EFTA01290563.pdf

Deutsche Asset
& Wealth Management
Deuiv.v Ram Pon. Wealth Mantrent
Mweets Cowan Gtap
Deotem MM Sewlei AC
Maw brk Pik*
P.O. Boa 1776, Ballimore, MD 21203 SI, Part Mtgs. AM' kci.
Account Num berms
Statement Period: 12/01/2014 -1213112014
THE HAZE TRUST
UAD 02/09/99
Valuation at a Glance
JEFFREY EPSTEIN & This Period Year-to-Date
DARREN K INDYICE TIMES Beginning Account Value 962,350,593.99 $22,994,662.96
6100 RED HOOK QUARTER B3 Nei Casa Deposits and Withdrawals 000 38,193,547.84
ST THOMAS VI 00802 Adjusted Previous Account Value 62,350,592.99 61,486,210.79
Dividends. Interest and Other Income 24.116.12 916.905.76
Tots Taxes Withheld 0 00 410
het Charlie in Portfolio -72,363.20 -132,444.74
riding Account Value 562 302 676 21 562 302 676 21
Your Client Advisor: Estim ated Annual Morn e 51.111.295.52
DANIEL &MBA
Asset Allocation
Prior Year-End lad Period This Period % Allocation
USD Cash. Money Funds. and Bank Deposits 7,589,036.35 43,913,182.65 43,922,655.69 70.50% P ease re. le.‘yov a lozea-
LSD Fixed Income 15,405,626.60 11,434,280.34 11,400,200.52 18.30% j_
LSD Equities 000 7,003,130,00 6.979.820 00 1120%
Amount Total {Pie Chart) 122,994,662.95 $62,350,592.99 $62,302,678.21 100.00%
See the Asset flocabon Disclosure and Footnotes secton lor important informaton renewing your Asset flotation.
Page 1015
DRAB ROLL C B0 O 10037 N 8CSP3 F 0023 ID G E o I) N aP€r T les I s AL rok ; ` D R E , A v c at e L a e r B l d / u A V t m m R A e R N e t l . A l S o T i n E m l D s C 2 O 1 M )0 M 7 UNICATIONS
SDNY_GM_00047926
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010750
EFTA_00158535
EFTA01290563

Asset Allocation Disclosure and Footnotes
Fixed Income contains Fixed Income Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short-Term Gain/Loss 0.00 -146.09 126.41713
Long-Term Gain/Loss 73 87 2.095.36 -384213.17
Net Galn/Lou 73.87 1,119.27 -267,79161
This summary excludes transactions where cost basis information is not available.
For Your Information
Cn June 5, 2014, the European Central Bank (the -ECB') introduced 'negative interest rates'. This negative interest rate applied to all deposits held at the ECB and other credit institutions.
Effective February 1, 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and will reflect on your account
statement as 'Free Credit Balance Interest Charge'. The interest will be reported on your Forms 1099 and/or 1042-S fa tax year 2015. These rates are subject to change in response to market changes. and we
may. in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances.
Money Market Fund Detail
Date Activity Type Desaiption Amount Babette
Sweep Money Market Fund
MSGOVERNMENT CASH INSTL
Account Number: 0000001492 Current Yield: 0.03% Activity Ending: 12131/14
1112911/ Opening Balance 43,913,182.65 13,913,182.65
12/3011/ Deposit MONEY FUND PURCHASE 8,354.03 13,921,536.68
12131/11 Deport INCOME REINVEST 1119.01 13.922.655.69
1213111/ Closing Balance $13,922,655.69
Total All Money Market Funds 143,922,655.69
Income and Expense Summary
Carrot Period Year-to-Date
Taxable Nos Taxable Taxable Noo Taxable
Dividend Income
Equities 0.00 0.00 101,836.05 0.00
Money Market 1,119.01 0.00 4,534.22 000
Other Dividends 17,591.35 0.00 593,971.58 0 00
Pap 2015
Account Number. Italled excellent
ox avon Go paperless Ivory Year Since 2007
THE FAZE Trd-sTO N F I D AENTI AL rDxAeLs BuArRn aReArT ED COMMUNCATIONS
SDNY_GM_00047927
e
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10751
EFTA_00 158536
EFTA01290564

Deutsche Asset
& Wealth Management
DraIst.< Rana Prmair Wean &Waren
Pdatert$ Caen., 6,0‘p
Des-bOx Mk Settonei'M
P.O. Boa 1776. Beiimore. MO 2t203 HI Put Annus. 160. Met
War int nr,mw
Statement Period: 12//112114 -12/3112114
Income and Expense Summary (continued) Current Period Tear-to-Date
Taxable Non Taxable Taxable Non Taxable
Interest Income
Bond Interest 5,736.06 0.00 245,681.66 0.00
FDIC Insured Bank Deposts 0.00 0.00 882.26 0.00
Total Dividends, Interest, Income and Expenses $24,446.42 1010 $046,005.16 $0.00
Distributions
Other Distributions 0.00 2,617.97 0.00 30,081.73
Total Distributions $0.00 $2,617.07 $0.00 $30,081.13
Portfolio Holdings
Account Adivity Opening Closing Awned lawn 31.Oay Omit
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 7 1.0 0% of Portfolio
M oney M arket
CMS GOVERN M ENT CASH Mk
11129114 43.922.655 690 0000001492 12/31114 43.913.182.85 43.922.655.69 0.00 4.534.22 0.03% 0.03%
Total Money Market $43,013,162.65 $43,022,655.69 $0.00 $4,634.22
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
11/29114 40024943 12131114 0.00 0.00 0.00 882.25 NM NM
Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $882.25
Total Cash, M oney Funds, and Bank Deposits $43,913,15215 $43,922,655.69 $0.00 $5,416.41
Page 3 of IS
Account Number listed Excellent
IIRA.1t .011 TI-E FAZE T ON Fl dEiViAs L D ( r v xA e eU r s y eB Y iSrt e .r a Ba r Ae S Tr e E r D a C 2 O '0 M 07 M UNICA MN'S
SDNY_GM_00047928
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010752
EFTA_00 I 58537
EFTA01290565

Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Aott:ted Guaet6Y UmNCod Cod Basis Market Price Markel Value Gain, Loss Interest Annual Income Yield
Fixed Income 15 .0 0% of Portfolio (In Maturity Dee Sequence)
'Asset Backed Securities
OS M TO SECS CORP 2005.5F M TG PASSTHRU Security Identifier: 3624207X6
CTF CL 81 VAR 5.752% 06/25/35 WE
DID 05101/05 S 8 P Rating B.
Factor: 0.79603595 Effective Date:12101111
Current Face Value: 1,194,053925
12/13/13 '•1.11 1,500.000100 97.1780 1,160,355.99 97 0240 1,158,518.88 .1,837.11 5,723.51
Original Cost Be 51.189.588.80
Total Asset Backed Securities $1,160,355.99 91,150118.88 -$1,837.11 $5,723.61 $0.00
1,500,000.000
Total Current Face Value : 1,194,053.925
Corporate Bonds
PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4
1.315% 11101118 WE DTD 10112106
MULTIPLE GUARANTORS 1ST CPN DTE 05/01/07 Moody
Rating BA3 S t P Rating BB-
05110/11 1,200,000.000 104.9590 1259,504.58 102.7500 1,233,000.00 .26,504.58 14,750 00 88,500.00 7.17%
Onginal Cod BaSit 51.363.500.00
IPAYM ENT INC GTO SR NT Security Identifier: 46262EAB
10.250% 05115/18 WE DID 11115111
CALLABLE 05115/15 Q 105.125 Moody Rating CAA3 S& P
Rating CCC
10102112 %UM 500,000.000 92.4590 162,295.37 89.0000 445,000.00 .17,295.37 6,548.61 51,250.00 11.51%
Onginal Cost Basis: 5445.000.00
FM ORGAN CHASE & CO DEP SHS REPSTG Staidly Identifier: 18625HHA1
1/10Th PFD SER I FIXED TO FLTG RT BO
7.900% 04/29/49 WE DTD 04/23/08 Moody Rating BM St
P Rating BBB-
05/10/11 3,000,000.000 111.2650 3,337,958.33 107.6300 3,228,900.00 •109,058.33 39,500 00 237,000.00 7.33%
Original Cost Basis. 53.337.958.33
BANK AM ER CORP PERP NON CON ULADVE DEP Security Identifier: 060505018
StiS FIXED TO FLOAT 8.125% 04/30/58 WE
DTD 04/30/08 CALLABLE 05/15118 Moody /Wing 8A3 St P
Rating BB
05110111 '.12,13 3,000,000.000 112 9870 3,389 620.83 107 8750 3,236,250 00 -153,370.83 31,145 83 213,750.00 7.53%
Page 4of1S
Go
Account Number Rasa [salient
T1- E I-AZE 7 ON Fl AL D E rx v Ae e U r n y u M Y r e t.a a R r eA s Tr i nce C 2 O '0 M 07 M UNICATIONS L.a
SDNY_GM_00047929
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010753
EFrA_0015 8538
EFTA01290566

Deutsche Asset
& Wealth Management
()nacre. Bana Pnur. YhyIr m7mgental
Mains CO•ene GK.."
Otrisch7 Secteftes
New brir011t•
P.O. Om 1778, fla!ammo, MD 21203 34% Far% Mora MOO ter
Statement Period: 12/01/2014 • 12/31/2014
Portfolio Holdings (continued)
Adjuded Umealized Acuued Estimated Estimated
Dale Acquired Ormetity limit Cod Cat Bads Market Price Market Vann Gals/ Loss Merest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
BANK AM ER CORP PERP NON COM ULATIVE DEP (continued)
Original Cosl Basic $3,389.620.83
Total Corporate Bonds $8,449,371.11 9,143,150.00 -1308,221.11 391,944.44 $620,500.00
7,700,000.000
Total Fixed Income 19,606,735.10 $9,301,661.86 -1301,066.22 $17,667.15 $620,500.00
1,200,000.000
Unrealized Estimated Estimated
Dale Acquired Quantity Veit Cod Cod Bads Market Price Markel Value Gala( Loss Anneal Income Yield
Equities 11.00% of Portfolio
Preferred Stocks (Lasted by expiration dais)
CITIGROUP INC DEP SHS REMO 111000TH Security Identifier: C PRK
PM SER K DIV 6.875% PERPETUAL MATY CUSP: 172967341
PERPETUAL CALL 11/15123(1 25.00
Dividend Option: Cash
02103/14 79.000.000 252090 1.999.418,90 26.5800 2,099,820.00 100,401.10 135,781.25 6.46%
CITIGROUP INC DEP SITS REPSTG 111000 Security Idendfler: C PRC
PFD SER C DIY 5.8% PERPETUAL MATY CUSP. 172967366
PERPETUAL CALL 04/22118025.00
Dividend Option: Cash
10/28/14 49.033.000 24.0810 1,180.73916 24.4000 1,196,405.20 15.866.04 71,097.85 5.94%
10129/14 150,967.000 24.3130 3,670,430.48 24.4000 3,683,594.80 13,184.32 218,902.15 5.94%
Total Covered 200,000.000 1,851,111.04 4,880,000.00 28,830.36 200,000.00
Total 200,000.000 $4,651,169.14 $4,680,000.00 $26,830.36 1210,000.00
Total Preferred Stocks 16,650,518.54 16.179.620.00 $121,231.48 $425,161.25
Total Equities $6,650,581.54 16,979,620.00 1129,231.46 $425,761.25
Page 5 of 15
Account Number listed taconenti
menu you ThE FAZE T ON F Ilia())1(HiAs L D ( r v xA e e r sU y a M V rt o .r . Ma 7. e U S r l D ate C 2 O 0 M 07 M UNICATIONS
SDNY_GM_OM34n3G
CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) OB-SDNY-0010754
EFrA_00158539
EFTA01290567

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Dale Asgeired Ouaitity Unit Cost Cost Basis Market Prim Markel Valle Gain! Loss Annual Income Yield
Mutual Funds 3.00% of Portfolio
R M ORGAN FLOATING RATE INCOME FUND Security Identifier: PHSX
SELECT SFARES CUSP. 181211510
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
01122113'.3 198,216.056 10.0900 2,000.000.00 9.1200 1,926,660.01 -13,339.93 82,259.66 1.26%
02101113'.3 630.057 10.0670 6,342.92 9.1200 6,124.14 -218.78 261.47 4.26%
03101113'.3 711.578 10.0600 7,158.18 9.7200 6,916.53 -24195 295.30 1.26%
04101113'.3 789.547 10.1100 7,982.33 9.1200 7,674.39 -307.94 327.66 4.26%
05101113'•3 751.550 10.1300 7,613.21 9.7200 7.305.07 -308.14 31119 4.26%
06103113'.3 757.360 10.0900 7,641.77 9.1200 7,361.54 •280.23 314.30 4.26%
07101113'.3 668.131 9.9700 6,661.27 9.7200 6,494.24 -167.03 277.27 1.26%
08101113'.3 104.609 10.0600 7,088.37 9.7200 8,848.81 .239.58 292.41 4.26%
09103113'.3 709.175 10.0300 7,113.03 9.7200 6,893.17 -219.86 291.31 1.26%
10101113'.3 712.100 10.0240 7,137.85 9.7200 6,921.61 •21624 295.52 4.26%
Total Mono:meted 204,660.163 2,084,739.23 1,989,91.57 -75,539.66 54,929.19
Reinveslm ants to 11,248.154 10 0210 112,75319 9.7200 109,332.07 -3421.12 4,668.01 1.26%
Date
Total Covered 11,218.154 112 753.19 119,332.07 -3,421.12 4,561.01
Total 215.898.317 52,177,492,42 22,096,531.64 478,960.78 289,597.9
Total Mutual Funds $2,177,492.42 22,098,631.84 -378,960.76 $89,597.80
Unrealized Awned Estimated
Cod Bade Market Value Gain! Loss hayed Anneal Income
Total Portfolio Holdings $52,560,471.75 $62.302,676.21 -$257,79511 $97,867.95 $1,141,295.52
Footnotes
' Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securdies which have been acquired
on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those invoking continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
Page 6 of 15
Account Number.WM
Deno ,“>1 TFE FAZE Fo C n io p T ape I rle A ss L L ro xaaLlI V er • l 4 itA 5 rT .= EO C 2 O 0 A 0 V 7 A UNICATDONS
O N SDNY_GM_00047931
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OM-SDNY-0010755
EFTA_0015 8540
EFTA01290568

Deutsche Asset
& Wealth Management
DraIsov Rant P".!" wean &Warne*
Peals Caen., Gnat)
Dettsag lar* Sew on +IL
lire bet Cillict
P.O. Bat 1778, Bahimore, MO 21203 in Put An~. Ita be,
Statement Period: 12/01/2014 • 12/3112014
Portfolio Holdings (continued)
The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
3
The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is detemined by multiplying the current factor times the original face amount of the
6
security. Factors may change over time and are obtained from sources we believe to be reliable.
Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
17
The cost basis of this security has been provided to us by the delivering tin or transferring agent and Pershing makes no representation as to the accuracy of this information.
13
Schedule of Realized Gains and Losses Current Period
Dispositior Acquisition Disposition Realized Gain/ Loss/
Date Date Transaction Description Ouaotity Cost 8asis Proceeds Disallowance
Long Term
12126114 12/13113' PPP GS LI TG SECSCOPP 200 ASSN RU CTF CL 81 VAR 5.752% 1.500.000.000 2.544 09 2617.96 73 87
06125135 8/E OTD 05101105
Security Identifier 3624207X5
0 rioi nal Cost Basis 2 544 09
Total long Term $2,544.00 $2,617.96 973.67
Total Short Term and Long Term 92,544.09 $2,617.96 973.87
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ncocovered,- under the new cost basis reporting rules, and masked or denoted as such. AI 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
after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wig be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
or
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1. 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and
subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as
it relates to corporate actions. has been obtained from sources we believe to be reliable.
Adjustments to cost basis can be made after yearend, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost
basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have availaWe to you.
Page? of 15
Account Number Go paperless Rated t acelkini it7r..It. a =yr .
OAS ROLL THE b C r A a L y B A V R .. R . A s T i E n D e. C 2. O 00 m 7 m uroCalsOnS
'Kammer
SDNY_GM_00047932
FAZE Te rO N F I DIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010756
EFTA_00 158541
EFTA01290569

Schedule of Realized Gains and Losses Current Period
(continued)
When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, thee may be other adjustments which you need to make, but are not requited to be made by
Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or
warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reiance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method winch you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your account's selected tax lot method wil be
used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-B.
M essa es
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation,(SIPC)
For disclosure of rates for DINS money market funds, please visa the DWS Investments website at haps Mom dws-investments.comtENI1productstrroney-market-funds-yields.jsp, Please rote that all money
market funds listed on We website may not be offered through us.
Although a money market mutual fund seeks to preserve the value of your investment at S1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Please note the following information for Pershing's 2014 IRS Forms 1099 DIV, INT OID and MISC): Your form 1099 will be delivered as early as possible, beginning January 31, 2015. By February 17, you
will receive either your 1099 form on special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their real tax information. It will inform you of the
securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 16, 2015.
Pershing's Impartial Lottery Process: Partial Calls
Information about Pershing's impartial lottery process can be found on pershing.com/business_continuity. You may also request a printed copy of this information by calling (888) 367-2563, option 3 then option 5.
When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process.
When an issuer initiates a partial call of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an
incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because DTC's lottery is random and imparhat
participants may or may not receive an allocation of securities selected for redemption.
When Pershing is notified that it received an allocation of called securities, Pershing conducts a similar. Gs:neuter-generated random lottery. The lottery determines the accounts that will be selected and the
number of securities in the account that will be redeemed. Allocations are based on the number of trading units held in the account The probability of any trading unit held by an account being selected as called
in a partial call is proportional to the total number of trading units held through Pershing.
Once the lottery is complete. Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation Securities registered in the client's name, either in transit or held in custody, are
excluded from the Pershing lottery process.
Pershing initiates the lottery process by identifying the accounts holding the called security, the total par value of the called securities held, and the trading unit of the security.
Example (unit of trade = 525,000):
Page 8 $15
Go
Account Aum ber
DRAB 9.O9 TI-E FAZE TRLSI ON Fl AL D L rx m Ae r Us y t Mu V r a .N R . e A S rT a E m D e C 2 O 9 M 07 M UNICATIONS
SDNY_GM_00047933
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010757
EFrA_00158542
EFTA01290570

Deutsche Asset
& Wealth Management
DraIsre RIM Po.or roan Manrent
Minet% COM•IaGro‘P
OtOs014 6.8 Selynel
4 ONO
P.O. Box 1778, flalamer*. MD 21203 NanMP1o Annum. 1141. I to
II I I II I I I I I N
Statement Period: 1210112014 • 12/3112014
M essa a es (continued)
Client Account Par Value Number of Trading Units
ABC-123234 $100.000 4
CEF-325465 575.003 3
EDR-567433 5150.000 6
EGT-876574 550.000 2
EDT-888345 525.000
FRT-435234 525.000 1
FRT-658797 575.000 3
0
In Niel, the allocation process involves the following steps:
' The number of trading units held in each account is identified.
• A sequential number is assigned to each trading unit (e.g., account E0R-567433 would be assigned six numbers).
• A random number is generated that will resuk in one of these trading units being the first unit in the selection process.
• Thereafter, the trading units participating in the allocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted.
Additional Information
• The allocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not
have any securities selected for redemption at a.
' Wien a partial call is deemed favorable to the holders of the called security, Pershing will exclude certain accounts from the lottery. Excluded accounts wil include Pershing's proprietary and employee
accounts, as well as proprietary and employee accounts of introducing broker-dealers (if Pershing carries and clears those accounts). No allocation wit be made to these proprietary and employee accounts until
al other client positions at Pershing in such securities have been called. When a partial call is deemed unfavorable to holders of the called security. Pershing will not exclude any accounts from the lottery.
' lithe partial call is made at a price above the current market price as captured in Pershingils price reporting system. Pershing will generally categorize the partial call as one that is favorable to the holders of
Page 9 of 15
901.1 A T c h c E o F u A nt Z N E u I m t ber o N _ Go paper.... 1 .._s A P Lgy la ro t a e n d .r V [ e s s a g, l i e e r s p n i t o v , c a o 2m00m7 umomoeis rt. L•.••;• T. ^C. Air=
FIDA L
SDNY_GM_00047934
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010758
EFIA_00158543
EFTA01290571

M essages
(continued)
such security. II the partial call is made at a price that is equal to a below the current market price of the security as captured in Pershing's pike reporting system. Pershing will generaty categorize that call as
one that is unfavorable to holders of the security.
• Clients have the right to withdraw uncaled, fully paid securdies from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial
cal. (Clients also have the right to withdraw excess margin securities, provided that the client account is not subject to restriction under Regulation T or that such withdrawal will not cause an under-margined
condition.
Activity Sum m ary (AO amounts shown are in base currency)
Credits Ibis Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Securities Bought 0.00 000 SecuritiesBought -17.591.35 -6,963.810.12
Secunhes Sold 000 2 760 359 19 Secunties Sold 000 0.00
Total Securities 10.00 $2,760,359.19 Total Securities .$17,591.35 -$6,963,010.12
Dividends and Interest $24,446.42 $946,905.76 Dividends and Interest $0.00 $0.00
Distributions $2,617.97 $1,099,337.08 Distributions $0.00 -$2,724.81
Taxes Withheld 10.00 $4.40 Taxes Withheld $0.00 $0.00
Cash Cash
Deposits 000 38 493.547 84 Deposits 0.00 0.00
Total Cash 10.00 $38,493,547.84 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits 10.00 110,381,873.66 FDIC Insured Bank Deposits $0.00 -$2,792,837.31
Money Market Funds $0.00 34,668,419.64 Money Market Funds -$9,473.04 -$48,611,075.33
Total Credits $27,064.39 $58,370,447.57 Total Debits .$27,064.39 -158,370,447.57
Transactions by Type of Activity
Process/
Settlement
Date Activity Type Desaiption Quantity Price Awned Interest Mount Currency
Securities Bought and Sold
12101/14 REINVEST CASI. In CO ME 'MORGAN FLOATInG RATE INCOME RAD SELECT SI. ARES 712236 -7,06540 LSD
51-SX 214103.1620 SI-RS ShRSPLRCH. AT $9.92000 RD 11126 PO
12/01/14
12/31/14 REINVEST CASH INCOME P MORGAN FLOATING RATE INCOME RAO SELECT SNARES 1.082.917 -10.525.95 LSD
Pr SX 214815.4000 S-RS SF RS PLRCH. AT $9.72000 RD 12/29 PO
12/31/14
Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -17,591.35
Page 10 of 15
Account Number Rabid tscolkini
llitAW vonk 11-E N FI D G A o p E ap N erl T es I s A L r b 0x e Ae e L r nB y uA V rRr • aR •• eA W r7 0 o 2 w C 2 O 0 M 0 M 7 UNICATOONS
SONY GM 00047935
FAZE TURLsTO
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010759
EFTA_00158544
EFTA01290572

Deutsche Asset
& Wealth Management
Dralsoo Rota Prmair Wean &Warne*
Peareits COMM* 6,0.1,
°tow* ML smongs
Oat*
P.O. Box 1778, Babimore, MO21203 HI Part Ammo. Ita I ter
War lot IrtImw
4:441114. MIS) 7009.1
Statement Period: 1210112114 -12/3112114
Transactions by Type of Activity (continued)
Process(
Settlement
Date Activity Type Description Want Price Accrued Interest Amount Curren
Dividends and Interest
12101(14 CAS,- DIVIDEND RECEIVED 'MORGAN FLOATING RATE INCOME FUND SELECT ShARES 1.065.10 USD
Pr SX 214103.1620 *RS RD 11126 PO 12101/14
12/29/11 BOA 0 INTEREST RECEIVED 1500000 GS II TG SECS COW 2005-5F MTG PASSTH RU CTF 5.136 06 LSO
3621207X5 CL B1 VAR 5.752% 06/25135 WE DTD 05101105 RD 11128 PD
12/25114
12/31/14 MONEY MARKET FUND DWSGOVT CASI- INSTL 1,119.01 LSD
INCOME RECEIVED
233993682
12131/14 CAS' DIVIDEND RECEIVED PMORGAN FLOATING RATE INCOME FUND SELECT SHARES 10.525 95 LSD
Pr SK 214815.1000 ShRS RD 12(29 PD 12131/14
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 24,418.12
Distributions
12129/14 RETURN OF PRINCIPAL 1500000 GSM TG SECS CORP 2005-5F NTG PASSTHRU CTF 2,617.97 LSD
RECEIVED CL B1 VAR 5.752% 06125135 BIE DTD 05101/05 RD 11128 PD
3624207X5 12/25/14
Total Distributions • UNITED STATES DOLLAR 0.00 2,617.97
M oney Market Funds
12/30/14 MONEY FUND PURCI-ASE DWS GO VT CASP INSTL -8.354.03 LSD
USD999997
12/31/14 MONEY MARKET FUND DW$ GOVT CASI1 'NUL INCOME REINVESTED -1.119.01 LSO
REINVESTMENT
233993682
Total Money Market Funds- UNITED STATES DOLLAR 0.00 -9,473.04
Total Value of Transactions o.00 0.00 USD
The price and quantity displayed may have been rounded.
Page II of
UPAII ROIL A TI c , c E o F u A nt Z N E umber. FI D G E o p N ape T rle I ss A L R rD L x v A a e o t L e s n O d . u A V [ r . Rn . . . . N Ra . Ac Y S Tt S l ( a 0 t e C 2 O 0 M 07 M UN TOG icirr ..2..:7"......17,.1.:."-Zitna:NriallOeleilltf MIS*
SDNY_GM_00047936
ICON
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10760
EFTA_00 155545
EFTA01290573

Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
0
1 to 5 years 1.678,00000 18% Percentages of bond market values are
rounded to the nearest whole percentage.
Ove. 10 yeas 7.623.668 88 82% LI
Total 9,301,668.88 100%
Bond Quality
Bond Quality Market Value % of Bond Market Value
2NLower 9.301,668 88 100% Percentages of bond market values are
Total 9,301,668.88 100% rounded to the nearest whole percentage.
You are 100% invested in bonds with a bond quality of BA/Lower.
Client Service Information
Your Client Advisor: DAN
DANIEL SABBA
345 PARK AVENUE 26Th 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 Reinvestm ent Man. FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Bond Amortization Elections:
Treat all interest as original issue discount COID): No
Am orOze premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types. Ratable Method
Include market discount in income annually: No
Electronic Delivery
You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Client Advisor for more inform alion.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices, unless otheriase noted,
have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is
not available are marked 'N/A" and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS MIEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
P89.12015
A(c,c ount Number. Rasa fac.IN1R
O .11 Y1111 E FAZ N F I D G E o p S ap I e T rle I s A s L r D t x V A e W L r B t " u A V r R n . . R s . e A L r T a E c D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00047937
E TerazTO
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010761
EFTA_00I58546
EFTA01290574

Deutsche Asset
& Wealth Management
(Misr< Rana Pnwalr wean im.tagewen
Nantis (Dome Oat,
De.isch4 Oa* Sectem“c.
wan 06ar
PO Boa 1776. Pa!Wore MD 21103 HI Part 4..y.Ikh I to
Statement Period: 12/0112114 • 12/3112014
Important Information and Disclosures (continued)
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time,
and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities, interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
VAwepershing.cornibusiness_continuity.htni for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income. Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased. may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available on written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vole your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction. incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poors is not permitted without prior written
authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content. Standard S Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sell securities; and do rot address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and Poors ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
Page 13 of IS
Go
Account Number Rated twiAlenti ...r.t.
Event Yew Sinew 2007
TF E FAZE TRLSl DAL MR RATED COMMON1C*710MS
0N F I E)iaqii As L IPPOIL I.M CP
SDNY_GM_00047938
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010762
EFIA_OO158547
EFTA01290575

Important Information and Disclosures (continued)
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (*any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws. regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable. the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. AI other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: wompershing.com/strength_stabilityhtml.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to
your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor
Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza,
Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reasons) for their award. unless, th an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators v I typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is fled, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLD, Legal Department, One Pershing Plaza. Jersey City, New Jersey 07399: (201) 413.3330.
Page 14 of IS
Account Num berms Go paperless L R n at . e y d Y ta e c el s lo n n e i . 2007 =Ara=
E DAL BAR RATED COMMUNICATIONS
N F I DAENTiAL rxesurner
SDNY_GM_00047939
FAZE TOR6210
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010763
EFTA_00 158548
EFTA01290576

TERMS AND CONDITIONS
TRANSACTIONS • PERSHNG MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. 000 LOT DEALER.
• ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY
SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. FINANCIAL INSTITUTION OR PERSHNG MAY HAVE ACTED AS PRINCIPAL, AGENT OR BOTH. DUALS
• TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN AVAILABLE UPON REQUEST
WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL NSPECTION AT
• D YO AT U E M . W AY H H IC A H V E E V R E E R C IS E I L V A E T D E C R O . NFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR P VI E E R W S H rr IN O G N 'S LI N O E F F A IC T E W S W . A W C ,P O E P R Y S O H F IN I G T , W CO IL M L BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN
STATEMENT. IF SO, TIE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT, SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES:
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. WY/W.PERSHING.COWBUSINESS_CONTINUITY.HTML
THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHCH HAVE BEEN EXERCISED. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS
FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS-
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. RULE 607(A)(1)-(2)]
DEBIT BALANCE& INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION
STATEMENT, THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED, THE RATE MAY CHANGE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS TRADNO SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
FINANCIAL INSTITUTION F YOU DESIRE ADDITIONAL COPES. SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON
MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MANTANED FOR YOU UNDER TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM, THE PERMANENT ORDERS TO ITS AFFILIATE. 8NY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL
RECORD OF THE SEPARATE ACCJMINT AS REQUIRED BY REGULATION T IS AVALABLE FOR YOUR COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT.
NSPECTION UPON REQUEST. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
TAX INFORMATION FLOW. PERSHNG SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE.
COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS.
• AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL TRANSMITTED ELECTRONICALLY UP TO A SPECFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN
REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITES AT THAT TIME PERSHNG WILL THE NATIONAL BEST BID OR OFFER (N880) ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED
PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY
STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TM 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 ABLITY TO PROVIDE
AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSHING ALSO REGULARLY
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES.
GENERAL INFORMATION.
• PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE
ASSOCIATED WITH PERSHNG IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ARE NDEBTED 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 PERSHNG MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER.
DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR
PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS:
ANY BALANCE REMAINING DUE PERSHNG TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE NDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR
YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY
PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WLL PERMIT THE
COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR
GREATER THAN YOUR LIABLMES TO PERSHNG. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT
PROHIBITED BY LAW.
F ANY OF 1TE MOVE TERMS ANO OGNINTIONS ARE I maraPTAIRE TO YOU. PLEASE NOTE', POMPOM MIEMATELY IN WRITING BY GOOFED WA TO ONE PERSHNG PLAZ.A. JERSEY CITY. Nl 0T3S9. ATTN. LEON. DEPT
Page15,3115
Account Num hr Rated tacellerill
DRAB MOLL ThE Go paperless D ', A a L y B A Y R e R ar A S T a E c D C 2 O '0 M 07 M UNICATIONS Maer.H.
N F I DENTIAL rxempaer
SDNY_GN_00047940
FAZE TGELSTO
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010764
EFTA_00158549
EFTA01290577

°raw< Mn, Pnwerkahnimmtenem
Pram Omen. 6,0.6
DM%O R NM Ssoonet
Me Put 06c•
PO. Sc, 1776, fUltrream MD 21203 .141P an mime. Itaitcr
Account Number:
Statement Period:11/0112014 - 11/30/2014
THE HAZE TRUST
UAD 02/09/99
Valuation at a Glance
JEFFREY EPSTEIN & This Period Year-to-Date
DARREN K INDYKE TTEES Beginning Account Value 962,094,408.77 $22,994,662.95
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 0 00 38.493.547 84
ST THOMAS VI 00802 Adjusted Previous Account Value 62,094,408.77 61,188,210.79
Dividends. Interest and Other Income 240.423 05 922.459 31
Total Taxes Withheld 0 00 440
het Chan e in Portfolio 15 761 17 -60,081 51
nding Account Value S62.350 592 99 $62 350 592 99
Your Client Advisor: Estim ated Annual Incom e 51.138.575.10
CAMEL SABBA
Asset Allocation
Prior Year-End Lad Period This Period % Allocation
USD Cash. Money Funds. and Bank Deposits 7,589,036 35 17,318,340.05 43,913,182.65 70.43% Please review your allocabort
LSD Axed Income 15.405,626.60 11.443.713.96 11,434,280.31 18.34%
LSD Equities 0.00 3 302 354 76 7,003.130 00 11.23%
Account Total (Pie Chart) 922,991,662.95 962,094,408.77 962,350,592.99 100.00%
See the Asset Allocation Disclosure and Footnotes section tor iniportant intormahon regarting your Asset Atcabon.
Paget of 13
UOAO ROI 631,:i2,73:3:,:14 Go paperless R 1 O . a v A e t L e r B y d A P C R a m P ce . A l S b T r m E o o l O l p C 2 O 0 M 0 M 7 UN1CATIOI4S
CONFIDEmismAL rxarturnser
SDNY_GM_00047941
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10765
EFTA_00 158550
EFTA01290578

Asset Allocation Disclosure and Footnotes
Fixed Income contains Fixed Income Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short-Term Gain/Loss 77.39 646.09 149 427 91
Long-Term Gal&Loss 0.00 2,021 49 -336 632 51
Net GsIn/ Lou 77.39 1,376.46 -187,204.60
This summary excludes transactions where cost basis information is not available.
Money Market Fund Detail
Date Activity Type Dreription Amount Balance
Sweep Money Market Fund
D w a GOVERNMENT CASH IN STI.
Account Num bei. 0000001492 Current Yield: 0.03% Activity Ending: 11128/14
11101114 Opening Balance 47,148,340.05 17,348,340.05
11103114 Withdrawal MONEY FUND REDEMPTION -3,626,180.18 13,722,159.57
11/18114 Deposit MONEY FUND PURCHASE 181,445.35 13,903,604.92
11/28114 Deposit MONEY FUND PURCHASE 8,491.61 43,912,098.53
11/28114 Deposit INCOME REINVEST 1,086.12 13.913.182 65
11/28114 Closing Balance $13,913,182.65
Total All Money Market Funds $43,913,182.65
Income and Expense Summary
Current Period Year-to-Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equates 33,915.35 0.00 101,836.05 0.00
Money Market 1,086.12 0.00 3,415.21 0.00
Other Dividends 129,767.11 0.00 576,380.23 0.00
Interest Income
Bond Interest 75,624.17 0.00 239,945.60 0.00
FDIC Insured Bank Deposits 0.00 0.00 882.25 0.00
Total Dividends, Interest. Income and Expenses 9210,423.06 $0.00 8922,459.34 60.00
Distributions
Other Distributions 0.00 2.712.44 0.00 27.463.76
Total Distributions $0.00 $2,712.41 $0.00 827,163.76
Page 2 of 13
Go
Account Num ber Rind tmolleM
OEMS BOLL TI-E FAZE TRLSI ONFIErrWilisAL I rO n xA n cLl . u IM V rnI A Ia R N eA L rT a E c D e C 2 O '0 M 07 M UNICATIONS
SDNY_GM_00047942
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10766
EFTA_00 [5855 I
EFTA01290579

Ocuiv.v Ram 'noneWealth minim-v.4
Mines Codragt4,0‘P
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Statement Period: 11/01/2114 • 11/30/2014
Portfolio Holdings
Account Activity Opening Closing Accrued income 30-Day Carrell
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 71.00% of Portfolio
Money Market
DWS GOVERN M DI T CASH INSTL
1110111/ 13,913,182.650 0000001/92 1112811/ 17,318,310.05 13,913182.65 0.00 3,115.21 0.03% 0.03%
Total Money Market $17,318,310.05 $43,913,182.56 10.00 $3,115.21
FDIC Insured Bank Depodts
INSURED DEPOSITS PROGRAM
1110111/ N16021913 11128711 0.00 0.00 0.00 882.25 WA NM
Total FDIC Insured Bank Deposits $0.00 10.00 $0.00 $88216
Total Cash, Money Funds, and Bank Deposits 847,311310.05 813,913,18216 $0.00 81,297.18
Adjueled Brutalized Acaued Estimated Estimated
Date Mildred Quantity Unit Cod Cost Basis Market Price Market Value Gaieties, lamed Annual Income Yield
Fixed Income 15.00% of Portfolio (In Marunry Dee Sequence)
'Asset Backed SOIXIMIOS
GS M TG SECS CORP 2006.5F I116 PASSTHRU Security Identifier: 36242D7X5
CTF CL 61 VAR 5.751% 06125135 WE
DID 05701105 St P Rating Ela
Factor: 0.79778126 Eileen)* Date:11103/14
Current Face Value: 1,198.671.890
12/13/13 %LI! 1,500,000.000 97.1780 1,162,900.08 97.0230 1,161,018.97 -1,853.11 5,511.82
Original Cod Basis: $1,189,588.80
Total Asset Backed Securities $1,182,900.08 51,161,010.97 -$1,853.11 $5,511.82 $0.00
1,500,000.000
Total Current Face Value : 1,196,671.890
Corporate Bonds
PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4
7.375% 11(01116 BIE DTD 10/12/06
MULTIPLE GUARANTORS 1ST CPN DTE 05101107 Moody
Rating 9A3 Sd PPM*, Bli•
05110111'.17.15 1,200,000.000 105 1710 1,282,089.10 103.7500 1.245.000.00 -17,089.10 7,129 17 88,500 00 7.10%
Original Cost Basis: $1,363,500.00
Page 3 of 13
Account Number: e t :, Rated tocellone
801111333CSP, : MM, MOIL to NF I D Go r p W aper r le i s A s rDxAeL nOAt V rR o w R n eA S rT l E a D te C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00047943
CONFIDENTIAL - PURSUANT TO FED. R CRINA. P. 61: 414ZE DB-SDNY-0010767
EFTA_00158552
EFTA01290580

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Dale Acquired Quantity Unit Cod Cod Basis Market Price Market Value Gain! Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
IPAYM ENT INC GTD SR NT Security Identifier: 16262EALS
10.250% 05115118 WE DTD 11115111
CALLABLE 05115115 0 105.125 Moody Rating CAA3 S 8 P
Rating C
10102/12 '.12.13 500,000.000 92.3110 161.556.99 83.0000 415,00000 .46.556.99 2,135.42 51,250.00 12.34%
Original Cog Basic 8415,000.00
PM ORGAN CHASE d CO DEP SHS REPSTG Security Identifier: 48825HHA1
1/10TH PFD SER 1 FIXED TO FLTG RT BO
7.900% 01/29149 WE MD 0/123108 Moody Rating BM S&
P Rating 8B8-
05110111'.1L13 3.000.000.000 1112850 3,337,958.33 108.5610 3,256,830.00 41,128.33 19,750.00 237,000.00 7.27%
Original Cod Basic 53.337.958.33
BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 060606018
SHS FIXED TO FLOAT 8.125% 0/130158 WE
DID 0/130108 CALLABLE 05115118 Moody Rating 8A3 S& P
Rating BB
05110111'.12,13 3,000,000.000 112.9870 3,389,820.83 101.7500 3,232,500.00 •157,12083 10,15625 243,750.00 7.54%
Original Cod Basit 53.389.621.63
Total Corporate Bonds $8,151,225.26 56,119,330.00 .$301,095.25 $39,110.51 8620,500.00
7,700,000.000
Total Fixed Income 99,611,125.33 89,310,378.97 -8303,718.36 844,715.56 8620,500.00
9,200,000.000
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cod Cod Bads Market Price Market Value Gain! Loss Annual Income Yield
Equities 11.00% of Portfolio
Preferred Stocks (Listed by etpitetion dale)
CITIGROUP INC DEP SHS REPSTG 111000TH Security Identifier: C PRK
PFD SER K DIV 6 875% PERPETUAL MATT CUSP. 1729873/1
PERPETUAL CALL 11/151230 25.00
Dividend Open: Cash
0210311/ 79,000.000 25.3090 1,999,118.90 26 4700 2,091,130.00 91,711.10 135,781.25 6.49%
Page 4 of 13
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WiAli von k 'CONF I DAriTriA r ( P v xA e eL r s y M u Y Ar e n w ReA W rT E ,e D . C 2 O 0 M 07 M UNICATIONS
SDNY_GM_000479.44
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67e AZE DB-SDNY-0010768
EFTA_00158553
EFTA01290581

