EFTA01290128.pdf

Deutsche Asset
& Wealth Management
OraIsre Ram go...W.4iP IMamie,.
Pdvects °siege 4.p.p
Dettuht Mai sewn.. Ac
lir. %A Oat*
P.O. Box 1778, Balamer*. MD 21203 Part Anne,. 160. I to
14,. vest 10. 1011.4
Ilul 4,44,821. Ins) 7.114,11S
Account Number:
Statement Period:1210112014 - 12131/2114
Valuation at a Glance
This Period Year-to-Oate
JEEPERS INC Beginning Account Value $28,0114,881.62 $45,708,211.11
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 168,911.94 -19,498,214.84
Adjusted Previous Account Value 18,251,600.46 21,211,041.27
ST THOMAS VI 00802
Dividends. Interest and Other Income 13,801.95 81,982.97
Net Change in Portfolio -32,183 94 *810.77
ncling Account Value $26 233 218 47 S26,233 2'3 4"
Eslcm ated Annual Income 576 527 05
Your Client Advisor:
DANIEL SABBA
Asset Allocation
Prior Year-hd Lad Period This Period % Allocation
LSD Cash. Money Funds. and Bank Deposits 44,148,000.42 24,493,658.23 24,651,191.32 94.01% P ioza! o-
ease RI
LSD Fixed Income 1.560.280 69 1.591.030.29 1 572.024 15 5.99% r
Account Total (Pie Chart) $45,708,261.11 128,084,618.62 $26,233,218.47 100.00%
See the Asset Mocation Disclosure and Footnotes secton for mportant informaton regarding your Asset Alscateso
Page 1011
soloimicsr3m3 Rated Excellenti aotarre=rro..7.Z.rt,"
L....my year Sine. 2007
CONFID ('DEPAt fiAs L
DrxAeLnBuArRr dReArT ED COMMUNICATIONS
SDNY_GM_00047398
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010222
EFTA_00158007
EFTA01290128

Asset Allocation Disclosure and Footnotes
Fixed Income contains Fixed Income Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year4o-Date Unrealized
Short-Term Gain/Loss 000 0 00 2.10788
Long-Term Gain/loss 000 0 00 -54.077.21
Net Gain/Lou 0.00 0.00 -59,185.09
This summary excludes transactions where cost basis information is not available.
For Your Information
Cr June 5, 2014, the European Central Bank (the -BCE) introduced 'negative interest rates'. This negative interest rate applied to all deposits held at the ECG and other credit institutions.
Effective February 1, 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and will reflect on your account
statement as Tree Credit Balance Interest Charge. The interest will be reported on your Forms 1099 and/or 1042S for tax year 2015. These rates are subject to change in response to market changes, and we
may. in the future and based on our normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances.
Money Market Fund Detail
Date Adivity Type Description Amount Balance
Sweep Money Market Fund
DWS GOVERNI I ENT CASH INSTL
Account Number: 0000001491 Current Yield 0.03% Activity Ending: 1213f114
11129114 Opening Balance 24,493,65823 24 493,858 23
12/31114 Deposit INCOME REIN VEST 624.15 24 494,282 38
12131114 Closing Balance $24,494,282.38
Total All Money Market Funds $24,494,282.38
ncome and Expense Summary
DJ rrent Period Year-to-Date
Taxable Noe Taxable Taxable Non Taxable
Dividend Income
Money Market 624.15 0.00 5,356.54 0.00
Other Dividends 13,177.80 0.00 72,57423 0.00
Interest Income
FIX Insured Bank Deposits 080 0.00 4,052.20 0.00
Total Dividends, Interest, Income and Expenses 813,801.96 60.00 $81,982.97 60.00
Page 2 011
Account Number Rabid Lao-SYS
1,(iAi JEEPERS INCC ON Fl DrI p c ap T erle I s A s L E D8,m v A e L: n Bt t u A Y Rn e R a ic r A ? S T a E v D a C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00047399
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010223
EFTA_00 I 58008
EFTA01290129

Deutsche Asset
O & Wealth Management
Onto< Ram Ionle w,Y n Manapnern
Went, Cpetrar Gtcs.p
Des-b04 ML SCIA,lei
Nyev.40st*
P.O. Box 1778, Bahimore. MD 21203 Na PiA 4.1/409. MTh I ber
New** M'10114
454.71119.1115178•471S
Statement Period: 1210112114 • 12/3112014
Portfolio Holdings
Account Activity Opening Closing Accrued Income 30-Day Carrell
Opening Date Quantity 'lumber Ending Balance Bataace Income IbisYear Yield Yield
Cash, Money Funds, and Bank Deposits 9 4.0 0% of Portfolio
Cash Balance 0.00 166,911.94
Money Market
DWS GOVERN M BIT CASH INSTL
11129114 24,494,282.380 000000t491 12131/14 24,193,658.23 24,494,282.38 0.00 5,356.54 0.03% 0.03%
Total Money Market $24,493,658.23 524,494,262.38 $0.00 55,356.54
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
11129114 N4G024935 12(31114 0.00 0.00 0.00 4.052.20 NM NM
Total FDIC Insured Bank Deposits 60.00 30.00 6100 54,052.20
Total Cash, Money Funds, and Bank Deposits 524,493,658.23 $24,661,194.32 $0.00 $9,408.74
thirealited Estimated Estimated
Date Acquired Chastity Unit Cost Cost Basis Market Price Markel Valle Gait! Loss Annual Income Yield
Mutual Funds 6.00% of Portfolio
P MORGAN FLOATING RATE INCOME FUND Security Identifier: .PHSX
SELECT STARES USW- 481211510
Open End Fund
Dividend Option: Reinvest. Capital Gains Option: Reinvest
02113113 148,957.299 10 0700 1.500.000.00 9 7200 1,447,664.94 -52,135.06 61,817.27 4.26%
13
03101113 13 533.047 10 0600 5,362.46 9 7200 5,181.22 -181.24 221.21 4.26%
04101113 13 591.454 10.1100 5,979.61 9 7200 5,748.94 -230.67 245.45 4.26%
05101/13 13 562.992 10.1300 5,703.11 9 7200 5,472.28 .230.83 233.64 4.26%
06103113 567.343 10 0900 5,724.50 9.7200 5.514.57 .209.93 235.45 4.26%
13
01101/13 500.501 9.9700 1,990.00 9.7200 4,864.86 •125.14 201.11 4.26%
13
08101113 527.821 10.0600 5,309.94 9.7200 5,130.47 .179.47 219.05 4.26%
13
09103113 531.248 10.0300 5,328.42 9.7200 5163.74 464.68 220.47 4.26%
13
Reinveslments to 8.959.169 10.0250 89.811.20 9.7200 87,083.13 -2.728.07 3.718.06 4.26%
Date
Total Covered 161,730.880 1 626 209 24 1,572,024.16 -66,186.09 67,118.31
Total 161,730.880 $1,626,209.24 $1,572,024.16 -$56,165.09 $67,118.31
Total Mutual Funds $1,626,209.24 51,572,024.16 -256,185.09 $67,118.31
Page 3 of t1
Account Num be, listed enrolls rdi
80100117CSF3 BAH ROLL .EEPERS INC C ON FID G AE o p N ape T rle I ss A L r ( D v xA e eL r s y Bt A V uRr s nR ., eA L rT a E c D e C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00047400
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6() OB-SDNY-0010224
EFTA_00 I 58009
EFTA01290130

Portfolio Holdings (continued)
Unrealized Accrued Estimated
Cod Basis Markel Valve Gain( loss Interest Annual Income
Total Portfolio Holdings 126,289,403.56 126,233,218.47 • $56,185.09 10.00 116,577.05
Footnotes
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 10994 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
• Cotter securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
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.
M essa•es
Federal Depose Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection ComorationtSIPC).
For disclosure of rates for DWS money market funds, please vise the DWS Investments website at https:friwter.dvesinvestments.conVEN(productsimoney-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 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 toclowng information for Pershmg's 20f 4 IRS Forms 1099 (8. DIV. INT O/D and MISC): Your form 1099 AA 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 sect rities you hold have not yet provided their final tax information. It will inform you of the
securities that are pending Mal 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.cornibusiness_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
incremental 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. Alocations 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 allocation. Securities registered in the clients name, either in transit or held in custody, are
Page < of 11
OftAit L A E cc P o E u R n S t N IN u C m ber GO paper-less a Rt‘racu i,A rV L irrArtr"o° 7 YMCA T
DriScrii14/L a "a
SDNY_GM_00047401
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFI OB-SDNY-0010225
EFrA_00 I 58010
EFTA01290131

Deutsche Asset
& Wealth Management
(Misr* Ram Vona nmanalunnd
Pent% Iowa,. Gtcs.p
Des-b1h4 la* Sel•nlei
Mr Mt*
PO, Box 1778, Bahimore, MD 21203 Na Part Asere••. Ikh I bgr
Neve RA 1,tt 10114
01114:44414.11151704,91,
Statement Period: 1210112114 -1213112114
M essa • es
(continued)
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 r 525.000):
Clknt Account Par Value Number of Trading Units
ABC-123234 $100,000 4
CEF-325465 575,000 3
EDR-567433 5150,000 6
EGT-876574 $50.000 2
RG7468345 525.060 1
FRT-435234 525000 1
FRT.658797 575,000 3
u
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-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 is not made on a pro-rata basis. Therefore, it is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not
have any securities selected for redemption at all.
Page 5 of 11
°PAN MOI A ..E c E c P o E u R n S t N IN u C C n ber ON FIDGOn paepertlerSAS L E D l r i x l v A a e e L . r r B y tu A V 4 rRn o .. R w a 0 Ae ' 0 W Tr 0 E o e D s C 2 O 0 M 07 M UNCATIONS ..W.L."-ree..t.tgr4r M =r arAq
SDNY_GM_00047402
CONFIDENTIAL — PURSUANT TO FED. R CRII1,1. P. 6(e) OB-SDNY-0010226
EFrA_00 15801 I
EFTA01290132

M essages
(continued)
' When a partial call is deemed favorable to the holders of the called security. Pershing will exclude certain accounts horn the lottery. Excluded accounts will include Pershing's proprietary and employee
(if
accounts, as well as proprietary and employee accounts of introducing broker-dealers Pershing taffies and clears those accounts). No allocation eel be made to these proprietary and employee accounts until
al other client positions at Pershing in such securities have been called. When a partial call is deemed unfavorable to holders of the called security. Pershing will not exclude any accounts from the lottery.
• If the partial call is made at a price above the current market pike as captured in Pershing's price reporting system, Pershing will generally categorize the partial call as one that is favorable to the holders of
such security. If the partial call is made at a price that is equal to or below the current market price of the security as captured in Pershing's price reporting system, Pershing will generally categorize that call as
one that is unfavorable to holders of the security.
' Clients have the right to withdraw uncaled, fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial
cat iiCtierns also have the right to withdraw excess margin securities, provided that the client account is not subject to restriction under Regulation Tor that such withdrawal will not cause an under-margined
condition.
Activity Sum m ary (Alf amounts show) are in base currency)
°red Is This Period YearitoiDate Debits This Period Year-to-Date
Securities Securities
SecuAbes Bought 0.00 C: Secunties Bought -13.177.60 -72,574.23
Total Securities 10.00 $0.00 Total Securities -$13,177.80 -$72,514.23
Dividends and Interest $13,801.95 111,982.97 Dividends and Interest WOO 10.00
Cash Cash
Withdrawals 000 000 Withdrawals 0.00 -26.563,460.12
Deposits 166 911 94 7.067 245.28 Deposits 0.00 0.00
Total Cash 5166,911.94 $7,067,245.28 Total Cash 00.00 421,663,480.12
FDIC Insured Bank Deposits $0.00 046,246,022.60 FDIC Insured Bank Deposits 00.00 -$2,000,022.11
Money Market Funds $0.00 112,011,513.28 Money Market Funds 4624.11 -031,665,195.06
Total Credits 6180,713.89 066,460,761.13 Total Debits -013,801.95 -$65,299,152.19
Pape 60 II
MIAI1 L A E cc P o E u R n S t A IN u C n ber F I ID G -E o p N ape T rie E ss A L R rD O xA a n c t L e l i y Ou d A V t r a Rr . d c . R . o e A l S l rT e o E r m i D l e C 2 O 0 M 07 M UNICATIONS r o..=...1-=...
SDNY_GM_00047403
CON
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010227
EFIA_0015 8012
EFTA01290133

Deutsche Asset
& Wealth Management
(Misr< Rana Ponti wean IANI•eentIll
Nyf6CPMIp4MY0
Dettlffil M sec.e*es
lire *A Cali*
P.O. Box 1778, Bahimore, MD 21203 IIIbnAnneklkhilber
Neve vett. M. 1011.4
vuI 41:441188.111517M4M.
Statement Period: 12/01/2014 • 12/3112014
Transactions by Type of Activity
Proceed
Setthoed
Data Activity Type Desaiotion Quid Price Awned littered Moult CUrrenq
Securities Bought and Sold
12101114 REINVEST CASH INCOME "MORGAN FLOATING RATE INCOME RAD SELECT SHARES 533 542 -5,292.74 USD
PH SX 180386.1180 SHRS SPAS PURCH. AT 69.92000 RD 11126 PD
12101111
12/31/14 REINVEST CAB- INCOME ?MORGAN R.OATING RATE INCOME FUND SELECT SHARES 811 220 -7,885.06 USD
,PI-SX 180919/800 SIRS SI- RS PURCH. AT $9.12000 RD 12129 PO
12131114
Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -13,177.80
Dividends and Interest
12/01114 CASH DIVIDEND REEVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 5,292.74 USD
PI SX 160386 1180 SHRS RD 11126 PD 12101/14
12/31/14 MONEY MARKET FUND DWS GO VT CASH INSTL 621.15 USD
INCOME RECEIVED
233993882
12/31/14 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 1,886.06 USD
Pr SX 180919.6600 SHRS RD 12129 PD 12131/14
Total Dividends and Interest - UNITED STATES DOLLAR 0.00 13,801.05
Cash Withdrawals and Deposits
12/31/14 FEDERAL RADS RECEIVED P MORGAN CHASE BANK 27809 166,911 94 USD
USD999997
Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 186,911.04
Money Market Funds
12/31/14 MONEY MARKET FUND DWS GO VT CASH INSTL INCOME REINVESTED -624.15 USD
REN VESTM EN T
233993682
Total M oney M a rket Fund s • UNITED STATES DOLLAR 0.00 424.15
Total Value of Transactions 0.00 166,911.04 USD
The pace and quantity displayed may have been rounded.
Page/ of 11
OMAN ROLL E A E cc P o E u R n S t Number: Go paper ,bDxeAeryt A V ex a c R s e . A l L le rT a n E c t, e D C 2' O 00 M 7 M UMCATIONS eatrlarlat von is:wc.. %ear.. OW Ms*
CONFIDAriTriA
SDNY GM 00047404
aLO
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010228
EFTA_00 158013
EFTA01290134

Client Service Information
Your Client Advisor: DAN
DANIEL SABBA
345 PARK AMEN LE 267F FLOOR
NEW YORK AY 10l54
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds. FIRST IN FIRST OUT
Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Bond Amortization Elections:
Treat al interest as original issue discount (OID): No
Amortize pram ium on taxable bonds based on Constant Yield Method: Yes
ACCIUS market discount method for all other bond types: Ratable Method
Include market discount in income annually: No
Electronic Delivery
You have not selected any account corn m unications for electronic delivery. To register and turn off paper coin m unications. log in to your account or contact your Client Advisor for more inform anon.
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 Isom 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
wiwrpershing.corNbusiness_continuity.htril 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 vii
not receive confirmation of these reinvestments. Upon vntten request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing km. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or fmancial 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.
Page 8 of 11
Account Num bar I Rai [mons nil
ORAlt e<>11. O N F D G AE o p N ape T rle I ss A L E rCx v Ac e Li r t O y u A V rRt A r Ra N Ae S rT i E a D m C 2 O 0 M 07 M UNICATIONS I ea s t a rl • . IV , = A t C at a mir 'fa r i i t S l ate no C .....,.4.040.1inS4.
SDNY_GM_00047405
6: PERS IN
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. OB-SDNY-0010229
EFrA_00I 58014
EFTA01290135

Deutsche Asset
& Wealth Management
Oralsre Ram °file 7MM n PAIMI,Nat
I If•et% CO"v it 4.0.,
177.004 Mai Se4wri
Idrellert Olk•
PO Boa 1778. Baliimoro. MD 21203 Hann Anovek Halter
New Vert 10 10114
vu)eAaNL MAI 7$7001
Statement Period:1210112114 • 12/3112014
Important Information and Disclosures (continued)
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
The Role of Pershing
• Pershing carries your account as cleating broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (a) any other instructions concerning your account. Pershing is not responsible or kable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries 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 (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: vnviv.pershing.corrifstrength_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) 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 awsd, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Page Oaf it
Account Num ber &Rod Locolioni
Wt , col Rs I Go paperless D tn A . L y B A v R « . R A 5 T .1 E 0 D 0 , C 2 O 0 M 07 M UNICATIONS w.taaa —4-•••••••arvir
L
SDNY_GM_00047406
INCC ON F D AENTIA
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. OB-SDNY-0010230
EFTA_00158015
EFTA01290136

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 10 of 11
Account Number Go paperless R [A a n s y a Y ta e c a e r l S lo i n n i e 2007 rt. a1,"". . "0. .7. "'It;
vEEPERS INC
C ON FIDArarIAL
DexAcUluMm. ReArT ED COMMUNICATIONS
SDNY_GM_00047407
CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) O13-SDNY-0010231
EFrA_00 I 58016
EFTA01290137

TERMS AND CONDITIONS
TRANSACTIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. ODD LOT DEALER.
• ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY
SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY, WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ARE EXECUTED 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 PERSHNG 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 UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT
DATE. WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN
• YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT WTYIN,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. VW/W.PERSHING.COWBUSINESS_CONTINUITY.HTM.
THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHCH 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 807(A)(1H2)]
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS TRADNO SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL 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 RECE NES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MANTANED FOR YOU UNDER TO CERTA/N OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL
RECORD OF THE SEPARATE Aren 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 AUTHORITES AT THAT TIME PERSHING WILL THE NATIONAL BEST BID OR OFFER (N880) ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED
PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY
STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH
• DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE
AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSHING ALSO REGULARLY
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES.
GENERAL INFORMATION.
• PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE
ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ARE INDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER.
DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR
PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS:
ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE 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 THE MOVE TERMS AND OONDMONS ARE UNACCEPTABLE TO YOU, FLEASE NOTIFY PERM** NAMEMATRY W WRITING BY CERTFED WA. TO ONE PERMING RATA JERSEY CITY, NI OT3M, ATM LEOAL DEPT
Page II of 11
Account Number Rated tacellbrill
L)8A0 ROLL EPERS INC Go paperless D L v A en U t M V . s R . A S T l E a D te C 2 O 0 M 07 M UNKATIONS fm, /P....awe/a •••••.•,-
CON FIDEmismAt rxesurpser
SDNY GM 00047408
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010232
EFTA_00 158017
EFTA01290138

Onalsre Ram Pon. Wealth Ma nary
Mir at, COM•4,4,0‘P
ChtlAIX Mani StM1,34..,K
lire von Oat*
PO Om 1770. Mere" DM203 Hann anew. bet
New wet. %V 17114
0 20 0.4.7114. mat 78/74791,
Account Number:
Statement Period:11101/2014 - 11130/2114
Valuation at a Glance This Period Year-t-oDate
JEEPERS INC Beginning Account Value $28,143,228.77 646,708,261.11
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 43,453.28 -19,683,128.78
Adjusted Previous Account Value 18,079,776.49 20,046,134.33
ST THOMAS VI 00802
Dividends. Interest and Other Income 6,516.89 88,181.02
In et Chan e in Portfolio -1.60386 .28 626 83
nding Account Value 5 2 6 0 84 6 8 8.5 2 $26,084,688.52
Estmated Annual Income 574.703 2E
Your Client Advisor:
DANIEL SABEA
Asset Allocation Prior Year-Fed Ltd Period This Period % Allocation
USC Cast. Money Funds. and Bank Deposits 44,148,000.42 24,558,506.88 24,493,658.23 93.90%
P ease re. Lew yo.• a *cep -
LSD Fixed Income 1.580.280.69 1.588.721.89 1.591.030 29 6.10%
Account Total Ole Chart) 645,708,281.11 $26,143,228.77 $26,084,688.52 100.00%
Seethe Asset kocaton Disclosure and Footnotes secton for important inbmtation revving yoirAsset Alocation.
Pop 1 of 8
Baled Cmcolloni ..-r.frazarsztratr=t--='..-
A0111732CSP30016 beefy Yew SW•Ce 2007
DAUM. RATED COMMUNICATIONS
CONFIghPagdierAL rxerumer
SDNY_GM_00047409
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) OB-SDNY-0010233
EFTA_00 I 58018
EFTA01290139

