EFTA01290526.pdf

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Account Num ber: N4G-024935
Statement Period: 12/01/2013 - 12/31/2013
Valuation at a Glance
This Period Year-to-Date
Beginning Account Value $36,429,453.85 $0.00
et Cash Deposits and Withdrawals 9,273.026 65 44,145,594.02
JEEPERS INC
Net Securities In/Out of Account 0.00 1,538,411.13
6100 RED HOOK QUARTER B3
Adjusted Previous Account Value 46,702,480.60 46,884,005.16
ST THOMAS VI 00802 Dividends, Interest and Other Income 1,326.85 19,643.37
Net Chan•e in Portfolio .1.546 24 4 612 59
ndrng Account Value 545.708.261 11 $45,708,261.11
Estimated Annual Incom e $70,841 59
Your Client Advisor:
TAM SMITH
Asset Allocation
Prior Year-Fad Lad Period This Period % Allocation
USD Cash, Money Funds, and Bank Deposits' 0.00 34,874,17121 44,148,000.42 96.59% Pie Chart allocation only includes
products that are of positive value.
USD Fixed Income 0.00 1,555,282.64 1,560,260.69 3.41%
Account Total (Pie Chart) $0.00 330,429,453.85 845,708,201. 1I 100.00%
I The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bark deposits are not securities and are rot covered by the Securities Investor Protection Cogitation
(SIPC). These bank deposes are covered by tet Federal Deposit Insurance Corporation (FDIC). up to abrade
See page 2 of this statement tor imponam information regarding the Asset Alocation section.
Pagel of 10
B0105 MOST 300 22 Go p tperiess * S R t a a il n e d F Y m ed c I o S ll i o n .t A Row aw n l a s . . . .,. O •t<• m •w a •• g e h s P e e sv r te e at S sm e o L er L r.e 0 a . s • o r i a s d m ar i s. set s eg a m ro al " li wr
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CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) l a DB-SDNY-0010713
EFTA_00158498
EFTA01290526

Asset Allocation Disclosure and Footnotes
Fixed Income ccrtains Fixed Income Mutual Furds.
Summary of Gains and Losses
Realized
This Period Year•to-Date Unrealized
ShorbTerm Glasses 0.00 0.00 4.625 68
Net Gain/Loss 0.00 0.00 4,625.68
This summary excludes transactions where cost basis intonation is not amiable
For Your Information
Deutsche Bank will change certain service and account-related fees effective January 1, 2014.
See the *Messages' section at the end of this statement for details.
FDIC Insured Bank Deposits
(late Activity Type Desorption Mount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: N4G024935 Activity Ending: 12131113
11130113 Opening Balance 34,874,171.21 34,874,171.21
12113113 Deposit INTEREST CREDITED 802.58 34,874,97317
AM 0.03%
12116113 Deposit DEPOST 11,128,369.64 46,003,343.41
Associated Bank NA
NO 12/16 525000010
BUT
NO 12/16 $25100010
Bank of America
NO 12116 5250000.00
Olibank NA
NO 12116 525000010
Deutsche Bank
NO 12116 $43753343.
East West Bank
NO 12/18 5250000.00
NY Community Bank
NO 12116 5250000.00
Texas Capital Bank
NO 12116 5250000.00
Union Bank of CA
Paget of 10
P.C.ICISISICSF30022 M.S( Account Number Go I kg yer less R S D a t A y g L e e B d n A I Y A • e e R a A t R s T a I E n n D t A C R O o M w M UNICATIONS c O /v l l a a ow n se l s . o ••• o •• o f • e • a • i P s n e t n rs e f • n S ft R • . • L A • I • . o C • n • . [ • I ' S s •• e • U • a • P • C • S A l W ar • n • a •• • ~ •• , •
SONY GM_00O47890
P.67 INCCONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. DB-SDNY-0010714
EFTA_OCII 58499
EFTA01290527

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Statement Period: 12/0112013 - 12/3112013
FDIC Insured Bank Deposits (continued)
Date Activity Type Description Amount Balance
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
$250000.00
NO 12116
Corn enity Bank
NO 12116 $250000.00
12120113 Withdrawal WITHDRAWAL -1.855312.99 11.118,000 12
12131113 Closing Balance $44,148,000.42
Total FDIC Insured Bank Deposits 914,118,000.42
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 kicluding individual retirement accounts and certain other self diected retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Income and Expense Summary
Priest Period Year•to•Date
Taxable Non Taxable Taxable Not Taxable
Dividend Income
Other Dividends 5,076.59 0.00 15,789.27 0.00
Interest Income
FDIC Insured Bank Decorate 802.58 0.00 2,406.40 0.00
Total Dividends, Interest, Income and Expenses $5,819.15 $0.00 $18,195.17 $0.00
Distributions
Long - Tenn Capital Gain Distributions 756.26 0.00 756 26 0.00
Short • Term Capital Gain Distributions 691.44 0.00 691 44 0.00
Total Distributions $1,447.70 $0.00 $1,447.70 $0.00
Page 3 of 10
P*10SISICSF30022 Account Number: N46-024935 Go paperless [ S W ev e e d n r Y m e"< a o s ll o I-n nt A P-ow- -- e 01 t •0010. AlOWN•••• •• L •e it n . u • V , O -S WS I / S ,Se •• w ••• •••••
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EFTA_00158500
EFTA01290528

Portfol io Holdings
Activity Opening Closing Accrued Income 30.Day Current
Owing Date Quantity Account Humber BaMnce Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 9 7.0 0% of Portfolio Ending
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
11130113 44,148,000.420 N4G024935 12/31113 34674,17121 44,148.00042 622.93 2.406 40 N/A MA
Total FDIC Insured Bank Deposits 634 874 171.21 144 141 000.42 6622.93 $2,406.40
Total Cash, Money Funds, and Bank Deposits $34,874,171.21 644,146,000.42 $622.93 $2,406.40
Unrealized Estimated Estimated
Date Acquired Quantity Unit Coll Cod Balls Market Price Market Value Dalai loss Annual Income Yield
Mutual Funds 3.00% of Portfolio
P MORGAN FLOATING RATE IN COME FUND Security Identifier: PHU
SELECT SHARES CUSP: 48121L510
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
02/13/13 13 148.957.299 0.0700 1,506000.00 10.1000 1,504,468.72 4,468.72 65,988.08 4.38%
03101/1313 533.047 0.0600 5,362.46 10.1000 5,383.77 21.31 238.14 4.38%
04/01/1313 591.454 0.1100 5,979.61 10.1000 5,97369 -5.92 282.01 4.38%
05/01/13 13 562.992 0.1300 5,703.11 10.1000 5,68621 -16.90 249.41 4.38%
06103/13 13 567.343 0.0900 5,721.50 10.1000 5,730.17 5.67 251.33 4.38%
07/01/13 13 500.501 9.9700 4,990.00 10.1000 5.055.06 65.08 221.72 4.38%
08101/13 13 527.827 0.0600 5,309.94 10.1000 5,331.05 21.11 233.83 4.38%
09/03/13 13 531.248 0.0300 5,328.42 10.1000 5,365.61 37.19 235.34 4.38%
Reinvestments to 1,709.545 0.0830 17,236.97 10.1000 17266.41 29.14 757.33 4.38%
Dale
Total Covered 154,481.256 1 655 635.01 1,560,260.69 4,625.66 66,435.19
Total 164,481.266 61,655,635.01 61,560,260.69 64,625.61 669,435.19
Total Mutual Funds 61,565,635.01 91680,26019 64,625.66 668,435.19
Unrealized /weed Estimated
Cost Basis Market Value Gain/ loss Interest Annual Income
Total Portfolio Holdings $45,703,635.43 $45 708 261 11 $4,625.68 $0.00 $70,841.59
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.L110-343, 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 wtich 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 v4 be reported to the IRS on form 109943 for the applicable tax year in which the security is
disposed.
Page 4 of 10
B01051SICSFI 0 02: Account Num ber Go papeTrleIssA L t 1 S 2 e •4 v • e 4 n 1 I Y x e < a o s lle In nt A Row 0 4 1 0 4 .0.11.4.4. W..e.a.l... 0•.1.11.1.1.•4. I.le... .• .IM,.M.O./ .0.4.••.•.• I.S..I.S.,. .
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CONFIDENTIAL - PURSUANT TO FED. R CRI M. P. 6(e) DB-SDNY-0010716
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EFTA01290529

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Statement Period: 12/0112013 - 12131/2013
Portfol io Holdings (continued)
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on cc 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 delvering firm or transferrrg agent and Pershing makes no representation as to the accuracy of this information.
M essages
Federal Deposit Insurance Corporation (FDIC)4nsured Bank Deposits are not protected by Securities Investor Protection Coryoration.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:Mwm.dws-investments.conVEN/products/money-market-funds-yields.fsp. 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 ft 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,
Effective January 1, 2014, service and account-related fees wit be adjusted as follows:
• Trade confirm service charge: $6.00 per trade
• Annual IRA fee: $50
• IRA termination fee: $95
• Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded secunty and $25 per non-publicly traded security
• Foreign safekeeping fee: $6 per position, per quarter
To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments
Changes in Program Banks have taken place which require your attention.
For a kst of Program Banks, please visit hfitx/Awywnwm.db.conVemerieaSienrCashSweePOPbons.html or contact your Client Advisor.
You should advise us of Program Banks with whom you carry deposit accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in
order to maintain the maximum protection under terms of FDIC coverage.
5 of 10
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EFTA01290530

