EFTA01290990.pdf

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Account Number:
Statement Period:12/01/2013 • 12/3172113
THE HAZE TRUST Valuation at a Glance
This Period Year4o4ate
UAD 02/09/99
Beginning Account Value $21,234,494.74 20.00
JEFFREY EPSTEIN &
het Cash Deposits and Withdrawals 571,206 85 7,237,182.05
DARREN K INDYICE TTEES
het Securities In/Out of Account 1,119,951.14 15,197,12253
6100 RED HOOK QUARTER B3
Adjusted Previous Amount Value 22,925,662.73 22,434,304.51
ST THOMAS VI 00802 Dividends, Interest and Other Income 133,487.86 464,563.16
Total Taxes Withheld 0.00 X40
tel Chance in Portfolio 14 477 64 95 799 61
nd ng Account Value 522.994.662 95 522,994.662 95
Your Client Advisor: Estimated Annual Income $965 609 60
TAM SMITP
(212) 454-2889
Asset Allocation
Prior Yearled Lad Period This Period %Allocation
. r.: Cash, Money Funds. and Bank Deposits' 0.00 6,976,118.53 7,589,036.35 33.00% Pie Chart allocation only etudes
products that are of positive rake
f, SD Fixed Income 0.00 14,258,07621 15,405,626.60 67.00% I
Account Total (Pie Chart) $0.00 221,234,414.74 222,194,562.95 100.00%
I The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bark deposts are not securities and are rot covered by the Secunties Investor Protection Corponton
(SIPC). These bank (*posts are covered by the Federal Depose Insurance Corporaton (FDIC). up to simian limes.
See page 2 of tho statement for imponam oformation regarding the AsSe Alocaton section.
Page 1 of 14
c BO 10 Si SICSF 30022 G ..• o p , a I p I e D rless ft. s R ° O M , a A - • I L - L e I d L v I t f Y / a C x e e R I e w 'as li o litn n o t A C PO..M.MUNICATIONS C C ft. . is " .* * . I s "W e - e. o . ftw M ew SS n .- - o Ia w L n W w . o • c w • • • • • • o • • • • f • • t • • • • • • • • • • • • • • • •~ar irs
SDNY_GM_00048638
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0011460
EFTA_00159245
EFTA01290990

Asset Allocation Disclosure and Footnotes
Fixed Income ccrtains Fixed Income Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date I/realized
Short-Terra Gain/Loss 000 0.00 -1.989.47
Long-Term Gain/Loss 000 0.00 .71.602.41
Net Gain/Loss 0.00 0.00 -73,591.88
This summary excludes transactions where cost basis information is not available.
For Your Information
Deutsche Bank will change certain service and account-related fees effective January 1, 2014.
See the 'Messages' section at the end of this statement for details.
FDIC Insured Bank Deposits
Date Activity Type Description Mount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number N46024943 Activity Ending. 12131/13
11130/13 Opening Balance 6.976,418.53 6.976.418.53
12103/13 Deposit DEPOSIT 41,250.00 7,017,668.53
12/13/13 Deposit INTEREST CREDITED 160.97 7,017,829.50
WY 0.03%
12116/13 Associated Bank NA 7.017.829.50
NO 12116 $250000.00
BUT
NO 12/16 $250000 00
Bank of Am erica
NO 12116 $250000 00
Olibank N A.
NO 12/16 9250000.00
Deutsche Bank
NO 12/16 $4767829 5
East West Bank
NO 12/16 5250000.00
NY Com m unity Bank
NO 12/16 S250000.00
Texas Capital Bank
Page 2 of
2,4103454CSF30022 1,11•61.Cui D Acc I o unt Number Go paper1eSS R S O e a A v d L e a n r Y n x e i < t a A a s o l t I O n n t A C P O o M w M UNICATIONIS n otie e a .e , w w s w t a sc a • f . s t • e • a a wg e u a r e . a ^ . c • m • e • . • u . • . • 4 a a . a 4 a .araao
EXCELLING{
SOW GM_OOO48637
FAZETCONFlormaiAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY-0011461
EFTA_00 159246
EFTA01290991

Paso< Sant Prmile YNe11, Maagentm
Mann 010elle GcC4/
Pious Is setwan nt.
0.411.41014,*
ea 1771 Barrow WO 21203 SO PM Myst Mb 1 ter
lerslut PM 10114
P MI PSpdI1L COSS17.14Olt
Statement Period: 1 2/01/2013 -12/31/2013
FDIC Insured Bank Deposits
(continued)
Date Activity Type Dewiption Mount Balance
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
NO 12116 $250000.00
Union Bank of CA
NO 12116 $250000.00
Com enity Bank
NO 12/16 5250000.00
12/24113 Deposit DEPOSIT 571,206.85 7.589.036.35
12131113 Closing Balance 17,689,036.36
Total FDIC Insured Bank Deposits $7,589,036.35
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 devoted retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Income and Expense Summary
Omen Period Year-to-Date
Taxable Noe Taxable Taxable Non Taxable
Dividend Income
Other Dividends 19.978 78 0.00 280.981.35 0.00
Interest Income
Bond Interest 11.250.00 0.00 111.12500 0.00
FDIC Insured Bank Deposits 160.97 0.00 358.70 0.00
Total Dividends, Interest, Income and Expenses $61,389.75 $0.00 $392,165.05 $0.00
Distributions
Long • Term Capital Gain Disinbubons 62.236.92 0.00 62.236 92 0.00
Short • Term Capital Gain Distnbutions 9161.19 0.00 9.861.19 0.00
Total Distributions 972,098.11 $0.00 $72,098.11 $0.00
Page 3 of t 4
BOIOSIS4CSF30022 DRAB Ctli A TI c -E co F un A t Z n E u mber. N F I D G an o N c a(1 l e i rle A SS L R S C O e I a K A v n L e M S d n P I i Y k n A a e e R a ll a o s t n I t n O t A C P O o M w M UNICATIONS • C *a • II , m . • 0 • 1 a 4 00 m t0 0 a C 0 c 1 i . s 0 ••• y • r F • * • s • a • n Ile o r n a . • c i s e w f p r s m s e a y c c as {s e i c •• u •• s • . . . • . ,v
SONY GM_00048638
TUFILSTO
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY-0011462
EFTA_00 159247
EFTA01290992

Portfolio Holdings
Activity Opting Closing Accrued lame 36Day Current
Opening Date Quantity Account Number Ending Balance Balance Iacono 711Year Yield Yield
Cash, Money Funds, and Bank Deposits 33.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
11130(13 7189.036.350 N10024913 12131113 6,976,118.53 7.589.036 35 102.25 358.70 N/A NIA
Total FDIC Insured Bank Deposits 86,976,118.63 $7,589,036.35 $102.26 $358.76
Total Cash, Money Funds, and Bank Deposits $6,976,118.63 $7,669,036.35 $102.25 $356.70
Adjusted Unrealized Awued Estimated Estimated
Date ired Quantit Unit Cost Cost Basis Market Price Market Value Gala/ Loss Interest Annual Income Yield
Fixed Income 46.00% of Portfolio (in Velum, Dale Sequence)
'Asset Backed Securities
/GS M TO SECS CORP 2005.5F M TO PASSIM RU Security Identifier: 36212070
CTF CL 81 VAR 5.764% 06125135 8fE
DTO 05101105 S8 P Rating B.
Fador. 0.81809015 Effective Date:12102113
Current Face Value: 1,224,135.675
Please Provide' 1,500,000.000 N/A Fleas. Provide 91.2830 1.117.127.77 N/A 5,880.75
Original Cost Bans: Please Provide
Total Asset Backed Securities $0.00 $1,117,427.77 $0.00 0,660.75 60.00
1,500,000.000
Total Current Face Value : 1,221135.875
Corporate Bonds
PEABODY ENERGY CORP SR NT Security Identifier: 704519AE4
7.375% 1110111681E DID 10112106
1ST CPN DIE 05101107 CFN NAT SEMI ANNUAL Moody Rating BA2 $ 8 P
Rating BB
05/10111 ..i2.13 1,200,000.000 107 1900 1.289.881 93 112.5000 1,350,000.00 60.11107 11,750.00 18,500.00 6.55%
0 nginal Cost Bans: 51.363,500.00
IPAYM ENT INC 610 SR NT Security Identifier: 46262EAE5
10.250% 05/15/18 B/E DID 11115111
CALLABLE 05/15/15 a 105.125 Moody Rating CAA1 S 6 P Rating CCC
10/02112 '.12.t3 500,000.000 90.7880 153.939.70 82.0000 110,000.00 .13,939.70 6,518.61 51,250.00 12.50%
Original Cost Basis 5115100.00
KINDRED HEALTHCARE INC Security Identifier: 491580089
8.250% 06/01/19 WE DTO 06101/11
CALLABLE 06101111 0 106.188 Moody Rating 83 S8 P Rating B.
10102112'.12.13 1,000,000.000 99.6800 996,799.93 106.5000 1.065.000.00 68,200.07 6,875.00 82.500.00 7.71%
Original Cost Bans: 5996,250.00
Page 4 014
Account hum ber A.... Mond f.eibied.nt rwr stroorass *amain
1'01 0SI54CSF3002:: ()RAW< 'I TnNFID G E O P N aP IT e I r l C e I S • S 1Y AL " S D e A " " L " li n L Y • e R . A , ' U i n D A C a O o M w M UNICATIONS mc esaA taut uc
SDNY_GM_000413639
frAZE
CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0011463
EFTA_00 159248
EFTA01290993