Asset Allocation Disclosure and Footnotes
Fixed Income contains Fixed Income Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year•to•Date Unrealized
Short•Term Gain/Loss 0.00 0 00 -944.23
Long•Term Gain/Loss 000 0 00 -23.056.92
Net Gain/Lou 0.00 0.00 44,00115
This summary excludes transactions where cost basis information is not available.
Money Market Fund Detail
Date Activity Type Demriplion Amount Balance
Sweep Money Market Fund
DWSGOVERNI41347 CASH INSTL
Account Number: 0000001491 Current Yield: 0.03% Activity Ending: 11/28/14
11/01/14 Opening Balance 21551506.88 24,556,50818
11/12114 Deposit POKEY RAO PURCHASE 8,060.00 24,564,566.88
11/13/14 Withdrawal MONEY RAO REDEMPTION .71,51328 24,493,053.60
11128/14 Deposit INCOME REINVEST 604.63 24.493.658.23
11126114 Closing Balance $24,493,668.23
Total All Money Market Funds 624,493,668.23
Income and Expense Summary
Curren) Period Year•toSale
Taxable Noe Taxable Taxable Nom Taxable
Dividend Income
Money Market 604.63 0.00 4,732 39 0.00
Other Dividends 5.912 26 0.00 59.396 43 0.00
Interest Income
FDIC Insured Bank Deposits 000 0.00 4.052.20 0.00
Total Dividends, Interest, Income and Expenses $6,516.89 $0.00 461181.02 $0.00
Page 2 of 8
Account Number: Monad tacelhinfi
vent, Rou LEPERS INCC ONFIDE p E ape r rl r es i s A rC L x v Ae er nL y uM V rr e . aR st eA L rT a E c D e C 2 O 0 M 07 M UMCATIONS
SDNY_GM_00047410
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010234
EFTA_00158019
EFTA01290140

Isre RIM Of 'file v....in Manair-wan
Minett. COetrarGsp,p
Desti.04 IP** Sel•nlei
Yrs von Ci710,
HI Part Annet Ikh I bgr
War RA PA' 10114
01114:441114. OM) 7./.4,9S
Statement Period:1110112114 • 11/3012014
Portfolio Holdings
Account Activity Opening Closing Accrued Income 30-Day Carrot
Opening Date Quantity 'lumber Endiig Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 94.00% of Portfolio
Money Market
DWS GOVERNMENT CASH INSTL
1110111/ 24,193,658.230 0000001/91 11128/14 24,556,506.88 24,493,658 23 0.00 1,732.39 0.03% 0.03%
Total Money Market 324,558,506.81 324,493,668.23 30.00 34,732.39
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
1110111/ N16024935 11128114 0.00 0.00 0.00 1,052 20 NIA NIA
Total FDIC Insured Bank Deposits 10.00 30.00 10.00 14,052.20
Total Cash, Money Funds, and Bank Deposits 124,556,506.88 324,193,658.23 30.00 31,784.59
Unrealized Estimated Estimated
Date Asaeired Quantity Unit Cod Cod Bads Market Price Market Value Gaird Loss Annual Income Yield
Mutual Funds 6.00% of Portfolio
P M ORGAN FLOATING RATE IN COME FUND Security .PHSX
SELECT PARES CUSP. 481211510
Open End Fund
Dividend Option: Reined; Capital Gains Online: Reined
0211311313 148.957.299 10.0700 1,500,000.00 9.9200 1,477,658.40 -22,313.60 61,221.45 4.14%
0310111313 533.041 10.0600 5,362.46 9.9200 5,287.82 -74.64 219.08 4.14%
0410111313 591.454 10.1100 5,979.61 9.9200 5,867.23 .112.38 243.09 4.14%
0510111313 562.992 10 1300 5,703.11 9 9200 5,584.88 -11823 231.39 4.14%
0610311313 567.343 10.0900 5,724.50 9.9200 5,628.05 46.45 233.18 4.14%
0710111313 500.501 9.9700 1,990.00 9.9200 4,964.97 -25.03 205.71 4.14%
0810111313 527.827 10.0600 5,309.94 9.9200 5,236.05 -73.89 216.94 4.14%
0910311313 531.248 10.0300 5,328.42 9.9200 5,269.99 -58.43 218.34 4.14%
Reinvestin eats to 7,614.407 10.0640 76,633.40 9.9200 75,534.90 -1,098.50 3,129.51 4.14%
Date
Total Covered 160,386.118 1,015,021.44 1,591,030.21 -24,001.16 65,918.69
Total 110,381.118 $1,116,131.44 41,611,030.29 421,001.15 466,911.60
Total Mutual Funds 31,615,031.44 31,591,030.21 424,001.16 165,918.611
Page 3 of 8
°BAN M011 L A E cc P o E u R n S t N IN u C m C ber ON FID G AE o p N ape T rle 1 ss A L R D ( [) v A! a e G b L r i MI y d L V e LR x [ . N . c i . t e ^ C l S l T e I O n S t O , C 2 O 0 M 07 M UNICATIONS ot t7».r.etiro."=" -=
SDNY_GM_00047411
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010235
EFTA_00 I 58020
EFTA01290141

Portfolio Holdings
(continued)
Unrealized Maned Estimated
Cost Basis Market Value Said Loss Interest Annual Income
Total Portfolio Holdings 826,108,689.67 06,084,688.52 .$24,001.16 10.00 $74,703.28
Footnotes
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore. considered " noncovered." under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their 'applicable dates)' at which they are subject to the cost basis reporting rules and the adjusted basis wit be repotted 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.
13 The cost basis of this security has been provided to us by the delivering fun or transferring agent and Pershing makes no representation as to the accuracy of this information.
Messages
Please note the !diming infompation to Pershing's 2014 IRS Form 1099(8, DIV,1NT, O10 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 ova 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 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 Comoration.(SIPC).
For disclosure of rates for DINS money market funds, please visit the DVVS Investments website at htlps://www.dws-investments conVEN/productshroney-madrettunds-nelds.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Paget of 8
Account Nun ber Rat.. tacollenti
uktmt vOtt LEPERS INC FoGro apapnerleAss L D (v A e L r B y A V R o R w A ' S T i E v D a C 2 O 0 M 07 M UNICATIONS
CON IXIMILLINCt
SDNY_GM_00047412
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10236
EFTA_00158021
EFTA01290142

Ogvitoc ile *Mall nManair-wan
Monts OntfteC•ccp
De.ticta Bar Secy.-an n<
...nv brit Mar
Annw. iloct
tine tr.\ n't 101:4
P 1))4,4-.7143. 11111 >a con
Statement Period: 11/0112114 -11/3012814
Activity Summary (AU amounts shown are in base currency)
Credits This Period Year-to-Date Debits This Period Year•to•Date
Securities Securities
Securities Scbcht 000 000 Securities Bought -5.912.26 -59.396.43
Total Securities $0.00 $0.00 Total Securities -$5,912.26 459,398.40
Dividends and Interest $8,516.89 $68,181.02 Dividends and Interest $0.00 $0.00
Cash Cash
Withdrawals 0.00 0 00 Withdrawals -294,062.52 -26.563,460.12
Deposits 230.609.24 6 900 333 34 Deposits 0.00 0.00
Total Cash $230,609.24 $6,900.333.34 Total Cash -$294,082.52 .$26,563,460.12
FDIC Insured Bank Deposits $0.00 146,246,022.60 FDIC Insured Bank Deposits $0.00 -$2,098,022.18
Money Market Funds $71,513.28 512,071,513.28 Money Market Funds 48,684.63 .06,665,171.51
Total Credits $308,639.41 $85,288,050.21 Total Debits .1308,639.41 .K5,286,050.24
Transactions by Type of Activity
Process,
Settlement
Date Actii ay Type Depletion Quantity Price Awued littered Amount Currency
Securities Bought and Sold
11103/14 REA VEST CASI- INCOME P MORGAN FLOATING RATE INCOME Rail) SELECT SHARES 595.394 -5.91226 LSO
PHSX 159790.7240 StrliS SPRS MACH. A7 59.93000 RO 10130 PD
11103114
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 4,912.28
Dividends and Interest
11103114 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 5,912.26 LSD
Pr SX 159790 7240 SHRS RD 10130 PD 11103/14
11/28/14 MONEY MARKET FLND DWSGOVT CASH INSTL 604.63 LSD
INCOME RECEIVED
233993682
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 8,516.89
Page 5 o18
Account Number Rated tacollordi
Mine LEPERS INCC ONFID G E o p N ape T rle I ss A L I U D X A te C L g O I y L A V L R I . N a M r C L U r a D te C 2 O 0 M 0 M 7 UNICATOOPIS
SDNY_GM_00047413
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010237
EFIA_00 I 58022
EFTA01290143

Transactions by Type of Activity (continued)
Process/
Settlement
Date Adivity Type Description Quantity Price Accrued littered Amount Currency
Cash Withdrawals and Deposits
11/10/14 FEDERAL FUNDS RECEIVED CITIBANK N A 38774 7.11L00 LSO
LS0999997
11/10/14 FEDERAL FUNDS RECEIVED CITIBANK N A. 38617 949.00 LSO
USD999997
11/12/14 FEDERAL FUNDS RECEIVED M ORGAN ChASE BANK 11355 222849 24 LSD
USD999997
11/13/14 FEDERAL FUNDS SENT .FIAORGAA ChASE BANK. -222.549.24 LSD
USD999997
11/13/14 FEDERAL FUNDS SENT FLAGLER BANK -71,51328 LSO
USD999997
Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 -63,453.28
Money Market Funds
11112114 MONEY FUND PIAChASE DWSGOVT CAST INSTL -8.060.00 LSD
U$0999997
11/13114 MONEY FUND REDEMPTION DWSGOVT CAST INSTL 71,513.28 LSD
USD999997
11/28/14 MONEY MARKET FUND DWS GOVT CAST INSTL INCOME REINVESTED -604.63 USD
REINVESTMENT
233993682
Total Money Market Funds • UNITED STATES DOLLAR 0.00 62,848.65
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 AVEN LE, 26Th FLOOR
NEWYORK NY 10154
Pap 6 of 8
Account Number. Go paperless Raid tacelbrifi
LMAE1 MOI LEPERS INCC ONFIDEISMAL D b e e x A e C U ry lu M Y r e n . R a s r A e S T r i ( n 0 ce C 2 O 0 M 07 M UNCA TOG
SDNY_GM_00047414
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010238
EFTA_00 158023
EFTA01290144

OediSre Ran. nn•arr V.I.4111 PalM ie,tat
MI f•tt{ I veer or G•pyp
Des-UM Bali SCIVri
ihm.V.4 Mt*
Na PIA Mist 1141. I to
New*** rtt 1011.4
inn 454.71119. (MI 78•471IS
Statement Period: 11/0112014 • 11/3012014
Your Account Inform ation
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 iswe discount lOID), No
Amortize premium on taxable bonds based on Constant Yield Method: Yes
Aecieal market discount method for all other bond types: Ratable Method
Include market discount in income annually: No
Electronic Delivery
You have not selected any account comm unications for electronic delivery. To register and turn off paper con m unications, log in to your account or contact your 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, unless otherviise 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 horn the actual sale price. Securities for which a price is
not available are marked 'WA" and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (SAS) and estimated annual yield (SAY) figures are estimates arid for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time,
and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or lax 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
VAYtv.pershing.comibusiness_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 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 fniancial 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 fine.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Marge: Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Page 7 018
I IrtA. L A E c P co E u R n S t N IN u CC m ber ONFID Go E pap M erle I s A s e k l P Dr (v x l A a e eL c r n i O y d u A Y t r a R e r c aR a o r eA l l S T o r i n C n i c O l e C 2 O '0 M 07 M UNICATIONS ?It
SDNY_GM_00047415
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010239
EFIA_00158024
EFTA01290145

Important Information and Disclosures (continued)
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to a 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 convened by agents (such as depositories) will be billed at the rates such agents
use.
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 (M-any other instructions concerning your account. Pershing is not responsible or cable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controNng 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 secumies 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 owe 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, }Of the ongoing relationship that it has with you.
• Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. M other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organdation'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: wiverpershing.corn/strength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to
your financial organization and Pershing. Please be advised that any oral communication should be re-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 juiy, 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 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 fled, 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 8 of 8
LAcEcoPuntE NuRmSber : ir Excellent,
DRAB 901.1 INCC ONFID G E o p I a T pe T rles I s A D Ev A e U rt M Ye . R ar A W TE o D e. C t O o M ol M UNICATIONS
SDNY_GM_00047416
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-OO1O24O
EFrA_00 I 58025
EFTA01290146

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454.711,11. 7.114MS
Account Number:
Statement Period: 1010112014 -10131/2014
Valuation at a Glance
This Period Year-to-Oate
JEEPERS INC Beginning Account Value $21,261,271.53 115,708,261.11
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 1,875,302.13 -19,599,613.50
Adjusted Previous Account Value 26,136,573.16 26,108,587.61
ST THOMAS VI 00802
Dividends. Interest and Other Income 6,655.11 81,661.13
Net Chan e in Porlfolio 000 .27 022 97
Eslm ated Annual Income 573.534 3:
Your Client Advisor:
TAZIA SMITH
Asset Allocation
Prior Year-lid Last Period This Period % Allocation
l, SC Cast!! Money Funds and Bank Deposits 11,118,000.12 22,680,598.51 24,556,506 88 9393% Please review your allocation
LSD Fixed Income 1.560.280.69 1.580.672.99 1 586.721 89 607%
Account Total (Pie Chart) 115,708,211.11 121,261,271.53 $26,143,226.77 100.00%
Seethe Asset Mocaton Disclosure MI Footnotes secton for important inlomiation regardeig yea Asset Alscabyt.
Paget of 8
Lied Excellent,
A00971392CSP3001/ Go Paperless Every 'Yaw Sinew 2'007
DAUM' RATED COMMUNICATIONS
CON F I DAENTIAL XelltlTher
SDNY_GM_00047417
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010241
EFTA_00 I 58026
EFTA01290147

Asset Allocation Disclosure and Footnotes
Fixed Income contains Fixed Income Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year•lo•Date Unrealized
Short-Term Gain/Loss 0.00 0.00 -969.05
Long-Term Gain/Loss 0.00 0.00 -21.126.24
Net Gain/Loss 0.00 0.00 42,39711
This summary excludes transactions where cost basis intimation is not available.
Money Market Fund Detail
Date Activity type Description Amount Balance
Sweep Money Market Fund
OWS GOVERNMENT CASH INSTL
Account Number: 0000001491 Current Yield: 0.03% Adivity Ending: 10/31/11
1010111/ Opening Balance 22,680.598.54 22,680,598.54
1010211/ Withdrawal MONEY FUND REDEMPTION -2,500.000.00 20,180,598.54
10107/11 Deposit MONEY FUND PURCHASE 4,375,302.13 21,555,900.67
10131111 Deposd INCOME Reb/EST 606.21 21.556.506.88
1013111/ Closing Balance 924,556,606.88
Total All Money Market Funds 324,556,606.88
Income and Expense Summary
Current Period Year-to-Date
Taxable Hoe Taxable Taxable Non Taxable
Dividend Income
Money Market 606.21 000 4,127 76 0.00
Other Dividends 6.048.90 0.00 53.181.17 0.00
Interest Income
FM Insured Bank Deposits 0.00 0.00 1052.20 0.00
Total Dividends, Interest, Income and Expenses 66,666.11 90.00 81,681.13 30.00
Page 2 of 8
OBAN ROLL Account Nun ter Go paperless L R Dr ', x s A a e o t L e s y B d u A V t rR a t a r c Ra o .. Ae l l L o rT a r E d c D i e C 2 O 0 M 07 M UNCA TIONS :It
SDNY_GM_00047418
67 14CC ON F I
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0010242
EFTA_DO 158027
EFTA01290148

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miner I over an 4.p.7
(*.lute Oar Stwits
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P OISSI 7.14VIS
Statement Period: 1B/0112114 • 10/3112014
Portfolio Holdings
Account Activity Opening Closing Aimed Income 30.Day Carrent
Opening Date Quantity 'Sumter Ending Balance Balsam Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 94.00% of Portfolio
Money Market
DWS GOVERNMENT CASH INSTL
10101114 24,556,506.880 0000001491 10131114 22,680,598.54 24,556,506.88 40.37 4,127.76 0.03% 0.03%
Total Money M at k et 622,680,598.54 624,658,508.88 $40.37 $4,127.78
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
10101114 N46024935 10131114 0.00 0.00 0.00 4,052.20 WA WA
Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $4,062.20
Total Cash, Money Funds, and Bank Deposits $22,110,591.54 $24,556,506.88 $40.37 $5,179.95
Umtata Estimated Estimated
Date Acquired Quality Veit Cod Cod Bads Market Prim Market Value Gaid loss Annual Income Yield
Mutual Funds 6.00% of Portfolio
P M ORGAN FLOATING RATE IN COME FUND MialrIty Identifier: .PHSX
SELECT SPARES CUSP. 461211510
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reined
0211311313 148,957.299 10.0700 1,500,000.00 9,9300 1,479,145.99 -20.854.01 60,923.53 4.11%
03101113 13 533.041 10.0600 5,362.46 9.9300 5,293.16 49.30 218.02 4.11%
04101113 13 591.454 10.1100 5,979.61 9 9300 5,873.14 -106.47 241.90 4.11%
05101/13 13 562.992 10 1300 5.703.11 9 9300 5.590.51 -11260 230.28 4.11%
0610311313 567.343 10.0900 5,724.50 9 9300 5,633.72 40.78 232.04 4.11%
07101113 13 500.501 9.9700 4,990.00 9.9300 4,969.98 -20.02 204.71 4.11%
08101113+3 527.827 10.0600 5,309.94 9.9300 5,241.32 48.62 215.88 4.11%
09103113 13 531.248 10.0300 5,328.42 9.9300 5,275.29 -53.13 217.28 4.11%
Reinvestments to 7,019.013 10.0760 70,721.14 9.9300 69,698.78 .1.022.36 2,870.78 4.11%
Date
Total Covered 169,790.721 1,109t119.15 1,555,721.59 -22,397.29 65,354.40
Total 169,790124 $1,609,119.11 $1,610,721.119 -$22,397.29 $65,354.40
Total Mutual Funds 61,609,111.19 $1,616,721.19 -322,397.29 $65,354.40
Pap 3 of 8
Account A un be, Go paperless Rsd excellent
WIA0 LEPERS INC C ON FIDA=TAL rD (v xA e cL r i B y u Ar Y nR a aR w eA S Tr i E ne D w C Z O 0 M 07 M UNCATIONS
SDNY_GM_00047419
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010243
EFTA_00 58028
EFTA01290149

Portfolio Holdings (continued)
Unrealized Accrued Estimated
Cost Basis Markel Value Gainf Loss Interest Annual Income
Total Portfolio Holdings $26,165,626.06 $26,143,226.77 -222,397.29 10.00 173,534.36
Footnotes
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 ether 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 repotted to the IRS on form 1099-8 for the applicable tax year in which the secumy 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.
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.
Messages
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds, please visit the 0WS Investments website at httpsAwriv.dws-investments.corn/ENfproductsimoney-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 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.
Activity Summary (A& amounts shown are in base currency)
Credits This Period Year.to.0ate Debits This Period Year.to.Date
Securities Securities
Securities Bought 0.00 000 Securities Bought -5 048 90 -53 484 17
Total Securities $0.00 $0.00 Total Securities -16.048.90 -$53,464.17
Dividends and Interest 16,656.11 161,664.13 Dividends and Interest $0.00 $0.00
Cash Cash
Withdrawals 0.00 0.00 Withdrawals 2 500 000 00 -25 259 .33' 50
Deposits 4 375 302 13 6 669 720 10 Deposits 0 00 3
Total Cash 14,375,302.13 $6,669,724.10 Total Cash -22,500,000.00 -126,269,397.60
FDIC Insured Bank Deposits 10.00 $46,246,022.60 FDIC Insured Dank Deposits $0.00 42,098,022.18
Money Market Funds $2,500,000.00 $12,000,000.00 Money Market Funds -$4,375,908.34 -136,556,506.68
Total Credits $6,881,957.24 164,977,410.93 Total Debits -$5,881,957.24 -164,977,410.63
Page 4 at 8
Account Num bur GO paperless E N v a e t n a . l V ta a ce .S llo la nd te 2007
.EEPERS DALOAR RATED COMMUNICATIONS
7XO0.1.7Ner
SONN i_GM_0004 7420
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) INCCONFID=TAL OB-SDNY-0010244
EFTA_00158029
EFTA01290150

(*also* Rana Pnwalr. Weida •Aptagenmt
Peweits Coon,. 4,0.1)
Des-WM ML StM10 Oft ,•C
mr. yen ONt o
MO 21203 HI Part einneo.160. I ber
War RaL 7tt 10114
01114:4.71114.111,17.14,91,
Statement Period: 10/01/2014 • 1013112014
Transactions by Type of Activity
Process/
Settlement
Date Activity T Description Dont Price Mated Interest Amount Curren
Securities Bought and Sold
10101114 REINVEST CASF INCOME P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 609.154 O 048 90 1,5D
,PHSX 159181.5700 SHRS SHRSPURCH. AT 5913000 RD 09129 FD
10101111
Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -6,016.90
Dividends and Interest
10101/14 CASH DIVIDEND RECEIVED .P MORGAN FLOATING RATE INCOM E FUND SELECT SHARES 6,048.90 LSD
PHSX 159181.5700 SHRS RD 09129 PD 10101/14
10131114 MONEY MARKET FUND DWSGOVT CASH INSTL 606.21 USD
INCOME RECEIVED
233993682
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 6,665.11
Cash Withdrawals and Deposits
10/02/14 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST 4,500,000.00 USD
USD999997
10/06/14 FEDERAL FUNDS RECEIVED "MORGAN CHASE BANK 31494 4,375,302.13 USD
USD999997
Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 1,876,302.13
Money Market Funds
10102/14 MONEY FUND REDEMPTION OWSGOVI CASF INSTL 2,500,000.00 USD
USD999997
10107/14 MONEY FUND PURCHASE DWSGOVT CASF INSTL -1,375,302.13 USD
USD999997
10131114 MONEY MARKET FUND DWSGOvT CASH INSTL INCOME REINVESTED 406.21 USD
REINVESTMENT
233993682
Total Money Market Funds • UNITED STATES DOLLAR 0.00 4,678,908.31
Total Value of Transactions 0.00 0.00 USO
The price and quantity displayed may have been rounded.
Page 5 of 8
Account Num hr Rated' tacellerigi
I.tlM1ir '+0-111 ,EE PERS INC C ONFID G AE- o p N ap e T rle T ss A L D [ 7 v X A o C L n B IF t A Y IL R e 7 R w N A C S T I i E nc D e C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00047421
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010245
EFTA_00 158030
EFTA01290151