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Pon. Wealth Manirent
Mv•et% CINtrarG•mp
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Statement Period: 11/01/2014 - 11/30/2014
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gale/Lou Annual Income Yield
Equities (continued)
Preferred Stocks (continued)
CITIGROUP INC DEP SHS REPSTG 111000 Security Identifier: C PRC
PFD SER C DIV 5.8% PERPETUAL MAW CUSP. 172967366
PERPETUAL CALL 04/221180 25.00
Dividend Option: Cash
10/28114 49.033.000 240810 1,180,739.16 24.5600 1,204,250.48 23,511.32 71.097 85 5.90%
10/29114 150,967.000 24.3130 3,670,430.48 24.5600 3,707,749.52 37,319.04 218,902 15 5.90%
Total Covered 200,000.000 4 851 109.64 4,912,000.00 80,1130.38 290,000.00
Total 200,000.000 $4,851,169.64 34,912,000.00 280,830.38 $290,000.00
Total Preferred gods $8,860,688.54 67,003,130.00 $112,541.48 $6442255:176811 ..2265
Total Eq uities 68,850,638.54 37,003,130.00 $152,641.46
Uarealited Estimated Estimated
Dale Acquired Quantity Usk Col Cost Basis Market Price Market Value Galt Los Annual Income Yield
Mutual Funds 3.00% of Portfolio
JP IA ORGAN FLOATING RATE INCOME FUND Security Identifier: PHSX
SELECT SNARES CUSP: 481211510
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
01122113 '.3 198,216.056 10.0900 2,000,000.00 9.9200 1,966,303.28 -33,696.72 81,466.79 4.14%
02101113'•3 630.057 10.0670 6.342.92 9.9200 6.250.16 -92.78 258.95 4.14%
03101113 '.3 711.578 10.0600 7,158.48 9.9200 7,058.86 -99.62 292.46 4.14%
04101113'.3 789.547 10.1100 7,982.33 9.9200 7,832,30 -150.03 324.50 4.14%
05101113'.3 751.550 10.1300 7,613.21 9.9200 7,455.37 -157.84 30089 4.14%
06103/13 '.3 757.360 10.0900 7,641.77 9.9200 7,513.01 -128.76 311.27 4.14%
07101113'.3 668.131 9.9700 8,661.27 9.9200 6,627.85 -33.42 274.60 4.14%
06101113'.3 704.609 10.0600 7,088.37 9.9200 6,989.72 -98.65 289.59 4.14%
09103113'.3 709.175 10.0300 7,113.03 9.9200 7,035.03 -78.00 291.47 4.14%
10101113'.3 712.100 10.0240 7,137.85 9.9200 7,064.04 -73.81 292.67 4.14%
Total Noncovered 204,850.183 2,004,739.23 2,030,129.82 -34,609.81 84,111.19
Reinvestments to 9.452.999 10.0670 95,161.84 9.9200 93,773.75 -1,388 09 3,885.20 4.14%
Date
Page 5 of 13
Account Number Itotod Excellonli
04,1),FLICSF,,' MiAt1 irerr TFE FAZE DGr oi psapme rleAss L D (v A er U y M Va . R n A L T o E w D e C 2 O '0 M 07 M UNICATIONS 4/%1LIT,II ..111=40 .."." = • .
XelltlrNet
SDNY_GM_00047945
N F I
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010769
EFTA_00 I 58554
EFTA01290582

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Bads Mutat Prko Nadir Valet Gala/ Loss Mnual Income Yield
Mutual Funds (continued)
JP N ORGAN FLOATING RATE INCOME FUND (continued)
Total Covered 9,452.999 05,161.14 93,773.76 .1,388.09 3,885.20
Total 214,103.162 $2,159,901.07 $2,123,903.37 -$35,997.70 187.996.39
Total Mutual Funds $2,159,901.07 32,123,903.37 -$35,997.70 187,996.39
Unrealized Acaued Estimated
Cod Basis Market Value Gainl Loss Interest Mnual Income
Total Portfolio Holdings 362,637,797.69 $62,350,592.99 -$187,204.60 144,715.66 $1,138,575.10
Footnotes
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (IIRC*) (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered; under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after thee 'applicable date(si at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1. 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Ciller securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds. foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
I The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the
security. Factors may change over time and are obtained from sources we believe to be reliable.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering frm or transferring agent and Pershing makes no representation as to the accuracy of this information.
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Lout
Date Date Transadion Description Quantity Coll Oasis Proceeds Disallowance
Short Term
11125114 12/13113' R1:9 GS MTG SE-CSCORP 200 ASSThRL, CTF CL 81 VAR 5.751% 1.500.000 000 2,665.05 2,742.44 77.39
06125135 WE DID 05/01105
Security Identifier M242D7X5
Original Cost Basis: 2,665.05
Page 6 of 13
Account Number Rated f.satlera
O8..0 ROLL ThE FAZE D C UST ONFI G D o p r a a pe r rle i s A s L rD (v xA e eL r Os y Au V Rr is r R o ie r A S rT i E nc D e C 2 O 0 M 07 M UMCATIONS
SDNY_GM_00047946
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-OO 1O77O
EFTA_OO 58555
EFTA01290583

ocuicry Ram Power wean. Manirnall
I•lamet% COMIC! GIOI.P
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SIM
Statement Period: 111/112114 -1113012114
Schedule of Realized Gains and Losses Current Period (continued)
Disposition Acquisition Disposition Realized Gain/ Leal
Date Date Tranradion Description Quantity Cost Basis Proceeds Disallowance
Total Short Term $2,665.05 $2,142.44 171.39
Total Short Term and Long Term $2,665.05 $2,142.44 Mit
Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such. M other securities in this
section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as 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 1099-0 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and
subsequently reclassified by the issuer as a return of capital In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as
it relates to corporate actions, has been obtains from sources we believe to be reliable.
Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost
basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have available to you.
When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by
Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or
warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event one or more of these atbtutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations Hill not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method *With you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to Fist In, Fist Out (FIFO). Your accounts selected tax lot method wil be
used to determine the cost basis for calculating gain and/or loss, unless another method was selects at the time of the security disposal, and this may be reported on the IRS Form 1099-8.
pap? of 13
I /I14/II I A F c c S o I u A n A t Z N E umber N — F I D G r o i p S ape r rl r e i s A s R r b Cx r a H a e n U y s d Mu Y e rPn x e c a Ra e r Ae ll w e rT n E o t D o , . C 2 O 0 M 07 M UNICATIONS ratC Z.= Sr=
SDNY_GM_00047947
to
CONFIDENTIAL — PURSUANT TO FED. R CRIM, P. 6(e) OB-SDNY-0010771
EFrA_OOI 58556
EFTA01290584

Messages
Please note the following information for Pershing's 2014 IRS Forms 1099 fa DIV. 11O; CND and MSC ): Your form 1099 will be delivered as early as possible. beginning January 31, 2015. By February 17. you
will receive either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the
securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 vnli be mailed no later than March 16. 2015.
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for OWS money market funds, please visit the DWS Investments website at https://wwerdws-investments.cornEN/productsimoney-market-fundslields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Activity Sum m ary
(All amounts shotim are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Securities Bought 000 000 Secunties Bought -3,678.322.89 -6.918.218.77
Secunties Sold 000 2 760 359 19 Seounties Sold 000 0.00
Total Securities $0.00 $2,780,359.19 Total Securities -$3,678,322.89 -$8,916,218.77
Dividends and Interest $710,123.05 9922,159.31 Dividends and Interest $0.00 $0.00
Distributions $7,712.44 $1,096,719.11 Distribudons $0.00 -$2,724.81
Taxes Withheld $0.00 $4.40 Taxes Withheld $0.00 $0.00
Cash Cash
Deposits 000 38 193 547 84 Deposits 0 00 0 00
Total Cash 10.00 138,493,547.84 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits 10.00 $10,381,873.66 FDIC Insured Bank Deposits $0.00 -$2,792,837.31
Money Market Funds $3,626,110.48 91,688,419.84 Money Market Funds .$191,023.08 -$48,601,602.29
Total Credits $3,889,345.97 $58,313,383.18 Total Debits -$3,869,345.97 -$58,343,311.18
Page 6 o113
Account Nu■ ber. Go paperless :`,7:7;1 :1:1:1:•)O11F =v.
YOI k TI-E FAZ rgiletlii)C MIPICAT*3.6
SDNY_GM_000479.48
E braISTONFIDrwriAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010772
EFTA_00 155557
EFTA01290585

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Statement Period: 11/01/2014 - 11/30/2014
Transactions by Type of Activity
Procesti Tradel
Settlement Transaction
Date Date Activit Death ion Nan Price Accrued Interest Amount Curren
Securities Bought and Sold
11103/14 1012911/ FL RCFASED CITIGROUP INC DEP SFS REPSTG 1/1000 PFD SER C DIV 150.967.000 24.2528 .3.670.430.48 LSO
C PRC 5.8% PERPETUAL 14 ATY PERPETUAL CALL 04122/180 25.00
UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION
YOUR BROKER ACTED AS AGENT
11103(14 REINVEST CASH INCOME P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 791.805 .7.892.41 USD
PHSX 213308.3570 SFRS ShRS PATCH. AT $993000 RD 10130 PO
11/03/11
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 4,670,322M
Dividends and Interest
11/03/14 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 7.892.11 LSO
PF SK 213308.3570 WAS RD 10130 PD 11103/14
11/03/14 BOND INTEREST RECEIVED 1200000 PEABODY ENERGY CORP SR NT 7 375% 11101/16 44.250.00 LSO
704549AE4 WE DTD 10112/06 RD 10131 PD 11103/14
11/17/14 CAST. DIVIDEND RECEIVED BANK AMER CORP PER, NO N COM ULATIVE DEP SFS FIXED 121.875 00 LSD
060505DT8 TO FLOAT 8.125% 04130/58 B/E RD 11114 PD 11115114 DIV
PAID AT 40.6250 3000000
11/17/14 CASH DIVIDEND RECEIVED 79000 SF RS CITIGROL P INC DEP SFS REPSTG 111000Th PFD 33.945.35 LSD
C PRK SER K DIV 6275% PERPETUAL MATT PERPETUAL CALL
11115/23. 25.00 RD 11105 PD 11117/14
11/17/14 80AD INTEREST RECEIVED 500000 'PAYMENT INC GTD SR NT 10.250% 05/15118 WE 25.625 00 LSD
46262EAE5 DID 11115M CLB RD 11/14 PD 11117/14
11/25/14 BOND INTEREST RECEIVED 1500000 GS M TG SECS CORP 2005-5F MTG PASSTII RU CTF 5.749.17 LSD
3621207X5 CL F11 VAR 5.751% 06/25135 WE DTD 05101/05 RD 10131 PD
11125/14
11/28/14 MONEY MARKET FL ND DWSGOVT CAST INSTL 1.086 12 LSD
INCOME RECEIVED
233993682
Total Dividends and Interest - UNITED STATES DOLLAR 0.00 240,123.05
r Page 9 of 13
Account Number Italia tacellone
WOI TI•E FAZE Go paperless I D v A o L r B y A Y R e R ar A L T a E t D e C 2 O '0 M 07 M UNICATIONS
O N F I DENTIA
SDNY_GM_00047949
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) PXOPILPNCP DB-SDNY-0010773
EFTA_001585511
EFTA01290586

Transactions by Type of Activity (continued)
Process/ Trade/
Settlement Transaction
Date Date Activity Type Desairdion Quantity Price Awued littered Mount Currency
Distributions
11125114 RETURN OF PRINCIPAL 1500000 GSM TG SECS CORP 2005-5F MTG PASSTHRU CTF 274244 LSO
RECEIVED CL B1 VAR 5.751% 06125135 81E DID 05101105 RD 10131 PD
3624207X5 11125/14
Total Distributions • UNITED STATES DOLLAR 0.00 2,712.44
Money Market Funds
11103114 MONEY FUND REDEMPTION DWSGOVT CASh INSTL 3,626,180.48 LSD
1/SO999997
11118114 MONEY FUND PtiliChASE DWS GOUT CASI- INSTL -181,44535 LSD
USD999997
11126114 MONEY FUND PURCHASE DWSGOVT CASh INSTL 4.491.61 LSD
USD999997
11128114 MONEY MARKET FUND DWSGOVT CASh INSTL INCOME REINVESTED -1.086.12 LSO
REIN VEST M ENT
233993682
Total Money Market Funds- UNITED STATES DOLLAR 0.00 3,435,157.40
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Markel Value
I to 5 yen 1 660.000 00 18% Percentages of bond market values are
-
rounded to the nearest whole percentage.
Over 10 yen 7 650 376 97 82%
Total 9,310,376.97 100%
Bond Quality
Bond Quality Market Vain % of Bond Market Value
BA/Lower 9.310,376 97 100% Percentages of bond market values are
Total 9,310,376.97 100% rounded to the nearest whole percentage.
You are 100% invested it bonds with a bond quality of BArLoo•ver.
Page10013
Account Number. Raid tace.lera
litIAN MOLL ThE FAZ N FI D G AE o p N ape T rle I ss A L r ( Dx v Ae e L r n y Ou A Y rRn e a Rs r eA S rT la IO te C 2 O 0 M 07 M UNCA TSONS
SDNCGM_00047950
E TeRuTO
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010774
EFTA_00I58559
EFTA01290587

ocuisov Rant Pnnie Weahn Papmernmt
Pdaeals CodrageG,o‘P
WARM M* Sew +.R
R.. wan Onto
MD 21203 in Pan Ammo. Ita I *xi
Statement Period: 11/01/2014 • 11/30/2014
Client Service Information
Your Client Advisor: DAN
DANIS. SAW
345 PARK AVER IJE, 26111 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 Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Bond Amortization Elections:
Treat ad interest as original issue discount fOlD): No
Am orbze premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types- Ratable Method
Include market discount in income annually: No
Electronic Delivery
You have not selected any account com m unications for electronic delivery. To register and turn off paper con m unications, log in to your account or contact your Client Advisor for more inform alien.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted,
have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price M
not available are marked 11/A" and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EM) and estimated annual yield (EMI 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
Meov.pershing.comibusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wil
not receive confirmation of these reinvestments. Upon written request to your financial institution, intonation pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information we respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
Page It of 13
MOM nt Num ber Rated tacollenti
°RAS ROLL THE HAZE DUST N F I D Cior pwaperrleisAs L D L rx y Ae o Us n a . M V rt* n r Ra . e A L rT a E c D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00047951
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010775
EFTA_00 155560
EFTA01290588

Important Inform ation and Disclosures (continued)
Options (continued)
information is available to you prorptty upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance With the terms outlined in the Marge) Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaler number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written
authorization from Standard & Poets. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Poets shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (I) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controgng or under 00010100 control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. 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: wevespershing.corNstrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to
your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor
Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC. Legal Department, One Pershing Plaza,
Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted.
Page 12 of 13
Go
Account hum Der Rated taconenti
Lowy Yew woo. 2007
11-E FAZE T
TONFIdheleisAL
DrxAeLsOuArRtr RaeArT ED COMMUNKATIONS
SDNY_GM_00047952
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010776
EFIA_00 I 58561
EFTA01290589

(*awe Rana Pnvip warn swarms
Weans teeny Groao
Dettsch4 lariSeudnet
Mrs bet Plot
PC &, 1776 B40 Port MD 21203 In Pon Ammo. /Wm:v.
Statement Period: 110112014 • 11/3012014
Important Information and Disclosures (continued)
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court. including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very firnited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than n court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators wil typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum n 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
Page 13 of 13
Account Num berms Rata. Lawnsn i
.01 DIE FAZE T ON FID G AE o p W aper N less A L D E rx v Aa e Ur r, tM u V r e .r R i e l. A s S T l E a D ts C 2 O 0 M 07 M UNISTIONS
SDNY_GM_00047953
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010777
EFTA_00158562
EFTA01290590

Davie IIMT Palm WeRIMPAANNAMI
Alarm{ Comft• GAM
MEND,' Seaderes
Ma *a ono
Et Mal 1776. Mere" PADM203 MS PTA /mom MAI Me
Account Number:
Statement Period: 10/01/2014 -1013112014
THE HAZE TRUST
UAD 02/09/99
Valuation at a Glance
JEFFREY EPSTEIN & This Period Year•to.Date
DARREN K INDYICE TTEES Beginning Account Value 823,480,819.75 622,994,662.96
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 38,485,359.85 38,493,547.84
ST THOMAS VI 00802 Adjusted Previous Account Value 81,986,179.40 81,488,210.79
Dividends, Interest and Other Income 133,379.70 682,036.29
Total Taxes Withheld 0 00 4 40
het Chan e in Portfolio -515033 .75.842 71
nding Account Value $62,094,408.77 862,094.408.77
Your Client Advisor: Estim aced Annual Thom e $917.833.55
Asset Allocation
Prior Year-bid Lad Period This Period % Allocation
USD Cash. Money Funds. and Bank Deposes 7,589,038.35 9,915,881139 47,348,340.05 76.25%
Pease re. le,‘ [),. loceo-
LSD Fixed Income 16.105.626.60 11,481,271.06 11,443,713.98 18.43% 1
LSD Equities 0.00 2,080,880.00 3,302.35478 5.32%
Account Total {Pie Chart) $22,994,662.95 523,460,81925 982,094,408.77 101.00%
See the Asset Amotabon Disclosure and Footnotes section for Impotent inlornsaton regarding yourAsset notation.
Pap 1013
limed GAMINS
E1009 T /3 3CSP 3 00 IT Go paperless L very. Yew Since 2007
DAL BAR RATED COMMUNICATIONS Isle. WI - no... POIN. dec
CONFIDAEriAL rxesurnaer
SDNY_GM_00047954
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010778
EFTA_OO158563
EFTA01290591

Asset Allocation Disclosure and Footnotes
Fixed Income contains Fixed Income Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year•to•Date Unrealized
Short-Term Gain/Loss 76.93 723.48 118 650 01
Long-Term Gain/Loss 000 2.021.49 -323 392 68
Net GaIn/Lou 76.93 1,296.01 -204,732.67
This summary excludes transactions where cost basis information is not available.
Money Market Fund Detail
Date Activity Type Dexriptioa Amount Balance
Sweep Money Market Fund
ow S GOVERNMENT CASH !USTI
Account Num ber. 0000001492 Current Yield 0.03% Adivity Ending: 10/31114
10101/14 Opening Balance 9.915,68819 9,915,688.69
10107/14 Deposit MONEY FUND PURCHASE 38,465,359.65 48,401048.34
10128114 Deposit MONEY FUND PURCHASE 8.486.17 48,409,536.51
10131114 Withdrawal MONEY RAO REDEMPTION •1,062,239.16 47,347,297.35
10/31114 Deposit INCOME REINVEST 1,042.70 47,348,340.05
1/131114 Closing Balance $47,348,340.05
Total All Money Market Funds 647,340,340.05
Income and Expense Summary
Current Period Year•to•Dale
Taxable Non Taxable Taxable Roe Taxable
Dividend Income
Equities 000 0.00 67,890.70 0.00
Money Market 1.042.70 0.00 2,329.09 0.00
Other Dividends 126.574 82 0 00 446.812 82 0.00
Interest Income
Bond Interest 5 762 18 0.00 164,321.43 000
FDIC Insured Bank Deposits 000 0.00 882.25 OR
Total Dividends. Interest, Income and Expenses 6133,379.70 $0.00 $602,039.29 $0.00
Distributions
Other Distributions 0 00 2.725.99 0.00 24.721.32
Total Distributions 30.00 $2,726.99 $0.00 $21,721.32
Page 2 of 13
Go
Account Nun ber Paid Caen na
097893CSFIC BAB 11(>lt Tel FAZE TRLSI D tr A a L y B A V R e R st A 5 T 44 IO .0• C 2 O 9 M .)7 M UNICATIONS
ON FlErEPAt il iAs L tXCRIANCE
SDNY_GM_00047955
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010779
EFTA_DO [58564
EFTA01290592

0rvitre Voslin Pas nair,tat
Marotts (Intiegt
De.ticta Bar Storm. M.
brit
14,Pant Ann**. ,loe,
Statement Period: 18/0112114 • 10/3112014
Portfolio Holdings
Account Activity Opening Closing Accrued Income 30-Day Carrot
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 76.00% of Portfolio
Money Market
DW S GOVERNMENT CASH INSTL
10101114 47,348,340.050 0000001492 10(31114 9,915,688.69 47,348,340.05 77.84 2.32909 0.03% 0.03%
Total Money Market $9,915,688.69 147,348,340.05 177.84 $2,329.09
FDIC Insured Bank Depodts
INSURED DEPOSTS PROGRAM
10101114 N46024943 10131/14 0.00 0.00 0.00 882 25 WA WA
Total FDIC insured Bank Deposits $0.00 10.00 $0.00 1882.25
Total Cash, Money Funds, and Bank Deposits 19,915,688.69 $41,348,340.05 $77.84 $3,211.34
Adjusted UsitalIzed Maud Estimated Estimated
Date Acquired Quality Unit Cost Cast Basis Market Price Markel Value Golf Lou Merest Annual Income Yield
Fixed Income 15.00% of Portfolio (In Malunty Date Sequence)
'Asset Backed Securities
GS M TG SECSCORP 2005.5E M TG PASSTHRU Security Identifier: 3624207X5
CTF CL 81 VAR 5.751% 06125135 BIE
DID 05101105 S 8 P Rating Bs
Factor 0.79980956 Effective Date:10/01/14
Current Face Value: 1,199,414.340
12/13/13 %LIZ 1,500,000.000 97 1780 1.165.565.13 96.9900 1,163,311.97 -2.253.16 5,749.11
Original Cost Basis: $1.189.588.80
Total Asset Backed Securities $1,165,565.13 $1,163,311.07 -62,253.16 15,741.11 $0.00
1,500,000.000
Total Current Face Value : 1,199,414.340
Corporate Bonds
PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4
7.375% 11/01/16 WE DTD 10112106
YULTIPLEGUARANTORSISTCPN DTE 05/01/07 Moody
Rating 0/t3 Sd PRO%) BB-
05110/11 '.12.15 1.200.000 000 105.3890 1,261,663.85 103.0000 1,236.000 00 -28,863.85 44.250 00 88.500 00 7.16%
Original Cast Basis: $1,363,500.00
Page 3 of 13
Account Number Rated tscollonli
BOW 8,3CSF,' WIAR ROLL CIO N F I D G A o p E ap N erl T es I s A L Dr L x v Ac e Li r tO y u A V rRn a aR . eA S Tr l O a D te C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00047956
6: HAZE
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. OB-SDNY-0010780
EFrA_00158565
EFTA01290593

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cod Cog Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
IPAYM ENT INC GTD SR NT Security Identifier: 46282EALS
10250% 05115118 WE DTD 11115111
CALLABLE 05/15115 0 105.125 Moody Rating CAA3 S 8 P
Rating C
10102112'.13.13 500,030.000 921650 460.826.53 84.0000 420.000 00 .4 0.826.53 23,631 94 51,250.00 12.20%
Original Cod Basic $445,000.00
PM ORGAN CHASES CO DEP SHS REPSTG Security Identifier: 46625HHA1
1/10Th FCC) SER 1 FIXED TO FLTG RI BO
7.900% 04/29149 WE DM 04123108 Moody Rating BA1 S &
P Rating BBB-
05110/11 12.1S 3.000.000.000 1112850 3,337,958.33 108.3750 3,251250.00 46,708.33 0.00 237,000.00 7.28%
Original Cost Bags $3.337.958.33
BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 060505078
ShS FIXED TO FLOAT 8.125% 04130158 WE
DID 04130108 CALLABLE 05115118 Moody Rating 8A3 S & P
Rating B8
0511011112,1* 3,000,000.000 112.9870 3,389.620 83 108 5000 3,255,000.00 ,134,620.83 112,395.83 243,750.00 7.48%
Original Cost Basis. $3.389.620.83
Total Corporate Bonds $8,453,059.54 $8,162,250.00 4290,819.54 $90,277.77 $620,500.00
7,700,000.000
Total Fixed Income $9,618,631.67 19,325,561.97 4293,072.70 1186,026.81 $620,500.00
9,200,000.000
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cod Cod Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities 5.00% of Portfolio
Preferred Stocks (Listed by expiration date)
CITIGROUP INC DEP SHS REPSTG 1/1000TH Security Identifier: C PRK
PFD SER K DIV 6.875% PERPETUAL MATY CUSP: 172967341
PERPETUAL CALL 11/15/230 25 00
Dividend Ophon Cash
02/03114 79.000 000 25.3090 1,999,418.90 26.7600 2,114,040.00 114,621.10 135,781.25 6.42%
CMGROUP INC DEP SHS REPSTG 111000 Security Identifier: C PRC
PFD SER C OIV 5.8% PERPETUAL MATT CUSP 172967366
PERPETUAL CALL 04/22/18025.00
Dividend Option: Cash
Page 4 of 13
Go
Account Nun ber Rated [.c70•80
OftAlf ROLL ThE FAZE T ONFIliE)ArnsAL r E Dx v Ae e L r nB y At V rRw s M . e . U S r e n D a C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00047957
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010781
EFTA_00158566
EFTA01290594

dal. Pnwe Wean manran
Marais rap Gw‘P
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Mow Int Cilk•
HS ran It•••••.11" I kit
Statement Period: 10/0112014 - 10131/2014
Portfolio Holdings (continued)
Uarealized Estimated Estimated
Dale Acquired Quantity Unit Cost Cost Basis Market Price Market Value Galaf Loss Annual Income Yield
Equities (continued)
Preferred Stocks (continued)
CITIGROUP INC DEP SKS REPSTG 111000 (continued)
10/28114 49,033.000 24.0810 1.180.739.16 24.2350 1.188 314.76 7,575.60 71.09715 5.98%
Total Preferred Stocks $3,180,158.06 $3,302,354.76 $122,198.70 $206,679.10
Total Equities $3,180,158.06 $3,302,354.76 $122,198.70 $206,679.10
Unrealized Estimated Estimated
Date Acquired Quality Unit Cost Cost Basis Market Price Market Value Gals/ Loss Annual Income Yield
Mutual Funds 4.00% of Portfolio
P M ORGAN FLOATING RATE INCOME FUND Security Identifier:11SX
SELECT SI-ARES CI,S1I1 481211510
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
01/22/13 '.3 198,216.056 10.0900 2.000.000.00 9 9300 1.988.285.45 -31,714.55 81,070.36 4.11%
02/01113 '.3 630.057 10.0670 6,342.92 9 9300 6,256.47 46.45 257.69 4.11%
01101/13 '.3 711.578 10.0600 7.158.48 9 9300 7.065.96 -92.52 291.04 4.11%
04101113 '.3 789.547 10.1100 7,982.33 9.9300 7,840.19 -142.14 322.92 4.11%
05101113 '.3 751.550 10.1300 7,613.21 9.9300 7.462.88 -150.33 307.11 4.11%
06103113 '.3 757.360 10.0900 7,641.77 9.9300 7,520.58 421.19 309.76 4.11%
07101/13 %El 668.131 9.9700 6,661.27 9.9300 6,634.54 -2173 273.27 4.11%
08101113 '.3 704.609 10.0600 7,088.37 9.9300 6,996.76 41.61 288.18 4.11%
09103113 '.3 709.175 10.0300 7,113.03 9.9300 7,042.11 -7192 290.05 4.11%
10101113 '.3 712.100 10 0240 7,137.85 9.9300 7,071.15 -66.70 291.25 4.11%
Total Noncovered 204,660.163 2,084,739.23 2,032,178.01 -32,683.14 83,70110
Reinvestments to 8,658.194 10 0790 87,269.43 9 9300 85,975.90 -1,293.53 3,541.21 4.11%
Date
Total Covered 8,151.194 67 209.43 65,975.90 -1,293.53 3,541.21
Total 213,308.367 $2,152,008.66 $2,116,151.99 -$33,651.17 $87,243.11
Total Mutual Funds $2,152,008.66 $2,116,151.99 433,65817 $87,243.11
Unrealized Awued Estimated
Cod Basis Nadel Value Gala/ Loss Interest Animal Income
Total Portfolio Holdings $62,299,141.44 162,094,408.77 -$204,132.67 $16$,026.6$ $917,833.65
Page 5 of 13
°PAN vel Acc E o F u A nt Z E berms Go pap M erles A s L D R t v a A e te r U y d M V t a . R n A S T la IO te C 2 O 0 M 07 M UNICATIONS
FIDAMS rxenur NCI
SDNY_GM_00047958
CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) TPLSTCON OB-SDNY-0010782
EFrA_00 158567
EFTA01290595

Portfolio Holdings (continued)
Footnotes
' Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis repotting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their 'applicable dates)' at which they are subject to the cost basis reporting rules and the adjusted basis vita be reported to the IRS on form 1099.8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as folows:
• Stock in a corporation acquired on or after January 1.2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default. index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
I The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the
security. Factors may change over time and are obtained from sources we believe to be reliable.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivemg firm or transferring agent and Pershing makes no representation as to the accuracy of this information.
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Loss/
Date Date Transaaion Description Duality Cost Bids Proceeds I:Hullo/an*
Short Term
10127114 12/13113' latP GS LITG SECSCORP 200 ASSTHRU CTF CL 81 VAR 5.751% 1,500,000.000 2,61906 2,725.99 76.93
08125135 WE DTD 05101105
Security Identifier 3624207X5
Original Cost Basis: 2.609.06
Total Short Term 62,649.01 $2,725.99 $76.63
Total Short Term and Long Term $2,149.06 $2,725.99 $76.93
' Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such. Al other securities in this
section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis repotting rules are defined as securities which have been acquired on
or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wilt be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Page 6 of 13
Account Nun Der INNS et) kilted tacellenti
THEN NF I D G r o i p S ap i e T rles i s A Dr (v xA e a r Ur y tu M V r o r. aP w eA ' W rT o O e ) s C 2 O 0 M 07 M UNCATIONS •—•-• gam es-floe...Nat ••••=
SDNY_GM_00047959
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CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) OB-SDNY-0010783
EFrA_00158568
EFTA01290596

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Marais Conran Group
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Now *4 Ma.
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Statement Period: 910112114 • 10/3112014
Schedule of Realized Gains and Losses Current Period (continued)
Reportirg requirements generally will be phased in cver a three-year pencil, as tcllows
• Stock in a corporation acquired on or after January 1. 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1. 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and
subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Retum of capital information and cost basis information, as
it relates to corporate actions, has been obtained from sources we believe to be reliable.
Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost
basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 109943 or online displays you may have available to you.
When you report your cost basis on your tax return. ft should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by
Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or
warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or mote of these attrbutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those invoking continuously callable bonds. foreign bonds. variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method winch you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your accounts selected tax lot method wil be
used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8.
Messages
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Cryporation.(SIPC).
For disclosure of rates for DWS money market funds. please visit the DVVS Investments website at IfflpslAwvwdyrs-iwestrnents.conVENfooducts/money-market-fundsryields.jsp. Please note that all money
market hinds listed on the website may not be offered through us.
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Page? of 13
Account Number Rated excellent,
, • . €o paperless Lyon, Vs.. Slate 2'007 etiraran von we.. c.w.o.*. 0•17=
DAL OAR RATED COmmuniCaliONS •••••••Mc••••••••••....'*r
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SDNY_GM_00047960
CONFIDENTIAL - PURSUANT TO FED. R 6: HAZE OB-SDNY-0010784
EFrA_00158569
EFTA01290597

Activity Sum m ary (All amounts shown are in base currency)
Oedits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Secunbes Bought 0 00 0.00 Secunbes Bought .1.188 813 98 .3.267.895.88
Secunties Sold 0 00 2,760,359 19 Secuntres Sold 0 00 0 00
Total Securities $0.00 $2,760,359.19 Total Securities -$1,166,613.98 -$3,267,895.68
Dividends and interest $133,379.70 $682,036.29 Dividends and Interest $0.00 $0.00
Distributions $2,725.99 $1,093,976.87 Distributions $0.00 42,724.81
Taxes Withheld $0.00 $4.40 Taxes Withheld $0.00 $0.00
Cash Cash
Deposits 31.485.359 65 38.493.547.84 Deposits 000 000
Total Cash $38,485,359.65 $38,493,547.84 Total Cash 50.00 $0.00
FDIC Insured Bank Deposits $0.00 $10,381,873.68 FDIC Insured Bank Deposits $0.00 -$2,792,837.31
Money Market Funds $1,062,239.18 $1,082,239.18 Money Market Funds 438,494,890.52 448,410,579.21
Total Credits $39,683,704.50 $54,474,037.21 Total Debits -$39,683,704.50 -$54,474,037.21
Transactions by Type of Activity
Proceed Trade!
Settlement Transaction
Date Date Activity Type Description Quantity Price Aweed Merest Amount Currency
Securities Bought and Sold
10101/14 REINVEST CAST-. INCOME ,P MORGAN FLOATING RATE INCOME FLND SELECT SHARES 813.174 .8.074.82 LSD
Pr SX 212495.1830 SHRS SI-RS FILRCH. AT 59.93000 RD 09129 PO
10/01114
10/31/11 10/28114 PURCHASED CITIGROUPIAC DEP SHS REMO 111000 PFD SER C DIV 49.033 000 24.0205 -1,180,739.16 LSD
C PRC 5.8% PERPETUAL MATT PERPETUAL CALL 04/22118. 25.00
0401 AVERAGE UNIT PRICE TRANSACTION YOUR BROKER
ACTED AS AGENT
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 -1,186,613.911
Dividends and interest
10101/14 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 8,074.82 LSO
P-SX 212495.1830 SHRS RD 09129 PD 10101114
10127114 80AD INTEREST RC-C8VED 1500000 GS MTG SECS CORP 2005.5F M TG PASSTHRU CTF 5,762.18 LSD
36242D7X5 CL B1 VAR 5.751% 08125135 WE DID 05101105 RD 09130 PD
10125/14
P19.80113
IJOAE1 14O1 I Account Number NF I D Go r p i a T per r le i s A s R Dr (v xA a e e t L e r nB y d u A Y t r a Rn e c R a s e r e l A L l r e a M ra c . e C 2 O 0 M 07 M UNCATIONS .11141,...°T.,== •c- ...-..«T—hrwr.
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) HAZE DB-SDNY-0010785
EFTA_001524570
EFTA01290598

Ute-0 2:1
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Pewals Coerce 4,04,
Destut• UM %woes Ac
PC. BoL I no BA wort M021202 Man W n m AM IR M A O 0 . 7 M 10P a . I to
Statement Period: 1010112014 • 10 /3112014
Transactions by Type of Activity (continued)
Process( Trade/
Settlement Transaction
Date Date Activity T Description Quint Price Accrued littered Amount CO rrenq
Dividends and Interest (continued)
10/30/14 CASH DMDEAD RECEIVED PMORGAN CHASE & CO DEP SHS REPSTG 1/10TH PFD SER 1 118.50010 USD
46625H HA1 7.900% 04129/49 B/E RD 09/30 PD 10/30114 CASH
PAYMENT 3400000
10131/14 MONEY MARKET FUND DWSGOVT CASH INSTL 1,042.70 USD
INCOME RECEIVED
233993682
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 133,370.70
Distributions
10/27/14 RETURN OF PRINCIPAL 1500000 GS MTG SECS CORP 2005-5F MTG PASSTHRU CTF 2,725.99 USD
RECEIVED CL 81 VAR 5.751% 08125135 WE DTD 05101105 RD 09/30 PD
36242D7X5 10/25/14
Total Distributions • UNITED STATES DOLLAR 0.00 2,725.99
Cash Withdrawals and Deposits
10106114 FEDERAL FENDS RECEIVED HSBC BANK USA, NA 09422 38,485,359.65 USD
USD999997
Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 38,465,359.65
Money Market Funds
10107/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL 48,485,359.65 USD
USD999997
10128114 MONEY FUND PURCHASE DWSGOVT CASH INSTL 4,488.17 USD
USD999997
10131/14 MONEY FUND REDEMPTION DWS GO VT CASH INSTL 1,062,239.16 USD
USD999997
10131/14 MONEY MARKET FUND DWSGOVT CASH INSTL INCOME REINVESTED -1,042.70 USD
REINVESTMENT
233993682
Total Money Market Funds • UNITED STATES DOLLAR 0.00 .37,432,651.36
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Page 9 of 13
OSAR ROLL A TH cc E o H un A t Z N E u tmbrer ONFI G D o pa = per i le A ss L R ( r0 v xA a e e t L e r sB y d t uA Y e rI x e Ir c Rd n e eA l l s e rT i n n E t c D , e C 2 O 0 M 07 M UMCATIONS rat= """."
SDNY_GM_00047962
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010786
EFTA_0015857
EFTA01290599

Cash Not Yet Received
Send, Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment
Interest
BANK AMER CORP PEW NON COMULATIVEOEP 11101/14 11115114 3.000,000 000 0 010625 Cash 121.675.00
SES Fl) TO FLOAT
PAYMENT INC GTD SR NT 11101114 11/15/14 500.000.000 0.051250 Cash 25125.00
10.250% 05115118 WE
F'EAI30DY ENERGY CORP SR NT 10131114 11/03/14 1 200,000 000 0036875 Cash 44.250.00
7.375% 11101116 WE
Total Cash Not Yet Received 0191,150.00
Bond Maturity Schedule
Bond Maturity Martet Value %of Bond Markel Value
I to 5 years 1,656,000 00 18% Percentages of bond market values are
Over 10 yea's 7.669.561 97 82% In rounded to the nearest whole percentage.
Total 9,325,561.97 100%
Bond Quality
Bond Quality Market Vale %of Bond Market Value
BNLower 9.325.561.97 100% Percentages of bond market values are
total 9,325,561.97 100% rounded to the nearest whole percentage.
You are 100% invested in bonds with a bond quality of BA/Lower.
Trades Not Settled
Settlement Irade Activity Matted Sfillemett
Date Date Type Description Quanti Price Stem, Mont
11103/14 10/29/14 Buy CITIGROLP INC DEP SI-SREPSTG 1/1000 150,967 000 24.2528
PFD SRC DIV 5 8% PERPETUAL MATY
PERPETUAL CALL 04122118(g 2500
UNSOLICITED ORDER AVERAGE UNIT PRICE
TRANSACTION
Total Amount of Trades Not Settled -$3,670,430.48
Client Service Information
Your Client Advisor: TOS Contact Information
TAM SMITH Telephone Number: (212) 4512889
345 PARK AVEn LE 14Th FLOOR
NEWYORK AY 10154
Page 10 of 13
Account Number Excellent
Go paperless (very Year Since 2007
NF I D Ani snA
rDxAeLnBuARrN ReArM :. COAWILINCATIONS
SDNY_GM_00047963
CONFIDENTIAL - PURSUANT TO FED. R HAZE OB-SDNY-0010787
EFrA_00 158572
EFTA01290600