Activity Summary (All amounts shown are in base currency: USD)
Credits This Period Year-to-Dale Debits This Period Year-to-Date
Securities Securities
Secunbes Bought 000 000 Secunbes Bought -6.524.29 .17 236 97
Total Securities $0.00 $0.00 Total Securities .16,524.29 ,117,236.97
Dividends and Interest 15,879.15 $18,195.87 Dividends and Interest 10.00 $0.00
Distributions 11,447.70 $1,447.70 Distributions 10.00 10.00
Cash Cash
Withdrawals 0 00 0.00 Withdrawals -2.000.000.00 .7.005.173 24
Deposits 11.273.026 65 51 150.767 26 Deposits 0.00 0 00
Total Cash 01,273,026.85 01,150,767.28 Total Cash -12,000,000.00 -$7,005,173.24
FDIC Insured Bank Deposits 0,855,342.98 $6,885,689.47 FDIC Insured Bank Deposits ,111,129,172.20 -01,013,689.89
Total Credits 113,135,698.49 158,036,100.10 Total Debits .03,135,896.49 ,158,036,100.10
Transactions by Type of Activity
Process/
Settlement
Date Activity Type Decriptios Quantity Price Acaued Interest Amour OCT
Securities Bought and Sold
12102/13 REINVEST CASH INCOME ,P MORGAN FLOATING RATE INCOME PAD SELECT SNARES 502.136 -5,076 59 USD
,PhSX 153836 0670 *RS SHRS PURCH. AT 510 11000 RD 11127
PD 12/02/13
12/13/13 REINVEST CASH INCOME .P MORGAN, FLOATING RATE INCOME FUND SELECT SHARES 68.324 -691.44 USD
.1314SX 154338 2030 S-RS SHRS PORCH. AT 510 12000 RD 12111
PD 12/13113
12/13/13 REINVEST CA* INCOME MORGAN FLOATING RATE INCOME FUND SELECT *ARES 74.729 •756.26 USD
PFSX 154338.2030 S-PS *RS PURCH. AT 510.12000 RD 12111
PD 12/13/13
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 .6,624.29
Dividends and Interest
12/02/13 CASH DIVIDEND RECEIVED MORGAN FLOATING RATE INCOME FUND SELECT *ARES 5.07659 USD
.P+SX 153836 0670 SF RS RD 11127 PD 12102113
12/13113 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 802.56 USD
DEPOSITSINTEREST
RECEIVED
458997996
Total Dividends and interest • UNITED STATES DOLLAR 0.00 5,879.15
Page 6 of 10
Account Numbe Go paperless R S a e s a e n d 1 Y . e < a •i s lo I n n t A Pow • O • l i m slo a ra n v a e g m e p r h Oe T ni e g a lo u • s LL e C r . , • w w ra ad n e g . s le o , n c a ., w •• e •• r • a S s t
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY-0010718
EFTA_00 158503
EFTA01290531

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Statement Period: 12/0112013 - 12/31/2013
Transactions by Type of Activity (continued)
Process'
%pitmen;
Date Adivih Tvoe Decal ion Quant Price Accrued littered Amount Ca
DIstributiors
12/13/13 LONG TERM CAPITAL GAIN P MORGAN FLOATING RATE INCOME FliN 0 SELECT SHARES 756.26 USD
DISTRIBUTION 1513312030 S-RS RD 12111 PD 12113/13
.PtiSX
12/13/13 SHORT TERM CAPITAL GAIN P MORGAN FLOATING RATE INCOME FUND SELECT *ARES 691.11 USD
DISTRIBUTION 154338.2030 ShRS RD 12/11 PD 12/13/13
PHSX
Total Distributions • UNITED STATES DOLLAR 0.00 1,447.70
Cash Withdrawals and Deposits
12/13/13 FEDERAL FUNDS RECBVED BANK OF AM ERICA N.A. 20777 11,128,369.64 USD
USO999997
12/19/13 FEDERAL FUN DS RECBVED P MORGAN CHASE BANK 24003 141.657.01 USD
USO999997
12/20/13 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST .2,000.00100 USD
LSO999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 9,273,026.65
FDIC Insured Bank Deposits
12/13/13 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .802.56 USD
DEPOSITS INTEREST
REINVESTED
458997996
12/16/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM .11.128.369.64 USD
USD999997
12/20/13 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 1,855,342.99 USD
WITHDRAWAL
USO999997
Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -9,273,829.21
Total Value of Transactions 0.00 0.00
The price and quantity displayed may have been rounded.
Page 7 of 10
1,11AP-Cti I L A E c P co E u R n S t N IN u C m C ber ONFID G E o p C ap I e T rles I s A L R S O s e A A v L e e S d n A Y A m e I c t i o A S lk l t o I O n nt A C P O o M w M UNICATIONS r oomer.. •••••••miLLC. • 'Away sonie••••••Sr
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CONFIDENTIAL — PURSUANT TO FED. R. CRim. P. 6(e) DS-SDNY-0010719
EFTA_OO1585O4
EFTA01290532

Client Service Information
Your Client Advisor: TDS Contact Information
TARA SMITH Telephone Number:
345 PARK AVENUE 14TH FLOOR
NEW YORK NY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Stocks In a Dividend Reinvestment Plan: FIRST IN FIRST 01ST
Default Method for all Other Securities: 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 in unications. log in to your account or contact your Client Advisor for more information.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices 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 evadable are marked -WA- and are omitted from the Total.
The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for intonational 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
WNW. pershing.comlbusiness_continuity.htni for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed 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. 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 n 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 conceming
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day. increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Page 8 of 10
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CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONIF I Dr A NTIAL DB-SDNY-0010720
EFTA_00158505
EFTA01290533

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Statement PeriOd: 1210112013 - 12/31/2013
Important Information and Disclosures (continued)
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation lti 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 resuN 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. All other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC1. Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC Ins. For more detailed information please visit vawv.pershing.cornIstrength_stabilay.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt
of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza: Jersey
City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is Sed.
• Arbitration awards are generally final and binding; a partys ability to have a court reverse or modify an arbitration award is very Ignited.
• 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 wifi 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 clain in arbitration. In some cases, a claim that is ineligible fa 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; (tithe 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 of 10
BO 10 SOICSF3 0 On L A E c P co E u R n S t N IN u C m berms INillerieSS R Seia a nw w enm l I Y ' . R e * e wA lia lIiR n o t A C R O o M w A ILPHICaaTIONS O e ti t W n M s N e . l . i p a „C MA. P . e T n a f t n • a O y M A t e i e a P . n a C • n • 4 • 0 • s • . a • 0 • R P • S •• I • II • S I S T O MI W NO S S ,
SDW_GM_00047897
CONFIDENTIAL:
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010721
EFTA_00158506
EFTA01290534

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 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 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 APPLCABLE LAWS NC 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. PERSHINGS OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WM I 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. WWW.PERSHING.COMMUSINESS_CONTINUITY.HTML
THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS
FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHINGS PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS-
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. RULE 607(A)(1)-(2))
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS TRADING SESSIONS. CERTAIN Of THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
FiNANCLAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS
MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST.
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER PERSHING RECEIVES PAYMENTS FOR DIRECTING USTED OPTIONS ORDER FLOW TO CERTAIN OPTION
REGULATION T OE 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.
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 REOUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL TRANSMITTED ELECTRONICALLY VP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN
REVENUE SERVICE AM) OTHER GOVERNMENTAL AUTHORITIES AT THAT TIME PERSHING WILL THE NATIONAL BEST BID OR OFFER (NBB0). 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 TM FILINGS. THE TM 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 M3430 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 TM 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 NDEEITED TO PERSHING FOR ANY AMOUNT. ALL SECUFUTES 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 THE ABOVE TERMS MW CCNOMONS ARE UNACCEPTABLE TO YOU. PLEASE NOTE/ PERS•NG EAEDIAIELY IN WRITING BY CERTIFIED LIAR 10 ONE PERSHIC PLAZA JERSEY CITY. NJ 07300. AMC LEGAL DEPT
Page 10 0110
Account h um bed Rea! F xi<N al. 0.010.1•••••••• PM'S.,I le. • •••••, emwes.a...•,v
flRAR•C I I LEPERS INC Go paperless S OA v I e S n A Y . e e a ta s I I C n O A C P O o M w M UNICATIONS • • • • • a •• m TL a C m a a s m a a w s o a o^ s m [ u ra s s ax a gay a$4.4
CONFIDatnAL CACI t MICE
SONY GM_00047898
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY-00 10722
EFTA_00 158507
EFTA01290535

De...tune Ilam nownie Wea11.1naNtentni
Winans Corry', .C.na.P
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PA Pm 17rq etnnenlADartali Shrif I t I .. M V is er r t . O 3 ff 0 lo t r h floc,
Account Number: N4G-024935
Statement Period:11 /011291 3 - 11 /30/2013
Valuation at a Glance
This Period Year-to-Dale
Beginning Account Value 538,421,555.28 50.00
het Cash Deposits and Withdrawals -2,000.000 00 34,872,567.37
JEEPERS INC
Net SeowiliesInIOut of Account 0.00 1,538,411.13
6100 RED HOOK QUARTER B3
Adjusted Previous Account Value 36,421,566.21 36,410,978.50
ST THOMAS VI 00802 Dividends, Interest and Other Income 2359.21 12,316.52
Net ChaneinPadlolio 1.53836 6.75683
Estim ated Annual Income 569,755
Your Client Advisor:
Asset Allocation
Prix Year-End Last Period This Period % Allocation
051) Cash, Money Funds. and Bank Deposits' 0.00 36273177.67 34,874,171 21 95.73% Pie Chart allocation only rd.( udes
products that are or posstrve value
USD Fixed Income 0.00 1,548,371.61 1,555.282 64 4.27%
Account Total (Pie Chartl 10.00 838,421,56228 836,429,453.85 10020%
I The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured be* deposits are not securities and are not covered by the Secunties Investor Protection Corporation
(SIPC). These bank deposes are covered by the Federal Depose Insurance Corporation (FDIC). up to anawarge
See page 2 of the statement for important information regarding the Asset Arocaton section.
Page I of 9
9-009$049C5130015 Go paperless Rsrra.eedn f Y n e e a el s ln In ot A Row D •• r T A r m us e t _ • • • •• ~ •• M •• A .• C e , r r. e •m w m pw at e m ra o nne a m se S a e •
CONFIDNn nIetT i) TAL C EX IA C L IL tA L l I l N R C A C U D COMMUNICATIONS Ms. i“ ens vs ran
SDW_Ge.4_00047899
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010723
EFTA_00158508
EFTA01290536