Client Service Information
Your Client Advisor: WS Contact Information
TAZIA SMITH Telephone Number:
305 PARK AVENUE 14TH FLOOR
NEW YORK NY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST lk 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 (O1D): No
Amortize pram ium 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 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, 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 resuks.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time.
and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities. interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
pershing.corNbusiness_continuity.herl for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
YAW.,
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wit
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in voting 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 o 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 margin may be
Oft
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Page 6 of 8
Account Num be, katedl taceilonl
tilt.0 vont LEPERS INC C ON F I D G AE o p W aper N less A L r ( D w xAe a Ln y O uA V Rr s n R . eA L rT S E O D . C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00047422
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) OB-SDNY-0010246
EFTA_OO I 58O31
EFTA01290152

OnKr* Ram e.fl ir 'Ansa nmanapnad
I vett% Iowa,. Gto.p
Des4104 St4,0,3CI
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Hann Anne0.1601ber
/Me Rio M')%14
01114:441114. 78/1,4TS
Statement Period:1810112114 • 10/3112014
Important Information and Disclosures (continued)
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate van 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.
The Role of Pershing
• Pershing carries your account as cleating broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation @orders
for the purchase and sale of securities and other progeny and (a) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions. where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (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 (unctions 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: vnviv.pershing.cornistrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (Including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to
your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor
Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza,
Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other it court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators MI typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose 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.
pap7 of 8
Account Number Rated tscolleni
Cio paperless [very Von WOO. 2007
ErcItS CON Fl DarariAL rDxAeLOstAoRw ReArT ED COMMUNICATIONS ••••••• LIAM nina. wet. M.N3
SDNY_GM_00047423
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010247
EFrA_00158032
EFTA01290153

Important Information and Disclosures (continued)
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied: (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The taws 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 8 of 8
Account Nun tier Rated excellent
GO paperless Ivory •••••• Since 2007
LEPERS INC
CON Flip
E N-NAL DrxAesUuMrn. PaeArT O! COMMUNKATIONS
SDNY_GM_00047424
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010248
EFrA_00158033
EFTA01290154

Ora'sofRana Pon. Wealth Manip--frent
Pdaeats Coonge6,0“)
°Mut* sank *wpm+
ma. 44 (11.1
PA Os 1770. Swam MD2i203 141P an Mist lkh I bet
New** IVY 1011.4
vul 454.71119, OM) 78/.4,9S
Account Number:
Statement Period:09101/2114 -09/3012114
Valuation at a Glance
This Period Year-to-Date
JEEPERS INC Beginning Account Value $21,271,120.12 $46,706,261.11
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 000 .21,01,975.63
ST THOMAS VI 00802 Adjusted Previous Account Value 21,271,120.12 24,233,286.46
Dividends. Interest and Other Income 5 953 20 55,009.02
KM Chan e in Ponlolic 19,101 79 27 02297
EsIn aced Annual !nom e 672.679 •
Your Client Advisor:
TADA SIA
Asset Allocation
Prior Year•Cad La Period This Period % Allocation
L SC Cast. Money Funds and Bank Depoals 0,118,00012 22,680,03927 22.680 598 54 93484 P ease rElleVe )0,." a 10:a! 0'
LSD Fixed Income 1.560.260 69 1.591.380.85 1 580 672 99 6 52',
Account Total (PI! Chart) $15,701,281.11 324,271,420.12 $24,261,271.53 100.00',
See the Asset Al:cation Disclosure aro Footnotes secton for mount miormaton moaning sow Asset AticiatMrt.
Poplin
Rabid facolloni
DOAN ROLL B01012SECSP30023 E D v A e L r B y A V R e R st A W TE o D o, C 2 O '0 M 07 M UNICATIONS
CON Fl ErEPaiTAL rxenurNet
SDNY_GM_00047425
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010249
EFTA_00 158034
EFTA01290155

Asset Allocation Disclosure and Footnotes
Fixed Income contains Fixed Income Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-t-oDate Unrealized
Short-Term Gain/Loss 0.00 0 00 -1.022 31
Long-Term Gain/Loss 000 0 00 -21.374.98
Net GaIn/Lou 0.00 0.00 42,397.29
This summary excludes transactions where cost basis information is not available.
Money Market Fund Detail
Date Activity Type Description Amount Balaica
Sweep Money Market Fund
CMS GOVERNMENT CASH IN M.
Account Number: 0000001491 Current Yield 003% Activity Ending: 09130(14
08130(14 Opening Balance 22,880,039.27 22380.039 27
09130114 Deposit INCOME REINVEST 559.27 22,680.598 54
09130114 Posing Balance $22,680,598.54
Total All Money Market Funds 922,680,594.54
ncome and Expense Summary
Curren) Period Year-to-Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Money Market 559.27 0.00 3,521.55 0.00
Other Dividends 5.393.93 0.00 47,43527 0.00
Interest Income
FDIC Insured Bank Deposits 000 0.00 4,052.20 0.00
Total Dividends, Interest, Income and Expenses 15,963.20 $0.00 856,009.02 90.00
Page 2 of 9
Account Nun ter Rated [scenes
Go paperless (very Yew sine, 2007
OftAR ROLL LEPERS INC
C ONFID=TAL
DrxAeLs BuArRn RaeArT ED COMMUNKA 'ROHS
SDNICGM_00047426
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010250
EFTA_00 158035
EFTA01290156

O.w•e Ram Pon. Wealth Manam-tent
Pdinet% COMIC, 6.o.to
De.7s0,7 • Sewnet Lac
'Innen Cali*
341P art Asira0. Ikh I ter
It's RA IW 10114
01114:44414. (MI 78/.4,91,
Statement Period: 0910112114 • 09/3012014
Portfolio Holdings
Axount AdIvily Opening Dosing Accrued Income 30•Day Owen
Opening Date Quantity 'lumber Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 93.00% of Portfolio
Money Market
DWS GOVERNMENT CASH INSTL
08130114 22,680,598.540 0000001491 09130114 22,880,039.27 22,680,598.54 0.00 3,521.55 0.03% 0.03%
Total Money Market 122180,039.27 122,680,598.54 10.00 33,521.56
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
08130114 N46024935 09130114 0.00 0.00 0.00 4,052.20 WA WA
Total FDIC Insured Bank Deposits $0.00 $0.00 10.00 $4,052.20
Total Cash, Money Funds, and Bank Deposits 122,680,039.27 122180,598.54 30.00 $7,573.75
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gaial Loss Annual Income Yield
Mutual Funds 7.00% of Portfolio
P M ORGAN FLOATING RATE INCOME FUND Security Identifier: PHSX
SELECT SI-ARES CUSIP 48121L510
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
0211311313 148.957.299 10.0700 1,500,000.00 9 9300 1,479,145.98 -20,85492 60,923.53 4.11%
03101113 13 533.041 10.0600 5,362.46 9.9300 5,293.15 49.31 218.02 4.11%
04101/13 13 591.454 10.1100 5,979.61 9 9300 5,873.13 -108.48 241.90 4.11%
05101/13 13 562.992 10 1300 5.703.11 9 9300 5,590.51 -112.80 230.26 4.11%
0610311313 567.343 10.0900 5,724.50 9.9300 5,833.71 40.79 232.04 4.11%
07101113 13 500.501 9.9700 4,990.00 9.9300 4,989.97 -20.03 204.70 4.11%
08/0111313 527.827 10.0600 5,309.94 9 9300 5,241.32 48.82 215.88 4.11%
09103/13 13 531.248 10.0300 5,328.42 9 9300 5,275.29 -53.13 217.28 4.11%
Reinvestments to 8,409.859 10.0890 64,672.24 9.9300 63,649.93 -1,022.31 2,621.65 4.11%
Date
Total Covered 151,181.579 1,603,070.28 1,589,872.91 .22,397.29 65,105.26
Total 169,181.679 81,603,070.28 11,510,672.19 -$22,397.29 565,105.26
Total Mutual Funds 11.603.070.28 91,889,672.99 -$22,397.29 $65,105.26
Page 3 of 9
°BALI ,tc • L A E c P co E u R n S t N IN u C C n tter ON FID (1 - O E p N ape T rle I ss A L R E Drx v A a e e t L e i r Ot y d u A Y E rRn o e c Ra w e eA n S rT e O . E . S . D I O . C 2 O 00 M 7 M UMGTIONS .117..L=C:t17r i4Zr..1"...rd=
SDNY_GM_00047427
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010251
EFrA_00 I 58036
EFTA01290157

Portfolio Holdings
(continued)
Unrealized Maned Estimated
Cost Basis Markel Value Gard Loss Interest Annual Income
Total Portfolio Holdings $24,283,668.82 $24,261,271.63 -07,397.29 MOO $72,679.01
Footnotes
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 " nor:covered.' 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 10994 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1. 2011
• Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012
• Ciller securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
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.
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 $1.848 billion was 12.4% of aggregate debit balances and exceeded the minimum requirements by $1.55 Nihon.
Pershing is also required to provide the most recent financial information as of this statement mailing. In accordance with this requirement, note that on July 31, 2014, Pershing's net capital of $1.881:Shen 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.comestatement_of_financial_condition.html. You may also request a free, printed copy by calling (B88)860-8510 or (201)
413-4200, option #5.
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 httpslAwnv.dws-investments.com/EN/products/rnoney•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 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.
Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset & Wealth Management brand and
future communications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and
investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA. NYSE and SIPC.
The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding.
Page 4 of 9
Account flu. Der t , Rend teconera
Went, WOI k LEPERS INCC ONFID Go r p i a T per r le i s A s L Dr tw xAe i L n nB y u A Y rR e r aR w eA L rT a E t D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00047428
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10252
EFTA_00158037
EFTA01290158

Isre Ram !h.. Wealth Ma.an-nen
Pdaests Cooent GK."
DeAsov Sat %Ivry mc
Vert Mot
Hann earae. IMh Mc..
War wet AV KIVA
inn VA.7818. OnS I >SSC.%
Statement Period: 09/0112814 • 09/30/2014
Activity Summary (All amounts shown are in base currency)
Ciedits This Period Year.to.Date Debits This Period Year-to-Date
Securities
Securities
Secunties Bought 0 00 "•. CC SPCJ'Ili es Sough! -5.39393 -8.435.27
Total Securities 10.00 $0.00 Total Securities •$5,393.93 -$47,135.27
Dividends and interest $5,953.20 555.009 02 Dividends and Interest $0.00 $0.00
Cash Cash
Withdrawals 0.00 0.00 Withdrawals 0.00 -23.769.397 60
Deposits 0 00 2.294.421.97 Deposits 000 003
Total Cash $0.00 92,291,121.97 Total Cash $0.00 423,769,397.60
FDIC Insured Bank Deposits $0.00 $46,248,022.60 FDIC insured Bank Deposits $0.00 42,098,022.18
Money Market Funds $0.00 $9,500,000.00 Money Market Funds 4559.27 432,180,598.51
Total Credits 85,953.20 $58,095,153.59 Total Debits .15,953.20 ,168,096,463.59
Transactions by Type of Activity
Process/
Settlement
Date Adivity Type Description Quantity Price Accrued Interest Amount Currency
Securities Bought and Sold
09102/14 REINVEST CASH INCOME ?MORGAN FLOATING RATE INCOME FUND SELECT SHARES 536709 -5.393.93 LSD
?IX 158644.8610 SHIS SIRS FL RCH. AT $10 05000 RD 08/28
PD 09/02114
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 4,393.93
Dividends and Interest
09/02/14 CASH DIVIDEND RECEIVED PM ORGAN FLOATING RATE INCOM E FUND SELECT SHARES 5,393.93 USD
PN SX 158611.8610 SHRS RD 08128 PD 09/02/11
09/30/11 MONEY MARKET RIND DWSGOVT CASH INSTL 559.27 USD
INCOME RECEIVED
233993682
Total Dividends and Interest • UNITED STATES DOLLAR 1.00 5,963.20
Page 5 of 9
Account Number FoGno psapnerleAss L I ( t v a e li r a y V Ex .a ce . l S le i n n t c , e 2'007 .1.="70,:"="0..r.arnt=
LE RS INC
CON
rDxAeLn BAuRrn ReArT CD COMAILOOCATIONS
SDNY_GM_00047429
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010253
EFrA_00 158038
EFTA01290159

Transactions by Type of Activity (continued)
Process/
Settlement
Date Activity Type Description Quantity Price Merged Meted Mount Currency
oney Market Funds
09130114 MONEY MARKET FUND D WS G 0 VT CASI- IK ST1 INC° M E REINVESTED -55927 USD
ASH VESTM ENT
233993682
Total N oney M arket Funds - UNITED STATES DOUAR 0.00 -569.27
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:
345 PARK AVENUE 14TH FLOOR
KEW YORK NY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OLT
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 com m unications for electronic delivery. To register and turn off paper nom m unicafions, log in to your account or contact your Qient Advisor for more inform alien.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from
sources which we believe to be reliable. Pershing may nal 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 retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to
vnwtpershing.cornibusiness_continuity.html for speak detads as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
Page6 of 9
URAR ROLL L A E cc P o E u R n S t N IN u C m be; GO paperless DALBA V R e R n A S • T ~ S M W * C 2 O .0 M 07 AILI...CATIONS
CONFInnerfAL: "a"'"R
SDNY_GM_00047430
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010254
EFTA_00158039
EFTA01290160

°voluteRam Manaluntar
Myatt Cowan Gtcs.p
Dettfor4 la* SCW,lei AC.
ihm.V.4 Mlitt*
Na riff% Moat I ber
New Vest rtt 1011A
I/12145471a1114178114MS
Statement Period: 0910112/14 • 09/3012014
Important Information and Disclosures (continued)
Reinvestment (contnued)
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 convened by agents (such as depositories) will be billed at the rates such agents
use.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and Many other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for 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 appbcable; 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. 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 (SIPCs). 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: vrnm.pershing.cornistrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt
of this statement. Please be advised that any oral communication should be 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 round 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? of 9
Account Number: e k l Rated excellent,
°RAF v011 SEPERS INCC ONFID G E o I p N ape T rle I s A s rD (v xA e eL r s B y u A V rR s m R , e A S T E iv D a C 2 O '0 M 07 M UNICATIONS
SDNY_GM_00047431
CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) OB-SDNY-0010255
EFTA_00158040
EFTA01290161

Important Information and Disclosures (continued)
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 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 rrinordy 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 den action until; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330.
Page 8 of 9
Oen.° .olk L A E c P co E u R n S t N IN u CC mber; ONFID Go r p i a T per r l e i s A s ek " DE ftv A ` ele L r " c C lt " s r c " R o A l " Y S T r k E d " v i a i 2 — OO7 G mcels =
SDNY_GM_00047432
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010256
EFIA_00158041
EFTA01290162

TERMS AND CONDITIONS
TRANSACTIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. ODD LOT DEALER.
• ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY
SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. LIAAGFS. RULINGS AND TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, IF ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ARE EXECUTED 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 00 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. WVPAI.PERSHIN(3COWBUSINESS_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 MIS-
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. RULE 607(A)(1)-(2)]
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
FINANCIAL INSTITUTION I: YOU DESIRE ADDITIONAL COPIES. SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS
MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT Cf PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST.
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER 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
PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT MARKET CENTERS DO NOT MALE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY
STATEMENT TO PREPARE YOUR TAX FILINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YCUR TAX RETURNS. WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH
• DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS 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 TI IE DISTRIBUTION OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880 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 COES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE
ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCH ADVICE, IF GWEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ARE INDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS OSCRETION AT ANY TIME, WITHOUT TENDER,
DEMAND OR NOTICE TO YOU. CLOSE CR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR
PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS:
ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR
YOUR ACCOUNT ARE OR MAY BE, WITHOUT FURTHER NOTICE TO YOU, LOANED OR PLEDGED BY
PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE
COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR
GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT
PROHIBITED 8Y LAW.
IF MY OF DE ABOVE TERMS NO CONDITIONS ME UNACCEPTABLE TO YOU. PLEASE NOTIFYPERI:POND PAIEDIATELY IN WRITING BY CERTFIED WA.10 CM PERSHING PLAZA, JERSEY PTY. NJ 07399, ATM WOOL DEPT
Page 9 of 9
Account Num Der Rated excePorA
UBAB 90Lt. LEPERS INC C ONFID G E o p S ap I e T rles I s A L r D L x v A c e L r i B y u A r Y n R e a w R e . A S r T i E nc D e C Z O 0 M 07 M UNICA TIONS
SDNY_GM_00047433
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10257
EFTA 0015804?
EFTA01290163

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War lot 1,tt 1011.4
45441114. (MI 78/1,4MS
Account Number:
Statement Period: 0810112/14 -0813112014
Valuation at a Glance this Period Year-to-Date
JEEPERS INC Beginning Account Value 828,767,000.64 $46,708,881.11
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 4,500,000.00 -21,474,975.83
ST THOMAS VI 00802 Adjusted Previous Account Value 24,267,000.84 24,833,286.18
Dividends. Interest and Other Income 5.833.04 49,055.82
et Chan e in Portfolio 1.58644 .7 921 18
ncling Account Value $24,274,420.12 $24,274,420.12
fain aced Annual Income 571 424 29
Your Client Advisor:
TAZIA SMITH
Asset Allocation
Prior Year-fed Last Period This Period % Allocation
(..SD Cash. Money Funds. and Bank Deposits 11,148,000.12 25,179,424.36 22,680,039.27 93.434 at Pease re.levv a lora' o-
LSD Fixed Income 1.560.260 69 1.58/.578.28 1.594.380 85 6.57%
Account Total file Chart) 845,708,281.11 326,767,000.64 $24,274,420.12 100.00%
See the Asset Gloat on Disclosure and Footnotes section for important informaton regarding yow Asset Aboaton.
Paget 448
OPAL, 9(>1.1. A0097292CSP300IS GO paperless (veryYear SiSva 2007
CONF IDASSiTiAeisa 'DRXaL'AdM• taANaRJl CAI"ILC ifriCATC.15
SDNY_GM_00047434
CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) DB-SDNY-0010258
EFTA_00I 58043
EFTA01290164

Asset Allocation Disclosure and Footnotes
Fixed Income contains Fixed Income Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short-Term Gain/Loss 0.00 0 00 -242.50
Long-Term Gain/Loss 0.00 000 -3,053.00
Net Gain/Lou 0.00 0.00 -3,295.50
This summary excludes transactions where cost basis information is not available.
Money Market Fund Detail
Date Activity Type Demriptioa Amount Balance
Sweep Money Market Fund
ow S GOVERNMENT CASH !USTI
Account Number: 0000001491 Current Yield: 0.03% Activity Ending: 08/29114
08101114 Opening Balance 25,179,424.36 25,179,424.38
08119/14 Withdrawal MONEY FIND REDEMPTION -2,500,000.00 22,879,424.38
08/29/14 Deposit INCOME REINVEST 614.91 22:680,03927
08129114 Closing Balance $22,880,039.27
Total All Money Market Funds 822,180,039.27
Income and Expense Summary
Current Period Year-to-Date
Taxable Noe Taxable Taxable No. Taxable
Dividend Income
Money Market 614.91 0.00 2,962.28 0.00
Other Dividends 5.218 13 0.00 42,041.34 0.00
Interest Income
FDIC Insured Bank Deports 000 0.00 4.052.20 0.00
Total Dividends, Interest, Income and Expenses $5,833.04 60.00 649,055.82 80.00
Page2 of 8
,x^N.111 L A E cc P o E u R n S t N IN u C m C ber ON FIDAE p N ape T rle I ss A L E rM ll x a v Ue m e Ms r a y t . i Y e rt x e r c R a a e r Ae l S l rT e l O n a t t D e C 2 O 0 M 07 M UNICATIONS eatrelstrnor veinis:Lo%c ;.......mignert Mae
SDNY GM 00047435
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010259
EFTA 00158044
EFTA01290165