Oe."1,0 Si. Wea I n. miner-icor
Weals C %Wale
Darts( he MA kw net mc
Na. Int Mc*
MINH Monet lth %v.
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Statement Period: 1010112014 • 10/3112014
Your Account Inform ation
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Socks in a Dividend Reinvestm ent Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Bond Amortization Elections:
Treat al interest as OMAN issue discount i OlDji No
Amortize premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types: Ratable Method
Include market discount in income annually: No
Electronic Delivery
You have not selected any account comm unications for electronic delivery. To register and turn off paper corn m unications, log in to your account or contact your Client Advisor for more inform align.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices. unless otherwise noted,
have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid a an offer, and may differ from the actual sale price. Securities for which a price is
not available are marked "N/A" and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) fgures 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
VAYetv.pershing.cornibvsiness_continuity.htrri for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wil
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in cons orations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing far. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaler number of shares entitled to vote than the number of shares in your margin account.
oNFID'ilo ess
Fage 11 of 13
Account Number eiTAL R 0 A 9 M 9 O Y tm oe e . l l S o e n m i e 2907 Crinr.etir
IRAN Veit TI-E FAZE T r D x A a L r B t A u R rr R ie A r T ED COMMUNICATIONS
SDNY_GM_00047964
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010788
EFrA_00 I 58573
EFTA01290601

Important Information and Disclosures (continued)
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to from U.S. dollars for dividends and similar corporate action
or
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written
authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard 8. Pool's is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content. Standard 8. Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Cash Not Yet Received
Assets sham here are not reflected in your account This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Duality
Bond quality ratings reflect Moody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (i) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing perromis several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws. regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable: the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413.3333. Al other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC1. Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: wiwrpershing.comistrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement. to
your financial organization and Pershing. Please be advised that any oral communication should be reconfirmed in writing to further protect your rights, including your rights under the Securities Investor
Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza,
Jersey City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding: a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award. unless. in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
Page 12 o113
Account Nur Der Go paperless i t listed tszellene
Every V.9 Late 2907
ThE DAL BAR RATED COMAIUNICATIONS
NF I D riSiTiA
SIDNY_Gki_00047965
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) fa Ito DB-SDNY-0010789
EFTA_00158574
EFTA01290602

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Statement Period: 10101/2914 • 10/3112014
Important Information and Disclosures (continued)
Important Arbitration Disclosures (continued)
• 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 Lie shat be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied. III) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enlace 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 13013
Account Melba Rated tocellenti
OBAS ROLL to N F I D Go r p E ap r er r le i s A s r b Cx e A e aL f M y rt A Y iRm e R a e r A S r T in E c 0 e C 2 O 0 M 07 M UNCATIONS ialireitroatr... - Ltt«.rosmistates.....
SDNY_GM_00047966
6(7 HAZE
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. e DB-SDNY-0010790
EFTA_00158575
EFTA01290603

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PO. Sc, 1770 Balt mom MD 21203 Na Pot Aivorek 114h I kw
Account Number:
Statement Period: 0910112/14 •09130(2014
THE HAZE TRUST
UAD 02/09/99
Valuation at a Glance
JEFFREY EPSTEIN & This Period Year.to-Date
DARREN K INDYICE TTEES Beginning Account Value 323,113,956.92 322,994,662.95
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 0 00 8.188.19
ST THOMAS VI 00802 Adjusted Previous Account Value 23,113,956.92 23,002,851.14
Dividends. Interest and Other Income 13.219 96 548.656.59
Total Taxes Withheld 0 00 440
Net Chan e in Portfolio -246 357 13 40,69238
nding Account Value $23,480.819.75 $23,480.819.75
Your Client Advisor: Estim ated Annual Incom e 5845 36041
TAZIA SMITI-
Asset Allocation
Prior Year•End Lad Period This Period % Allocation
LSD Cash. Money Funds. and Bank Deposits 7,589,036 35 9,906.952,32 9.915,688 69 4223% P ease re. law your a loceo-
LSD Axed Income 15,405,626.60 11.675.584.60 11,484,271.06 4891%
LSD Equities 0.00 2.131.420.00 2.080.860 00 8.86%
Account Total (Pie Chart) 322,994,662.95 323,713,956.92 323,460,819.75 100.00%
See the Asset Mlocabon Disclosure and FooMotes section ix important intonation regarding your Asset Alsocabon.
Pap14813
peerless
Rated twalbrigi
B01012S9CSF30023 .ry Lvery Yew 00072007
CONFIEr517ffiXL
rDxAeLsISuArRn RaeArT ED COMMUNICATIONS
SDNY_GM_00047967
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010791
EFTA_00 158576
EFTA01290604

Asset Allocation Disclosure and Footnotes
Fixed Income contains Fixed Income Mutual Funds.
Summary of Gains and Losses
Realized
This Period Yearto-Date Vitalized
Short•Term Gain/Loss 76.67 -800A1 77.810.54
Long•Term Gal&Loss 000 2.021.49 .279.158.36
Net Gain/Lou 76.67 1,221.0 ,201,347.82
This summary excludes transactions where cost basis intamation is not available.
Money Market Fund Detail
Date Activity Type Deuription Amount Balms
Sweep Money Market Fund
CMS GOVERNMENT CASH !NM
Account Number: 0000001192 Current Yield: 0.03% Adivity Ending: 09/30111
08130114 Opening Balance 9.906.952 32 9,906,952.32
09126114 Deposit MONEY FLNO PURChASE 8 192 04 9,915,444.36
09130114 Deposit INCOME REIN VEST 211 33 9 915 688.69
0930114 Closing Balance $9,916,688.69
Total All Money Market Funds 59,915,888.89
Income and Expense Summary
Current Period Year.to•Date
Taxable Nos Taxable Taxable Noo Taxable
Dividend Income
Equities 010 0.00 67,890.70 0.00
Money Market 244.33 0.00 1.286.39 0.00
Other Dividends 7,200.48 0.00 320,038.00 0.00
Interest Income
Bond Interest 5,775.15 0.00 158,559.25 0.00
FDIC Insured Bank Deposits 0.00 0.00 882.25 0.00
Total Dividends, Interest, Income and Expenses 213,219.96 60.00 $50,8611.59 20.00
Distributions
Other Distributions 000 2,718.89 0.00 21,995.33
Total Distributions $0.00 $2,716.89 $0.00 $21,995.33
Page 2 of 13
Go
Account Nun bar Rated [sangria
litt,gt trot k TFE FAZE TRLSI E D v A e L r B y A V R s R .. A s T in E c D e C 2 O 0 M 07 M UNICATIONS
ON Fl AL rxemr NCI
SDNY_GM_00047968
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010792
EFTA_00158577
EFTA01290605

01,41.0t VOtlin hump—via
Mooets IPt,1{t4.0.p
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Statement Period: 0910112111 • 09/3012014
Portfolio Holdings
Account Adivity Opening Doing Awued Income 30.0ay Oared
Opening Date Quantity 'lumber Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 42.00% of Portfolio
Money Market
DWS GOVERN M DI T CASH INSTL
08130114 9,915,688.690 0000001492 0900114 9,906,952.32 9,915,688.69 0.00 1,286.39 0.03% 0.03%
Total Money Market 19,906,952.32 19,915,818.69 10.00 $1,286.39
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
08130114 N46024943 09(30114 0.00 0.00 0.00 882.25 NIA N/A
Total FDIC Insured Bank Deposits $0.00 $0.00 10.00 $682.25
Total Cash, Money Funds, and Bank Deposits 19,906,952.32 19,915,888.69 30.00 $2,168.64
Adjusted Unrealized Awned Estimated Estimated
Date AsOaired Quantity Veit Cod Cost Basis Market Price Market Value Gain/Loss Interest Annual Income Yield
Fixed Income 40.00% of Portfolio (In MalurityDale Sequence)
tAsset Backed Securities
GS M TG SECS CORP 2005.5F M TG PASSTHRU Security Identifier: 362420745
CTF CL 81 VAR 5.751% 06/25/35 WE
DID 05/01105 58 P Riding Eln
Fedor: 0.60112689 Effective Dale.09/02/14
Current Face Value: 1,212,140.335
12113113'.3,5! 1.500.000.000 97.1780 1,168,211.19 96.9890 1,165,913.89 -.270.30 5.570 05
Original Cod Bads: 51.189 588.80
Total Asset Backed Securities $1,166,214.19 51,185,913.89 •$2,270.30 $5,570.05 $0.00
1,500,000.000
Total Current Face Value : 1,202,140.335
Corporate Bonds
PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4
7.375% 11/01/16 WE DTO 10112106
MULTIPLE GUARANTORS 1ST CPN DTE 05101107 Moody
Rating BA3 Sd PRO%) BB-
05/10/11 '.ILII 1.200.000.000 105 6020 1,267,228.87 106.0000 1,272.000 00 4771.13 36.629 17 88,500.00 6.95%
Original Cost Basis: $1,363,500.00
Page 3 of 13
(io
Account Number tacellonil
?.:10,259CSP, I HAW vell ThE FAZE T ON Fl ErrPiV isAL r L Ox v Ae e L r rB y tm A V R 0 s . Ps 0 eA .2 rT 0 O 0: ) 0 C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00047969
CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) Ce-SDNY-0010793
EFTA_0015 8578
EFTA01290606

Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Duality Umit Cod Cod Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
IPAYM ENT INC GTD SR NT Security Identifier: 46262EAES
10.250% 05/15/18 BIE DTD 11115111
CALLABLE 05/15/150 105.125 Moody Rating CAA3 S d P
Rating CC
10/02112'.13.13 500,000.000 92.0210 460.103.92 88.2500 441,250.00 .18.853.92 19.218 75 51.250.00 11.61%
Original Coal Basic $445,000.00
PM ORGAN CHASES CO DEP SHS REPAID Security identifier: 46825HHA1
1/10TH PFD SER 1 FIXED TO FLTG RT BO
7.900% 04129149 WE DID 04123108 Moody Rating BA1
P Rating 888-
05l1011112.11 3.000.000.000 111_2850 3,337,958.33 108.2500 3,247,500.00 .90,458.33 98,750.00 237,000.00 7.29%
Original Cost Basis 53.337.958.33
BANK AM ER CORP PERP NON COM ULATIVE DEP Security identifier: 060505018
SHS MED TO FLOAT 8.125% 04130158 WE
DID 041301013 CALLABLE 05115118 Moody Rating BA3 Sd P
Rating BB
05!1011112,11 3,000,000.000 112.9870 3,389,620.83 108.2500 3,241,500.00 ,142,120.83 91,406.25 243,750.00 7.50%
Onginal Cost Basis 53.389.620.83
Total Corporate Bonds $8,454,911.95 $8,206,250.00 -$246,661.95 $246,004.17 $620,500.00
7,700,000.000
Total Fixed Income $9,623,126.14 $9,374,193.89 -$248,932.25 $251,574.22 $620,500.00
9,200,000.000
Unrealized Estimated Estimated
Date Acquired Duality Unit Cod Cod Basis Market Price Market Value Gain/ Lou Mini Income Yield
Equities 9.00% of Portfolio
Preferred Sods (Listed by option dale)
CITIGROUP INC DEP SHS REPSTG 111000TH Security Identifier: C PRK
PFD SER K DIV 6.875% PERPETUAL MATT CU SIP- 172967341
PERPETUAL CALL 11/15/23025.00
Dividend Opbon: Cash
02/03114 79,000.000 25.3090 1,999,418.90 26.3400 2,080,860.00 81 441 10 135,781.25 6.52%
Total Preferred Stocks $1,990,416.10 $2,080,660.00 $81,441.10 $135,781.25
Total Equities $1,999,41110 62,080,660.00 $81,441.10 $135,781.25
Page { of 13
08013 ROI I A TH cc E o F un A t Z N um ber. NF I D lJO r p i a T per r le i s A s R D ( r v xA a e eL b r nO i y d u A V 2 rR s o r c Ra n o eA l l W o rT r E i o g o D i s C 2 O 0 M 07 M UNICATIONS csiraisaa'ron von los- c.w.o... mar Ns*
SDNY GM 00047970
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) E mo sTO DB-SDNY-00 10794
EFTA_00158579
EFTA01290607

OraIwo Ram Pon. Wealth Alvmp-nent
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Statement Period: 09/01/2014 • 09/3012011
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity UM Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Mutual Funds 9.00% of Portfolio
P M ORGAN FLOATING RATE INCOME FUND Security Identifier: .PHSX
SELECT SPARES CUSP 481211510
Open End Fund
Dividend Option: Reinvest: Capital Gains Option: Reinvest
01122113'.3 198,216.056 10.0900 2,000,000.00 9.9300 1,968.285.13 -31,714.57 81,070.38 4.11%
02101113'.3 630.057 10.0670 6.342.92 9.9300 6.256.16 -86.46 257.69 4.11%
03101113 '.3 711.578 10.0600 7,158.48 9.9300 7,065.97 -92.51 291.04 4.11%
04101113'.3 789.547 10.1100 7.982.33 99300 7.840,20 -14113 322.92 4.11%
05101113'.3 151.550 10.1300 7,613.21 9.9300 7,462.90 .150.31 307.38 4.11%
06103113'.3 757.360 10.0900 7,641.77 9.9300 7,520.59 -121.18 309.76 4.11%
07101113'.3 688.131 9.9700 6,661.27 9.9300 6,634.65 -26.72 213.27 4.11%
08/01/13 '.3 704.609 10.0600 7,088.37 9.9300 6,996.76 -91.61 288.18 4.11%
09103113'.3 109.175 10.0300 7,113.03 9.9300 7,042.11 -70.92 290.05 4.11%
10101113'•3 712.100 10.0240 7,137.85 9.9300 7,071.14 -66.71 291.25 4.11%
Total Noncovered 204,650.183 2,084,739.23 2,032,170.11 -32,563.12 13,701.90
Reinvedm ents to 7.845.020 10.0950 79,194.61 9.9300 77.901.06 -1.293.55 3,208.62 4.11%
Date
Total Covered 7,845.020 79 194.81 77,901.06 .1,293.55 3,208.62
Total 212,495.183 32,143,933.14 17,110,077.17 ,133,856.67 $86,910.52
Total Mutual Funds $2,143,933.84 17,110,077.17 -133,856.67 106,910.52
Unrealized Awued Estimated
Cost Basis Market Value Gain/ Loss Interest Annual Income
Total Portfolio Holdings 123,682,167.57 123,480,819.75 .1201,347.82 1251,574.22 1845,360.41
Footnotes
• konccvered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC')(ncorporating amendments enacted by
P.1.110.343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their *applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wi8 be reported to the IRS on form 1099-8 for the applicable tax year in which the securty is
disposed.
Page 5 of 13
Account Num be Itned tscolloni
tt, )1% E HAZE TC' O NFID G Ar o E pap r er r le i s A s rD (v xA e eL r B y m A v Rm s . R eA L r T a E t D e C 2 O 0 M 07 M UNICATIONS War. Lag amine OS Peat SO
SDNY_GM_00047971
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010795
EFTA_0015 8580
EFTA01290608

Portfolio Holdings (continued)
Repornrg requremerts generally will be phased in over a three-year period, as follows:
• Stock n a corporation acquired on or after January 1.2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
'The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the
security. Factors may change over time and are obtained from sources we believe to be reliable.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous dent brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering rem or transferring agent and Pershing makes no representation as to the accuracy of this infomkabon.
Schedule of Realized Gains and Losses Current Period
Dispositioe Acquisition Disposition Realized Gain/ Lord
Dale Date Transaction Description Quantity Col Basis Proceeds Disallowance
Short Term
09125114 12)13113' RPP GS NIG SECS CO RP 200 ASSTPRL CTF CL 81 VAR 5.751% 1.500.000.000 2.610.22 2,718.89 7817
06125135 FRE DID 05(01/05
Security Identifier 36212D7X5
Original Cost Basis: 2,610.22
Total Short Term 32,610.22 $2,716.89 376.67
Total Short Term and Long Term 32,610.22 $2,716.69 376.67
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.L.110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ncncovered.- under the new cost basis reporting rules, and marked or denoted as such. Al other securities in this
section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on
or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis nil 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 hinds 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, 2914, or later, as determined by the Secretary of the Treasury.
This Schedule may not reflect aft cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and
subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as
it relates to corporate actions. has been obtained from sources we believe to be reliable.
Page 6 of 13
I }rt.,' .4: Account Nu n mbe t r o N F I D G ai o m p E e r r r le i s A s rD E x v Ac e L r i y Bt , uA Y e rR x e r c aR a e e . A l S l rT e i n E n t c D i e C 2 O '0 M 07 M UNCATIONS
SDNY_GM_00047972
CONFIDENTIAL - PURSUANT TO FED. R CRINI. 67 AZE OB-SDNY-0010796
EFrA_OOI 58581
EFTA01290609

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Statement Period: 0910112014 • 09/3012014
Schedule of Realized Gains and Losses Current Period (continued)
Aziustments to cost basis can be made after year-end. in particular. for return cf capital adjustments, but nay also include adjustments for corporate action events. Therefore there may be differences in cost
basis reflected on your monthly dent brokerage statement at year end versus any subsequent reports, including your 109943 or online displays you may have available to you.
When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not requted to be made by
Pershing as it relates to M.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or
warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities. and, accordingly, disclaims any and all liability that may arise with respect to your use and retiance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydovms. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event one cc more of these attrbutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax retums.
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method which you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your accounts selected tax lot method will be
used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8.
M essa es
Pursuant to the Securities Exchange Act of 1934, Pershing I1C (Pershing), a BNY Mellon company, provides individual investors will certain financial information on a semi-annual basis.
Pershing's June Statement of Financial Condition is now available. On June 30, 2014, Pershing's net capital
of 51.848 billion was 12.4% of aggregate debit balances and exceeded the minimum requirements by 51.55 billion.
Pershing is also required to provide the most recent financial information as of this statement mailing. In accordance with this requitement, note that on July 31, 2014, Pershing's net capital of 51.88 billion was
12.74% of aggregate debit balances and exceeded the minimum requirement by 31.59 billion.
A copy of the June 30, 2014. Statement of Financial Condition is available at pershing.conistatement_ollmancial_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 DVVS Investments websie at httpslAwnv.dws-investrnents.cornUEN/products/rnoneyanarket-fundslields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Although a money market mutual fund seeks to preserve the value of your investment at 51 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus a the bank deposit product's disclosure document or contact your advisor for additional information.
Deutsche Bank has combined its asset and wealth management operabonsaincluding Deutsche Bank Alex. Browntinto a single division operating under the Deutsche Asset 8 Wealth Management brand and
future ccirrrunications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc.. a registered broker-dealer and
investment adviser. which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC.
Page 7 of 13
Account Number e tsrimene
THE MAZE NF I D Go r p i a T per r le i s A s rD L x w Ae i L n Bs y At Y iRm e R a e r A S rT i E nc D e C 2 O 0 M 07 M UNICATIONS (—v.., —4-n omo-fla
SDNY_GM_00047973
Trio
CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) OB-SDNY-0010797
EFrA_00 I 58582
EFTA01290610

M essages (continued)
The new beard name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding.
Activity Summary (Ail amounts them are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
0 00 0 00 Secunties Bought -7,200 48 -2,079 081 90
SOCJV es o CO 2 760 359 19 Secunties Sold 0 CO 0 CC
Total Securities $0.00 $2,760,359.19 Total Securities .17,200.48 -$2,079,081.90
Dividends and Interest 113,219.96 $548,656.59 Dividends and Interest $0.00 $0.00
Distributions 12,716.89 11,091,250.68 Distributions $0.00 -12,724.81
Taxes Withheld $0.00 $4.40 Taxes Withheld $0.00 $0.00
Cash Cash
Deposits '0: 1,55 '3 Deposits 0.00 0.00
Total Cash $0.00 $8,188.19 Total Cash $0.00 MOO
FDIC Insured Bank Deposits $0.00 $10,381.873.66 FDIC Insured Bank Deposits $0.00 42,792137.31
Money Market Funds 10.00 $0.00 Money Markel Funds -$8,738.37 -W915,08819
Total Credits $15,936.85 $14,790,332.71 Total Debits 416,936.86 ,114,190,332.71
Transactions by Type of Activity
Process/
Settlement
Date Activity Type Desaiption Quantity Price Paned lutend Mont COn ag
Securities Bought and Sold
09102114 REIN VEST CASH INCOME P MORGAN R.OATING RATE INCOME FUND SEI.ECT SHARES 716.466 4,200.48 USD
.PHSX 211778.7170 SHRS SHRS PORCH. AT 510.05000 RD 08/28
PD 01102114
Total Securities Bought and Sold - UNITED STATES DOLLAR 6.00 -7,200.48
Dividends and Interest
09102114 CASH DIVIDEND RECEIVED ,P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 7,200.48 USD
PF Sa 211778.7170 &IRS RD 08128 PD 09/02114
09125/14 BOND INTEREST RECEIVED GS MTG SECS CORP 2005-5F MTG PASSTHRU CIF CL 81 VAR 5,775.15 USD
3624207%5 5.751% 06125135 BARD 09/24 PD 09/25/14 INTEREST
3.850097 1500000 SOS
09/30/11 MONEY MARKET FUND DWS GO VT CASH INSTL 244.33 USD
INCOME RECEIVED
233993682
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 13,219.96
Page 8 M13
Go aperless
1787.0 10)1.1. A TH cc E o F u A n Z tN E u T m RU b S e T r ONFIErrPaiTAL 1 r R Ctv x A a . e t L, e yM m d A V t R a m .7 c M.7 e e . l SU l r o i n n De i w C 2O0M07M UNICATIONS •-"Cr TT:= "..Lr =I
SDNY_GM_00047974
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010798
EFFA_00158583
EFTA01290611

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Statement Period: 09/01/2014 • 09130/2014
Transactions by Type of Activity (continued)
Process/
Settlement
Date Activity Type Description Quantity Price Maud litered Mount CUr am
Distributions
09125/14 RETURN OF PRINCIPAL GS MTG SECS CORP 2005-5F MTG PASSTERU CTF CL BI VAR 2,716.89 USD
RECEIVED 5.751% 06125/35 WE RD 09/24 PD 09/25114 INTEREST
3624207X5 (11.811282 1500000 MIS
Total Distributions - UNITED STATES DOLLAR 0.00 2,716.89
Money Market Funds
09/26/14 MONEY FUND PURCHASE DWSGOVT CASH owl. 4,492.04 USD
USD999997
09/30/14 MONEY MARKET FUND DWSGOVT CASh INSTL INCOME REINVF_STED -211.33 USD
REINVESTMENT
233993682
Total Money Market Funds - UNITED STATES DOLLAR 0.00 -8,736.37
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
1=1
I to 5 years 1.7t3.25000 18% Percentages of bond market values are
Over 10 years 7 660,94389 82% LI rounded to the nearest whole percentage.
Total 9,374,193.89 100%
Bond Quality
Bond Quality Market Value % of Bond Markel Value
BA/Lower 9,311,193.89 100% Percentages of bond market values are
Total 9,374,193.69 100% rounded to the nearest *tole percentage.
You are 100% invested in bonds with a bond quality of BA/Lower.
Page 9013
Account Number; Go paperless Rotel tocellenti
DRAB POLL D C A a L r E y Y V & e R er A S T M E O D D C 2 O 0 M 0 P 7 A LINICATIONS
to N F I DrErriA exclaimer
SDNY_GM_00047975
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)E HAZE DB-SDNY-0010799
EFTA_0015S584
EFTA01290612

Client Service Information
Your Client Advisor: TDS Contact Information
TAZM SMITH Telephone Number:
315 PARK AVENUE 11TH FLOOR
NEW YORK NY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST ik FIRST OUT
Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Electronic Delivery
You have not selected any account com m unications for electronic delivery. To register and turn off paper coin m unications, log in to your account or contact your Client Advisor for more inform ation.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from
sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is
not available are marked 'N/A' and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any tine,
and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities, interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
WWW.pershing.ccfnibusiness_continuity.htni for speck detads as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shovel on your statement may have been reinvested. You wit
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing film in maintaining current background and financial information concerning
your option accounts, please promptly advise therm 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 ton written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margn Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date a the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents
use.
Fage 10 of 13
Account Number: Go papedess Rated [mallard,
Wiwi; ROIL I ( D w A a L B y A W R a R r A S T i C nc D e C 2 O 0 M 07 M UNICATIONS /in.-sue --•-•••••••
ON F I D AriSiTiA rxerturtraer
SDNY GM 00047976
CONFIDENTIAL - PURSUANT TO FED. R CRINit 67 HAZE DB-SDNY-0010800
EFrA_00 58585
EFTA01290613

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Statement Period: 0910112014 • 09/3012014
Important Information and Disclosures (continued)
Ratings
This statement may contain credit rating information obtained from Standard & Poors. Reproducing and distributing any information received from Standard & Poors is not permitted without prior written
authorization from Standard & Poors. Standard & Poors does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content. Standard & Pools makes no express or implied warranties includttg warranties of merchantability or fitness for a particular purpose.
Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Bond Maturity Schedule
Bonds that are in default are not included,
Bond Quality
Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (*any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which appty to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel_ Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where appicable; the rendering of investment advice, if any, to you and n general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other inquiries regarding your account or activity should
be directed to your financial institution. Your fniancial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance. but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC9. 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: vAvw.pershing.canffitrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt
of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey
City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reasons) 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.
Page It of 13
I k Acc E o F u A nt Z N E u mber NF I D Go r p g ape r rle i s A s e t ) ( D R r v x a A e c t r e Ui y d t uM v e r s s .t a . aR l l eA o S r n T i l E n i c D e C w O o A o V . A LINICATIONS aO Pa t r. lit L tr A O C a•l•t• •11.111•• A 44. L •P ' • S • C ••• •• Ott WON*
SDNY_GM_00047977
TCPU TO
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010801
EFEk_001 58586
EFTA01290614

Important Information and Disclosures (continued)
Important Arbitration Disclosures (continued)
• The rules of some arbitration forums may impose time limits for bonging a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330.
Page 12 of 13
Account Number el k ). Rabid [mallard,
l)BA1 ROLL THE FAZE Go paperless rD tw xAe i L n Bm y A V Rm * 4 Re r A S rT a E n D te C 2 O 0 M 07 .. .YMCA T1ONS
SDNY_GM_00047978
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) E brIlsO N F I DriTriA DB-SDNY-0010802
EFrA_00 I 58587
EFTA01290615

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. URAQFS. RULINGS AND TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, IF ANY, WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS
• TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN AVAILABLE UPON REQUEST.
WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT
DATE. WHICHEVER IS LATER. PERSHINGS OFFICES. A COPY OF I I WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN
• YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT WWW.PERSHING.COTI.
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 COM/BUSINESS_CONTINUITY.HTML
THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS
FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION N MS-
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. RULE 607(A)(1)-(2)I
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE PERSHING SENDS CERTAIN EQUITY ORDERS I t) EXCHANGES, ELECTRONIC CONIMUNICAI ION
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
FINANCIAL INSTITUTION 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 PER$HtNG RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR PAYMENT.
INSPECTION UPON REQUEST. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
TAX INFORMATION FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE
COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS.
• AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TM INFORMATION TO THE INTERNAL TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE, AND TO EXECUTE THEM AT OR BETTER THAN
REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL THE NATIONAL BEST BID OR OFFER (N880). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED
PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT MARKET CENTERS DO NOT MAKE A MARKET IN ITTE SUBJECT SECURITY, PERSHING DIRECTLY
STATEMENT TO PREPARE YOUR TAX FILINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH
• DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE
AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSH NG ALSO REGIAARLY
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY Of EXECUTION PURPOSES.
GENERAL INFORMATION.
• PERSHING COES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE
ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. CO NOT RELY UPON ANY
SUCHADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ARE INDEBTED TO PERSHING LLC EPERSHING, FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
UABILMES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME, WITHOUT TENDER,
DEMAND OR NOTICE TO YOU. CLOSE CR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR
PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS:
ANY BALANCE RENAMING DUE PERSHING TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR
YOUR ACCOUNT ARE OR MAY BE, WITHOUT FURTHER NOTICE TO YOU, LOANED OR PLEDGED BY
PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE
COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR
GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT
PROHIBITED 8Y LAW.
IF ANY OF THE ABOVE TERMS AND CONDITIONS ARE UNACaPTABLE TO YOU. PLEASE NOTIFY PERSIWO IMMEDIATELY IN WRITING BY CERTFIED MAIL TOONE PERSHING PLAZA. JERSEY CITY. NJ 073ft ATTIC LEGAL OM
Pogo130(13
Account Number. Rabid lacelloni
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Account Num ber
Statement Period: 08/01/2114 OSI3112114
THE HAZE TRUST
UAD 02/09/99
Valuation at a Glance
JEFFREY EPSTEIN & This Period Year-to-Date
DARREN K INDYICE TIMES Beginning Account Value $23,813,01313 $22,994,662.95
6100 RED HOOK QUARTER B3 her Cash Deposits and Withdrawals 0 00 8,18119
ST THOMAS VI 00802 Adjusted Previous Account Value 23,613,013.63 23,002,851.14
Drvidends. Interest and Other Income 48,951.02 535,436.83
Toter Taxes Withheld 0 00 410
Net Chan e in Portfolio 53 992 27 175 661 75
nding Account Value $23.713.956.92 $23,713.955.92
Your Client Advisor: Estim aced Annual horn e $844,187.71
TAD% SM Ilk
Asset Allocation
Prior Year-End Ltd Period Ibis Period % Allocation
USD Cast. Money Funds and Bank Deposes 7,589,036.35 9,864,258.28 9,906,952 32 41.78% P ease re.leva a lora' o-
LSD Fixed Income 15.105.626.60 11,626,025.35 11,875,584.80 49.23%
LSD Equities 000 2,122,730.00 2,131,420 00 8.99%
Account Total {Pie Chart) $22,994,662.95 $23,613,013.63 $23,713,95192 100.00%
See the Asset kocaton Disclosure and Footnotes secton for trnpomant intormaton regandmg yots Asset Alocatian.
Pato 1012
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SDNY_GM_00047980
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) OB-SDNY-0010804
EFrA_00 I 58589
EFTA01290617

Asset Allocation Disclosure and Footnotes
Fixed Income contains Fixed Income Mutual Funds
Summary of Gains and Losses
Realized
Ms Period Year4 04* Vitalized
Sr or Term GaintLoss 78.44 477.08 129.28514
LonipTerm Gain/Lou 0.00 2,021.49 48140.42
Net Gain/Lou 76.44 1,144.41 43,245.52
This summary excludes transactions where cost basis information is not available.
Money Market Fund Detail
Date Adivity Type Descriclios Amount Babace
Sweep Money Market Fund
owS GOVERNMENT CASH INSTL
Account Num bet 0000001492 Current Yield 0.03% Activity Ending: 08129114
08101/14 Opening Balance 9164,25821 9,864,258.28
08118114 Deposit MONEY FUND PURCHASE 33,945.35 9,898,203.63
08126/14 Deposit MONEY FUND PURCHASE 8.496.90 9,906,700.53
08129/14 Deposit INCONERBNYEST 251.19 9.906.952.32
08129114 Closing Balance $9,906,952.32
Total All M oney Market Funds $9,906,952.32
Income and Expense Summary
Current Period Year4o-Dale
Taxable Noe Taxable Taxable Nom Taxable
Dividend Income
Equities 33,945.35 0.00 67,890.70 0.00
Money Madre! 251.79 0.00 1,042.06 0.00
Other Dividends 6,965.80 0.00 312,837.52 0.00
Interest Income
Bond Interest 5,788.08 0.00 152,784.10 0.00
FDIC Insured Bank Deposits 0.00 0.00 882.25 0.00
Total Dividends, Interest, Income and Expenses 116,951.02 10.00 $636,436.13 10.00
Distributions
Other Distributions 0.00 2.70812 0.00 19 278 44
Total Distributions $0.00 52,70612 $0.00 $19,276.44
Pap 2 of12
OBAD ROI Acc E o H un A t Z N E u Tm C ber o N F I D G E o p M ape I rle LI s A s L R Dr t x v A a e e t L e s r B y d a A Y t rR s t e r c R a a o r eA l l S e rT l n E a t t D i e C 2 O 0 M 07 M UNICATIONS Ittrra
SDNY_GM_00047981
CONFIDENTIAL - PURSUANT TO FED. R CRIPA. P. 6(e) OB-SDNY-0010805
EFTA_00158590
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Statement Period: 0 810112114 • 011/31/2014
Portfolio Holdings
Account Activity Opening Ckeing Accrued Income 30.Day Arrest
Opening Date Quantity 'lumber Bldg Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 4 2.0 0% of Portfolio
Money Market
DWS GOVERNMENT CASH INSTL
0810111/ 9R0 6 952.320 0000001492 0809114 9,8612 58.28 9,906,952.32 8 '.4 1,012.06 083% 0.03%
Total Money Market 19,551,255.28 19,906,962.32 $5.14 11,012.05
FDIC Insured Bank Deposits
INSURED DEPOSTS PROGRAM
08/01/14 A4G024943 0809114 0.00 0.00 0.00 882.25 N/A N(A
Total FDIC Insured Bank Deposits 10.00 $0.00 1552.26
Total Cash, Money Funds, and Bank Deposits $9,564,25$50.2080 19,906,962.32 OM $1,924.31
AMuMed Unrealized Maned Estimated Estimated
Date Acquired Quality Unit Cod Cost Basis Market Price Market Value Gal Los lateral Annual Income Yield
Fixed Income 40.00% of Portfolio (In Monty Date Sequence)
tAsset Bathed Securities
GS M TG SECS CORP 2006.5F M TG PASSTHRU Security Identifier: 3624207X5
CTF CL 81 VAR 5.751% 06/25/35 WE
DID 05101/05 58 P Rating B4
Fador: 0.80323815 Effective Dale:08101/11
Current Face Value: 1,201,857.225
12/13113 '.3,12 1,500,000.000 97.1780 1,170,851.41 96.9790 1,168,158.49 .2.395.92 5,775.09
Original Cod Basis: $1.189,588.80
Total Asset Backed Securities 11,170,551.11 $1,166,158.19 -52,395.92 15,776.09 $0.00
1,500,000.000
Total Current Face Value : 1,204,557.225
Corporate Bonds
PEABODY ENERGY CORP SR NT Security Identifier: 701519AM
7.375% 11101116 WE DTO 10/12/06
ULTIPLE GUARANTORS 1ST CPS DTE 05101107 Moody
Rating IM3 Sd P Rating
05/10/11 '.12.15 1.200.000.000 105.8150 1,269,78119 108.1250 1,297.500 00 27,715 81 29.500 00 88.500 00 6.82%
Original UM Basis 51,363,500.00
Page 3 of 12
Account Number: !Wed [atelier'',
800,12e3CSF!, OSAN 9On ICO N F I D G A o p E ap N erl T es I s A L Dr L x v Ac e L n iBt r u A Y rRn e Pa ar eA L rT a O te ) C 2 O 0 M 07 M UNICATIONS genera um, moor 0111.. fl . INK
SDNY_GM_00017982
6:: HAZE
CONFIDENTIAL — PURSUANT TO FED. R CRIAA. P. OB-SDNY-0010806
EFIA_00 I 58591
EFTA01290619

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cost Cod Basis Market Price Market Value GaintLoss Interest Mnual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
IPAYM ENT INC GTD SR NT Security Identifier: 46262EAE5
10.250% 05/15/18 WE DID 11115111
CALLABLE 05115115 @ 105.125 Moody Rating CAA3 S 8 P
Rating CC
10102/12 500,000.000 911780 459.38916 86.5000 432,500.00 -26.889.06 15,090 28 51,250.00 11.84%
Original Cost Basic $445,000.00
PM ORGAN CHASE & CO DEP StiSREPSTG Security Identifier: 46625HHAt
1/10TH FED %R 1 FIXED TO FLTG RT BO
7.900% 04129149 WE DID 04/23108 Moody Rating BAt S &
P Rating BBB
05110/11 12,11 3.000.000100 1112650 3,337,958.33 110.6250 3.318.750 00 -19,208.33 79,000.00 237,000.00 7.14%
Original Cosl Basis:53.337.9913
BANK AM ER CORP PERP NON COM ULAT1VE DEP Security Identifier: 060505018
SliS FIXED TO FLOAT 8.125% 04130158 WE
DID 04130108 CALLABLE 05115/18 Moody Raling 8A3 S & P
Rating BB.
05110111 12.1$ 3,000,000.000 112.9870 3,389,620.83 111.0000 3.330.000 00 -59.620.83 71,77013 243,750.00 7.31%
0 nginal COSI Wait $3,389.620.83
Total Corporate Bonds $6,456,752.41 $8,378,750.00 -118,002.41 $195,361.11 5820,500.00
7,700,000.000
Total Fixed Income $9,627,606.82 $9,547,208.49 -580,398.33 $201,136.20 $620,500.00
9,200,000.000
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value GainfLoss Mnual Income Yield
Equities 9.00% of Portfolio
Preferred Stocks (Listed by ovation dale)
CITIGROUP INC DEP Sli 5 REPSTG Security Identifier: C PRK
1/100011- PFD SER K 6 875% CUSP. 172967341
Dividend Option. Cash
02/03/14 79.000 000 25.3090 1,999,418.90 26.9800 2,131,420.00 132101.10 135,781 25 6.37%
Total Preferred Stocks $1,999,418.90 $2,131,420.00 $132,001.10 $135,781.25
Total Equities $1,999,418.90 $2,131,420.00 $132,001.10 $135,781.25
Page4 of 12
ntONFIDEMiA
Account Number GO paperless Rated Caroller.
IIRAW ROLL TXE HAZE E rDx v Ae e L r sO y t A V uR A r nR N eA S rT l E at D e C 2 O .0 M 07 M UNICATIONS
SDNY_GM_00047983
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010807
EFTA 00158592
EFTA01290620

awn, ii4Moonievota•nManair-vra
Mwoet$ Co...ta G•mp
De.itc Ikin. 5/w.f.% M.
Mrs ISA Mop
10 Pant Annw. /Win1kt .V4 ioct
%yr WA Pa
Statement Period: 0810112014 - 08131/2014
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quality UM Cap Cod Bads Market Price Market Value Gainl Loss Annual Income Yield
Mutual Funds 9.00% of Portfolio
P MORGAN FLOATING RATE IN COME FUND SecurIty Identifier: .PHSX
SELECT SPARES CUSP. 481211510
Open End Fund
Dividend Option: Reinvests Capital Gains Option: Reinvest
01122113 '.3 191216.056 10 0900 2,000,000.00 10.0500 1,992,071.37 -7,928 63 80,175.71 4.03%
02101113'.3 631057 10 0670 6.342.92 10.0500 6,332.07 10.85 25180 4.03%
03101113'.3 711.578 101600 7,158.48 10.0500 7,151.37 .7.11 288.90 4.03%
04101113 '.3 789.547 10.1100 7.982.33 10.0500 7,934.95 -47.38 320.58 4.03%
05101113 '.3 751.550 10.1300 7,613.21 10.0500 7,553.07 4014 305.13 4.03%
06103113 '.3 757.360 10.0900 7,641.77 10.0500 7,611.48 •30.29 307.49 4.03%
07101113 '.3 688.131 9.9700 6,661.27 10.0500 6,714.71 53 44 27128 4.03%
08101/13 '.3 704.609 10.0600 7,088.37 10.0500 7,081.32 •705 288.07 4.03%
09/03/13 '.3 709.175 10 0300 7,113.03 10.0500 7,127.21 14 18 287.92 4.03%
10101113'.3 712.100 10.0240 7,137.85 10.0500 7,156.60 18 75 289.11 4.03%
Total Noncovered 204,660.163 2,004,739.23 2,050,734.16 .8,006.08 83,087.95
Reinvedments to 7,128.554 10.0990 71,994.13 10.0500 71,641 96 -352.17 2,894.20 4.03%
Date
Total Covered 7,128.664 71 994.13 71,611 96 .312.17 2,894.20
Total 211.778.717 $2,136,733.36 12,128,376.11 -18,357.25 385,982.15
Total Mutual Funds 12,135,733.36 $2,178.376.11 -18,367.26 086,982.16
Uerealized Accrued Estimated
Cost Basis Market Value Gold loss Interest Anneal Income
Total Portfolio Holdings 123,670,711.40 $23,713,956.92 143,246.62 $201,136.20 3844,187.71
Footnotes
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securibes which have been acquired
on or after their *applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wit be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Page 5 of 12
Account Number. la Ram. tamale M
Go paperless Every Year Same 2OO7
littAt, ROLL ThE F AZE FIDAENT1AL rDxAaLrStAuRrn ReArT ED COMMUNICATIONS
SDNY_GM_00047984
TRLSTCON
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010808
EFTA_00 158593
EFTA01290621

