EFTA01291697.pdf

Deutsche Asset
& Wealth Management
Gnaw e Banc Ponie Wall" Maarnmi
Pewees CoV•00.4,1,P
CestsOw Ye* Moo
Now Wart Mar
P.O. Box 1776, Baltimore, MD 21203 345 Par% MY ,]MB liter
lieslat. PM 10114
0 0) 451-7101. n•-•091.
Account Number:
Statement Period:12/01/2015 - 12/31/2015
Portfolio at a Glance
Ibis Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 111,775,501.12 9233,030.73
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0.00 2,115,213.73
ST THOMAS VI 00802 het Securities InlOut of Account 0.00 5,867,790.80
Adjusted Previous Account Value 1,715,501.12 8,20,035.25
Dividends. Interest and Other Income 59 42 60.410.09
het Chan e in Portfolio •701812.80 .202 697 60
nclrnd Account Value SS 073,747 74 58,073 747 71
Your Client Advisor: Estim ated Annual Income $112,357.29
DANIEL SAW
Asset Allocation
Prior Year-End Last Period This Period % Allocation
LSD Cash. Money Funds and Bank Deposts1 233.030.72 2.408.595.12 2,408,654.54 29.83% Please rev eo yea allxa:ter
LSD Equities 0.00 8.366,906 00 5,665,09320 70.17% per05ca y w tr ye.r C ter: Advisor
Amount Total (Pie Chart) 1233,030.12 98,775,501.13 98,073,717.71 100.00%
I The Bank Deposes in your account are FDIC insured bank deposes.
FDIC insured back deposits are not setuates and are not covered by the Seountres Investor Protection Corporation
(SIPC). These bank deposes are covered trr the Federal Depose Insurance Corporation (FDIC), up to allowable limbs.
Pagri of9
1)0A0 ,ROLL c B0 O 09790 N 9C5F I 30 F 024 IDG ,n O pape cs r r ies/sA L R 0 ) ^ a 0 1 t : e 0 7 d 1 /k ( a . / . N i R ll C o A ' n a I W t n : t . * C 2 O 0 M 07 M UNICATIONS ...-
SDNY_GM_00049602
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12426
EFTA_00I 602 I I
EFTA01291697

Summary of Gains and Losses
Realized
This Period Year-tmDate Unrealized
long-Term Gain/Loss 0 00 COO 666 782 11
Net Galnlioss 0.00 0.00 666,782.11
This summary excludes transactions where cost basis information is not available.
FDIC Insured Bank Deposits
Date Adivit pt Demi• Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: N46028161 Activity Ending: 12131/15
12/01115 Opening Balance 2,408,595.12 2,408,595.12
12/15115 Delimit INTEREST CREDITED 59.42 2,408,854.54
AN 0.03%
12116115 BUT 2808,854.54
NO 12116 $198137.09
Citibank N.A.
NO 12116 $231500.00
Compass Bank
NO 12116 $237500.00
Deutsche Bank NI Co
NO 12/16 $237500.00
East West Bank
NO 12116 $237500.00
FSB of Tennessee
NO 12116 $231500.00
Huntington National B
NO 12/16 $73017.45
RBS Citizens PA
NO 12116 $237500.00
Texas Capital Bank
NO 12116 $237500.00
TriState Capital Bank
NO 12116 $231500.00
Um aqua Bank
NO 12116 $237500.00
12131115 Closing Balance $2,408864.64
Total FDIC Insured Bank Deposits 12,408,664.54
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Page 2 of 9
Account A umber: N4G-026161 Rated Euel4nt
1>itAlt ,,;,,I F I D A A so p E ap N erl T es I s A L . 1 7 . 1 " C 4 ." . E 1 3 , A 7 R "' R ATED C 2 O °° M 7 UNICATIOh1S Marlamaidastreiti Lit ed es8 4.111•EVII04,
SDNY_GM_00049603
676: IF ERN CO
CONFIDENTIAL—PURSUANT TO FED. R. GRIM. P. DB-SDNY-0012427
EFTA 0016 02 I 2
EFTA01291698

Deutsche Asset
& Wealth Management
Gnaw e Sam 1.•••• Wok,. P•s•••entm
Wises Corei4eComP
Cesisch• Ma N0.••••
Mrs bet ON,*
PO. Box 1776, Baltimore, MD 21203 .145Poli Mae, 111h I ter
11.v. week PM 10154
4142talt1S121•409S
Statement Period: 1210112015 • 12/3112115
Income and Expense Summary
Current Period Year-to-Dale
Taxable Noe Taxable Taxable Non Taxable
Dividend Income
0.00 0.00 59.998.00 0.00
Equities
Interest Income
FDIC Insured Bank Deposits 59.42 0.00 411.69 0.00
Total Dividends, nterest, Income and Expenses 559.42 10.00 160,410.09 $0.00
Portfolio Holdings
Account Activity Opening Ocala Heaved Income 30-Day Current
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 30.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSTS PROGRAM
12101115 2.408.854.540 N40028181 12131115 2.408.595.12 2.408.654.54 37.61 411.69 N/A NIA
Total FDIC Insured Bank Deposits 12,408,595.12 12,408,554.54 $37.61 1411.89
Total Cash, Money Funds, and Bank Deposits $2,408,595.12 $2,408,654.54 337.61 1411.69
Unrealized Estimated Intimated
Date Acquired Quantity Unit Cost Cod Basis Market Price Markel Value Gain( Loss Mutual Income Yield
Equities 70.00% of Portfolio
Common Stocks
APPLE INC COM Security Identifier: AAPL
Dividend Option: Cash CUSP 037833100
10128113 3 14.000.000 75.5800 958.120.50 105.2600 1,473,640.02 415,519.52 29.120.00 1.97%
0910511/ 3 7,200 000 98.9500 712,440.29 105.2600 757,871.98 45,431.69 14,976.00 1.97%
09/05114 3 32.820.000 98.9500 3,227,750.30 105.2600 3,433,581.20 205.830.00 67,849.60 1.97%
Total Covered 53,620.000 1,098,311.09 5,665,093.20 666,782.11 111,945.60
Total 53,820.000 $4,998,311.09 95,665,093.20 1668,782.11 5111,945.60
Total Common Stocks 14,995,311.09 95,665,093.20 1566382.11 5111,945.60
Total Equities $4,998,311.09 $5,685,093.20 6668,782.11 5111,94510
Page 3 of 9
rt,Itznal
Account Number. N404326161
D97909CSF3C t ()OA° IK>t F I D Go ^ p E ape N rles T s IAr 0AlliAn RAUL, • C 2 O 0 M 07 M UNICATIONS -,-
SDNY_GM_00049604
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 670‘"ERN 1)0:2110NOI DB-SDNY-00 12428
EFTA 00160213
EFTA01291699

Portfolio Holdings
(continued)
Unrealized Accrued Estimated
Cost Basis Markel Valve Gain! Loss Interest Annual Income
Total Portfolio Holdings $1,006,965.63 $8,073,747.74 6666,781.11 $0.00 $112,357.29
Footnotes
Securities acquired before 2011 or in retirement accounts 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 P1.110-343. the Emergency Economic Stabilization Act of 2008) and are. therefore, considered lioncovered," 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 non-rehrement,
US taxpayers securities which have been acquired on or after their "applicable dates)" at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8
for the applicable tax year in which the security is disposed.
Reporting requirements generally wit be phased in over a three-year period, as follows:
• Stock II a corporation acquired on or after January 1, 2911
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014.
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.
Me ssa es
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC).
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:/rynwr.dws-investments.coriVENfproducts/money-market-funds-yieks.jsp Please note that all money
market funds fisted on the website may not be offered through us.
Customer Collateral Account Under Securities Account Control Agreement
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 produces disclosure document or contact your advisor for additional information.
Please note the following information for Pershing's 2015 IRS Forms 1099 (B, DIV, INT, 010 and MSC ): Your form 1099 will be delivered as early as possible, beginning January 31, 2016. By February 16, you
will be mailed either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice MI be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the
securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than Mardi 17, 2016.
Page 4 of 9
Account Number. N40.026161 Rated luellent
MOAB ROLL SOUTHERN CP Lt. F I D G A o p E ap R erl T es I s A L rLOxsA,c*lrO iAtVnRaiRseA SrTloEwDs C 2 O 0 M 07 M UNICATIONS : e ta s n so •La e a ts ir e tra fe ti w r .* Pro O w •g "e..ts.,..-
SDNY_GM_00049605
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) DB-SDNY-00 12429
EFTA_GOI 602 I 4
EFTA01291700

Deutsche Asset
& Wealth Management
DralsOe Sam Pootle wean Ma.zigentvd
minim Iv.,, G.O.P
Cevische Sank Senn, vt
*vs bet ORo r
PO. Boa 1776. Balbmoro. MD 21203 .115 Pan .,,Sp. 20th lbw'
Mew %A PIT 10VA
OtH CA.2 184. MSS, 211.4M4
Statement Period:121011915 - 1213112115
Activity Summary /an amounts shown are in base currency)
Credits This Period Debits This Period Net This Period Credits Year•to•Clate Debits Year-to.Date Net Year•to•Date
Secunues
Securities Depos,tel 0.00 0.00 0.00 3.383.998.80 0.00 3.383,99840
Total Securities $0.00 $0.00 $0.00 $3,383,990.50 $0.00 $3,383,998.80
Dividends and Interest $59.42 $0.00 $59.42 $60,410.09 $0.00 $10,410.09
Cash
Deposts 0.00 0.00 0.00 2,115,21313 0.00 2,115,213/3
Total Cash $0.00 $0.00 $0.00 $2,115,213.73 $0.00 $2,111213.73
FDIC Insured Bank Deposits $0.00 -$59.42 •$59.42 $0.00 42,175,82312 42,17512182
Totals $59.42 459.42 $0.00 55,559,622.62 42,175,82312 $3,383,99180
Transactions by Type of Activity
Process/
Settler eat
Date ActWtirT Desc ti e Acaved inters Amount Onest
Dividends and Interest
12/15115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 59.42 USD
DEPOSITS INTEREST
RECEIVED
458997996
Total Dividends and interest- UNITED STATES DOLLAR 0.00 69.42
FDIC Insured Bank Deposits
12/15115 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -59.42 USD
DEPOSITS INTEREST
REINVESTED
458997996
Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 49.42
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Page 5 o19
CZ"K IFID"...„,.
Account Number. N40426161 ta.s cat...........v.....
MIA0 ROll SO UTF ERN G A O P E aP N er T les I s A Lt r Jiirunit;c2°°7 IOU 1Oh6 I ea s tn a t l r .. Z 1 a 1 4 amt. w F e S t Wilt =Pc
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SDW_GA4_00049606
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012430
EFTA_00160215
EFTA01291701

Client Service Information
Your Client Advisor: DAN
DANIEL SABRA
345 PARK AVENUE, 26TH FLOOR
NEW YORK NY 10154-0003
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds. FIRST IN FIRST OUT
Default Method for Socks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all OtheiSecurilies FIRST IN FIRST OUT
Bond Amortization Elections:
Am 0320 premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types Constant Yield Method
Include market discount in income annually: No
Electronic Delivery
You have not selected any account coin n unications for electronic delivery To register and turn off paper comm 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 on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted.
have been obtained from independent vendor services, which we believe to be reliable. Marital prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is
not available are marked "NM' arid are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks.
These figures are computed using intonation from providers believed to be rekable; 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, arid prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
VNAY.pershing.conbusiness_tontinuilyhtml for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions. Money Market Fund dividend income, Bank Deposit interest income. or dividends for other securities shown on your statement may have been reinvested. You wig
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order Now.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confinations previously furnished to you. A summary of this
information is evadable to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information 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. dolars for dividends and similar corporate action
Page 6 of 9
criNFI
Account Number. N4O126161
B0097909CSF300 4 DBAB.1.OO. SOUTHERN D GO a p n a c pe T rle I ss A L * Ri O --l" n -- S yd o • u tf— t 1 R ' M 5-". : - . t • C 2 O 0 M 07 M UNICATIONS : . r .. a .. n .• ••La e • n •• Z •• t • a • n no a w tt c •• l • e •• t • •• '" •c e onMEV Ida*
En/ail/No,
SDNY_GM_00049607
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012431
EFTA_OO16O216
EFTA01291702

Deutsche Asset
& Wealth Management
Orals° e Rana Pr.le wean TAAtenme
weans Conran DAR
PAIRSIN TATA,. RA
Ma RAT Mar
P.O.Box 1776, Balbmora, TAD 21203 345 PMAsst. l•thilkst
lee s Wet PM 10114
1/01447/114. MSS) 211409S
Statement Period: 1210112016 - 12/31(2015
Important Information and Disclosures (continued)
Foreign Currency Transactions (continued)
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry a investigation 0) orders
for the purchase and sale of securities and other property and In any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your fniancial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution 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
are other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and. in certain instances. execution of securities
ciders; the assessment of the suitability of those transactions, where 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: wnw.pershing.corniabout/strength-and-stability.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to
your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor
Protection Act
• Your financial organization's contact information can be found on the first page of this statement Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza,
Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court. including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's abikty to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of sane arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Page 7 of 9
Account number: 1146-026161 Go paperless R La il r e ry d Y IL e u a o r l T la an t te 2007 ;an eccrantis"‘s. ""0...Z............,
ONF IDAENTIAL [ O M A T CS h A /N R C RA I TCD COADAIRDCAT1OTTS RARATTIca rare ~A. woe .«
SDNY_GM_00049608
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-OO12432
EFTA_OO16O2 I 7
EFTA01291703

Important Information and Disclosures
(continued)
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Perskiig's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413.3330.
Page I or 9
Account Humber. N404126161 Ridded Luallent
• Wink ilin SOUR-ERN CT" LI.C. Go pdpQf1£SS rO tr x . Ae " rl liin Y e R e, A S T in C c 0 e C 2 O 0 M 07 M UNICATIONS
NFIDENTIAL
SDNY_GM_00049609
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12433
EFTA _001602I8
EFTA01291704

TERMS AND CONDITIONS
TRANSACTIONS PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER SPECIALIST. ODD LOT DEALER,
• ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY
SUBJECT TO THE CONSTITUTION. RULES, REGULATIONS. CUSTOMS. USAGES. RULINGS AND TRANSACTION YOU MAY MAKE, PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, F ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR F APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS
• TITLE TO SECURITIES SOLD TO YOU, WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN AVAILABLE UPON REQUEST.
WITH PERSHING UNTIL THE ENTRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT
DATE. WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN
• YOU MAY HAVE RECEIVED COFFRMATIONS FOR TRANSACTIONS WHICH CO NOT APPEAR ON YOUR VIEW IT ONLINE AT WWW.PERSHNO.COM.
STATEMENT. F SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW PERSHING CONVDISCLOSURES
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS.
THIS IS ESPECIALLY TRUE F YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS-
FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S RULE 1307(A)(1)-(2))
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS.
PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
FROM TIME TO TINE DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
COMPUTED AS DESCRIBED N MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR SUBSEQUENT EXECUTION. THE DETALS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON
FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW
MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF TO CERTAN OPTION EXCHANGES. IN ADDITION. PERSHNG ROUTES CERTAIN EQUITY AND OPTION
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT COMPENSATION IS GENERALLY IN THE FORM CF A PER OPTION CONTRACT CASH PAYMENT.
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
INSPECTION UPON REQUEST. FLOW. PERSHNG SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE-
TAX INFORMATION COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS.
TRANSMITTED ELECTRONICALLY VP TO A SPECIFIED SEE. AND TO EXECUTE THEM AT OR BETTER THAN
• AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTNN LARGER ORDERS. OR F THE DESIGNATED
REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHNG WILL MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY
PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
STATEMENT TO PREPARE YOUR TM FLINGS. THE TAX STATEMENT ALSO NCLUDES OTHER USEFUL WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH
INFORMATION TO ASSIST AN ACC UMULATNG THE DATA TO PREPARE YOUR TAX RETURNS. QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR AMITY TO PROVIDE
• DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY
AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES.
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS
GENERAL INFORMATION.
• PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE
ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCH ADVICE. IF GIVEN INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO
DETERMINE THE APPROPRIATE TM TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ME INDEBTED TO PERSHNG LLC ('PERSHNG') 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. W ITHOUT TENDER
DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR
PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS;
ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAD BY YOU.
• WHENEVER YOU ARE INDEBTED TO PERSHNG FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR
YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY
PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WLL PERMIT THE
COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR
GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT
PROHIBITED BY LAW.
F ANY OF DIE ABOVE TERMS AND CCMDIT IONS ARE UNACCEPTABLE TO YOU. PLEASE NOTFYPERS-ING IMMEDIATELY IN WRITING BY CERTIFIED MAIL TO ONE PERSHING PLAZA JERSEY arClil Ora ant LEGALDEPT
Page II o(9
Accouni H um ber. 1146. Rated Emeliont
026161 Go paperless Lreey Year We 2007 MM et weerwaleLmte‘• Wire"m en See.
S0UTI-ERN ONFI DAENTTAL °MBAR RATED COMMUNICATIONS •••••••••41.a nevenew. 'elm m0
l'Re7I MCI
SDNY_GM_00049610
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SONY-0012434
EFTA_00160219
EFTA01291705

Deutsche Asset
& Wealth Management
Draisre Sant Pnvaie weadin maatenan
matins Gwen* 66,P
Cettscht Ur* Settonei bic
Mow Orloo
PO. Box 1776, Balbmoro, MD 21203 HI PIO AMINO. 2•11. I kit
Nowt* NY 10114
00)45441.1ISSIM409S
Account Number: N4G-0 26 16 1
Statement Period: 11101/2015 - 11/3012015
Portfolio at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 18,812,037.99 $233,030.72
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 000 2,115,213.73
Net SecutihesIniClut of Account 000 5,867,790.80
ST THOMAS VI 00802
Adjusted Previous Account Value 8,812,037.99 0,215,035.25
Dividends. Interest and Other Income 28.047.13 80.350.67
Net Charlie in Portfolio -64.584.00 499 115 20
ndrng Account Value SS 7 5 50 1 1 2 58.775.501.12
Your Client Advisor: Estim ated Annual Income $112,297.87
DANIEL SAW
Asset Allocation
Prior Year•End Lad Period This Period % Allocation
L SO Cash Money Funds and Bank Depootsl 233.030.72 2,380,547.99 2.408.595.12 27.45% Ili i\ Please rev e,v Cr. aliccncl
LSD Equities 0.00 8431,490.00 8.366,906 00 7255% peior:ca 7 o t- yc.., C,er:Adv so
Account Total (Pie Chart) $233,030.72 0,112,037.99 8,775,501.12 100.00%
I The Sane Deposes in your account are FDIC insured bank deposits.
FDIC insured bank deposits are not senoritas and are not covered Dy tne Secunties Investor Protection Corporation
(SIPC). These bank deports are covered by the Federal Depose Insult* Corporabon (FDIC). up to allowable ti rots.
Page 1 ol 8
Rated Excellent
L>BA0 ROIL A0097019CSF30017 C143paperless L 0 v .4 e 1 r 0 y A V R a R t A S T i E nc D e C 2 O 0 M 07 M UNICATIONS • ea • tr • l • a • m ••• d L e a a N v e e e s w tr o e k a Ii t i a i'= , N " n 01 . : . 7 s m i " K e e'NNW 860..
IXCII CNC
SDNY_GM 00049611
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-OO12435
EF1'A_00160220
EFTA01291706

Summary of Gains and Losses
Realised
This Period Year-to-Date Unrealized
long-Term Gamfloss 0 00 0.00 1,368 594.91
Net Galn/Loss 0.00 0.00 1,368,594.91
This summary excludes transactions where cost basis information is not available.
FDIC Insured Bank Deposits
Date Aaivit T pe Desai Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: N46026161 Activity Ending: 11130115
10131115 Opening Balance 2,380,547.99 2,380,547.99
11113/15 Depoit DEPOSIT 27,986.40 2,408,534.39
11113/15 Deposit INTEREST CREDITED 60.73 2,408,595.12
APY 0.03%
11116115 Associated Bank NA 2,408,595.12
NO 11(16 $237500.00
Androscoggin Bank
NO 11(16 $237500.00
BUT
NO 11(16 $237500.00
Citibank N.A.
NO 11(16 $33595.12
Deutsche Bank Trst Co
NO 11(16 $237500.00
FSEI of Tennessee
NO 11(16 $237500.00
Huntington National B
NO 11(16 $237500.00
Israel Discount Bank
NO 11(16 $237500.00
Texas Capital Bank
NO 11(16 $237500.00
TriStale Capital Bank
NO 11(16 $237500.00
Umpqua Bank
NO 11(16 5237500.00
11(30116 Closing Balance 12.400,595.12
Total FDIC Insured Bank Deposits 12,401,596.12
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to $250,000 for each category of legal ovmership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Page 2 of 8
Account 1\ umber. N404326161 Rated twollont
IMAM ROL TI- ERN F N L1C. FIDCnio cpaaperrlTessA L rO tr xA a IaL y t : Yea P r A S T i C nc D e C 2 O 0 M 07 M UNICATIONS eattan etN errestOrirea•"o nMir Wawa
SO NCJ
SDW_GM 00049612
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0012436
EF1'A_00160221
EFTA01291707