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Il VI 49141/IL (MI 16614
Statement Period: 0 81011211 4 • 08/3112014
Portfolio Holdings
Account Activity Opening Doing Accrued Income 30-Day Current
Opening Date Quantity 'lumber Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 9 3.0 0% of Portfolio
Money Market
DIVS GOVERN M ENT CASH INSTL
08/01114 2200,039 270 0000001491 0812911/ 25,179,424.36 22,680,03927 18 64 2 962 28 0.03% 0.03%
Total Money Market $26,179,424.36 122,660,039.27 118.64 12,962.28
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
08101114 k4G024935 08129114 0.00 0.00 0.00 4,052 20 NIA N/A
Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $4,062.20
Total Cash, Money Funds, and Bank Deposits 126,179,424.38 $22,680,039.27 $18.64 $7,014.48
Umeallzed Estimated Estimated
Date Acquired Quantity Unit Coll Cost Banc Market Price Market Value Gala! Loss Annual Income Yield
Mutual Funds 7.00% of Portfolio
P el ORGAN FLOATING RATE IN COME FUND Security Identifier: .PHSX
SELECT SNARES CUSP 481211510
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
0211311313 148.957.299 10.0700 1,500,000.00 10.0500 1,497,020.84 -2,979.18 80,476.68 4.03%
0310111315 533.047 10.0600 5,362.46 10.0500 5,357.12 -5.34 216.42 4.03%
0410111313 591.454 10.1100 5,979.61 10.0500 5,944.11 45.50 240.13 4.03%
0510111313 562.992 10 1300 5,703.11 10.0500 5.658.07 -45.04 228.57 4.03%
0610311313 567.343 10.0900 5,724.50 10.0500 5,701.79 -22.71 230.34 4.03%
07/01/13 13 500.501 9.9700 1,990.00 10.0500 5,030.03 4003 20320 4.03%
0810111313 527.827 10.0800 5,309.94 10.0500 5,304.88 -528 214.30 4.03%
0910311313 531.248 10.0300 5,328.42 10.0500 5,339.04 1062 215.69 4.03%
Reinvestments to 5,873.150 10.0930 59,278.31 10.0500 59,025.19 -253.12 2,384.50 4.03%
Date
Total Covered 168,844.1111 1,597,676.35 1,5114,3110.15 .3,296.60 64,409.81
Total 168,644.161 $1,597,676.35 $1,694,36005 -13,296.60 $64,409.81
Total Mutual Funds $1,597.676.35 $1,594,380.16 .$3,296.60 04,409.81
Page 3 of 8
11.)8A0 Li% Account Nun ber Go paperless rD ( li v x s A e t cL e r iB y d tu A Y ta Rr e c n R a e e r A l k S rT i i n E n f c D l e C 2 O 0 M 07 M UNICATIONS a.ww.a aura
SDNY_GM_00047436
67toNFIDAranAL
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. OB-SDNY-0010260
EFTA_00158045
EFTA01290166

Portfolio Holdings
(continued)
Unrealized Accrued Estimated
Cod Basis Markel Value Saki Loss Interest Annual Income
Total Portfolio Holdings 620,277,715.62 $20,271,120.12 -0,29510 60.00 671,424.29
Footnotes
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 repotting 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 10994 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
• Cher securities, principally debt securities and options, acquired on or after January 1, 2010, or later, as determined by the Secretary of the Treasury.
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.
Messages
Federal Deposit Insurance Corporation (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:thinvw.dvesinvestments.corn/EN/productsimonemarket-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 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.
Deutsche Bank has combined its asset and wealth management opeiationsaincluding Deutsche Bank Alex. Brcnvnainto 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 brokerdealer 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 it of 8
Account Nun ber Rabid tacelle nil
',KAN V011 F ID Go r p a ape n rle A ss L [ Dr v xA e eL r s y Bu A V rRt o r w RaeA ' s rT i n E c D e C ? O 0 M 07 M UNICATIONS
SDNY_GM_00047437
61,7 1tON
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0010261
EFTA 00158046
EFTA01290167

Drafflell•rtc Pr riFile Wolin Mamie-wad
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01 4914,18. OM) 711114MS
Statement Period: 0810112814 • 08/3112014
Activity Sum mary (All amounts shown are in base currency)
Credits This Period Year-to•Date Debits This Period Year-to-Date
Securities Securities
Sec unties Eat.cht 0 00 CO Secunties Bought -5.218.13 -42.041.34
Total Securities 10.00 $0.00 Total Securities -$5,218.13 442,041.34
Dividendsand Interest $5,833.04 $49.055.82 Dividends and Interest Woo $0.00
Cash Cash
Withdrawals 000 0.00 Withdrawals -2,500,000.00 -23.769,397 60
Deposits 0 00 2.294.421.97 Deposits 0.00 000
Total Cash $0.00 82,294,421.97 Total Cash 42,500,000.00 -823,769,397.60
FDIC Insured Bank Deposits $0.00 $48,248,022.60 FDIC Insured Bank Deposits 50.00 -$2,098,022.18
Money Market Funds $2,500,000.00 $9,500,000.00 Money Market Funds 4814.91 432,180,039.27
Total Credits 32,505,833.04 $58,089,600.39 Total Debits 42,505,833.04 458,089,500.39
Transactions by Type of Activity
Process
Settlement
Date Activity Type Description Quantity Price Accrued leterest Ammon Currenry
Securities Bought and Sold
08101114 REINVEST CASH INCOME ?MORGAN FLOATING RATE INCOME FUND SELECT SHARES 519.734 -5.218.13 USD
PHSX 158125.1270 SHRS SIRS PORCH. AT 510.04000 RD 07/30
PD 08101114
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 4,218.13
Dividends and Interest
08/01/14 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SIIECT SHARES 5,218.13 USD
.PH SX 158125.1270 SHRS RD 07/30 PD 08/01/14
08129114 MONEY MARKET FUND DWS GO VT CASH INSTL 814.91 USD
INCOME RECEIVED
233993682
Total Dividends and Interest • UNITED STATES DOLLAR 8.00 5,833.04
Page 5 of 8
IRAN ROL Account Num Der Go paperless R L C .. a A .. t L m e B y d A V [n R . a I R . i A le S T r e E / n D to C 2 O 0 M 07 M UNCATIONS trwrt:="0...7.....r tr,
f IXCILITher
SDNY_GM_00047438
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6: PERS INCC ON F D AENTIA OB-SDNY-0010262
EFrA_00 158047
EFTA01290168

Transactions by Type of Activity
(continued)
Process/
Settlement
Date Adivity Type Description Quantity Price Awned Interest Amount Currency
Cash Withdrawals and Deposits
08119114 FEDERAL FL ADS SEAT DEL TSChE DANK TRUST -2.500.00000 LSO
USD999997
Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 -2,500,000.00
Money Market Funds
08119114 MONEY FUND REDEMPTION DWSGOVT CAST INSTL 2500,000 00 LSD
USD999997
08129114 MONEY MARKET FUND DWS COW CASI. INSTL INCOME REINVESTED -61491 LSO
REINVESTMENT
233993682
Total Money Market Funds • UNITED STATES DOLLAR 0.00 2,499,315.09
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:
345 PARK AVENUE 14TH FLOOR
NEWYORK NY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IA FIRST OLT
Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other StailititS: FIRST IN FIRST OUT
Electronic Delivery
You have not selected any account corn 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 anon.
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 resuks.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time,
Page6 of 8
Account Num ber. Rated excelbroll
ORAN /IOU EEPERS INC Go paperless D Lv A e L r B y A Y R e R ar A S T i E v D a C 2 O '0 M 07 N IUNCATIONS --rim, —
CON FIDETriAL-_--
SONY GM 00047430
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010263
EFTA OO158O48
EFTA01290169

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1/121454.71114.1115178•471S
Statement Period:0810112814 • 08/3112014
Important Information and Disclosures (continued)
Estimated Annual Figures (continued)
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
mwrpershing.cornibusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions. Money Market Fund dividend income. Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order kw.
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 wrung of any material change in your investment *dives 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 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 amount.
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.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person 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 a that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable, the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries 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 triennial 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 (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
Page 7 eta
Account Num be; Rasa tac•••••
Go paperless t vent Y«. Since 2'007 ::11.1.:74==== "4—=
EPERS INCC ON F ID ratI AL DrxAeLs BtAuRrN ReArT EDCOMMUNICATIONS L•C
SDNY_GM_00047440
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010264
EFrA_00158049
EFTA01290170

Important Information and Disclosures (continued)
The Role of Pershing (continued)
provides coverage in excess of SIPC limits. For more detailed information please visit: vaivepershing.comistrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized traditg), 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 Ned.
• Arbitration awards are generally final and binding: a party's ability to have a court reverse or modify an arbitration award is very finiited.
• 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 tinging 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 ercompassed by the putative class action until; (lithe 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 8 of 8
IAMB Mel L A E c P co E u R n S t N IN u C m C ber: O NFID G E o p E ape r rl r es i s A e k R Dr T x w A a e t L a a r B y t . u A Y t r a R e im c R a e r eA l l S o rT N n E O i D T C 2 O 0 M 07 A ILINICATIONS Mew. uka J l m i e t. o r w w 011 t 11. : . ft W = et " 0 M . K . =•..'irra
SDNY_GM_00047441
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010265
EFIA_00158050
EFTA01290171

Onimm Ram P',.,', Weida Ware.%
Firms I wrap 66m,
De.mM ML SeAmlmm
11,m164 06m
PO. Sc, 1776, (Mimes MD 21203 lo Part Ammo. 114h 1M ei
War Rot MC 1011A
InI ) 4:441114. mfl au•W1
Account Num ber:
Statement Period: 07101(2014 -0713112014
Valuation at a Glance
This Period Year-to-Date
JEEPERS INC Beginning Account Value 128,772,044.90 145,708,261.11
6100 RED HOOK QUARTER B3 jet Cash Deposits and Withdrawals -2.000.000 00 •18.974.975.63
ST THOMAS VI 00802 Adjusted Previous Account Value 28,772,011.90 26,733,285.18
Dividends. Interest and Other Income 6.024.50 43.222.78
jet Chan in Portfolio -11,068 76 .9 sr 52
ncling Account Value $26 767 000.64 26,767,000.64
Brim Wed Annual Incom e 570
Your Client Advisor:
TAZIA SMITI-
Asset Allocation
Prior Year-fed Lad Period This Period % Allocation
USD Cash. Money Funds. and Bank Deposals 44,118,000.42 27,178,758.09 25,179,424.36 94.07% P e Chart alocation only Includes
oroducts that are of posztote vak*.
USD Fixed Income 1.580.26049 1.593186.81 1.587.570.28 5.93%
Account Total (Pie Chart) $45,708,261.11 128,772,044.90 128,787,000.64 100.00%
See page 2 of this statement for important information regarding the Asset Alocatkm section.
Page iota
8..0 ROLL A0091311 3CSP30017 paperless R ( D w A a a m L B y a A Y tm R e R a e r m A S T in i E n a c D e C 2 O '0 M 07 M UNOTIONS ocr: igrrin==
CON Fl I:YEN-NAL I %CIL L NCI
SDNY_GM_00047442
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010266
EFTA_00158051
EFTA01290172

Asset Allocation Disclosure and Footnotes
Fixed Income contains Fixed Income Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year•lo-Date Unrealized
Short-Term Gain/Loss 0.00 0.00 -317.15
Long-Term Gain/Loss 0.00 0.00 -4.56479
Net Galn/Lou 0.00 0.00 -4,881.94
This summary excludes transactions where cost basis information is not available.
Money Market Fund Detail
Oate Activity Type Desaiptioa Amount Balance
Sweep Money Market Fund
ow S GOVERNMENT CASH !MBE
Account Number: 0000001491 Current Yield: 0.03% Activity Ending: 07/31/14
07/01/14 Opening Balance 27.178.758.09 27,176,758.09
07/16114 Withdrawal MONEY FUND REDEMPTION -2,000.000.00 25.178.758.09
07/31114 Deposit INCOMEREINVEST 666.27 25.179.424.36
07/31/14 Closing Balance 626,179,424.38
Total All Money Market Funds $26,179,424.38
Income and Expense Summary
Oment Period Year-to-Date
Taxable Nos Taxable Taxable NM Taxable
Dividend Income
Money Market 666.27 0.00 2,347.37 0.00
Other Dividends 5.358 23 0.00 36,823.21 0.00
Interest Income
FDIC Insured Bank Deposits 0.00 0.00 4.062.20 0.00
Total Dividends, Interest. Income and Expenses 46,024.50 10.00 $43,222.78 $0.00
Page 2 of 8
Account Nun bar Rats. tacelleria
EMIAR ROLt LEPERS INC Go paperless Dr (v xA e e r Un y a M V r o m. R w eA ' S rT i E nc D e C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00047443
CONFIDAranAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10267
EFTA_00 158052
EFTA01290173

On...04 RIM onin "Mall n PAanaluntat
Pent% Coen,. Gomp
Desti.04 Yr Se4v,34s AC.
lin• Clint*
HI Pan /yeast Ikh I ber
War RA 1,tt 1011
4:44414.111151 78114MS
Statement Period: 0710112114 • 07/3112014
Portfolio Holdings
Axeunt Activity Opening Closing Accrued Income 30-Day Current
Opening Date Quantity 'lumber Ending Balance Balance Inomne Ns Year Yield Yield
Cash, Money Funds, and Bank Deposits 94.0 0% of Portfolio
Money Market
DWS GOVERNMENT CASH INSTL
07101114 25,179,424.360 0000001491 0713111/ 27,178758.09 25,179,424.36 0.00 2.347.37 0.03% 0.03%
Total Money Market $27,175,751.09 325,179,424.36 10.00 32,347.37
FDIC Insured Bank Depodts
INSURED DEPOSITS PROGRAM
07101/14 N46024935 07131114 0.00 0.00 000 4,052.20 NIA N/A
Total FDIC Insured Bank Deposits $0.00 10.00 10.00 $4,052.20
Total Cash, Money Funds, and Bank Deposits 327,171,7150.09 325,179,424.36 30.00 $6,399.57
Unrealized Estimated Estimated
Date &mined Quantity Unit Cost Cod Basis Mattel Price Market Value Gaial Loss Annual Income Yield
Mutual Funds 6.00% of Portfolio
P M ORGAN FLOATING RATE INCOME FUND Security Identifier: PHSX
SELECT SNARES CUSP 481211510
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
0211311313 148.957.299 10.0700 1,500,000.00 10.0400 1,495,531.29 -4.468.71 60,625.81 4.05%
03101/13 13 533.047 10.0600 5,362.46 10.0400 5,351.80 -10.66 216.95 4.05%
0410111313 591.454 10.1100 5,979.61 10.0400 5.938.20 41.41 240.72 4.05%
0510111317 562.992 10 1300 5.703.11 10.0400 5.652.44 -50.67 229.14 4.05%
06103/13 13 587.343 10.0900 5,724.50 10.0400 5.696.13 -28.37 230.91 4.05%
0710111313 500.501 9.9700 4,990.00 10.0400 5,025.03 35.03 203.70 4.05%
0810111313 527.827 10.0600 5,309.94 10.0400 5,299.38 -10.56 214.83 4.05%
0910311313 531.248 10.0300 5,328.42 10.0400 5,333.73 5.31 216.22 4.05%
Reinvestments to 5,353.416 10.0980 54,060.18 10.0400 53,748.28 -311.91 2,178.84 4.05%
Date
Total Covered 156,125.127 1351;451.22 1,587,576.28 -1,III1.94 64,358.92
Total 166,126.12? 51,692,458.22 $1.587,576.28 -$4,881.94 384,358.92
Total Mutual Funds $1,692,458.22 $1.587.576.28 •34,081.94 $64.388.92
Page 3 of 8
ORAN MOLL L A E cc P o E u R n S t N IN u C m ber F I D Cs ' o E p N ape tT rle E sS A L ! rD ( L v xA S e aL r O y Bn At y [ r s R e w a n R n eA g S rT r i l E a a D te C 2 O 0 M 07 M UNCATIONS relt.."-J-t.=.C.T.' rs .=
GEN Y_GM_0004 7444
CON
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010268
EFTA_00158053
EFTA01290174

Portfolio Holdings
(continued)
Unrealized Awued Estimated
Cost Basis Market Value Saint Loss Interest Annual Income
Total Portfolio Holdings $26,771,882.58 $26,767,000.64 -S4,801.94 $0.00 $70,756.49
Footnotes
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 thee `applicable date(sr at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as folows:
• Stock is a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012
• Ciller securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
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.
Messages
Although a money market mutual fund seeks to preserve the value of your Investment at St per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at httpslAwm.dws-investments.com/EN/productsirrioney-maricet-funds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset & Wealth Management brand and
future communications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and
investment adviser. which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC.
The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding.
Page408
Account Nun ter Rated tamolloni
tilt&E, ROI I LEPERS INC C ON FID G AM o pa S pe M rless A L r E Cx v Ae e L r Ms y Au V Rr a N R n C A la T I m ED e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00047445
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010269
EFrA_00158054
EFTA01290175

Isre Mn. 'Ansa 1i Univ.-wan
VinttforetarG.c.,
Des-b1h4 lam kcv.,aes
Yre *A MIMc*
Hann Rama. I kci.
New en WI IOVA
inn itA.7.18. msuua»s
Statement Period: 0710112011 • 07/31/2014
Activity Summary (All amounts shown are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Secunties Bought 0 00 0 OD Secirties thug Itt -5.358.23 -36.823.21
Total Securities $0.00 $0.00 Total !lilts -85,368.23 -136,823.21
Seal
Dividends and Interest $6,024.50 $43.22278 Dividends and Interest $0.00 9.00
Cash Cash
Withdrawals 0.00 0.00 Withdrawals -2,000,000.00 -21,269,397.60
Deposits 0 00 2.294.421.97 Deposits 0.00 0.00
Total Cash $0.00 $2,294,421.97 Total Cash -12,000,000.00 .$2t,269,397.60
FDIC Insured Bank Deposits $0.00 146,246,022.60 FDIC Insured Bank Deposits $0.00 -12,098,022.16
Money Market Funds $2,000,000.00 17,000,000.00 Money Market Funds •$666.27 -532,179,424.36
Total Credits 12,006,024.60 05,583467.36 Total Debits .$2,006,024.50 .$55,683,661.35
Transactions by Type of Activity
Process
Settlement
Date Activity Type Description OsanUty Price Attain Imbued Moist Wrrenq
Securities Bought and Sold
07101114 REINVEST CAS1- INCOME "MORGAN FLOATING RATE INCOME FUND SELECT SHARES 529.993 -5,358.23 USD
,PHSX 157595 1310 9-RS SHRS MACH AT 51011000 RD 06127
PO 07101114
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 .5,3511.23
Dividends and Interest
07101114 CAST DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 5,358.23 LSD
PH SX 157595.1310 SHRS RD 06127 PD 0710111/
07/31/14 MONEY MARKET FL.ND DWS GOV; CASH INSTL 666.27 LSD
INCOME RECEIVED
233993682
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 6,024.60
Page 5 of 8
L Ac E cou R n S t N IN u C m C ber ON F I D G r o p i a S pe c rle r s i s A L r R D t x v A a e t eL e r O y d n A V t u o R o c tR n o eA l L l r o T a n E t l D i e C 2 O 0 M 07 M UNCATIONS .a.ltn= k4c = =" ..0c -='
SDNY_GM_00047446
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e)PE OB-SDNY-0010270
EFIA_00158055
EFTA01290176

Transactions by Type of Activity (continued)
Process/
Settlement
Date Adivity Type Description Quantity Price Accrued leterest Moult Currency
Cash Withdrawals and Deposits
07/16114 FEDERAL FL NOS SENT DEL TSChE DANK TRUST -2,000,00000 LSD
US0999997
Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 -2,000,000.00
Money Market Funds
07/16114 MONEY FUND REDEMPTION DWSGOVT CAST INSTL 2D00,000 00 LS)
USD999997
07/31/14 MONEY MARKET FLND DNS GOVT CASH INSTL INCOME REINVESTED -66627 LSO
REINVESTMENT
233993682
Total Money Market Funds • UNITED STATES DOLLAR 0.00 1,999,333.73
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
TA& SMITH Telephone Number:
345 PAR( AVE'', LE 14TH FLOOR
NEWYORK NY 10151
Your Account Information
Tax Lot Default Disposition Method
Default M ethod for Mutual Funds: FIRST IN FIRST OLT
Default M ethod for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Stailitit$: FIRST IN FIRST OUT
Electronic Delivery
You have not selected any account cam 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 intone ation.
Important Information and Disclosures
Pricing
This section indudes the net market value of the securities in your account on a settlement date basis, including short positions, at the 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 AS OF PRICE DATE ONLY APPEARS MIEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any tine,
Page 6 of 8
Account Num her Go paperless tn. , yes siacaota
USAN ROIL LEPERS INCC ONFIDEISITIAL DALB t A L R I R N AT E C D C ? O MMUNCAUDIVS
SDNY_GM_00047447
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010271
EFTA_DO 158056
EFTA01290177

Gnaw* Ram r. n. Wealth Manip-nait
Mats teeny GW‘P
Dettsag la* Sewn.
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HI Pan Ramo. 160. I bet
Nervier\ 7tt 10114
eA.74$11. OM) 70109f
Statement Period:0710112114 • 07/3112014
Important Information and Disclosures (continued)
Estimated Annual Figures (continued)
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.corn/business_continuity.htiri for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income. Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whin 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 wring 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 Lyon 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 sight 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 Clammy 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.
The Role of Pershing
• Pershing carries your account as cleating broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (iany 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 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 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
Page? of 8
} Pt. ir L A E cc P o E u R n S t N IN u C m c ber o NiFo G r o a pap r er b les k s L4-'2; F R be a re a te ray m d V t n a m s c R . e S l Ao le i T n r E i c g D i e C 2 O 0 M 07 M UNCATIONS "mar. MC mamas. /MA. Ivrea. •••C
SDNY_GM_00047448
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010272
EFrA_00 158057
EFTA01290178

Important Information and Disclosures (continued)
The Role of Pershing (continued)
provides coverage in excess of SIPC limits. For more detailed information please visit: vAwrpershing.comistrength_stabilityltml.
• 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 Ned.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very finned.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators wit typically include a wino* 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 arbrtration, 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 ercompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330.
P494808
Account Num bet GO paperless R Ev a e te n d t Y ta e a a ll r o S n i i v a 2007
MIAB MOLL LEPERS INCC ON FIDAE. NTIAL DrxAeLr OtuArRn RsAeTr CD COMMUNICATIONS — AC meow 011•... Wet —c
SDNY_GM_00047449
CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) OB-SDNY-0010273
EFrA_00158058
EFTA01290179

