EFTA01291918.pdf

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Account Number
Statement Period:12/01/2013 -1213112013
Valuation at a Glance
This Period Year-toDate
Beginning Account Value $63,000.00 $0.00
Net Cash Deposits and Withdrawals 000 63.000 00
SOUTHERN FINANCIAL LLC
Adjusted Previous Account Value 63,000.00 63,000.00
6100 RED HOOK QUARTER B3
Dividends. Interec. and Other Income 0.42 0.42
ST THOMAS VI 00802 Total Taxes Withheld -0.13 -0 13
nding Account Value $63,000.29 $63,000.29
Estim ated Annual Income $0. 12
Your Client Advisor:
TAZIA SMITH
Asset Allocation
Frio( Year-End Lad Period This Period % Allocation
USD Cash. Money Funds. and Bank Deposits' 0.00 63.000.00 63.00029 100.00% Your Account is 100% invested el USD Cash, Money Funds, and Bank
Deposits.
Account Total 10.00 163,000.00 163,000.29 100.00%
I FDICank Deposits in your account are FDIC insured bank deposits.
nsured bank deposts are not sixorines and are rot covered by the Securities Investor Protection Corpombon
(SIPC). These bank deposes are covered by the Federal Deposit Insurance Corporation (FDIC). up to atovrable lim4s.
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EFTA01291918

For Your Information
Deutsche Bank will change certain service and account-related fees effective January 1, 2014.
See the 'Messages' section at the end of this statement for details.
FDIC Insured Bank Deposits
Date Activity Type Description Amount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: N46026161 Activity Ending: 12/31113
11130113 Opening Balance 63,000.00 63,000.00
12/13113 Deposal INTEREST CREDITED 0.42 63.000.42
APT 0.01%
12/16113 Withdrawal WITHDRAWAL 4.13 63,000.29
TnState Capital Bank
N0 12116 $6300029
12131113 Closing Balance 383,000.29
Total FDIC Insured Bank Deposits
383,000.28
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
Current Period Tear•to-Date
Taxable Non Taxable Taxable Non Taxable
Interest Income
FOIC Insured Bank Deposits 042 0.00 0.42 000
Total Dividends, Interest, Income and Expenses 30.42 30.00 30.42 30.00
Portfolio Holdings
Opening Closing Accrued Income 30.0ay
Description Quantity Balance Balance Income This Year Yield
Cash, Money Funds, and Bank Deposits too.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM 63,000.290 63,000.00 63,000.29 026 0.42 NIA
Total FDIC Insured Bank Deposits $63,000.00 $63,000.29 HA 30.42
Page 2 of T
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EFTA_ODI 60448
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Statement Period: 12/01/2013 • 12131/2013
Portfolio Holdings (continued)
Opening Closing Accrued Income 30.Day
Desamtion Quantity Balance Balance Income This Year Yield
Cash, Money Funds, and Bank Deposits (continued)
Total Cash, Money Funds, and Bank Deposits $63,000.00 $63,000.29 $0.66 $0.12
Awned Estimated
Market Value Interest Annual Income
Total Portfolio Holdings
$63,000.29 $0.00 $0.42
M essa•es
Federal Deposit Insurance Corporation (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC).
For disclosure of rates for DWS money market funds, please visit the 0WS Investments website at https://vnvw.dws-investments.comIEN/products/money-market-funds-yields.fsp. 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
Although a money market mutual fund seeks to preserve the value of your investment at St per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your investment professional for additional information.
ENective January 1, 2014, service and accounkelated fees vAll be adjusted as follows:
• Trade confirm service charge: $6.00 per trade
• Annual IRA fee: $50
• IRA termination fee: $95
• Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded security and $25 per non-publicly traded security
• Foreign safekeeping fee: $6 per position, per quarter
To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments
Changes in Program Banks have taken place which require your attention.
For a kst of Program Banks, please visit http://wiwr.pwrn.db.corNamencas/en/CashSweepOobons.html or contact your Client Advisor.
