EFTA01289441

Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 SOUTHERN FINANCIAL LLC 6 10 0 RED HOOK QUAKER B3 ST THOMASVI 00802 0.1616116 Lint Miser II/n1, li.111.411•11 <poet. it 61111: 0•6111/111111111:6, 41•1 111 nn Yen ma 315 Pot AM,TVP.1611114.3, Now Ton i.e__________________ Cote December 1,2018 - December 31 2018 Account Number: Portfolio at a Glance ThIsPerlo4 Yer4o-DWr Your Investment Specialist. BEGINNINGACCOUNT VALUE 8102,820,779.67 897,272,547.37 MARTIN ZEMAN Net Cash Deposits and Withdrawals 0.00 4,193,223.91 Adjusted Previous Account Value 102,820,779.87 101,465,771.28 Dividends. Interest and Other Income 124,445.80 3,367,640.57 Total Taxes Withheld 488.03 -7,288.40 Other Transactions 428.11 -1,483.76 Net Change in Portfolio' -8,540,158.22 -10,409,988.58 ENDINGACCOUNTVAla $94,404,553.11 894,404,553.11 Accrued Interest 5478.778 13 Estimated Annual Income 33.328.412 86 Asset Summary 'Net Change in Portfolio lathe difference between the ending account value and beginning account value after activity. Prato Asset Type Prior Yeac•Ead Last Period TbisPerlo1 9% Cash. Money Funds, and Bank Deposits 823,820.96 6,566,510.08 8,127,337.23 26% Fixed Income 26,083,479.22 25,363,588.19 24,993,470.70 65% Equities 60,899,388.97 70,890,681.40 61,283,745.18 0% M utual Funds 3,020,938.22 0.00 0.00 0% Exchange-Traded Products 8,444,920.00 0.00 0.00 100% Account Total (Pie Chart) 397,272,547.37 8102,820,779.87 894,404,553.11 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) OWN F D MIAL￾Page 1 of 18 Rated Eaceilent Every Yes, Since 20O7 DALIAR RATED COMMUNICATIONS ()tall MCC Clain, liner Paralsin IIC eulogy mama sabildlay a The Zak a New Yak Mellon Ca era Melee) Panama 11.C.ma—ba la.tta.atWaigNm_00046469 DB-SDNY-0009293 EFTA_00I57078 EFTA01289441 Summary of Gains and Losses Ms Period Realized Yemen-Dale Unrealized Short-Term Gain! Loss 460,690.96 1,096,814.37 4,404,099.37 Long-Term Gain/ Loss 0.00 2,471,580.94 414,069.43 Net Gain! Loss 480,690.96 3,588,395.31 4,218,188.80 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECEP ) 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. Exchange Rate Table G ooa Casa Currency Currency USD EquIveleM per US3 Pinery Posing Balm Amount in Base Currency USD EURO 1.1430 0.8748 HONG KONG DOLLAR 183,242.25 23,405.17 HONG KONG DOLLAR 0.1277 7.8291 JAPANESE YEN 49.00 4.45 JAPANESE YEN 0.0091 109.7000 &change rates are based on interbank exchange rates as of 12/ 3V 2018. Exchange rates can vary. Total Global Cash Balance $23,404.72 Money Market Fund Detail Date /Welty Type Oomph'. Amount Mena Sweep Money Market Fund CASH AC TR DWSGOVT & AG INSTL Current Yield: 2.28% Activity Ending: 32/ 3V 18 12101118 Opening Balance 6,422,115 67 6,422,115.67 12103118 Deposit MONEY FUND PURCHASE 121,052 22 6,543,167.89 12104/18 Deposit MONEY FUND PURCHASE 24,371.00 6,567,538.89 12118/18 Deposit MONEY FUND PURCHASE 49,380.00 6,616,918.89 12/19118 Deposit MONEY FUND PURCHASE 1,357.50 6,618,278.39 12121/18 Deposit MONEY FUND PURCHASE 522.885 93 7,141,182.32 12724/18 Deposit MONEY FUND PURCHASE 913,947.03 8.055.109.35 12/28/18 Deposit MONEY FUND PURCHASE 35,681.25 8,090,790.60 12/31118 Deposit INCOMERBNVEST 13,141.91 8,103,932.51 12/31/18 Closing Balance $8,103,932.51 Total All Money Market Funds $8 103 932 51 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account FlumAIM CONFID . L Rated timeliest trey Year Since 2007 DALIAR ItA TED COMMUNKATI0NS uauencr Page 2 of 18 Cleary/through Pershing LLC•aapronwel sabsittiary of The Beak col Met Yalt Melba Ono-sten (ONY Melba) Per, hnx 11.C. mentn• 1 inatAAR4VELOSI-000 46470 DB-SDNY-0009294 EV1:4_00157079 EFTA01289442 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Income and Expense Summary December 1, 2018 - December 31, 2018 SOUTHERN FlNA NCIAL LLC I °stint Paled Taxable Non Tenth Taxable Yea-to-Dane Non Taxable Dividend Income Equities 1,867.64 0.00 792,654 57 0.00 Money Market 13,141.91 0.00 72,242 66 0.00 Other Dividends 49,380.00 0.00 954,190 91 0.00 Interest Income Bond Interest 80,056.25 0.00 873,125.66 0.00 Other Interest 0.00 0.00 157,433.76 0.00 Expenses W ithholding Taxes -286.03 0.00 -7,286.40 0.00 Fees( Foreign Securities) -224.11 0.00 -1,124.11 0.00 Total Dividends, Interest, Income and Expenses $123,935.66 $0.00 $2,841,237.05 $0.00 Distributions Alternative Investments 0.00 0.00 0.00 507,893.01 Other Distributions 0.00 0.00 •77.65 31,095.09 Total Distributions $0.00 $0.00 477.65 $538,988.10 Portfolio Holdings U.S. DOLLARS Opining Dale CASH, MONEY FUNDS, AND BANK DEPOSITS Margin Balance Money Market CASH AC TR 0W5 GOVT & AG INSTI. 12101/18 8.103.932.510 N/A 12131118 6,422115,87 8,103.932 51 0 00 72,242.66 Total Money Market $6,422,115.87 $8,103,932.51 $0.00 $72,242.68 TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS $6,543,167.89 $8,103,932.51 $0.00 $72,242.88 Account Activity Opening Closing Awued Income 30-Day Current Quantity Number Fading Belau* Balance Income Mb Year Yield Yield 121,052.22 0.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Numb CONFID 2.19% 226% Page 3 of 18 Rated LotIlent Clewing through Pagel% 11C•wholy evened Every Year Since 2007 Malaita" of The kelt al New Yak Meta DALIAR RATIO COMMUNICATIONS Carpotabon(ONY Mellon) LICILLINCI Periling U.C.nitrber risotocAtVlioiceM-00046471 DB-SDNY-0009295 EFIA_00157080 EFTA01289443 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired FIXED I NCOM E (In Maturity Date Sequence) Corporate Bonds CITIZENSCOM M UNICATIONS CO SR NT FULLY EXCHANGED FROM 174538AX9 7.45% 031EIS 13/E DTD 03/23/0714 oody Rating CAA1St P Rating CCCii 10103117 Quantity Unit Cosa 1.000.000.000 100.0150 EXELA INTER LLC EXELA RN INC GTD FIRST PRIORITY SR SECD NT 144A 1)600% 0716/23K DID 07/17/17C14Moody Rating 83 5 P Rating B 10/24117 2100,000100 971250 07109/18 1,000,000.000 102.6590 Total Covered 3,000,000 000 Total 3.000.000.000 ..BSINVTS GM BH GTD SR NT REG S !SINS USA29866AB53 7250% 04(03/24 BJE DTD 04/03(515 6 P Rating BB￾10/31/17 2,000,000.000 99.0650 DEUTSCHE BANK AG NTS ISMS US25625033 I 296% 05/24/28 EVE DID 05124/0 FORBGN SECURITY 1ST CPN DTE 1/24/13M oody Rating Ba2 S 6 P Rating BEr• 06/01118 1,000,000.000 91.7780 DEUTSCHE BK AG N Y BRH VAR ISMS US24526BN89 4.875% 210 132 B/E DM 2/0117 CALLABLE 2/0127 06/01118 1.000.000.000 86.8260 Adjusted Cost Bale Market Price Market Value Unrealized Colorless Accrued mere. Estimated Wheeled Annual Income Yield Security Walther: 17453BAW1 1.000.154.73 97.2500 Original Cosl Basis: $1001006.00 Scanty Identifier 30 E2RAA9 1,940,506.00 95.5000 Original Cosl Basis: S1940,506 00 1,026,591.39 95.5000 Original Cosl Basis:51028356.00 2.967.097.39 52.967.097.39 Security Identifier:0,29866AM 1.981.300.00 100.8010 Original Oast Basis:5198130000 Sederity Identifier 25525AM 3 917.776.00 84.5800 Original Cost Basis: $917.776 00 Security Identifier: 256268N8 868.256.00 77.7540 Original Cosl Basis: 5868256.00 972.500.00 1,910,000.01 954,999.99 2,865,000.00 52.865.000 00 161662060 845.800.00 777,540.00 -27.654.73 20.919.17 71,250.00 7.32% -30,505.99 92222.22 200,000.00 10.47% -71,591.40 46,111.11 100,000.00 10.47% -102,097.39 138,333.33 300,000 00 4102,097.39 5138.333.33 $300600.00 34,720.00 35,041.67 145,000.00 7.19% 41,976.00 4,415.33 42,960.00 5.07% -90.716 00 4,062.50 48250.00 6 26% Account Number monism-x:2i CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rabid tactile* trey Year Since 2007 OMAR PAITO COMMUNICATIONS UCtLIINCI Page 4 of '8 Clewing through Pealwag U.C. a %l a7 owned Maid's." of TM Bonk Ott. York Mellon CaveratIon (OM Wilco) PerOing literitetty IthRA.PknflieM-00046472 DB-SDNY-0009296 EFTA_00 I 5708 I EFTA01289444 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) December 1,2018 - December 31.2018 SOUTHERN FINANCIAL LLC Date Acquired Quantity Unit Cost FIXED I NCOM E (continued) Corporate Bonds (continued) ASSURANT INC FXC TO RIG SUB NT 7.000% 03/27/48 WE DID 031271E CALLABLE03/2T128A 130 000Moody Raling 03/29/18 2,000,000.000 101.9840 YMORGAN CHASE& CO DEP SHSREPSTG 'V VTR PFC SER 'FIXED TO FLTG RT BD 5.990% 04/23/58 B/E DID 04123108M cod y Rating BAA3 S & P Rating BBB￾06115111',JQ 1,100,000.000 107.2550 06/15/11 . '3-12 2.500.000.000 1061730 Total Noncovered 3,600,000.000 Total 3,600,000.000 SOUTHERN CALIF EDISON CO PREF SER E 6.250%0117162 BIEDTO 0f17!12 CALLABLE ON t22 Q DO 000M oody Rating BAA1S& P Rat mg BBB￾01/30/12 . '312 3.000.000.000 99.9060 GENERAL ELEC CO GTD FXD-TO.FLTGRT NON-CUMULATIVE PERPETUAL PREFERRED 4 000% 2/03/65REGOTD1103P6Moody Rating A3 Sri P Rating BBB￾12/03/15 2.469.000.000 88.0930 AdjuMed Cost Basis Market Price Security Identifier. 0462UAK4 2.039.689.71 95.0000 Original Cost Basis: $2040,005.00 Security Identifier. 46625HHA1 1,179,799.94 98.6250 Original Cost Basis: 51132.500.00 2,669,316.47 98.6250 Original Cost Basis: 52,675,000.00 3,849,116.41 $3.849,116.41 Market Value 1.900.000.00 1.084.875.02 2.46542418 3,550,500.00 Securely Identifier 842400FU2 2,997,192.40 95.2500 Original Cost Basis: 52.992.564.97 Securely Identifier 3696048514 2,175,016.17 63.9000 Original Cost Basis: 52,25.011 53,550,500.00 2,857,500.00 1,577,691.00 Account tiuna troussmx:28 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Unrealized Cain Lon Awned Estimated Eslimaled Interest Annual Income Yield -139.689.71 36.555.56 140,000.00 7.36% -94,924.92 11,348.44 65.894.18 6.07% -203,691.49 25,791.92 149,759.50 6.07% -298,616.41 37,140.36 215,653.68 4298.616.41 $37.140.36 5215.653.68 -139.692.40 78,125.00 187,500.00 6.56% 497.325.17 4,389.33 98,760.00 6.25% L Rated Earellent Every Year Since 2007 DA MR RATED COMMUNICATIONS EXCELLENCE Page 5 of 18 Clewing through Penang LLC, a allay owned satsidiary of The Bank el New York Mellon Ceeporaban (IINY &SW) Nosaitat I, LC. meting rieee.PkiKepM_00046473 DB-SDNY-0009297 EFTA_00 157082 EFTA01289445 Portfolio Holdings (continued) U.S. DOLLARS (continued) Cate Acquired Quality Una Cost FIXED I NCOM E (continued) Corporate Bonds (continued) LLOYDS BANKING GROUP PLC FM RATE RESET ADDL TIER 1SECS ISM VS539439442 7.500% 04/27188 B/E0TD 0410711166 P Rating BB￾04/10114 . '"2 1,903,000.000 102.3910 CITIGROUP INC FXD RT SR NT PERP DEP RB;PT 5.950% 08/1/88 WE DM 0814/1 CALLABLE0816/20 (j 130.000M oody Rating BA2 56 P Rating 88• 08/06/15 3,000,000.000 100.0000 Tot al Corporate Bonds 23,972,000.000 TOTAL FIXED INCOME 23,972,000.000 Oat. Acquired EQUITIES Common Stocks ALIBABA GROUP HOG LTD SPONSORED RDR IS1Nt USO SUWON Dividend Option: Cash Adjusted Cod Bads Market Price Swirly Identifier: 539439AG4 1,948,500.00 96.4800 Original Cost Basis: 51948,500 00 Security Identdier: 4196/25 3,000,005.99 Original Cost Us $23,744,104.80 96.5000 S3.000,006.00 Noddy Unit Cod 523,744,104.80 Cod Bats Market Pik 06/10115 5,000.000 88.9500 AMAZON COM INC Dividend Option: Cash 03129118 500.000 1,423.8620 04/01/18 500.000 1.367.0210 Total Covered 1.000.000 Total 1.000 000 APOLLO GLOBAL MGM T LLCCL A StiS Dividend Opl ion: Cash 263.67.00 of these shares are in your margin account 03/29/11 ' • ° 263,157.000 19.0000 711,930.80 683,510.38 1,395,441.18 Security Identifier MBA CUSP:8609W 92 444,749.00 137.0700 Security Identifier:MADI CUSP. 02313566 1,501.9700 1,501.9700 51,395,441.18 Security Identifier: APO CUSH? 03762306 4,999,983.00 24.5400 CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) Market Value Unrealized Gain Lon Accrued Estimated Whaled intetest Annual Income Yield 1.836.014 40 .112A85 60 1.585.83 147.715.00 7.77% 2,895,000.00 -105,005.99 67,433.33 178,500.00 6.t6% $22,093,565.40 41,650,539.40 $428,061.41 $1,571,098.68 $22,093,565.40 41,650,539.40 $428,061.41 $1,571,098.68 Market Value Unrealized Geldloss Estimated Estknated Annual Income Yield 685,350.00 240,601 00 750,985.00 39,054 20 750,985.00 67.474.61 1,501,970.00 106,528.82 $1,501,970.00 $106,528.82 50 00 6,451,872.18 1,457,889.78 507.893.01 7 86% Account Nunn CONFIDO. L Page 6 of 18 Rated Eacelitnt Clewing near Feebly IX nib* evened Every Year Since 2007 eatable., of The Malmo** Veda Mellon DALIAR RATIO COMMUNICATIONS Cerporatton (My Mellon) VICtll Pe„ tins LIC.,nn'tat FINRAAVVELGM-00046474 DS-SDNY-0009298 EFTA_00157083 EFTA01289446 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Clete Acquired Quantity Link Cost Cod Bois Merkel Prise Minket Value Unhanded Gainfloss Estimated al im aled Annual Income Yield EQUITIES (continued) Common Stocks (continued) APPLE INC COM Dividend Oplion: Cash 12107117 214,000.000 06120118 50,000.000 186.7940 10/15/18 40.000.000 219.0180 Total Covered 304,000 000 Total 304.000 MI MOGEN IDEC INC COM Dividend Option: Cash 02/14/12 " 2,095.000 110.2720 CENTENE CORP DEL COM Dividend Oplion: Cash 09108114 15,550.000 KARYOPHAR14 THERAPEUTICS INCCOM Dividend Oplion: Cash 07112118 25.000.000 63.6450 18.6840 23.5350 Security Identilid:AAPL CUSIP. 03783300 36.340.223.40 157.7400 9,339,697.00 157.7400 8,780,702.00 157.7400 54140.622.40 554.440.622.40 Seedily Meat Wier: BOB CUSP. 09062XV3 231,019.65 300.9200 Security Identifier CNC CUSIP:111581)1 989,679.75 115.3000 Security Identifier: KPTI CUSP. 48576U16 467,106.00 9.3700 33,756,360.08 7,886,999.80 6,309,600.12 47,952.960.00 $47.952.960.00 630,427.40 1 792 915 00 234.250 00 -2,583,863.32 -1,452,697.20 -2,451,101.88 -6,487,662.40 -56 487 662 40 399,407.75 803.235 25 -232.856 00 624,880.00 146.000.00 116,800.00 887 680 00 5887 680.00 185% 185% 185% Total Common Stocks Preferred Stocks (Listed by expiration date) GMAC CAP TR IMO TR PFD SECS SER2 CPI). 8.25% FRED DRYLY MATY42/15/2040 CALL ANYTIM E.25 W/30 DAYS BEGINS02/1/1 Dividend Option: Cosh 02/22/12 *-11 80,000.000 $62,968,600.98 Security Identifies: ALLY PRA CUSP. 36160208 1,882,773.60 25.3500 $59,255,745.18 2.028,00100 -$3,712,855.80 145,226.40 $1,395,573.01 183,568.48 806% Total Preferred Stocks $1,882,773.60 $2,026,000.00 $145,228.40 $163,568.48 TOTAL EQUITIES $64,851,374.58 Cod Bads $61,283,745.18 Mired Value 43,567,629.40 Unmated OSHA. Awued Interest $1,559,141.49 Wooded Arnaud Income TOTAL U.S. DOLLARS December 1,201S - December 31.2018 SOUTHERN FINANCIAL LLC 196199.411 89 CONFIDENTIAL - PURSUANT TO FED. R CRINI, P. 6(e) Account ?Ante; $91,481,243.09 EC a CONFIDO. 45,218,18810 $428,081.41 $3,202,482.83 Page 7 of 18 L Rated ticollent trey Yew Since 2007 DALIAR WED COMMUNICATIONS exassetla Clewing through Pagan IIC a aloe/ evened sobsidiari of The lank a New Yak Mellon Carpotatkon MAW Per Ihnx 11.C. morto ii SRVVELoftoontsais DS-SDNY-0009299 EFTA_00 I 57084 EFTA01289447 Portfolio Holdings (continued) EURO Macho Overlay C9441019 Baas Coda Selena Currency Acaued 30-04 Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 14.80 0.00 EUR 0.00 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 14.80 0.00 SIR 0.00 USD 0 00 0 00 Descsalloa Nuttily Merkel Pilot Make Value Canna Acaued Waal Estimated Eslimaled Annul Income Yield FIXED INCOME (In Maturity Date Sequence) Corporate Bonds CASINO,GUICHARD-PERRACHON 7.500.000 000 101.4840 2,537,100.00 EUR 44,371.85 110,115.00 424% SA ISM FR00030%80 2,899,905.30 USD 50)11.02 125,930.03 4.407%08106/V REG 0130810312 Moody Rating BASS PRoting BB Security Identifier. F1413LCN4 Total Corporate Bonds: 2,500,000.000 2,537,100.00 SIR 44,371.85 110,175.00 2,899,905.30 USD 50,717.02 125,930.03 TOTAL FIXED INCOME 2,500,000.000 2,537,100.00 SIR 44,371.85 110,175.00 2,699,905.30 USD 50,717.02 125,930.03 Acaved Eillaeled Market Value Canna lateral Maul Income TOTAL EURO HONGKONG DOLLAR Description Garay 2,537,100.00 EUR 2,899,905.30 USD 44,371.85 110,175.00 50,717.02 125,930.03 OPerdla Gala Armed 30-Day Dance Bina Currency Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 183,242.25 183,24225 RIM 23,405.17 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 183,242.25 183,242.25 HIM 23,405.17 USD Markel Vela Currency TOTAL HONG KONG DOLLAR CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 183,242.25 HIM 23,405.17 USD Account ?Arnim CONFIDO. 0.00 000 Accrued Infant 0.00 0.00 Page 8 of 18 Rated (0141ent Clewing through Pealing 11C. a wlay evened (very Year Since 2007 Maid's." of The Mak el Nevi Yak Mellon DALBAR RATED COMMUNICATIONS CarporatIon(ONY WNW (XCIlltria Pe ri Prix 11.C. m0-00 inatA.StRtliaseit00046476 DS-SONY-0009300 EFTA_00157085 EFTA01289448 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) JA PA N ESE Y EN Desuiptbn CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance December 1,2018 - December 31.2045 SOUTHERN FINANCIAL LLC Quantity Opening Cooing Balance Bales Connor 49.00 49.00 JPY .0.45 USD 49.00 49.00 JPY 0.00 4.45 USD 0.00 Accrued Nike Value Connor inters Accrued Income TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 30 Day Yield TOTAL JAPA NESE YEN TOTAL PORTFOLIO HOLDINGS - U.S. DOLLARS 49.00 JPY 0.00 -0.45 USD 0.00 Unrealized Accrued Estimated Coat Bads NNW Value GaiterLoss Inlets Annual Income $98,699.411.89 194.404.553 11 45218.168.80 $478.778.43 13 328.412 86 • Noncovered under the cost basis rules as defined below. 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 Ad 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 1399-8 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. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed , there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security hes been provided fo us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. tz Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. t3 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number CONFIDO. at. L Page 9 of 18 Rated Eaceilent trent Yes, Since 2007 DAUIAR RATED COMMUNICATIONS ()tall INC I Cleating through Fenian LLC fl ied evened sateldiery a Me in a new Yak Mellen Cerpodatto (My Man) Pen I. me n nxt-latt FiNtAAKaem_00046471 DB-SONY-0009301 EFTA_00157086 EFTA01289449 Holdings Summary by Currency Cunenty Cue Fixed Income Equities Told by Currency U.S. DOLLARS 8,103,932 22,093,56S 81,283,745 91,481,243 USD EURO 0 2,537,100 0 2,537,100 EUR HONG KONG DOLLAR 183,242 0 0 183,242 MD &VARESE YEN -49 0 0 -49 JPY Total USD Equivalent 8,127.337 24,993,470 61,283,745 94,404,553 USD % of Allocation 9% 28% 85% 100% 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 "N/ A" and are omitted from the Total. THEAS OF PRICEDATEONLY APPEARS WHEN THEPRICEDATEDOESNOT EQUAL THESTATEM ENT DATE Estimated Annual Figures The estimated annual income (EA I) 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, Sank 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. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account ?gumbo 3ectila CONFID L Page 10 of 18 Rated hothent Erect Year Since 2007 DMIAR MTV) COMMUNICATIONS (XCILIOICI Clearing lasotor Iambi% IIC nub* evened istaldlary of The lanic Wier Yak Mellon Carporat$ an My Man) Per Ihnx 11.C. mtett• FthvAARWTrikom_000its.sTa DE1-SDNY-0009302 EFTA_OO 157O87 EFTA01289450 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) December 1,2018 - December 31, 2076 SOUTHERN FINANCIAL LLC 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. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions. regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities, and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Schedule of Realized Gains and Losses Current Period Date Date Realized Desaiption Disposed Acquired Designation Disposition Method) TIMItildi011 Quantity Proceeds Cod Baas Gaia; Lon Short Term EURO CURRENCY 12/20/18 12119118 NOncOveted. First In First Out! SELL 796,815.200 913,947.03 910,042.64 3,904.39 Security Identifier. EUR999995 U8I SOFT ENTERTAINM E 12/19/18 03121118 Covered First In First Out! Sal 5,600.000 455,058.33 489,130.40 44,072.07 0000051470 SA MONTREUIL ACT 12119/18 03127118 Covered First In First Out! S9.1 5,600.000 455,058.32 485,068.46 40,010.14 Security Identifier. F9396Nt6 Total 11200.000 910,116.65 974,198.86 .61,082.21 GENERAL ELECTRIC CO 12/19/18 02123118 Covered First In First Out! SELL 2,500.000 18,889.63 40,551 71 -21,662.08 Security Identifier 3696041)3 12/19/18 02126118 Covered First In First Out! SELL 2.500.000 18.889.63 40,551.71 -21,662.08 12119/18 03105/18 Covered First In First Out! Sal 800.000 6,044.68 12.980.63 -6,935.95 12119/18 03107118 Covered First In First Out! Sal 5,000.000 37.779.26 81,097.41 43.318.15 12/19/18 03112/10 Covered First In First Out! SELL 2,500.000 18,889.63 10,551.71 -21.662.08 12/19118 03116118 Covered First In First Out! 11.700.000 88,403.45 189,759.90 -101,356.15 Total 25,000.000 188,896.28 405,493.07 -216,596.79 NINTENDO LTD ADR 12/19/18 02105118 Covered First In First Out! SELL 10,000.000 333,989.65 517,906.00 -183,916.35 Security Identifier 654445303 Total Short Term 2,316,949.61 2,807,640.57 -460,690.96 Account Nombre CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO Page 1' of 18 L Rated [smitten (my Yew Since 2007 OMAR ItATED COMMUNICATIONS EXCO.LINCI Clewing through PenhirglIC. a Say owned istaidiary a The IMMONew Yak Mellon Cap:taboo (OM Wilco) Pell. 'mg 11.C.mer-bn Ithtto..W1h39m—Ouv4647v DB-SDNY-0009303 EFTA_00157088 EFTA01289451 Schedule of Realized Gains and Losses Current Period (continued) (We Description Disposed Total Short and Long Term Dale Aoadted Designation Disposition Method I Ttanadion Quantity Realized Proceeds Coil Bads Gain;lots 2,346,949.61 2,807,640.57 460,690.96 • Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-US. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1886, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked asIIcovered', 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 10998, the cost basis will not be reported to the IRS. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1399-B or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRSForm 1099-B. Messages Please note the following information for Pershing's 2018 IRS Form 1099 (B, DIV. INT, M ISC and DID): 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 1399 will be mailed no later than M arch 15.2019. Although a money market mutual fund seeks to preserve the value of your investment at 51 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus 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. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDOP Rated [strata? (my Year Since 2007 DALIAR RATED COMMUNICATIONS ()tall INC I Page 12 of 18 Clearing Omer Pad.S I1C naoly wend sotaldlary of The Malt *Ma Yak Melon Carporat$ an (My WWI Pen hnx U.C.erter-bn FtWRA.SCV/ELGM_000464430 DB-SDNY-0009304 EFD1/4_00157089 EFTA01289452 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Activity Summary (All amounts shown are in base currency) December 1,2018 - December 31.2018 SOUTHERN FINANCIAL LLC MEM Crags Mrs Period Debits ThisPerlo4 Net ThisPotio4 GenitsTom4o.Date orbasuar4o-Deto Not Yet4o-Date Securities Securities Bought 0.00 0.00 0.00 0.00 48,533,305.28 48,533,305.28 Securities Sold 2,346,949 61 0.00 2,346,949 81 45,312,884.71 0.00 45,312,884.71 Total Securities $2.346,949.61 $0.00 $2,346,949.61 $45,312,884.71 448,533,305.28 43,220,420.57 Dividends and Interest $124.445.80 $0.00 $124,445.80 $2,849,647.58 $0.00 $2,849,647.58 Distributions $0.00 $0.00 $0.00 $4,238,988.10 $0.00 $4,238,988.10 Fees $0.00 4228.11 4228.11 $0.00 41.408.11 41,406.11 Taxes Withheld $0.00 4286.03 4286.03 $0.00 47.286 40 47,286.40 Other $0.00 $0.00 $0.00 $0.00 477.65 477.65 Cash Withdraw* 0.00 0.00 0.00 0.00 -4,077,618.24 4,077,618.24 Deposits 0.00 0.00 0.00 8,270,842.15 0.00 8,270,842.15 Total Cash $0.00 $0.00 $0.00 $8,210,842.15 44,077,618.24 $4,193,223.91 Totals $2,471,395.41 4514.14 $2,470,881.27 $60,672,362.52 452,619,893.68 $8,052,668.84 Transactions by Type of Activity Process Trade Sett knot Transaction Data Data Mirky Typo DosalptIon Cluatily Rka Ateruod MKS Amount QtrIoncy Securities Bought and Sold 12/21/18 12119/18 SOW UBI SOFT ENTERTARIN ENT ISINt FRO000054470 SA -11,200.000 71.1900 796,880.00 EUR UBI:FR 12121118 12119118 SOLD MONTREUIL ACT ALLOCATED ORDER YOUR BROKER ACTED AS AGENT ASOF 2/1/2013 GENERAL ELECTRIC CO C011 UNSOLICITED ORDER AVERAGE .25,000.000 7.5961 910,116.65 USD 188,896.28 USD GE 12121118 12119118 SOLO UNIT PRICE TRANSACTION YOUR BROKERACTED ASAGENT NINTDIOO LTD ADR UNSOLICITED ORDER -10,000.000 33.4400 333,989.65 USD 117001 12/24/18 12120/18 CORRECTED SELL EURO -796,815.200 1.1470 913,947.03 USD Total Securities Bought and Sold EURO 0.00 796,880.00 EUR CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) Account Humber CONFIDO. L Page 13 of 18 Rated hotlient Claim liner PawsIIC outlay evened (my Year Since 2007 Malaita of Tat Malta New Yak Meta DALBAR RATED COMMUttiCATIONS Carporatlen(ONY Patilen) LaCial Ma Pelham11C rnentat Faitatigni teM- 000 46481 DES-SDNY-0009305 EFTA_00157090 EFTA01289453 Transactions by Type of Activity (continued) Roast; Trade; Settlement Transaction Date Date Acliyky Type Description Quantity Price Acaued Interest Amount Catena Total Securities Bought and Sold (continued) TOTAL USD EQUIVALENT 0.00 910.116 65 USD U S. DOLLARS 0.00 1,436,832 96 USD Dividends and Interest 12/03/18 FOREIGN BOND INTEREST 100000 DEUTSCHE BK AG N Y BRH VAR ISINO US255268/189 24.37510 USD 251526BN8 4.875% 12/0132 B/E DID 12/0/17CLB RD 1130 PO 2/011 12117/18 CASH DIVIDEND RECEIVED 2469000 GENERAL RFC CO GTD FXD-TO.RTGRT 49,380.00 USD 3696048114 NOWCUM ULATIVE PERPETUAL PREFERRED 4100%2/03/65 REG DTD 17JOYS CLEI RD 1130 PC 2/1118 12/18118 FOREIGN SECURITY DIVIDEND 1000 MRS NINTENDO LTD ADR RD 09/28 PO 2/13111 1,867 64 USD RE-COVED NTDOY 12/27/18 FOREIGN BOND INTEREST 103000 LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL 35181 25 USD 539439AG4 TIER 1SECS ISINS US539439AG42 7.500% 04/27/88 BIE DTD 04/0701 CL8 RD 2/12PD 2/27/1 12/31/18 MONEY MARKET FUND CASH AC TR OW SGOVT 13,141.91 USD INCOME RECEIVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 124.445.80 Fees 12/03/18 FOREIGN CUSTODY FEE Fgn Safekeeping NOV 201 CUSP. F9396N-1.5 •2.00 USD USD999997 12/03/18 FOREIGN CUSTODY FEE Fgn Safekeeping NOV 201CUSII). F14 INAN-4 -2.00 USD USD999997 12/18/18 FEE ON FOREIGN DIVIDEND 1000 SHRS NINTENDO LTO ADR RD 09/28 PO WV% -224.11 USD WITHHELD AT THE SOURCE NTDOY Total Fees - U.S. DOLLARS 0.00 -228.11 Taxes Withheld 12/18118 FOREIGN TAX WITHHELD AT 1000 SHRS NINTENDO LTO ADR RD 09/28 PO 12/1311 -286.03 USD THE SOURCE NTDOY Total Taxes Withheld - U.S. DOLLARS 0.00 -286.03 Told Araual altered Total Amount Transtalonsaimmary Told Awnd IMered Total Amount Quincy USD EguNalent USDEcurivaltot EURO 0.00 796.88010 EUR 0.00 91011665 U.S. DOLLARS 0.00 1,560.764 62 USD 0.00 1.560.764 62 The price and quantity displayed may have been rounded. Page '4 of 3 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account ecocN CONFID Rated ticellent fray Year Since 2007 OMARRATED COMMUNICATIONS EXCLUINCI Clewing through Ptilillfe LLC. a mite/ owned sotaldiary of The Bank at New Yea Mellon CarporatIon OM Mellon) Pechnx LICertet-txt 1 itato..%41141.00 - 00046482 DB-SDNY-0009306 EFTA_00 15709 I EFTA01289454 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Cash Not Yet Received December 1,2018 - December 31,2018 SOUTHERN FINANCIAL LLC Security Record Date Payable Dale Quality Field Ible Dividend Option Amount of Payment Dividends GENERAL ELECTFJC COCON 12120118 01125119 25,000.000 0.010000 Cash 250.00 Interest BELA INTER LW/ DIEU RN INC GTO 12131/18 01115119 3.000.000.000 0.050000 Cash 150,000.00 FIRST PRIORITY SR Total Cash Not Yet Received 5159250.00 Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Fixed IncomeAnalysis Bond Quality Bond Quality Market Value A 1,577,691.00 BAA 6,408,000.00 BAi Lower 16,230,239.70 Not Rated 777,540.00 Total 24,993,470.70 % ol Road MNUt Value 6% 26% 65% 3% 100% 0 Percent of Fixed ncome 20 40 60 80 10 Bond Maturity Schedule Bond Maturity %of Bond Market Vdve Market Value .1to 6 months 972,500.00 1% IE 7 to t2 months 2,809,905.30 12% IN 1to 5 years 2,865,000.00 11% 06 to 10 years 2,661,820.00 11% • Over 10 years 15,394,245.40 62% Total 24,993,470.70 100% Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Client Service Information Your Investment Spedake MARTIN ZEM AN 345 PARK AVENUE NEW YORK NY 10 154 Contact Information Telephone Number: (212) 250-0432 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number_ CONFID Page 15 of 18 Rated timeliest trey Year Since 2007 PAIAAR RAM COMMUNICATIONS uaurvicr Clewing liner Mein LLC nob* evened Mold/arra nit end a New Vat Meta Per, (MY Mellon) Per Pinx 11.C. mentxt ca) DB-SDNY-0009307 EFTA_00157092 EFTA01289455 Your Account I nformati 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 SECTIONS 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 0 EU VERY 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 institutionit 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, w here 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 . 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 ere 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 • 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 Page 16 of 18 CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) Account Number: Stetm CO Mene NFIDO' L-- Rated Eacellent trey Yew Since 2007 OMAR ItaTtO COMMUNICATIONS UMIAK E Clearing through Peaky LLC *lady evened sabtidiery of Me Melt a New Yen Meta Cerporatton (MY Mellon) Pero me attettar FtiteleStRVELGM_000464434 DB-SDNY-0009308 EFTA_00157093 EFTA01289456 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) December 1,2018 - December 31,2013 BOUTHERN FINANCIAL LLC Important Arbitration Disclosures (continued) 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 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; Account Norte Stcosnos CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L Page ' 7 of '',E; Rated ['milk..? (lane through Pinking LC. a %Nei owned hem Year Since 2007 sokslifiara al The Banked New York Mellon DALIAR RATED C0MMUNKATI0NS Carporabon(ONY Mace) ,..... _ [10:82.O4a kskkitlt.C.nterrtet F ikItA.Vel€111aWn_00046485 DB-SDNY-00093O9 EFTA_00 I 57094 EFTA01289457 TERMS AND CONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS, CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ANO TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLO TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO, THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION F YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A CORENED STATEMENT OF YOUR GENERAL ACCOUNT MID A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCTM INT AS REQUIRED BY REGULATION T IS AVALABLE FOR YOUR INSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS n ASSFICATION 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 TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE NDEBTED TO PERSHING LLC (*PERSHING, FOR ANY AMOUNT, ALL SECURITES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHNG MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHNG TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEBTW TO PERSHING FOR ANY AMOUNT, ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY 8E. 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 LIABLMES TO PERSH ING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVAILABLE UPON REQUEST • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A COPY OF [TWILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWVV.PERSHING.COM/DISCLOSURES • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS - RULE 607(AX1)-(2)] PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY MID OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE￾COUNTER AND EXCHANGE-LISTED SECUMTES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NERO). ON CERTAIN LARGER ORDERS, OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET W THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSH:NG ALSO REGULARLY REVIEWS REPORTS FOR QUAUTY OF EXECUTION PURPOSES. F ANY OF THE MOVE TERMS MID ODNDITIONSARE URACCEPTAME TO YOU, TEASE NOTIFY PUMPING IMMEDIATELY IN WRITING BY WOWED MAIL TOONE PERSHING PLAZA JERMYCITY, Ni 07399, ATM: LEGAL DEPT CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) Account Number: CON FIDO. L Page of 18 Rated hottlent Claim. through Falb% LLC a Moly @mad Emmy Year Since 2C07 sabaldiacy al The Bask ether Yak Megan DAUIAR RATED COMMUNICATIONS CarpotatIon (MY MOW EXCELLENCE Per ihnx 11.C. mertan ruarAVViteceM-00046486 DB-SDNY-0009310 EFIA_00157095 EFTA01289458 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIAL LLC 6 100 RED HOOK QUARTER B3 ST THOM ASVI 00 802 Orututiv Sant Prisatr Melt. h•laletmeil IA mien <Genie elee: O•vtiche Mm 1.:Avdiri Ns. Ycel Ceke 30 P3n Ammo. 360 now toes Yvl. rit Tont.. Evert November 1.2018 - November 30,201B Account Number: Portfolio at a Glance Baghdad Yates-Die Your Investment Specialist BEGIN NI NGACCOUNT VALUE MARTIN ZEMAN Net Cash Deposits and Withdrawals $115,924,557.54 0.00 $97,272,547.37 4,193,223.91 Adjusted Previous Account Value 115,924,557.54 101,465,771.28 Dividends. Interest and Other Income 424,089.47 3,233,094.77 Total Taxes Withheld 0.00 -7,000.37 Other Transactions 4.00 -1,255.85 Net Change in Portfolio' -13,527,843.34 -1869,830.38 ENDINGACCOUNT VALUE 9102,820,779.87 $102,820,7790 Maud Interest 5402.048 74 Estimated Annual Income 53,193.699 16 Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Percent Asset Type Nor Year-Eed Lad Period ThIsPerled 6% Cash. Money Funds, and Bank Deposits 823,820.98 3069,680.52 6,568,510.08 E. 25% Fixed Income 28,083,479.22 26,473,097.33 25,363,588.19 • 69% Equities 60,899,388.97 83,265,684.75 70,890,681.40 0% Mutual Funds 3,020,938.22 3,116,094.91 0.00 0% Exchange-Traded Products 8,444,920.00 0.00 0.00 100% Account Total (Pie Chart) $97,272,547.37 6115.924.557.54 $102,820,779.67 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) oc nN F I D Page 1 of 18 Rated h(tHent Every Year Since 2007 DAtRARMITO COMMUNCATIONS EXCIattla Clain Omagh Pegg% IIC outlay evened sotaldlary a The Bank a New Yak Meta Caeporatfanaltly AMMO) Peri. Ira titian-ter FRIIIAAV Y2;04_000464437 DS-SDNY-0009311 EFTA_OO157O96 EFTA01289459 Summary of Gains and Losses This Period &WS Year-to-Dote Uartellad Short-Term Gain! Loss .2,139.48 1,557,505.33 -712,788.99 Long-Term Gain/ Loss 44,194.07 2,471,580.94 3,735,194.55 Net Gain! Loss 46,333.53 4,029,085.27 3,022,405.56 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 tales' . 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 1399 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. Exchange Rate Table G ooa Casn Currency Closing Amount in Quincy USD Bmivalent per USD Currency Balance Bass Censor uSD EURO 1.1321 0.8833 EURO 44.80 -73.36 HONG KONG DOLLAR 0.1277 7.8255 HONG KONG DOLLAR 183,242.25 23,415.98 „RPANESE YEN 0.0088 113.5300 AWARE% YEN 49.00 -0.43 &change rates are based on interbank exchange rates as of 11, 301 2013. &change rates can vary. Total Gabel Cash Balance $23,342.19 Money Market Fund Detail Date Activity Type Desalrilan Amount Bring Sweep Money Market Fund CASH AC TR DWSGOVT & AG INSTL Current Yield: 2.2% Activity Ending: 1V 30/ 34 11/01/18 Opening Balance 2,969,154 25 2,989,154.25 11101118 Deposit MONEY FUND PURCHASE 77,225.00 3,046,379.25 11102118 Withdrawal MONEY FUND REDEM PTION 4.00 3,046,375.25 11/1 fut 8 Deposit MONEY FUND PURCHASE 221,920.00 3,288,295.25 11119118 Deposit MONEY FUND PURCHASE 41,393.60 3,309,688.85 11127/18 Deposit MONEY FUND PURCHASE 21,480.00 3,331,188.85 11729118 Deposit MONEY FUND PURCHASE 3,072,723.17 6,403,892.02 11130/18 Deposit MONEY FUND PURCHASE 12,340.94 6,416,232.96 11130/18 Deposit INCOMERBNVEST 5,882.71 6 422 115.67 11130118 Closing Balance 66,422,115.67 Total All Money Market Funds 66,422,115.67 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Hurnbe 2:c:; CONFIDO. r:noti L Page 2 of 18 Raid hortlent brew Yes, Since 2007 DALIAR RATIO COMMUNCATCNS EXCILLINCI Clare...through kohl% LC. a vilay evened se:oldie,' a The Mak a New Yak Meta Carponban(IINY Mellon) Per Oita LI.C.menter FINIIAAR4VOM_00046488 DEMSDNY-0009312 EFTA_00157097 EFTA01289460 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Income and Expense Summary November 1, 2018 - November 30,2018 SOUTHERN FINANCIAL= Unable Careat Period Non Taxable Tattle Yes-to-Diu Non Taxable Dividend Income Equities 221,920.00 0.00 790,786.93 0.00 Money Market 5,882.71 0.00 59,100.75 0.00 Other Dividends 12,340.94 0.00 904,810.91 0.00 Interest Income Bond Interest 21,480.00 0.00 813,069.41 0.00 Other Interest 41,393.60 0.00 157,433.76 0.00 Expenses W ithholding Taxes 0.00 0.00 .7,000.37 0.00 Fees( Foreign Securities) 0.00 0.00 .900.00 0.00 Total Dividends, Interest, Income end Expenses $303,017.25 $0.00 $2,717,301.39 $0.00 Distributions Alternative Investments 0.00 121,052.22 0.00 507,893.01 Other Distributions 0.00 0.00 •77.65 31,095.09 Total Distributions $0.00 $121,052.22 477.65 $538,988.10 Portfolio Holdings U.S. DOLLARS Account Opening Die Curdy Number Activity Fading Opening Bayne Doing Name Awned Income biome Thb Year 30 Day Yield Current Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Cash Balance Margin Balance Money Market CASH AC TR OWSGOVT 8 AGINSTL 11/01/18 8,422,115170 N/A 11/30/18 77,225.00 0.00 2,989,154.25 0.00 121,052.22 6,422,115.67 754.89 59,10015 2.11% 212% Total Money Market $2,969,154.25 $6,422,115.67 $754.89 $59,100.75 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $3,046,379.25 $6,543,167.89 $754.89 $59,100.75 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account HuntliAM CONFIDO. L Rabid Gcellent (rem Year Since 20O7 DALBAR RATED COMMUNICATIONS ()tallINCE Page 3 of 18 CkYrnR LM0„RI, PrIShifit titaakei OWNS WfriKIWIT of The OanktAtiew Yalt Mellon corporation ma Mtllon) Peohnx rnnto mn•On IIMAARCOVELGM_00046489 DB-SDNY-0009313 EFTA_00157098 EFTA01289461 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit Cost FIXED INCOME (In Maturity Date Sequence) Corporate Bonds CITIZENS COM M UNICATIONS CO SR NT FULLY EXCHANGED FROM 174538AX9 7.45%031'619 B/E DID 03/23/07M oody Rating CAA1S8 P Rating CCC+ 10/03/17 1.000.000.000 100.0210 EXELA INTER LLC / DELA RN INC GM FIRST PRIORITY SR SECD NT 144A 13.000% 0716123K OM 07/2/17 CleMoody Rating 83 58 P Rating B 10/24117 2e00,000.000 97.0250 07/09/18 1,000,000.000 102.6980 Total Covered 3,000,000 000 Total 3e00.000.000 JISINVTS GM BH GTD SR NT REG S !SINS USA29866M353 7250%04103/24 NE DTD 04/01(146 8 P Rating BB• 10/31/17 2,000,000.000 99.0650 DEUTSCHE BANK AG NTS ISINS US25625AM33 I 296% 05124/28 EVE DTD 05124/13 FORBGN SECURITY ST CPN DTE 1/24113M oody Rating Ba2 $ 8 P Rating BB, 06/01/18 1,000,000.000 91.7780 DEUTSCHE BK AG N Y BRH VAR ISINS US25•626BN89 4.875% 410132 B/E DM 2/0117 CALLABLE 12/0127 06/01/18 1.000.000.000 86.8260 Adjusted Cost Baas Market Price Market Value Unrealized Oainlloss Awued Estimated Elko/tied Interest Annul Income Yield Security '<Neither: 4453BAW1 1.000.214.48 99.8750 Original Cost Basis: $1001006.00 Security Id entitle!. 