Portfolio Holdings (continued)
Reporting requremerts generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1.2011
• Mutual hinds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portion° system is amended to reflect this
change. These calculations will not be performed under certan circumstances, including those invoking continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
'The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the
security. Factors may change over time and are obtained from sources we believe to be reliable.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous dent brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering Mn or transferring agent and Pershing makes no representation as to the accuracy of this information.
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Lad
Dale Date Tranudion Desruiotion Quantity Cost BUS Proceeds Disallowance
Short Term
08125114 12113113' RPP GS LUG SECS CO RP 200 ASSTI-RL CTF CL fil VAR 5.751% 1,500,000.000 2.632 38 2,708.82 76,44
06125135 8/E OTD 05101105
Security Identifier 3624207X5
Original Cost Basis: 2,632.38
Total Short Term 82,632.38 82,708.82 376.44
Total Short Term and Long Term $2,632.36 82,708.82 376.44
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.L.110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore. considered "noncovered' under the new cost basis reporting rules, and marked or denoted as such. Al other securities in this
section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on
or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-e for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1. 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and
subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as
it relates to corporate actions. has been obtained from sources we bebeve to be reliable.
Page 6 of 12
Account Num bet paperless e t ). itned tscolleni awr..1=71-'.=.="0"r=.."
1)( OM , ROIL E NF I D G r O I SITIA D Ev A er I y S Y * e . R w A S T i E nc D e C 2 O 0 M 07 M UNICATIONS
SON Y_GM_00047985
CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) AZE Ito rxesturger OB-SDNY-0010809
EFTA_00158594
EFTA01290622

0141.1.01.4.4 PO•DIP *Mahn PAWItnall
Minet% C denaG,O,
oe.itcht 8014 WW1. AC
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JI,Pant AMMO. )Nu kw
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Statement Period: 08/0112014 • 08/3112014
Schedule of Realized Gains and Losses Current Period (continued)
Adjustments to cost basis can be made after year-end, in particular, for retum of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost
basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099.8 or online displays you may have available to you.
When you report your cost basis on your tax retum, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not requted to be made by
Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or
warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed lo be reliable. In the event one or more of these attrbutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method which you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to Fist In, Fist Out (FIFO). Your account's selected tax lot method will be
used to determine the cost basis for calculating gain and/or loss. unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099.8.
Messages
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Comoration.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at httpsfivnwe.dvis-investments.conVENfproductshnomey-market-tunds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, It is possible to lose money by Investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset 8 Wealth Management brand and
future communications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and
investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC.
The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding.
pate/ of 12
Go ss
Account Nun ber Rated t mcolkini
OPAB ROLL ME FAZE T ON Fl DElfrfsrA L 1 rD (v xA e cL r i B y u Ar V tRr t . aM . eU W r D oe s C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00047986
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010810
EFTA_00 158595
EFTA01290623

Activity Sum m ary (All amounts shown are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Securities Bought 0 00 0.00 Securities Bought .6.96580 •2.071.88142
Secunties Sold 0 00 2,760,359.19 Secunties Sold 0 00 0 00
Total Securities $0.00 $2,780,351.19 Total Securities -$5,965.80 -$2,071,081.12
Dividends and interest $46,951.02 $535,13863 Dividends and interest $0.00 $0.00
Distributions $2,708.12 $1,088,533.79 Distributions $0.00 42,724.81
Taxes Withheld $0.00 $4.40 Taxes Withheld $0.00 $0.00
Cash Cash
Deposits 0 00 8.188 19 Deposits 0 00 0 00
Total Cash $0.00 $8,188.19 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $0.00 $10,381,873.68 FDIC Insured Bank Deposits $0.00 -$2,792,837.31
Money Market Funds $0.00 $0.00 Money Market Funds -$42,694.04 49,908,952.32
Total Credits $49,859.81 $14,771,395.86 Total Debits -$19,659.81 411,774,395.86
Transactions by Type of Activity
Process/
Settlement
Date Activity Type Description Quantity Price Acased Interest Amount Currency
Securities Bought and Sold
08101114 REINVEST CASI- INCOME 2 MORGAN FLOATING RATE INCOME FLA D SELECT STARES 693.805 -6 965 80 LSD
.PI- SX 211084 9120 S-,RS SI-RS RACK AT 510 04000 RD 07130
PO 08101111
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 4,9035.80
Dividends and Interest
08101114 CAS,- DIVIDEND RECEIVED "MORGAN FLOATING RATE INCOME FUND SELECT SNARES 6,965.80 LSD
PH SK 21108/9120 SPAS RD 07130 PD 08101/14
08115114 CAS,-. DIVIDEND RECEIVED 79000 SP RS CITiGRO P INC DEP SP S REPSTG 111000Th PFD 33,915 35 LSD
C PRK SER I< 6 875% RD 08105 PO 0811 5114
08125114 80AD INTEREST RECEIVED 5500000 GS M TG SECS CORP 2005-5F M TG PASSTH Rt./ CTF 5,788.08 LSD
3624207X5 CI. B1 VAR 5.751% 08125/35 DIE DTD 05101105 RD 07131 PD
0812511/
08129114 MONEY MARKET FUND DWS GOUT CAS,- INSTL 251.79 LSD
INCOME RECEIVED
233993682
Total Dividends and Interest . UNITED STATES DOLLAR 0.00 10,951.02
Page 8 of 12
k ( A h c E co I u -A nt Z N E u T m C ber. O NFID Go E pap r e n rles A s L R D (v a A e c L r e B y d A V ta R e c R a e r A l S l T o i E n v D l a C 2 O 0 M 07 M UNCATIONS ....ay .. = :7 =12.222r......"1".=
IX070.7Net
SDNY_GM_00047987
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10811
EFTA_0(115£3596
EFTA01290624

Onan Ram Weahn Paptagenap
Mats Cednee 6KM)
Densthi Mw Sel.”la
law bet Mao
PC Bat 17/V. &It mom MD 21203 Ma Pot Anows. *xi
Statement Period: 08/01/2014 • 08/3112014
Transactions by Type of Activity (continued)
Procest/
Settlement
Date Activity Type Description Quantity Price Aimed littered Amount Wrung
Distributions
08125114 RETUFA OF PRINCIPAL 1500000 GS M TG SECS CORP 2005.5F M TG PASSTHRU CTF 2,708.82 USD
RECEIVED Cl B1 VAR 5 751% 08125135 BIE DID 05101105 RD 07/31 PD
3624207%5 08/25114
Total Distributions - UNITED STATES DOLLAR 0.00 2,706.62
Money Market Funds
08/18114 MONEY FUND PURCHASE DWS GOUT CASH INSTL .33,945.35 USD
US0999997
08126/14 MONEY FUND PURCHASE DWS GO VT CASH INSTL -8.496.90 USD
USD999997
08129114 MONEY MARKET FUND DWS GO VT CASH INSTL INCOME MIN VESTED -251.79 USD
REINVESTMENT
233993682
Total M oney Market Funds • UNITED STATES DOLLAR 0.00 .42,694.04
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
ri
to 5 years 1,730.000 00 18% Percentages of bond market values are
rounded to the nearest whole percentage.
Over 10 years 7.817.208 49
100%
Total 9,547,206.49
Page 9012
Account Number. Go paperless ek ) kilted Excellent
[very Ye Since 2007
ORAN U(111
NF I [ YriSMA
DrxAeUmMm. ReArT ED OOMMUNCATIONS
SDNY_GM_00047988
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6:T e E: AZEICO DB-SDNY-00 10812
EFTA_00158597
EFTA01290625

Bond Quality
Bond Quality Market Valve % of Bond Markel Value
BNLower 9,541,208.49 100% Percentages of bond market values are
Total 9,547,208.49 100% rounded to the nearest whole percentage.
You are 100% invested it bonds with a bond quality of BAkower.
Client Service Information
Your Client Advisor: TDS Contact Information
TAZIA SNITF Telephone Number:
345 PARK AYEt, LE 14Th FLOOR
k RV YORK NY 10154
Your Account Information
Tax Lot Default Disposition Method
Default M ethod for Mutual Funds: FIRST IN FIRST OUT
Default Method for &odd in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Electronic Delivery
You have not selected any account corn m unications for electronic delivery. To register and turn off paper comm unications. log in to your account or contact your Client Advisor for more information.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from
sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is
not available are marked —N/A— and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EM) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time,
and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities, interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
swnv.pershing.convbusiness_conbnuity.htni for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other secunties shown on your statement may have been reinvested. You wil
not receive confirmation of these reinvestments. Upon written request to your financial institution. information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order now.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confimations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing km. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or fniancial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Fage 10 of 12
l004.0 ROLL A T c h c E o F u A nt Z N E T u m T ber...a Go pape t- • r N l • e ss A L R rD 0 x . A a 0 c t L e y i Ou d A V r t n w R e l a a R o l e r A l o S Tr n 0 C e 0 D , C 2 O 00 M 7 M UNICATIONS ?Car
SDNY_GM_00047989
ONFID AEN
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010813
EFrA_00 I 58598
EFTA01290626

Oralsrellatta Prtvaie Wealth 1.4.4•yentiu
Margin Carnet 4.0.0
Destulv Stao ta Inc
Now *A 011t•
/Ore. itoenes. 26th I low
Statement Period: 0810112014 • 0813112014
Important Information and Disclosures (continued)
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the 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 shams 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. incuired a charge. or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written
authorization from Standard & Poor's. Standard & Pools does not guarantee the accuracy, completeness, bmehness or availability of any information. Standard & Pools is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content. Standard & Poets makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation @orders
for the purchase and sale of securities and other property and On 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 controlfing or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representabves
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, Ater° appicable. the rendering of investment advice, if any, to you and it general, lathe ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC"). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: vninypershing.corrilstrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includng unauthorized Kadin), to your financial organization and Pershing, within ten days after receipt
of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
Pagett of 12
DOAN 90L1 Acco F u A nt Z N E u mbe NF I D G E o p I a S pe I r T les I s A R r D b x e A a c t e L e i n O a d A V I t m w R n a R o t l A l L o T a r E d c D i e C 2 O '0 M 07 M UNICATIONS Itrir AZZTS.="0...7.r.te
SDNY_GM_00047990
TUFSIST
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010814
EFrA_00158599
EFTA01290627

Important Information and Disclosures (continued)
The Role of Pershing (continued)
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department Cne Pershing Plaza: Jersey
City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other n court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding: a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The noes 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 n which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399;
Page 12 of 12
Account Nun ber Rated tmellonl ...====.-LetliZetiSWI I
OSAII ROM TF E FAZE T ONFIErEPArnAs L rD (v xA e cL ry iMa V Rr s n R . e A S rT e E n D to C 2 O 0 M 07 M UNICATIONS SW Mao
SDNY_GM_00047991
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) O8-SDNY-001O616
EFrA_00158600
EFTA01290628

Ocmiln•c gam Vo4a. mr.0"-~
Pavlos CoonitG•cxp
Otrisdx
Ita DOK 177,4 571,~1.1021203 Ml Pa M a a P r I u M st Cl ) i N nct N ker
Account Num ber:
Statement Period: 07101/2014 -0713112014
THE HAZE TRUST
UAD 02/09/99
Valuation at a Glance
JEFFREY EPSTEIN & This Period Tear-to-Date
DARREN K INDYKE MES Beginning Account Value 123,796,798.42 $22,994,082.94
6100 RED HOOK QUARTER 23 kel Cash Deposits and Withdrawals 0 00 8,108.19
ST THOMAS VI 00802 AdJuded Preelous Account Value 23,796,198.42 23,002,851.14
Dividends. Inlerest and Other timme 13.204.96 488,485.81
Total Taxes Wrthheld 0 00 440
het Change in Portlak -195.989 75 121 672 48
ncling Account Value 523.613 013.6 3 523.613 013.63
Your alun Adrian: Estim ated Annual Inom e 5843 865 32
Asset Allocation
Prior Tear-End Lad Period This Period % Alloation
SO Cash. Noney Funds and Bank Deppats 7,589,036.35 9,855,506.19 9,864,258 28 41.77% Pm Chart donation only kludes
Fabels that are ol popbve vak*.
USD Fixed Inørne 15.405.626.60 11,796,23223 11,626,025.35 49.24% I
USD burks 0.00 2144,060.00 2,122,730.00 B.99%
Awount Total (Pie alert) 122,994,662.95 $23,7115,108.42 123,613,013.53 100.00%
See pege 2 of the statement for important information regardng the Asset Mouton «chock
cB0o0
Page bor 12
9 B I I 1 N CSP30 F 017 id tWiTAL b ka a t n o . d Y ta m c p e . l l S o i n nc i e 2'007 ...c .0....
DALOAR RATE° COMMUNICATOIS
%MUN«
SDNY_GM_00047992
CONFIDENTIAL — PURSUANT TO FED. R CRII\A P. 6(e) OB-SDNY-0010816
EFTA_00158601
EFTA01290629

Asset Allocation Disclosure and Footnotes
Fixed Income contains Fixed Income Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year.to.Dale Unrealized
Short-Term Gain/Loss 76 19 -953 52 120.068.32
Long-Term Gain/Loss 0 00 2 021 49 -132,577.10
Net Gain/Loss 76.19 1,067.97 .12,609.79
This summary excludes transactions where cost basis information is not available.
Money Market Fund Detail
Date Activity Type Desaidde Amount Balance
Sweep Money Market Fund
owS GOVERNMENT CASH !USTI
Account Num bet 0000001492 Current Yield: 0.03% Adivity Ending:07131114
07/01114 Opening Balance 9.855.506.19 9.855.506 19
07/28114 Deposit MONEY FUND PURCHASE 8.500 92 9.864 007.11
07/31114 Deport INCOME REINVEST 251.17 9164.258 28
07/31114 Closing Balance 69,664,258.20
Total All Money Market Funds $9,864,258.28
Income and Expense Summary
Current Period Year-to-Date
Taxable Non Tuat4e Taxable Non Taxable
Dividend Income
Equities 0.00 0.00 33,945.35 0.00
Money Market 251.17 0.00 790.27 000
Other Dividends 7.152,83 0.00 305,871.72 000
Interest Income
Bond Interest 5,800.96 0.00 146,998.02 0.00
FDIC Insured Bank Deposits 0.00 0.00 882.25 0.00
Total Dividends, Interest, Income and Expenses $13,214.98 $0.00 $488,496.81 $0.00
Distributions
Other Distributions 0 00 2,899.98 0.00 16,569.62
Total Distributions $0.00 $2,699.96 $0.00 $16,669.82
Page 2 of 12
Go
Account Nun be, Raid facolloni
1U8A0 1101.1 TFE FAZE TRLSI ON FlErEPiViAs L Dr (v xA e aL r r B y tu A Y rR e n R a a r Ac S Tt i n E c D e C 2 O '0 M 07 M UNCA MN'S
SDNY_GM_00047993
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010817
EFTA_00158602
EFTA01290630

Deasre OMR 'Sate Wealth Maaagenetel
IelamIS (MOP 4.10
°ft.loam% sesaen.E.
Now *4 Ono
HS PP% MOM. IMP I bast
Statement Period: 0 710 112 114 • 07/3112014
Portfolio Holdings
Account Activity Opening Closing Accrued income 30-Day Carrell
Opening Date Quantity 'lumber Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 42.00% of Portfolio
Money Market
DWS GOVERNMENT CASH INSTL
07101114 9,864,258 280 0000001492 07131114 9,855,506.19 9,864,258.28 0.00 790.27 0.03% 0.03%
Total Money Market 19,866,606.19 19,854,268.28 10.00 $790.27
FDIC Insured Bank Deposits
INSURED DEPOSTS PROGRAM
07101114 N46024943 07/31114 0.00 0.00 0.00 88225 NIA N/A
Total FDIC Insured Bank Deposits $0.00 $0.00 10.00 $882.26
Total Cash, Money Funds, and Bank Deposits 19,865,606.19 19,864,268.28 30.00 11,672.52
Adjusted Uarealind Maned Estimated Estimated
Date Acquired Quantity Unit Cod Cod Bads Market Price Markel Value Gaial Loss Merest Annual Income Yield
Fixed Income 40.00% of Portfolio (In Maturity Dale Sequence)
'Asset Backed Securities
GS M TG SECSCORP 2005.5F M TG PASSTHRU Security Identifier: 3624207X5
CTF Cl. 81 VAR 5.751% 06/25/35 WE
DID 05101105 S8 P Rating Ein
Factor:0.60504403 Effete Date:07101/14
Current Face Value: 1,217,566.045
12113113'•'.11 1.500.000.000 97.1780 1,173,466.79 96.9440 1,170,64213 -.82396 5 788 02
Original Cod Basis: 51.189.568.80
Total Asset Backed Securities $1,173,486.79 $1,170,862.83 -12,823.96 $5,788.02 $0.00
1,500,000.000
Total Current Face Value : 1,207,566.045
Corporate Bonds
PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4
7.375% 11/01/16 WE DTD 10/12/06
YULTIPLEGUARANTORSISTCPN DTE 05/01/07 Moody
Rating 11/t3 Sd P Rating B8-
05110/11 %MI5 1,200.0W.000 106.0270 1,272,329.84 107.0000 1,284,000 00 11,670 16 22.125 00 88.500 00 6.89%
Original Cod Basis 51,383,500.00
Page 3 of 12
Account Num Derma Rated [nailer/I
800,6111CSFIA' : ()PAP ROL I THE FAZ Go paperless L C v A e L r M y A V R . A R . A L T a E t D e C Z O 0 M 07 M UNICATIONS
NF I D riTriA rxesartraer
SDNY_GM_00047994
CONFIDENTIAL — PURSUANT TO FED. R CRIM, P. 6(e) E TGESISTO OB-SDNY-0010818
EFrA_00 I 58603
EFTA01290631

Portfolio Holdings (continued)
Adjuded Unrealized Accrued Estimated Estimated
Date Acquired Qua Unit Cod Cod Bads Market Price Market Value Gale/ Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
IPAYM ENT INC GTO SR NT Security identifier: 46262EAE5
10.250% 05/15118 BIE DTD 11/15/11
CALLABLE 05/15115 (I 105.125 Moody Rating CAA3 S 8 P
Rating CC
10!02112'.12.13 500,000.000 91.7380 458.681.88 85.5000 427,500 00 .31.181.88 10,819 44 51,250.00 11.98%
Original Cod Basis $445,000.00
PM ORGAN CHASES CO DEP SHSREPSTG Security identifier: 48625M1A1
1/10TH PFD SERI FIXED TO FLTG RI BO
7.900% 04129149 B1E DTD 01123108 Moody Rating BAt S &
P Rating BBB
05110/11 12.1) 3,000,000.000 111_2650 3,337,958.33 110.1250 3,303,750.00 .34,208.33 59,250.00 237,000.00 7.17%
Original Cosl Basis: $3.337.958.33
BANK AM ER CORP PERP NON COM ULATIVE DEP Security identifier: 060505078
SliS FIXED TO FLOAT 8.125% 04/30/58 WE
DID 0/130108 CALLABLE 05115118 Moody Rang BA3 S & P
Rating BB'
05710/11 12.1$ 3,000,000.000 112,9870 3,389,620.83 110.6940 3.320.820.00 08,800.83 51,458.33 243,750.00 7.34%
Original Cost Basis 53.389.620.83
Total Corporate Bonds $8,458,590.88 $8,335,070.00 .$122,520.85 $143,55217 $820,500.00
7,700,000.000
Total Fixed Income $9,832,077.87 $9,606,732.13 -$125,344.84 $149,440.79 $620,500.00
9,200,000.000
Unrealized Estimated Estimated
Date Acquired Quantity Ueit Cod Cod Basis Market Prim Markel Value Gala/ Loss Annual Income Yield
Equities 9.00% of Portfolio
Preferred Stocks (Listed by expiration date)
CMGROUP INC DEP SKS REPSTG Security identifier: C PRK
1/1000Th PFD SERK 6 875% CUSP. 172967341
Dividend Option: Cash
02/03/14 79,000.000 25.3090 1,999,418.90 26.8700 2,122,730.00 123,311.10 135,781.25 6.39%
Total Preferred Stocks $1,999,418.10 $2,122,730.00 $123,311.10 $136,781.26
Total Equities $1,990,418.90 $2,122,730.00 $123,311.10 $136,781.26
Page 4 012
Account Number 11.1.1. Rated tacellon.
:'.2921:4CSF!' MIA2 MOIL DIE FAZE T ONFID G AE o p N ape T rle I ss A L I Dr v xA o eL r B y n A V mR s sR . e . A L rT e E a D C 2 O 0 M 07 M UNICATIONS Venom LAC miaow 0110A rent. OK
SDNY_GM_00047995
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010819
EFTA_00158604
EFTA01290632

e itint
Mwoets Owego C•Ctp
0...,u la Nom
Yin bet Mar
JA)Pstit Annw. 101k noct
th-..•Ert IOVA
Statement Period: 07/01/2014 - 07/31/2014
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Ouautlty UM, Cod Cod Basis Market Price Markel Value Gal/ Loss Annual Income Yield
Mutual Funds 9.00% of Portfolio
P MORGAN FLOATING RATE INCOME FUND Stonily Identifier: .PHSX
SELECT SPARES CUSP 481211510
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
01/22113 '.3 198,216.056 10 0900 2,000,000.00 10.0400 1,990,089.22 -9,910.78 80,673.93 4.05%
02/01113 '.3 630.057 10 0670 6.342.92 10.0400 6,325.77 -17.15 256.43 4.05%
03/01113 '.3 111.578 10.0600 7,158.48 10.0400 7,144.24 -14.24 289.61 4.05%
04/01/13 '.3 789.547 10.1100 7.98223 10.0400 7.927.04 -55.29 321.35 4.05%
05/01/13 '.3 751.550 10.1300 7,613.21 10.0400 7,545.57 -67.64 305.88 4.05%
06/03113 '.3 757.360 10.0900 7,641.77 10.0400 7,603.89 -37.88 308.25 4.05%
07101113 '.3 688.131 9.9700 6,661.27 10.0400 6,708.03 46.76 271.93 4.05%
08/01113 '.3 704.609 10 0600 7,088.37 10.0400 7,074.28 -14.09 288.78 4.05%
09/03/13 '.3 709.175 10 0300 7,113.03 10.0400 7,120.12 7.09 288.63 4.05%
10/01/13 '.3 712.100 10 0240 7,137.85 10.0400 7,149.48 11.63 289.82 4.05%
Total Noncovered 204150.163 2,064,739.23 2,054,68714 .10,051.59 53,292.61
Reinvestments to 6.434.749 10.1060 65,028.33 10.0400 64.604.88 -423 45 2,618.94 4.05%
Date
Total Coveted 6,434.749 65 r028.33 61,604.88 -423.45 2,616.94
Total 211,064.912 32,129,767.55 32.119.292.52 -510,475.04 $65,911.55
Total Mutual Funds $2,129,767.56 32,119,292.52 ,510,475.04 366,911.55
Unrealized Accrued Estimated
Cod Basis Markel Value Gain/ Lou Interest Anneal Income
Total Portfolio Holdings 323,625,522.41 323,613,013.63 -512,508.78 5149,440 79 3613166.32
Footnotes
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended ('IRC') (incorporating amendments enacted by
P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section we 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 *appbcaNe date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wig be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Page 5 oft?
Go
Account Number Rated tacolleril
one nun TI-E FAZE T ONFIErETHisAL B DrxA r e a Li y tOu A V rRt n r Ra . eA s rT i E va D C 2 O 0 M 07 M UNICATIONS
SDNY_GM_0004 7996
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010820
EFTA_00158605
EFTA01290633

Portfolio Holdings (continued)
Reporerg requremerts gererally will be phased in over a three-year period, as follows:
• Stock n a corporation acquired on or after January 1.2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portion° system is amended to reflect this
change. These calculations will not be performed under certan circumstances. including those invoking continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
f The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the
security. Factors may change over time and are obtained from sources we believe to be reliable.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering frrn or transferring agent and Pershing makes no representation as to the accuracy of this inforniation.
Schedule of Realized Gains and Losses Current Period
Disposition Aossisition Disposition Realized Gain/ Lola
Date Date Tranudion Description Quantity Cool Barn Proceeds Disallowance
Short Term
07/25/14 12113113' RPP GS la TG SECS CO RP 200 ASSTI-RL CTF CL 81 VAR 5.751% 1,500,000.000 2,623 76 2.699 95 76.19
06125135 8/E OTD 05101/05
Security Identifier 36242D7X5
Original Cost Basis: 2,623.76
Total Short Term $2,623.16 $2,699.95 $76.19
Total Short Term and Long Term $2,623.76 $2,699.95 $76.19
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC')(Mcorperating amendments enacted by
P.1.110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ncncovered." under the new cost basis reporting rules, and marked or denoted as such. Al other securities in this
section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on
or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as folows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
This Schedule may not reflect aN cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and
subsequently reclassified by the issuer as a retum of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as
it relates to corporate actions. has been obtained from sources we believe to be reliable.
Page 6 of 12
Account hum ber. N4G-024943 It kn. (...,.,P
OPA L, /IOU TrE FAZ
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SDNY_GM_00047997
E Terd"STO
CONFIDENTIAL — PURSUANT TO FED. R CR[6,1. P. 6(e) OB-SDNY-001O821
EFrA_00158606
EFTA01290634

Drain Rant Pon. Wean minim-tan
Mantis todrage 4,0‘P
Deautv Secvnes
New b4 Mc*
MIEN Amon 160. tcr
Statement Period: 0710112014 • 07/3112014
Schedule of Realized Gains and Losses Current Period (continued)
Adjustments to cost basis car be made after year-end. in particular. for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost
basis reflected on your monthly chant brokerage statement at year end versus any subsequent reports, including your 1099.8 or online displays you may have evadable to you.
Vvhen you report your cost basis on your tax retum, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not requted to be made by
Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to property report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or
warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event one cr move of these attrtutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method which you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your accounts selected tax lot method wit be
used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 10998.
Messages
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DWS Investments webste at hipsiNmw.dws-investments.conVEN/products/moriey-rnarket-funds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Deutsche Bank has combined its asset and wealth management operationsainckrding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset & Wealth Management brand and
future communications will reflect this change. Your account will continue to be serviced by and securities void continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and
investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a menter of FINRA, NYSE and SIPC.
The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding.
Page? of 12
s
AccountNumber Rated tscollerdi
°SAN ROIL D•E FAZE TRl.S1 ONFIDCA PetfLiAL D ( r v xA e e r nU y u M y r e t.r a Ra , e^ S Tr in 0 c 2 e C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00047998
CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) OB-SDNY-0010822
EFrA_00158607
EFTA01290635

Activity Sum m ary (All amounts shown are in base currency)
Oedits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Securities Bought 000 0.00 Securities Sought .7.152.83 -2.064.915.62
Securities Sold 0 00 7,760 359.19 Securities Sold 000 0 00
Total Securities $0.00 $2,780,359.19 Total Securities -$7,152.83 -$2,064,915.62
Dividends and Interest $13,204.96 $488,486.61 Dividends and Interest $0.00 $0.00
Distributions $2,699.96 $1,085,824.97 Distributions $0.00 42,724.81
Taxes Withheld $0.00 $4.40 Taxes Withheld WOO $0.00
Cash Cash
Deposits 0 00 8.188 19 Deposits 0 00 0 00
Total Cash $0.00 $8,188.19 Total Cash WOO $0.00
FDIC Insured Bank Deposits $0.00 $10,381,873.68 FDIC Insured Bank Deposits $0.00 -$2,792,837.31
Money Market Funds So.00 $0.00 Money Market Funds 46,762.09 .$9,864,258.28
Total Credits $15,904.92 $14,724,736.02 Total Debits -$15,904.92 -$14,724,736.02
Transactions by Type of Activity
Process/
Settlement
Date Activity Type Description Quantity Price Accrued littered Amount Currency
Securities Bought and Sold
07101/14 RDA VEST CASH INCOME P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 707.500 -7,152.83 LSD
SI-SX 210377.4120 SIRS SHRS PORCH. AT 510.11000 RD 08127
PD 07101114
Total Securities Bought and Sold • UNITED STATES DOLLAR 8.00 -7,152.83
Dividends and Interest
07101114 CAST DIVIDEND RECEIVED .P MORGAN FLOATING RATE INCOM E FUND SELECT SHARES 7,152.83 USD
SX 210377.4120 SIRS RD 06127 PD 07101114
07/25/14 BOND INTEREST RECEIVED 1500000 GS M TO SECS CORP 2005-5F M TG PASSIM RU CTF 5,800.98 USD
3824207X5 CL B1 VAR 5.752% 08125135 B/E DTO 05101105 RD 06130 PD
07125114
07131114 MONEY MARKET FUND DWSGOYT CASH INSTL 251.17 USD
INCOME RECEIVED
233993682
Total Dividends and interest • UNITED STATES DOLLAR 0.00 13,204.96
Page 8 oft?
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Account Number listed tacellone
Lv..y Year Senor 2007
RQO. THE FAZE 7
ON F IErEPrisfiAs L
DrxAeUnMur.r RieArT ED COMMUNICATIONS
SDNY_GM_00047999
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10823
EFTA_00158608
EFTA01290636

°.,i,,,* Um Pnnie Wealth vaagenerno
Margit. Cfsenie 4.00
IXMUM Mee Sew 9csW.
Mew *4 Cillt•
MS Part Mow*. !Wilber
Statement Period: 0 71011211 4 -0713112014
Transactions by Type of Activity (continued)
Process/
Settlement
Date Activity Type Description Quantity Price Accrued Interest Amount Currency
Distributions
07/25114 RETURN OF PRINCIPAL 1500000 GS MTG SECS COW 2005-5F M TG PASSTHRU CTF 2.699 96 USD
RECEIVED CL Ell VAR 5.752% 06/25135 BIE DTD 05101105 RD 06130 PD
3624207X5 07/25/14
Total Distributions - UNITED STATES DOLLAR 0.00 2,099.90
Money Market Funds
07/28114 MONEY FUND PURCHASE DWSGOYT CAS1- INSTL 4.500.92 USD
USD999997
07131114 MONEY MARKET FUND DWS GOVT CASH INSTL INCOME REINVESTED -251.17 L.S0
REINVESTMENT
233993682
Total money Market Funds - UNITED STATES DOLLAR 0.00 4,152.09
Total Value of Transactions 0.00 0.00 UN
The price and quantity displayed may have been rounded.
Bond Maturity Schedule
Bond Maturity Market Valle % of Bond Market Value
1 to 5 years 1,711,500.00 18% 0 Percentages of bond market values are
Over ID years 7,795,232 83 82% n rounded to the nearest whole percentage.
Total 9,505,732.83 100%
Page 9 of 12
Account Number Rated 4a,. l.
1'01 :ICS?: 2 DCior piaspmerlesAs L Lyon. Year Sava 2007
, THE I-AZ DAL BAR RAT ILO COMMUNCA TIONS
r %OIL 'NCI
SDNY_GM_00048000
E TCFd, °O N F I
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010824
EFTA_00158609
EFTA01290637

Bond Quality
Bond Qualdy Market Value % of Bond Markel Value
BAJLower 9,506,732.83 100% Percentages of bond market values are
Total 9,506,732.83 100% rounded to the nearest whole percentage.
You am 100% invested in bonds with a bond quality of BA/Lawer.
Client Service Information
Your Client Advisor: TDS Contact Information
TAN SMITh Telephone Number:
345 PARK AVEh LE 14Th FLOOR
It.EIV YORK k110154
Your Account Information
Tax Lot Default Disposition Method
Default M ethod for Mutual Funds: FIRST IN FIRST OUT
Default Method for Stocks in a Dividend Reinvestment Man: FIRST lk FIRST OUT
Default Method for all Other Securities: FIRST IN RRST OUT
Electronic Delivery
You have not selected any account corn m unications for electronic delivery. To register and turn off paper corn m unications. log in to your account or contact your Client Advisor for more inloim alien.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from
sources which we believe to be rehable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a once is
not available are marked —N/A— and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time,
and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities, interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
wimpershing.cortvtusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wil
not receive confirmation of these reinvestments. Upon mitten request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order now.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or fniancial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Fage10 of 11
Account kumba N F I EIENTIAL Ostacl tacolleria
OBAB NMI TFE F AZE Tt O Go paperless D ( r v xA e eL r n L y I uA V Rr e r e Ri r eA S rT i C nc O e C 2 O 0 M 07 M UNICATIONS var..m
SDNY GM 00048001
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010826
EFTA_00158610
EFTA01290638

Ocuiwc Vots• Manair-wrat
Mootts OntiegtO•ccp
De.tic la Bar Sec,
Yin bete Mar
Annw. !Mk noct
Statement Period: 0710112014 • 07/3112014
Important Information and Disclosures (continued)
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margn Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign cunency transactions as principal for your account Pershing may automatically convert foreign cunency to or from U.S. dollars for dividends and sirnilar 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 cunency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction. named a charge. or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard 8 Poor's. Reproducing and distributing any information received from Standard 8 Pools is not permitted without prior written
authorization from Standard 8 Poor's. Standard 8 Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content. Standard & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation @orders
for the purchase and sale of securities and other property and (l-oony other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances. execution of securities
ciders; the assessment of the suitability of those transactions, where appicable; the rendering of investment advice, if any, to you and n general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. Al other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC`). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: vnvw.pershing.comrstrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includiog 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 wining to further protect your rights, including your rights under the Securities Investor Protection Act.
Page It of 12
1,14.r A TH cc E o unt Number NI F I D Gor pvaprerile,ssk r R D b x e A a e e t L e f nO y d At V E rR x a w c R . e / eA l S l rT e O n E O t D , K I C 2 O .0 M 0 M 7 UNOCATIONS
SDNY_GM_00048002
HAZE TCE O
CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) 013-SDNY-0010826
EFEk_00 I 5861 I
EFTA01290639

Important Information and Disclosures (continued)
The Role of Pershing (continued)
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey
City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very faded.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators wil typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum di 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 unlit (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows. Pershing LLC; Legal Department One Pershing Plaza: Jersey City, New Jersey 07399
Page 12 of 12
tip
Account Num bet kind Excellent
ORAN ROLE ThE FAZE T ONFIErelatrerleisAL ( rC v xA e eL r sM y a A V rRt a r Ra n eA W rT E o O e, C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00048003
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010827
EFTA_00158612
EFTA01290640

Oeuiv Itim .mild,WfalOOMMIP-wrat
We WS Cerra,. 4.c.,p
Ontscht Sant sew,. n<
Mn *4 Pro
I% bet 17/6. Mee" PADM203 HS Pant Moot 160.31.1
Pin VI ItY IOVA
Account Num ber.
Statement Period: 0610112/14 -0613012014
THE HAZE TRUST
UAD 02/09/99
JEFFREY EPSTEIN & Valuation at a Glance This Period Year-to-Date
DARREN K INDYICE TTEES Beginning Account Value $23,877,368.62 $22,994,662.95
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 0 00 8,188.19
ST THOMAS VI 00802 Adjusted Previous Account Value 23,877,368.82 23,002,851.14
Dividends. Interest and Other Income 12.768 11 475.280.65
Total Taxes Withheld 0 00 410
Net Chan e in Portfolio 105.661 69 317.662 23
nding Account Value 523.795.798.42 $23.795.798,42
Your Client Advisor: Estrn ated Annual Morn e 5843.536 58
TAZIA SM ITN
Asset Allocation PON Year-Eed La Period This Period % allocation
USD Cash. Money Funds. and Bank Deposits 7,589,038.35 9,846,764.76 9,855,508.19 41.12% Fe C-ar.allooer only [-c. -des
cr.-vs tnal are of oos,t.ie ‘al.e
USD Fixed Income 15,405,626.60 11,715,773.86 11,198,232.23 49.57% I
USD Equities 0.00 2114.830.00 2,144,060.00 9.01%
Account Total (Pie Chart) 322,994,682.95 823,677,388.62 623,795,798.42 100.00%
See page 2 of the statement for importart $nformaton regardng me Asset *Neat*, section.
Page lot 14
Raled [saner.
DOAN 90.1.1. B00977013CSP30022 GO paperless Event Von Since 2007
CONFIDENTiA
SDNY_GM_00048004
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) re.‘art IrtitiNclitAIEDC°N.AuNiCAT".6 OB-SDNY-0010828
EFrA_OO 158613
EFTA01290641

Asset Allocation Disclosure and Footnotes
Fixed Income contains Fixed Income Mutual Funds.
Summary of Gains and Losses
Realized
Tids Period Year4o-Date UnaNzed
Short-Term GainfLoss 75.74 -1,02931 142,121.09
Long•Term Gal&Loss 000 2.021.49 39.599.64
Net Gain/Loss 75.74 991.78 181,720.73
This summary excludes transactions where cost basis information is not available.
Money Market Fund Detail
Date Acclivity Type Demiptioo Amount Balance
Sweep Money Market Fund
ow a GOVERNMENT CASH IN M.
Account Number: 0000001492 Currenl Yield 0.03% Activity Ending: 06130114
05131114 Opening Balance 9,846,764.76 9,846,764.76
06126/14 Deposit MONEY FUND FtiRCFASE 8,498.57 9,855,263.33
03130/14 Deposit INCOME REINVEST 242.86 9 855 506.19
08130114 Closing Balance $9,1158,608.19
Total All Money Market Funds $9,665,606.19
Income and Expense Summary
Current Period Year•to-Date
Taxable Nos Taxable Taxable Non Taxable
Dividend Income
Equities 0.00 0.00 33,945.35 ON
Money Market 242.86 0.00 539.10 0.00
Other Dividends 6310 82 0.00 298,71819 0.00
Interest Income
Bond Interest 5,81413 0.00 141,195.06 000
FDIC Insured Bank Deposits 0 00 0.00 882.25 000
Total Dividends, Interest, Income and Expenses 312,768.11 30.00 2475,280.66 $0.00
Distributions
Other Distributions 0 00 1684.14 0.00 13.869.66
Total Distributions $0.00 $2,884.14 $0.00 $13,869.66
Page 2 of 14
o
Account Nun ber Rated [..Mane
Of1 ..11 ROLL TF E FAZE TRLSI ONFIDciAPP TerieiAs L r ( D v xA e cL r i y Bt tA V rRh o w RieA ' W rT E o D o . C 2 O 0 M 07 M UN CATIONS
SDNY_GM_00048005
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10829
EFTA_00158614
EFTA01290642