You should advise us of Program Banks with whom you carry deposit accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in
order to maintain the maximum protection under terms of FDIC coverage.
Page 3 of?
OSOICSF300:2 111.A • .1 Acc L ou T n E t N " u R C m b N er O N404 26161 o G n o v pa i re r rl i e A ss L zik ) R S O e e A s v L o e I d n t t E Y a x l e P c a e A s ll I e C In n O t A C P O o M w M UNICATIONS e O w lo m w e e is r i e * .. a t t s c p o i * n t s i i N w o n a n m i s b ' i M sip S IA I a S m O ta . l C • e W d o • W O il N • I • C , • w •• a • d •• •• • • • m ••• a • n •• •
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EFTA01291920

Activity Sum m ary
(All amounts shown are in base currency: USD)
Credits This Period Year-lo-Date Debits This Period Year-to-Date
Dividends and Interest $0.42 $0.12 Dividends and Interest $0.00 $0.00
Taxes Withheld $0.00 $0.00 Taxes Withheld -$0.13 -$0.13
Cash Cash
Withdrawals 0.00 0 00 Withdrawals 0.00 -63.000.00
Deposits 0.00 126 000.00 Deposits 0.00 0.00
Total Cash $0.00 $126,000.00 Total Cash $0.00 •$63,000.00
FDIC Insured Bank Deposits $0.13 $0.13 FDIC Insured Bank Deposits -$0.12 •$63,000.12
Total Credits $0.55 $126,000.55 Total Debits -$0.55 -$126,000.55
Transactions by Type of Activity
Process/
Settlement
Date Activity Type Desai ion Ouant Price Accrued Interest Amount CCY
Dividends and Interest
12/13/13 FDIC INSURED BAK K It, SL RED DEPOSITS INTEREST CREDITED 0.42 LSD
DEPOSITS INTEREST
RECEIVED
158997996
Total Dividends and Interest • UNITED STATES DOLLAR 0.00 0.12
Taxes W ithheld
12/13/13 NON.RESIDEAT AUEI, TAX NRA TAXWITHHELD ON INSURED DEPOSITS INTEREST -0.13 LSD
458997996 CREDITED
Total Taxes Withheld - UNITED STATES DOLLAR 0.00 -0.13
FDIC Insured Bank Deposits
12/13/13 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -0.12 USD
DEPOSITS INTEREST
REINVESTED
158997996
12/16/13 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 0.13 LSD
WITHDRAWAL
US0999997
Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -0.29
Total Value of Transactions 0.00 0.00
The price and quantity displayed may have been rounded.
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SONY GM_00049841
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY-00 12665
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EFTA01291921

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Statement Period: 1210112013 - 12/31/2013
Client Service Information
Your Client Advisor: TDS Contact Information
TAN Sr? [Tr Telephone Number:
Your Account Information
Tax Lot Default Disposition Method
Default M ethod for M ultra! Funds: FIRST IN FIRST OUT
Default Method for Stocks In a Dividend Reinvestment Plan: FIRST IN FIRST OUT
Default Method for all Other Securities: FIRST IN FIRST OUT
Electronic Delivery
You have not selected any account communications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Oienl Advisor for more information.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained
from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a
price is not available are marked ''NIA"' and are omitted from the Total.
The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks.
These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any
time. and may be affected by current and future economic. political, and business conditions. they should not be relied on for making investment. trading, or tax decisions. These figures assume that the
position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
VEWIl.pershing.cornibusinesscontinuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received.
THE AS OF PRICE DATE ONLY APPEARS WIEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
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 vole than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action
transactions unless you imbue', your financial organization otherwise. Pershing's currency conversion rate wil 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, Mound a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
Page 5 of T
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EFTA01291922

Important Information and Disclosures
(continued)
The Role of Pershing
• Pershing carries your account as cleanng broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
receives as the resuN of securities transactions it processes.
• Your financial institution 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 suitabdity of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC`). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit wiwcpershing.comrstrength_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your fniancial organization and Pershing, within ten days after receipt
of this statement Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey
City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is Ned.
