitted without prior written
Page 8 of 10
0e..0 RCM A SO cc L o T u H n E t N RA u mber 1446423 12 Go paperless r R L o n x a a r t cL e y Ii d IM L V c Ir a t a w c R . e eA l S l r e T i n E n t c O i e C 2 O 0 M 0 P 7 ALINICATOONS sciratro....M""frourimorn=
SDNY_GM_00046812
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CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009636
EFIA_00157421
EFTA01289784

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Statement Period: 1110112114 • 11/3012014
Important Information and Disclosures (continued)
Ratings (con:mued)
authorization from Standard & Poor's. Standard 8 Pools does not guarantee the accuracy, completeness. timehness or availability of any information. Standard & Pools is not responsible for any errors or
emissions, regardless of the cause, a for the results of using such content. Standard 8 Pools makes no express or implied warranties includng warranties of merchantability or fitness for a particular purpose.
Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (i) any other instructions concerning your account. Pershing is not responsible or kable for any acts or omissions of your financial institution a
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 comma control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice. if any, to you and in general. for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 4134333. M other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC1. Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing
provides coverage in excess of SIPC limits. Fa more detailed information please visit: vninv.pershing.cornistrength_stability.html.
• This statement will be deemed concknive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to
your fniancial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor
Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza,
Jersey City, New Jersey 07399: (201)4134330. 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 via typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits fa bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Page 9 of 10
DOAN 9O1.1 A SO cc U o T u H n E t N RA u a O be S r T N4 O 6n- 023 r 1c2 i D G A o p E ap N erl T es I s A L R D (v A s e L d r B y A Y [. R e c R a o r A l o S T n i E v D a C 2 O 0 M 07 M UNICATIONS . •• . • W -•••• . 4 L 4 tr».=."0.=n•
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SDNY_GM_00046813
CONFIDENTIAL — PURSUANT TO FED. R ORIA4. P. 6(e) OB-SDNY-0009637
EFTA_00157422
EFTA01289785

Important Information and Disclosures (continued)
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action. who is a meter of a putative class who has not opted out of the class with rasped to any
claims encompassed by the putative class action until: (I) the class certification is denied: (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC, Legs Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330.
Page 10 of 10
Account Number: MG-023812 Go paperless e k M E o , d v fa s c . e ll s er i i v gi a 2007 =Kr aur.*
DAENTIA D D A A L L BAR RAT OD COMMUNCATIONS
SDNY_GM_000494314
CONFIDENTIAL - PURSUANT TO FED. R 67eL)THErthc sonn OB-SDNY-0009638
EFM_00157423
EFTA01289786

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War stn hY 10114
01))4:44,1110.1111117/44:I1
Account Number: N46-023612
Statement Period:10101/2014 -10/3172014
Valuation at a Glance
This Period Year-to-Date
SOUTHERN TRUST COMPANY INC Beginning Account Value 57,561,682.17 96,457,577.92
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 911.807 66
ST THOMAS VI 00802 Adjusted Previous Account Value 7,561,682.17 7,369,385.58
Dividends. Interest and Other Income 50.028.55 256.030 64
et Other Activity -1200 3600
Net Chan e in Portfolio 38.538 72 24.857 22
nding Account Value $7.650 237 44 $7,650.237 A4
Your Client Advisor: Estim ated Annual Incom e 5441 323 83
TAZIA SMITH
(212) 454-2889
Asset Allocation
Prior Year•End Last Period This Period % Allocation
LSD Cash. Money Funds. and Bank Deposits 1,695,727.92 1.115.646.39 1,165,662 94 15.24% 1111111111111 Please review your allocation
It on-L SD Axed Income 1,650,000.00 4.849.172.24 4.914.173.76 64.23% I Assets of less than 1% of holdings
LSD Equities 1,530,450 00 1.535.010.00 1,509,360.00 19.73% MI not (Moray on the pie than.
Kola SD Cash. Money Funds. and Bank Deposits 0.00 61,853.54 61,040 74 0.80%
LSD Axed Income 1,581,400.00 0.00 0.00 0.00%
Account Total (Pie Chart) 36,457,577.92 87,561,682.11 $7,650,237.44 100.00%
See the Asset Allocation Disclosure and Footnotes section for important intonation regarding your Asset flocaton.
Page lob 10
paperless
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1.28M, YO„ L O v A e L ry II M Ye I R ar A S T i E nc D e C 2 O 0 M 07 M UNKATIONS
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SDNY_GM_00046815
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009639
EFTA_00 157424
EFTA01289787

Asset Allocation Disclosure and Footnotes
All values are displayed m U.S. dollars based on interbank exchange rates as of 10/31/2014 Exchange rates can vary.
Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short-Term GainlLoss 0.00 0 00 -119,480.70
Long-Term Gain/Loss 0.00 -193,740.76 79,942.50
Net GelnlLoss 0.00 -193,740.76 -39,638.20
This summary excludes transactions where cost basis information is not available.
Exchange Rate Table Global Cash
Currency Closing Amount in
Currency USO Equivalent per USD Currency Balance Base Omen, USD
ElRITIS- P01,0 1 5996 06251 BriSh POLND 38,160.00 61,040.74
Total Global Cash Balance 961,040.74
Exchange rates are based on interbank exchange rates as of 10/31/2014. Exchange rates can vary.
Money Market Fund Detail
Date Adivity Type Description Aunt Balance
Sweep Money Market Fund
DWS GOVERNMENT CASH INSTL
Account Num ber: 0000001489 Current Yield 0.03% Activity Ending: 10/31/14
10101114 Opening Balance 1,115,616.39 1,111846.39
10102114 Wdhdrawal HONEY FUND REDEMPTION -12.00 1,115,634.39
10/29114 Deposit MONEY FLND PURCHASE 50,000.00 1,165,634.39
10/31114 Deposit INCOME REINVEST 28.55 1,165,662.94
10131114 Closing Balance $1,166,862.94
Total All Money Market Funds 91,166,862.94
Income and Expense Summary
Currenl Period Year-to-0ate
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Edges 000 0.00 90.843.75 0.00
Money Market 28.55 0.00 173.27 0.00
Page 2 of 10
Account Number: N46423812 Rated tacollerdi
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SDNY_GM_00046816
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6; THERNCONn DB-SDNY-0009640
EFTA_00157425
EFTA01289788

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Statement Period: 11//112114 -1013112114
Income and Expense Summary ( co n ttnu ed) Current Period Year-to-Date
Taxable Non Taxable Taxable Non Taxable
Interest Income
Bond Interest 50,000.00 0.00 100,000.00 0.00
FDIC Insured Bank Deposits 0.00 0.00 80.56 0.00
Total Dividends, Interest, Income and Expenses $50,028.55 $0.00 $191,097.58 80.00
Portfolio Holdings
U.S. DOLLARS
Account Activity Opening Posing Awned Inane 30-Day Curtest
Opening Date Quantity Number Endre Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits
Money Market
DWS GOVERN M ENT CASH INSTL
10101114 1.165 662 940 0000001489 10/31/14 1,115,048.39 1 165 662 94 1.92 173 27 0.03% 0.03%
Total Money Market $1,115,646.31 $1,165,862.94 $1.92 $173.27
FDIC Insured Bank Deposits
INSURED DEPOSTS PROGRAM
10101/14 A4G023812 10131/14 0.00 0.00 0.00 80 56 N/A MA
Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $80.56
Total Cash, Money Funds, and Bank Deposits 11,115,648.39 11,165,662.94 $1.92 $253.83
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Dolt Cod Cod Basis Market Price Muhl Vales Gold loss Interest Annual Income Yield
Fixed Income (In AlM onty Date Sequence)
Corporate Bonds
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
NOTES SENIOR ISAaX.60460546525
5.000% 10/28/15 REG DTO 10/28109 St P Rating B'
12104113'.3.12 2,000,000.000 94.4740 1,889,480.70 88.5000 1,770000 00 .119,480 70 555.56 100,000 00 5.64%
Original Cost Basis: 51,800,000.00
Total Corporate Bonds $1,809,480.70 11,770,000.00 -$119,460.70 $555.56 $100,000.00
2,000,000.000
Total Fixed Income $1,889,480.70 $1,770,000.00 -5119,460.70 $555.56 $100,000.00
2,000,000.000
Page 3 of 10
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EFTA_00 I 57426
EFTA01289789

Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Acquired Quality UNA Cod Coat Beds Markel Price Markel aloe Geld Loss Annual Income Yield
Equities
Preferred Stocks (Listed by expiration date)
ALLY FINL INC FIX TO FLT Security identifier: ALLY PRO
DIV4.50% FREO-OTRLYCALtABLE (8 25.00 CUSP. 02005N308
ON A OTRLY BASIS AFTER 05/15/2016
Dividend Option: Cash
06111113 '43 57.000.000 250780 1,429,417.50 26.4800 1.509.360.00 79.942.50 121.125.00 8.02%
Total Preferred Stocks 91,429,417.50 81,509,360.00 979,942.50 9121,125.00
Total Equities $1,429,417.50 11,509,360.00 $79,942.50 9121,125.00
Unrealized Accrued Estimated
Cost Bans Market Value Gain/ loss Interest Annual Income
Total U.S. DOLLARS 14.444561.14 14,444022.94 439,538.20 $555.56 $221,378.83
BRITISH POUND
Opening Closing Accrued 30.0ay
Descripitcn Quantity Balance Balance Currency Income Yield
Cash, Money Funds, and Bank Deposits
Global Cash Balance 38,160.00 38,160.00 GBP
61.040.14 USD
Total Cash, Money Funds, and Bank Deposits 38,160.00 38,160.00 GBP 0.00
61,040.74 USD 0.00
Awued Estimated Estimated
Desuiplioe Quantity Market Price Market Value Currency Interest Annual Income Yield
Fixed Income (in Maturity Date Sequence)
Corporate Bonds
NATIONWIDE BUILDING SOCIETY EURO ISSUE 2,000,000.000 98.2800 1,965,600.00 GBP 49,965.86 137,500.00 6.99%
OONV GBP ISINOXS1043181269 3.144.173 76 USO 79,925.37 219.945.00
6.875% 09120188 REG DID 03111114
S8 P Rating BB
Security Identifier: G63980UK3
Total Corporate Bonds : 2,000,000.000 1,986,600.00 GBP 49,966.95 137,600.00
3,144,173.76 USD 79,925 37 219,945.00
Total Fixed Income: 2,000,000.000 1,985,600.00 GBP 49,955.15 137,500.00
3,144,173.76 USO 79,925 37 219,945.00
Pape 4 of a
1)8&11 ROIL A SO cc U o T u H n E t R N N u m O b S er: T N ( 4 .5 G n 4 23 r 1 2 ipGao rpNapeTrleIssA L r R D L x s A a r e e t L e r Os y d At V 1 mR . . . c . Ri . e e A i s b rT i r n E e c D i e C 2 O 0 M 07 M UNICATIONS ..1.1C-703=13333."`•".3.23="*-=2:
SDNY_GM_00046818
CONFIDENTIAL - PURSUANT TO FED. R CRIM, P. 6(e) OB-SDNY-0009642
EFrA_00157427
EFTA01289790

OPIISOfeana Pn•DIPVekatnIAWINT1
ManitIS (PM. GKM,
Otellffil SSA WWI...SW
Now irk Olti•
PC fkol Int. Bali moot MD 21203 JO Pan kao. lkh I 7.4r
Mew *M1 10. )0114
Il 711 4914112L (MI 7.114,9S
Statement Period: 10/01/914 • 10/3112014
Portfolio Holdings (continued)
BRITISH POUND (continued)
Accrued Estimated
Market Value Currency Interest Annual Income
Total BRITISH POUND 2,003,760.00 GBP 49,965.85 137,500.00
3,205,214.50 Is SO 79,925 37 219.945 00
Uarealized Acaued Estimated
Cost Basis Markel Valle Gainf lots Interest Annual Income
Total Portfolio Holdings - U.S. 54,484,661.14 67,860,237.44 -639,538.20 $80,480.93 6441,323.63
DOLLARS
Footnotes
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wilt be reported to the IRS on form 109943 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities. principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attrisutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those invoking continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax retums.
3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous dent brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information.
Pate 5 of 10
Account G-023 12 Rsd tocellerigi
Go paperless (very Vs. Slows 2007
NuOmbesr:Ntsitna
DAENTIAL
DrxAeLsOtuArRtr RaAeTr ED COMMUNICATIONS
SDNCGM_00046819
N YE I
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6:)UTHERh DB-SDNY-0009643
EFTA 00157425
EFTA01289791

Holdings Summary by Currency
Currency Cask Fixed Income Equities Total by Currency
L.S. DOLLARS 1 165 662 1 770 000 1 509 360 4 445,022 LSD
BRIT'S'. POIAD 38,160 1.965 600 0 2 003 760 GBP
Total USD Equivalent 1,220,703 1.914,173 1,509,360 7,650,237 DSO
% of Allocation 18.03% 64.24% 19.73% 100.00%
Messages
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection CorporatioNSIPC).
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at htlpslAwm.dws-investments.corn/EN/productsimoney.market-tundslields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage amount Please see the
money market mutual hind's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Activity Sum m a ry
(AU amounts shown are in base currency)
Credits This Period Year.to.Date Debits This Period Year.to.Date
Securities Securities
Securities 8oughl 0 00 0 00 Securities Bough: 0 00 -6.897.364.62
Total Securities $0.00 $0.00 Total Securities $0.00 -0,697,364.62
Dividends and Interest $50,026.55 $256,030.64 Dividends and Interest $0.00 $0.00
Distributions $0.00 $1,406,259.24 Distributions WOO $0.00
Fees 60.00 $0.00 Fees -$12.00 -$36.00
Cash Cash
Deposits 0 00 911 807 66 Deposits 000 0.00
Total Cash $0.00 $911,1107.86 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits 100 $3,444,150.98 FDIC Insured Bank Deposits $0.00 -11.748,423.06
Money Market Funds $12.00 $1,000,024.00 Money Market Funds -$50.020.55 -82,166,686.94
Total Credits 150,010.55 $7,418,272.52 Total Debits ,150,040.55 -$10,811.510.62
Pap 6 of 10
Account Number: N4G-023 1r2 ip-EN-NAL Rated [nailer.
littAtc trot k SO t,THERk OST IN Go paperless D L v A e L r B y A V R . A R . A T M E D C 2 O 0 M 0 M 7 UNOCATIONS
SDNY_GM_00016820
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009644
EFTA_00 157429
EFTA01289792

by'sr. Mn, 10•410 VrIflin Mamie-via
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Nerrlest10. 1011A
454.71114. (MI 774.4,11,
Statement Period: 10/01/2014 • 10/31/2014
Transactions by Type of Activity
Process/
Settlement
Date Activity Type Description Duane Price accrued Interest Mount Curren
Dividends and Interest
10/28/14 FOREIGN BOND INTEREST 2000000 PETROLEOS DE VENEZUELA NOTES Sal0 R 50.000.00 USD
P7807HAF2 1St/J*0160516525 5.000% 10/28/15 REG OTO 10/28/09
RD 10127 PD 10128114
10/31/11 MONEY MARKET FUND DWS GOV'T CASF INSIL 28.55 USD
INCOME RECEIVED
233993662
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 50,026.55
Fees
1010111/ FOREIGN CUSTODY FEE Fgn Safekeeping SEP 2014 CUSIP. 603980-UK-3 -600 LSD
G63980UK3
1010111/ FOREIGN CUSTODY FEE Fgn Safekeeping SEP 2014 CUSIR P780711-AF-2 .600 LSD
F7807HAF2
Total Fees • UNITED STATES DOLLAR 0.00 -12.00
Money Market Funds
10/02/14 MONEY FUND REDEMPTION °WS GOVT CASE INSTL 12.00 USD
USD999997
10/29/11 MONEY FUND PURCHASE DWSGOVT CAST- INSTL .50.000.00 USD
USD999997
10/31/14 MONEY MARKET FUND DWS GOV CASF INSTL INCOME REINVESTED -28.55 USD
REINVESTMENT
233993682
Total Money Market Funds- UNITED STATES DOLLAR 0.00 -50,016.55
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: TDS Contact Information
TAZ1 SMITH Telephone Number: (212) 454 2889
345 PARK AVENUE 14TH FLOOR
hE17 YORK NY 16151
pap? of 10
100A0 RCM A SO cc U o T u H n E t N RN u m O b S e T r _ 1 C 44 O 6 M - N 0 P 2 A 3 L 1 YE 2 I Go paperless L E l e C im v A x e c L e r M l y d a A V i t m R n . A e R e l . A r l o L T r a E d t D i e C Z O 0 M 07 M UNICATIONS aotimt7».....—Trre S . D .7 N . Y .. _ .-. G 1. M_00046821
CONFIDENTIAL — PURSUANT TO FED. R CRIN,1. P. 6(e) O8-SDNY-0009646
EFTA_00157430
EFTA01289793

Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds. FIRST IN FIRST OUT
Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Bond Amortization Elections:
Treat al interest as original issue discount (DID): No
Amortize premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types: Ratable Method
Include market discount in income annually: No
Electronic Delivery
You have not selected any account tom m unications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for mote inform ation.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in you account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted.
have been obtained from independent vendor services. which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is
not available am marked 'WA' and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time,
and may be affected by current and future economic. political. and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
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
vAwripershing.cornThusiness_continuity.htinl for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You coil
not receive confirmation of these reinvestments. Upon when request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order lbw.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available won written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itseff or others in accordance vrith the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to a from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otheorirse. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Poofs. Reproducing and distributing any information received from Standard & Poots is not permitted without prior written
mitrgiv,,,commumrsroisP age 8 of f0
Osciskir
Account Number. N40423 12 D.EN Lttit:L.
Go paperless
URA', ,t0.1 SOU THE RN Om.. LAC ••••••vOISIOril•
SDNY_GM_00046822
CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) DB-SDNY-0009646
EFDLOOI 57431
EFTA01289794

DestineSim P If lir VrItal,l Ma ml Int.
Marat$ Cowan 4.p.p
Des.$01 Sank Settonel
NOtarriOlti•
HS put AMIN*. 26l, to
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1.1214914718.11141 78114 MS
Statement Period:1810112114 • 10/3112014
Important Information and Disclosures (continued)
Ratings (ccn:inued)
authorization from Standard & Poor's. Standard 8 Poor's does not guarantee the accuracy, completeness, timeliness or availabilay of any information. Standard 8 Pools is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content Standard ex Pools makes no express or implied warranties includng warranties of merchantability or fitness for a particular purpose.
Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sell securities; and do not address suitabiMy for investment purpose. Credit ratings should not be relied upon as investment advice.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (i) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controling or under cornrow control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where appicable; the rendering of investment advice, if any, to you and in general, faille ongoing relationship that it has with you.
• Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC1. Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: vmw.pershing.corn/strength_stability.html.
• This statement will be deemed concksive. 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 urge the Securities Investor
Protection Act
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza,
Jersey City, New Jersey 07399: (201) 4134330. 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 linked in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators wit typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Page 9 010
WOAD Mel Account Number: NG-023812 GOPa perless Ct; ( C I r v t xA a e e l L r a nM y d u A V e mR x a m c M n e e ll U S r e O n D S t, O , C 2 O 0 M 07 M UNCATIONS .11:L.trorx.r,==tr i=
SDNY_GM_00048823
CONFIDENTIAL - PURSUANT TO FED. R CRIM, 67Hutz5NriprwriAL OB-SDNY-0009647
EFTA_OO157432
EFTA01289795

Important Information and Disclosures (continued)
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until: (I) the class certification is denied: (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC, Legal Department One Pershing Plaza, Jersey City, New Jersey 07399; (201) 013-3330.
Page 10 of 19
Account Number:NG-023 12 Rama excellent
MOtt 69:erreLTNERN j34 D G A o p E ap N erl T es I s A L [ rD v xA e cL r i y Oa Ar Y tRr e aR w eA S rT i E nc D e C 2 O 0 M 07 M UNICATIONS •••••••••.c —4-••••••• •••••
SDNY_GM_00046824
ann
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0009648
EFTA_00 157433
EFTA01289796

(Misr< 0." lionie w,Yn mamip-wa
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P.O S.1775, Swam seD2IXO HI Part einows. )Mu Szcr
War int WI 10154
(M)454.78141.1.1”7.114:31
Account Number: N46-023812
Statement Period: 09101/2114 -0913012014
Valuation at a Glance This Period Year-to-Date
SOUTHERN TRUST COMPANY INC Beginning Account Value $7,949,244.06 36,467,677.92
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 0.00 911.807.66
ST THOMAS VI 00802 Adjusted Previous Account Value 7,949,244.06 7,369,365.58
Dividends, Interest and Other Income 21.51 206,002.09
het Other Activity 0 00 -2100
net Chan e in Pollak° -387.58910 -13,681.50
nding Account Value 67.56 1 682 17 57,561 682 17
Your Client Advisor: Estim aced Annual Income 5444 124 03
TAZIA SM ITF
(212) 454.2889
Asset Allocation Prior Year.Ead Last Period This Period % Allocation
4-SD Cash. Money Funds. and Bank Deposits 1,695,727.92 1,115,618.88 1,115,616.39 14.75% Please review your allocation
A on-USD Fixed Income 1,650,000.00 5,215,870.50 1,819,172.21 64.13% Assets of less than 1% of holdings
LSO Equities 1.530,15000 1,554,390.00 1,535,010.00 20.30% we not &Spy on thtS pe Man.
h on-U SD Cash, Money Funds, and Bank Deposits 0.00 63,361.68 61,853.51 0.82%
LSD Fixed Income 1.581.100.00 0.00 0.00 0.00%
Account Total (Pie Chart) 36,457,577.92 $7,949,214.06 $7,501,662.17 100.00%
See the Asset A location Disclosure and Footnotes secten for important informaten regarding your Asset Atosabon.
Page Hifi
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MIAS ROtt B010121/CSP30023 Go paperless t o E DA n L v O y A Y R e a R r A L T a E t D e C 2 O 0 M 07 M UNICATIONS vas.. use ••••••••••.. mac
CONF exalt unser
SDNY_GM_000461325
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009649
EFTA_00157434
EFTA01289797

Asset Allocation Disclosure and Footnotes
All values are displayed m U.S. dollars based on Interbank exchange rates as of 09/3012014. Exchange rates can vary.
Summary of Gains and Losses
Realized
This Period Year.to-Date Unrealized
Short-Term Gain/Loss 0 00 000 -165,747 60
Long-Term Gain/Loss 000 ,193,740.76 105,592.50
Net Galn/Loss 0.00 413,140.76 40,166.10
This summary excludes transactions where cost basis information is not available.
Exchange Rate Table Global Cash
Currency Closing Mount in
Currency USD Equivalent per USD Currency Balance Base Correa, USD
BRITISt- POL ND 1 6209 0 6169 BRMSI- POLND 38.16000 61,853.54
Total Global Cash Balance 651,863.54
Exchange rates are based on interbank exchange rates as of 09/30/2014. Exchange rates can vary
Money Market Fund Detail
Date Activity Type Desaiption Mont Balsa
Sweep Money Market Fund
DWS GOVERN M ENT CASH INSTL
Account Number: 0000001189 Current Yield 0.03% Activity Ending: 09/30111
08130/11 Opening Balance 1,115,818.88 1,115416.88
09130/11 Deposit INCOME REIN VEST 27.51 1,115,646.39
09130114 Closing Balance $1,116,646.39
Total All Money Market Funds $1,116,646.39
Income and Expense Summary
Current Period Year•laale
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 0.00 0.00 90,813.75 0.00
Money Market 27.51 0.00 111.72 0.00
Interest Income
Bond Interest 0.00 0.00 50,000.00 0.00
FDIC Insured Bank Depaits 0.00 0.00 80.58 0.00
Total Dividends, Interest, Income and Expenses $27.51 $0.00 6141,069.03 $0.00
Page? of 11
Account Numcbesr: N4O6423N012 YADriTriAllt Rated tscolierigi
Go paperless Bray v... since 2007 eatr•orrrOanal. ..r.....•••••••••IV NS,
SOUTHERN rDxAeLsBtAuRr nReArT ED COMMUNCATIONS
SDNY GM 00046826
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6 DB-SDNY-0009650
EFTA_00 157435
EFTA01289798