Deutsche Asset
& Wealth Management
Draisre Banc ...tie W34/.41,14aatentm
BYOB Comae Comp
CeettOw Is* Sm.e n 114.
NON id Mo.
PO. Box 1776, Balbmoro, MD 21203 NfP in MY, ]NI, I by
lies•aft. PM 10114
PO/ 65.61306 PSM 7144095
Statement Period: 1110112015 - 11130/2115
Income and Expense Summary
Current Period Year-to-Date
Taxable Noe Taxable Taxable Noe Taxable
Dividend Income
27,986.10 0.00 59.998.10 0.00
Equines
Interest Income
FDIC Insured Bank Deposits 60.73 0.00 352.27 0.00
Total Dividends, nterest, Income and Expenses 628,047.13 10.00 160,350.67 10.00
Portfolio Holdings
Account Adivily Oneonta Closiag Accrued Income 30-Day Current
Opening Date Quantity Number Endieg Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 27.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSTS PROGRAM
10/31115 2.408.595.120 N40026181 11130115 2.380.54719 2,108,595.12 29.72 352.27 NIA NIA
Total FDIC Insured Bank Deposits 12,380,54719 12,408,595.12 329.72 1352.27
Total Cash, Money Funds, and Bank Deposits 12,380,547.99 $2,408,595.12 129.72 1352.27
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gala, Loss Annual Income Yield
Equities 73.00% of Portfolio
Common Stocks
APPLE INC CON Security Identifier: AAPL
Dividend Option: Cash CloSIP. 037833100
10/28113 14.000.000 75.5800 1.058,120.50 118 3000 1.656.200.02 598.079.52 29,120.00 1.75%
3
09105114 3 7,200 000 98.9500 712,440.29 118 3000 851,759.97 139,319.68 14,976.00 1.75%
09105114 3 32.620.000 98.9500 3,227,750.30 118.3000 3,858,946.01 631,195.71 67,849.60 1.75%
Total Covered 53,820.000 4,998,311.09 6,366,906.00 1,368,194.91 111,945.60
Total 53,820.000 14,998,311.09 $6,369,906.00 $1,368,614.91 $111,945.60
Total Common Stocks 14,9911,311.09 16,366,906.00 61,361,694.91 $111,945.60
Total Equities $4,998,311.09 16,366,906.00 $1,368,694.91 $111,945.60
Page 3 of 8
Out
Account A umber. N40126161 Riled Excellent
A, 099049CSF3C P.. MOAB ROLL SO L TF ERN F DGor paaperrlieAss Lt 0 tn 6.1 e .1 r 3 6 V 1 . 1 " R A S T M CO C . C 2 0 0 6 0 1 7 /6 1.1160‘TIONS Matt et warraligt =fa.' SW li•••••
NF I f %en I ENO'
SDNY_GM_00049613
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12437
EFTA_00 160222
EFTA01291708

Portfolio Holdings
(continued)
Unrealized Accrued Estimated
Cost Basis Markel Vain Gain/ Loss Interest Annual Income
Total Portfolio Holdings $7,006,906.21 9,775,501.12 91,361,594.91 $0.00 $112,297.67
Footnotes
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("lRC") (incorporating
amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such.
All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered* under the new cost basis reporting rules are defined as non-rehrement,
US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8
for the applicable tax year in which the security is disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock is a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014.
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.
M essages
Please note the following information for Pershing's 2015 IRS Forms 1099 (B. DIV, INT, OID and MISC ): Your form 1099 will be delivered as early as possible, beginning January 31, 2016. By February 16. you
will be mailed either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It coil inform you of the
securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 17, 2016.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DVVS Investments website at httpsINAwrdws-investments.corniEN/productsimoney-marIcet-funds-yields.jsp. Please note that all money
market funds fisted on the website may not be offered through us.
Customer Collateral Account Under Securities Account Control Agreement
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Page 4 ore
Account Number N40.026161
MIAS ROLL SOUTHERN F I D (s A o p E ap N erl T es I s A L rO tr x a Ac y llir V inn a il n taA S rT i C n D t* C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00049614
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 13(b) DB-SDNY-00 12438
EFTA_OO16O223
EFTA01291709

Deutsche Asset
& Wealth Management
Orals° e Sant Prmale Wealth Magetenmil
Mareels Croe00107:•7
CeehOw lelkSeCionel
New Wart Orto
PO. Boa 1776. Baltimore. MD 21203 341P arli Mart leth ter
linelget. Nr 10114
0 0) 451-7110. 0713) 22•409S
Statement Period: 11/0112015 - 11130/2015
Activity Summary (Al! amounts shown are in base currency)
Credits This Period Debits This Period Net This Period Credits Year•to•Clate Debits Year-to•Date Net Year-to-Date
Securities
Securities Deposited 0.00 000 000 3.383.998.80 0.00 3,383,99810
Total Securities $0.00 $0.00 $0.00 $3,383,998.80 $0.00 $3,383198.80
Dividends and Interest 128,047.13 $0.00 $26,047.13 $60,360.67 $0.00 $10,350.117
Cash
Deposts 0.00 000 000 2.115.213.73 0.00 2,115,213.73
Total Cash 10.00 $0.00 $0.00 $2,116,213.73 $0.00 $2,111213.73
FDIC Insured Bank Deposits 10.00 128,047.13 128,047.13 $0.00 -$2,171514.40 .$2,171584.40
Totals $21047.13 -$20,047.13 $0.00 $5,559,563.20 -12,175,584.40 13,363,99610
Transactions by Type of Activity
Process,
Settlement
Date Activity Type Description Quantity Price Awued Interest Mount Qirreicy
Dividends and Interest
11112115 CASH. DIVIDEND RECEIVED 53820 SIRS APPLE INC COM RD 11/09 PD 11/12/15 27.98640 LSD
AAFt
11113115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 60 73 LSO
DEPOSITS INTEREST
RECEIVED
458997996
Total Dividends and interest • UNITED STATES DOLLAR 0.00 28,047.13
FDIC Insured Bank Deposits
11/13115 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 47.98640 USD
USD999997
11/13/15 FDIC INSURED BANK IASLRED DEPOSITS INTEREST REINVESTED 5073 USD
DEPOSITS INTEREST
REINVESTED
458997996
Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 -28,047.13
Page 5 o18
Account Number N401-26 161 Rated excellent
02Ali ROL SOUTHERN CrO— NFID Go ^ p E ap N erle T ss IAL, tray Year 'Sento C 2 O 0 M 07 M UNICAT lOhtS • e • t • t • ia •• r • t L re A r e • r • a •• l • e •• l • trO O o H m M e W et. Y e e n te•••••
SDNY_GM_00049615
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) DB-SDNY-00 12439
EFTA 001070224
EFTA01291710

Transactions by Type of Activity (continued)
Process'
Settlement
Date Activity Type Desaiption Quality Price Accrued Interest Amount Currency
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: DAN
DANIEL SABBA
345 PARK AVF.NUE 28Th FLOOR
NEW YORK NY 10151-0003
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds FIRST IN FIRST OUT
Default Method for Socks in a Dividend Reinvestment Flan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Bond Amortization Elections:
Amortize premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types: Constant Yield Method
Include market discount in income annually: No
Electronic Delivery
You have not selected any account cam m unications for eledronic delivery. To register and turn off paper communications, log in to your account or canted your Client Advisor for more information.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the close of the statement period. The market prices, unless otherwise noted.
have been obtained from independent vendor services, which we believe lo be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is
not available are marked "N/A* and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be rekable; 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 busness conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities, interest and dividend rates, and prices remain constant. A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to
vnwipershing.corribusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You MI
not receive confirmation of these reinvestments. Upon written request to your financial institution. information pertaining to these transactions. including the time of execution and the name of the person from
whom your security was purchased. may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment fa order flow.
Page 6 of 8
MOAB ROIL S A O cc U o T u H n E t R N N u m F b er. N C 4 A 0 L .0 L 2 W 81 . 6 1 GO pa,peTrleTssA L- R O a N g . e B d A Y E R x • c R •• e A l s l T e e E n " D t . C z O oo M m M UNICATIOhtS Mat bt etwarteliitr C•i41": Sante MOW
ONFIDn EMT' I MC/
SONV_GM 00049616
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0012440
EF1'A_00160225
EFTA01291711

Deutsche Asset
& Wealth Management
Gnaw e Banc PrrnieWeSth PAMIrlad
matins CONWP G.wp
Cestuht W Moon. mc
New Wart Oltor
PO. Boa 1776. Balbmoro. MD 21203 345 FM Mist Ilith I kir
lieslat. PM 10114
P.O4M4114.POOM-6091.
Statement Period: 11/0112015 - 11/3012015
Important Inform ation and Disclosures (continued)
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or fniancial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Addrional information regarding this procedure is available upon written request to your ntroducing 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 light to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaler number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept 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 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
arid 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 cr activity should
be directed to your financial institution. Your financial organization's contact information can be found on the fist page of this statement.
• For a desorption 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: iwnv.pershing.com/abothrstrength-and-stability.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days AM receipt of this statement, to
your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in wribng to further protect your rights. including your rights under the Secunties Investor
Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza,
Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted.
Page? of 8
Account Humber. 1146.026161 Riled Ibicellent
Go paperless twos" Year SW* 2007
SOUTI- ERN CZ, LLC. OAISAR RAM. COMMUNICATIONS
N F I DAEWITAL )0Z/IIIINCI
SDW_GM_00049617
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012441
EFTA_00160226
EFTA01291712

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 pry. except as provided by the rules of the arbitration foram in which a claim is filed.
• Arbitration awards are generaty final and binding; a patty's stilly to have a Court reverse or modify an arbitration award is very limited.
• The abildy 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 inckide a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court
• The rules of the arbitration forum in which the claim is filed. and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or fill) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330.
Page I ol8
MIMI ROIL S Ac 0 c U o T u I n - t E n R u N m C be V r: O N40 -0 L 2 L 6 C 1 . 6 1 GO paper less 4......O6 -I R O .r a A o t s L e -y S d M y C e I v - ( w o M i l W l U o o . D C l • C 2 O 0 M 07 M UNICATIONS M • a • r • i • a •• n •• ac M . •• s • t • r • o •• a •• l • m •• imt • " ••• O •• r e s l o "e c m sIMIVINOm
NF IDneTTAL
SDW_GM_00049618
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) DB-SDNY-0012442
EFTA_00160227
EFTA01291713

Deutsche Asset
& Wealth Management
Draisre Banc Poetic vftsar#4.itenan
Mantes Covent C,C,P
Ces4sOw Si* Maori mc,
/10•11ort0111,0
PO. Bca 177B, Balarnare, MD 21203 341Parli Aseask *cc
liesVat. WI 10114
IM)4544100. PSI) n•-•091.
Account Number: N40-026161
Statement Period: 10/01/2015 - 10/31/2015
Portfolio at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 18,316,835.27 $233,030.72
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0.00 2,115,213.73
ST THOMAS VI 00802 Net SecurinesInlOut of Account 000 5,067,790.80
Adjusted Previous Account Value 8,316,835.17 1,216,035.25
Dividends. Interest and Other Income 58 72 32.303.51
Net Chan .e in Portfolio 495 144.00 563 699.20
nding Account Value $S 812 037 99 S8 812 037 99
Your Client Advisor: Estimated Annual Income 5112 237 14
DANIEL SAM
Asset Allocation
Prior Year•End Last Period This Period % Allocation
LSD Cash. Money Funds and Bank Depostst 233.030.72 2.380.489 27 2.380.547 99 27 01% AL Please rev e,y so.J alixa:ie,
LW Equities 0.00 1936.346 00 6.431.490 00 7299% [ Dein ca 7 V/ t- )C./ C er: Adv sr
Account Total (Pie Chart) 1133,030.12 9,316,835.27 88,812,037.99 100.00%
I The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bank deposits are not securit es and are not covered by the Secuntes Investor Protecbon Corporation
(SIPC). These bank deposts are covered by the Federal Depose Imitate Corporaton (FDIC). up to allowable
Page 1 oil
Rated excellent
1.>11A0 ROLL A01103 PCSF30010 paperless O Lv 4 e 1 s 1 r 3 y 1 v 1N a t R A S T i C nc D e C 2 O 0 M 07 M UNICATIOhtS : • t • a • n •. •••La e • t • w •• o •• r • r • e •• a • l • aa •• sa •••.€ soc
CONFIDENTIAL ""'"a
SDNY_GM_00049619
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DS-SDNY-0012443
EFTA_00160228
EFTA01291714

Summary of Gains and Losses
Realized
This Period Year•to•Date Unrealized
long.Term Gain/Loss 0.00 0.00 1A33.178 91
Net Gal& Loss 0.00 0.00 1,133,170.91
This summary excludes transactions where cost basis information is not available.
For Your Information
Please note that the Valuation at a Glance section on page one of your account statement will be updated and renamed Portfoko al a Gana, beginning with the October 2015 statement. This change does not
apply to accounts which display only opening and closing balances on page one.
FDIC Insured Bank Deposits
Date Activity Type Description Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account h um ber: A4G026161 Activity Ending: 10130115
10101115 Opening Balance 2,380.189 27 2,380,189.27
10115/15 Depotal INTEREST CREDITED 5872 2.380.547 99
APY 0.03%
10116/15 Androscoggin Bank 2,380,517.99
NO 10116 5237500.00
BOLT
NO 10116 15547.99
Citibank N.A.
NO 10116 S237500.00
Deutsche Bank Tail Co
NO 10116 1237500.00
East West Bank
NO 10116 $237500.00
Flushing Bank
NO 10116 1237500.00
FM of Tennessee
NO 10116 5237500.00
Huntington National B
NO 10116 1237500.00
RN Citizens Bank
NO 10/16 1237500.00
Texas Capital Bank
NO 10116 5237500.00
Page 2 of 8
I)0A0 itOt Account Num C ber O N4G• l 02 q 616 1 Go paperless R[ O v A ee S mry 0 . A V E R o n s R c s e A l S l T e i E n n c D t e C 2 O 0 M 07 M UNICATIONS : e T n a tw n ou0 e e ti a a r r l r a ro it m a Pe .C rn o r o • n s .e e .s r saSW Ida*
FIDEmisrriAL axeuvav
SONY_GM_00049620
6: THERN
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-00 12444
EFTA_00 I 60229
EFTA01291715

Deutsche Asset
& Wealth Management
Draisre Banc Ponie Wealth Magagentm
Maeats Confiee C,0.
CesbOw Wit Sea...nein<
Now brit Mar
PO am 1776, Baltimore, MD 21203 NI FM Melnik Iiith liter
Ife sI lat PM 10114
0 0) 41,1-711. IIMI21•4011
Statement Period:0101121M - 1013112115
FDIC Insured Bank Deposits (continued)
Date Activity Type Description Mount Balance
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
TriState Capital Bank
NO 10116 5237500.00
10130115 Clasina Balance $2,380,647.99
Total FDIC Insured Bank Deposits $2,380,647.99
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to 5250.000 for each category of legal ownership Mcluding Mdivictual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Income and Expense Summary
Parent Period Year4mDate
Taxable Non Taxable Tuable Non Taxable
Dividend Income
Equities 0.00 0.00 32.012.00 0.00
Interest Incom e
FDIC Insured Bank Deposits 58.72 0.00 291.54 0.00
Total Dividends, Interest, Income and Expenses $68.72 $0.00 $32,303.54 $0.00
Portfolio Holdings
Amount Activity Opting Oosieg Accaed leonine 30-Day Current
Opening Date Quantity Number Ending BMus 8113101 Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 27.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
10101115 2.380.547.990 N46028181 10130/15 2.380.489.27 2.380.547.99 33.27 291.54 NM NM
Total FDIC Insured Bank Deposits $2,380,489.27 $2,380,547.99 $33.27 $291.64
Total Cash, Money Funds, and Bank Deposits $2,380,489.27 $2,380,647.99 $33.27 $291.64
Page 3 of 8
Account Number N40.026161 Riled Excellent
OtlAla ROLL SOUTHERN CNCIAL LL F I D G A o p E ap R erl T es I s A L I E O v A X o X r C O y I A I Y I R / v N e R s a A W T C O D O . C 2 O 0 M 07 M UNICATIONS M or a e n so un eisttailltrons weir w " e we Mao
SDNY_GM_00049621
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12445
EFTA_00 160230
EFTA01291716

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date Acquired Quietly Unit Cod Cod Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities 7 3.0 0% of Portfolio
Common Stocks
APPLE INC CON SeCurity Identifier: AAPL
Dividend 0ption: Cash CUSIP. 031833100
10/28/13 3 14,000.000 75.5800 1,058,12050 119.5000 1,873,000.02 614,819.52 29,120.00 1.74%
09105114 3 7,200.000 98.9500 712,44029 119.5000 860,399.97 147,959.68 14,976.00 1.74%
09105114 3 32,620.000 98.9500 3,227,750.30 119.5000 3,898,090.01 870,339.71 61,849.60 114%
Total Covered 63,020.000 4,998,311.09 6,431,490.00 1,433,176.91 111,946.60
Total 63,020.000 94,998,311.09 $6,431,490.00 $1,433,176.91 $111,945.60
Total Common Stocks $4,998,311.09 $6,431,490.00 31,433,178.91 $111,945.60
Total Equities $4,998,311.09 $6,431,490.00 $1,433,178.91 $111,945.80
Unrealized Acaued Estimated
Cost Basis Market Value Gain/ Loss Interest Annual Income
Total Portfolio Holdings $7,378,059.08 $8,812,037.99 $1,433,178.91 30.00 $112,237.14
Footnotes
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended ("IR') (incorporating
amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such.
All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement,
US taxpayers 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 van be reported to the IRS on form 1099-B
for the applicable tax year in which the security is disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquked on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or alter January 1, 2014.
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.
Messages
Customer Collateral Account Under Securities Account Control Agreement
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DINS Investments website at https://vmw.dws-investments.conVEN/products/money-markehfundswields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Please note that the Valuation at a Glance section on page one of your account statement will be updated and renamed Pori' ago of a Glance beginning with the October 2015 statement. This change does not
apply to accounts which display only opening and closing balances on page one.
Page c of 8
Account Humber. N40126161 Riled (*valeta
OMB RCM SOUTHERk Go paperless "oZnarrer..‘twict7c2g147/....c.TioNs Asa. tan avow am* oni v --
EXCIIION01
SDNY_GM_00049622
ONFID AENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-00 12446
EFTA_00160231
EFTA01291717

Deutsche Asset
& Wealth Management
Gnaw, Sam. TrAme Weal, MaNtenan
IMeets Comae Cows
MANN SankSettoom Ac.
Am AA Ono,
PO. Box 1776, Balemoro, MD 21203 Nfrot /ANNA IAA IAA
Am AA IOIN
INN CAMS.. I115121SAMS
Statement Period: 10/01/2015 - 10131/2015
Messages (continued)
Although a money market mutual fund seeks to preserve the value of your investment at St per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the
money market mutual hind's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Activity Sum m ary
(All amounts shown are in base currency)
Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Nei Year-t-oDate
Securities
Sec... cc _r: 0.00 0.00 000 3 383 998 80 000 3,383,998.80
Total Securities 80.00 30.00 30.00 $3,383,998.80 10.00 $3,383,998.80
Dividendsand Interest 858.72 $0.00 $58.72 $32,303.54 80.00 $32,303.51
Cash
Deposits 0.00 0.00 0.00 2,115,213.73 0.00 2.115,21313
Total Cash $0.00 $0.00 $0.00 82,115,213.73 $0.00 $2,115,213.73
FDIC Insured Bank Deposits $0.00 .$50.72 -$58.72 $0.00 .12,147,517.27 ..$2,147,517.27
Totals 08.72 -$58.72 $0.09 $6.531,610.07 -12,117,517.27 $3,313,990.10
Transactions by Type of Activity
Process/
Settlement
Date Activity Type Description Quantity Prior Accrued Meted Mont Cerreacy
Dividends and Interest
10115115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 58.72 USD
DEPOSITS INTEREST
RECEIVED
/58997996
Total Dividends and Interest - UNITED STATES DOLLAR 0.00 58.72
FDIC Insured Bank Deposits
10/15115 FDIC INSURED BANK IN St, RED DEPOSITS INTEREST REINVESTED 48.72 USD
DEPOSITS INTEREST
REINVESTED
458997996
Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -50.72
Page 5 ol 8
Account Number. N40-026181 Rated Cm•Ilent
VINO ROtL SO UTI- ERN F LLC. Go paperl ess C tr O " MM Y A a S m A S N im D * C 2 O 0 M 07 M UNICATIONS I oa N tt N ita A m V IA ware M al A o A lsaa C N t A T I T s tm"e mMN NANA
N FI D AEISITIAL "annia
SDNY_GM_00049623
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012447
EFTA_00160232
EFTA01291718