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Penis Caret.i t 4.0.4
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PA Os 1778, ElpleenooMDPIXO Hann A,. Mu btoet
Nerre stn hY 10114
01))4:4.7010.11111)71.4091
Account Number:
Statement Period: 06011914 - 0613012114
Valuation at a Glance
This Period Year-t-oDate
JEEPERS INC Beginning Account Value $31,709,110.42 246,708,281.11
6100 RED HOOK QUARTER B3 Net Cash Deposits and Wiihdrawals •2.944,36269 46,974875.63
Adjusted Previous Account Value 28,784,747.73 28,733,286.48
ST THOMAS VI 00802
Dividends. Interest and Other Income 5.721.21 31,198.28
Net Chan in Portfolio 1,575 96 1,561.11
Acting Account Value 2 8 772 044 9 0 2 8 7 7 2 C. .1 90
Eslimated Annual Income 570 032 11
Your Client Advisor:
TAZIA SMITH
Asset Allocation
Prior Year-bad Lai Period This Period % Antiphon
USD Cash. Money Funds. and Bank Deposits 11,118,000.42 30,122,126.69 27,178,758.09 91.16% e Omar: allooaAr my [-c .cles
o'oo.cts :na: are of oost ye vale
USD Axed Income 1.560.260,69 1.586.683 73 1.593.286 81 5,51%
Account Total (Pie Chart) 815,708,261.11 131,709,110.12 528,772,011.90 100.00%
Seepage 2 of Misstatement for important information regarcing me Asset Ahocatox sector
Page 1 of 10
listed facellordi
DRAB lion C B0 O 097.10 N 7CSP3 F 0022 l D GO r I p T ape N rles A s L r L Dx y Ae o L n sB , uA Y rl e tn R a e r A s rT i n E c D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00047450
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010274
EFTA_00158059
EFTA01290180

Asset Allocation Disclosure and Footnotes
Fixed Income contains Fixed Income Mutual Funds
Summary of Gains and Losses
Realized
This Period Tear.to-Date Unrealized
Sr olt.Term GaintLoss 0.00 0.00 201.82
Long-Term Gain/Loss 0.00 0.00 5185.00
Met Gain/Lou 0.00 0.00 8,188.82
This summary excludes transactions where cost basis intumation is not available.
Money Market Fund Detail
Date Activity Type Daription Amount Balance
Sweep Money Market Fund
(MS GOVERN M ENT CASH INSil
Account hum bei. 0000001491 Cuirent Yield 0.03% Activily Ending: 06/30114
05131114 Opening Balance 30,122,426.69 30,122,426 69
06111/14 Withdrawal MONEY FUND REDEMPTION -3,000,000.00 27,122,426 69
06118/14 Deposit MONEY FUND PURCHASE 55,637.31 27,178,064 00
08130/14 Deposit INCOME REINVEST 694.09 27.178.758.09
08130114 Closing Balance $27,170,758.09
Total All Money Market Funds 827,170,768.09
Income and Expense Summary
Current Period Yearici-Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Money Market 694 09 0.00 1.681 10 0.00
Other Dividends 5.027 12 0.00 31.46418 0.00
Interest Income
FDIC Insured Bank Deports 0.00 0.00 4.052 20 0.00
Total Dividends, Interest, Income and Expenses 31,721.21 30.00 837,198.28 80.00
Page 2 of 10
ORA ROL L A E c P co E u R n S t N IN u C C m ber: ONFID Go E pa V perl r ee i e A D E r v x v Ae . e n . Uu , M V [ m m e .m R . a .• Ae n S r s T i n n i t l e C 2 O 0 M 07 M UMCATOONS
SDNY_GM_00047451
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010275
EFrA_00158060
EFTA01290181

(*also* Mn. eo..r wrYn
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Des-01.4 lam '<woes mc
Mrs b.eyt. 011k•
341P anAmmo. Ita I ter
Neve RA 1W 10114
01/14:441114. 1.15178•4,91,
Statement Period: 0 610 112 114 • 06/3012014
Portfolio Holdings
Axount Activity Opening posing Accrued Income 30.0ay Carrot
Opening Date Quantity 'lumber Bldg Balance Balance Income Ibis Year Yield Yield
Cash, Money Funds, and Bank Deposits 9 4.0 0% of Portfolio
Money Market
DWS GOVERN M ENT CASH INSTL
05131114 27,178358.090 0000001491 0600114 30,122,426.69 27,178.758.09 0.00 1,691.10 0.03% 0.03%
Total Money Market $30,122,426.69 521,118,768.09 10.00 $1,881.10
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
05131114 N46024935 06130114 0.00 0.00 0.00 4152.20 NIA N/A
Total FDIC Insured Bank Deposits 10.00 10.00 10.00 $4,062.20
Total CS, Money Funds, and Bank Deposits $30,122,426.69 127,178,768.09 10.00 $6,733.30
Unrealized Estimated Estimated
Date AWaired Quantity Unit Cod Cod Bads Market Price Market Value Gaird Loss Annual Income Yield
Mutual Funds 6.00% of Portfolio
P MORGAN FLOATING RATE IN COME FUND Security Identl0er: .PHSX
SELECT SPARES CUSIR 461211510
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
0211311313 148.957.299 10.0700 1100.000.00 10.1100 1,505,958.30 5.958.30 60,771.57 4.03%
0310111313 533.041 10.0600 5,362.46 10.1100 5,389.10 2164 217.48 4.03%
0410111313 591.454 10.1100 5,97911 10.1100 5,979.61 0.00 241.31 4.03%
0510111313 562.992 10 1300 5,703.11 10.1100 5,691.84 -11.27 229.70 4.03%
0610311313 567.343 10.0900 5,724.50 10.1100 5,735.83 11.33 231.48 4.03%
0710111313 500.501 9.9700 4,990.00 10.1100 5,060.07 70.07 204.20 4.03%
0810111313 527.827 10.0600 5,309.94 10.1100 5,336.33 26.39 215.35 4.03%
0910311313 531.248 10.0300 5,328.42 10.1100 5,310.92 42.50 216.75 4.03%
Reinvedm eats to 4,823.423 10.0910 48,701.95 10.1100 48,784.81 62.86 1,987.97 4.03%
Date
Total Covered 167,596.134 1 517 099.99 1,593,28811 8,186.82 64,298.81
Total 167,696.134 $1,687,099.99 11,613,288.01 $6,166.82 $64,298.81
Total Mutual Funds $1,687,099.90 $1,593,286.81 $6,116.82 $64,298.81
Page 3 of 10
Account Number: Plated Caroller.
DRAB Div 6 .F ( . e EP ) E RS INC C ONFID G E o p E ape r rl r es i s A ( D v A e L r y O A A V RR e a R R l A , A L T. e E e D r C Z O 0 M 07 M UN CATIONS P-ne.L.c p S e D n. N s Y rc _ GM_00047452
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. OB-SDNY-0010276
EFTA_00158061
EFTA01290182

Portfolio Holdings (continued)
Brutalized Acaued Estimated
Cod Basis Market Valor Bald Loss Interest Maud Income
Total Portfolio Holdings $28,765,055.08 020,772,044.90 16,186.52 10.00 170,032.11
Footnotes
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 des. 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 1099-8 for the applicable tax year in which the secumy is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stod 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.
13 The cost basis of this security has been provided to us by the delivering fern or transfening agent and Pershing makes no representation as to the accuracy of this information.
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 httpslAwnv.dws-investments.corn/ENIproductsrinoney.marketfundslields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Please note that the follovnng language supersedes previous versions of our disclosure. Pershing's Impartial Lottery Process: Partial Calls:
Pershing's Impartial Lottery Process: Partial Calls
When a security is subject to a partial redemption, pursuant to New York Stock Exchange (NYSE) Rule 402.30, which has been 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.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 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 cared securities, Pershing conducts a similar, coniputer-generated random lottery. The lottery detenrines 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 =125,000):
Page 4 of 10
Oent, it01 A $E cc P o E u R n S t N IN u C m ber. GO paperless R rD L x v A a e a t L e r Or y d t A m Y e R x e s c R w e eA ll S r e T i n E n t c D , e C 2 O 0 M 07 M UNICATIONS .e.tr.eAliaa l"ireatirient•entrererennOSSele.
SDNY_GM_00047453
CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) C NI F I D ASSITii °k OB-SDNY-0010277
EFrA_00 158062
EFTA01290183

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01/14:441114.111517.14TS
Statement Period: 0 610 112 114 • 06/3012014
M essa • es
(continued)
Client Account: ABC-123234; Par Value: $100,000; Number of Trading Units: 4
Client Account: DEF-325465; Par Value: $75,000; Number of Trading Units: 3
Client Account: EDR-567433; Par Value: $150,000; Number of Trading Units: 6
Client Account: EGT-876574; Par Value: $60.000, Number of Trading Units: 2
Client Account: EGT-888345; Par Value: $25,000; Number of Trading Units: I
Client Account: FRT-435234; Par Value: $25,000; Number of Trading Units: 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-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 alocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not
have any securities selected for redemption at al.
When a partial cal is deemed favorable to the holders of the called security, Pershing wit exclude certain accounts from the lottery. Excluded accounts wit include Pershing's proprietary and employee accounts,
as well as proprietary and employee accounts of introducing broker-dealers (if Pershing carries and dears 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 wit not exclude any accounts from the lottery.
If the partial call is made at a price above the current market price as captured in Pershing's price reporting system, Pershing will generally categorize the partial cal as one that is favorable to the holders of such
security. If the partial call is made at a price that is equal to or below the current market price of the security as captured in Pershing's price reporting system. Pershing will generally categorize that call as one
that is unfavorable to holders of the security.
Clients have the right to withdraw uncalled, fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial cal.
Clients also have the right to withdraw excess margin securities, provided that the client account is not subject to restriction under Regulation T or that such withdrawal wit not cause an under-margined condition.
Page 5 of 10
Account Number Rated excellent,
MtAt1 MOLL SEPERS INCC ON F I D Go r W paper r le I s A s L U DrxA m aLr " Bt . mA Y Rs e a Ra r Ae L rT A E O D , C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00047454
CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) OB-SDNY-0010278
EFrA_00158063
EFTA01290184

Activity Sum m ary (AU amounts shown are in base currency)
Credits This Period Year-to-Date Debits Ibis Period Year-to-Date
Securities Securities
Securthes Bought 0.00 1 C Securities Bought 4,027.12 .31,461.98
Total St011ititS $0.00 $0.00 Total StalfltIOS 46,027.12 431,181.00
Dividends and Interest $5,721.21 $37.198.2$ Dividends and Interest $0.00 $0.00
Cash Cash
Withdrawals 0.00 0.00 Withdrawals -3 000 000 00 .19.269,397.60
Deposits 55,637.31 2.294 421.97 Deposits 000 0.00
Total Cash 655,837.31 62,294,121.97 Total Cash -$3,000,000.00 411,289,397.80
FDIC Insured Bank Deposits $0.00 $48,216,022.60 FDIC Insured Bank Deposits $0.00 42,098,022.18
Money Market Funds $3,000,000.00 $5,000,000.00 Money Market Funds 456,331.10 432,170,758.09
Total Credits $3,061,358.52 153,571,642.85 Total Debits 43,081,358.52 453,677112.85
Transactions by Type of Activity
Procest
Settlement
M AthvydTp Us Ch Price Accrued literW Mount Currenry
Securities Bought and Sold
36102:1S PElh VEST CASH INCOME ?MORGAN ROAMS RATE INCOME FUND SELECT SHARES 497.735 -5 021 12 USO
PrISX 157091.3990 SIRS SIRS PORCH. AT $10.10000 RD 05/29
PD 0610211/
Total Securities Bought and Sold - UNITED STATES DOUAR 0.00 -5,027.12
Dividends and Interest
06102114 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 5027.12 L SO
SX 157097.3990 SIRS RD 05129 PD 0610211/
0813011/ MONEY MARKET FUND DWS GOUT CASh INSTL 591.09 LSO
INCOME RECEIVED
233993682
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 5,721.21
Cash Withdrawals and Deposits
08/11/14 FEDERAL RADS SENT DEUTSCHE BANK TRUST 4,000,000.00 USD
USD999997
0611711/ FEDERAL RADS RECEIVED P MORGAN CHASE BANK 23793 55,637.31 USD
USD999997
Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 -2,911,362.69
Page 6010
liftAll V. I L A E c P co E u R n S t N IN u C m C ber: O NFI D G E o p E ape r r r le i s A s D R L rx o a Ae w te sU y d tu M V t r a t s .r c Ra * o . Ae l Y l rT o a E n D w i C Z O 0 M 07 M UNICATIONS r Vo ig u ta ne . u "" A Z a to vo rr i r rm ea L t oom W if M ne'ea . i O ta M ie rr ati
SDNY_GM_00047455
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010279
EFrAixii 58064
EFTA01290185

Orulsre Pep Pn.air. Weida &Waren
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War wet PT 10114
4:44414. WWI MCP%
Statement Period: 0610112114 -0613012114
Transactions by Type of Activity (continued)
Protest/
Settlement
Date Activity Type Description Quantity Price Accrued Interest Amount Correnry
Money Market Funds
06/11/14 MONEY FUND REDEMPTION DWSGOVT CASI• 3.000.000.00 USD
US0999997
06/18114 MONEY FUND PURCHASE DWS GOV'T CASE! INS% .55.837.31 LSD
USD999997
06130114 MONEY MARKET FUND DWSGOVT CASI• ma INCOME REINVF_STED -694.09 LSO
REIN VESTM ENT
233993682
Total Money Market Funds - UNITED STATES DOLLAR 0.00 2,943,668.60
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:
345 PARK AMEN LE 14TH FLOOR
KEW YORK NY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IA FIRST OLT
Default Method for Stocks In a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OLT
Electronic Delivery
You have not selected any account corn m unications for electronic dehvery. To register and turn off paper communications, b0 in to your account or contact your Client Advisor for more inform anon.
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
Page? of 10
Account Number .Reaeteryd tacellenti
tient, ROLL LEPERS INC GO PaPerless be A ery Va P n A S T i E nc O e C 2 O 0 M 07 M TIONS
I\JFIDENTI,6,1: -
SDNY_GM_00047456
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CO 0LBAR UNICA DB-SDNY-0010280
EFTA_00158065
EFTA01290186

Important Information and Disclosures (continued)
Pricing (continued)
not available are marked —N/A" and are cr-itted 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
mwe.pershing.convtusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the lime of execution and the name of the person from
whom your security was purchased. may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing frim. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional intonation regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margn Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified horn customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction. incurred a charge. or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents
use.
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 (u) 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 cum operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where appicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. AI other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance. but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: vnimpershing.cornistrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized Kadin), 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.
Page 8 off0
Account kum ben Rated tscollerdi
.(>1% LEPERS INC Go paperless L O v A e L ry B V Al . l . R . o W a o m os C 2 O 0 M 07 M UNCATIONS
CON FIDAENTIAL rxenur NCI
SON Y_GM_00047457
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010281
EFrA_OO158O66
EFTA01290187

Gnaw* 0i, oonin 'Ansa n Mamie-wan
Mateets Coterie4p.. p
Des-11O* Y. Sew nes Lac.
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HI Pan Annet 16th I Vs
Y,4'lot n10114
4:44414. mu 78114MS
Statement Period: 06/0112014 • 06/30/2014
Important Information and Disclosures (continued)
The Role of Pershing (continued)
• 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 patty's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award. unless. in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators wit typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The 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.
Pap 9 el 10
Account Number: 'Rabid [APIS.
Go paperless beery Year Since 2'007
$EPERS INCC ONFIDenTriA Oman nRA T O, COmmuNCA TiONS
SDNY_GM_00047458
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) OB-SDNY-0010282
EFrA_00158067
EFTA01290188

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. LMAOFS. RULINGS AND TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, IF ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATION& 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. VAMN.PERSHINC3 COMNUSINESS_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 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 IA 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. RE PERMANENT EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR PAYMENT.
INSPECTION UPON REQUEST. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
TAX INFORMATION FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE-
COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS.
• AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN
REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED
PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY
STATEMENT TO PREPARE YOUR TAX FILINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. WHICH ORDERS ARE AUTOMATICALLY ROWED 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 II IE 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 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 OPERSHING') FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME, WITHOUT TENDER,
DEMAND OR NOTICE TO YOU. CLOSE CR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR
PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS:
ANY BALANCE REMAIMNG DUE PERSHING TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR
YOUR ACCOUNT ARE OR MAY BE, WITHOUT FURTHER NOTICE TO YOU, LOANED OR PLEDGED BY
PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE
COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR
GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT
PROHIBITED 8Y LAW.
IF ANY OF TIE ABOVE TERMS AND CONDITIONS ARE UNACCEPTABLE TO YOU, FtEASE NOTIFY PERSHING IMMEDIATELY IV WRITING BY CERTFIED MAL 10 OM MMHGPLAZA. JERSEY OW. NJ WM. ATM LEGAL OM
Page10010
108A13 MOLL L A E c P oa E u R n S l N IN u C m C Der ONFID G E o p i a S pe M rless A L R rD L x v A s e aL d r Bl y u A V E nR x s s R c . e e A S l rT b i E n ri c D l e C 2 O 0 M 07 M UNICATIONS riZi.....-rjratrar ciavtit"
SDNY_GM_00047459
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10283
EFTA_0015£1068
EFTA01290189

bylsre Ram • r file WI' 411i Ma nal untot
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rilliet1776.blieren1.02i203 Na PIA Asereet MTh I to
New** VI 10114
03)1454.71114.11M17144,9%
Account Number:
Statement Period: 05/0112114 • 15/3112114
Valuation at a Glance this Period Year-to-Date
JEEPERS INC Beginning Account Value $33,700,193.75 $16,708,211.11
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals -2.000,000.00 44,030812.94
ST THOMAS VI 00802 Adjusted Previous Account Value 31,700,193.75 31,177,111.17
Dividends, Interest and Other Income 5.474.72 31,177.07
het Change in Portfolio 3.141 95 -11.82
nding Account Value S31 7C9 1'0 2.2 S31 7C9 "1 42
fain aced Annual Incom e 569 134 94
Your Client Advisor:
TAZIA SIAID1
Asset Allocation Nor Year-End lad Period This Period 11 Allocatioe
1,30 Cash. Money Funds and Bank Depose 44,148,000A2 32,121,650.91 30,122,426.69 95.00% e Cart alloceo- only rc ixles
yoO..cts ::13; are of post ye vane
USD Fixed Income 1.560.260.69 1.578.842.84 1.586.613.73 5.00%
Account Total (Pie Chart) $45,708,261.11 $33,700,193.75 131,709,110.12 100.00%
See page 2 of the statement (or important tnlormaton renaming the Asset Aaccatan section.
Page 1 of?
e t :, Mod tacelloni
108A11 Mt>I A01O0131CSP30016 GO paperless t very Year Since 2007 •-•-eoet —o-monne•xxe
CONF IDEFiriA rcrertLiNReAr °c°mmuNicaTials
SDNY_GM_00047460
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010284
EFTA_00158069
EFTA01290190

Asset Allocation Disclosure and Footnotes
Fixed Income contains Fixed Income Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short-Term Gain/Loss 0.00 0.00 113.65
Long-Term Gain/Loss 0.00 0.00 1,167.21
Net Gain/Lou 0.00 0.00 01016
This summary excludes transactions where cost basis information is not available.
Money Market Fund Detail
Date Activity Type Desaiption Amount [Sabine
Sweep Money Market Fund
0 W S GOVERNMENT CASH I NSTL
Account Number: 0000001491 Current Yield: 0.03% Activits Ending: 05/30111
0510111/ Opening Balance 32,121,650.91 32.121.65011
0510611/ Withdrawal MONEY FIND REDEMPTION -2,000.000.00 30,121,650.91
05130/11 Deposit INCOME REINVEST 775.76 30.122.426.69
0513011/ Closing Balance 130,122,426.69
Total All Money Market Funds $30,122,426.69
Income and Expense Summary
Current Period Year-to-Date
Taxable Nos Taxable Taxable Noe Taxable
Dividend Income
Money Market 775 78 0.00 987.01 0.00
Other Dividends 4.698 94 0.00 26.137 66 0.00
Interest Income
FDIC Insured Bank Deposits 0 00 0.00 1.052.20 0.00
Total Dividends, Interest, Income and Expenses 65,174.72 00.00 $31,477.07 $0.00
Page 2 of?
Account Number: Go paperless e k Rated Excell ent
OftAkl ROL L LEPERS INCC ONFIDEVriA r L LxA yo eM n m , A • R • m •• R • e • A S rT i v E a D C 2 O 0 M 07 M UMCATIONS
SDNY_GM_00047461
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010 285
EFTA_00 158070
EFTA01290191