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0 Ili 454.71114.11.4178/.4,91,
Statement Period: 0910112114 • 09/3012014
Portfolio Holdings
U.S. DOLLARS
Account Activity Opening Closing Accrued Income 30.Day Carrot
Opening Date Quantity Number Ending Balance Balance Income This Year Tied Yield
Cash, Money Funds, and Bank Deposits
Money Market
DWS GOVERNMENT CASH INSTL
08130114 1.115,616.390 0000001489 0900/14 1,115,618.88 1,115,616.39 0.00 144.72 0.03% 0.03%
Total Money Market 61,116,616.60 $1,115,646.39 10.00 $144.72
FDIC Insured Bank Depodts
INSURED DEPOSITS PROGRAM
08130/14 N46023812 0913011/ 0.00 0.00 0.00 80.56 WA N/A
Total FDIC Insured Bank Deposits $0.00 10.00 10.00 180.66
Total Cash, Money Funds, and Bank Deposits 61,116,616.06 $1,115,646.39 10.00 $225.28
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Ouaetity U.MCol C011 Basis Market Price Market Value Gain/Loss Interest Annual Income Yield
Fixed Income (In Maturity Dare Sequence)
Corporate Bonds
PETROLEOS OE VENEZUELA Security Identifier: P7607HAF7
KOTESSEKIOR ISIAB XS0460546525
5.000% 10/28/15 REG DID 10/28/09 Sd P Rating Be
12101/13 %tit 2.000.000.000 940370 1,880,747.60 85.7500 1,715,000.00 ,165,717.60 42,22222 100,000.00 5.83%
Ofiginal Col Bade $1.800.000.00
Total Corporate Bonds $1,880,747.60 41,716,000.00 .416074710 142,222.22 $100,000.00
2,000,000.000
Total Fixed Income $1080,747.60 $1,115,000.00 •4165,747.40 $42,222.22 $100,000.00
2,000,000.000
Page3011
Account Number: N46423812 Cso paperless (it nal tscolkingi
• ,I217,7SF!' 08AB IOU DENTIA r E Dx v A e eL r Om y A 'e Rm a P r eA S rT e E n D to C 2 O '0 M 07 M UNOLTIONS Pale. um, •••••••• rasa maw. MC
SON Y_GM_0004 61327
CONFIDENTIAL — PURSUANT TO FED. R 67,L,THERtic soln OB-SDNY-0009651
EFTA_00 I 57436
EFTA01289799

Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Dale Acquired Quantity Usk Cod Cod Basis Market Price Markel Value Geld Loss Annual Income Yield
Equities
Prelerred Stoats (Used by expiration date)
ALLY FINL INC FIX TO FLT Security Identifier: ALLY PRO
DIV4.50% FREO-OTRLYCALLABLEC 25.00 CUSP. 020051408
ON AOTRLY BASIS AFTER 05115/2016
Dividend Option: Cash
06111113 ..I3 57,000.000 25.0780 1,429,417.50 26.9300 1,535,010.00 105,592.50 '2' 125 JD 7 ,c)(1
Total Preferred Stocks 51,429,417.50 $1,535,010.00 $105,592.50 1121,125.00
Total Equities 51,420,417.50 $1,535,010.00 $105,592.50 1121.125.00
Unrealized Accrued Estimated
Cod Basis Market Value Gam/ loss Interest Annual Income
Total U.S. DOLLARS $4,425,811A9 14,365,656.39 ,160,155.10 142,222.22 1211.350.28
BRITISH POUND
Opening Closing Accrued 30-Day
Cescr Quantity Balance Balance Currency Income Yield
Cash, Money Funds, and Bank Deposits
Global Cash Balance 38,160.00 38,180.00 GBP
61,853.54 USO
Total Cash, Money Funds, and Bank Deposits 38,160.00 38,160.00 GBP 0.00
61,853.54 USD 0.00
Accrued Estimated Estimated
Disc:idiot Duality Market Price Market Value Currency Interest Annual Income Yield
Fixed Income fin ;Manly Date Sequence)
Corporate Bonds
NAIIONW IDE BUILDING SOCIETY EURO ISSUE 2,000,000.000 96.8800 1,933,600.00 GBP 39,319.07 137,500.00 7.11%
CONY GBP MIN/ XS1043181269 3.134.17224 USD 62,112.36 222.873.75
6.875% 09120188 REG DTD 03111114
SS P Rating Brir
Security Identifier G63980UK3
Total Corporate Bonds : 2,000,000.000 1,933,600.00 GBP 38,39.67 137,600.00
3,134,172.24 USD 62,112.36 222,873.75
Total Fixed Income: 2,000,000.000 1,933,600.00 GBP 38,319.67 137,500.00
3.134.172.24 USO 62,112 36 222,873 75
Page 4 of 11
Account Numberd N4G-023r 12 ' Rata. tacollona
OltAN Mel u rn D G A o E pap N er T les I s A D [v A e L r B y B Y B .L R . A W TE oe D s C 2 O 0 M 07 M UNICATIONS
SDNY_GM_000464328
CONFIDENTIAL - PURSUANT TO FED. R 6rejLTHERk OB-SDNY-0009652
EFTA_00 57437
EFTA01289800

Gnaw< Rana 7rmair Wealth lapmgeneit
Weals %ewe GnaP
Dettsch4 M Smolt. +a.
lire Ion Onto
PC. Sot 1776. 9,8 moot MD 21202 HI Put A . 160. I ter
War wet 1,tt 10114
vul 454.7114.11151774.4,91,
Statement Period: 0910112014 • 09/3012014
Portfolio Holdings (continued)
BRITISH POUND (continued)
Accrued Estimated
Market Value Currency Interest Annual Income
Total BRITISH POUND 1,971,760.00 GBP 38,319.67 137,500.00
3,196,025.78 1,50 62,11236 222 87375
Ilereallzed Accrued Estimated
Cost Basis Merkel Valle Gale( loss Interest Annual Income
Total Portfolio Holdings - U.S. 34,425,811.49 $7,561,012.17 .S60,155.10 3104,334.50 $444,224.03
DOLLARS
Footnotes
Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wilt be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as folows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt secunties and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfoko system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous dent brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering fern or transferring agent and Pershing makes no representation as to the accuracy of this information.
Page S of II
Account Numcber:s NG-o0238l12n cs; Rabid Excellent,
OBAI1 ROLL SO U TH ERN D G r o I p S ap I e T rles I s A E Drx v Ae e Lr n Bt t u A Y rR e im R ar eA S rT i n E c D e C 2 O 9 M 0 A 7 I LIPOCATIONS
SDNY_GM_00046829
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 8(e) DB-SDNY-0009653
EFrA_00157438
EFTA01289801

Holdings Summary by Currency
Currency Cash Fixed Income Equities Total by grimy
L S. DOLLARS ' 115,646 1.715 000 1,58,010 4.385,651 US0
BRITISh POL `1, C 38,160 1 933 600 0 1,971,760 GBP
Total USD Equivalent 1,177,499 4.849,172 1,535.010 7,661,682 ISO
% of Allocation 16.67% 64.13% 20.30% 100.00%
M essa es
Pursuant to the Securities Exchange Act of 1934, Pershing LLc (Pershing), a BNY Mellon company, provides individual investors with certain financial information on a semi-annual basis.
Pershing's June Statement of Financial Condition is now available. On June 30, 2014, Pershing's net capital
of 51.848 billion was 12.4% of aggregate debit balances and exceeded the minimum requirements by $1.55 billion.
Pershing is also requeed to provide the most recent financial information as of this statement mailing. In accordance with this requirement, note that on July 31, 2014, Pershing's net capital of $1.88 billion was
12.74% of aggregate debit balances and exceeded the minimum requirement by $1.59 billion.
A copy of the June 30, 2014, Statement of Financial Condition is available at pershing.corratatement_of_financial_condition.html. You may also request a free, printed copy by calling (888) 860-8510 or (201)
413-4200, option *6.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:/Nnwrdws-investments.corn/EN/products/money•market-fundslields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual hind. 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.
Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset 8 Wealth Management brand and
future communications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and
investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC.
The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding.
Page 8 of it
Account Numcbers: N4o6423r81i2 n r ite*. Rated taceibriti
Go paperless [very Year Lace 2007
SO U TH ERN DrISITIA DrxAaLrBaArRtr aReArT ED COMMUNCATIONS • lac,. VS ,wa.-c
SON Y_GM_000464330
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009654
EFIA_00 157439
EFTA01289802

(Misr* Rana P.m,. Weida stragenmt
Weals Coon., 6,0‘P
Oftisov Sat Settones +Ic
lire wan (/IN
PC. Boi 1776 Elul rr(xt Mtn Hann •••••••• 160. I bet
Nem wet 10114
IM)41.4.71114. mat 741.4,91,
Statement Period: 0910112014 • 09/30/2014
Activity Sum m ary (At/ amounts show are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Secunties Bought 000 000 Secunties Bought 000 -6.897.361.62
Total Seaulties 10.00 $0.00 Total Securities $0.00 -$8,897,364.82
Dividends and Interest $27.51 $208,002.09 Dividends and Interest $0.00 30.00
Distributions $0.00 $1,806,259.21 Distributions $0.00 $0.00
Fees $0.00 $0.00 Fees $0.00 -$24.00
Cash Cash
Deposits 000 911 807 66 Deposits 0 00 0 00
Total Cash $0.00 $911,807.68 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $0.00 33,441,150.98 FDIC Insured Bank Deposits $0.00 -$1,718,423.06
Money Market Funds $0.00 $1,000,012.00 Money Market Funds .$27.51 -$2,115,658.39
Total Credits $27.51 $7,388,231.97 Total Debits -$27.51 -$10,781,470.07
Transactions by Type of Activity
Process/
Settlement
Date Adivity Type Description Quantity Price kneed Interest Amount Currency
Dividends and Interest
09130114 MONEY MARKET FUND DWSGOVT CASK INS% 2751 LSD
INCOME RECEIVED
233993682
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 27.51
Money Market Funds
09130114 MONEY UNMET FUND DYVSGOVT CASI- INCOME REINVESTED .27.51 LSD
REINVESTMENT
233993682
Total Money Market Funds - UNITED STATES DOLLAR 0.00 -27.51
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
n Page? of 11
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SDNY_GM_000468.31
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 13(e) DB-SDNY-0009655
EFTA_00 1574410
EFTA01289803

Client Service Information
Your Client Advisor: TDS Contact Information
TAZIA SMITH Telephone Number: f212) 454-2889
305 PARK AVENUE 14TH FLOOR
NEWYORK NY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Electronic Delivery
You have not selected any account comm unications for electronic delivery. To register arid turn off paper comm unications. log in to your account or contact your Client Advisor for more information.
Important Information and Disclosures
Pricing
This section includes the net market value of the secunbes in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from
sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is
not available are marked 'eNJA— and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time,
and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities, interest and dividend rates, and prices remain constant A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to
VAWI.pershing.ccfnibusiness_continuity.html for specific detais 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 wet
not reserve confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in conformations previously fumished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vole your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Page 8 of 11
Account Kum Der N4G-023812 e k tocolkingi
OttAl, ROI{ Ceo paperless [ ( M ve I r A y M VS I R A S T O E S D O , C 2 O 0 M 07 M UNICATIONS
DrISITIA rxesurner
SDNY_GM_000461332
CONFIDENTIAL — PURSUANT TO FED. R DRINA. P. 67,L,THERhc sONn OB-SDNY-0009656
EFTA_00157441
EFTA01289804

Ora'sr. Ram 00.410 "Malin Manalinern
Pdinet% COnetartnyp
Des-WM Mai Sewn..., Lac.
Yw 1.4 Mt*
lo Pan Artist. Ikh I ber
New** rtY 1011.4
454.71114. Ins)774.4711,
Statement Period: 09/0112014 • 09/30/2014
Important Information and Disclosures (continued)
Ratings
This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written
authorization from Standard & Poor's. Standard & Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or
omissions, regardless of the cause, of for the results of using such content Standard & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Popes 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.
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 hable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will no hoed Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable, the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. Fa more detailed information please visit: vrivw.pershing.conttrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt
of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights. including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey
City. New Jersey 02399; (201)413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators wil typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Page 9 of it
OSOTT1
DRAB MOLL A S c O c L o T u H n E t N RA u mber. N4G-023 1 r 2 ipG-O5 1pa\p1er1le1ssA L R rD L x v A a c e t L e r i Oa y d A r V e tR x r s c aR r e eA ll S r e T a n E n t D , t e C 2 O 0 S 0 M 7 IUMICATIONS ••C
SDNY_GM_00046833
CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) OB-SDNY-0009657
EFIA_00157442
EFTA01289805

Important Inform ation and Disclosures (continued)
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration. nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until: (I) the class certification is denied: (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza: Jersey City, New Jersey 07399; (201)413-3330.
srennn DriscriAL Page 10 of 11
Account Number N46-023 12 Rated tacollonl
IntAN 4011 S0UTHERk Oo Go paperless L Drx y Ae o LsO n i , u A Y rRn e R w aAe L Tr a E c D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046834
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009658
EFTA_00157443
EFTA01289806

TERMS AND CONDITIONS
TRANSACTIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. ODD LOT DEALER.
• ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSIT1ONER ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY
SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. LIAAfIFS. RULINGS AND TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, IF ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS
• TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN AVAILABLE UPON REQUEST.
WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT
DATE. WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF I T WILL BE MAILED UPON YOUR WRIT TEN REQUEST OR YOU CAN
• YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT WWW.PERSHING.COM.
STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES:
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. WYMIPERSHING COWBUSINESS_CONTINUITY.HTML
THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS
FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS-
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. RULE 607(A)(1)-(2)]
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
FINANCIAL INSTITUTION l; YOU DESIRE ADDITIONAL COPIES. SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS
MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT Cf PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST.
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR PAYMENT.
INSPECTION UPON REQUEST. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
TAX INFORMATION FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE
COUNTER AND EXCHANGE.LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS.
• AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN
REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED
P S R TA O T V E ID M E E N TH T A T T O I N PR FO EP R A M R A E T I Y O O N U O R N T T A H X E F I A L N IN N G U S A . L T T H A E X T IN AX FO S R TA M T A E T M IO E N N S T T A A L T S E O M I E N N C T L U T D O E Y S O O U T : H U E S R E U TH SE A F T UL M CO AR N K T E A T C T C S E M NT A E R R K S E T D C O E N N O T T E M RS A K T E O A O M BT A A R I K N E A T N IN E X T E H C E U S T U IO B N JE . C TH T E S E D C E U S R IG IT N Y A . T P E E D R M SH AR IN K G E D T I C R E E N C T T E L R Y S TO
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH
• DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHCWN ON THIS STATEMENT WERE CLASSIFIED QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE
AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF TIM DISTRIBUTION OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHN G ALSO REGULARLY
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES.
GENERAL INFORMATION.
• PERSHING GOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE
ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCH ADVICE, IF GWEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL. INFORMATION
• WHENEVER YOU ARE INDEBTED TO PERSHING LLC rPERSHING1 FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME, WITHOUT TENDER,
DEMAND OR NOTICE TO YOU. CLOSE CR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR
PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS:
ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR
YOUR ACCOUNT ARE OR MAY BE, WITHOUT FURTHER NOTICE TO YOU, LOANED OR PLEDGED BY
PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE
COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR
GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT
PROHIBITED BY LAW.
IF ANY OF TIE ABOVE TERMS AND CONDITIONS ARE UNACCEPTABLE TO YOU. PLEASE NOTIFY PERENINO IWEDIATELY IN WRITING BY CERTIRED MIL TO LYE PERSHING PLAZA. JEREMY CITY.H IM W, ATM LEGAL DEPT
Page11011
Account Number N4G-023 12 RANA Eaco.NrA
b :,IC::1,7SFYA22 LMAD ROLE SO TH ERA Go paperless E D f7 v A C e L I r O R y A I y S R e I a O R r A C S T I E iv O a O 2 D 0 O 0 N 7 A LINICATIONS
SDNY_GM_00046835
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CCM D AENTIAL DB-SDNY-0009659
EFTA_00 157444
EFTA01289807

Onalsre Ram PonI, Wirolint aM,ap napnad
DePsdfiunniCf sM Co w S a e n tio nci 4%.
Mn wan Ma.
PA. Set 1776. bliers•MD2i203 Ma not
Alatieg. OMOOP
N4e9w1 V4eWst. W1.Y1 41107181141 4TS
I/ In
Account Number: N46-023812
Statement Period: 0810112814 -0813112014
Valuation at a Glance
This Period Year-to-Date
SOUTHERN TRUST COMPANY INC Beginning Account Value 98,019,724.87 $0,457,577.92
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 0 00 911.801.66
ST THOMAS VI 00802 Adjusted Previous Account Value 8,019,724.81 7,369,385.5$
Dividends, Interest and Other Income 30.309.25 295.974.58
het Other Activity 0 00 -2100
het Charlie in Portfolio -100,790B6 373,907.90
nclinp Account Value S7.949 244 06 57,949 244.06
Your Client Advisor: Estimated Annual tricorn e 5449,641 52
TAZIA SM ITF
(212) 454-2889
Asset Allocation
Prior Year-End Last Period This Period % Allocation
LSD Cash. Money Funds. and Bank Deposits 1,695,727.92 1,085,309.63 1,115.618.88 14.03% Please review your allocation
hoe-LSD Fixed Income 1,650,000.00 5,323,587.34 5,215,870.50 65.62% i Assets of less than 1% of holdings
LSD Equities 1,530,15000 1,546,410.00 1.554,390 00 19.55% wil not dsoay on ins pre Man.
hon-L SD Cash, Money Funds and Bank Deposits 0.00 61,417.90 63,361 68 0.80%
LSD Fixed Income 1.581.400.00 0.00 0.00 0.00%
Account Total (Pte Chart) 96,157,57712 18,019,72417 $7,919.214.06 100.00%
See the Asset A bcabon Disclosure and Footnotes secton (Of Important informaton regardrig your Asset Allocation.
Page 1 of 9
DRAB ((Diu B00972S 3CSP300IS E R v a e te rB d , A Y ts Ro z Re e . l A l e ST r inE e e l D l . C2O0M07M UNICATIONS
CON Fl D('EKDIfisAL rDxAaLr turner
SDNY_GM_000461136
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009660
EFTA_00157445
EFTA01289808

Asset Allocation Disclosure and Footnotes
Al values are displayed m U.S. dollars based on interbank exchange rates as of 08/31r2014 Exchange rates can vary.
Summary of Gains and Losses
Realized
Ibis Period Year-to-Date Unrealized
Short-Term Gain/LOSS 000 000 -12.093.03
Long-Term Gain/Loss 0.00 -193,740.76 124,972.50
Net Galn/Loss 0.00 -193,740.76 112,179.47
This summary excludes transactions where cost basis information is not available.
Exchange Rate Table Global Cash
Currency Closing Amount in
Currency USO Equivalent per USD Currency Balance Bale Currency USD
8RITIS- POL 1 6605 0.6022 BRITISI- POLND 38,160.00 63,364.68
Total Global Cash Balance 963,364.68
Exchange rates are based on interbank exchange rates as of 08/31/2014. Exchange rates can vary.
Money Market Fund Detail
Date Adivity Type Descriqica Amount Balance
Sweep Money Market Fund
DWS GOVERN II ENT CASH INSTL
Account Number: 0000001489 Current Yield 0.03% Activity Ending: 08129/14
08101114 Opening Balance 1,085,109.63 1,085,309.63
08118114 Dapped MONEY FUND PURCHASE 30,28115 1,115,590.88
08129114 Deposit INCOME REINVEST 28.00 1,115,618.88
08129114 Closing Balance $1,115,618.81
Total All Money Market Funds 11,115,618.81
Income and Expense Summary
Current Period Year-to-Date
Taxable Non Taxable Taxable Mon Taxable
Dividend Income
Equines 30,181.25 0.00 90,843.75 000
Money Market 28.00 0.00 117.21 0 CO
Page 2 oil
0..7 701 t 6: Ac " co " un E t N t umber s : e N46- i 02 n 3812 n D G AL O 1 pa S pe I rl T es I s A r R D L x v a A e e c L e r sO y d At V t iR w m e R s a e t A t W , r T * o E rd C D i e 0 2 0 0 7/ 0 1 7 1 0100CATIONS
SDNY_GM_00046837
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0009661
EFTA_00 157446
EFTA01289809

Ora'sof Mn, Pon. Weahn Pamagenen
Pdaeals Cisme 6,0.p
Dettschi Sank Smelts %..c
Mn Mt*
14S Pan Ass,. 260. I Wei.
Newlin* rev 1011.4
0121454.71119.1115178/.4,91,
Statement Period: 0810112114 -0$131!2114
Income and Expense Summary (continued) Current Period Year-to-Date
Taxable Non Taxable Taxable Non Taxable
Interest Income
Bond Interest 0.00 0.00 50,000.00 0.00
FDIC Insured Bank Deposits 0.00 0.00 80.56 0.00
Total Dividends, Interest, Income and Expenses $30,309.25 $0.00 $141,041.52 $0.00
Portfolio Holdings
U.S. DOLLARS
Account Activity Opening Dosing Accrued Wore 30-Day Carrell
Opening Date Quantity Number Bldg Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits
Money Market
DV/S GOVERN M ENT CASH I NSTL
08/01114 1.115.618 880 0000001489 08129114 1.085.309.83 1.115.618.88 0.92 117 21 003% 0.03%
Total Money Market $1,085,309.63 $1,115,811.58 $0.92 $117.21
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
08101/14 A4023812 0809/14 0.00 0.00 0.00 80.56 6,1A NiA
Total FDIC Insured Bank Deposits $0.00 $0.00 30.00 680.58
Total Cash, Money Funds, and Bank Deposits $1,085,309.83 $1,115,618.88 $0.92 $197.77
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gala, Loss Interest Annual Income Yield
Fixed Income (in Maturity Date Sequence)
Corporate Bonds
PETROLEO S OE VENEZUELA Security Identifier: P7807HAF2
NOTES SEA IQ R ISIASX.93460546525
SEM% 10/28/15 REG DTO 10/28109 S 8 P Rating tPi
12104/13 '.3.11 2.000.000 000 93 6050 1172.093 03 93.0000 1.860.000 00 -12,093 03 33.888 89 100.000 00 5,37%
Original Cost Basis: $1.800,000.00
Total Corporate Bonds $1,872,093.03 $1,860,000.00 ,112,093.03 333,888.49 $100,000.00
2,000,000.000
Total Fixed Income $1,672,093.03 11,860,000.00 ,112,093.03 $33,888.89 $100,000.00
2,000,000.000
Page 3 of 9
Account Number: N46-023812 Go paperless Rated tocellordi
Mint, ROI t DAENTIA r L Cx y Ae o LM n r , a A V tRm a R s e t A S rT a E t D o C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00046438
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6; HERhusign DB-SDNY-0009662
EFTA_00157,4417
EFTA01289810

Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Uarulited Estimated Estimated
Date Acquired Quantity Uel1 Coal Cost Basis Market Price Markel Value GalalLoss Annual Income Yield
Equities
Preferred Stocks (Listed by 'spine« des)
ALLY FINL. INC PERP PFD FIXEDIFLTG RATE Security Identifier: ALLY PRB
SERA CALLABLE COUPON 8.5% CL.SIE. 02009%308
PERPETUAL MATURITY CALL° 25 05115116
Dividend Option: Cash
.,
06111113'•'3 57.000.000 25.0780 1,429,417.50 27 2700 1,554,390.00 124,972.50 '2' 12533 y%
Total Preferred Stocks $1,429,417.50 $1,554,390.00 $124,972.50 1121,125.00
Total Equities $1,429,417.50 $1,554,390.00 $124,972.50 1121,125.00
Unrealized Accrued Estimated
Cost Basis Market Value Gam/ loss Interest Annual Income
Total U.S. DOLLARS 84,417,119.41 $4,530,008.88 $112,879.47 133,888.89 1221.322.77
BRITISH POUND
Opening Posing Accrued 30-Day
Description Daintily Balance Balance Currency Income Yield
Cash, Money Funds, and Bank Deposits
Global Cash Balana 38,160.00 38,160.00 GBP
63,361 68 tiSD
Total Cash, Money Funds, and Bank Deposits 30,160.00 38,160.00 GBP 0.00
63,361.68 USD 0.00
Acaued Estimated Estimated
Desaiptioe 1/entity Market Price Market Value Currency Interest Annual Income Yield
Fixed Income (In Maturity Oat* Sequence)
Corporate Bonds
NATIONWIDE BUILDING SOCIETY EURO ISSUE 2,000,000.000 101.0500 2,021,000.00 GBP 0.00 137,500.00 6.80%
CONY GBP ISIN/XSIG13181269 3.355.870 50 US() 0.00 228.318.75
6.875% 09/20188 REG DTD 03111114
SI P Rating 8B•
Security Identifier: 6639801/K3
Total Corporate Bonds : 2,000,000.000 2,021,000.00 GBP 0.00 137,500.00
3,355,870.50 US° 0.00 228,318.75
Total Fixed Income: 2,000,000.000 2,021,000.00 GBP 0.00 137,500.00
3,355.870.50 USD 0.00 228.318.75
Page 4 of 9
6Asoc(cerotuintENR rebers:6N4Gi-0n23811r2
Rated Leaner.
Mint, VOI. IDGc>=PaPeriesslAtIki. D E rx v A e eL r Br y t A V uR e N e R r eA S rT i E nc D e C ? O O M W M ' UNCATIONS
SDNY_GM_00046839
CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. DB-SDNY-0009663
EFIA_00 157448
EFTA01289811

Or.isot Rana PnwPIP *main Paragenen
Pavans Coon. 6,04,
01.1141*M SttlelelW
wan Mt*
PC fkol Int. Bali moot MD 21203 10PIA A . MTh I bgr
New** IT 10114
IMI454.711114.111%)78/.4,91,
Statement Period: 08/0112014 • 0813112014
Portfolio Holdings (continued)
BRITISH POUND (continued)
Accrued Estimated
Market Value Currency Interest Annual Income
Total BRITISH POUND 2,059,160.00 GBP 0.00 137,500.00
3,419,235.18 140 000 228 318 75
Unrealized Accrued Estimated
Cod Basis MartelWee Gainfloss Interest Annual Income
Total Portfolio Holdings - U.S. $4,417,129.41 27,949,244.06 3112,879.47 $33,868.89 3449,641.52
DOLLARS
Footnotes
Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period. as follows:
• Stock in a corporation acquired on or after January 1.2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt secunties and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and cedar attnbites. obtained from
sources believed to be reliable. In the event, one or more of these attrbutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax retums.
3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous dent brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information.
Page 5 of
Account Number:NG-023M e t ir kat.. tscolloni
ORA* ROLt D G E o p N ape T r le I ss A r ( C v xA e eL r sM y t Au V Rr e t Ra st Ae S rT a E n D te C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046840
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P.
6:906THERhcsogn
DB-SDNY-0009664
EFTA_00157449
EFTA01289812

Holdings Summary by Currency
Currency Cask Fixed Income Equities Total by Currency
L S DOLLARS 1,115618 1.860 000 1 554 390 4 530 008 LSD
BRITISH POUND 38.160 2.021 000 0 2 059 160 GBP
Total USD Equivalent 1.178,983 6.20,870 1,654,390 7,949,244 USD
% of Allocation 14.83% 85.62% 19.55% 100.00%
Messages
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Comoration.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https://swnv.dws-investments.conVEN/products/money-market-tunds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information.
Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset & Wealth Management brand and
future communications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and
investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC.
The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding.
Activity Summary WI amounts show are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Secunbes Sought 0.00 0.00 Secunbes Bought 0.00 -6.897.364.62
Total Securities $0.00 WOO Total Securities WOO -0,697,384.82
Dividends and Interest $30,309.26 $205,974.68 Dividends and Interest Woo $0.00
Distributions $00 $1,808,259.24 Distributions WOO $0.00
Fees WOO WOO Fees $0.00 -$24.00
Cash Cash
Deposits 0.00 911 807.66 Deposits 000 000
Total Cash $0.00 $911,807.88 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $0.00 $3,444,150.98 FDIC Insured Bank Deposits WOO .$1,748,423.06
Money Market Funds $0.00 $1,000,012.00 Money Market Funds -$30,309.25 -$2,115,630.88
Total Credits $30,309.25 $7,368,204.46 Total Debits .$30,309.25 .$10,761,442.56
Page 6 of 9
Account Num be; N4G-023 12 Go paperless kilted 2...0.0.ra
OAAT, +c>I SOL THERA CbennElDrISITIAL D ( e v A x e L c r B y la A V i R m s S . e A $ r U 1 0 D 0, C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046841
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009665
EFTA_00 157450
EFTA01289813

(Misr< Rana DrM m vita n•Apmgentot
Wrens Co...mg< 6,04,
MAUI ML Settones +Ic
Oilt•
PC. Bat 177S. Balt moot MD 21203 HI Pon Annus. Ita ter
War int We 10114
01))4:444/4. ISIS) 7/44:95
Statement Period: 0 8/0112114 -0113112114
Transactions by Type of Activity
Process(
Settlement
Date Activity r Description Iae 1e Accrud Interest Amount Curren7
Dividends and Interest
08/15/14 CASH DIVIDEND RECEIVED 57000 SI- RS ALLY FAL INC PERP PFD FIXED/FLTG RATE SERA 30.281.25 USD
ALLY PRB CALLABLE COUPON 85% PERPETUAL MATURITY CALLA 25
05115/16 RD 08/01 PD 08115114
08/29/14 MONEY MARKET FUND DWSGOVT CASE, INSTL 28.00 USO
INCOME RECEIVED
233993682
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 30,309.25
Money Market Funds
08718/14 MONEY FUND PURCI-ASE DWSGOVT CASK INSTL -30,201 25 USO
US0999997
08129114 MONEY MARKET FUND DWS GOVT CAST INSTL INCOME REINVESTED .28.00 LSD
REINVESTMENT
233993682
Total Money Market Funds • UNITED STATES DOLLAR 0.00 -30,309.25
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: TDS Contact Information
TAZIA SMITH Telephone Number: 1212)454-2889
345 PAFM AVENUE 14TH FLOOR
NEWYORK NY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Sods In a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Pape T of 9
Account Number. N4G-023 12 Go paperless Rated tacelbra
I,HAx v0rr SOUTHERN nenNYEIDAENTIAL Dr L x v A e e r I y mS Y *m e . a Se r A S rT i E nc D e C 2 O 0 M 07 M UNKATIONS
SDNY_GM_00046842
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009666
EFTA_00I5745 I
EFTA01289814

Your Account Information
(continued)
Electronic Delivery
You have not selected any account com m unications for electronic delivery. To register and turn off paper corn m unications. log in to your account or contact your client Advisor for more inform alion.
m portant Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including shod positions, at the dose of the statement period. The market prices have been obtained from
sources which we believe to be reliable. Pershing may nal use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is
not available are marked "'N/A' and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time,
and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
vnwrpershing.cornibusiness_conbnuity.tdrri for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wil
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions. including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends arid similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Pooes 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 & Pooes is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content. Standard & Pooes makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & POO'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.
Page 8 of 9
°ewe Rea Account Number: N4G-023812 co paperless R D (v A a e t L e r O y d A ' [ I s R a a R n n A S e T i E n r. c D e C 2 O 0 M 07 M UNICATIONS r4=7....= ==...rt7
rxciturrier
SDN Y_GM_0004 6843
CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) OB-SDNY-0009667
EFrA_00157452
EFTA01289815

Draft,' Sint Pr.. Vona PI Manalunnd
Marais Coon,. 4.p..p
°Muhl Sank StownesAc
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HS Psi Asmo. lkh r to
Mew** nv 10114
491.71119. 7$114,9%
Statement Period: 0910112914 • 0//3112014
Important Information and Disclosures (continued)
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (I) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for hinds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable: the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.comistrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt
of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey
City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other n court. including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very [united.
• 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 tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330.
Page 9 of 9
Account Number: N46423812 Rated excellent, asntrien.'lls.' "c=ittr.,
OPAII ROI( 6:;THTEONriDAG°L P1aPTederSSIA L*, L Drx y Ae o Ln n B , u A V rN n r aR i e , A S rT i E v D a C 2 O 0 M 07 M UNCATIONS ••••••• MC .......r•Obk int me
SDNY_GM_0004 8844
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. OB-SDNY-0009668
EFTA_00157453
EFTA01289816

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*no We\ AY ,OVA
1/) rAt7143. (IVA 24.14:41
Account Number: N46-023812
Statement Period: 0710112014 -07/3112014
Valuation at a Glance
This Period Year-to-Date
SOUTHERN TRUST COMPANY INC Beginning Account Value $8,120,074.55 06,457,577.92
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 0 00 911.801.66
ST THOMAS VI 00802 Adjusted Previous Account Value 8,120,074.55 7,361,385.5$
Dividends. Interest and Other Income 27.66 175.665 33
Pet Other Activity -12 00 .24 00
Pet Chan in Portfolio -100.365 34 474,697 96
nclinp Account Value S8.019 724 87 S8 019 724 8 7
Your Client Advisor: Estimated Annual Income $453.408.52
TAZIA SMITF)
(212) 454-2889
Asset Allocation
Prior Year-End Lad Period This Period % &Vocation
USD Cash. Money Funds. and Bank Deposits 1,695,727.92 1,085293.97 1,085,309.63 13.53% Pe Chan allocation only includes
products that are of positive value.
Non-LSD Fned Income 1.650.000.00 5.395.202.21 5.323.587.34 66.39% 1 Assets of less than 1% of holdings
USD Equities 1.530.450.00 1574.340.00 1546.110.00 19.28% vrill not dispby oohs pe chart
Non-USD Cash. Money Funds. and Bank Deposits 0.00 65238.34 64.417 90 0.80%
USD Fixed Income 1,581,400.00 0.00 0.00 0.00%
Account Total (Pte Chart) 16,457,577.92 $8,120,074.55 $8,019,724.87 100.00%
See page 2 of 1hd statement for important information regardng the Asset Allocation section.
Page 1 of10
Rata. 7.7cellera
ttin.tt t 63:77: D 77 A 7 L 7 B y A Y R e R ar A S T l 2 a 0 te C 2 O 0 M 07 M UNCA TIONS -es
CONFIDGg<fefisAL rxmonser
SDNY_GM_00046845
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009669
EFTA_00157454
EFTA01289817

Asset Allocation Disclosure and Footnotes
Al values are displayed in V.S. dollars based on interbank exchange rates as of 07/3112014. Exchange rates can vary.
Summary of Gains and Losses
Realized
This Period Yea/ski-Dale Unrealized
Short-Term Gain/Con 0.00 0 00 13.983 72
Long-Term Gain/Loss 0.00 -193,740.76 116,991.50
Net GaIn/Loss 0.00 -193,110.76 130076.22
This summary excludes transactions where cost basis information is not available.
Exchange Rate Table Global Cash
Currency Closing Amount in
Cartoon USD Eggleston per USD Currency Balser. Base Currency USD
BRITISH POUND 1.6881 0.5923 I BRITISh POUND 38,160.00 61,417.90
Total Global Cash Balance $61,117.90
Exchange rates are based on interbank exchange rates as of 07/31/2011. Exchange rates can vary.
Money Market Fund Detail
Date Activity Type Description Amount Balance
Sweep Money Market Fund
OWS GOVERNMENT CASH INSTL
Account Number: 0000001189 Current Yield: 0.03% Activity Ending: 07131/1/
07101114 Opening Balance 1,085,293.97 1,085,293.97
07/02114 Withdrawal MONEY RIND REDEMPTION -12.00 1,085,281.97
07131114 Deposit INCOME REINVEST 27.66 1,085,309.63
0713111/ Closing Balance $1,085,309.63
Total All Money Market Funds $1,085,309.63
Income and Expense Summary
Current Period Year-to-Date
Taxable Nos Taxable Taxable Non Taxable
Dividend Income
Equities 0.00 0.00 60.562.50 0.00
Money Market 27.66 0.00 89.21 0.00
Page 2 of 10
Mint, ROIL Account Num C b S er T o:N e G n - 0n23 12n D G A o E pap N er T les I s A D R r L x v a Ae e te U r s y d tM V m Cm . . a sR c . e o A L l r l T o a E n c l O i e C 2 O 9 M 07 M UNICATIONS otitro — .= .- : • = •• 1 •-, : r= ore
SDNY_GM_00046846
CONFIDENTIAL - PURSUANT TO FED. R CRINI, P. 6rejLTHERk OB-SDNY-0009670
EFIA_00157455
EFTA01289818

Oralsre. Ram Pnwair. %WaniAmigenen
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Dettsch4 Sat Smelts +gc
Yew Vert O2ligo
PC. B.:2 1726 &It nwc MD 21203 14, Pon Ammo. 160. I Wei
New** nv 1011.4
0121454.71114.1115178/24291,
Statement Period: 0711112114 -17/3112114
Income and Expense Summary (continued) Canal Period Year-to-Date
Taxable Non Taxable Taxable Non Taxable
Interest Income
Bond Interest 0.00 0.00 50,000.00 0.00
FDIC Insured Bank Deposits 0.00 0.00 80.56 0.00
Total Dividends, Interest, Income and Expenses $27.601 $0.00 8110,732.27 WOO
Portfolio Holdings
U.S. DOLLARS
Account Activity Opening Closing Accrued lemma 30-Day Current
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits
Money Market
DWS GOVERN M ENT CASH INSTL
01101(14 1 085 309 630 0000001489 07131111 1.085.293.97 1.085 309 63 0.00 89.21 003% 0.03%
Total Money Market $1,085,293.97 11,085,309.63 $0.00 189.21
FDIC Insured Bank Deposits
INSURED DEPOSTS PROGRAM
07101(14 A 46023812 0713111/ 0.00 0.00 0.00 80.56 N/A N/A
Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $80.56
Total Cash, Money Funds, and Bank Deposits 11,085,293.97 11,085,309.63 10.00 $189.77
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Geld Loss Interest Annual Income Yield
Fixed Income (In Ile!unty Date Sequence)
Corporate Bonds
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
NOTES SEAIOR 1504=460 546525
5.000% 10128/15 REG DID 10/28109 S 6 P Rating 9+
12104/13 '.3,12 2,000,000 000 93.1760 1,863,516.28 93.8750 1,877.500 00 13.983 72 25,555 56 100,000 00 5.32%
Original Cod Basic $1.800,000.00
Total Corporate Bonds 11,883,518.28 61,811,600.00 111,983.72 125,655.56 $100,000.00
2,000,000.000
Total Fixed Income 11,883,518.28 61,871,500.00 113,983.72 $25,555.58 $100,000.00
2,000,000.000
Page 3 of 10
Account Number. N4G-023812 Go paperless E Maid tocollenti
tient, ROLL ( C v A e L r M y A V R e R m A u T n E t D o C 2 O 0 M 07 M UNICATIONS
Dani ariA rxemr NCI
SDNY_GM_00046847
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERhCONn DB-SDNY-0009671
EFTA_00 157456
EFTA01289819

Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Uek Oat Cod Bads Market Prke Merkel Value Gam/ Loss Annual Income Yield
Equities
Preferred Stocks (Listed byexpiration date)
ALLY ANL INC PERP PFD FIXED1FLTG RATE Security Identifier: ALLY PRO
SER A CALLABLE COUPON 8.5% CUSP: 02005N306
PERPETUAL MATURITY CALL° 25 05115116
Dividend Option: Cash
06111113'.x3 57.000.000 25.0780 1,429,417.50 27.1300 1,516,110.00 116,992.50 121,125.00 7.83%
Total Preferred Stocks 21,420,417.50 21,546,410.00 $116,592.10 $121,125.00
Total Equities 21,420,417.50 $1,516,110.00 $116,1192.50 $121,125.00
Unrealized Accrued Estimated
Cost Basis Market Value Gale/ tale 'Merest Annual Income
Total U.S. DOLLARS 64.378.243.41 14,509,219.63 5130,976.22 425,655.56 1221.294.77
BRITISH POUND
Opening Closing Accrued 30-Day
Cescr Quantity Balance Balance Currency Income Yield
Cash, Money Funds, and Bank Deposits
Global Cash Balance 38,160.00 38,160.00 GBP
64,417.90 140
Total Cash, Money Funds, and Bank Deposits 38,160.00 38,160.00 GBP 0.00
61,117.90 USD 0.00
Accrued Estimated Estimated
Desuiplloe Quantity Market Price Market Value Currency Interest Mnual Income Yield
Fixed Income (In Maturity Dare Sequence)
Corporate Bonds
NATIONWIDE BUILDING SOCIETY EURO ISSUE 2,000,000.000 102.0700 2,011,100.00 GBP 16,403.01 137,500.00 6.73%
CONY GBP !SIN/ X61013181269 3.116.087 31 USD 26,001.81 232 113 75
6.875% 09120188 REG DID 0311111/
S8 PRaling 8B•
Security Identifier G63980UK3
Total Corporate Bonds : 2,000,000.000 2,041,400.00 GBP 15,403.01 137,500.00
3,116,087.31 USD 26,001.81 232,113.75
Total Fixed Income: 2,000,000.000 2,041,400.00 GBP 15,403.01 137,500.00
3,446,08731 USD 26,001 81 232,113.75
Page of 10
vL I Account Number. N4G-023812 D G E o p N ape T rle I ss A D R r (v x a A e c te r iUt y d u M V t r a t s .r c Ra e .. eA l l W e rT r E i , a o D s C 2 O '0 M 07 M UNICATIONS fur=
SDNY_GM_00046846
CONFIDENTIAL — PURSUANT TO FED. R CRIM. 67eL)THERkc soNn OB-SDNY-0009672
EFTA_00 I 57457
EFTA01289820

ONIS0.0131•4 P0•410 Ve/t4InManalunnd
Mantis Cowan
Ottillh• M Scuonenk
MnYw4,l Mt*
P.O. bag 191st alibmOt• MO 21203 MS PIA 4.emo. INNI to
Newlin* nv 1011.4
Ilv14NOW. OM) 78/1.4P1S
Statement Period: 0710112014 • 07/3112014
Portfolio Holdings (continued)
BRITISH POUND (continued)
Awned Estimated
Market Value Currency filtered Maul Income
Total BRITISH POUND 2,079,560.00 GBP 15,403.01 137,500.00
3,510,505.24 140 26,00181 232113 75
Unrealized Accrued Estimated
Cod Basis Market Value Gainf Loss Interest Menai Income
Total Portfolio Holdings - U.S. $4,376,243.41 50,019,724.87 5130,976.22 $51,557.37 5453,408.52
DOLLARS
Footnotes
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (IIRC5)(Mcorporating amendments enacted by
P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-6 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attrbutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those invoking continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax retums.
3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous dent brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information.
Page 5 of 10
Mint, VOI Account Number N46423812 Go paperless R r E Dx v A a e e b L n r i B d t t Au Y [m Rr o n R e a e . A l i S rT g i E n n c D ' e 0 2 0 ' P 0 A 0 I 7 N ILINICATIONS soc
SDNY_GM_00046849
CONFIDENTIAL - PURSUANT TO FED. R 6: LTHERhO SON YE CI DAMSITIA& OB-SDNY-0009673
EFrA_00 157458
EFTA01289821

Holdings Summary by Currency
Currency Cash Fixed Income Equities Total by Priem
L S DOLLARS • 385,309 1,877 500 1,546,110 4.509,24 USD
BRITISH POL ND 38,160 2.041 100 0 2.079,560 GBP
Total USD Equivalent 1049,727 $.323,687 1,546.410 8,019,724 USD
% of Allocation 14.31% 6&38% 19.26% 100.00%
Messages
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information.
Federal Deposal Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC)
For disclosure of rates for DWS money market funds, please vist the DWS Investments website at https:/Arnwtdws-investments.conVEN/productshnoney-market-funds-yields.jsp. Please note that all money
market funds ksted on the website may not be offered through us.
Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset & Wealth Management brand and
future communications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and
investment adviser, raid conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA. NYSE and SIPC.
The new brand name has no effect on your account Your portfolio and holdings will not change as a result of the rebranding.
Activity Summary (All amounts show are in base currency)
Credits This Period Year•to•Date Debits This Period Year-to-Date
Securities Securities
Secun ties Bought 0 00 0 00 Securities Bought 0.00 -6,897.364.62
Total Securities $0.00 $0.00 Total Securities $0.00 .$6,697,364.62
Dividends and Interest $27.66 $175.665.33 Dividendsand Interest $0.00 $0.00
Distributions $0.00 $1,806,259.24 Distributions $0.00 10.00
Fees $0.00 $0.00 Fees -$12.00 -$24.00
Cash Cash
Deposits 0.00 911 807.66 Deposits 000 000
Total Ca* $0.00 $911,807.66 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $0.00 $3,444,150.08 FDIC Insured Bank Deposits $0.00 -$1,748,423.06
Money Market Funds $12.00 $1,000,012.00 Money Market Funds -$27.66 -$2,085,321.63
Total Credits $39.66 $7,337,895.21 Total Debits .139.66 .$10,731,133.31
Page 6 of 10
Account Number N4GN-023 12r I DG o paperleIsAs L ( R v a e b r i y d Y Ex ea ce r l S le in n e t w 2'007 " tr. 7.
SOUTHERN CSTO ENT rDxAeLs BtuArRn RsAerT ED COMMUN CATIONS
SDNY_GM_0004643.50
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) O6-SDNY-0009674
EFTA_00 157459
EFTA01289822

