EFTA01291791.pdf

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Deutsche Bank NOW,. Sank Pointe totallth Many/nevi
Minna (Awn* ways
ape.... San% Semettmet
P.O. Box 1776, Baltimore, MD 212O3 IOW Yen ClIke
345 P(t A.t.nme. /Os f Yoe
Nem vce NY 10314
December 1, 2018 - December 31,2018
Account Number:
SOUTHERN FINANCIAL LLC
6/30 RED HOOK QUARTER B3
ST THOM ASVI0 0 80 2
Portfolio at a Glance
ThisPeriod Year-k Date
Your Investment Specialist. BEGIN NI NG ACCOUNT VALUE 917,931,001.10 $16,956,877.74
MARTIN ZEMAN Net Cash Deposits and Withdrawals 0 00 .213.072.07
Adjusted Previous Account Value 17,931,001.10 16,713,805.67
Dividends, Interest and Other Income 34 t 0 262229.53
Net Change in Portfolio' -2.081.000.00 -1.149.000.00
DINGACCOUNT VALUE 315.847.035.20 $15,847,035.204
Estimated Annual Income 5292.229.53
'Net Change in Portfolio is the difference between the ending account value and
beginning account value (Met activity.
The Bank Deposits in your account are FDIC insured bank deposits.
FOIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit
Insurance Corporation (FDIC), up to allowable limits.
Asset Summary
Percent Asset Type Pilaf Year-End Last Period ThisPeriod
1% Cash, Money Funds, and Bank Deposits 33,877.74 73,001.10 73,035.20
99% Equities 16,923,000.00 17,858,000.00 15,774,000.00
100% Account Total 618,956,877.74 $17,931,001.10 $15,847,035.20
Please review your allocation periodically with your Investment Specialist.
.
Page of 9
Pateameamt Omit. Smelt Potting LIC, a wholly owned
At OMICSIMS I • 11.:!1 10. Every Vex Site 2007 sulmelMy elI lie Soak of New York Mellon
CONFID L- DAIJAR WED C0MMUMCATI0NS Cementhan (MY Mellon)
EXC0ANCt Pemba* LLC.inerrtte FIIIRAA141X2P14.1—00049696
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-OO 1252O
EFTA_OO16 0305
EFTA01291791

Summary of Gains and Losses
Reared
ThisPeriod Veruto•Cnte Used*
Long-Term Gain! Loss 0.00 0.00 -1,207,416.00
Net Gain/ Loss 0.00 0.00 -1,207,416.00
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the' ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a
deposit of foreign currency. The interest will be reported on your Forms 10 99 and/ or 104 2 S. 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.
FDICInsured Bank Deposits
Date Adivity Type Descdplion Amount Bate
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Activity Ending: IV 31/ 18
12/01/18 Opening Balance 73,001.10 73,001.10
12/14/18 Deposit INTEREST CREDITED 34.10 73,035.20
A PY 0 55%
12/17/18 Citibank N A 73,035.20
A/ 0 12/ 17 5 730 35 20
12/31/18 Closing Balance 373,035.20
Total FDIC Insured Bank Deposits 373,035.29
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 8250,000 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
Oment Period Yeer4o-Dde
bustle Non Taxable Taxable Non Tar*
Dividend Income
Equities 0.00 0.00 202,00000 0.00
Interest Income
FDIC Insured Bank Deposits 34.10 0.00 229.53 0.00
Total Dividends, Interest, Income and Expenses 834.10 30.00 3282,229.53 30.00
Page 2 of 9
A...
Account Number. Rated ha/6rd OwingI nc.h olingI lt. a way said
(very VON Ars2007 subsidiary as Santa New York Melba
CONFIDO. AL- DAWN MUD COMMUNCATIONS Omponthan (MY Maw)
EXCIA INC t Penh...* ac. name, FiliRkftlAttedaGM 00049697
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012521
EFTA_00160306
EFTA01291792

Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
December 1, 2018 - Decem ber 31, 2018
SOUTHERN FINA NCIA L LLC
Portfolio Holdings
Accent Adlay °Mad Chung Accrued leads 30.0ey Current
Opening Dale Quality Weber Siding Mena Balance Income MeV.* Yield Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS t00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEFOSITSPROGRAM
12101/18 73,035.200 NM 12131118 73,001.10 73,035.20 11.61 229.53 NIA NM
Total FDIC Insured Bank Deposits $73,001.10 $73,035.20 $17.61 $229.53
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $73,001.10 $73,035.20 $17.61 $229.53
thweedzed Estimated Estimated
Me Acquired Neatly WI Cat Cod Bei Merkel Price Medal Ma Odorless Annual Income Yield
EQUITIES 99.00% of Portfolio
Common Stocks
APPLE INC COM Security Identifier AAPL
Dividend Option: Cab CUSP: 037833130
12107117 100.000.000 169.8140 16.981.416.00 157.7400 15.774.000.00 -1,207.416.00 292,000.00 1.85%
Total Common Stocks $16 981 416.00 $15 774 000.00 41,207,416.00 $292.000.00
TOTAL EQUITIES $18,981,416.00 $15,774,000.00 41,207,416.00 $292,000.00
Uemaliad Amed Estimated
Cod Beds Merkel Value Gag Lose Mired Annual Inoue
TOTAL PORTFOLIO HOLDINGS $17,054,451.20 $15,847,035.20 41,207,416.00 50.00 5292,229.53
Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of
1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as "covered", were identified as securities potentially
subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed.
Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 1099B, the cost
basis will not be reported to the IRS.
Portfolio Holdings Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market
prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ
Page 3 of 9
Account %rite Rated Cacellent Owing tlwonsh lists PIC a Sally owned
A: C CI! ..5)):21 Every Vex Shwa 1007 subsidiary TM brat New York Mika
CONFIDO. AL- DAISM MI ID COMMUNCATICNS CoWatim (MY MONO
EXCLUDa Penhal; MC. 'avian F ildRAWSUGM_OOO49698
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SIDNY-0012522
EFTA_00 I 60307
EFTA01291793

Portfolio Holdings Disclosures (continued)
Pricing (continued)
from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total.
THEAS OF PRICEDATEONLY APPEARSW HEN THE PRICEDATEDOES NOT EQUAL THE STATEM ENT DATE
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or
guarantee of future results. These figures are computed using information from providers believed to be reliable; however. no assurance can be made as to the accuracy. Since interest
and dividend rates are subject to change at any time. and may be affected by current and future economic. political, and business conditions, they should not be relied on for making
investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates, and prices remain constant. A capital gain or return of principal
may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.coml disclosures 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.
Option Disclosure
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished
to you A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining
current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or
financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional
information regarding this procedure is available upon written request to your introducing firm.
Foreign Currency Transactions
Pershing will 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 w ill 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.
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.
Messages
Please note the following information for Pershing's 20 'IS IRSForm 1099 (B, OIV, INT, M ISC and OID): Your Form 1099 will be delivered as early as possible, beginning January 31,
2019 By February 15. you will be mailed either your Form 1099 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final
information from issuers and trustees of securities that you hold by the as of date of the February 15 1099 mailing You will also be sent the notice if your information is still being
reviewed and finalized. The notice will inform you of the securities that are pending final reporting and provides the anticipated mail date of your 1099 Your 1099 will be mailed no
later than M arch 15, 2013.
Page 4 of 9
Account Numbe
Rateamant Clang dart hang LI.C, a wholly woad
A:CMGS:MS I • LAU. Every Vex Saes 2007 sulmarft of The Sordi of New York Mellon
CONFID L_- DALY& Gym COMMUMCATICMS Carponthm MO' Man)
Ma LOC C Pentmg LIX.rner-ter EitiRtAckliqu:PM_00049699
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012523
EFTA_00 160308
EFTA01291794

Deutsche Bank
P.O. Box 1776, Baltimore, MD 212O3
December 1,2018 - December 31,2018
SOUTHERN FINANCIAL LLC
Messages (continued)
Although a money market mutual fund seeks to preserve the value of your investment at 51p er 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. Pursuant to SEC
Rule 10 b-10( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC).
For disclosure of rates for DW S money market funds, please visit the DW S Investments website at httpsi /www.dws-investments.com/ EN/ products/ money-market-funds-yields.jsp
Please note that all money market funds listed on the website may not be offered through us.
Activity Summary (All amounts shown are In base currency)
Credits This Period Debits Disagreed Net lblePakid Credits YeayloiDate Debits YeautoiDate Net YearitoiDate
Dividends and Interest $34.10 $0.00 $34.10 $282,229.53 $0.00 $282,229.53
Cash
Withdrawals 0.00 0.00 0.00 0.00 -243,072.07 -243,072.07
Total Cash $0.00 $0.00 $0.00 $0.00 4243,072.07 4243.072.07
FDIC Insured Bank Deposits $0.00 434.10 434.10 $243,025.18 4282.182.84 439,157.46
Totals $34.10 434.10 $0.00 $525,254.71 4525,254.71 $0.00
Transactions by Typeof Activity
Process' Trade.
Settlement Transaction
Dale Dete Actiriir Type Description gray Prke Accrued Interest Amount Curren,
Dividends and Interest
12117/18 12114/18 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 34.10 USD
DEPOSITS INTEREST
RECEIVED
Total Dividends and Interest - U S DOLLARS 0.00 34.10
Page 5 of 9
Account NumberM OM
Rated Etcaornt Owing Hwang% Pmbing PIC a wally owned
atcencSx:21 Every Vex Since 2007 subsidiary a The brat a New York Mellon
CONFID AL- MAAR RA TED COMMUNCATIM onnentim (eon, Melon)
EXCIAL CNC( Penne. ux.imman FnintAtiatlYEEP$4_00049700
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-OO12524
EFTA_OO16O3O9
EFTA01291795

Transactions by Type of Activity (continued)
Process Trade:
Settlement Transadion
Date Date Activity Type Dewiption Quantity Price Aimed loitered Anent Cymric/
FDIC Insured Bank Deposits
12117/18 12114/18 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED 34.10 USD
DEPOSITS INTEREST
REINVESTED
Total FDIC Insured Bank Deposits-U.S. DOLLARS 0.00 -34.10
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Invedment Specialist:ZEN Contact Inlometion
MARTIN ZEMAN Telephone Number:
Your Account Informati n
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for Mutual Funds: First In First Out
Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out
Default Method for all Other Securities: First In First Out
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 annua • No
ELECTRONIC DELIVERY
You have not selected any account communications for electronic delivery. To register and turn off paper communications, log In to your account or contact your Investment
Specialist for more information.
Page 6 of 9
Account Number.
4 Rated Etcdent Owing through Amain(I lt. a Sally owned
Every Vex Since 2007 subsidiary a The brat ar New York Mellon
CONFIDO. "AL- DALBAR RAIEDCOMMUNCATIONS Ccnaatim (OW Melon)
EXCIA CNC( Penne. MC. immter Filitactrear 4t 0000701
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012525
EFTA_001603 10
EFTA01291796

Deutsche Bank
P.0 Box 1776, Baltimore, MD 21203
December 1,2018 - December 31,2018
SOUTHERN FINANCIAL LLC
Important Information and Disci su-es
The Role of Pershing
• Pershing carries your account es clearing broker pursuant to a clearing agreement with your financial institution, Pershing may accept from your financial institution without
inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or
liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the
suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under
common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your
financial institution or that it receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your
account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the
acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice,
if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding
your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• 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 (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 limits. For more detailed information please visit: www.pershing.com/ about/ 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 I1C. Legal Department,
One Pershing Plaza, Jersey City, New Jersey 07399 Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which
a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the
panel at least 20 days prior to the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class
action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative
class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or
Page 7 of 9
Account Notting=
Rated (Kant Owing Hwang% Pmbing PIC • Sally owned
A: t titC513:2S Every Yaw Since2007 subsidiary a Thellordtel New York Melba
CONFID E D X AI ( J C A U R E N W CC E D CONVOCATIONS C Pe iM nh o e n . t i A m c ( . M Y M M x el l f o i n t ) itatia 00049702
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012526
EFTA_0016031 I
EFTA01291797

Important Information and Disclosures (continued)
Important Arbitration Agreement (continued)
(Hi) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to
the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399.
Page 8 of 9
Account Numbet
Waled Exceilent Oaring Swett Pegging ISC. • wholly owned
At 01MCSI,OH L Every Yew Since 1007 subncliwy el me bake. New York Mellon
CONFID DAIL& WED COMMUNICATIONS Ceeeneebne (MY Mellon) ..„.„ a a.,
EMaLOCC Penmen lie. twwter filiRnAIM -410-Thl_uOuqu7u4
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12527
EFTA 00160312
EFTA01291798

TERMS ANDCONDITIONS
TRANSACTORS • 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 SMALL BE BLOCK POSIT IONER. 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 ANDIOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND 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 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 COWRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT WWW.PERSHING.COM.
STATEMENT. IF SO. THE TRANSACTIONS WLL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWVO.PERSHING COINDISCLOSURES
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 IRE-GULATON HMS-
FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S RULE 607(A)(1)-(211
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: NTEREST 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 IN 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. N 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 CF A PER OPTION CONTRACT CASH PAYMENT.
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR BEST EMOTION: 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 SIZE. AND TO EXECUTE THEM AT OR BETTER THAN
• AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE NTERNAL 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 NFORMATION STATEMENT TO YOU: USE THAT CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
STATEMENT TO PREPARE YOUR TAX 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 CR 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
MAnrIATEID WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ARE INDEBTED TO PERSHING LLC ('PERSHING') FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FCR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT MY TIME. VVITHOUT TENDER.
DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR
PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS;
ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE 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 /MOE 1NE Ab:NE TERNS AND CCHDITIONSARE UNACCEPTABLE TO YOU. PLEASE NOWT PERS,•40 11.11EDIATELY IN WRITING BY CERTIFIED MAIL TO ONE PERSNMG PLC.. JERSEY CITY. NJ O)SO. ATM LEGAL DEPT
Page 9 of 9
ActouM Number - Rated tangent Om*. Sae. Penbni LLC, a wholly owned
m CI KM?! L Every Yew Since 2007 sbsidiarySlings* of New York Mellen
CONFID DALIN, RAT ID COAVALINICATICOS Coponthan (MY Melon)
EXCELLENCE Pentn LL C. Me HtienAINIPGPM_0004970.4
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12528
EFTA_001 60313
EFTA01291799

15I
Deutsche Bank Detellat Link Private Set.gh Manifests.
Kitten COvaare Gmwe
open,h e ISM ismeSei •If-
P.O. Box 1776, Baltimore, MD 21203 IOW net Vika.
34$ Perk it.e-se. F
Mit
November 1, 2018 - November 30,2018
Account Number:
SOUTHERN FINANCIAL LLC
6930 RED HOOK QUA RTEFt B3
ST THOM ASVI 0 0 802
Portfolio at a Glance
ThisPeri:4 Vear4o-Date
Your Investment Specialist. BEGINNING ACCOUNT VALUE $21,886,001.10 516,956,877.74
MARTIN ZEMAN Net Cash Deposits and Withdrawals 0.90 -243,072.07
Adjusted Previous Account Value 21,886,001.10 16,713,805.67
Dividends, Interest and Other Income 73,000 00 282,195.43
Net Change in Portfolio' -4.028.000.00 935.000.00
ENDINGACCOUNT VALUE $17,931,001.19 $17,931,001.10
Estimated Anneal Income 5292.195 43
Net Change in Portfolio is the difference between the ending account value and
beginning account value after activity.
The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit
Insurance Corporation (FDIC). up to allowable limits.
Asset Summary
Percent Asset Type Prior Yene-End Last Period ThisPeriod
1% Cash, Money Funds, and Bank Deposits 33,877.74 1.10 73,001.10
99% Equities 16,923,000.00 21,886,000.00 17,858,000.00
100% Account Total $16,956,877.74 $21,886,001.10 $17,931,001.10
Please review your allocation periodically with your Investment Specialist.
Page ' of -
Rated (Kart OwingI MO. Pegging LiC, a wholly owned
AtOOMMICS L Evety Yew Since2007 subsidiary s The bake. New Yak Mellon
CONFIDO. DAIJAR ltAlE D COMMUNICATIONS CS (MY Mellon) am a. ..a.. a a a
EXCELLENCE Penn,* MC. men**. FiliRA30411 11.0--1.4 —U0047U5
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12529
EFTA_0016 0314.
EFTA01291800

Summary of Gains and Losses
ReMzett
This Period Vetto.Date Unreal*
Short-Term Gain! Loss 0.00 0.00 876,584 00
Net Gain! Loss 0.00 0.00 876,584.00
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the' ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a
deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 1042 S 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.
F-
FDIC Insured Bank Deposits
Date Activity Type Description Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Activity Ending: 11! 30! 18
11101!18 Opening Balance 1.10 1.10
11!18!18 Deposit DEPOSIT 73000.00 73,001.10
Deutsche Bank Trst Co
A/0 11/16 $73001.13
11130/18 Closing Balance $73,001.10
Total FDICInsured Bank Deposits 873,001.10
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits et each bank are insured by the
Federal Deposit Insurance Corporation (FDIC) up to $250,0 0 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 Yam-to-Date
Taable Non lab* Taal* Non Tat*
Dividend Income
Equities 73,000.00 0.00 282,000.00 0.00
Interest Income
FDIC Insured Bank Deposits 0.00 0.00 105.43 0.00
Total Dividends, Interest, Income and Expenses 873,000.00 $0.00 8282,195.43 80.00
Page 2 of 7
Accout Number
Rated (Kant OwingI MO Pasting PIC • Sally owned
At 0,3,333 Levy Yost Snce 2007 subsidiary el The &onkel New York Melba
CONFIDP AL- DAIJAR MID) COMMUNCATIONS CciPontim (MY Maw)
MCILEW( Penne. KC rrwrte FilitkftlAtlYaGM_00042706
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012530
EFTA_001603 I 5
EFTA01291801