(Micro Kam POWSII.Weahn Manimnalt
Idwals CARED Do‘P
OMAN MA Sew Ats TR
Ilow NA CONE
MS IN Newt !Rh I Act
Steve m Timm
Statement Period: 06/0112114 • 06/30/2014
Portfolio Holdings
Axount Adivity Opening Closing Actrued Income 30.0ay Cured
Opening Date Quantity 'Sumter Ending Balance Etsbact Income This Year YieW Yield
Cash, Money Funds, and Bank Deposits 41.00% of Portfolio
Money Market
OWS GOVERNMENT CASH INSTL
05131114 9,855,506.190 0000001492 06(30114 9,816,764.76 9,855,506.19 0.00 539 10 0.03% 0.03%
Total Money Market $9,046,764.76 19,655,506.19 10.00 $539.10
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
05(31114 N40024913 06(30114 0.00 0.00 0.00 182.15 NIA NM
Total FDIC Insured Bank Deposits $0.00 $0.00 10.00 $612.26
Total Cash, Money Funds, and Bank Deposits 19,646,764.76 19,655,506.19 30.00 $1,421.36
Adjusted Unrealized Awned Estimated Estimated
Date AcOauN Quantity Unit Cost Cost Basis Market Price Market Value GaialLoss Interest Annual Income Yield
Fixed Income 41.00% of Portfolio (In Mawrity Dee Sequence)
'Asset Backed Securities
GS M TG SECS CORP 2006.5F M TG PASSTii RU Security Identifier: 3624207X5
CTF CL 81 VAR 5.752% 06125135 EUE
DID 05/01105 58 Pitting Bs
Fedor: 0.60684401 Effective Date:06/02/14
Current Face Vain: 1,210,266.015
12113113'•x.17 1.500.000 .000 97 1780 1,176,110.55 96.9470 1,173,318.59 -2 793 96 5 609 18
Original Cost Basic 51,189,568.80
Total Asset Backed Securities $1,176,110.55 $1,173,316.59 -92,793.96 95,608.18 90.00
1,500,000.000
Total Current Face Value : 1,210,266.015
Corporate Bonds
PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4
7.375% 1110111681E DTD 10112106
ULTIPLE GUARANTORS 1ST CPA DTE 05/01/07 Moody
Rating BA2 Sd P Rating BB-
05n0/11 '.17.15 1.200.000 000 1061390 1,274,865.87 109.8750 1818.500 00 43.634 13 14,504 17 88,500 00 6.71%
Original Cost Basis: 51,363,500.00
Page 3 of 14
8OO1O7O8CSE3' OMR ROU Account Number Go paperless R D T A a R t L e . B " d , A v D R « o R . l A le v T o n E c ' D e C 2 O '0 M 07 M UNICATIONS .c::.—.r...7.tta="..„r..'r t.
N F I DAENTEAL rxclar NCI
SDN Y_GM_0004 8006
CONFIDENTIAL - PURSUANT TO FED. R CRIN1. P. 6:e: HAZE TrO OB-SDNY-0010830
EFTA_00158615
EFTA01290643

Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Dale Acquired Quaetity Ueit Cost Cost Bans Market Price Markel Value Gain, Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
'PAYMENT INC GTO SR NT Security Identifier: 46262EAE5
10.250% 05115118 WE DTD 11115111
CALLABLE 05/15115 0 105.125 Moody Rating CAA3 S t P
Rating CC
10102112'.12.13 500,000.000 91.5960 457,98229 90.0000 450,000.00 .7.982.29 6.10625 51,250.00 11.38%
Original Coal Basis: $445,000.00
PM ORGAN CHASE & CO DEP SHSREPSTG Security Identifier: 48625HHA1
1110TH FED SER 1 FIXED TO FLTG RT BO
7.900% 04/29/49 WE DID 04123108 Moody Rating BM St
P Rating BBB
05110111 12.13 3.000.000 000 1112850 3.337 555 33 111.7500 3,352,500.00 14.51167 39.500 00 237,000.00 7.08%
Onginal Cost Bans 53.337.958.33
BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 080505018
%ISSUED TO FLOAT 8.125% 04130158 WE
DID 04130108 CAU.ABLE 05115118 Moody Rating 8A3 S& P
Rating B84
05110/11 12.1$ 3,000,000.000 112.9870 3,389,620.83 112.5000 3,375,000.00 .11,620.83 30,468.75 213,750.00 7.22%
Original Cost Buis: $3&89.621.83
Total Corporate Bonds 58,480,427.32 $8,496,000.00 536,572.68 590,879.17 5820,500.00
7,700,000.000
Total Fixed Income 39,838,637.87 $9,80,318.59 332,771.72 $18,487.36 $620,500.00
9,200,000.000
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cod Basis Market Price Markel Value Galaf Loss Annual Income Yield
Equities 9.00% of Portfolio
Preferred Stocks (Listed by expiration date)
CMGROUP INC DEP SHS REPSTG Security Identifier: C PRK
11100071- PFD SER K 6 875% CUSP: 172987341
Dividend Option Cash
0210311/ 79,000.000 25.3090 1,999,118.90 27.1100 2,144,060.00 111,641.10 135,781.25 6.33%
Total Preferred Stocks $1,999,418.90 52,144,080.00 $144,641.10 $136,781.26
Total Equities $1,990,418.90 $2,144,060.00 $144,841.10 5136,781.26
Page 4 of 14
? • D977Q8CSF!' . I }PAN 9011 A TH cc E o F u A nt Z N E u T m r b a e C r: O N F I D G A M o p S ap M erles A s L R r ( G v x a A e e t L e r s y L d u I V e rAn x . . A c Ra e . eA l S l rT e i E n n c D t e C 2 O 0 M 07 M UNICATIONS .7r. it "J .7: dIre
SON Y_GM_0004 8007
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-001O831
EFrA_00 I 58616
EFTA01290644

Ocuicev Ram PoweVhattniAvviena0
Myatt Cony 0,0‘P
Destut• 8.7 Se0,0ei 7K
lire yen Olk•
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MSS
Statement Period: 06/01/2014 - 06130/2014
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cod Cod Bads Market Price Market Value Glint Loss Annual Income Yield
Mutual Funds 9.00% of Portfolio
JP M ORGAN FLOATING RATE INCOME FUND Security Identifier:PHU
SELECT SPARES CUSP. 481211510
Open End Fund
Dividend Option: Reinvest: Capital Gains Option: Reinvest
01122113 '.3 198216.056 10.0900 2,000900.00 10.1100 2,003,964.33 3,964.33 88872.15 4.03%
02101113'.3 630.057 10.0670 6.34292 10.1100 6.36988 26.96 257.06 4.03%
03101113'.3 711.578 10.0600 7,158.48 10.1100 7,194.06 35.58 290.32 4.03%
04101113'.3 789.547 10.1100 7.982.33 10.1100 7.982.31 -0.02 322.13 4.03%
05101113 '.3 751.550 10.1300 7,613.21 10.1100 7,598.17 -15.04 306.63 4.03%
06103113'.3 757.360 10.0900 7,641.77 10.1100 7,656.92 15.15 309.00 4.03%
07101113'.3 888.131 9.9700 6,661.27 10.1100 6,754.81 93.54 272.80 4.03%
08101113'.3 704.609 10.0600 7,088.37 10.1100 7,123.59 3522 287.48 4.03%
09103113'.3 709.175 10.0300 7,113.03 10.1100 7,16977 56.74 289.34 4.03%
10101113'.3 712.100 10.0240 7,137.85 10.1100 7,199.33 61.48 290.54 4.03%
Total Noncovered 204,860.163 2,004,739.23 2,00,013.17 4,273.94 83,497.25
Reinvedm ents to 9727.249 10.1050 57,875.50 10.1100 57,902.47 26.97 2,336.73 4.03%
Date
Total Covered 5,727.249 57 875.50 57,90 2.47 26.97 2,338.73
Total 210,377.412 $2,122,614.73 $2,126,915.64 $4,300.91 $86,833.98
Total Mutual Funds $2,122914.73 $2,129916.04 $4,300.91 $66,633.98
Unrealized Awued Estimated
Cod Basis Markel Vain Gale loss Interest Annual Income
Total Portfolio Holdings 23,814,0 77.69 23,796,798.42 181,720.73 99487.35 843,538.58
Footnotes
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.1.110.343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section we 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 *appbcaNe 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.
Page 5 of 14
Account Number Itatod 4caII.S =Tr ".....t..=" •= .12'
1007.0 ROIL P-E FAZE T ( 0 v A e L r B y A W II a R r A S T lo E w O s C 2 O 0 M 07 M UNICATIONS ti Wua -•••••••••A vac
ON FIErelagPfei As L 7XCIIIL7NC7
SON11_00_00048008
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010832
EFTA_00158617
EFTA01290645

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, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those invoking continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the
security. Factors may change over time and are obtained from sources we believe to be reliable.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information.
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Loaf
Date Date Transaction Description Quantity Coll Basis Proceeds Disallowance
Short Term
06125114 12/13/13' nif GS It TG SECS CO RP 200 ASSTFRL CTF CL B1 VAR 5.752% 1.500.000.000 2.608 39 2,614.13 75.71
06125135 B/E 0T0 05/01/06
Security Identifier 3624207X5
Original Cost Basis: 2,608.39
Total Short Term 12,608.39 $2,684.13 $76.14
Total Short Term and Long Term $2,608.39 $2,684.13 $76.74
Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended ('IRC') (incorporating amendments enacted by
P.1_110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ncocovered." under the new cost basis reporting rules, and marked or denoted as such. Al other securities in this
section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on
or after their 'applicable date(sr at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1. 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
This Schedule may not reflect an cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and
subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as
it relates to corporate actions. has been obtained from sources we believe to be reliable.
Page 6 of 14
Account Num ber Rated Lacolleria
OKA!, vVlt N F I D Gor pwaperrleisAs L r B DxA r a a Lr y Otu A V rRn o aR n eA L rT a E t D e C 2 O 0 M 07 M UNICATIONS
SDNY_GA4_00048009
6: HAZE TtO
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-00 10833
EFTA_00 158615
EFTA01290646

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Penis Iowa,.4 .p..p
Dettsthi Sewnes
lire bet Oncto
HI Part Annie. Halter
w4'wet 10114
01/14:441114.m a 741.4,91,
Statement Period: 0610112014 • 06/30/2011
Schedule of Realized Gains and Losses Current Period (continued)
Aodustments to cost basis can be made after year-end. in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost
basis reflected on your monthly chant brokerage statement at year end versus any subsequent reports, including your 1099.8 or online displays you may have available to you.
When you report your cost basis on your tax retum, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not requted to be made by
Pershing as it relates to M.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or
warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and rekance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attrtutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method which you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your accounts selected tax lot method wit be
used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8.
Messa es
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https://vnwrdws-investments.com/EN/productshnoney-market-funds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
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 products disclosure document or contact your advisor for additional information.
Please note that the following language supersedes previous versions of our disclosure, Pershing's Impartial Lottery Process: Partial Calls:
Pershing's Impartial Lottery Process: Partial Calls
When a security is subject to a partial redemption, pursuant to New York Stock Exchange (NYSE) Rule 402.30, which has been incorporated into the FINRA Consolidated Rulebook, Pershing must have
procedures in place that are designed to treat clients fairly in accordance with an impartial lottery processAnThen an issuer initiates a partial call of securities, the depository holding such securities (typically, the
Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for
which it holds securities on deposit (including Pershing). Because DTCC's lottery is random and impartial, participants may or may not receive an allocation of securities selected for redemption.
When Pershing is notified that it received an allocation of called securities, Pershing conducts a similar, computer-generated random lottery. The lottery determines the accounts that will be selected and the
number of securities in the account that will be redeemed. Allocations are based on the number of trading units held in the account. The probability of any trading unit held by an account being selected as called
in a partial call is proportional to the total number of trading units held through Pershing.
Once the lottery is complete. Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation. Securities registered in the client's name, either in transit or held in custody, are
Page 7 of 14
Account Num be; Go 4 ,%,) Rated [mallard,
1,1001 VOI paperless L ve L r O y A Y R e R a e r A S T i E nc D e O 2 O '0 M 07 M UNICATIONS
THE FAZE buTO N F I DAENTIA rxDAenurna r
SDNY_GM_00048010
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010834
EFTA_00158619
EFTA01290647

M essa es
(continued)
excluded from the Pershing lottery process.
Pershing initiates the lottery process by identifying the accounts holding the called security. the total par value of the called securities held, and the trading unit of the security.
Example (unit of trade = $25,000):
Client Account: ABC-123234; Par Value: $100,000; Number of Trading Units: 4
Client Account: DEF-325465; Par Value: $75,000; Number of Trading Units: 3
Client Account: EDR-567433; Par Value: $150,000; Number of Trading Units: 6
Client Account: EGT476574; Par Value: $50,000; Number of Trading Units: 2
Client Account: EGT-888345; Par Value: $25,000; Number of Trading Units: 1
Client Account: FRT-435234; Par Value: $25,000-, Number of Trading Unts: 1
Client Account: FRT-658797; Par Value: $75,000-, Number of Trading Unts: 3
In brief, the allocation process involves the following steps:
> The number of trading units held n each account is identified.
> A sequential number is assigned to each trading unit (e.g., account EDR-567433 would be assigned six numbers).
> A random number is generated that will result in one of these trading units being the first unit in the selection process.
> Thereafter, the trading units participating in the allocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted.
Additional Information
The allocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not
have any securities selected for redemption at all.
When a partial cal is deemed favorable to the holders of the called security, Pershing wil exclude certain accounts from the lottery. Excluded accounts will include Pershing's proprietary and employee accounts,
as well as proprietary and employee accounts of introducing broker-dealers (if Pershing carries and clears those accounts). No allocation wit be made to these proprietary and employee accounts until all other
client positions at Pershing in such securities have been called. Wien a partial call is deemed unfavorable to holders of the called security. Pershing wil not exclude any accounts from the lottery.
If the partial call is made at a price above the current market price as captured in Pershing's price reporting system. Pershing will generally categorize the partial call as one that is favorable to the holders of such
security. If the partial call is made at a price that is equal to or below the current market price of the security as captured in Pershing's price reporting system, Pershing will generally categorize that call as one
that is unfavorable to holders of the security.
Clients have the right to withdraw uncalled, fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial cal.
Clients also have the right to withdraw excess margin securities, provided that the client account is not subject to restriction under Regulation T or that such withdrawal wil not cause an under-margined condition.
Pagel of 14
Account Nun Der Go paperless M Ev a er l y V [m es a t l l W s n o i e l s 2007
H NF I D E1SMA DAL BAR RATED COMMUNC ATIONS
SDNY_GM_00048011
CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) AZE It o OB-SDNY-0010835
EFTA_00158620
EFTA01290648

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Statement Period: 0610112014 • 06/30/2014
Activity Summary
(AU amounts shown are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Securities Enyht 000 000 Secullies Sc6g ht .5 710 P2 -2.057.762 79
Seeuntes Sold 0 00 2 760 359 19 Seca eves S:Id 0.00
Total Securities $0.00 $2,760,359.19 Total Securities •$6,710.82 -$2,057,762.79
Dividends and Interest $12,768.11 $475,280.65 Dividends and Interest $0.00 $0.00
Distributions $2,684.14 $1,083,125.01 Distributions $0.00 -92,72411
Taxes Withheld $0.00 $4.40 Taxes Withheld $0.00 $0.00
Cash Cash
Deposits 000 8,188 19 Deposits 7 0.00
Total Cash so.00 $8,188.19 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $0.00 110,301,87168 FDIC Insured Bank Deposits $0.00 -$2,792137.31
Money Market Funds $0.00 $0.00 Money Market Funds 49741.43 -09,655,506.10
Total Credits $15,452.25 $14,708,831.10 Total Debits -$15,452.25 •814,708,131.10
Transactions by Type of Activity
Process;
Settlement
Date Activity Type DesedrIlon Quantity Price Accrued Interest Amount Currency
Securities Bought and Sold
06102114 REIN VEST CAST lk CO ME "MORGAN FLOATING RATE INCOME FUND SELECT SHARES 664.438 4.710.82 LSD
8F• Sk 2097129740 SIRS SHRS PURCH. AT $10.10000 RD 05129
PD 06102114
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 43,71022
Page 9 of 14
Go
Account Number Rated tscolhinfi
08.4, RCM TI•E FAZE T ON Fl AL L rOx r A w eLs y Bt A V uRN n D . C A S TI i E nc D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00048.012
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) O13-SDNY-0010836
EFrA_00 158621
EFTA01290649

Transactions by Type of Activity (continued)
Process/
Settlement
Date Activity Type Description Quantity Price Accrued Interest Amount Currency
Dividends and Interest
06/02/14 CASH DIVIDEND RECEIVED PP/ORGAN FLOATING RATE INCOME FUND SELECT SHARES 6110.82 USD
PH SX 209712.9740 SIRS RD 05129 PD 08102114
06125/14 BOND INTEREST RECEIVED 1500000 GS MTG SECS CORP 2005.5F M TG PASSTHRU CTF 5,814.43 USD
3624207X5 CL B1 VAR 5.759% 08125135 DIE DID 05101105 RD 05130 PD
08125111
06130114 MONEY MARKET FUND DWS GO VT CASH INSTL 242.88 USD
INCOME RECEIVED
233993682
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 12,761.11
Distributions
06125/1! RETURN OF PRINCIPAL 1500000 GS MTG SECS COPP 2005-5F M TG PASSIM RU CTF 2.684.14 LSD
RECEIVED CL D1 VAR 5.159% 06125135 WE DTD 05101105 RD 05130 PD
3624207X5 08125111
Total Distributions - UNITED STATES DOLLAR 0.00 2,684.14
Money Market Funds
06126/14 MONEY FUND PURCHASE DWS GO VT CASH INSTL 4498.57 USD
USD999997
06130114 MONEY MARKET FUND DWSGOVT CAP! INSTL INCOME ReN VESTED -242.86 USD
REINVESTMENT
233993682
Total N oney M ante Funds - UNITED STATES DOLLAR 0.00 -$.141.43
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Page 10 o114
Account Nun ber Rated Lacellerigi
OBAN ROLL E F AZE T Go paperless D (v A e L r B y A Y R e R ar A S T i E nc D e C 2 O 0 M 07 M UNICATIONS
ONFID-ENTIAL 7X00.1.7NC,
SDNY_GM_00048013
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010837
EFTA_00 158622
EFTA01290650

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Statement Period: 06101/2014 • 06/30/2014
Bond Maturity Schedule
Bond Maturity Market Value of Bond Market Value .•
1 to 5 years 1.768,500 00 18% Percentages of bond market values are
Over 10 years 7.900,816 59 82% rounded to the nearest whole percentage.
Total 9,669,316.59 100%
Bond Quality
Bond Quality Market Valet % of Bond Market Value
BA/Lower 9.669316 59 100% Percentages of bond market values are
Total 9,669,316.59 100% rounded to the nearest whole percentage.
You are 100% invested in bonds with a bond quality of BA/Lower.
Client Service Information
Your Client Advisor: TDS Contact Information
TAZIA SMITF Telephone Number: i 212) 454.2889
345 PARK MULE 14TH FLOOR
NEV/ YORK AY 10154
Your Account Information
Tax Lot Default Disposition M ethod
Default Method for Mutual Funds: FIRST IA FIRST OUT
Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Electronic Delivery
You have not selected any account 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 you account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from
Page t t of 14
liAAN tiOlk A TF c c E o F u A nt Z N E u T m L b A er T ,,,-.‘ kir in GO paperless 441 ) P I I t v m e r l g g e y d i [ V t n . ; c a 4„ o . 2 l l S P o in w D 4 c e C 2007 A UPOCA100•6
SDNY_GM_00048014
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Uk e.linilr IL; DB-SDNY-0010838
EFTA_00 158623
EFTA01290651

Important Information and Disclosures (continued)
Pricing (continued)
sources which we believe to be reliable Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is
not available are marked —N/A' and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any tine,
and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities, interest and dividend rates, and prices remain constant A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to
VAViv.pershing.comibusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income. Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order lbw.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing fern. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terns 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 wit not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) wit be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Pools. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written
authorization from Standard & Poor's. Standard & Poor's does net guarantee the accuracy, completeness, timeliness or availabilty of any information. Standard & Poor's is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content. Standard & Pools makes no express or implied warranties includng warranties of merchantability or fitness for a particular purpose.
Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
reconsnendations to purchase, hold or sell securities; and do not address suitabibty for investment purpose. Credit ratings should not be relied upon as investment advice.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (i) any other instructions concerning your account. Pershing is not responsible or Gable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
Page 12 of 14
OKA,' V011 A TH cc E o F u A nt Z N E u tm bse;T O N F I DGor p i am s perlAess L I Dr v xA o eL r n B y u A V t r a R .7 r c a . R 7 o e . A l S l rT e i E r n 4 c D e C 2 O 0 M 07 M UNICATIONS r -I r S e O- l ,==== •w " A 0 nr . w . . r lC . ..'r=
SDNY_GM_00048015
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010839
EFIA_00 158624
EFTA01290652

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Statement Period: 0610112014 • 06/30/2011
Important Information and Disclosures (continued)
The Role of Pershing icor:rim/0d)
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its cent operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413.3333. Al other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organizations 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.corNstrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing. within ten days after receipt
of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershin's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey
City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other n can, including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators WI typically include a ninority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (
Page13014
Account Number R Ev . e i. n d . V to e c m el l L o a rd c i e 2007 ratL tJr.:7:171=7,=="1=
TI- E FAZE T DrxAeLs DuArDn RaeArT ED COMMUNICATIONS
SDNY_GM_00048016
ON F 6 .°)Dlagf i sAL
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010840
EFTA_00158625
EFTA01290653

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. LIcar•FS. 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.
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WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT
DATE. WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF I T WILL BE MAILED UPON YOUR WRIT TEN REQUEST OR YOU CAN
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IF ANY OF GB ABOVE TERMS AND CONDITIONS ME UNACCEPTABLE TO YOU. PLEASE NOTIFY PERSHING IMEDIMELY .4 WRITING BY CERTIMO MAIL 70 OM PERSHING RNA. JERSEY CITY. NJ 07399, ATM LEON. DEPT
Page 14 of 14
08AO ROLL 61 A 1 c 4 c 0 o : u F n A t Z N E u T m CR b II e S r T : O NFID G E o pa S pe M rles A s L R D L /K y A a o t L a n e O . d m . A Y [w R m e a a R l e r A k S i r T n l E a g D t , e C 2 O 0 M 07 M UNCA TONS etrelimrHateltWIFI.,101.P MI MMO
SDNY_GM_00048017
CONFIDENTIAL — PURSUANT TO FED. R. CRIM, P. DB-SDNY-0010841
EFTA_00 158626
EFTA01290654

ONIN.0 a, 00•110 VNY I, Mli4je,Ild
Mines I wrap Gnat)
Deaulv Mee Waren at.
PA Om AM Siena* MD21203 New %A Olio
MINA Oseesk anti bet
Account Number:
Statement Period: 0510112014 -0513112014
THE HAZE TRUST
HAD 02/09/99
Valuation at a Glance
JEFFREY EPSTEIN & This Period Year-to-Data
DARREN K INDYKE TTEES Beginning Account Value 823,411,532.89 522,994,862.95
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0.00 8,168.19
ST THOMAS VI 00802 Adjusted Previous Account Value 23,411,532.89 23,002,851.14
Dividends. Interest and Other Income 274,252.51 162,512.54
Total Taxes Withheld 0 00 4.40
Net Chan e in Portfolio -8.116.81 212,000.54
ndinq Account Value S23 677 368 62 S23 :377 338 52
Your Client Advisor: Estim ated Annual Income $843,022.83
TAZIA SMITH
Asset Allocation
Prior Year-6d Lad Period This Period % &location
USD Cash. Money Funds. and Bank Depot& 7,589,036.35 8,509,554.57 9,846,764.76 41.59% Pe Chart allocatice only indultam
products that are of posaste value.
USD Axed Income 15.105.62810 12,782,108.32 11,115,773.86 49.48%
USD Equities 0.00 2,119,570.00 2,114,830.00 B.93%
Account Total (Pie Mart) 822,994,662.95 123,411,532.89 $23,677,366.62 100.00%
See page 2 of the statement for important information regardng the Asset Allocation section.
Page1013
Go paperless Raid I...alien@ raerra=====""= °
BOICISOMSF30016 Event Vs. Soso. 2007
CONFIDENTiA
SDNY_GM_00048018
r"iAxentatLRAPTEDC°""uNicaTials
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010842
EFTA_00 158627
EFTA01290655

Asset Allocation Disclosure and Footnotes
Fixed Income contains Fixed Income Mutual Funds
Summary of Gains and Losses
Realized
Ibis Period Year4o-Date Unrealized
Short-Term GainfLoss 76.19 -1105.45 45.561.29
Lon •Term Gainlloss 69.560 34 2.021.49 28.739.14
Net Gain/Loss 59,636.53 111.14 74,300.43
This summary excludes transactions where cost basis information is not available.
Money Market Fund Detail
Date Activity Type Description Mont Nam
Sweep Money Market Fund
OWS GOVERNMENT CASH IBID.
Account Num bet: 0000001492 Current Yield: 0.03% Activity Ending: 05130114
05101114 Opening Balance 8,391,051.57 8,391,054.57
05101114 Deposit MONEY FUND PURCHASE 118,500.00 8,509,554.57
05102/14 Deposit MONEY FUND PURCHASE 44,250.00 8,553,804.57
05109114 Deposit MONEY FUND PURCHASE 1,066,530.54 9,620,335.11
05112114 Deposit MONEY FUND PURCHASE 36,208.33 9,656,543.44
05116114 Deposit MONEY FUND PURCHASE 181,445.35 9.837.988.79
05129114 Deposit MONEY FUND PURCHASE 8.534.87 9.846523.66
05130114 Deposit INCOME REINVEST 211.10 9.846.764.78
05130114 Closing Balance $9,146,784.76
Total All Money Market Funds $9,146,764.76
Income and Expense Summary
Current Period Year•toNate
Taxable Noe Taxable Taxable Non Taxable
Dividend Income
Equities 33,945.35 0.00 33,945.35 0.00
Money Market 241.10 0.00 298.24 0.00
Other Dividends 128,147.72 0.00 292,008.07 000
Interest Income
Bond Interest 111,918.37 0.00 135,380.83 0.06
FDIC Insured Bank Deposits 0.00 0.00 882.25 0.00
Total Dividends, Interest, Income and Expenses $274,252.54 50.00 5452,512.54 $0.00
Page 2 of 13
Go
Account Num ber Rated tacoller4
08A11 1011 THE FAZE TRLSI ON F IE rrtitfiAs L Dr L x y Ac o Li n Ba , A V inR a a R n e ' A L rT a E c D e C 1 O 0 M 0 M 7 UNICATDONS
SDNY_GM_00048019
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10843
EFTA_00158628
EFTA01290656

()micro Ram Pon. Witahn hia.arnalt
Myatt Cedena4,0“)
Ott.s04 Una Selt.ri
lire bet Mc*
la Pan Moms. Ma I kw
Statement Period:05/1112114 -1513112114
Income and Expense Summary co Current Period Year-to•Date
Taxable Non Taxable Taxable Non Taxable
Distributions
Other Districuticns 0.00 2,699.83 0.00 11,185.52
Total Distributions $0.00 $2,699.53 $0.00 911,185.52
Portfolio Holdings
Account Activity Opening Closing lamed Income 30•Day Dural
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 02.00% of Portfolio
Cash Balance 118,500.00 0.00
Money Market
DWSGOVERNM ENT CASH INSTL
05101114 9 846 764.760 0000001492 05130114 8 391 054.57 9 846 764.76 8.09 296.24 0.03% 0.03%
Total Money Market $8,391,054.57 $9,845,784.76 58.09 $290.24
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
05101114 NIG024943 05/30/14 0.00 0.00 0.00 882.25 N/A NIA
Total FDIC Insured Bank Deposits $0.00 $0.00 50.00 $852.25
Total Cash, Money Funds, and Bank Deposits $5,509,554.57 $9,848,784.78 $8.09 $1,178.49
Mated Unrealized Awued Estimated Estimated
Date Acquired Quantity Unit Cod Cod Bads Market Price Market Value Gain( Lou Interest Annual Income Yield
Fixed Income 40.00% of Portfolio (In Mortify Date Sequence)
5Assel Backed Securities
GS N TG SECS CORP 2005.5f M TG PASSTH RU Security Identifier: 3624207X5
CTF CL 81 VAR 5.759% 06/25/35 WE
DID 05101105 S8 P Rating BY
Fedor. 0.80863343 Effective Date:05101114
Current Face Value: 1,212,950.145
12113113 %LH 1,500,000.000 97.1780 1,178 718.94 91.4030 1,108,672.62 .70,046.12 5,822.08
P49.3013
Account Number facelleril
WOAD ROI TI•E FAZE T D (v A e L r B y A Y R e R ar A S T O E S D O , C 2 O 0 M 07 M UNICATIONS
ON FlE rerViAs L r)(MLINC,
SDNY_GM_o0048020
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-001O844
EFTA_0015 8629
EFTA01290657

Portfolio Holdings
(continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain! Loss Interest Annual Income Yield
Fixed Income (continued)
'Asset Backed Securities (continued)
GS M TG SECS CORP 2005.5F MTG PASSTHRU (continued)
Onginal Cosl Basis $t 189 588.80
Total Asset Backed Securities $1,176,718.94 $1,108,672.82 470,016.12 $5,822.08 $0.00
1,500,000.000
Total Current Fact Value : 1,212,950.115
Corporate Bonds
PEABODY ENERGY CORP SR NT Security Identifier: 701519AE1
7.315% 11/01/16 B1E DTO 10112106
MULTIPLE GUARANTORS 1ST CPA DTE 05/01/07 Moody
Rating BA2 St P Rating BEI-
05/10/11 ..11.13 1.200.000.000 106 4490 1.277.391 31 110 7500 1.329.000 00 51.60709 7.375.00 88.500.00 6.65%
Original Cost Bast $1.363,500.00
IPAYM ENT INC GTD SR NT Security Identifier: 46262EAES
10.250% 05/15/18 WE DTD 11/15/11
CALLABLE 05/1915 Q 105.125 Moody Rating CAA3 S 8 P
Rating CCC
10102111 .MM 500.000.000 91.4580 157.290.21 74.5000 372.500 00 -84.790 21 2.27778 51.250.00 13.75%
Original Cost Basis: $445,000.00
PM ORGAN CHASE & CO DEP SHS REPSTG Security laminar 46625HHA1
1/10TF PFD SER 1 FIXED TO FLTG RI BD
7.900% 011291/9 WE DTO 0/123108 Moody Rating MI S
P Rating BBB
05110111 12.13 3.000.000.000 111 2650 3.337.958.33 112.7500 3.382.500 00 44.541 67 19.750 00 237.000 00 7.00%
Original Cosl Basis $3.337,958.33
BANK AM ER CORP PERP NON COM ULAT1VE DEP Security Identifier: 060505(M
SFS FIXED TO FLOAT 8.125% 04/30/58 B/E
DTD 01130/08 CALLABLE 05/15118 Moody Rating BA3 S 8 P
Rating BB•
05110111 12.1: 3.000.000.000 112 9870 3.389.620.83 113.5000 3.105.000 00 15.379.17 10.833 33 243.750.00 7.15%
Original Cost Basis $3.389.620.83
Total Corporate Bonds $8,162,261.66 $6,489,000.00 $26,736.32 $10,236.11 $620,500.00
7,700,000.000
Total Fixed Income $9,640,960.62 $9,597,672.82 ,543,307.80 $46,058.19 $620,500.00
9,200,000.000
Paged of 13
Account Number. Go paperless Rated excellent,
liEtAtt YOlk THE ICON F I DrErriA E Drx v A e cL r i O y t uA V Rr . r a Ma . e U S r l D ate C Z O 0 M 07 M UNCATIONS
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P.
67:1AZE
DB-SDNY-0010845
EFTA_00 158630
EFTA01290658

°nacre Ram Po.70,00/0.M.vmeena0
Myatt I wrapG. 0.10
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SIM
Statement Period: 05/01/2014 • 05131/2010
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Pria Market Value Gain( Loss Annual Income Yield
Equities 9.00% of Portfolio
Preferred Stotts (Listed by expiration date)
CI TIGROUP INC DEP SHS REPSTG Security Identifier: C PRK
11100071. PFD SERK 6 875% CL DP 172967341
Dividend Option: Cash
02/03114 79,000.000 25.3090 1,999.418 90 26 7700 2,114,830.00 115.411.10 115,781.25 642%
Total Preferred Stocks $1,999,418.90 $2,114,830.00 $116,111.10 6135,761.25
Total Equities $1,999,418.90 $2,114,830.00 $115,111.10 $135,781.25
Uarealtzed Estimated Estimated
Date ••aired Quantity Deft Cost Cod Basis Market Pria Market Value Gale/ Loss Annual Income Yield
Mutual Funds 9 .DO% of Portfolio
P M ORGAN FLOATING RATE INCOME FUND Security Identifier: .PHSX
SELECT SPARES CLSIP 48121LSIO
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
01122113 '.3 198,216.056 10.0900 2,000,000.00 10.1000 2,001,982.17 1,982.11 80,872.15 4.03%
02/01113 '.3 630.057 10 0670 6,342.92 10.1000 6,363.58 2066 257.06 4.03%
03101113 ..3 711.578 10.0600 7,158.48 10.1000 7,186.93 28.45 290.32 4.03%
04101113'.3 189.547 10.1100 7,982.33 10.1000 7,974.42 •791 322.13 4.03%
05101113 '.3 751.550 10.1300 7,613.21 10.1000 7,590.66 -22.5S 306.63 4.03%
06103/13 '.3 757.360 10 0900 7,641.77 10.1000 7,649.33 7.58 309.00 4.03%
01101113 '.3 661131 9.9700 6,661.27 10.1000 6,746.12 86.85 272.60 4.03%
08101113 '.3 704.609 10 0600 7.088.37 10.1000 7,116.54 28.11 287.48 4.03%
09103113 '.3 709175 10 0300 7,113.03 10.1000 7,162.68 1915 289.34 4.03%
10101113'.3 712.100 10 0210 7.137.85 10.1000 7,192.20 54.35 290.54 4.03%
Total Noncovered 204,850.163 2,064,739.23 2,066,96163 2,227.10 83,197.25
Reinvestments to 5.062.811 10.1060 51.164.68 10.1000 51134.11 .3027 2.06514 4.03%
Date
Total Covered 5,062.811 5118418 51,134.11 .30.27 2,065.61
Total 209 712.974 22 I IS 903.91 $2 11 101.01 $2,197.13 $85,562.89
Total Mutual Funds 12,115,903.91 $2,116,101.04 $2,167.13 $85,562.89
Page 5 of 13
Account Num bey Rated 407000 rt. t = "4" =
1007.0 ROI E FAZE T ONFIErr iAs L E Drx v Ae a Ln y Bu A Y r e lml R ar eA S rT i L v O a C 2 O 0 M 07 M UNICATIONS •••••••,Ac•••••••••••+•••••
SDNY_GM_00048022
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010846
EFrA_00158631
EFTA01290659

Portfolio Holdings (continued)
Unrealized Accrued Estimated
Cost Basis Market Value Gainf Loss Interest Annual Income
Total Portfolio Holdings $23,603,068.19 $23,677,368.62 $74,300.43 $46,058.19 3843,022.63
Footnotes
' Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered" noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis bill be reported to the IRS on form 109943 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as folows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Cher securities, principally debt securities and options, acquied on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attrbutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
1 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the
security. Factors may change over time and are obtained from sources we believe to be reliable.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering km or transferring agent and Pershing makes no representation as to the accuracy of this information.
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain! Loss!
Date Date Transaction Description Quantity Cod Bads Proceeds Disallowance
Short Term
05127/14 12/13113' RPP GS M TG SECSC0 RP 200 ASSTh RI, CIF CL 81 VAR 5.759% 1,500,000.000 2.62364 2.699.83 76.19
06125135 WE OTD 05101105
Security Identifier 3624207X5
Original Cost Basis: 2.823.64
Total Short Term 92,823.64 62,699.13 $76.19
Long Term
05109114 10!02/12' RDMG laKINDRED HEALTFCARE 106101119 WE DTD 06101111 CLB 1,000,000.000 996,910.20 1,066330.54 69.560,34
NM In First Out Security Identifier: 494580A89
Original Cost Basis 996.970.20
Total Long Term $996,970.20 31,068,530.54 $69,560.34
Page 6 of 13
Account Nun ber listed Luangn ii
ROLL T1- E FAZE T ON Fl dEiViAs L Dr (v xA e c r iUt y u M V rn o . aR n eA S rT i E nc D e C 2 O 0 M 07 M UNCATIONS
SDNY_GM_00O48O23
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010847
EFTA_00158632
EFTA01290660

Ocgivee PAM .Pfl.Votall n PAIMIP,114
mweets Co...tar 0.2.,
De,net.• Nom Stcvws
Mee *A Mot
PO Sec 1770 Oat mom MD 21202 Anne. )tor, loci
Statement Period: 0510112014 • 05/3112014
Schedule of Realized Gains and Losses Current Period (continued)
Disposition Acquisition Disposition Realized Gain/ Lose
Date Date Transadion Oesaiptice Quantit Cod 8asis Proceeds Diullorance
Total Short Term and Long Term 9999,593.81 1,089,230.37 959,838.53
Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered." under the new cost basis reporting rules, and marked or denoted as such. Al other securities in this
section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on
or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period. as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered secuaties. Adjustments to cost basis may have been made for prior income received and
subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as
it relates to corporate actions, has been obtained from sources we believe to be reliable.
Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost
basis reflected on your monthly client brokerage statement at year end versus any subsequent repots, including your 1099-8 or online displays you may have available to you.
When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by
Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to property report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or
warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reiance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attrtutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those invoking continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
13 The cost basis of this security has been provided to us by the delivering km or transferring agent and Pershing makes no representation as to the accuracy of this information.
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-la disposition method. The disposition method is the method which you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to Fist In, Fist Out (FIFO). Your account's selected tax lot method will be
used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8.
page? or 13
Clio
Account Number I ( t v a e li r a y V Ex .A ce . l S le O n S t, O , 2007 rite
TbE FAZE T
ON F I ErriThi As L
rOxAeLs BuArRn RaAe rT ED COMMUNICATIONS
SDNY_GM_00048024
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010848
EFTA_00158633
EFTA01290661

Messages
Federal Depose Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC)
For disclosure of rates for DWS money market funds. please vist the DWS Investments website at httpsrfivriwedws-investments.com/EN1products/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. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Activity Summary (AU amounts shown are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Securities Securities
Secunses • 0.00 0.00 Secultes Bought 4,272.72 -2,051,051.91
Secuntes Sc 000 2360.359.19 Secuntes Scid 000 000
Total Securities $0.00 $2,760,359.19 Total Securities -16,272.72 -$2,051,051.97
Dividends and Interest 1274.252.54 1462.512.54 Dividends and Interest $0.00 $0.00
Distributions $1,069,230.37 $1,080,440.87 Distributions $0.00 .12,72411
Taxes Withheld $0.00 $4.40 Taxes Withheld $0.00 $0.00
Cash Cash
Deposits 0 00 8 188 19 Deposits 000 0.00
Total Cash $0.00 $8,188.19 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $0.00 110.361.873.66 FDIC Insured Bank Deposits $0.00 -82,792,037.31
Money Market Funds $0.00 $0.00 Money Market Funds -$1,455,710.19 49,844764.76
Total Credits $1,343,482.91 $14,693,378.85 Total Debits -$1,461,982.91 -$14,693,378.86
Transactions by Type of Activity
Process(
Settlement
Date Adivity T)ae Discipline Quality Price Atand Mend Mont prong
Securities Bought and Sold
05/01/14 REINVEST CASH INCOME .P MORGAN FLOATING RATE INCOME FloN T SELECT SNARES 622 294 4.272.72 USD
P-SX 209090 6800 SI-RS SI-RS FL RCN. AT 510 08000 RD 04/29
PD 05101114
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 -6,272.72
Page 8 of 13
Go
Account Number Itoted txcellerel
OSAB 7(71.1 THE FAZE T ONFIErEPIVisAL r ( 0 v xA e eL r nB y uA V Rr o t r w RieA ' S rT E iv D a C 2 O 0 M 0 M 7 UPOCATIONS
SDNY_GM_00048025
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010849
EFIA_00 158634
EFTA01290662