Oroisro Rant Pow., Woahn stragenan
Macals Cisme, 6,..P
Des4sOio MY Smoot, Lac
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PC. Box 1776. BPI mum MO 212t.)3 la Pon Annus. 160. I for
War wet BY 10114
vu).AJYM.mN7YP.Ta
Statement Period: 0110112114 -0713112114
Transactions by Type of Activity
Proceed
Settlement
Date Adivih I Description Duni Price kand Interest Amount Curren
Securities Bought and Sold
07/11/14 CUSIPCHANGE NATIONWIDE BOG SOCIETY MO MTN "DO NOT USE SEE •2.000.000000 0.00 GBP
80000117 CUSIP ft G63980UK3* 6.875% 09120/88 REG DTD 03111/14
CLB CUSP CHANGE
07/11/14 CLSIPCHANGE NATIONWIDE BUILDING SOCIETY EURO ISSUE CO NV GBP 2,000,000.000 0.00 GBP
G63980UK3 ISM/X.51043181269 6.875% 09/20/88 REG DTD 03111114
CUB CUSP CHANGE
Total Securities Bought and Sold - BRITISH POUND 0.00 0.00
Dividends and Interest
07131114 MONEY MARKET FL ND DWSGOVT CASH INSTL 27.66 LSD
INCOME RECEIVED
233993682
Total Dividends and Interest • UNITED STATES DOLLAR 0.06 2716
Fees
07101/14 FOREIGN CUSTODY FEE Fgn Safekeeping .UN 2014 CUSP: EK1000.11.7 •6.00 USO
80000117
07/01114 FOREIGN CUSTODY FEE Fgn Safekeeping IN 2014 CUSP: P7807H-AF-2 -6.00 LSD
P7807HAF2
Total Fees - UNITED STATES DOLLAR 0.00 -12.00
Money Market Funds
07102/14 MONEY FUND REDEMPTION DWSGOVT CASH INSTL 12.00 LSD
USD999997
07/31/14 MONEY MARKET PAD DWSGOVT CASH INSTL INCOME REINVESTED -27.66 USO
REINVESTMENT
233993682
Total Money Market Funds • UNITED STATES DOLLAR 0.00 -15.66
Total Awned littered Total Mont
Trassadions Summary Total /tweed Interest TotalMould Omen, USD Equivalent USD Equkaleit
BRITISI. POUND 0.00 0.00 GBP 0.00 0.00
L KITED STATES DOLLAR 0.00 0.00 USO 0.00 0.00
The price and quantity displayed may have been rounded.
pate? of 10
DGo
Account Number. N4G-023 12 PaPerless Baud tacell•nl Starro.r4:="01.=1.
F. °PAP ROLL SO Li TH ERA CSTOkipl TECI _ AENTIA L C 7 o X A w C L y IL M P L e 7 . a P N r A C L V t a E t D e C 2 O 0 M 07 M UNKATIONS
SDmv_GM_000468.51
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009675
EFTA_00 157460
EFTA01289823

Client Service Information
Your Client Advisor: DS Contact Information
TAZM SMITH Telephone Number: (212) 454.2889
305 PARK AWli LE 14TH FLOOR
NEWYORK NY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default M ethod for Sods In a Dividend Reinvestment Plan: FIRST lk FIRST OUT
Default Method for all Other Securities: FIRST lk FIRST OUT
Electronic Delivery
You have not selected any account corn m unications for electronic delivery. To register and turn oft paper coin m unications, log in to your account or contact your Client Advisor for more inform ation.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from
sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace *Mere your position was purchased as the 'Market Price.' Securities for which a price is
not available are marked 'N/A— and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any tine,
and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities, interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
www.pershing.convbusiness_conbnuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution. information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confimmtions previously fumished 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 fine 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 Cptions Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Marge' Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transaction
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate wit not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date a the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Page 8 of 10
Account Number: N46423812 Go paperless eat.. taalleni oer.z...arieirrtittt-A
Lvov, Van SOSO. 2007
GALS/01 RATED COMML007-ATIONS Paley 'AC amino 01101... NVINI.—c
rxesitmer
SDNY_GM_0004613.52
CONFIDENTIAL - PURSUANT TO FED. R CRIM. 67,L,THETONrIDEVnA OB-SDNY-0009676
EFrA_OOI 5746 I
EFTA01289824

Draw,' Um Pon. Wea I n. ma.ormat
mavens Coon/.
Deautv Secionerac
Mow bri Cato
HS Pan Ammo. lkh I bet
MewR*1W 10114
Up/ 491.711191. OM) 7$114,9S
Statement Period:0710112114 • 07/31/2014
Important Information and Disclosures (continued)
Ratings
This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received hom Standard & Pools is not permitted without prior written
authorization from Standard & Poor's. Standard & Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or
•missions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
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 hable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable: the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. M other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC''). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: vAviv.pershing.constrength_stabihty.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt
of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights. including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department' One Pershing Plaza; Jersey
City. New Jersey 02399; (201)113-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators wil typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Pap 9 of 10
Account Number N46-023812 D Go p I ap A erless L Rated tacolloni :stir
Every von Siva 2.007 •-nen.c --0-•••A wrote
DrxAcLi tBuArRn aMeTr OD COMMUNICATIONS
SDNY_GM_00046B53
CONFIDENTIAL - PURSUANT TO FED. R CRIM. 6:THERhconri OB-SDNY-0009677
EFFA_00157462
EFTA01289825

Important Information and Disclosures (continued)
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbetration. 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 cowl. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated hers. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330.
Page 10 of 10
STO,Nr
l)litAkl ROLL A SO cc o T u H n t E N RN u m U b r e i r. N4G-023 12 D G A = o pap I er A less L D ( l r l v a xA e m e r U y n a M u Y E. e a .t a c R a e e r A l S l r o T M n E a C D • C 2 O 0 M 07 M UNCATIONS 1"413.,:r2Z-Tra,
SDNY_GM_00048854
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009678
EFTA_00157463
EFTA01289826

Grvim ,21/.4. ~Si Mnajonan
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1.11/14,4-7148. (11111244 4:4%
Account Number: N46-023812
Statement Period: 0610112014 - 06/30/2014
Valuation at a Glance
This Period Year-to-Date
SOUTHERN TRUST COMPANY INC Beginning Account Value 01,948,783.39 36,457,577.92
6100 RED HOOK QUARTER B3 Nei Cash Deposits and Withdrawals 0 00 911.801.66
ST THOMAS VI 00802 Adjusted Previous Account Value 7,918,783.39 7,30,385.56
Dividends. Interest and Other Income 64.959 82 175.637.67
Net Other Activity 0 00 .12 00
Net Chan e in PorlIolio 106.330.84 575.063 30
nding A.ccount Value SO '20 074 55 S8 120 074 55
Your Client Advisor: Estim ated Annual Incom e $456.337.11
TAZIA SMITh
(212) 454-2889
Asset Allocation
Prior Year-End Lad Period This Period % Placation
ISO Cash. Money Funds. and Bank Deposits 1.695.727.92 1,085,267.21 1,085,293.97 13.37% Pe Chad allocabion only bobbles
products that are of positive value.
Non-I.41) Fixed Income 1.650.000.00 5.286.896.68 5.395.202.24 66.44% I Assets of less than 1% of holdings
USD Equities 1.530.450.00 1.576.620.00 1.574.340.00 19.39% will not display on this pe chart
Non-ISO Cash. Money Funds. and Bank Depals 0.00 000 65.238 34 0.80%
USD Fixed Income 1.581.400.00 0.00 0.00 0.00%
Account Total (Pie Chart) 08,157,577.92 37,918,183.89 18,120,071.55 100.00%
See page 2 of this statement for important information regardng tne Asset Albcation section.
Pate 1 of 12
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M UNICATIONS
SDNY_GM_00043115.5
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009679
EFTA_00 I 57464
EFTA01289827

Asset Allocation Disclosure and Footnotes
An values are displayed m U.S. dollars based on interbank exchange rates as of C6/30/2014 Exchange rates can vary.
Summary of Gains and Losses
Realized
This Period Year•to-Date Unrealized
Sbort•Term Gainfloss 0.00 0.00 27.983 33
Long•Term Gain/ Loss 0.00 -193,740.76 144,922.50
Net Galn/Loss 0.00 -193,140.76 172,905.83
This summary excludes transactions where cost basis information is not available.
Exchange Rate Table Global Cash
Currency dosing Amount in
Currency USO Equivalent per USD Currency Bataace Base 0Jrrenci USD
BRIT'S- POL'iD 1 7096 0 5849 BRITISI• POUND 38.160.00 5523E 34
Total Global Cash Balance $65,236.34
Exchange rates are based on interbank exchange rates as of 06/30/2014. Exchange rates can vary.
Money Market Fund Detail
Date Activity Type DeecziMion Amount Balance
Sweep Money Market Fund
DWS GOVERN M ENT CASH INSTL
Account Number: 0000001489 Current Yield 0.03% Activity Ending: 06/301t4
05131114 Opening Balance 1,085,26721 1,085,267.21
06130114 Deposit IN CON E REIN VEST 26.76 1,085,293.97
06130114 Closing Balance 61,086,293.97
Total All Money Market Funds 61,086,293.97
Income and Expense Summary
Cerrito! Period Year.to-Date
Taxable Nom Taxable Taxable Noe Taxable
Dividend Income
Equities 0 00 0,00 60,562.50 0.00
Money Market 26.76 0.00 61.55 0.00
Interest Income
Bond Interest 0 00 0.00 50,000.00 0.00
FDIC Insured Bank De oats 0 00 000 80.56 0.00
Total Dividends, Interest, Income and Expenses $26.76 $0.00 $110,704.61 $0.00
DA=TALt Page 2 of 12
Account NumOber: sN4Gr-0a23 n12 n Rated tsceisr•
vont, Rot t Go paperless rD t x v A e eL r sO y tA V iRm .a R r eA S r T i E ng D s C 7 O 0 M 07 M UNICATIONS
SDNY_GM_000468,56
67:;"Erth
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0009680
EFTA_00 557465
EFTA01289828

OraIsre Ram 7..0,7000,PAyminnt
Maents Codragt 4047
Dettsam la* Setwari Ac
000.
Hann Ram. 160. Met
War vett. 7tt 101E
0)0.17414. 000 7014,9f
Statement Period: 0 610 112 114 • 06/30/2014
Portfolio Holdings
U.S. DOLLARS
Account Activity Opening Dosing Accrued Income 30.Day Cerra
Opening Date Quantity Number Ending Balance Balance Income This Year Yia Yield
Cash, Money Funds, and Bank Deposits
Money Market
DWS GOVERNMENT CASH INSTL
05131114 1,085,293.970 0000001489 0600114 1,085,267.21 1,085,293.97 0.00 61.55 0.03% 0.03%
Total Money Market $1,666,267.21 $1,085,293.97 10.00 161.66
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
05131114 N46023812 06130114 0.00 0.00 0.00 80.56 WA N/A
Total FDIC Insured Bank Deposits $0.00 $0.00 10.00 $80.66
Total Cash, Money Funds, and Bank Deposits $1,096,267.21 11,085,293.97 10.00 $142.11
Adjusted Unrealized *caned Estimated Estimated
Date Acquired Quantity Unit Cost Cod Basis Market Price Market Value Gain! Loss Interest Annual Income Yield
Fixed Income (In Maturity Dare Sequence)
Corporate Bonds
PETROLEOS OE VENEZUELA Security Identifier: P7007HAF2
OTES SEA IOR MAO XS0460545525
5.000% 10128115 REG DTD 10/28109 Sd P Rating B4
12104113'.3.12 2,000,000.000 92.7510 1,855,016.67 94.1500 1,883,000.00 27,983.33 17,22222 100,000.00 5.31%
Original Cost Bait $1.800.000.00
Total Corporate Bonds $1,855,011.67 31,813,000.00 $27,913.33 117,222.22 $100,000.00
2,000,000.000
Total Fixed Income $1,856,010.67 31,113,000.00 327,003.33 317,222.22 3100,000.00
2,000,000.000
Page 3 of 12
Account Num bet N4G-023812 Go paperless e t ). Itatod tacel•loni .--41-='=""ra
(veryYear Slate 2007
DrISITIA DrxAeLsOaArRtr RaeArT ED COMMUNKATIONS
SDNC GM_0004 61357
CONFIDENTIAL — PURSUANT TO FED. R CRIM 67,L,THERkc sonn DEI-SDNY-0009681
EFTA_00 I 57466
EFTA01289829

Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cod BaS Market Price Markel Value Gild Loss Annual Income Yield
Equities
Preferred Stocks (bated by expiration date)
ALLY FINL INC PERP PFD FIXEDIFLTG RATE Security Identifier: ALLY PRB
SER A CALLABLE COUPON 8.5% CUSP: 020056308
PERPETUAL MATURITY CALL° 25 05115116
Dividend Option: Cash
08/11113 %IS 57.000.000 25.0780 1,429,417.50 27.6200 1,574,340.00 144,922.50 121,125.00 7.69%
Total Preferred Soda $1,421,417.50 $1,574,340.00 5144,922.50 5121,125.00
Total Equities $1,421,417.50 $1,574,340.00 5144,922.50 $121,125.00
Unrealized Stoned Estimated
Cod Basis Market Value GainfLoss Interest Annual Income
Total U.S. DOLLARS $4,3111,721.14 $4,542,633.97 3172,905.83 $17,222.22 $221,267.11
BRITISH POUND
Opening Dosing Accrued 30.0ay
Description Quality Balance Balance Currenry Income Yield
Cash, Money Funds, and Bank Deposits
Global Cash Balance 0.00 38,180.00 GBP
65,238.34 USD
Total Cash, Money Funds, and Bank Deposits 0.00 30,180.00 GBP 0.00
65,238.34 USD 0.00
Awued Estimated Estimated
Oescription Quantity Market Price Market Value Currency Interest Annual Income Yield
Fixed Income (In Maturity Date Sequence)
Corporate Bonds
NATIONWIDE BOG SOCIETY EURO M TN 2,000,000.000 102.7200 2,054,400.00 GBP 3,75613 137,500.00 6.69%
ISM/ XS1043181269 6.676% 09120/88 REG 3.512.202 24 USD 6,422.68 235.070.00
DTD 03111114 CALLABLE 06/20119
SS P Rating BB,
Security Identifier: EK1000117
Total Corporate Bonds : 2,000,000.000 2,054,400.00 GBP 3,756.83 137,600.00
3,512,202.24 USD 6,422.68 235,070.00
Total Fixed Income: 2,000,000.000 2,054,400.00 GBP 3,756.83 137,600.00
3,512,202.24 USG 6,422.68 235.070.00
Page 4 of 12
08A.2 Account Num O b s er r : s 14 .o 46 423 12 a r DGor pyapnerleAss L r b Cx w A r e a L r Mf y f Au V ta Rr s r c R . i o e . A l s l rT e i E n S D e , C 2 O 0 M 07 M UNICATIONS :17..L..r="M=152=art.
SDNY_GM_000468,58
N YE I
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 693(e)UTHERk DB-SDNY-0009682
EFTA_00 157467
EFTA01289830

Gnaw< Rana Prmair Wean tapmgenmt
Weals COMM< 6,0.1,
MAUI Sank Settole“C
lin• von Oat*
PC. &a 17/6, 2/11 room 6,1D 21203 HI Pan4wy. Ikh I bgr
Nay lot hY 1011A
inn 4:44414.111517./.4,9S
Statement Period: 06/01/2014 • 06/30/2014
Portfolio Holdings (continued)
BRITISH POUND (continued)
Accrued Estimated
Market Value Currency Interest Annual Income
Total BRITISH POUND 2,092,560.00 GBP 3,756.83 137,500.00
3 577 440 58 LS) 6.422 68 235 070 00
Unrealized Accrued Estimated
On Basis Market Value Gaintloss Interest Annual Income
Total Portfolio Holdings - U.S. $4,369,728.14 $8,120,071.55 $172,905.83 $23,614.90 $156,337.11
DOLLARS
Footnotes
Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC')(incorpciating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as blows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquked on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-finked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous dent brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering Mn or transferring agent and Pershing makes no representation as to the accuracy of this information.
Page 5 of 12
Account NumOber:s NGO-023N812Y ADAENTIAL Rsd [atoll* Si
OBAtl ROLL SOUTHERN Go paperless L Drx v Ae . L . s y Oa A % rRt o r Ra w eA L rT a E t D e C 2 O 0 M 07 M UNICATIONS
SDOW_GM_00046869
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009683
EFTA_00 157468
EFTA01289831

Holdings Summary by Currency
Currency Case Fixed Icons Equities Total by Currency
L S DOLLARS 1 085 293 1,883.000 1 574,340 4 542,633 LSD
BRITISh POLO 38,160 2,051.100 0 2.092.560 GBP
Total IMO Equivalent 1,160,632 6,396,202 1,674,340 8,120,074 USO
% of Allocation 11.11% HA% 19.39% 100.00%
M essa es
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:thwrirdws-investments.com/EN7products/moneymarket-funds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Although a money market mutual fund seeks to preserve the value of your investment at Si per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information.
Please note that the following language supersedes previous versions of our disclosure, Pershing's Impartial Lottery Process: Partial Calls:
Pershing's Impartial Lottery Process: Partial Calls
When a security is subject to a partial redemption, pursuant to New York Stock Exchange (NYSE) Rule 40230, which has been incorporated into the FINRA Consolidated Rulebook, Pershing must have
procedures in place that are designed to treat clients fairly In accordance with an impartial lottery process.Wben an issuer initiates a partial call of securities, the depository holding such securities (typically, the
Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for
which it holds securities on deposit (including Pershing). Because DTCC's lottery is random and impartial, participants may or may not receive an allocation of securities selected for redemption.
When Pershing is notified that it received an allocation of called securities. Pershing conducts a similar, computer-generated random lottery. The lottery determines the accounts that will be selected and the
number of securities in the account that will be redeemed. Allocations are based on the number of trading units held in the account. The probability of any trading unit held by an account being selected as called
in a partial call is proportional to the total number of trading units held through Pershing.
Once the lottery is complete, Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation. Securities registered in the client's name, either in transit or held in custody, are
excluded from the Pershing lottery process.
Pershing initiates the lottery process by identifying the accounts holding the called security, the total par value of the called securities held, and the trading unit of the security.
Example (unit of trade : $25,000):
Client Account: ABC-123234; Par Value: $100,000; Number of Trading Units: 4
Client Account: DEFJ25465; Par Value: S15,000; Number of Trading Units: 3
Client Account: EDR-567433; Par Value: $150,000; Number of Trading Units: 6
Client Account: EGT-816574; Par Value: $50,000; Number of Trading Units: 2
Client Account: EGT-888315: Par Value: $25,000; Number of Trading Units: 1
Page 6 eft?
Account Number: 144G-023812 Rated facollonli
VSAR ROLL D G A O S pa S pe I rl T es I s A r D [v x A e e L r n B y A tr R w R e A r w T E o D o. C 2 O 0 M 07 M UNICATIONS
SDNY_GM_000464360
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERt sonn DB-SDNY-0009684
EFTA_00157469
EFTA01289832

manir tm
Deasfle MUwme iPtsr P Ii l'es ePwrIt.01,1
°taunt
MnS *al4 $ 41•0c,3t C1
7O. B.R fro, MU 2i2.,)a HS rut Ammo. 26th IDA
PC B. 1 Wer. RA. WY ICILA
DIR OAM& ODD MOMS
Statement Period: 0610112014 • 06/301201/
M essa r es (continued)
Client Account: FRT-435234, Par Value: 525,000. Number of Trading tints: 1
Client Account: FRT-658797; Par Value: $75,000, Number of Trading Units: 3
In brief, the allocation process involves the following steps:
> The number of trading units held in each account is identified.
> A sequential number is assigned to each trading unit (e.g.. account EDR-S67433 would be assigned six numbers).
> A random number is generated that will result in one of these trading units being the first unit in the selection process.
> Thereafter, the trading units participating in the allocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted.
Additional Information
The allocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a lull or partial redemption of shares held. Conversely, it is also possible that a client may not
have any securities selected for redemption at all.
When a partial cal is deemed favorable to the holders of the called security, Pershing will exclude certain accounts from the lottery. Excluded accounts will include Pershing's proprietary and employee accounts,
as well as proprietary and employee accounts of introducing broker-dealers (if Pershing carries and clears those accounts). No allocation will be made to these proprietary and employee accounts until all other
client positions at Pershing in such securities have been called. When a partial call is deemed unfavorable to holders of the called security, Pershing RAU not exclude any accounts from the lottery.
If the partial call is made at a price above the current market price as captured in Pershing's price reporting system, Pershing will generally categorize the partial cal as one that is favorable to the holders of such
security. If the partial call is made at a price that is equal to or below the current market price of the security as captured in Pershing's price reporting system, Pershing will generally categorize that call as one
that is unfavorable to holders of the security.
Clients have the right to withdraw uncalled, fully paid securities from Pershing at any time prior to the cutoff date and time estabhhed by the issuer, transfer agent and/or depository with respect to the partial cal.
Clients also have the right to withdraw excess margin securities, provided that the client account is not subject to restriction under Regulation T or that such withdrawal wil not cause an under-margined condition.
pap? 012
Account Number: 144G-023812 Go paperless R (v a e w ry c v itf « lo . RoM 7007
DALOAR RATED COMMUNICATIONS
DENTIA rxentrwer
SDNY_GM_00046881
CONFIDENTIAL — PURSUANT TO FED. R 67,L,THERtsrynn OB-SDNY-0009685
EFIA_OO15747O
EFTA01289833

Activity Sum m ary (All amounts shown are in base currency)
Oedits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Secunbes Bought 0 00 0.00 Securities Bought 0 00 -6.697.364.62
Total Securities $0.00 $0.00 Total Securities $0.00 -$6,897,364.62
Dividends and Interest $64,959.82 $115,631.67 Dividends and Interest $0.00 $0.00
Distributions $0.00 61,006,259.24 Distributions $0.00 $0.00
Fees $0.00 WOO Fees WOO -$12.00
Cash Cash
Deposits 0 00 911 807 66 Deposits 0 00 0.00
Total Cash $0.00 $911,1107.66 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $0.00 $3,444,150.98 FDIC Insured Bank Deposits $0.00 -$1,748,423.06
Money Market Funds $0.00 $1,000,000.00 Money Market Funds -$26.76 -62,085,293.97
Total Credits $64,959.82 $7,337,855.55 Total Debits -$26.76 .$10,731,093.65
Transactions by Type of Activity
Process! Trade/
Settlement Transaction
Date Date Activity Type Description Quantity Price Accrued Interest Amount Currency
Dividends and interest
06125/14 06120/14 FOREIGN BOND INTEREST 2000000.00 SHARES NATIONWIDE BOG SOCIETY EURO MTN 38,160 00 GBP
EN1000117 ISINIXS1043181269 6.875% 09120188 REG DTO 03111114 64.933 06 LSD
CLB FOREIGN BOND INTEREST RD 061914 PD 062014 AS OF
08119/14
Exchange Rate: 1.7016
08/30/14 MONEY MARKET FUND DWS GOUT CASH INSTL 26.76 LSD
INCOME RECEIVED
233993682
Total Dividends and Interest
BRITISH POUND 0.00 38.160 00 GBP
TOTAL USD EQUIVALENT 000 64.933 06 LSD
UNITED STATES DOLLAR 0.00 26,76 LSD
Money Market Funds
06130/14 MONEY MARKET FUND DWSGOVT CASH INSTL INCOME REINVESTED .26 76 LSD
REINVESTMENT
233993682
Total Money Market Funds- UNITED STATES DOLLAR 8.00 -26.76
Page 8012
Account Number: NG-023812 Go paperless ItalmdtnolleM
0,1,04 .0It DrismA E Drx v A e La r On y At V Rr i w w ReA W rT E ie O r C 2 O 00 M 7 M UNCATIONS
SDNY_GM_00046B62
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: 6THERNO stYnn DB-SDNY-0009686
EFTA_00157471
EFTA01289834