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
November 1, 2018 - November 30, 2018
SOUTHERN FINANCIA L LLC
Portfolio Holdings
Amer Activity 00060 Doing Acaued Moms 30-Day Current
Opening Date Dumbly Number Biding Nance Bdince Income This Year Yield Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS t 00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEP0STSPR0GRAM
11101/18 73,001.100 NIA 11130118 1.10 73,001.10 18.70 195.43 NM NIA
Total FDIC Insured Bank Deposits $1.10 $73,001.10 $18.70 $195.43
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $1.10 $73,001.10 $18.70 $195.43
thireaiLted Estimated Estimated
pte Acquked 0banlly UMt Cat Cod Bads Molter Pike Markel Viva Gaierlois Annual income Yield
EQUITIES 99.00% of Portfolio
Common Stocks
APPLE INCC0M Security IdeatifietAAPL
Dividend Option: Conk CUSP:03783390
12107117 100.000.000 189.8140 16981.418.00 178.5800 17658.000.00 876,584.00 292,000.00 163%
Total Common Stocks 618 981 416.00 $17,858,000.00 $878,584.00 $292,000.00
TOTAL EQUITIES $18,981,418.00 $17,858,000.00 $878,584.00 $292,000.00
Umr ealized Accrued Ed Wonted
Cod Bads Markel Wks Gat Lon lateral Annual Income
TOTAL PORTFOLIO HOLDINGS $17,054,417.10 $17,931,001.10 $878,584.00 $0.00 $292,195.43
Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of
1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as 'noncovered'. Securities marked as "covered", were identified as securities potentially
subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed.
Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 1099B. the cost
basis will not be reported to the IRS.
Portfolio Holdings Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market
prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ
Page 3 of 7
Aconnt %mix Rattassant OwingI MO holingP IC a Sally owned
I . 1.41 Every Yaw Since 2007 subsidiary a The Unit of New York Mellon
CONFID O. L46--.- DAISM MIE D COMMUNCATICNS Canneatimi (MY Melon)
EXCULNCI Penhe.1,E. nurta nitRAUSIPA_00049707
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012531
EFTA_00160316
EFTA01291802

Portfolio Holdings Disclosures (continued)
Pricing (continued)
from the actual sale price. Securities for which a price is not available are marked "N/A" and are omitted from the Total.
THEASOF PRICE DATE ONLY APPEARSW HEN THE PRICEDATE DOES NOT EQUAL THESTATEM ENT DATE
Estimated Annual Figures
The estimated annual income (EM) and estimated annual yield (MY) 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.comi disclosures 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.
Option Disclosure
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished
to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining
current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or
financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional
information regarding this procedure is available upon written request to your introducing firm.
Foreign Currency Transactions
Pershing will 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 IN, 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.
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 smeller number of shares entitled to vote than
the number of shares in your margin account.
M essage
Please note the following information for Pershing's 2018 IRS Form 1099 (B, DIV, INT, M ISC and OID): Your Form 1099 will be delivered as early as possible, beginning January 31,
2019. By February 15, you will be mailed either your Form 199 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final
information from issuers and trustees of securities that you hold by the as of date of the February 151099 mailing. You will also be sent the notice if your information is still being
reviewed and finalized. The notice will inform you of the securities that are pending final reporting and provides the anticipated mail date of your 1099. Your 199 will be mailed no
later than M arch 15,2019.
Page 4 of 7
Account Number
RAS (Kam Owing tiwomb Penbog ISC. a %play MVOS
Every Vow Since 2007 sobsidiarft el The &onkel New York Melba
CONFIDO. AL- DAMN WED COMMUNICATIONS Ce•Vembm (MY Melon)
EX( CILI NC Penhnt LLC. interter fildlatiklYmPM_00049708
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012532
EFTA_001603 I 7
EFTA01291803

Deutsche Bank
P.O Box 1776, Baltimore, MD 212O3
November 1,2018 - November 30,2018
5OUTH ERN FINANCIAL LLC
NI essages (continued)
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC).
For disclosure of rates for DW S money market funds, please visit the DW S Investments website at tittpsi / www.dws-investments.coml EN! products! money-market-funds-yields:pp
Please note that all money market funds listed on the website may not be offered through us.
Although a money market mutual fund seeks to preserve the value of your investment at S1 per share, it is possible to lose money by investing in a money market mutual fund. Shares
of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage
account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC
Rule 10D-13( b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
Activity Summary (Al, amounts snoivn are In base currency)
Cudits This Period Debits TbisPetiod Net ThiePerioct Credits Yeako•Date Debits Yeauto•Date Net Year•toDete
Dividends and Interest $73,000.00 $0.00 $73,000.00 $282,195.43 $0.00 $282,195.43
Cash
Witkdrraah 0.00 0.00 0.00 0.00 -243,072.07 -243,072.07
Total Cash $0.00 $0.00 $0.00 $0.00 4243,072.07 4243,072.07
FDIC Insured Bank Deposits $0.00 473,000.00 473,000.00 $243,025.18 4282,148 54 439,123.36
Totals $73,000.00 473,000.00 $0.00 $525,220.61 4525,220.61 $0.00
Transactions by Typeof Activity
Process
Settlement
Dote Acetyl). Type Description Cluantity Peke Accrued !stunt Amount Content/
Dividends and Interest
11115/18 CASH DIVIDEND RECEIVED V0000 SNRSAPPLE INC C0M RD 1112 PO rift/13 73,000.00 USD
AAPL
Total Dividends and Interest - U.S. DOLLARS 0.00 73,000.00
FDIC Insured Bank Deposits
11116/18 FDIC INSURED BANK DEPOSIT INSURED DEPOEITSPROGRAll -73,000.00 USD
Total FDIC Insured Bank Deposits - U.S. DOLLARS 0.00 -73,000.00
Page 5 of 7
Account Numbs
Paled (Kant Owing Own% Mtn PIC • Sally weed
Att)::EMICS Every Vex Since 2007 subsidiady The BM.' New York Who
CONFIDO. AL- DAUM WED COMMUNCATIONS Cameatim (MY MNM )
EXCULD.0I POnhal; uc. MInter FIIIRAWALGM_00049709
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DEI-SDNY-0012533
EFTA_OO16O3 I 8
EFTA01291804

Transactions by Type of Activity (continued)
Process
Settlement
Ode Adivily Type Description (Tunny Price Accrued Intend Amount Curing
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Client Service Information
Yew Investment Spedalia ZEN Canted hdormstion
MARTIN ZSIAN Telephone Number:
Your Account I nformati n
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for Mutual Funds: First In First Out
Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out
Default Method for all Other Securities: First In First Out
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 corn municafions for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment
Specialist for more information.
imp^ttan: r rmation and Disclosures
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 ads 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,
Page 6 of 7
Accoul Numbe
ANNAssant Oaring throne.h olingP IC a Sally owned
A 3C31 Every Vex Siao 2007 ,a.ewytimekmaNewYrkMeta
CONFIDO. AL- DAIJAR MUD CONVOCATIONS CerPontINI (eNY MAN)
ICCULD CI Pent•, MC. imurter FiliatiAngLat 00049710
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012534
EFTA_0016O319
EFTA01291805

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
November 1,2018 - November 30,2018
SOUTHERN FINANCIAL LLC
Import ant Information and Disclosures (continued)
The Role of Pershing (continued)
it 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 nave 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 limits. For more detailed information please visit: www pershing coin/ about/ 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 11C. Legal Department,
One Pershing Plaza, Jersey City, New Jersey 07399;-. 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 docum ants. w itness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the
panel at least 20 days prior to the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto. shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class
action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative
class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or
(Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to
the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; -
Page - of
Account •lumbei IIM
Rated taceilent OaringI MO. habit. LLC, a wk oily owned
AtOOD62 L Every Vex Since 2007 Smear/ of The Sari of New York Mellon
CONFIDO. DALIAR ItAlE D COMMUNICATIONS Caponthan Ma Melon)
EXCEILENC( ucintirteimianAQInue-IM_00049711
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12535
EFTA_00160320
EFTA01291806

15I
Deutsche Bank Menthe Sank Pekin* oVe4010 lisnmenee41
lAkleia Cement wow{
Deem fie Saki Semeliet 114
P.O. Box 1776, Baltimore, MD 21203 New Y/11 C4ke
34$ Perk rkeker. flit raw
Nero kiln Pa 10114
October 1,2018 - rtnher 31 201
Account Number:
SOUTHERN FINANCIAL LLC
6130 RED HOOK QUARTER B3
ST THOM ASVIO0 802
Portfolio at a Glance
TtdsPerlod Year4o-Date
Your Investment Specialist. BEGINNING ACCOUNT VALUE $22,647,034.10 516,956,877.74
MARTIN ZEMAN Net Cash Deposits and Withdrawals -73,049.51 -243.072.07
Adjusted Previous Account Value 22,573,964.59 16,713,805.67
Dividends, Interest and Other Income 16 51 209,195.43
Net Change in Portfolio' -668,000.00 4,963,000.00
ENDINGACCOUNT VALUE $21,8813,001.10 $21,888,001.10
Estimated Annual Income 5292.195 43
Net Change in Portfolio is the difference between the ending account value and
beginning account value after activity.
The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit
Insurance Corporation (FDIC), up to allowable limits.
Asset Summary
Percent Asset Type Prior Yew-End Last Sled TAD Period
1% Cash, Money Funds, and Bank Deposits 33,877.74 73,034.10 1.10
99% Equities 16,923,000.00 22,574,000.00 21,886,000.00
100% Account Total 518,956,877.74 $22,647,034.10 521,886,001.10
Please review your allocation periodically with your Investment Specialist.
.
Page ofd
RaleamearM Oaring Sae. Paging LiC, a wholly owned
A:SS/Mt:20 L Every Year Slate 2007 subsidiaryMTh* UM, of New York Mellon
CONFIDO. DAUM,M UD C0MMUMCATICMS Cemeabm (MY Melon)
EXCELLENCE Penne. LIX.rrerrter EIHRIANItar"M_00049712
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12536
EFTA 001(10321
EFTA01291807

Summary of Gains and Losses
Reared
Mix Period Torro•Date Unresizad
Short-Term Gain! Loss 0.00 0.00 1,901,584.00
Net Gain! Loss 0.00 0.00 4,904,584.00
This summary excludes transactions where cost basis information is not available.
For Your Informati n
The European Central Bank (the' ECB' ) and other credit institutions introduced ' negative interest rates' . Negative interest expense may be charged to your account if you have a
deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 1042 S 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 Desctiplion Amount fiance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Activity Ending:10/31(18
09129/18 Opening Balance 73,034.10 73,034.10
10102/18 Withdrawal WITHDRAWAL 43,050.61 -16.51
10102118 Deposit INTEREST POSTED 16.51 0.00
10103/18 Deposit DEPOSIT 1.10 1.10
10116/18 Deutsche Bank Trst Co 1.10
A/0 10/Z S1.10
10131/18 Closing Balance $1.10
Total FDIC Insured Bank Deposits $1.10
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 0 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
Cement Period Ten-to-Die
Taxable Non Taxabk habit Nom Treble
Dividend Income
Equities 0.00 0.00 209,000.00 0.00
Interest Income
FDIC Insured Bank Deposits 16.51 0.00 195.43 0.00
Total Dividends, Interest, Income and Expenses $16.51 $0.00 $209,195.43 $0.00
Page 2 of 8
Account Number
Paled taceNnt Owing throbeihntingI IC.• Say owned
Evay Yaw Since 2007 subsidiary el TMM ita New York Melee
CONFIDO. AL- DALIAN ItAlE D COMMUNICATICNS CerPntim (MY Meta)
EX( Penhat MC. 'newts. F ilitactlYaGM_OOCuign 3
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012537
EFTA_00160322
EFTA01291808

Deutsche Bank
P.O.Box 1 7 76, Baltimore, MD 21203
October 1, 2018 - October 31, 2013
SOUTHERN FINA N CIA L LLC
Portfolio Holdings
Admen' ActMty *MIN Closing Accrued lumen* 30-Day tweet
Opening Dale Quantify Number Biding Balance Balance Income ThleYear Yield Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS 1.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEFOSITSFROGRAM
09129/18 1.100 NIA 10/31/18 73,034.10 1.10 0.00 195.43 NIA NIA
Total FDIC Insured Bank Deposits $73,034.10 St 10 $0.00 $195.43
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $73,034.10 51 10 $0.00 $195.43
Unieallzed Estimated Estimated
Date Melted Quantify rid Cast Baia Merlin Price Market Value Gan, Loss Annual Income Yield
EQUITIES 99.00% of Portfolio
Common Stocks
APPLE INCCOM Security Identifier AAPL
Dividend Option: Cub CUSP. 03783314
12107/17 100.000.000 169.8140 16.981.416.00 218.8600 21.888.000.00 4,904,584.00 292,000.00 1.33%
Total Common Stocks $16,981,416.00 921,888,000.00 $4,904,584.00 $292.000.00
TOTAL EQUITIES $16,981,416.00 $21,888,000.00 $4,904,584.00 $292,000.00
Unrealized Accrued Estimated
Cod Bags Markel Value Oalev Len MEN Annual Income
TOTAL PORTFOLIO HOLDINGS $18,981,417.10 321,886,001.10 $4,904,584.00 $0.00 8292,195.43
Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of
1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as 'noncovered'. Securities marked as "covered", were identified as securities potentially
subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed.
Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10 9 98. the cost
basis will not be reported to the IRS.
Portfolio Holdings Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market
prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ
Page 3 of 8
Account Numbe RalwAssant Owing thews% Pmbing PIC a slay owned
Cray Vex Since 2007 subsItINy e4 The BMaenletae New York Make
CONFIDO. AL- DAIJAR MUD CONVOCATIONS CflontINI CONY
IKMMCCI Penn.'s U.C. membe. INRAVAITIELGASI004271
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-00125313
EFTA_00160323
EFTA01291809

Portfolio Holdings Disclosures (continued)
Pricing (continued)
from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total.
THEAS OF PRICEDATEONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THE STATEM ENT DATE
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (FAY( 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/ disclosures 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.
Option Disclosure
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished
to you A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining
current background and financial information concerning your option accounts. please promptly advise them in writing of any material change in your investment objectives or
financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional
information regarding this procedure is available upon written request to your introducing firm.
Foreign Currency Transactions
Pershing will 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.
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.
Messages
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC).
For disclosure of rates for DW S m oney market funds. please visit the DW S Investments website at httpsi www.dws-investorents.com/ EN! products! money-market-funds-yieldsjsp
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 St per share, it is possible to lose money by investing in a money market mutual fund. Shares
Page 4 of 8
Acmunt Numbe
Rfleamearnt Owing Sae. exams LI.C, a ebony armed
Ate/AMC:20 L- Every Vex Siva 1007 subsidiary*. The bake. New York Mellon
CONFID DAUM,M UD COMMUNICATIONS emeombm (MY Mellon)
EXCEILENCE Penne. 4C. inure*, FilienAckklYter-40_00049715
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012539
EFTA 00160324
EFTA01291810

Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
October t 2018 - October 31,2018 a
SOUTHERN FINA NCIA L LLC
Messages (continued)
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. Pursuant to SEC
Rule 10 b•10( b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
Please note that as of November 1,20 19, Deutsche Bank AG will no longer be offering fixed rate certificates of deposit through Deutsche Bank AG New York Branch. Your Deutsche
Bank Investment Specialist will be able to provide you with information regarding alternative instruments offered by Deutsche Bank AG and its affiliates.
A ciR i‘y Su nimay (All amounts shonn arem base Currency)
Credits TN% NHS Debits ThisPetkid Net ThIsPereml CreditsTearie-bete DebitsYearici-Dre Net Yew-to-DM,
Dividends and Interest $16.51 $0.00 $16.51 $209,195.43 $0.00 $209,195.43
Cash
Waltdrawah 0.00 -73,049.51 -73,049.51 0.00 -243,072.07 443,072.01
Total Cash $0.00 473,049.51 473,049.51 $0.00 4243,072.07 4243,072.07
FDIC Insured Bank Deposits $73,034.10 41.10 $73,033.00 $243,025.18 4209,148.54 $33,876.64
Totals $73,050.61 473,050.61 $0.00 $452,220.61 4452,220.61 $0.00
Transactions by Type of Activity
Process
Settlement
Date AdIvIly Type Oesalption Quantity Pike named towed Amount Currency
Dividends and Interest
I 0102118 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED INCOME REDEEM ED 16.51 USD
DEPOSITS INTEREST
Total Dividends and Interest - U.S. DOLLARS 0.00 16.51
Cash Withdrawals and Deposits
10/02118 CUSTOMER AUTHORIZED TRANS TO -73.019.51 USD
Tot al Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 -73,040.51
Page 5 of 8
Accotel Number Rated (Kant OwingI MO holing PIC 'Sally owned
attiliatn Emory Yaw Since 2007 subsidiary as &onkelNew York Mellon
CONFIDO. AL- DALIIM WED cm...mower* Cannatim my mete)
EX( adK( Penme• LIS. rnente, Ftheatlimr-at0 0049716
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012540
EFTA_0016 0325
EFTA01291811

Transactions by Type of Activity (continued)
Process.
Settlement
Dete ly Type Deuziption Quantity Price Scatted lateral Amount Oaring
FDIC Insured Bank Deposits
10/02/18 FDIC INSURED BANK INSURED DEPOSITSPROGRAM FULL PRINCIPAL REDEEMED 73,034.10 USD
WITHDRAWAL
10/03/18 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -1.10 USD
Total FDIC Insured Bank Deposits-U.S. DOLLARS 0.00 73,033.00
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Investment Spedslist: ZEN Coated leformation
MARTIN ZEMAN Telephone Number
Your Account Informati n
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for Mutual Funds: First In First Out
Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out
Default Method for all Other Securities: First In First Out
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 DEUVERY
You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment
Specialist for more information.
Page 6 of 8
Account Numbetill...
Rated Cadent Owing through holing PIC.n th* mood
Every vex Slece 2007 subsidiary a TheUnita New York Mellon
CONFIDP AL- DAIJAR Rolm COMMUNCATICOS Carinatim (MY Mellott)
EX(QtCNCC Penn.'s 4(. 'mot, FilitagekkaGM 00049717
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012541
EFTA_GOI 60326
EFTA01291812