Dralsre Ilan, Picnic wear, ma-urn.,
Maiests GOWN,* t0c..1.
CesINIve . Sefton. rue
New *A Olcks
PO Elm IMP alEIMME 2IN3 341I carli MY,]lb I *cc
Ms Vat WI Emu
Po/ 45•4101.113Mn•-•09t
Statement Period: 12/01/2013 - 12/31/2013
Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quartity Unit Cos Cost Basis Market Price Market Value Gain/ Loss interest Mnual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
PilORGAN CHASE 8 CO DEP SHSREPSTO Security Identifier: 46625HHA1
1110Th PFD SER 1 FIXED TO FUG RT BD
7.900% 04/19149 NE DTO 01123/08 Moody Rating BM Sd P Rating BBB
05110111 12,13 3,000,000.000 111.2850 3.337,958.33 110 2500 3.307.500.00 •30A56.33 39.500.00 237.000.00 7.16%
Origins Cost Basis: $3.337,958.33
BANK AMER CORP PERP NON COM ULATIVE DEP Security Identifier: 0605050T8
%IS FIXED TO FLOAT 8.125% 04/30/58 NE
DTD 04130/08 CALLABLE 05/15118 Moody Rating BA3 SE P Rating Eil3v
05110111 13,13 3.000.000.000 112.9870 3,389,620.83 111.8750 3.356.250.00 -33.370.83 31,145.83 243.750 00 7.26%
Original Cost Bass. $3.389.610.83
Total Corporate Bonds $9,485,200.72 89,486,750.00 820,549.28 $98,819.44 8703,000.00
8,700,000.000
Total Fixed Income $9,168,10012 $10,606,177.77 $20,549.28 $104,700.19 $703,000.00
10,200,000.000
Unrealized Estimated Estimated
Date knifed Quantity Unit Cod Cat Basis Market Pike Market Value Bain/ Loss Mnual Income Yield
Mutual Funds 21.00% of Portfolio
JP MORGAN HIGH YIELD FUND SELECT Security Identifier: OHYFX
CLASS CUSP: 4812C0803
Open End Fund
Dividend Option: Reinvest; Capital Gins Option: Reinvest
05110111 '.3 227,966.660 8.4230 1,920,262.95 7.9800 1,819,173.96 401,088.99 114,439.26 6.29%
06101111 '.3 3,706.904 8.3400 30,915.58 7.9800 29.581.09 -1,334.49 1,860.87 6.29%
07101111 '.3 3,428.920 82000 28,117.15 7.9800 27.362.78 -754.37 1,721.32 6.29%
08101111 '.3 3,595.321 8.2000 29,481.61 7.9800 28,690.66 490.98 1,804.85 629%
09101111 '.3 3,894.861 7.7700 39263.07 7.9800 31,080.99 811.92 1,95522 6.29%
10103111 '.3 3.822.176 7.1900 28,630.35 7.9800 30,503.36 1,873.01 1,91888 6.29%
11101111 3,513.891 7.8500 27,584.05 7.9800 28,040.85 456.80 1,763.97 6.29%
12/01111 '.3 3,918.776 1.6500 30,208.11 7.9800 31,511.22 1,303.08 1,98228 6.29%
12116111 '.3 7,928.226 1.5800 60095.96 7.9800 63,267.24 3,171.28 3,979.97 6.29%
12116111 1%3 1,859.579 7.5800 36,835.61 7.9800 38,779.43 1,943.82 2,439.51 6.29%
01103112 1%3 1,071946 7.6100 31,028.23 7.9800 32.494.12 1,465 89 2,044 12 6.29%
Page 5 of 11
00105151CSF3 0 0:2 MAP< c Account hum bar Go ixtperless R S O a e A g v L e e I d I n A r Y A e e a F a r L rs A I m I n tO A C R O a M w M ONICATION/S a *a w m ls a . n o w e x e m alt t h r a 'W m a s m U e . m p C e . e n n e s e m a am r re ee s m ow ed *Smcoawrps
O N F I DAENTIAL
SDW_GM_00048640
67 41E
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. (e DB-SDNY-001 1464
EFTA_00159249
EFTA01290994

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date A ired Ouantit Unk CoM Cod Balls Market Prig Market Valle Gal& Leta Annual Income Yield
Mutual Funds (continued)
.P MORGAN HIGH YIELD FUND SELECT (continued)
02101112'.3 3,349.916 7.8000 28,129.35 7.9800 28,132.33 602.98 1.681.66 629%
03101112 3,559.172 7.9200 28,188.65 7.9800 28,402.19 213.54 1,788.70 629%
04102112 '.3 3.755.851 7.8900 29,633.67 7.9800 29.971.69 338.02 1,885.44 6.29%
05101112'.3 3.108.928 7.9200 21,622.71 7.9800 24.809.24 186.53 1.58068 6.29%
08101112 '.3 3,523.859 7.7600 27,345.15 7.9800 28,120.39 775.24 1,768.98 629%
07102112 '.3 3,493.412 7.8700 27,493.18 7.9800 27,877.42 384.26 1,75169 629%
08101112 '.3 3,637.695 7.9600 28,956.06 7.9800 21028.80 72.74 1,826.12 6.29%
09104112 '.3 3,630.438 8.0200 29,116.12 7.9800 28,970.88 -145.24 1,822.48 629%
10101112'.3 3,623.250 8.0800 29,275.86 7.9800 28,913.54 -382.32 1,818.87 6.29%
11101112 2,628.014 8.1000 21,287.11 7.9800 20,911.55 .315.59 1,31926 6.29%
12103112 '.3 2,575.903 8.1200 20,916.34 7.9800 20,555.72 -360.62 1,293.10 6.29%
12114112'.3 3.180.012 8.1700 25,980.70 7.9800 25,376.50 -604.20 1,596 37 629%
01102113'.3 3,144.163 8.1100 25,593.49 7.9800 25,090.41 -503.08 1,578.37 6.29%
02/01113 '.3 1,569141 8.2000 12,871.88 7.9800 12,526.53 -345.35 788.01 6.29%
03101113 '.3 1,511.590 8.2000 12,936.24 7.9800 12,589.17 -347.07 791.95 6.29%
04101113 '.3 1,614.304 8.2500 13118.01 7.9800 12,882.13 -435.88 810.38 6.29%
05101113 '.3 1,753.666 8.3600 14,860.65 7.9800 13.994.28 -666.39 880.34 6.29%
06103113 '.3 1,550.004 8.2700 12,818.54 7.9800 12,369.04 -449.50 778.10 6.29%
07/01113 '.3 1,604.052 8.0300 12,880.54 7.9800 12,800.34 .8020 80523 6.29%
08101/13 1,552.408 8.1300 12121.08 7.9800 12,388.22 -232.86 779.31 6.29%
09103113 ..3 1.700.764 8.0300 13,657.14 7.9800 13.57210 -85.04 853.78 6.29%
10101113 '.3 1.539.195 8.0700 12,421.09 7.9800 12,282.77 -138.32 772.68 6.29%
Total Noncovered 326,409197 2,711146.30 2120,710.92 -95,435.38 161,86135
Retnvesiments to 12.018.739 8.0570 616,832.28 7.9800 95.909.60 -922.88 6,033.42 6.29%
Date
Total Covered 12,018.739 911632.28 95109.60 -922.88 6,033.12
Total 340,428.836 22,811976.58 32,716,620.52 -396,350.06 5170196.17
P MORGAN FLOATING RATE INCOME FUND Security Identifier: JPI1SX
SELECT SI-ARES CUSP:481211510
Open End Fund
Dividend Option: Reinvest; Capital Gains Oplion: Reinvest
01122113 '.3 198,216.056 10.0900 2,001000 00 10.1000 2,001,982.16 1,982.16 87,809.71 1.38%
02/01113 '.3 630.057 10.0670 6,342.92 10.1000 6,363.58 20.66 279.12 1.38%
03101113'.3 711.578 10.0600 7.158.48 10.1000 7,186.94 28.16 31523 1.38%
04101113'.3 789.547 10.1100 7,982 33 10.1000 7.974.42 -7.91 349.77 1.38%
05101113 751.550 10.1300 7,613 21 10.1000 7,590.66 -22.55 332.94 4.38%
06103113 757.360 10.0900 7,641.77 10.1000 7,649.33 7.56 335.51 1.38%
07101113 '.3 668.131 9.9700 1861 27 10.1000 6,748.11 86.81 295.98 1.38%
08101113 '.3 704.609 10.0600 7,088 37 10.1000 7,116.55 28.18 312.14 1.38%
09103113 709.175 10.0300 7,113 03 10.1000 7,162.66 49.63 314.16 4.38%
10101113 712.100 10.0240 7,137.85 10.1000 7,19221 54.36 315.46 1.38%
Total Nonoovered 204,660.163 2,061,739.23 2,066,968.82 2,227.39 90,860.02
Page 6 of 14
VCI 0S454CSFI002: 1>riati•Cti I A TI c -E co F un A t Z h E u I m t ber T ONFID G A E o .. . p a N iw r r . T IeS I S A L L S t e S ve c n l r Y x e < R a o A r l s l I e C I n n O t A C P O o M w M UNICATIONS F O e w T at i n • ., s N . I r „ S C o w O • e f • A • l. • l . t • . a • .m • ' • M o • t u S s M e L ie i s t. 0 • 1 a 0 •• • . • 1 •• • I • S C & ASO Sete
SONY GM_00048641
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY-0011465
EFTA_00 159250
EFTA01290995

Draisre INN Ormie WAIN MuNenmi
Mann, CONINT OAP
PMUMW Sect .
MA IAN CON.
PO Elm 1778, 8*.trraelJD2IN3 Ns P.M Mask NUN km
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VICN'+111.pepiNMmp
Statement Period: 12/0112013 - 12/31/2013
Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cod Bads Market Prim Market Value Gain/ Loss Annual Income Yield
Mutual Funds (continued)
JP M ORGAN FLOATING RATE INCOM E FUND 'continued)
Reinvestments to 1570.182 10.1070 15.872 18 10.1000 15,861.69 .10 49 695 71 4 38%
Date
Total Covered 1,570.162 15,872.18 15,01.69 -10.49 695.71
Total 206,220.826 12,080,511.41 12,082,828.31 12,216.90 191,355.73
Total Mutual Funds 0,893,589.99 $1,799,448.83 ,594,111.16 1262,250.90
Unrealized Mused Estimated
Cot Bub Market Value Gain/ Loss bienst banal Income
Total Portfolio Holdings
821,950,1127.06 122,994,662.95 -173,591.56 1101,700.19 061,509.60
Footnotes
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reposing rules set forth in the Internal Revenue Code of 1986. as amended (1RC') (incorporating amendments enacted by
P.L110-313, 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 109913 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1. 2013. or later, as determined by the Secretary of the Treasury.
Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydovins. The method of calculation is based upon the type of hod 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 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.
3
Unreabzed gains and losses are not reported for securities for which cost basis or market value is not available.
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 deivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information.
Page? of t4
PC10$454CSF10022 APAR elli Account hum bet Go paperless R s M a - I g A e M d I V V I A A IM N N, I . . t I n O A , A C R O a M w M UNICATIONS d tw ee e d e ed . „ e C ne g d h e P V e r n e le s • d 4 a 1 1 d 0 r . a •• g •• • S • e •• e • d • 141•Wegage•
N F ID I AL LACI T LOCI
SONY GM_00048642
6:1-:E 42E It
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. e DB-S6NY-0011466
EFTA 00159251
EFTA01290996