• Arbitration awards are generally final and binding; a partys 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 of are affiliated with the securities industry.
• The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
• The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek
to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any
claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an
agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York mem.
Pershirig's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330.
Page 6 of?
MI 0519'3=3002: Account Number 1140426161 Go papertess R S a ty ke ., d IVAe c .w el s lo u n n t it Raw • O • INe V lm a e . ns N e a lO g T W om S m IN o I r U n . e 0 r . • • M •• o • s •t 4 o s m ta o v d . e M r . s M • .r
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SDNY_GM_00049843
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CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. DEt-SONY-0012667
EF1'A_00160452
EFTA01291923

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. IF ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLCABLE LAWS NC REGULATIONS FINANCIAL BISTITuliON OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS
• TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN AVAILABLE UPON REQUEST.
WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT
DATE, WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF II WILL BE MAILED UPON YOUR WM I TEN REQUEST OR YOU CAN
• YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT WWW.PERSHING.COM.
STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES:
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. WYYvV.PERSHNG.COMMUSNESS_OONTINUHY.HTML
THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS
FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHINGS PAYMENT FOR ORDER FLOW AND ORDER ROUTING POUCIES DISCLOSURES (REGULATION NMS-
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. RULE 607(A)(1)-(2))
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
FROM TIME TO TIME OUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS TRADING SESSIONS. CERTAIN Of THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EOUITY ORDERS AS
MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST.
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER PERSHING RECEIVES PAYMENTS FOR DIRECTING USTED OPTIONS ORDER FLOW TO CERTAIN OPTION
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR PAYMENT.
NSPECTION UPON REQUEST. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
TAX INFORMATION FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE-
COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE 70 ACCEPT ORDERS,
• AFTER YEAR END. PERSHING IS REOUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN
REVENUE SERVICE AM) OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED
PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY
STATEMENT TO PREPARE YOUR TM FILINGS. THE TM STATEMENT ALSO INCLUDES OTHER USEFUL CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH
• DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE
AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS Of' THE DISTRIBUTION OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N080 PERSHING ALSO REGULARLY
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES.
GENERAL INFORMATION.
• PERSHING DOES NOT PROVIDE TAX INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE
ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO
DETERMINE THE APPROPRIATE TM TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ARE INDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
UABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER.
DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR
PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS:
ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITES CARRIED FOR
YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY
PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE
COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR
GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT
PROHIBITED BY LAW.
IF ANY OF THE ABOW TERMS ANO CCNDIII ONS ARE UNACCEPTABLE TO YOU. PLEASE NOISY PERRONG IIREDIATELY IN WRITING BY COETIREO WA TO ONE PERSHING PLAZA. JERSEY CAT', NJ 07300. AMC LEGAL DEPT
Page ? of ?
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Account Number:
Statement Period:10/2912013 -11/30/2013
Valuation at a Glance
This Period Year.to.0ate
Beginning Account Value $0.00 60.00
het Cash Deposits and Withdrawals 63.000 00 63.000 00
SOUTHERN FINANCIAL LLC
Ad usted Previous Account Value 63,000.00 63,000.00
6100 RED HOOK QUARTER B3
nding Account Value $63.000.00 $63.000.00
ST THOMAS VI 00802
Your Client Advisor:
Asset Allocation
Frio( Year•End Last Period This Period %Albntioe
USD Cash, Money Funds. and Bank Deposni 0.00 0 CO 63,000.00 100.00% Your Actscount is 10096 invested a USD Cash, Money Funds, and Bank
Deposi
Account Total $0.00 10.00 163,000.00 100.00%
I The Bank Deposits in your account are FDIC insured bank deposits.
FDIC rsdreo be* deposts are no: SeCunties and are rot covered by Pre Secuntes Investor Protection Corporation
(SIPC), These bank (*posts are covered by the Federal Deposit Insure rce Corporation (FDIC). up to arowanie brims.