"I
Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
October 1,2018 - October 312018
SOUTHERN FINANCIAL LLC
Important Information and Disclosures
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without
inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or
liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the
suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under
common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your
financial institution or that it receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your
account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the
acceptance and, in certain instances, execution of securities orders:the assessment of the suitability of those transactions, where applicable; the rendering of investment advice,
if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding
your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement
• 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 (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 limits. For more detailed information please visit. www pershing corn/ about! 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 U_C, Legal Department.
One Pershing Plaza, Jersey City, New Jersey 0739' Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which
a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the
panel at least 20 days prior to the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class
action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative
class who has not opted out of the class w ith respect to any claims encompassed by the putative class action until; (I) the class certification is denied: (II) the class is decertified: or
Page 7 of 8
Account Numbe
Raid (ward Cans dash hang LI.C, a ally owned
At .13153MC:20 L-- Every Year Age 1007 subsay of The km of New York Mellon
CONFID DALIMR IM1I D COMMUNICATICNS Camonthm (MY Man)
EXCISID4a Penne. utintirte,EmangNNYLecuM_00049718
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012542
EFTA 00160327
EFTA01291813

Important Information and Disclosures (continued)
Important Arbitration Agreement (continued)
(III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to
the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399;
Page 6 of 6
Account Numb., Paled tacellent Deming Smelt Plnbn( LIC, a wholly owned
Al 13453.9X :20 L Every Vex Slone 2007 sobeklEmy or The UM, of New York Mellon
CONFIDO. DAUM MI ED COMMle•CATICMS Corponthm MIT Mellon)
Mall:NC( Penne. u.c....nrce,HofoAPkfteLGM_00049719
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12543
EFTA 00160328
EFTA01291814

Deutsche Bank ("abut.", NMI ...smote Na,I , MMOttaor04
con et Cenral< 0.08
Onvtithe Ur* Se:Leitei vs(
P.O. Box 1776, Baltimore, MD 21203 NtW Yeti C4ke
34$ POI L.,.,. )40 F rear
September 1,2018 - September 30,2018
Account Number:
SOUTHERN FINANCIAL LLC
6/30 RED HOOK QUARTER B3
ST THOM ASVI00802
Portfolio at a Glance
ThisPerisd Teat-Wale
Your Investment Specialist. BEGINNING ACCOUNT VALUE 222,836,000 00 616,956,877 74
MARTIN ZEMAN Net Cash Deposits and Withdrawals 000 .170.022.56
Adjusted Previous Account Value 22,836,000.00 16,786,855.18
Dividends, Inlerest and Other Income 34.10 209,178.92
Net Change in Portfolio' -169,000.00 5,651,000.00
ENDINGACCOUNT VALUE $22,047,034.10 522,647,034.10
Estimated Annual Income 6292.178.92
Net Change in Portfolio is the difference between the ending account value and
beginning account value after activity.
The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit
Insurance Corporation (FDIC), up to allowable limits.
Asset Summary
Percent Asset Type Prier Year-Bid Lad Paled ThisPeriod
1% Cash, Money Funds, and Bank Deposits 33,877.74 73,000.00 73,034.10
99% Equities 18,923,000.00 22,763,000.00 22,574,000.00
100% Account Total $16,956,877.74 $22.836,000.00 $22,647,034.10
Please review your allocation periodically with your Investment Specialist.
Page ' of 9
RAW ballerd ClewingI MO. Pining LIC, a wholly owned
At 00;44=02t L Every Yew Slece 2007 subsidiary as brief New York Mellon
CONFIDO. D EX A C IS E A U R EN W CC E D COMMJNCATICOS C Pe o n rp tw on w t h u a e l ( S m W try M t e t, l l F on il ) iR I n L n A . W . ASAA-00 0 49720
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12544
EFTA_00 160329
EFTA01291815

Summary of Gains and Losses
This Pried Yuko•Date UreaNM
Short-Term Gain! Loss 0.00 9.00 5,592,584 00
Net Gain! Loss 0.90 0.00 5,592,584.00
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the' ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a
deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 104 2 S 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 Adiyity Type Detaiplion Amount Bohm
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Activity Ending: 09! 28/ 18
09101/18 Opening Balance 73,000.00 73,000.00
09114/18 Deposit INTEREST CREDITED 34.10 73,034.10
APY 0.55%
09117/18 Deutsche Bank Trst Co 73,034.10
A/0 09/ 17 $73034.10
09128/18 Closinj Balance $73,034.10
Total FDIC Insured Bank Deposits 373,034.10
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 S250,0 0 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 Year4coDdo
Tense Non Taub,. Tense Non Taal*
Dividend Income
Equities 0.00 0.00 209,00000 0.00
Interest Income
FDIC Insured Bank Deposits 34.10 0.00 178.92 0.00
Total Dividends, Interest, Income and Expenses 134.10 $0.00 3209,178.92 30.00
Page 2 of 9
Accout Note Rated (Kant Owing tiwonsh ',enlists PIC 'Sally owned
CONFID01 Every Yaw Since 2007 subsidiary a The Bonita New York Main
AL6-. DAWN WED COMMUNCATIONS CAnnatim (MY Mellon)
EX( Penhaitll.c.inerrtag FIIIRAIMUGM_00049721
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012545
EFTA_00160330
EFTA01291816

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
September 1, 2018 - September 30,2018
SOUTHERN FINANCIAL LLC
Portfolio Holdings
Amen' Minty Opening (losing Acaued Income 30-Day tweet
Opening Dale Quay Number Biding Balance Bekaa Income TgisYear Yield Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS 1.0 0% of Portfolio
FDIC Insured Bank Deposits
INSURED DEMITSFROGRAM
011/01/18 73,034.100 WA 09128118 73,000.00 73,034.10 15.41 171.92 N/A NIA
Total FDIC Insured Bank Deposits $73,000.00 373,034.10 315.41 $178.92
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $73,000.00 873,034.10 $15 41 8178.92
Unrealized Estimated Estimated
Dale Acq*ed assay UM Out Col Beds Wad Price Markel Velee Gs:ivLoss Annual income Yield
EQUITIES 9 9.0 0% of Portfolio
Common Stocks
APPLE INC COM Security identifier AAPL
Dividend Option: Cub CUSP:0378331)0
12107/17 100.000.000 189.8140 18,981,418.00 225.7400 22.574.000.00 5.592.584.00 292,000.00 129%
Total Common Stocks $16 981 416.00 322 574,000.00 $5.592,584.00 $292,000.00
TOTAL EQUITIES 818,981,416.00 322,574,000.00 $5,592,584.00 8292,000.00
Unrealized Accrued atimated
Cod Bads Merkel Value Get Loss Mired Annual lacome
TOTAL PORTFOLIO HOLDINGS $17,054,450.10 322,647,034.10 35,592,584.00 30.00 8292,178.92
Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of
1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as "covered", were identified as securities potentially
subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which 1h e securities are disposed.
Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10 99B. the cost
basis will not be reported to the IRS.
Portfolio Holdings Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market
prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ
Page 3 of 9
Account !Jumbo Rated (Imaged Owing tlwonshP atti EEC. • wholly owned
A: C:itt:9CO2$ Every Yew Since 2007 subskliari a I be Banta New York Melon
CONFIDO. AL- DAIL& RAlE D COMMUNICATIONS CiMontim (OW Meta)
EXCIMENC( Penile.; U.C. 'newts. FitikalcititELGM_00049722
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012546
EFTA_00160331
EFTA01291817

Portfolio Holdings Disclosures (continued)
Pricing (continued)
from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total.
THEAS OF PRICEDATEONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THE STATEM ENT DATE
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (FAY( 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.coml disclosures 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.
Option Disclosure
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished
to you A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining
current background and financial information concerning your option accounts. please promptly advise them in writing of any material change in your investment objectives or
financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation.Additional
information regarding this procedure is available upon written request to your introducing firm.
Foreign Currency Transactions
Pershing will 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.
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.
Messages
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 30.2018. Pershing's net capital of S2.68 billion was 15.25% of aggregatedebit balancesand exceeded
the minimum requirements by 52.33 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 31.2018. Pershing's net capital of 52.77 billion was 16.37% of aggregate debit balances and exceeded the minimum requirement by 52.43 billion. A copy
of the June 30, 2018, Statement of Financial Condition is available at www.pershing.com! statement-of-financial-condition. You may also request a free, printed copy by calling (888)
860-8510 or (201) 413-4200, option 5.
Page 4 of 9
Account Numbe
Rated Exelent °eery. Smelt Pining LI.C, a ebony owned
L Every Vex Since 2007 ,toa.y time Sank of New York Mellon
CONFIDO. DALSAR MUD COMMJMCATICOS Cemonthee (MY Mellon) n .
EXCELLENCE Penne. KC nowt., F .YU:PM-00049723
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12547
EFTA_00 I 60337
EFTA01291818

Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
September 1, 2018 - Septem ber 30, 2018
SOUTHERN FINA N CIA L LLC
Messages (continued)
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 DW $ money market funds, please visit the DW S Investments website at httpsl/www.dws-investments.com/ elf products/ money-market-funds-yields.jsp
Please note that all money market funds listed on the website may not be offered through us.
Although a money market mutual fund seeks to preserve the value of your investment at $1p er 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. Pursuant to SEC
Rule 10b-'D( b)( confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
Please note that as of November 1, 2018, Deutsche Bank AG will no longer be offering fixed rate certificates of deposit through Deutsche Bank AG New York Branch. Your Deutsche
Bank Investment Specialist will be able to provide you with information regarding alternative instruments offered by Deutsche Bank AG and its affiliates.
A ct iv it y Summary (AU amounts shown mein base twenty)
Gelds This Petted Debits This Period Net ThisPoriod Ctenits Year-to-Dale Debits Year-to.Dale Net Yetteate
Dividends and Interest $34.10 $0 00 $34.10 6209 178 92 $0.00 $209,178.92
Cash
Withdrawals 0.00 0.00 0.00 0.00 470,022.58 470,022.50
Total Cash $0.00 $0.00 $0.00 $0.00 4170,022.58 4170,022.58
FDIC Insured Bank Deposits $0.00 434.10 434.10 $169,991.08 4209,147.44 439,156.36
Totals $34.10 434.10 $0.00 $379,170.00 4379,170.00 $0.00
Transactions by Type of Activity
Process/
Settlement
Dale AdIvily Type Description Wendy Ma Aoned liters Anent Comm
Dividends and Interest
09114/18 FDIC INSURED BANK INSURED DEPOS1TSINTEREST CREDITED 34.10 USD
DEP0SITSINTEREST
Total Dividends and Interest - U.S. DOLLARS 0.00 34.10
Page 5 of 9
Account Number.
4 Rated (Kant Owing engem Penbing PIC a Sally owned
Every Vex Since 2007 subsidiary e4 TM brat W New York Melba
CONFIDO. AL- DAIJAR MOD CONVOCATIONS CAS (MY Melon)
EX( CLINCI PeNhe. ue. 'NANA' FilatatlAWYNCTM_00049724
CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6(e) DB-SDNY-0012548
EFTA_00160333
EFTA01291819

Transactions by Type of Activity (continued)
Process
Settlement
Dote Adiyily Type Dewiplion Quantity Price Ammed tutored Amsted Omexoi
FDIC Insured Bank Deposits
09/14/18 FDIC INS1RED BANK INSURED DEPOSITS INTEREST REINVESTED .34.10 USD
DEPOSTSINTEREST
Total FDIC Insured Bank Deposits-U.S. DOLLARS 0.00 -34.10
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Instillment Specialist: ZEN Contest leformotion
MARTIN ZEMAN Telephone Number:
Your Account Informati n
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for Mutual Funds: First In First Out
Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out
Default Method for all Other Securities: First In First Out
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 corn mu nications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment
Specialist for more information.
Page 6 of 9
Atom( Number
Paled (learnt cant dwo.siMMRLC., wholly owned
Every Yaw Since 2007 subsidiary aT e Bonita New York Melba
CONFID AL- DALIN, WED commumomats CoPontim (OW MONO
EXCIALENCt Penhat LIX. Filiitalikreatat 00049725
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-OO12549
EFTA_OO16O334
EFTA01291820

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
3eptember 1, 2018 - Septem ber 30, 2018
SOUTHERN FINANCIAL LLC
Important Informwr n and Disc] syes
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without
inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or
liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the
suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under
common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your
financial institution or that it receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your
account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the
acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice,
if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding
your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• 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 (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 limits. For more detailed information please visit:www.pershing.com/ about/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 b • t page of this statement. Pershing's contact information Is as follows: Pershing LLC, Legal Department,
One Pershing Plaza, Jersey City, New Jersey 07399 Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum In which
a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the
panel at least 20 days prior to the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class
action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative
class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied, (II) the class is decertified; or
Page 7 of 9
A.:,
Account Number
4 Raltassant Owing Swab Penting I1C. • Sally owned
Cray Vex Since 2007 subsIelNy elI N UK a New York Mellor.
CONFIDO. AL- DAIJAR MILD CONVOCATIONS CflocatINI (MY Maw)
LC WINO Penne. MC. immter FINFLAADMYIELGA_CI0049726
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012550
EFTA_00160335
EFTA01291821

Important Information and Disclosures (continued)
Important Arbitration Agreement (continued)
(III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to
the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399;
Page 3 of 9
Account Numb.
Rated Caceilent Owing tThrthabing LIC, a wholly...toed
MEW= 0 2t L Every Yew Since 2007 subsidiary*. The &onkel New York Mellon
CONFIDO. DAIL& ltAlE D COMMLINICATIONS CorPontim (Nfl Mellon) a a a
Cita:LUX( Penne. MC. nowt,. 1 hetI--m"—U004 7 47
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12551
EFTA_00 160336
EFTA01291822

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 MOOR 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 INSPECTION AT
DATE, WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF IT W LL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN
• YOU MAY HAVE RECEIVED CONFRMATIONS FOR TRANSACTIONS WHICH CO NOT APPEAR ON YOUR VIEW IT ONLINE AT WVVW.PERSHING.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 COMPUTNG THE VALUE OF YOUR ACCOUNT. • THIS STATEMENT SHOULD 8E 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 BALANCER: 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 PREVIOLSLY 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 COMBNED STATEMENT OF TO CERTAIN 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 OF A PER OPTION CONTRACT CASH PAYMENT.
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR BEST EXECUTION: NOTWITHSTANDNG 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 SIZE. 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 CERTA/N 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 TM 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 TM STATEMENT ALSO INCLUDES OTHER USEFUL WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH
INFORMATION TO ASSIST IN ACCUMULATNG 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 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 PERSHING LLC (PERSHING') FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FOR YOU N ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
LIABILITIES TO PERSHNG. MD PERSHNG MAY IN ITS DISCRETION AT ANY TIME. VVITHOUT 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 REMAINNG 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 UMILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT
PROHIBITED BY LAW.
F ANY OF THE ABOVE TERMS AND CC AIMI ONS ARE UNACCEPTABLE TO YOU. PLEASE NOTE Y PERS-ING IMMEDIATELY IN WRITING BY CERT IFE D MAIL TO ONE PERSHING PLAZA JERSEY CITY. NJ 07399. ATTN LEGAL DEPT
Page 9 of 9
Et,„„v,con
Auctionl Monte Aged CicaNnt cow tlwongli Penting PIC a Si* owned
Every Vex Since2007 subsitlimy a The Bonk of New York Meta
CONFIDO. AL— DAIJIAR RATED COMNIUMCATIONS CoPonthmo (MY Melloiatt) ttiAtreapm_cougna
()callE NEE Penhe. LLC. newt*/
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012552
EFTA_00160337
EFTA01291823

Deutsche Bank attentive Cant Private Neagh litonsffiemeffi
WNW) Cosernt Wows
ow.tum MS Seetrom. M.
P.O. Box 1776, Baltimore, MD 21203 ice* York Office
HS Pen Menace. nth Mot
August 1,2018 -
Account Number
SOUTHERN FINANCIAL LLC
6/30 RED HOOK QUARTER B3
ST THOM ASVI00802
Portfolio at a Glance
ThisPerind Year-In-Date
Your Investment Specialist. BEGINNING ACCOUNT VALUE 219,029,000.00 $16,956,877.74
MARTIN ZEMAN Net Cash Deposits and Withdrawals 0.00 .170.022.56
Adjusted Previous Account Value 19,029,000.00 16,786,855.18
Dividends, Interest and Other Income 73,000 00 209,144.82
Net Change in Portfolio' 3.734.000.00 5,840,000.00
ENDINGACCOUNT VALUE $22,638,000.00 $22,836,000.00
Estimated Annual Income $292.144.82
'Nef Change in Portfolio is the difference between the ending account value and
beginning account value after activity.
The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit
Insurance Corporation (FDIC), up to allowable limits.
Asset Summary
Percent Asset Type PliOf Yett-End Lad Pitied ltds Period
1% Casn,Money Funds, and Bank Deposits 33,877.74 0.00 73,000.00
99% Equities 16,923,000.00 19,029,000.00 22,763,000.00
100% Account Total $16,956,877.74 $19,029,000.00 $22.836,000.00
Please review your allocation periodically with your Investment Specialist.
Page ' of
Rated tacedlent Omaire Sae. hakes ISC, a ebony owned
AZ002=47:31) L Every Vex Saco 2007 waver/ of The an New York Mellon
CONFID DAIJARRMEDCOMMUMCATICMS Corporation Me Melon)
EXallENCt Pernle. unienAcAtfluuGL M_00049729
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12553
EFTA_OO 160338
EFTA01291824

Summary of Gains and Losses
Rested
ThisPeded Yetto.0ale Unrealized
Short-Term Gain! Loss 0.00 9.00 5,781,584.00
Net Gain! Loss 0.00 0.00 5,781,584.00
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the' ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a
deposit of foreign currency. The interest will be reported on your Forms 199 and/ or 1042 S. 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 Desaiplion Amount Savo
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Activity Ending: 0813V 18
08/01118 Opening Balance 0.00 0.00
08/17118 Deposit DEPOSIT 73,000.00 73,000.00
08/31/18 Closing Balance 173.000.00
Total FDIC Insured Bank Deposits $73,000.00
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the
Federal Deposit Insurance Corporation (FDIC) up to 8250,000 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
hates Non Tates Taxable Non Text,
Dividend Income
Equities 73,000.00 0.00 209,000.00 0.00
Interest Income
FDIC Insured Bank Deposits 0.00 0.00 144.82 0.00
Total Dividends, Interest, Income and Expenses $73,000.00 $0.00 8209,144.82 $0.00
Page 2 of 7
Account Number
Rated (want Owing linnet ',enlistsI lt. a Si* CMOS
Evay Yaw Since 2007 subsidiary a The Bonita New York Mete
CONFID AL- man MUD COMMUNICATICNS CASs (IIPIY Mellon)
EXCIA LEW t Penile. MC. newt,/ fititactitELM_ 00049730
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012554
EFTA_00160339
EFTA01291825

Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
August 1,2018 - August 31,2018
SOUTHERN FINANCIAL LLC
Portfolio Holdings
Amen' Adidly Opening Chung Acaued Income 30-Dey Cornet
Opening Dale Otientily Number Biding Balance Income TbleYeet Yield Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS 1.0 0% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSTSPROGRAM
08101/18 73,000.000 WA 08131118 0.00 73,000.00 19.80 144.82 NIA NIA
Total FDIC Insured Bank Deposits $0.00 873,000.00 $19.80 8144.82
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 80.00 573,000 00 319.80 8144.82
Unrealized Estimated Estimated
DeleAcqdred Welly Mad Cod Begs Merkel Price Market Value Wnr Loss Annual income Yield
EQUITIES 99.00% of Portfolio
Common Stocks
APPLE INCCOIA Security Ideetifier AAP L
Dividend Option: Cub CUSP:037833100
12107/17 100 000 000 109 8140 16 981 416 00 227.6300 22 763 000 00 5 781 584 00 292 000 00 126%
Total Common Stocks 878,981,416.00 322 763,000.00 85,781,584.00 8292 000.00
TOTAL EQUITIES $16,981.416 00 322,763,000.00 85,781,584.00 $292,000.00
Unrealized Accrued alienated
Cod Beds Merkel Value dal Loss Mired Annual Income
TOTAL PORTFOLIO HOLDINGS $17,054,418.00 $22,838,000.00 0,781,584.00 $0.00 $292,144.82
Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of
1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as 'noncovered'. Securities marked as "covered", were identified as securities potentially
subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed.
Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 1099B, the cost
basis will not be reported to the IRS.
Portfolio Holdings Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market
prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ
Page 3 of 7
Account !Cumin Raid Cacellent Chains tlwong% MOM.E EC. orb* owned
A: Every Yew Age 2007 subsidiary e4 TM Bonita New York Melee
CONFID AL- DAISAR M ED COMMUNICATIONS Colneatim (MY Melon)
EXCIUDICE Penn.'s MC. myna, FilitactreaGl it 00049731
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012555
EFTA_00160340
EFTA01291826

Portfolio Holdings Disclosures (continued)
Pricing (continued)
from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total.
THEAS OF PRICEDATEONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THE STATEM ENT DATE
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or
guarantee of future results. These figures are computed using information from providers believed to be reliable; however. no assurance can be made as to the accuracy. Since interest
and dividend rates are subject to change at any time, and may be affected by current and future economic. political, and business conditions, they should not be relied on for making
investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates, and prices remain constant. A capital gain or return of principal
may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.coml disclosures 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.
Option Disclosure
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished
to you A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining
current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or
financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation.Additional
information regarding this procedure is available upon written request to your introducing firm.
Foreign Currency Transactions
Pershing will 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 w ill 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.
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.
Messages
Although a money market mutual fund seeks to preserve the value of your investment at S1per 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. Pursuant to SEC
Rule 10 b-10 ( b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
Customer Collateral Account Under Securities Account ControlAgreement.
Page 4 of
Account Number
CONFIDOWAL4 Rated Emelent Owing Sae. Periling LI.C, a .dairy owned
At 0:21K91:31) Every Vest Sect 2007 subeielMy of The Sank of New York Mellon
DAUM Glen C0MMUMCATICMS Ceepontim (MY Mellon) nm.
CIC0AENC( Penmets LIX. awat.' FilienAlAMYLIPA-00049732
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12556
EFTA_0016 03411
EFTA01291827

Deutsche Bank
P.0 Box 1 7 76, Baltimore, MD 21203
August 1,2018 - August 31,2018
SOUTHERN FINANCIAL LLC
Messages (continued)
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC).
For disclosure of rates for DW S money market funds, please visit the DW S Investments website at httpsi www.dws-investments.com/ EN! products/ money-m arket-funds-yields.jsp
Please note that all money market funds listed on the website may not be offered through us.
Activity Summary (All amounts shown are m oase currency)
Cleat:ibisWM Oaks Tbis Ptilod Net litsPeriou treats Ttario-DMI Debits Towle-CI& Net Yew-lo-Date
Dividends and Interest 573,000.00 $0.00 $73,000.00 $209,144.82 $0.00 $209.144.82
Cash
Withdrwals 0.00 0.00 0.00 0.00 -170,022.58 -170,022.58
Total Cash $0.00 $0.00 $0.00 $0.00 4170,022.58 4170,022.56
FDIC Insured Bank Deposits $0.00 473,000.00 473,000.00 $169,991.08 4209,113.34 439,122.28
Totals $73,000.00 473,000.00 $0.00 $379,135.90 4379,135.90 $0.00
Transactions by Type of Activity
Process
Settlement
Date Acridly Type Description OuestIty Ala Accrued littered Amount Currency
Dividends and Interest
08118/18 CASH DIVIDEND RECEIVED D0000 SNRSAPPLE INC COM RD 08113 ED 084111 73,000.00 USD
AAPL
Total Dividends and Interest- U.S. DOLLARS 0.00 73,000.00
FDIC Insured Bank Deposits
08/17118 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -73,000.00 USD
Total FDIC Insured Bank Deposits - U.S. DOLLARS 0.00 -73.000.00
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Page 5 of 7
Account Numbering=
Paled brae. OwingI MO Pasting LLC a wholly owned
A: Every Yea Shwa 2007 subsidiary e4 The MK a New York Mello,
CONFID D EX A C IJ C A lL R CN P C A C 1 ED COMNILRICATICOS C Pe n n o h n a t t i L m IX t . o w Mel f b i a ti ) t atikkaGM_00049733
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012557
EF1'A_00160342
EFTA01291828

Client Service Information
Your Investment Specialist ZEN Contact IIremotion
MARTIN ZEMAN Telephone Number:
Your Account Information
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for Mutual Funds: First In First Out
Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out
Default Method for all Other Securities: First In First Out
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 D EUVERY
You have not selected any account corn mu nications for electronic delivery. To register and turn off paper corn munications, log in to your account or contact your Investment
Specialist for more information.
Important Information and Disclosures
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without
inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or
liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the
suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under
common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your
financial institution or that it receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your
account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the
acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice,
if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding
your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• 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 (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 limits. For more detailed information please visit: www.pershing.corni about! 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.
Page 6 of 7
Account Number: aaaaaaaaaaae Rated (warm Owing tlwonsh Penbing PIC a Sally owned
At 0::12CSTM) Every Yaw Sat 2007 subsidiary a The Bonita New York Melba
CONFIDO. AL- DAWN WED commumcmiotas COW•th201( MY Mellon)
MULE/4C( Penn.'s MC. 'smite. FiliRkftiAtiligiat00049734
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012558
EFTA_00160343
EFTA01291829

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
August 1,2018 - August 31,2018
SOUTHERN FINANCIAL LLC
Important Information and Disclosures (continued)
The Role of Pershing (continued)
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows. Pershing LLC, Legal Department,
One Pershing Plaza, Jersey City, New Jersey 07399 Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which
a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents,witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the
panel at least 20 days prior to the first scheduled hearing date.
• The panel of arbitrators 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 LW 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 w ith respect to any claims encompassed by the putative class action until. (I) the class certification is denied: (II) the class is decertified. or
(III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to
the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows. Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399;
Page • of
Account Numbs Mid tacellent Clewing Sae. hrtng LLC, a wholly owned
CAt 002O3M:0NS FIDO • kj4 I AL- Every Yew Since 2007 'obedient Ilie &onkel New York Mellon
DAUM RAlI D COMMLINICATIONS Corponthan (MY Mellon)
MU MCC Penn.. u.C, immta filttaktitS-Al_00049735
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12559
EFTA_0016034
EFTA01291830

15I
Deutsche Bank Ottettite Sank RIM* OVeSth lan•gen.PWI
waMn Ceonage Grout
Ditettchellaffi Semettbet we
P.O. Box 1776, Baltimore, MD 21203 New Yen Ciftte
345 fark A.nue. )40 I
July 1, 2018 - July 31, 2018
Account Number
SOUTHERN FINANCIAL LLC
6/30 RED HOOK QUARTER B3
ST THOM ASVI00802
Portfolio at a Glance
ThisPeri:4 Year4o-Dale
Your Investment Specialist. BEGINNING ACCOUNT VALUE $18,584,029.10 $16,956,877.74
MARTIN ZEMAN Net Cash Deposits and Withdrawals •73.052.21 ,170,022.55
Adjusted Previous Account Value 18,510,976.89 16,786,855.18
Dividends, Interest and Other Income 23 11 136,144.82
Net Change in Portfolio' 518,000.00 2.106,000 00
ENDINGACCOUNTVAWE $19,021M00.00 $190 20,000.00,
Estimated Anneal Income $292.144.82
Net Change in Portfolio is the difference between the ending account value and
beginning account value after activity.
The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit
Insurance Corporation (FDIC), up to allowable limits.
Asset Summary
Percent Aerial Type Prior Yeat-End Last Period ThisPeriod
100% Equities 16,923,000.00 18,511,000.00 19,029,000.00
0% Cash, Money Funds, and Bank Deposits 33,877.74 73,029.10 0.00
100% Account Total $16,956,811.74 $18,584,029.10 919,029,000.00
Please review your allocation periodically with your Investment Specialist.
Your Account is 100% invested in Equities.
.
Page of a
Rated Emearnt Oaring thane.h akes IA( a wbolly owned
At397$1910:20 L Every Vow Since 2007 sulmelMy el TM Snake. New York Mellon
CONFID DALIN, WED COMMUMCATICMS Corporation (MY Mellon)
[acaLENCC Penh...* LIX. writer FiliRA5141t2Pm_00049736
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12560
EFTA_001160345
EFTA01291831

Summary of Gains and Losses
Rated
This Period Vetta•Date Uweaitad
Short-Term Gain! Loss 0.00 9.00 2,047,584.00
Net Gain! Loss 0.00 0.00 2,047,584.00
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the' ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a
deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 1042 S. These rates are subject to change in response to market changes, and we may. in the
luture 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 Detaiplion Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Activity Ending: 07/ 31118
06130/18 Opening Balance 73,029.10 73,029.10
07109/18 W ithdrawal WITHDRAWAL 43,052.21 43.11
07109/18 Deposit INTEREST POSTED 13.11 0.00
07/31/18 Closing Balance $0.00
Total FDIC Insured Bank Deposits $0.00
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the
Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other sell directed retirement
accounts. Please review this in connection with other deposits you may have at each respective bank.
Income and Expense S./ 1lMa y
tweet Puled YeaptchDda
Tootle Non Taxable Tenth Noe Taxable
Dividend Income
Equities 0.00 0.00 136,000.00 0.00
Interest Income
FDIC Insured Bank Deposits 23.11 0.00 144.82 0.00
Total Dividends, Interest, Income and Expenses $23.11 $0.00 $138,144.82 $0.00
Page 2 of 8
Acccent „%:m„ee.t 20
Paled Cacelent Owing tlwonsh hat Ilt. a Ida/ arced
Every Y03/ Shwa 2007 subsidiary e4 The Bonita New York Mellon
CONFIDO. AL- DAIJOJI ltAlI D COMMUNCATICOS CoWatim (MY Mellon)
EXCOAENC( Penn.* MC. 'newt«F iliatlAtta 00049737
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012561
EFTA_001 60346
EFTA01291832

Deutsche Bank
P.0 Box 1776, Baltimore, MD 21203
July 1, 20 18 - July 31, 20 18
SOUTH ERN FINA N CIA L LLC
Portfolio Holdings
Account Acridly Opening Closing Accrued Mame 30.Oay Current
Opening Dale Quantity Number Biding Balance Bain Mame Meyers Yield Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS 0.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPDSITSPROGRAM
06130/18 NIA 07131118 73,020.10 0.00 0.00 14412 NIA NIA
Total FDIC Insured Bank Deposits $73,029.10 $0.00 $0.00 $144.82
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $73,029.10 $0.00 $0.00 $144.82
LInmalized Estimated Estimated
Date Acquired Casentily IWI Cs Cod One lAatket Price Market Value Gein, Loss AnnualIncome Yield
EQUITIES 100.00% of Portfolio
Common Stocks
APPLE INC COM Banality Identifier AAPi.
Dividend Option: Cash CUSP:037833110
12107/17 100.000.000 169.8140 16.981.416.00 1901900 19,029,000.00 2,047,584.00 292,000.00 153%
Total Common Stocks $16,981,416.00 $19,029,000.00 $2,047,584.00 $292.000.00
TOTAL EQUITIES $16,981,416.00 $19,029,000.00 $2,047,584.00 $292,000.00
Unrealized Accrued Estimated
Cod Bads Markel Value Oat Lose NUN Annual income
TOTAL PORTFOLIO HOLDINGS $18,981,416.00 $19,029,000.00 $2,047,584.00 50.00 8292,144.82
Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of
1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as 'noncovered'. Securities marked as "covered", were identified as securities potentially
subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities ere disposed.
Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 1099B, the cost
basis will not be reported to the IRS.
P rtf li H Wings Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market
prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ
Page 3 of 8
Account Numbe Rated (Kant Owing tlwonsh holingP IC a Sally craned
A;:ii79fl:23 Every Vex Since 2007 subsidiary e4 The Bonita New York Melba
CONFID AL- DALIAN WED C0MMUNCATIONS Cc•Inatim (OW Mellott)
MULE/4a Penn.'s MC. 'newt«F ilitatiAttearAt 00049738
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012562
EFTA_00160347
EFTA01291833

Portfolio Holdings Disclosures (continued)
Pricing (continued)
from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total.
THEAS OF PRICEDATEONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THE STATEM ENT DATE
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or
guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest
and dividend rates are subject to change at any time. and may be affected by current and future economic. political, and business conditions, they should not be relied on for making
investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates, and prices remain constant. A capital gain or return of principal
may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.coml disclosures 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.
Option Disclosure
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished
to you A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining
current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or
financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation.Additional
information regarding this procedure is available upon written request to your introducing firm.
Foreign Currency Transactions
Pershing will 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 w ill 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.
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.
Messages
Although a money market mutual fund seeks to preserve the value of your investment at S1per 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. Pursuant to SEC
Rule in b-10(b)( t) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC).
Page 4 of 8
Account Numbe
Rated taceilent Owing iThel habeg LI.C, a wholly owned
L-- Every Vex Since 1007 smaller/ el The Sank of New York Mellon
CONFID DAUM ltAlE D COMMUNCATIM Cannatim (111a Mellon) a a„.. a fl an
(MUM( Pemba* LIX. merrta 2IS-C1-^1- v004 7"
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12563
EFTA_OOI 603,18
EFTA01291834

Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
July 1,20 18 - July 31,2018
SOUTHERN FINANCIAL LLC
Messages (continued)
For disclosure of rates for DW S money market funds, please visit the DW S Investments website at httpsi!www.dws-investments.corni EN! products! money-market-funds-yields.jsp
Please note that all money market funds listed on the website may not be offered through us.
Activity Summary (AO amounts shown atom base currency)
OEMs ThisPeriod DebfteThIsPerlod Net ThkPerkicl CrectiteYear4o•DrAe DelikeYeer4o•Cate Net Yer4o•Date
Dividends and Interest 523.11 50.00 $23.11 5136,144.82 $0.00 $136,144.82
Cash
Withdrawals 0.00 -73,052.21 -73,052.21 0.00 -170,022.56 -170,022.56
Total Cash $0.00 473,052.21 473,052.21 $0.00 4170,022.56 4170.022.56
FDIC Insured Bank Deposits $73,029.10 $0.00 $73,029.10 $169,991.08 4136,113.34 $33,677.74
Totals $73,052.21 473,052.21 $0.00 $306,135.90 4306,135.90 $0.00
Transactions by Type of Activity
Process
Settlement
Date Activity Type Description Quantity Fda Mowed haute Anent Currency
Dividends and Interest
07109118 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED INCOME REDEEM ED 23.11 USD
DEPOSITS INTEREST
RECEIVED
Total Dividends and Interest - U.S. DOLLARS 0.00 23.11
Cash Withdrawals and Deposits
07/09118 CUSTOMER AUTHORIZED TRANS TO N4G.023804 -73,052.21 USD
TRANSFER
Total Cash Withdrawals and Deposits -U.S. DOLLARS 0.00 -73.052.21
Page 5 of 8
Account %Hoe heed Casket Owing tlwonsh Pen PIC. • wholly armed
6try Yew Age2007 subsidiary *Me Banta New York Melba
CONFIDgi AL- DAU MR AII D COMMUNICATIMS Cc•Pontim (MY Meta)
EXCatENCE Pe Mw tic. 'newt« FitakitklYtePA1_00049740
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012564
EFTA_00160349
EFTA01291835

Transactions by Type of Activity (continued)
Protest)
Settlement
Dote *aidsType Description Guenter Price Awned mud Amulet Currency
FDIC Insured Bank Deposits
07/09/18 FDIC INSURED BANK INSURED DEPOSITS PROGRAM FULL PRINCIPAL REDEEMED 73,029.10 USO
WITHDRAWAL
Total FDIC Insured Bank Deposits - U.S. DOLLARS 0.00 73.029.10
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Investment Specielitt:ZEM Contact totormation
MARTIN ZEMAN Telephone Number:
Your Account Information
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for Mutual Funds: First In First Out
Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out
Default Method for all Other Securities: First In First Out
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 DEUVERY
You have not selected any account com mu nications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment
Specialist for more information.
Page 6 of 8
Atom' Number. Reed Etcaornt owing( Inch hobos ISC.• %play owned
L1:697533110:20 (wry Vex S.K. 2007 subsiehis ot 1St SSE of New York Meica
CONFIDO. L DMUS RAT ED COMNIUNCATIONS istittstiti (IINY Meta)
EXCELLING( Penis*. MC. merrier Fidlaaktigsseit_00049741
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) '— DB-SDNY-0012565
EFTA_OO16O35O
EFTA01291836