(Misr< Rana PnvieWealtn•Atagenait
Pdaeals Coon., 6,0‘P
Dettsch4 lank %flows +Ic
Mee Ion Onto
In Pant Ammo. 160. I ter
War int WI 10114
Statement Period: 0510112014 • 05/3112014
Transactions by Type of Activity (continued)
Process(
Settlement
Date Activi Pe Dual on Qua Price Accreed Interest Amount Curren
Dividends and Interest
05/01/14 CASK DIVIDEND RECEIVED MORGAA FLOATING RATE INCOME FLA D SELECT SNARES 6 272 72 LSO
.F1- SK 209090.6800 ShRS RD 04129 PD 05101114
05101114 8OND INTEREST RECEIVED 1200000 PEABODY ENERGY COFtP SR NT 7.375% 11101116 44,250 00 LSD
704549AE4 WE DTD 10(12/06 RD 04130 PD 05101114
05109114 BOND INTEREST RECEIVED KINDRED h EALTF CARE INC 8 250% 06101119 B/E DID 36.208 33 LSO
494580A89 06/01111 CLB ACCRUED INTEREST
0511511/ CASK DIVIDEND RECEIVED BANK AMER CORP PEPP NON COM ULATIVE DEP SII5 FIXED 121.875 00 LSO
060505018 TO FLOAT 8.125% 04130158 8/E RD 05114 PD 05115114 INT
PAID AT 40 6250 3000000
05/15/14 CASF DIVIDEND RECEIVED 79000 SF RS CITIGROLP INC DEP SH S REPSTG 111000Th PFD 33.945.35 LSD
C PRK SERK 6 875% RD 05105 PD 05/15114
05115114 BOND INTEREST RECEIVED 500000 !PAYMENT INC GTD SR NT 10.250% 05115118 WE 25.625.00 LSD
46262EAE5 DID 11115111 CLB RD 05114 PD 05115114
05128114 BOND INTEREST RECEIVED 1500000 GS M TG SECS COPP 2005.5F M TG PASSTH RU CTF 5,835.04 LSD
3624207X5 CL B1 VAR 5.759% 06125135 BIE DID 05/01105 RD 04130 PD
05125/14
05130114 MONEY MARKET FLND DWS GO VT CAST INSTL 241.10 LSD
INCOME RECEIVED
233993682
Total Dividends and Interest - UNITED STATES DOLLAR 0.00 274,252.54
Distributions
05109/14 SECURITY REDEEMED KINDRED FEALTFCARE INC 8 250% 06/01/19 WE DID -1,000,000000 1,066,530 51 LSD
494580A89 06/01/11 CLB
05/28/14 RETURN OF PRINCIPAL 1500000 GS M TG SECS CORP 2005.5F NM PASSTHRU CTF 2.699.83 LSD
RECEIVED CL B1 VAR 5.759% 06125135 BIE DTD 05101105 RD 04/30 PD
3624207X5 05/25/14
Total Distributions • UNITED STATES DOLLAR 0.00 1,069,230.37
Pip 9 013
Account Numbers Go paperless Rated tacelbra
}OAP von TI-E FAZ rD L x e Ae e Ln f B y u A Y rR e m R ar eA L rT a E c D e C 2 O '0 M 07 M UNCATONS
SDNY_GM_00048026
E IF ISTONFIDETTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10850
EFTA_00 158635
EFTA01290663

Transactions by Type of Activity (continued)
Process/
Settlement
Date Adivity Type Description Quantity Price Awued littlest Mount Currency
Money Market Funds
05101114 MONEY FUND PURCHASE DWSGOVT CASH INSTL -118.50000 USD
USD999997
05102114 MONEY FUND PURCHASE DWSGOVT CASH INSTL -44,250.00 USD
USD999997
05109/14 MONEY FUND PURCHASE DWSGOVT CASF INSTL -1,066,530.54 USD
USD999997
05/12/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL -36,208.33 USD
USD999997
05/16/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL -1(11A45.35 USD
USD999997
05/29/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL -8.534.87 USD
USD999997
05/30111 MONEY MARKET FUND DWSGOVT CASH 'NUL INCOME REINVESTED -211.10 USD
REINVESTMENT
233993682
Total Money Market Funds - UNITED STATES DOLLAR 0.00 -1,455,710.19
Total Value of Transactions 0.00 -111,600.00 USO
The price and quantity displayed may have been rounded.
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
I to 5 years 1,701,500.00 IS% Percentages of bond market values are
Over 10 years 7,896,172.82 E2% rounded to the nearest whole percentage.
100%
Total 9,697,472.82
Bond Quality
Bond Quality Market Valve % of Bond Market Value
BAILower 9.597 672 82 100% Percentages of bond market values are
Total 9,697,672.62 100% rounded to the nearest whole percentage.
You are 100% invested in bonds with a bond quality of BA/Lower.
Page 10 of 13
Go
Account Num bur RANI ENNA NI rtettr........'"Ta, =Ct.' -- Intr.
.01 TI-E FAZE T ON Fl AL E rDx v Ac e L r i Du y A V rRn A aR N eA S Tr I E A D N C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00048027
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10851
EFTA_00158636
EFTA01290664

Gramm Ram Pr.. Math mmagenan
Weals Immo CAM
Des4LOP MA *woos LA
MATTA blot
PC. Bo, 1776 BLO n.yc MD 21203 ID MA A . Hamm.
Statement Period: 0510112114 • 0V3112014
Client Service Information
Your Client Advisor: TDS Contact Information
TAZIA SM 'TM Telephone Number:
345 PARK AYEk LE 14TH FLOOR
ABU YORK KY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Stocks In a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Electronic Delivery
You have not selected any account corn m unications for electronic delivery. To register and turn off paper comm unications. lag in to your account or contact your Client Advisor for more inform ation.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from
sources which we believe to be rekable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is
not available are marked —N/A— and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time,
and may be affected by current and future economic. potitical, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
vnwrpershing.comfbusiness_continury.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income. Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Opdons
Information well respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confrmations previously finished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing Nm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Page II of 13
Account Pi um bet RAM tmallenti
ORM ROLL THE HAZE It ONFIDE Go 1 pa S pe I r T les I s A I rD v xA o cL r O y ia A V mR A R N eA S rT a E m D e C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00048028
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10852
EFTA_00 158637
EFTA01290665

Important Information and Disclosures (continued)
Proxy Vote
Securities not fully paio for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margn Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate win not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Pools is not permitted without prior written
authorization from Standard & Poor's. Standard & Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties includng warranties of merchantability or fitness for a particular purpose.
Standard & Pods shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recornrnendabons to purchase, hold or sell securities: and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where appicable, the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance. but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC°). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: wiwcpershing.comIstrength_stabilityhtml.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includitg unauthorized trading), to your financial organization and Pershing, within ten days after receipt
of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey
City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding: a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award. unless. in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
Fage12 of 13
Account hum banal= Rated tuallonfl
00A11 Th. E FAZE T T Go paperless D 0. A 0 U y M Vo . R w A ' S T A E W 0 * C 2 O 0 M 07 M UNICATIONS •••-•-sgml —••••••••A inn ti•c
ONFID=TAL 7XCILL774Ct
SDNY_GM_00048029
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010853
EFTA_00158638
EFTA01290666

Oralsoo Rana km,. Weida •Aptagenan
Weals tonna Gro‘P
Destulv PP* starts Inc
Mar bit Oita
PC. ba qlG flu • MO Mtn Hs PH Mesa ILIA I Past
Statement Period: 0510112014 • 05/3112014
Important Information and Disclosures (continued)
Important Arbitration Disclosures (continued)
• The panel of arbitrators wil typically include a ninority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shah be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied. (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330.
Page 13 of 13
ORA.° Poll. A TF c c E o F u A nt Z N E u T n ber ON F IlirotHiAs L D ( r k ) v i AI t e e e L r s B y d t Au P L Rr e • n c a Ra o r Ae l S l Tr e i E n o D p C 2 O 0 M 07 M UNICATIONS. Oat LT7.....ttarettelwas•
SDNY_GM_00048030
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010854
EFTA_00158639
EFTA01290667

Desna< OMR Pita Wealth Maaaernet.
manes cants o
GK.,
Devbaht vi.n/ moneoin In.
P.O. ed 17/6. bliteren1.02103 ms PH /kw M ara nth I bet
Account Number:
Statement Period: 04/01/2114 - 0413012114
THE HAZE TRUST
UAD 02/09/99
Valuation at a Glance
JEFFREY EPSTEIN & This Period Year•lo-Date
DARREN K INDYICE TIMES Beginning Account Value 523,263,311.05 522,994,602.95
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 0 00 8.188.19
ST THOMAS VI 00802 Adjusted Previous Account Value 23,263,311.05 23,002,051.14
Dividends. Interest and Other Income 131 528 49 188.260.00
Total Taxes Withheld 0 00 440
het Chan e in Porlfoho 16 693 35 220 417 35
nding Account Value $23,411.532.89 $23,411.532.85
Your Client Advisor: Estim Wed Annual !nom e 5926 282 18
Asset Allocation
Prior Year-tad Lad Period This Period % Allocation
1,50 Cash. Honey Fonds. and Bank Deposal:1 7.589.036.35 8,382,205.86 8,509,554.57 36.35% Pie Chan allocation only acmes
products that are of positive value.
USD Fixed Income 15,405,626.60 12,821,575.19 12.782.408.32 54.60% 1
USD Equities 0.00 2,059.530 00 2.119.570 00 9.05%
Account Total (Pie Chart) $22,994,662.95 023,263,311.05 023,411,532.81 100.00%
I The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bank deposits are not securities and are not covered by the Securmes Investor Protection Corporation
(SIPC). These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC). up to &invade limits.
See page 2 of ths statement for important information regardng the Asset Allocation section.
Page 1 of 14
J 'Cat 1 Go papeoless Rat•d yeas In ARam is& • am. oasts •••••••in
CALM* RATED COMMUNICAlIONS
CONFIDAENTIAL """
SDNY_GM_00048031
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010855
EFIA_00 158640
EFTA01290668

Asset Allocation Disclosure and Footnotes
Fixed Income contains Fixed Income Mutual Funds.
Summary of Gains and Losses
Realized
Ibis Period Yearito.Date Unrealized
Short•Term Gam/Loss 76.13 •1.181.64 50.069 22
Long-Term Gainlloss 0.00 47.538 85 100.464 38
Net Gain/Loss 76.13 .68,720.19 150,533.60
This summary excludes transactions where cost basis information is not available.
Money Market Fund Detail
Date Activity Type Deem on Amount Balance
Sweep Money Market Fund
OWS GOVERNMENT CASH INSTL
Account Number: 0000001492 Current Yield 0.03% Activity Ending: 04130114
04101114 Opening Balance 0.00 000
04123(11 Decreed MONEY PAO FtilICFASE 8,382,153.76 8,382.153 76
04128114 Deposit MONEY FUND MICFASE 8.545 67 8.390.999 43
04130114 Deposit INCOME REINVEST 55.14 8.391.054.57
04130114 Closing Balance $8,391,054.57
Total All Money Market Funds $8,381,054.51
FDIC Insured Bank Deposits
Date Activity Type Description Amount Balance
Other FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number N4G024943 Activity Ending. 04130114
04101114 Opening Balance 8.382.205.86 8.382.205.86
04115114 Deposit INTEREST CREDITED 206.59 8,382,412.45
APY 003%
0411671/ Assooaled Bank NA 8.382.412 45
NO 04(16 $250000.00
DIST
NO 04(16 5250000.00
Bank of America
NO 04(16 5250000.00
Citibank NA.
NO 04(16 $250000.00
Deutsche Bank Trst Co
Page? of 14
Account Num Der Go paperless tt . m ace. a•••••• ....re msg. • •••••• ••••••• «saw..
FAZ CALMAR RATED COMMUNICAlIONS
SoN Y_GM_0004 8032
E TCONFID AarriAL
CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) DB-SDNY-0010856
EF1A_001 58641
EFTA01290669

Gram se Ram Peeve Weeinsammeneys
Myerts Cerny, 6,04,
DesesIte Sala Seleors
ere bre Oily
la Put Ammo. ≥NuI to
Statement Period: 0410112114 • 04/3012014
FDIC Insured Bank Deposits (continued)
Date Activity Type Description Amount Balance
Other FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
NO 04116 50132112.4
East West Bank
NO 04116 $250000.00
NY Comm unity Bank
NO 04116 $250000.00
Texas Capital Bank
NO 04116 5250000.00
ramie Capital Bank
NO 04116 $250000.00
Com enity Bank
NO 04116 5250000.00
04122114 Withdlawal WITHDRAWAL 1.382.453.76 X131
04122/14 Depotil INTEREST POSTED 41.31 0.00
01130114 Closing Balance $0.00
Total FDIC Insured Bank Deposits $0.00
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other sell directed retirement accounts. Please review this m connection with other
deposits you may have at each respective bank.
Income and Expense Summary
Commit Period Yea4o•Dale
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Money Market 55.14 0.00 55 14
000
Other Dividends 125,377.51 0.00 163.860 35
0.00
Interns Income
Bond Merest 5.841.91 0.00 23 462 26 0 00
FDIC Insured Bank Deposits 247.90 0.00 882 25 0 00
Total Dividend; Mintiest, Income and Expenses 0131,621.40 $0.00 $188,260.00 $0.00
Distributions
Other Distributions 0.00 2,697.16 0.00 00519
Total Distributions 00.00 02,691.76 $0.00 HACH
Page 3 or 14
Account Num hr Fu.k.d asewm•reeey eorsetersel.C. • easy *Nays reales"
V,:0,708CSFI GO PaPerless 3 , 05=. ';;;;;TTDACROZMUNICATtOM
N F I DrivariAL EXCELS/NCI
SDNY_GM_00048.033
6: HAZE TtO
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-00 10857
EFTA_00158642
EFTA01290670

Portfolio Holdings
Account Activity Opening Closing Accrued Income 30•Day Currie
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 36.00% of Portfolio
Cash Balance 0.00 118,500.00
Money Market
DWS GOVERN M ENT CASH INSTL
04101/14 8.391 054 570 0000001492 04130114 0.00 8.391.054.57 0.00 55.14 0.03% 0.03%
Total Money Market 10.00 18,391,064.57 $0.00 sum
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
04101114 N1G024943 04130114 8.382.205.86 0.00 0.00 682.25 WA NIA
Total FDIC Insured Bank Deposits SI 382 206.86 10.00 $0.00 $88216
Total Cash, Money Funds, and Bank Deposits 56,382,208.86 18,509,554.57 10.00 1937.39
Adjusted Unrealized /caved Estimated Estimated
Date Acquired Quantity Unit Cod Cost Basis Market Price Market Value Gain/ Loss Meted Annual Income Yield
Fixed Income 46.00% of Portfolio (In Matunty Date Sequence)
'Asset Backed Securities
GS M TG SECS CORP 2005.5F M TG PASSTHRU Security Identifier: 3624207X5
CTF CL 61 VAR 5.759% 06125135 WE
DID 05101105 St P Rating B•
Factor: 0.81043332 Effective Date.04101/14
Current Face Value: 1,215,649.980
12113113'.x.12 1,500.000 000 97.1780 1,181,342.58 91.4140 1,111,274.27 -70,064.31 5,640.46
Original Cod Basis: 51,189,588.80
Total Asset Backed Securities 51,181,342.58 51,111,274.27 -570,068.31 15,640.46 $0.00
1,500,000.000
Total Current Fact Value : 1,215,849.980
Corporate Bonds
PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4
7.375% 11101116 WE DTO 10/12106
1ST CFN DM 05101107 CM PMT SEMI ANNUAL Moody
Rating BA2 Sd P Rating BB
05110/11 %OM 1,200,000.000 106 6590 1,279,909.20 112.2500 1,347,000.00 67,090.80 44.004 17 88.500.00 6.57%
Original Cod Basis: 51,363,500.00
IPAYM ENT INC G7D SR NT Security Identifier: 48262EAE5
10.250% 05/15118 B/E DTO 11/15/11
CALLABLE 05/15115 a 105.125 Moody Rating CAM S 8 P
Rating CCC
10102/12 %I2," 500,000 000 91 3210 456.605.56 70.0000 350,000 00 .106905.56 23,489.58 51,250.00 14.64%
Original Cod Basis: $445,000.00
Page 4 of 14
Pn.0 9/ 658CS F 30 016 Account Number Go paperless It ". Rated Eyxece.l.le ennt A Ren. Owe& Oases swain. ••••••• rms. ono...so
THE HAZE TW NFID EN TIAL OALSAII RATED COMMUNICATIONS
SDNY_GM_00048034
6(e)
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. EXCELIANCI DB-SDNY-0010858
EFTA_00 158643
EFTA01290671

OraKee Rana P,,.,,, warn 14.4gentin
Pdaeals wrap Gro.p
DestuN Sank *won Lac
Now *A Onc•
PC. .M0 2120 HS Put Awns,. Halter
W.* 11,114
Statement Period: 0410112/14 -04/3012114
Portfolio Holdings
(continued)
Adjusted Unrealized Awued Estimated Estimated
Dale Annulled Quantity Unit Cost Cost Basis Market Price Market Value GaInfloss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
KINDRED HEALTHCARE INC Security Identifier: 494560A89
6.250% 06101/19 BIE DT0 06/01/11
CALLABLE 06101114 0 106.188 Moody Rating 63 S8 P
Rating B.
10102112'•12.12 1.000.000.000 99 6960 991958.13 107.0000 1170.000.00 71041.87 34,145.83 82100.00 7.71%
Onginal Cost Basis: $996,250.00
PM ORGAN CHASE & CO DEP SHSREPSTG Security Identifier: 46625HHA1
1/107F FfD SER 1 FIXED TO FLTG RT BD
7.900% 04129/49 BIE DTD 04/23/08 Moody Rating BAI S8
P Rating BBB
05110/11 12.12 3,000,000.000 111 2650 3.337.958.33 113.0000 3.390.000.00 52,041.67 0.00 237.000.00 6.99%
Original Cost Basis. $3.337.958.33
BANK AM ER CORP PERP NON COM UtATIVE DEP Security Identifier: 060505078
SI- S FIXED TO FLOAT 8.125% 04130/58 B/E
DTD 04/30108 CALLABLE 05/15/18 Moody Rating BA3 S8 P
Rating BEit
05/10/1112.12 3,000,000.000 112 9870 3,389,620.83 113.5500 3.406.500.00 16,879.17 111,71815 243.75100 7.15%
Onginal Cosl Basis: $3.381620.83
Total Corporate Bonds 09,481,052.05 $9,563,500.00 $102,447.95 $213,358.33 $703,000.00
8,700,000.000
Total Fixed Income $10 ,642,394.63 $10,674,774.27 $32,379.64 $218,998.79 $703,000.00
10,200,000.000
Page 5 of 14
A TI c 4 c E o F u A nt Z N E u mber. N46-0 N 24943 F ID Go a pap r e r rle iT ss AL ef rcia, R r Sa a ca r ls a a d n l V i N t e a o t r l s D le I C n n t O A M Re M ne U NICA110.4 a.... a...ft uLC. • %w es, oases ••••••••••
SDNY_GM_00048035
TO
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010859
EFTA_00 158644
EFTA01290672

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Oate Acquired Quantity Unit Cost Cog Basis Market Price Markel Value Gale/ Loss Annual Income Yield
Equities 9.00% of Portfolio
Preferred Stocks (Listed by expiration date)
CITIGROUP INC DEP MIS REPSTG Security Identifier: C PRK
111000Th PFD SER K 6 875% CUSIP: 1729673/1
Dividend Option: Cash
02103/14 79.000.000 25.3090 4999.416.90 26.8300 2.119.570.00 120.151.10 135.781.25 6.40%
Total Preferred Stocks 11,999,418.90 12,119,570.00 6120,151.10 $135.761.25
Total Equities 51,999,418.90 $2,119,570.00 $120,151.10 $136,781.25
Unrealized Estimated Estimated
Dale •wired Quantit Unit Cost Cost Basis Market Price Market Value Gaud Loss Annual Income Yield
Mutual Funds 9.00% of Portfolio
JP M ORGAN FLOATING RATE INCOME FUND Security Identifier: .PHSX
SELECT SHARES CUSIP: 481211510
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
01122/13 '.3 198,216.056 10.0900 2,000,000.00 10.0800 1,998.017.84 .1,982.16 82,061.45 4.10%
02101113'.3 630.057 10.0670 6.312.92 10.0800 6.350.98 8.06 26014 4.10%
03101113'•3 711.578 10.0600 7,158.18 10.0800 7,172.70 14.22 294.59 4.10%
04101113'.3 789.517 10.1100 7,982.33 10.0800 7.958.61 -23.69 326.87 4.10%
05101113'.3 151.550 10.1300 7,613.21 10.0800 7,575.62 -37.59 311.11 4.10%
06103113'.3 757.360 10.0900 7,611.77 10.0800 7.631.19 -7.58 313.55 4.10%
07101113'•3 668.131 9.9700 6,661.27 10.0800 6,731.75 73.18 276.61 4.10%
08101113'.3 704.609 10.0600 7,088.37 10.0800 7,102.45 14.08 291.71 4.10%
09103113'.3 709.175 10.0300 7,113.03 10.0800 7,118.48 35.45 293.60 4.10%
10101113'.3 712.100 10.0210 7,137.85 10.0800 7,177.97 40.12 294.81 4.10%
Total Noncovered 204,660.163 2,064,739.23 2,042,673.62 -1066.61 84,725.17
Reinvestments to 4,140.517 10.1100 44,891.98 10.0800 44,760.43 •131.53 1,838.37 4.10%
Date
Total Covered 4,440.617 44,191.98 14,760.43 -131.63 1,131.37
Total 209,090.611 12,109,831.1! $2,107,834.05 -$1,997.14 $18,503.$4
Total Mutual Funds $2,109,131.10 $2,107,634.05 -$1,997.14 986,563.54
Unrealized Awued Estimated
Col Bads Market Value GaInfloss Interest Annual Income
Total Portfolio Holdings $23,260,999.29 623,411,532.89 $150,533.60 5210,998.79 9926,202.18
Footnotes
• Nonccvered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (IRC) (incorporating amendments enacted by
Page of 14
P*09/ 658CSF 30 016 Account Num ber Go paperless * L. sw„ee .l Y x e c a e r l s le in nt A Ray allliefill••••••••••••11.. We. •••••41
THE Ft TAL OALOAR Slat
IXCIELUINCi
SDNY_GM_OOO48O36
AzneFatN Fl DEN
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10860
EFTA_00 158645
EFTA01290673

Destine e.n. Pnwair Warn lAymienms
Marais tonne 6.0..P
Deelsch• Sank Sta. hic
Mar Teri Olio
HS Pia Asa. lothI ke
Mrs Ve( NY 101W
Statement Period: 04/0112014 • 04/3012014
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 or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual hinds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances. including those invoking continuously callable bonds. foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
F The Current Face value represents the outstanding principal balance of the undedying security. The Current Face value is determined by multiplying the current factor times the original face amount of the
security. Factors may change over time and are obtained from sources we believe to be reliable.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering frm or transferring agent and Pershing makes no representation as to the accuracy of this information.
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Lord
Date Date Transaction Description Quality Coe Buie Proceeds Disallowance
Short Term
04125114 12/13113' RPP GS LITG SECSCORP 200 ASSThRli CTF CL 81 VAR 5.759% 1,500,000.000 2,621.62 2,697.75 76.13
06125135 WE DTD 05101105
Security Identifier 362420735
Original Cost Bait 2.621.62
Total Short Term $2,621.62 $2,667.76 676.13
Total Short Term and Long Term $2,621.62 $2,697.76 676.13
Pagel of lc
E,09/08CSF 30 016 Account Num hr Go paperless S.vm n rt — Cs& *nue& Owisin. use. • near eons. •••••••••
THE DAENTIAil
N F I
SDNY_GM_00048037
HAZE TtO
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10861
EFTA_00 158646
EFTA01290674

Schedule of Realized Gains and Losses Current Period (continued)
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore. considered "ncocovered.- under the new cost basis reporting rules, and marked or denoted as such. Mother securities in this
section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as 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 hinds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options. acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and
subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as
it relates to corporate actions. has been obtained from sources we believe to be reliable.
Adjustments to cost basis can be made after year-end, in particular, for retum of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost
basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 109943 or online displays you may have available to you.
When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not requted to be made by
Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or
warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attrtutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax4ot disposition method. The disposition method is the method which you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your accounts selected tax lot method wil be
used to determine the cost basis for calculating gain andfor loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8.
Messages
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, It is possible to lose money by Investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional Information.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:/Awnv.divs-investments.conVENfproducts/rnoney-market-funds-Welds.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Page 8 of 14
BOW) 6S8CSF 30116 Account Plus Dr S Go paper less R S. a a. s •. W.I ," A ""w CONS.• ••••••••1.1M.1.4. • ••••• •••••• ••••1118•P
TNE DA MAO, RAT ED COMMUNICATIONS
N F ID rN nAL
SDNY_GM_00048038
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) HAZE Tt O 113CCMPIC4 OB-SDNY-0010862
EFFA_00158647
EFTA01290675

Ocuicry Ram Power Weahn Manran
Miniet$ COM•la 4,04P
OtOsIt• Una Se4V,le.,X
Mrs bet Mc*
Ma Pot Ant.... 1141.
Statement Period: 04/01/2014 - 04/30/2014
Activity Summary (All amounts shown are in base currency)
Credits This Period Year-lo-Date Debits This Period Tear-to-Date
Securities Securities
Setunnes E5ccht 0 00 0.00 Securities Baught -6.877 54 -2.314 779 25
Securities Sold 0 CO 2 760 359.19 Securities Sold 000 0 03
Total Securities $0.00 $2,760.359.19 Total Securities -$6,877.54 -$2,044,779.25
Dividends and Interest $131,528.49 $188,260.00 Dividends and Interest 10.00 10.00
Distributions $2,697.76 $11,210.50 Distributions $0.00 -$1,724.81
Taxes Withheld $0.00 $4.40 Taxes Withheld $0.00 $0.00
Cash Cash
e posa 0 00 4188 19 Deposits 7:: 0.00
Total Cash $0.00 $8,188.19 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $8,382,412.45 $10,381,173.68 FDIC Insured Bank Deposits -$206.59 -$2,792,837.31
Money Market Funds $0.00 $0.00 Money Market Funds -0,391,051.57 -0,391,051.57
Total Credits $8,516,639.70 $13,349,895.0 Total Debits -$8,30,138.70 413,231,396.91
Transactions by Type of Activity
Process/
Settlement
Date AMiyity Type Description Quantity Price Accrued Interest Amount Currency
Securities Bought and Sold
04/01114 REIN VEST CAS1-1 INCOME M ORGAN FLOATING RATE INCOM E FUND SELECT StiNkES 880271 4,877.51 USD
P1-5k 208110.1090 Ski RS SN RS PORCH. AT $10.11000 RD 03/28
PD 01101114
Total Stultifies Bought and Sold • UNITED STATES DOLLAR 0.00 4,877.51
Dividends and Interest
01101/14 CASE. DIVIDEND RECEIVED ..1) MORGAN FLOATING RATE INCOME RIND SELECT SNARES 8,877.51 USD
.F6 SX 208410 1090 SHRS RD 03128 PD 04101114
04115/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 208.59 USD
DEPOSITS INTEREST
RECEIVED
/58997998
Page 9 of 14
Account Nun ber Ralvd weellent COnsiOnuoirlivestri.U.C.••••••••••••••••••••••
B009/658CSF30'16 PaTliwriess cr =D ACRew
TNE HATE ONFIDA5NTIAL Inctrumica UNICAT.0041
SDNY_GM_00048039
CONFIDENTIAL — PURSUANT TO FED. R CRINA. P. 6(e) OB-SDNY-0010863
EFIA_00158648
EFTA01290676

Transactions by Type of Activity
(continued)
Process/
Settlement
Date Adivity Type Desaiplion Quantity Price Accrued Interest Amount Currency
Dividends and Interest (continued)
04122114 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED INCOME 4111 USD
DEPOSITS INTEREST REDEEMED
RECEIVED
458997996
04125114 BOND INTEREST RECEIVED 1500000 GS MTG SECS CORP 2005-5F MTG PASSTHRU CTF 5,847.91 LSD
3624207X5 CL DI VAR 5.759% 06125135 DIE DTO 05101/05 RD 03131 PD
04/25/14
04130114 MONEY MARKET FUND DWSGOVT CASH INSTL 55.14 LSD
INCOME RECEIVED
233993682
04130114 CASH DIVIDEND RECEIVED .PMORGAN CHASES CO DEP SHS REPSTG 1/10TH PFD SER 1 118,500 00 LSD
46625H HAI 7 900% 04/29149 B/E RD 03/31 PD 04/30114 INTEREST
PAYMENT 0 39.5
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 131,621.49
Distributions
04/25/14 RETURN OF PRINCIPAL 1500000 GS MTG SECS COPP 2005-5F M TG PASSTHRU CTF 2,697.16 USD
RECEIVED CL B1 VAR 5.759% 06125135 EJE DTD 05101/05 RD 03131 PD
3624207X5 04125/14
Total Distributions - UNITED STATES DOLLAR 0.00 2,097.70
FDIC Insured Bank Deposits
04/15/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -206.59 LSO
DEPOSITS INTEREST
REINVESTED
458997996
04122114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM FULL FFINCIPAL REDEEMED 8,382,412 45 LSD
WITHDRAWAL
USD999997
Total FDIC insured Bank Deposits • UNITED STATES DOLLAR 0.00 8,362,205.16
Money Market Funds
04/23114 MONEY FUND PURCHASE DWSGOVT CASH INSTL .8,382,453.76 LSD
USD999997
04128/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL -8.545.67 LSD
USD999997
04/30/14 MONEY MARKET RIND DWSGOVT CASH INSTL INCOME REINVESTED -55.14 LSD
REINVESTMENT
233993682
Total Money Market Funds- UNITED STATES COLLAR 0.00 .8,391,054.67
Total Value of Transactions o.00 118,500.00 USD
The price and quantity displayed may have been rounded.
Page Hof 14
Account Nutm bOer Go paperless 4 6 :1 Ztedini:VARea. own.. we. • am. *sad •••••••••••
CIALOA:RAi t 0 COMMUNICATIOHS
THE FAZE N F I DAENTIAL
SONYGM_0004804o
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10864
EFTA_00 158649
EFTA01290677

DrgiVOC Na. ann,n Vona n
Pareits Coon, 6,0“)
Destulv Mee Secoots W.
New %A Mu
MINA 0010. lath I ter
Statement Period: 04/0112014 - 04/30/2014
Cash Not Yet Received
Security Record Date Payable Date Creamily Held Rate Dividend Option Amount of Payment
Interest
PEABODY ENERGY CORP SR ST 0C30,14 05101114 1 200.000 000 0 036875 Cash 44 250 CO
7.375% 11101116 WE
Total Car Not Yet Received $44,250.00
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Markel Value
1 to 5 years 1.697.000 00 Percentages of bond market values are
6 to 10 years 1.070.000.00 rounded to the nearest whole percentage.
Over 10 yeas 7.907.77427
Total 10,614,774.27
Bond Quality
Bond Duality Martel Value % of Bond Markel Value
BA/Lower 10.674.774.27 100 % Percentages of bond market values are
Total 10,014,174.21 100% rounded to the nearest %%Die percentage.
You are 100% invested irt bonds with a bond quality of BA/Lower.
Called Bonds
Eligible Balled Call Type Redemption
Call Date Securitt Description Quantity Chantey Price of Call Proceeds
r
C5'0912014 KINDRcD FEALTHCARE INC 1,000,000.000 1.000.000.000 100.0000 Full 1.000 000 00
8.250% 06101119 WE DTO 06/01111
CALLABLE 06101/14 9 106.188
Page ft of 14
B009/6$8CSF30016 Account Num Der- Go paperless et t S W e i v le e d n I Y . e e a o r l s le I n n t A Renw Cowry Novo 1001.1.1. use. • sorer. ars •••••n
DALSAft PA TED COMMUNICAlIONS
N F I DAEN ITTAL EXCEL...NCI
SDNY_GM_00048041
ei(lel: HAZE TCO
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. OB-SDNY-0010865
EFTA_00158650
EFTA01290678

Client Service information
Your Client Advisor: TDS Contact Information
TAM SMITH Telephone Number:
345 PARK AVENUE 14TH FLOOR
NEW YORK AY 10'54
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Stods in a Dividend Reinvestment Plan: FIRST lk FIRST OUT
Default Method for all Other Securities: FIRST Ik FIRST OUT
Electronic Delivery
You have not selected any account corn m unications for electronic delivery. To register arid turn off paper comm unications. log in to your account or contact your Client Advisor for more inform ation.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis. including short positions, at the close of the statement period. The market prices have been obtained from
sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is
not available are marked "'N/A" and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time,
and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities, interest and dividend rates, and prices remain constant A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to
WWW pershing.comibusiness_conbnuity.html for specrfic details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shovel on your statement may have been reinvested. You war
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously fumished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available icon 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 Transaction
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate 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 12 of 14
BOW 6SOCSF 30 016 Account Plum ber paiverless a ) K S O e P v K e O n V w O r A o 'S n i g n . ' A Rene CNN." Ovate Oniry WC- • ••••••••••••1•••••••••
THE N F I DA5NITIAL L E A XC M I M LIA N RA C T I CDCOMPALSPOCAlIONS
SDNY_GM_00048042
HAZE Tto
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010866
EFTA_00158651
EFTA01290679

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Statement Period: 0410112014 • 01/30/2011
Important Information and Disclosures (continued)
Ratings
This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received (tom Standard & Pools is not permitted without prior written
authorization from Standard & Poor's. Standard & Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties inducing warranties of merchantability or fitness for a particular purpose.
Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sell securities; and dO not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Cash Not Yet Received
Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
Callable Bonds
Pershing LLC receives the called bond information from several information sources which Pershing believes are reliable. Pershing does not guarantee the accuracy of the information. For callable options that
are available to you please contact your Client Advisor.
The Role of Pershing
• Pershing carries your account as cleating broker pursuant to a cleating agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (M-any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution Cr that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its OAT operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where appicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. M other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC1. Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.cornatrength_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 reconfirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department, One Pershing Plaza; Jersey
City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted.
Page 13 of 14
B0097 6S8CS F 30 '16 Account Nut ber Go paperless a l, , R S .D r • A v c M i r t • d n i . V . l .t t e ." l . le r... A Pc". OnsfivIramliftnalowile.•••••••••••••••••••••••
THE HATE TAUT ItA,TEDCOMMUNICA11O.4
C:O N F ID rNrriAr N`
SDNY_GM_00048043
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010867
EFTA_00158652
EFTA01290680

Important Information and Disclosures (continued)
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other s court. including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators wit typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied, (II) the class is decertified; or (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 14 of 14
*09/ 658CSF30016 Account Number Go paper-less a. ), r Z- A .= L atritwocoPmc"m. umicaliows an s. ••••••• -••`Y-C ••••••• ammo. ••••11180
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Statement Period:03/91/814 9313112114
THE HAZE TRUST
UAD 02/09/99
Valuation at a Glance
JEFFREY EPSTEIN & This Period Year•to-Date
DARREN K INDYICE TTEES Beginning Account Value 123,246,803.09 622,994,882.95
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0.00 8,188.19
Adjusted Previous Account Value 13,246,803.09 23,002,851.14
ST THOMAS VI 00802
Dividends. Interest and Other Income 12,487.58 56,731.51
Total Taxes Withheld 0 00 4.40
Net Chan e in Portfolio 4.220.10 203.721.00
nding Account Value S23 263 3' ..OS S23.263.3' LOS
Your Client Advisor: Eshin ated Annual limn e 5927,361.79
sib
Asset Allocation
Prior Year-End UN Period This Period 1, Allocation
ISD Cash. Money Funds. and Bank Depouls1 7,589,038.35 8,373,501.18 8,382,205.86 36.03% F e Car alloceo- cnly rc ales
yo-£ts !tat are of post ve
USD Axed Income 15,105,62610 12,825,418.93 12,821,575.19 55.12% I
USD Equities 0.00 2,047,680.00 2,059,530.00 8.85%
Account Total (Ple Chart) $22,091,662.95 $23,248,803.09 823,263,311.05 100.00%
I The Una Deposits in your account are FDIC insured bank deposits.
FDIC insured bra deposits are not securities and are not covered by the Securities Investor Protection Cowden
(SIPC). These bona deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to arowatse amts.
See page 2 of the statement for important information regardng the Asset Allocation section.
Paget of 15
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CONFID•.E • • N• I C TIAL " CA " L ` M " * " RA " T ED COMMUN•CAT•ONS
SDNY_GM_00048045
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010869
EFTA_00 158654
EFTA01290682

Asset Allocation Disclosure and Footnotes
Fixed Income contains Fixed Income Mutual Funds
Summary of Gains and Losses
Realized
This Period Yar•to-Date Unrealized
Shon•Term Gain/Loss 71 28 -1.257.77 -10,558.43
Long•Term Gain/Loss 0.00 47,538.85 142184.70
Net GaIn/Lou 71.28 48,796.82 132,126.27
This summary excludes transactions where cost basis information is not available.
FDIC Insured Bank Deposits
Date Adiv T pe Dedsi on knout Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: NIG024943 Adiviry Ending: 03131114
03101114 Opening Balance 8,373,504.16 8,373,504.16
03112/14 Withdrawal WITHDRAWAL 42.31 8.373.461.85
03114/14 Depotit INTEREST CREDITED 185.78 8,373147.63
APE 013%
03117/14 Associated Bank NA 8,373,647 63
NO 03/17 $250000.00
BUT
NO 03/17 $250000.00
Bank of Arnefica
NO 03/17 S250000.00
Citibank N.A.
NO 03/17 $250000.00
Deutsche Bank Trd Co
NO 03117 $6123647.0
East Wesl Bank
NO 03117 S250000.00
NY Community Bank
NO 03117 $250000.00
Texas Capilai Bank
NO 03/17 5250000 00
Union Bank of CA
NO 03/17 $250000.00
Com eniry Bank
Page 2 of15
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EFTA_00158655
EFTA01290683