Transactions by Type of Activity (continued)
Process'
Settlement
Date Activity Type Desaiption Quality Price Acand Inters Amount Currency
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: DAN
DANIEL SABBA
345 PARK AVENUE 20TH FLOOR
NEW YORX NY 10151-0003
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for Socks in a Dividend Reinvestment Flan: FIRST IN FIRST OUT
Default Method for all Other Secudties: FIRST IN FIRST OUT
Bond Amortization Elections:
Am oda premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types: Constant Yield Method
Include market discount in income annually: No
Electronic Delivery
You have not selected any account cum m unications for electronic delivery. To register and turn off paper communications, log in to your account or canted your Client Advisor for more information.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, induding short positions. at the close of the statement period. The market prices, unless otherwise noted.
have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may diner from the actual sale price. Securities for which a price is
not available are marked "N/A" and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EOUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY)hgures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using intonation from providers believed to be rekable; however, no assurance can be made as to the accuracy. Slice interest and dividend rates are subject to change at any time,
and may be affected by current and future economic, political, and tuskless 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
vnm,pershing.corn/business_conhnuty.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wi
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions. Mcludin the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow.
Page& of 8
Account Number: ii4G-026161 Rated Excellent
IIMAR ROIL SOUTHERN mmen loi Go paperless ° tr A a L y M Y A e a R r A S T a E t D e C 2 O 0 M 07 M UNICATIONS i e aat a ra s ll e •m l L a a a a lw m e m r o C r a a l n ls“ ‘•"• w "•O ar • s..e...t- ea flaaaa
ffliellera
SDNY_GM_OOO49624
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) a n cTrAi L DB-SDNY-0012448
EF1'A_00160233
EFTA01291719

Deutsche Asset
& Wealth Management
Dralsre Sant Prmale wean 1.4.2gental
Wrests Cerra. G,Pp
PMUM Oa* Seturri x.
Mw M Mar
PO. Box 1776, Balbmoro, MD 21203 341Parli MY. MTh ter
liesli" Iona
P1O4661161.61O671•4091,
Statement Period: 10/0112015 - 10131/2015
Important Information and Disclosures (continued)
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confamations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or fniancial situation. Expiring options which are valuable are exercised automaticaly pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing ferns
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 automaticaly 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, ncreased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
The Rote 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 properly and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your fniancial 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.
• For a desorption 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 (SIPC6). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: vnwtpershing.corniabout/strength-and-stability.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to
your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in wiling 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 I1C, Legal Department. One Pershing Plaza,
Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted.
Page? of 8
Account number. N40.026161
Go paperless L vent Year Sant. 2007 -att. gime* vas ,1 -MHO , MEV le a.
SOUTHERN CRUM. . rOxaoir inntitr COmmuniCAT 'Ord Orserenn eanaerreala, ant else
SDNY_GM_00049625
n F D AE. NTIA
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012449
EFTA_00160234
EFTA01291720

Important Information and Disclosures (continued)
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in couit. 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 tAnding; a patty's stilly to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators will typically inckide 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 Med, 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; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows' Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330.
Nelda
Account umber N46.026161 Go paperiess Rated (*.Hat
it.nt ONFIDAENTIAL L 0 y A o lO n/ A Y R e a P r A 5 U .. L C , . C 2 O 0 M 07 M UNICATIO116 enn a a n c . e a t s v e e t s ra tn lo a t l k M re t v l. e O Zi K o n MIN Wave
SDW_Cat00049626
676: TFER"
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SONY-0012450
EFTA_00160235
EFTA01291721

Deutsche Asset
& Wealth Management
Orals° e Sam Prmale wean ma.zigenan
weans Corea. Ocs.
CetisOve 66.1Settork MC.
New Ibrt Mar
PO. Box 1776, BPIbmora, MD 21203 lifraa ASS. 1•th I tccr
Ms Vat. PM wits
011/6661301.6716171•41/11,
Account Number: N40-026161
Statement Period: 09/01/2015 - 09/30/2015
Valuation at a Glance
This Period Tear-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 18,449,173.75 0233,030.72
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0.00 Z 115,213.73
ST THOMAS VI 00802 Net Securities InlOut of Account 0.00 5,867,790.80
Adjusted Previous Account Value 8,449,173.75 8,210,035.25
Dividends. Interest and Other Income 58 72 32244.82
irnet Chdan ze ins Pioi r .20
Your Client Advisor: Estimated Annual Income $112,178.42
DANIEL SAB8A
Asset Allocation
Prior Year-End Last Period This Period % Minutia°
LSD Cash. Money Funds and Bank Deposts1 233.030.72 2,380,430.55 2.380.489 27 28 62% PMeee review your allocation
LSD Equities 0.00 8.088,743 20 5.936.346 00 7138% I 1 --- pedoaal1y wtri your Cure Mvlror.
Account Total (Pie Chart) 1233,030.72 18,419,173.75 $8,316,835.27 100.00%
I The Bank Deposits in your account are FDIC insured bank deposes.
FDIC insured bar* deposits are not securit es and are not covered by tne Securities Investor Protects Corporation
(SIPC). These bank deports are covered Of the Federal Cepost Instance Corporation (FDIC). up to alowable amts.
Page 1 of 9
Rated exc•iiat
B0097322C5F10024 Go paperless tree, Yea• Unto 2007 M4 MF_
CatiOut RATCO COmmut6C611066
CONFID=AL PC/o6NO1
SDNY_GM_00049627
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012451
EF1'A_00160236
EFTA01291722

Summary of Gains and Losses
Realized
This Period Year.to•Date Unrealized
Long-Term Gam/Loss 0.00 0.00 938.034.91
Net Oat& Loss 0.00 0.00 938,034.91
This summary excludes transactions where cost basis information is not available.
For Your Information
Please note that the Valuation at a Glance section on page one of your account statement will be updated and renamed Portfoko at a Gana, beginning with the October 2O15 statement. This change does not
apply to accounts which display only opening and closing balances on page one.
FDIC Insured Bank Deposits
Date Activity Type Description Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: N4G026161 Activity Ending: 09130115
09/01115 Opening Balance 2,380.130 55 2.380.130.55
09115115 Dermal INTEREST CREDITED 5872 2.380.489 27
AP( 0.03%
09116/15 Citibank N.A. 2.380.489.27
NO 09116 5237500.00
Compass Bank
NO 09O6 1237500.00
Deutsche Bank list Co
NO 09116 S237500.00
East West Bank
NO 09116 1237500.00
First Niagara Bank
NO 09116 $237500.00
Huntington National B
NO 09116 1237500.00
NYCommunity Bank
NO 09116 554139.27
Texas Capital Bank
NO 09116 1237500.00
TriState Capital Bank
NO 09116 1237500.00
Union Bank of CA
NO 09116 5237500.00
Page 2 of 9
Account Number N46•026161 Rated Excellent
InIAO ROLL CO Go paperless L 0 v ,4 e 0 nr A V R W RA S T i E nc D e C 2 O 0 M 07 M UNICATIONS
FIDEsivriAL EXCEILINCE
SONY GM_00049628
6: THERN
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-S6NY-00 12452
EFTA_OO I 60237
EFTA01291723

Deutsche Asset
& Wealth Management
Gnaw e Sam Prmaie Magagentm
Weals I oretite Comp
Chische OW Saloon w.
"re bet Mar
PO. Boa 1776. Baltimore. MD 21203 .115 PIA Sam, lith liter
Sew veA PM 10154
II In 4statr. ISM211409S
Statement Period: 09/0112015 - 09/30/2115
FDIC Insured Bank Deposits (continued)
Date Adivity Type Description Amount Balance
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
tam Aqua Bank
NO 09/16 $237500.00
09/30115 Closing Balance 32 380 89.27
Total FDIC Insured Bank Deposits 32,380,489.27
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to 5250,000 for each category of legal ownership Mckiding rdividual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Income and Expense Summary
Current Period Year-to-Dale
Taxable Noe Taxable Taxable Nos Taxable
Dividend Income
Equities 0.00 0.00 32.012.00 0.00
Interest Income
FDIC Insured Bank Deposits 58.72 0.00 232.82 0.00
Total Dividends, Interest, Income and Expenses $58.72 80.00 632,244.82 30.00
Portfolio Holdings
Account Adivity Opening Cloning Awned Income 30-Day I:anent
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 29.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
09/01115 2.380.489.270 N46026161 09130/15 2.380.430.55 2.380.489.21 29.36 232.82 N/A NM
Total FDIC Insured Bank Deposits $2,380,430.55 $2,380,489.27 329.38 3232.82
Total Cash, Money Funds, and Bank Deposits $2,380,430.55 32,380,489.27 329.38 3232.82
Page3 of 9
VW° S A O cc U o T u H n E t R N N u m e b i e r r l Oi N 401 ND 2 C 61 _ 6 F 1 I Go paperless R F tw r il e e • fl d Y r V i e no a xc ill y t An l , le " T ^ n E " 1 D , C 2 O 0 M 07 MUNICATIOhtS ...- wino.
SDNY_DM_00049629
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) If DB-SDNY-00 12453
EFTA_DO 160238
EFTA01291724

Portfolio Holdings
(continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Markel Value Gain/ Loss Annual Income Yield
Equities 71.00% of Portfolio
Common Stocks
APPLE INC CON Security Identifier: AAPL
Dividend Option: Cash CUSIP 037833100
10/28/13 3 14,000.000 75.5800 1,058,120.50 110 3000 1.544.200.02 486,019.52 29,120.00 1.88%
09105114 3 7,200.000 98.9500 712,44029 110 3000 794.159 97 81,719.68 14,976.00 1.88%
09/05114 3 32,620.000 98.9500 3,227,750.30 110.3000 3,597,986.01 370,235.71 67,849.60 1.88%
Total Covered 63,820.000 4,998,311.09 5,936,346.00 938,034.91 111,946.60
Total 53,820.000 $4,998,311.09 $5,936,346.00 $936.034.91 $111,945.60
Total Common Stocks $4,998,311.09 $5,936,346.00 $938,034.91 $111,945.60
Total Equities $4,998,311.09 $5,936,346.00 5936,034.91 $111,945.60
Unrealized Acaued Estimated
Cost Basis Markel Value OsinlLoss Interest Annual Income
Total Portfolio Holdings 57,378,800.36 $8,316,835.27 5938,034.91 $0.00 $112,178.42
Footnotes
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC") (incorporating
amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such.
All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement,
US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943
for the applicable tax year in which the security is disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014.
3 The cost basis of this security has been provided to us by you or your introducing fum and Pershing makes no representation as to the accuracy of this information.
Messages
Please note that the Valuation at a Glance section on page one of your account statement will be updated and renamed Porifoko are Glance beginning with the October 2015 statement. This change does not
apply to accounts which display only opening and closing balances on page one.
Pursuant to the Securities Exchange Act of 1934, Pershing LLC (Pershing), a BNY Mellon company, provides individual investors with certain financial information on a semi-annual basis.
Pershing's June Statement of Financial Condition is now available. On June 30, 2015. Pershing's net capital of 52.179 billion was 10.78% of aggregate debit balances and exceeded the minimum requirements by
$1.77 billion.
Pershing is also required to provide the most recent financial information as of this statement mailing. In accordance with this requirement, note that on July 31, 2015, Pershing's net capital of $2.163 billion was
Page 4 of 9
Account Number N40426161 „a k Rated excellent
DeAlit ROLL SOUTHERN CR u_ Go paperless E I ve lO ry A v R a R t A S T i C nc D e C 2 O 0 M 07 M UNICATIONS ae w tn I e ln rs ia o un e • w •• a • lr • O ••• o •• m •• r .• e e s ne es " < OW Nen
Xt,1 MC/
r SDW_GM_00049630
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) DB-SDNY-00 12454
EFTA_00160239
EFTA01291725

Deutsche Asset
& Wealth Management
Draisre San. Poetic W.M', ma-utenan
mats Con, 0,0.7
CeIr150w W Settorimc
Ibrt Mar
P.O.Box 1776, Baltimore, MD 21203 Hf flit •••••0.1.111h • kw
liesllat. PM 10154
0 U) 454-7101. 0131.120•4095
Statement Period: 09/01/2015 - 09130/2015
Messages (continued)
11.55% of aggregate debit balances and exceeded the minimum requirement by $1.79 bilion.
A copy of the June 30, 2015, Statement of Financial Condition is available at vnvw.pershing.comistatementot.financial-condition. You may also request a free, printed copy by calling (888)860-8510 or (201)
413-4200, option SS
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 httpsinwrw.dws-investments.conVEN/productsimoney-market-funds-yields.jsp. Please note that an money
market funds listed on the website may not be offered through us.
Customer Collateral Account Under Securities Account Control Agreement
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Activity Sum m ary (NI amounts shown are in base currency)
Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date
SecuNtles
SecudliesDeposited 0.00 0.00 000 S383.998 80 0.00 3.383.998 80
Total Securities $0.00 $0.00 $0.00 $3,383,998.80 $0.10 23,383,998.80
Dividends and Interest $58.72 $0.00 $58.72 $32,244.82 $0.80 $32,244.82
Cash
Deposits 0.00 0.00 000 2,115,213.73 0.00 2,115,21313
Total Cash $0.00 $0.00 $0.00 12,116,213.73 $0.10 $2,115,213.73
FDIC Insured Bank Deposits 10.00 -$58.72 -$58.72 $0.00 -$2,147,458.55 42,147,458.55
Totals $58.72 -$56.72 $0.00 $5,531,457.36 -$2,147,458.55 $3,383,998.80
Pap 5 of 9
DOAN Kat S A O cc U o T u H n E t R N N u m C b A er C o N I 4 & 04 L 7 L 6 n 16 F 1 noG or pap earlersTs AL O t R r A a at y L e S d A V E 1t . x ., c e 1 l I e l L a n l O < 4 C 2 O 0 M 07 M UNICATIONS =la w r- Y etlaZtalsea: Or:•"•6 4.NNW MAD.
?Mali/NC
SDNY_GM_00049631
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012455
EF1'A_00160240
EFTA01291726

Transactions by Type of Activity
Process'
Settlement
Date Activity Type Desaiptioa Quantity Price Accrued Interest Amount Currency
Dividends and Interest
09115/15 FDIC INSLRED BANK IN& RED DEPOSITS INTEREST CREDITED 9,72 USO
DEPOSITS INTEREST
RECEIVED
458997996
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 50.72
FDIC Insured Bank Deposits
09/15/15 FDIC INSL RED BANK IASLRED DEPOSITS INTEREST REINVESTED .58.72 USD
DEPOSITS INTEREST
REINVESTED
458997996
Tout FDIC Insured Bank Deposits. UNITED STATES DOLLAR 0.00 4822
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: DAN
DANIEL SABBA
345 PARK AVENLE 26Th FLOOR
NEW YORK NY 10154.0003
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds. FIRST IN FIRST OLT
Default Method for Stocks in a Dividend Reinvestment Flan: FIRST IN FIRST OUT
Default Method for all Other Securities FIRST IN FIRST OUT
Bond Amortization Elections:
Treat all interest as original issue discount (OlDi: No
Am ortue premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types: Constant Yield Method
Include market discount in income annually: No
Electronic Delivery
You have not selected any account conim unications for electronic delivery. To register and turn off paper communications. 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 on a settlement date basis. including short positions, at the dose of the statement period. The market prices, unless otherwise noted,
Page 6 of 9
Account Number. N464326161 Rated Encellent
1>ItAll ROL Go paperless I O v A o X ry S A Y R e R a, A s T in E c D e C 2 O 0 M 07 M UNICATIO116
FI D IAL MINIM=
SONY_GM_00049632
6: THERN
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. DB-SDNY-00 12456
EFTA_00 I 60241
EFTA01291727

Deutsche Asset
& Wealth Management Dralute Sant Poulevften hia.ziental
Mats Core.
Child,. Ye* Mani MC
Now Wart Cake
PO. Box 1776, Baltimore, MD 21203 345 FM ASS, llith tcr
lieslat. PM 10114
PUMA-Mt 0RM 7.84091.
Statement Period: 09/01/2015 • 0913012015
Important Information and Disclosures (continued)
Pricing (continued)
have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is
not avagable are marked 'N/A' and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time.
and may be affected by current and future economic, political, and business conditions, they should not be retied on for making investment, trading, or tax decisions. These figures assume that the position
quantities, interest and dividend rates, and prices remain constant. A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to
mwtpershing.comThosiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution. information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased. may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order Row.
Options
Information with respect to concessions and other charges incurred in connection with the execution of option transactions has been inckided in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, a received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other properly 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.
Page 7 of 9
B0097321CSF30024 OMB. ROIl S A O cc U o T u H n E t R nu N m F be I r I . I C N4 A O L . 026161 Go paperless --4t- "" o . s " t a a 0 d /. [ ( . r1 . " . 1 g :4 i ' a T n ( C t 7C200:47MUNICAT IONS : e t n a ... n u 4 e . t . W .., e . . v ,. e w lv . ill i t n aC n t m re" o a t nMEV MOW
CON F I DAENTIAL
SDW_GM 00049633
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012457
EFTA_OO16O242
EFTA01291728

Important Information and Disclosures (continued)
The Role of Pershing (continued)
• Inquiries concerning the positions ano balarces 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.
• Fix a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPCt). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC GMs. For more detailed information please visit: vowe.pershing.cortgaboutistrength-and-stability.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to
your fnancial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor
Protection Act
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza,
Jersey City, New Jersey 07399; (201) 4134330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is Med.
• Arbitration awards are generaly final and balding; a party's abifty to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award. unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators will typically include a mincray 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 fix arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed. and any amendments thereto. shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem.
Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330.
Page I of 9
Account Number 1446.026161 Go Nape less 'Ivory Yarn 'Yew* 2007 • 4 .••••rtaa
F I DAENTIAL rOxAeLr innilLarD COMMUNICATIONS oes..00 muss.P eru. oftwe. 00C
SDW_Cat00049634
6: "HTON
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. DB-SDNY-0012456
EFTA_00160243
EFTA01291729

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 POSRIONER, 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 FACLITY, F ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ARE EXECUTED ARMOR SETTLED. OR F APPLICABLE. OF THE FINANCIAL . IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS
• TITLE TO SECURITIES SOLD TO YOU, WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN AVAILABLE UPON REQUEST.
WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL NSPECTION AT
DATE, WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF R WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN
• YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT WVYYY.FERSHING.COM.
STATEMENT. F SO, THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WYNN PERSHING.C OMIDISCLOSURES
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALVE OF YOUR ACCOUNT. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS.
THIS IS ESPECIALLY TRUE F YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS-
FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S RULE 007(A)(1)-(2))
BOOKS OF RECORD, ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS.
PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
FROM TIME TO TINE DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON
FINANCIAL INSTITUTION F YOU DESIRE ADDITIONAL COPIES. WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW
MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT OF TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHNG ROUTES CERTAIN EQUITY MD OPTION
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL.
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CAS-I PAYMENT.
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
NSPECTION UPON REQUEST. FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE-
TAX INFORMATION COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS.
TRANSMITTED ELECTRONICALLY VP TO A SPECIFIED SZE AND TO EXECUTE THEM AT OR BETTER THAN
• AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED
REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY
PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
STATEMENT TO PREPARE YOUR TM FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABLITY TO PROVIDE
• DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY
AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES.
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS
GENERAL INFORMATION.
• PERSHING DOES NOT PROVIDE TM. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE
ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCH ADVICE. IF GIVEN INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ARE INDEBTED TO PERSHING LLC ('PERSHNG') 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 PERSHNG. AND PERSHNG MAY IN ITS DISCRETION AT MY TIME. INI THOUT TENDER.
DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR
PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS;
ANY BALANCE REMAINING DUE PERSHNG TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR
YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY
PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WLL 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.
F ANY OF THE ABOVE TERMS AND CCAOIT IONS ME UNACCEPTABLE TO YOU. PLEASE NOTFYPERS-ING IMMEDIATELY IN WRITING SY CERTWED MAIL TO ONE PERSHING PLAZA JERSEY CITY, NJ ors. ATITt LEGAL DEPT
Page 9 of 9
Acceuni number N40426161 Riled Emollent t r. .=
DGor paapenrleAss L L very Year Mete 2007
SOUP-ERN r DISBAR RATED COMMUNICATIONS
F I FRC/NANCY
SDNY_GM_OOO49635
ñ
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(8) DB-SDNY-0012459
EFTA_00160244
EFTA01291730

Deutsche Asset
& Wealth Management
0rals° e Ilana Pr.le wean mamtenno
marests Connie G,C,P
Child,. Oak Set...W.1.0
P.O. Om 17711, esitinssre. MD 21203 /14 A w1 S 41 S 1 . 0 0 2 1 •1 ,0 1 .11ccr
lieslat. PM 10114
II in 45141114. M-40E.
Account Number: N4G•026161
Statement Period: 0110112015 - 08/31/2015
Valuation at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 14,940,904.19 1233,030.72
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 000 2,115,213.73
ST THOMAS VI 00802 Net SecutiliesIniOut of Account 3,383 998.80 5,867,790.80
Adjusted Previous Account Value 8,324,902.98 8,216,035.25
Dividends. Interest and Other Income 11.086 37 32.186.10
Net Chan e in Portfolio 113 184 40 200 95210
ncling Account Value 4 4 9,1 7 3 7 5 SS 4 4 9 1 7 3 7 5
Your Client Advisor: Estimated Annual Income $112,119.70
DANIEL SAW
Asset Allocation
Prior Year-End Last Period This Period % enaction
L SO Cash Money Funds and Bank Deposts1 233,030.72 2.369.344 18 2.380.430 55 2817% Please review your alio:Mice
USD Equities 0.00 2.571,560 00 6.068.743 20 7183% pedalos', wt yaw Clore Advisor.
Account Total (Pie Chart) 5233,030.72 14,910,901.10 11,119,173.75 100.00%
I The Bank Deposes in your account are FDIC Insured bank deposes.
FDIC insured bank deposits are not set:viten and are not covered by me Securities Investor Protection Corporation
(SIPC). These bank deposes are covered by the Federal Depose Insurance Corporabon (FDIC). up to alowable
Pagel o18
Rated Cwollen1
A009816SCSF1001, Go paperless DEt MXaCAlIIYIIE.R.NrACra C2ONM4OUON I C A T DONS : o T rn a o n w stue e , a t N ve e n a e rb llO ra u ls . M t= a s on s in MODw
CONF I DENTI A L
SDNY_GM_000496313
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DE-SDNY-0012460
EF1'A_00160245
EFTA01291731