I5 I
Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
July 12018 - July 31,2018
SOUTHERN FINANCIAL LLC
Important Information and Disclosures
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without
inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or
liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the
suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under
common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your
financial institution or that it receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your
account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the
acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable'. the rendering of investment advice,
if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding
your account or activity should be directed to your financial institution Your financial organization's contact information can be found on the first page of this statement.
• 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 (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 limits. For more detailed information please visit. www pershing corn/ about! 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 ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the
panel at least 20 days prior to the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitratorswho 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 w ith respect to any claims encompassed by the putative class action until. (I) the class certification is denied; (II) the class is decertified, or
Page 7 of 8
Account Number.
Rated hceilent cn& tinge.P agan. LIC a .lolly owned
Anit7S1910:20 L Every Vex Since 2007 subsdiarniI lie Simko. New Yoek
CONFIDO. DALIAR WED COMMUNCATIM Carpontim Mellon)
EX( C Penne. ut, f toznA(41y mpM_00049742
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12566
EFTA_00160351
EFTA01291837

Important Information and Disclosures (continued)
Important Arbitration Agreement (continued)
(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 a
Account Number
Med Carelent Owing Sae. habeg 1.1.C, a ebony owned
AI 39753910:23 L Every Year Shea 2007 subekhady of The bake. New Vo4
CONFIDg DALIAR RATED COMMUNICATICMS Ceeponthee (MY Mellon)
EXCISING Perftre. LIJC. ',wrote. filiRIAPWELGM_00049743
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12567
EFTA_00 160352
EFTA01291838

15I
Deutsche Bank 0.4A“Ite Ourit PtIsate N,ala 4MPete. VI
inet c.n.n. 6,0.;
P.m.,. Sank S•ctrollin. Inc
P.O. Box 1776, Baltimore, MD 212O3 -.Tort Mr
MES Part SSA,. Maas
June 1, 20 18 - June 30 20 18
Account Number:
SOUTHERN FINANCIAL LLC
6130 RED HOOK QUARTER B3
ST THOM ASMI 0 0 0 2
Portfolio at a Glance
ThIsPerind Thar4o-Date
Your Investment Specialist. BEGINNING ACCOUNT VALUE 518360,001.20 516,956,877.74
JOSHUA SHOSHAN Nel Cash Deposits and Withdrawals HO 46,970.35
Adjusted Previous Account Value 18,760,001.20 16,859,907.39
Dividends, Interest and Other Income 27.90 136,121.71
Net Change in Portfolio' -176,000.00 1,588,000.00
ENDINGACCOUNT VALUE $18,584,029.10 $18,584,029.10,
Estimated Annual Income $292.121.71
'Net Change in Portfolio is the difference between the ending account value and
beginning account value after activity.
The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit
Insurance Corporation (FDIC), up to allowable limits.
Asset Summary
Percent Asset Type Mot Yea-End Led Period This Period
1% Cash, Money Funds, and Bank Deposits 33,877.74 73,001.20 73,029.10
99% Equities 16,923,000.00 18687,000.00 18,511,000.00
100% Account Total $16,956.877.74 $18,760,001.20 $18,584,029.10
Please review your allocation periodically with your Investment Specialist.
Page ' of 9
Pateamant ClangM ashh ang LI.C, a ally woad
nomono2s EveryVex Since 1007 sulmarft of The Sordi of New York Mellon
CONFID L- D M A U IS LE M / I 4 W C E ( D COMMLWATIONS C P o e r n p t o n n .. t U hm .C M .In O tr ' r M te a i m n) o znO111YLernM_00049744
I •
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-OO 12568
EFTA_DO 160353
EFTA01291839

Summary of Gains and Losses
Reeked
This Period Yetto•Date Unrealized
Short-Term Gain! Loss 0.00 9.00 1,529,584.00
Net Gain! Loss 0.00 0.00 1,529,584.00
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the' ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a
deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 1042 S. 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
Dale Adiray Type Descuplion Amount Uwe
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Activity Ending: 06129/18
06/01/18 Opening Balance 73,001.20 73,001.20
06115/18 Deposit INTEREST CREDITED 27.90 73,029.10
A PY 0 45%
06118/18 Citibank N A 73,029.10
A/ 0 06/ 18 S73029 10
06/29/18 Closing Balance $73,029.10
Total FDIC Insured Bank Deposits $73,029.19
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 S250,000 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 Yew-re-Date
Taxatle Non Taxable Tittle Hon Taxable
Dividend Income
Equities 0.00 0.00 136,00000 0.00
Interest Income
FDIC Insured Bank Deposits 27.90 0.00 121.71 0.00
Total Dividends, Interest, Income end Expenses $27.90 $0.00 8138,121.71 90.00
Page 2 of 9
Atom( Numbe
Rated Cadent OwingI MO Pent/n.11( a Sally owned
L4 Every Yaw Since 2007 subsidiary el The Unit of New York Melba
CONFID DAIJAR RAII D COMMUNCATICNS CAS (MY Meta)
EX( CIL EW ( U.C.inerrter FiliatAtlierolt 00049745
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012569
EFTA_00160354
EFTA01291840

Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
June 1,2018 - June 30,20V
SOUTHERN FINANCIAL LLC
Portfolio Holdings
Mooed Aditity Opting Closing Amid Income 30-Day Current
Opening Dale Quantity Number Biding Nance Balance Income 'MeV= Yield Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS t 00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITSPROGRAII
06101/18 73,029.100 NM 06/29/18 73,001.20 73,029.10 15.41 121.71 NM NM
Total FDIC Insured Bank Deposits $73,001.20 $73,029.10 $15.41 $121.71
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $73,001.20 $73,029.10 $15.41 $121.71
unieatind Estimated Estimated
Dale Acquired Welly UM Celt Cost Beds MAO RS Market Valne Gain, Loss Annual Income Yield
EQUITIES 99.00% of Portfolio
Common Stocks
APPLE INCCOM &entity Identifier AAPL
Dividend Option: Crib CUSP:03783300
12107/17 100.000.000 169.8140 16,981,416.00 185.1100 18.511.000.00 1,529.584.00 292,000.00 157%
Total Common Stocks $16 981 416.00 $18,511,000.00 $1,529,584.00 $292,000.00
TOTAL EQUITIES $16,981,416.00 $18,511,000.00 $1,529,584.00 $292,000.00
Unrealized Accrued Edireded
Cod Bads Markel Von Cat Lon Interest MoodIacono
TOTAL PORTFOLIO HOLDINGS $17,054,445.10 $18,584,029.10 $1,529,584.00 $0.00 $292,121.11
Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of
1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as 'noncovered'. Securities marked as "covered", were identified as securities potentially
subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed.
Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 1099B, the cost
basis will not be reported to the IRS.
Portfolio Holdings 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
vices unless otherwise noted, have been obtained from independent vendor services, w hich we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ
Page 3 of 9
Accocci Numbeilla bled balked Owing tlwonsh PastingI lt. a Slay craned
A: tt::SOPS Every Year Age 2007 subsidiary a The Bonita New York Mete
CONFIDO. AL- DAU MR AII D COMMUNICATIONS Cal:anti:a (MY Mellott)
EXCWENCE Pentw, MC. mutt, F itiRalikeaGM_00049746
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012570
EFTA_00160355
EFTA01291841

Portfolio Holdings Disclosures (continued)
Pricing (continued)
from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total.
THEAS OF PRICEDATEONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THE STATEM ENT DATE
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or
guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest
and dividend rates are subject to change at any time. and may be affected by current and future economic, political, and business conditions, they should not be relied on for making
investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates, and prices remain constant. A capital gain or return of principal
may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.com/ disclosures 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.
Option Disclosure
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished
to you A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining
current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or
financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional
information regarding this procedure is available upon written request to your introducing firm.
Foreign Currency Transactions
Pershing will 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 w ill 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.
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.
Messages
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporat ion(SIPC).
For disclosure of rates for DW S m oney market funds, please visit the DW S Investments website at httpsi / www.dws-investments.coml EN! products! money-market-funds-yieldsjsp
Please note that all money market funds listed on the website may not be offered through us.
Page 4 of 9
Account Number:- IIMeamearnt Omits.i Thel Pelbeg LIC, a wildly owned
Atet?! 3. L Every Vex Since 1007 subscharft et The WS of New York Mellon
CONFIDO. DAIJAR WED C0MMUMCATI0NS Cementhoe Ma Mellon)
EXCELLENCE µC, f lottAlAtiY uLGM_0004974
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012571
EFTA_00 160356
EFTA01291842

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
June 1, 2018 - June 30, 2018
SOUTHERN FINANCIAL LLC
Messages (continued)
Your statement reflects a substitute payment reimbursement because you received one or more substitute payments last year in lieu of a qualified dividend. This reimbursement is being made
because substitute payments do not receive the same preferential tax rate as qualified dividends.
We credited your account with an amount equal to 1323% of each eligible substitute payment. based on the difference between en assumed rate on ordinary income of 25% and the rate for
qualified dividends of 15% (10% difference). We amended your reimbursement from 10% up to 13.33% to adjust for taxes paid on the reimbursement.
This income will be reported on your Tax Information Statement as'Other Income' on Form 1099-M ISC, Box 3.
If you received a substitute payment reimbursement with respect to income from an investment company (mutual fund or unit investment trust), you may have received fess than 13.33% of the
corresponding substitute payment. Since income from investment companies may consist partly of nonq ualified dividend income, your reimbursement was calculated only on the percentage of
income that qualifies for the preferential tax rate.
If you have any questions regarding your reimbursement, please contact your advisor.
Although a money market mutual fund seeks to preserve the value of your investment at S1 per share, it is possible to lose money by investing in a money market mutual fund. Shares
of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage
account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC
Rule 10 b-10 (15)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
Activity Summary an, VOW') are case.
CreditsThisPeriod DebitsThisPeitod Net ThisPeriod Credits Yeeraci-Date Debits Year-batiste Net Year-to.Date
Dividends and Interest $27.90 $0.00 $27.90 9136.121 71 $0.00 $136.121.71
Cash
Withdrawals 0.00 0.00 0.00 0.00 46.970.35 46.970.35
Total Cash $0.00 $0.00 $0.00 $0.00 496,970.35 496,970.35
FDIC Insured Bank Deposits $0.00 427.90 427.90 $96,961.98 4136.113.34 439.151.36
Totals $27.90 427.90 $0.00 9233.083.69 4233,083.69 $0.00
Page 5 of 9
Account Numbe
Rated Emedlont Own. Sae. habit. LIC, a wholly armed
L Every Vex Site 2007 subudiarft of The km of New Yak Mellon
CONFIDO. DALY& WED COMMUNICATIONS Carponthm Melon)
Cita/AMC (NO' on)
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12572
EFTA_00 160357
EFTA01291843

Transactions by Type of Activity
Process
Settlement
Date Activily Type Description Quantity Price Acaved Intact moult Owing
Dividends and Interest
06f16118 FDICINSURED BANK INSURED DEPOSITS INTEREST CREDITED 2790 USO
DEPOSITS INTEREST
RECEIVED
Total Dividends and Interest - U.S. DOLLARS 0.00 27.90
FDIC Insured Bank Deposits
06/15118 FDIC INSUR e) BANK INSURED DEPOSITS INTEREST RBINESTED -27.00 USO
DEPOSITS INTEREST
Total FDIC Insured Bank Deposits-U.S. DOLLARS 0.00 -27.90
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Client Service Information
'foul InvtOment Samisen: DU Contact Information
JOSHUA SH OSHA N Telephone Number
Your Account Informati n
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for M utual 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
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 communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment
Specialist for more information.
Page 6 of 9
Account gembei Rated (Kant cow tinge,. Pasting PIC. • %vitally craned
Ett: I25 I . 1.141 taN Every Yaw Since 2007 subsidiary el The Banta New York Maw
CONFID L4-6--. DALIIM WED COMMUNCATIONS CA•Pontimi (MY Meta)
EX( CILD K Penne. LIX. imnte, FiliMADMYE2C4.4_00049749
CONFIDENTIAL — PURSUANT TO FED. R GRIM. P. 6(e) DB-SDNY-0012573
EFTA_00160358
EFTA01291844

"I
Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
June 1,2018- June 30,2018
SOUTHERN FINANCIALLLC
Important Information and Disclosures
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without
inquiry or investigation (i) orders for the purchase and sale of securities and other property and (u) any other instructions concerning your account. Pershing is not responsible or
liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the
suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not 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 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 (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 limits. For more detailed information please visit. www pershing corn/ about! 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 U_C, Legal Department.
One Pershing Raze, Jersey City, New Jersey 07399;. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in COurt, including the right to a trial by Jury, except as provided by the rules of the arbitration forum in which
a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the
panel at least 20 days prior to the first scheduled hearing date.
• The panel of arbitrators 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 Lit 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 w ith respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified, or
Page 7 of 9
Account Nurna
IIMeamearnt Owing tivagflenbang LIC, a wholly...fled
ACC L2S.V1:325 L- Every Vex Since 1007 subekhady et The WS of New York Mellon
CONFID DAIJAR ItAlE D C0MMUMCATI0NS Comenthoe (IIMY Mellon)
CIC0AINCt Oen/la KC immter fINIZAAINguS.M-00049750
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12574
EFTA_00160359
EFTA01291845

Important Information and Disclosures (continued)
Important Arbitration Agreement (continued)
(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;
Paged of 9
Account Numbe
Rated taceilent Oaring tTheaNnbang LIC, a .bony owned
Atemcsty.325 L Every Yew Since2007 subsidiary of The &onkel Nen York Mellon
CONFIDO. DAIL& RAZED C0MMLINICATIM Con,ontim (Nfl Melon) am „jean asa
Eitel:UWE Rennet MC. nuttnbef l V1.1- P"—uOv"7 51
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12575
EFTA_00 160360
EFTA01291846

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 SMALL 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 ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT
DATE, WHICHEVER IS LATER. PF_RSHING'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.PERSHING.COM.
STATEMENT. F 50. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WVVW PERSHING COMIDISCLOSURES
TRANSACTIONS MIST 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)1
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: MEREST 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 PREVKRSLY FURNISHED TO NOV. 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. 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 OF A PER OPTION CONTRACT CASH PAYMENT.
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR BEST EXECUTION: NOTWITHSTANDNG 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 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
AcSC.rIATED WITH PERSHNG IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ME INDEBTED TO PERSHING LLC (PERSHNG') FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SMALL SECURE ALL YOUR
LIABILITIES TO PERSHNG. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. VVITHOUT TENDER.
DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR
PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS;
ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE 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 CCM/ITIONS ME UNACCEPTABLE TO YOU. PLEASE HOEFTPERS-MG IMMEDIATELY IN WRITING BY CERTIFED MAIL TO ONE PERSHING PLAZA JERSEY CITY. NJ MN. ATTN LEGAL DEPT
Page 9 of 9
Acatunt Numbe Rated (.earl Owing tiwonsh Pemba. PIC. • %okay owned
A Cg n0lS (very Vox Since 2007 solmidiady a TM Bonita New York Maw
ONFIDO. AL- DAUM MUD commumcenats CeePeabm (MY Melon)
(RECLINE( Penn.'s lltraerrte. HIMAAWY,I2Cat00049752
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CO DB-SDNY-0012576
EFTA_00160361
EFTA01291847

Deutsche Bank Ottelsche Sank RIM< elernh Manifests.
Mullet. Cavan* Gm,*
DwAsch• Wit inmettlei Mc
P.O. Box 1776, Baltimore, MD 21203 Mw net Clike
34S Park be..,. )Mn ecor
SIM
May 1,2018 -Ma 31 2 0 18
Account Number
SOUTHERN FINANCIAL LLC
6130 RED HOOK QUARTER B3
ST THOM ASVIO0 8 0 2
Portfolio at a Glance
ThisPeriod Yeat4o-Date
Your Investment Specialist. BEGINNING ACCOUNT VALUE 216,526,001.20 816,956,877 74
Net Cash Deposits and Withdrawals 0.00 16.970.35
Adjusted Previous Account Value 16,526,001.20 16,859,907.39
Dividends, Interest and Other Income 73,000 00 136,093.81
Net Change in Portfolio' 2.161.000.00 1.764.000.00
END INGACCOUNTVAWE $18,760,001.20 $18.760,001.20
Estimated Anneal Income 5292093 81
'Net Change in Portfolio is the difference between the ending account value and
beginning account value after activity.
The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit
Insurance Corporation (FDIC), up to allowable limits.
Asset Summary
Percent Asset Type Mot Yew-End last Period TAW Period
1% Cash, Money Funds, and Bank Deposits 33,877.74 1.20 73,001.20
99% Equities 16,923,000.00 16,526,000.00 18,687,000.00
100% Account Total $16,956,877.74 816,526,001.20 818,760,001.20
Please review your allocation periodically with your Investment Specialist.
Page ' of
Rated Cacao. Oaring Sae. Penbag LLC, a wholly owned
At M0OKS3.01) L Every Vex Sem2OO7 subsidiary*. The UM of New York Mellon
CONFIDO. DAUM MI ED COMNiuWATIONS Cementer MT Melon)
EXCULENC( Panhas LLC.riverter FilienAWilYIELGM—00049753
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12577
EFTA_00 I 60362
EFTA01291848