M essa•es
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds, please visit the 0WS Investments website at https://vmw.dws-investments.convEN/products/money-market-funds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual hind. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your investment professional for additional information.
Effective January 1, 2014, service and account-related fees will be adjusted as follows:
• Trade confirm service charge: $6.00 per trade
• Annual IRA fee: $50
• IRA termination fee: $95
• Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded security and $25 per non-publicly traded security
• Foreign safekeeping fee: $6 per position, per quarter
To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program Investments
Changes in Program Banks have taken place which require your attention.
For a list of Program Banks, please visit htto://veiwithern.db.corNarnericasien(CashSweeriOotions.html or contact your Client Advisor.
You should advise us of Program Banks with whom you carry deposit accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in
order to maintain the maximum protection under terms of FDIC coverage.
Activity Summary
(All amounts shown are in base currency: USD)
Credits Ibis Period Yeardo-Dele Debits This Period Year.to.Date
Securities Securities
Secunbes Bought 0 00 0 00 Securities Bought -92,07689 -112,701.16
Total Securities $0.00 $0.00 Total Securities -892,07619 -$112,701.16
Dividends and Interest $61,389.75 $392,165.05 Dividends and Interest $0.00 $0.00
Distributions $72,098.11 $72,098.11 Distributions $0.00 $0.00
TaxesWithheld $0.00 $0.00 Taxes Withheld $0.00 .$1.10
Cash Cash
Deposits 571.206 85 7.237.182 05 Deposits 0.00 0 00
Total Cash $571,206.85 $7,237,1$2.05 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $0.00 $1.10 FDIC Insured Bank Deposits -$612,617.82 .S7,09,040.75
Total Credits $701,691.71 $7,701,749.81 Total Debits -$701,691.71 -$7,701,719.61
Page 8 of 14
ei,10S154CSF3002: Account Burn ber Go paperless. [ S W ev e e d n r Y m ea a r. ll e M n A t Rave ar ese= h .o e r e N rn ‘a o rk i p S e u e a n l • C S • N •• • •• r • a •• in •• • c • a • n • ••• • • •• • • • . • 4 • .0 7
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Statement Period: 12/0112013 - 12/31/2013
Transactions by Type of Activity
Process/
Settlement
Date Aahr •e Desai ion Ouanf Price Accrued Interest Amount 0:1
Securities Bought and Sold
12102/13 REINVEST CASF INCOME P MORGAN FIGF YIELD FUND SELECT CLASS 330047 9520 1.609490 -13.201.92 USD
0I•YFX *IRS SHRS PURCH AT 58.20000 RD 11127 PD 12/02113
12102113 REINVEST CASH INCOME P MORGAN FLOATING RATE INCOME FUND SELECT SNARES 670.313 •6.776.86 USD
PHSX 205359.3470 S-RS SHRS PURCH. AT S10.11000 RD 11127
PD 12/02/13
12/13/13 REINVEST CASF INCOME PMORGAN HIGF YIELD FUND SELECT CLASS 331657.9420 7.653.421 11.227.37 USD
OFVFX SHRS SHRSPLRCH. AT 68.00000 RD 12/11 PO 12/13113
12/13/13 REINVEST CASH INCOME PMORGAN HIGH YIELD FUND SELECT CLASS 331657.9420 1,117.273 -9,938.18 USD
OFVFX SHRS SHRS PORCH. AT 58.00000 RD 12/11 PO 12/13113
12/13/13 REINVEST CASH INCOME P MORGAN FLOATING RATE INCOME FL ND SELECT SHARES 91.207 -923.01 USD
PHSX 206029.6600 SHRS SHRS PURCH. AT 510.12000 RD 12111
PO 12/13/13
12/13/13 REINVEST CASH INCOME P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 99.758 -1.00955 USD
PHSX 206029.6600 SHRS SHRS PURCH. AT S10.12000 RD 12111
PD 12113/13
Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -92,07619
Securities Withdrawals and Deposits
12/13/13 SECURITY RECEIVED GS MTG SECS CORP 2005-5F MTG PASSTFRU CTF CL 61 VAR 1.500.000.000 0.00 USD
3624207X5 5.764% 06/25/35 WE DID 05101105 0902 PMCBNA NC P
72500
Total Securities Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 0.00
Dividends and Interest
12/02/13 CASH DIVIDEND RECEIVED PMORGAN HIGH YIELD FUND SELECT CLASS 330017.9520 13.201 92 USD
OHYFX SHRS RD 11127 PD 12102113
12/02/13 CASF DIVIDEND RECEIVED .P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 6,776 86 USD
PHSX 205359.3470 SF RS RD 11127 PD 12/02/13
Page 9 of 14
DRAB Cu A TH cc E o F u A nl Z A E u m bet Go paper °S F A u e o vla . e c nm i Yo x e < ma o r l si l c e I n no t A C R O o M ve M UNICATIONS O P 40 a Wn rt aN i m. i e “ ✓ No •• s • v •• a • n •• i • e L se i r t n a . c i • s e w i m n e e a a r s s c o a r i e n arer• t alin
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EFTA01290998

Transactions by Type of Activity
(continued)
Process/
Settlement
Date Adivih Tvoe D I Ouantit Price Accrued Interest Mont Ca
Dividends and Interest (continued)
12102113 BOND INTEREST RECEIVED 1000000 KINDRED HEALTHCARE IhC 8150% 06/01119 B/E 41250.00 USD
194580A09 DTD 08101/11 CIS RD 11115 PD 12101113
12113113 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 160 97 USD
DEPOSITS INTEREST
RECEIVED
458997996
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 61,389.75
Distributions
12/13/13 LONG TERM CAPITAL GAIN ,I3 MORGAN HIGH YIELD FUND SELECT CLASS 331657 9420 61.227.37 USD
DISTRIBUTION SHRS RD 12111 PD 12/13/13
O PO
12/13/13 SHORT TERM CAPITAL GAIN ,P MORGAN HIGH YIELD FUND SELECT CLASS331557 9420 8,938 18 USD
DISTRIBUTION SHRS RD 12111 PD 12113/13
O FYFX
12/13/13 LONG TERM CAPITAL GAIN P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 1,009 55 USD
DISTRIBUTION 206029 6600 SF RS RD 12111 PD 12113/13
-PHU
12/13/13 SHORT TERM CAPITAL GAIN P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 923.01 USD
DISTRIBUTION 206029.6600 SHRS RD 12111 PD 12113/13
..PFSX
Total Distributions • UNITED STATES DOLLAR 0.00 72,098.11
Cash Withdrawals and Deposits
12/23113 FEDERAL FUNDSRECEIVED ,t, M °RCM% CHASE BANK 48227 571,206.85 USD
050999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 571,206.65
FDIC Insured Bank Deposits
12/03/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -41.250 00 USD
US0999997
12)13/13 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .160.97 USD
DEPOSITS INTEREST
REINVESTED
458997996
12/24/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -571.206.85 USD
USD999997
Total FDIC Insured Bank Deposits- UNITED STATES DOLLAR 0.00 412,817.82
Total Value of Transactions o.00 o.00
The price and quantity displayed may have been rounded.
Page 10 of 14
Account Number Go paperless R S • e • v •• e e n l r Y x. e c a o s lle In nt A Pow a ei r n s a . m n e a o w • o • lo • w •• v • e •• ts u w t. o ws • c • a •• n • o •• e • s •• •••••. i ~ sm t s
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Statement Period: 12101/2013 - 12/31/2013
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
0
I to 5 years 1.760,00040 17% Percentages of bond market values are
rounded to the nearest whole percentage.
6 to 10 years 1465400.00 IC%
Over 10 years 7,781,177.77 73% LI
Total 10,806,177.77 100%
Bond Quality
Bond Quality Market Value % of Bad Market Value
BAILower 10408,177.77 100% Percentages of bond market values are
Total 10,806,177.77 100% rounded to the nearest whole percentage.
You are 100% invested in bonds with a bond quay of BA/Lower.
Client Service Information
Your Client Advisor: TDS Contact Information
TAZIA SMITh Telephone Number: (212)454.2689
345 PARK AVENUE 14Th FLOOR
NEW 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 tom m unicabons for electronic delivery. To register and turn off paper communications, log in to your account or contact your Client Advisor for more information.
Page11 of 14
B010/154CSF300:2 I )1U1I I C t i I A T c h c E o F un A t Z N E u T rn ber ONF I D G A5 o p N ape T rle I s A s L * R S EM " • . • • • I " L d ^ 1 f Y p A e R c . e s A M T e I E n n D t A C R O n M ., M UNICATIONS , I 0 l a e .4 r M 0 r 0 • . M • 0 , 0 I . • t = • < • • 0 N 1 • M 1 •• 0 • . • . 1 • • 4 . • 1 • • • 0 •• • 0 1 4 O 1 0 A . M 1 P .0 . a . . • • l . a W • • Y • r w . O . C ~ . 0 m 00 + . . 0 .m .1. . 0 • 10,1
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EFTA_00 I 59255
EFTA01291000

Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained
from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a
price is not available are marked -N/A"' and are omitted from the Total.
The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any
time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the
position quantities, interest and dividend rates. and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
vnvotpershing.corrvbusiness_continuity.htrnt for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your Statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing km. In order to assist your introducing firm in maintaining cement background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Ratings
This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written
authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or
omissions. regardless of the cause. or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose.
Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not
recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice.
Bond Maturity Schedule
Bonds that are in default are not included.
Bond Quality
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 Ponta') 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 conceming your account. Pershing is not responsible or liable for any acts a 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
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Statement Period:12101/2013 - 12/31/2013
Important Information and Disclosures (continued)
The Role of Pershing (corninued)
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general. for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. All other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• FOe 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 lilt. For more detailed information please visit: www.pershing.corWstrength_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 Ike: 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 Ned.
• Arbitration awards are generaly final and binding; a partys ability to have a court reverse or modify an arbitration award is very lirrited.
• 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. M an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time Writs 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.
Pershin's contact information is as follows: Pershing U.C., Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-33X.
Pagan of It
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EFTA01291002

TERMS AND CONDITIONS
TRANSACTIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER,
• ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSMONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY
SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, IF ANY, WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLCABLE LAWS NC REGULATIONS FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS
• TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN AVAILABLE UPON REQUEST.
WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT
DATE, WHICHEVER IS LATER. PERSHINUS OFFICES. A COPY OF II WILL BE MAILED UPON YOUR WM I TEN REQUEST OR YOU CAN
• YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT WWW.PERSHING.COM.
STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES:
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. YWYVV.PERSHING.COMMUSINESS_CONTINUITY.HTML
THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS
FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHINGS PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS-
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. RULE 607(A)(1)-(2))
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS TRADING SESSIONS. CERTAIN Of THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EOUITY ORDERS AS
MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST.
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER PERSHING RECEIVES PAYMENTS FOR DIRECTING USTED OPTIONS ORDER FLOW TO CERTAIN OPTION
REGULATION T OE THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR PAYMENT.
NSPECTION UPON REQUEST. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
TAX INFORMATION FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE-
COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS,
• AFTER YEAR END. PERSHING IS REOUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN
REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES AT THAT TIME PERSHING WILL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED
PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY
STATEMENT TO PREPARE YOUR TAX FILINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. WHICH ORDERS ARE AUTOMATICALLY 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 N1380 PERSHING ALSO REGULARLY
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES.
GENERAL INFORMATION.
• PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE
ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ARE INDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER.
DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC 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 SECUFUTES CARRIED FOR
YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY
PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE
COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR
GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT
PROHIBITED BY LAW.
IF ANY OF THE *BOW TERMS ARO COGIOCINS ARE UNACCEPTAELE TO YOU. PLEASE NOISY WRONG IIALEDIAIELY N WHOA* BY CERTIFIED AWL TOONE PERSHING PLAZA. JERSEY CITY. AU 07300. ATM LEGAL CCITT
Page 14 of 14
B0I0NISICSF30022 1)14911•C I M Ac E co F u A nt Z N E u mber: Go paperless R ( S M e a v l I i A e rd n M T Y I A e M A a • r U l s io I D n n e A C R O o M w M UNICATIONS LW.: Were •••••••• MAC. relear &NW, ••••.1.04,
LACI L WC(
SONYGM_00048649
TrONFIDninAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0011473
EFTA_00 159258
EFTA01291003