Summary of Gains and Losses
Realized
This Period Year-taDate Unrealized
Short-Term Cordless 0.00 0.00 549.912 59
LontpTerm Gainkoss 0.00 0.00 520.519 52
Net Galatians 0.00 0.00 1,070,432.11
This summary excludes transactions where cost basis information is nol avaiable.
FDIC Insured Bank Deposits
Date Activity Type °taxi Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: NIG028161 Activity Ending: 08131115
08101115 Opening Balance 2,369,344.18 2,389,344.18
08114115 Deposit DEPOSIT 11,024.00 2.380.388.18
08114115 Depotit INTEREST CREDITED 62.37 2,380,430 55
AP( 0.03%
08117115 Assodaled Bank NA 2,380,430.55
NO 08117 $237500.00
Citibank N.A.
NO 08117 $237500.00
Compass Bank
NO 08117 $5430.55
Deutsche Bank Trsl Co
NO 08117 5237500.00
East West Bank
NO 08117 $237500.00
First Niagara Bank
NO 08117 $237500.00
Flushing Bank
NO 08117 $237500.00
NYCommunity Bank
NO 08117 $237500.00
Texas Capital Bank
NO 08117 $237500.00
TriState Capital Bank
NO 08117 $237500.00
Page 2 of 8
n
Account Number. N464281131 Rated excyllent
ORAB ROLL SOUTe ERN CVO Go paperless E 0. v 4 e 1 r . y 0 A V f a t n R n A S TC in O t* C 2 O 0 M 07 M UNICATIONS =Ian etN errestrOvisteen
FIDENTIAL EXCTI ONO1
SDNY_GM_00049637
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012461
EFTA_00160246
EFTA01291732

Deutsche Asset
& Wealth Management
Gnaw e Sant Prmaie w,.On M..,e••um
macau Gonne Comp
CelAsOw laalt Mclean w.
Now MOS°.
PO. Box 1776, Balbmoro, MD 21203 341Parl. Mead, lkhl ter
lieslat. PM 10114
P 0/46611111.1133171•4091
Statement Period: Illti0112115 0813112115
FDIC Insured Bank Deposits (continued)
Date Activity Type °malefic' Amount Balance
Sweep FDIC Insured Bank Deposits (continued)
INSURED DEPOSITS PROGRAM (continued)
L non Bank of CA
NO 08/17 5237500 00
98131115 Closing Balance $2 380 30.55
Total FDIC Insured Bank Deposits $2,380,430.55
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to 5250,000 for each category of legal ownership thcluding thdividual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Income and Expense Summary
Current Period Year-to-Dale
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 11.024 00 000 32.012.00 000
Interest Income
FDIC Insured Bank Deposits 62.37 0.00 110.10 0.00
Total Dividends, Interest, Income and Expenses $11,018.37 $0.00 $32,10.10 $0.00
Portfolio Holdings
Account Activity °peeing Closing Accrued Income 30-Day Carrent
Opening Date Quantity Number Ending Balers Balance Income BM Year Yield Yield
Cash, Money Funds, and Bank Deposits 28.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
08101115 2.380.430.550 N46028161 08131/15 2.389.340.18 2.380.430 55 29.37 174.10 N/A N/A
Total FDIC Insured flank Deposits $2,359,311.18 62,350.43035 $29.37 $174.10
Total Cash, Money Funds, and Bank Deposits $2,389,344.18 12,350,430.55 $29.37 $114.10
Page 3 of 8
Account A umber. N40.026161 DA.ENTIA L.
ONAK ROLL SWFERN F diqF Go paperless OASOAR ;ATMCO 2 M 00 M 7 U NICATIONS ..,-
PIA Mal (NCI
SDNY_GM_00049638
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12462
EFTA_00 160247
EFTA01291733

Portfolio Holdings (continued)
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Vales Gain( Loss Annual Income Yield
Equities 72.00% of Portfolio
Common Stocks
APPLE INC COM Security Idend0er: AAPL
Dividend Option: Cash CUSP. 037833100
10/28113 3 14,000.000 75.5800 1,058,120.50 112.1600 1,578,640.02 520,519.52 2t120.00 1.84%
09105114 3,12 7,200.000 98.9500 712,440_29 112.7600 811,871.97 99.431.68 14,976.00 1.84%
09105114 3.12 32,620.000 98.9500 3,227,750.30 112.7600 3,878,231.21 450,480.91 67,849.60 1.84%
Total Covered 63,120.000 4,098,311.09 6,068,743.20 1,070,432.11 111,946.60
Total 63,$20.000 34,998,311.09 $8,088,743.20 31,070,432.11 3111,945.80
Total Common Stocks 34,998,311.09 $6,088,743.20 31,070,432.11 $111,945.60
Total Equities $4,998,311.09 $6,068,743.20 31,070,432.11 $111,945.60
Unrealized Accrued Estimated
Cost Basis Markel Value Gain/ Loss Interest Annual Income
Total Portfolio Holdings $7,378,741.64 $8,449,173.75 31,070,432.11 30.00 3112,119.70
Footnotes
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC') (incorporating
amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such.
All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement
US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943
for the applicable tax year in which the security is disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or alter January 1, 2014.
3 The cost basis of this security has been provided to us by you or your introducing km and Pershing makes no representation as to the accuracy of this information.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
Messages
Although a money market mutual fund seeks to preserve the value of your investment at 31 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 heed in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Customer Collateral Account Under Securities Account Control Agreement
Federal Deposit Insurance Corporation (FDIC)4nsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DVVS Investments website at https:/Awnv.dws-investments.com/EN/products/money-market4unds-yields.rsp. Please note that alt money
market funds listed on the website may not be offered through us.
Page of 8
()RAU ROL S A O cc U o T u H n E t R nu N m ber N40-026161 rleissAl ,) R P tr A a a y t L e M d Y A ex I N c R e • A l ' l l R e e n n E t t . o C 2 O 0 M 07 M UNICATIOhtS I = n l t a o . r va0 M • S •• . • •• V ra e m lk e a a t we O ir r ia a n d k , in 1110•••
?Mal ONO1
SDNY_GM_00049639
CF ONFID Cli PaNa Pecir
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012463
EFTA_00160248
EFTA01291734

Deutsche Asset
& Wealth Management
Gnaw[ liana Poetic. Weallt Ma.zienan
Marats Cong. 4,cm,
PMUM W Semi
Now Wart Mar
PO. Boa 1776. Balbmoro, MD 21203 Ha tar% Ass. Iiithi *Cr
liesitat. WI 10114
Inn CA-Mt grAl7.64091.
Statement Period:II/0112115 -1813112116
Activity Sum m ary /an amounts shown are in base currency)
Credits This Period Debits This Period Net This Period Credits Year.to•Oate Debits Year-to-Date Net Year-to-Dab
Seco ti ties
0.00 3,383,998.80 3,383,998.80 3,383,99810
Securities De poctel 3.383.998 80
Total Securities $3,313,996.80 $0.00 $3,383,998.80 33,313,998.10 $0.00 33,383,198.80
Dividends and Interest $11,086.37 $0.00 $11,086.37 332,166.10 $0.00 $32,111.10
Cash
Deposts 0.00 000 0.00 2,115,213.73 0.00 2,115,213.73
Total Cash $0.00 $0.00 $0.00 $2,115,213.73 30.00 32,115,213.73
FDIC Insured Bank Deposits $0.00 .$11,066.37 -311,086.37 30 .00 -32,117,399.83 -$2,117,391.13
Totals 13,395,085.17 -$11,086.37 $3,313,99810 15,531,398.63 -$2,117,399.83 33,383,998.81
Transactions by Type of Activity
Process/
Settler eat
Date Activity Type Desaiptioe Quantity Price Awned liters Mont Omelet
Securities Withdrawals and Deposits
08/25115 CUSTOMER AUTHORIZED AF'PLE INC COM TRANS FRM N1G-023801 32,620 000 3,383,998.80 USO
TRANSFER
AAFL
Total Securities Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 3,313,991.10
Dividends and Interest
08/13/15 CASH DIVIDEND RECBVEO APPLE INC COM RD 08110 PD 08113/15 DIV@ .52 21200 11,021.00 USO
AAPL SHARES
0811/115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 62.37 USD
DEPOSITS INTEREST
RECEIVED
458997996
Total Dividends and Interest - UNITED STATES DOLLAR 0.00 11,086.37
Page 5 of 8
IJIMN ROIL S A O cc U o T u I n - t E RN u m F b er. II10-0 N1 2 .1 6 .C 1 . 6 F 1 I D G A o p E ap N erl T es I s A L R Ot a r t I e Z d R IL A ... T m E i C nt 7 C2:4 7MUNICATIONS :Clam e a ts n e is tr n o a a • T a:. ta 'O m rs o o r e "m c a inMet Now.
SDNY_GM_00049640
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) "Crilnia DB-SDNY-0012464
EFTA_00160249
EFTA01291735

Transactions by Type of Activity (continued)
Process'
Settlement
Date Adivity Type Desaiptioa Oaantity Price kissed Interest Amount Currency
FDIC Insured Bank Deposits
08114115 FDIC INSURED BANK DEPOSIT INSLRED DEPOSITS PROGRAM .11,021.00 USD
USD999997
0811/115 FDIC INSURED BANK IASI-RED DEPOSITS INTEREST REIN VESTED -62.37 USD
DEPOSITS INTEREST
REINVESTED
458997996
Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -11,086.37
Total Value of Transactions 0.00 3,383,998.80 USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: DAN
DANIEL SABRA
315 PARK AVENUE, 26TH FLOOR
KEW YORK NY 10151-0003
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds FIRST IN FIRST OLT
Default Method for Stooks in a Dividend Reinvestment Flan: FIRST IN FIRST OUT
Default Method for all Other Securities FIRST IN FIRST OUT
Bond Amortization Elections:
Treat all interest as original issue discount (DID): No
Am orize premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types Ratable Method
Include market discount in income annually: No
Electronic Delivery
You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or canted your °lent Advisor for more information.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices, unless otherwise noted.
have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is
not available are marked "NIA' and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE
Page 6 of 8
Account Number N4G-026161 Rated excvliont
00.10•IROLL SOUTI- ERN CVO NC GO paperless rO tr x o At s rt y i t Y : ea R • A 1 T 1 C /K D • C 2 O 0 M 07 M UNICATIONS maw,
F I DAENTIAL,
SDNY_GM_00019611
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12465
EFTA (H)1 60250
EFTA01291736

Deutsche Asset
& Wealth Management
Dralute Ilan. Poule vften.
man, Covent G,Pp
CteINN Yak Mani MC.
Now *A Mar
PO. Boa 1776. Baltimore. MD 21203 341p ct MAMA MTh I *cc
Ifeslat, 1011.4
P 0/15•430L 1.114 M4091
Statement Period: 0 8101/2 01 5 • 08131/2015
Important Information and Disclosures (continued)
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time,
and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
www.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.
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, indudin the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing Rm. 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. Addlional 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 tens 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 automaticaty 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) be billed at the rates such agents
Will
use.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
is 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 ft 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, tor 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
Pagel of 8
Account Number 114G-026161 Rated [...NM
„1„ 1„I1L I SO FI D G A o p E ap N erl T es I s A L i /M v a t r r l I a IN : C = / c2007 'CATIONS nga4nu 4 I on S penic •••C
DNY_GM_00049642
678; THERN
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-OO12466
EFTA_0016025 I
EFTA01291737

Important Information and Disclosures
(continued)
The Role of Pershing (continued)
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 knits. For more detailed information please visit mwtpershing.corn/about/sUength-and-stability.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includin unauthorized trading) promptly, but no later than ten days after receipt of this statement, to
your financial organization and Pershing. Please be advised that any oral communication should be re-confinned 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 nformation 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 generally final and binding; a parlys abikty to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, n 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 clam 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; (1) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem.
Pershing's contact information is as follows' Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330.
Page I of 8
Account Number 1140.026161 Riled Emollord
DINO ROIL SOU COoURK LL I FID G A o E pap N erI T RS I S A L D IL r A a S y O A V R a R n A S T a E m D e C 2 O 0 M 07 M UNICATIONS MM wa NakroraILAr 0infatMMINIIV SAM
SDNY_GM_00049643
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) TNT DB-SDNY-0012467
EFTA_00160252
EFTA01291738

Deutsche Asset
& Wealth Management
Draisre San' Prmaie wean humitenan
Matests Connie* COo.p
CelAsOw Is* Moo O. mc,
Now Wart altar
P.O. Box 1776, Baltimore, MD 21203 HI FM ASS. 10101 tccr
Ms Vat. WI 10114
00101-7•14. OM 21HO%
Account Number: N40-026161
Statement Period: 07/0112015 - 07/31/2015
Valuation at a Glance
Ibis Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 63,280,074.47 6833,030.72
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 1,748.250.00 2,115,213.73
ST THOMAS VI 00802 Net Secutilies InI0 ut of Account 0.00 2,483,792.00
Adjusted Previous Account Value 5,028,324.47 4,832,038.45
Dividends. Interest and Other Income 29 71 21,099.73
Net Charlie in Portfolio -87 450.00 87.768 00
ndrng Account Value $4,940,904.18 54,940.9011 18
Your Client Advisor: Estimated Annual Income 844.207 73
DANIEL SAM
Asset Allocation
Prior Year-EM Lad Period Ibis Period % Allocation
LSD Cash. Money Funds and Bank Deposits' 233,030.72 821,064.47 2.369.344 18 4795% Please rev ear Cr.. allxvien
LSD Equities 0.00 2,859,010 00 2.571.56000 52 05% peno0ca 7 ky V yc,r C ,er: Ach so!
Account Total (Pie Chart) 6233,030.72 63,980,074.47 64,940,904.18 100.00%
I The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bank deposits are not securities and are not covered try tne Seamen Investor Protection Corporation
(SIPC). These bank deports are covered by the Federal Depose Insurance Corporation (FDIC). up to allowable limits.
Page lot?
Rated excella.nt
A0121767C5F10018 tray Viper W.C• 2007 eatrivetwetsTroates":0•1 ••"•• •••OWSVO•0101
OASOAR PAUL, COMMUNICATIONS
CONF I D(EMITAL [Ile/111NC
SDNY_GIS4_00049644
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012468
EF1'A_00160253
EFTA01291739

Summary of Gains and Losses
Realized
This Period Year-to•Date thuealized
Shan-Term Gain/Loss 0.00 0.00 160.919 71
Long-Term Gain/Loss 000 0.00 610.079 50
Net Gain/ Loss 0.00 0.00 800,999.21
This summary excludes transactions where cost basis information is not evadable.
FDIC Insured Bank Deposits
Date Activity Type Dual • ion Mount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: N1G026161 Activity Ending: 07/31115
07101/15 Opening Balance 621,064.47 621,061.17
07106/15 Denali DEPOSIT 1.748.250.00 2.369.314.47
07/15/15 Deposit INTEREST CREDITED 29.71 2,369,341.18
APY 0.03%
07/16/15 Associated Bank NA 2.369,314116
NO 07116 1237500.00
888T
NO 07116 1237500.00
Citibank N A.
NO 07/16 $231844.18
Deutsche Bank TIM Co
NO 07116 $237500.00
East West Bank
NO 07116 1237500.00
Huntington National B
NO 07116 1237500.00
NY Comm unity Bank
NO OH% S237500.00
RBS Citizens PA
NO 07116 1237500.00
TriState Capital Bank
NO 07116 1237500.00
Umpqua Bank
NO 07116 S237500.00
07131/15 Closing Balance 52,369,341.10
Total FDIC Insured Bank Deposits 52,369,341.10
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities tnvestor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to 5250,003 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Page 2 of?
ONAI4 IIOL I Account Num C ber O M.02 N 616 F 1 ID G E o p N ape T rle I ss A L R 0 t v ^ a e 1 te r . y d 0 Y E M e x a c R s e A l S l T e i E n n c D t e C 2 O 0 M 07 M UNICATIONS wti are_
r)1471111NCI
SONY_GM_00049645
6: THERN
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. DB-SDNY-00 12469
EFTA 00160254
EFTA01291740

Deutsche Asset
& Wealth Management
Drain Sant Posit Wea•Pt Mamigena2
Marsh Gonne 4,O.P
CesbOte Iv* Maori 22,
PO. Boa 1776. BalbmorojAD 21203 Now Ibrt Mar
311F M Assn. IiitiMccr
liesitat. PM 1004
P0)45141•LIMM-409S
Statement Period: 07/01/2015 - 07131/2015
Income and Expense Summary
Current Period Year-to-Date
Taxable Noe Taxable Taxable Non Taxable
Dividend Income
Equities 0.00 0.00 20.988.00 000
Interest Incom e
FDIC Insured Bank Deposits 29.71 0.00 111.73 0.00
Total Dividends, Interest, Income and Expenses $29.71 $0.00 921,099.73 $0.00
Portfolio Holdings
Ao:ount Activity Opening Closiug Acmes Income 30-Day Current
Opening Date Duality Number Ending Beare Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 48.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
07/01115 2.369.344.180 N4G026161 07131115 621.064.47 2.369.344.18 35.06 111.73 N/A N/A
Total FDIC Insured Bank Deposits 9621,064.47 $2,359,344.18 935.06 $111.73
Total Cash, Money Funds, and Bank Deposits 2621,084.47 $2.369.344.18 $35.06 $111.73
Brutalized Estimated Estimated
Date Ameired Ouaetity Unit Cost Cop Basis Market Price Market Value Gala/ loss Annual Income Yield
Equities 52.00% of Portfolio
Common Stooks
APPLE INC CON Security Identifier: AAPL
Dividend Option: Cash CL/SIP 037833100
10128113 3 14.000.000 75.5800 1.058.120.50 121.3000 1,698,200.00 640.079.50 29,120.00 1.71%
09105114 3 7,200 000 98.9500 712,440.29 121.3000 813,360.00 160,919.71 14,976.00 1.71%
Total Cowered 21,200.000 1,770,580.79 2,571,660.00 $00,999.21 44,098.00
Total 21,200.000 $1,770,5$0.79 $2,671,560.00 $800,999.21 944,096.00
Total Common Stocks $1,770,580.79 92,671,560.00 $800,999.21 $44,098.00
Total Equities 91,770,58 0.79 $2,671,560.00 $800,999.21 944,098.00
Page 3 oft
Account Number. N40.026181 Rated excellent
00A0 Mitt Go paperless I rO . v A er lr y Y i:I o r n Sys* C 2 O 0 M 07 M UNICATIONS e ve tt s is t. l . i . s 0 s C e . l s w e e t v a e re snall. ea O t " . s" i 0 tZ 00 e n0•Ittavem.
NFIDAnTriAEt
SDNV_GM 00040666
6: THERN
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. DB-SDNY-0012470
C NO
EFTA_00160255
EFTA01291741

Portfolio Holdings
(continued)
Unrealized Accrued Estimated
Cost Basis Markel Valve Cain( loss Interest annual Income
Total Portfolio Holdings 84,139,904.97 $4,940,904.18 $800,999.21 $0.00 844,207.73
Footnotes
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC”) (incorporating
amendments enacted by P.L.110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such.
All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered* under the new cost basis reporting rules are defined as non-rehrement,
US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8
for the applicable tax year in which the security is disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock M a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014.
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.
Messages
Although a money market mutual fund seeks to preserve the value of your investment at 81 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 hind's prospectus or the bank deposit products disclosure document or contact your advisor for additional information.
Customer Collateral Account Under Securities Account Control Agreement
Federal Deposit Insurance Corporation (FDIC)lnsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DINS Investments website at https:/Awnv.dws-investrnents.conVEN/products/moneymarket-funds-yieldspsp. Please note that all money
market funds fisted on the website may not be offered through us.
Activity Summary (Alf amounts shown ate in base currency)
Credits This Period Debits This Period Net This Period Credits Year.to•Date Debits Year-to-Date Net Year•to-Date
Dividends and Interest 829.71 $0.00 $29.71 $21,099.73 $0.00 $21,099.73
Cash
Deposes 1,748,250.00 000 1,148,250.00 2.115,21313 000 2,115,213.13
Total Cash $1,740,250.00 $0.00 $1,741,250.00 $2,115,213/3 $0.00 $2,115,213.73
FDIC Insured Bank Deposits $0.00 -$1,741,271.11 -$1,748,279.71 $0.00 -$2,138,313.41 -$2,131.313.41
Totals $1140,279.71 .$1,748,27911 $0.00 $2,1311,313.41 -82,136,313.10 00.00
Page 4 otT
Account A umber NIG•026161 Riled (Koillent
11.0 123767CSFIC OBAB ROLL SO U TI- ERN F Ctu a . Go pape T r T less A E L 0 v X A e C s t r 7 B y 1 A V 1 R ( a N R l O , A S 1 T i C nc D e C 2 O 0 M 07 M UNICATIONS ....-
SDNY_GM_00049647
F I D AE " N
CONFIDENTIAL — PURSUANT TO FED. R. CRIM, P. 6(e) DB-SDNY-00 12471
EFTA_00160256
EFTA01291742