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War int 10. 10114
4:4411N.071317/44DItS
Statement Period: 0610112014 • 06/3012014
Transactions by Type of Activity (continued)
Total Accrued Interest Total Amount
Transactions Summary Total Accreed Interest Total Amount Carting USD Equivaket USD Equivaknt
BRITISH POIAD 0.00 38.160 00 GBP 0.00 61 933 06
LNITED STATES DOLLAR 0.00 0.00 LSD 0.00 0.00
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: TDS Contact Information
TAZIA SMITH Telephone Number: (212) 451-2889
315 PARK AAA LE 14Th FLOOR
NEWYORK NY 10151
Your Account Information
Tax Lot Default Disposition Method
Default M ethod for Mutual Funds: FIRST IN FIRST OtT
Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST lk FIRST Oil
Electronic Delivery
You have not selected any account com m unications for electronic delivery. To register and turn off paper calm unications. tog in to your account or contact your Client Advisor for mote information.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices have been obtained from
sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a pace is
not available are marked —N/A" and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time,
and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities, interest and dividend rates, and prices remain constant A capital gain or retum of principal may be included in the figures for certain securities. thereby overstating them. Refer to
imirwpershing.corn/business_continuky.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
Page 9 of 12
Account Num tier N4G-023 12 Go paperless Rated tacelbrifi
liant, RYOo u SO TH ERA D ( e v xA e o r U y gM Y a e .m R a i r Ac S T, i E nc D e C 2 O 0 M 07 M UNCATIONS i • r •••• e •t t s s a tr . O ../ r . t . n .* a • n ••• -a 'a n to rdmer st
SDNY GM mcoesta
C SON YE CI D AMS M AL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009687
EFTA_00 157472
EFTA01289835

Important Information and Disclosures (continued)
Reinvestment
The dollar amount of Mutual Fund distributions. Morey Market Fund dividend income. Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wit
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased. may be °blared. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confitmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial intonation concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available iron written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vole your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction. incur ed a charge. or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Pools is not permitted without prior written
authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content Standard & Poet's makes no express or implied warranties inducing warranties of merchantability or fitness for a particular purpose.
Standard & Pons 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 suitabifily for investment purpose. Credit ratings should not be relied upon as investment advice.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (i) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person confiding or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account. its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. AI other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC"). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.constrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt
of this statement. Please be advised that any oral communication should be re-confined in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey
City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted.
Page 10 of 12
DOAN ROIL A so c L co T u H n E t R N A u m O be S r T N4 O 6- 023 r 12 DCAio pEapNerlTesIsA L r R ( C v xA a e a t L e r M y r d a A ' t I Rm n o P c c e e A S l rT lo O O n S > i O , C 2 O 0 M 07 M UNICATIONS Wawa. ua •••••••010a. woe. —c
SDNY_GM_000464364
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0009688
EFIA_00157473
EFTA01289836

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New IVY 1011.4
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Statement Period: 0610112014 • 06/3012014
Important Information and Disclosures (continued)
Important Arbitration Disclosures
• All parties to this agreement are giving up the tight 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 hrrited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators wil typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The Jules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
clans encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)4134330.
Page II of 12
Account Number: 1446-023 12 Itatod [scones
()PAN RCM Go paperless Dr L x v Ae e Ls r O y a A V rRt s r Ra eA S rT l E a D te C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046865
6:THEThcanYEID-reNTIAL
CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. OB-SDNY-0009689
EFIA_00157474
EFTA01289837

TERMS AND CONDITIONS
TRANSACTIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. ODD LOT DEALER.
• ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY
SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. LMAr1FS. RULINGS AND TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES, WHICH
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, IF ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ARE EXECUTED ANOKA SETTLED. OR IF APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS
• TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN AVAILABLE UPON REQUEST.
WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT
DATE. WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF I f WILL BE MAILED UPON YOUR WRIT TEN REQUEST OR YOU CAN
• YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT WWW.PERSHING.COM.
STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES:
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. WWN.PERSHING COWBUSINESS_CONTINUITY.HTML
THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS
FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS-
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. RULE 607(A)(1-()2)J
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE PERSHING SENDS CERTAIN EQUITY ORDERS 10 EXCHANGES, ELECTRONIC COMMUNICATION
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
FINANCIAL INSTITUTION l; YOU DESIRE ADDITIONAL COPIES. SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS
MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT Of PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST.
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR PAYMENT.
INSPECTION UPON REQUEST. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
TAX INFORMATION FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE
COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS.
• AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN
REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED
P S R TA O T V E ID M E E N TH T A T T O I N PR FO EP R A M R A E T I Y O O N U O R N T T A H X E F I A L N IN N G U S A . L T T H A E X T IN AX FO S R TA M T A E T M IO E N N S T T A A L T S E O M I E N N C T L U T D O E Y S O O U T : H U E S R E U TH SE A F T UL M CO AR N K T E A T C T C S E M NT A E R R K S E T D C O E N N O T T E M RS A K T E O A O M BT A A R I K N E A T N IN E X T E H C E U S T U IO B N JE . C TH T E S E D C E U S R IG IT N Y A . T P E E D R M SH AR IN K G E D T I C R E E N C T T E L R Y S TO
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH
• DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE
AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF TIC DISTRIBUTION OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHN G ALSO REGULARLY
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES.
GENERAL INFORMATION.
• PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE
ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCH ADVICE, IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ARE INDEBTED TO PERSHING LLC rPERSHING1 FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DSCRETION AT ANY TIME, WITHOUT TENDER,
DEMAND OR NOTICE TO YOU. CLOSE CR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR
PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS:
ANY BALANCE REMAIMNG DUE PERSHING TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR
YOUR ACCOUNT ARE OR MAY 8E, WITHOUT FURTHER NOTICE TO YOU, LOANED OR PLEDGED BY
PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE
COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR
GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT
PROHIBITED 8Y LAW.
IF ANY OF TM ABOVE TERMS AND CONDITIONS ME UNACCEPTABLE TO YOU. PLEASE NOTIFY PERSMNO IMMEDIATELY IN WRITING BY CERTFED Mt 10 OM PERSHING PLAZA. JERSEY CITY. NN 07399. ATTN LEON. COPT
Page 12 of 11
Account Nu® Del. N4G-013 12 Rated [atelier
USAB /tel l X LTHERA Go paperless L D v A a L y O A V R a R st A S T a E t D e C 2 O 0 M 07 P RUNCA TIONS
rxertimer
SDNY_GM_00046866
coretriprismAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009690
EFTA_00 157475
EFTA01289838

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177e 777 MI 101.4
11501M-7177172.»14 4:ns
Account Number: N4G-023812
Statement Period: 0510112/14 -0513172114
Valuation at a Glance
This Period Year-to-Date
SOUTHERN TRUST COMPANY INC Beginning Account Value 57,839,558.98 $6,157,577.92
6100 RED HOOK QUARTER B3 el Cash Deposits and Withdrawals 0 00 911.807.66
ST THOMAS VI 00802 Adjusted Previous Account Value 7,839,658.98 7,369,385.58
Dividends. Interest and Other Income 30.308 53 110.677.85
net Other Activity 0 00 .12 00
Is et Chan ,e in Portfolio 78 916 38 168.732 46
ndirg Acccunt Value 57.948 7 8 3.8 9 5 7 9 8 7 8 3 8 9
Your Client Advisor: Estimated Annual Income 5151 811 60
TAZIA SMITP
(212) 154-2889
Asset Allocation
Prior Year-End Lad Period This Period II Allocation
USD Cash. Money Fonds. and Bank DeposM 1,695,727.92 1054,958.68 1,085.26721 13.65% Pe Chan allocate., only includes
products that are of positive value.
Non-ISO Fried Income 1.650.000.00 5,243,320.30 5.286.896.68 56.52% 1
USD Equities 1.530.150.00 1,541.280.00 1,576,620.00 19.83%
USD Axed Income 1,581.100 00 0.00 0.00 0.00%
Account Total (Pie alert) 58,157,577.92 $7,839,558.98 $7,941,783.89 100.00%
See page 2 of this statement for Important Intonation reaming the Asset Allocation radon.
Page 1 oil
B010504 3C2F30Q16 L R v a n te y d V ta a a n l ' b 5. r 1 a 00 , 2007 .«.7:7,„,====
DAL BAR RAT 02 COMMUNICATIONS 717. 7.7
CON FI D cti iPWisAL rxertumer
SDNY_GM 00046887
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009691
EFTA_00 157476
EFTA01289839

Asset Allocation Disclosure and Footnotes
All values are displayed m U.S. dollars based on interbank exchange rates as at 05/31/2014. Exchange rates can vary.
Summary of Gains and Losses
Realized
Ibis Period Year4o-Date Unrealized
Short-Term Gainkoss 0.00 000 140109.01
Long•Teim Gain/Loss 0.00 -193,740.76 000
Net Gain/loss 0.00 -193,740.76 141,109.01
This summary excludes transactions where cost basis information is not available.
Exchange Rate Table
Currency
Currency USO Equivalent per USD
BRITISH POUND 1 6771 0.5962
Exchange rates are based on nterbank exchange rates as of 05/31/2014. Exchange rates can vary.
Money Market Fund Detail
Date Activity Type Description Amount Balsam
Sweep Money Market Fund
DWS GOVERNMENT CASH INSTI.
Account Number: 0000001489 Current Yield: 0.03% Activity Ending 05130114
05101114 Opening Balance 1054,958.68 1054.951.68
05118114 Deposit MONEY RAD RACFASE 30,281.26 1.085.239.93
05130114 Deposit INCOME REINVEST 27.28 1.085.267.21
05130/14 Closing Balance $1,085,767.71
Total All Money Market Funds $1,085,267.21
Income and Expense Summary
Carmel Period YeahloGate
Taxable Noe Taxable Taxable Non Taxable
Dividend Income
Equities 30281.26 0.00 60.66250 0.00
Money Market 27.28 0.00 34.79 0.00
Page 2 oil
VSALI ROLI Account Number: N4G-023812 Dr p I a S perl I es T s IA as_ r I E D ts v A t e r L e x n B d e t A s Y la R u e r c R a ra e r A e S , T r . , i E v , D , a C 2 O 0 M 07 M UMCATIONS ?it
SDNY_GM_0004686S
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6 DB-SDNY-0009692
EFTA_00157477
EFTA01289840

rz
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New*** 7tt 1011A
012)454.71/111. OM) 78/.4,91,
Statement Period: 0 WV 2114 -0513112114
Income and Expense Summary (continued) Current Period Year-to-Date
Taxable Non Taxable Taxable Non Taxable
Interest Income
Bond Interest 0.00 0.00 50,000.00 0.00
FDIC Insured Bank Deposits 0.00 0.00 80.56 0.00
Total Dividends, Interest, Income and Expenses $30,308.53 $0.00 9110,677.85 $0.00
Portfolio Holdings
U.S. DOLLARS
Account Activity Opening Posing Accrued Income 30-Day °great
Opening Date Quantity Number Bldg Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits
Money Market
DWS GOVERN M ENT CASH INSTL
05101114 1.085.267.210 0000001489 0513011/ 1.054.958 68 1.085 267 21 0.89 31.79 0.03% 0.03%
Total Money Market 11,054,958.86 $1,085,787.21 $0.89 134.19
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
05101/14 N4G023812 0513011/ 0.00 0.00 0.00 80.56 biA tiiA
Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $80.55
Total Cash, Money Funds, and Bank Deposits 11,054,958.88 11,085,287.21 10.89 $115.35
Adjusted Uurealized Accrued Estimated Estimated
Dale Acquired Quantity Unit Cost Cod Basis Market Price Market Value Gala, Loss Interest Annual Income Yield
Fixed Income (In Matunty Date Sequence)
Corporate Bonds
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
NOTES SEA IOR 'SA0=160516525
5.000% 10128115 REG OW 10/28109 S 8 P Rating Bi
1210/113 '.3.12 2,000,000.000 92.3300 1,816,503.19 92.3750 1,817,500 00 906.51 8,888 89 100,000 00 511%
Original Cost BaMa 51,800,000.00
Total Corporate Bonds $1,811,693.19 81,847,500.00 $908.51 $6,688.89 $100,000.00
2,000,000.000
Total Fixed Income $1,816,593.19 $1,817,500.00 $906.51 $6,688.89 $100,000.00
2,000,000.000
Page 3 of 9
et).
Account Number: N46423812 Go paperless Rated tacellenti
00...p ROLL DAni sriA rD L x e A e cL r Bi y u A • R • m • R • e • A s rT a E n D e , C 2 O 0 M 0 M 7 LIFOCATIONS
SDNY_GM_00046869
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6:96THERhn inn DB-SDNY-0009693
EFTA_00157478
EFTA01289841

Portfolio Holdings (continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cod Cod Bads Market Pria Markel Value Geld Loss Annual Income Yield
Equities
Preferred Stocks (Listed by expintiort date)
ALLY FOIL INC PERP PFD FIXEDIFLTG RATE Security Identifier: ALLY PRO
SER A CALLABLE CO U PO N 8.5% CU SIP. 020051008
PERPETUAL MATO FaTY CALL° 25 05115116
Dividend Option: Cash
06/11113'.I3 57.000.000 25.0760 1,429./17.50 27.6600 1.576 620 00 141,202.50 121.125.00 7.66%
Total Preferred Stocks $1 429 417 50 $1 576 620.00 $141 202 50 $121 25 00
Total Equities 61,429,117.50 $1,516,620.00 $147,202.50 6121,125.00
Unrealized Accrued Estimated
Cost Basis Market Value Gain/ loss Interest Annual Income
Total U.S. DOLLARS $4.361.278.20 $4,509,387.21 $148,109.01 $8,868.89 1221.240.35
BRITISH POUND
Accrued Estimated Estimated
Description Quantity Market Price Market Value Currency Interest Annual Income Yield
Fixed Income (in Maturity Date Sequence)
Corporate Bonds
NATIONWIDE BOG SOCIETY EURO M TN 2,000,000.000 102.5400 2,060,800.00 GBP 30,597.53 137,500.00 6.70%
ISMSX.51013181269 6.875% 09/20/88 REG 3,439,396.88 USD 51.315 11 230 601 25
DTD 03111114 CALLABLE 08/20119
68 P Rating Bas
Security Identther: EK1000117
Total Corporate Bonds : 2,000,000.000 2,050,800.00 GBP 30,597.53 137,500.00
3.139,396,68 USO 51.31511 230,601 25
Total Fixed Income: 2,000,000.000 2,050,800.00 GBP 30,597.53 137,600.00
3.139.396.68 USD 51.315 11 230.601 25
Accrued Estimated
Market Valle Currency Plated Anneal Income
Total BRITISH POUND 2,060,800.00 GBP 30,597.63 137,600.00
3,139,396.68 LSO 51,315 11 230,601 25
Unrealized Accrued Estimated
Cod Basis Market Valle Gala/ Loss laved Anneal Income
Total Portfolio Holdings - U.S. 64,361,275.20 67,948,703.69 6140,109.01 $80,204.00 $451,841.80
DOLLARS
Footnotes
S` Pape 4 of 9
It)PAB MOLL A SO cc L o T un H t E N M u m `' bero:NG-n0 23r 12c ip G r O i spaipsernlesAs L I Dr B t x r a A a e l c s i U a y u M Y e rt e x .r c a Ra e r eA l s l rT e i E n n D t e , C 2 O 0 M 07 M UMULTIONS rytt.riZart...."`"="4=
SDNY_GM_000404320
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009694
EFTA_00 57479
EFTA01289842

Orvisre Rana P,,.,,, Wean vapmgenes
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01114:4-711114.1115170.4,91,
Statement Period: 05/01/2014 • 0513112014
Portfolio Holdings (continued)
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC.) (incorporating amendments enacted by
P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,* under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are 'covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their °applicable dete(s). at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1. 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds. foreign bonds. variable rates, bonds in default, Index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering form or transfening agent and Pershing makes no representation as to the accuracy of this intonation.
Holdings Summary by Currency
Carmel Cash Fried Scion studies Total by Cured,
U.S. DOILets 1,086,26/ 1,84000 1 576,620 4,509,38/ USD
BRITISH POUkD 0 2.050,800 0 2.050.800 GBP
Total USD Equivalent 1 085 267 5 288 896 1 576 620 7 948 783 USD
% of Allocation 13.65% 66.52% 19.03% 100.00%
Messages
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporatior.(SIPC)
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at httpsitwww.dws-investments.corn/EN/productshnoney-markeblunds-pelds.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held In your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please seethe
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Pegs 5 of 9
Account Numcbers N4o6423n812 n Go paperless itZlvts.•• •"
OKA ', 4011 SO U TH ERN DrISITIA DrxAeLnBALLellA S" rT 'i L v O a C 2 O 0 M 0 M 7 UNICATDONS
SDNY_GM_00046871
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009695
EFTA_00157480
EFTA01289843

Activity Sum m ary (AI/ amounts shown are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Securities Sought 000 0.00 Securities Bought 000 -6.897.364.62
Total Securities $0.00 $0.00 Total Securities $0.00 -$6,897,364.62
Dividends and Interest $30,308.53 $110,677.85 Dividends and Interest $0.00 $0.00
Distributions $0.00 $1,806,259.24 Distributions $0.00 $0.00
Fees $0.00 $0.00 Fees $0.00 -$12.00
Cash Cash
Deposits 000 911 807 66 Deposits 0 00 000
Total Cash $0.00 $911,807.66 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $0.00 $3,444,150.98 FDIC Insured Bank Deposits $0.00 -$1,748,423.06
Money Market Funds $0.00 $1,000,000.00 Money Market Funds -$30,308.53 -$2,085,267.21
Total Credits $30,308.53 $7,272,895.73 Total Debits .830,308.53 ,510,731,066.89
Transactions by Type of Activity
Process/
Settlement
Date Activity Type Desalption Quantity Price Ao:ruell Interest Amount Currency
Dividends and Interest
05/15/14 CAST DIVIDEND RECEIVED 57000 SI- RS ALLY ma INC PERPPFD FIXED/FLTG RATE SER A 30,281 25 LSO
ALLY PRB CALLABLE COUPON 8.5% PERPETUAL MATURITY CALL@ 25
05115/16 RD OS/01 PO 05115/14
05130111 MONEY MARKET FUND DWSGOVT CAS). INSTL 27.28 LSD
INCOME RECEIVED
233993682
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 30,308.53
Money Market Funds
05116114 MONEY FUND PURCHASE DWSGOVT CASh INSTL -30,28125 LSD
USD999997
05130114 MONEY MARKET FUND DWSGOVT CASh INSTL INCOME REINVESTED .27.28 LSD
REINVESTMENT
233993682
Total Money Market Funds • UNITED STATES DOLLAR 0.00 -30,308.53
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Page6 of 9
Account Number. N40.023 12 paperless
}FMNI4 SOUTHERN Ci S o SITIAL Drx .. Re ,7 Us uM v r . r. . a R . eATr ED 0 2 0 0 M 0 M 7 UNICATOIS
SDNCGM_00046872
C SrOnilarl D A
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009696
EFTA_00I5748 I
EFTA01289844

Oralsre Rota Prmair Wealth Mptagenms
Idaeals Coon., 6,0.4)
Detisor4 Mt *clones Ac
Ont•
PC. Bear 1770 Elul mvc ME)212Y3 HI Part A . tau t er
Rion M Imw
IMPISCAISLI11517144,91,
Statement Period:0510112814 • 05/3112014
Client Service Information
Your Client Advisor: IDS Contact Information
TAR SMITH Telephone Number: (212)151.2889
315 PARK AYEli LE 14TH FLOOR
ARV YORK NY 10151
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OLT
Default Method for Soda In a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other SOCUlltillE FIRST Ik FIRST OLT
Electronic Delivery
You have not selected any account corn in unications for electronic delivery. To register and turn off paper con m unications, log in to your account or contact your Client Advisor for more inform alien.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices have been obtained from
sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is
not available are marked "'N/A" and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time,
and may be affected by current and future economic. political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
vAwcpershing.cortilbusiness_continuky.htM for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income. Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon mitten request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order now.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously finished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing fin. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Page 7 of 9
Account Kum ber. N4G-023 12 Rated Lmolloni
DRAB ROLL SOUTHERN OSTOIN n pGr oi psapce rrleisAs L E Drx v Ae e Ls n Bu . A V rRn e Ra st eA L rT a E c D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00046873
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009697
EFTA_00 I 57482
EFTA01289845

Important Information and Disclosures (continued)
Proxy Vote
Securities not fully pal° 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 vole your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day. increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written
authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or avaiabifity of any information. Standard & Pools is not responsible for any errors or
missions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties inclueng warranties of merchantability or fitness for a particular purpose.
Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (i) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for kinds and securities you may deposit with it diectly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-33,33. AI other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC"). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: vnverpershing.congstrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt
of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights. including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey
City. New Jersey 07399; (201)113-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is 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 padres to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators wit typically include a minority of arbitrators into were or are affiliated with the securities industry.
• The rules of some arbitration forums may repose tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Page 8 ore
o•sx •ou Account Number: N464323812 Go paperless e k ) B D •r A r . a L • y M A V ts R a c R t o A l W l T o E o n e D i s C 2 O .0 M 07 M UNICATIONS
67:HuttinrIDALTITIA rxenumer
SDNY_GM_00046874
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. OB-SDNY-0009698
EFTA_00157483
EFTA01289846

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PL,)4S1.2146.1111S17.114:31
Statement Period: 0510112014 • 05/3112014
Important Information and Disclosures (continued)
Important Arbitration Agreement
My controversy between you and Pershing LLC shat be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; pl) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330.
Page 9 of 9
°RAH ROLL Account Number:NG-023 12 D G A o p E ap N erl T es I s A L Dr R [v x a A e i e ta r Un y d M l u V r. . n . R . eA S rT i v E o D te C 2 O '0 M 07 M UNCATIONS rwILTrZar=
SDNY_GM_00046875
67,m, umconn
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0009699
EFTA_00157484
EFTA01289847