Devistie Ran, Ponie wean Ma.tenan
~urn Corry* w.
Dtauht prr •MC.
PA So, 1771B M' row a.021Ø Sla Pa R r a t w •w b w e w t o r O . 3 ill M or h r Ica
Now luen Irt 10114
IMI454.7111.(M)211409%
Account Num ber:
Statement Period: 11/0112013 - 11/30/2013
THE HAZE TRUST Valuation at a Glance
This Period Year-to-Date
UAD 02/09/99
Beginning Account Value $21,020,981.35 $0.00
JEFFREY EPSTEIN &
Net Cash Deposits and Withdrawals 012 6.665.975 20
DARREN It 1NDYICE TTEES
het Securities InlOut of Account 0.00 14,077 171 39
6100 RED HOOK QUARTER B3
Adjusted Previous Account Value 21,029,981.17 20,713,146.59
ST THOMAS VI 00802 Dividends, Interest and Other Income 212,560 63 331.075 30
Total Taxes Withheld 000 -4 40
linA el Chani en inz Pnortfolio 952.64 160,11 25
Your Client Advisor: Estimated Annual Income S959 855.99
TAM SMITH
(2l2l 154-2889
Asset Allocation
Prior Year-End Lad Period This Period % Allocation
050 Cash, Money Funds. and Bank Deposits' 0.00 6,781,185.35 6,976,118.53 32.85% Pie Chart allocation only Ind udes
products that are or positive value.
USD Fixed Income 0.00 11,236,196.00 11,258,076.21 67.15% I
Account Total (Pie Chart' $0.00 621,020,981.35 $21,231,491.71 100.00%
I The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bark depoets are not securities and are rot covered by the Securities Investor Protection Corponston
(SIPC). These bank decants are covered by tr* Federal Depost Insurance Corporation (FDIC). up to allowable limas.
See page 2 ol ths statement lo' important donation regarding the Asset Alocaton section.
Pagel of 13
Go paperless ~ S R ve d n Y m e < a S s I I I • n nt ^ Row 0 ei . n ~ a .~ m » e men. us.. ~ •• e •• a • • ca ~ rn n e a a y l , l e,
OALIIMI *AIM COMMUNICATIONS ~fa, us ins Fs ran sec
CONFIDENTIAL CRC~ CC
SDW_GA4_OOO4r365O
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-001 1474
EFTA_00159259
EFTA01291004

Asset Allocation Disclosure and Footnotes
Fored Income contains Faed Income Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year-to-Date WeiReed
Short-Term Gain/Loss 0.00 0.00 5.139.32
Long•Term Gain/Loss 0.00 000 .18.559.04
Net Gain/Loss 0.00 0.00 .13,419.72
This summary excludes transactions where cost basis information is not available.
For Your Inform ation
Go Papedess. Deutsche Asset & Wealth Management now offers electronic delivery of certain account communications for Weakh Management clients. Sign up today at WAw.myedocumentsuite.com for this
easy, convenient and secure way to receive al of your sensitive account information. If you need assistance during enrollment, please contact your Client Advisor or Web Support at M-776-7564.
Deutsche Bank will change certain service and account-telated fees effective January 1, 2014.
See the 'Messages' section at the end of this statement for details.
FDIC Insured Bank Deposits
Date Activity Type Description Mount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account N um ber: 1446024943 Activity Ending: 11129(13
11101113 Opening Balance 6,784,485.35 6,784,485.35
11104/13 Deposit DEPOSIT 44,250.00 6.828.735.35
11115/13 Deposit INTEREST CREDITED 183.06 6.828.918.41
API 0.03%
1108113 Deposit DEPOSIT 141,500.00 6.976.418.41
Associated Bank NA
NO 11/18 $250000.00
BUT
NO 11/18 $250000.00
Deutsche Bank
NO 11/18 $4726418 4
East West Bank
NO 11/18 $250000.00
KY Community Bank
NO 11/18 S251000.00
Citizens Bank
NO 11/18 $250000.00
Page 2 of l
Account Number. DGao npaipveralesisA L R Se o v o e * n . 1 Y . e n a o s ll • I n n t A Pow Penn., 01•040/ OWNS' 00,11.1.0,1
IFE OALSAA RwleD COMMUNICATIONS
NF I DOCM EW{
SDW_GM_00048651
FAZETFILSTO
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DIEt-SDNY-001 1475
EFTA_00159260
EFTA01291005

Draiso e Gana Prra *math Maatenmi
Mieetts I ore/4e Ct..
Chische Sank Settann
Mak Wei Once
pa Bev 7771 Barrow NO 21203 Ha Pin AIIPOOP. !talker
Mrs, vest ItY IOVA
(M)CA.Mil. MSS, 211.409S
Statement Period: 1110112013 - 11/30/2013
FDIC Insured Bank Deposits (continued)
Date Activity Type Description Amount Balance
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
Texas Capital Bank
NO 11/18 3250000.00
TnSlate Capital Bank
NO 11/18 3250000 00
Union Bank of CA
NO 11118 3250000.00
Com enity Bank
NO 11118 3250000.00
11/29113 Deposit DEPOSIT 0.12 6 976 418 53
11129113 Closing Balance $6,978,416.53
Total FDIC Insured Bank Deposits 96,976,418.53
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposts at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to $250,000 for each category of legal ownership Mcluding individual retirement accounts and certain other self dieted retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Income and Expense Summary
Current Period Year.to-Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Other Dividends 112.502.57 0.00 261,002.57 0.00
Interest Income
Bond Interest 69,875.00 0.00 69.875 00 0.00
FDIC Insured Bank Deposits 183.06 0.00 197 73 0.00
Total Dividends, Interest, Income and Expenses $212,560.63 30.00 $331,075.30 80.00
Page 3 of 13
Account bum bet. Go paperlesS R Se .S v p e d n r Y x e < a ol s le I n n t A Pow i 0 e 1 n 40 a 1 m 10 e .1 •••• o •• r • s •• v •• • • • • • • • w • t o a r t n . • c e •• m •• e • n s e o as re te • n • • m •• a M s w s r
ThFEAZ E e\ OAL*Arn ItAlt0 COMMUNICATIONS Owns., I ens As fa lain
ONFID MAL I.XC
SONY GM_00048652
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY-0011476
EFTA_GOI 59261
EFTA01291006

Portfolio Holdings
Activity Opening Closing Accrued Income 30•Day Current
Opening Date Quantity Account Number Ending Balance Balance Income Ns Year Yield Yield
Cash, Money Funds, and Bank Deposits 33.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
11101(13 6.976 418 530 N40024943 11129113 6,784.485.35 6,976,418.53 80.30 197.73 N/A N/A
Total FDIC Insured Bank Deposits 56 784 486.36 II 978 418.63 380.30 $197.73
Total Cash, Money Funds, and Bank Deposits $4,784,485.35 16,978,418.53 380.30 $197.73
Adjusted Unrealized Accrued Estimated Estimated
Date ired Quantit Unit Cost Cost Basis Market Price Market Value Gala/ Loss Interest Annual Income Yield
Fixed Income 45.00% of Portfolio (in Matunty Dale Sequence)
Corporate Bonds
PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4
1.315% 11101116 8/E DID 10/12/06
1ST CFN 0TE05/01/07 CFN NT SEMI ANNUAL Moody Rating BA2 S 8 P
Rating 88
05110/11 ..12.13 1,200,000.000 107.6980 1,292,351.59 112.7500 1,353,000.00 60,648.41 7,129.17 88 500 00 654%
Original Cost Basis: 31,363,50010
IPAYM ENT INC GTD SR NT Security Identifier: 46282EAE5
10.250% 05115/18 8/E DID 11/15/11
CALLABLE 05115/15 105.125 Moody Rating CAA1 S 8 P Rating CCC.
10102/12 '•12.13 500.000 000 90.6580 453.291 02 76.0000 395,000 00 •58.291.02 2.135.42 51,250.00 12.97%
Original Cost Ban 5445 000 00
KINDRED HEALTHCARE INC Security Identifier: 494560A89
8250% 06101/19 8/E DT0 06/01/11
CALLABLE 08101/14 0 106.188 Moody Rating B3 S 8 P Rating B-
10/02112 '.12.12 1,000,000.000 99.6760 996.761.06 106.7500 1,067,500.00 70,738 94 41,020.83 82,500.00 7.72%
Original Cost Bass: $996.250.00
FM ORGAN CHASE 8 CO DEP SHSREPSTG Security identifier: 46625HHA1
1110TH PFD SER 1 FIXED TO FLTG RT BD
7.900% 04129149 B/E DTO 04123108 Moody Rating BA1 S8 P Rating BBB
05110111 12.13 3,000,000.000 111.2650 3,337,958.33 110.5000 3,315,000.00 .22,958.33 19.750.00 237,000.00 7.14%
Original Cost Basic $3,331,958.33
BANK AM ER CORP PERP NON CON ULATIVE OEP Security Identifier 0805050 T8
SFS FIXED TO FLOAT 8.125% 04/30/58 B/E
DTD 04/30/08 CALLABLE 05/15118 Moody Rating BA3 SE P Rating BB+
05/10111 12,13 3,000,000.000 112.9870 3 389 620 83 111.5000 3,345,000.00 .44,620.83 10.156.25 213,750.00 7.28%
Page 4 of 13
e" D 9 01350CSF30015 DRAP.C.0 1 A 1 c - c E o F un A t Z A E w T n IZ b .S ar T Go [miseries% R S S i i o A w te e W d n I A Ync e R .... A .N. M et O t COMMUNICIMONS M C or o n a e o n w o w t ' o o S a o c r g s o o e m w it o P e s a d v S a ry i s s r e t o u ^ . a O n . e • o s r p s s i i . , e 0 . w s o rms •• m •• e •• w •• s •
CONFIDENTIAL
SONY GM_00048653
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) "" I" `a DB-S6NY-0011477
EFTA_00 159262
EFTA01291007