Deutsche Asset
& Wealth Management
Gnaw e Banc Prrnie Wog', Maatenme
matins CONWP Gre.e
CestsOw Is* Maori mc
Now 'Sri Mar
P.O. Box 1776. 8•16moro, MD 21203 345 FM Memo. l•th • tcr
lers'eat. PM 10114
0 in 4,4410. VOSS) 21•409S
Statement Period: 07/01/2015 - 07131/2015
Transactions by Type of Activity
Process'
Settleme-.-
Dale Activity T Description Ouan Price Accrued Interest Amount Curren
Dividends and Interest
07;15115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 29.71 USD
DEPOSITS INTEREST
RECEIVED
458997996
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 29.71
Cash Withdrawals and Deposits
07/02115 CUSTOMER ALThORIZED TRANS FRM NIG-023801 1,718,250.00 USD
TRANSFER
USD999997
Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 1,748,250.00
FDIC Insured Bank Deposits
07/08/15 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -1,748,250.00 USD
UW999997
07/15115 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -29.71 USD
DEPOSITS INTEREST
REINVESTED
/58997996
Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 4710,279.71
Total Value of Transactions Lao 0.00 use
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: DAN
DANIEL SABBA
345 PARK AVENUE, 26TH FLOOR
NEW YORK NY 10151
Page 5 of I
A0123767CSF30018 Account Number N40426161 Go atlas RL v a e te ry d Y tu e o a* ll S e i n nc t e 2007 Mart= earttalostaia 04.•Ve."ae on•••••1 ~
Clow:usi RATED COmmumiCaTiONS *tn.," tom. ••••••••••••• int mft,
F I DAnTIAL FXCII IIINCIF
SDW_GA4 00049648
678)tiTHEfri O
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0012472
EF1'A_00160257
EFTA01291743

Your Account Information
Tax Lot Default Disposition Method
Default Method for let utual Funds FIRST IN FIRST OUT
Default Method for Socks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities FIRST lk FIRST OUT
Bond Amortization Elections:
Treat all interest as original issue discount (CUD): No
Am erne premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types: Ratable Method
Include market discount in income annually: No
Electronic Delivery
You have not selected any account comm unications for electronic delivery. To register and turn off paper corn m unications. log in to your account or contact your Olen' Advisor for m ore information.
Important Information and Disclosures
Pricing
This section includes the net market value of the secunties in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted,
have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is
not available are marked "NIA' and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks.
These figures are computed using information from providers believed to be rekable, however, no assurance can be made as to the accuracy. Slice interest and dividend rates are subject to change at any time,
and may be affected by current and future economic, political, and busness 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
vornipershing.combusiness_continuky.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distnbutions. Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wit
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing fimi 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 fairy paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Page 6 off
OSA° ROIA S A O cc U o T u H n E t R N N u m C be O r. A N4 L O- 0 KL 2 L 6 1 .I 6 F 1 I D G E o p N ape rle J ss A L I ra n xA l e a lr y Y tan am ift s A S d i C n n c I D e C 2 O 0 M 07 M UNICATIONS Ma /s r w a a is t> e a a n rr . e . ta n llo a s y i tt: w St il a e n se " c MEV MAD.
SDW_Cal_00049649
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012473
EFTA_OO16O258
EFTA01291744

Deutsche Asset
& Wealth Management
Dralsre San. Pootie wean Ma.ziental
Minns C044/4e4.0.1.
Chtfthe Sank Sen.orivt
Mrs bet 011or
P.O.Elm 1776. Baltimore. MD 21203 315 Pot Owner. lOth l by
Mew In /tY IOVA
(21))4!A.M..IISSI 2114I9S
Statement Period: 07/0112815 - 07131/2015
Important Information and Disclosures (continued)
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other properly and any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses Mound 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.
• For a desorption 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.comfabouttstrength-and-stability.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to
your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor
Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza,
Jersey City, New Jersey 07399; (201) 4134330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's abibty to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class into has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330.
Page loll
DRAB Pell Account umber. N40.026161 Go paperless A _sr, ''trozteodw tuierVll e YIn NMt t eUNICATIONS Matt we et We velt=treeee = n p " a IIMIV SOW*
SDNY_GM_00049650
Nic F I D AENTI
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 676U)THERh DB-SDNY-OO12474
EFTA_00160259
EFTA01291745

Deutsche Asset
& Wealth Management
Gnaw e San' Poetie vftan ro...menno
wrests Core. Gmm.
Denim. W Senn% 'c..
New 1104 Mar
P.O. Box 1776, Baltimore, MD 21203 345 Fa, /005.0.. l•th • tcr
Ms Vat. PM 10114
0/0•44101. PM) M4091.
Account Number: N4G-026161
Statement Period: 06/0112015 - 06/3012015
Valuation at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 13,382,985.68 $233,030.72
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0.00 388,963.73
ST THOMAS VI 00802 het Setunfies IniOut of Account 0.00 2,183,792.00
Adjusted Previous Account Value 3,382,985.66 3,083,788.45
Dividends, Interest and Other Income 11 81 21,070.02
K et Chan .e in Portfolio .102.926.00 175.218.00
ndirg Account Value $3 280,074 47 S3 280 074 4'
Your Client Advisor: Estan ated Annual Income 511.178 02
DANIEL SAW
Asset Allocation
Prior l'esrad lad Period This Period % Alication
LSD Cash. Money Funds and Bank Deposits+ 233,030.72 821,019.88 821.064 47 18.93% 77 .--ip hi\ Please renew your allocation
LSD Equities 0.00 2,781138 00 2.659.010 00 8107% pedalo*/ with your gent Advisor.
Account Total (Pie Chart) $233,030.12 53,382,985.66 53,210,074.17 100.00%
I The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bank deposits are not secunt es and are not covered by me Secant's Investor Protection Corporation
(SIPC). These bank deposts are covered by the Federal Deposit Issuance Corporabon TOICT up to allowable limits.
Page 1 oil
Rated (...lent
B0097220CSF30023 Go paperless O tv A • S °, IM Y A • • R • A % T ° C C D • C 2 O 0 M 07 MUNICATIONS M • a •• r • ia •• . • ••u0 e • l 0 a • k 0 ra 0 r . a •0 lo 0 o . r Pe 0 a 0 t 0ia 0 4 0 1 0 0 0.00/VIA•40.
CONFIDENTIAL %ell 10101
SDNV_GM_00049651
CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6(e) DB-SDNY-0012475
EF1'A_00160260
EFTA01291746

Summary of Gains and Losses
Realized
This Period Year-to-Dale Unrealized
Short-Term Gain/Loss 0 00 000 190.619 71
Long-Term Gain/Loss 0 00 000 697.829 50
Net Ga inl Loss 0.00 0.00 888,419.21
This summary excludes transactions where cost basis information is not available.
For Your Information
On June 5. 2014, the European Central Bank (the 'ECB') introduced 'negative interest rates'. This negative interest rate applied to all deposits held at the ECB and other credit institutions.
Effective February 1, 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and wit reffect on your account
statement as 'Free Credit Balance Interest Charge'. The interest will be reported on your Forms 1099 and/or 1042-6 for tax year 2015. These rates are subject to change in response to market changes, and we
may. in the future and based on our normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances.
FDIC Insured Bank Deposits
Date Activity Type Description) Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: 6/6026161 Activity Ending 06130115
05130115 Opening Glance 621,049.66 621,049.66
06115115 Depot INTEREST CREDITED 14.81 621,064.17
APY 0.03%
06/16115 BUT 621,064.17
NO 06116 $116064.17
Citibank NA
NO 06116 $237500.00
Deutsche Bank Trsl Co
NO 06116 $237500.00
08730/15 Closing Balance 5621,061.17
Total FDIC Insured Bank Deposits $621,084.47
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 3250.000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Income and Expense Summary
Current Period Year-to-Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Ec woes 0 00 0.00 20.988 00 000
Page 2 of 9
0,IAIL Account Humber. N40-026161 Go paperless R "OZ ile 7 d 3 E ;fr x I( c A el T le C n D t • C200:17MUNICAT IONS e y t e a s ri . a i m s e e ts s r t e a a m ti , g P t r ow wr
F I DAENTIA exclaimer
SDNY_GM_00049652
6"(er F E"
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. DB-SDNY-00 12476
EFTA 00160261
EFTA01291747

Deutsche Asset
& Wealth Management
Drabre Ben Prreee VondIN Ma.rgenna
Wanes Cerra« GM,.
Weld,. lank Senn.
Orice
PO. Bcia 1778, Balbmore, MD 21203 341Parli AM». Mtho *cc
•iert 10104
nDI4atJ80..IRy1200%011
Statement Period: 0 6101/2 01 5 • 08/3012015
Income and Expense Summary (continued) Current Period Year-to-Date
Taxable Mee Taxable Taxable Non Taxable
Interest Income
70.0 Insured Sank :Deposits 14.81 0.00 82C2 C CO
Total Dividends, Interest, Income and Expenses 111.81 10.00 321,070.02 30.00
Portfolio Holdings
Account Activity °peeing Closing Accrued Income 30-Day Current
°peeing Date Quantity Number Ending Belau Balance Income This Year Yield Yield
Cash, M oney Funds, and Bank Deposits 19 .0 0% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
05130/15 621.081.470 PAG026161 08/30/15 621 049 66 621.061.47 766 82 02 N/A N/A
Total FDIC Insured Bank Deposits $621,049.66 1821,064.47 $ $82.02
Total Cash, Money Funds, and Bank Deposits $621,049.66 $621,064.41 t77..6668 $82.02
Unrealized Estimated Estimated
Date Acquired Duality Unit Cost Cost Basis Market Market Value Geist Loss Anual Income Yield
Price
Equities 81.00% of Portfolio
Common Stocks
APPLE INC COM Security Identifier: AAPL
Dividend Option: Cash CUSIP. 037833100
101281131 11.000.000 75.5800 1,058,120.50 125 4250 1.755.950.00 697.829.50 29.120.00 1.65%
09105114 7,200.000 98.9500 712,110.29 125.4250 903,080.00 190,619.71 11,978.00 1.85%
3
Total Covered 21,200.000 1,770t660.79 2,669,010.00 888,449.21 41,096.00
Total 21,200.000 61 710 80.79 $2 669 010.00 9888,419.21 $44,096.00
Total Common Stocks 0,710,180.19 12,659,010.00 088.419.21 $44,096.00
Total Equities 0,770,680.79 0,659,010.00 $888,419.21 $44,096.00
Unrealized Accued Estimated
Cod Buis Market Value Gabel Loss littered Annual Income
I Total Portfolio Holdings 12,381,626.26 13,280,074.47 $888,449.21 $0.00 01,118.02
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CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6 DB-SDNY-0012477
EFTA_00160262
EFTA01291748

Portfol io Holdings (continued)
Footnotes
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC") (incorporating
amendments enacted by P.L 110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules. and marked or denoted as such.
All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement,
US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943
for the applicable tax year in which the security is disposed.
Reporting requirements generally we be phased in over a three•year period, as follows:
• Stock n a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide a simple faxed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014.
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 nformation.
M essages
Federal Deposit Insurance Corporation (FDIC)Jnsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds. please visit the OWS Investments website at https://swnv.dves-investmentsconVEN/productsimoney-market-funds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held In your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Customer Collateral Account Under Securities Account Control Agreement
Please be advised that Reich 8 Tang Asset Management LIG will be liquidating its funds (the 'R8T Funds') by the end of July 2015 and as such the R&T Funds will no longer be available as money market
funds in the WS' cash sweep program (the Sweep Program').
What this means for you:
If you are currently invested in an R8T Fund, please refer to our earlier letter for more information about your available cash sweep options, or contact your client advisor.
If you are not currently invested in the R8T Funds, this change rail not affect the existing sweep for your uninvested cash balances and no action is required on your part
For information on all cash sweep options available in the Sweep Program, please visit our website at: http:/tweakh.deutscheawm.comiamericasienfCashSweepOptions.html and click on 'Cash Sweep
Options-Rates'.
Page 4 of 9
ODAO re<70. S A O cc U o T u I n - t E A R N u m C be N r. 4 1 1 0 46. ñ 02616 F 1 I = GO T pape A rless L ....s :w _ R 1 O t ) v A 0 i e l 2 X e r 7 O y d 1 A Y I 2 R C , e 7 a R N 0 r p A C S i T w i C n n t 0 t * C 2 O 0 M 07 M UNICATIONS .- • . ^ t t h i.w rt .... w .. r . r . w r. e a rn ..“ 0 :- 0 . .2 -.. :- 0 . 0 ".. 0 ........,
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CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6(e) DB-SDNY-0012476
EFTA_00160263
EFTA01291749

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& Wealth Management
Draisre Sam Poo/lewean Nia.zigenton
Weals ConweGmsp
Cettsthe Sank Scoonei
New bri Mo.
PO. Boa 1776. Balbmoro, MD 21203 315Part Si..... leth I ter
New In NY 10114
1))454.7110. m112 111409S
Statement Period: 06/0112015 • 0613012015
Activity Summary (NI amounts shown are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Dividends and Interest $14.61 121.070.02 Dividends and Interest 10.00 $0.00
Cash Cash
Deposits 003 366.963 73 Deposit 0.00 0.00
Total Cash 00.00 $388,963.73 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $0.00 $0.00 FDIC Insured Bank Deposits -$1141 -0388,033.n
Total Credits 61441 $300,033.76 Total Debits -$14.51 -3380,033N
Transactions by Type of Activity
Process'
Settlement
Date Activity Type 0.5r:tinhorn Quantity Prla Accrued liters Amount Currency
Dividendsand Interest
06/15115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED mil USD
DEPOSITS INTEREST
RECEIVED
/58907996
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 1111
FDIC Insured Bank Deposits
06115115 FDIC INSURED BANK INSURED DEPOSTS INTEREST REINVESTED 11.81 USD
DEPOSITS INTEREST
RBA VESTED
/58997996
Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 -14.81
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
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EFTA_00160264
EFTA01291750

Client Service Information
Your Client Advisor: DAN
DANIEL SABRA
345 PARK AVENUE 26Th FLOOR
NEW YORK NY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds. FIRST IN FIRST OLT
Default Method for Socks in a Dividend Reinvestment Ran: FIRST IN FIRST OUT
Default Method for all Other Securities FIRST IN FIRST OUT
Bond Amortization Elections:
Treat all interest as original issue discount (010): No
Am orate premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types: Ratable Method
Include • arket discount in income annually: No
Electronic Delivery
You have not selected any account com • unications for electronic delivery. To register and turn off paper corn 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 on a settlement date basis, including short positions, at the dose of the statement period. The market prices, unless otherwise noted.
have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for ',Mich a price is
not available are marked "N/A' and are omitted horn the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Setae 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
vmv.pershing.corn/business_continuty.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You MI
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included n confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information 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 fay paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms dinned in the Margin Agreement The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Page 5 at 9
BOO 9722GCSF3002 3 DWI) WJILL S A O cc U o N un - t E N RN u m C be N r. N — 40.026161 Go paperless Ir R Ov i o le err d iyt ai v t r u eeZ e s l T l e SE n l t e Dw. C 2 O 0 M 07 M UNICATIONS • ea • t • r • i • a • m ••tu e c e k t w a. e m e . vo•l~t •Z O s . t M V ae O r . e O m" r e o in MOD.
SDW_GM_00049656
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ON FI D AE. NTIA DEI-SDNY-0012480
EFTA_0016 0265
EFTA01291751

Deutsche Asset
& Wealth Management
Draisre Banc Prreme w.w 0 Ma.hgenan
matins COMM* 4,C,P
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Noillart Mar
PO. Bca 177B, Balumare, MD 21203 345 ratASS, lathlike!
liesliet. WI 10154
P 0) 4,1410.1,1B ).44091.
Statement Period: 06/0112015 - 06/30/2015
Important Information and Disclosures (continued)
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaly convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (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 intuited 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
arid other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
ciders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. All other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC°) Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit vnwrpershing.cornistrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to
your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor
Protection Act
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza,
Jersey City, New Jersey 07399; (201) 0134330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, it an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to
the first scheduled hearing date
• The panel of arbitrators will typically include a minor* of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Page 7 of 9
INIAlt It:IL Account Num Q b I e N r. N N fJ 4 f 0 a .0 1i 2 4/ 6 c1 16 F 1 I D Go r p E ape r rl r es i s A ek R UrOZn a a t O e ry d IA Y e le x il c aV e rD l % le Ci n nOc t eM 20M0U7N ICATIOhtS P =n o e w m . mc e . n a e s v e em ve n e o k w •Z4 Iewtteeem ee.s.int elflaiat
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6
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EFTA_00160266
EFTA01291752

Important Information and Disclosures
(continued)
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be subrittez to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbrtration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class wto has not opted out of the class with respect to any
claims encompassed by the putative class action unfit. (l)the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such Forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330.
Page a of
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EFTA_00160267
EFTA01291753

TERMS AND CONDITIONS
TRANSACTIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST. ODD LOT DEALER,
• ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY, AT THE TIME OF ANY
SUBJECT TO THE CONSTITUTION, RULES, REGULATIONS, CUSTOMS. USAGES, RULINGS AND TRANSACTION YOU MAY MAKE, PERSHING MAY HAVE A POSITION IN SUCH SECURITIES, WHICH
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACLITY, F ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR F APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS
• TITLE TO SECURITIES SOLD TO YOU, WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN AVAILABLE UPON REQUEST.
WITH PERSHING UNTIL THE ENTRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT
DATE, WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN
• YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH CO NOT APPEAR ON YOUR VIEW IT ONLINE AT WVVVY.FERSHING.COM.
STATEMENT. F SO. THE TRANSACTIONS WLL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES. WWW PERSHING COINDISCLOSURES
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. • THIS STATEMENT SHOUU) BE RETAINED FOR YOUR RECORDS.
THIS IS ESPECIALLY TRUE F YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS-
FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S RULE 007(A)(1)-(2))
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS.
PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
COMPUTED AS DESCRIBED N MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON
FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW
MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT OF TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT.
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
INSPECTION UPON REQUEST. FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE-
TAX INFORMATION COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS.
TRANSMITTED ELECTRONICALLY VP TO A SPECIFIED SCE AND TO EXECUTE THEM AT OR BETTER THAN
• AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED
REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY
PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
STATEMENT TO PREPARE YOUR TM FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ASLITY TO PROVIDE
• DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY
AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES.
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS
GENERAL INFORMATION.
• PERSHING DOES NOT PROVIDE TM. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE
ACS(H•IATED 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 ('PERSHNG•) 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 PERSHNG. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. W ITHOUT TENDER.
DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR
PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS;
ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAD BY YOU.
• WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR
YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY
PERSHING. EITHER SEPARATELY OR UNDER CRCUMSTANCES 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 CRCUMSTANCES FOR AN AMOUNT
PROHIBITED BY LAW.
F ANY OF THE ABOVE TERMS AND CCM/ITIONS ARE UNACCEPTABLE TO YOU. PLEASE ?MirePERS-MG IMMEDIATELY IN WRITING BY CERTWED MAIL TO ONE PERSHING RAM JERSEY CITY. NJ 07399, ATTN LEGAL DEPT
Page 9 of 9
B0097220CSF3 002 3 ()SAO ROLL S A 0 c U co T u F n E i R nu N m F b er. 1146.026161 Go papertess I R ( v M i o l A e r H y d A Y E R u • R • e r A l l M e T a E n c D t e C 2 O 0 M 07 M UNICATIONS e •• r ••• a •• s •• . L A e • t • w • e • e • V •. a .. e .4 a 4/1 t 1".. "` " C enSet NS*
F I DAENTIAL EXCIIIINC7
sfel SDNY_GM_00049659
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00124433
EFTA_00160268
EFTA01291754

Deutsche Asset
& Wealth Management
Draisre Banc %spume rosin rm...tenno
Weals ComW e 4,C,P
Ceettat lanh 'x.
NewIlart Mar
P.O. Box 1776. Bal6moro, MD 21203 345 PM ASS. nth, tcr
lieslat. PM 10114
P0/04-nel IRM 7.1409S
Account Number: N4G-026161
Statement Period: 05/0112015 - 05/3112015
Valuation at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 83,263,189.58 $233,030.72
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 000 366,963.73
ST THOMAS VI 00802 het Securities IniOut of Account 000 2,483,792.00
Adjusted Previous Account Value 3,283,189.58 3,083,788.45
Dividends, Interest and Other Income 11.040 08 21.055.21
Net Chan .e in Portfolio 108 756.00 278 144 00
ndirg Account Value $3,382,985.66 $3,382,985.6e
Your Client Advisor: Estim aced Annual Income $44.163 21
DANIEL SAM
Asset Allocation
Prior Year-End Last Period This Period % Allocation
LSD Cash Money Funds and Bank Dennis+ 233.030.72 810,009.58 621.049 66 18 36% Please review your allocation
LSD Equities 0.00 2,653,180.00 2.761.936 00 81645 penman/Wet your Ciera Advisor.
Account Total (Pie Chart) $233,030.72 $3,263,189.58 $3,382,986.66 100.00%
I The Bank Deposes in your account are FDIC insured bank deposits.
FDIC insured bar* deposits are not securit es and are not covered by the Saurian Investor Protection Corporation
(SIPC). These bank deports are covered by the Federal Depose Ireurance Corporabon (FDIC). up to allowable limits.
Page 1 oil
A01 300 14CSF10017 GO paperless R E O a A te lle: d f f 'ne in ad R ' A S T in (D " C 2 O 0 M 07 MUNICATIO116 eatre Le etwera *ft tat we '. e :m .o. sr sore
CONFIDAnTiAL "a"'
SDNY_GM_00049660
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012484
EFTA_00160269
EFTA01291755