Summary of Gains and Losses
Realized
ThinPeriod Yetto•Date Unrested
Short-Term Gain! Loss 0.00 0.00 1,705584.00
Net Gain! Loss 0.00 0.00 1,705,584.00
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the' EC8' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a
deposit of foreign currency The interest will be reported on your Forms 10 99 and/ or 1042 S 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.
FDICInsured Bank Deposits
Dale Activity Type Desalphon Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Activity Ending: 05/ 311 3
05/01/18 Opening Balance 1.20 1.20
BEST
M 0 05116 S120
05118/18 Deposit DEPOSIT 73,000.00 73,001.20
05/31/18 Closing Balance $73,001.20
Total FDIC Insured Bank Deposits $73,001.20
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Sank Deposits at each bank are insured by the
Federal Deposit Insurance Corporation (FDIC) up to 5250,0 0 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 Yeas-lo-Dale
Taxable Non Taxable Tanta Non Taxable
Dividend Income
Equities 73,000.00 0.00 136,000.00 0.00
Interest Income
FDIC Insured Bank Deposits 0.00 0.00 93.81 0.00
Total Dividends, Interest, Income and Expenses $73,000.00 $0.00 $136,093.81 $0.00
Page 2 of 7
Accottt Numbs
Rated hcallent Owing Omer Pmbing PIC • •frally mood
(wry Yaw Since 2007 subsidiary TM Bonita New York Mellon
CONFIDO. AL- DALIAR RAT ED COMNOCATIONS Corpontim (MY Mallon)
Dalt CNC t PenheollCarte. FiliaktgaGM- 00049754
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012578
EFTA_00160363
EFTA01291849

Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
M ay 1, 2018 - M ay 31, 2018
SOUTHERN FINANCIAL LLC
Portfolio Holdings
Amon' AdMly Opening Omni Accrued Imam 30.0ey Current
Opening Ode Walley Number Biding Name Balance Income This Yield Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS 1.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITSPRO(>RAM
05101/18 73,001.200 NIA 05131116 1.20 73,001.20 12.60 9311 NIA NIA
Total FDIC Insured Bank Deposits $1.20 $73,001.20 312.60 $93.81
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $1.20 $73,001.20 $12.60 $93.81
Unrealized Estimated Estimated
Oste knifed Cloadily Uail Cat Cod Beds Merkel Price Medal Vibe Gain!' Loss Annual Income Yield
EQUITIES 99.00% of Portfolio
Common Stocks
APPLE INCCOIA &only Ideatifid: AAPL
Dividend Option: Cab CUSP:0378331)0
12107/17 100,000.000 169.8140 16,981,416.00 1861700 18.687.000.00 1305.584.00 292,000.00 156%
Total Common Stocks $16 981 416.00 $18,687,000.00 $1,705,584.00 $292.000.00
TOTAL EQUITIES $16,981,416.00 $18,687,000.00 $1,705,584.00 $292,000.00
Unrealized Accrued Estimated
Cal Bads Mead VS. Get' Lose Inlaid Annual income
TOTAL PORTFOLIO HOLDINGS $17,054,417.20 $18,780,001.20 $1,705,584.00 $0.00 $292,093.61
Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of
1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as "covered", were identified as securities potentially
subject to the cost basis reporting rules and may be reported to the IRS on form 10 99-B for the applicable tax year in which 1h e securities are disposed.
Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 1099B. the cost
basis will not be reported to the IRS.
Portfolio Holdings Disclosures
Pricing
Tnis 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, w hich we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ
Page 3 of 7
Account Humber. RattatC0401 Owing Sae. Penkati LI.C, a essay owned
Every Vex Silt! 2007 'malodor/ el The Sank of New York Mete
CONFID AL- DAWN MUD COIMouVCATIONS CA•Pratice arivaseannt
EXCII CNC( Penhee LI.C.intrter Fililltatikkaat 00042755
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012579
EFTA_00160364
EFTA01291850

Portfolio Holdings Disclosures (continued)
Pricing (continued)
from the actual sale price. Securities for which a price is not available are marked "N/ A" and are omitted from the Total.
THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATE DOES NOT EQUAL THESTATEM ENT DATE
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (MY) 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 et 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/ disclosures 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.
Option Disclosure
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished
to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining
current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or
financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional
information regarding this procedure is available upon written request to your introducing firm.
Foreign Currency Transactions
Pershing will 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 It 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.
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 smeller number of shares entitled to vote than
the number of shares in your margin account.
Messages
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual
fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds
credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for
additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC).
Page 4 of 7
Account Numb.'
Rated (learnt Owing tlwonsh ',entity PIC. • Sly owned
Every Yaw Since 2007 subsidiary e4 The Bonita New York Mete
CONFIDO. AL- DAUM WED co...monomer* CA•Watim (MY Melba)
EX( LENC Penne. EEC. 'sent. fittakitkriteat00049756
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012580
EFTA_00160365
EFTA01291851

Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
May1,2018 - May31,2018
SOUTHERN FINANCIAL LLC
Messages (continued)
For disclosure of rates for DW S money market funds, please visit the DW S Investments website at https) www dws-investments.com/ EN! products! money-market-funds-yields.jsp
Please note that all money market funds listed on the website may not be offered through us.
Activity Summary (All amounts shown stern base currency)
Credits This Period Debits ThisPeliod Net ThisPeriod CredltsYmPla•Oute DelAsYeaPlo•OMe Net Year-to-Dale
Dividends and Interest $73,000.00 $0.00 $73,000.00 $136,093.81 $0.00 5136,093.81
Cash
Withdrawals 0.00 0.00 0.00 0.00 -96,970.35 -98,970.35
Total Cash $0.00 $0.00 $0.00 $0.00 496,970.35 496,970.35
FDIC Insured Bank Deposits $0.00 473,000.00 473,000.00 $96,961.98 4136,085.44 439,123.46
Totals $73,000.00 473,000.00 $0.00 $233,055.79 4233,055.79 $0.00
Transactions by Typeof Activity
Process
Seltlernerl
Date Adivily Type Desalption Oulatity Prier Palled lateral Amount twangy
Dividends and Interest
05117/18 CASH DIVIDEND RECEIVED V0000 SHRSAPPLEINCCOM RD 05/14 PD 0510!0 13,000.00 USD
AAPL
Total Dividends and Interest- U.S. DOLLARS 0.00 73,000.00
FDIC Insured Bank Deposits
05118118 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 43,000.00 USD
Total FDIC Insured Bank Deposits-U.S. DOLLARS 0.00 -73,000.00
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Page 5 of 7
Accoul Number Rated Cacellent Owing throuslaNnting PIC 'Sally weed
EveryVex Sloce 2007 subsidiary SIM bnlat New York Mellon
CONFIDO AL- DALIN, VOID COMMUNCATICNS COW•th20 (OW Mellon)
EXCOAENCC Penn.'s MC. 'wan Filiatitegt 00049757
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012581
EFTA_00160366
EFTA01291852

Client Service Information
Youi 'meal SpedaNd:ENJ Contact IIImitation
JOSHUA SHOSHAN Telephone Number:
Y ur Account Information
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for Mutual Funds: First In First Out
Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out
Default Method for all Other Securities: First In First Out
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 D EUVERY
You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment
Specialist for more information.
Important Information and Disclosures
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without
inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or
liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the
suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under
common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your
financial institution or that it receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your
account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the
acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice,
if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding
your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• 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 (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 limits. For more detailed information please visit: www.pershing.com/ about/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.
Page 6 of 7
Account Number
Rated hceilent Owing Swish ',enlistsI lt. a Sally owned
Every Yaw Since 2007 subsidiary aT e Bonita New York Melba
CONFID AL- DALIIM WED commumomotts Cannatim (MY Mellott)
EXCULCNCE Pentw, 1.1.C.IMMta fliactlYiEleat 00049758
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012582
EFTA_00160367
EFTA01291853

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
M ay12018 - May312018
SOUTHERN FINANCIALLLC
Important Information and Disclosures (continued)
The Role of Pershing (continued)
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows. Pershing LLC, Legal Department,
One Pershing Plaza, Jersey City, New Jersey 07399 Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which
a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents,witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the
panel at least 20 days prior to the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class
action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative
class who has not opted out of the class w ith 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;
Page of ;
Account Number
Pateamant Oang dash Mani LI.C, a ally armed
A:ODOM:CS L Every Vex Siva 1007 sulmarft of The Ilardi of New York Mellon
CONFIDg DAIJAR ItAlE D COMMUMCATICMS Camonthm (MY Man)
EXCOAD.Ct Penne. KC nver-ter miRIANIYASIM_00049759
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12683
EFTA_00160368
EFTA01291854

15I
Deutsche Bank DttelEhe Sank POW< MaIth Manifesto.
Mullet Cavan< Geom.
o.e. (he Om* Semeitini Mc
P.O. Box 1776, Baltimore, MD 21203 Ntw net Vike
34$ Net ft.e-ve. MO f keg
April 1, 2018 - April 30 2018
Account Number
SOUTHERN FINANCIAL LLC
6/30 RED HOOK QUARTER B3
ST THOM ASVIO 0 80 2
Portfolio at a Glance
ThisPerind Year-Wale
Your Investment Specialist. BEGINNING ACCOUNT VALUE $16,874,924.94 $16,956.877.74
JOSHUA SHOSHAN Net Cash Deposits and Withdrawals 46.970 35 46.910.35
Adjusted Previous Account Value 16,777,954.59 16,859,907.39
Dividends, Interest and Other Income 46 61 63,093.81
Net Change in Portfolio' •252,000.00 -397.000.00
END INGACCOUNT VALUE $18,526,001.211 $1028,001.20,
Estimated Anneal Income 5252.093 81
Net Change in Portfolio is the difference between the ending account value and
beginning account value after activity.
The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit
Insurance Corporation (FDIC), up to allowable limits.
Asset Summary
Percent Asset Type Prior Yeet-End Last Peeled Tills Period
1% Cash, Money Funds, and Bank Deposits 33,877.74 96,924.94 1.20
99% Equities 16,923,000.00 16,778,000.00 16,526,000.00
100% Account Total $10,9505,817.74 916,874,924.94 916,526,001.20
Please review your allocation periodically with your Investment Specialist.
Page ' of 8
Rateamedlent Perim Salem looMong LIC.• eft* owned
C *tom O es N = FID L D Ev A e I r J y A V R e M x U Si D te c 2o0m0m7 umcAncres C su e b r e p k o h n a t d h y m e t ( S Th H e Y b M a e k l e lo . n N ) ew York Mellon
Penh...* LIX. nn)
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12584
EFTA_00 160369
EFTA01291855

Summary of Gains and Losses
Rested
This Pined Yaks-Dale Usresits4
Short-Term Gain! Loss 0.00 0.00 455,418.00
Net Gain! Loss 0.00 0.00 -455,416.00
This summary excludes transactions where cost basis information is not available.
r Your Informati n
The European Central Bank (the' ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a
deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 1042 S 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 Adivity Type Description Amount
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Activity Ending: 04f 30/ 18
03/30/18 Opening Balance 96.924,94 96.924.94
04/13f18 Deposit INTEREST CREDITED 37.04 96.961.98
A PY 0 45%
04/16118 Texas Capital Bank 96.961.98
A10 04/ 1659696198
04/24118 Withdrawal WITHDRAWAL -96,971 55 8.57
04/24118 Deposit INTEREST POSTED 9.57 0.00
0025118 Deposit DEPOSIT 1.20 1.20
0030/18 Closing Balance $1.20
Total FDIC Insured Bank Deposits $1.20
The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the
Federal Deposit Insurance Corporation (FDIC) up to 5250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement
accounts. Please review this in connection with other deposits you may have at each respective bank.
Income and Expense Summary
()Juin, Period Year-to-Dile
Tavatee Non Taal* Taxable Non Taxable
Dividend Income
Equities 0.00 0.00 63.00000 0.00
Page 2 of B
Account Number
4 Rated Emarnt Owing Uwwd.h olingP IC a Sally owned
Every Veit Since 2007 subsidiary a nne Unit of New York Meta
CONFIDO. AL- DAUM, RAT ED CONVOCATIONS Cc•Pontim (SW Meta)
EXCEL INC t Penhe. LI.C.immter FIIIRAtIctreaGM_00049761
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012585
EFTA_00160370
EFTA01291856

Deutsche Bank
P.0 Box 1776, Baltimore, MD 21203
kpril 1, 2018 - April 30,2018
SOUTHERN FINA N CIA L LLC
Income and Expense Summary (continued)
Cuttent Period Yealo-Dde
Taxa,* Non Doable Untie Non Tootle
Interest Income
FDIC Insured Bank Deposits 46.61 0.00 93.81 0.00
Total Dividends, Interest, Income and Expenses $46.61 $0.00 $63,093.81 $0.00
Portfolio Holdings
Amount AdMty Opening Dosing Acme name 38 .Day Corral
Opening Die Quantity Nundir Ending Beam BANN Inane ThloVor Yield Ylekl
CASH, MONEY FUNDS, AND BANK DEPOSITS 100% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSTSPROGRJUI
03130/18 1.200 NIA 01130118 96 924 94 1.20 0.00 93 81 NM NIA
Total FDIC Insured Bank Deposits $94924.94 $1.20 $0.00 $93.81
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $06,924.94 $1.20 $0.00 $93.81
MIMS Estimated Estimated
Date Acquired Ovally Unit Cod Cod Bois Market Prke Mukot Value Gelmaoso Annual Income Yield
EQUITIES 99 0 0% of Portfolio
Common Stocks
APPLE INCC011 Scanty Identifier AAPL
Dividend Option:Cask CUSP:03183390
12107117 100,000.000 169.8140 16,981,416.00 165.2600 16,528,000.00 455,416.00 252 000.00 1.52%
Total Common Stocks $16,961,416.00 $16,526,000.00 4455,416.00 $252,000.00
TOTAL EQUITIES $16,981,416.00 $16,526,000.00 4455,416.00 $252,000.00
Unrealized Acaued Egimated
Coll Beds MerksI Value Goan; Loss Mined Annual raceme
TOTAL PORTFOLIO HOLDINGS $16,981,417.20 $16,526,001.20 4455,416.00 $0.00 $252,093.81
PPaaggee 3 of 8
Account Number: Rated C4e4lent Owing tinge,.P en PIC • whollycowned
4 Every Yaw Since 2007 subsidiary a The Bonita New York Melba
CONFIDO. AL- DALBAR RATED COMMUNCATIONS CAS COMY Melon)
EXCIALLNa Penhat LIX. 'newts. F iliFlAtIctlYaGht00049762
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012586
EFTA_00160371
EFTA01291857

Portfolio Holdings (continued)
Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of
1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as "covered", were identified as securities potentially
subject to the cost basis reporting rules and may be reported to the IRS on form 1399-B for the applicable tax year in which the securities are disposed.
Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998. the cost
basis will not be reported to the IRS.
Portfolio Holdings Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market
prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ
from the actual sale price. Securities for which a price is not available are marked "NIA" and are omitted from the Total.
THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATE DOESNOT EQUAL THE STATBA ENT DATE
Estimated Annual Figures
The estimated annual income ( EM) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or
guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest
and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making
investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal
may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.corni disclosures 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.
Option Disclosure
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished
to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining
current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or
financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional
information regarding this procedure is available upon written request to your introducing firm.
Foreign Currency Transactions
Pershing will 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 4 of 8
Account NumbeIIIIM
Rated (Kant Owing throng% Penbing PIC a wholly owned
Every Vex Since 2007 subsidiary a The Bonita New York Mellon
CONFIDO. DAMN MID) COMMUNICATIONS CoWatim (MY Mellon)
EX(M ENU Pests* cement. F ititatiAttedaGM 00049763
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012587
EFTA_00160372
EFTA01291858

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
April 1,2013 - A pril 30, 2018
SOUTHERN FINANCIAL LLC
Portfolio Holdings Disclosures (continued)
Proxy Vote
Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your
shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than
the number of shares in your margin account.
Messages
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual
fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds
credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for
additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC).
For disclosure of rates for DW S m oney market funds, please visit the DW S Investments website at httpsJ / www.dws•investments.coml EN! products! money-market•funds•yieldsjsp
Please note that all money market funds listed on the website may not be offered through us.
Customer Collateral Account Under Securities Account ControlAgreem ent,
Activity Summary (Ar. am,unts soon n cif J1 Oase ..gren_y)
Credits ThisPeriod Debits This Period Net This Period Credits Yea4o•Dele Debits YeateceDate Net Yeer•to•Date
Dividends end interest 946.61 $0.00 $46.61 $63,093.81 $0.00 $63,093.81
Cash
Withdrawals 0.00 46.970 35 48.970.35 0.00 46.970 35 46.970.35
Total Cash $0 .00 496.970 35 498.970,35 $0.00 496.970.35 498.970 35
FDIC Insured Bank Deposits $96,961.98 438.24 $96,923.74 $96,961.98 -$63,085.44 $33,876.54
Totals 997,008.59 397.008 59 $0.00 9180.055.79 4160,055.79 $0 .00
Page 5 of 7..„
Account Numb.
Raltalttilerlt Oang dash hang LIC, a ally armed
A:OW:MD:21 L Every Vex Sine 2007 sulmarft of The Sonli of New York Mellon
CONFID DAIJAR WED COMMUNICATIONS Carponthm OW Man)
EXC lENC Perftwq LLCMS!,i -tei ElliRIAWIIYULGM_00049764
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12588
EFTA_00I 60373
EFTA01291859

Transactions by Type of Activity
Noes
Settlement
Dote Adielly Type Description Quantity Price Accrued Intend Amount During
Dividends and Interest
04/13/18 FDIC INSURED BANK INSURED DEPOSTSINTEREST CREDITED 37.04 USD
DEPOSITS INTEREST
RECEIVED
04124118 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED INCOME REDEEM ED 9.57 USD
DEPOSITS INTEREST
RECEIVED
Total Dividends and Interest - U.S. DOLLARS 0.00 48.61
Cash Withdrawals and Deposits
04124/18 CUSTOMER AUTHORIZED TRANS TO 16,970.35 USD
TRANSFER
Total Cash Withdrawals and Deposits -U.S. DOLLARS 0.00 41970.35
FDIC Insured Bank Deposits
04113118 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -37.04 USD
DEPOSITS INTEREST
0024/18 FDIC INSURED BANK INSURED DEPOSITS PROGRAM FULL PRINCIPAL REDEEM ED 96.981.98 USD
WITHDRAWAL
USD999997
04/25/18 BANK DEPOSIT INSURED DEPOSITS PROGRAM -1.20 USD
Total FDIC Insured Bank Deposits - U.S. DOLLARS 0.00 96,923.74
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Investment Spedalist EN J Content leletmetion
JOSHUA 9405-IAN Telephone Number:
Page 6 of 8
Amour Number; Rated (warm Owing tlwonsh Pasting EEC. • %okay owned
At cuncSle:n Every Yaw Since 2007 subsidiary SIM Bonita New York Plebe
CONFIDO. AL- DAUM WED commumcenores CoPontim (1110 Mellon)
MULI:NC( Penhat MC. tn. FilatalctlYaGM_00049765
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012589
EFTA_00160374
EFTA01291860