Dralsre flint innie Yne1016rrn,m
Mantillt COMa fe COMP
CeettOw W Setto biC.
New MOS°.
PO &e. 1776, earrov MO 21N3 30 Pr% MY, 214, I ker.
Ms Vat WI 10114
P ,2)45441111.I ra M409,
Statement Period: 1110112013 - 11130/2013
Portfolio Holdings (continued)
Adjusted Unrealized Accrued Estimated Estimated
Date Acquired Quantity Unit Cod Cost Basis Market Price Market Valle Gain/ Loss Interest Mnual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
BANN AM ER CORP PERP NON COM ULATIVE DEP (continued)
Original Cost Baas: 33,389,620.83
Total Corporate Bonds $9,469,982.83 $9,476,600.00 $5,517.17 $110,191.67 $703,000.00
8,700,000.000
Total Fixed Income $9,469,982.83 $9,476-000.00 $5,517.17 $80,191.17 $703,000.00
8,700,000.000
Unrealized Estimated Estimated
Date ired Quantit Unit Cod Cod Basis Market Price Market Value Gain/ Lou Mnual Income Yield
Mutual Funds 22.00% of Portfolio
P MORGAN HIGH YIELD FUND SELECT Security Identifier: OHYFX
CLASS CD 4812C0803
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
05110111 227.966.660 8.4230 1,920,262.95 8.2000 1,869,326.60 -50.936.35 114,439.26 6.12%
06101/11 %En 3,106.904 8.3400 3-0916.58 8.2000 30,396.61 -518.97 1,86087 6.12%
07/01111 '.3,12 3,428.920 82000 28,117.15 8.2000 28,117.15 0.00 1,721.32 6.12%
08101111 3,595.321 8.2000 29,481.64 8.2000 29,481.63 -0.01 1,80485 6.12%
09101111 '.3.12 3,894.861 7.7700 30,263.07 8.2000 31.937.85 1,674.78 1,95522 6.12%
10/03111 '.3,1t 3,822.476 7.4900 28,630.35 8.2000 31,344.31 2,713.96 1,918.88 6.12%
11101;11 '.3.12 3,513.891 7.8500 27,584.05 8.2000 28,813.91 1,229.86 1,76397 6.12%
12/01/11 '.3.12 3,948.776 7.6500 30,208.11 8.2000 32,379.96 2,171.82 1,98229 6.12%
12/16/11 '.3.12 7,928.226 7.5800 60,095.96 8.2000 65,011.46 4,915.50 3.979.97 6.12%
12116/11 '.3.12 4,859.579 7.5800 36,835.61 8.2000 39,848.55 3,012.91 2,439.51 6.12%
01/03112 '.3,12 4,071.946 7.6200 31,028.23 8.2000 33,389.98 2,361.73 2,044.12 6.12%
02/01/12 '.3.12 3,349.916 7.8000 26,129.35 8.2000 27,469.32 1,339.97 1,681.66 6.12%
03/01/12'•3.12 3,559.172 7.9200 28,188.65 8.2000 29185.20 996.55 1,786.70 6.12%
04/02112'AM 3,755.851 7.8900 29,633.67 8.2000 30.797,97 116410 1,885.44 6.12%
05/01/12 '.3.12 3,108.928 7.9200 24,622.71 8.2000 25,493.22 870.51 1,560.68 6.12%
06101/12',3.12 3,523.859 7.7600 27,345.15 8.2000 28,895.65 1,550.50 1,768.98 6.12%
07101112',3,12 3.493.412 7.8700 27,493.16 8.2000 28,645.98 1,152.82 1,753-09 6.12%
06/01/12'•3.12 3,637.695 7.9600 28,956.06 8.2000 29,829.11 873.05 1,826.12 6.12%
09104/12'•2,12 3,630.438 8.0200 29,116.12 8.2000 29369.59 653.47 1,822.48 6.12%
10/01112 '.3,12 3,623.250 8.0800 29,275.86 8.2000 29,710.65 434.79 1,818.87 6.12%
Pape 5 of 13
P.C.09•1350CSF30015 DRAS.0 to t A T c h c E o unt Kum bet Go paperless se.„.., Yeas inn Row r a c o r a o e n m s s a . = . O t “ n a e ' e n ra l n . r . e esws U oa . r C gn . a a • ' rs A ss a i r n c or ta d n “* r " o .4 e 6 s 4 ,
Trb N F I DAENI LAL t EwxCaE"sLLI PCI
SONY GM_00048654
hAZE RAIwwmmunicATI°Ns
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY-0011478
EFTA_00 159263
EFTA01291008

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date A ired Ouantit Unit Cod Cost Basis Market Price Market Value Galn/ Loss Annual Income Yield
Mutual Funds (continued)
P MORGAN HIGH YIELD FUND S LECT (continued)
11101112 'An .628B14 8.1000 21.287.14 8.2000 21.549.71 262.57 1,319 26 6.12%
12103112 '.3,12 ,575.903 8.1200 20,916.34 8.2000 21.122.40 206.06 1,293 10 6.12%
12114112'.3.12 .180.012 8.1700 25.980.70 8.2000 26.076.10 95.40 1.596 37 6.12%
01102113 '.3.12 .144.163 8.1400 25,593.49 8.2000 25.782.13 188.64 1.578 37 6.12%
02101113 '.3.12 .569.741 8.2000 12.871.88 8.2000 2,811.88 0.00 788 01 6.12%
03101113 '.3.12 .577.590 8.2000 12,936.24 8.2000 2.936.23 -0.01 791 95 6.12%
04101113 .614.304 8.2500 13,318.01 8.2000 3.237 29 -80.72 810.38 6.12%
05/01113 ,753.666 8.3800 14.660.65 8.2000 4,380.07 -280.58 880.34 6.12%
06/03113 '.3.12 .550.004 8.2700 12.818.54 8.2000 2,710.03 -108.51 778 10 6.12%
07101113 '.3.12 .604.052 8.0300 12,880.54 8.2000 3,153.23 272.69 805 23 6.12%
08101113'.3.12 ,552.408 8.1300 12,621.08 8.2000 2.729 74 108.66 779.31 6.12%
09/03113 '.3.12 .700 764 8.0300 13,657 14 8.2000 3.946 26 289.12 853 78 6.12%
10101113 '.3.12 .539.195 8.0700 12,421.09 8.2000 2.621.40 200.31 772 68 6.12%
Total Noncovered 328,409.897 2,716,148.30 2,69 ,961.15 -23,185.15 164,861.76
Reinvestm enls to 1.638.055 8.2200 13.464.81 8.2000 3.432 06 -32 75 822 31 6.12%
Date
Total Covered 1,638.055 13,464.81 13,432.06 -32.76 622.31
Total 330,047.952 $2,729,611.11 $2,706,393.21 -$23,217.90 $165,684.07
P MORGAN FLOATING RATE INCOME FUND Security Identifier: JRIISX
SELECT SNARES CL SIP 48121L510
Open End Fund
Dividend Option: Reinvest; Capital Gans Oplion: Reinvest
01122113 '.3.12 198.216 056 0.0900 2.000.000 00 10.1100 2.003.964 32 3.964.32 87,809.71 4.38%
02101113 %LH 630.057 10.0670 6.342.92 10.1100 6,369.87 26.95 279.12 4.38%
03101113 711.578 10.0600 7,158.48 10.1100 7,194.06 35.58 315 23 4.38%
04101113 '.3.12 789.547 10 1100 7.982 33 10.1100 7,982 32 -0.01 349 77 4.38%
05/01113 '.3.12 751.550 10.1300 7.613.21 10.1100 7,598.17 .15.04 33294 4.38%
06103113 '.3.12 757.360 10.0900 7.641.77 10.1100 7,656 90 15.13 335.51 4.38%
07101113 668.131 9.9700 6,661 27 10.1100 6,754.80 93.53 295 98 4.38%
08101113 704.609 10 0600 7.088 37 10.1100 7,123 59 35 22 31214 4.38%
09103113 '.3.12 709.175 10.0300 7.113 03 10.1100 7.169.77 56.74 314 16 4.38%
10/01113 '.3.12 712.100 10.0240 7.137.85 10.1100 7,199.33 61.48 31516 4.38%
Total Noncovered 204,850.183 2,064,739.23 2,089,013.13 4,273.90 90,860.02
Reinvestments to 709.184 10.1000 7 162 76 10.1100 7.169 87 711 314 17 4.38%
Date
Total Covered 709.184 7,162.78 7,169.87 7.11 314.17
Total 205,359.347 $2,071,901.99 $2,076,153.00 $4,281.01 $90,974.19
Total Mutual Funds $4,801,513.10 64,782,578.21 -$18,938.89 6258,858.28
Unrealized Accrued Estimated
Cod as Market Value Gain? Loss Interest Annual Income
Total Portfolio Holdings
621,247,914.46 $21,234,494.74 -$13,419.72 $80,191.67 $959,855.99
Page 6 of 13
Account um ber Go paperless R So a v w e d rr f e m e c a o w lo s n kv t ARow rir LW. yeah ...I •••••Mwt
ThE FAZE NF IDENTIAL OALSAANLICOCOMMUNICATIONS
GONY_GA4_OOO4865.5
Tt,
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DEt-SDNY-0011479
EFTA_00I 59264
EFTA01291009

Draisre Sant Poetic Wee., 44.2tentai
Marats Cowen* 0,Cap
Ctstuh• 60* Settort
Norelbrt0,10•
341P ar% Nowt !Uhl/c!
lerollat. PM 10114
PO) 4544110.111$517044095
Statement Period: 1110112013 - 11/30/2013
Portfolio Holdings
(continued)
Footnotes
' Noncovereo under the cost basis rules as cetined 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.L110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered," under the new cost basis reporting rules. and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as securities which have been acquired
an or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2013, or later, as determined by the Secretary of the Treasury.
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
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.
13 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 deivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information.
M essages
Please note the following information for Pershing's 2013 IRS Forms 1099 (8, DIV, INT, OID and MISC): Your form 1099 will be delivered as early as possible, beginning January 31. 2014. By February 18, you
Will receive either your 1099 form ore special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the
securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mated no later than March 17, 2014.
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual 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 (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporalion(SIPC).
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:/Nnwrdws-investments.convEN/products/money-market-funds-yieldsjsp. Please note that all money
market funds bsted on the website may not be offered through us.
To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments
Pagel of 13
11009MCCSF3C01: Account Num ber Go paperless R S . t • e ••• n c l r ', x e < m ol s le I n n t A Pew Ow wa in • g Ont. m U a . w S v . e 0 t 1 t u 1 r 0 e . a e • • r • p • • • • • • • w •• o od ••• = • s • o • m •• e ••
TI-E FAZE A W • ,ist tinTny' IAL OALS W A O A K ItA ( lt0 COMMUNICATIONS •••••••tuc *rag •••ta tan sec
SDW_GA4_00048656
Tb STONFID
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) u" DB-SDNY-0011480
EF1'A_00159265
EFTA01291010

M essages (continued)
Changes in Program Banks have taken place which require your attention.
For a lust of Program Banks, please visit httn/Awnvnwrn.db.comfamericasieniCashSweep0olions.html or contact your Client Advisor.
You should advise us of Program Banks with vAiom you carry depost accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in
order to maintain the maximum protection under terms of FDIC coverage.
Effective January 1. 2014, service and account-related fees evil be adjusted as follows:
• Trade confirm service charge: $6.00 per trade
• Annual IRA fee: $50
• IRA termination fee: $95
• Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded security and $25 per non-publicly traded security
• Foreign safekeeping fee: $6 per position, per quarter
Go Papedess. Electronic delivery of certain account communications is now available. Sign up today at wenv.myedocumentsuite.com for this easy and convenient way to access al of your account information.
Eliminating paper delivery of all your sensitive account information can help to reduce the risk of identity theft, simplify recordkeeping and, at the same time, help to preserve the environment's precious
resources. Have questions or need help enrolling? Please contact your Client Advisor or Web Support at 800-776-7564.
Activity Sum m ary (All amounts shown are in base currency: USD)
Cred is This Period Year-to-Date Debits This Period Year-to-Date
SCCUMICS Securities
Secur.ties icLgnt 0 00 000 Securities Bought -20,627.57 -20,627.57
Total Securities $0.00 $0.00 Total Securities -$20,627.57 ,420,627.57
Dividends and Interest $212,560.53 $331,075.30 Dividends and Interest $0.00 $0.00
Taxes Withheld $0.00 $0.00 Taxes Withheld $0.00 -54.40
Cash Cash
Deposits 0.12 6.665.975.20 Deposits 0.00 0.00
Total Cash $0.12 $6,605,925.20 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $0.00 $4.40 FDIC Insured Bank Deposits -0191,933.10 -$6,976,122.93
Total Credits $212,560J5 $6,991,054.90 Total Debits -$212,660.75 -$6,997,054.90
Page 8 of 13
BOO 9013•ACSF30 Account Number DGAo EpapNerTlesIsA L: R S a e s v e e d n r V x e < d o ,I l S le I n n t A Pow er evrtat Ponnise tail • radar •••••••••••••••
OALSAA RAILOCOMMUNiCATIONS •••••••„c was ow* row sec
'to N F I EXCEILUCE
6(e) SDNY_GM_00048657
AlE
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. DEt-SONY-0011481
EFTA_00159266
EFTA01291011