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Account Number: N46-023812
Statement Period: 0410112114 - 04/3012014
Valuation at a Glance
This Period Year-to-Date
SOUTHERN TRUST COMPANY INC Beginning Account Value 57,669,668.83 36,457,577.92
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 911.80116
ST THOMAS VI 00802 Adjusted Previous Account Value 7189168.83 7,369,385.58
Dividends. Interest and Other Income 50.039.31 80.369 32
et Other Activity -6 00 -12 00
Net Chan e in Portfolio 119,856 84 389.816 08
nding Account Value S7.839 558 98 57,839.558 98
Your Client Advisor: Ego and Annual Incom e 5453 354 32
TAZIA SMITH
(212) 454-2889
Asset Allocation
Prior Year-Fad Lad Period This Period 1, Allocation
liSO Cash. Money Funds. and Bank Deposit:' 1.695327.92 3,444,118.83 1,054,958.68 13.46% Pe Chart allocation only includes
products that are of positive value.
hlon-USD Fned Income 1.650.000.00 1,120,000.00 5.243.320.30 66.88% I
USD Equities 1.530.450.00 1,558,950.00 1.541.280.00 19.66%
USD Find Income 1,581,400.00 946,600 00 0.00 0.00%
Account Total (Pie Chart) 36,457,577.92 87,669,868.83 $7,839,558.98 100.00%
I The Bart Deposits in your account are FDIC insured bank deposits.
FOC insured be* deposits are not securities and are not covered by the Securities Investor Protection Comombon
(SIPC). These bank deposes are covered by the Federal Deposit Insurance Corporation (FDIC). up to abowable limes.
See page 2 of this Memel for important information regardng the Asset Allocation section.
Page 1 of12
63,97(1473:::,C14 Go paperless R Se a v l* e d n Yews In ovaiotirennar. we. • ••••••••••• •••••••••
LAMAR RATtLCam,NICATIONS
CONFIDarnIAL eXCIELIANCI
SDNY_GM_00046876
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009700
EFTA_00157485
EFTA01289848

Asset Allocation Disclosure and Footnotes
Al values are displayed in V.S. dollars based on interbank exchange rates as of 0443012014. Exchange rates can vary.
Summary of Gains and Losses
Realized
This Period Year4o-Date Unrealized
Short-Term Gain/Lou 0.00 000 71.116.45
Lang-Term Gain/Loss 0.00 .193.740.76 0.00
Net GaIn/Loss 0.00 -193,740.76 71,116.45
This summary excludes transactions where cost basis information is not available.
Exchange Rate Table
Currency
°Brew USD Equivalent per USD
BRITISH POUND 1 6883 0.5923
Exchange rates are based on interbank exchange rates as of 04/30/2014. Exchange rates can vary.
Money Market Fund Detail
Date Activity Type Description Amount Babes*
Sweep Money Market Fund
owS GOVERNMENT CASH IN SR
Account Number 0000001489 Current Yield: 0.03% Activity Ending: 003004
04101(14 Opening Balance 0.00 0.00
04121114 Deposit MONEY RAO RACFASE 1,000,000.00 1,000,000.00
04122114 Withdrawal MONEY FUND REDEMPTION -1.000,000.00 0.00
04122114 Withdrawal SHARES REDEEMED -0.82 .0.82
04122/14 Deposit ACCRUED DIVIDEND CREDIT 0.82 0.00
04123114 Deposit MONEY FUND PURCFASE 1,004,951.99 1.004.951.99
04/29114 Deposit MONEY FUND FIACFASE 50.000.00 1,054,951.99
04/30(14 Deposit INCOME REINVEST 6.69 1,054,958.68
04130114 Closing Balance 81,054,958.68
Total All Money Market Funds 81,054,958.68
Page 2 of 12
8009/ 616CSF 30016 Account Number N4G-N023 Y12 E' ErpnapecrTleissA Seven V... IAA Raw aegArsok.•••••01••••••••• LLC. • ••••• ••••••)••••••1•0
SOUTHERN CSTEI bixAeta int ;cLTD COMMUNICATIOWS
Dcla
SDNY_GM_000464372
CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) DB-SDNY-0009701
EFTA_00 157486
EFTA01289849

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Ctitem Selv.,lei
Mee bet ONO
41)Parli Anis. Mk I kw
Nave WM. AY IC VA
04/)4-M4,,746.0 11%).7.114:11
Statement Period: 0410112/14 01/30/2114
FDIC Insured Bank Deposits
Date Activity Tipe Desaiption Amount Sabato
Other FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account h um ber. n46023812 Activity Ending: 04130114
04101/14 Opening Balance 3.444.118 03 3.444.118.83
04102114 Withdrawal WITHDRAWAL -6 00 3.444,112 83
04115/14 Deposit INTEREST CREDITED 26.15 3,444,138.98
API 001%
04(16114 Assodated Bank AA 3.444.138.98
NO 04/16 5250000.00
BUT
NO 04/16 5250000.00
Bank of America
NO 04116 5250000.00
Citibank NA.
NO 04/16 525000000
Deutsche Bank Trst Co
NO 04/16 5250000.00
East West Bank
NO 04/16 5250000.00
Flushing Bank
NO 04/16 $94413898
KY Comm unity Bank
NO 04/16 5250000.00
Texas Capital Bank
NO 04/16 5250000.00
TUSIale Capital Bank
NO 04/16 5250000.00
Com unity Bank
NO 04/16 5250000.00
04122/14 Withdrawal WITHDRAWAL .3.444.144.63 -5 65
04122/14 Deposit INTEREST POSTED 5.65 0.00
04130114 Closing Balance $0.00
Total FDIC Insured Bank Deposits $0.00
The FDIC Insured Bank Deposits are riot securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to 5250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Page 3 of 12
Account Num Der. N4G-023 12 Go paperless eitt.,. 'f,512,cit— a............•••••••••• We. • WINO/ 41••••••1•64.01.0
exCALUINCI
SDNY_GM_000464378
SOLTHERNC SoNnDENTIAr
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009702
EFTA_00157487
EFTA01289850

Income and Expense Summary Current Period Year.lciDate
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 0 00 0.00 30.281 25 000
Money Market 7 51 0.00 7.51 0.00
Interest Income
Bond interest 50.000 00 000 50.000.00 000
FDIC Insured Bank Deposit 31 80 000 80 56 000
Total Dividends, Interest, Income and Expenses 550,039.31 $0.00 $80,369.32 $0.00
Portfolio Holdings
U.S. DOLLARS
Account Adivity Opening Cluing Accrued Income 30-Day Carrot
Opening Date Quantity Number Ending Balance Balance Income This Year YieW Yield
Cash, Money Funds, and Bank Deposits
M oney Market
DWS GOVERN M ENT CASH INSTL
0110111/ 1151.958.680 0000001/89 04130/11 0.00 1151.958.68 0.00 7.51 0.03% 0.03%
Total Money Market $0.00 51,061,068.60 $0.00 $7.61
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
0410111/ A.1G023812 04130114 3.441.11813 0.00 0.00 80.56 NM NIA
Total FDIC Insured Bank Deposits $3,444,111.13 $0.00 $0.00 $10.56
Total Cash, Money Funds, and Bank Deposits 83,444,118.83 $1,064,968.08
Adjusted U n re$ald ied lAin8ccr.rupee7sdt Estimated Estimated
Date Acquired Quantity Und Cost Cod Basis Market Price Markel Value Gala/ Loss Annual Income Yield
Fixed Income (In Mawmy bate Sequence)
Corporate Bonds
PETROLEOS DE VENEZUELA Security Identifier: P780711AF2
NOTES SENIOR ISM X.90460546525
5.000% 10128115 REG DTO 10/28709 S d P Rating lin
12104113'.3.12 2100,000.000 91.9120 1,838,246.05 89.8750 1397.500.00 .40346.05 555 56 100,000.00 5.56%
Original Cod Basis $1.800.000.00
Total Corporate Bonds $1,838,240.05 $1,797,500.00 ,940,746.05 1555.56 $100,000.00
2,000,000.000
Total Fixed Income 51,838,246.05 $1,717,600.00 110,746.05 $555.56 $100,000.00
2,000,000.000
Page 4 of 12
B009761CCSF30016 Account Numcbers: N4oG423n 12 n Go paperless a t R Se a v l e f < n I I Y .. e . a th ,. a I t n A Raw — *me Owenby...A. •••••• as; ate —n
SOUTHERN liralI NIVED COMMUNICATIONS
TIA
SDNY_GM_000464379
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009703
EFTA_00 I 57488
EFTA01289851

Otalsoo Mn, ,stain *stain Manapnerd
Pdweett COmfarGH.,p
Des-0.04 SelVlas
MewVert Mc*
P.O. ea, 1716. Batman MD 21200 Hann Anne0.160. I to
Hewlett. VI 101.1.4
3/14 544/14.111/5178H4TS
Statement Period: 04/01/2914 • 04/3012014
Portfolio Holdings
(continued)
U.S. DOLLARS (continued)
Unrealized Estimated Estimated
Date Acquired Clualthy Lid Cost Cost Market Price Markel Value GainfLoss Annual Income Yield
Basis
Equities
Preferred Stocks (Listed by expiration date)
ALLY FINL INC PERP PFD FIXEDIFLTG RATE Security Identifier: ALLY PRB
SERA CALLABLE COUPON 8.5% CI, GIP 02009008
PERPETUAL MATURITY CALL° 25 05115116
Dividend Option: Cash
06111113'.52 57.000.000 250780 1,429,417.50 27.0400 1,541.280.00 111.802.54 121.125.00 7.85%
Total Preferred Stocks $1,421,417.50 11,541,280.00 1111,862.50 $121,125.00
Total Equities $1,429,417.50 11,541,280.00 1111,662.50 $121,125.00
Unrealized Awned Estimated
Cost Basis Market Value Gain! loss Interest Annual Income
Total U.S. DOLLARS 84,322,622.23 34,393338.68 171,116.45 8555.56 8221,213.07
BRITISH POUND
Accrued Estimated Estimated
Desaiptioa Quantity Market Price Market Value Currency Interest Annual Income Yield
Fixed Income (In Watuiity Dare Sequence)
Corporate Bonds
NATIONWIDE BOG SOCIETY EURO M TN 2,000,000.000 102.0500 2,041,000.00 GBP 18,887.36 137,500.00 6.73%
ISMS/01043181269 8.875% 09120188 REG 3.445.820 30 USO 31.887 53 232,141.25
DID 03/11114 CALLABLE 08/20119
58 P Relied BB.
Security Identifier EK1000117
Total Corporate Bonds : 2,000,000.000 2,041,000.00 GBP 18,887.36 137,500.00
3,445,820.30 USD 31,887 53 232,141 25
Total Fixed Income: 2,000,000.000 2,041,000.00 GBP 18,887.36 137,500.00
3,445,820.30 USD 31,887.53 232,14125
Mailed Estimated
Market Value Currency Intered Annual Income
Total BRITISH POUND 2,041,000.00 GBP 18,887.36 137,500.00
3,445,820.30 USO 31,887.53 232.141.25
minriprmai Page 5 of 12
B0097616CSF30,16 Account Number: N4G.023 12 Go paperless R Se a v te e d n I Y . e fa a l r l s e I n n , A Rees Heiew.WISHO•weHinittil.n•••••••*.leedWOHH
SOUTHERN LDCOMMWKAT .n
AL
SDNY_GM_00046B80
MsAflA--
CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) OB-SDNY-0009704
EFIA_00 157489
EFTA01289852

Portfolio Holdings (continued)
Unrealized Accrued Estimated
Cost Basis Market Value GairffLoss Interest Annual Income
Total Portfolio Holdings • U.S. $4,322,622.23 57,839,558.98 $71,116.45 $32,443.09 $453,354.32
DOLLARS
Footnotes
▪ Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wit be reported to the IRS on form 1099-B for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering Sin or transferring agent and Pershing makes no representation as to the accuracy of this information.
Holdings Summary by Currency
Currency as Fixed Income Equities Total by Currency
D0LLARs
L S 1,05M8 1.797.500 1.541.280 4.393.738 USD
BRITISi- POUND 0 2,041,000 0 2.041.000 GBP
Total USD Equivalent 1 054 951 5,243 320 1,541,280 1,839,551 USD
% of Allocation 13.46% 66.88% 10.66% 100.00%
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Loss/
Date Date Transaction Description Quantity Cost Basis Proceeds Disallowance
Long Term
04121114 04105113' RDMG IINSBC USA INC MEDIUM RAZILIAN REAL RELATIVE TO USD 1.000.000.000 1,000,000.00 1,000,000.00 0.00
First In First Out 0.000% 04121114 EVE DTD 04112
Security Identifier 40432XE56
Original Cost Blisis* 1,000,000.00
Page 6 of 12
E:,01O6ICCSF30016 1.iAlt t:' Account Numcbers: N4oG-023n 12 nD Go m pape rless mR S a ta n n rd aI Y . C .:. O n I N S o I n n r' A Raw Olninsonnuen Owanin.Y.C.••••••••AnienanIMAY
SOTIMERS IC) V• y A L
SDNW_GM_00046081
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009705
EFTA_00 157490
EFTA01289853

(*.awe 0." • r file Mit siinManapnad
Penis Cowan Gtcs.p
Detts0A 5,4%, net Ac
lin• OW*
P.O. Pa I7PP letr ef* MD 21203 HI Pan Anneklkhilber
War RA l'et 1011.4
4:44414. (MI 78/1,4MS
Statement Period: 04/0112014 • 04/3012014
Schedule of Realized Gains and Losses Current Period (continued)
Dispositioe Acquisition Dispostion Realized Gain/ Loss!
Dale Date Transaction Oesaiption Quantity Coil Basis Proceeds Disallowance
Total Long Term $1,000,000.00 $1,000,000.00 $0.00
Total Short Term and Long Term $1,000,000.00 31,000,000.00 $0.00
Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC) (incorporating amendments enacted by
P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ncocovered," under the new cost basis reporting rules, and marked or denoted as such. Al other securities in this
section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on
or after their 'applicable date(s)- at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on after January 1, 2014, or later, as determined by the Secretary of the Treasury.
or
This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and
subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as
it relates to corporate actions, has been obtained from sources we believe to be reliable.
Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost
basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have available to you.
When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by
Pershing as it relates to H.R. 1424. You should 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 relance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attrtutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
The cost basis of this security has been provided to us by the delivering km or transferring agent and Pershing makes no representation as to the accuracy of this information.
IS
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method whicb you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to Fist In, Fist Out (FIFO). Your accounts selected tax lot method will be
used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8.
Page 7 of 12
E,097616CSF10,16 Account Number: N4G•023 12 GO paperless RIPS tee; lent Comae Oman. Owesty LL6 • Imam •••••4•••••an
DrEITIA CALM* RATED COMMUNICAT10.6
eXCALUNCI
SDNY_GM_000464382
CONFIDENTIAL — PURSUANT TO FED. R GRIM. 67eU) TH"tonn DB-SDNY-0009706
EFTA_00157491
EFTA01289854

Messages
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DWS investments website at https://www.dws-iwestments.com/EN/productshrooney•market-fundslields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Activity Summary (All amounts sham are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Secunes Bought 0 00 0.00 Securities Bought -6.897.364.62 -6.897.364.62
Total Securities $0.00 $0.00 Total Securities .16,897,384.52 .18,897,384.52
Dividends and Interest $50,039.31 $80,389.32 Dividends and Interest $0.00 $0.00
Distributions 11,000,000.00 $1,808,259.24 Distributions $0.00 $0.00
Fees $0.00 $0.00 Fees .16.00 .112.00
Cash Cash
Deposits 0.00 911 807 66 Deposits 0 00 0 03
Total Cash $0.00 1911,807.88 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $3,444,144.98 $3,444,150.98 FDIC Insured Bank Deposits -$26.15 -$1,748,423.06
Money Market Funds $1,000,000.00 $1,000,000.00 Money Market Funds .$2,051,958.68 .S2.054,958.68
Total Credits $5,494,114.29 $7,242,587.20 Total Debits -18,952,355.45 ,110,700,758.36
Transactions by Type of Activity
Process; Trader
Settlement Transaction
Date Date Activity Type Description Quantity Price Accrued Interest Amount Currency
Securities Bought and Sold
04122/14 04115/14 PURCHASED BRITISH POUND 2.055.865 380 1.6728 -3,439.193.46 LSD
04/22/14 04/15/14 PURCHASED NATIONWIDE BOG SOCIETY EURO MTN ISINtX$1043181269 2.000.000 000 102.0000 -15.865.38 -2.055.685.38 GBP
EK1000117 6.875% 09/20188 REG OTD 03111114 CLB ASOF 04/1512014 -26,687.16 .3,458,171.16 USD
Exchange Rate: 1.6821
Total Securities Bought and Sold
BRITISH POUND .15,865.38 -2.055.865.38 GBP
TOTAL USD EOL IVALaT -26,687.16 -3,458,171.16 LSO
UNITED STATES DOLLAR 0.00 -3439,19346 LSD
Page 8 of 12
Account Num ber. N40-023 12 Go paperless ww r zoning' eyes, ova.% pease we. . ism. ape. •••••
Raw
SOUTHERN
LeAxcWct*u rfRtcAaT ED COMMUMCAlIONS
SDNY_GM_00046883
C SroennEID Arm aTA
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009707
EFrA_00157492
EFTA01289855

(*.Fog< Pnoir WeahnPamormot
Weals Codrage 6,0.4)
Desbov loft Scoonei Lac
wo* Mar
HI Pan Ammo. 160. Me,
Nero wet. hY I0114
(l1.1)454.78SI.I1151741/ 4,9S
Statement Period: 04(0112014 • 04/3012014
Transactions by Type of Activity (continued)
Protest/ Trade/
Settlement Transaction
Date Date Activi Elena ion Clean Price Accrued Interest Mount Darren
Dividends and Interest
04/15/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 28.15 USD
DEPOSITS INTEREST
RE-COVED
458997996
04122/14 MONEY MARKET FUND DWS GO VT CASH 'NUL INCOME REDEEMED 0.82 USD
INCOME RECEIVED
233993681
04122/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED INCOME 5.65 USD
DEPOSTS INTEREST REDEEM ED
RECEIVED
458997996
04/28/14 FOREIGN BOND INTEREST 2000000 PETROLEOS OE VENEZUELA NOTES SENIOR 50 000 00 LSO
P7807HAF2 ISINPXS0460546525 5.000% 10/28/15 REG DTD 10128109
RD 04/27 PD 01/18/14
04130114 MONEY MARKET FUND DWS GOVT CAS- INSTL 669 LSD
INCOME RECEIVED
233993681
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 50,039.31
Distributions
04/21114 SECURITY REDEEMED FSBC LSA INC MEDIUM MA NTS BRAZILIAN REAL RELATIVE .1,000,000.000 1 000 000 00 LSD
40432XE56 TO USD 0.000% 04121114 WE DID 04/12/13 ACCOUNT
REDEMPTION
Total Distributions • UNITED STATES DOLLAR 0.00 1,000,000.00
Fees
04/01/14 FO REIGN CUSTODY FEE Fgn Safekeeping MAR 2014 CUSP. P7807H-AF-2 -600 LSO
P7807HAF2
Total Fees- UNITED STATES DOLLAR 0.00 -COO
Page 9 M11
Account Numcbesr: Ne40.0i2n3 12n DGmo paapteirlTessA Ln ut liseodImeonent CuroopOmmli ono/us& • sodas on•Woo
0,7616CSF30016 Swan Years In A Row
SOUTHERN ligtr ipRioNIDCOMPAUNICATIONS
SDNY_GM_00046884
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009708
EFTA_00 157493
EFTA01289856

Transactions by Type of Activity (continued)
Process/ Tradel
Settlement Transaction
Date Date Activity Type Description Cleantity Price Acaved Interest Amount Currency
FDIC Insured Bank Deposits
04102114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 600 LSO
WITHDRAWAL
USD999997
04115114 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -26.15 LSD
DEPOSITS INTEREST
REINVESTED
458997906
04122/14 FDIC INSURED BANK INSURED DEPOSITS PROGRAM FULL PRINCIPAL REDEEMED 3,444,138.88 USD
WITHDRAWAL
USD999997
Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 1.00 3,144,110.03
Money Market Funds
04/21/14 MONEY FUND PURCHASE DWS GO VT CASH INSTL 1,000.000 00 USD
USD999997
04/22/14 MONEY FUND REDEMPTION DWS GOVT CASH INSTL FULL PRINCIPAL REDEEMED 1,000,000 00 USD
USD999997
04123/14 MONEY FUND PURCHASE DWS GOUT CASH INSTL -1.004,951.99 USD
USD999997
04129114 MONEY FUND PURCHASE DWS GOUT CASH INSTL -50.00000 USO
USD999997
04130114 MONEY MARKET FUND DWS GOVT CASH INSTL INCOME REINVESTED -669 USO
REINVESTMENT
233993682
Total M oney Market Funds - UNITED STATES DOLLAR 0.00 -1,054,950.61
Total Accrued Interest Total Amoont
Transactions Summary Total Accrued Interest Total Amount Currency USD Equivaleel USD Equivaleat
BRITISh PO LAD -15.865.38 -2.055.865.38 GBP -26.68716 -3,458.171.16
ITED STATES DOLLAR 0.00 0.00 USD 0.00 0.00
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: TDS Contact Information
TAZIA SMITh Telephone Number: 1212) 454-2889
345 PARK AVENUE 14Th FLOOR
NEW YORK NY 10154
Page 10 of 12
E.,,09/61CCSF30016
Account Nucmbeor N4nG42n3 1p2 riGcon paapTerl eAss L ve n
om.
emesionuponomiut.••••••••••••••••a,
SOUTHERN DAttAit RATEDCOM...MOUTONS
VICALUNCE
SDNY_GM_00046885
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009709
EFTA_00 II 57494
EFTA01289857

(*.Owe 0." 00•410 VO.1004.1111`,./4
levees Iliw 4,0.p
Dettf* St4w,lti,IC
Yrb Onal,
.141nell •••••••• 1601ber
Neve RA YT 10114
inn 4:4411311. OM) 78114MS
Statement Period: 0410112114 • 04/3012014
Your Account Inform ation
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Stoda In a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Electronic Delivery
You have not selected any account communications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for more inform ation.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from
sources which we believe to be refiable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is
not available are marked —N/A— and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time,
and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities. interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
vnimpershing.comibusiness_confinuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shovm on your statement may have been reinvested. You MI
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased. may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously fumished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing km. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Cleating Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and sender corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge. or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
Page ft of 12
50097 6:GCS F 30 '16 Account Number: N4G•023 12 Go paperless tt , Ral•d ( ven om Cams. ••••••• Ooratryi uLC. • wooer rms. .00~1
bAt•Aft RATED COMMUNICAlIONS
SDNY_GM_00046686
CONFIDENTIAL — PURSUANT TO FED. R
67eU)THERNCOnripricl aTAL
OB-SDNY-0009710
EFEk_00157495
EFTA01289858