Asset Allocation Disclosure and Footnotes
I Fused Income contains Fked Income Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Oats Unrealized
Short-Term GainlLoss 0.00 0.00 6.17192
Net Gain/ Loss 0.00 0.00 6,171.92
This summary excludes transactions where cost basis information is not avalable.
For Your Information
Go Paperless. Deutsche Asset & Wealth Management now offers electronic delivery of certain account communications for Wealth Management clients. Sign up today at wiwr.myedocumentsuite.com for this
easy, convenient and secure way to receive al of your sensitive account information. If you need assistance during enrollment, please contact your Client Advisor or Web Support at 800-776-7564.
Deutsche Rank will change certain service and account-related fees effective January 1, 2014.
See the 'Messages' section at the end of this statement for details.
FDIC Insured Bank Deposits
Date Activity Type Descrktion Mount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account hum bet. N4G024935 Activity Ending 1129113
11/01/13 Opening Balance 36.873.177.67 36.873.177.67
11111113 Withdrawal WITFORAWAL -2.000.000.00 31.873.177.67
11115113 Deposit INTEREST CREDITED 993.51 34.874.171 21
APY 0.03%
11118113 Associated Bank NA 31,871,171.21
NO 11/18 5250000.00
BBBT
NO 11/18 5250000.00
Deutsche Bank
NO 11/18 532621171.
East West Bank
NO 11/18 5250000.00
NY Comm unity Bank
NO 11/18 5250000.00
Citizens Bank
NO 11/18 5250000 00
Texas Capital Bank
NO 11/18 $250000.00
TnSlate Capital Bank
Page 2 of 9
V 0. U4q..r' 0... DRAB CU i P Ac I c R ou S nt Number Go paperless R S tie e a s a re I n t A r 't . l e c l a e e m ta lw s 1 I n C n O r A C P O o M w M UNICA T IONS r e y r ar e . s tt. e c r e m s e e o n w e o e a t^ M A w C e n ns e s s e e / c c ase •••••Mer
lICC11.11HCC
SDW_GM_00047900
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) INCCONFICinscriAL DB-SDNY-0010724
EFTA_00158509
EFTA01290537

Draisre Banc Prmaie Wealth Manentm
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Statement Period:11/0112113 - 11/31/2113
FDIC Insured Bank Deposits (continued)
Date Activity Type Description Amount Balance
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
NO 11118 $250000.00
Union Bank of CA
NO 11118 $250000.00
Com enity Bank
NO 11118 5250000.00
11129/11 Closing Balance $34,874,171.21
Total FDIC Insured Bank Deposits 134,874,171.21
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Ptotection Corporation (SIPC). The Bank Deposts at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to $250,000 for each category of legal ownership Mcluding 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
Oirrent Period Year-to-Date
Taxable Non Taxable Taxable Noe Taxable
Dividend Income
Other Dividends 5.365 67 0.00 10,712 68 0 00
Interest Income
FDIC Insured Bank Depots 993.54 000 1.603.84 0.00
Total Dividends, Interest, Income and Expenses 18,369.21 $0.00 $12,318.52 $0.0 0
Page 3 of 9
?CD 90819 CSF3001/ MAR( u i L A E c P co E u R n S t N IN u C m C ber ONFID G A E o • A p N a + T p I e 1 1. rle I ss N t : I R % W .X A I a C W .e n I ' I . g r . Y W x , < e * I o A . C . ll . I o I 1 M " n A t CPOeMwMUNiCATiOniS • C o • r u • m • e • a s •• n . i . t n • c • a • • s . • e •• a •r . v e e n n ib t o • m . • . • i • t t • u a c l w a •• o • s p •• e e • c • a • r • s • t • a •• v • r • a •• m ~1 s ,
SONY GM_OOO429O1
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010725
EFTA_00I58510
EFTA01290538

Portfolio Holdings
Activity Opening Accrued Income 30•Day Current
Opening Date Quantity Account Number Balance Baaliaance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 9 6.0 0% of Portfolio Ending
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
11101/13 34874.171210 N1G024935 11129/13 36.873,17717 34.874.17121 401.31 1,603.81 N/A N/A
Total FDIC Insured Bank Deposits 635 873 177.67 634,574,171.21 $401.31 $1,603.64
Total Cash, Money Funds, and Bank Deposits 936,573,177.67 634,874,171.21 $401.31 $1,503.54
Unrealized Estimated Estimated
Dale Acquired Quantity Unit Cod Cud Bads Market Price Market Value Gain/ Loss Annual Income Yield
Mutual Funds 4.00% of Portfolio
P MORGAN FLOATING RATE INCOME FUND Security Identifier: ANSX
SELECT SHARES CUSP. 18121L510
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
02/13113 13 148,957.299 0.0700 1,500,000.00 10.1100 1.505,958.30 5,958.30 85,988.08 4.38%
03101/1313 533.047 0.0600 5,362.46 10.1100 5,389.10 26.61 236.14 4.38%
04/01113 13 591.454 0.1100 5,979.61 10.1100 5,979.60 401 282.01 4.38%
05/01113 13 562.992 0.1300 5,703.11 10.1100 5,691.85 .1126 249.41 4.38%
06103/13 13 567.343 0.0900 5,721.50 10.1100 5,735.84 11.31 251.33 4.38%
0770111313 500.501 9.9700 4.990.00 10.1100 5.060.07 70.07 221.72 4.38%
08101113 13 527.821 0.0600 5,309.94 10.1100 5,336.33 26.39 233.83 4.38%
09/03/13 13 531.248 0.0300 5,328.42 10.1100 5,370.92 42.50 235.34 4.38%
Reinvestments to 1,064.356 0.0650 10,712.68 10.1100 10,760.63 47.95 471.51 4.38%
Date
Total Covered 153,1338.007 1,549,110.72 1,555,282.04 8,171.92 68,149.37
Total 153,836.067 $1,549,110.72 $1,555,252.64 $6,171.92 $88,149.37
Total Mutual Funds $1,549,11022 $1,555,252.64 $8,171.92 $68,149.37
Unrealized Accrued Estimated
Cost Basis Market Value Gain/ Loss Interest Anneal Income
Total Portfolio Holdings
$36,423,281.93 $36,429,453.85 $6,171.92 $0.00 $69,753.21
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.L110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered' noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as securities which have been acquired
on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is
disposed.
Page c °I9
P*090849CSF30015 (NUR pf p F A I c F c E ou R n S t N IN u C m ber Go pa)erless R S O a e A N v L e N S n I A I Y N II e N L a S O rs IN C I N n O I A G P O o M w M UNICAVIONS P a of r o T o s s t ia e e . n n a o c n 'r o e w N n e e s ve s n s t e as L e L e ' O n n . u • c ' a t m o s o e p s c t m a s e s s s e . .t . . . a } n s,v
CONFIDAENTIAL °CULLING(
SONY M1_00047902
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY-00 10726
EFTA_001585 I I
EFTA01290539

Dralsre Sam Poule Yae10 maatentm
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"re bet Ono'
PO am 1776. 8•Ittrcait M02l2.13 315 Part Oars. Halter
Statement Period: 1110112013 - 11130/2013
Portfolio Holdings
(continued)
Reporting requirements generally will be phased in over a three-year period. as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) 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 deivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information.
M essa es
Please note the following information for Pershing's 2013 IRS Forms 1099 (B, DIV, INT, 0ID and MISC): Your form 1099 will be delvered as early as possible, beginning January 31, 2014. By February 18, you
will receive either your 1099 form ora 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 inform you of the
will
securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 17, 2014.
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual hind. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your Investment professional for additional information.
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 htlps:/Aviviv.dws-investments.conVEN/products/money-market-funds-yields.jsp. Please note that all money
market funds fisted on the website may not be offered through us.
To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program Investments
Changes in Program Banks have taken place which require your attention.
For a Fist of Program Banks, please visit http://vmwowm.db.corrifamericasienrCashSweep0ptions.Mml or contact your Client Advisor.
You should advise us of Program Banks with whom you carry deposit accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in
order to maintain the maximum protection under terms of FDIC coverage.
Effective January 1, 2014, service and account-related fees viii be adjusted as follows:
• Trade confirm service charge: $6.00 per trade
• Annual IRA fee: $50
• IRA termination fee: $95
• Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded securty and $25 per non-publicly traded security
• Foreign safekeeping fee: S6 per position. per quarter
Go Papedess. Electronic delivery of certain account communications is now available. Sign up today at iwnv.myedocumentsuitecom for this easy and convenient way to access al of your account information.
Page 5 o19
tc D 9084 9CSF30011 Oltall•C I L A E c P co E u R n S t N IN u C m ber Go paperless R Suu • e M amn id . r uP N oP 0 ial 1 tra+ 1 l e ItnO ri n t C OPomwm uNICAT.O•6 C 0 40 • a • m m •• e e • lo • M y IL a C n ro N a o 0 m s • y 1 e 1 n a 1 o s * ^ , t 1 . . 1 t .0 e . r o • m * s O p s n a y i r . a < • l a •• r • n • a • s •• e • r • • • ••••1
CONFIDAENTIALrs"`"wa
SONY GM_00047903
6(e)
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0010727
EFTA _00158512
EFTA01290540

M essages
(continued)
I
Eliminating paper delivery of all your sensitive account information can help to reduce the risk of identity theft, simplify recordkeeping and. at the same time. help to preserve the environment's precious
resources. Have questions or need help enrolling? Please contact your Client Advisor or Web Support at 800-776-7564.
Activity Sum m ary
(All amounts shown are in base curtency: USD)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Secunhes Bought 0.00 000 Secunties Bought 5 365 67 10.712 68
Total Securities 60.00 WOO Total Securities -$5,365.67 -110,712.88
Dividends and Interest 66,359.21 612,318.52 Dividends and interest 10.00 $0.00
Cash Cash
Withdrawals 000 000 Withdrawals .2,000,000.00 .5005,173.21
Deposits 0 00 39 877.740 61 Deposits 0.00 0.00
Total Cash $0.00 $39,877,740.61 Total Cash -12,000,000.00 -$5,005,173.21
FDIC Insured Bank Deposits $2,000,000.00 $5,010,316.46 FDIC Insured Bank Deposits -1993.51 •131,681,517.69
Total Credits 62,006,359.21 $44,900,103.01 Total Debits -62,006,369.21 -144,900,103.61
Transactions by Type of Activity
Process'
Settlement
Date Activity Type Description Quantify Price Awned liters Amount Ca
Securities Bought and Sold
11101113 REINVEST CASH INCOME .12 MORGAN FLOATING RATE INCOME FUND SELECT SHARES 531 251 -5,38587 USD
JPHSX 153301.8130 SIRS SHRS PURCH. AT $10.10000 RD 10)30
FO 11/01/13
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 -5,365.67
Dividends and Interest
11101113 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SPARES 5,385 67 USD
PHSX 153301.8130 SHRS RD 10130 PD 11101)13
11)15/13 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 993.51 USD
DEPOSITS INTEREST
RECEIVED
458997996
Total Dividends and interest • UNITED STATES DOLLAR 0.00 6,359.21
Cash Withdrawals and Deposits
11)1013 FEDERAL FUNDS SEk T DEUTSCHE BANK TRUST .2.000 000 00 LSD
USD999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 -2,000,000.00
Fags 6 ol9
e• 0901349CSF30015 Account Num ber Go paperless R S a e s v e e d n t Y x e < a o s ll . o in nt * Pow O 40 w M w eli w a .•••• N •• e f a tr t% as M s U e S n . C • 'M at e . at IOW •• • M •• e M e w r* t
EEFERS INC A • A ) 0 ft*. O txC A E L4 IL . I 0 M M CC IL O COMMUNICATIONS ••••••••••••••••••• UPC
SONY GM_00047004
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) cO DB-S6NY-00 10728
EFTA_001585B
EFTA01290541