Dnitio< SIM Pr male Wall, Maarnmil
Marlin COVeate 4,0.P
De•Whe Ye* Settaen
Nee Oltc•
MB= 1771 BA now NO 21203 M Part AMIGO. 3*11. Ice"
PM 10104
P V10S0d¢ inSlasnon
Statement Period: 1110112013 • 11/30/2013
Transactions by Type of Activity
Process!
Settlement
Date Atm e Desai ion Duanf Price Accrued Interest Amount ON
Securities Bought and Sold
11/01/13 REINVEST CASH INCOME P MORGAN HIGH WELD FUND SELECT CLASS 328109.8970 1.638.055 -13 464 81 USD
OFYFX SHRS SIRS RACK. AT 18 22000 RD 10130 PD 11101113
11/01/13 REINVEST CASH INCOME P MORGAN FLOATING RATE INCOME FL AD SELECT SNARES 709.184 .7.162 76 USD
"IX 204650.1630 915 SHRS PORCH. AT $10.10000 RD 10130
PD 11/01/13
Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 .20,827.57
Dividendsand Interest
11/01/13 CASH DIVIDEND RECEIVED .P MORGAN HIGH YIELD FUND SELECT CLASS 328109.8970 13,461.81 USD
FYFX SIRS RD 10130 PD 11101113
11/01/13 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 7,162 76 USD
PHSX 204650 1630 SF RS RD 10130 PD 11101/13
11/01/13 BOND INTEREST RECEIVED 1200000 PEABODY ENERGY CORP SR NT 7.375% 11101116 44,250.00 USD
704549AE4 8/E DID 10/12/06 CLB RD 10115 PD 11/01113
11/15/13 CASH DIVIDEND RECEIVED BANKAMERCO PERPNON COM ULATIVE DEP SFS FIXED 121.875.00 USD
0605050T8 TO FLOAT 8.125% 04130158 WE RD 11/01 PD 11/15113
CASH NAT 3000000
11/15/13 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 183.06 USD
DEPOSITS INTEREST
RECEIVED
458997996
11/15/13 BOND INTEREST RECEIVED 500000 IPAYMENT INC GTD SR NT 10.250% 05/15118 WE 25.625.00 USD
46262EAE5 OTD 11115/11 CL8 RD 11101 PD 11115113
Total Dividends and interest • UNITED STATES DOLLAR 0.00 212,56013
Cash Withdrawals and Deposits
11/27/13 FEDERAL FUNDS RECEIVED P MORGAN CHASE BANK 44498 0.12 USD
US0999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 0.12
Page 9 of 13
Account hum bet F I D Go paperless P Se a v le e d n r Y .e ea .t r w s I n n t A Roy* • a • w m ls a . n Only. N . o P s a M ls a y Ne i. l L m C s . C • • a •• m •• a s can • • = • M •• S •• S •t
TFE FAZE TCON N1AL OALSAll ItAlt0 COMMUNICATIONS Pew.. „C ens I BONA foe. An
E/ .1
SONY M1_00048658
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY-0011482
EFTA_00 159267
EFTA01291012

Transactions by Type of Activity (continued)
Process/
Settlement
Date Activity Type Description Quantity Price Accnred Interest Amount 001
FDIC Invited Bank Deposits
11104113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 414 250 00 USD
U$0999997
11115113 FDIC INSURED BANK INSURED DEPOSITS INTEREST REIN VESTED •183.06 USD
DEPOSITS INTEREST
REINVESTED
458997996
11118113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM •147.500.00 USD
OS0999997
11129/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -0.12 USD
050999997
Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -191,933.18
Total Value of Transactions 0.00 0.00
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Security Record Date Payable Date Quantity Held Rate Mount of Payment Dividend Option
Interest
KINDRED HEALTHCARE INC 11115113 12/01/13 1,000,000.000 0.041250 41 250.00 Cash
6.250% 06/01119 EVE
Total Cash Not Yet Received $41,250.00
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
1 to 5 years 1,748,000.00 18% 1 I Percentages of bond market values are
6 to 10 years 1,067,500.00 12% E rounded to the nearest whole percentage.
Over 10 years 6,660,000.00 rox I—I
Total 0,475,600.00 1005
Page 10 of 13
e:DREES0CSF30015 DRAISC i Account N uTrtn benT O N F I Go p N .tpe n rte ss A S a °A r t e . L e R D n e A e Y N l e l E R .' m A S T i E n D A C P O R M RI M UNICATIONS C 40 • i • t n i • e • o f • t r • M y L ,i a L li s C S i e p • f l • O •• M •0 I T 0 • o 1 /e n O a • . • ^ 1 • • .0 • v • . e C • r m • a •• n i • n • e • s • 0 •• f • e • n =Mem
SONY GM_00048659
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 61(1e- E) hAZE "CILLUCE DES-S6NY-0011483
EFTA_00 159268
EFTA01291013

Draisre Banc PrmaieWoith Maatenmil
Weals Cereal* 4,1,P
Chtfthe Sank Sett .
Mee %A Olic•
PO Elm I 776. Bahnat &O2IN 3 315 Pot Anew. leth I ter
Mrs Wet. hY 10154
(I 1?) 454.2M. ml 7a4I91.
Statement Period: 1110112013 - 11/30/2013
Bond Quality
Bond Ovally Market Value % of Bond Market Value
8Allower L415.500.00 100% Percentages of bond market values are
Total 9,415,500.00 100% 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: (212) 451-2889
345 PARK AVF_AL E MTh FLOOR
NEW YORK kY10154
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
Copies of Statement Sent
.EFFREY EPSTEIN
Al your request copies of this slatem ent have been sent to the above.
Electronic Delivery
You have not selected any account corn m unications tot electronic delivery. To register and turn off paper con m unications. log in to your account or contact your Client Advisor for m ore information.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account a settlement date basis, including short positions, at the close of the statement period. The market paces have been obtained
on
from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a
price is not available are marked "'WA— and are omitted from the Total.
The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any
time, and may be affected by current and future eccoomic, political, and business conditions, they should not be relied on for making invesUnent, trading, or tax decisions. These figures assume that the
position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
pershing.comibusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
PAW
Page 11 of 13
090850CSF30015 ()RAH < 4,1 Account Number. Go naperless A L 441 ), S R D e a A v ge L e d n W F Y m I e < t a a o l l sl t i O ne C nA O R M oy M * UNICATIONS 0 M .• T s • h • . • • • w •• a • n •• •••o0i Ptso y r s d F % S S N . 1 o 1 r 0 r , a . n c • o •• • • V v • o • C • e • • • s .• ta •• l • Y •• a •• r 1 se 0 •1
O N F I a d UCCUI.W•Ci
SDW_GM_00048680
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6:T e ': hAZE D DB-SDNY-00114434
EFTA_00159269
EFTA01291014

Important Information and Disclosures (continued)
Pricing (continued)
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Reinvestment
The dollar amount of Mutual Fund distributions. Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your Statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution. information pertaining to these transactions. including the time of execution and the name of the person from
whom your security was purchased. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incuned in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is evadable to you promptly upon your written request directed to your introducing km. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fuly paid for in your margin account may be tent 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. dolars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization nay also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, inured 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 & Pools. Reproducing and distributing any information received from Standard & Pools 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
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 fads. are not
recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be retied upon as investment advice.
Cash Not Yet Received
Assets shown here are not reflected in your account. This information has been received horn 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.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. All other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
Page 12 of 13
000908•ACSF300:', M Ac E co F un A t Z K E u m ber O N F I D G A E o p N ap I e T rle I s A s L _sode R S Du a e (A a C a I e S n U d A E I Y NL x e RI o . M . l A . li M m IIE A n D C P O e M w M IJNICATIONS r • o •• e •• •• istre s it e iv a e s L a L s O ai . r . rat • e * O V a C st avow, *San
SDNY_GM_00048661
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) TFda"5 DB-SONY-0011485
EFTA_00159270
EFTA01291015

Draisre Sant Poetic Weaeh kla.zgentin
Mateats Coven* C00.1.
CestsOw Is* Maori aft.
&melba Oltor
Ha Pat MY, 1001 kw
liesVat. WI 10114
In2)4514114. n•-•09S
Statement Period:1110112013 - 11/30/2013
Important Information and Disclosures (continued)
The Role of Pershing (courinueri)
• Fora 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 wrirw.pershing.caNstrength_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 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 fled.
• Arbitration awards are generaly final and biding; a pady's abiMy to have a court reverse or modify an arbitration award is very kilted.
• The ability of the parties to obtain documents. witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a clan) 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 enlace 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.
Pershiig's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 0739t (201)413-3330.
Page 13 of 13
BOO 9 SCCSF3 M Ac E co F u A n Z lA E u M mb S e T r Go 'MIXT leSS s D Re A avd I e S n A fy N xe < R ao A sll e l i t nn 0 tn C P O o M w M UNICATIONS retwr ern • ••• n • i • n • s • i • s • m en it a a . r 0 a . m • S y wad weseeer
CONFIDA5NTIAL
SDNY_GA4_00a48662
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) EXCEILDCZ DB-SDNY-0011486
EFTA_00159271
EFTA01291016

Gnaw, e Sam PootieWealh Ma.zienme
Minns Coottitet..".1.
Cettsche Sank Setwan
PA ea eseimege maraca *vs bet Once
315 Pin S. 20th I ter
Mew veA 1.1. 10114
(21))4544/111.11M1).1,409,
Account Number:
Statement Period: 0 9/191201 3 - 10 /31/201 3
THE HAZE TRUST Valuation at a Glance
lids Period Year.to•Date
UAD 02/09/99
Beginning Account Value 80.00 $0.00
JEFFREY EPSTEIN &
Net Cash Deposits and Withdrawals 6.685.975.08 6,665,975.08
DARREN IC INDYKE TTEES
Net Securities InlOut of Account 11,077,171.39 11,077,171.39
6100 RED HOOK QUARTER B3
Adjusted Previous Account Value 20,713,118.17 20,713,118.17
ST THOMAS VI 00802 Dividends, Interest and Other Income 118,511.87 118,511.87
Total Taxes Withheld -110 -1.10
Net Charlie in Portfolio 159 32411 159 32111
nd ng Account Value 2 1 0 2 0 9 8 1 3 5 $21,020.981 3 5
Your Client Advisor: Estimated Annual Income 5959.930 98
TAZIA SMITH
(2121 151-2889
Asset Allocation
Prior Year-End Last Period This Period % Allocation
USD Cash, Money Funds. and Bank Deposits' 0.00 000 6,781.185.35 32.27% Pie Chart atocation only includes
products that are of positive value.
USD Fixed Income 0.00 0.00 11,236,196.00 67.73% I
Account Total (Pie Chartl $0.00 30.00 $21,020,981.35 100.00%
I The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured berk deposits are not securities and are rot covered by the Secunties Investor Protection Corporation
(SIPC). These bank deposes are covered by tr* Federal Depose Insurance Corporation (FOIC), up to stowable limes.
See page 2 of this statement for imponam oformation regarding the Asset Atocation section.
Page I of 12
B-0097270CSF 30016 Go paperless R S • e M a c n l r Y m e < a o s llo In nt A Row or rinosn..annoils P • e •• r • s • is •• o • c • u .-: l p• . •.••••••4 e 0 s I s T id II • IS S O SI O
OALSAA frAlt0 COMMUNICATIONS ILC snineriolltk VC
CONFIDENTIAL OK GLUM(
SDW_GA4 00048663
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0011487
EFTA_OO159272
EFTA01291017