Deutsche Bank
P.0 Box 1776, Baltimore, MD 21203
April 1, 20 113 - A pril 30, 2018
SOUTHERN FINANCIALLLC
Your Account Informati n
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for Mutual Funds: First In First Out
Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out
Default Method for all Other Securities: First In First Out
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 corn mu nications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment
Specialist for more information.
Important Information and Disc sures
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without
inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or
liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the
suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under
common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your
financial institution or that it receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your
account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the
acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice,
if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413.3333. All other inquiries regarding
your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• 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 (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 limits. For more detailed information please visit: www.pershing.comi about/ 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 reconfirmed In writing to further protect your
rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LW, Legal Department.
One Pershing Plaza, Jersey City, New Jersey 07399—. Errors and Omissions excepted.
Page • of .1.
Atm.,' Number
Paled taceilent Owing through Pasting PIC. a %Sony owned
Every Yaw Since 2007 subsidiary a The Bonita New York Mellon
CONFIDO. AL- DAISAR WED commumourctis Cannatim (1111Y Melon)
EX(QLCNCC Penhas lltrnente.F iliatctirietel_ 00049766
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012590
EFTA_00160375
EFTA01291861

Import ant Information and Disclosures (continued)
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which
a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain docum ants, w itness 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 tiled, 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 w ith respect to any claims encompassed by the putative class action until, (I) the classcertification 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
Paged of 8
Aco3unt Numb.
taceilent Claim tlarartni LLC, a wholly owned
At 0 WICS),:23 EveryVox Since 2007 mbar/ of The km of New York Mellon
CONFIDg L- DAUMMIED C0MMUMCATICMS Camonthm OW Man)
EXC0AENCC Per)h e. utdren-te, motAgAineroM_00049767
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12591
EFTA_00160376
EFTA01291862

15I
Deutsche Bank OftetukeMmihh**AMOOM4nmeimek
meletaCeanam Gm*
0velchreastsemrmet.n.
P.O. Box 1776, Baltimore, MD 21203 Mtwne1C4ke
145PokAce,w.)60,14N
TDh9OW, liiiiiii
March 1,2018 - M arch 31,2018
Account Number:
SOUTHERN FINANCIAL LLC
6/30 RED HOOK QUARTER B3
ST THOM ASVI00802
Portfolio at a Glance
This Period Tear4o-Date
Your Investment Specialist. BEGINNING ACCOUNT VALUE 817,908,891 50 816.956.87774
JOSHUA SHOSHAN Adjusted Previous Account Value 17,908,891.50 16,956,877.74
Dividends. Interest and Other Income 33 44 63.047 20
Net Change in Portfolio' .1.034,000.00 ,145,000.00
ENDINGACCOUNTVAWE 918,874,924.94 616,814,924.94,
Estimated Annual Income 5252.047 20
'Net Change in Portfolio is the difference between the ending account value and
beginning account value after activity.
The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit
Insurance Corporation (FDIC), up to allowable limits.
Asset Summary
Percent Ansel Type Prior Year-End Lad Period Ms Period
1% Cash, Money Funds, and Bank Deposits 33,877.74 96,891.50 96,924.94
99% Equities 16.923.000.00 17,812,000.00 16,778,000.00
100% Account Total $16,958,877.74 817,908,891.50 816,874,924.94
Please review your allocation periodically with your Investment Specialist
.
Page oft
Omit. Sae, Penbni LI.C, a whollya,r med
At 02tXaot t2S L Every Yost Siam 2007 fulmar/ of The bake. Neal York Mellon
CONFIDO DAUM MUD COMMUMCATIONS Cereombee (MY Mellon)
EXCIILENCE Pemba MC. 'newt,' FINRAAWASIM_00049768
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12592
EFTA_00I 60377
EFTA01291863

Summary of Gains and Losses
Beaked
This Period Yetto•Cole Mutated
Short-Term Gain! Loss 0.00 0.00 203,416.00
Net Gain! Loss 0.00 0.00 -203,416.00
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the' ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a
deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 1042 S 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 Adivity Type Description Amount BSince
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Activity Ending: 03/29/18
03/01118 Opening Balance 96,891.50 96,891.50
03/15/18 Deposit INTEREST CREDITED 33.44 96,924.94
A PY 0 45%
03116/18 Texas Capital Bank 96,924.94
A/ 0 03/ 16 596924 94
03129/18 Closing Balance $96,924.94
Total FDIC Insured Bank Deposits $96,924.94
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 Sum ma, y
Current Period YetutekDde
%We Non Tualie Tuft Hon Tzgiblt
Dividend Income
Equities 0.00 0.00 63,00000 0.00
Interest Income
FDIC Insured Bank Deposits 33.44 0.00 4T.20 0.00
Total Dividends, Interest, Income end Expenses $33.44 $0.00 $63,04T.20 $0.00
Page 2 of 8
Account Nurnbor:
kot4(wollent Owing tinge.P enton. PIC. • wildly owned
A102631t33)0 23 L buy'eart9wsiNg subsidiary a The Bonita New York Melba
CONFID D u A m WR a W n E a D CONNUNCATIONS C Pe o n W n a e t . i M m C i ( . M in Y tr M ita e l F ea il ) i tatiAngPM_ 00049769
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012593
EFTA_00160378
EFTA01291864

I5 I
Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203 I
M arch 1,2018 - M arch 31,2018
SOUTH ERN FlNA N CIA L LLC
Portfolio Holdings
Amor AdMXy Opening Dosing haute learnt 30-Day Current
Opening Dale Ovally Number aging Name Ulna Name Trainer Yield Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS 1.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
03101/18 98,924.940 Nth 03/29/18 96,891.50 98,924.94 20.31 47.20 NIA NIA
Total FDIC Insured Bank Deposits $96,891.50 $96,924.94 $20.31 $47.20
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $96,891.50 $96,924.94 $20.31 $47.20
lbreatted Estimated Estimated
Dote Acquired Cessolly WI Cad Cod Beds Merkel Price Medal Vsles We/Los Annual Income Yield
EQUITIES 99.00% of Portfolio
Common Stocks
APPLE INCC011 &amity Identifier AAPL
Dividend Option: Cub CUSP: 0378331)0
12107117 100.000.000 169.8140 16,981,416.00 167.7800 16.778.000.00 .203.416.00 252,000.00 1.50%
Total Common Stocks $16 981 416.00 $16,778,000.00 4203,416.00 $252,000.00
TOTAL EQUITIES $18,981,416.00 $16,778,000.00 4203,416.00 $252,000.00
derailed Acme Warded
Cod Bads Merkel Value Get Loss lamest Somalia:me
TOTAL PORTFOLIO HOLDINGS $17,078,340.94 $16,874,924.94 4203,418.00 $0.00 $252,047.20
Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of
1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as 'noncovered'. Securities marked as "covered", were identified as securities potentially
subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which 1h e securities are disposed.
Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 1099B. the cost
basis will not be reported to the IRS.
Portfolio Holdings 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
prtces 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
Page 3 of 8
Account Number.
Rated (learnt owing tinge,. holingP IC a Sally owned
Every Yost Since 2007 subsidiary time Bonita New York Meta
CONFIDO. AL- DAUMMUD COMMUNICATIONS Cartaatim (MY Mellon)
EX( a W.4C Penile* MC. rnerrte. MiltaIMELGM_O0042770
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012594
EFTA_00160379
EFTA01291865

Portfolio Holdings Disclosures (continued)
Pricing (continued)
from the actual sale price. Securities for which a price is not available are marked "N! A" and are omitted from the Total.
THEASOF PRICE DATE ONLY APPEARSW HD! THE PRICEDATE DOES NOT EQUAL THESTATEM ENT DATE
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or
guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest
and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making
investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal
may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.comi disclosures 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.
Option Disclosure
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished
to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining
current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or
financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional
information regarding this procedure is available upon written request to your introducing firm.
Foreign Currency Transactions
Pershing will 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 It 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.
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 smeller number of shares entitled to vote than
the number of shares in your margin account.
Messages
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual
fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds
credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for
additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC).
Page 4 of 8
Account Number
Rated (weirnt OwingI MO holingI lt. a Sally owned
Emy Veit Since 2007 subsidiary a The Unit of New York Melon
CONFIDO. AL- DALBAR WED COMMUNICATIONS CaPonth20 (MY Melon)
EXCIA CNC t Penile.; MC. iftlinber FIIIRADWARPM_00049771
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012595
EFTA_00160380
EFTA01291866

Deutsche Bank
P.0 Box 1776, Baltimore, MD 21203
M arch 1, 2018 - M arch 31, 2018
SOUTHERN FINANCIAL LLC
Messages (continued)
For disclosure of rates for DW S money market funds, please visit the DW S Investments website at httpsi / www dws. invest m ents.com/ EN! products/ m oney-m arket-funds-yieldsjsp
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.
Activity Summary (Afi amounts snown are in LI a se currency)
Ciedits This Period Debits This Period Net IldsPerlod Credits Teal-to-Date Debits Year-tot". Net Yeablo-Date
Dividends and Interest $33.44 $0.00 $33.44 $63,047.20 $0.00 $63,047.20
FDIC Insured Bank Deposits $0.00 433.44 433.44 $0.00 463,047.20 463,047.20
Totals $33.44 433.44 $0.00 $63,047.20 463,047.20 $0.00
Transactions by Typeof Activity
Process
Sell kneel
Deft AdIvily Type Deusiption Quantity Price Accrued littered Amount Currency
Dividends and Interest
03/15/18 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 33.44 USD
DEPOSITS INTEREST
Total Dividends and Interest - U.S. DOLLARS 0.00 33.44
FDIC Insured Bank Deposits
03/16118 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -33.44 USD
DEPOSITS INTEREST
REINVESTED
Total FDIC Insured Bank Deposits - U.S. DOLLARS 0.00 33.44
Total Value of Transactions 0.00 0.00 USD
The price and quantity displayed may have been rounded.
Page 5 of 8
Acbout Numbe
Rated taceNnt Owing ',entity IIC. • Sally owned
Every Yaw Since 2007 subsidiary SIMUnita New York Mellor.
CONFIDRVALe DALIIM WED commumcenotes Colneatimi (MY Meta)
EXCQEENCC Penn. 4C. FiumNillalimPik00049772
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012596
EFTA_00160381
EFTA01291867

Client Service Information
Your Investment Speciehot: ENJ Contact litormation
JOSHUA SH OSHA N Telephone Number:
Your Account Information
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for Mutual Funds: First In First Out
Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out
Default Method for all Other Securities: First In First Out
BON D AM ORTI Z ATION ELECT IONS
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 D ELIV ERY
You have not selected any account communications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Investment
Specialist for more information.
Important Information and Disclosures
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without
inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or
liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the
suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under
common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your
financial institution or that it receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your
account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the
acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice,
if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding
your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• 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 (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 limits. For more detailed information please visit: www.pershing.com/ about/ 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.
Page 6 of 8
Account Numbe
Rated (Kant Owing Own% Pinkly PSC a slay weed
AM, Every Vex Since 2007 suboldiani The Bonita New York /Mtn
CONFIDO. AL- DAUM MILD coouvracAncres Comeatim (MY Maim)
LACULEMCC POnhal; uE. iftlfnba FIllitaakra00049773
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012597
EFTA_00160382
EFTA01291868

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
M arch 1,2018 - M arch 31,2018
SOUTHERN FINANCIAL LLC
Important Information and Disclosures (continued)
The Role of Pershing (continued)
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows. Pershing LLC, Legal Department,
One Pershing Plaza, Jersey City, New Jersey 07399; Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which
a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents,witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the
panel at least 20 days prior to the first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class
action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative
class who has not opted out of the class w ith respect to any claims encompassed by the putative class action until. (I) the class certification is denied; (II) the class is decertified. or
(III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to
the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399
Page 7 of 8
Account Numbe
Med hallent OaringI MO. Pathan Ltd, a wbolly owned
At 02tXaots L Every Year Age 2007 subothary Ilie &onkel New York Mellon
CONFIDO. DALIAR RAII D COMMUNCATICOS Carpontim (MY Mellon)
EXCIIMICIE Penhas utinerrte f lottAl4IYAELGM_000497
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12598
EFTA_00 I 60383
EFTA01291869

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 POSITKNER, 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 ARMOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. FINANCML 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 PFPRHING 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 WVVW.PERSHING.COM.
STATEMENT. F SO. WE TRANSACTIONS WU APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WV/AN PERSHING COMOISCLOSURES
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 RULE1307(A)(1)42))
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS.
PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATOR
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 IN MATERIAL PREVIOLSLY 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 COMBNED STATEMENT OF TO CERTAAN 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: NOTWITHSTANDNG 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 NTERNAL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN 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 NFORMATION 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 IN ACCUMULATNG 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 TAX ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ME INDEBTED TO PERSHING LLC ('PERSHING') FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
LIABILITIES TO PERSHING. AND PERSHNG MAY IN ITS DISCRETION AT MY TIME. VVITHOUT 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 CR PLEDGED BY
PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE
COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR
GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT
PROHIBITED BY LAW.
F MY OF THE ABOVE TERMS AND CONDITIONS ME UNACCEPTABLE TO YOU. PLEASE NOTIFY PERS-MG IMMEDIATELY IN WRITING SY CERTIFEO MAIL TO ONE PERSHING PLAZA JERSEY CITY. NJ OMR. ATT. LEGAL DEPT
Page 8 of 8
Acatunt Number. PBS Emairnt Owing tinge.P .nt LLC a Sally owned
Ai t ItC25 (very Vex Since 2007 subsidiary a The Bonita New York Melee
CONFIDO. AL- DAWN RATED co...monomer* Carinatimi (MY Mellon)
EXCELLENCE Penhas Mt. fitialikritEPM_00049775
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012599
EFTA_00160384
EFTA01291870

15I
Deutsche Bank OftetukeeMinkfthateMMAhlingtimeM
'uncut...am Gm.*
Ovelchesastu.witet..mc
P.O. Box 1776, Baltimore, MD 21203 lOwne1C4(0
34$P444.117.)601*or
.1
OOin
DOW:
February 12018 - Februar 28 2018
Account Number
SOUTHERN FINANCIAL LLC
6/30 RED HOOK QUARTER B3
ST THOM ASVI00802
Portfolio at a Glance
This Period Year4o-Date
Your Investment Specialist. BEGIN WING ACCOUNT VALUE $16,776,878.55 $16,956,877 74
JOSHUA SHOSHAN Adjusted Previous Account Value 16,776,878.55 16,956,877 74
Dividends, Interest and 011ie( Income 63.012 95 63.013 76
Net Change in Portfolio' 1,069,000.00 889,000 00
ENDiNGACCOUNT VALUE $17,908,891.60 $17,908,891.60,
Estimated Annual Income 5252.013 76
I Net Change in Portfolio is the difference between the ending account value and
beginning account value after activity.
The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit
Insurance Corporation (FDIC), up to allowable limits.
Asset Summary
Percent Asset Type Prior Yeas-ad Lad Period This Period
1% Cash, Money Funds, and Bank Deposits 33,877.74 33,878 55 96,891.50
99% Equities 16,923,000.00 16.743,000 00 17.812.000.00
100% Account Total $16,956.877.74 $16.776,878.55 $17 908,891 50
Please review your allocation periodically with your Investment Specialist.
Page ' of
Rated taceilent OwingI MO. Mani LLC, a wildly owned
AI Wei :913 5 L Every Vex Saes 1007 sl:oldie/elThe Sank of New York Mellon
CONFIDO. DAUM& WED COMMUNCATIONS Cannatim (MY Mellon) n ran a a a
EXCIILENCt Penme. LLC. mtrytt. 1 -eStli-"n—v004 7 ru
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12600
EFTA_00160385
EFTA01291871

Summary of Gains and Losses
Realm
This Period Vett°.Dale UlnaInd
Short-Term Gain! Loss 0.00 9.00 830,584 00
Net Gain! Loss 0.00 0.00 830,584.00
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the' ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a
deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 1042 S 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 Desaiplion Amount Barna
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Activity Ending: 02128/ 18
02/01/18 Opening Balance 33.878.55 33,818.55
02115/18 Deposit INTEREST CREDITED 12.95 33,891.50
A PY 0 45%
02118/18 Deposit DEPOSIT 63.000 00 96,891.50
Citibank N A.
A! 0 02/10 $98891.50
02/28/18 Closing Balance $96,891.50
Total FDIC Insured Bank Deposits $98,891.50
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
Quint Period Yeet-to-Die
Turtle Non Taxabk Tueble Nom Taut*
Dividend Income
Equities 83,000.00 0.00 63,000.00 0.00
Interest Income
FDIC Insured Bank Deposits 12.95 0.00 13.76 0.00
Total Dividends, Interest, Income and Expenses $83,012.95 $0.00 583,013.78 $0.00
Page 2 of 7
Accoant Number:
Rated Etcdent Owing eningP aging LLL a wkolly owned
At:Wren:A Every Vex Sac. 2007 subsidiary el The Bonita New York Melloa
CONFID L4 DALBAR RAT ED CONVOCATIONS Cc•Pontim (MY Meta)
EXCIAANCt Penile.; MC. mtnte, FiliRAtaieaGM_OOCuigiii
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012601
EFTA_00160386
EFTA01291872