Important Information and Disclosures (continued)
Foreign Currency Transactions (continued)
use.
Ratings
This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Stannic & Pools is not permitter 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, a for the results of using such content. Standard & Pools makes no express or implied warranties inducing warranties of merchantability or fitness for a particular purpose.
Standard & 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.
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 @orders
for the purchase and sale of securities and other property and (i) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not had Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable: the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC"). Please note that SIPC does not protect against loss due to market fkictuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: vnvetpershing.corrirstrengtn_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt
of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department: One Pershing Plaza; Jersey
City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very kited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award. unless, in an eligible case. a joint request for an explained decision has been submitted by all patties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators wil typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied: (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem.
Pershing's contact information is as follows: Pershing LLC: Legal Department One Pershing Plaza: Jersey City, New Jersey 07399, (201)413-3330.
Page 12 of 12
B001O61CCSF30116 Account Number: N4G423 12 Go paperless 1* ) Rated I .ewilent Olney — ••••••.. - • seal. •••••••••••••••••
DALILAft RATED COMMUNKA11O.41
I CELLE CI
SDNY_GM_00046B87
67,7CORrID AENITTAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. Ce-SDNY-0009711
EFIA_00157496
EFTA01289859

e 'tom Ws...in Ma
V,u. C•ccp
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PA OM 17/1M ere" MDM203 Yew:ISA Ogico:
JII:Pant Anne.. Unit loct
*no w.h. kV 101:4
til/f1M-/Sti. »as eons
Account Number: N46-023812
Statement Period: 0310112014 - 03/31/2014
Valuation at a Glance
This Period Year-to-Date
SOUTHERN TRUST COMPANY INC Beginning Account Value 37,479,590.60 36,157,577.92
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 000 911,80116
ST THOMAS VI 00802 Adjusted Previous Account Value 7,179,590.60 7,369,385.58
Dividends. Interest and Other Income 18.99 30330 01
K et Other Activity 000 -6.00
het Chan e in Porttolw 190.05924
Your Client Advisor: Esbm sled Annual Income $221.173 76
TAZIA SMITH
(212) 151-2889
Asset Allocation
Prior Year-Fad Lad Period This Period % &Vocation
USD Cash. Money Funds. and Bank Deposits 1.695.727.92 2.637,81010 3.144.118.83 11.40% Pe Chart allocation only includes
products that are of positive value.
USD Fixed Income 1,581,400.00 1.624.800.00 946.800.00 12.34% j
Non-USD Feted Income 1.650.00000 1158.000.00 1.720.000.00 22.43%
USD Equities 1,530,450.00 1558.950.00 1558,950.00 20.33% .
Account Total (Pie Chart) $6,457,577.92 27,179,590.60 $7,661,668.83 100.00%
I The Bari Deposts in your account are FOC insured bank deposits.
FCC tossedbank deposits are not securities and are not covered by the Securtles Investor Protection Corporabon
(SIPC). These bank deposits are covered by the Federal Deposit traumatise Corporation (FDIC), up to arowatie lima
See page 2 of Iris statement for important intormabon regarcIng the Asset Allocation section.
Paget 0111
Go impel-less Ral*d tiallent u.C. • ••••••••••••1••••••••••
6: I 07: :•73, FZ.! othrriAc
R RATtDCOMPALINOCADONS
CON CALMA
SDNY_GM_000164388
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009712
EFTA_00157497
EFTA01289860

Asset Allocation Disclosure and Footnotes
Al values are displayed in V.S. dollars based on interbank exchange rates as of 03/31(2014. Exchange rates can vary.
Summary of Gains and Losses
Realized
This Period Year4o-Date Unrealized
Short-Term Gain/Lou 0.00 000 -33.841.19
Lang-Term Gain/Loss -193.74016 .193.740 76 0.00
Net Galn/Loss -193,740.76 -193,740.76 -33,841.19
This summary excludes transactions where cost basis information is not available.
FDIC Insured Bank Deposits
Date Aaivily Type Description Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: N4G023812 Activity Ending: 03/31/14
03101/14 Opening Balance 2.637.840 60 2.637.840.60
03114(14 Deposit INTEREST CREDITED 18 99 2.637.859.59
APY 001%
03/17114 Assoaaled Bank NA 2.637.859.59
NO 03117 5250000.00
BEV
NO 03I17 S250000 00
Bank of America
NO 03117$250000.00
Citibank N.A.
NO 03117$250000.00
Deutsche Bank Tar Co
NO 03117 1387859.59
East West Bank
NO 03117 $250000.00
NY Community Bank
NO 03117 $250000.00
Texas Capital Bank
N0 03117 5250000.00
Union Bank of CA
NO 03117$250000.00
Com ant,/ Bank
Page? of 11
Account Num e ber. b N4 - G n -023 r 12 i ptGeo pNapetrlresAs S % e P e S n f V la e i t li s n I g n ' A Row use. • am»• ••••••••••••••
SOUTHERN DAWR WED COMMUNICATIONS
VCCIELUNCII
SDNY_GM_00046.889
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009713
EFTA_00157498
EFTA01289861

OraisreRanaPnnie Weada swarm%
Materis Cisme
De.tun4 lank Settolas
wan O
PC. Ba.177,6 ail .M021203 H1Part A . lkh r tier
Na RAM 0114
454.71114.11151704,91,
Statement Period: 0310112014 • 03/3112014
FDIC Insured Bank Deposits (continued)
Date Activity Type Description Amount Salaam
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
NO 03/17 $250000.00
03/27/14 Depost DEPOSIT 806,259.24 3,144,118.83
03/31114 Posing Balance 13,444,118.13
Total FDIC Insured Bank Deposits $3,444,118.83
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retiremeM accounts. Please review this in connection with other
deposits you may have at each respective bank.
Income and Expense Summary
Purent Period Year-to-Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 000 000 30,281.25 0 00
Interest Income
FDIC Insured Bank De posts 18 99 000 48.78 0 00
Total Dividends, Interest, Income and Expenses $18.99 $0.00 130,330.01 $0.00
Portfolio Holdings
Account Activity Opening Closing Accrued Income 38-Day Cermet
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 45.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
03101714 3.444.118.830 N4G023812 0361/14 2.637.840.60 3.444.118.83 11.96 48.76 N/A NM
Total FDIC Insured Bank Deposits $2,637,840.80 $3,414,118.83 $11.96 $48.16
Total Cash, Money Funds, and Bank Deposits 12,637,840.80 $3,444,118.83 $11.96 841178
Page 34111
P*10/139CSF30022 Account Numcbers: N4oG412n3 12 npGroc pa t p i e n rles A s L Wiled I .e *tiet CONISIF Olnuip rYrYrD u.a. • oar. egad •••••••••••
SO UTHERN DAMAO! T ED COMMUNOCAIIONS
EXCILIANCI
SDHCGM_00046890
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009714
EFTA_00 I 57499
EFTA01289862

Portfolio Holdings
(continued)
Adjusted Unrealized Mined Estimated Estimated
Dale Acquired Quantity Unit Cod Cost Basis Market Pria Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income 3 5.0 0% of Portfolio (In Malurity Dale Sequence)
Corporate Bonds
1HSBC USA INC MEDIUM TERM NTS Security Identifier: 40432XE56
BRAZILIAN REAL RELATIVE TO L.S0
0.000% 04121114 WE DM 04112113
01105/13 '.17,13 1.000.000.000 100.0000 1.000.000.00 94.6600 946,600.00 .53,400.00 0.00
Original Cost Basis: 51.000.000.00
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
NOTES SENIOR ISA0 X30460546525
5.000% 10128115 REG DID 10128109 SS P Rating Si
12/0/113 '.3.12 2,000,000.000 91.4990 1,829,973.69 86.0000 1,720,000.00 -109.973.69 42,22222 100,000.00 581%
Original Cosl Basis $1.800.000.00
Total Corporate Bonds 62,829,913.69 $2,886,600.00 -$163,373.69 $42,222.22 $100,000.00
3,000,000.000
Total Fixed Income $2,829,973.69 92,666,600.00 -$163,373.69 $12,222.22 $100,000.00
3,000,000.000
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cod Cost Ws Market Pria Markel Valve Gals/ Lou Annual Income Yield
Equities 20.00% of Portfolio
Preferred Stocks (Listed by expiration date)
ALLY FINL INC PERP PFD RXED1FLTG RATE Security Identifier: ALLY PRO
SER A CALLABLE CIJSIP. 020051008
Dividend Option: Cash
06111113 '.13 57.000 000 25 0780 1,129,117.50 27.3500 1.558.950.00 129,532 50 121,125.00 7.76%
Total Preferred Stocks $1,129,117.50 $1,558,950.00 $129,532.50 $121,125.00
Total Equities $1,129,117.50 61,558,950.00 $129,532.50 $121,125.00
Unrealized Accrued Estimated
Cod Basis Market Value Gain/ Loss Interest Annual Income
Total Portfolio Holdings $7,703,510.02 $7,669,668.83 -$33,841.19 $42,222.22 $221,173.76
Footnotes
' Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended ('IRC') (incorporating amendments enacted by
P.1.110.343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their *applitable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wig be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Paget of 11
Pa0/139CSF30022 Account Number: N1G•023 12 Go paperless It SKoawd,a Yoefae I nI n A Raw CS. OI.01101•10•••1014. • IMO*, •••••...• WW1
SOUTHERN r cctrI HR.WDCOMMUNICAT1O.1%
SDNY_GM_00046891
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) C SCN UPa rl DrN ITIA DB-SDNY-0009715
EFTA_00157500
EFTA01289863

Oraisre P 0 a . n " t . % .. CinO etVraorts •G • M py a p n ir era
Dests0 li 4 r eM b a e i t S O e4 N w O n et AC
HI Put Annie. ItaI ter
Nem lot 10114
inn 4:441114. OM) 7$1.4,9S
Statement Period: 0310112114 .03/3112014
Portfolio Holdings (continued)
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1.2011
• Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these andantes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax retums.
1 This bond is maturing.
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.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering km or transferring agent and Pershing makes no representation as to the accuracy of this information.
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Loud
Date Date Transaction Description Quantity Con Basis Proceeds Disallowance
Long Term
03127114 03113113' ROM G PRIX USA !AC 11 EDIUM RAZILIAN REAL RELATIVE TO 1,50 1.000.000 000 1.000.000.00 806,259 24 -193,710.76
Rua In First Out 0.000% 03127114 TUE DTO 03120
Security Identifier. 40432%032
Original Cost Basis: 1,000,000.00
Total Long Term 11,000,000.00 1806,269.21 -$193,740.76
Total Short Term and Long Term 01,000,000.00 $1106,269.21 -$193,740.76
Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such. Al other securities in this
section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on
or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is
disposed.
Page S of If
8010/139CSF30022 Account Number: N1G n 423 r 12 iD G r o -paNperlTess IAat tres SR CA : W rr * Y RA t T t E t D . C . O . MMUNCA110011 COns.••••••M an. •••••• am*. ••••1101
IPICALUNCI
SDNY_GM_00046892
67: PIE"C
CONFIDENTIAL - PURSUANT TO FED. R CRIM. OB-SDNY-0009716
EFrA_00157501
EFTA01289864

Schedule of Realized Gains and Losses Current Period
(continued)
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1. 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or alter January 1. 2014, or later, as determined by the Secretary of the Treasury.
This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and
subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as
it relates to corporate actions, has been obtained from sources we believe to be reliable.
Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost
basis reflected on your monthly dent brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have available to you.
Wien you report your cost basis on your tax return, it should be verified using all of your own records. In particular. there may be other adjustments which you need to make, but are not requited to be made by
Pershing as it relates to M.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or
warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and rekance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attrbutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, inch/111g those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
Please refer to the Your Account Information Section n your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method which you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your accounts selected tax lot method wil be
used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099.8.
Messages
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Federal Deposit Insurance Corporation (FOICHnsured Bank Deposits are not protected by Securities Investor Protection Ciorporation.(SIPC).
For disclosure of rates for DWS money market hinds, please visit the DWS Investments website at https:thowi.dws-investments.com/ENIproductshrioney-market-funds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
In accordance with the Securities Exchange Act Rule 606 (Disclosure of Order Routing Information), upon your request, the following information is available to you:
I) the identity of the venue to which your orders were routed for execution in the six months prior to the request.
i) whether the orders were directed orders or non-directed corers,
ii) the time of the transactions, if any. that resulted from such orders
We will notify you on an annual basis of the availability of the above information upon request
Page 6 of II
Account Number: N4G-023 12 Go paperiess Rabid vellent Onag Smug,. Owistry LI.C. • ',Oder arts ••••••.,
8010/139CSF30022
CAW* ItAT CD COMMON/CATIONS
VCCMINCII
SDNY_GM_00046893
67e)UTHERIt ar nnprKTIAL:
CONFIDENTIAL — PURSUANT TO FED. R CRIM. OB-SDNY-OOO9717
EFTA_00157502
EFTA01289865

°M.o. Ram Prmair. Wean laptagenait
Pdaeals Cisme 6,0“)
Dettsch4 Sank Smelts %..c
Na. wan Cali*
HI Pan Ramo. Ikh I ter
New RA 1,tt 10114
01114:441114.11151741.4,91,
Statement Period: 0310112014 • 03/31/2014
Activity Sum m ary (AU amounts shown are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Dividends and Interest $10.99 $30,330.01 Dividends and Interest $0.00 $0.00
Distributions $806,259.24 $806,259.24 Distributions $0.00 $0.00
Fees 10.00 $0.00 Fees $0.00 .16.00
Cash Cash
Deposits 000 911 807 66 Deposits 0 00 0 00
Total Cash $0.00 $911,807.66 Total Cash 10.00 $0.00
FDIC Insured Bank Deposits $0.00 $6.00 FDIC Insured Bank Deposits .$806,270.23 -11,748,396.91
Total Credits $806,270.23 $1,748,402.91 Total Debits .$806,278.23 -11,740,402.91
Transactions by Type of Activity
Process/
Settlement
Date Activit Pe Desaiption Olen • Price Accrued interest Amount Curren
Dividends and Interest
03114114 FDIC INSURED RANK INSURED DEPOSITS INTEREST CREDITED 18,99 USD
DEPOSITS INTEREST
RECEIVED
/58997996
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 11.99
Distributions
03/27114 SECU RITY REDEEMED HSBC USA INC MEDIUM Tffill NTS 8FtAZILIAN REAL RELATIVE •1.000,000.000 806,25924 USD
40432/032 TO USD 0.000% 03/27/11 WE OW 03120113 ACCOUNT
REDEMPTION
Total Distributions • UNITED STATES DOLLAR 0.00 $08,259.24
FDIC Insured Bank Deposits
03114114 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -18.99 USD
DEPOSITS INTEREST
REINVESTED
458997996
03127114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -806,25924 USD
USD999997
Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 8.00 •$06,27$.23
Page? of 11
Account Number:NO.023 12 Go papedess eit. t .t.eAt:nynToAcRera. CONS" Onu011O WNS. 116 • i••••• ••••••••••
B1)10, 139CSF 30022 SOUTHERN c A ritr....00 , ITh wItA OMPALINIC A110.4%
SDNY_GM_00046894
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009718
EFTA_00 157503
EFTA01289866

Transactions by Type of Activity (continued)
Process/
Settlement
Date Adivity Type Description Quantity Price Accrued Interest Amount Currency
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: WS Contact Information
TAZIA SMITH Telephone Number: 1212) 454.2889
345 PARK AVENUE 14TH FLOOR
NEW YORK NY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Stodis in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Electronic Delivery
You have not selected any account corn m unications for eledionic delivery. To register and turn off paper corn m unications. log in to your account or contact your Client Advisor for hate inform align.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained horn
sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is
not available are marked —N/A— and are omitted from the Total.
The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information horn 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
vnwtpershing.ccinibusiness_continuity.html for specific derails as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities sham on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available won written request to your introducing firm.
Page 8 of 11
Account Num c be s r:14 o 4042 n 3 12 r ipGmo paaprerTlesAs L Ral•d I ve.lent Chissw•puiveueo•OnaliMill.0.•••••••••••••••••••••
*10 1l 9CSF 30 022
SOUTHERN DAWN, RATED COMMUNCA11O.4
IPICALIANCIE
SDNY_GM_00046895
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009719
EFTA_00 157504
EFTA01289867

Oralsre RIM .0•410 'MY, Paamir,tat
POweets Conetar
Dettflh• km k,von m<
MrsVert Mo.
14 ion einnws.
War wet WI 101S.
IM)454.78411. I1S 7.114,11.
Statement Period: 03/0112014 • 0313112014
Important Information and Disclosures (continued)
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margii Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction. incurred a charge. or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard 8 Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written
authorization from Standard 8 Poor's. Standard & Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content Standard & Poets makes no express or implied warranties includeg warranties of merchantability or fitness for a particular purpose.
Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (i) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controMng or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions al the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account. its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and. in certain instances. execution of securities
orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. AI other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the $ecurities Investor Protection Corporation (SIPC1. Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: ww.v.pershing.corNstrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt
of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey
City. New Jersey 07399; (201)413-3330. Errors and Omissions excepted.
Page 9 of 11
8010/ 13 9CSF 30 022 s Acc o oun u t Nu T mbe H r NI E G•02 " 3 c 12 onr G i o D parpNerTlesIsA L46 ) Ftal•d wollent Olisse.•••••••••••••witi.C. • •••••••••••d••••no
eOxALcSitAuRN RcAiTt EDCOMMUNICATIONS
SDNY_GM_00046896
CONFIDENTIAL — PURSUANT TO FED. R OEM. P. 6(e) OB-SDNY-0009720
EFIA_00157505
EFTA01289868

Important Information and Disclosures (continued)
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other n court. including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a join request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators wit typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied, (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330.
Page 10 ell
Ps)10/139CSF30022 I i4Mi ., Acc U o T u H n E t N RN u m c be r r: N n 4G• r 023 i 1 D 2 riGco lpaapeTrleAss L a..,, ,..,,i„t„ S W t ii e let n ad I Y w . e e a xe r . s ill il I 'eE n t A D C R O a M e M UNICAlIONS OrsiOnugli Ow...MISC. • sumer arra WSW."
SO
SDNY_GM_000494397
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009721
EFTA_00157506
EFTA01289869

TERMS AND CONDITIONS
TRANSACTIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. ODD LOT DEALER.
• ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSMONEFL ARBITRAGEUR OR INVESTOR. CONSEQUENTLY, AT THE TIME OF ANY
SUBJECT TO THE CONSTITUTION, RULES, REGULATIONS. CUSTOMS. URAGFS. RULINGS AND TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, IF ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ME EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL, AGENT OR GOTH. DETAILS
• TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN AVAILABLE UPON REQUEST.
WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT
DATE, WHICHEVER IS LATER. PERSHiNGS OFFICES. A COPY OF I T WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN
• YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT WWW.PERSHING.COM.
STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES:
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT WWW.PERSHING.COWBUSINESS_CONTINUITY.HTML
THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS
FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHINGS PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION N MS-
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. RULE 607(A)(1)-(211
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE PERSHING SENDS CERTAIN EQUITY ORDERS EU EXCHANGES, ELECTRONIC COMMUNICATION
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
IF
FINANCIAL INSTITUTION YOU DESIRE ADDITIONAL COPIES. SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS
MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT Cf PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST.
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER PERSHNG RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR PAYMENT.
INSPECTION UPON REQUEST. BEST MOUTON: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
TAX INFORMATION FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE-
COUNTER AND EXCHANGE-USTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS.
• AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TM INFORMATION TO THE INTERNAL TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN
REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL THE NATIONAL BEST BID OR OFFER (N880). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED
PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY, PERSHING DIRECTLY
STATEMENT TO PREPARE YOUR TAX FILINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH
• DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE
AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHNG ALSO REGULARLY
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY Of EXECUTION PURPOSES.
GENERAL INFORMATION.
• PERSHING COES NOT PROVIDE TAX, INVESTMENT OR LEGAL ADVISORY SERVICES MID NO ONE
ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ARE INDEBTED TO PERSHING LLC f'PERSHING1 FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
UABILMES TO PERSHING. MID PERSHING MAY IN ITS DISCRETION AT ANY TIME, WITHOUT TENDER,
DEMAND OR NOTICE TO YOU. CLOSE CR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR
PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS:
ANY BALANCE REMAIMNG DUE PERSHING TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR
YOUR ACCOUNT ARE OR MAY BE, WITHOUT FURTHER NOTICE TO YOU, LOANED OR PLEDGED BY
PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE
COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR
GREATER THAN YOUR LIABILMES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT
PROHIBITED BY LAW.
IF ANY OF THE ABOVE TERMS AND CONDITIONS ARE UNACPTABLE TO YOU. PLEASE NOTIFY PERSAMW IMMEDIATELY IN WIRING BY CERTIFIED TAU; 10 CAE PERSHING PLAZA JERSEY OTT. Pal 07391t Attit LEGALIST
Page11011
Account Number: N4G4123 12 Go rless wcellent Olooseilyeuell Porisinoi.l.C. • sower ••••••••••~I
B010T119CSF3OOL^
DAMAO, RATED COMMUNICATIONS
SDNY_GM_000461198
CONFIDENTIAL — PURSUANT TO FED. R 67eU)THERNc sonrirsmi alAL OB-SDNY-0009722
EFDC00157507
EFTA01289870

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Account Number: N46-023812
Statement Period: 0210112/14 -0212812014
Valuation at a Glance
This Period Year-to-Date
SOUTHERN TRUST COMPANY INC Beginning Account Value $6,397,146.31 36,457,677.92
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 911.807.66 911,801.66
Adjusted Previous Account Value 7,308,954.00 7,369,385.58
ST THOMAS VI 00802
Dividends, Interest and Other Income 30.296 60 30.311 02
Net Other Activity 0 00 -6 00
bet Chan in Portfolio 140.340 00 79.900 00
nding Account Value S7.479 590 60 S7.479 590 60
Your Client Advisor: Edon sled Annual income $221.154.77
TAZIA SMIThi
(212) 454-2889
Asset Allocation
Prior Year-Fad Lad Period This Period % Aloation
USD Cash. Money Funds. and Bank Deposits' 1.695.727.92 1,695,736.34 2,637,840.60 35.27% Pe Chart allocates only includes
products that are of positive yak*.
USD Fixed Income 1.581.400.00 1,504,700.00 1.624.800.00 21.72% I
Non-USD Feed Income 1.650.000.00 1,656,000.00 1.658.000.00 22.17%
USD Equities 1,530.450.00 1,540,710.00 1,558,950.00 20.84%; -
Account Total (Pie Chart) $6,457,577.92 36.397,14644 $7,479,590.00 100.00%
I The Bari Deposits in your account are FDIC insured bank deposits.
FDIC inured ben deposits are not securities and are not covered by the Securities Investor Protection Corporation
(SIPC). These bank deposits are covered by de Federal Deposit Insurance Corporation (FDIC). up to stumble Mies.
See page 2 of this statement sir important information regardng the Asset Allocation section.
Page 1 018
/OI 7S.: it Go paperless R st ated t = ia Z l D lent Ac=.....-ATIOns
CON FI I DAENTIA "Ha
SDNY_GM_000468.99
CONFIDENTIAL — PURSUANT TO FED. R CR[6,1. P. 6(e) DB-SDNY-0009723
EFrA_00157508
EFTA01289871