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Statement Period: 0310112014 • 03131/2014
FDIC Insured Bank Deposits (continued)
Date Activity Type Description Amount Balance
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
NO 03/17 $250000.00
03126/14 Depout DEPOSIT 8 55823 8,382,205.86
03131114 Posing Balance $8,382,205.86
Total FDIC Insured Bank Deposits $0.382,205.86
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Invests Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other sell directed retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Income and Expense Summary
grenl Period Year-lo-Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Other Dividends 6.440.99 0.00 38.48211 0.00
Interest Income
Bond Interest 5,860.79 0.00 17,614.35 0.00
FDIC Insured Bank De posts 185.78 0.00 634.35 0 00
Total Dividends, Interest, Income and Expenses $12,187.56 $0.00 $56,731.61 $0.00
Distributions
Other Distributions 0.00 2,655.13 0.00 5.787 93
Total Distributions $0.00 $2,666.13 $0.00 $5,787.93
Page 3 of 15
010/ le2CSF 30 022 Account Number: N4G•024943 Go paperless R se a w te n d ( y W ea a r h s I l. n ' A Row bisepoommeoPorisinpu.C.•••••••••••••••••••wi
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SCINCGM_00048047
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67e: HAZE DB-SDNY-0010871
EFTA_00 158656
EFTA01290684

Portfolio Holdings
Account Activity Opening (Using Accrued Income 30-Day Curtest
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 36.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
0310111 4 8.382 205 860 k4G024943 03(31/14 8.373.504 16 8,382,205.86 103 26 634 35 N/A NIA
Total FDIC Insured Bank Deposits 18,373,504.18 18,382,20526 $103.26 $834.35
Total Cash, Money Funds, and Bank Deposits 18,373,504.16 68,382,205.86 $103.26 $834.35
Adjusted Unrealized Acaued Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/ Loss Interest Anna' Income Yield
Fixed Income 46.00% of Portfolio (In Al atunty Dee Sequence)
'Asset Backed Securities
GS M TG SECS CORP 2005.5F M TG PASSTHRU Security Identifier: 3624207X5
CTF CL 91 VAR 5.759% 06/25/35 WE
DTD 05101/05 S 8 P Rating B•
Factor: 0.81223183 Effective Dale:03103114
Current Face Value, 1.218.347.745
12113113'.3.12 1.500.000.000 97 1780 1.183.964.20 91.3570 1.113.045 95 .70.918 25 5.84784
Original Cosl Basis: 51.189.588.80
Total Asset Backed Securities 61,183,964.20 11,113,045.95 -170,918.25 $5,847.84 $0.00
1,500,000.000
Total Current Face Value : 1,218,347.745
Corporate Bonds
PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4
7.375% 11/01/16 WE DM 10/12/06
1ST CPN UTE05/01107 CPN MIT SEMI ANNUAL Moody
Rating BA2 SS P Rating BB
05110/11 '.12.13 1,200,000 000 106 8680 1,282.416 57 112.0000 1,344,000 00 61,58343 36,875 00 88,500.00 6.58%
Original Cosl Basis: 51,363,500.00
IPAYM ENT INC GTD SR NT Security Identifier: 48282EAES
10.250% 05115118 WE DTO 11/15/11
CALLABLE 05115115 () 105.125 Moody Rating CAA1 SI P
Rating CCC
10102112 %IL" 500.00.00 91 1860 455.928.27 73.7500 368,750 00 -87,178 27 19,381 11 51,250.00 13.89%
Original Cosl Basis: 5445,000.00
KINDRED HEALTHCARE INC Security Identifier: 494580AB9
8.250% 06/01/19 BIE DTO 06101111
CALLABLE 08101114 Q 108.188 Moody Rating 83 S1 P
Rating B-
10102/12 %IL" 1.000.000.000 99 6920 996.918.17 107.1250 1.071.250 00 74.331 83 27,500 00 82.500.00 7.70%
Original Cosl Basis: 5996,250.00
Page 4 of 15
f I I Ai, A TH cc E o unt N I um C ber. O N F D G A o p E ap N erl T ess I AL R C Se a A v l L e en M d Y tz * e t R e a A l / l . e T I E n n D t A C R C o M w A PAUNICATIONS .- we. • sopa. a.. a.. +v.,
SDNY_GM_00048048
FAZE
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010 872
EFTA_00 158657
EFTA01290685

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Statement Period: 03/01/2014 • 03131/2014
Portfolio Holdings
(continued)
Adjusted Usrealbed Awued Estimated Estimated
Dale Acquired Gustily Ued Cod Cod Basis Market Price Market Value GAN Loss Merest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
RN ORGAN CHASE & CO DEP $H$ REPSTG Security Identifier 46625HHA1
1110TH WO SER 1 FRED TO FLTG RT BD
1.900% 04/29/49 BM DM 01123108 Moody Rating BA1 S
P Rating BBB
0511011112.1$ 3,000,060.000 1112650 3.337.958.33 113.0000 3,390,000.00 52,011.61 98,750.00 237.000 00 6.99%
Original Cod Basis: $3,337,958.33
BANK AMER CORP PERP NON CON ULATIVE DEP Stonily identifier: 0605050Th
SHS F1 TO FLOAT 8.125% 04130/58 NE
DTD 04130108 CALLABLE 05/15118 Moody Rating BA3 Si& P
Rating BB•
05110111 12.1$ 3.000.000.000 112.9870 3,389,620.83 114.2500 3,427,500.00 31,819.17 92,083.33 243,750.00 7.11%
Original Cosl Basis: $3,389,620.83
Total Corporate Bonds $9,462,842.17 $9,601,500.00 $138,657.13 $274,569.44 $703,000.00
6 700 000 000
Total Fixed Income $10,646,806.37 310,714,545.95 $67,739.68 $250,417.20 $703,000.00
10,200,000.000
Unrealized Estimated Estimated
Date Acquired Quantity US Cod Cod Basis Market Price Markel Value Gild Loss Annual Income Yield
Equities 9.00% of Portfolio
Preferred Stocas (bared by expiration dale)
CITIGROUP INC OEP SHS REPSTG Security Identifier: C PRK
171000Th PFD SER K 6 875% CUSP: 172967341
Dividend Option: Cash
02103114 79,000.000 25.3090 1,999,418.90 26.0700 2,059,530.00 60,111.10 135,781.25 6.59%
Total Preferred Mods $1,999,418.90 $2,069,530.00 $60,111.10 $135,781.25
Total Equities $1,999,418.90 $2,059,530.00 680,111.10 $136,781.25
Page 5015
BOW le2CSF 30 022 f ilAit A TH cc E o H un A t T N E u T m R D LST e r_ GO paperless #36 ) R 5 bA a . l t e - lA d - l V t K e R o a A l l l . e T I E n " D t C 6 O 4' M .. MUNICNTIONS COnavOraseli •••••••• WC. • woo. iinsa••••••••.~r
cONFID'ENTIAL EXCILIANCI
SDNY_GM_00048049
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10873
EFTA_00158658
EFTA01290686

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cod Basis Market Price Markel Value Gold Loss Annual Income Yield
Mutual Funds 9.00% of Portfolio
FM ORGAN FLOATING RATE INCOME FUND Security Identifier: .PHSX
SELECT STARES CUSP. 481211510
Open End Fund
Dividend Option: Reinvest: Capital Gains Option: Reinvest
01122113 '.3 198,216.056 10.0900 2,000,000.00 10.1100 2,003,964.33 3,964.33 83,817.17 4.11%
02101113'.3 630.057 10.0670 6.342.92 10.1100 6.369.89 26.97 265.88 4.17%
03101113'.3 711.578 10.0600 7,158.48 10.1100 7,194.05 35.57 300.29 4.17%
04101113'.3 789.547 10.1100 7,982.33 10.1100 7,982.31 -0.02 333.19 4.17%
05101113'•3 751.550 10.1300 7,613.21 10.1100 7,598.18 -15.03 317.15 4.17%
06103113'.3 757.360 101900 7,641.77 10.1100 7.656.90 15.13 319.81 4.17%
07101113'.3 668.131 9.9700 6,661.27 10.1100 6,754.80 93.53 281.95 4.17%
08101/13 '.3 104.609 10.0600 7,088.37 10.1100 7,123.59 35.22 297.34 4.17%
09103113'.3 709.175 10.0300 7,113.03 10.1100 7,16916 56.73 299.27 4.17%
10101113'•3 712.100 10.0240 7,137.85 10.1100 7,199.34 61.49 300.51 4.11%
Total Noncovered 204,660.163 2,084,739.23 2,069,01316 1,273.92 86,362.36
Reinvestments to 3,760.246 10.1100 38,014.42 10.1100 38,016.09 1.67 1,586.83 4.17%
Date
Total Covered 3,760.216 38,014.42 38,016.09 1.67 1,588.83
Total 208.410.101 $2,102,753.65 $2,107,029.24 $4,275.59 $67,919.19
Total Mutual Funds $2,102,753.65 $2,107,029.24 $4,275.59 $67,949.19
Uarealized Accrued Estimated
Cost Basis Market Value Gals/ Loss lateral Annual Income
Total Portfolio Holdings $23,131,184.78 $23,263,311.05 $132,128.21 $280,411.26 $927,364.79
Footnotes
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered" noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are 'covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their *applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2011, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in defauk, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consuk your tax advisor in the preparation of your tax returns.
Page 6 0115
Account Number
BOW le2CSF 30 022 1.itAlt lip r THE Go paperless D Rar At d la V Z R :1 AT 1 E 7 D :a C i O to M r MUNICA11O.6 0010•1410•••41111.01.0.114. • MOW. ••••i••••...../
N F I DAENTIAL exCiLlINCI
SDNY_GM_00048050
HAZETto
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010874
EFTA_00 158659
EFTA01290687

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Statement Period: 03/01/2014 • 03/3112014
Portfolio Holdings (continued)
3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the
security. Factors may change over time and are obtained from sources we believe to be reliable.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
11 The cost basis of this security has been provided to us by the delivering Grit or transferring agent and Pershing makes no representation as to the accuracy of this information.
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Loss/
Date Date Transaction Description Quantity Cost Basis Proceeds Disallowance
Short Term
03125/14 12/13/13' PPP GS LI TG SECSC0PP 200 ASSTHRU CTF CL BI VAR 5 759% 1.500.000.000 2,454.66 2,525.94 71 28
06125135 WE OD 05101105
Security Identifier 3624207X5
0rigin* Cost Basis 2.454.66
Total Short Term 62,464.66 62,626.94 171.2$
Total Short Term and Long Term $2,451.66 $2,625.94 171.2$
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting ivies, and marked or denoted as such. Al other securities in this
section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on
or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099.8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1. 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and
subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as
it relates to corporate actions. has been obtained from sources we believe to be reliable.
Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost
basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have availaWe to you.
Page 7 of 15
P010/1132CSF30022 nap II . C o 7 Account Number GC) paperless ..... m R Sa . v 0 i e t • r a 4 , V 1 C u . 0 i . 1 t e 1 l ; , l I , e nn . t A . R . o . w . ........, Rwombiereup Rionown...C. • amon......
THE HAZE TRLST
CON F I ISEPNITIAL:
SDNY_GM_00048051
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10876
EFTA_00 I 58660
EFTA01290688

Schedule of Realized Gains and Losses Current Period
(continued)
When you report your cost basis on your tax return, it should be venfied using all of your own records. In particular, thee may be other adjustments which you need to make, but are not required to be made by
Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or
warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and rekance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be rebate. In the event one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations nth not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index4nked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax retums.
Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax4ct disposition method. The disposition method is the method which you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your account's selected tax lot method will be
used to determine the cost basis for calculating gain andior loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 10998.
M essages
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporatica.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:thwm.divs-invesrinents.comIEN/productshnoney-market-fundspelds.jsp. Please note that all money
market funds listed on the website may not be offered through us.
In accordance with the Securities Exchange Act Rule 606 (Disclosure of Order Routing Information), upon your request, the following information is available to you:
0 the identity of the venue to which your orders were routed for execution in the six months prior to the request,
ii) whether the orders were directed orders or non-directed orders.
ii) the time of the transactions. it any, that resulted from such orders
We will notify you on an annual basis of the availability of the above information upon request.
Page 8 of 15
Account Num ber bra.e nsue,. soresiows& •••••• awe. raw."
8010/102CSF30022 Go paperless 4 .,k Raw
MtalltrOCCAmautaCJOIONS
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EFIA_00 I 58661
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Statement Period: 03/01/2014 • 03/3112014
Activity Sum m a ry
(All amounts shown are in base currency)
Credits This Period Year-lo-Date Debits This Period Year-to-Date
Securities Securities
Secunties Bought 0 00 0 00 Secunties Bought 4.440.99 -2.037.901.71
Ucunties Sold 000 2.760 359.19 Securities Sold 0.00 0.00
Total Securities $0.00 92,760,359.19 Total Securities .96,440.99 42,037,901.71
Dividends and interest 912,487.60 158,73131 Dividends and Interest $0.00 WOO
Distributions $4379.94 98,512.74 Distributions 42,724.11 42,72441
Taxes Withheld sum 94.40 Taxes Withheld 90.00 90.00
Cash Cash
Deposits 0.00 8,188 19 Deposits 0.00 0.00
Total Cash 91.11 $8,188.10 Total Cash $0.00 80.00
FDIC Insured Bank Deposits $42.31 $1,199,461.21 FDIC Insured Bank Deposits 48,744.01 -$2,792,030.72
Total Credits 917,909.81 $4,833,257.24 Total Debits -$17,909.81 -84,833,257.24
Transactions by Type of Activity
Process, Trade!
Settlement Transaction
Date Date Activity Type Desaiption Quantity Price Accrued Interest /mould Currency
Securities Bought and Sold
03103114 REIN VEST CAS? ih CO ME ,P MORGAN FLOATING RATE INCOME FUND SELECT SPARES 638.481 4.440.99 LSO
PI- SX 207773.9480 SHRS SF RS FL RCH. AT 510.12000 RD 02/27
PD 03103/14
Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -6,440.99
Page 9015
PQ10/1,32CSP 30 022 Account Num ber Go paperiess Ors, Powell PoreiSp uc •••••••••••••••••••••
THE H N F I IDAEN "NAL DALIN* RA TED COMMUNCATIdel
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) IXCELLENCi DB-SDNY-00 10877
EFTA 00158662
EFTA01290690

Transactions by Type of Activity (continued)
Process/ Trade/
Settlement Transaction
Date Date Activity Type Desaiption Quality Price Amsted Interest Amount Currency
Dividends and Interest
03103114 CASH DIVIDEND RECEIVED "MORGAN FLOATING RATE INCOME RAO SELECT WIRES 6.110.99 LSO
PFSK 2077739/80 SHRS RD 02127 PD 03103114
03114114 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 185.78 LSD
DEPOSITS INTEREST
RECEIVED
/58997996
03125/14 80AD INTEREST RECEIVED 1500000 GS MTG SECS CORP 2005-5F P4 TG PASSTHRU CTF 5.860.79 LSD
3624207X5 CL B1 VAR 5.759% 06125/35 BIE DTD 05101105 RD 02128 PD
03/25/14
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 12,117.66
Distributions
03111114 02125114 RETURN OF PRINCIPAL 1500000 GSMTG SECS CORP 20054F II TG PASSTHRU CTF .2.724.81 LSD
ADJUSTMENT CL B1 VAR 5.759% 06125135 131E RD 01131 PD 02/25/14 ADJ
3624207X5 RATE e 1.7883350
03111114 0212511/ RETURN OF PRINCIPAL 1500000 GSMTG SECS CORP 2005.5F M TG PASSTHRU CTF 2,682.50 LSO
RECEIVED CL 81 VAR 5.759% 06125135 WE RD 01/31 FD 02/25/14 ADJ
3624207X5 RATE 0 1.7883350
03125/14 RETURN OF PRINCIPAL 1500000 GSMTG SECS COW 2005-5F NM PASSTHRU CTF 2.697 44 LSD
RECEIVED CL B1 VAR 5.759% 06125135 WE DTD 05101105 RD 02128 PD
3624207X5 03125114
Total Distributions • UNITED STATES DOLLAR 0.00 2,665.13
FDIC Insured Bank Deposits
03/12/14 FDIC INSURED BANK INSURED OEPOSITS PROGRAM 42.31 LSD
WITHDRAWAL
050999997
03111/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -185.78 LSO
DEPOSITS INTEREST
REINVESTED
/58997996
03/26/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 4.558.23 LSD
0 50999997
Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 .1,701.70
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Page 10 of 15
BO1O1e2CSP30022 Account Number Go paperless S R e e v S e e n d 'f f a ia n l len In t A Raw neeesyneeetet Amy. use. . wean ease eebenter
THE FAZ EMMA* RATED COMMUNICAT1ONS
ONFIDarriAc
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CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010878
EFTA_00158663
EFTA01290691

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Statement Period: 03/01/2014 - 03/31/2014
Cash Not Yet Received
Security Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment
Interest
PM ORGAN CHASE II CO OW SHS REMO 03131114 0/130114 3 000 000 000 0 039500 Cash 118 500 CO
1110TH PFD SER 1
Total Cali Not Yet Received $118,500.00
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
i to 5 years 1,712,750 00 16% I I Percentages of !mod market values are
6 to 10 years 1,071,250 00 10% rounded to the nearest whole percentage.
Over 10 years 7.930.545.95 74% C
Total 10,714,516.95 130%
Bond Quality
Bond Duality Market Value %of Bond Market Value
SAILower 10,714,545.95 100% Percentages of bond market values are
Total 10,714,515.95 100% rounded to the nearest whole percentage.
You are 100% invested in bonds with a bond quality of BA/Lower.
Client Service Information
Your Client Advisor: TDS Contact Information
TAZIA SMITH Telephone Number: 1212) 454-2889
345 PARK AVENUE 14TH FLOOR
NEW YORK NY 10154
Page It of 15
Boione2cmoo2z Account Num her oGno p\arpenrleAss L Rioted *tenn o ,' ,+w...,.+••.» ,.<. • Muer arra •••••••••
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CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010879
EFIA_00158664
EFTA01290692

Your Account Information
Tax Lot Default Disposition M ethod
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Stocks In a Dividend Reinvestment Plan: FIRST fir FIRST OUT
Default Method for all Other Seomities: FIRST IN FIRST OUT
Electronic Delivery
You have not selected any account com m unications for electronic delivery. To register and turn off paper con m unications, log in to your account or contact your Client Advisor for more inform alion.
Important Information and Disclosures
Pricing
This section includes the net market value of the securales m your account on a settlement date basis. including short positions. at the close of the statement period. The market prices have been obtained from
sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is
not available are marked "'N/A— and are omitted from the Total.
The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time,
and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities. interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
vAwv.pershing.corrybusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income. Bank Deposit interest income, or dividends for other securlies shown on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased. may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in wilting 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 wit not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction. incurred a charge, or received a credit. Transactions converted by agents (such as depositories) wit be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & POP'S. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written
authorization from Standard & Pools. Standard & Pools does not guarantee the accuracy. completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or
emissions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties includng warranties of merchantability or fitness for a particular purpose.
Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with Me use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase. hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Cash Not Yet Received
Assets shown here are not reflected in your account This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information.
Page 12 of IS
P4,10/102CSF30022 enne,l /I A TH cc E o H un t Num her Go papedess 4,., R [ S v e a t v t a e e f d n Y i v e e N e it e oc e t l * D le I C n nt O A M R M e. U . NICATIONS ars boos• • it Ando. LW. ....n......,....,.
SDNY_GM_00048056
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CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010880
EFFA_00158665
EFTA01290693

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Statement Period: 03/0112114.03/3112014
Important Information and Disclosures (continued)
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and Poors ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (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 controling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for hinds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where appicable; the rendering of investment advice, if any, to you and it general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. AI other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC°). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: vninv.pershing.com/strength_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 reconfirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department: One Pershing Plaza; Jersey
City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court. including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators wil typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is fled, and any amendments thereto, shall be incorporated into this agreement.
Page 13 415
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SDNY_GM_00048057
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-001O881
EFIA_OO158666
EFTA01290694

Important Information and Disclosures (continued)
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until: (I) the class certification is denied: (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing% contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399
Page 144115
P*10/ /e2CSF30022 Account Num ber IxIIT?Friess Ct, = R•t ; e ; d ; I T ...M T o D nt A cta",.---„,,,„s COMMI•fili•OUIP U.& • 101110.••••••••••••••
THE li N F I DA5NTIAL EXCMINCE
SDNY_GM_00048058
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010882
EFrA_00 158667
EFTA01290695

TERMS AND CONDITIONS
TRANSACTIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. ODD LOT DEALER.
• ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY
SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. Uc&RFS. RULINGS AND TRANSACTION YOU MAY MAKE, PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, IF ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY AND TO AU. APPLICABLE LAWS AND REGULATIONS 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. PEHSHINGS OFFICES. A COPY OF I f WILL BE MAILED UPON YOUR WRIT TEN REQUEST OR YOU CAN
• YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT WWW.PERSHING.COM.
STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES:
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. W/ANI.PERSHIN(3COWBUSINESS_CONTINUITY.HTML
THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS
FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS-
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. RULE 607(A)(1)-(2)]
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
FINANCIAL INSTITUTION I; YOU DESIRE ADDITIONAL COPIES. SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS
MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT Cf PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST.
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR PAYMENT.
INSPECTION UPON REQUEST. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
TAX INFORMATION FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE
COUNTER AND EXCHANGE.LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS.
• AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN
REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED
P S R TA O T V E ID M E E N TH T A T T O I N PR FO EP R A M R A E T I Y O O N U O R N T T A H X E F I A L N IN N G U S A . L T T H A E X T IN AX FO S R TA M T A E T M IO E N N S T T A A L T S E O M I E N N C T L U T D O E Y S O O U T : H U E S R E U TH SE A F T UL M CO AR N K T E A T C T C S E M NT A E R R K S E T D C O E N N O T T E M RS A K T E O A O M BT A A R I K N E A T N IN E X T E H C E U S T U IO B N JE . C TH T E S E D C E U S R IG IT N Y A . T P E E D R M SH AR IN K G E D T I C R E E N C T T E L R Y S TO
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH
• DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE
AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF TIM DISTRIBUTION OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHN G ALSO REGULARLY
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES.
GENERAL INFORMATION.
• PERSHING 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 GWEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL. INFORMATION
• WHENEVER YOU ARE INDEBTED TO PERSHING LLC (PERSHING') FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DSCRETION AT ANY TIME, WITHOUT TENDER,
DEMAND OR NOTICE TO YOU. CLOSE CR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR
PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS:
ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR
YOUR ACCOUNT ARE OR MAY BE, WITHOUT FURTHER NOTICE TO YOU, LOANED OR PLEDGED BY
PERSHING, EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE
COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR
GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT
PROHIBITED BY LAW.
IF MY OF PE ABOVE TERMS MID CONDITIONS ME UNACCEPTABLE TO YOU, FtEASE NOTIFY PEEPING IMMEDIATELY IN MIMED BY CERTIFIED MAIL 10 OM PERSHING PLAZA. JERSEY CITY. NI 07399. ATM MOH. DEPT
Page 15 of 15
SOL OVISLICSF10022 f717.411•17717 A TH cc E o F u A nt Z N E u mber Go paperless Mu s uA .t L " ML V Aa*n R t c o AaT rr M A C R O ea M r mutMATIOM •— we. • am.a ro
ONFIDtirriAL
SDNY_GM_00048059
braIST
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010883
EFTA_00158668
EFTA01290696

0gviltre Pant ,12/.4. mamip,an
mroets (Int•gt0•c•P
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VInv bet Mar
PO. Box 1776. SaimaaMD 21203 JA)Pant Anne.. 1011•11cce
tine 'kr\ IOVA
Account Number:
Statement Period: 02/01/2114 -0212812014
THE HAZE TRUST
UAD 02/09/99
Valuation at a Glance
JEFFREY EPSTEIN & This Period Year-to-Date
DARKEN K INDYKE TTEES Beginning Account Value $23,037,616.59 622,994,662.95
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 0 00 8.18619
ST THOMAS VI 00802 Adjusted Previous Account Value 23,037,616.59 23,002,851.14
Dividends. Interest and Other Income 12.552 86 44.243 95
Total Taxes Withheld 4 40 440
het Chan e in Portfolio 196 429 24 199 50360
nding Account Value $23.246.603.09 823.246.603.09
Your Client Advisor: Estimated Annual Incom e $928.364.84
TAZIA SI/ IIH
Asset Allocation
Prior Year-End Lad Period This Period % Allocation
USD Cash. money Funds. and Bank Deposds1 7.589.036.35 10,364,062.31 8,373,504.16 36.02% Pe Chart allocation only includes
products that are of positive value.
USD Fixed Income 15.405628.60 12.673.554.28 12.825.41893 55.17% I
USD Equities 0.00 0.00 2.047.680 00 8.81%
Account Total (Pie Chart) $22,994,662.95 $23,037,616.59 523,246,603.09 100.00%
I The Bank Deposes in your account are FDIC insured bank deposits.
FDIC insured bath deposits are not secunties and are not covered by the Securmes Investor Protection Corporation
(SIPC). These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC). up to allonvable limts.
See page 2 of e t portant information regardng the Asset Allocation section.
Page tor 12
Go paperless MOPS tiamem Row c.............0•••••••.u.C.••••••••••••Ionesse
LAMAR RATED COMMUNICATIONS
CONF IDarnAL RRCIL OIN< I
SDNY_GM_00048060
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010884
EFTA_00158669
EFTA01290697

Asset Allocation Disclosure and Footnotes
Fred Income contains Fixed Income Mutual Funds
Summary of Gains and Losses
Realized
This Period Yeaoto•Date Unrealized
Short-Term Gain/Loss 80.54 -1.329.05 -22,131.24
Lon -Term Gain/Loss 0.00 47 538.85 148.449.41
Net GaIn/Loss 80.54 48,867.10 120,39.17
This summary excludes transactions where cost basis information is not available.
FDIC Insured Bank Deposits
Date Achy' T Devi• ion Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: NIG024943 Actisily Ending: 02128114
02101114 Opening Balance 11364162.31 10,364,062.31
02106114 Withdrawal WITHDRAWAL 4.999.41810 8,364,643.41
02114114 Deposil INTEREST CREDITED 258.96 8,364,902.37
API 013%
02118114 Oeposil DEPOSIT 4.40 8,364,906.77
Associated Bank NA
NO 02118 S250000.00
BUT
NO 02118 $250000.00
Bank of America
NO 02118 S250000.00
Citibank N.A.
NO 02118 5250000.00
Deutsche Bank Trst Co
NO 02118 $6114906.7
East Wesl Bank
NO 02118 $250000.00
NY Community Bank
NO 02118 1250000.00
Texas Capital Bank
NO 02(18 $25000000
Union Bank of CA
NO 02118 S250000.00
Corn enity Bank
Page 2 of 12
B0119969CSFI0,IS Account Nun Derma Go pape rless a et I C to A te A d !. I Y ews'. A AAA away& ••••411M orin. ••••••• •••••• ••••••••
DIE HAZE TRUST DAeARNIVDCOMMUNICAlIONS
NFIDfNiiAr
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eO
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010885
BPI:4_00158670
EFTA01290698

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Statement Period: 02/01/2014 • 02/28/2014
FDIC Insured Bank Deposits (continued)
Date Activity Type Description Amount Salaam
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
NO 02/18 $250000.00
02/26114 De oat DEPOSIT 8,597.39 8,373,501.16
02128114 Postn0 Balance $8 13 504.16
Total FDIC Insured Bank Deposits $8,373,504.16
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please reviewthis 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 6,121.32 0.00 32.04112 0.00
interest Income
Bond Interest 5,812.58 0.00 11.75336 0.00
FDIC Insured Bank Depots 258.96 0.00 448 57 0 00
Total Dividends, Interest, Income and Expenses 812,55216 $0.00 $44,243.95 $0.00
Distributions
Other Distributions 0.00 2324.81 000 3.132 80
Total Distributions $0.00 $2,724.81 $0.00 $3,132.110
Pap 3 of 12
P*119969CSF 30 OIS Account Number: Go paperless tt l Sinenn vel l • e l n a t A Rss Oreugli OtiostrwiLit. • seal. ass ••••••••tr
itrecAii ItAiETIDCOMMUNICATONS
ntO N F I DAENTIAL
SDNY_GM_00048062
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(eE) HAZE DB-SDNY-0010886
EFTA_00 I52167 I
EFTA01290699

Portfolio Holdings
Account Activity Opening Oosing Accrued Income 30-Day Current
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 36.00% of Portfolio
FOIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
0210111/ 8373.504.160 A10021913 0212811/ 10,361,062.31 8,373,504.16 89 40 146 57
Total FDIC Insured Bank Deposits 610,364,052.31 18,373,504.16 $89.40 $446.67
Total Cash, Money Funds, and Bank Deposits $10,360,062.31 15,373,501.16 089.40 $440.57
Muted Unrealized Arxrued Estimated Estimated
Date ired Quail' Veit Cosl Cod Bads Market Price Markel Valle Gainf Loss Interest Annual Income Yield
Fixed Income 46.00% of Portfolio (In I minty Dale Sequence)
'Asset Backed Securities
GS M TG SECS CORP 2005.5F M TG PASSTHRU Security Identifier: 3621207X5
CTF CL 81 VAR 5.759% 06125135 IDE
DID 05101105 58 P Rating B•
Fedor: 0.81391579 Effective Dalc02/03/11
Current Face Value: 1,220.871685
12113/13 '.3.12 1.500.000.000 97.1780 1,186,418.88 91.3810 1,115,816.58 .70.772.28 5,273.55
Original Cosl Basic $1.189,588.80
Total Asset Bodied Securities 81,186,418.86 $1,116,646.51 -170,777.28 $5,273.55 So.00
1,500,000.000
Total Current Face Value : 1,220,673.685
Corporate Bonds
PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4
7.375% 11/01116 WE DT0 10112106
1ST CPN DIE 05101/07 CPN FIAT SEMI ANNUAL Moody
Rating BA2 S 8 P Rating BB
05110/11 'UM 1,200,000 000 107 0760 1,281,914.46 112.7500 1,353,000 00 68,085 51 28,762 50 88,500.00 6.54%
Original Cosl Bads: $1,363,500.00
IPAYM ENT INC GTO SR NT Security Identifier: 46262EAES
10250% 05/15/18 B/E DTD 11/15/11
CALLABLE 051151150 105.125 Moody Rating CAA1 S 8 P
Rating CCC
10/02112 '.12.13 500,000.000 91.0520 455.25824 78.0000 390,000 00 -65,258 21 14,663 19 51,250.00 13.14%
Original Cost Basis: $115,000.00
KINDRED HEALTHCARE INC Security Identifier: 494580A89
8.250% 06/01/19 WE DID 06/01/11
CALLABLE 06101114 0 106.188 Moody Rating 83 58 P
Rating B.
10102112 'AM 1,000,000.000 99.6880 996.878.48 107.7500 1.077.500 00 80.621 52 19.937 50 82.500.00 7.65%
Original Cosl Basis: $996,250.00
Ito
Page 4 of 12
Account Number N Clar40••••••••••••vi.“.•••••••••••••••••••••
B0119969CSF300IS Go WWI-less -16"v i'rnt".:::ilt AcRotouNicovto•m
THE HATE
F I D'ENITIA r
SDNY_GM_00048063
CONFIDENTIAL — PURSUANT TO FED. R CRI6,1. P. 6(e) OB-SDNY-0010887
EFTA_00 158672
EFTA01290700

Oraisre Ran. Pon. Wealth minim,.
Pdane$ CeenneSe..0
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Na Pon name Ike I ex,
ear RA. SY 10114
Statement Period: 02/01/2014 - 02128/2014
Portfolio Holdings (continued)
Adjusted Vitalized Accrued Estimated Estimated
Dale Acquired Ousitity Unit Cost Cost Basis Market Plitt Market Value Gild Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
PM ORGAN CHASE& CO DEP SHSREPSTG Security Identifier: /66250'41
1710Th FfD Sgt I FIXED TO FLTG RT BO
7.900% 04/291/9 WE DM 01123108 Moody Rating BA1 Sd
P Rating BBB
05/1011112,12 3,000,000.000 1112650 3.337.958.33 112.2200 3.366.600.00 28,641.67 77,083.33 237.00000 7.03%
0 nginal Cost Basis: $3,337,958.33
BANK AM ER CORP PERP NON CON ULATIVE DEP Security Identifier: 06050SDP3
SKS FIXED TO FLOAT 8.125% 04130/58 BIE
DTD 04/30/08 CALLABLE 05/15118 Moody Rating BA3 SS P
Rang B8•
05!10/1112.12 3,000,000.000 112.9870 3,389,620.83 114.0000 3.420.000.00 30,379.17 69,739.58 213,750.00 7.12%
Original Cod Bask $3,389,620.83
Total Corporate Bonds $9,464,630.34 $9,607,100.00 $142,469.66 6211,786.10 $703,000.00
8 700 000 000
Total Fixed Income 610,651,049.20 810,722,746.58 $71,697.38 6210,069.66 $703,000.00
10,200,000.000
Uareallzed Estimated Estimated
Date Acquired (Meatier Limit Cod Cod Bads Market Markel Value Gala Loss Annual Income Yield
Pria
Equities 9.00% of Portfolio
Preferred Stotts (Listed byexpiration date)
CITIGROUP INC DEP Sid REPSTG Sorority Identifier: C PRK
1/1000TH PFD SER K 6 875% CUSP: 172967341
Dividend Option: Cash
02/03/14 79,000.000 25.3090 1,999,418.90 25.9200 2,047,680.00 48,261.10 135,781.25 6.63%
Total Preferred Sloth $1 999 418.90 $2 047 680.00 $48,261.10 $136,781.25
Total Equities $1,999,41810 $2,047,680.00 648,281.10 6135,781.25
Page 5012
80119969CSF 10015 Account Num ber Go paperless R Se a v te e d n C Ye a w lle s n In \ A Row 018••••••••• semen. uLe. • awe easeionanen
HE bean* RATED COMPALINICATiONS
L
SDNY_GM_00048064
1: 11AZE TCONFID -EiCITIA
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6 OB-SDNY-0010888
EFTA_00158673
EFTA01290701

Portfolio Holdings
(continued)
Uarealized Estimated Ealmaled
Date A iied Ountit Unit Cost Cost Basis Market Price Markel Valle Gals/ Loss Maual Income Yield
Mutual Funds 9.00% of Portfolio
FN ORGAN FLOATING RATE INCOME FUND Security Identifier: .PHSX
SELECT STARES CUSP. 481211510
Open End Fund
Dividend Option: Reinvest; Capital Gains Option Reinvest
01122113 '.3 198,216058 10.0900 2,000,000.00 10.1200 2,005,946.48 5,948.48 85,03418 4.23%
02101113'.3 630.057 10.0670 6.342.92 10.1200 6,376.19 2 270.29 4.23%
03101113'.3 711.578 10.0800 7,158.48 10.1200 7,201.17 13 23 697 305.27 4.23%
01101113',3 789.547 10.1100 7,982.33 10.1200 7.990.22 7.89 338.72 4.23%
05101113'•3 751.550 10.1300 7,613.21 10.1200 7,605.68 -7.53 322.41 4.23%
06103113'.3 757.360 10.0900 7,641.77 10.1200 7,664.49 22.72 324.91 4.23%
07101113'.3 668.131 9.9700 8,881.27 10.1200 8,761.48 100.21 286.63 4.23%
08101113'.3 104.809 10.0600 7,088.37 10.1200 7,130.65 4228 302.28 4.23%
09103113'.3 709.175 10 0300 7,113.03 10.1200 7,176.84 304.24 4.23%
10101/13 '.3 712.100 10.0240 7,137.85 10.1200 7,206.45 6683.8610 305.49 4.23%
Total Noncovered 204,650.163 2,014,739.23 2,071,05965 6,320.42 17,794.92
Reinveslm total° 3,123.785 10.1070 31,573.43 10.1200 31,612.70 3927 1,340.10 4.23%
Date
Total Covered 3,123.716 31,573.43 31,612.70 39.27 1,310.10
Total 207,773.940 $2,096,312.66 $2,102672.35 $6,359.69 389,135.02
Total Mutual Funds $2,096,312.66 $2,102,672.35 $6,359.69 $89,135.02
Unrealized Awned Estimated
Cost Basis Market Value Gala/ Loss Interest Annual Income
Total Portfolio Holdings $23,120,284.92 $23,246,603.09 $126,318.0 $216,059.65 $928,364.84
Footnotes
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their °applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1. 2014, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfobo system is amended to reflect this
change. These calculations will not be performed under certain circumstances. including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
Page 6 of 12
E.C119969CSF300IS Account Num be Go paperless Itiasd la A Rew ans. ••••••••••••miU .C. • add. egos. ••••••Per
NFIDA E • N• ill 0 a riAr D, x A C t I • E A L f IA t R N A C T I ED COMMUNICAliONS
SDNY_GM_00048065
67e: HAZE TtO
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-00 10889
EFTA_00158674
EFTA01290702

Dnisov Rana Pnnie Viola up.agenmt
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PC. Poi 1716 Elul Port MD 2120 HS Pert Asia nth IM
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Statement Period: 02/01/2014 • 02128/201/
Portfolio Holdings (continued)
The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the
security. Factors may change over time and are obtained from sources we believe to be reliable.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering tin or transferring agent and Pershing makes no representation as to the accuracy of this information.
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ tow
Date Date Transaction Description Quantity Cost Basis Proceeds Disallowance
Short Term
02103114 12/13113' PPP GS 117G SECSCORP 200 ASSTHRU CTF CL Bt VAR 5 759% 1.500.000.000 2,773.48 2,854.00 80 54
06125135 WEDTD 05101105
Security Identifier 36242D7X5
0 rioi nal Cost Basis 2.773.46
Total Short Term $2,773.16 82,861.00 $10.64
Total Short Term and Long Term 12,773.16 12,851.00 $80.64
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ncncovered." under the new cost basis reporting rules, and marked or denoted as such. Mother securities in this
section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "coverer 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 folows:
• Stock in a corporation acquired on or after January 1. 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options. acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and
subsequently reclassified by the issuer as a return of capital In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as
it relates to corporate actions. has been obtained from sources we believe to be reliable.
Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost
basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099.8 or online displays you may have avalable to you.
Page 7 of 12
t.". „al:N.W4
PC119969CSF30015 Account Herein Go paperless R .177 a -7 te .7w d . I P m e e w a s n e I r n /It A Raw bale. nibs*. •••••• ••••
THE HA A Z n E N F II W0.0, NlIIIC TIAL D COMMUNICAllONS
SDNCGM_00048066
T'1O
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10890
EFTA_00 158675
EFTA01290703

Schedule of Realized Gains and Losses Current Period
(continued)
When you report your cost basis on your tax return, d should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by
Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or
warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance
on the information provided herein for such reporting.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds• foreign bonds• variable rates, bonds in default, index4inked bonds, bonds sold
short or bonds that have a negative yield. This intonation is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax4rt disposition method. The disposition method is the method which you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your account's selected tax lot method wil be
used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8.
M essages
Although a money market mutual fund seeks to preserve the value of your investment at S1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Federal Deposit Insurance Corporation (FOICylnsured Bank Deposits are not protected by Securities Investor Protection Cornoratica.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https://vowtdws-investrnents.conVEN/rtoductshnoney•market-Itindslields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Activity Sum m a ry
OW amounts shown are in base currency)
Credits This Period Year•to•Date Debits Thus Period Year•to.flate
Securities Securities
Secunhes Sought 0 00 000 Secuntres Bought .2,005.840.22 .2,031.460.72
Secunbes Sold 0 CO 2 760 359 19 Secunhes Sold 0 00 0 00
Total Securities $0.00 $2,780,359.19 Total Securities .12,005,840.22 -12,031,460.72
Dividends and Interest $12,552.86 $44,243.95 Dividends and Interest $0.00 $0.00
Distributions $2,724.81 63,132.80 Distributions $0.00 $0.00
Taxes Withheld $4.40 $4.40 Taxes Withheld $0.00 $0.00
Cash Cash
Deports 000 8.18819 Deposits 000 000
Total Cash $0.00 $8,188.19 Total Cash 60.00 60.00
FDIC Insured Bank Deposits $1,909,418.90 $1,999,418.90 FDIC Insured Bank Deposits ,611,860.76 -M76306.71
Total Credits $2,014,100.97 64,816,341.43 Total Debits -T2,014,100.91 -$4,1116,347.43
Nene 12
B0119969CSF301IS Account Pius tier Go p iperless Mtn tY:=A Rom era*.* map sionipwrise. • sow rms. snow.,
mtarcomm oo.cAlloos
THE HAZE TGAUT O N F DAENTIArff
SDNY_GM_00048067
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(3) 0B-SDNY-0010891
EFIA_00158676
EFTA01290704