Destinegra Ponle V./.40•14.1111.-N.
MYfOC.NrNYf„0.p
°Muhl Sank Stivnes,N
New
SO Put Ass. INNINSr
Ns** NY 1011.4
Up/ 491.7119L in ,811N1!
Statement Period: 0610112114 • 05/3112014
Portfolio Holdings
Account Activity Opening Closing Accrued Income 30-Day Carrot
Opening Date Quantity Number Ending Balance Balsam Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 95.00% of Portfolio
Money Market
DWS GOVERNMENT CASH INSTL
05101114 30,122,426.690 0000001491 05130/11 32,121,650.91 30,122,426.69 21.76 987 01 0.03% 0.03%
Total Money Market $32,121,660.91 $30,122,426.69 124.76 $987.01
FDIC Insured Bank Depodts
INSURED DEPOSITS PROGRAM
0510111/ N16024935 0513011/ 0.00 0.00 0.00 4,052.20 NM NM
Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $1,052.20
Total Cash, Money Funds, and Bank Deposits $32,121,660.91 130,122,426.69 124.76 $5,039.21
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cod Cod Basis Market Price Market Value Gall Loss Annual Income Yield
Mutual Funds 5.00% of Portfolio
P MORGAN FLOATING RATE IN COME FUND Security Identifier: DHSS
SELECT SPARES CUSIP 481211510
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
0211311313 148.957.299 10.0700 1,500,000.00 10.1000 1,504.468.71 4,468.71 60,774.57 4.03%
0310111313 533.041 10.0600 5,362.46 10.1000 5,383.78 21.32 217.48 4.03%
0410111313 591.454 10.1100 5,979.61 10.1000 5,973.69 4.92 241.31 4.03%
0510111313 562.992 10 1300 5,703.11 10.1000 5.686.21 -16.90 229.70 4.03%
0610311313 567.343 10.0900 5,724.50 10.1000 5,730.17 5.67 231.48 4.03%
0710111313 500.501 9.9700 4,990.00 10.1000 5,055.06 65.06 204.20 4.03%
0810111313 527.827 10.0600 5,309.94 10.1000 5,331.05 21.11 215.35 4.03%
0910311313 531.248 10.0300 5,328.42 10.1000 5,365.61 37.19 216.75 4.03%
Reinvestments to 4,325.688 10.0970 43,674.83 10.1000 43,689.45 14.62 1,764.89 4.03%
Date
Total Covered 157,097.391 1,582,072.87 1,588,883.73 4,610.68 64,095.73
Total 10,00.3911 $1,582,072.87 $1,616,183.13 $4,610.86 $64,095.73
Total Mutual Funds $1,582,072.87 $1,586,683.73 $4,610.66 161,095.73
Page3 oil
OMAN Lek L A E cc P o E u R n S t N IN u C m bar FoGnoc parprerileAss L R D (v A a e b L r i O y d A Y e R a e R c a e r A l S l T o i E n v D i a C 2 O 0 M 07 M UNICATIONS .11::LtrrZtr.3,
CON VXCILL NCI
SDNY_GM_00047462
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010286
EFTA_00 I 58071
EFTA01290192

Portfolio Holdings
(continued)
Unrealized Maned Estimated
Cost Basis Markel Value Gaialloss Interest Annual Income
Total Portfolio Holdings $31,704,199.56 431,709,110.42 14,610.86 $0.00 169,134.94
Footnotes
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 securnies which have been acquired
on or after their 'applicable datersr at which they are subject to the cost basis reporting rules and the adjusted basis vAl be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as foams:
• Stock in a corporation acquired on or after January 1. 2011
• Mutual funds and dividend reinvestment plan (0RP) shares acquired on or after January 1, 2012
• Cher securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
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 intonation.
Messages
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC)
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:/rinviv.dws-investments.conEtifproductsimoneynarket-funds-rields.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 products 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
Secunties Bought 0 00 0 00 Securities Bought .4 698 94 -26.437.86
Total Securities 10.00 10.00 Total Securities -14,698.94 -426,437.86
Dividends and Interest $5,474.72 $31,477.07 Dividends and Interest $0.00 $0.00
Cash Cash
Withdrawals 0.00 0.00 Withdrawals -2.000.000.00 .16.269.397 60
Deposits 0 00 2.238.784.66 Deposits 0 00 0 00
Total Cash $0.00 $2,238,784.86 Total Cash -12,000,000.00 -416,269,397.60
FOIC Insured Bank Deposits 10.00 4-W218,022M FDIC Insured Bank Deposits WOO -42,098,022.18
Money Market Funds 12,000,000.00 42,000,000.00 Money Market Funds -4775.78 -432,122,426.69
Total Credits 42,005,471.72 150,516,284.33 Total Debits -42,005,471.72 -450,516,284.33
Page 4 of 7
IIKONN eon L A E cc P o E u R n S t N IN u C m C ber ON FID G AE o p N ape T rle I ss A L R ( rO v x a A e e t L e r sB y d aA v t rR o t « r o Ra . - eA S S rT Y i n E S c D e C 2 O 0 M 07 M UNICATKIHS :term... " •. --
SDNY GM 00047463
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10287
EFTA_00 158072
EFTA01290193

(*shoe Ban, Pnwe Wean •Aragenmt
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Il VI 4914,111. OM) 70109.1
Statement Period: 0510112814 • 05/3112014
Transactions by Type of Activity
Process/
Settlement
Date Activit T Description Quantity Price Accrued Interest Amount Curren
Securities Bought and Sold
05101/14 REINVEST CASH INCOME "MORGAN FLOATING RATE INCOME RAD SELECT SHARES 468.165 -.698.94 LSD
$1- SX 156631.2340 SHRS SHRS PURCH. AT 510.08000 RD 04129
PD 05101114
Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -1,890.91
Dividends and Interest
05/01/14 CASH DIVIDEND RECEIVED P M ORGAN FLOATING RATE INCOM E RAD SELECT SHARES 4.698.94 LSD
.PHSX 156631.2340 SHRS RD 04129 PD 05101/14
05130114 MONEY MARKET FUND DWSGOVT CASH INSTL 775.78 LSO
INCOME RECEIVED
233993682
Total Dividends and interest • UNITED STATES DOLLAR 0.00 5,474.72
Cash Withdrawals and Deposits
05106/14 FEDERAL FL NOS SENT DEUTSCHEBANK TRUST .2,000,000.00 LSO
USD999997
Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 -2,000,000.00
Money Market Funds
05106114 MONEY FUND REDEMPTION DWSGOVT CASH 'NUL 2.00Q000 00 LSD
USD999997
05130114 MONEY MARKET FUND DWSGOVT CASH INSTL INCOME REINVESTED -775.78 LSO
REINVESTMENT
233993682
Total N oney Market Funds- UNITED STATES DOLLAR 0.00 1,999,224.22
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
TA7JA SMITH Telephone Number:
345 PARK AVEN LE 14Th FLOOR
KEY/YORK KY 10154
Page5of7
Account Nun ber Rated tocollorigi
OBA0 ROLL LEPERS INCC ON F I GO paperless L ( r 0 v x A e e L r s B y t A V Li l r s l N M . C U S I i D nc e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00047464
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010288
EFTA_00 158073
EFTA01290194

Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST Ile FIRST OUT
Default Method for Stocks In a Dividend Reinvestment Plan: FIRST lk FIRST OUT
Default Method for all Other Securities: FIRST Ik FIRST OUT
Electronic Delivery
You have not selected any account com m unications for electronic delivery. To register and turn off paper con in unications, log in to your account or contact your Client Advisor for more inform alien.
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 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 There your position was purchased as the 'Market Price.' Securities for which a price is
not available axe 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
ynwr.pershing.cormbusiness_continuity.htrni for specific deeds as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income. Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wit
not receive confirmation of these reinvestments. Upon wntten 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 wfding 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. notated a charge, or received a credit. Transactions converted by agents (such as depositories) wit be billed at the rates such agents
use.
The Role of Pershing
• Pershing caries your account as cleating broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (n) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hoed Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing penorms several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it dnectiy or through your financial institution or that it
receives as the result of securities transactions it processes.
Paged off
IIRAV E A E cc R o E u R n S t N IN u C m c ber o NFor(swo parpie,rle°ssk L R ( C v a e A te r L y d M V to a . c R e n A l l S e T i n a I t O m i C 2 O 0 M 07 M UNICATIONS 071.....7== w = in s • r C =
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SDNY_GM_00047485
CONFIDENTIAL - PURSUANT TO FED. R CRIN't P. 6(e) OB-SDNY-0010289
EFrA_00 I 58074
EFTA01290195

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Statement Period: 0510112014 • 0513112014
Important Information and Disclosures (continued)
The Role of Pershing (continued)
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its aim operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where appbcable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413.3333. Al other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: vAwrpershing.cornistrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing. Within ten days after receipt
of this statement. Please be advised that any oral communication should be 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 Si can, including the right to a trial by pry, 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 vii typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330.
Page ? of ?
Account Number:
DOAN lit0 11 LEPERS INCC ONFID GO r pa iT per r le i s A s Dr li x v Ae e L r r B y tu A Y rRn e R a a r Ae Tr ED C 2 O 0 M 07 N IUMCATIONS
SDNY_GM_00047466
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010290
EFTA_0015 8O75
EFTA01290196

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Account Num ber:
Statement Period: 0410112014 -1413012114
Valuation at a Glance
This Period Year•to.Data
JEEPERS INC Beginning Account Value $36,964,156.49 $46,708861.11
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals .3,255,34219 .12,030,612.94
ST THOMAS VI 00802 Adjusted Previous Account Value 33,611813.60 33,677,646.17
Dividends. Interest and Other Income 6,319.19 26,002.35
et Chan e in Portfolio -4.698 94 .3 156 77
ncling Account Value $33 700 4 9 3.7 5 $33,700,49315
Estmated Annual Income S69.10.8
Your Client Advisor:
TAZIA SMIDi
Asset Allocation
Prior Year-Tad Lad Period This Period % Allocation
USD Cash. Money Funds. and Bank Depoals1 44,148,000.42 35,375,788.72 32,121 650 9t 95.32% ■ F e Crrart allocation only includes
pros -cts that are of poldive yak*.
USD Axed Income 1.560.260.69 1,578,389.77 1.578.842 84 4.68%
Account Total (Pie Chart) $45,708,261.11 $36,954,156.49 $33,700,493.75 100.00%
I The Bank Deposes In your account are FDIC Insured bank deposits.
FDIC insured bank deposits are rot securities and are not covered by the Securer's Investor Protection Corporation
(SIPC) These bank deposes are covered by the Federal Depose Insurance Corporatfon (FDIC), up to alknvable
See page 2 of the statement for important informaton regardng the Asset Alrocatch section.
Pees sof 9
papedess 4 .,„ RIPOnd I ...tient iinSpienuoin Only • •1600. awed enabling
800976V/CSF39016 Co Sty., YearS In A Rein
DAWN* RATED OMMUNICAT1ONS
CON FIDENTIAL:'''''
SDNY_GM_00O47467
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010291
EFTA_00158076
EFTA01290197

Asset Allocation Disclosure and Footnotes
Fixed Income contains Fixed Income Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year•to•Date Unrealized
Short•Term Gain/Loss 0.00 0 00 1351
Long•Term Gal&Loss 0.00 0 00 1 482 48
Net GaIn/Loss 0.00 0.00 1,468.91
This summary excludes transactions where cost basis information is not available.
Money Market Fund Detail
Oate Activity Type Deuription Amount Balance
Sweep Money Market Fund
owS GOVERNMENT CASH IN STI.
Account Number: 0000001491 Current Yield 0.03% Activity Ending: 04130(14
04101/14 Opening Balance 0.00 0.00
04123/14 Deposit MONEY FIND FURCHASE 32,121,439.61 32,121,439.68
04130/14 Deposit INCOME REIN VEST 211.23 32.121.650.91
04130114 Closing Balance 132,121,850.91
Total All Money Market Funds 132,121,650.91
FDIC Insured Bank Deposits
Date Activity Type Desaiption Amount Balance
Other FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: NIG024935 Activity Ending: 04130/14
04101/14 Opening Balance 35,375,766.72 35,375,766.72
04111/14 Withdrawal WITHDRAWAL -3,400,000.00 31,975,766.72
04115/14 Owed INTEREST CREDITED 858.28 31,976,825.00
APY 0.03%
04/16114 Associated Bank NA 31,976,625.00
NO 04/16 $250000.00
BB&T
NO 04/16 $250000.00
Bank of America
NO 04/16 5250000.00
Citibank NA.
NO 04/16 $250000.00
Deutsche Bank Trst Co
Page2 of 9
E.*09/657CSF30016 FIIIAlt Lir L A E c P co E u R n S t N IN u C m C ber ONFIDAE• • • p N a • p I e CT rha I ss A L L ~ E S X A Ve C v W . IE a.. U , : . R M A t W s T ', E I n D A C R O e M m M UNICAT1ONS OINI•lbell•••411R01.1•-1. "a. • ins. ••••••••....s.,
SDNY_GM_00047468
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010292
EFTA_00 158077
EFTA01290198

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Statement Period:0410112114 • 04/3012014
FDIC Insured Bank Deposits (continued)
Date Activity Type Description Amount Balance
Other FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (cortirued)
NO 04116 529726625.
East West Bank
NO 04116 5250000.00
NY Corn m unity Bank
NO 04116 $250000.00
Texas Capital Bank
NO 04116 $250000.00
TnState Capital Bank
NO 04118 $250000.00
Com enity Bank
NO 04116 $250000.00
04122114 Withdrawal WITHDRAWAL -31 976.782 67 -157.67
04122114 Depoti1 INTEREST POSTED 157.67 0.00
04130/14 Closing Balance $0.00
Total FDIC Insured Bank Deposits $0.00
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC) The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to $250,000 for each category of legal ovmership including individual retirement accounts and certain other self directed retirement accounts. Please review this m connection with other
deposits you may have at each respective bank.
Income and Expense Summary
Current Period Year-to-Dale
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Money Market 211.23 0 00 211.23 0 00
Other Dividends 5,152.01 000 21,731.92 000
Interest Income
FDIC Insured Bank Depot* 1,015.95 0.00 4,052 20 0 00
Total Dividend; Interest, Income and Expenses $6,379.19 $0.00 026,002.36 $0.00
Page 3 of 9
Account Number' CMI iptlieS6 Rabid twelle8nt. COnabp••••••• onemoS.C. node/ *good es...8n
LEPERS INC
C ONFIDENTIAL:
"CA"W`* "ItA-T ID COMMUMICAlIONS
SDNY_GM_00047469
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10293
EFTA_00 I 58078
EFTA01290199

Portfolio Holdings
Account Activity Opening Closing Accrued Income 30-Day Current
Opening Date Quantity Number Fading Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 95.00% of Portfolio
Money Market
DVI S GOVERN M ENT CASH I NSTL
04101114 32.121 650910 0000001491 04130114 0.00 32,121,650.91 0.00 211 23 0.03% 0.03%
Total Money Market 60.09 132,121,660.91 $0.00 $211.23
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
04101114 N46024935 0/130114 35,371766.72 0.00 0.00 4,052 20 NIA N/A
Total FDIC Insured Bank Deposits $35,375,766.72 1 $0.00 $4,052.20
Total Cash, Money Funds, and Bank Deposits $35,375,766.12 $32,121,6500..9010 $0.00 $4,263.43
Umealtied Estimated Estimated
Date Annulled Quantity Unit Cost Cod Basis Market Price Mickel Value Gal/ Loss Annual Income Yield
Mutual Funds 5.00% of Portfolio
S' M ORGAN FLOATING RATE INCOME FUND Staidly Identlfier.PHSX
SELECT SPARES CUSP 481211510
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
0211311313 146,957.299 10.0700 1.500.000.00 10.0800 1.501.48458 1,48149 68 61,668.32 4.10%
03101113+3 533.047 10.0600 5,362.16 10.0800 5,373.12 220.68 4.10%
0410111313 591.454 10.1100 5,979.61 10.0800 5,961.85 -17.76 244.86 4.10%
05101113 13 562.992 10.1300 5,703.11 10.0800 5.674.96 -28.15 233.08 4.10%
08103113 13 567.343 10.0900 5,724.50 10.0800 5.718.82 -518 234.88 4.10%
0710111313 500.501 9.9700 1,990.00 10.0800 5,045.05 55.05 207.21 4.10%
0810111313 527.827 10.0600 5,309.94 10.0800 5,320.50 10.56 218.52 4.10%
09103113 13 531.248 10.0300 5.328.42 10.0800 5.354.98 26.56 219.94 4.10%
Reinvestments to 3.859.523 10.0990 38.97519 10.0800 38.903.98 41.91 1,597.84 4.10%
Date
Total Covered 156,831.234 1,577,373.93 1,578,84214 1,468.91 64,845.33
Total *56.631.234 $1,577,373.93 $1,571 842.84 11,4683 1 164,845.33
Total Mutual Funds $1,577,373.93 $1,578,842.84 $1,408.91 164,845.33
Unrealtied Estimated
Cost Basis Market Value Wit Loa Alacteulreesdt Annual Income
Total Portfolio Holdings $33,699,024.84 $33,700,493.75 $1,408.91 $0.00 $69,106.76
Footnotes
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(sy at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-6 for the applicable tax year in which the security is
Page< on
Account Num ber CN•••••••••••••••••”110.••••••••••••••••••.,
P*09/657CSF30016 011.414 (III LEPERS INC C ONFIDA••5•• P N'j a ilt( l w T ries I s A L *, :15 t .4 x E "` f " a . ` tAc.— umoatws
SDNY_GM_00047470
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010294
EFTA_00 158079
EFTA01290200

(*.Owe gam Pon. Wealth Ma nap- nal,
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Oros( Marla 54.4w net
PO. liso 1771 GOirro•MC121203 lire bet ON*
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CM) VA.7.16. MSS, 7µ4V1/1
Statement Period: 04/01/2014 • 04/30/2014
Portfolio Holdings (continued)
disposed.
Reporting requirements generally w61 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 (0RP) 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.
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.
M essa es
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information.
Federal Deposit Insurance Corporation (FDIC}Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for °WS money market funds, please visit the DWS Investments website at htlps:/Nniter.dws.investments.comEN/products/money.market-fundslields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Activity Summary (NI amounts shown in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Secunties Bought 0 00 0 00 Securities Bought -5,152.01 -21.738.92
Total Securities $0.00 $0.00 Total Severities -$5,162.01 -$21,738.92
Dividends and Interest $6,379.19 124,002.35 Dividends and Interest $0.00 $0.00
Cash Cash
Withdrawals 000 0.00 Withdrawals .3.400 000 00 .14,289,397.80
Deposits 144.657 01 2 238 784 66 Deposits 0 CO 000
Total Cash $144,057.01 $2,238,784.86 Total Cash -13.400,000.00 ,114,269,397.60
FDIC Insured Bank Deposits 636,370,625m 146,246,022.80 FDIC Insured Bank Deposits •f858.28 -12.098,022.18
M oney M arket Funds $0.00 $0.00 Money Market Funds -$32,121,650.91 -$32,121,650.91
Total Credits $35,527,661.20 148,510,809.61 Total Debits ,135,527,661.20 .$48,510,809.61
Page 5 of 9
Account Num ber Go paperless was Ygyatti oAc noway tat. a am...6d •••••••••••
EEPERS INCC ONFIDAENTIAL "` L " OA " " RA " T OMMUNICAT IONS
SDNY_GM_00047471
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010295
EFrA_00158080
EFTA01290201

Transactions by Type of Activity
Process/
Settlement
Date Activity Type Description Quality Price Atoned Interest Amount Currency
Securities Bought and Sold
04101/14 REINVEST CASH INCOME 'MORGAN FLOATING RATE INCOME FUND SELECT WRES 509 595 -5.152.01 6S0
PH SK 156121.8390 SHRS SHRSPLRCH. AT S10.11000 RD 03/28
PD 0/101111
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 4,152.01
Dividends and Interest
04/01/14 CASH DIVIDEND RECEIVED 'MORGAN FLOATING RATE INCOME FUND SELECT SHARES 5,152.01 LSD
PHSK 156121.6390 SHRS RD 03/28 PD 0/101114
04/15/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 858.28 LSD
DEPOSITS INTEREST
RECEIVED
/58991996
04/22/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED INCOME 157.67 LSD
DEPOSITS INTEREST REDEEMED
RECEIVED
/58997996
04/30114 MONEY MARKET FUND DWSGOVT CASH INSTL 211.23 LSD
INCOME RECEIVED
233993682
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 6,379.19
Cash Withdrawals and Deposits
04/11/14 FEDERAL FUN DS SENT DEL TSCHE BANK TRUST 1.100.000.00 LSO
USD999997
04/11/14 FEDERAL FUNDS RECEIVED "MORGAN CHASE BANK 15913 111,857.01 LSO
USD999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 -3,256,312.99
FDIC Insured Bank Deposits
04/11/14 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 3.400.000.00 LSO
WITHDRAWAL
USD999997
04115114 FDIC INSURED BANK INSURED DEPOSITSINTEREST REINVESTED -85828 LSD
DEPOSITS INTEREST
REINVESTED
458997996
04/22/14 FDIC INSURED BANK INSURED DEPOSITSPROGRAM FULL PidkCIPAL REDEEMED 31.976,625 00 LSD
WITHDRAWAL
U 50999997
Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 35,375,168.72
Page 6 of 9
8009/637CSP30016 Account Number GA0 paperless -L R SeA aae l Mr * % d- M t V ia O P l / l.I e AI4 n T IE t n D AC ROoMwM UNICA110•41 LIA. • WWI. •••••••
LEPERS INC
CONFIDENTIAL
SDNY_GM_00047472
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010296
EFTA_00 I 5808 I
EFTA01290202