Summary of Gains and Losses
Realized
This Period Year-to-Date Unrealized
Short-Term Gain/Loss 000 000 225,575.71
Long-Term Gain/Loss 000 000 765.799.50
Net Gain/Loss 0.00 0.00 191,316.21
This summary excludes transactions where cost basis information is not available.
For Your Information
On June 5. 2014, the European Central Bank (the 'ECB') introduced 'negative interest rates'. This negative interest rate applied to all deposits held at the ECB and other credit institutions.
Effective February 1, 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and will reflect on your account
statement as Tree Credit Balance Interest Charge'. The interest will be reported on your Forms 1099 andkr 1042-6 for tax year 2015. These rates are subject to change in response to market changes, and we
may. in the future and based on our normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances.
FDIC Insured Bank Deposits
Date Activity Type Description Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Rum her: N46026161 Activity Ending: 05129115
05/01115 Opening Balance 610,009,58 610.009.58
05115115 Deposit DEPOSIT 11424.00 621.033.58
05115115 Depotit INTEREST CREDITED 16.08 621.049.66
APY 0.03%
05/18/15 BUT 621.049 66
NO 05118 $237500.00
Deutsche Bank Rd Co
NO 05118 $237500.00
NYCommunity Bank
NO 05118 $146049.66
05129115 Closing Balance $621,049.66
Total FDIC Insured Bank Deposits $621,049.66
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Income and Expense Summary
Cwrent Period Yearito-Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Ec wires 11,024.00 0.00 20.98840 0.00
Page 2 of?
I S Ac W co F u E nt R N u m F ber O N4 . 0 1 n 2 618 F 1 ID G r o i p c ap r e i r T less A L r R 0 tr x/ a 4 ." t 1m e .0 d At Y ( tR . o m . l P n ie An 1 n T . . t O . u ) • C 2 O 0 M 07 M UNICATIONS o eatr n it o e . l . m a a t, O a w vo e w V a •• n • t • i • s • t aC W tr a e lt. a O s" M e n ,ter NS.
SDNY_GM 00049681
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) DB-SDNY-001 2466
EFTA_00160270
EFTA01291756

Deutsche Asset
& Wealth Management
Draisre San, Poo/lewean Ma.zienan
PO at atts I orttitet00.1.
Chtsthe Sank Setwarint
*re bet Once
PO. Boa 1776. Baltimore. MD 21203 315 Pot Sni, 20th I ter
Mew %A 10. 10114
VA.H1/21. MISI7.1,409S
Statement Period: 05/0112015 - 05131/2015
Income and Expense Summary (continued) entreat Period Year-to-Date
Taxable Nen Taxable Taxable Non Taxable
Interest Income
EC.: Insured Bank Depcsfis 16.08 0.00 57 21 C CO
Total Dividends, Interest, Income and Expenses $ 11,040.08 $0.00 121,055.21 $0.00
Portfolio Holdings
Acoount Activity ()peeing godly Accrued lecome 30-Day Current
Opening Date Quantity Number Ending Balance Balance Nome This Year Yield Yield
Cash, Money Funds, and Bank Deposits 18 .0 0% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
05101/15 621.049.660 N46026161 05129/15 610,009.58 621.049.66 7.15 67 21 NM N/A
Total FDIC Insured Bank Deposits 6610,009.56 6621,049.66 87.16 $67.21
Total Cash, Money Funds, and Bank Deposits $610,009.58 8621,049.66 67.15 $67.21
Unrealized Estimated Estimated
Dale Acquired Deadly Unit Coal Cost Basis Market Price Market Value Gale/ Loa Annual Income Yield
Equities 8 2.0 0% of Portfolio
Common Stocks
APPLE INC CON Seardtyldentlfter:AAPL
Dividend Option: Cash CUSP. 037833100
10/28113 3 14.000.000 75.5800 1.058.120.50 130.2800 1,823,920.00 765,799.50 29.120 00 t.59%
09/05/14 7,200.000 98.9500 712,440.29 130.2800 938,016.00 225,575.71 14.976 00 1.59%
3
Total Covered 21,200.000 11770060.79 2,761,136.00 991,376.21 44,096.00
Total 21,200.000 $1 770 560.79 $2 761 936.00 $991,375.21 $44,096.00
Total Common Stocks $1,770,666.79 $2,711,136.00 $991,375.21 $44,096.00
Total Equities $1,770,660.79 $2,761,936.00 $991,375.21 $44,096.00
Unrealized ktned Eslimated
Cod Basle Markel Value Calif Loss liters Annual Income
I Total Portfolio Holdings $2,391,610.41 13,382,965.66 $991,375.21 $0.00 $44,163.21
Page) of 7
Account Number N40.026161 Rated Liorce0ent
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SDNY_GM_00049662
c F I D AE. NTIAL,
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) DB-SONY-0012486
EFTA_00160271
EFTA01291757

Portfolio Holdings
(continued)
Footnotes
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRO (incorporating
amendments enacted by P.L 110-343, the Emergency Economic Stabilization Act of 2009) and are, therefore, considered snoncovered," 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 non-retirement,
US taxpayers securities which have been acquired on or after their -applicable date(sr at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8
for the applicable tax year in which the security is disposed.
Reporting requirements generally me be phased in over a three-year period, as follows:
• Stock n a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquied on or after January 1, 2014.
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.
Messages
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the
money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information.
Customer Collateral Account Under Securities Account Control Agreement
Federal Deposit Insurance Corporation (FDICI-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 httpsiNnvw.dweinvestments.conVEN/products/money-rnaiket-kinds-yields.jsp. Please note that an money
market funds fisted on the website may not be offered through us.
Activity Sum m ary (Alf amounts shown are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Dividends and Interest $11,040.08 $21,055.21 Dividends and Interest $0.00 $0.00
Cash Cash
Deposits 000 366 963 73 Deposits 0 00 0 00
Total Cash $0.00 $366,963.73 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $0.00 $0.00 FDIC Insured Bank Deposits .$11,040.08 -$380,018.94
Total Credits $11,040.08 $308,018.94 Total Debits -$11,040.08 -$380,018.94
Page 4 of I
Account Number. N40426161 Rated [...Hera
Winn RN /L I SOUTHERN CO ICI F ID Go r p i a S per I le T ss IAllt I 0 'M v .4 e C 1 r / y 0 1 A Y I lt N e P n C A 1 / T . < O 4 ) . C 2 O 0 M 07 M UNICATIONS :Tama otreerCaltZtreeeen MEV IIISPO
SDW_GM_00049663
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0012487
EFTA_00160272
EFTA01291758

Deutsche Asset
& Wealth Management
Draisot Banc PreaR wean Magatentni
Minds Coney* E.MP
Cettsde Sank known nc.
Mrs %A OR,.
P.O.Box 1776, ibitirixtre. MD 21203 315 Part Anne. lab liter
Mrs RA 10. 101•A
121))4!A.M.. MSS, 211409S
Statement Period: 05/0112015 - 0513112015
Transactions by Type of Activity
Process/
Settlement
Date Activity Type Description Quantity Price Accrued Interest Amount Currency
Dividends and Interest
05/14115 CAST DIVIDEND RECEIVED 21200 Sh RS APPLE INC COM RD 05111 PD 05114115 11.024.00 USO
AAPL
05115115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 16.08 USD
DEPOSITS INTEREST
RECEIVED
458997996
Total Dividends and Interest - UNITED STATES DOLLAR 0.00 11,040.08
FDIC Insured Bank Deposits
05115115 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -11,024.00 USD
US0999997
05/15115 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .16.08 USD
DEPOSITS INTEREST
REINVESTED
458,97996
Total FDIC Mewed Bank Deposits • UNITED STATES DOLLAR 0.00 -11,040.08
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: DAN
DANIEL SABRA
345 PARK AVENUE 26Th FLOOR
NEW YORK NY 10154
Page 5 oft
it it, S A O cc U o T u I n - t E N RN u m F b er. N40.0 K 261 i 61 GO paperless R L rO e x a l o dc t n e rE g d gt A Y E i R e xc R e e , A l s l T e in E n c D t e C 2 O 0 M 07 M UNICATIONS
F I DE ISITIAL
SDNY_GM_00049664
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12488
EFTA 00160273
EFTA01291759

Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds FIRST IN FIRST OUT
Default Method for Socks in a Dividend Reinvedm ent Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST lk FIRST OUT
Bond Amortization Electlons:
Treat all interest as original issue discount (00): No
Am daze premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types Ratable Method
Include market discount in income annually: No
Electronic Delivery
You have not selected any account corn m unications for electronic delivery. To register and turn off paper corn m unications. log in to your account or contact your Oienl Advisor for m ore information.
Important Information and Disclosures
Pricing
Thrs section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices, unless otherwise noted,
have been obtained from independent vendor services, which we believe to be reliable. Market prim do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is
not available are marked "N/A' and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks.
These figures are computed using information from providers believed to be rekable, however, no assurance can be made as to the accuracy. Slice interest and dividend rates are subject to change at any time,
and may be affected by current and future econorric, political, and business conditions, they should not be relied on for making investment, trading, or decisions. These figures assume that the position
quantities. interest and dividend rates, and prices remain constant. A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to
iwnv.pershing.conbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow.
Options
Intonation with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is evadable to you promptly upon your written request directed to your introducing frm. In order to assist your introducing Mn 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 ale valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon mitten request to your introducing firm.
Proxy Vote
Securities not fury paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Page 6 of T
Account Number. N40.026161 Go paperless R I... a N t o e s d y Y IL. a . l . u le % n In t c * 2007 Mva.1s we/rpym a o t e ns w o e s a V s a t r o a s O oat l . i w tr is O e g ov r a e s MEVW
SOUTI- FRN F 0A/II RAT( 0COMMUNICATIONS
SOWS/N.4_0000665
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) dni FI D AENTI A L. "Mina DB-SONY-0012469
EFTA_00160274
EFTA01291760

Deutsche Asset
& Wealth Management
Gnaw e Banc Prrnie Weal, Magagenten
Wrens ComW e 4,1,P
DectsOw I. SectonevAc
Narg Mt Mar
PO Box 1776, Baltimore, MD 21203 HI FM Mom. INIMccr
Ns <it PM 10114
0 In 434404, MSS) 21•409S
Statement Period: 06/01/2015 - 05131/2015
Important Information and Disclosures (continued)
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and Oil 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 intuited 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 appficatle; 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.comistrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to
your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor
Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza,
Jersey City, New Jersey 07399; (201)4134330. EIT016 and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do net have to explain the reason(s) for their award, unless, n 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 wilt 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 110 shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC, Legal Department One Pershing Plaza, Jersey City, New Jersey 07399; (201) 4134330.
Page? ofT
„iu t.
Account Number: N46-026161 Fisted IL ...Hat
O&M. WM SOUTHERN tnn F I D G A o p E ape N r les T s 1Ar ,O " Z e O Y I TLFW Si ( n C t• . C 2 O 0 M 07 MUNICATIONS Ma vs r . ia " n an c u o r u .+ n . i . .0••••• Ors m tem .0 e •n /WM Ida*
SDW_GM 00049666
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) DB-SONY-0012490
EFTA_00160275
EFTA01291761

Deutsche Asset
& Wealth Management
Draisre Sana Prmaie vftan ro...itenan
Marats Comp G,C,P
CeIrtsOw Ye* Settori
New Wart Mar
PO. Boa 1776, Balbmoro, MD 21203 Ha FM Mw, Ilith kw
lieslat. PM 10114
0 0) 45.1-730L WM M-4095
Account Number: N4G-026161
Statement Period: 04/01/2015 - 04/30/2015
Valuation at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value 13,247,910.04 $233,030.72
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 000 366,963.73
ST THOMAS VI 00802 Net SecuritiesIniOut of Account 000 2,183,792.00
Adjusted Previous Account Value 3,247,910.04 3,053,785.45
Dividends. Interest and Other Income 15 54 10.015.13
Net Chan e in Portfolio 15 264 00 16938800
ndrng Account Value $3,263,189.58 S3.263,189 5 E
Your Client Advisor: Estim alert Annual Income $44.147 13
DANIEL SAB8A
Asset Allocation
Prior Year-End Last Period This Period % Allcation
L SO Cash Money Funds and Bank Depostsl 233,030.72 609,994.01 610.009 58 18 69% Please review your allocation
LSD Equities 0.00 2,637.918 00 2.653 180 00 81 31% periodcalPywth your Gent Advie0t.
Account Total (Pie Chart) $233,030.72 13,217,910.01 13,263,99.58 100.00%
I The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bank deposits are not secunbes and are not covered by the Secunties Investor Protection Corporation
(SIPC). These bank deposes are covered by tne Federal Depose Insurance Corporaton (Fold). up to allowable limits.
Page I oi?
paperless Rated Ibice0ent
A0125219= 30018 G o Ivory Yeas Shwa 2007 Man, s• *ir sarGeogese"n Met Ida*
OAL0Alt RATED COMMUNICATIOhtS own. • La awl*. now wee sic
CON F ID rNAL EXCIII CNC
SDW_GA1_000496437
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) A DB-SDNY-0012491
EFTA_00160276
EFTA01291762

Summary of Gains and Losses
Realized
This Period Year-to0ate Unrealized
Short-Term Gainlloss 000 000 188.639 71
Long-Term Gain/Loss 0 00 000 693.979 50
Net Gainlloss 0.00 0.00 882,619.21
This summary excludes transactions where cost basis information is not available.
For Your Information
On June 5. 2014, the European Central Bank (the 'ECB') introduced 'negative interest rates'. This negative interest rate applied to all deposits held at the ECB and other credit institutions.
Effective February 1, 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and vrill reflect on your account
statement as Tree Credit Balance Interest Charge'. The interest will be repated on your Forms 1099 andfa 1042-S fa tax year 2015. These rates are subject to change in response to market changes, and we
may. in the future and based on our normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances.
FDIC Insured Bank Deposits
Date Activity Type Descriplia Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: N46026161 Activity Ending: 04130115
04101115 Opening Balance 609.994.04 509,994.04
04115115 Depotal INTEREST CREDITED 15.51 610.00918
APY 0.03%
04116115 BUT 610,009.58
NO 04116 $237500.00
Deutsche Bank Ind Co
NO 04116 $237500.00
NY Community Bank
NO 04116 $135009.58
04130115 Closing Balance $610,008.58
Total FDIC Insured Bank Deposits $610.009.58
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to $250.000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Income and Expense Summary
Current Period Year-to-Dale
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 000 000 9,964 00 000
Page 2 of 7
Account Number: N46-026161
Go paperless Every Yam• 1brue 2007
SO UTHERNCN— O TX AL C B IN AR II N R O AT I ED COMMUNICATIONS
SDNY_GM_00049668
OKIFIDrNTTAL,
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) DB-SDNY-00 12492
EFTA_00160277
EFTA01291763

Deutsche Asset
& Wealth Management
Dralsre Ban, Pr male wean mamtenan
wrests Con. t 0,0•P
CeIrtf4h. IS* Senor. mC,
Paw Part Wks
PO. Boa 1776. BalbmorojAD 21203 341P M ASS. Mt I kw'
Ms Vat. WI Iona
P VS 4514101. POO 7.8409S
Statement Period: 04/0112015 • 04/3012015
Income and Expense Summary icontmied)
Cermet Period Year.to.D ate
Taxable Noe Taxable Taxable !Ion Taxable
Interest Income
FCIC Insured Bank Deposits 15.54 0.00 51.13 0.00
Total Dividends, Interest, Income and Expenses $16.64 $0.00 610,015.13 $0.00
Portfolio Holdings
Account Activity °peeing aosiag Malted Income 30.Day Cerrent
Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 19.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
04101115 810.009.580 N46028161 04130115 809.994.04 610.00958 7.53 51.13 N/A N/A
Total FDIC Insured Bank Deposits $609,991.04 $610,009.58 $7.53 $51.13
Total Cash, Money Funds, and Bank Deposits $609,991.04 8610,009.59 81.13
Unre$alilz3ed Estimated Estimated
Dale Acquired Quantity Unit Cod Cost Basis Market Price Market Value Odd Lott Annual Income Yield
Equities 81.00% of Portfolio
Common Stocks
APPLE INC COM Security Identifier: AAPL
Dividend Option: Cash CUSP. 031833100
101281133 14.000.000 75.5800 1.058.120.50 125.1500 1,752,100.00 693.979.50 29.120 00 166%
09105114 3 7,200.000 98.9500 712,440.29 125.1500 901,080.00 188,839.71 14.976.00 1.66%
Total Covered 21,200.000 1,770060.79 2,863,180.00 882,619.21 44,096.00
Total 21,200.000 it 770 50.79 $2 663 160.00 $162,619.21 $44,096.00
Total Common Stocks $1,770,660.79 $2,653,110.00 $162,619.21 $44,096.00
Total Equities $1,770,560.79 $2,653,110.00 $882,619.21 $44,096.00
Unrealised Accrued Estimated
Cod egos Market Value Gad Lose Interest Annual Income
I Total Portfolio Holdings $2,380,570.37 $3,263,189.58 062,616.21 60.00 641,147.13
Page 3 of I
Account umber N404326161 Raged Excellent
M125219C3F30018 00A0.11011 SO ERN F ONFID G A C) E pa N perl T ie5 I 5 A L 041.0AlORN RCA7TC0 C 2 O 0 M 07 M UNICATIONS • ea • tr • i • n •• t • e • l • " . r 0 s • t • r • a • r • a •• s •• s •• lA • i c n t . I':4 .0 S" 0 n /NW 111•••••
Xffil
SDNY_GM_00049669
:e;
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6 DB-SDNY-0012493
EFTA_00160278
EFTA01291764

Portfolio Holdings
(continued)
Footnotes
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRO') (incorporating
amendments enacted by P.L 110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such.
All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement
US taxpayers securities which have been acquired on or after their "applicable date(sF at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943
for the applicable tax year in which the security is disposed.
Reporting requirements generally aril be phased in over a three-year period, as follows:
• Stock it a corporation acquired on or after January 1, 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014.
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 ifformation.
Messages
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the
money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information.
Customer Collateral Account Under Securities Account Control Agreement
Federal Deposit Insurance Corporation (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds. please visit the DWS Investments website at https:fAininv.dwsinvestments.conVEN/products/money4narket-funds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Activity Sum m ary (All amounts shown are in base currency)
Credits This Period Tear•to.Date Debits This Period Year-to-Date
Dividends and Interest $15.54 $10,015.13 Dividends and Interest $0.00 $0.00
Cash Cash
Deposits 000 366.96173 Deposits 0.00 0 00
Total Cash $0.00 $366,963.73 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $0.00 $0.00 FDIC Insured Bank Deposits -$15.54 -$376,9711011
Total Credits $15.54 $371970.46 Total Debits -$15.54 -$376,978.86
Page 4 of I
ORAN 110L I S A O cc t o il u l n - t E H RN u m C b O e r: N46-0 'N 2 L 6 C 1 6 F 1 I D Go r p E ap T erle r ss i AL, r R 0 fa Ax a t .e t e Lr e d d ti v t • m u .R e ..A l v l S e Ti n eEw t •D C 2 O 0 M 07 M UNICATIO116 M • a •• t • •••• L • e 4 m 1A ea.*. /WNW wet
SDW_GM_00049670
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12494
EFTA_00 160279
EFTA01291765

Deutsche Asset
& Wealth Management
Gnaw e Sant P,,nit Wet" Magatentm
Weals tonne Clap
CestsOw Is* Sew tic.
Now Wart Orloo
PO am 1776, Baltimore, MD 21203 341F M Mos. 26th I Ices'
liesitat. 10114
0 17) O&M& MM21,14.091.
Statement Period: 04/0112015 -04/3012015
Transactions by Type of Activity
Process/
Settlement
Date Activity Type Description Quantity Price Accrued Interest Amount Curren
Dividends and Interest
04115115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 15.54 USO
DEPOSITS INTEREST
RECEIVED
/58997996
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 18.84
FDIC Insured Bank Deposits
04115115 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -15.54 USD
DEPOSITS INTEREST
REINVESTED
458997996
Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -16.64
Total Value of Transactions 0.00 0.00 USD
The mice and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: DAN
DANIEL SABBA
345 PARK AVENUE, 26TH FLOOR
NEWYORK NY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds: FIRST IN FIRST OUT
Default Method for %attain a Dividend Reinvestm ent Plan: FIRST IN FIRST OUT
Default Method for all Other Securities FIRST IN FIRST OUT
Bond Amortization Elections:
Treat all interest as original issue discount MIDI: No
Amortize premium on taxable bonds based on Constant Yield Method: Yes
Accrual mantel discount method for all other bond types: Ratable Method
Include market discount in income annually: to
Page 5 ol7
Account Number N40426161 Rated
A :9 7. 10 0:8 MIMI Rol SO U THERE Cr — I I Go paperless ( g no t s ta y ig v t a . n rd a V i o t c ° e C 2 ° 0 14 0 4 7 . 41NICATM3h6 ••••••••• Isenat.. Wet •00
SDNY_GM 00049671
ONFI DrESITTAt,
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) DB-SDNY-001249.5
EFTA_00160280
EFTA01291766