0nitiOe Ram IsrmaleWath Magatenmi
SWIMS COMO. GIMP
Ihm114hI I SeCuael IiC.
Ilwt Mo.
US Park /what ]MR I ker
Ian.
PM own coss)M-4091.
Statement Period:11/0112013 • 1113012113
Transactions by Type of Activity (continued)
Process/
Settlement
Date Adivih Tvoe Delaiotioa Quantity Price Arced Interest Amount OCY
FDIC Insured Bank Deposits
11114113 FDIC INSURED BANN SL RED DEPOSITS PROGRAM 2,000.000 00 USD
WITHDRAWAL
USD999997
11115113 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED •993.54 LSD
DEPOSITS INTEREST
REINVESTED
458997996
Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 1,199,006.46
Total Value of Transactions 0.00 0.00
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: TDS Contact Information
TAM SMITH Telephone Number:
345 PARK AVEALE 14Th FLOOR
NEW YORK NY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default M ethod for all Other Securities: FIRST IN FIRST OUT
Electronic Delivery
You have not selected any account tom m unicalions for eledronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for more information.
Page? of 9
Account Number Go paperless RM.! mono.. ars" weeme. II•niSsi.LC. none. e•••••••nden,
DRAB-Cu I LEPERS INC Sean Veen Ina C R O o M ve M UNICATIONS • e • i • m •• a •• n „ c n o o r s s e .. s .N ero i n c is a e S n a s c care maws
CONFIDENTIAL OCC MPS{
SONY GM_OOO479O5
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-00 10729
EFTA_00158514
EFTA01290542

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 -NIA- 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 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
vItAN. pershing.cornibusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed 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. 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 Cleating Corporation. Additional information regarding this procedure is available upon written request to your introducing frim.
Proxy Vote
Securities not lay 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 organisation 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 (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 resuN of securities transactions it processes.
• Your financial institution rs 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. All other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: vnwrpershing.comdstrength_stability.html.
Page 9 of 9
Account Number Go oaiyeriess RoRocl mallont arse aspeawassual no••••••••••••••INVI
B0098B19CSF3CIn (MIMI • I LEPERS INC C ONFIDE A• A D TIAL E S O X w A C L e I I n L A L V R E e A a C l. I I n A C R O o M w P AUPRCATiONS din•••• a •• s • t m 0• w •• o •• i v • a M s r IL e , i n M S c S o p V o C e ses. ease
SDW_GM_00047906
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) " DB-SDNY-0010730
EF'FA_00158515
EFTA01290543

DIVilOt Nna Mule weeps maagentra
belatIOIS COMM* COMP
DMUS Setwarl
/In %Ix* Olio.
us pM Amome, nIh MC,
Statement Period: 11/0112013 - 11/30/2013
Important Information and Disclosures (continued)
The Role of Pershing (corninued)
• 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; (291)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 generaly final and binding; a party's abiMy to have a court reverse or modify an arbitration award is very knifed.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied: (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern
Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330.
Page 9 Gift
1100701,49CSF3C01: Account Number: Go paperless A s R S i t f w le n d I Y m e t a n . i , la In nt A Raw e *M i m OA a N w W s I P * m n e it t s natiareine • o •• m • - • bC • r • m w e a a d e r ' y s ell ,
I CONFI DENTI
EDAxLcIntna• tRicAtlE D COMMUNICATIONS r.p.ave .......•••••• POMO
SDNY_GIA_00047907
67,
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. DB-SONY-0010731
EFTA_00158516
EFTA01290544

Drulisne Ilan' Prpule Wok» 114a.tenan
maestes (wear Gtwp
cesium is+ stn.«, w.
*We Vert Clik*
PO. 8a.1776, EIStrfas Ø21N3 HS Pawl ANN«. 2» I ter
Pin »N 10214
Account Number: N4G-024935
Statement Period:1010112013 -10131/2013
Valuation at a Glance
This Period Year-to-Date
Beginning Account Value $11,399,691.39 $0.00
Net Cash Depoits and Withdrawals -2,991,826.76 36,872,567.37
JEEPERS INC
Net Securities InlOut of Account 0.00 1,538,411.13
6100 RED HOOK QUARTER B3
Adjusted Previous Amount Value 38,404,887.83 38,110,978.50
ST THOMAS VI 00802 Dividends, Interest and Other Income 5.957 31 5,957 31
Net Chan e in Portfolio 0.73134 4 620 47
Estim ated Annual Incom e $58.830 94
Your Client Advisor:
TAZIA SMITH
Asset Allocation
Prior Year•Eed Lad Period This Period % Allocation
USD Cash, Money Funds. and Bank Deposits' 0.00 39,867,391.13 36,873,177.67 95.97% Pie Chart abscatian any ',dudes
products that are of positive value.
USD Fixed Income 0.00 1,532,30028 1,518.378.61 1.03%
Account Total (Pie Chart) $0.00 $41,399,694.31 $38,421,556.23 100.00%
I The Bank Deposits in your account are FDIC Insured bank deposits.
FDIC insured be* deposits are not securities and are not covered by the Secunbes Investor Protection Camalion
(SIPC). These hank deposts are covered by the Federal Depose Insurance Corporaton (FDIC). unto usable limit
See page 2 or this statement (or important information regarding the Asset mocaton section.
Page 1 of 9
80097269:5130016 Go pap erless R s a - ae - d y N e e — Ni k in nt ^ Re- firlarn:r ~ISO. • **~•••••• ~WWI
DALSA• RATED COMMVNICATIONS Peel~11.< •••••••• VINPA MY VC
F I DÅENIETI AL
SDNY_GM_00047908
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CON "`rEE"E DB-SDNY-0010732
EFTA_00158517
EFTA01290545

Asset Allocation Disclosure and Footnotes
Fixed Income certain& Fixed Income Mutual Fuds
Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short-Tern Gam/Loss 0.00 0.00 4.633 56
Net Gain/ Loss 0.00 0.00 4,633.56
This sunvnary excludes transactions where cost basis information is not available.
For Your Information
Deutsche Bank will change certain service and account-related fees effective January 1, 2014.
See the 'Messages' section at the end of this statement for details.
Go Paperless. Deutsche Asset & Wealth Management now offers electronic delivery of certain account communications for Wear Management clients. Sign up today at www.myedocumentsuite.com for this
easy, convenient and secure way to receive al of your sensitive account information. If you need assistance (tulip enrollment, please contact your Client Advisor or Web Support at 800-776-7564.
FDIC Insured Bank Deposits
Date Activity Type Description Mount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account h um bet. A46024935 Activity Ending: 10131113
10101/13 Opening Balance 39.867.394.13 39.857.394.13
10/07113 Deposit DEPOSIT 10.346.48 39.877.740.61
10111113 Withdrawal WITI•DRAWAL -3.000,000.00 36,877,740.61
10/15113 Withdrawal WITFORAWAL -5,173.24 36,872,567.37
10115113 Deposit INTEREST CREDITED 610.30 36,873,177.67
APY 0.03%
10116113 Deposit DEPOSIT 5.173.24 36.878.350.91
Associated Bank NA
NO 10/16 5250000.00
8867
NO 10/16 6250000.00
Bank of America
NO 10/16 S250000,00
Deutsche Bank
NO 10/16 $34628350
East West Bank
NO 10/16 6250000 00
ILY Comm unity Bank
NO 10/16 $250000.00
Page 2 of 9
DRAB Cud L A E c P co E u R n S t N IN u C m ber Go paperless lct ). .1 & S 2. e W •.O ve e W d n r Y 1 m e I < t a o a s l l l i e I e n n . t A C R O o m ve m uwiCactiONS • O • P • • M •• . • . • = I LC • • m •• e •• . / • W , •• O ••• /I A IM L M it ! . O O l C • e W el I l I N e LI O f P a C / t 0 e 0 . M ••• U •• T • • • • • • • • • f • i • t • •
CONF I D aTliAL C
SONY GM_00047909
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) oln DB-S6NY-00 10733
EFTA_00158518
EFTA01290546

(Mlle. Sam .,male Wealth Maatentell
hlanett I OreFIVC,IsP
Cettfthe Sank Settoneint.
elm *A
PO &e. 1776. °Armee MD 212u3 HI Part Aso*. Halter
Statement Period:1110112113 - 1113112113
FDIC Insured Bank Deposits (continued)
Date Activity Type Description Amount
631110
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
Texas Capital Bank
NO 10/16 5250000 00
TriState Capital Bank
NO 10116 $250000 00
Union Bank of CA
NO 10118 $250000.00
Corn enity Bank
NO 10/16 $250000.00
10117113 Withdrawal WITHDRAWAL -5.173 24 38.873.177.67
10131113 Closing Balance 338,673,177.97
Total FDIC Insured Bank Deposits 336,873,177.67
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 Mcluding individual retirement accounts and certain other sell 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 5,347.01 0.00 3,347 01 0 00
Interest Income
FDIC Insured Bank Deposits 610.30 0.00 610.30 0 00
Total Dividends. Interest, Income and Expenses $6,967.31 30.00 $5,957.31 $0.00
Page 3 of 9
PC, 0 97269CSF30016 DRAB. 0 L A E c P co E u R n S t N IN u C m ber Go paper-less S a O m e A v L e e I n n u 1 U Y . t e < * a * A i r i s I e M I n n t A C R O o m w m uNICATtOrkr1 O Ole S n e I e r I ie L e C •• •• e • t • i a • a m s P s e e T . r n F e m e s n iL s L , O . r e . . C • . . w a A • e P • a • < • r • o •l w e e a d n a se ll a y S e a fee
SONY GM_00047910
CONFID AENTIAL n""`NCe
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010734
EFTA_0015 8519
EFTA01290547