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War wet. PT 10114
01))4:44,914. 7$144,91,
Statement Period: 0410112014 • 04/3012014
Transactions by Type of Activity (continued)
Protest/
Settlement
Date Activity Type Description Quantity Price Acased interest Amount Currency
Money Market Funds
04123/14 MONEY FUND PURChASE DWSGOVT CASE 'ASTI -32 121.439 68 LSD
1,50999997
04/30/14 MONEY MARKET FUND DWS GOVT CAST INSTL INCOME REINVESTED •211.23 LSO
REIN YESTM EAT
233993682
Total Money Market Funds • UNITED STATES DOLLAR 0.00 42,121.650.91
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:
345 PARK AVEA LE 14Th FLOOR
NEV/YORK AY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Electronic Delivery
You have not selected any account corn m unications for electronic dehvery. To register and turn off paper tom m unications, log in to your account or contact your Client Advisor for more inform alien.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices 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 MIEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Page? of 9
Account Num ber Milord I woollen. IS& . M.*/ 41••••••
(Ili EPERS INC Gopaperless E S M ev M en A V !! . R .. A . T In tD A C R O e M no A ILIPOCATIOHS
CON FIDA5N. TIAL IRCELIANCI
SDNY_GM_00047473
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010297
EFTA_00 158082
EFTA01290203

Important Information and Disclosures (continued)
Estimated Annual Figures
The estimated annual income (EAI) and estimatea annual yield tEAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using intonation 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.conVbusiness_continuity.htiri for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information we 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 tpon 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 light to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
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.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (i) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account. its sales representatives
and other personnel Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where appboable; the rendering of investment advice, if any, to you and in general, to 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. 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 (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: vnwtpershing.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-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 07390; (201)413-3330. Errors and Omissions excepted.
Page 8 of 9
8001O657CSF30116 Account Nura ber Go paper less Rabid I wolleenat -- Onsimiu.a nib...rots no. s.n
JEEPERS INC DAMAO, ItAT ED COMMUNICATIONS
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Statement Period:0410112114 • 04/3012014
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 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.
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.
Pease of 9
Account Number Go p 'per-less 4 k , R S a e p a e .' I Y .. e . a P " e l n a t A Row C••••••••'.1. IONS. 116 • lallegall•*•••••1116.1
LEPERS INC DA MAR RATED COMMUNOCA/1004%
CONFIDENTIAL VICELLIPPCI
SDNY_GM_00047475
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010299
EFTA_00158084
EFTA01290205

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Account Number:
Statement Period: 0310112114 - 0313112114
Valuation at a Glance
This Period Year-to-Date
JEEPERS INC Beginning Account Value $36,263,966.63 946,708,261.11
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 696.146.65 -8.775,269.95
ST THOMAS VI 00802 Adjusted Previous Account Value 38,950,113.18 36,932,991.16
Dividends. Interest and Other Income 5,604.52 19,623.16
Net Chan e in Portfolio .1.581 21 1.542.t7
nding Account Value $36.954.156.49 $36,954.156.49
Estimated Annual Income S68 919 58
Your Client Advisor:
TAZIA SM ITN
Asset Allocation
Prior Year-Lad Lad Period This Period % Alocalios
LSD Cash. Money Funds and Bank Depouts1 44,148,000.42 34,678,840.54 35,375,766.72 9513% e Cart allocato- only rc '.des
yo.1-cts that are of post ye vane
USD Fixed Income 1.560.260.89 1.575.125.99 1.578.389.77 4.27% r
Account Total (Pie Chart) 845,708,281.11 336,253,966.53 $36,954,156.49 100.00%
I The Bank Deposes In your account are FDIC Insured bank deposits.
FDIC insured bank deposits are not scones and are not covered by the Securities Investor Protection Corpcation
(SIPC) These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to Arab* emits.
See page 2 of the statement (or important informatian regerdng the Asset Allocate on section.
Paget of 9
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MMAARRATEDCOMMUNCATCW4M
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CONFIDENTIAL - PURSUANT TO FED. R CRIIIA. P. 6(e) OB-SDNY-0010300
EFTA_00 I 58085
EFTA01290206

Asset Allocation Disclosure and Footnotes
1 Fixed Income contains Fixed Income Mutual Funds
Summary of Gains and Losses
Realized
This Period Year-tante Unreality/
Short•Term Gam/Loss 0.00 0.00 182 90
Lang-Term Gain/Loss 0.00 0 00 5.984 95
Net GaIn/Loss 0.00 0.00 6,167.85
This summary excludes transactions where cost basis information is not available.
FDIC Insured Bank Deposits
Date Achy. Demi ion Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: NIG024935 Activity Ending: 03/31/14
03101114 Opening Balance 34,678,840 54 34.678,840 54
03107/14 Deposit DEPOSIT 696.146.65 35.374.987 19
03114114 Deposit INTEREST CREDITED 779.53 35,375.766 72
APT 0.03%
03/17114 Associated Bank NA 35.375,76672
NO 03/17 5250000.00
BBC
NO 03117 $250000.00
Bank of America
NO 03117 5250000.00
Citibank H.A.
NO 03(17 S250000.00
Deutsche Bank Trst Co
NO 03117 $33125766.
East West Bank
NO 03(17 $250000.00
NY Community Bank
NO 03117 5250000.00
Texas Capital Bank
NO 03/17 $250000.00
Union Bank of CA
NO 03/17 5250000.00
Page? of 9
Account Number.- Go paperless ' S L c a re n e d n t Y n e o a ll s e I n n t A Row c__ . LIA. • %AAA *Ann Asann
JEERERS INC DALSAR RATED CCANALINICATIONS
CON FIDAarriA
SDNY_GM_00047477
CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) DB-SDNY-0010301
EFDC00158086
EFTA01290207

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Statement Period: 03/0112014 • 0313112014
FDIC Insured Bank Deposits (continued)
Date Activity Type Description Amount Balm
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
Com enity Bank
NO 03/17 $250000.00
03131/14 posing Balance 336,375 766.72
Total FDIC Insured Bank Deposits $35,375,788.72
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Income and Expense Summary
Current Period Year-to-Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Other Dividends 4.824.99 000 16,586.91 000
Interest Income
FDIC Insured Bank Deposits 779.53 0.00 3,036.25 0 00
Total Dividends, Interest, Income and Expenses $5,804.62 $0.00 $19,623.11 90.00
Portfolio Holdings
Account Adivity Openly Closing Acand home 30-Day Cermet
Opening Date Quantity /lumber Ending Balance Balsam Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 96.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
03101I14 35.375.766 720 A40024935 03131/14 34.678.840.54 35.375.766.72 438.12 3,036.25 N/A NIA
Total FDIC Insured Bank Deposits $34,678,840.54 $35,375,766.72 $438.12 $3,036.25
Total Cash, M oney Funds, and Bank Deposits $34,678,640.54 135,375,768.72 $438.12 $3,038.26
Page 3 of 9
B0ICOISICSF30022 L A E c P co E u R n S t N IN u C m ber ID G A5 o p 1 ap " e T rles I s A L I D S t ' n A w e ^ 4 I w .e eR 4 a 1 A 1 nT .0 A I . D 4. cites. A CS" ••••••• ••••••••11•2. nos. ammo. ••••11184
CON F I SDNY_GM_00047478
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EFTA_00158087
EFTA01290208

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Dale Acquired Quantity Unit Cost Cost Bays Market Price Markel Value Gala! Loss Annual Income Yield
Mutual Funds 4.00% of Portfolio
R M ORGAN FLOATING RATE INCOME FUND Security Identifier: .PHSX
SELECT SPARES CUSP: 481211510
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
02113/13 13 148,957.299 101100 1,500,000.00 10.1100 1,505,958.30 5,958.30 62,859.98 4.1T%
03/01/13 13 533.047 10.0600 5,362.46 10.1100 5.389.11 26.65 224.95 4.17%
04101113 13 591.454 10.1100 5,979.61 10.1100 5,979.60 -0.01 249.59 4.17%
0510111313 562.992 10.1300 5,703.11 10.1100 5.691.85 .11.26 237.58 4.17%
0610311317 567.343 10.0900 5,724.50 10.1100 5.735.84 11.34 239.42 4.17%
0710111313 500.501 9.9700 4,990.00 10.1100 5.060.07 70.07 211.21 4.17%
08101/13 13 527.827 10.0800 5,309.94 10.1100 5.336 33 26.39 222.74 4.17%
09/03/13 13 531.248 10.0300 5,328.42 10.1100 5.370.91 42.49 224.19 4.17%
Reinvestments to 3,349.928 10.0970 33,823.88 10.1100 33,867.76 43.88 1,413.67 4.17%
Date
Total Covered 156,121.639 1 572 221 12 1,578,389.77 6,167.85 65,863.33
Total 156,121.639 11,572,221.12 $1,571,369.77 16,167.66 166,683.33
Total Mutual Funds $1,572,221.92 31,571,389.77 16,167.65 $65,663.33
Untaxed heaved Estimated
Col Bads Markel Value Gala/ loss liters Moll Income
Total Portfolio Holdings 336,947,188.64 336,964,156.49 16,167.85 30.06 388,919.56
Footnotes
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 vitich 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 *appticable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis vii be reported to the IRS on form 1099.8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as blows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
13 The cost basis of this security has been provided to us by the delivering frm 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 51 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Page 4 of 9
soioneicmoon Account Number. Go papeTrleIssA L () Se n Ra b d o. l , y i c e c well.o lant A Csieworiftmaes Owns., tit. • meow eons radar..
LEPERS INC LAW* RATED COMMUNICA11O.41
CONFIDE EXCILIANCI
SDNY_GM_00047479
CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) OB-SDNY-0010303
EFTA_OOI 58088
EFTA01290209

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P VI 4914,18. 01141 78114P9S
Statement Period: 0 310 112 114 • 03/31/2014
M essages (continued)
Federal Deposit Insurance Corporation (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds. please visit the DWS Investments website at https://wiver.dws-investments.conVEN/products/money-market-funds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
In accordance with the Securities Exchange Act Rule 606 (Disclosure of Order Routing Information), upon your request, the follovring 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,
ii) whether the orders were directed orders or non-directed orders,
I) 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.
Activity Sum m ary (Ail amounts shown are in base currency)
Credits This Period Year.totate Debits Thu Period Year-t-oDate
Securities Securities
Setuntes Bought 000 000 Seeu nes Bought -1,82199 -16.586.91
Total Securities $0.00 $0.00 Total Securities .14,824.99 .$18,586.91
Dividends and Interest $5,601.52 $19,623.18 Dividends and Interest $0.00 $0.00
Cash Cash
Withdrawals 0.00 0.00 Withdrawals 0.00 -10.869,397.80
Deposits 696,146.65 2,094,127.65 Deposits 000 0.00
Total Cash $698,146.65 $2,091,127.65 Total Cash $0.00 -010,669,307.60
FDIC Insured Bank Deposits $0.00 $10,869,397.60 FDIC Insured Bank Deposits -$696,926.16 -$2,097,163.90
Total Credits $701,751.17 112,983,148.11 Total Debits -$701,751.17 -$12,983,118.41
Page $ of 9
Account Nu® Der' TiA Ral•d tweetlent Olnap0•••••• INIIIISOLL6 • wooer ••••••
Ps)10) IP ICSF 30 022 G ••• o •• . P •a •,l.w riess fiZenweiTtlioacraluiricwworrs
IPCILIANCI
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6: PERSINCCONFIDEN
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0010304
EFTA_00 158089
EFTA01290210

Transactions by Type of Activity
Process/
Settlement
Date Activity Type Description Quantity Price Accrued Interest Moult Currency
Securities Bought and Sold
03/03/14 REINVEST CASH INCOME "MORGAN FLOATING RATE INCOME FUND SELECT %ARES 476.778 -4124.99 LSD
.FHSX 155644.8610 SHRS SHRS MACH. AT 510.12000 RD 02/27
P0 03103/14
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 .4,824.99
Dividends and Interest
03103114 CASH DIVIDEND RECEIVED 2 MORGAN FLOATING RATE INCOME FUND SELECT SHARES 4.824.99 LSD
.F1- SX 15564/8610 SHRS RD 02/27 PD 03/03/14
03/14114 FDIC INSURED MK INSURED DEPOSITS INTEREST CREDITED 779.53 LSD
DEPOSITS INTEREST
RECEIVED
458997996
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 5,604.52
Cash Withdrawals and Deposits
03106/14 FEDERAL FUNDS RECEIVED CITIBANK NA. 36072 417.960 10 LSO
bS0999997
03106/14 FEDERAL FL N DS RECEIVED .P MORGAN CHASE BANK 16739 278.186 55 LSO
b S0999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 696,146.65
FDIC Insured Bank Deposits
03107114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM .696.146 65 LSO
USD999997
03114/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -779.53 LSO
DEPOSITS INTEREST
REINVESTED
458997996
Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 496,926.18
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:
345 PARK AVE/. LE 14TH FLOOR
NEWYORK NY 10154
Page 6 of 9
I IIAI1 Lis A JE c E c P o E u R n S t N IN u C m C ber ONFID G A o E p N ape T rle I ss A L D S : t t e ra n t r y la e ih . r . e ea d D A C R O o M w M UNICAT10.6 Am... use. • aloft awed ••••••••••
SDNY_GM_00047481
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010305
EFTA_00I58090
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1/121454.71119.1115178•471S
Statement Period: 031011914 - 03/31/2014
Your Account Inform ation
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Stocks In a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST ifi 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 Minn.
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 horn
sources whkh 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
vnwr.pershing.comibusiness_continuity.htri 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 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 fin. In order to assist your introducing firm in maintaining current background and financial Information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margm 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 (deign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified horn customary banking sources on the
conversion date cc the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Page ?of 9
Account Num ber Ral•d venom Canso& •••••••••••••‘.l .u. •••••••••••••1.4.1180
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LEPERS INC F ID 5NTIAL
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SON Y_GM_00047482
CON
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010306
EFTA_00158091
EFTA01290212

Important Information and Disclosures (continued)
The Role of Pershing
• Pershing carves your account as clearing broker pursuant to a cleanng 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 (il) any other instructions concerning your account. Pershing is not responsible or kable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where appkcable; the rendering of investment advice, if any, to you and is 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 mandating'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: wwwpershing.comfstrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includeig 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 vii typically include a minority of arbitrators who were or are affiliated with the secuhties 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 shaft be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem.
Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330.
Page 8 of 9
eoloneicsnoon Account NU® ben' Go paperless R S a .• b • i • d • [Welki , n ^ ? A Row O es P n o o is o p a O r n • u • s m & O a w s e t nby WI n co ib o . p . w a a u la r t a ilm rA m o a e w *I . "
.EEPERS INCC ON FIDA5NTIAL: " OA a LOAll " RA ' TE D COMMUNICADONS
SDNY_GM_00047483
CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) OB- -0001100330077
EFTA_00158092
EFTA01290213

TERMS AND CONDMONS
TRANSACTIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. ODD LOT DEALER.
• ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSMONER ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY
SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, IF ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY AND TO AU. APPLICABLE LAWS AND REGULATIONS. FINANCLAJ. INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS
• TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN AVAILABLE UPON REQUEST.
WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT
GATE. WHICHEVER IS LATER. PERSHINGS OFFICES. A COPY OF I T WILL BE MAILED UPON YOUR WRIT TEN REQUEST OR YOU CAN
• YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT WWW.PERSHING.COM.
STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES:
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. WYPN.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 MIS-
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. RULE 607(A)(1)-(2))
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
FINANCIAL INSTITUTION I; YOU DESIRE ADDITIONAL COPIES. SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS
MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT Cf PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST.
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER PERSHNG RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. DE 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 Ti IE DISTRIBUTION OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHNG ALSO REGULARLY
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES.
GENERAL INFORMATION.
• PERSHING COES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE
ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCHADVICE, IF GWEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ARE INDEBTED TO PERSHING LLC (PERSHING') FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS OSCRETION 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 TM ABOVE TERMS MID CONDITIONS ME UNACCEPTABLE TO YOU. FtEASE NOTIFY PEREMNG IMMEDIATELY IN WRITING BY CERTFIED WM 70 ONE PERSHING PLATA. JERSEY CRT. NI 07399. ATM LEGAL DOT
Page 9 or 9
Aco3unl Number a..., p.m.% •••••••• WC • •••••• Owned •••••••••••
BOI071SICSF30022 00.4114-1 IT 6:7LEPERS Go paperless D S:R A 7 M " A i R c e R = A = T ED A C R O mmuesCATOM
!MELON<
SDNY_GM_00047484
1tONFIDttITIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. DB-SDNY-0010308
EFTA_00 158093
EFTA01290214

Gramm 11am Pmalp *math /mmeempl
Pamir Comm, Mom
DemO,4 M Semmms
Put OPM
PO. Pox 1776. &Pp m. MD 21203 Ha bit menet Ikh I ber
Na Rra Pet 1011.4
454.7414. (MI 78/.4,91,
Account Number:
Statement Period: 02101(2014 -0212812014
Valuation at a Glance
This Period Year-to-Date
JEEFERS INC Beginning Account Value $39,959,714.00 545,708,261.11
6 100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals .3 711 678 00 -9.471.416.60
Adjusted Previous Account Value 36,248,038.00 38,238,844.51
ST THOMAS VI 00802
Dividends. Interest and Other Income 5.930 54 14,018.64
et Chan e in Portfolio .001 3 193 39
Estrm aled Annual lncom e
Your Client Advisor:
TAZIA SM III-
Asset Allocation
Prior Year-yd Lod Period This Period %Ababa
USD Cash. Money Funds and Bank Decocts+ 44,148,000 42 38,389,398.28 34,878,84054 95.60% e Chart allocation only inchvies
products that are of positive value.
USD Fixed Income 1 560 260 69 1.570.315.71 1.575.125.99 4.34% r -
Account Total (Pie Chart) $45,708,281.11 139,959,714.00 838,253,988.53 100.00%
I The Bank Deposils in your account are FDIC insured bank deposits.
FDIC insured bank deposits are rot securities and are not covered try the Securities Investor Protection Corporation
(SIPC) These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC). up to alknvable limas.
See page 2 of this statement tor important intormatonregarcing the Asset Abocatonsecoon.
Page tor 8
Rain' Conose••••••• Os". Lit. flamer •••••••••
IMAIR tk. A011 9968CSF30015 CI° PaPerless Cit DSAtIVItertAnTDACROMMUNICAlIONS
CONFIDENTIAL
SDNY_GM_00047485
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10309
EFTA_00 158094
EFTA01290215

Asset Allocation Disclosure and Footnotes
Fred Income contain Fixed Income Mutual Funds
Summary of Gains and Losses
Realized
This Period Year-tante Unrealized
Short•Term Gam/Loss 0.00 0.00 281.19
Lang-Term Gain/loss 0.00 0 00 7.447 87
Net Gain/Loss 0.00 0.00 7,729.06
This summary excludes transactions where cost basis information is not available.
FDIC Insured Bank Deposits
Date Activity T pe Demi ion Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: NIG024935 Acteily Ending: 02/28/14
02101(14 Opening Balance 38,389,398 26 38,389,398 26
02114(14 Deposit INTEREST CREDITED 1.120 28 38.390.518 54
APY 0.03%
02118/14 Assoaated Bank NA 38.390,518 54
NO 02118 $250000.00
BUT
NO 02(18 S250000.00
Bank of America
NO 02118 $250000.00
Citibank N.A.
NO 02118 S250000.00
Deutsche Bank TN Co
NO 02118 $36140518.
East West Bank
NO 02118 5250000.00
NY Community Bank
NO 02(18 S250000.00
Texas Capital Bank
NO 02118 5250000.00
Union Bank of CA
NO 02(18 525000000
Corn 'pity Bank
NO 02118 S250000.00
Page 2 of 8
Account Number.— Go paperless *, R Se a v to e n n t V a e n n n n in .' A Ran •••••••• Lit. • ...ere...1 ••••••••••
EFF'ERS INC CALM* RATED COMMUNICATIONS
CONFIDENT-TEA VICCISENCI
SDNY_GM_00047486
CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) DB-SDNY-0010310
EFIA_00158095
EFTA01290216

°.,,p.* Rana Pnwair Were •Apmernall
Idaeals Codrapp6KaP
MAUI M Sette*es Ht.
Pre wart Pinto
PC. Bat 1770. &I .1,10 21203 in Port Ass.. 260. I Wei
Neve M'ICCA
inn 454.71114. CCM 78/.4,91,
Statement Period: 0210112014 • 02128/2014
FDIC Insured Bank Deposits (continued)
Date Activity Type Description Mosel Balance
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSTS PROGRAM (continued)
02120114 Withdrawal WITHDRAWAL -1,000,000.00 31,390,518.54
02128114 De post DEPOSIT 288,322.00 34 678,840.54
02128114 Closing Balance 334,618,840.54
Total FDIC Insured Bank Deposits $34,878,840.54
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 reviewthis in connection with other
deposits you may have at each respective bank.
Income and Expense Summary
Current Period Year-lo-Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Other Dividends 4.810.16 0 00 11,761.92 0.00
Interest Income
FDIC Insured Bank Deposits 1.120.28 0 00 2,256.72 000
Total Dividends, Interest, Income and Expenses $5,930.51 $0.00 $11,118.81 $0.00
Portfolio Holdings
Account Opening Closing Weaved home 38•Day Omit
Opening Date Quantity Number A:lin Balance Balance Income Ns Year Yield Yield
Cash, Money Funds, and Bank Deposits 96.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
02101114 31.678.810.510 N4G024935 02128/14 38.389.398.26 34.678.810.51 371.74 2.256.72 N/A NM
Total FDIC Insured Bank Deposits $38,389,398.28 $34,678,840.51 $374.71 $2,256.71
Total Cash, Money Funds, and Bank Deposits $38,389,398.26 $31,678,840.51 $371.71 $1,256.71
Page 3 of8
/11)119968CSF3001S Account Number Go paperless & S P or P e S n Years In A Row Ompolviono.P ores•usa. ••••••• wars •••••••••
LEPERS INC C ONFID A E •• N • IT. CT IAL DALOAR RATED CCPAPAUNICATIONS
SDNCGM_00047487
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) exC1UNC6 DB-SDNY-00 10311
EFTA_00 158096
EFTA01290217