30 E2RAA9 1,940,506.00 101.0000 Original Cost Basis: $1948,506.00 1,026,982.47 101.0000 Original Cost Basis:61028156.00 2.967.488.47 62.967.468.47 Security Identifier: A29866AB6 1.981.300.00 100.3600 Original Cost Basis: $1981.30000 Security Identifier 25526AM 3 917.776.00 84.7770 Original Cost Basis: 5917.776 00 Security Identifier: 256268N8 868.256.00 77.4060 Original Cost Basis: $868256.00 998.750.00 2,020,000.01 1.009.999.99 3,030,000.00 $3.030.000.00 2,007,200.00 841,170.00 774.060.00 .1.484.48 14.843.75 71,250.00 7.13% 79,494 01 75,000.00 200,000.00 9.90% .16,982.48 37,500.00 100,000.00 9.90% 62,511.53 112,500.00 300,000 00 $62,511.53 $112,500.00 $300.000.00 25,900.00 22.958.33 145,000.00 722% 40,006.00 716.00 42,960.00 6.06% -94,196.00 24239.58 48.750 00 629% Account Numbe storr reeve CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO L Page 4 of '8 Rated Excellten Clewing tivough Penave LC. a *eat owned Every Year Since 207 subsidiary of The Bank Nee. York Mellon MBAR RATIO COMMUNICATIONS Caeporattan (IINY Melba) ,..... _ UMIAK( etnnitualC.neenee Fir.RA.YR _00046490 111,11.4" DB-SDNY-0009314 EFTA_00 I 57099 EFTA01289462 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) November 1,2013 - November 30,2015 SOUTHERN FINANCIAL LLC OuleAcquited OustIty UM Cosi FIXED INCOM E (continued) Corporate Bonds (continued) ASSURANT INC FM TO RIG SUB NT 7.000% 03127/46 WE DM 03/2711 CALLARE03/27128 Q t0000Moody Paling BA1 03/29118 2,000,000800 101.9860 AAORGAN CHASE& CO DEP SHSREPSTG PATH PFD SERIFIXED TO RIG RT BD 5108% 04123/58 WEDTD 04123/081doody Rating Baa3S& P Rating B88- 06/15/11 1,10 0,000.000 107.2590 06/15/11 .."2 2,500,000.000 106.7770 Total Noncovered 3,600.000 000 Total 3,600,000.000 SOUTHERN CAUF EDISON CO PREF SER E 6250% 0117/62 EWE DID 0104 CALLABLE 0710122Q 100000M oody Rating BAA1S& P Ration BBB￾01/30/12'•a•4 3,000,000.000 99.9040 GENERAL ELEC CO GTD FXD-TO-FLTGRT NON-CUMULATIVE PERPETUAL PREFERRED 4.000% 12/03/65 PEG OTD11/03/ 1 oody Rating A3 S& P Rating BBB. 12/03/15 2,469,000.000 88.0930 Adjusted Cod Otis Market Price Security Identifier 04620K4 2,039,725.86 96.5000 Original Cost Basis: 52,040,006.00 Security 'daddies: 46625HHA1 1,179,849.24 100.3750 Original Cost Basis: 5112,50000 2,669,420.32 100.3750 Original Cost Basis: 52,675,000.00 3,849,269.56 $3,649,269.56 Seoul),Identifier: 842400 FU2 2,997,123.83 96.7500 Original Cost Basis: $2,992564.97 Security Identifier: 3696048414 2.175.016.17 66.5000 Original Cost Basis. $2.175.01.17 Myatt Value 1,930,000.00 1,104125.02 2,509,374.98 3.613,500 00 $3.513.500.00 2,902,500.00 1,641,885.00 Jai ealized Gair Loss Accrued Estimated Eiimaled Interest Annual Income Yield ,109,725.86 24,500.00 140.000.00 7 25% -75,724.22 5,502.30 63,897.68 5.78% -160,045.34 12,505.23 145,222.00 5.78% .235 769 56 18.007 53 209.11968 4235,769.56 $18 007 53 6209 119 68 84,623.83 61,979.17 187,500.00 6.45% 433,131.17 45.265.00 98.760.00 601% CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number EONFIDO. L Rated ticellent trey Yew Since 2007 DALIAR MTV, COMMUNCATI0NS LXCILIANCI Page 5 of 18 Cleanng through fleabag 11Cawboly evened sabsidiary of TM Bank el New YM Mellon CarpoestIon (MY Mao) Perfhnx 11.C.nwetan inuiteAtikelt00046491 DS-SDNY-0009315 EFTA_00 157 WO EFTA01289463 Portfolio Holdings (continued) U.S. DOLLARS (continued) Ode Acquired Ousetfty Unil Cost FIXED INCOME (continued) Corporate Bonds (continued) LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1SECS ISINB VS5394394612 7.500% 04/21/68 8/E OTD 011071%58 P Rating 84 04110114 .."2 1,903,000.000 102.3910 CITIGROUPIK FXD RT SR NT PERP DEP RECPT 5.950% 08/4/88 WE OTC 0819/5 CALLAKE08115/20 110.000Moody Rating BA2 SS P Rating 889 08/06/15 3,000,000.000 100.0000 Total Corporate Bonds 23,972,000 000 TOTAL FIXED INCOME 23,972,000 000 Dale Acquired EQUITIES Common Stocks ALIBABA GROUP HOG LTD SPONSORED AOR IS1Nt US0409W1327 Dividend Option: Cash 06/10115 AMAZON COM INC Dividend Option: Cash 03/29/18 04/02/18 Total Covered Total Oinntky Unk Cod Adjusted Cod Bads Market Price Securely Identifier: 539439AG4 1,948,500.00 94.7280 Original Cost Basis: $1948,500.00 Security Identifier:1296725 3,000,005.99 100.5000 Original Cost Basis: $3000,006.00 $23,744,676.36 $23,744,676.36 Cod Bats Market Price Market Value 1,802,673.84 Unrealized Gainless Accrued alleaded Wrested Interest Annul Income Yield •145,826.16 24,976.88 142.725.00 7 11% 3,015,000.00 14,994.01 52,082.50 178,500.00 592% $22,563,338.84 51,181,337.52 4102,048.74 $1 464,564 68 $22,563,338.84 41,181,337.52 $402,048.74 81,564,584 68 Market Value Unrealted Cale/Les Estimated Estimated Annual Income Yield 5,000.000 88.9500 500.000 1,423.8620 500.000 1.367.0210 1.000.000 1.000 000 711,930.80 683,510.38 1,395,441.18 APOU.0 GLOBAL MGM T LLCCL A SliS Dividend Option: Cash 263.67.00 of these shales are in your margin account 03/29/11 '.5 263,157.000 19.0000 81,395,441 18 Seanity Identifier: BABA CUSP: 0409W 62 444,749.00 160.8600 Security Identifier: AUDI CUSP. 023135116 1,690.1700 1,690.1700 804,300.00 845,085.00 845,085.00 1,690,170.00 359,551.00 133,154.20 161.574.62 294.72812 Security Identifier APO CUSP:03762306 4,999,983.00 28.1900 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 81,690,170.00 7,418,395.83 $294,728 82 2,418,412.83 Account tribe CONFID $00D 507,893.01 6.84% Page 6 of 18 Rated ticellent bey Yew Since 2007 OMAR IMO COMMUNICATIONS uctunta Clewing through halting IIC nob./ evened sobsidiary of The Bonk el New Vat Mellon CarporatIon OPNY MOW Pero inx 11.C. menbt. 1 tuRAAV YeLOPLOOD46492 DS-SDNY-0009316 EFTA_00157101 EFTA01289464 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity EQUITIES {continued) Common Stocks (continued) APPLE INC COM Dividend Oplion: Cash Unit Cost Cod Baas Market Ftice Market Value Air/aided Gain toss Estimated Eslimaled Annual Income Yield Security Ideating: AAPL GAR 037833130 12107117 214,000.000 169.8140 36,340,223.40 178.5800 38,216,120.09 1.875.896.69 624,880.00 163% 06/20/18 50.000.000 186.7940 9.339.697.00 178.5800 8.928.999.77 .410.697.23 146.000.00 1.63% 10/15/18 40100.000 219.0180 8,760,702.00 178.5800 7,143,200.14 -1.617,501.86 116,800.00 1.63% Total Covered 304,000 000 54.440.622.40 54,288.320 00 -152,302.40 887,680 OD Total 304.000.000 554.440.622.40 $54.288,320.00 4152.302.40 5887.680.00 BIOGEN @EC INC COM Scanty Identifier. RIB Dividend Oplion: Cash CUSIR 09052XV3 02/14/12 2,095.000 110.2720 231,019.65 333.7200 699.143.40 468,123.75 CINTENE CORP DEL COM Security Identifier CNC Dividend Oplion: Cash CUSP '545191 09108/14 15.550.000 63.6450 989.679.75 142.2500 2.211187 50 1,222,307.75 GENERAL ELECTRK CO COM Senility Identifier. GE Dividend Oplion: Cash CUSIP. 369604133 25.000.00 of these shares are in your margin account 02123/18 2.500.000 16.2210 40,551.71 7.5000 18.750.00 -21,801.71 1,200.00 6.40% 02/26118 2,500.000 16.2210 40,551.71 7.5000 18.750.00 -21,801.71 1,200.00 6.40% 03105/18 800.000 16.2260 12.980.63 7.5000 6.000.00 4,980.63 384.00 6.40% 03/07/18 5,000.000 16.2190 81,097.41 7.5000 37,500.00 -43,597.41 2.400.00 6.40% 03/12/18 2.500.000 16.2210 40.551.71 7.5000 18.750.00 -21.801.71 1.200.00 6.40% 03/16/18 11300.000 16.2190 189.759.90 7.5000 87.750 00 -102,009.90 5116.00 6.40% Total Covered 25,000.000 405.493.07 187,500.00 -217,993.07 12,000.00 Total 25,000.000 $405,493.07 3187.500.00 4217.993.07 $12,000.00 KARYOPHARI4 THERAPEUTICS INC COM Security Idenlifier. KPTI Dividend Oplion: Cash CUSIR 48576U136 07/12/18 25,000.000 18.6840 467.106.00 10.4000 260.000.00 407,106.00 November 1, 2018 - November 30, 2018 SOUTHERN RNA NCIAL LLC Page 7 of 'd Account Number: etc:Innis CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Rated ticellent trey Year Since 2007 OMAR PAITO COMMUNICATIONS EXCLUINCI Clewing through Pecan U.C. • May OWIIS istaldiary of The Mak a Mew VGA Mellon Cap:taboo (OM Mao) Pen. 'mg ertn—bn it aii..g%qua.GM-00046493 DB-SDNY-0009317 EFTA_00157102 EFTA01289465 Portfolio Holdings (continued) U.S. DOLLARS (continued) Clete Acquaint, Quantity Unit Cod Cod Buis Naar Price Market Win Unualland PIMA* Estimated Maul Income Edlmaled Yield EQUITIES (continued) Common Stocks (continued) NINTENDO LTD ADR Dividend Opl ion: Cash Security Identifier: NTDOY CUSP:654445303 02105118 10,000.000 51.7910 517,906.00 37.8700 378,700.00 -139,206.00 5,027 26 1 32% Total Common Stocks $63,892,000.05 $67,938,516.73 $4,046,518.66 $1,412,600.27 Preferred Stocks (Listed by expiration date) GM AC CAP TR I OW TR PFD SF-SKR2M. Security Identifier ALLY PRA 815% FRB) ORTLY M ATY-021612040 CALL CUSIP 36160208 ANYTIME 025 WI30 DAYS BESNSO VS/ Dividend Option: Cash 02,22112 ..11 80,000.000 23.5350 1,882,773.60 25.5000 2,040,000.00 157,226.40 157,433.76 7.71% Total Preferred Stocks $1,882,713.60 $2,040,000.00 $151,228.40 $157,433.76 TOTAL EQUITIES $65,774,773.65 $89,976,516.73 $4,203,743.98 $1,570,034.03 Celt Batts Martel Vdue Untealgen Gains Lon Accrued Interest Estimated Annual Income TOTAL U.S. DOLLARS EURO Description $96,062,617.90 Qoarety $99,085,023.46 OWEN Baca Going 8atanca Curing $3,022,405.56 $402,048.74 $3.193.699.46 Accrued Income 30 toy Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 44.80 44.80 EUR -73.36 USD 44.80 EUR -73.36 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS Denham FIXED INCOME (In Maturity Date Sequence) Corporate Bonds CASINO, GUICNARO•PERRACIION SA ISNIFRO011301180 0.000% 08106/1 REG DID 08/0312 Moody Rating Ba1S S Pitting 88 Seaway Identifier: NODS Total Corporate Bonds: 44.80 Oeenfity dirket Price Market Value Connor 0.00 0.00 Awned Interest &Sled Yield 2.500,000 000 98.9400 2,500,000.000 2,413,500.00 EUR 2,800,249.35 UM 2,473,500.00 EUR 2,600,249.35 USD CONFIDENTIAL - PURSUANT TO FED. R CRIN1 P. 6(e) Account Number: CONFIDO. 0.00 000 Rated t•rtlkan Even/ Year Since 2O07 DALBAR RATED COMMUNICATIONS DIMLING( 0.00 000 Page 8 of 18 Clewing through Peaking Lit. • a " owned sataldiary of Me Usk el New 'fed Melba CoixwatIon (IINY Mao) PerOing 11.C.mertere ONRAVVVELGM_00046494 DS-SDNY-0009318 EFTA_00157103 EFTA01289466 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) EURO (continued) DnaMom Clianfily Merkel Pelee Accrued Eslirnaled Markel Value Currency Inlets Yield FIXED INCOME(continued) TOTAL FIXED INCOME Deecriplion 2,500,000.000 Penally Merkel Price 2,473,500.00 EUR 0.00 2,800,249.35 USD 0.00 Estimated Market Value Currency Yield EQUITIES Common Stocks UBI SOFT ENTERTAINMENT 11,100.000 71.9400 805118.00 EUR ISMS FR0000054470 SAM ONTREUIL ACT 911,164.87 USD Secutity Id Wilier: UBI.FR CUSP. F9396N136 Total Common Stocks 805,728.00 EUR 912,184.67 USD TOTAL EQUITIES 805,728.00 EUR 912.164 67 USD November 1, 2018 - November 30,2018 ITI4rPld Fltdd ?drift I I I r Market Value Currency Moved lateral TOTAL EURO HONGKONG DOLLAR prrglion 094114 Oeanlity Balsa 3,279,163.20 EUR 3,712,340.66 USD amino Diana Cunrenq 0.00 0.00 Awned 30 toy Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 183,242.25 183,24225 HKD 23,415.98 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 183,242.25 183,242.25 HKD 23,415.98 USD Market Value Currency 0.00 0.00 Acaued liters TOTAL HONG KONG DOLLAR 183,242.25 HKD 0.00 23,415.98 USD 0.00 CONFIDENTIAL — PURSUANT TO FED. R CRlM P. 6(e) Account Humber st,„itint. CONFIDO. L Page 9 of 18 Rated Excellent Every Yew Since 2007 MBAR RAM COMMUtliCAT *HS LXCILIANC Claims through Penbleg EEC eulogy evened stessIdlory a The Melt a New Yoh Mellen Ceeponelan Sly Mellon) Per meet/ FINRAAR4VELGOL00046495 DEL-SDNY-0009319 EFTA_00157104 EFTA01289467 Portfolio Holdings (continued) JA PA N ESE EN Description Quantity CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance Cpening Dosing Accrued 30 -Day Balance Balance Currency IDCOMO Yield 49.00 49.00 JPY 4.43 USD 49.00 49.00 JPY 0.00 .0.43 USD 0.00 Awned Market Value Cilrtenty Muni TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS TOTAL JAPANESEYEN -49.00 JPY 0.00 -0.43 USD 0.00 Unrealized Accrued EsteeMed Cot Bade Market Value Gainless littoral Annual Income TOTAL PORTFOLIO HOLDINGS - U.S. DOLLARS 596,062,617.90 5102,820,779.67 $3,022,405.56 $402,048.74 53,193,699.46 Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-US. 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 1399-8 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. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided fo us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. 12Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. The cost basis of this security has been provided fo us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency currency Cash Fixed Income Equities Tots by Wow U.S. DOLLARS 6,543,167 22,563,336 69,976,516 99,085,023 USD EURO -64 2,473,500 605,728 3,279,163 EUR CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Accrue Number: CONFIDO' sccirtncs Raid Eityllent (very Yet Since 2007 DALIAR RATED COMMUNICATIONS LXCILLINCI Page 10 of 18 Clewing *roar Fenian ere nob*/ evened Malaita" a The ea* a New Yak Meta CarpoestIon (MY Mellon) Per 0. inx 11.C. mertat• 0NRAAVVELGM_00046496 DB-SDNY-0009320 EFTA_00157 105 EFTA01289468 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Holdings Summary by Currency (continued) November 1, 2018 - November 30, 2016 SOUTHERN FINANCIAL LLC Cadency Gleh Fixed Income Equities Told by Corrode HONG KONG DOLLAR 183,242 9 0 183,242 HKD JAPANESE YEN 49 0 0 49 JPY Total USD Equivalent 8,588,510 25,383,588 70.890,881 102.820,779 USD % of Allocation 6% 25% 69% 100% Portfolio Holdings I sci sues 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 "NI A" and are omitted from the Total. THEAS OF PRICE DATEONLY APPEARS W HEN THEPRICEDATEDOESNOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EA I) 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 ads 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 CONFIDENTIAL — PURSUANT TO FED. R CRIld, P. 6(e) Account Numberli CONFIDOs at Et L Page 11 of 18 Rated Cateilent Every Yet Since 20O7 DAUIAR RATED COMMUNICATIONS LXCILL INCE Clewing *ear Pa I1C akoleevanad sobsidlaary a The Malt a Mew *at Meta Caeporat$ an (IlalY Man) PerIhnx 11.C.mtr-tan Nn) DB-SDNY-0009321 EFTA_00157106 EFTA01289469 Portfolio Holdings Disclosures (continued) Foreign Currency Transactions (continued) corporate action transactions unless you instruct your financial organization otherwise. 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Schedule of Realized Gains and Losses Current Period Date Dale Deseripagn Disposed Acquked Designation Short Term ,PYORGAN FLOATING RA 11/28118 11129117 Covered FUND CLASS I 11128/18 1212/117 Covered Scarily Identifier 4812t51) 11128/18 01130118 Covered 11128/18 02127118 Covered 11128118 03128118 Covered 11 128118 04127118 Covered 11/28118 05/30118 Covered 11128118 06/28118 Covered 11128118 07130118 Covered 11128118 08130118 Covered 11/28/18 09127118 Covered Total Disposition Method r Transaction first In First Out! Sal First In First Out! Sat Firs! in First Out! SELL first In First Out! Sag first In First Out! Sal First In First Out! sat first In First Out! Sal First In First Outl Sal first In First Out! sat first In First Out I saL First In First Out! Sal Total Short Term CONFIDENTIAL — PURSUANT TO FED. R CR16,1. P. 6(e) Account Numbe Quatity PfediedS Coat Dads Rated We/ Lots 1,094.002 10,075.76 10,250.80 -175.04 1,129.762 10,405.11 10,597.17 •192.06 1,130.453 10,411.47 10,682.78 -271.31 1,015.304 9,350.95 9,543.86 -192.91 1,262.339 11,626.14 11,865.99 -239.85 1,096.556 10,099.28 10,307.63 408.35 1,131.468 10,420.82 10,590.54 -169.72 993.268 9,148.00 9.277.12 -129.12 958.010 8,823.27 8,976.55 -153.28 1,171.538 10,789.06 10,977.31 -187.45 1,224.283 11,275.65 11,496.02 420.37 12,206.983 112,426.31 114,565.77 -2,139.46 112,128.31 111,585.77 -2,139.16 CONFIDO. L Rated Excellent Even, Yet Since 2007 DALBAR RATED COMMUNICATIONS EXCELLENCE Page 12 of 18 Cleating liner Pagel% I1C naoly evened sessidlary of The Milk a New v.a Mellon Carpotaban My Mellon) Pent alx RC. ma•On mitAARIntem_000tsass DIE1-SDNY-0009322 EFTA_00 57107 EFTA01289470 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) November 1,2018 - November 30, 2018 SOUTHERN FINANCIAL LLC Dale Date Realized Desaiption Disposed Acquired Designation Cisposition Method 113liadian OUMNIty Proceeds Cott Basis Galry Los Long Term IN ORGAN FLOATING RA 11128118 09128117 Covered First In First Out / SELL 318,809177 2,938,238.04 3,000,000.00 43,445.13 FUND CLASS I Adjustment: -34.83 Adjuslmeut Type:W Security Identifier 4821571 11128118 10130117 Covered First In First Out / SELL 1,028.103 9,468.83 9,895.01 -226.18 11128118 10130118 Covered First In First Out l Sal 1,584.146 14,589.99 15,112.75 -522.78 Your lot has been adjusted due to a wash sale for more thee one year Total 321,422.028 2,960,298 88 3,024,807.78 44,194.07 Total Long Term 2,980,298.86 3,024,807.76 44,194.07 Total Short and Long Term 3,072,723.17 3,139,373.53 -80,333.53 Dell Dots Realized Description Disposed Acquired Designation Disposition Method) Uansadion Quantity Proceeds Cod Beds GelsiLoss As of Trades -PM ORGAN CHASES CO 10130118 08/15111 Noncovered" Versus Purchase/ REDEMPTION 1,397,004000 1,397,000.00 1,498.47087 -101,470.87 PUG TETH PFD SER1 FIXED TO Original Cost Basis: 1501775.00 FLTGRT 80 5.808%04123158 8 10/31/18 08/15111 Noncovered" Versus Purchase! REDEMPTION 3,000.000 3,000.00 3,217.90 -217.90 Security Identifier:46625HHAl Original Cost Basis:3225.00 Noncovered under the cost basis rules as defined below. 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 VW as amended by the Emergency Economic Stabilization Act of 20 0 8, and are marked as snoncovered". 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 1099-8 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. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1)99-B or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 13 of 18 Account Number: itct 6 CONFIDMIAL4 Rated Eaceilent Prey Year Since 2007 MAAR ItaTtO COMMUNICATIONS !Manta Clearing Untie. Pealing114*a* evened sabsidlary a lite Beek a Neva 'feet Menem CarpotabanatlY Mellon) Per ihnx RCmt.-Pt/ FINRAVKaelt 00046499 DE!-SDNY-0009323 EFrA_00 157108 EFTA01289471 Schedule of Realized Gains and Losses Current Period (continued) Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed. there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds. bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. Wash Sales Loss- This adjustment is the amount fora disallowed wash sale lost Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal. and this may be reported on the IRSForm 1099-B. M essages Please note the following information for Pershing's 20 18 IRS Form 1099 (B. DIV, INT. M ISC and OID): Your Form 1099 will be delivered as early as possible, beginning January 31, 20 19. 