Portfolio Holdings
Adivity Opel* Closing Parsed Income 30•Day Owed
Opening Date Quantity Account Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 96.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
10101(13 36.873.177.870 N4G024935 10131i13 39 867.394 13 38,873,177.67 484.93 610.30 NSA MA
Total FDIC Insured Bank Deposits 139.867 394.13 136 873 177.87 1484.93 1610.30
Total Cash, Money Funds, and Bank Deposits 939,867,394.13 $36,873,177.67 1484.93 1610.30
Unrealized Estimated Estimated
Dale Acquired Quantity Unit Cod Cod Basis Market Price Market Valle Gated Loss Annual Income Yield
Mutual Funds 4.00% of Portfolio
P MORGAN FLOATING RATE INCOME FUND Security Identifier: PHSX
SELECT SHARES CUSP:481211510
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
02113113 13 148,957.299 0.0700 1,500,000.00 10.1000 1,504468.71 4,468.71 66,286.00 4.40%
0310111313 533.047 0.0600 5,362.46 10.1000 5,383.77 21.31 237.21 4.40%
04101113 13 591.454 0.1100 5,979.61 10.1000 5,97389 -5.92 283;20 4.40%
05101113 13 562.992 0.1300 5,703.11 10.1000 5,686.22 -16.89 250.53 4.40%
08103113 13 567.343 0.0900 5,724.50 10.1000 5,730.18 5.66 252.47 4.40%
07101113 13 500.501 9.9700 4.990.00 10.1000 5.055.05 65.05 222.72 4.40%
08101113 13 527.827 0.0600 5,309.94 10.1000 5,331.05 21.11 234.88 4.40%
09103113 13 531.248 0.0300 5,328.42 10.1000 5,385.81 37.19 236.41 4.40%
Reinvestments to 533.102 0.0300 5,347.01 10.1000 5,384.35 37.34 23722 4.40%
Date
Total Covered 153,304.113 1,543,745.05 1,548,378.81 4,633.58 68,720.84
Total 153,301.813 $1,543,745.05 11,548,378.81 $4,833.56 $68,220.64
Total Mutual Funds 11,543,745.05 11,648,378.81 $4,833.58 $68,220.64
Unrealized Accrued Estimated
Cost Basis Market Value Gain/ Loss Interest Annual Income
Total Portfolio Holdings
$38,416,922.72 $38,421,556.26 $4,633.56 $0.00 $68,830.94
Footnotes
Securities acquired before 2011 are generally not subject to the new cost basis reporting miles set forth in the Internal Revenue Code of 1988, as amended ('IRC') (incorporating amendments enacted by
P.L110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered' noncovered,' under the new cost basis reporting rules, and marked or dended 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 v4 be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Page 4 of9
P*097269CSF30016 ()RAS Cul Account Num ber Go PaPeTleIsAS 1 R 1 a ... p ' e V ' F e A Z eo : l s he ig n s t A ctamucAnoris M Ow a n r s : " „ s c it te m ra a w m h m e a s L I. s C n . • i t 'A p s a in r aware =
INCc ONFIDEN
SONY_GM_00047911
El g
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 61: E DB-SDNY-00 10735
EFTA 00158520
EFTA01290548

Dralsre San, Ponle Wei11. Mamtentill
Weals COntiteG,C,P
Chnthe Sank Setwan v4,
Mrs bet Once
PO. em 1716, 8.4 wolf MD 21203 315 Pot Aire, Halter
Mew %A ItY IOVA
I/ 1?) VA.M..1111.,211.409S
Statement Period: 10/0112013 • 10/31/2013
Portfolio Holdings (continued)
Reporting requirements generally will be phased n over a three-year period, as follows:
• Stack 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, 2013, or later, as determined by the Secretary of the Treasury.
The cost basis of this security has been provided to us by the delvering firm or transferring agent and Pershing makes no representation as to the accuracy of this information.
13
M essages
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held In your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your investment professional for additional information.
Federal Deposit Insurance Corporation (FDIC)4nsured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC).
For disclosure of rates for DWS money market funds, please visit the OWS Investments website at https:/Awm.dws-investments.com(EN/products/monerrnarket-funds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments
Changes in Program Banks have taken place which require your attention
For a fist of Program Banks, please visit httplAwwiovmdtaconVameriCaSlen/CashSweeD0olions.html or contact your Client Advisor.
You should advise us of Program Banks with whom you carry deposit accounts outside of the Insured Deposit Program. instructing us to exclude them from accepting deposits for your account in the Program, in
order to maintain the maximum protection under terms of FDIC coverage.
Effective January 1, 2014, service and account-related fees win be adjusted as follows:
• Trade confirm service charge: $6.00 per trade
• Annual IRA fee: $50
• IRA termination fee: $95
• Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded security and $25 per non-publicly traded security
• Foreign safekeeping fee: $6 per position, per quarter
Go Paperless. Electronic delivery of certain account communications is now available. Sign up today at www.myedocumentsuite.com for this easy and convenient way to access al of your account information.
Eliminating paper delivery of a your sensitive account information can help to reduce the risk of identity theft, simplify recordkeeping and, at the same time, help to preserve the environments precious
resources. Have questions or need help enrolling? Please contact your Client Advisor or Web Support at 800-776-7564.
Page 5 of 9
00077269CSF3C016 Account Num tier Go paper leSS Ralscl I xeollont •• nam O e n...ftvri,e. SsM • 1 • 1 • . • 0 n . e a M .. a •• t •• iw sl a a r Y n e = o w li e m re r
LEPERS INC lACE M IL A M IC OMwaNVICATIONS rear* /sad FS MY lec
SDW_GM_00047912
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIEIENTIA L °AL [toe DB-SDNY-0010736
EFTA_00158521
EFTA01290549

Activity Sum m ary (All amounts shown are in base currency: USO)
Credits This Period Year-lo-Date Debits This Period Year-to-Date
Securities Securities
Secunties Bought 0 00 0 00 Secunhes Bought -5.34101 -5.347.01
Total Securities $0.00 $0.00 Total Securities -$6,347.01 -$5,317.01
Dividends and Interest $5,957.31 $5,957.31 Dividends and interest $0.00 $0.00
Cash Cash
Withdrawals 000 000 Withdrawals -3.005.173 21 3.005.173 24
Deposits 10.346 18 39.877.740 61 Deposits 0.00 0.00
Total Cash $10,346.18 $39,877,740.61 Total Cash -$3,005,173.21 -$3,005,173.24
FDIC Insured Bank Deposits $3,010,316.111 $3,010,346.48 FDIC Insured Bank Deposits -$16,130.02 -$39,883,524.15
Total Credits 63,0200017 $42,894,044.40 Total Debits -$3,026,850.27 -$42,891,044.40
Transactions by Type of Activity
Nast'
Settlement
Date Amon •e Desai be Quant Price Accused Interest Amount Ca
Securities Bought and Sold
10/01/13 REINVEST CASE INCOME $ MORGAN FLOATING RATE INCOME FUND SELECT SF ARES 533 102 -5,34701 USD
PISX 1527711110 Sin SIRS PORCH. AT $10.03000 RD 09/27
PO 10101/13
Total Securities Bought and Sold - UNITED STATES DOLLAR 0.I0 -5,317.01
Dividends and Interest
10101113 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 5,317 01 USD
.PHSX 1527713110 SHRS RD 09/27 PD 10/01/13
10/15/13 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 610.30 USD
DEPOSITS INTEREST
RECEIVED
458997996
Total Dividends and interest • UNITED STATES DOLLAR 0.00 5,961.31
Cash Withdrawals and Deposits
10107113 YO UR ASSET TRAK SFERRED ACM BALANCE 0902 .PA CB/kA MC W60975005 3,173.21 USD
U50999997
10/07/13 YOUR ASSET TRAI• SFERRED ACAT BALANCE 0902 PtICBRA NC W60975005 5,17321 USD
US4399997
10/11/13 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -3,000.000.00 USD
USD999997
10117/13 YO UR ASSET TRANSFERRED ACAT BALANCE 0902 SKICBNA NC W60975005 -5,173_21 USD
050999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 -2,991,826.76
Page 5 o19
ec097269CSF30016 L A E c P co E u R n S t N IN u C m ber Go paperless R s D a A — " k M ed % Y I rie e R T v A o h r lid i E n n D t A C R O e M v, MON CA IONS O o O n r a A . t s p m * ie i“ i n n s . e 's o .M . a r a . l • o • e s •• e s • L • L •• O r • n . • c a M ao s a l i w e n a •• s • • g • n • • a • w •• . • ••t
CO N F I DAENI TI ""c
SONY GM_00017913
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY-00 10737
EFTA_00 158522
EFTA01290550

Gnaw, e Ban' .rune Weal. Maatentm
Ms eats I (melee COMP
Cettsche Sank Sett* on .4.
Mrs Verb Once
.115 Pin •••••• Halter
Statement Period: 10/0112013 -1013112013
Transactions by Type of Activity (continued)
Process/
Settlement
Date Adis e Death ion Ouantil Price Acaued Interest Amount CCi
FDIC Insured Bank Deposits
10107/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -10.34648 USD
USO999997
10111113 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 3,000,000.00 USD
WITHDRAWAL
USD999997
10115113 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 5,173.24 USD
WITHDRAWAL
USD999997
10115113 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -610.30 USD
DEPOSITS INTEREST
REINVESTED
458997996
10116113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -5.17324 USD
USO999997
10117113 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 5.17324 USD
WITHDRAWAL
USO999997
Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 2,994,216.46
Total Value of Transactions 0.00 0.00
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: TDS Contact Information
TAN Ss/ ITh Telephone Number: 1212)454-2885
345 PARK AVENUE 1411- FLOOR
NEW YORK NY 10154
Your Account Information
Investment Objective
Investment Objective: GROV/TI-
Investment Objective: INCOME
Page? of 9
EP,Awrless*,
eCC197269CSF30016 Account Numbers GA Raa.ci igt gilded .O 1,.. a W . alle a t r w an o A w .. w .A e. 0 .. . cnrvi irlys a e l s s o eves os,v
Oar: RLLD COMMUNICATIONS vows, „c ems wow^ vent sec
LEPERS DN
SONY GM_0oo47914
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) IN CC N FI TIA DB-S6NY-00 10738
EFTA_OO 158523
EFTA01290551