Your Account Information (continued)
Electronic Delivery
You have not selected any account tom in imitations for electronic delivery. To register and turn off paper Comm unications. log in to your mount 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 on a settlement date basis, including short positions, at the dose of the statement period. The market prices, unless otherwise noted,
have been obtained from independent vendor services, which we believe to be reliable. Market paces do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is
not available are marked "N/A- and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks.
These figures are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. Sine interest and dividend rates are subject to change at any time,
and may be affected by current and future econornic, 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
wirnv.pershing.comthusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wit
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing fin in maintaining current background and financial information concerning
your option accounts, please prorriptty advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Cleating Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may relied 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 wig not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, Incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
The Role of Pershing
• Pershing carries your account as clewing 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 ornissions 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 resuk of securities transactions it processes.
• Your financial institution rs responsible for adherence to the securities laws. regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should
Pages oil
Account A umber.o N4On.02F616I1 DAneTTAL
I PAIL 311 Go paperless ca_z) r O vs M etr" B y A vt l e t P tt A inl T 'nc C t D o C 2 O 0 M 07 M UNICIalOhtS
?Mal MCI
SDNY_GM 00049672
678U)THER4 F
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SONY-0012496
EFTA_OO16O281
EFTA01291767

Deutsche Asset
& Wealth Management
Dralsre Ban( Pr.le vftan roanenan
Marats Cowan 6,0.2
1)70.0w Yak Senn% ax.
New 774 C.
PO. Ciox 1776, Baltimore, MD 21203 HI Pia Asst. Mm kw'
Ms Wet PM 10114
0 0) 4$14110. 11702 7.84091.
Statement Period: 04/01/2015 - 04/30/2015
Important Information and Disclosures (continued)
The Role of Pershing (ccOnued)
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 possthle 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
intitution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC"). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit: wompershing.congstrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to
your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to tither protect your rights, including your rights under the Securities Investor
Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza,
Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All patties to this agreement are giving up the right to sue each other in noun, including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is filed.
• Arbitration awards are generally final and binding; a party's abitily to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generaly 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, nix seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza. Jersey City. New Jersey 07399; (201) 413-3330.
Page? of?
Account n umber. N40.026161 Rated twcollent
rilAit RCM ONF ID-E paperle 1 ss A L 0 tr 4 a 1. y 17 A V A a R t A W TE o D o . C 2 O 0 M 07 M UNICATIONS
SDNY_GM_00049673
676: MIR"
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0012497
EFTA_00160282
EFTA01291768

Deutsche Asset
& Wealth Management Draisre Banc Pr.* wean humgenme
wrests Coven* 0,cm,
cemsow est Sflt MC.
/14.1brt0Plor
P.O. Box 1776. 8•Ibmoro, MD 21203 345 Par% ASS. ilith I kir
lieslat. WI 10114
II 4544101.1,151,0•4091.
Account Number: N4G-026161
Statement Period: 0310112015 - 03/31/2015
Valuation at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value $3,333,332.50 $233,030.72
6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 000 388,963.73
ST THOMAS VI 00802 Net Securities IniOut of Account 000 2,483,792.00
Adjusted Previous Account Value 3,333,332.50 3,083,786.45
Dividends, Interest and Other Income 13 54 9.999 59
het Chan ,e in Portfolio -85 436 00 154 124.00
nd rg Account Value 53,247,910 04 53,247,910 04
Your Client Advisor: Estim ated Annual Income 539 891 59
DANIEL SAHA
Asset Allocation
Prior Year-lad Last Period This Period % Allocation
LSD Cash. Money Funds and Bank Deposts1 233,030.72 609,980.50 809.994.01 18.78% Please review your allocation
LSD Equities 0.00 2,723,352 00 2.837,916 00 8122% I
Account Total (Pie Chart) $233,030.72 $3,333,332.50 $3,247,910.04 100.00%
I The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bank deposits are not secontes and are not covered by the Mounties Investor ProteMion Corporabon
(SIPC). These bank deports are covered by the Federal Depose Insurance Corporabon (FDIC). up to alowable
Page Iota
A0098976CSF30023 GO paperless E Ra n t " e , d Excel l l a e S n e t • 2007 eattiwtneW:kr
DAUM* RATED COMMUNICATIONS
CONFIDENTIAL %al 1I NCIr
SDW_GM_00049674
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012498
EFTA_00160283
EFTA01291769

Summary of Gains and Losses
Realized
Tbis Period Year-to•Date Unrealized
Shan-Term Gainkoss 0.00 0.00 183.455 71
Long-Term Gain/Loss 000 0.00 683199 50
Net Gain/ Loss 0.00 0.00 817,355.21
This summary excludes transactions where cost basis information is not available.
FDIC Insured Bank Deposits
Date Activity Type Oesaiefion Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: N4G026161 Activity Ending: 03/31115
02128115 Opening Balance 609,980.50 601980.50
03113115 Denali INTEREST CREDITED 13.54 609194.04
APY 0.03%
03116/15 BUT 609194.04
NO 03/16 5134994.01
Deutsche Bank rid CO
NO 03/16 5237500.00
NY Comm unity Bank
NO 03116 $237500.00
03131/15 Closing Balance $809,994.04
Total FDIC Insured Bank Deposits $609,994.04
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to $250.000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other
deposits you may have at each respective bank
Income and Expense Summary
Current Period Year-to-Date
Taxable Non Taxable Taxable Non Taxable
Dividend Income
Equities 0 00 0.00 9 964 CO 0.00
Interest Income
FDIC Insured Bank Deposits 13.54 0.00 35 59 0 00
Total Dividends, Interest, Income and Expenses $13.54 $0.00 59,999.59 $0.00
Page 2 of 8
Account Kum ber. N46-026161 RANO Excellent
DOAN h)l, lq co paperless ( O v N e L r O y A V A a R s A S TE W D . C 2 O 0 M 07 M UNICATIONS
tO FIDEsignAL l)02111INCIr
SDNY_GM_00049675
6: THERN
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. DB-SDNY-00 12499
EFTA 00160284
EFTA01291770

Deutsche Asset
& Wealth Management
Dreure earn. Pewee wean maagenorn
Mall COOP•P 0,1•P
tee-WNW Servo. ea
Mw elraterMrs
PO. Boa 1770 Balbmoro. MD 21203 Me eve Ammojilth leer
lieslartr 10114
Po) 04411. ORM 7a409$
Statement Period: 03/01/2015 - 03131/2015
Portfolio Holdings
Account Adivity Opening Closing Accrued Income 30-Day Current
Opening Date Quantity Number Eiden Balance Balance Income This Year Yield Yield
Cash, Money Funds, and Bank Deposits 19.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
02/28115 609.994.040 N4G026161 03131115 609.980 50 609.994.04 8.02 35 59 NIA NIA
Total FDIC Insured Bank Deposits $609,960.50 $609,994.04 $6.02 $35.59
Total Cash, Money Funds, and Bank Deposits 1609,960.50 $609,994.04 $8.02 $35.59
Unrealized Estimated Estimated
Date Acquired Quantity UnilCost Cod Bads Market Price Market Value Gain/ Loss Annual Income Yield
Equities 81.00% of Portfolio
Common Stocks
APPLE INC COM Security Identities: AAPL
Dividend Option: Cash CUSIP: 037833100
10128113 3 14.000.000 75.5800 1.050120 50 124.4300 1,742,020.00 813.89930 26.320.00 1.51%
09105114 1,200.000 98.9500 712,440.29 124.4300 895.896.00 183,455.71 13,536.00 1.51%
Total Covered 21,200.000 1,770,680.79 2,637,918.00 867,355.21 39,656.00
21,200.000
Total $1.770,560.79 $2,637,916.09 9667,355.21 639,656.00
Total Common Stocks $1,170,560.79 92,637,916.09 9667,355.21 $39,658.00
Total Equities $1,770,560.79 $2,837,116.09 $667,355.21 $39,656.00
Uamahzed Aartied Estimated
Cod Bads Market Valle Gold Lou Interest Annual Income
Total Portfolio Holdings $2,360,654.63 63,247,610.04 $6117,366.21 $0.00 $39,891.59
Footnotes
SecurAies acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC') (incorporating amendments enacted by
P.1.110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered." under the new cost basis reporting rules. and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis oil be reported to the IRS on form 1099-B for the applicable tax year in which the security is
disposed.
Page3 of 8
Account Number. N40426161 Rated excellent
VIIA VI non Go paperless L rO e V e : r ri y r Y iL e I a V r D W C e O e M 20 M 0 U 7 NiCATIONS aetraapac . e ... s . t . r ro a a ra ta = we "o" e v a wo s e w Powwow
SDW_GM_00049676
6: HERN
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. DB-SDNY-0012500
EFTA_00160285
EFTA01291771

Portfolio Holdings
(continued)
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January% 2011
• Mutual funds and dividend reinvestment plan (DRP) shares acquired on cc after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
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 nformation.
Messages
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds, please visit the OWS Investments website at httpslAwm.dws-investments.conVEN/productsrmoney-marketaindstields.isp. Please note that all money
market funds bsted on the website may not be offered through us.
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Customer Collateral Account Under Securities Account Control Agreement
Activity Sum m ary (Alt amounts shown are in base currency)
Credits This Period Yeario•Date Debits This Period Year-to-Date
Dividends and Interest 413.51 $9,999.59 Dividends and Interest $0.00 $0.00
Cash Cash
Deposits 000 366.963 -a Deposits 000 0.00
Total Cash 10.00 3305,963.73 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits 10.00 50.00 FDIC Insured Bank Deposits -513.54 .4374,963.32
Total Credits $13.54 3376,953.32 Total Debits -T13.54 -4376,963.32
Transactions by Type of Activity
Process/
&themeel
Date Adivi Pe Descridin Oeantd Price Accrued 'Mimi Moist Correa
Dividendsand Interest
03113115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 13.54 USD
DEPOSITS INTEREST
RECEIVED
458997996
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 13.54
Page 4 de
()MAO ROL S A O cc U o T u h n t E h R u N m C he X r NaG L - 0 N L 2 L 6 C 1 . 6 F 1 I D Go A p E ap N erl T es I s A L I R ot M a C k t. I . l t li e N r x O i c a o 1 ll I t si a nt iglimunicAnows i ea h tr n a it e a . g A I • L W A a • V •• e •• l • o • l • la •• t • = A a rtin IW " O IONVIIIkNee
SDNY_GM 00049677
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012601
EFTA_00160286
EFTA01291772

Deutsche Asset
& Wealth Management
Dnitios Sint Pr male w.ap. Maatenmi
Mann COnf ape CoMP
Moan.. Op* Smoot' .4.
Nee Mt altar
P.O. Box 1776, 13•16nwireJAD 21203 MS Par% /what Mm liter
WI 10114
(l 11) 061666 161$171•4091.
Statement Period: 0310112015 -03/3112015
Transactions by Type of Activity (continued)
Process,
Settlement
Date Activity Type Desolation Cieentily Price Acaued Interest Amonel Currency
FDIC Insured Bank Deposits
03113/15 FDIC INSURED BANK INSURED DEPOSITS INTEREST REM VESTED -13.54 LSD
DEPOSITS INTEREST
REINVESTED
158997996
Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -13.54
Total Value of Transactions 0.00 0.00 DSO
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: DAN
DANIEL SARA
345 PARK AVENUE 261? FLOOR
KEW YORK AY 10154
Your Account Information
Tax Lot Default Disposition Method
Default Method for Mutual Funds FIRST IN FIRST OUT
Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Secunties FIRST IN FIRST OUT
Bond Amortization Elections:
Treat all interest as original issue discount (OlDi: No
Am orate premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types Ratable Method
Include market discount in income annually: No
Electronic Delivery
You have not selected any account coma unications for electronic delivery. To register and turn oil paper communications. log in to your account or contact your Client Advisor for more information.
Page 5 of 8
Account Number. 1446-026161 Go paperless Riled Excellent
()PAO ROIL DrisrriAL 0 tw 6 o .0 s 3 " A V R s R * A S T i E nc D e C 2 O 00 m 7 m uNiC6110/6
FI [Mtn IIINCIF
SDNY_GM_00049678
6: THERN
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. DB-SDNY-00 12502
EFTA_00160287
EFTA01291773

Important Information and Disclosures
Pricing
This section induces the net r'arket value of the securities in your account on a settlement date basis. including short positions, at the dose of the statement period. The market prices, unless otherwise noted.
have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is
not available are marked "NM' and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EA') and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Slice interest and dividend rates are subject to change at any time,
and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities, interest and dividend rates, and prices remain constant. A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to
SWAY. pershing.corritusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, dividends for other securities shown on your statement may have been reinvested. You will
or
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing Mn. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your fniancial 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 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 resuit 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) 4133333. 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 vnwe.pershing.corn/strength_stability.html.
Page 6 of 8
Account A um ber. 1110.026161 Rated euvlIont
Go paperless eZz.%7;coriouwicAr in
SDNY_G/A_00049679
ONFID AENTIA rxae
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. ti(e) Wel DB-SDNY-0012503
EFTA_OO16O288
EFTA01291774

Deutsche Asset
& Wealth Management
Dvalsre Sam Poule Weil Pi Wwenan
Weans COVene 4,C,P
CtottOw Oak SeCwIewt
Mw MtlS
P.O.Box 1776, Baltimore, MD 21203 HI tar% MY,Ilit htor
Ms Vat. PM 10114
inn 4$143. n•-• 09
Statement Period: 03/01/2015 - 03/31/2015
Important Information and Disclosures (continued)
The Role of Pershing (corninuk)
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) prompt', but no later than ten days after receipt of this statement. to
your francial organization and Pershrg. Please be advised that any oral communication should be re-confamed 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 ',formation is as folows: Pershing LLC, Legal Department, One Pershing Plaza,
Jersey City, New Jersey 07399; (201)0134330. 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 generally final and binding; a party's atibty to have a court reverse or modify an arbitration award is very baited.
• 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 Nought 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 certified class action to arbitration, nor seek
or
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399: (201)413-3330.
Page7of8
A0091976CSF30023 DOA. ROLL Account Humber: N46-02616 F 1 I D G -E o p N ape T rle I ss A L R I 0 X . i 6 C le 0 IF 3 d 6 I r e 1 E ax 1 c N P o. A O l S l T o ' e O n n D t t o C 2 O 00 m 7 m ut00010h6 vow...LC owoofwato. o•C
SDW_GM 00049680
676: TF ERN CO
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DEI-SDNY-001 2504
EFTA_00160289
EFTA01291775

TERMS AND CONDITIONS
TRANSACTIONS PERSHING MAY TRADE FOR RS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST. ODD LOT DEALER,
• ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SMALL BE BLOCK POSINONER, ARBITRAGEUR OR INVESTOR. CONSEQUENTLY, AT THE TIME OF ANY
SUBJECT TO THE CONSTITUTION, RULES, REGULATIONS, CUSTOMS, USAGES. RULINGS AND TRANSACTION YOU MAY MAKE, PERSHNG MAY HAVE A POSITION IN SUCH SECURITIES, WHICH
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, F ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR F APPLICABLE. OF THE FNANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DUALS
• TITLE TO SECURITIES SOLD TO YOU, WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN AVAILABLE UPON REQUEST.
WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT
DATE. WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF IT W ILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN
• YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT WWW.PERSHNO.COM.
STATEMENT. F SO. TIE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES:
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALVE OF YOUR ACCOUNT. VYWW.PERSHING.COMIBUSINESS_CONTINUITY.HTML
THIS IS ESPECIALLY TRUE F YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS
FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S PAYMENT FOR ORDER FLOW AND ORDER ROUTINES 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 COMMUNICATOR
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. THE DETAILS OF THESE PAYMENTS ANO FEES ARE AVAILABLE UPON
MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT. THIS S A COMBNED STATEMENT OF WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC, FOR EXECUTION AS PRINCIPAL
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT.
INSPECTION UPON REQUEST. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
TAX INFORMATION FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE.
COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS,
• AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE TI-EM 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 F THE DESIGNATED
PROVIDE THAT INFORMATION ON THE ANNUAL TM INFORMATION STATEMENT TO YOU; USE THAT MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY
STATEMENT TO PREPARE YOUR TM FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH
• DIVIDENDS. INTEREST AND OTHER DISTRIBUTORS SHOWN ON THIS STATEMENT WERE CLASSIFIED QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVOE
AS TAXABLE CR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY
DATE. THIS CLASSIFICATION TS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES.
GENERAL INFORMATION.
• PERSHING DOES NOT PROVOE TM, INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE
ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO
DETERMINE THE APPROPRIATE TM TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ARE INDEBTED TO PERSHING LLC (PERSHING') FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FCR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
LIABILITIES TO PERSHNG. AND PERSHNG MAY IN ITS DISCRETION AT MY TIME. NV ITHOUT TENDER.
DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR
PR NATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS;
ANY BALANCE REMAINING DUE PERSHNG TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR
YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY
PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE
COMMINGLING THEREOF, WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN, EQUAL TO OR
GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR MI AMOUNT
PROHIBITED BY LAW.
F ALYCE THE ABOVE TERNS AND CCMXTIONS ARE UNACCEPTABLE TO YOU. PLEASE HOOP!' PERS-ING IMLBDIATEL Y III WRITING BY CERTIFIED 10.1. TO ONE PERSHING Pa JERSEY CITY, NJ 07399. ATTN LEGAL DEPT
Page 8 of 8
CON
Mecum Humber. N4G426161 Go paperless R tr i a le y d Y tw ea o • l l L o A n C t * 2'007 :Tan etwee Vas liat Oeret"e enMEV Illk•••
F I = TA Or A A &Y la I tilnitRoArTCD COMMUNICATIONS orsanneu4 •••••••••alk Mae OM
SDW_GM 00049661
; Th ERN
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6 DB-SDNY-0012505
EF1'A_00160290
EFTA01291776

Deutsche Asset
& Wealth Management
Dmilu le SamPP...le Wealth Maatenmil
Weett COreateComP
Chnthe NW S((t
Mr. bet Once
P.O. kw 1716, fiatinswe. MD 21203 HI Pot AIIPO“, l•th liter
Illewlea PM 101W
inn Oda ii3,118•401t
Account Number: N4G•026161
Statement Period: 02/0112015 - 02/28/2015
Valuation at a Glance
This Period Year-to-Dale
SOUTHERN FINANCIAL LLC Beginning Account Value $3,083,792.69 6133,030.71
6100 RED HOOK QUARTER B3 et Cash Deposits and Withdrawals 0.00 366 963 73
ST THOMAS VI 00802 Nel Secunties InlOut of Account 0.00 2 483 792 00
Adjusted Previous Account Value 3,083,792.69 3,083,786.45
Dividends. IntereM and Other Income 9.97981 9.986 05
Net Chan e in Portfolio 239 560 00 239 560 00
ndrng Account Value 53 333,332 50 $3,333,332.50
Your Client Advisor: Estimated Annual Income $39,878 05
DAME SABBA
Asset Allocation
Prior Yearlad Last Period This Period % Allocation
LSO Cash. Money Funds and Bank Deposits' 233.030.72 600,000.89 609.980 50 18.30% 7 .1 0iii\ Please review your allocation
LSD Equities 0.00 2.483.792 00 2.723.352 00 81 70% 7
Account Total (Pie Chart) 1233,030.72 13,083,792.69 $3,333,332.50 100.00%
I The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bank deposits are not secuntes and are not covered ty tne Secuntes Investor Protection Corporation
(SIPC). These bank deports are covered by the Federal Deposit Insult* Corporabon (FDIC), up to stowable limits.
Page 1 on
Go paperless Riled evoollent .9747.......047==.r.a..". ....
Danl.{ ROL i C A0 O 097$0 N 9CSF F 3001 I 6 DE1SMAL " I O s a / w il"is`a "RA"TC DC 2 O 00 m 7 muttiG•TIOrd —..,,..........,-
SDNY_GM_00049682
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12506
EFTA_00160291
EFTA01291777

Summary of Gains and Losses
Realized
This Period Year-toffate Uorealked
Short-Term Gainilass 0 00 000 212.471.71
Long-Term Gain/Loss 0 00 000 740,319.50
Net Gain/Loss 0.00 0.00 952,791.21
This summary excludes transactions where cost basis information is not available.
For Your Information
On June 5. 2014, the European Central Bank (the 'ECB') introduced 'negative interest rates'. This negative interest rate applied to all deposits held at the ECB and other credit institutions.
Effective February 1, 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and will reflect on your account
statement as Tree Credit Balance Interest Charge'. The interest will be reported on your Forms 1099 and/or 1042-6 for tax year 2015. These rates are subject to change in response to market changes, and we
may. in the future and based on our normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances.
FDIC Insured Bank Deposits
Date Activity Type Description Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account N um ber: N46026161 Activity Ending: 02121115
01131115 Opening Balance 600.000.69 600.000.69
02113/15 Depot DEPOSIT 9.964.00 609.964.69
02113115 ['spelt INTEREST CREDITED 15.81 609,980.50
APY 0.03%
02117/15 BUT 609,980.50
NO 02117 $237500.00
Deutsche Bank Trot Co
NO 02117 $237500.00
NY Community Bank
NO 02117 $134980.50
02127115 Closing Balance $609,960.50
Total FDIC Insured Bank Deposits $609,980.50
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance
Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Income and Expense Summary
Portent Period Year-to-Date
Taxable Noe Taxable Taxable Nom Taxable
Dividend Income
Ec tides 9.964.00 0.00 9984.00 0.00
Pagr2 of ?
Account H um ber. N40.026161 GO paperleSS ittiadezeru a vile r n t sag
11:)1. I BOUM ERN CNO LLC. 'CATIONS
N F I DAE NTIAL TACO IINCI
SDNY_GM_000496B3
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) DB-SDNY-0012507
EFTA_00160292
EFTA01291778