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 w ill 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, 2019 Although a money market mutual fund seeks to preserve the value of your investment at Sipes 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 6-10( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform Activity Summary r A s s , are , t3S9 (-but, c p,) Credits TNsPetiod Debks ThisPerlod Net ThisPetiod °edits Yen-to-Date Debt Year4o-Datt Net Yew-to-Date Securities Securities Bought 0.00 0.00 0.00 0.00 -48,533,305.28 -48533,305.28 Securities Sold 3.072.723.17 0.00 3.072.723.17 42.965.935.10 0.00 42.965.935.10 Total Securities $3,072,723.17 $0.00 $3,072,723.17 142,965,935.10 448,533,305.28 45,567,370.18 Dividends and Interest $303,017.25 $0.00 $303,017 25 $2,725,201.76 $0.00 $2,725,201.76 Distributions $121.052.22 $0 00 $121.052 22 14.238.988.10 $0.00 14.238.988.10 Fees $0.00 44.00 44.00 $0.00 41,178.00 41,178.00 Taxes Withheld $0.00 $0.00 $0.00 $0.00 47,000.37 47,000.37 Other $0.00 $0.00 $0.00 $0.00 477.65 477.65 Account Number_ CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Noncoms Rated ticellent bey Year Since 2007 DALUR WED COMMUNICATIONS EXCILLU4a Page '4 of '3 Clanng through Penang1SC. a woe/ owned setaldiary o17At Bank el New York Mellon Corporal:a any &Woo) PerslitteltC.inerrte Nt.Rn.$t 1I,aGM_00046500 DB-SDNY-0009324 EFTA_00157109 EFTA01289472 Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Activity Summary (continued) November 1, 2018 - November 30,2018 allIMPIP SOUTHERN FINANCIAL LLC Credits 7Ns Period Debits This Period Net Ibis Period CurditsYstr-to•Date Dans Year-to-Dete Net Yew-to-Die Cash w 'thane/oh 0.00 0.00 0.00 0.00 4,077,818.24 4,077,818.24 Deposits 0.00 0.00 0.00 8,270,842.15 0.00 8,270,842.15 Total Cash $0.00 $0.00 $0.00 58,270,842.15 44,077,818.24 $4,193,223.91 Totals $3,498,79264 44.00 $3,498,788.64 $58,200,987.11 452,619,179.54 55,581,787.57 Transactions by Type of Activity Prone* Trade Settlement Transaction Date Date Adivily Type Description Guards Price Accrued laved Heald Comm Securities Bought and Sold 11129/18 11/28118 SOLD Al ORGAN FLOATING RATE INCOM E FUND CLASS I -333.829.009 9.2100 3,072,723.17 USD ,PHSX UNSOLICITED ORDER Total Securities Bought and Sold - U.S. DOLLARS 0.00 3,072,723.17 Dividends and Interest 11115/18 CASH DIVIDEND RECEIVED 304000 SHRSAPPLEINC COM RD tY2 PO 111/1 221,920.00 USD AAPL 11118118 BOND INTEREST RECEIVE 80000 SHRSGM AC CAP TR I GT0 TR PFD SECSSER2 CPN- 41,393.60 USD ALLY PM 8125% FREO ORTLY MATY-02/5/2040 CALL ANYTIM E (125 W/30 DAYSBEGINS 02/6113 RD WM P0116/1 11126/18 FOREIGN BOND INTEREST 100000 DEUTSCHE BANKAG NTS ISINK US25625AM 33 21,480.00 USD 251525AM 3 4.296% 05124/28 WE DTD 05/24113UB RD 1/23 P0 1124/I 11/29/18 CASH DIVIDEND RECEIVED ..PHSX MORGAN FLOATING RATE INCOM E FUND CUSS I SIRS RD ri27PD1129/11 12,340.94 USD 11/30/18 MONEY MARKET FUND CASH AC TR DWSGOVT 5,882.71 USD INCOME RECEIVED PER232045 Total Dividends and Interest -U.S. DOLLARS 0.00 303,017.25 Distributions 11/30/18 PARTNERSHIP DISTRIBUTION 25367 SHRS APOLLO GLOBAL II GMT LLC CL A MS RD 1120 PD 121,052.22 USO APO 1/ 30/11 Total Distributions - U.S. DOLLARS 0.00 121,052.22 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number CONFIDOP SC0:1 Ctr4 CI Page 15 of 18 Rated Carrolient Clewing neer Persia; IIC .*Mly evamd Even Year Since 2007 ribald's." of me lank a New Yak Melee DALIAR RATED COMMUMCATIONS amporattoa any melon) LRCM Ma P 11.C.nerber revektiqViaGM-00046501 DB-SDNY-0009325 EFTA_00157110 EFTA01289473 Transactions by Type of Activity (continued) Process Dale Settlement Danced= Oate Date Adivgy Type Fees 11101118 11/01/18 Desaiptien FOREIGN CUSTODY FEE USD999997 FOREIGN CUSTODY FEE USD999997 Quantity Price Acaued Interest Amount Cumin, Fgn Safekeeping OCT 20S0/SIP. FR BLOM 4.00 USO Fgn Sit/diming OCT 20SCUSIP. F9396613.6 •2.00 USO Total Fees- U.S. DOUARS Total Value of Transactions The price and quantity displayed may have been rounded. Fixed Income Analysis Bond Quality Band Quality A 1,641,885.00 6% BAA 6,516,000.00 26% BA/ Lower 16,431,643.19 65% Not Rated 774.060.00 3% Total 25,363,588.19 100% 0 %of Bond Medd Value Market Value Percent of Fixed Income 20 40 60 80 100 0.00 -4.00 0.00 3,496.788 64 USO Bond Maturity Schedule Bond Maturity Model Wee %ol Bond Metal Value .1 to 6 months 998,750.00 4% IMI 7 to V months 2,800,249.3S 11% Mit° 5 years 3.030.000.00 12% 1. 1%1 6 to 10 years 2,854,970.00 11% IIMOver 10 years 15,679,618.84 62% Total 25,383,588.19 100% Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. 0 lent Service Information Your Investment Spedalnt ZEM MARTIN ZEMAN 345 PARK AVENUE NEW YORK NY 10154 Contact Information Telephone Number: CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account NurThill C mom ONFIDO. L Rated Excellent (Very Year Since 2007 DALRAR RATED COMMUNCATIONS (1011.LINCE Page 16 of 18 Clain/glamor Penblag I1C fl atly evened sabsidlary et The leek el New Yak Mellen Ceeporatfanaltly Melon) P rag ItCrnee-bat FtheleStR4YERGM—OOO465O2 DB-SDNY-0009326 EFTA_00I57I I I EFTA01289474 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Your Account Information November 1, 2018 - November 30, 20 18 SOUTHERN FINANCIAL LLC 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 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 Inforrnat i n 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 institutionit 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, w here 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 . 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 Ad. • Your financial organization's contact information can bet n nh fir 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 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 17 of 18 Account tiornbet . CONFIDOP Rated Unlit.? tray Year Since 2007 DALIAR RATED COMMUNICATIONS unhurt(' Claris liner Penblin LLC a *bay evened sobsidlary a The kek a New Yak Mellon Carporaban (IINY Mellon) Pert Finx 11.C. Me ontAXAVYALGM—000465O3 DB-SONY-0009327 EFTA_00157112 EFTA01289475 Important Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding:a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents. w fitness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reasons) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • 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 18 of '8 Account Num C Stun CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO. L￾Rated Galls. bay Year Since1007 DALIARIATEDCOMMUNICA11016 LXCGAINCE Clewing liner ;kali% I1C nokily owned sat ddlirg of Tbe In a Ole • Vat Mellon Corporation OtIV IMMO PgrihircalCavente FiNlitn.g4q2PM_00046504 DB-SDNY-0009328 EFTA_00157113 EFTA01289476 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIAL LLC 610 0 RED HOOK QUARTER B3 ST THOM ASVI 00 802 Otu1utank Prival• Malth Markets 0355034* 6•554 05,515chr Sam Mrs York Me 3.45 Pot Aunts. 340 flow New hr IS opera! Rent October 1.2018 - October 31.2018 Account Number: Portfolio at a Glance This Puled Year-to-Dale Your Investment Specialist BEGINNINGACCOUNT VALUE 8115,706,684.21 897,272,547.37 MARTIN ZEMAN NM Cash Deposits and Withdrawals 5,073,049.51 4,193,223.91 Adjusted Previous Account Value 120,119,133.72 101,465,711.28 Dividends. Memo and Other Income 170,662.10 2,809,025.30 Total Taxes Withheld 0.00 -7,000.31 Other Transactions 4.00 4251.65 Net Change in Portfolio' -5,025,834.28 11,658,012.98 ENDINGACOOt 8115,924,557.54 $115,924,5Wil Accrued Interest 5296.510 68 Estimated Annual Income 53,301.746 38 Asset Summary INef Change in Portfolio is the difference between the ending account value and beginning account value after activity. Puma Areal Type Far Year-814 Lad Period TlasParlod 2% Cash, Money Funds, and Bank Deposits 823,820.96 5201,512.78 3,069,660.52 a 23% Fixed Income 26,083,479.22 28,396,374.45 28,473,097.33 72% Equities 60,899,388.97 78.987,575.27 83265.684.75 Es 3% Mutual Funds 3,020,938.22 3,121,221.71 3,118,094.94 0% Exchange-Traded Products 8,444,920.00 0.00 0.00 100% Account Total (Pie Chart) $97,272,547.37 $115,706,684.21 $115,924,557.54 Please review your allocation periodically with your Investment Specialist. Rated Umtata? bra Year Since 2007 DIttRAR MIRO COMMUNICATIONS EXCRLUNCI CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) Page 1 of 18 Oett.na Vacate Pershing I.LC.a *bay evened subadtaly of The Dank of Ws Yak Meta Corporation IIINY McRae) Per5Firt4 11C. mantel IINRASPAELGM _ 00046505 DI3-SDNY-0009329 EFTA_OO157114 EFTA01289477 Summary of Gains and Losses ThisPeriod Realized Year-to-Dote Unrealized Short-Term Gain! Loss 0.00 1559,644.79 11,787,374 22 Long-Term Gain! Loss -101.688.77 2.535.775.01 4.579.622 72 Net Gain! Loss -101.688.77 4.095.419.80 16,366.996 94 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. Exchange Rate Table Global Cash Olirency Currency USD Equivalent per U93 Queriq Closing Baste Amount in Base Currency U80 EURO 1.1329 0 8826 EURO -64.80 -73 41 HONG KONG DOLLAR 0.1275 78392 HONG KONG DOLLAR 183242 25 23,375.11 JAPANESE YEN 0.0088 112.8400 JAPANESE YEN 49.00 0.43 Exchange rates are based on interbank exchange rates as of V/ 3V 2018. Exchange rates can vary. Total Global Cash Balance $23.301.27 Money Market Fund Detail Date Activity Type Desaiption Amount Sweep Money Market Fund CASH AC TR DWSGOVT & AG INSTL Current Yield 2 08% Activity Ending: 10/ 31/ 18 09129118 Opening Balance 5,142,488 31 5.142.488.31 10101118 Deposit MONEY FUND PURCHASE 35,681 25 5,178,169.56 10/02/18 Withdrawal MONEY FUND REDEM PTION 4.00 5,178,165.56 10/03/18 Deposit MONEY FUND PURCHASE 73,049.51 5.251.215.07 10104118 Deposit MONEY FUND PURCHASE 72.500.00 5.323.715.07 19/17/18 Withdrawal M ON EY FUND REDEMPTION 4.760.702.00 1.563.013.07 10126/18 Deposit MONEY FUND PURCHASE 3,000.00 1.566.013.07 10/30118 Deposit MONEY FUND PURCHASE 1,397,000.00 2,963,013.07 10131118 Deposit INCOM EREINVEST 6,141.18 2.969.154.25 10/31/18 Closing Balance $2,969,154.25 Total All Money Market Funds 82,969,154.25 Page 2 of '5 Account Numb CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO Rated ticellent trey Year Since 2007 OMAR MITO COMMUNICATIONS EXCLIAINCI Clewing through Perrin tit, a vAtoly owned ssiskliary of The Bank a New Yorlg Mellon CarporatIon (MY Mellon) ca Peri hnx 11.C.met-tx. HMV.. tWRilha9m—Ouv46 '06 DB-SDNY-0009330 EFTA_00 157 115 EFTA01289478 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Income and Expense Summary October 1,2018 - October 31,2018 SOUTHERN FINANCIAL LLC Omenl Pried Triable Non Taxable Taal* Year-la-Dale Noll Taxable Dividend Income Equities 3,000.00 0.00 568,866.93 0.00 Money Market 6,141.18 0.00 53,218.04 0.00 Other Dividends 89,020.92 0.00 892,469.97 0.00 Interest Income Bond Interest 72,500.00 0.00 791,589.41 0.00 Other Interest 0.00 0.00 116,040.16 0.00 Expenses W ithholding Taxes 0.00 0.00 -7,000.37 0.00 Fees( Foreign Securities) 0.00 0.00 .000.00 0.00 Total Dividends, Interest, Income and Expenses $170,662.10 $0.00 $2,414,284.14 $0.00 Distributions Alternative Investments 0.00 0.00 0.00 386,840.79 Other Distributions 0.00 0.00 •77.65 31,095.09 Total Distributions $0.00 $0.00 477.65 $417,935.88 Portfolio Holdings U.S. DOLLARS Maw' Opening Dalt Cluaetky Number CASH, MONEY FUNDS, AND BANK DEPOSITS Cash Balance Money Market CAM AC TR DWSGOVT 6 AGINSTL 0912911$ 2,969,154.250 N/A 10/31/18 5,142,48831 2,969,154.25 0.00 53.218.04 2.03% 2.08% Total Money Market $5,142,486.31 $2,969,154.25 $0.00 $53,218.04 TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS $5,178,169.56 $3,046,379.25 $0.00 $53,218.04 AdNity Opening Cuing Awued lame 30-Day Carat Fading Balsa edam Income Meyer Yield Yield 35,881.25 77225.00 CONFIDENTIAL — PURSUANT TO FED. R GRIM. P. 6(e) Account Hornbejl [not.? CONFID 2,c. • ALA Even Yew Sa2O07 DAL BAR RATED COMMUNKATIONS ‘ .1 EXCIt L MC( S. I s f41 t Page 3 of 18 Charing lasoor Pao Sc LLC • %Say .wood semidry of Ns look of New Yea Meta Carporation My Mellon) Per Pinx 11.C.nw-bn FoxIAOKOLGM-00046507 DEI- SDNY - 0009331 EFTA_00157116 EFTA01289479 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired Quantity Unit Cost FIXED INCOME (In Maturity Date Sequence) Corporate Bonds CITIZENS COM MUNICATIONS CO SR NT FULLY EXCHANGED FROM Q4538AX9 7.125% 03/ t/S B/E DID 03/23/07M oody Rating CAA1S8 P Rating CCC+ 10/03117 1.000.000.000 100.0270 EXELA INTER LIG/ DELA RN INC GTD FIRST PRIORITY SR SECD NT 144A 9.000% 0716/23B/E0TD 07/2/17 Cl.BMoody Rating 83 S 8 P Rating B 10/24117 2,000,000.000 971250 07/09118 1,000,000.000 102.7370 Total Covered 3,000,000 000 Total 3,000,000.000 .B.3 INYTS GM BH GTD SR NT REG S ISINS USA29866453 7250%04103/24 BIE DTD 04/03(1.15 6 P Rating BB. 10131/17 2,000,000.000 99.0650 DEUTSCHE BANK AG NTS ISMS US25625A1133 4 296% 05124/28 WE DID 05/24/13 FORBGN SECURITY 1ST CPR DTE1724/13Moody Rating Bat S 8 P Rating BB+ 06/01/18 1,000,000.000 91.7780 DEUTSCHE BK AG N Y BIM VAR INNS U625126B189 4.875% 121013281E DTD 2/0117 CALLABLE 2/0127 06/01/18 1.000.000.000 86.8260 Adjusted Cost Basis Market Rice Market Value Security Identifier: 17453BANN 1.000.273.87 100.2500 Original Cost Basis: $1001006.00 %rarity Identifier 30 E2RAA9 1,940,506.00 103.9700 Original Cost Basis:$1940,506 00 1,027,370.55 103.9700 Original Cost Basis:51028156.00 2.967.876.55 32.967.876.55 Security Identifier: A29866AB5 1.981.300.00 100.9500 Original Cost Basis: $1981.30000 Sp:Sy Identifier- 25'625AM 3 917.776.00 90.1120 Original Cost Bass: 399.776 00 Security Identifier: 25%268N8 868.25100 85.0090 Original Cost Bass: 5868,256.00 1.002.500.00 2,079.100 01 1.039.699.99 3,119,100.00 53,119.100 00 2,019,000.00 901,420.00 850.090.00 Unrealized GainIloss Awued Whaled Whaled interne Annul Income Yield 2.226.13 9.104.17 71,250.00 7.10% 138,894 01 58,888.89 200,000.00 9.61% 12,329.44 29,414.41 100,000.00 9.61% 151,223.45 88,333.33 300,000.00 3151,223.45 388,333.33 3300.000.00 37,700.00 10,875.00 145,000.00 7.18% .16,356.00 18,735.33 12,960.00 1.76% -18.166.00 20.312.50 48250.00 5 73% Account Number: CON CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FIDO. L-- Rated ticedent Every Year Since 2007 OMAR Itnitll COMMUNICATIONS EXCILLINCI Page 4 of '8 Clewing Hooter Penanng LC. a Mho,/ owned Molding of The Bank *I New York Mellon CeepotatIon Mellon) Pen. ing .C(lil ylon IthRA.W4nrillteM-00046508 DB-SDNY-0009332 EFTA_00157 117 EFTA01289480 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) October 1, 2018 - October 31, 2018 SOUTHERN FIN A NCIAL LLC Date Acquired Carnality Unit Cost FIXED INCOME (continued) Corporate Bonds (continued) ASSURANT INC FXC TO RIG SUB NT 7.000% 03/27/48 WE DID 037271E CAL ABLE03/27128Q MD 000M oody Rating BA1 03/29/18 2,000,000.000 101.9880 Adjusted Cod Basis Market Price Market Value YMORGAN CHASE 8 CO DEP SHSREPSTG v TH PFC SER 'FIXED TO FLTG RT BD 5.808% 04/23158 DIE DTD 04123/08M cod y Rating BAA3 S & P Rating BBB￾06/15/11 .,337 1,100,000.000 107.2630 06/15/11..312 2.500.000.000 1061810 Total Noncovered 3,600,000 000 Total 3,600,000.000 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 011/62 B/E DID 0111112 CALLABLE 0210122 Q DO 000Moody Rating BAA1S& P Retry BBB￾01730112 . '" 2 3.000.000.000 99.9020 GENERAL ELEC CO GTD FXD-TO-FITGRT NON-CUMULATIVE PERPETUAL PREFERRED 4.000% 12/03/65 REG OTO 4/03P6Moody Rating A3 S& P Rating BBB￾12/03/15 2.469.000.000 88.0930 Security Identifier. 04621XAK4 2.039.762.02 100.0000 Original Cost Basis: S2040,005.00 Security Identifier. 46625HHA1 1,179,898.32 100.5360 Original Cost Basis: 5112.500.00 2,669,523.70 100.5360 Original Cost Basis: 62,675,000.00 3,849,422.02 $3,849,422.02 Securely ldent Wier: 842400 FU2 2,997,055.62 103.0000 Original Cost Basis: $2.992.564.97 Security Identifier 369604BIA4 2,175,016.17 84.3750 Original Cost Basis: $2,15.01.2 2.000.000.00 1,105.896 02 2,513,39918 3,619,296.00 93,619,296.00 3,090,000.00 2,083,218.75 Jimealized Geir Lon Aimed Interest Esi rale7 Estir sled Annual Income Yield 49.762.02 13.222.22 140,000.00 7.00% -74,002.30 177.49 63.897.68 5.77% -156.123.72 403.40 145,222.00 5.77% -230,126.02 580.89 209,119.68 4230.126.02 $580.89 3209.119.68 92,944.38 46,875.00 187,500.00 6.06% -91,797.42 37,309.33 98.760 00 4 74% CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Nun CONFID Rated Gallen' bay Yew Since 2007 DALIAR PAM COMMUNICATIONS UMIAK( Page 5 of '8 Clad% Winer Foible; lit. a **at owned satosIdlity of The lank a New York Mellon Corp./melon OM Melon) Porlitint UK. inenew FihRA. fl•l&h3.440— 00046509 DB-SDNY-0009333 EFTA_00 I57 I EFTA01289481 Portfolio Holdings (continued) U.S. DOLLARS (continued) Oats Mond Ountay Una Cost FIXED INCOM E (continued) Corporate Bonds (continued) LLOYDS BANKING GROUP PLC MID RATE RESET ADDL TIER 1SECS ISMS US539439AGI2 7.500% 04/27/86 B/E OTD 04107/MS& P Rating BR￾04/10/14 ' •aV 1,903,000.000 102.3910 CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 0816188 8/E DTD 087416 CALLABLEOIUS/20 Q 130.000M oody 'Wien BA2S8 P Rating 889 08/06/15 3,000,000.000 100.0000 Total Corporate Bonds 23,972,000.000 TOTAL FIXED INCOME 23,972,000.000 Delo Acquked EQUITIES Common Stocks ALIBABA GROUP HLDG LTD SPONSORED ADR ISINt US05090/1327 Dividend Option: Cash Adittsted Codes* Menet Price Security Identifier: 539439AG4 1,948,500.00 100.8750 Original Cost Basis: 51948,50000 Security Identifier: 1296725 3,000,005.99 101.6250 Original Cost Basis: $3000 ,006.00 $23,745,244.24 Market Value 1119 651 25 3,048,750 00 $23,653,026.00 Ouentay Unit Cost $23,745,244.24 Cod Buis Mend Price $23,653,026.00 Market Value 06/10/15 5,000.000 88.9500 AMAZON COM INC Dividend Option: Cash 03129118 500.000 1,423.8620 04/02/18 500.000 1,367.0210 Total Covered 1.000.000 Total 1.000 000 APOU.0 GLOBAL MGM T LLCCL A SHS Dividend Option: Cash 26367.00 of these shares are r your margin account 03/29/11 '•° 263,157.000 19.0000 711,930.80 683,510 38 1,395,441 18 $1,395,441 18 Seanity Identifier MBA CUSP: OtO9W 132 444,749.00 142.2800 Security Identifier: AUDI CUSP. 023135116 1,598.0100 1,598.0100 Security Identifier: APO CUSIP. 