Your Account Information
(continued)
Risk Exposure: NONE SPECIFIED
Please review your investment objective. If you wish to make a change or have any questions please contact your Client Advisor.
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 sere cted any account cot r,unicatiors for electronic delivery To register and turn off paper con m unications, log in to your account or coated your Client Advisor for m ore information.
Important Information and Disclosures
Pricing
This section includes the net market value of the securties 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 —NIA— 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
vmw.pershing.cornibusthess_conlinuity.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. 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 evadable 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 concernimg
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itseff 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. dolars 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 (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. ti acts as custodian for funds and securities you may deposit with it directly or through your fmancial institution or that it
Page 8 of 9
00097:49CSF300:4 1,nAl • ; I L A E c P co E u R n S t N IN u C m C ber ONFID G te5 o wn P N alw " ri n ess A L 14 ), R w an w d r I A toll...1 Peva.. \LC ••••••••••la Wild VC
SDNY_GA4_00047915
CONFIDENTIAL - PURSUANT TO FED. R CRI M. P. 6(e) DB-SDNY-0010739
EFTA_00158524
EFTA01290552

Gnaw, e Banc Prmaie Weal. Maatentra
carne Gawp Comp
Cavtsche Mr* Sett* vie.
Mew bet Once
.115100 •caw, 20th MC'
Statement Period: 10/0112013 - 10131/2013
Important Information and Disclosures (continued)
The Role of Pershing (taxi/hied)
receives as the result of securities transactions ft 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 suitabiity of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 4134333. All other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPCA). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: vnwrpershing.conttrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt
of this statement. Please be advised that any oral communication should be re-confined in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's corded information can be found on the first page of this statement. Pershing's contact information is as blows: 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 tied.
• Arbitration awards are generaly final and binding; a party's abilly to have a court reverse or modify an arbitration award is verylirrited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem.
Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330.
Page 9 of 9
Account Number: Raftpd xollont .Onwnnasn.u simenewnronmabrsiseen uct-e •• •1•.•0•0•0•/ ••••••••••••• •••• • • • • • •• •
B009.7.769CSF3C016 GO PaPerless
LEPERS INC C ONFIDA 5WA N)1111 0T IAL EXCIIIOCC AMY, MAC •••••••••041A tetia
SDW_GM_00047916
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DEt-SONY-0010740
EFTA_00158525
EFTA01290553

Draisee gam, Ponle \Yeah Ma.ztenan
Mw ets COreFIVG.AP
Sank Senoneint
Mrs bet OR,.
eat 1771 Ea/ragI C 21XO 315 Pot S. leth I ter
Account Number: N4G-024935
Statement Period: 0911912013 - 09/30/2013
Valuation at a Glance
This Period Year-to-Date
Beginning Account Value $0.00 $0.00
het Cash Deposits and Withdrawals 39.867.394 13 39.867,39413
JEEPERS INC
et Securities Inl0ut of Account 1.538.411.13 1.538.411 13
6100 RED HOOK QUARTER B3
Adjusted Previous Account Value 41,405,805.26 41,405,805.26
ST. THOMAS VI 00802 et Change in Portfolio .6.110 87 .6,110 87
nchno Account Value $41,399,694,39 $41,399,694,39
Estim aced Annual Income $69.511 12
Your Client Advisor:
TAM SMITH
(2121 151-2889
Asset Allocation
Prior Year-End Last Period This Period % Allocation
r.2. .::- '.' cley Funds, and Bank Deposits' 0.00 000 39,867,394 13 96.30% Pre Chart albcauon only ildodes
products that are of positive value.
I, SD F.xed income 0.00 0.00 1.532.300.26 3.70%
Account Total (Pie Chart) $0.00 $0.00 611,399,691.39 100.00%
I The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured benic deposits are not securities and are not covered by the Securities Investor Protection Corporation
(SIPC) Tnese bank deposes are covered by the Federal Deposit Insurance Corporaton (FDIC). up to arowable knits.
See page 2 of INS statement for imponam riformation regarding the Asset Ai:Kahan section.
Page 1 of 9
B009 8.4 OCSF3 0022 Go paperless R Se a v te e d n r V .c e M a. y . n I t n A Pan .....vrtrowns.• u.c. • •••••« se sans.
OALSPJI RAICOCOMAALINICATIONS ....as pens
CONFIDECMAL uCILIOKE
SDW_GA1_00047917
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010741
EFTA_00158526
EFTA01290554

Asset Allocation Disclosure and Footnotes
Fixed Income ccrtains Fixed Income Mutual Ferds.
Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealaed
Short-Term Gain/Loss 000 0.00 .6.097.78
Net Gain/Loss 0.00 0.00 -6,097.78
This summary excludes transactions where cost basis intonation is not avalable
For Your Information
Deutsche Bank will change certain service and account-related fees effective January 1, 2014.
See the 'Messages' section at the end of this statement for details.
Go Fearless. Deutsche Asset 8 Wealth Management now offers electronic delivery of certain account communications for Wear Management clients. Sign up today at vAnw myedocumentsuite.com for this
easy, convenient and secure way to receive al of your sensitive account information. If you need assistance during enrollment, please contact your Client Advisor or Web Support at 800-776-7564.
FDIC Insured Bank Deposits
Date Activity Type Description Mount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number. N46024935 Activity Ending: 09130113
09119113 Opening Balance 0.00 0.00
09127113 Deposit DEPOSIT 39.867.39413 39.867.394 13
09/30113 Closing Balance 939,867,394.13
Total FDIC Insured Bank Deposits $39,661,394.13
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposes at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to 5250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Page 2 of 9
re...
P.C.0915810CSF3002: Account Numc bero NFID G E o p N aperle 1 ss A * L R Se o v tr e a n l Y c e c a ra s r I a n t A Rove .Creortriandse. 1.1.6 • Meat ••••• •••••104,
REFERS INC . IT I El. °ALCOA trattOCOTratraatiCATIONS „C •••••••••••A sin
SDNY_GM_00047918
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010742
EFTA_00158527
EFTA01290555

Only,. Ram Connie Wok', maagental
1.1•90ISCOMfatfeComp
CeMUM Mit Setionei k.
PO em 1776. Plok no-a MO Dan In PI N O o w S * i, t '. t . ,. O H nc a e I ter
Statement Period: 09/19/2013 • 0913012013
Portfolio Holdings
Activity Opening Closing Accrued Income 30-Day Current
Opening Date Quantity Account Number Edina Balance Balance WNW This Year Yield Yield
Cash, Money Funds, and Bank Deposits 96.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
09/19113 39.867.394.130 k46024935 09/30/13 0.00 39.867,39413 131.0$ 000 N/A N/A
Total FDIC Insured Bank Deposits 10.00 139 861 394.13 $131.06 $0.00
Total Cash, Money Funds, and Bank Deposits tom $39,567,394.13 0131.05 10.00
Uarealized Estimated Estimated
Date Acquired Quantity Unit Coal Cost Basis Market Price Market Value Gale/ Loss Annual Income Yield
Mutual Funds 4.00% of Portfolio
P MORGAN FLOATING RATE1NCOM E FUND Security Identifier: PHSX
SELECT SPARES MIR. 481211510
Open End Fund
Dividend Option: Reinvest. Capital Gains Option: Reinvest
02/1311319,17 118,957.299 10.0700 1,500,000.00 10.0300 1,494,041.71 -5,958.29 67,775.56 4.53%
03/01113 $2.13 533.047 10.0800 5,362.46 10.0300 5,346.48 -16.00 242.54 4.53%
04/0111312.13 591454 10.1100 5,979.61 10.0300 5,932.29 •47.32 269.11 4.53%
05/01113 $2.13 562.992 10.1300 5,703.11 10.0300 5,646.80 -56.31 256.16 4.53%
06/0317311,f3 567.343 10.0900 5,724.50 10.0300 5,690.48 -34.04 258.14 4.53%
07/01113 1O 3 500.501 9.9700 4,990.00 10.0300 5.020.03 30.03 227.73 4.53%
08/01113 13.13 527.827 10.0800 5,309.94 10.0300 5,294.10 -15.84 240.16 4.53%
09/03/13 11.13 531248 10.0300 5,328.42 10.0300 5,328.41 -001 241.72 4.53%
Total Covered 152,771.711 1,538,398.04 1,532,300.26 4,097.75 69,511.12
Total 152 771.711 31 538 395.04 $1,632,300.26 -$6,097.78 $69,511.12
Total Mutual Funds 11,530,395.04 11,532,300.28 -36,091.18 $69,511.12
Unrealized Acciued Estimated
Cod Basis Market Value Gain/ loss Interest Masai Income
!Total Portfolio Holdings 941.405.792.17 S41,399,694.39 -$6.097.75 30.00 369,511.12
Footnotes
Securities acquire: before 2011 are generally rot subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended (9RC') (int0rp0rating amendments enacted by
Page 3 of 9
BOO MI CCSF3 0 On L A E c P co E u R n S t N IN u C m bur Go paper-less 7,,. R S(s a taw te .i d m f Y x ,n < *n o A ll I o iMn nt A C P O e M w MUNICAltONS • C • s seseaw•r w os a . n . t . s n , o S . e ' a W P I O a • E M W s s V O C ", 000041N4•s••"~ 1
E A
SDNY_GIA 00047919
1:i5N
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CO N F I ' DB-SONY-0010743
EFTA_00158528
EFTA01290556