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CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012669
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EFTA01291925

For Your Information
Go Papeiless. Deutsche Asset 8 Wealth Management now offers electronic delivery of certain account communications for Wear Management clients. Sign up today at vnwiimyrocumentsuile.com for this
easy, convenient and secure way to receive a0 of your sensitive account information. If you need assistance during enrollment, please contact your Client Advisor or Web Support at 800.776-7564.
Deutsche Bank will change certain service and account-related fees effective January 1, 2014.
See the 'Messages' section at the end of this statement for details.
FDIC Insured Bank Deposits
Date Activity Type Description Mount Balance
Sweep FDIC Insured Bank Deposits
INSURED DEPOSITS PROGRAM
Account Number: N46026161 Activity Ending: 11129113
10129113 Opening Balance 0 00 0.00
11122/13 Deposit DEPOSIT 63.000 00 63.000.00
11119/13 Closing Balance $63,000.00
Total FDIC Insured Bank Deposits $63,000.00
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 $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.
Portfolio Holdings
Opening Closieg Accrued 30-Day
Description Quantity Balance Balance Income Yield
Cash, Money Funds, and Bank Deposits 100.00% of Portfolio
FDIC Insured Bank Deposits
INSURED DEPOSTS PROGRAM 63,000.000 0.00 63,000.00 0.17 NIA
Total FDIC Insured Bank Deposits $0.00 $63,000.00 $0.17
Total Cash, Money Funds, and Bank Deposits $0.00 $63,000.00 $0.17
Awned
Market Value Interest
Total Portfolio Holdings
$63,000.00 $0.00
Messages
Customer Colateral Account Under Securities Account Control Agreement
Page 2 of 6
Account umber. N4G-0261131 Reseed f elellent Olosisinsevh 0•1~4010. • Mar ainied ••••••••••
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Dralsre Sam PonieVItalh Mamtented
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Chtfthe Sank Setionel
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(21))45.4M.ITSSI7414I9S
Statement Period: 10/29/2013 • 11/3012013
M essages (continued)
Although a money market mutual fund seeks to preserve the value of your investment at St per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money
market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the
money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your investment professional for additional information.
Federal Deposit Insurance Corporation (FDIC)4nsured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC).
For disclosure of rates for DWS money market funds, please visit the DINS Investments website at httpsiNnwrdws-investments.conVENfproducts/money-market-funds-yields.isp. Please note that all money
market funds listed on the website may not be offered through us.
To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments
Changes in Program Banks have taken place which require your attention.
For a kst of Program Banks, please visit htto/Awnitpvmdb.corNamericasienrCashSweep0ptions.html or contact your Client Advisor.
You should advise us of Program Banks with whom you carry deposit accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in
order to maintain the maximum protection under terms of FDIC coverage.
Effective January 1, 2014, service and account-related fees will be adjusted as follows:
• Trade confirm service charge: $6.00 per trade
• Annual IRA fee: SS0
• IRA termination fee: $95
• Estate valuation fee: $300 base fee (per client) plus S5 per publicly traded security and $25 per non-publicly traded security
• Foreign safekeeping fee: SS per position, per quarter
Go Papedess. Electronic delivery of certain account communications is now available. Sign up today at vmw.myedocumentsuite.com for this easy and convenient way to access an of your account information.
Eliminating paper delivery of al your sensitive account information can help to reduce the risk of identity theft, simplify recordkeeping and, at the same time, help to preserve the environment's precious
resources. Have questions or need help enrolling? Please contact your Client Advisor or Web Support at 800-776-7564.