03762306 4,999,983.00 29.4200 711 400 00 799 005.00 799.005 00 1.598.010 00 51,598.010 00 7.742.078.94 Unrealized Gain Loss Matted ellmated Bdkaaled Interest Annual Income Yield -28.848.75 13.479 58 142.72510 7 43% 48,744.01 37,683.33 178,500.00 5.85% 492,218.24 $296,510.68 $1,564,564.68 492,218.24 $296,510.68 51,564,564 68 Unglazed Estimated Estimated OWL= Annual Income Yield 266,651.00 87,074.20 115,494.62 202,568.82 $202,568.82 2,742,095.94 CONFIDENTIAL - PURSUANT TO FED. R CRI6A P. 6(e) Account Number: CONFIDO. St Ifa3M320 L Rated Einilent (ten Year Since 2007 DALIAR RATIO COMMUNICATIONS LXCILLINCI $0 00 489.47212 6.32% Page 6 of 18 Cleating through Penhvg LC. a vAtoly owned sotaidiary of The Bank e New Von Mellon CarporatIon(IINY Melba) Per • hnx 11.C. nwribt• f thRA.WiNfielt 00046510 DI3-SDNY-0009334 EFrA_00157119 EFTA01289482 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity EQUITIES {continued) Common Stocks (continued) APPLE INC COM Dividend Oplion: Cash Unit Cost Cost Bais Model Price Market Value Unrealized Garlic's Eslimaled Eslirraled Annual Income Yield Security 'dandier: AAPL CUSP:037833130 12/07117 214,000.000 169.8140 36,340,223.40 218.8600 46,836,040.11 10,495,816.71 624,880.00 1.33% 06/20/18 50.000.000 186.7940 9.339.697.00 218.8600 10.942.999.12 1.603.302.72 146.000.00 1.33% 10/15/18 40,000.000 219.0180 8,760,702.00 218.8600 8.754400.17 4,301.83 116,800.00 1.33% Total Covered 304,000 000 54.440.622.40 66,533.440 00 12,092,817.60 887,680.0D Total 304,000.000 554.444622.40 $66.533,440.00 $12,092.817.60 5887.680.00 BIOGEN MEC INC COM Security Identifier. MIES Dividend Oplion: Cash CUSP 09052X133 02/14/12 2,095.000 110.2720 231,019.65 304.2700 637.445.65 406,426.00 CD4TENE CORP DEL COM Security Identifier: CNC Dividend Oplion: Cash CUSP: tI5B91 09108114 15.550.000 63.6450 989.679.75 130.3200 2.026.476.00 1.036.796.25 GENERAL B.ECEIRC CO COM Senility Identifier. GE Dividend Oplion: Cash CUSIP. 3696041)3 25.000.00 of these shams are le your margin account 02123118 2.500.000 16.2210 40,551.71 10.1000 25 250.00 -15,301.71 1,200.00 4.75% 02/26/18 2,500.000 16.2210 40,551.71 10.1000 25,250.00 -15,301.71 1,200.00 4.75% 03105118 800.000 16.2260 12.980.63 10.1000 8.080.00 -4.900.63 384.00 4.75% 03/07/18 5.000.000 16.2190 81,097.41 10.1000 50.500.00 -30,597.41 2.400.00 4.75% 03/12/18 2.500.000 16.2210 40.551.71 10.1000 25.250.00 -15.301.71 1.200.00 4.75% 03/16/18 11.700.000 16.2190 189.759.90 10.1000 118.17000 -71.589.90 4616.00 4.75% Total Covered 25,000.000 405.493.07 252,500.00 -152,993.07 12,000.00 Total 25.000.000 S405.493.07 $252.500.00 4152.993.07 $12,000.00 KARYOPHARM THERAPEUTICS INC COM Seaway Idenlifier. KPTI Dividend Oplion: Cash CUSP. 46576U16 07/12/18 25,000.000 18.6840 467,106.00 10.5400 263,500.00 403,606.00 October 1,2018 - October 31,2018 SOUTHERN FINANCIAL LLC CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Hornbill= US% . CONFIDO. L Page 7 of '3 Rated Galt, Clearing through Penang1SC a **at owned Levy Yew Since 2007 setaldlary of The Bonk a Sr. York Mellon DAtIARIIATEDCOMMUNICATIONS Corporation (IINY Wilco) LXCILLINCE Persliett t LC. antater Nr.aAf7PL.:1K13.6M-00046511 DB-SDNY-0009335 EFTA_00157 120 EFTA01289483 Portfolio Holdings (continued) U.S. DOLLARS (continued) Pie Acquired Quantity (M Coq Celt Boris Market Prim Mehl Veins Unrested Gilt/Lea Edkeeted EstkeMed Anent Income Yield EQUITIES (continued) Common Stooks (continued) NINTENDO LTD ADR Dividend Opl ion. Cash Security Identifier: NTDOY CUSP:654445303 02105118 10,000.000 51.7910 517,906.00 39.1300 391,300.00 -126606.00 5.027.26 128% Total Common Stooks $63,892,000.05 $80,158,150.59 $16,264,150.54 $1,394,179.28 Preferred Stocks (Listed by expiration date) GMAC CAP TR 16T0 TR PFD SECS KR2 Security Identifier ALLY PRA 815% FRB) DRILY MATT-02/15/2040 CALL CUSIP 36160208 ANYTIM E025 WI30 DAYS BEONS02/6/ /3 Dividend Option: Cash 02122112 " 1 80,000.000 23.5350 1,882,713.60 262800 2,100,800.00 218,026.40 157,43316 7.49% Total Preferred Stocks $1,882,773.60 $2,100,800.00 $218,028.40 $157,433.78 TOTAL EQUITIES $65,774,773.65 $82,256,950.59 $16,482,176.94 $1,551,613.04 Unleaded Erlireeled Whaled Dote Acquired Ninth, P.M Cost Cost Beres Market Price Market Value Oeinfloss MaudIncome Yield M UTUAL FUNDS JP1AORGAN FLOATING RATE INCOME FUND CLASS I Open End Fund Dividend Opl ion: Reinvest; Capital Gaits Option: Reinvest Security ;deinAar: JF11SX CUSP 4812t51) 09/28/17 318,809.777 9.4100 3,000,000.00 9.3400 2.977.883.30 42,318/0 128,471.133 424% Reinvestments to Date 14,819.232 9.3840 139,056.70 9.3400 138,411.64 145.06 5,878.79 424% Total Covered 333,629.009 3,139,056.70 3,116,094.94 .22,961.76 132,350.62 Total 333.629.009 53.139.056.70 93.116.094 94 122 961 76 $132 350.62 TOTAL MUTUAL FUNDS $3.139.056.70 $3.116.094 94 122.961 76 $132.350 62 Uneatra Mailed Ediriatetl Cost tress Martel Value Gain Lose lateral Annul Income TOTAL U.S. DOLLARS $95,705,453.84 $112,072,450.78 616,366,996.94 $296,510.68 $3,301,746.38 EURO 0 Closing Atoned 30-Da Dualpam Donnas Bina Balance Currency Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 14.80 .64 80 SUS .73 41 USD CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account NUI7111= C ?Me ONFIDO. L Rated Eaceilent trey Yes, Since 2007 DALIAR RATIO COMMUNKATIONS EXCILLINCE Page 8 of 18 Clearing *roar Penh% IIC eulogy evened sobtidiaceof The Bask SW. Yoh Mallon Carpotatlea (eta Mao) Per Finx 11.C. mentn. Fthite.filAVVELGM-00046512 DS-SONY-0009336 EFTA_00157121 EFTA01289484 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) EURO (continued) Dewylion Ovandly Opening Ban Closing Ban Clones Awned Imes 30.0ey Yield CASH, MONEY FUNDS, AND BANK DEPOSITS (continued) TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS Onaiplion Quantity 44.80 Mediae Price 44.80 EUR .73.41 USD Minket Value Currency 0.00 0.00 Moved literal Babied Yield FIXED INCOME (In Maturity Date Sequence) Corporate Bonds CASINO, GUICHARD•PERRACJION SA ISMS FR001501180 0.000% 0810619 REG DTD 08/0314 Moody Rating Ba16 8 P Rating 88 Security Identifier: F14 t3LCN4 2,500,000.000 99.5700 2,489,250.00 EUR 2,820,011.33 USD 0.00 0.00 Total Corporate Bonds: 2,500,000.000 2,489,250.00 EUR 2,820,071.33 USD 0.00 0.00 TOTAL FIXED INCOME OesaMtion 2,500,000.000 Quantity Markel Pike 2,480,250.00 EUR 2,620,071.33 USD Maket Value Ceram 0.00 0.00 Estimated `Odd EQUITIES Common Stocks UBI SOFT ENTERTAINMENT ISHII FR0000054470 SA MONTREUIL ACT Seaway ItlealifiecUBI:FR CUSP. F9396N136 11,200.000 79.5000 890,400.00 EUR 1,008,734.16 USD Total Common Stocks 690,400.00 EUR 1,008,734.16 USD TOTAL EQUITIES 890,400.00 EUR 1,006,734 16 USD October 1,2018 - October 31, 2018 SOUTHERN FINANCIAL LLC Market Value Currency Accrued Interest TOTAL EURO 3,379,585.20 SIR 0.00 3,828,732.08 USD 0.00 CONFIDENTIAL - PURSUANT TO FED. R. CRI6,1 P. 6(e) Account Numb 2:tvtan=o CONFID AL￾Page 9 of 18 Rated Excellent Clewing through PeellskylIC nialy evniad Every Year Since 2007 sabilttlary el The Bank a New Yak Mete OMAR ItaTED COMMUNICATIONS CarpotatIon (MY Man) EXCILLENCE PerIhnx 11.C.nw-tan riukAalYercelt00046513 DS-SDNY-0009337 EFrA_00157122 EFTA01289485 Portfolio Holdings (continued) HONG KONG DOLLAR Opening Cluing Accrued 30-Dry Natation Dantey Balance Balance Canna Inane Yleid CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 183,242.25 183,24225 HKD 23,375.11 USD 183,242.25 183,242.25 HKD 23,375.11 USD Market Value Canna 0.00 0.00 Accrued lateral TOTAL HONG KONG DOLLAR JA PA N ESE EN Description Quantity OFen911 Belem 183,242.25 HKD 23,375.11 USD Caine Nana Carina 0.00 0.00 Accrued 30.Ory Incase Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 49.00 49.00 JPY -0.43 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 49.00 49.00 JPY .0.43 USD Merkel Value Currency 0.00 0.00 Accrued Steal TOTAL JAPA NESE YEN 49.00 JPY 0.00 -0.43 USD 0.00 Untested Accrued Blasted Cost Bads Market Yaw Gainitass Intern Annual Income TOTAL PORTFOUO HOLDINGS - U.S. DOLLARS 895,705,453.84 8115,924,557.54 818,366,996.94 8296,510.88 53.301.748.38 Noncovered under the cost basis rules as defined below. 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 nnoncovered". 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 /399-11 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. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of lixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed . there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 10 of 18 Account Plumb 3trc-ES`• CONFID Rated hortlent Clewing thieve. Pashtos 11C. auk,/ evened (my Year Since 2007 istaldlary a The in a Nee Yak Mellon DALBAR RATIO COMMUNICATIONS Carpontlan (MY WNW EXCILLINCI Perihng 11.C. meet/ FltuRAAM4Yaelt 00046514 DS-SDNY-0009338 EFTA_00157123 EFTA01289486 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) October t 2018 - October 31, 2018 SOUTHERN FINANCIAL LLC circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 12Pershing has received updated cost basisinformation, therefore cost basis provided on previous dient brokerage statements may differ from the new cost bass reported in this section. n The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. dings SJrnmary by Cu re lc, CtIffillef Gash Rted Won Equites Mutual Funds Told by Currenq U.S. DOLLARS 3,048,379 23,853,028 82,256,950 3,116,094 112,072,450 USD EURO 64 2,489,250 890,400 0 3,379,585 EUR HONG KONG DOLLAR 183,242 0 0 0 183,242 HKD JAPANESE YEN 49 9 0 0 -49 JPY Total USD Equivalent 3,089,880 28,413,097 83,285,884 3,116,094 115,924,557 USD % of Allocation 2% 23% 72% 3% 100% 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 "NI A" and are omitted from the Total. THEM OF PINCE DATEONLY APPEARSWHEN THE PRIDEOATEDOESNOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EA I) 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, Sank Deposit interest income, or dividends for other securities shown on your statement may CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 11 of 18 Account Number: loss CONFIDO. L Rated ticellent tray Yew Since 2007 PALIARMITO COMMUNCAT IONS exempla Clewing Omagh pealskylIC a vibe/ owned sabildlay a The kek a New Yoh Meta Carpontban (MY Mellon) PerOing 11.C.nw-tan FINRAVVVELGM-00046515 DS-SDNY-0009339 EFrA_00 57 24 EFTA01289487 Portfolio Holdings Disclosures ( continued) Reinvestment (continued) 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. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's Is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities: and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number CONFIDO. L Page 12 of 18 Rated hotlient Clewing through Parable{ IIC nth* evened (very Year Since 2007 n&&ecy a The leek a New Yak Mete DALBAR RATIO COMMUNICATIONS corporactoncom Amnon) LXCu MCC Per ihnx 11.C.nitentan otatAAR4VELGM—00046516 DIEi-SDNY-0009340 EFTA_00 57 25 EFTA01289488 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period October 1,2018 - October 31, 2018 SOUTHERN FINANCIAL LLC Dale Date Realized Description Dimond Acquired Designation Disposition Method) Transadion Quantity Proceeds Cod Nis Galata; Long Term PIORGAN CHASE 8 CO 10130118 06115/11 Nonovelefl Ant In Ant Out! RED Ell PTION 1,397,000.000 1,397,000.00 1,498,470.87 -101,470.87 PSTG TIM PFD SER1RXE0 TO Original Cost Basis:1501,775.00 FLTG RT BIT 5108%04123/51B 10131118 08/15111 Noncoveief ' First In First Out! RED BI PTION 3,000.000 3,000.00 3,217.90 -217.90 &corky Identifier: 4 /525litIA1 Original Cost Basis:3225.00 Total 1,400,000.000 1,400,000.00 1,501188.77 -101,888.77 Total Long Term 1,400,000.00 1,501,688.77 -101,68817 Total Short and Long Term 1,400,000.00 1,501,888.77 -101,888.77 Noncovered under the cost basis rules as defined below. 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 20 0 8, 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 10998, the cost basis will not be reported to the IRS. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-B or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 14 24. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDO. L Rated [stollen? trey Yeor Since 2007 PALIAR MUD COMMUNICATIONS EXCILIANCI Page 13 of 18 Cleanng through Penblin IIC auk*, evened sobsidiary a The Mak a New Yak Mellon CarporatIon(ONY Mellon) Per I Finx 11.C. mtrtat• rimitAAMYTLGM-00046517 DB-SDNY-0009341 EFrA_00157126 EFTA01289489 Schedule f Realized Gains and L sses Current Pen (continued) ' The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out ( FIFO). Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRSForm 1099-B. 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 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, 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. Activity Summary (All amounts shown are in base currency) Credits ThisPetiod Debits ThisPerlod Net ThisPetiod GeditsYeato-Date DebileYeareo-Date Net Yea-to-Dole Securities Securities Bought 0.00 1,775,497.92 1,775,497.92 0.00 48,533,305.28 48,533,305.28 Securities Sold 0.00 0.00 0.00 39,893,211.93 0.00 39,893,211.93 Total Securities $0.00 48,775,497.92 48,775,497.92 $39,893,211.93 448,533,305.28 48,640,093.35 Dividends and Interest $170,662.10 $0.00 $170,662.10 $2,422,184.51 $0.00 $2,422,184.51 Distributions $1.400,000.00 $0.00 $1,400,000.00 $4,117,935.88 $0.00 $4,117,935.88 Fees $0.00 44.00 44.00 $0.00 41,174.00 41,174.00 Taxes Withheld $0.00 $0.00 10.00 $0.00 37,000.37 37,000.37 Other $0.00 $0.00 $0.00 $0.00 477.65 477.65 Cash Withdrawals 0.00 0.00 0.00 0.00 .4177118.24 4,077,618.24 Deposits 5,073,049.51 0.00 5,073,049.51 8,270,842.15 0.00 8,270,842.15 Total Cash $5,073,049.51 $0.00 $5,073,049.51 $1270142.15 -$4.077,618.24 $4,193,223.91 Totals $6,643,711.61 48,775,501.92 12,131,790.31 $54,704,174.47 452,619,175.54 $2,084,998.93 Page 14 of 18 CONFIDENTIAL — PURSUANT TO FED. R CRAI. P. 6(e) Account Nornbe It 0120 CONFIDO. Rated Catrilent (very Year Since 2007 DALIAR RATIO COMMUNICATIONS LXCILL INCE Clewing Omagh Pagan IIC awl*, evened Maids, a The In a Near Yak Meta Carponefon Oltly Mellon) Peri Ping U.C.nterber thisIA.614 Vler& 00046518 DEMSDNY-0009342 EFTA_00157127 EFTA01289490 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity October 1,2018 - October 31,2018 SOUTHERN FINANCIAL= Process: Trade; Settlemeni Transadlon Date Dale Ad idly Type Description Otiantily Price Accrued Interest Amount Conenq Securities Bought and Sold 10105/18 SECURITY CALLED OTY t397.000 .PLIORGAN CHASE CO DEP SHS REPSTG 0.00 USD 46625HHA1 19TH PR) SER 1FIXED TO FUG RT 8D 5.828%04123158 B/E CTD 04123108 CLB CALLED BY LOTTERY 10117/18 10115/18 PURCHASED APPLE INC COM UNSOLICITED ORDER AVERAGE UNIT PRICE 10.000.000 2181774 4,760,702 00 USD AAPL TRANSACTION YOUR BROKER ACTED ASAGENT 10130/18 REINVESTCASH INCOME .PMORGAN FLOATING RATE INCOM E FUND CLASS I 1,584 146 -11,795.92 USD PHSX 332044.8630 SHRSSHRS PORCH. AT 59.34000 RD 10/26 PD 913019 10/31/18 SECURITY CALLED OTY 3,000 PMORGAN CHASES CO DEP SHS REPSTG 11TH 0.00 USD 46625H HA1 PFD SER 1FIXED TO FLTG RT 80 5.808% 04/23/58 B/E DTD 04/23)08 CLB CALLED BY LOTTERY Total Securities Bought and Sold - U.S. DOLLARS 0.00 4,775,197.92 Dividends and Interest 10/03/18 FOREIGN BOND INTEREST 2000000 .BSINVISGMBH GTD SR NT REG S 72.500 00 USO A29866ABS ISINt USA29856A853 7250% 04/03/24 BIE DID 04103/ II CLB RD1)102PD 13/03/1 10/25/18 CASH DIVIDEND RECEIVED 25000 SHRS GENERAL ELECTRIC CO COM RD 09/1PD 9/25/9 3.000.00 USD GE 10130/18 CASH DIVIDEND RECEIVED .PMORGAN FLOATING RATE INCOM E FUND CUSS I 14,795.92 USD PHSX 332044 8630 SHRS RD 9/26 PD 9/30/9 10131/18 MONEY MARKET FUND CASH AC TR DWSGOVT 6.141 18 USD INCOME RECEIVED PER232045 10/31/18 CASH DIVIDEND RECEIVED 5000000 RIORDAN CHASES CO DEP SHS REPSTG 79TH PFD 74,225.00 USD 46625H HAI OilFIXED TO FLTG RT BD 5.808% 01/23158 BIE DTD 04123/08 CLB RD 13/29 PD 9/30/9 Total Dividends and Interest - U.S. DOLLARS 0.00 170,662.10 Pape '5 of '5 Account tnnber lIM CO . CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFIDO. bled ['mental trey Year Since 2007 DAI.BAR Mit° COMMUNICATIONS EXCULINCI Clewing through Pelee LC • %Whey owned "Amigo" of The Bank col Mew York Mellon CorpontIon OM Wilco) nn . n PerchnglIC.mer-bn Ithtto..RVVIhiwm-0,-"A651c DB-SDNY-0009343 EFTA_00 157 1 25 EFTA01289491 Transactions by Type of Activity (continued) Process Trade. Settlement Transaction Date Date Activity Type Desaiption Cleantdy Price Acaued interest Amount Cannot Distributions 10130/18 SECURITY REDEEMED -PM ORGAN CHASE 8 CO DEP SHS REPSTG /9TH PED SER I 4,397,000.000 1,397,000.00 USD 46625HHA1 FIXED TO FLTGRT BO 5.808%04123158 DTD 04/23/08 CLB CALLED BY LOTTERY 10131/18 SECURITY REDEEMED PM ORGAN CHME 8 CO DEP SKS REPSTG /ID TH PFD SERI -3,000.000 3,000.00 USD 46625HHA1 FIXED TO FLTGRT BD 5.808%04123/58 WE DTD 04/23108 CLB CALLED BY LOTTERY Total Distributions - U.S. DOLLARS 0.00 1,400,000.00 Fees 10101/18 FOREIGN CUSTODY FEE Fgn Safekeeping SEP 201 CUP F14134.-01-4 •2.00 USD F14131.014 10/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping SEP 201 CUSIP. F9396 N.1.6 •200 USD UWE Total Fees - U.S. DOLLARS 0.00 4.00 Cash Withdrawals and Deposits 10102/18 CUSTOM ER AUTHORIZED TRANS FRM N46-02611 73,049.51 USD TRANSFER 1150999997 1011 8/ I 8 FEDERAL FUNDS RECEIVE) WELLS FARGO BANK NA 08446 5,000,000.00 USD USD999997 Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 5,073,049.51 Total Value of Transactions 0.00 4,131,790.31 USD The price and quantity displayed may have been rounded. Page 16 of 18 CONFIDENTIAL — PURSUANT TO FED. R CRIIVI. P. 6(e) Account Hata CONFIDO. L Rated Czottlent Every Yet Since 2007 DALBAR RATED COMMUNICATIONS LXCLLIINCC Clewing Omagh Pagan LLC. a *lay evened sobildlary a The Malta New Yak Meta Carpont$ an (IINY Mellon) Pen hnx met, thisIAAR4 VELGM-00046520 DEl-SDNY-0009344 EFTA_00 I 57 29 EFTA01289492 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Fixed I ncome A nalys s October 1,2018 - October 31,2018 SOUTHERN FlNA NCIALUL Bond Quality Bond Maturity Schedule Bond Quality WNW Wu* %of Bond Market value Percent or fixed income Bood Maturity Market Vale %of Bond Mettet Value A 2,083,218.75 8% fa Mit° 6 months 1,002,500.00 4% BAA 6,109,296.00 25% la 7 to 12 months 2,820,071.33 11% BA/ Lower 18,830,492.58 84% .1to 5 years 3,119,100.00 12% Not Rated 850,090.00 3% F16 to 10 years 2,920,420.00 11% Ell Over 10 years 16,611,006.00 62% Total 26,473,097.33 100% 0 20 40 80 80 10 Total 26,473,097.33 100% Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Client Service Information You; Investment Specialist ZEM MARTIN ZEMAN 345 PARK AVENUE NEW YORK NY 10154 Your Account Information Contact Information Telephone Number: 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 communications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Investment Specialist for more information. CONFIDENTIAL — PURSUANT TO FED. R CRlIcl. P. 6(e) Page 17 of 18 Account Hurnbe CONFIDO. L Rated hotRent Crecy Year Since 2007 OM AR WM COMMUNICATIONS EXCILLINCE Clewing through Pashtos LLC. a urlay evened sttaldlary a Tee Mak a New Yak Mello, caaaauonceaY Mellon) Periling ItC.mentt• FINRAN44 YIELGOA-00046521 DB-SDNY-OOO9345 EFrA_00 I 57 I 30 EFTA01289493 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 t hem. 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, w here 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 . 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 LLC, Legal Department, One Pershing Raza, 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 with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Raze, Jersey City, New Jersey 07399; CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Numbs, CONFIDO' 2:1C% Rated hottlent (my Year Since 2007 DALBAR RATIO COMMUNICATIONS (JIMA INCE Page 18 of 18 Cleanng through Penlivg 11Cniapronwil sobsidiary of The Melt a New Vat Mellon CaoporatIon (MY Mellon) Per Ihnx 11.C. mnWon FttatAV VVELGM-00046522 DB-SDNY-0009346 EFTA_00157131 EFTA01289494 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIAL LLC 6 10 0 RED HOOK QUARTER B3 ST THOMASVI 00802 OtiAtUth• YM •11,..li• Marlh hasmeitentirt Mantis Central< &ow: OWNIC he Lt.