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Statement Period: 0210112/14 - 0212812814
Transactions by Type of Activity
Process/ Trade/
Settlement Transaction
Date Date Activit T e Desai ion Quantity Price Accrued Interest knonat Currency
Securities Bought and Sold
02103111 REINVEST CASK INCOME P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 634.518 .6.421.32 LSD
SF SX 207139/300 SF RS SFRSPL RCH. AT $10.12000 RD 01130
PD 02103111
02106114 0210311/ PURCHASED CITIGROUP INC DEP SF S REPSTG 1/1000Th PFD SER I( 6 79.000.000 25.2491 -1.999,118.90 LSD
C PRK 875% ',AWL AVERAGE LNIT PRICE TRANSACTION YOUR
BROKER ACTED AS AGEN T
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 -2,005,040.22
Dividends and Interest
02103/11 CAST- DIVIDEND RECEIVED .P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 6.421.32 LSD
PhSX 207139.4300 SIRS RD 01130 PD 02'03/14
02114114 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 258.96 USD
DEPOSITS INTEREST
RECEIVED
458997996
02125/14 80AD INTEREST REC8VED 1500000 GS MTG SECS COPP 2005.5F M TG PASSTHRU CTF 5.872.58 USD
3624207X5 CL B1 VAR 5.765% 06125135 EJE DTD 05101105 RD 01131 PD
02125/14
Total Dividends and Interest - UNITED STATES DOLLAR 0.00 12,552.06
Distributions
02125/14 RETURN OF PRINCIPAL 1500000 GS MTG SECS CORP 2005-5F NTS PASSTHRU CTF 2.724,81 IAD
RECEIVED CI. DI VAR 5.765% 06125135 WE DTD 05101105 RD 01131 PD
3624207X5 02125/14
Total Distributions - UNITED STATES DOLLAR 0.00 2,724.81
Taxes Withheld
0211/114 NON-RESIDENT ALIEN TAX INSURED DEPOSITS PROGRAM REV OF ARA TAX FROM .1.000 1.10 ISO
PRIOR YEAR AD.USTM ENT 10-15.2013
458997996
Total Taxes Withheld • UNITED STATES DOLLAR 0.00 4.40
Page 9 of 12
Account Num Der Go paperless (it) P S U ev P e S n I P " z a o n lle I m n A Raw 0,..........•••••••• we. . WIS./ 4110SO M..
THE FAZ ON FIDENTIAL L ex A C M IE A L R IA R N A C T I ED COMMUN1CATIONS
SDNY_GM_00048068
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010892
EFTA_00 158677
EFTA01290705

Transactions by Type of Activity (continued)
Process/ Tradel
Sttlement Transaction
Date Date Activity Type Description Quantity Price Named lutenist Amount Currency
FDIC Insured Bank Deposits
02106114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 1,999,418.90 USD
WITHDRAWAL
USD999997
02114/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .258.98 USD
DEPOSITS INTEREST
REINVESTED
458997996
02/18/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM .4.40 USD
USD999997
02126114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 4,597.39 USD
USD999997
Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 1,990,658.16
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Bond Maturity Schedule
Bond Maturity Market Value % of Bad Market Value
1 to 5 years 1.743.000 00 18% - Percentages of bond market values are
rounded to the nearest whole percentage.
6 to 10 years 1,077,500.00 10% F.71
r
Over 10 yeas 7,902,246.58 74%
Total 10,722,746.68 100%
Bond Quality
Bond Quality Market Value V. of Bond Market Value
8AiLower 10,722,746 58 100% Percentages of bond market values are
Total 10,722,710.58 100% rounded to the nearest vfiole percentage.
You are 100% invested mi bonds with a bond quality of BAA.ower.
Client Service Information
Your Client Advisor: TDS Contact Inform anon
TAZIA SMITH Telephone Number: 1212) 454.2889
345 PARK AVENUE 14Th FLOOR
NEW YORK NY 10154
Page 104112
r119969CSF300IS (MAI, A TH cc E o H un A t Z N E u n bur N F I D G A o 5 pa N pe T rle I s A s L la & R E 5 O X A a - C L l* S - A d A ! L Y v R U e e R N a n A C o T I m ID C I O te M w MUNICAliONS COS" 0••••••••••••• WC. • ••••• •••••1n ee
SDNY_GM_00048069
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 10893
EFTA_00158678
EFTA01290706

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ten. ',an nY
Statement Period: 0210112/14 -0212812114
Your Account Inform ation
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Storks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Eledronic Delivery
You have not selected any account com m imitations for electronic delivery. To register and turn off paper coin m unications, log in to your account or contact your Client Advisor for more inform ation.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis. including short positions. at the close of the statement period. The market prices have been obtained from
sources which we believe to be minable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is
not available are marked —N/A— and are omitted from the Total.
The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and divided 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
vnerpershing.cornibusiness_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, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confinations previously furnished to you. A summary of this
Information is available to you promptly upon your written request directed to your introducing en. In order to assist your introducing firm in maintaining current background and financial Information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, intuited a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Page It of t2
Account Num be r pardess Italod I .ollent Olinsa Onus& sorrow...A. •••••• amiss •••••Sag
B0119969CSF 30 015 Go Sawn Years In A Ray
THE HA T rxeltALi RAITIDCOMMUNICAT10.%
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SDNY_GM_00048070
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010894
EFIA_00158679
EFTA01290707

Important Information and Disclosures (continued)
Ratings
This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Pools S not permitted without prior written
authorization from Standard & Pools. Standard & Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are riot
recommendations to purchase, hold or sell securities: and do riot address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
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 (n) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and mules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where appicable; the rendering of investment advice, if any, to you and n general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. AI other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC*). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: wwwpershing.cornifstrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing. within ten days after receipt
of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC: Legal Department: One Pershing Plaza; Jersey
City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other n court. including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding: a party's ability to have a court reverse or modify an arbitration award is very hinged.
• 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 pnor 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 illegible for arbitration may be brought in court.
• The rules of the arbitration forum it which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem.
Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza: Jersey City, New Jersey 07399; (201) 413-3330.
Page 12 of 12
50119969CSF30,/S n ono. t 6? Account Num her GO paperless S l D i e a A v l L * e S d n A I Y * x e o R ar l A * lo T I n E n t D A C R O o M w M UNICA11O.11 u.4.•••••••••••••••••bolian
ICON Fl DAENMA
SDNY_GM_00048071
6: Ilia
CONFIDENTIAL - PURSUANT TO FED. R CRIM. DEI-SDNY-0010895
EFrA_00158680
EFTA01290708

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Account Number:
Statement Period:01101/2114 -01/3112114
THE HAZE TRUST
UAD 02/09/99
Valuation at a Glance
JEFFREY EPSTEIN & This Period Year-to-Date
DARREN K INDYKE TTEES Beginning Account Value $22,994,862.95 122,994,892.96
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 8,188.19 8.188 19
Adjusted Previous Account Value 23,002,851.14 23,002,851.14
ST THOMAS VI 00802
Dividends. Interest and Other Income 31 691 09 31 691 09
het Change in Porlfolio 3 074 36 3 O't 35
nding Account Value $23,037,616.59 $23,037,616.59
Estimated Annual Income
Your Client Advisor:
Asset Allocation
Prior Yeu-End Lad Period This Period % Allocation
USD Cash. Money Funds. and Bank Deposts1 7.589.036.35 7,589,036.35 10,364,062 31 44.99% Pm Chan allocation only cc.L.des
products that are of positive value.
USD Fixed Income 15.405.626 60 15.405.626 60 12.673.554 28 55.01%
Account Total (Pie Chart) $22,994,662.95 $22,994,682.95 $23,037,816.59 100.00%
I The Bank Deposds in your account are FDIC insured bank deposits.
FDIC insured oank deposits are rot secureies and are not covered by the Securities Investor Protection Corporation
(SIPC) These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC). up to allowable limits.
See page 2 of the statement for imports rt information regarding the Asset Allocate.) section.
Page 1 0115
DOAR.ri IT I', J:90:2? 3 .,:16 Go papedess L s A o— MA ty * we R o. A l.l D.e T n E C D tA C R O e M .. M UNICAllONS C•••••••••••••••••••••••• Is& • ••••••••••••••••••••
CONFIDAENTIAL """
SDNY_GM_00048072
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0010896
EFrA_00158681
EFTA01290709

Asset Allocation Disclosure and Footnotes
Fried Income contains Fixed Income Mutual Funds
Summary of Gains and Losses
Realised
Ibis Period Year•to•Date Unrealized
Short•Term Gam/Loss -1.42110 -1.421.10 413 20
Lang-Term Gain/Loss -67.53885 -67.538 85 -320 05
Net GalnlLou -68,959.95 -68,958.85 93.15
This summary excludes transactions where cost basis information is not availed..
FDIC Insured Bank Deposits
Date kW. T pe Descri ion Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: NIG024943 Activity Ending: 01131114
01101(14 Opening Balance 7.589,036 35 7,589.036.35
01115(14 Deposit INTEREST CREDITED 189.61 7.589.225 96
APY 003%
01116(14 Associated Bank NA 7,589,225.96
NO 01(16 5250000.00
BEAT
NO 01(16 S25000100
Bank of America
NO 01(16 5250000.00
Citibank N.A.
NO 01(16 $250000.00
Deutsche Bank
NO 01(16 55339225.9
East West Bank
NO 01116 $250000.00
NY Community Bank
NO 01(16 5250000.00
Texas Capital Bank
NO 01(16 $250000.00
Union Bank of CA
NO 01(16 $25000000
Com enity Bank
NO 01(16 $250000.00
Page 2 of 15
Account Num Der Go paperless tik "•a^ tt•'C . Re. a••••• •••••••• U.& • •••••• •••••••••
TF E FAZE N FI D AENTIAL RexAcMnAu*n RcAaT ED COMMUNICAllONS
SEIY_GM_00048073
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CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010897
EFrA_001586.32
EFTA01290710

DraSOf Beta Prwaie WO P. minim,.
Meals teen. 4,o,P
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Na. Vet Mc*
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Statement Period: 0110112014 • 01/31/2014
FDIC Insured Bank Deposits (continued)
Date Activity Type Descr stron Amount Bailees
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
01117114 Deposit DEPOSIT 2,760,359.19 10,349,585.15
01129114 Deposit DEPOSIT 14,177.16 10,364,082.31
01131114 Posing Balance 810,364,062.31
Total FDIC Insured Bank Deposits 810,361,062.31
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection vrith other
deposits you may have at each respective bank.
Income and Expense Summary
Olgrenl Period Year-to-Dale
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Other Dividends 25,620.50 0.00 25.620.50 0.00
Interest Income
Bond 'merest 5,880.98 0.00 5,880.98 0.00
FDIC Insured Bank De posts 189.61 0.00 189.61 0 00
Total Dividends, Interest, Income and Expenses $31,691.09 30.00 $31,691.09 $0.00
Distributions
Other Distributions 0.00 407.99 0.00 407.99
Total DIMdbutions $0.00 $407.99 $0.00 8407.99
Page 3015
8010 0 290CS F 30116 Account Nue Dert♦ Go paperless (*). D R S a te t A e e d n L I V . e . M . a d l e ' * i a n l Rew CONSP *Me 1.10.••Wilie. • WINO. ••••• ••••••••
THE N F I DA5NITIAL RATED COMPAUNKATONS
SDNY_GM_00048074
HAZE Tto
CONFIDENTIAL - PURSUANT TO FED. R CRIM, P. 6(e) OB-SDNY-0010898
EFTA_00158683
EFTA01290711

Portfolio Holdings
Account Activity Opening Ming Accrued Income 30.Oay Current
0penmq Date Quantity ?lumber Ending Balance Balm' Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 45.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
0110111/ 10.361,062 310 41G021913 01131111 7,589,036 35 10 361,062 31 150.92 189 61 ',IA NiA
Total FDIC Insured Bank Deposits $7,589,036.36 $10,361,062.31 $150.92 $189.61
Total Cash, Money Funds, and Bank Deposits 47,589,036.36 $10,361,062.31 $150.92 $189.61
Adjusted Unrealized Accrued Estimated Estimated
Date Ned Quad Veit Cod Cod Basis Market Price Markel Value Gain/ Loss Merest Annual Income Yield
Fixed Income 48.00% of Portfolio (In Manuity Date Sequence)
'Asset Backed Securities
565 TG SECS CORP 2005.5F NIG PASSTHRU Security Identifier: 3621287%5
CTF CL 81 VAR 5.765% 06125135 WE
DID 05101105 S 8 P Rating B•
Fador: 0.81581816 Effete Dale 01102/1/
Current Face Value: 1,223,727.690
Please Provide' 1.500M:000 hiA Please Provide 91 2910 1,117,153.25 N/A 5,879.02
Original Cost 8ams Please Provide
Total Asset Backed Securities $0.00 11,117,153.26 $0.00 55,879.02 50.00
1,500,000.000
Total Current Face Value : 1,223,727190
Corporate Bonds
PEABODY ENERGY CORP SR NT Security Identifier: 701519AE1
7.375% 11101116 WE DM 10/12/06
1ST CPN DIE 05101/07 CPN FIAT SEMI ANNUAL Moody
Rating BA2 Sd P Rating 88
05110/11 '.12.13 1,200,000 000 107 2810 1,287,402.90 112.5000 1,350,000 00 62,597 10 22.125 00 88,500 00 6.55%
Original Cosl Basis 51,363,500.00
IPAYM ENT INC GTO SR NT Security Identifier: 46262EAE5
10250% 05/15/18 B/E DM 11/15111
CALLABLE 05/15115a 105.125 Moody Rating CAA1 S 8 P
Rating CCC
10/02/12 '.12.13 500.000.000 90.9190 151.595.41 76.2500 381,250 00 -73.345.41 10.819 11 51.250 00 1.44%
Original Cod Basis: 4115,000.00
KINDRED HEALTHCARE INC Security Identifier: 494580A89
6250% 06/01/19 BlE DID 06/01/11
CALLABLE 06/01114 Q 106.188 Moody Rating 83 S4 P
Rating
10102112 *AM 1,000,000.000 99.6810 996,839.07 107.2500 1172100.00 75,680.93 13.750 00 82,500 00 7.69%
Original Cod Basis: 5996,250.00
Page 4 of15
80100290CS F 30016 Account Number Go paperless R Se ie ve l• n d Y •x e o a ll s e I n n t A Rene 0••••••••••1411 01•10•111.114. • i•••••.•••••
DI HAZE t rO NFID A E • • NTIAL IDALSAR RATED CC•AMUNICAY1ONS
SDNY_GM_00048075
CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) ••IT I OB-SDNY-0010899
EFTA_00158684
EFTA01290712

Gnaw.< Ram Pnwale Vita* P. IMAagentot
Pdaeat$ COorage Gnat)
01.4)04 Sa1n.k4 * COlnotnoe s
Y.
PC. Bcp 1776 Elul Port MD 21203 HI Put Annie. 160. I to
Statement Period: 0110112014 • 01/31/2014
Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quality Unit Cost Cod Basis Market Price Market Value Gain( Loss Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
RY ORGAN CHASE & CO DEP SHSREPSTG Security Identifier: 466251111A1
MOTH FR) SER 1 FIXED TO FLTG RT BD
7.900% 04/29/49 WE DM 0023/08 Moody Rating BM SE
P Rating BBB
05110/11 UM 3,000,000.000 1112650 3337.958.33 110.6200 3.318.600.00 .19.358.33 59.250 00 237.000.00 7.14%
0 npinal Cost Basis: 53.337.958.33
BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 0605050T8
SF S FIXED TO FLOAT 8.125% 04/30/58 BIE
DTD 04(30/08 CALLABLE 05/15118 Moody Ruling BA3 $i& P
Wing BIM
0511011112.1$ 3,000,000.000 112.9870 3,389,620.83 111.2600 3.337 800 CO -51,820.83 $1,458.33 243,750.00 7.30%
Original Cost Bait $3,389,620.83
Total Corporate Bonds $9,486,418.54 $90160,150.00 -$8,216.61 $157,402.77 $703,000.00
8 700 000 000
Total Fixed Income $9,166,416.54 $10,577,303.25 -16,286.61 $163,281.79 $703,000.00
10,200,000.000
Umealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market ha Markel Value Gala/ loss Annual Income Yield
Mutual Funds 9.00% of Portfolio
BM ORGAN FLOATING RATE INCOME FUND Security Identifier: ..PHSX
SELECT SPARES CUSIP 481211510
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
01122113'.3 198.218,058 10.0900 2,000,000.00 10.1200 2,005,948.49 5.948.49 88,025.77 4.28%
02101113'.3 630.057 10.0670 6342.92 10.1200 6,376.17 3325 273.44 4.28%
03101113',3 711.578 10.0600 7,158.48 10.1200 7,201.17 42.69 308.82 4.28%
04101113'.3 789.547 10.1100 7,982.33 10.1200 7,990.22 7.89 342.68 4.28%
05101113'.3 751.550 10.1300 7,613.21 10.1200 7.605.68 •7.53 326.17 4.28%
06103113'.3 757.360 10.0900 7,641.77 10.1200 7,664.48 22.71 328.69 4.28%
07101113 '.3 668.131 9.9700 6,661.27 10.1200 6,761.48 100.21 289.97 4.28%
08101113'.3 704.609 10.0600 7,086.37 10.1200 7,130.65 4228 305.80 4.28%
Page 5 of 15
Pi,10 0 290CSF 30 016 110.411-C‘ PT Account Number. Go o tperless a et R ce o — ad n I Y - e re a t r i s e ia .' ti T ON•afinmaelitisin. flea.. *Neva ••••••••••
THE HAZE
UONFIDAENITTAr tEL24 24
SDNY_GM_00048076
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) lj" A DB-SDNY-00 10900
EFTA_OO 158685
EFTA01290713

Portfolio Holdings (continued)
Uerealized Estimated Estimated
Date Acquired Duality Usk Cod Cod Bads Markel Price Markel Valle Gale! Loa Annual Income Yield
Mutual Funds (continued)
P M ORGAN FLOATING RATE INCOME FUND (continued)
09103113 '.3 709.175 10.0300 7,113.03 10.1200 7,176.85 63.82 307.78 0.28%
10101113'.3 712.100 10.0240 7,137.85 10.1200 7,206.15 68.60 309.05 0.28%
Total Noncovered 204,650.183 2,064,739.23 2,071,059.64 6,320.11 88,810.15
Rrinvedments to 2.489.267 10.1040 25,152.11 10.1200 25.191.39 39.28 1,080.36 4.28%
Date
Total Covered 2,489.267 25 152.11 25,191.39 39.20 1,080.3$
Total 207,139.130 12,001,691.31 82,016,251.03 86,369.59 $59,898.51
Total Mutual Funds 12,089,691.31 $2,095,251.03 96,369.69 $89,898.51
Uareallzed Muted Estimated
Cod Basis Markel Vales Gals! Loss Mitered Annual Income
Total Portfolio Holdings 821,920,370.19 823,037,518.59 $93.15 $163,28t.79 $793,088.12
Footnotes
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore. considered " noncovered.' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after thee '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 folows:
• Stair in a corporation acquired on or after January 1, 2011
• Mutual hinds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2013, or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from
sources believed to be reliable. In the event, one or more of Mese attriiutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this
change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold
short or bonds that have a negative yield. This intonation is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns.
The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
6 Unrealized gains and losses are not reported for securities for which cost basis or market value is not avaiable.
6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the
security. Factors may change over time and are obtained from sources we believe to be reliable.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
13 The cost basis of this security has been provided to us by the delivering km or transferring agent and Pershing makes no representation as to the accuracy of this intonation.
Page 6 of 15
E,100290CSF30016 Account Num Der Go paperless S Ras° tt:PIT:A Rem C el l anieof i O ll• a •• . •• O • F 'S 1 M .0 . 1 % 0• 101* LItA.. • MAO. .we CO . N • Y • • M •• S •• " •
E DAENTIAr MAMA* ItATEDCOMMUNICAllOtel rams LIC see res. rasa sec
tO N F I
SDNY_GM_00048077
roil: HAZE
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6 DB-SDNY-0010901
EFTA_00158686
EFTA01290714

Oruisov Rant Priam %Wain rapmgenmt
mantis Coon., 6,0.4)
Devisag M Savor
lin. wan Olict
PC. Boi 1770 Elia mxt MD Mtn In Poe Amuse Itah Met
War int Irt 10114
4:4,74A.1111,171.arel
Statement Period: 0110112014 • 01/3112014
Schedule of Realized Gains and Losses Current Period
Disposition Acquisition Disposition Realized Gain/ Loud
Date Date Transaction Description Quantity Cost Oasis Proceeds Disallowance
Short Term
01/16/11 02/01113' SELL P MORGAN HIGH YIELD CT CLASS 1,569.741 12.87188 12.65211 -219.77
First In First Out Security Identifier: OHYFX
01/1611/ 03/01/13' SELL P MORGAN HIGH YIELD CT CLASS 1,577.590 12,936.24 12,715.38 -220.86
Rd In First Out Security Identifier. OHYFX
01/1611/ 04101113' SELL PMORGAN HIGH YIELD CT CLASS 1,614.301 13,318.01 13,011 29 -306.72
First In First Out Security Identifier. OHYFX
01/16/14 05/01113' SELL PMORGAN HIGH YIELD CT CLASS 1.753.886 14.660.65 14,131.55 -526.10
First In First Out Security Identifier: OHYFX
01/16/11 06/03113' SELL P MORGAN HIGH YIELO CT CLASS 1.550.004 12.818.54 12.493.03 .325.51
first In First Out Security Identifier: OHYFX
01116114 07/01113' SELL P MORGAN HIGH YIELD CT CLASS 1,601.052 12,880.54 12,928.66 48.12
First In First Out Security Identifier: OHYFX
01/16/11 08/01113' SELL P MORGAN HIGH YIELD CT CLASS 1,552.108 12,621.08 12,512.41 -108.67
First In First Out Security Identifier: OHYFX
01116114 09/03113' SELL P MORGAN HIGH YIELD CT CLASS 1,700.764 13,657.14 13,708.16 51.02
First In First Out Security Identifier: OHYFX
0111611/ 10/01113' SELL PIA ORGAN HIGH YIELD CT CLASS 1,539.195 12,121.09 12,405.91 -I5.18
First In First Out Security Identifier: OHYFX
0111611/ 11/01/13 SELL ,P MORGAN HIGH YIB.0 CT CLASS 1,638 055 13,161.81 13,202.72 0.00
FRS In First Out Security Identifier: OHYFX -262.09
01/16/11 12/02/13 SELL P MORGAN HIGH YIELD CT CLASS 1,609.990 13,201.92 12,976.52 -168.05
First In First Out Security Identifier: OHYFX .57.351
01/16/14 12/13113 SELL P MORGAN HIGH YIELO CT CLASS 7.653.121 61,227.37 61,686.57 159.20
First In First Out Security Identifier: OHYFX
01/1611/ 12/13113 SELL P MORGAN HIGH YIELO CT CLASS 1.117.273 8.938.18 9.005.22 67.04
First In First Out Security Identifier: OHYFX
01/16/11 01/02114 SELL PMORGAN HIGH YIELO CT CLASS 1,638.055 13,333.77 13,202.72 -131.05
Fug In firs Out Security Identifier: OHYFX
76 day(s) added to your holding period as a resull of a wash
sale.
Page 7 of15
110100290a,, 30014 I IlAik ' A TH cc E o unt Number Go paperless R S O e a A v t L e e S d n A f Y e lt e t R a e A r l s N Y I E M n D A C R O o M w M UNICATIONS tYewawyn-Lot. • ••••••••••• ••••••len
HAZE
SDNY_GM_00048078
ICrat N F I DENTIAL: ""`"""
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010902
EFTA_00I58687
EFTA01290715

Schedule of Realized Gains and Losses Current Period (continued)
Disposition Acquisition Disposition Realized Gain/ Loss(
Dale Date Transaction Descr.paon Quantity Cost Oasis Proceeds DDiissaallllllooowwwaaannnccee
Short Term (continued)
01/1611/ 01102111 SELL P MORGAN HIGH YIELD CT CLASS 409 635 3,32623 3,301.66 .2457
first In Firs Out Security Identifier OHYFX
45 delfts) added to your holding period as a resull of a wash
sale.
Total Short Term 3231,677.15 1229,936.91 -$1,421.10
Long Term
01116114 05110111' SELL P MORGAli, HIGH YIELD CT CLASS 227,966.660 1,920,262.95 1,837A11 28 -82.851.67
Ars1 In First Out Security Identifier. OHYFX
01116114 06/01111' SELL P MORGAli. HIGH Y18.0 CT CLASS 3,706.904 30,915.58 29.877.65 -1.037.93
RS In Firs Out Security Identifier. OHYFX
01/16/14 07101111' SELL P MORGAh, HIGH YIELD CT CLASS 3.428.920 28.117.15 27.637.10 -480.05
Arid In first Out Security Identifier. OHYFX
01/16114 08101111' SELL P MORGAA HIGH YIELD CT CLASS 3.595.321 29.481.64 28.978.29 -503.35
Firs In Firs Out Security Identifier: OHYFX
01116114 09101111' SELL PMORGAN HIGH YIELD CT CLASS 3,894.861 30263.07 31.392.58 1,129.51
Firs In First Out Security Identifier: OHYFX
01116114 10103111' SELL P MORGAN HIGH YIELD CT CLASS 3.822.476 28,630.35 30,809.16 2.178.81
Firsl In Fug Out Security Identifier: OHYFX
0111611/ 11/01111' SELL PMORGAN HIGH YIELD CT CLASS 3,513.891 21,581.05 28,321.96 737.91
RS In First Out Security Identifier: OHYFX
01116114 12101111' SELL P MORGAA HIGH YIELD CT CLASS 3,948.776 30,208.11 31,827.13 1,618.99
FM In Fug Out Security Identifier: OHYFX
01116114 12116111' SELL PMORGAN HIGH YIELD CT CLASS 7,928.226 60,095.96 63,901.50 3.805 51
Firs In Firs Out Security Identifier: OHYFX
01/16/14 12/16111' SELL P M °ROM HIGH YIELD CT CLASS 4.859.519 36,835.61 39,168.21 2.332.60
Ars1 In First Out Security Identifier. OHYFX
01/16114 01103112' SELL P MORGAA HIGH YIELD CT CLASS 1.071.946 31.028.23 32.819.88 1.791.65
Firs In First Out Security Identifier: OHYFX
01116/14 02101/12' SELL P M °RCM HIGH YIELD CT CLASS 3.349.916 26.129.35 27,000.32 870.97
Firs In First Out Security Identifier: OHYFX
01/16114 03101112' SELL P MORGAN HIGH YIELD CT CLASS 3.559.172 28.188.65 28,686.93 498.28
Firs In Fug Out Security Identifier: OHYFX
01/16/11 04/02112' SELL PMORGAN HIGH YIELD CT CLASS 3,755.851 29,633.67 30,272.16 638.49
firs In Fa Out Security Identifier. OHYFX
01116/14 05/01112' SELL PMORGAN HIGH YIELD CT CLASS 3,108.928 24,622.71 25.057.96 435 25
firs In First Out Security Identifier: OHYFX
01116/14 06/01/12' SELL P MORGAli, HIGH YIELD CT CLASS 3,523.859 27,345.15 28,102.30 1,057.15
Firs In Fug Out Security Identifier. OHYFX
Page 8 of 15
80100290CSF30016 Account Number Go paperless *:). c- sprat •••••••• Lit. • ••••• 0••••• .64SM/
THE HAZE rd N F 11:Y51\1111AL D IP A IC t E la IA R IN A C T I M I COmmutdiCi14/110•43
SDNY_GM_00048079
Te'srO
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010903
EFTA_00 I 58688
EFTA01290716

Draiwv Pam Po...wean Marrat
Mantis Canna GK."
Dawn. let Setv net ',P.
New *A Mc*
PO Sc, 17713 Etat trace MD 21203 MINA ArlowAlta I kw
Statement Period: 0110112/14 -0113112114
Schedule of Realized Gains and Losses Current Period
(continued)
DisposItioe Acquisition Disposition Realized Gainl Loss/
Dale Date Transadion 0escri lee Guinn Cod Basis Proceeds Disallowance
Long Term (continued)
01116/11 07/02112' SELL P MOR0N% HIGH YIELD CT CLASS 3.493.412 27,493.16 28.156.90 663.74
ROM Fug Out Security Identifier: OHYFX
01116/1/ 08/01112' SELL P IA ORGAk HIGF YIELD CT CLASS 3,637.695 28,956.06 29,31982 363.76
first In First Out Security Identifier: OHYFX
01116/1/ 09104112' SELL P SI ORGAk HIGH YIELD CT CLASS 3,630.438 29,116.12 29,261.33 115 21
first In First Out Security Identifier. OHYFX
01116/1/ 10101112' SELL P MORGAk HIGH YIELD CT CLASS 3.623.250 29.275.86 29.203.10 -7246
First In First Out Security Identifier: OHYFX
01/16/11 11101112' SELL P MORGAN HIGF YIELD CT CLASS 2.628.011 21.287.14 21,181.79 .10535
First In first Out Security Identifier: OHYFX
01116/1/ 12103112' SELL P MORGAk HIGH YIELD CT CLASS 2.575.903 20,916.34 20,761.78 -151.56
First In First Out Security Identifier: OHYFX
01116/1/ 12114112' SELL P MORGAN HIGH YIELD CT CLASS 3.180.012 25,980.70 25,630.90 .319.80
First In Firs Out Security Identifier OHYFX
01116/1/ 01102113' SELL P MORGAk HIGH YIELD CT CLASS 3,111.163 25,593.49 25,341.95 .251.51
first In First Out Security Identifier: OHYFX
Total Long Term $2,597,961.13 32,530,422.28 ,367,538.85
Total Short Term and Long Term 32,829,838.58 32,760,359.19 .168,95945
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noricovered." under the new cost basis reporting rules, and marked or denoted as such. M other securities in this
section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on
or after thee '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, 2O13, or later, as determined by the Secretary of the Treasury.
Page 9 of 15
Account Number Go paperless Rated 1 Y "! e 1 a 4 . 1 4 . 4 I 2 n 0 A Row ewe.. ars.% Aida.. We. • WINO/ *Mild
EHAZE [LUSA* RATED COMMUNICATIONS
IXCIELLENCI
SDNY_GM_00048080
tONFID AENT IAL
CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) DB-SDNY-OO1O9O4
EFrA_OO 158689
EFTA01290717

Schedule of Realized Gains and Losses Current Period
(continued)
This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and
subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as
it relates to corporate actions, has been obtained from sources we believe to be reliable.
Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost
basis reflected on your monthly dent brokerage statement at year end versus any subsequent reports, including your 1099.8 or online displays you may have available to you.
When you report your cost basis on your tax return. it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by
Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or
warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and rekance
on the intonation provided herein for such reporting.
3 Realized loss is net of a disallowance due to a wash sale.
Please refer to the Your Account Information Section n your brokerage account statement for your accounts existing tax-lo disposition method. The disposition method is the method *bid you have selected to
use in the disposal of each tax lot of the securities held in your account. If you do not select a method. your account will be defaulted to First In, First Out (FIFO). Your accounts selected tax lot method wit be
used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 109943.
M essages
Although a money market mutual fund seeks to preserve the value of your investment at S1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your investment professional for additional information.
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 [WS Investments website at https:thwindws-investments.conVEN/productshwoney-market4unds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Important Reminder for Pershing's 2013 IRS Forms 1099 (B, DIV, INT, 0ID and MISC): As a reminder, 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 will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of
your 1099 for. Your 1099 will be mailed no later than March 17, 2014.
Page 10 of 15
80100290CS F 30016 Account Nun Dr DG.Eo p.NapeurlersisA ir---s'-t-°-CuttttiAN REow DC°M - b -ow a n t in e g aC u A a no l d l e e , an t is a . an imist
THE H
SDNY_GM_00048081
CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) AZE bra° ONFI OB-SDNY-0010905
EFIA_00158690
EFTA01290718

Om Si,,, Pon. Wean Alamn--icat
Minett. COetrarG•pyp
0...Uht M SeIvnel
lire bet ONO
Ma Part Antrok )Mu to
Nave WM. AY 10154
CM) 4,4,746. OISS).7.114,11.
Statement Period: 0110112014 • 01/3112014
Activity Summary (NI amounts shown are base amency)
Credits This Period Year-to-Date Debits This Period Year-to.Date
Securities Securities
Sec,,inties03 1 0.00 0.00 Securities Bought -25.620.50 -25.620.50
Secunties Sc Id 2.760.359 19 2.760.359.19 Securities Sold 0 CC 0.00
Total Securities $2,760,359.19 $2,760,359.19 Total Securities -525,620.50 -$2$,620.50
Dividends and Interest $31,691.09 531,691.09 Dividends and Interest $0.00 $0.00
Distributions $407.99 $407.99 Distributions $0.00 WOO
Cash Cash
Deposits 8.18819 8.18819 Deposits 000 000
Total Cash $8,188.19 $8,188.19 Total Cash $0.00 WOO
FDIC Insured Bank Deposits $0.00 $0.00 FDIC Insured Bank Deposits -$2,775,025.96 -62,776,025.96
Total Credits $2,800,646.46 $2,800,646.46 Total Debits -$2,800,646.46 -$2,800,646.46
Transactions by Type of Activity
Process/ Trade
Settlement Transaction
Date Date Activity Type Description Quantity Price Accrued Interest Amount Currency
Securities Bought and Sold
01/02/14 REINVEST CASE INCOME "MORGAN IlIGN YIELD FUND SELECT CLASS 340428.6360 2.047.690 -16.340 57 LSO
0 FYFX SIRS SP RS PORCH. AT $7.98000 RD 12/30 PO 01/02114
01/02/14 RON VEST CAS. INCOME 'MORGAN FLOATING RATE INCOME RAO SELECT 94ARES 918.605 -9.279.93 LSD
PFSX 206220.6250 SIRS SPAS PURCH. AT 510.10000 RD 12/30
PD 01102/14
01/17/14 01116/14 SOLD PM ORGAN HIGH YIELD FUND SELECT CLASS L ASOLICITED -342.476.326 8.0600 2,760,359.19 LSO
0 MIX ORDER
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 2,734,738.69
Dividends and Interest
01/02/14 CASF DIVIDEND RECEIVED P MORGAN FIGH YIELD FUND SELECT CLASS340428 6360 16,340.57 LSD
0 HYFX SFRS RD 12130 FO 01102/14
01102114 CAST DIVIDEND RECEIVED 'MORGAN FLOATING RATE INCOME FUND SELECT SHARES 9,279.93 LSD
Fir SX 206220 6250 SIRS RD 12130 PD 01102/14
Page11°115
80100290CSP30014 Account Number. Go paperless te rr: A Rem eye.. taro.% ••••••••• Lit. • ism. ems; •••••••••1
TI-E HAZE/
FIDnrunAc
uCAuLlMu*n RcAeT E D COMMUNICATIONS
SDNY_GM_00048082
ON
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010906
EFTA_00158691
EFTA01290719

Transactions by Type of Activity (continued)
Promo/ Trade/
Sttlement Transaction
Date Date AaivityType Description Quantity Price kneed luterest Amount Curren
Dividends and Interest (continued)
01115114 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 189.61 US)
DEPOSITS INTEREST
RECEIVED
458997996
01/28114 BOND INTEREST RECEIVED 1500000 GS M TG SECS CORP 2005-5F MTG PASSTHRU CTF 5,880.98 USD
3624207X5 CL Bt VAR 5.765% 06125135 B/E DID 05101105 RD 12131 PD
01125114
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 31,691.09
Distributions
01128/14 RETURN OF PRINCIPAL 1500000 GS IA TG SE-CS CORP 2005-5F NI TG PASSTHRU CTF 407.99 USD
RECEIVED CI. ilt VAR 5.765% 06/25135 BIE DTD 05101105 RD 12/31 PD
3624207X5 01/25/14
Total Distributions- UNITED STATES DOLLAR 0.00 407.99
Cash Withdrawals and Deposits
01/28/14 FEDERAL FUN DS RECEIVED .P MORGAN CHASE BANK 19919 8,188.19 USD
USD999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 3,155.19
FDIC Insured Bank Deposits
01/15/14 FDIC INSI1R9) BANK INSURED DEPOSITS INTEREST REINVESTED -189.61 USD
DEPOSITS INTEREST
REINVESTED
458997996
01117/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM .2,760,159.19 U50
II S0999997
01/29/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM .14,471.18 USD
USD999997
Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 .2,775,025.96
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Bond Maturity Schedule
Bond Maturltv Market Value % of Bond Market Value
1 to 5 yews 1,731,250 00 16% r Percentages of bond market values are
6 to 10 years 1,072,500.00 11% rounded to the nearest whole percentage.
in
Over 10 years 7,773,55325 73%
Total 10,577,303.25 1005
Page 12 of15
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Bond Quality
Bond Qualit Market Value of Bond Market Value
BAlLower 10 577303 25 100% Percentages of bond market values are
Total 10,577,303.25 100% rounded to the nearest whole percentage.
You are 100% invested in bonds with a bond quality of BA/Lower.
Client Service Information
Your Client Advisor: TDS Contact Information
TATIA SMITH Telephone Number: 1212) 454-2889
345 PARK AVEtr LE 14Th FLOOR
NEVI YOPX NY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Stocks In a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Electronic Delivery
You have not selected any account com m unications for electronic delivery. To register and turn off paper corn m unications, log in to your account or contact your Client Advisor for more inform ation.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices 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.' Securkies for which a price is
not available are marked —N/A— and are omitted from the Total.
The estimated annual income (EM) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time,
and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities. thereby overstating them. Refer to
www.pershing.correbusiness_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
Fage 13 of 15
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Important Information and Disclosures (continued)
Reinvestment (continued)
whom your security was purchased. may be obtair ed. In cinder° reinvestment transactions. Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing fin. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Cleating Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Marge) Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate wit not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction. incurred a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written
authorization from Standard & Poor's. Standard & Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or
omissions, regardless of the cause, or for the results of using such content. Standard & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Ponies shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
Bond quality ratings reflect Moody's or Standard and Pots ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (Many other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws. regulations and rules which apply to it regarding its own operations and the supervision of your account its sales representatives
and other personnel Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. Al other inquiries regarding your account or activity should
be directed to your financial institution. Your financial orgaitation's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC°). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.cornistrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includin 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 reconfirmed in wilting to further protect your rights, including your rights under the Securities Investor Protection Act.
Page 14 of 15
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Important Information and Disclosures (continued)
The Role of Pershing (continued)
• Your financial organization's contact information can be found on the fast page of this statement. Pershing's contact information is as follows: Pershing LLC: Legal Department; One Pershing Plaza; Jersey
City. New Jersey 07399; (201)413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award. unless. in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators wil typically include a rrinoiity 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; M.
Page 15 of 15
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