Asset Allocation Disclosure and Footnotes
Fcred Income contains Ftred Income Mutual Funds.
Summary of Gains and Losses
Realized
This Period Year•to-Date Wielded
Long.Term Gain/Loss 0.00 0.00 .1.762.83
Net Gain/Loss 0.90 0.00 .1,762.83
This summary excludes transactions where cost basis intonation not avaiable.
For Your Information
Deutsche Bank will change certain service and account-related fees effective January 1, 2014.
See the 'Messages' section at the end of this statement for details.
Go Paperless. Deutsche Asset & Wealth Management now offers electronic delivery of certain account communications for Wear Management clients. Sign up today at wvwcmyedocumentsuite.com for this
easy. convenient and secure way to receive al of your sensitive account information. If you need assistance during enrollment, please contact your Client Advisor or Web Support at M-776-7564.
FDIC Insured Bank Deposits
Date Activity Type ()exilenon Mount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Accounl Number: N4G024943 Activity Ending: 10131113
09119113 Opening Balance 0.00 000
10103113 Deposit DEPOSIT 28.369.73 28.369 73
10108113 Deposit DEPOST 6,637,605.35 6.665.975 08
10115113 Deposit INTEREST CREDITED 14.67 6,665,989 75
APY 0.01%
10116113 Withdrawal WITHDRAWN .4.40 6.665.985.35
Associated Bank NA
NO 10/16 S250000,00
BENST
NO 10/16 $250000.00
Deutsche Bank
NO 10/16 S44159853
East West Bank
NO 10/16 $250000.00
NY Comm unity Bank
NO 10/16 6250000.00
Plains Capital Bank
NO 10/16 $250000.00
Texas Capital Bank
Paget of 12
B0097270CSF30014 Acc E o F u A nt Z N E u T m R b L e S r T : Go fat „ h e „ rless R S G a A t. s L e e S . d Y / k Ix e g o a R l n l A o U nt L ) C P O a M w M UNICATIONS • a e • s r • s • . • a • n •t e a “ . n te m . e O g i n s n i e ts o i . s u a t w p . e r • n e • s • g • s o • e • m • c • s .• . • •••M•• i M d in
CONFIDEN 1AL: txCilLflaCC
SDW_GIA_00048664
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-OO11488
EFTA_00159273
EFTA01291018

Plots°, SWIll.n.ale Weal, 14.wientm
Margins COM.a gre CoMP
05.114.4 0* Mclean .4.
Nee *4 Ork.
PC 1776, Bat-envMD2'M US Prig Am.*. bib I kw
liesligit PM 10114
P M1* la MSS) noon
Statement Period: 0911912013 - 10/31(2013
FDIC Insured Bank Deposits (continued)
Date Activity Type Description Amount Balance
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
NO 10/16 $250000.00
TnSlate Capital Bank
NO 10/16 $250000.00
Union Bank of CA
NO 10/16 $250000.00
Com enity Bank
NO 10116 $250000.00
10/31/13 Oe osit DEPOSIT 118.500.00 6,784,485.35
10131113 Closing Balance 16,784,485.36
Total FDIC Insured Bank Deposits $6,784,435.35
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposes at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other sett diected retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Income and Expense Summary
Period Year-to-Date
Olrreit
Taxable Non Taxable Taxable Nom Taxable
Dividend Income
Other Dividends 118,500.00 0.00 118,500.00 0.00
Interest Income
FDIC Insured Bank Deposits 14.67 0.00 14 67 0.00
Total Dividends, Interest, Income and Expenses $110,514.67 $0.00 $118,514.67 $0.00
Page 3 .3112
()RAO ( iii A TF cc E o F un A t Z N E u T mb F' e s r I rONFID G E o p N ape T rle I ss A L Irt ) I ° S I A M ev L e e M d n A Ye M a. I s 1 L I 4 O n .. A C P O e M w M UNICATIONS roe ••••:9 'e 1 r • a • s •• ••••• LW- rey s ac • ••••••
SONYGM_00048665
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0011489
EFTA_DO 159274
EFTA01291019

Portfolio Holdings
Adivily Opening dosing Awned Income 30•Day Carat
Opening Date Quantity Account Number Ending Balance Balance Income TbIs Year Yield Yield
Cash, Money Funds, and Bank Deposits 32.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
09(19113 6.784.485 350 N40024943 10131/13 000 6,781,485.35 87.78 14.67 N/A WA
Total FDIC Insured Bank Deposits 60.00 16,784,185.36 $87.78 614.67
Total Cash, Money Funds, and Bank Deposits $0.00 $6,784,485.35 $87.78 $14.67
Adjusted Unrealized Accrued &Sated Edloated
Date ired Quanti Unit Cod Cost Basis Market Price Market Valle Gain/ Loss Interest Annual Mame Yield
Fixed Income 45.00% of Portfolio (in Matunty Da:e Sequence)
Corporate Bonds
PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4
7.375% 11/01/16 NE DTD 10/12/06
CALLABLE 1ST CR CITE 05/01/07 Moody Rating 8A2 St P Rating BB
05/10711 MA 1,200,000.000 101.9010 1,294,811.91 112.5000 1,350,000.00 55.188.09 44 250.00 88 500 00 6 55%
Original Cost Bass: 51,363,500.00
!PAYMENT INC GTD SR NT Security Identifier: 46262EAES
10.260% 05115/18 B/E NO 11/15/11
CALLABLE 05(15115 e 105.125 Moody Rating CAA! STI P Rating CCC.
10/02112 ',/2.13 500.000 000 90.5300 452.649 31 77.0000 385,000 00 -67,649.31 23.631.94 51,250.00 13.31%
0 nand Cost Bans $445.000.00
KINDRED HEALTHCARE INC Security Identifier: 494580AB9
8.250% 06/01/19 BJE DTD 06101/11
CALLABLE 0901/14 § 106.188 Moody Rating 83 S 8 P Rating B-
10(02112 '.12.13 1,000,000.000 99.6720 996.722 45 107 5000 1,075,000.00 78,27755 34.375.00 82.50010 7.67%
Original Cost Bass 5996 250 00
BANK AM ER CORP PERP NON COM ULAT1YE DEP Security Identifier: 080505DT8
9.8 FIXED TO FLOAT 8.125% 04/30/58 WE
DID 0//30108 CALLABLE 05/15118 Moody Rating B1 58 P Rating 13B4
05/10/11 12.13 3.000.000.000 112.9870 3 389.620 83 111 7500 3.352.500.00 •37.120.83 112.395.83 243,750.00 7.27%
Original Cost Bags 53,389,620.83
PM ORGAN CHASE 8 CO DEP SIIS REPSTG Security identifier: 46825HHAt
1110TII PFD SER 1 FIXED TO FLTG RATE
7.900% 12/01/99 B/E DTD 04123/08 Moody Rating BA1 S8 P Rating BBB
05/10/11 12.13 3,000,000.000 111 2650 3 337 958 33 110 2500 3.307,500 00 30158.33 0.00 237.000 00 7.16%
Pagel of 12
es,097270CSF30016 DRAII-Cti I Account hum ber Go paperless R S C . o A e w L e M d n r S Y u , e e f a r l A n io l I n t n O t A C R O o m v• M umCATIOPAS - S *i - m w a p y IW L O it a m ils e P . a W n F i S b il e i S s . a i p s r t h e la t C . ie • a • • r L • il O • l • • C • • • • • • • • d •• s • e • a M Si a re
O N F I DAENTIAL
SONY GM_00048666
CONFIDENTIAL - PURSUANT TO FED. R.CRIM. P. 6(e) DB-S6NY-0011490
EFTA_00 159275
EFTA01291020

Draisre Banc Ormaie Wag, 14.wienmi
Macon COMM* CowP
CtelsOw Is* Mclean .4.
Now Wart Moo
PO Elm 1776. &kn.:of MD 21200 341Pait hie•00. lth I keg
lieslat. WI 10114
PO/ 0544M P11.1,0•401$
Statement Period: 09/1912013 - 10/31/2013
Portfolio Holdings (continued)
Adjusted Unrealized Atoned Estimated Estimated
Date Acquired Quantity Unit Cog Cost Basis Market Price Market Valve Gain/ Loa Interest Annual Income Yield
Fixed Income (continued)
Corporate Bonds (continued)
FM ORGAN CHASE a CO DEP Sli 5 REPSTG (continued)
Original Cost Bads: $3,337,958.33
Total Corporate Bonds $9,471,782.83 19,470,000.00 .01,762.83 $214,652.77 6703,000.00
8,700,000.000
Total Fixed Income 69,471,762.83 $9,470,000.00 -81,762.83 $214,652.77 $703,000.00
8,700,000.000
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/ LOU Annual Income Yield
Mutual Funds 23.00% of Portfolio
55 M ORGAN HIGH YIELD FUND SELECT Security Identifier: OHYFX
CLASS CUSIP:4812C0803
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
Please Provide '.10 328.409.897 Pending Receipt 8.2200 2,69912/35 k/A 165.84619 6.14%
$5 MORGAN FLOATING RATE INCOM E FUND Sewrity Identifier: PHSX
SELECT SHARES CLSIP 481211510
Open End Fund
Dividend Option: Reinvest; Capital Gins Option: Reinvest
Please Provide 'O0 204,650.163 N/A Pending Receipt 10.1000 2,066.966 65 k/A 91.069.32 4.40%
Total Mutual Funds $0.00 $4,766,496.00 $0.00 $256,916.31
Unrealized Aotrued Estimated
Cost Basis Market Value Gain/ Loss Interest Animal Income
Total Portfolio Holdings
$16,256,248.18 121,020,981.35 .01,762.83 $214,652.77 $959,930.98
Footnotes
• Noncovered under the cost basis rules as defined below.
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRO (incorporating amendments enacted by
P.1_110-343, the Emergency Econornic 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 ate securities which are 'covered' under the new cost basis reporting rules. Securities which are *covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is
Page 5 of 12
Account Number Ryan, I Atexidnt
9,270CSF30014 CPR:4hp( pp I E FAZE r ciNFID5NTI G A o ..* pa . perles s A se u m— a . r t Y .00 e .4 . 2 ' 1 E in 0 A 00 R M a M w UNICATIO NS
L
SONY_GM_OOO48667
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0011491
EFTA_00 159276
EFTA01291021