* 33.33.033 03. 10vd York Cm.. 30 Put AMPrVP. 360 110i New TO stye tirec3 September 1,2018 - September 30,2018 Account Number: Portfolio at a Glance Ten Period Yew-to-Date Your Investment Specialist. BEGINNINGACCOUNT VALUE $116,078,917.03 $97,272,547.37 MARTIN ZEM AN Net Cash Cepa:06ml Withdrawals 141,000.00 ,979,825.60 (212) 250-0432 Adjusted Previous Account Value 116,219,917.03 96,392,721.77 Dividends. Interest and Other Income 161,270.19 2,638,38320 Total Taxes Withheld 0.00 -7,000.37 Other Transactions -2.00 -1,247.65 Net Change in Portfolio' .674,501.01 16,683,847.26 Accrued Merest $302,299.28 Estimated Annual Income $3,255,758.66 Asset Summary 'Net Change in Portfolio is the difference between the ending account video and beginning account value after activity. • a • Panel 4% 25% 88% 3% 0% 100% Mkt Type Paler Tear-End Ltd Period %Sniffled Cash. Money Funds, and Bank Deposits 823,820.98 8,945,545.89 5,201,512.78 Fixed Income 26,083,479.22 25,420,588.34 28,396,374.45 Equities 80,899,388.97 79,737,833.97 78,987,575 27 Mutual Funds 3,020,938.22 3,099,788.83 3,121,221.71 Exchange-Traded Products 6,444,920.00 875,160.00 0.00 Account Total (Pie Chart) $97,272,547.37 $116,078.917.03 $115,706,684.21 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 615 NFID gi "FA L Pagel of 19 Rated (miler.? Every Year Since 2007 DALIAR RATIO COMMUtisCATIONS VICILLINCI Clewing through Min LLC sub./yew" sabsidiary of The belt a Nero Yak Melee CaperatIon ('NY Mellon) P F nxil.C.nwter ossx.g4q2PM_00046523 DB-SDNY-0009347 EFTA_00 157 132 EFTA01289495 Summary of Gains and Losses %isPeriod Roane Yeat-lo-Date Unrealized Short-Term Gain! Loss 405,477.85 1,559,644.79 14596,427 63 Long-Term Gain/ Loss 0.00 2,637,463.78 6.121.153 53 Net Gain! Loss -705,177.85 1.197.108.57 21.017.881 16 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 7042 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. Exchange Rate Table Global Cash Oaring Wentz USD EquivaleM per USD Currency Closing Bain Amount in Base Currency USD EURO 1.1614 08610 EURO -64.80 -75 26 HONG KONG DOLLAR 0.1278 7.8245 HONG KONG DOLLAR 183242 25 23.418.91 JAPANESE YEN 0.0088 113.5700 APANESE YEN 49.90 1.43 Exchange rates are based on interbank exchange rates as of 09! 28! 2018. Exchange rates can vary. Total Global Cash Balance $23,313.22 Money Market Fund Detail Dale Activity Type Sweep Money Market Fund CASH AC TR DWSGOVT es AG INSTL Current Yield 1 8 7% Activity Ending: 0 91 281 18 Descripism Amount Uwe 09/01/18 Opening Balance 6,809,117.50 6,809.117 50 09/04/18 Deposit MONEY FUND PURCHASE 113,157.57 6.922275.01 09/05/18 Withdrawal MONEY FUND REDEM PTION -2.00 6,922,273.01 09/14/18 Withdrawal MONEY FUND REDEMPTION -2,915,395.66 4.006.877.35 09/18/18 Deposit MONEY FUND PURCHASE 35,625.00 4.042.502.35 09/25/18 Deposit MONEY FUND PURCHASE 880.518.04 1.923.020.39 09/26118 Deposit MONEY FUND PURCHASE 72,500.00 4.995.520 39 09/27/18 Deposit MONEY FUND PURCHASE 68,500.00 5.064.020.39 09/28118 Deposit MONEY FUND PURCHASE 70,000.00 5,134,020.39 09/28/18 Deposit INCOM ERBNVEST 8,467.92 5.112.488.31 09/28/18 Closing Balance $5,142,188.31 Total All Money Market Funds 95,142,488.31 Page 2 of Account Numb scomicsmots CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Paled Excellent Clewing through Penh", LLC, obey owned Every Year Since 2007 stosidiary of TM Usk el Mew Yo.t Mellon DAIARMITO COMMUNICATIONS Como-Ulm (MY Wilco) CM:WINCE Pelting 11.C. meet/ IthRA.VVKI39M-00346524 DB-SDNY-0009348 EFTA_00157B3 EFTA01289496 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Income and Expense Summary September 1,2018 - September 30,2018 SOUTHERN FlNA NCIALLLC Current Period Taxable Non Tenth Taxable Yem4a-Dale Non Taxable Dividend Income Equities 0.00 0.00 565,866.93 0.00 Money Market 8,467.92 0.00 47,076.86 0.00 Other Dividends 47,177.27 0.00 803,449.05 0.00 Interest Income Bond Interest 105,625.00 0.00 719,089.41 0.00 Other interest 0.00 0.00 116,040.16 0.00 Expenses W ithholding Taxes 0.00 0.00 -7,000.37 0.00 Fees( Foreign Securities) 0.00 0.00 100.00 0.00 Total Dividends, Interest, Income and Expenses $161,270.19 $0.00 $2,243,622.04 $0.00 Distributions Alternative Investments 0.00 0.00 0.00 386,840/9 Other Distributions 0.00 0.00 17.85 31 095.09 Total Distributions $0.00 $0.00 477.65 $417,935.88 Portfolio Holdings U.S. DOLLARS Opening Date CASH, MONEY FUNDS, AND BANK DEPOSITS Cash Balance Margin Balance Money Market CASH AC TR CWS GOVT S AG INSTt 09101118 5,142,488.310 NIA 09128/18 6,809,11710 5,142,488.31 Total Money Market $6,809,117.50 $5,142,488.31 TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS Account Activity OWNS Going Accrued Income 30-Day Current °milky Number Fading Baca Ulna Income ibis Year Yield Yield 0.00 35,681.25 113,157.51 0.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 0.00 47,076.88 1.87% 1.87% $0.00 $47,076.86 $6,922,275.01 $5,176,169.56 $0.00 $47,076.86 Account Hunt CONFID Page 3 of 19 Rated (miler.? Clewing *rough habil; LC. a al*, evened Every Year Since 20O7 sabildiary of The Wok el We Vat Meta DALIAR RATED COMMUNICATIONS CancratIon(INY Melba) ("CM INCE Perchnx 11.C.rmr-tan FtlatAAVYLElekt-00046525 DB-SDNY-0009349 EFTA_00157134 EFTA01289497 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Ouantity Unit Cost FIXED INCOME (In Maturity Date Sequence) Corporate Bonds CITIZENSCOM M UNICATIONS CO SR NT FULLY EXCHANGED FROM 174538AX9 7./25% 03/t/S13/E DID 03/23/07M oody Rating CAMS* P Rating MC+ 10/03/17 1.000.000.000 100.0330 EXELA INTER RC/ EXELA RN INC GTO FIRST PRIORITY SR SECD NT 144A 13.000% 0716/23 8/E DTD 07/2/17 CliMoody Rating 83 58 P Rating B 10/24117 2,000,000.000 97.0250 07/09/18 1,000,000.000 102.7760 Total Covered 3,000,000 000 Total 3.000.000.000 ..B.SINUTS GM BH GTD SR NT REG S !SINS USA29866AB53 7.250%04/03124 B1E DID 04/030166 P Refill Fl• 10131117 2,000,000.000 99.0650 DEUTSCHE BANK AG NTS ISMS US25625AIA 33 4296% 05124/28 B/E DID 05124/13 FORBGN SECURITY ST CPN DTE 1/24113M oody Rating Ba2 S 8 P Rating BB, 06/01118 1,000,000.000 91.7780 DEUTSCHE BK AG N Y BRH VAR (SINS US28626BN89 4.875% 41013281E DTD 2/0117 CALLABLE 2/0127 06/01/18 1.000.000.000 86.8260 Adjusted Cost We Mad NU Market Value Unrealized Accrued intern Estimated Esthealed Annual Income Yield Security Muddier: 4453BAW1 1.000.332.92 100.6300 Original Cost Basis: $100 SO 06.00 Security Identifier. 30 E2RAA9 1,940.506.00 106 5000 Original Cost Basis: 51940,506 00 1,027,755.65 106.5000 Original Cost BasiS:51028356.00 2.966.261.65 82,966,261.65 Security Identifier A29866AB5 1.981.300.00 101.7510 Original Cost Basis: $1981.30000 Security Identifier 25525A11 3 917.776.00 92.1990 Original Cost Basis: 5917.776 00 Security Identifier 256268N8 868.256.00 88.8550 Original Cost Basis: 8868,256.00 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 1.008.300.00 5.967 08 2.988.75 71,250.00 7.08% 2.130.000 01 189,494 01 41,666.67 200,000.00 9.38% 1.064.999.99 37,244.34 20,833.33 100,000.00 9.38% 3,195,000.00 226,738.35 62,500.00 300,000.00 $3.195.000.00 5226,738.35 $62,500.00 $300.000.00 2,035,020.00 53,720.00 71,291 67 145,000.00 7.12% 921.990.00 4.214.00 15,036.00 42,960.00 4.65% 888.550 00 20,294 00 16.114 58 48.750 00 548% AccountNAM ag Ston: CONFID Page 4 of '9 4 Rated Gallen, twery Yea Since 2007 DAtIAR PATILDCOMMUNICATIONS Ualltha Owing Omagh Pagan IIC a May owned Salary of Tits lank a New Vat Mellon corpontion atm Mellon) PeiltivatttC.inentw INRA.ilWqkt9M-00046526 DB-SDNY-0009350 EFTA_00 I 57 I 35 EFTA01289498 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit Caul FIXED INCOME (continued) Corporate Bonds (continued) ASSURAHT INC FXD TO FLTG SUB NT 7000% 03/27/48 EVE DID 037271E CALLABLE03/27128 'OD 000 M oody Rating BA1 03/29/18 2,000,000.000 101.9900 3111ORGAN CHASE 8 CO DEP SHSREPSTG METH PFD SER 'FIXED TO FLTG RT BD 5128% 04/23/58 8/E OTD 04123/08M oody Rating BAA3 S 8 P Rating BBB￾06715111 .,337 2,500,000.000 107.5000 06/15/11 .'3-12 2.500.000.000 107.0000 Total Noncovered 5,000,000.000 Total 5,000,000.000 SOUTHERN CAUF EDISON CO PREF SER E 6.250% 011/62 BIE DID 01 111 CALLABLE 0210722 Q 130000Moody /Wing BAA1S& P Retag BOB' 01/30/12 .'312 3.000400.000 99.9000 GENERAL ELEC CO GTD FXD-TO-FITGRT NON-CUMULATIVE PERPETUAL PREFERRED 4 000% 2103465 REGDTD 12/03/bIloody Rating A3 S& P Rating BBB* 12/03115' 2,469,000.000 88.0930 Adjusted C451 Basis Market Price Security Identifier: 04621XAK4 2.039.798.18 101.5000 Original Cost Basis: 52,040,005.00 Security Identifier: 46625HHA1 2,687,500.00 100.4250 Original Cost Basis: 82.687.50000 2,675,000.00 100.4250 Original Cost Basis:52,675,000.00 5,362,500.00 85,362,500.00 Security Identifier 842400 FU2 2,996,987.76 105.0000 Original Cost Basis: $2.992,564.97 Security Identifier 359604BIA 4 2,175,016.17 90.0000 Original Cost Basis: 52,175.01.17 September 1,2018 - September 30,2018 SOUTHERN FINANCIAL LW Market Value 2.030.000.00 2.510.625 00 2.510.62500 5,021,250.00 85,021,250.00 3,150,000.00 2,222,100.00 Unrealized Gain Loss Accrued Estimated Estimated Interest Annual Income Yield 4.798.18 1,166.67 140,000.00 6.89% -176,875.00 25,092.78 145,700.00 5.80% -164.375.00 25,092.78 145300.00 5.80% ,341,250.00 50,185.56 291,400.00 4341.250.00 850.185.56 $291.400.00 153,012.24 30,729.17 187,500.00 5.95% 47,083.83 28.805.00 98,760.00 4.44% Account Number iron: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO L Page 5 of '9 Rated Excellent Clown. through aenhatill.C. a tAtoRy owned Leery Year Since 2007 subsidiary al The Bank ea New York Mellon DA/BARRA= COMMUNICATIONS Cameral:a (IINY Wilco) n A LXCRIAllea Pennine ll.C. inerrOar F itiltn. tVglIfEkt9m-00046527 DB-SDNY-0009351 EFTA_00 I 57136 EFTA01289499 Portfolio Holdings (continued) U.S. DOLLARS (continued) Oete Acquired Ouentfty Unit Cost FIXED INCOM E (continued) Corporate Bonds (continued) LLOYDS BANKING GROUP PLC FM RATE RESET ADDL TIER 1SECS ISIMIUS5394MAGI2 7.500% 04/21/68 B/E OTD 04/071%5& P Rating 88- Adjusted last Bads Market Price Security Identifier: 539439AG4 Market Value Unrealized earl.= Matted EstimMed Estimated Interest Annual Income Yield 04/10/14 .'" 1,903,000.000 102.3910 1,948,500.00 103.1250 1,962,468.75 13,968.75 1,189.38 142.725.00 727% Original Cost Basis: 51948,500.00 CITIGROUP INC FAD RT SR NT PERP DEP RECPT Security Identifier:12967M 5.950% 08/6/888/E DM 0812/6 CALLABLE08/15/20 0 130.000iloody 'titian M2 S8 P Rating 889 08106/15 3,000,000.000 100.0000 3,000,005.99 102.9550 3,088,650.00 88,644.01 22,312.50 178,500.00 5.77% Original Cost Basis: $3000,006.00 Total Corporate Bonds $25,258,734.67 525,521,324.75 $262,594.08 8302,299.28 $1,646,845.00 25,372,000.000 TOTAL FIXED INCOM E $25,258,734.67 $25,521,328.75 $262,594.08 $302,299.28 81646,845 00 25,372,000.000 Unmated Estimated Estimated DateAcquked Quality Unit Cod Oast Dais Merkel PIS Market Value dekko's Annual Income Yield EQUITIES Common Stocks ALIMIM GROUP I1LDG LTD SPONSORED ADR ISINSUSO 109W V 27 Dividend Option: Cash 06/10/15 5,000.000 88.9500 AMAZON COM INC Dividend Option: Cash 03/29118 500.000 1,423.8620 04/02/18 500.000 1,387.0210 Total Covered 1.000.000 Total 1.000 000 APOLLO GLOBAL MGM T LLCCL A SHS Dividend Option: Cash 263.67.00 of these shares ate r your margin account 03/29/11 ' 263,157.000 19.0000 711,930.80 683,510.38 1,395,441.18 $1,395,441.18 Secetily Identifier MBA CUSP:0609*M 444,749.00 164.7600 Security Identifier: AWN CUSP.02313566 2,003.0000 2,003.0000 Security Identifier: APO GUMP. 03762306 4,999,983.00 34.5500 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Humber: 823.800.00 1,001500 00 1,001,500.00 2,003,000.00 52,003.000 00 9 092.071.35 379,051.00 289,569.20 317.989.62 607.558.82 $607 558 82 4.092 091.35 OP :2Xw ONFID Rated OLSIent brew Yes, Since 2007 DALIAR RATIO COMMUNICATIONS LXCILL INCE $0 00 480.472.02 5.38% Page 6 of 19 Clewing Omagh Fenian IIC **bay evened istaldlary a The kek a New Yoh Meta Carponefon My Mellon) Perchnx 11.C.nwr-bn on) DS-SDNY-0009352 EFIA_00 157 137 EFTA01289500 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Ogle Acquied Quoddy Una Cod Gait Basis Market Pena Market Value unfenced Going-on Estimated Estimated Annul Income Yield EQUITIES (continued) Common Stocks (continued) APPLE INC CON Dividend Option: Cash Security Ideatiliar:AAPL GUMP:037833170 12107/17 214,000100 169.8140 36,340,223.40 225.7400 48.308.359 96 11,968,136 56 624.880 00 129% 06/20/18 50.000.000 186.7940 9.339.697.00 225.7400 11,287,000.04 1,947,303 04 146,000.00 129% Total Covered 264.000 000 45.679.920 40 59,595,360.00 13,915,439.60 770.880 00 Total 264,000.000 545,679,920.40 $59,595,360.00 $13,915,439.60 5770.880.00 BOGEN 'DEC INC CON Security Ideetifier: BIIR Dividend Oplion: Cash CUSP 09062X193 02114/12 .3 2,095.000 110.2720 231.019.65 353.3100 740,184 45 509.164 80 CENTENE CORP D B. CON Security Identifier. CNC Dividend Option: Cash CUSP. 545891 09/08/14 15,550.000 63.6150 989,679.75 144.7800 2.251.329.00 1.261.649 25 GENERAL ELECTRIC CO COM Security Identifier GE Dividend Gal ion: Cash Cl/SP.369504133 25,000.00 of these shares ate i your margin account 02123/18 2.500.000 16.2210 41551.71 11.2900 28.225.00 -12,326.71 1,200.00 425% 02/26/16 2,500.000 16.2210 40,551.71 112900 28,225.00 4 2 26.71 1,200.00 425% 03/05/18 800.000 16.2260 12,980.63 112900 9,032.00 -3,948.63 384.00 425% 03/07/18 5,000.000 16.2190 81,097.41 112900 58,450.00 -24,647.41 2,400.00 425% 03/12/18 2,500.000 16.2210 40,551.71 112900 28225.00 42,326.71 1,200.00 425% 03/16/18 11,700.000 16.2190 189,759.90 112900 132,093.00 47,666.90 5,616.00 425% Total Covered 26,000.000 405,493.07 282,250.00 ,123,213.07 12,000.00 Total 25,000.000 $405,493.07 $282,250.00 4123,243.07 $12,000.00 KARYOPHARM THERAPEUTICS INC CON Security Id milker: KPTI Dividend Option: Cash CUSP. /85761116 07/12/18 25.000.000 18.6840 467,106.00 17.0300 425.750.00 41,356.00 NINTENDO LTD ADR Security Identifier: NTDOY Dividend Option: Cash CUSIP: 654445303 September 1,2018 - September 30,2018 SOUTHERN FlNA NCIAL LLC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) ?e C Account Nun ONFID L￾Page 7 of 19 Rated Excellent Clarets *toter Renten LI.Cataapeeted hew Year Since 2007 ~Idler! of The Bank al Nat WA Mete DAtIlAR RATIO CONIMUNICATIONS Centetatkei (MY Melba) Rent die meektar*NeteM-00046529 DB-SDNY-0009353 EFTA_00157138 EFTA01289501 Portfolio Holdings (continued) U.S. DOLLARS (continued) Clete Acquired Quantity UM Cool Cad Buis Motet Price Motet YMuct tkeelized OWL= Ed hated Maud Income Estimated Yield EQUITIES (continued) Common Stocks (continued) NINTENDO LID ADR (continued) 02/05/18 10.000.000 511910 517.90610 451650 454.65010 43.256.00 5,027.26 1.10% Total Common Stocks $55,131,298.05 $75,668,397.80 $20,537,099.75 31,277,379.26 Preferred Stocks (Listed by expiration date) GPAAC CAP TR I GTO TR PFO SECS Se 2 CPR- Security Identifier ALLY PRA 8.45% FREO DRILY II ATY•02/15/2040 CALL CUSIP. 36160208 ANYTIME02519130 DAYS BEGINS02/S/S Dividend Option: Cash 02/22/12 " 3 80,000.000 23.5350 1,882,773.80 28.3000 2,104,000.00 221,226.40 157,433.76 7.48% Total Preferred Stocks 31,882,713.60 32,104,000.00 8221,226.40 $157,433.76 TOTAL EQUITIES 357,014,071.65 $77,772,397.80 320,756,328.15 41,434,813.04 Unseated Edirested Estimated Dote Acquired Quantity Unit Coil Cod Bet Markel Price Market Value Gektoss Maud Income Yield MUTUAL FUNDS MORGAN FLOATING RATE INCOME FUND CLASS I Open End Fund Dividend Option: Reinvest: Capital Gains Option: Reinvest 09/28W 318,809.777 9.4100 3.000.000.00 9.4909 2,996,811.90 -318810 121,960.68 4.06% Reinvestments to Date 13.235.086 9.3890 121260.78 9.4000 124.409.81 149 03 5.063.08 4.06% Total Covered 332.044 863 3,124,260.78 3121,221 71 -3.03907 127.023 76 Total 332.044 863 13,124,260.78 13,121,221.71 43,039.07 6127.023.76 TOTAL M UTUAL FUNDS 83,124,260.78 13,121,221.71 43,039.07 6127,023.76 Secutily !den' Wier: ..PHSX CUSP 4(44t51 Cod Beds Mittel tho (acted Gib/lion Acted Interest Needed AnnualIncome TOTAL U.S. DOLLARS $90,575,236.66 8111,593,117.82 $21,017,881.16 8302.299.28 13.255.758.66 EURO Otte Awned 30 -Ora Desniption Beatty Balsa Nina Currency Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 14.80 44.80 EUR -75.26 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 44.80 4420 EUR 0.00 -75.26 USD 0.00 CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) Account Number acoonoMmon CONFID L Rated Catvlient (my Year Since 2007 DALIAR RATED COMMUNKATIONS EXCILLENCE Page 8 of 19 Clewing lamer Paoli% 11Cnakayevamd sataldlaarg of The Bank Mtn Yak Meta Caeporationaltly Malan) P rue U.C.erter-bn ruyee.BAB4YreceM_00046530 DB-SDNY-0009354 EFTA_00157139 EFTA01289502 a Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) EURO (continued) 0escrIsaion auasfty Merkel Prka Market Was Catena Accrued Intend Estimated Yield FIXED INCOME (In Maturity Data Sequence) Corporate Bonds CASN0. GUICHAROPERRACHON SA ISN$ FR00100%80 0.000% 08106iS REG 01008/03M Moody Rating Ba1Sb P Rating 88 Secutit F1413LCN4 2.500,000 000 99.0200 2,415,500.00 EtIR 2,616,045.70 USO 0.00 0.00 Total Corporate Bonds: 2,500,000.000 2,475,500.00 EUR 2,875,045.70 USD 0.00 0.00 TOTAL FIXED INCOME 0tealptIoe 2,500,000.000 Deanery Market Prke 2,475500.00 SIR 2,875,045.70 USD Made( Wee Cunew 0.00 0.00 ECUS Thad EQUITIES Common Stocks UBI 93FT ENTERTAINMENT ISIS FR0000054470 Set M0NTREUIL ACT Security Id ender: UBEFR CUSIP: F9395ND6 11,200.000 93.4200 1,046,304.00 EUR 1,215,177.47 USD Total Common Stocks 1,046,304.00 EUR 1,215,177.47 USD TOTAL EQUITIES 1,046,304.00 EUR 1,215,177.47 USD September 1,2018 - September 30,2018 SOUTHERN FlNA NCIAL LLC S Accrued Mad* Vakie Wrong Interest TOTAL EURO 3,521,739.20 SIR 0.00 4,090,147.91 USD 0.00 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number. 2:r: i: 026 CONFID L Page 9 of 19 Rated (stollen% Clewing through Pagel% I1C .ably evened Every Year Since 20O7 stsidiary of The Ilaelcother WA Mellon DALBAR RATED COMMUNICATIONS Ono-saw (MY Mellon) VICILLINCI Perthnx 11.C.ntkrber mottActrilneceM-00046531 DB-SDNY-0009355 EFTA_00157140 EFTA01289503 Portfolio Holdings (continued) HONGKONGDOLLAR Description 4 410119 Overfly Balm Clue educe OIRt80/ Accrued 30-Dry Income mid CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 183242.25 183242-25 HKD 23,418.91 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 183,242.25 183,242.25 HKD 23,418.91 UM Market Velut Currency 0.00 0.00 Accrued bind TOTAL HONG KONG DOLLAR JAPAN ESE Y EN Deuription Quantity 0941009 Balance 183242.25 HKD 23,418.91 USD Cowin Waco Currency 0.00 0.00 Aimed 30 .Day Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 49.00 49.00 JPY -0.43 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS -49.00 -49.00 JPY 4.43 USD Market Villa Currency 0.00 0.00 Acaled liters TOTAL JAPANESE YEN 49.00 JPY 0.00 4.43 USD 0.00 Wetted Accrued Estimated CoMBWs Market Wiwi Guianese Intend Annual Income TOTAL PORTFOUO HOLDINGS - U.S. 590,575,238.88 3115,706684.21 921,017,881.16 9302,299.28 83.25525818 DOLLARS Noncovered under the cost basis rules as defined below. 