Asset Allocation Disclosure and Footnotes
M values are displayed m U.S. dollars based on interbank exchange rates as of 02/28/2014 Exchange rates can vary.
Summary of Gains and Losses
Realized
This Period Year•tchriate Unrealized
Short-Term Gal nlloss 0.00 0 00 -109.113 21
Net GalnlLoss 0.00 0.00 ,409,413.21
This summary excludes transactions where cost basis information is not available.
FDIC Insured Bank Deposits
Date Ached Dewi ion Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number K40023812 Activity Ending: 02128114
02101(11 Opening Balance 1.695.736.31 1.695.736 31
02114114 D epost INTEREST CREDITED 15.35 1.695.151.69
APf 001%
02I18/11 BUT 1.695.751.69
NO 02(18 S237500.00
Bank of America
NO 02(18 S237500.00
Citibank H.A.
NO 02(18 S237500.00
Deutsche Bank DP Co
NO 02(18 5237500.00
East West Bank
NO 02(18 5237500.00
NY Community Bank
NO 02(18 S33251.69
Texas Capital Bank
NO 02(18 5237500.00
Com enity Bank
NO 02(18 S237500.00
02119(11 Deposit DEPOSIT 30.281.25 1.726.032 90
02120114 D epost DEPOSIT 911.807.66 2.637.840.60
02/28(14 Closing Balance $2137,840.60
Total FDIC Insured Bank Deposits $2,631,810.60
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to 5250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Page 2 of 8
A0119926CSF3OOLS Account Number. N40-023 12 Gopaperless ,s4AZ w tri e i ivaAcR." A Cirsoaraeltrensine tit. • ataftimadee•••••••
TH ER
SO U VICALLENCII
SDNY_GM_00046900
CrinrIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009724
EFTA_00 157509
EFTA01289872

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Ini).M.75111. IWISI >S14:91.
Statement Period:02/1112114 -1212112114
Income and Expense Summary
Comet Period Year-to-Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 30,28125 0.00 30,281.25 0.00
Interest Income
FDIC Insured Bank Depoøls 15 35 000 29.77 0.00
Total Dividends, Interest, Income and Expenses 130,298.80 $0.00 $30.311.92 $0.00
Portfolio Holdings
Account Activity Opening Closing Accrued Income 30-Day Current
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 35.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
02/01114 2,637,810.600 N46023812 02128/1/ 1,695,736.31 2,637,810.60 8.87 29.77 MA tiiA
Total FDIC Insured Bank Deposits 11,695,738.34 12,637,810.60 $8.87 129.17
Total Cash, Money Funds, and Bank Deposits 11,695,736.34 12,637,8/0.60 $8.87 $29.77
Adjusted Unrealized Accrued Estimated Estimated
Dale Acquired Quality Unit Cod Cost Buis Market Price Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income 4 4.0 0% of Portfolio (In Maiudry Dale Sequence)
Corporate Bonds
lime USA INC MEDIUM TERM NTS Security Identifier: 0132XD32
BRAZILIAN REAL RELATIVE TO LSO
0.000% 0312711181E DTO 03120113
03113/13 '37.13 1.000.000.000 100.0000 1.000.000.00 19.2300 192,300 00 -207.700 00 0.00
Original Cosl Baia 51,000,000.00
HSBC USA INC MEDIUM TERM NTS Security identifier: 40432X656
BRAZILIAN REAL RELATIVE TO LSO
0.000% 0412111/ WE DID 01/12113
04105113'•17.13 1,000,000.000 100.0000 1.000.000.00 832500 832,500.00 .167,500.00 0.00
Original Cost Basis: SI O00,000.00
Page 3 of 8
M1199297.5F3001S Account Number: I140.023 12 Go paperless R Se a v te e d n f Y w e e a e t lh in rm n Row 0~ re sii ~ •m lef • t a M a o rialn t i r n a .l m .C. . ~ • a w r a d d . • s •• • ~ •• i • v ~ ~ 1 s S a t, e
SOUTHERN =TA L IDxtA"*"<"D`"cammutecac ~W e i n se es P•MA Nv •••C
SONY GM 0001690r
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CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. DB-S6NY:0009725
EFTA_00 1575 10
EFTA01289873

Portfolio Holdings
(continued)
Adjusted Unrealized booed Estimated Estimated
Dale Acquired Quantity Unit Cost Com Basis Market Price Market Value Calif Lots lutenist Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
NOTES KkIOR ISIh 0 XS0460546525
5.000% 10/28/15 REG DID 10128109 S 8 P Rating Si
12104113 '.3.12 2.000.000.000 91 0890 1,821,775.71 82.9000 1.658.000 00 -163.775 71 33.333 33 100.000 00 6.03%
engin' Cost Basis: $1,800,000.00
Total Corporate Bonds $3,821,775.71 $3,282,800.00 -6538,975.71 $33,333.33 $100,000.00
4,000,000.000
Total Fixed Income $3,821,775.71 $3,202,800.00 -$530,975.71 $33,333.33 $100,000.00
4,000,000.000
Unrealized Estimated Estimated
Dale Acquired Quactity Unit Cost Cod Basis Market Price Market Value Gain! Loss Annual Income Yield
Equities 21.00% of Portfolio
Preferred Stocks (Listed by expiration dale)
ALLY FIN L INC PERP PFD FIXEDIFLTG RATE Security Identifier: ALLY PRB
SERA CALLABLE CUSP. 02005A308
Dividend Option Cash
06111113'.12.13 57,000.000 25.0780 1.429.417.50 27.3500 1.558 950 00 129.53250 121 125 00 7.76%
Total Preferred Stocks $1.429.417.50 $1,558,950.00 $129,532.50 $121,125.00
Total Equities $1,429,417.50 $1,558,950.00 $129,532.50 $121,125.00
Unrealized Accrued Estimated
Cost Basis Market Value Gain/ Loss Interest Annual Income
Total Portfolio Holdings $7,889,033.81 57,479,590.80 -$409,443.21 $33,333.33 3221,154.77
Footnotes
Noncovered under the cost basis rules as defined below.
Securities acquired ',elm 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC')(ncommating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2006) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be repotted to the IRS on form 1099-B for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as folows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities. principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and cerise, attributes, obtained from
sources believed to be reliable. In the event, one or more of these attrioutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
Paget *la
Account Num be; N4G-023 12 Go Rated tiall ent ••••••••••••••• U.C. . ...Or •••••••••
nOAR.C4
SOL THERACSrni
ralgitrDCOMMUNICATIO.4
SDryv_GM_00046902
O n E CI
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009726
EFTPL_BO I575 I I
EFTA01289874

0nalsre Ram PriFtle Venal Manalinnd
P•Onet% COetrarG•mp
DestSO4 Ike* St4tOrt
N.. wan Mt*
PO Sac 1176, OA more MD 2120G HI Pan Ammo. lkh I bt,
Now rtt 10114
01114:4411114.1115178•4,91
Statement Period: 0 210 112 114 • 02/2812014
Portfolio Holdings (continued)
change. These calculations will not be performed under certain circumstances, including those inveMng continuously callable bonds, foreign bonds, variable rates, bonds in default,index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
This bond is maturing.
t The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous dint brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering fern or transferring agent and Pershing makes no representation as to the accuracy of this information.
Messages
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation,(SIPC)
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at htlps://vnwr.dws-investments.com/EN/productshnoney-market-funds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Activity Sum m ary(aramOuntS shown are in base amency)
Credits This Period Year4o.Date Debits This Period Year.to.Date
Dividends and Interest $30,296.60 130,311.02 Dividends and Interest $0.00 $0.00
Fees $0.00 10.00 Fees $0.00 -$6.00
Cash Cash
epcsn 911 807 66 911 807 66 Deposits 0 W 0.00
Total Cash $911,807.66 $911,807.66 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $0.00 $6.00 FDIC Insured Bank Deposits -$942,104.26 -$942,118.60
Total Credits $942,104.26 $942,124.68 Total Debits -$942,104.26 -$942,124.08
Page 5 of 8
1O119926CSF30015 Acc " ou H nt Num a ber: t 14 u 4642 r 3 1 i 2 pm Go a parpeTrl esAs L Raid wollent C SI o M s O a N v S i . s re M u P p S O . o 4 r 4 a 1 e . w W S w .% e. • C • s •• o •• a ••• r • a ••• s • M s I T r e S s I ift.,
SO beAxLcBeAtuRr eRcAeT ED COMMUNICATIONS Poem* %AC Nees F re. .0 sa sarc
SONY GM 00046903
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009727
EFTA00157512
EFTA01289875

Transactions by Type of Activity
Proceed
Settlement
Date A.divity Tvoe Description Quantity Price Accrued Interest Amount Curren
Dividends and Interest
02114114 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 15.35 USD
DEPOSITS INTEREST
RECEIVED
458997996
02118114 CAST DIVIDEND RECEIVED 57000 SF RS ALLY ANL INC PERPPFD FIXED/FLTG RATE SERA 3Q28I.25 U93
ALLY PRB CALLABLE RD 02/01 PD 02/18114
Total Dividends and Interest - UNITED STATES DOLLAR 0.00 30,296.60
Cash Withdrawals and Deposits
02119/14 FEDERAL FL k DS RECEIVED .P MORGAN CHASE BANK 29477 911.807 66 LSD
US0999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 911,107.66
FDIC Insured Bank Deposits
02114114 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .15.35 LSD
DEPOSITS INTEREST
RBA VESTED
/58997996
02119114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM .30,281 25 LSO
USD999997
02120114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITSPROGRAM -911,80766 USD
U50999997
Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 -912,101.26
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: TO Contact Information
TAZIA SMITF Telephone Number: I212) 151.2889
345 PARK AVENUE 14TH FLOOR
KEY/YORK NY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST 0LT
Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Electronic Delivery
You have not selected any account communications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for more inform alion.
Page 6 of 8
Account Number. N46-023 12 Go rless P.N.S Wk.' Use. • vita _d••••+`••
AC119926CSP10016 MIMI rill SOUTHERN C brnnriptINTIAL mittiNgoil rcommunicAllows
SDNICGM_00046904
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009728
EFTA_00157513
EFTA01289876

Realm.* Mn, • 0•410 VOA n Ma srr ent.
PIi nlet% five,
DestS1S4 ROA %sows A
lire IRA 011ie
Na Part asemo. 1600 to
Revr RA. Stt IM
0 II) 4:44114. 774.4,91,
Statement Period: 0210112114 • 0212812014
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis. including short positions, at the close of the statement period. The market prices have been obtained from
sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is
not available are marked "N/A" and are omitted from the Total.
The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time,
and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities. interest and dividend rates. and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
www.pershing.corn/business_continuity.htrri for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income. Bank Deposit interest income. or dividends for other securities shown on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order now.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margn Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction. incurred a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor'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.
Pagel of 8
A0119926CSF30115 S Acco O unt N U umb T er: N H 4G4 E )23 f 12 f icuGnor piaDpenrleislAs rm4 r-1i,u R So aGt r e e d n ) Y .. eN. a R rs e I n n t A Rove Cameos Onus% Moors. sad. nary. egos. ••••~1
ED COMIALINICA TONS wee r[
SDNY_GM_00046905
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009729
EFTA_00 I 57514
EFTA01289877

Important Information and Disclosures (continued)
The Role of Pershing
• Pershing carves 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 fro 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 our that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its omit operations and the supervision of your account its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions. where applicable, the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. AI other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: wiwipershing.corNstrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includng unauthorized trading), to your financial organization and Pershing, within ten days after receipt
of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey
City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other n court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators v i typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem.
Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330.
Page 8 of 8
A011992CCSF3011S Account Numcbser Ro4Gr•0e23 n12 nYGnoD parpNerle ss reiLti:Acit.". A b e i l a T s i & e M % AI W M O P O e • i • s, •• 0 • 0 •1 . 0 S .1 a . m 0. •• C •• o • g •• n ise e s g a C d O N • Y • • M •le O t N ib , q
SO U TH ERN A L Ilx<Cianal TdA lifterimj Lie set nag. a a•PC
SON Y_GM_00046906
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009730
EFrA_00 I 57515
EFTA01289878

°raise* Pam 0, erfile
Mateets CotetarGtmp
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lire wart
PA So 1770. El•lonionLID2IXO Hann At~. 2t4h I leer
Dino int 1,tt 10114
eA.74111. 111517.114,91.
Account Number: N46-023812
Statement Period: 0110112114 -0113112014
Valuation at a Glance
This Period Year-to-Date
SOUTHERN TRUST COMPANY INC Beginning Account Value $6,457,577.92 $6,457,577.92
6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 6,457,577.92 6,157,577.92
Dividends. Interest and Other Income 14.42 11.42
ST THOMAS VI 00802
Net Other Activity .6.00 -6.00
Net Chasn tef oiPor 60.440.00
Est cm aced Annual Income 5221 139 12
Your Client Advisor:
TAZIA SM III-
1212) 151-2889
Asset Allocation
Prior Year-Eed Ud Period This Period %Mocetios
USD Cash. Money Funds. and Bank Deposit:1 1,695,727 92 1,695,727.92 1,695,738.34 26.51% PO Cron allocation only includes
products that are of powbve value.
USD Fixed Income 1,581,400 00 1,581,400.00 1,501,700.00 23.52%
NoniUSD Fixed Income 1,650,000 00 1,650,000.00 1,656,000.00 25.89%
USD Equities I 530,450 00 1,530,450.00 1,540,710.00 24.08%
Account Total (Pie Chart) $6,457,677.92 16,457,527.92 56,397,146.34 100.00%
I The Bari Deposits in your account are FOC insured bank deposits.
FCC inured bank dogcarts are not securely; and are not MEM by the Securities tnvestor Protection Corporation
(SIPC). These bait deposits are covered by the Federal Deposit Insurance Corporation (FDIC). up to alowatre
See page 2 of this statement for important information moaning the Asset Albcatcn section
Page108
A010 ON 3CSF30016 Go paperless c4 ) l S ia a l• e d . Y w ea e n • d In ... A Raw OmasesmapOwealryniC.•••••••••••••••••••p
CONFIDAE • N• I T • cT> IAL " LA " M ` A " * " RA " T ED COMMUNICAlIONS
SON Y_GM_00046907
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0009731
EFTA_00157516
EFTA01289879

Asset Allocation Disclosure and Footnotes
AI values are displayed in U.S. dollars based on interbank exchange rates as of 01/31/2014. Exchange rates can vary.
Summary of Gains and Losses
Realized
This Period Year•to-Date Unrealized
Short-Term Gain(Loss 0.00 000 -444.570.00
Net Gain1Loss 0.00 0.00 -444,570.00
This summary excludes transactions where cost basis intaration is rot available.
FDIC Insured Bank Deposits
Date AMU' Description Amount
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: N46023612 Activity Ending 01131114
01101114 Opening Balance 1.695.727.92 1,695,727.92
01/03114 Withdrawal WITHDRAWAL •6.00 1,695,721.92
01/15114 Deposit INTEREST CREDITED 14.42 1,695,736.34
API 0.01%
01116114 BUT 1,695,736.34
NO 01116 $237500.00
Bank of America
NO 01116 $237500.00
Citibank N A.
NO 01116 $237500.00
Deutsche Bank
NO 01116 $237500.00
East West Bank
NO 01116 S237500.00
NY Community Bank
NO 01116 533236.34
Texas Capital Bank
NO 01116 $237500.00
Com enity Bank
NO 01/16 S237500.00
01/31114 Closing Balance $1,696,736.34
Total FDIC Insured Bank Deposits $1,696,736.34
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this is connection with other
deposits you may have at each respective bank.
Page 2 of 8
A010,213CSF30016 Account Number: N40423 12 Go paperless PUPS tiallent Olissiviinaeli OwningU .C. •••••• *gabs ••••~1
Dr-NTIA OALOAR RATtDCOMMUNiCAlIONS
EXCILIANCI
SDNY_Ged_00046908
67: H"N Curl
CONFIDENTIAL — PURSUANT TO FED. R CRIM. OB-SDNY-00O9732
EFTA_00 I 57517
EFTA01289880

Cleallirt RAM P,,.,'. *Mahn Paptagenan
Pdaeals Caen. 4,0.1)
Dettsch4 Oat Stwles a.
Yw Vert -to
PC. Bar 1776 Elul Pat MD 21203 In Pant Ass.. lkh I ber
New** nv 1011.4
454-711114. (MI 78/.4,91,
Statement Period: 01101/2814 • 01/3112014
Income and Expense Summary
Current Period Year•to•Date
Taxable Non Taxable Taxable Non Taxable
Interest Income
FDIC Insured Bank Deposits 14.12 0.00 14 42 0.00
Total Dividends, Interest, Income and Expenses $11.12 $0.00 $14.42 $0.00
Portfolio Holdings
Account Activity Opening Closing Accrued Income 30•Day Current
Opening Date Quantity Number Ending Balance Bahia Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 27.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
01101/14 1,695,136340 N46023812 01/31/14 1,695,727 92 1,695,136.34 8.35 11.42 N/A N/A
Total FDIC Insured Bank Deposits $1,696,727.92 $1 696 735.34 $6.36 $14.42
Total Cash, Money Funds, and Bank Deposits $1,695,727.92 $1,695,735.34 $8.35 $14.42
Adjusted Unrealized Awned Estimated Estimated
Dale Acquired Quantity Unit Cost Cost Basis Market Price Markel Value Gals/ loss Interest Annual Income Yield
Fixed Income 49.00% of Portfolio (In Maiunry Date Sequence)
Corporate Bonds
HOC USA INC MEDIUM TERM NTS Security Identifier: 40432X032
MOHAN REAL RELATIVE TO USG
0.000% 031271118/E DTD 03/20/13
03/13/13 %OLD 1.000.000.000 100 0000 1.000.000.00 73.9300 739,300 00 .260.700 00 0.00
Original Cosl Buis 51,000,000.00
IISBC USA INC MEDIUM TERM NTS Security Identifier: 40432XES6
BRAZILIAN REAL RELATIVE TO LW
0.000% 01/21/11 B1E DID 01112113
04105113 ' n 1.000.000.000 100 0000 1.000.000.00 76.5100 765.100 00 -234.600 00 0.00
0 ngmal Cost Basis: $1, 000,000.00
'PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2
NOTES SENIOR ISINtXSO46054SS25
5.000% 10/28/15 REG OTC 10/28109 S d P Rating B3
Please Provide' 2,000.000 000 N/A Please Provide 82.8000 1,656,000 00 N/A 25.555 56 100,000.00 6.03%
Page 3 of 8
M100233CSFIPM, Account Number:NO.023 12 Go paperless z.it) 'Word *refloat !Neap 0,•••••• Owenby ISC. rugby...VA ••••••••••
SOUTHERN OAthAit RATED COMMUNICATiONS
eXCIELUNCI
SDNY_GM_00046909
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CORA rieNTIAL DB-SDNY-0009733
EFTA_00157518
EFTA01289881

Portfolio Holdings (continued)
Adjuded Unrealized Acaued Estimated Estimated
Date Acquired Quantity Unit Cod Cod Bads Markel Price Markel Valle Geld Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
PETROLEOS DE VENEZUELA (continued)
Original Cost Basis: Reese Provide
Total Corporate Bonds $2,000,000.00 $3,160,700.00 -$495,300.00 $25,555.56 $100,000.00
4,000,000.000
Total Fixed Income $2,000,000.00 0,160,700.00 .$496,300.00 $26,665.56 $100,000.00
4,000,000.000
Unrealized Estimated Estimated
Date Admired Quantity Unit Cod Cod Basis Market Puce Market Value Geld Loss Annual Income Yield
Equities 24.00% of Portfolio
Preferred Soda (Listed by expiration date)
ALLY ANL INC PERP PFD F1XEDIFLTO RATE Security Identifier: ALLY PRO
SER A CALLABLE CUSP 02005k308
Dividend Option: Cash
06/11/13 %II 57.000.000 26.1400 1.489.980.00 27.0300 1.540.710.00 50.730.00 121.125.00 7.86%
Total Preferred Stocks $1,489,910.00 $1,540,710.00 $60,730.00 $121,125.00
Total Equities $1,489,980.00 61,640,710.00 $60,730.00 8121,125.00
Unrealized Accrued Estimated
Cod Bads Markel Value Galt/ Lon Interest Animal Income
Total Portfolio Holdings $5,186,716.34 $6,397,146.34 4444,570.00 $25,565.56 $221,139.42
Footnotes
' Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRO (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are 'covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as folows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2013. or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances. including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-inked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
I Unreakzed gains and losses are not reported for securities for which cost basis or market value is not evadable.
Paget old
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Portfolio Holdings
(continued)
12 Pershing has received updated cost basis information, therefore cost basis provided on previous cient brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering Sin or transferring agent and Pershing makes no representation as to the accuracy of this information.
Messages
Although a money market mutual fund seeks to preserve the value of your investment at 91 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your investment professional for additional information.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds, please visa the 0WS Investments website at httpsiNawrdws-investments.convENfproducts/rwoney-market4unds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Important Reminder for Pershing's 2013 IRS Forms 1099 (8, DIV, INT, 0ID and MISC): As a reminder, by February 18, you will receive either your 1099 form ore special Pending 1099 Notice. The Pending 1099
Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of
your 1099 form. Yccr 'D99 will be mailed no later than March 17. 2014.
Activity Su m m ary
(AR amounts shown are in base currency)
Credits This Period Year•laate Debits This Period Tear•taate
Dividends and Interest $t4.42 $14.42 Dividends and Interest $0.00 $0.00
Fees $0.00 $0.00 Fees -$6.00 -$6.00
FDIC Insured Bank Deposits $6.00 $6.00 FDIC Insured Bank Deposits -$14.42 -$14.42
Total Credits $20.42 $20.42 Total Debits -$20.42 -$20.42
Pages of 8
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EFTA01289883

Transactions by Type of Activity
Promo/ Trader
Stfitment Transaction
Date Date AdivityTYpe Description Quantity Price Audited trend Amount Curren
Dividends and Interest
01115114 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 14.42 USD
DEPOSITS INTEREST
RECEIVED
458997996
Total Dividends and Interest - UNITED STATES DOLLAR 0.00 14.42
Fees
01102114 12131/13 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 2013 CUSP: P780711-AF-2 -6.00 USD
P7807HAF2
Total Fees- UNITED STATES DOLLAR 0.00 -6.00
FDIC Inured Bank Deposits
01/03/14 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 6.00 USD
WITHDRAWAL
USD999997
01/15/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -14.42 LSO
DEPOSITS INTEREST
REINVESTED
458997996
Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 -0.42
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: TDS Contact Information
TAZIA Telephone Number: 1212) 454.2889
345 PARK AVEN LE 14Th FLOOR
AEU/ YORK NY 10154
Your Account Information
Tax Lot Default Disposition M ethod
Default Method for II 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
Electronic Delivery
You have not selected any actounl comm unications for electronic delivery. To register and turn off paper corn m unitarians. log in to your account or contact your Client Advisor for more information.
Page 5 of 8
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Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from
sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is
not available are marked -N/A- and are omitted from the Total.
The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time,
and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities, interest and dividend rates. and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
www.pershing.comfbusiness_continuity.htrri for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income. or dividends for other securities shown on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, ncluding 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 Row.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confimations previously fumished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional Information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Moron Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate wit 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, ncurred a charge, or received a credit. Transactions convened by agents (such as depositories) wit be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & 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 & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase. hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Pagel of 8
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EFTA_00157522
EFTA01289885

Important Information and Disclosures (continued)
The Role of Pershing
• Pershing carves your account as clearing broker pursuant to a cleanrg agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (k) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
as 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. vitere applicable: the rendering of investment advice, if any, to you and n general, for the ongoing relationship that it has with you.
• Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. AI other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement,
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPCT). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.comfstrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt
of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey
City. New Jersey 07399; (201)413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem.
Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330.
Page 8 of 8
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