Page 3 of
A.009813SOCSF3COIS A S c 0 c L o T u I- n E t R H N u m C be N r: C 1146 , . 0 L 2 L 6 C 1 . 8 1 GO p ap erless 1 oS 2• en • v • eu •1 ns r Y x ,e < M a o I l . l L . o I O n n t A cPoomwm unicArkoNn r a a e o v n r e t o a r . e w a e a , s < n e s lt o im i w .S e e o . y r U r F s . e C r d e . i^ s r . a c n o te o m i S r s e S s / C • ••••••• a •• r M m i * n
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Activity Sum m ary
(All amounts shown are in base currency: USD)
Cred.ts This Period Year-to•Date Debits This Period Year-to-Date
Cash Cash
Withdrawals 0.00 0.00 Withdrawals -63.00000 .61000 00
Deposits 126.000.00 126,000.00 Deposits 0.00 000
Total Cash 6120,000.00 $126,000.00 Total Cash .$63,000.00 •$63,000.00
FDIC Insured Bank Deposits $0.00 $0.00 FDIC Insured Bank Deposits 463,000.00 -663.000.00
Credits $126,000.00 $126,000.00 Total Debits -$126,000.00 -$126,000.00
Total
Transactions by Type of Activity
Process/
Settlement
Date Activity Type Dewipliou Quantity Price Accrued Interest Amount CCY
Cash Withdrawals and Deposits
11121113 CUSTOMER ALTI- 0 RIZED TRANS FRIA NIG-023804 63,000.00 USD
TRANSFER
US0099997
11/21/13 CUSTOMERAUTHORIZED TRANS FRIA N40.023804 63,000.00 USD
TRANSFER
VS0899997
11)22/13 CUSTONERAUTKORIZED TRANS TO 4G-023804 13,000.00 USD
TRANSFER
OS0899991
Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 63,000.00
FDIC Insured Bank Deposits
11/22/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 43.000.00 USD
USD999997
Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 43,000.00
Total Value of Transactions 0.00 0.00
The price and quantity displayed may have been rounded.
Client Service Information
Your Client Advisor: MS Contact Information
TA7tA SMITH Telephone Number:
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Statement Period: 10/29/2013 - 11/30/2013
Your Account Inform ation
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 Securitles: FIRST IN FIRST OUT
Copies of Statement Sent
JEFFREY EPSTEIN
Al your request copies of this statem ent have been sent to the above.
Electronic Delivery
You have not selected any account comet imitations for electronic delivery To register and turn off paper con m unications, log in to your account or contact your Client Advisor for m ore information.
Important Information and Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained
horn sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a
price is not available are marked "'N/A"' and are omitted from the Total.
The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks.
These figures are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any
time, and may be affected by current and future economic. political. and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the
position quantities, interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to
vmw.pershing.com/business_continuky.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received.
THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE.
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 out in the Margin Agreement The right to vote your shares held on margin may be
reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.
Foreign Currency Transactions
Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action
transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate vrill 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, round a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents
use.
The Role of Pershing
• Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders
for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or
its employees and it does not supervise them Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and
you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you.
• Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it
Pages ol 6
A0090130OCSF3001: Account Humber: N40-026161 Go paperlesS R S a e s v e e d n I Y w e o a o s ll e In n . A Roy* c ft u . r . s . e e * ta s < if t e .. N w e a S r I y •4 e 0 . 1 . e 0. f • t • s • • l • e •• . • ••••••••m••a•w••s•
MIAMI Rifle' COMMI-NVICATIONS
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CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6: THERN CO DB-SDNY-0012673
EFTA_00160458
EFTA01291929

Important Information and Disclosures (continued)
The Role of Pershing (continued)
receives as the result of securities transactions a processes
• Your financial institution is responsible for adherence to the securities laws. regulations and rules which apply to it regarding Es own operations and the supervision of your account, its sales representatives
and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities
orders; the assessment of the suitabiity of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you.
• Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. All other inquiries regarding your account or activity should
be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement.
• For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of
every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial
institution.
• Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing
provides coverage in excess of SIPC limits. For more detailed information please visit wiwtpershing.comIstrengffi_stability.html.
• This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt
of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act.
• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey
City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted.
Important Arbitration Disclosures
• All parties to this agreement are giving up the right to sue each other in court. including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is Ned.
• Arbitration awards are generaty final and binding; a party's abi0y 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 unfit (tithe 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 govem.
Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330.
Page6 of6
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