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 snoncoveret 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 t 99-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. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed , there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 10 of 19 Account Numb Istit CONFIDKP Ned banal [very Yew Since1007 OMAR IRATEDCOMMUNICATIONS UCIWINCE Clewing Wove Penhim Lit a aka,/ owned istaldiary a The Bank a New Yak Mete CorpontIon (IINY Mellon) Per ihnx 11.C. rneren FMAAPAELGM_00046532 DB-SDNY-0009356 EFTA_OO157141 EFTA01289504 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) September 1,2018 - September 30,2018 SOUTHERN FINA NCIAL LLC circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided fo us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this in formation. 12 Pershing has received updated cost basis information, therefore cost bass provided on previous client brokerage statements may differ from the new cost basis reported in this section. The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency 0Jirency Cash Fixed Income Equities Mutual Funds Total by Currency U.S. DOLLARS 5,178,169 25,521.328 77,772,397 3,121221 111,593,117 USD EURO 44 2.475.500 1.046.304 0 3.521.739 EUR HONG KONG DOLLAR 183,242 0 0 0 183,242 HKD APARESE YEN -49 0 0 0 49 JPY Total USD Equivalent 5.201.512 28.396.374 78.987,575 3,121,221 115.706.684 USD % of Allocation 4% 25% 68% 3% 100% 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 DATEONLY APPEARS W HEN THEPR10EDATE DOES NOT 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 Account Number: ...02, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO' Rated Ext*Ient trey Year Sint 2CO7 DALBAR RATED COMMutoCATIONS (XCILLINCI Page 11 of 19 Clewing thtough habit.; 11C. a iota/ corned subsidiary of The lank a New Yak Melba faxpnoonISNY Melba) ! m 'It•RA.gWGPM_00046533 DB-SDNY-0009357 EFTA_00 I 57142 EFTA01289505 Portfolio Holdings Disclosures (continued) Reinvestment (continued) 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 reinvestm ent 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. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Schedule of Realized Gains and Losses Current Period Desaiption Short Term EUROCURRENCY 09/12118 05119118 Noncovered • Fret In First Out? BUY 44.890 16.26 15.11 1.09 Security Identifier EUR999995 Dale Aceeked Designation Realized COomilion Method) Transaction Ciutelity Proceeds Cot Bois Mahlon Dale Disposed CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: tc:, CON :xsexon. FIDO. L Page 12 of 19 Rated ticellent Clewing Mall Pagel% 11C•aapronwel bay Year Since 2007 sabildlary of The lank al New Yak Mellon DALIAR RATIO COMMUNICATIONS Carpona on (IINY Melon) UCILLUICE Periling U.C.ntefter FINRAVVYTEGM-0°° 46534 DB-SDNY-0009358 EFTA_00 157143 EFTA01289506 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) September 1,2018 - September 30,2018 SOUTHERN FINA NCIAL LLC Date Dale Description eiteoced Autoked Detagnsilon flisposition Method r Parma ion Quantity Proceeds Cod 85$ Short Term (continued) 'SHARES INC M SCI SOU TF Security Identifier. 464286772 09121118 11103111 Covered Ant In First Out / SELL fisted Gelaslos 13,000.000 880,518.04 985,998.98 ,105,478.94 Total Short Term 880,594.30 986,072.15 -105.477.85 Total Short and Long Term 880,594.30 986,072.15 -105,477.85 • Noncovered under the cost basis rules as defined below. 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 lax 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 This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports. including your 1099-8 or online displays you may have available to you W hen you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRSor other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO) Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099.8. M essages 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'sJune Statement of Financial Condition is now available On June 30.20*. Pershing's net capital of $2.68 billion was 15.25% of aggregate debit balances and exceeded the minimum requirements by S2.33 billion. Pershing is also required to provide the most recent financial information as of this statement mailing. In accordance with this Page 13 of 19 Account Number: ...02, CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated [scented bay Yew Since 2007 DALIAR RATED COMMUNICATIONS LXCILLINCE Clewing through Pinkly IIC a al*, owned set:oldie/ a me Mak a New Yak Mellon Corporation (IINY Melon) hoshint UK. rreentw lmxn. +M_00046535 DB-SDNY-0009359 EFTA_00I57144 EFTA01289507 Messages (continued) requirement, note that on July 3t 2018, Pershing's net capital of $2.77 billion was 1.37% of aggregate debit balances and exceeded the minimum requirement by $2.43 billion./ my 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 or • option 5. Although a money market mutual fund seeks to preserve the value of your investment at 41 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 101)43( 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, 2016, 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. Activity Summary oil amounts shown are in Case currency) Credits lin Pence Debits This Period Net This Period Credits Year-to•Dele Debts Year4o•Dete Net Yetto-Date Securities Securities Bought 0.90 4,848,319.19 4,848,319.19 0.00 49,757,807.36 49,757,807.36 Securities Sold 880,518.04 0.00 880,518 04 39,893,211.93 0.00 39,893211.93 Total Securities $880,518.04 45.848,319.19 44,967,801.15 $39,893,211.93 439,757,807.36 $135.404.57 Dividends and Interest $161,270.19 $0.00 $161,270.19 $2,251,522.41 $0.00 $2,251,522.41 Distributions $0.00 $0.00 $0.00 $2.717.935.88 $0.00 $2,717,935.88 Fees $0.00 42.00 42.00 $0.00 41,170.00 41,170.00 Taxes Withheld $0.00 $0.00 $0.00 $0.00 47,000.37 47,000.37 Other $0.00 $0.00 $0.00 $0.00 477.65 477.65 Cash Witlidrawah 9.00 0.00 0.90 0.00 4577,618.24 -4,077,61824 Deposits 141,000.00 0.00 141,000.90 3,197,792 64 0.00 3,197,792.64 Total Cash $141,000.00 $0.00 $141,000.00 $3,197,792.64 44,077,618.24 4879,825.60 Totals $1,182,788.23 45,848,321.19 44,665,532.96 $48,060,462.86 443.843.873.62 44,214,789.24 CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) Account Humber IMI CONFIDO. L Rabid Esoalent Every Year Since 2007 DALBAR RATIO COMMUNICATIONS ()tall INC I Page 14 of 19 Clewing through Penblin 11c nikoly evened sobsidiary of The Bank a New Yak Meta CarporatIon (MY Mellon) Peri hnx 11.C. mento FtratA.WilieM- 00046536 DB-SDNY-0009360 EFrA_00 I 57 14.5 EFTA01289508 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Transactions by Type of Activity Rona, Trade, Settlement Transaction Date Dale Activity Type Securities Bought and Sold 0911//18 09112/18 PURCHASED 09111/18 09112118 PURCHASED F11131.0/1 09125/18 09111/18 SOLO EWY 09/27/18 REINVEST CASH INCOME PHSX September 1,2018 - September 30,2018 SOUTHERN RNA NCIALLW Description EURO CASINO. GUICHARD- PERRACHON SA ISMS FR001001180 0 000% 08/0611 REG DTD 08/03/2 UNSOLICITED ORDER VARIABLE RATE AS OF 0911/200 ISHARES INC MSCI SOUTH KOREA ETF UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT PM ORGAN FLOATING RATE INCOM E FUND CLASS I 330820.5800 SHRS SH RS PURCH. AT $9.39000 RD 09125 PD 09/27/11 Total Securities Bought and Sold EURO TOTAL USG EQUIVALENT US. DOLLARS Dividends and Interest 09/1 TM 8 BOND INTEREST RECEIVED 174938AW 1 09121/18 09/21/18 09/28/18 09/28/18 BOND INTEREST RECEIVED 0462trAX4 CASH DIVIDEND REC9VED PHSX MONEY MARKET FUND INCOME RECEIVED PER232045 FOREIGN SECURITY DIVIDEND RECEIVED 539139ACA 100000 CITIZENS COMM UNICATIONS CO SR NT FULLY EXCHANGED FROM 17453BAX9 7.125% 031E/9 WE DTD 03/13107 RC 09/14 PD 09115/13 2000000 ASSVRANT INC FXD TO FLTG SUB NT 7.000% 03/21/48 WE DTD 03117/9 CLB RD 09/26 PC 09/17/13 PM ORGAN FLOATING RATE I NCOM E FUND CLASS I 330820 S800 SHRS RD 09125 PD 0911711 CASH AC TR DWSGOVT 103000 LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1SECS [SRI U5539439442 7.500% 0/127188 BIEOTD 04107/11 CLB RD 09/26 PD 09127/1 Total Dividends and Interest U.S. DOLLARS Fees 09104/18 FOREIGN CUSTODY FEE UBSFF Total Fees - U.S. DOLLARS Fgn Safekeeping AUG 201 CUSP: F9396 ii-13.6 Quimby Price Acaued interest Amount Cerrenq 2.513.272.120 2.500.000.000 1.1600 100.0600 -11772.11 -1.915.39566 -2.513,272.12 USD EUR -13.683.91 4.921.127 51 USD -13.000 000 67.7735 880.518 01 USD 1.224 283 -11,49602 USD -11,772 11 -2,513,272.12 EUR -13.683.91 4.921.127.51 USD 0.00 4,046,373.64 USD 35.625.00 USD 70,000.00 USD 11,496.02 USD 8.16792 USD 35,681.25 USD 0.00 161,270.19 4.00 USD 0 00 4.00 Page 15 of 19 Th Accou Iumbet IM CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L RAS (scollent Every Yew Since 2007 DALBAR ItA110 COMMUNICATIONS LXCILLINCI Clewing Isoogh PenlirglIC•Mayeented sobsidiary a The Bank elle• Vat Melai CaPoratIon Meson) rs na PeriPinglIC.mer-bn FthRa. tWici kNm—Ouu46537 DB-SDNY-0009361 EFTA_00157146 EFTA01289509 Transactions by Type of Activity (continued) Process: Trade, SrAliment Traerstion Coate Dote Adivey Type Cash Withdrawals and Deposits 09125/18 FEDERAL RINDS RECBVED USD999997 09/28118 FEDERAL FUNDS RECBVED USD999997 Total Cash Withdrawals and Deposits- U.S. DOLLARS Description Quantity Price Acaued Interest Amount Curren, DEUTSCHE BANK TRUST 09632 72,500.00 USD DEUTSCHE BANK TRUST 336A 68,500.00 USD Trasuctionsawaromy EURO -11.772.12 -2,513,272.12 BJR -13,683.91 -2,921,427.51 U.S. DOLLARS 0.00 -1,744,105.45 USD 0.00 -1,744,105.45 The price and quantity displayed may have been rounded. 0.00 141,000.00 Told Matted Interest Teti Amount Told Accrued Intern( Told Amount Currency DSO Equivelmit USDEquIveleet Cash Not Yet Received Security Record Date Payable Dale Ouantity Held Rote Dividend Option Amount of Payment Dividends GENERAL B.ECTRIC CO COM 09117118 10125/18 25.000.000 0.120000 Cash 3.000.00 Total Cash Not Yet Received $3,000.00 Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Fixed Income Analysis Bond Quality Bond Maturity Schedule %ot Bond %of Bond Bond Quality Market Value Markel Value Percent of Fixed Intone Boed Maturity Motel Value Markel Value A 2,222,100.00 8% M li ci 6 months 1,006,300.00 4% BAA 8,111,250.00 29% El 7 to 12 months 2,875,045.70 10% I MI BA/ Lower 17,114,474.45 60% M1to 5 years 3,195,000.00 11 % Not Rated 888,550.00 3% ®6 to 10 years 2,957,010.00 10% El Over 10 years 18,363,018.75 65% Total 28,396,374.45 100% 0 20 40 60 80 100 Total 28,398,374.45 100% Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services Bonds that are in default are not included. Please refer to your Portfolio Holdings section. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number. CONFIDO' Page 16 of 19 Rated ticellent trey Yew Since 2007 DALIAR IIA TED COMMUNICATIONS LXCILIANCI Clewing tlyough PenhinglIC a Say ~ad sataldiary a The Bask el New Yak Melba Cap:atlas (itly Melba) Pen. ing 11.C.mer-bn Na RA. DB-SDNY-0009362 EFrA_00 I 57147 EFTA01289510 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Client Service Information Your Imminent Speclakd ZEN MARTIN ZEM AN 345 PARK AVENUE NEW YORK NY 10154 September 1, 2018 - September 30, 2018 SOUTHERN FINANCIAL LLC Your Account Information Contact Information Telephone Number: 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 ELECTRON IC 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. Standing Instructions we are providing the below information on your behalf to allow you to confirm the Standing Instructions on this account. Our records indicate that you previously provided these Standing Instructions to your Investment Specialist as part of the account opening process or subsequent to opening your account. A standing instruction is an instruction an account holder gives to their Investment Specialist to permit the withdrawal or transmittal of funds or other assets from the account holder's account at regular intervals, or as needed. The items included below are both instructions that appear to be third party asset movements. as well as first and third party Journal instructions for accounts that are custodied with Pershing. We may remove any standing instructions that have not been used in the past 36 months (except for Automated Clearing House (ACH) which does not expire). You have the ability to re-establish those instructions through your Investment Specialist. Please review all the below information carefully. If you have any questions or if any information is inaccurate, please contact your Investment Specialist. Trarmadion Type RecipieM Name Bast Name Receiving Account Number Start Data Frequency Amount Currency NON-USO WIRES DEUTSCHE BANK AG, LONDON DEUTSCHE BANK POLSKA SA. ""3035 DEUTGB2L FED FUND WIRES DEUTSCHE BANK AG LONDON DEUTSCHE BANK TRUST CO. /WEE ""•739 Account Number CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO L Page — of '9 Rated balks, Cladinfolvour 'Want U.C. a %l ay owned bay Yew Since 2007 subsidiary of The lank or New York Mellon DALIARPATEDCOMMUNICATIONS Corporation 18NY Mellon) LXCWINCE P.”11,4ng LK. mnnxt Flt•RA.AWA219M—00046539 DB-SDNY-0009363 EFTA_00 157 WA EFTA01289511 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 asthe 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. w here 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 . 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In some cases, a claim that is ineligible for arbitration may be brought in court • The rules of the arbitration forum in which the claim is filed. and any amendments thereto. shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action. who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until: (I) the class certification is denied: (II) the class is decertified: or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Page 'e of '5) Account Number C Stoat w, CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFID bled °noon Every Year Since 2007 DAUIAR PAM COMMUNICATONT L‘Ctlittla Clewing through Perrin U.C. • +Atoll owned sobsidiary of The Bonk a Mew Yorlg Mellon CaveratIon (MY Mellon) Pen. ing 11.C. meet.. HMV.. PkiPM- 00346540 DB-SDNY-0009364 EFTA_00157149 EFTA01289512 TERMS AND CONDMONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. 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DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IA YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVALABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TA)( INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. MEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS Cl ASSFICATION 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 TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. 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ELECTRONIC COMMUNICATION NETWORKS, OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIOE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION, PERSHING ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW, PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE. COUNTER AND EXCHANGE-LISTED SECURITES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NEBO). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET W THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSHNG ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F ANY OF Tiff ABOVE TERMS AND COMMONS ARE UNACCEPTABLE TO YOU. REASE NOTIFY PERS-ING IMMEDIATELY IN WRITING EITCERTFED MAIL TOONE PERSHING RAM, JERSEYCITY. Ni 07399. ATM LEGAL DEPT CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) Account Numbe acc:E CONFIDOP :sx: L Page 19 of 19 Wed Imillent bery Yew SInce 2007 DALIAR TED COMMUNICATIONS LTELLMIME Own through PenbkmUCFukoywlwd sataidiary a The IN* a New Yak Meta CapotatIon TINY Melo Peel INTL U.C. Nonon) VYIEGM-00046541 DB-SONY-0009365 EFM_00157150 EFTA01289513 Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 SOUTHERN FINANCIAL LLD 6130 RED HOOK QUARTER B3 ST THOM AS VI 00802 dututru• Lint //cant. hg.n.etmtit Manes Cperatt Owhiche Ur* Sr:Aydin I5c. Mtvi Yon CA' e 345 P.n. Atemn.1641. now Met 34,1 ROM.. tirec A ugust 1,Nu - A Account Number: Portfolio at a Glance Tell Period Yewto-Date Your Investment Specialist. BEGINNINGACCOUNT VALUE $106,436,131.71 $97,272,547.37 MARTIN ZEMAN Net CaO Deposits and Withdrawals -20,533.71 -1,020,825.60 (212) 250-0432 Adjusted Previous Account Value 105,411,698.00 96,251,721.77 Dividends. Interest and Other Income 553,031.41 2,477,093.01 Total Taxes Withheld 0.00 -7,000.37 Other Transactions 410 -1,245.65 Net Change in Portfolio' 10,110,291 62 17,358,348.27 ENDINGACCOUNT VAU $116,078,917.03 $116,078, 01 Accrued Interest 5309.730 76 Estimated Annual Income 53272.768 01 Asset Summary IN • Es 1Net Change in Portfoliolathe difference between the ending account value and beginning account value after activity. Natal Asset Type Rbr Ther-End Lad Period TelsPerlod 6% Cash, Money Funds, and Bank Deposits 823,820.96 3,905,773.16 6,945,545.89 22% Fixed Income 26,083,479.22 26,892,258.89 25,420,588.34 69% Equities 60,899,388.97 70,674,908.14 79,737,833.97 2% Mutual Funds 3,020,938.22 3,088,811.52 3,099,788.83 1% Exchange-Traded Products 6,444,920.00 874,380.00 875,160.00 100% Account Total (Pie Chart) $97,272,547.37 $105,436,131.71 $116,078,917.03 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 6"6"N F I D L Page I of 20 Rabid Enyllent Clewing lasough PenligglIC ova* evened Even, Year Since 2007 sneakier! of The Malta Mee Yalt Meta DALBAR RATED COMMUNICATIONS Carpontion (IINY Mellon) VICILLINCI Perihnx11.C.nw-tan matA.SC44YeteM_00046542 DB-SDNY-00O9366 EFTA_00157151 EFTA01289514 Summary of Gains and Losses TbisPeriod hood Year4o-Dele WASS Short-Term Gain! Loss 319,438.51 1,665,122.64 14,992,999.70 Long-Term Gain/ Loss 47,855.34 2,637,463.78 6,561,027.69 Net Gain/ Loss 367,293.85 4,302,586.42 21,554,027.39 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECEr ) 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 1399 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. Exchange Rate Table G ooa Casn currency USD Equivalent Omenry per US3 currency going Bring Amount in Base currency USO EURO 1.1634 0 8595 EURO 434.80 -75.39 HONG KONG DOLLAR 0.1274 7.8487 HONG KONG DOLLAR 183,242.25 23,346.71 JAPANESEYIN 0.0090 110.8700 APANESE YEN 49.00 4.44 POLISH ZLOTY 0.2717 3.8794 Total Global Cash Balance 823,270.68 Exchange rates are based on interbank exchange rates as of 08/ 311 20 18. Exchange rates can vary. Money Market Fund Detail Dote Activity Type Market Fund DWSGOVT & AG INSTL 164% Activity Ending: 08/ 31/18 Description Mount Bin Sweep Money CASH AC TR Current Yield. 