Portfolio Holdings (continued)
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 c' denoted as such All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered' under the new cost basis reporting rules are defined as securities which have been acquired
on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2013, or later, as determined by the Secretary of the Treasury.
It Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
it The cost basis of this security has been provided to us by the delivering fimi or transferring agent and Pershing makes no representation as to the accuracy of this information.
M essages
Pursuant to the Securities Exchange Act of 1934. Pershing LLC (Pershing), a BNY Melon company. provides individual investors with certain financial nformation on a semi-annual basis.
Pershing's June Statement of Financial Condition is now available. On June 30, 2013, Pershing's net capital
of $1.6 bdion was 12.92% of aggregate debit balances and exceeded the minimum requirements by 51.4 billion.
Pershing is also required to provide the most recent financial information as of this statement mailing. In accordance with this requirement, note that on July 31, 2013, Pershing's net capital of $1.7 billion was
13.56% of aggregate debit balances and exceeded the minimum requirement by $1.5 ban.
A copy of the June 30. 2013. Statement of Financial Condition is available at pershing.comistatement_of_financial_condition.html. You may also request a free. printed copy by calling (888) 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 DINS Investments website at htlpsitymw.dws-investments.corNEN/products/money-market-funds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Please see the
money market mutual fund's prospectus or contact your investment professional for additional information
For any position noted as a restncted security, the Market Price reflected is the market price for the unrestricted and freely tradeable security. An investor holding a restricted security may not be able to sell that
security at the price indicated, if at all.
Go Paperless. Electronic delivery of certain account communications is now available. Sign up today at myedocumentsuittcom for this easy and convenient way to access all of your account information.
WNW.
Eliminating paper delivery of all your sensitive account information can help to reduce the risk of identity theft, simplify recordkeeping and, at the same time, help to preserve the environment's precious
resources. Have questions or need help enrolling? Please contact your Client Advisor or Web Support at 800-776-7564.
To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments
Changes in Program Banks have taken place which require your attention.
For a list of Program Banks, please visit httoliwwworms.db.condamericasferdCashSweepOptions.html or contact your Client Advisor.
Page .1 of 9
BOV.10SICCSF3002: Account Number MM. Go paperless R"`" Extelld i e n lt A 'tow r sccs o as o t m sc e ,r .PordSgli.C w . a • s .• • s •• e • c •• •desseeman
WM INCC ONFIDENTIAL D LA A M LIA L EN R /C A I T ED COMMUNICATIONS
SDW_Glit00047920
CONFIDENTIAL - PURSUANT TO FED. R. CRIM, P. 6(e) DB-SDNY-0010744
EFTA_00158529
EFTA01290557