Deutsche Bank
P.O Box 1776, Baltimore, MD 21203
February 1, 2018 - February 28, 2018
SOUTHERN FINA N CIA L LLC
Portfolio Holdings
Account AdMty OMAN Dosing Acaued income 30.Oay Current
Opening Dale Quality Number Biding Nance Biwa Income This Yea Yield Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS 1.00% of Portfolio
FDIC Insured Bank Deposits
DORM DEPOSTSPROGRAII
02101/18 98,891.500 NM 02/28118 33,878.55 96,891.50 15 53 13 76 NIA NM
Total FDIC Insured Bank Deposits $33,878.55 $96,891.50 $1553 $1376
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $33,878.55 $96,891.50 $1553 $13 76
Unrealized Estimated Estimated
Ole Acquired Quality Wit Cad Colt Bet Merkel Rice Mend VS. pin~Loss Annual income Yield
EQUITIES 99.00% of Portfolio
Common Stocks
APPLE INCCOIA &unity identifier AAPL
Dividend Option: Cask CUSIP: 0378331)0
12107117 100.000.000 169.8140 16,081,416.00 178.1200 17.812.000.00 830.584.00 252,000.00 1 41%
Total Common Stocks $16 981 416.00 $17,812,000.00 $830,584.00 8252,000.00
TOTAL EQUITIES $16,981,416.00 817,812,000.00 $830,584.00 8252,000.00
Unrealized Accrued Estimated
Cod Beds Merkel Value Get Lon Interest Annual lames
TOTAL PORTFOLIO HOLDINGS 817,078,307.50 $17,908,891.50 $830,584.00 $0.00 $252,013.16
Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of
1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as 'noncovered'. Securities marked as "covered", were identified as securities potentially
subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which 1h e securities are disposed.
Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998. the cost
basis will not be reported to the IRS.
Portfolio Holdings 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
paces. unless otherwise noted, have been obtained from independent vendor services, w hich we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ
Page 3 of 7
Account Dated (Kant Owing Diroch holingP IC a Sally weed
Numbs.::661!CSI::t Every Yaw Site 2007 subsidiary *Me Sont of New York Mika
CONFIDO. AL- DAUM WED coaveueacAncres OflonEM (MY MUM)
EX(D UX Penne, U.C.immte, FDditallia 0000778
CONFIDENTIAL — PURSUANT TO FED. R CRI M. P. 6(e) DB-SDNY-0012602
EFTA_00160387
EFTA01291873

Portfolio Holdings Disclosures (continued)
Pricing (continued)
from the actual sale price. Securities for which a price is not available are marked "NIA" and are omitted from the Total.
THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATE DOES NOT EQUAL THESTATEM ENT DATE
Estimated Annual Figures
The estimated annual income (EM) and estimated annual yield (SAY) 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.comi disclosures 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.
Option Disclosure
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished
to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining
current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or
financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional
information regarding this procedure is available upon written request to your introducing firm.
Foreign Currency Transactions
Pershing will 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 Ph, 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.
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 smeller number of shares entitled to vote than
the number of shares in your margin account.
Messages
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual
fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds
credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for
additional information. Pursuant to EEC Rule 106-10(6)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC).
Page 4 of 7
Account Number.
Rated (scant onring throne.P entonL i( • Away owned
Every Vex Since 2007 subodNy SIN &onkel New York WON
CONFIDO. AL- DAU M MUD CONVOCATIONS Cape at Maw)
MEUCCI Penne, I.LC.rnerrter FIIIRActitegtst00049779
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012603
EFTA_00160388
EFTA01291874

Deutsche Bank
P.0 Box 1776, Baltimore, MD 21203
February 1,2018 - February 28,2018
SOUTHERN FINANCIAL LLC
Messages (continued)
For disclosure of rates for DW S money market funds, please visit the DW S Investments website at httpsif www.dws-investments.comi 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.
A ct iv it y Summary (All amounts shown are In ease currency)
Geniis This Puled Debits ThisPeded Net Needed tredits Yete4o•Date Debits Yeas4o•Dele Net Year-to-Date
Dividends and Interest $63,012.95 $0.00 $63,012.95 $63,013.76 $0.00 $63,013.76
FDIC Insured Bank Deposits $0.00 463,012.95 $63,012.95 $0.00 463,013.76 $63,013.76
Totals $63,012.95 463,012.95 $0.00 $63.013.76 463,013.76 $0.00
Transactions by Type of Activity
Process
Selllemeni
Dl" AdIvily Type Dtscilption 12oMity Price Accrued !Merest Amount CuffM ID/
Dividends and Interest
02115118 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 12.95 USD
DEPOSITS INTEREST
RECEIVED
02115/18 CASHDIVIDENC RECEIVED D0000 SHRSAPPLEINCCOM R00212PDOM5113 63,000.00 USD
AAPL
Total Dividends and Interest - U.S. DOLLARS 0.00 63,012.95
FDIC Insured Bank Deposits
02115118 FDIC INSURED BANK INBRED DEPOSITS INTEREST REINVESTED -12.95 USD
DEPOSITSINTEREST
IN
02/16/18 Mir BANK DEPOSIT INSURED DEPOSITS PROGRAM 43,000.00 USD
Total FDIC Insured Bank Deposits-U.S. DOLLARS 0.00 43,012.95
Page 5 of 7
Await% Note
path brellent cow through Penang Lt. a Sway owned
Every Year Same 2007 solmieliarft Mille &onkel New York Mellon
CONFID AL-- DAM& eAlI D C0MMUMCATIOM Cerpontim (MY Melon)
EXCLUDeCt nentnll.C.intrrte HonatIklitero64 00049780
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012604
EFTA_00160389
EFTA01291875

Transactions by Type of Activity (continued)
Process(
Settlement
Date Adivily Type Description Quantity Price Maned littered Minuet Owing
Total Value of Transactions 0.00 0.00 MO
The price and quantity displayed may have been rounded.
Client Service Information
Your Investment Spedwit: DU Comm offoimstion
JOSHI IA CH CICHA N Telephone Number:
Your Account Information
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for M utual 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
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 communications for electronic delivery. To register and turn off paper corn munications, log in to your account or contact your Investment
Specialist for more information.
moc'tan: lformation and Disclosures
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 ads 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,
Page 6 of 7
Account Numbe
bled hceilent Owing tlwach Penting PIC a slay owoM
Every Vox Since 2007 subilliady a the Budt a New York Mete
CONFIDO. AL- DAISM WED couvaumcAncres CaMnEhm (OW Mellor0
CACE ll ENC Penile.; MC. 'wan FilatatiAtreaGM_00049781
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012605
EFTA_00160390
EFTA01291876

Deutsche Bank
P.0 Box 1776, Baltimore, MD 21203
February 1, 2018 - February 28, 2018
5OUTH ERN FINANCIAL LLC
Important I nforma, ion and Drscl sires (continued)
The Role of Pershing (continued)
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 (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 WPC limits. For more detailed information please visit www.pershing.com/ about/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 n n n i t page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department.
One Pershing Plaza, Jersey City, New Jersey 07399; . Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which
a claim is filed.
• Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the
panel at least 20 days prior to the first scheduled hearing date.
• The panel of arbitrators will typically Include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed. and any amendments thereto. shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class
action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative
class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or
(III) the client Is excluded from the class by the court. Such forbearance to enforce an agreem ent to arbitrate shall not constitute a waiver of any rights under this agreement except to
the extent stated herein. The laws of the State of New York govern.
Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399
Page 7 of 7
Account Nunte
Rated Eicallent Owing tlwonsh Penton. LLC a Sally owned
Every Vex Snce 2007 subsidiary aiM Bonita New York Mellon
CONFIDO. AL- OMAR RATED COMMUNICATIM Cortaatim (IIMY Mellott)
EXCII INC t Pomba; inerreef FIlltatikteaeltst 00049782
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012606
EFTA_00160391
EFTA01291877

Deutsche Bank donne Sank Private oVeSth Mannerists.
Marten Coeirfaie &owe
tintsch• Sank Searle.. Inc.
P.O. Box 1776, Baltimore, MD 212O3 Nee Von Once
HS Pet Anna.. flit Mot
ller Wa. XV 10134
Teu r..
0irecl
January 1, 2018 - January 31, 2018
Account Number:
SOUTHERN FINANCIAL LLC
6/3O RED HOOK QUARTER B3
ST THOM ASVIO O 8O 2
Portfolio at a Glance
ThisPeriod Year-lo-Date
Your Investment Specialist. BEGIN WING ACCOUNT VALUE 916 956,877 74 $16,956,877.74
JOSHUA SHOSHAN Adjusted Previous Account Value 16,956,877.74 16,956,877.74
Dividends. Interest and Other Income 081 081
Net Change in Portfolio' -180,000 00 •180.000.00
ENDINGACCOUNTVAWE $16,776,87865 $16,776,878.55
Estimated Annual Income 5252.000 81
Net Change in Portfolio isthedifference between the ending account value and
beginning account value after activity.
The Bank Deposits in your account are FDIC insured bank deposits.
FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit
Insurance Corporation (FDIC), up to allowable limits.
Asset Summary
Percent Asset Type Prior Year-End Last Period This Period
1% Cash, Money Funds, and Bank Deposits 33,87714 33,877.74 33,878.55
99% Equities 16,923,000.00 16,923,000.00 16.743.000 00
100% Account Total 916,956,877.74 $16.956.877.74 916.776.878.55
Please review your allocation periodically with your Investment Specialist
Page ' of
Rated Emedlent Oaring iThelh abeg LIC, a wildly owned
At 00S1,M3 Ott L Every Yew Since 1007 subewhon/ of The bake. New York Mellon
CONFID DAIJAR MUD COMMUNICATIONS Cerponthee (MY Mellon)
EXCELLENCE Pemba MC. immter filiRIAINguS.M—00049783
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-OO 12607
EFTA_OO16O392
EFTA01291878

Summary of Gains and Losses
Raked
This Paled Yetto•Date Waked
Short-Term Gain! Loss 0.00 9.00 -238,418 90
Net Gain! Loss 0.90 0.00 -238,418.00
This summary excludes transactions where cost basis information is not available.
For Your Informati n
The European Central Bank (the' EC8' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a
deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 1042 S 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 Desctiplion Amount Bare
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Activity Ending: OV 31/18
12130/17 Opening Balance 33,877.74 33,877.74
01/12/18 Deposit IN CREDITED 0.81 33,818.55
A PY 0 03%
01118/18 Citibank N A 33,818.55
A/ 0 0 V 16 5338 78 55
01131118 Closing Balance 03,878.55
Total FDIC Insured Bank Deposits 833,878.55
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 $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
Otirent Period YeautmDate
bustle Non Taxable Suable Non Taxable
Interest Income
FDIC Insured Bank Deposits 0.81 0.00 0.81 0.00
Total Dividends, Interest, Income and Expenses S0.61 $0.00 $0 .81 $0 .00
Page 2 of 7
iq
Account Mamba'
Mee Owing throughP iningI lt. a wally owned
CAmuO: N FIDE. I. is AL- Every Year Since 2007 subsidiary SIM Bonita New York Melba
DAYAR RAII D COMMUNICATIONS Caponthal (SW Meta)
EXCLUDICt Pentw, LIX.inerrter FilitalkkiELGM_00049784
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012608
EFTA_00160393
EFTA01291879

Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203 I
January 1, 2018 - January 31,2018
SOUTHERN FINANCIAL LLC
Portfolio Holdings
Coxed AdMty 09min0 Acaued income 30.Day Current
Opening Dale Quoddy Number Biding Balance Balance Income This Year Yield Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS t 00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSTSPROGRAII
12130/17 33,878.550 WA 01/31/18 3387774 33,878.55 668 081 N/A N/A
Total FDIC Insured Bank Deposits $33,877.74 833,878.55 $6 68 $081
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $33.877.74 $33,878.55 $6.68 $0 81
Unrealized Estimated Estimated
Ode Aspired Nally Unit OM Cod Bads Market Prim Markel Wee pint Loss Annual income Yield
EQUITIES 99.00% of Portfolio
Common Stocks
APPLE INCCOIA Emily Identifier AAPL
Dividend Option: Cask CUSP:0378331)0
12107/17 100.000.000 169.8140 16,981,416.00 167.4300 16.743.000.00 .238.416.00 252,000.00 150%
Total Common Stocks 616 981 416.00 316,743,000.00 4238,416.00 $252,000.00
TOTAL EQUITIES 618,981,416.00 $16,743,000.00 4238,416.00 3252,000.00
Unrealized Accrued Btlreeted
Cod Bads Market Value GelarLese lidded Annualliwome
TOTAL PORTFOLIO HOLDINGS 617,015,294.55 $16,776,878.55 -$238,418.00 50.00 5252,00021
Generally, securities acquired before 2011. in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of
1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as 'noncovered'. Securities marked as "covered", were identified as securities potentially
subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which t he securities are disposed.
Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 1099B, the cost
basis will not be reported to the IRS.
Portfolio Holdings Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market
prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ
Page 3 of 7
Accout Numbe
Rateantilent Owing tlwonsh holingI IC.• wholly owned
Every Vex Since 2007 subsidiary d The Bonita New York Mellon
CONFIDO. AL- DAIJAR MUD COMMUNCATION5 Cannatim (MY Melon)
EXCellENCt Pent. u.Carte.F itiitalikkg2PM_00049785
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012609
EFTA_00160394
EFTA01291880

Portfolio Holdings Disclosures (continued)
Pricing (continued)
from the actual sale price. Securities for which a price is not available are marked "N/A" and are omitted from the Total.
THEASOF PRICE DATE ONLY APPEARSW HEN THE PRICEDATE DOES NOT EQUAL THESTATEM ENT DATE
Estimated Annual Figures
The estimated annual income (EM) and estimated annual yield (FAY) 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.comi disclosures 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 arts as your
agent and receives payment for order flow.
Option Disclosure
Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished
to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining
current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or
financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional
information regarding this procedure is available upon written request to your introducing firm.
Foreign Currency Transactions
Pershing will 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.
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.
M essage
Customer Collateral Account Under Securities Account Control Agreement.
Important Reminder for Pershing's 2017 Form 1099 tax statement (1099): The 1099 includes IRS1099 Form B, DIV, INT, OID and M ISC. By February 15,2018, you will be mailed either
your 1099 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final information from issuers and trustees of securities you
hold by the as of date of the February t5 1099 mailing. You will also be sent the notice if your information is still being reviewed and finalized. 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 M arch :5,2035. For more information please visit
Page 4 of 7
Accent Numbe Rated (warm Owing tlwonshR ent PIC. orb* owned
Every Vex Since 2007 subsidiary of TM brat ar New York Melba
CONFIDO AL- DAWN WED commumomons Ccnaatim (MY Meta)
EX( xI Penne. MC. nuns, AtiRAOWYEEPM_00049788
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012610
EFTA_OO16O395
EFTA01291881

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
January 1,2018 - January 31,2018
SOUTHERN FINANCIAL LLC
Messages (continued)
mytaxhandbook.com.
Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC).
For disclosure of rates for DW S money market funds, please visit the DW S Investments website at httpsliwww.dws-investments.comi EN/ products! money-market-funds-yields.jsp
Please note that all money market funds listed on the website may not be offered through us.
Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual
fund. 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. Pursuant to SEC Rule tub-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
Activity Summary (Ail amounts shown are in base currency)
°edits This Period DebilsIbisPetiod Net IbisPeriod OeditsYear4o-Date Debits Year-to•Date Net Year-lo-Dale
Dividends and Interest $0.81 $0.00 $0.81 50.81 SO 00 $0.81
FDIC Insured Bank Deposits 50.00 40.81 40.81 50.00 40 81 40.81
Totals $0.81 40.81 $0.00 $0.81 40 81 80.00
Transactions by Typeof Activity
Recess'
Settlement
DIN Activity Type Desaiption Quantity Pike Awned haunt Amount Daum
Dividends and Interest
01112118 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 0.81 USD
DEPOSTSINTEREST
Total Dividends and Interest - DOLLARS 0.00 0.81
FDIC Insured Bank Deposits
01/12118 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESIIC 81 USD
DEPOSITS INTEREST
REINVESTED
Total FDIC Insured Bank Deposits -U S DOLLARS 0.00 -0 81
Page 5 of 7
Accout Numbs Rated Emarnt Owing linnet ',enlistsI lt. • Sally owned
A:C:!1:3qMO (wry Vex Since 2007 subsidiary a The Bonita New York Melba
CONFIDO. AL- DALBAR RATED CONVOCATIONS Cigna , (MY Melba)
EXCIA CNC t Penne. u.c. rm.**, FitietAtICIA2Plit000497137
CONFIDENTIAL — PURSUANT TO FED. R CRI M. P. 6(e) DB-SDNY-0012611
EFTA_00160396
EFTA01291882

Transactions by Type of Activity (continued)
Prows,
SoMims
Onto Activity Type Description Quantity Price Awned littered Awned burrow
Total Value of Transactions 0.00 0.00 UM
The price and quantity displayed may have been rounded.
Client Service Information
Yew Investment Specialist ENJ booted Information
JOSHUA SHOSHAN Telephone Number:
Your Account Inf Orman n
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for M utual 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
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 corn munications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment
Specialist for more information.
Important Information and Disclosures
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without
inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or
liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the
suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under
common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your
financial institution or that it receives as the result of securities transactions it processes.
• Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your
account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the
acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice,
Page 6 of 7
Accoul Numb Rated tacaNnt Owing tlwonethnling PIC • Sally owned
Every Yaw Since 2007 subsidiary el The Unit of New York Melba
CONFIDO. AL- DAWN WED commumomorts Colnatkie (MY Mellott)
ataLENCI Penne. LIX. FiliatlAtilaGM_00049788
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012612
EFTA_00160397
EFTA01291883

Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
January 1, 2018 - January 31,2018
SOUTH ERN FINA N CIA L LLC
Important Information and Disclosures (continued)
The Role of Pershing (continued)
it 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 (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 limits. For more detailed information please visit: www pershing coml about/ 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 11C. Legal Department,
One Pershing Plaza, Jersey City, New Jersey 07399. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which
a claim is filed.
• Arbitration awards are generally final and binding: a party's ability to have a court reverse or modify an arbitration award is very limited.
• The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
• The arbitrators do not have to explain the reason(s) for their award, unless. in an eligible case, a joint request for an explained decision has been submitted by all parties to the
panel at least 20 days prior to tne first scheduled hearing date.
• The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class
action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative
class who has not opted out of the class w ith 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;
Page of
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