Deutsche Asset
& Wealth Management
Draisre Banc ,,..Ie w.stn14”rgentne
Peseets Connive Comp
Cettsthe Mr* Setwari
Mw bet Once
PO. Box 1776, Baltimore, MD 21203 315Part Agere. 30th I *sr
Mrs vest. PIT lO%W
1))4S41.71$4. 11114714409S
Statement Period: 02/0112015 • 02/2812015
Income and Expense Summary (continued) Current Period Year-to-Date
Taxable Noe Taxable Taxable Non Taxable
Interes: Income
FCiC insured Bank Deposts 15.81 0.00 22.05 0.00
Total Dividends, Interest, Income and Expenses 69,979.11 $0.00 $9,986.05 $0.00
Portfol io Holdings
Account Activity Opening Closing Acaued Income 30.Day Correia
Opening Date Quantity Number Ending Balance Balance Income This Yield Yield
Year
Cash, Money Funds, and Bank Deposits 18.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
01131115 609.980.500 MG026161 02/27/15 600.000 69 609 980 50 6.52 22.05 NIA NIA
Total FDIC Insured Bank Deposits 1600,000.09 1609,980.50 66.52 622.06
Total Cash, Money Funds, and Bank Deposits $600,000.69 1609,980.50 $6.62 622.06
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities 82.00% of Portfolio
Common Stocks
APPLE INC COI Security Identity: AAPL
Dividend 0pbon: Cash CUSIP 037833100
10128113 3.12 14.000 000 75.5800 1.058.120.50 128.4600 1,798,440.00 740.319.50 26,320.00 1.46%
09105114 3.12 7 200 000 98.9500 712,44029 128.4600 924,912110 212,471.71 13,536.00 1.46%
Total Covered 21,200.000 1,770,660.79 2,723,362.00 962,791.21 39,856.00
Total 21,200.000 $1,770,560.79 $2,723,352.00 6962,791.21 639,856.00
Total Common Stocks $1,770,560.79 $2,123,352.00 $962,791.21 639,856.00
Total Equities $1,770,560.79 $2,723,362.00 6962,791.21 $39,856.00
Unrealized Aoned Estimated
Cost Basis Markel Value Gain/Loss Mitered Annual income
Total Portfolio Holdings $2,380,541.29 $3,333,332.50 6962,791.21 $0.00 639,818.05
Page) 017
Account h umber. N40.026161 GO paperless R L v ai e d r e y d v E v x . c , e l S le i n v t a 2007 ,arnttteoZtalL• 14: .o's"je.s' ste us*
F I DAENTIAL 0410A M li R C A I T(O COMMUNICATIOhtS
SMW_GM_OOCutS0414
678; IFERN
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0012508
EFTA_00160293
EFTA01291779

Portfolio Holdings
(continued)
Footnotes
Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended 0RO (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabikzation Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual hinds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information.
12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section.
M essages
Federal Deposit Insurance Corporation (FDIC)4nsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at httpsINAwrdws-investrrtents.corn/EN/productsimoney-market-fundslields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Customer Colateral Account Under Securities Account Control Agreement
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Activity Sum m ary (All amounts show, arem base currency)
Credits This Period Year4otiate Debits This Period Yeamotiste
Dividends and Interest $9,979.81 $9,986.05 Dividends and Interest $0.00 $0.00
Cash Cash
Deposits 000 36696373 Deposits 0.00 0 00
Total Cash $0.00 $388,963.73 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $0.00 WOO FDIC Insured Bank Deposits -$9,979.81 -$376,949.78
Total Credits $9,979.81 $376,949.78 Total Debits -$9,979.81 .$376,949.78
Page 4 of?
Account number. N40126161 ENTTAL Rated [...giant
paperless
()WAN ROL ONFIDA 0t"A"lSAYRIA. STinLcD.C20017•.41.1NICATIONS
EXCIIIINCS
SDNY_GM_00049685
78; TFERNF
CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6 DB-SDNY-0012S09
EFTA 00160294
EFTA01291780

Deutsche Asset
& Wealth Management
Dmisre Banc PrmaieWealh .4a.igentm
hereatiOnneetms•
CtelsOw 60* Maori Ht
NorelbrtOrlop
P.O.
Box 1770 Baltimore. MD 21203 341Parli ASS. 1111h I kw
lieslat. WI 10114
Po) .01-12211.01151118-4091
Statement Period: 0 2/0112 01 5 • 0 21 28/201 5
Transactions by Type of Activity
Process
Settlement
Date Ache Ity Type Description Quantity Price Accrued Interest Amami Currency
Dividends and Interest
02/12/15 CASE DIVIDEND RECEIVED 21200 SFRS APPLE INC COM RD 02/09 PD 02/12/15 9164.00 USD
AAFt
02/13115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 15.81 USD
PEPOSTS INTEREST
RECEIVED
458997996
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 9,979.81
FDIC Insured Bank Deposits
02/13/15 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -9.964 00 USD
US0999997
02/13/15 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .15.81 USO
DEPOSITS INTEREST
REINVESTED
458997996
Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 -9,979.81
Total Value of Transactions 0.00 OAD USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: DAN
DAN la SABBA
345 PARK AVENUE 26TH FLOOR
NEW YORK KY 10151
Page 5 of?
Account Number: N4G•026161 Riled C.00ent
OltA1-1 RCM L very Yeas setwo 2007 I e h t n te la tr U e C rC , also Pa “A a Ors S te S "m C e in01S1110110*
M etlafirelAtfTED C°144.114ICATI°145
SDW_GM_00049686
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERN C FID Chi PaPesrrierA C4-). DS-SDNY-0012510
EFTA_00160295
EFTA01291781

Your Account Information
Tax Lot Default Disposition M ethod
Default Method for Mutual Funds FIRST IN FIRST OUT
Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities FIRST IN FIRST OUT
Bond Amortization Elections:
Treat all interest as original issue discount (DID): No
Am oda premium on taxable bonds based on Constant Yield Method: Yes
Accrue/ market discount method for all other bond types: Ratable Method
Include market discount in income annually: No
Electronic Delivery
You have nol selected any account communications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Olen' Advisor for more information.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices, unless otherwise noted,
have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is
not available are marked "N/A' and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable, however, no assurance can be made as to the accuracy. Slice 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
.wnv.pershing.corn/business_continury.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions. Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wit
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment fa order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confrmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning
your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to
the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm.
Proxy Vote
Securities not fury 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
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 trilled at the rates such agents
use.
tvo...713AYIrRA.T(C7C2PaSge 6: o4f T 7MUNICATIONS
Itt)tt Account E H RN u m F b er. 40.0 L 2 L 6 C 1 . 6 1 Go paperless Rated winon t • ea • t • t • iw ••• t • . • LC 's a h v w o a w V e n i a t u y lt, w te e c t r = .. P . c . ... MEV Si*
NFID-ENTIAL EXCIIIONCI
SDNY_GIA_00049687
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0012511
EFTA_00160296
EFTA01291782

Deutsche Asset
& Wealth Management
Dralsre San, Poo/lewean Ma.bgenan
Manus I oarm e 4.0.1.
Chtf0.10ankS4toriv4,
Mc* bet Once
P.O.Box 1776, Baltimore, MD 21203 315 Pot euircce 201b,/cc,
New %A ItY 101W
II IS) 454.2104. MSS, 7.I.409S
Statement Period: 0210112015 - 0212812115
Important Information and Disclosures (continued)
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without Inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (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 resuit 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 vawcpershing.comlstrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to
your financial organization and Pershing. Please be advised that any oral communication should be re-confrmed in writing to further protect your rights, including your rights under Me 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)1134330. 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 Med.
• Arbitration awards are generally final and binding; a party's abibty to have a court reverse or modify an arbitration award is very fl ed.
• 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 vrill typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows' Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330.
Page? of?
00/41 S A O cc U o T u H n E t R N N u m C be e r: t N t, 4 6-0 L N 26 i J t 1 6 F 1 I D G ^ o E pa N per T les I s A 1:--ss l I is w x t a e as y d le Y ex • c •• e l S l T e i C n n D t t . C 2 O 0 M 07 M UNICATIONS r • aa •• n •• t • •••LA t w s r n e o n r t n a i y fit sta P t e r a e t m 0 s .0 e 0 n 'Yew*
SDNY_GM_00049688
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(8) DEt-SONY-0012612
EF1'A_00160297
EFTA01291783

Deutsche Asset
& Wealth Management
Orals° e tam Po...MeWall" Maatenmil
Me ts C itt 0Owp
Devische Sank Settonel ‘IC
Mew bet OR,*
P.O. Bop 1776, Balbmoro, MD 21203 145 Part Aar. 20th I Ica
Illernea pY IOVA
in7)431-780.1111SPISCII,
Account Number: N4G-026161
Statement Period: 01/0112015 - 01/31/2015
Valuation at a Glance
This Period Year-to-Date
SOUTHERN FINANCIAL LLC Beginning Account Value $233,030.72 $233,030.72
6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 366.963 73 366 963 73
ST THOMAS VI 00802 het Secunhes InlOut of Account 2,483 792 00 2 483 792 00
Adjusted Previous Account Value 3,083,786.46 3,083,786.4$
Dividends. Interest and Other Income 6.24 6.24
nding Account Value $3,083,792.69 $3,083 792 69
Estimated Annual Income $39,862 24
Your Client Advisor:
DANIEL SABBA
Asset Allocation
Prior Year-End Last Period This Period % Allocation
LSD Cash, Money Funds and Bank Deposits' 233,030.72 233.030 72 600.000 69 1946% Plase review your allocation
LSD Equities 0.00 000 2.483.792 00 8054% — j
Account Total (Pie Chart) $233,030.72 $233,030.72 $3,083,792.69 100.00%
I The Bank Deposes in your account are FDIC insured bank deposes.
FDIC insured bank deposits are not securities and are not covered by Ite Secuntes Investor Protection Corporation
(SIPC). These bank deposes are covered by the Federal Deposit Instrance Corporal on (FDIC). up to allowable limits.
Page 1 oil
OteAll ROLL C A0 O 11872 N 8C5F3 F 0017 I C G I o E pa N pe T rles I s A L l t ) r R Ox a .A te .et6 d A ' I n e L R K a "R o r A o w U l T le C M n i D t * C 2 O 00 m 7 m uniC*110h6 M • a • n •• e •• ••LA M 'a a v r o a w vo n w o ie t n . rr rmt =—ve il SW Mao
SDNY_GM_00049689
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12513
EFTA_00160298
EFTA01291784

For Your Information
On June 5. 2014, the European Central Bank (the 'ECI3') introduced 'negative interest rates'. This negative interest rate applied to an deposits held at the ECB and other credit institutions.
Effective February 1, 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and will reflect on your account
statement as 'Free Credit Balance Interest Charge'. The interest will be reported on your Forms 1099 and/or 1042-S for tax year 2015. These rates are subject to change in response to market changes, and we
may, in the future and based on our normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances.
FDIC Insured Bank Deposits
Date Activity Type Description Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: 1146026161 Activity Ending: 01130115
01101115 Opening Balance 233,030.72 233,030.72
01115115 Deporit DEPOSIT 366,963.73 599,994.45
01115115 Deposd INTEREST CREDITED 6.24 600,000.69
APT 0.03%
01116115 Citibank N.A. 600,000 69
NO 01116 $237500.00
Deutsche Bank list Co
NO 01116 $237500.00
Texas Capital Bank
NO 01116 $125000.89
01130115 Closing Balance $600,000.69
Total FDIC Insured Bank Deposits $600,000.69
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 $250,0® for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other
deposits you may have at each respective bank.
Income and Expense Summary
Current Period Year•to-Date
Taxable Non Taxable Taxable Non Taxable
Interest Income
FDIC Insured Bank Deposits 624 000 6.24 000
Total Dividends, Interest, Income and Expenses 16.24 $0.00 $6.21 $0.00
npacpriITeaAr
Page 2 of 7
Account Number 1446.026161 Rated (*.Mat
OMB ROLL ñ tray van 16f.C• 2007 -,-
M etgri`pc°mmuNIcAn°14
SDNY_GM_00049690
mune" c F I DG9 L
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) DB-SDNY-00 12514
EFTA 00160299
EFTA01291785

Deutsche Asset
& Wealth Management
Orals° e Banc Prrnie wean magenta,
wrens OM.6 p 611,P
et-WM.61h SeCter“.C.
NON Wart ltc•
PO. Box 1776, Bal6moro, MD 21203 341P ea Mist liklultcr
Ms Vat. PM 10114
wn42.8409S
0)451410.
Statement Period: 0110112015 - 01/31/2015
Portfolio Holdings
limpet Adivity °penile Closing Accrued Income 30-Day Current
Opening Date Quantity Number &dig Balance Balance Income Ibis Year Yield Yield
Cash, Money Funds, and Bank Deposits 19.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
01101/15 600.000.690 N4G026161 01130/15 233.030.72 600 000 69 8.38 821 NM NIA
Total FDIC Insured Bank Deposits 1233,030.72 1600,000.69 18.38 16.21
Total Cash, Money Funds, and Bank Deposits 3233,030.72 1600.000.69 Was $6.24
Unrealized Estimated Estimated
Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield
Equities 8 1.0 0% of Portfolio
Common Stocks
APPLE INC COM Security Identifier: AAPL
Dividend Option. Cash CUSIP 037833100
Please Provide 21200 000 NIA Please Provide 117.1600 2.183.792.00 h IA 39.856 00 1.601%
Total Common Stocks 10.00 12,483,792.00 10.00 $39,856.00
Total Equities $0.00 $2,483,792.00 10.00 $39,856.00
Unrealized Accrued Estimated
Cost Basis Markel Value Gain/ Lose Interest Annual Income
Total Portfolio Holdings $600,000.69 $3,083,192.89 30.00 10.00 139,882.24
Footnotes
Noncovered uncer 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 (1RC') (incorporating amendments enacted by
P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in
this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired
on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is
disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
• Stock in a corporation acquired on or after January 1, 2011
• Mutual funds and dMdend reinvestment Man (DRP) shares acquired on or after January 1, 2012
• Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury.
Page 3 of?
Account A um leer N40426161 Rated (Kaillent
P.0118726CMCO: DINO MYR DGro wpaprerIleAss L a - m g - . - -- - 7,.. r.;c2071touNiCaTiONS P eatl . Tn .. i . a .. .• LA e . t . W ..e e . V e a .s n 6 1 v ii= 6 e 0 :S a " c SW Wit.*
SDW_GM_00049691
SOUTHER?' CON F I
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012515
EFTA_00I60300
EFTA01291786

Portfolio Holdings
(continued)
5 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available.
M essa es
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information.
Federal Deposit nsurance Corporation (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPCI.
For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https://wwwdws-investments.corn/EN/products/money-market-funds-yields.jsp. Please note that all money
market funds listed on the website may not be offered through us.
Customer Collateral Account Under Securities Account Control Agreement
Important Reminder for Pershing's 2014 IRS Forms 1099 (8, DIV, INT, OID and ilISC): As a reminder, by February 17. you will receive either your 1099 form or a special Pending 1099 Notice. The Pending 1099
Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of
your 1099 form Your 10,39 will be mailed no later than March 16, 2015.
Activity Summary (AM amounts shown are in base currency)
Credits This Period Year-to-Date Debits This Period Year-to-Date
Dividends and Interest $6.24 $6.24 Dividends and Interest $0.00 $0.00
Cash Cash
Deposits 366.963.73 366.961.73 Deposits 0.00 0.00
Total Cash $360,963.73 $306,963.73 Total Cash $0.00 $0.00
FDIC Insured Bank Deposits $0.00 $0.00 FDIC Insured Bank Deposits -$366,969.97 -$369,969.97
Total Credits 6360,969.97 $366,969.91 Total Debits -$366,989.97 -$368,969.97
Transactions by Type of Activity
Process'
Settlement
Date Activity Type Demriptice Oiantity Price Aosed Interest Amaral Currency
Securities Withdrawals and Deposits
01130115 CUSTOMER AUTHORIZED APFLEINCCOM TRANS FRU NIG-023804 21,200.000 0.00 LiS0
TRANSFER
Total Securities Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 0.00
Page 4 of
2.':18727.75731' . acne vu,, S A O cc U o T u H n E t R N N u m C b N e C r N IA 40 L .0 L 2 L 6 1 . 6 F 1 I D G A o p E ap R erl T es I s A L t E R E O v a X n e t S C e ry d A I M I ( R I K I a I c R N i e , A C l S l T e i C n n D t t * C 2 O 0 M 07 M UNICATIONS • ea • t • r • : • •• 1 •• . • . 14 .. e •• . • • • • • • • • • • . • , = .. t . " P O a. s , o .. n. , . anSte"."1"
SDNY_GM_00049692
0
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) DB-SDNY-0012516
EFTA_00160301
EFTA01291787

Deutsche Asset
& Wealth Management
Gnaw, e Ban, Pony. wean Ma.ligenan
Vitals Coon', 4,csr•
IX...Wig Sank Sectorivic,
Jan bet OR,.
PO. Boa 1776. Baltimore. MD 212[0 .115 Pot •••nor. 20th I *sr
Mrs vest 10. IOVA
01H4S41.7414.11SS,7.4409S
Statement Period: 01/01/2015 • 01131/2015
Transactions by Type of Activity (continued)
Process,
&Diemen;
Date Adivitv T Desaiption Cluantit Prise Accrued Interest Amman Curren
Dividends and Interest
01115/15 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 6.24 LSO
DEPOSITS INTEREST
RECEIVED
458997996
Total Dividends and interest • UNITED STATES DOLLAR 0.00 0.24
Cash Withdrawals and Deposits
01/14115 CUSTOMER ALTFORIZED TRANSFIN NIG-023804 366,963 73 USD
TRANSFER
USD999997
Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 366,963.73
FDIC Insured Bank Deposits
01115115 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 466.96323 USD
US0999997
01/15/15 FDIC INSURED BANK INSURED DEPOSITS INTEREST RBN VESTED -6.24 USD
DEPOSITS INTEREST
REINVESTED
458997996
Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 466,969.97
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Client Service Inform ation
Your Client Advisor: DAN
DANIEL SABBA
345 PARK AVENUE, 25111 FLOOR
NEW YORK NY 10154
Page 5 ot
Account Number. N40426161 Rated Ligament
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EFTA_00160302
EFTA01291788

Your Account Information
Tax Lot Default Disposition Method
Default method ler Mutual Funds FIRST Ik FIRST OLT
Default Method for Stocks in a Dividend Reinvestment Plan: FIRST lk FIRST OUT
Default Method for all Other Securities FIRST IA FIRST OUT
Bond Amortization Elections:
Treat all interest as original issue discount (OD): ho
Amortize premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types Ratable Method
Include market discount in income annually: No
Electronic Delivery
You have not selected any account corn m unications for electronic delivery. To register and ruin off paper corn m unications. log in to your account or contact your Omni Advisor for m ore information.
Important Information and Disclosures
Pricing
This section includes the net market value of the secunties in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted,
have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is
not available are marked "N/A' and are omitted from the Total.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results.
These figures are computed using information from providers believed to be reliable, however, no assurance can be made as to the accuracy. Slice interest and dividend rates are subject to change at any time,
and may be affected by current and future economic, political, and busness conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position
quantities. interest and dividend rates, and prices remain constant. A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to
www.pershing.corn/business_continuky.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
Reinvestment
The dollar amount of Mutual Fund distributions. Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wd
not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the tine of execution and the name of the person from
whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow.
Options
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this
information is available to you promptly upon your written request directed to your introducing ism. In order to assist your introducing fimi 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 mitten 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. dolars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the
conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion
rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be bdled at the rates such agents
use.
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Account Number. N46.026161 Rated Excellent
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EXCIIIENCIE
SDNY_GM_00049694
ONFIDAENTIAL
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EFTA_00160303
EFTA01291789

Deutsche Asset
& Wealth Management
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Statement Period: 01/0112015 - 01131/2015
Important Information and Disclosures (continued)
The Role of Pershing
• Pershing monies 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 hinds and securities you may deposit with it directly or through your financial institution or that it
receives as the resuN of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents: the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a desaiption 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 (SIPCO). 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 knits. For more detailed information please visit wiwcpershing.comIstrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (Including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to
your financial organization and Pershing. Please be advised that any oral communication should be re-confined in writing to further protect your rights, including your rights under the Securities Investor
Protection Act
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza,
Jersey City, New Jersey 07399; (201)4134330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is lied.
• Arbitration awards are generally final and biding; a partys abibty to have a court reverse or modify an arbitration award is very kited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all 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 knits 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 una, (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows' Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330.
Page 7 of 7
Account Number: N46-026161 Rated [...Mont
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