Portfolio Holdings
(continued)
disposed.
Repotting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1.2012
• Other securities. principally debt securities and options. acquired on or after January 1. 2013, or later, as determined by the Secretary of the Treasury.
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 or more of these attributes is changed, Mere 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.
6 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available.
10 This security has recently been transferred into your account. Upon receipt of cost basis information from the delivering firm or transferring agent. Pershing will perform a validation and update the cost basis
accordingly.
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 deivering firm or transfernng agent and Pershing makes no representation as to the accuracy of this information.
PA essa es
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit 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 DWS Investments website at httpsiNnm.dws-investments.conVEN/products/money-rnarket-funds-yields.jsp. Please note that all money
market funds fisted on the website may not be offered through us.
To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments
Changes in Program Banks have taken place which require your attention.
For a ist of Program Banks, please visit htto:/Nmwftwm.db.conVarnerkaMen(CaShSweeDOtitiOns.hlml or contact your Client Advisor.
You should advise us of Program Banks with whom you catty deposit accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in
order to maintain the maximum protection under terms of FDIC coverage.
Effective January 1, 2014, service and account-related fees wit be adjusted as follows:
• Trade confirm service charge: $6.00 per trade
• Annual IRA fee: $50
• IRA termination fee: $95
• Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded security and $25 per non-publicly traded security
• Foreign safekeeping fee: $6 per position, per quarter
Go Paperless. Electronic delivery of certain account communications is now available. Sign up today at bwny.myedocumentsuitecom for this easy and convenient way to access all of your account information.
Eliminating paper delivery of al your sensitive account information can help to reduce the risk of identity theft, simplify recordkeeping and, at the same time, help to preserve the environment's precious
Page 6 of 12
4).
eC,097270CSFI0016 Account nurmbOer NFI Got owerless A L RseaMveicnl V m ee < n e llo In nt A Row O 40 n r o e . M a a p e 0 m 1 e a n m M a S t c' m s a & n • C v a • la •• i • s • , •••• a •• n ••• M •• o •• n • a •• •
DAUM., LOCO COMMUNICATIONS *Mae ISC Iona IS veva sec
DrNif 'UDC{
SONY GM_00048668
P. 6:P.:E AZE
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. e DB-S6NY-0011492
EFTA_(()1 59277
EFTA01291022

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Sluts Covea Ce C./sP
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Now *4 Orto
MS= 1771 BA now 1021203 MS Mt Moms. M1h I Ice!
lerstill. PM 10154
PU)45•411IL IOSS)7.54095
Statement Period: 09/1912013 -1013112013
M essages
(continued)
resources. Have questions or need help enrolling? Please contact your Client Advisor Web Support at 800-776-7564.
or
Activity Sum m a ry
(All amounts shown are in base currency: USD)
Credits This Period Year.to•Date Debits This Period Year.taate
Dividends and Interest $118,514.67 2118,514.67 Dividendsand Interest $0.00 $0.00
Taxes Withheld $0.00 $0.00 Taxes Withheld .14.40 -$4.40
Cash Cash
Deposits 6.665.97518 6.665.975.08 Deposits 0.00 0.00
Total Cash 16,665,975.06 16,665,975.06 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $4.40 $4.40 FOIC Insured Bank Deposits -$6,784,469.75 -$6,784,489.75
Total Credits 16,784,494.15 16,764,494.15 Total Debits -$6,184,494.15 -$6,784,494.15
Transactions by Type of Activity
Process/
Settlement
Date Activity Type Description Quantity Price Awned Interest Amain CC1
Securities Withdrawals and Deposits
10107113 SECURITY RECEIVED BANK AMER CORP PERP NON COM ULATIVE DEP SHS FIXED 3,000,000.000 0.00 USD
0605050T8 TO FLOAT 8.125% 04130158 B/E DTD 04/30/08 CLB 0902
,PM CBNA NC P 72500
10/07/13 SECURITY RECEIVED 'PAYMENT INC GTO SR NT 10 250% 05115/18 EUE DTD 500.000 000 0.00 USD
46262EAE5 11115111 CLB 0902 RI CBAA NC P 72500
10107/13 SECURITY RECEIVED ,PM ORGAN CHASE 8 CO DEP StIS REPSTG 1110TF PFD SER 1 3,000,000.000 0.00 USD
46625HFA1 FIXED TO FLTG RATE 7.900% 12/01199 B/E DTI) 04/23108
CLB 0902 PMCBNA NC P 12500
10107/13 SECURITY RECEIVED KINDRED HEALTHCARE INC 8.250% 06/01/19 B/E DTD 1,000,000.000 0.00 USD
494580A89 06/01/11 CLB 0902 PM CBA A NC P 72500
10107/13 SECURITY RECEIVED PEABODY ENERGY COPP SR AT 7 375% 11101116 BIE DTD 1,200,000.000 0.00 USD
704549AE4 10112106 0902 PMCBNA NC P 72500
Pagel of 12
Account Number. 01•44clrx<ollent
Il/IAR I TI-E FAZE O Go paperless S O e A v L e S n A Y ll e * a A s I M In A C P O o M w M UNICATIONS
NFIDEvinAL LACM EM(
SDNY_GM_00048669
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0011493
EFTA_00 159278
EFTA01291023

Transactions by Type of Activity
(continued)
Noss/
Settlement
Date Activity Tvoe Dewiotion Ouanti Price Awned Interest Amount ON
SecurlUes Withdrawals and Deposits (continued)
1088/13 REEVED INTO YOUR ACCOUNT P MORGAN HIG1. YIELD FUND SELECT CLASS AS OF 328.409 897 0.00 USD
0 HYFX 10/14/13 FROM NEED FUND AC NUMBER
108883 RE-COVED INTO YOUR ACCOU NT P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 204.650 163 0.00 USD
JPHSX AS OF 10/14/13 FROM NEED FUND AC NUMBER
Total Securities Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 0.00
Dividends and Interest
10115113 FDIC INSURED BANK 1‘ S, RED DEPOSITS INTEREST CREDITED 14.67 USD
DEPOSITS INTEREST
RECEIVED
458997996
1013083 CAS- DIVIDEND RECEIVED PIA ORGAN DIME & CO DEP SHS REPSTG 1110TH PFD SER 1 118,500.00 USD
46625HHA1 7.900% 12101199 NE RD 09/30 PD 10/30113 CASH
PAYMENT 3000000
Total Dividends and interest • UNITED STATES DOLLAR 0.00 110,514.67
Taxes Withheld
10115/13 NON-RESIDENT AUEN TAX NRA TAX WITHHELD ON INSURED DEPOSITS INTEREST -4.40 USD
458997996 CREDITED
Total Taxes Withheld • UNITED STATES DOLLAR 0.00 .4A0
Cash Withdrawals and Deposits
10102113 FEDERAL FUNDS RECEIVED P MORGAN CHASE BANK 22479 28.369.73 USD
USD999997
10107/13 FEDERAL FUNDSRECEIVED P MORGAN CHASE BANK 35426 6,637,605.35 USD
050999997
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 6,666,976.08
FDIC Insured Bank Deposits
10103/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM .28.369.73 USD
US0999997
10108113 FDIC INSURED BANK DEPOSIT IA St, RED DEPOSITS PROGRAM -6,637,605.35 USD
USD999997
10115/13 FDIC INSURED BANK INSURED DEPOSITS INTEREST REIN VESTED .14.67 USD
DEPOSITS INTEREST
REINVESTED
458997996
10116113 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 4.40 USD
WITHDRAWAL
USD999997
10/31/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -118,500 .00 USD
US0999997
Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 -6,784,465.36
Pape 8 of 12
E*097270CSF30016 DMWCuI Acc E o F u A nl Z N E u T mb t e r Gc.) paperless R a a u N ^ d O I A R t01 A 1 l a E in N D t A C OMMUNICATIONS r O o N w LN s. P i E L N C N N .E e . O w N O E LL S LE LL t O a . • w • n •• y • < •• •••••••••••••••
EXCELLENCE
SONY GM_00048670
ONFID AENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY-0011494
EFTA_00 159279
EFTA01291024

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mantis Gwyn, Gmsp
CeelsOw W Setwan
New Wart Orloo
PO lita. 1214, 8•Itcrae IVO 2IN3 30 PM ••••••.. ]Nlrlber
Nwt,NNY 10114
1.12)454.230L Pia M409,
Statement Period: 09/19/2013 • 10/31/2013
Transactions by Type of Activity (continued)
Process/
Settlement
Date Activity Type Description Quantity Price Accrued Interest Amount CCY
Total Value of Transactions 0.00 0.00
The price and quantity displayed may have been rounded.
Cash Not Yet Received
Security Record Date Payable Date Quantity Held Rate Mount of Payment Dividend Option
Interest
F'EASODY ENERGY CORP SR h T 10/15/13 11101113 1,200,000.000 0.036875 4250.00 Cash
7.375% 11101116 WE
Total Cash Not Yet Received 844,260.00
Bond Maturity Schedule
Bond Maturity Market Value % of Bond Market Value
1 to 5 years 1,735 000.00 18% Percentages of bond market values are
L rounded to the nearest whole percentage.
6 to 10 years 1,075,000.00 12%
Over 10 years 6,660 000.00 70%
Total 9,470,000.00 100%
Bond Quality
Bond Oualrty Market Value % of Bond Market Value
BA/Lower 9.470.000.00 ICC% Percentages of bond market values are
Total 9,470,000.00 100% rounded to the nearest whole percentage.
You are loose invested in bonds with a bond quality of BA/Lower.
Page 9 of 12
Account A urn ber Go INtoer less Rasa Incensed u.C..•••••••••••••••••••••••
e,"097270CSF30016 r.r I TI-E FAZE OALIW Ye R e• a S l in t0 A C P O a m w muneCaconrs
..XCEILUCIE
SDNY_GM_00048671
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) t sTONFIDENTIAL DES-SONY-0011495
EFTA_00159280
EFTA01291025

Client Service Information
Your Client Advisor: TDS Contact Information
TAIlA SMITH Telephone Number: (212) 454-2889
345 PARK AVENUE 14TH FLOOR
NEW YORK NY 10151
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST ill, FIRST OUT
Default Method for Stocks In a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Stadia's: FIRST IN FIRST OUT
Copies of Statement Sent
.EFFREY EPSTEIN
Al your request copies of this statement have been sent to the above.
Electronic Delivery
You have not selected any account communications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Qienl 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 shod positions, at the close of the statement period. The market prices have been obtained
from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a
price is not available are marked —N/A— and are omitted from the Total.
The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any
time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the
positron 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
mm.pershing.com/business_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your Statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included it confornations previously furnished to you. A summary of this
intonation 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 prorriptfy 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 fin.
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. dolars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
Page 10 oft 2
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SDNY_GA4_00048672
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CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. e DB-SDNY-0011496
EF'FA_00159281
EFTA01291026

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Statement Period: 09/1912013 - 10131/2013
Important Information and Disclosures (continued)
Foreign Currency Transactions (continued)
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, Slurred 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 & Pools. Reproducing and distributing any information received from Standard & Pools is not permitted without prior written
authorization horn Standard & Poor's. Standard & Poor's does not guarantee the accuracy. completeness, timeliness or availabikty 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 net 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 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 horn 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 hinds and securities you may deposit with it directly or through your financial institution or that it
receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents: the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC*). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit www.pershing.canIstrength_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.
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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 patty's abikty to have a coon reverse or modify an arbitration award is very hailed.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative lass who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (lithe class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem.
Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3333.
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