Dnire Exn PinwaleW.1M Magatentm
Miff ts Corey, C0O.P,
CHUM SW know% nt
Yr. *A
PO &ix 1776.8* troy MO212u3 HI Piet Ann Halter
Statement Period:09/19/2013 - 09/30/2013
M essages (continued)
You should advise us of Program Banks with whom you carry deposit accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in
cider to maintain the maximum protection under terms of FDIC coverage.
ADV PART 2 IS AVAILABLE UPON REQUEST FROM YOUR DEUTSCHE BANK SECURITIES INC. CLIENT ADVISOR.
Effective January 1, 2014, service and account-related fees will be adjusted as follows:
• Trade confirm service charge: $6.00 per trade
• Annual IRA fee: $50
• IRA termination fee: $95
• Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded security and 525 per non-publicly traded security
• Foreign safekeeping fee: $6 per position, per quarter
Activity Sum m ary (Al amounts shown are in base currency. USD)
Credits This Period Year-to-Date Debits This Period Year•to-Date
Cash Cash
Deposits 39,867 394 13 39,867,394 13 DeposIs 0.00 0.00
Total Cash $39,867,394.13 $39,867,394.13 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $0.00 $0.00 FDIC Insured Bank Deposits •$39,8$7,301.13 -$39,007,304.13
Total Credits $39,887,394.13 $39,867,394.13 Total Debits .$39,867,394.13 -$39,887,394.13
Transactions by Type of Activity
Process' Trade!
Settlement Transaction
Date Date Activity Type Desuiptles (apathy Nice Awoed Interest Amount CCY
Securities Withdrawals and Deposits
09/27113 09/26113 YOUR ASSET TRANSFERRED ,P MORGAA FLOATING RATE INCOME FUND SELECT SHARES 152 771 711 0.00 USD
4 • FRAC 7110 0902 .FMCBNA NC W60975005
Total Securities Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 0.00
Cash Withdrawals and Deposits
09127113 YOUR ASSET TRANSFERRED ACAT BALANCE 0902 PM C8kA A/C W60975005 39,867,394.13 DSO
LS13999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 39,687,394.13
Page 5 of 9
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Transactions by Type of Activity (continued)
Process Trade!
Settlement Transaction
Date Date Activity Type Description Ouantity Price Accrued Interest Mount CCY
FDIC Insured Bank Deposits
09/27113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -39 867,394 13 USD
USD999997
Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 -39,667,394.13
Total Value of Transactions 0.00 0.00
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: TDS Contact Information
TAZIA SM ITh Telephone Num bet
345 PARK AVENUE 14Th FLOOR
NEWYORK NY 10154
Your Account Information
Investment Objective
Investment Objective: GROWTh
Investment Objective: INCOME
Risk Exposure: NONE SPECIFIED
Please review your investment objective. If you wish to make a change or have any questions please contact your Client Advisor.
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
Copies of Statement Sent
,EFFIEY EPSTEIN
At your request copies of this stalem enl have been sent to the above.
Electronic Delivery
You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Client Advisor for more information.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from
sources which we believe to be reiable. 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 cuitent 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.
at may be affected by current and future economic, poetical, and business conditions, they should not be reied on for making investment, trading, or tax decisions. These figures assume that the position
Page 6 of 9
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Important Inform ation and Disclosures (continued)
Pricing (conimue0)
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
Wffiv.pershing.cornThesiness_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. 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 automaticaly 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 Ann.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The light to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account
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) veil be billed at the rates such agents
use.
Important Arbitration Disclosures and Important Arbitration Agreem ent
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 abibty 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, it 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 attested 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? el 9
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Important Arbitration Disclosures and Important Arbitration Agreement (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 we respect to any
clams encompassed by the putative class action until, (I) the class certification is denied; (II) the class is decertified; or (II1)11w 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;
Pagel of 9
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TERMS AND CONDITIONS
NOT RELY UPON ANY SUCH ADVICE, IF GIVEN. INVESTORS ARE ENCOURAGED TO THIS STATEMENT WILL BE DEEMED CONCLUSIVE. YOU ARE ADVISED TO REPORT ANY
CONSULT THEIR TAY AMMAN TO DETERMINE THE APPROPRIATE TAX TREATMENT INACCURACY OR DISCREPANCY ONCLUOING UNAUTHORTZIO TRADING). TO YOUR
GENERAL INFORMATION Of THEIR BUSINESS. FINANCIAL ORGANIZATION AND PERSHING, WITHIN TEN DAYS AFTER RECEIPT OF THIS
I. ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS II. PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIAUST, STATEMENT. PLEASE BE ADVISED THAT ANY ORAL COMMUNICATION SHOULD BE RE-
PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON ODD LOT DEALER. MOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY, CONFIRMED IN WRITING TO FURTHER PROTECT YOUR RIGHTS, INCLUDING YOUR
PERSHING'S BODES CR RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE AT TN TIME Of ANY TRANSACION RIGHTS UNCAP THE SECURITIES INVESTOR PROTECTION ACT.
CONDUCT OF ITS BUSINESS. YOU MAY MAKE, PERSHING MAY HAVE A POSITION IN SUCH SEOJRCES, WHICH YOUR FINANCIAL ORGANIZATION'S CONTACT INIORMATION CAN BE FOUND ON THE
2. ALL OCOS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISE POSITION MAY BE PARTIALLY OR COMPLETELY KEDGED. FIRST PAGE OF THIS STATEMENT. PERSHING'S CONTACT INFORMATION IS AS FOLLOWS:
SHALL TM SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. 12. If AVERAGE PIKE TRANSACTOR. IS INDICATED ON ME FRONT Of TEN STATEMENT PERSHING EEC; LEGAL DEPARTMENT; ONE PERSHING PLAZA. IERSEY CITY, NEW JERSEY
USAGES, RULINGS AND INTERPRETATIONS OF THE EXOUNGE OR MARKET AND THE YOUR FINANCIAL INSTITUTION OR PERSTENG MAY HAVE ACTIONS NINON; AGENT 07/99. (201) 4113120. ERRORS AND OMISSIONS EXCEPTED.
CLEARING FACILrY, E ANY, WHERE THE TRANSACTIONSARE EXECUTED ANC/OR OR BOTH. DETAILS AVARACE UPON REQUEST.
SETTLED. OR IF APPUCABLE, DE DIE FINANCIAL INDUSTRY REGUIATORY AUTHORITY
IS. A FINAIJOAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL
AND TONE APPLICABLE LAWS AND REGULATIONS, PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES
INSPECTIONAT PERSHING'S OFFICES. A COPY OF TT WILL BE LURED UPON YOUR
B. WHENEVER YOU ME INDEBTED TO PERSHING LLC (*PERSHING') FOR MY AMOUNT. WRITTEN REQUEST C4 YOU CAN VIEW a ONLINE AT DAWN PEFASHING.00.4 DISCLOSURES [REGULATION NMS —RULE 607[AX l)-(2))
I A N L T L E S R E E C S U T R S T M IM AL S L C SE ID CU B R Y E I A T L F L O Y R O U YO R U U I A N M A U N T Y IE A S C T C O O P U E N R T S IN HI N W G H . I A C N H D Y P O E U R H M A II V N E G A M N A Y Y IN 14. 'MISSTATEMENT MOND BE RETAINED FOR YOUR RECORDS. P C E O R M m MU ili N ff I C SE A N T D IO S N C N AR ET M W EN O R E K Q S U . I T O Y R O B R R D O E K R E S A D TO E A EX U C R H S A D N U G R ES IN , G LU N C O E R R M O A N L K B . USINESS HOURS
IR DIXRETION AT ANY THE, WITHOUT TENDER. DEMAND OR NOTICE TO YOU. ANC/ DURING EXTENDED TRADING SESSIONS CERTAINOF THESE VENUES PROVIDE
C PU LO R S C E H A O S R E R O E R D U B C O E T A H N O Y f O A R L L M O L R O A F N Y Y O S U E R C U A R C I C TI O E U S N C T A S R B R Y IE P D U I B N L S IC U O CH R P A R CC IV O A U TE N T S S A ; L A E M OR THE ROLE OF PERSHING P C A H Y A M R E A N C T T S E R T M O I P C E S R O S F H I T N H G E O G R IL C D H E A R R A G N E D A A C N C Y E S S S U F O EL S L M T E O N P T E R EX S E H C IN U G T O IO f N P . E N ND A IN D G D I U T P IO O N N THE
BALANCE REMATMIN DUE PERSHING TO BE PROMPTLY PAID BY YOU. PERSHINGCARRIESYOUR ACCOUNT AS ELWIN BROKER PURSUANT TO A CLEARING PERSHING MAY EXECUTE CERTAIN EQUITY ORDERSAS PRINCIPAL. THE WAILS OE THESE
4. WHENEVER YOU ME INDEBTED TOPERSHING FOR ANY AMOTNET, ALL SECURITIES AGREEMENT WITH YOUR FiNANON. INSTITUTION. PERSHING MAY ACCEPT FROM YOUR PAYMENTS AND TEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES
CARRIED FOR YOUR ACCOUNT ME OR MAYBE. WITHOUT FURTHER NOTICE TO YOU. FINANCIAL INSTITUTION WITHOUT INQUIRY OR INVESTIGATION MOWERS FOR THE PAYMENTS FOR DIRECTING USTI° OPTIONS ORDER FLOW TO CERTAIN OPTION
WANED OR PLEDGED BY PERSHING, EITHER SEPAMTLLY OR UNDER PURCHASE AND SALE Of SECURITIESMOOTHER PROPERTY AND DO ANY OTTER EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM Of A PER OPTION CONTRACT
CXRCULISTANCESWIIKII WILE PERMIT THE COMMINGLING 'HEREOF. WITH OTHER INSTRUCTIONS CONGERVIPIG YOUR ACCOUNT. PERSHING IS NOT RESPONSIBLE OR TIME CASH PAYMENT.
U P SE R M C O I U U H R T IB IT I I E I T E S E S D T F O B O Y R P L E A A R N W S Y H . A IN M G O . B U U N T T N LE O S T S U T N H D A E N R , M CIR U C M UM T S O T A O N R C G E R S E F A O T R E R A M N A AM N O Y U O N U T R I I F A T T O G D A R E S O N A S E T N E S S O Y N S F A O M C Y T T O I S S U S U O R P U R T E I R R O T V A I M A IS B I N S E I S O U T I N O , H O . N E I F N S M A S O . T P M f I E T Y R U T O S R T U H I A O R I N N N F G S I M A N P C A I R D T N O I C O V Y I N I O A D U O L E I S R A N G N O S R O T R E I T I X E N U R V T T E H . I O P S A E T N T R M Y O S E O R H N U I I T N T W S G A I E D A L M L C V P T C N L S E O O A T N Y S O H E T E R O H S L E D A D O N E D S M E BE X S E IN T C E U I X T M I E O C N F U O O T R I f O O O N R V N D E E O R R - T T W F H L E IT O - H C W O S , T U P A N E N T R E D S R H IN I A N G N G T D C I E E E x P C O R H E S A V N C O G O U E S . M U P S A M T R I M A O G A S R R E A C K P U E P H T E R C TT E E E N G S T A T E R R R D A S IN N T G S O A P C R TI O O M NS O
S. TITLE TO SECURITIES SOLD TO YOU, WHERE PERSHING HAS ACTED AS PRINCIPAL PERSHING OR ANY PERSON CONTROLLING OR UNDER COMMON CONTROL WITH TT WHICH AGREE TO ACCEPT ORDERS, TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED
SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR LIABLE FOR ANY INVESTMENT LOSSES INCURRED BY YOU. SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER
UNTIL THE SETTLEMENT DATE, WHICHEVER IS LATER. (CBOT ON CERTAIN LARGER ORDERS, OR ir NE DEC HATED PARROT CENTERSDO NOT
PUSHING PERFORMS SEVERAL KEY FUNCTIONS AT TIE DEMOTIONOF YOUR FINANOAL MAKE A MARKET IN THE SUBJECT SECURITY, PERSHING DAECTLY CONTACTS MARKET
& YOU MAY MA RECEIVED CONFIRMATIONS FOR TRANSACT IONS WHICI DO NOT INSTITUTION. ET ACTS AS CLESTOEXAN FOR FUNDS AND SECURITTES YOU MAY DEPOSIT CENTERS TO °VAN AN EXECUTION. THE DESIGNATED AMPICET CENTERS TO WHICH
A N P E P X E T A P R E O RI N OO Y I O C U S R T A S T T E A M TE E M N E T N . S T U . I C f H S T O R , A TH N E S A T C R T A I N O S N A S C M T U IO S N T S G W E I C L O L N A S PP ID E E A R R E O D N B Y Y O YO UR U W Ti I l T t H R E IT S U D L IR T E O C F T L S Y E C O U R R T IT H I R ES O U TR G A H N Y S O A U C R TI O FI N N S A N IT C P L R M O . C IN E S S T S I E T S U . TION OR THAT IT RECEIVES AS Q OR U D A E L R IT S Y A O R f E T A H U E T IR O E M X A E T C IC U A T L IO LY N S R I O N U O T N E E D O A R M A S C E R LE E C M TE A D R R K A E S T E S D E O G N M E T N H T E S C A O N N D SI T S H TE E N N T HIGH
H W A H V E E N W C R O I M TT P E U N T O IN P G T i T O H N E S V W AL H U IC E H O H F A Y V O E U B R E A E C N C E O X U ER N O T. S T E H D IS . IS ESPECIALLY TRUE st YOU L Y A O W UR S. F R IN E A G N U C LA IA T L IO R N E S S T N IT e UT R IO U N L E IS S R W E H SP IG ON , A S P IB P L L E Y T T O O R T A T D R H E E G R A E R N D C IN E G T I O TS M O E W S N EC O U P R E IT R I A E T S I ONS I A N M TR IT O Y P T E O R S P H R IN O G V O A ( l S O O P P PO IG R u T i U A N A I T T Y IE R S E F V O I R E W EX S E R C E U P T O IO RT N S S F A O T R P D RI U C A E L S I T S Y U P O E F R E IO X R E C T U O T M IO E N
IF YOU MUMPS. A MAJNIN ACCOUNT, THIS IS A COMBINED STATEMENT OF YOUR .NO THE SUPERVISION OF YOUR ACCOUNT, ITS SALES REPRESENTATIVES AND OTHER PURPOSES.
GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR PERSONNEL YOUR I: NANOAL INSTITUTION IS ALSO RESPONSIBLE FOR APPROVING THE
YOU UNDER REGULATION T Of THE BOARD Of GOVERNORS OF THE FEDERAL OPENING Of ACCCHNOT. AND CAMDEN° ArCOuNT DOCUMENTS; NE ACCEPTANCE
RESERVE SYSTEM THE PERMANENT RECORD OF THE SEPARATEACCOUNT AS AND. UNCERTAIN 'PITTANCES. EXECUTION OF SECURITIES ORDERS: THE ASSESSMENT OF
REQUIRED BY REGULATION T IS AVANABLE FOR YOUR INSPECTION UPON REQUEST. THE SUITABILITY OF THOSE TRANSACTIONS. WHERE APPLKABIX; THE RENDERING Of
R. INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE INVESTMENT ADVICE, If ANY. TO YOU AND IN GENERAL FOR THE ONGOING
STATEMENT. THE RATE OF INTEREST MO PERIOD COVERED ARE INDICATED. THE RELATIONSHIP THAT IT HAS WITH YOU.
RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEYRAMS INQUIRIES CONCERNING THE POSITIONS ANO BALANCES IN YOUR ACCOUNT MAY BE
OR OTTER REASONS *MEREST IS COMPUTED AS DESCRIBED IN NUTRIA( DUCTEDTO THE PERSIWN CUSTOMER SERVICE DEPARTMENT AT (201) 413-3333 ALL
PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTIONS OTHER INQUIRIES REGARDING YOUR ACCOUNT OR MINTY SHOULD BE DIRECTED TO
YOU DEL RE ADDITIONAL COPIES YOUR FINANCIAL INSTITUTION. YOUR FINANCIAL ORGANIZATIONSCONTACT
DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT INFORMATION CAN BE MUNITION THE MIST PAGE Of THIS STATEMENT.
WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED COT CERTAIN INFORMATION FOR A DESCRIPTION OF OTHER FUNCTIONS PERFORMED BY PERSHING CEASE CONSULT
KNONTIES CE THE DISTRIBUTION DATE. THIS CUSSWICATIONIS SMUT TO THE DISCLOSURE STATEMENT PROVICCO TO YOU UPON THE OPENING Of YOUR
CHANCE AND IS SOLELY INTENDED FOR USE AS GENERAL INCANTATION ALTER YEAR ACCOUNT. THIS NOTICE S NOT MEANT AS A DEFINITIVE ENUMERATION Of EVERY
ENO, PERSHING IS REQUIRED TO PROVIDE TM INFORMATION TO THE INTERNAL POSSIBLE CIRCUMSTANCE. BUT ASA GENERAL DISCLOSURE. It YOU HAVE ANY
REVENJE SERVICE ANO OTHER GOVERNMENTAL AUTHORITIES. AT THAI TIME QUESTIONS REGARDING THIS NOTICE OR IF YOU WOULD UKE ADDITIONAL COPIES OF
PERSHING WILL PETARD( THAT INFORMATION ON THE ANNJAL TAX INFORMATION THE DISCLOSURE STATEMENT, PLEASE CONTACT YOUR MAMMA INSTITUTION.
STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX FILINGS. THE
TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN PERSHING SA MEMBER Of THE SECURITIES INVESTOR PROTECTION CORPORATION
ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. (MI. PLEASE NOTE THAT SRC DOES NOT PROTEGE AGAINST LOSS DUE TO MARKET
FLUCTUATION. IN AM MON TO SC PROTECTION. PERSHING PROVIDES COVERAGE IN
10. PERSHING DOES NOT PROMO! TM, INVESTMENT OR LEGAL ADVISORYSI/NOS AND EXCESS OF TUC LIMOS. FOR MORE DEMME) INFORMAT ON PLEASE VISIT.
NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO VAVW.PERSHINGCOWSTRENGTH_STABILM(NTML
IF ANY Of THE ABOVE TERMS AND CONDITIONS ARE UNACCEPTABLE TO YOU, PLEASE NOTIFY PERSHING IMMEDIATELY IN WRITING BY CERTIFIED MAIL TO ONE PERSHING PLAZA. JERSEY WV, NI 0735.9, ATTN: LEGAL DEPT
Page 9 of 9
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