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Cale Acquired Quantity Unit Cost Cost Basis Market Pria Markel Value Gala! Loss Annual Income Yield
Mutual Funds 4.00% of Portfolio
J? M ORGAN FLOATING RATE IN COME FUND Security Identifier: .PHSX
SELECT SNARES CUSP. 481211510
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
02113113 13 118,957299 101100 1,500,000.00 10.1200 1,507,417.87 7,447.87 63,902.88 4.23%
0310111313 533.047 10.0600 5,362.46 10.1200 5,394.13 3159110 228.68 423%
01!0111313 591.454 10.1100 5,979.61 10.1200 5,985.51 253.73 4.23%
0510111313 562.992 10.1300 5,703.11 10.1200 5,697.18 -5.63 241.52 4.23%
06!0311313 567.343 10.0900 5,724.50 10.1200 5,741.51 17.01 243.39 4.23%
0110111313 500.501 9.9700 4,990.00 10.1200 5,065.07 75.07 214.71 4.23%
0810111313 527.827 10.0600 5,309.94 10.1200 5,341.61 228.41 4.23%
09103113 13 531.248 10.0300 5,32812 10.1200 5,376.24 13 71 .4872 227.91 4.23%
Reinvestments to 2,873.150 10.0930 28,998.89 10.1200 29,076.27 77.38 1,232.58 4.23%
Date
Total Covered 156,641161 1 507 396 13 1,676,12191 7,729.06 66,771.61
Total 166,614161 91167,39613 91,676,128.99 97,72106 368,771.64
Total Mutual Funds $1,567,316.13 $1,575,125.19 $7,729.06 366,771.64
Unrealized Acaeed Estimated
Cod Snit Market Vale* le/ Lou liters Anneal Income
Total Portfolio Holdings 336,216,23717 936,263,966.63 9?!729.011 90.00 669,020.36
Footnotes
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 winch 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 vii be reported to the IRS on form 109943 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
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.
Messages
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Page 4 of 8
A0119968CSF3001S Account Number: GO paperless tt.. 1 R Se a v te e d n I Y w e e a l r l . e I n n t A Raw Oisaw..•••••• Owenby •••••• gamma roaring
LEPERS INC C ONFIDAE,. rNTit ITIAL ( e N XC W E * L IAN R C A E T I D COMMUNICATIONS
SDNY_GM_00047488
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010312
EFrA_00158097
EFTA01290218

°Mu,. Ran, Meaernalt
Pewit's I ~ate
Dettsffie Oat 5«, net "
Mrs bet M(*
PC. Bp, 1218. ablz mat MD 21202 Ha Part Anne*. 161.• I loci
*re It". NY IC VA
01))4M.74,1.0r1S1 >I14:91.
Statement Period: 02/01/2014 - 02/28/2014
M essages (continued)
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporaticd.(SIPC).
For disclosure of rates for DWS money market funds. please visk the DWS Investments website at https:/Aw.w.dws-investrnents.conVEN/products/money•market4undslields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Activity Sum m a ry(NtEIMIXIMS shown are in base currency)
Credits This Period Tear4eDste Debits This Period Year.to.Date
Securities Securities
Secuntes Bauchi 0 00 0.00 Securifies Bought .4 810 26 11 761.92
Total Securities $0.00 $0.00 Total Sodalities 44,810.26 411,761.92
Dividends and Interest $5,930.54 $14,018.64 Dividends and interest $0.00 $0.00
Cash Cash
Withdrawals 0.00 0.00 Withdrawals -4 000 000 00 •10.869.397 60
Deposits 288.322.00 1.397.981.00 Deposits 0 CO 0 00
Total Cash $268,322.00 $1,397,981.00 Total Cash 44,000,000.00 410,869,397.60
FDIC Insured Bank Deposits $4,000,000.00 $10,$69,397.60 FDIC Insured Bank Deposits 4289,442.28 41,400,237.72
Total Credits $4,294,252.54 $12,231,397.24 Total Debits -$4,294,252.54 412,281,397.24
Transactions by Type of Activity
Pratte
Settlement
Date Adivity Type Dmaiotion Omni*/ Price kneed Interest Amount Currency
Securities Bought and Sold
02103114 RDAVEST CASH INCOME ?MORGAN FLOMING RATE INCOME FUND SELECT SHARES 475.322 •1.810.26 LSO
SX 155169.5390 SHRS SHRSPURCH. AT 810.12000 RD 01130
RD 02103114
Total Searritles Bought and Sold • UNITED STATES DOLLAR 0.00 4,810.28
Page5 of 8
k,119968C5F3001S Account Number Go paperless (*) R Se a v ls e d n W .r e e n l s l• I n n t A Raw borbinnuei."•••••” use, • imam ••••••• ~1St.
LEPERS INC CAW* RATI D COMMUNICATIONS
CONFIDENTIAL IXCIELUNCI
SDNY GM 00047489
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SINY:00 10313
EFTA_00I58098
EFTA01290219

Transactions by Type of Activity
(continued)
Process/
Sttlement
Date Activit T e D_e_saiption Quantity Price Accreted liter.* Amount Curren
Dividends and Interest
02103114 CASH DIVIDEND RECBVED PhIORGAN FLOATING RATE INCOME FUND SELECT SHARES 1,610.26 USD
.PH SK 155169.5390 SHRS RD 01130 PD 02103114
02114114 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 1,120.28 USD
DEPORTS INTEREST
RECEIVED
468997996
Total Dividends and Interest - UNITED STATES DOLLAR 0.00 6,930.61
Cash Withdrawals and Deposits
02/20114 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -1,000,00000 USD
USD999997
02127114 FEDERAL FUN DS RECEIVED CITIBANK NA 11198 254,37300 USD
USD999997
02127114 FEDERAL FUNDS RECEIVED CITIBANK AA 11197 33,91910 USD
USD999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 .3,711,678.00
FDIC Insured Bank Deposits
02114114 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -1,120.28 USD
DEPOSITS INTEREST
REINVESTED
/58997996
02120114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 1.000.000.00 USD
WITHDRAWAL
USD999997
02128114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -288,32200 USD
USD999997
Total FDIC Insured Bank Deposits- UNITED STATES DOLLAR 0.00 3,710,551.72
Total Value of Transactions o.00 0.00 USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: TDS Contact Information
TAZIA Sid ITN Telephone Number:
345 PARK AVENUE 14Th FLOOR
NEW YORK NY 10154
Page 6 of 8
M119968CSF300IS Account Num ber Go paperless RabS twollent CONa•p••••••• niNdl• •••••••••••118M1
,EEPERS INCC ONFID 44A E .iTIC NTIAr I [ P w I a C n A e L S R IC AT I ED COMMUNICAllOir i
SDNY_GM_00047490
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010314
EFTA_00158099
EFTA01290220

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4914,18. (MI 7$114,9S
Statement Period: 02/0112014 • 0212812014
Your Account Inform ation
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Sloth 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 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
vnwrpershing.conbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other 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 form. 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 Memel 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 vnfl 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.
Pagel of 8
Account N u ra ber GO 1.40.41 I .eellent tondo. ••••••• swab. •••••• roam essatewsl
/0119968CSF30015 paperleSS SM." Year., In A Renw
JEEPERS INCC ONFIDMTIAL 1 M " A ` M " A ' * " RA " T ED COMMUNICA110.41
SDNY_GM_00047491
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010315
EFIA_00158100
EFTA01290221

Important Information and Disclosures (continued)
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a cleanrg agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws. regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions. vitere applicable, the rendering of investment advice, if any, to you and n 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 (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: vrivrtpershing.conVstrength_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 will typically include a minority of arbitrators who were or are affiliated with the securities ill dust'''.
• 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 roles of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shad be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem.
Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330.
Page 8 of 8
Account Nu® Der' Miaow' w•ellent boa" ono. Owenby u.C.••••aor wombs easy
A0119968CSF3011S PaPerleSS Seven Years In A Row
JEERERS INCC ONFIDENTIAL L eX A C M IE A L * II R N A C T I ED COMMUNICA11OW1
SDNY_GM_00047492
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010316
EFTA_00158101
EFTA01290222

Onimm e.... Pnwile wean Pm-marmot
Mann Comae CMP
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Proven Onto
PO. Sc, 1776. agirree MD 21203 Na ion memo. I ter
New RA M'10114
0 II/ 4:4411M.11115.17$1.4291
Account Number:
Statement Period: 01/01/2014 - 01/31(2014
Valuation at a Glance
This Period Year-to-Date
JEEFERS INC Beginning Account Value $45,708,261.11 $45,708,261.11
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals -5.759,138.60 -5 759.738 60
Adjusted Previous Account Value 39,948,522.61 39,948,522.51
ST THOMAS VI 00802
Dividends. Interest and Other Income 8:088.10 8,088.10
het Chan rein Portfolio 3 103 39 3 103 39
ncling Account Value $39,959,714.00 $39,959,714.00
Estimated Annual Income
Your Client Advisor:
TAZIA SM ITF
Asset Allocation
Prior Year-Tad Lad Period This Period % Allocation
USD Cash. Money Funds. and Bank Deposit:1 44,148,000.42 44.148,000 42 38,389,398 26 96.07% nia-- ; F e Cart alloceo- only [-c .ces
o'oO.ots thr. are of postye val.'?
USD Fixed Income 1,560,260.69 1.560.260.69 1.570.315.74 3.93%
Account Total (Pie Chart) $45,708,281.11 $45,708,281.11 $31,959,714.00 100.00%
I The Bank Deposes In your account are FDIC Insured bank deposits.
FDIC insured bank deposits are rot securties and are not covered by the Securities Investor Protection Corporation
These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to alknitable limits.
SSeeee page 2 of the statement for important information regardng the Asset Allocation section.
Paget of 8
A010 0289CSF30016 Go paperiess R S a e t . e •• d • I Y o e c a o r t . io m nt A Row Oppappopeuss swamP t. ...prams eras,
MAMA* RATED COmmumIC*11O.41
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SDNY_GM_00047493
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10317
EFTA 00155102
EFTA01290223

Asset Allocation Disclosure and Footnotes
Fared Income contains Fored Income Mutual Funds
Summary of Gains and Losses
Realised
This Period Year•to•Date Uniealited
Short-Term Gain/Loss 0.00 0 00 7.729 07
Net GaIn/loss 0.00 0.00 7,729.07
This summary excludes transactions where cost basis information is not available.
FDIC Insured Bank Deposits
Date Adivity Type Dewiption Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: NIG024935 Activity Ending 01/31/11
01101(14 Opening Balance 41,148,000.42 44,148,000.42
01110114 Deposit DEPOSIT 1.109.659.00 45,257,659.42
01115114 Deposit INTEREST CREDITED 1,136.44 45,258,795.86
APY 003%
01116114 Associated Bank AA 15.258.795.86
NO 01116 $250000.00
BUT
NO 01116 $250000.00
Bank of America
NO 01(16 $250000.00
Citibank N.A.
NO 01(16 $250000.00
Deutsche Bank
NO 01(16 $43008795.
East Wesl Bank
NO 01(16 $250000.00
NY Community Bank
NO 01(16 $250000.00
Texas Capital Bank
NO 01(16 $250000.00
Union Bank of CA
NO 01116 $250000.00
Com end), Bank
NO 01(18 $250000.00
Page? o18
Account Num ber GO paperless R S a e t e e m d ( Y w e a a l s in I g n ' A Re., tyre. eapeot Amory we. • weer apes vanlien
„EEPERS INCC ONFIDeNTIAL E [IM XC A E M L % IA R N A C T I ED COMMUNICATIOtel
SDNY_GM_00047494
CONFIDENTIAL — PURSUANT TO FED. R CRI6,1 P. 6(e) DB-SDNY-0010318
EFIA_00158103
EFTA01290224

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Statement Period: 01/01/2914 • 01/3112014
FDIC Insured Bank Deposits (continued)
Date Activity Type Description Amount Balance
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
01130114 Withdrawal WITFDRAWAL 4869.39710 38.389.398 26
01131114 Closing Balance $38,389,398.26
Total FDIC Insured Bank Deposits $38,389,398.26
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits al 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 diected retirement accounts. Please review this n connection with other
deposits you may have at each respective bank.
Income and Expense Summary
Current Period Year-to-Dale
Taxable Mon Taxable Taxable Non Taxable
Dividend Income
Other Dividends 6.951.66 0.00 6.951.66 0.00
Interest Income
FDIC Insured Bank Deposts 1.136.44 0.00 1,136.44 0.00
Total Dividends, Interest, Income and Expenses $8,088.10 10.00 11,088.10 60.00
Portfolio Holdings
Account Activity Opening Oosing Awned Income 31-Day Cnrrint
Opening Date Quantity Number Ending Balance Balance Income Thin Tor Yield Yield
Cash, Money Funds, and Bank Deposits 96.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
01101114 38.389.398.260 N4G024935 01131114 44.148.000.42 38.389.398 29 647.01 1.136.44 NIA NIA
Total FDIC Insured Bank Deposits 144,141,000.42 138,389,318.26 $647.01 $1,131.44
Total Cash, Money Funds, and Bank Deposits $44,146,000.42 $31,389,398.26 1647.01 11,136.44
Page 3 of 8
/1.010 0 289CS F 30 Olt Account Number: Go paperless tit Ratedyea ing' balm p• ••41ip ••••••*I.LO. slower •••••••••...,
LEPERS INC
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SDNY_GM_00047495
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10319
EFTA_00 158104
EFTA01290225

Portfolio Holdings (continued)
Unsettled Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Markel Value Gala/ Loss Annual Income Yield
Mutual Funds 4.00% of Portfolio
FM ORGAN FLOATING RATE INCOME FUND Security Identifier: .PHSX
SELECT SPARES CUSP. 481211510
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
02113113 13 148,957.299 10.0700 1,500,000.00 10.1200 1,507.441737 7,447.81 64,617.46 4.28%
0310111313 533.047 10.0600 5,362.46 10.1200 5.394.44 31.98 231.31 4.28%
04101113 13 591.454 10.1100 5,979.61 10.1200 5,985.51 5.90 256.69 4.28%
0510111313 562.992 10.1300 5,103.11 10.1200 5.697.18 -5.63 244.34 4.28%
0610311313 567.343 10.0900 5,724.50 10.1200 5.741.51 17.01 246.23 4.28%
0710111313 500.501 9.9700 4,990.00 10.1200 5.06507 75.07 217.22 4.28%
0810111313 527.827 10.0600 5,309.94 10.1200 5,341.60 31.66 229.08 4.28%
0910311313 531.248 10.0300 5,328.42 10.1200 5.37623 47.81 230.56 4.28%
Reinvestments to 2,397.828 10.0880 24,188.63 10.1200 21,266.03 77.40 1,040.65 4.28%
Date
Total Covered 156,119.539 1 502 WI 67 1,670215.74 7,720.01 62,343.67
Total 166 169.530 S1 602 MAT $1 570 315.14 $1, 720.07 S67 343.67
Total Mutual Funds $1,662,686.17 $1,670,315.74 6732007 $67,313.57
Uarealked Awned Estimated
Col Bads Markel Valet Is/ loss Interest Menai Income
Total Portfolio Holdings 639,051,961,93 $392169,114.00 57,729.07 $0.00 168,480.01
Footnotes
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 1099.8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2013, or later, as determined by the Secretary of the Treasury.
13 The cost basis of this security has been provided to us by the delivering frm 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 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 product's disclosure document or contact your investment professional for additional information.
Page 4 of 8
AO1002/9CSF30116 Account Number. Go paperless zt S U P evNSen I Y . e c a e. s le In nt A all,. CONISP 0•••••• Iii•ii•IAIOU.C. • IMINOI •••••• ••••11/10,1
LEPERS INC ON FID-5NITIAL I [ P A IC LM CL * U I N tA C T I EDCOMMUNsCAlIONS
SDNY_GM_00047496
CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) C OB-SDNY-0010320
EFTA_00158105
EFTA01290226

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0 In 4:44414. IPA) 71.4:9$
Statement Period: 01101/2114 • 01/3112014
M essages (continued)
Federal Deposit Insurance Corporation (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds. please visit the DWS Investments website at httrisiNnwv.dws-investments.comIEN/products/money-market4unds-yields.jsp. Please note that all money
market funds fisted on the website may not be offered through us.
Important Reminder for Pershing's 2013 IRS Forms 1091 (8, DIV, INT, 010 and MISC): As a reminder, by February 18, you will receive either your 1099 form ota 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 wit inform you of the securities that are pending final reporting, and ail provide the anticipated mail date of
your 1099 form. Your 1099 will be mailed no later than March 17, 2014.
Activity Sum m ary (All amounts shown are In base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Securities Eloughl 0 00 0 00 Secunties Bought -6.951 66 -6.95166
Total Securities 30.00 90.00 Total Securities -96,951.66 -96,951.66
Dividends and Interest $8,088.10 $8,088.10 Dividends and Interest 30.00 90.00
Cash Cash
Withdrawals 0 00 0 00 Withdrawals -6,869,397.60 -6.869,397.60
Deposits 1.109 659 00 1.109.659.00 Deposits 000 000
Total Cash 31,109,659.00 31,109,659.00 Total Cash 46,869,397.60 -96,869,397.60
FDIC Insured Bank Deposits 36,869,397.60 36,869,397.60 FDIC Insured Bank Deposits 41,110,795.44 -91,110,795.44
Total Credits 97,987,144.70 37,967,144.70 Total Debits 47,987,144.70 47,987,144.70
Transactions by Type of Activity
Proceed
Settlement
Date Activity Type DeSeription Gustily Price Aoreed Interest Amount DI trenCy
Securities Bought and Sold
01102114 REINVEST CAS- IA COME PMORGAI. FLOATING RATE INCOME FUND SELECT SFARES 688.283 4.951 66 USD
154481 2560 9-RS SFRSMACH. AT 510.10000 RD 12130
PO 01102114
Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -6,951.66
Pages of 8
Step
Account Number Go paperless R.e., fay e<arY Anse. we. • am. eons ••••••in
RCIAAMuPruI! RxAisT ED COMPALINICA110.8
SDNY_GM_00047497
6:7INCCONFIDAnTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0010321
EFTA_OOI5A106
EFTA01290227

Transactions by Type of Activity
(continued)
Process/
Settlement
Date Adivit T e Description Onantity Price Accrued interest Amount Curren
Dividends and Interest
01102114 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOM E FUN 0 SELECT SHARES 6,951.66 USD
PH SX 151481.2560 SHRS RD 12/30 PD 01/02/14
01115114 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 1,136.44 USD
DEPOSITS INTEREST
RECEIVE/
458991996
Total Dividends and Interest - UNITED STATES DOLLAR 0.00 8,088.10
Cash Withdrawals and Deposits
01109114 FEDERAL FI, k DS RECEIVED CITIBANK NA 31801 1,109,659.00 USD
USD999997
01130114 FEDERAL FUNDSSENT GRAND BANK & TRUST 0 -4,869,397.60 USD
US0999997
01130114 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -2,000,000.00 USD
USD999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 .5,759,738.60
FDIC Insured Bank Deposits
01/10114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -1,109,859.00 USD
USD999997
01/15/I4 FDIC INSURED BANK INSURED DEPOSITS INTEREST REIN VESTED -1,136.44 USD
DEPOSITS INTEREST
REINVESTED
458997995
01/30/14 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 6,889,397.50 USD
WITHDRAWAL
USD999997
Total FDIC Insured Bank Deposits- UNITED STATES DOLLAR 0.00 5,758,802.18
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:
345 PARK AVENUE 14Th FLOOR
NEVI TOPA NY 10154
Page 6 of 8
/0100289CSF30016 Account Nu■bet' Go paperless lak R Se a v te e d n Yeats I a n .' A Rey 01.1•••011.0. • ••••• ••••••
LEPERS INC C ON F ID EN•ITIC TIAL I a D A u L l O AR a 1 It C A a T tDCOMUMUNICAlIONS
SCINCGM_00047408
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010322
EFTA_00158107
EFTA01290228

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Statement Period: 0110112114 - 01/3112114
Your Account Inform ation
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Stocks In a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST lh FIRST OUT
Electronic Delivery
You have not selected any account com m unications for electronic delivery. To register and turn off paper con in unications, log in to your account or contact your Client Advisor for more inform afion.
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 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
kwAv.pershing.corrybusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased. may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
Information is available to you promptly upon your written request directed to your introducing fin. In order to assist your introducing firm in maintaining current background and financial Information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for ui 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 horn customary banking sources on the
conversion date cr the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incur ed a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
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JEEMERS INC
CONFIDAFINTITIAL
SON Y_GM_00047499
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010323
EFrA_00158108
EFTA01290229

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 (i) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws. regulations and rules which apply to it regarding its own operations and the supervision of your account its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions. where 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: www.pershing.cornistrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (icludig 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 v I typically include a minority of arbitrators vino 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 govem.
Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330.
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LEPERS INC
CONFID
SDNY_GM_00047500
CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) OB-SDNY-0010324
EFTA_00158109
EFTA01290230