08101118 Opening Balance 3,808,827.38 3,808,827.38 08/01/18 Deposit MONEY FUND PURCHASE 73,670.00 3,882,497.38 08103/18 Deposit MONEY FUND PURCHASE 88,504.98 3,951,002.36 08108118 Deposit MONEY FUND PURCHASE 1,089,970.60 5,040,972.96 08/10/18 Deposit MONEY FUND PURCHASE 412,499.45 5,453,472.41 08/13/18 Deposit MONEY FUND PURCHASE 102,631.50 5,556.103.91 08115118 Deposit MONEY FUND PURCHASE 204,358.56 5,760,462.47 08/16/18 Deposit MONEY FUND PURCHASE 204,655.84 5,965,118.31 08117118 Deposit MONEY FUND PURCHASE 323,510.56 8,288,828.87 08121/18 Deposit MONEY FUND PURCHASE 305,389.83 6,594,018.70 08122/18 Deposit MONEY FUND PURCHASE 204,631.50 6,708,650.20 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Amount Humber CONFIDO. L Page 2 of 20 Rated [stollen? trey Yew Since 2007 DALIAR MTV, COMMUMCATCNS LXCILIANCI Clewing Omagh Pagan IIC a *bay owned sataldlary a The ear* a New Yak Man CaneratfanOINY Mellon) Pelting U.C. ',trete. F ilislAVVELGM-00046543 DEMSDNY-0009367 EFTA_00157152 EFTA01289515 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 M oney Market Fund Detail (continued) kugust 1,2018 - August 31,2018 SOUTHERN ANA NCIAL LLC Oils Activity Type Detaiptimi Amount Blanco Sweep Money Market Fund (continued) CASH AC TR DWSGOVT & AG INSTL (continued) 08/28f18 Deposit 08(31/18 Deposit MONEY FUND PURCHASE 1,590 98 8,876 32 6,800,241 18 1NCOM E REINV EST 6.809.117 50 08/31118 Closing Balance $6,809,117.50 Total All Money Market Funds $8,809,117.50 Income and Expense Summary Current P1004 Yem4o-OM. foible Non Iambic, Tenth Non Taxable Dividend Income Equities 192,720.00 0.00 565,866.93 0.00 Money Market 8,876.32 0.00 38,608.94 0.00 Other Dividends 100,227.31 0.00 756,211.78 0.00 Interest Income Bond Interest 98,509.71 0.00 613,464.41 0.00 Other Interest 41,540.58 0.00 116,040.16 0.00 Expenses Withholding Taxes 0.00 0.00 4,000.31 0.00 Fees( Foreign Securities) 0.00 0.00 400.00 0.00 Total Dividends, Interest, Income and Expenses $439,873.90 $0.00 82,082,351.85 $0.00 Distributions Alternative Investments 0.00 113,157.51 0.00 386,840.79 Other Distributions 0.00 570.78 -77.85 31,095.09 Total Distributions $0.00 $113,728.21 477.65 $417,936.88 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number. CONFIDO' Page 3 of 20 Rated ticollent (my Yew Since 2007 DMIAR RATED COMMUNICATIONS EXCWilla Owing liner Penlikv 11C•wholy evened sataldlarg a TM kelt anew Yalt Meta Canceatfon (My Mellon) PerOing meet, FINRAAPI4YaGM_00046544 DB-SDNY-0009368 EFTA_00157153 EFTA01289516 Portfolio Holdings U.S. DOLLARS Opening Dam CASH, MONEY FUNDS, AND BANK DEPOSITS Cash Balance Margin Balance Money Market CAM AC TR DWSGOYT & AGINSTL 08101/18 6,809,117.500 NM Total Money Market TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS Account antsy Number Welty Ending Opening Balance Balana Accrued Income Income DS Year 30.0ay Current Yield Yield Date Acquired Oumtity Unil Onl FIXED INCOME (In Maturity Date Sequence) Corporate Bonds CITIZENSCOM MUNICATIONSCO 5R NT FULLY EXCHANGE) FROM 174538AX9 7.26% OH/ 9 61E DID 03/23/07M oody Rating CAA1S8 P Rating Ca+ 10103/17 73,670.00 0.00 08131118 3.808.827,38 23,808,827.38 23,882,497.38 Moshe Cost Beata WON Price 0.00 113.15751 6.809.117.50 $6,609,117.50 $6,922,275.01 Market Value 1,057.22 38,608.94 1.83% 1.84% 81,057.22 538,608.94 $1,057.22 538,608.94 tAweeted Awned Estimated Estimated Geinfloss Intern Animal Income Yield 1,000,000.000 100.0390 EXELA INTER LLC I EXELA FIN INC GTD FIRST PRIORITY SR SECA NT 414A 9.000% 07I15/238/EDTD 071f27 i7 CLBM oody Rating 8358 P Rating B 10/24/17 2,000,000.000 97.0250 07109118 1,000,000.000 102.8140 Total Covered 3,000,000 000 Total 3.000.000 000 SS 'NUTSGM8H GTD SR NT REG 5151111 USA298136A853 7250%04103/24 WE DID 00315158 Piloting 8+ 10131117 2,000,000.000 99.0650 Security Wenlifier: V45380/1 1.000.391.62 100.3750 Original Cost Basis:9100100600 Security Identifier. 30S2RAA9 1,940,506.00 104.7500 Original Cost Basis: 51940.506 00 1,028,137.79 104.7500 Original Cost Oasis: 51028.755.00 2,968,643.79 52,968,643.79 Security Identifier: 429886485 1,981.300 00 99.2260 Original Cost Basis: $1981300 00 CONFIDENTIAL — PURSUANT TO FED. R CRIPA. P. 6(e) 1,003,760.00 2.095,000 01 1,047 499 99 3 142.500 00 93.142.500 00 1184.520 00 3,358.38 32.854.17 71,250.00 7.09% 154,494.01 25,555.55 200,000.00 9.54% 19,362.20 12377.78 100,000.00 9.54% 173 856.21 38.333 33 300,000 00 5173.856 21 $38.333.33 5300.000.00 3 220 00 59 208 33 145,000 00 7 30% Account Number 3octs CONFIDO. L Rated tacile'? trey Yew Since 2007 DALIAR MTV, COMMUNICATIONS EXCILIINCI Page 4 of 20 Clearing liner Penblin 11C fl ea/ evened atlas." a The in a New Yak Mellon ca, man) Per I Finx 11.C. mk+-tan an) DB-SDNY-0009369 EFIA_00157154 EFTA01289517 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) August 1,2018 - August 31,2018 SOUTHERN FlNANCIALLLC Date Acquired Duality Unit Cost FIXED INCOME(continued) Corporate Bonds (continued) DEUTSCHE BANK AG NTS (SINS US25525AM33 4 296% 05124/28 81E DTO 05124/13 FOREIGN SECURITY ST CPN DTE11241141oody Rating Ba2 S 8 P Rating BB* 06101118 1.000.000.000 91.7780 DEUTSCHE BK AG N Y SRN VAR MHO US25'626BN89 4.875% 2/0932 8/E DTD 12101117 CALLABLE 2/1127 06101118 1,000,000.000 86.8260 ASSURANT INC FXD TO MG SUB NT 7100% 03/27/48 WE DTD 03/2711 CALLABLE03/27128Q 130 000Moody Raling 8A1 03129118 2.000100.000 101.9920 YUORGAN CHASE 8 CO DEP SHSREPSTG 111TH PFD SERIFIXED TO FLTG RT BD 5.828% 04/23(58 81E DTD 04123/08M oody Rating BAA3 S 8 P Rating BBB￾06115111 '-J-° 2,500,000.000 107.5000 06/15/11 .-3-t2 2500,000.000 107.0000 Total Noncovered Total 5,000,000 000 5,000,000.000 Adjusted Cod Basis Market Price Security Identifier 25625AM 3 917,776.00 91.4020 Original Cost Basis: $917,776.00 Security Identifier. 256269N8 868,256.00 86.7810 Original Cost Basis: 6868256.00 Security Identifier 04620K4 2,039,833.33 102.0000 Original Cost Basis: 52,040,006.00 Security Identifier:16625HHA1 2,687,500.00 100.7000 Original Cost Basis: $2,687,500.00 2,675,000.00 100.7000 Original Cost Basis: 52,675,000.00 5,362,500.00 $5,362,500.00 V at) et ValL e Unrealized Gain toss Accrued &Slated alimaled Uttered Annual Income Yield 914,020.00 -3.756.00 11,575.33 42.960.00 4.70% 867.810.00 -446.00 12,187.50 18,750.00 5.61% 2,040,000.00 166 67 59,888.89 140,000.00 6.86% 2,517 500.00 -170,000.00 12,951.11 145,700.00 5.78% 2,517,500 00 -157,500.00 12,951.11 145,700.00 578% 5,035,000.00 .327500.00 25,902.22 291,40010 $5.035100.00 -$327.500.00 $25.902.22 $291.400.00 Account NumbellM C arcs CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO Page 5 of 20 L Rated ticellent hely Yew Since 2007 DALIAR WED COMMUNICATIONS LXCILUNCE Clewing through Pashas U.C. • ably owned fetid/pry of The Bonk cue New VGA Mellon Corporatfon (IINY Mellon) PerMint llCarcerOff FikitA.Wcqi:t9M-00346546 DB-SDNY-0009370 EFTA_00IS7 155 EFTA01289518 Portfolio Holdings (continued) U.S. DOLLARS (continued) Cate Afanked Cmatny Unit Cost FIXED INCOME (continued) Corporate Bonds (continued) SOUTHERN CAUF EDISON CO PREF SER E 6250% 0717/62 WE DID 071712 CALLABLE02101220 Rating 8M1St. P Rating BBB￾01730112 ..332 3,000,000.000 99.8970 2.996.920.25 106.0110 3.180.330.00 183.409.75 15.615.00 187.500.00 5 89% Original Cost Basis: 62,992,58497 GENERAL ELEC CO GTO FXD-TO-FLIGRT Securdy Identifier:3696048144 NON-CUMULATIVE PERPETUAL PREFERRED 4.000% 12/03/65 REG 010 12J03P6Iloody Rating A3 S& P Rating BBB* 12/03/15 2,469,000.000 88.0930 2,175,016.17 86.0000 2.172,720 00 -129617 20,849.33 98,760.00 4 54% Original Cost Basis: 62,175,015.4 LLOYDS BANKING GROUP PLC FX0 RATE RESET Security Identifier: 539439AG4 ADDL TIER 1SEGS ISMS US539439AG42 7.500% 04127188 WE DID 041071 %S& P Rating 88- 04110114 1,903,000.000 102.3910 1,948,500.00 103.8780 1,976,798.34 28,298.34 25,373.33 142,725.00 722% Original Cost Basis: $1946300 00 CITIGROUP INC FXD RT SR NT PERP DEP RECPT Security Identifier:1296725 5.950% 08/15/88 OlE DM 0814/15 CALLABLE0811420 § 170.0001loody Rating BA2 SS P Rating BB+ 08/06/15 3,000,000.000 100.0000 3,000,005.99 103.4360 3,103,140.00 103,134.01 7,933.33 178,500.00 5.75% Original Cost Basis: $3,000006.00 Total Corporate Bonds $25,259,143.15 $25,420,588.34 $161,445.19 9309,730.76 $1,646,845.00 25,372,000.000 TOTAL FIXED INCOME $25,259,143.15 $25,420,588.34 $161,445.19 $309,730.76 $1,646,845.00 25,372,000.000 Unrealted EdIrested Blinded Dale Acquired Quantity Unit Cod Cod Bede Merkel Price Meat Value Gelarlos Maud Income Yield EQUITIES Common Stooks ALBUM GROUP HUM LTD SPONSORED AOR ISMS USODO9W 927 Dividend Opl ion. Cash 06110115 Adjusted Cod Bain Market Price Security 'dentKier: 842400FU2 Market Value Unrealized Gain loss Accrued Estimated Edinsaled Interest Annual Income Yield 5.000.000 88.9500 Security Identifier: BABA CUSP: (509W102 114,719.00 175 0100 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Humber 875.050 00 430.301 00 CONFIDOP Rated tactile:at trey Yew Since 2007 PALIARMITO COMMUNKAT IONS uaumcc Page 6 of 20 Clewing through Penlivg I1C nakoly evened Mold's." a me kelt a New Vat Mellon CaixwatIon My Mellon) Perchnxil.C. met-tan FtivRAVVVELGM-00046547 DES-SDNY-0009371 EFrA_00 I 57 I 56 EFTA01289519 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) August t 2018 - August 31,2018 SOUTHERN FINANCIAL= Date Acquired Quakily One Oeel EQUITIES (continued) Common Stocks (continued) AMAZON COM INC Dividend Oplion: Cash 03/29/18 500.000 1,423.8620 04/02/18 500.000 1.367.0210 Total Covered 1,000.000 Total 1,000.000 APOLLO GLOBAL M GM T LLCCL A SIB Dividend Oplion: Cash 26317.00 of these shares are in your margin account 03/29/11 " 3 APPLE INC 00M Dividend Oplion: Cash 12107/17 06/20/18 263,157.000 214,000.000 50.000.000 19.0000 169.8140 186.7940 Total Covered 264.000 000 Total 264,000 000 BIOGEN IDEC INC COM Dividend Oplion: Cash 02/14/12 ..3 2,095.000 110.2720 CENTENE CORP DB. COM Dividend Oplion: Cash 09/08/14 15.550.000 63.6450 GENERAL ELECTRIC CO COM Dividend Oplion: Cash 25,000.00 of these shares are A your margin account 02/23/18 2,500.000 16.2210 02/26/18 2,500.000 16.2210 03/05/18 800.000 16.2260 03107118 5.000.000 16.2190 Cad Basis Market like 711,930.80 683.510.38 1,395,441.18 Security Identifier: AMZN CUSP. 02313516 2.012.7100 2,012.7100 31.395.441.18 Security Wenlifier APO CUSP. 03762306 4,999,983.00 34.5300 Security !dandier: AAPL CUSP:03783310 227.6300 227.6300 36,340,223.40 9.339.697.00 45,679,920.40 $45,679,920.40 Security Ideate/et BOB CUSP. 09062X133 231,019.65 353.4900 Security Identifier. CNC CUSP. 4151311 989.679.75 146.4800 Security Identifier GE CUSIP. 369604133 40,551.71 40.551.71 12,980.63 81.097 41 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 12.9400 12.9400 12.9400 12.9400 Market Value 1,006,355.00 1.006.355.00 Llosealized Gainless Estimated Simmer/ Annual Income Yield 294.424 20 322.844 62 2012,710.00 617.268.82 $2.012.710.00 3617.268 82 $0.00 9.086.811.21 4,086,828.21 489,472.02 5.38% 48,712,819.96 12,372,596.56 624,880.00 128% 11.381.500.04 2.041.803.04 146,000.00 128% 60.094.320.00 14,414,399.60 770.880.00 $60,094,320.00 314,414,399.60 3770,880.00 740,561.55 509.541 90 2,277,764.00 1.288.084 25 32,350.00 1,201.71 1,200.00 3.70% 32.350.00 1,201.71 1,200.00 3.70% 10.352.00 2.628.63 384.00 3.70% 64.700.00 -16.39741 2.400.00 370% Account Item Numbelli M fiD CONFIDE Page 7 of 20 L Rated Gallen, Clearing through Penh*, LLC. • Say evened Eery Yea Since 2007 seteldianr of Ile Bask el New Yak Mao DALIMPATED COMMUNICATIONS Corporation (IINY Melba) ,..... ,, UMIAK( Peslietttl.C.nerter Firatn.illeril- 00046548 DB-SDNY-0009372 EFTA_00I57157 EFTA01289520 Portfolio Holdings (continued) U.S. DOLLARS (continued) Cate Acquired Oumtky Unk Cori Cost Bair Markel Prim Market V*, Unrested Gehrlose Ealinated EstImeed MaulIncome Yield EQUITIES (continued) Common Stocks (continued) GENERAL ELECTRIC CO COS (continued) 03112118 2,500.000 16.2210 40.551 71 12.9400 32,350.00 4,201.71 1,200.00 3.70% 03/16/18 11.700.000 16.2190 189.759 90 12 9400 151,398.00 -38.361.90 5,616.00 3.70% Total Covered 25,000 000 405,493 07 323,500.00 41,993.07 12,000.00 Total 25,000 000 8405,493 07 $323,500.00 481,993.07 $12,000.00 KARYOPHARM THERAPEUTICS INC COM Security Idealdier KPTI Dividend Option: Cash CUSP. 48576U16 07112118 25,000.000 18.6840 467,106.00 21.0500 528,250.00 59,144.00 NINTENDO LTD ADR Security IdentdiecNTGOY Dividend Option: Cash CUSP. 654445303 02105118 10,000.000 511910 517,906.00 44.9500 449,500.00 48,406.00 5,027.26 1.11% Total Common Stocks $55,131,298.05 $76,386,466.76 $21,255,168.71 $1,277,379.28 Preferred Stocks (Listed by expiration date) GIA AC CAP TR I OW TR FPO SECS SER 2 CPR Security Identifier ALLY PRA 8.25% FRED ORTLY MATY-02/1512040 CALL CUSP. 36160208 ANYTIME025 W130 DAYS BEQNS02/1/13 Dividend Opl ion: Cash 02/22/12 " 1 80,000.000 23.5350 1,882,773 60 26.8000 2 144.000 00 261,226.40 157.433 76 734% Total Preferred Stocks $1,882,773.60 12.144.000 00 $261,228.40 1157.133 76 TOTAL EQUITIES $57,014,071.65 $78.530.466 76 $21,516,395.11 11.434.813 01 limbed Estimated Estimated Date Acquired 0uantily Unit Cote OW Bads MIMI Rice Markel Value Gatos Annual Income Yield M UTUAL FUNDS SSORGAN FLOATING RATE INCOME FUND Security Identifier ,PHSX CLASS I CUSP. 482t51 Open End Fund Dividend Option: Reinvest: Capital Gain Option: Reinvest 09/28/17 318.809.777 9.4100 3.000.000.00 9.3700 2.987.247.62 -12,752.38 119,700.31 400% Reinvestments to Date 12,010.803 9.3890 112,764.76 9.3700 112,541.21 423.55 4,509.58 400% Total Covered 330,820.580 3,112,764.76 3,099,788.83 -12,975.93 124,209.89 Total 330,820.580 $3,112,764.76 $3,099,788.83 412,915.93 $124,209.89 TOTAL M UTUAL FUNDS $3,112,764.76 $3,099,788.83 412,975 93 $124,209.89 CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) Account tiornbei AM 2:c:es￾CONFIDO. L Page 8 of 20 Rated Excellent Every Year Since 2007 Mine MEW COMMUNICATIONS UMW< E Cleating through Penleng IIC nobly evened satteldiant of The Bank ether Welt Mellen Cerptwatton OM Mellott) Per 'hex C( made thiteStR4VELGM-00046549 DS-SDNY-0009373 EFIA_00 157 I SS EFTA01289521 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) DateAtouited EXCHANGE-TRADED PRODUCTS ISHARESINC M SCI SOUTH KOREA ETF Dividend Option:Cash:Capital Gain Option.Cash 11103117 13,000.000 75.8460 TOTAL EXCHANGE-TRADED PRODUCTS August 1, 2018 - August 31, 2018 SOUTHERN FIN A N CIA L LLC Daintily Unit Cost Cost Bans Market Pace Market Value Unrealized GehrLoss Estimated Estimated Annual Income Yield Sectity Identifier. MY CUSP. 464286772 965,996.98 67.3200 $985,996.98 Cott Bat 875,160.00 5675,160.00 Martel Value -110,836.98 4110,836.98 Uncoated Awued letueal 28,291.14 323% $28,291.14 Sl ated Arnaud Moms TOTAL U.S. DOLLARS EURO Description 393,294,251.55 $114,848 278 94 aoanilly 09IMIN Balsas Closing Balance Currenoc 921,554,027.39 6309,730.76 93,272,768.01 Acaled Roam 30-Dry Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 44.80 44.80 BUR -75.39 USD 44.80 EUR -75.39 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS Description EQUITIES Common Stocks UBI SOFT ENTERTAINMENT LINO FRO 00 00 54470 SA MONTREUIL ACT Security Id UBI:FR CUSIP:F9196N126 Total Common Stocks 44.80 Canning Market Rice Market Value Dunn, 0.00 0.00 Est hooted Yield 11,200.000 92.6600 1,037,792.00 EUR 1,207,36721 USD TOTAL EQUIT IES CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 1,037,792.00 EUR 1,207,367.21 USD 1,037,792.00 EUR 1,207,367.21 USD Account Hotel= s 2:c es- r L. coNFID I ; AL _ Page 9 of 20 Rated ticellent hely Year Since 2007 DALIARRAITO COMMUNICATIONS amnia Clewing %MOO Pagel% 11C. nlaprented istaldlary of The am* N New Vat Mete Comma an (IINY Melee) Perchrtg LI.C. member FINRA.SPAELGM-00046550 DB-SDNY-0009374 EFM_00157159 EFTA01289522 Portfolio Holdings (continued) EURO (continued) TOTAL EURO HONG KONG DOLLAR Decoction CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance threat Value Currency Awned lateral assay 1,037,727.20 EUR 0.00 1,207,291.82 USD 0.00 (Wine awing Awned 30 •Day Biwa Uwe Currency Income Yield 183,242.25 183.242.25 HKD 23,346.71 USD 183,242.25 183,242.25 HKD 23,346.71 USD TOTAL CASH, MONEY FUNDS. AND BANK DEPOSITS Market Value Currency 0.00 0.00 Accrued lateral TOTAL HONG KONG DOLLAR JAPANESE YEN Decoction Clusellty Opening Balm 183.242 25 HKD 23,346.71 USD OoSg Una Currency 0.00 0.00 Awned 30•Dsy Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 49.00 49.00 JPY -0.44 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS -49.00 -49.00 JPY -0.44 USD Merkel Value Currency 0.00 0.00 'Caned altered TOTAL JAPANESEYEN 49.00 JPY -0.44 USD 0.00 0.00 Unreel* Awued Blended Cod Buis Markel Value deflect Interest Anneal Income TOTAL PORTFOLIO HOLDINGS - U.S. DOLLARS $93,294,251.55 $116,078,917.03 $21,554,027.39 $309,730.76 $3,272,768.01 ' Noncovered under the cost basis rules as defined below. CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) Acocunt Number: CONFIDO. L Page 10 of 20 Rated Eaceilent Claims liner Sabin IIC eulogy evened Every Year Since 20O7 sabildlarg of The Make/Ma yak Meta DALIAR RATED COMMUNICATIONS amparattan (limy Mellon) EXCILLINCI P ItC.rearto FiaiRatitV Via& 00046551 DEI-SDNY-0009375 EFTA_00157160 EFTA01289523 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) August 1,2018 - August 31,2016 SOUTHERN FINANCIAL LLC 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 end 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 /399B, the cost basis will not be reported to the IRS. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed , there may be a temporary Incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. /2Pershing has received updated cost basisinformation, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. The cost basis of this security has been provided fo us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency Exchange•Ttaded Cottony Cosh Fuld Income Equbin Mutual Funds Funds Total by Olnency U.S. DOLLARS 6,922,275 25,420,588 78,530,466 3,099,788 875,160 114,848,278 USD EURO 14 0 1,037,792 0 0 1,037,727 EUR HONG KONG DOLLAR 183,242 0 0 0 0 183,242 HKD ..11PARESE YEN 49 0 0 0 0 49 JPY Total USD Equivalent 6,945,646 25,420,588 79,737,833 3,099,788 815,160 116,078,917 USD % of Allocation 6% 22% 69% 2% 1% 100% 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 "NI A" and are omitted from the Total. THEAS OF PMCE DATEONLY APPEARS WHEN THE PRICEDATEDGESNOT EQUAL THESTATEM ENT DATE CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number: C,O ,„ NFIDOP Raid EstWlent Every Year Since 2007 OMAR RATED COMMUNICATIONS EXCELLING( Page 1' of 20 Gleam. through halms LLC. • Say owned sobsidiary a The Bank ea New Yak Melba CaoporatIon (SHY Mao) Per Ihnx RC. mmtet ONRA.SIAWY01GM-00046552 DB-SDNY-0009376 EFTA_00157161 EFTA01289524 Portfolio Holdings Disclosures (continued) 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 w hich 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. Ratings This statement may contain credit rating information obtained from Standard & Poor's Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's Standard & Poor's does not guarantee the accuracy, completeness. timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securitiess, and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Page '2 of 20 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account tituncbta CONFID Rated Galls. Gary Year Since1007 DALIARIATEDCOMMUNICATIONS LXCGAINCE Clewing through Penang U.C. a.ery owned so:61414r, of The Bank el New York Mellon Corporation Oltly Melba) firstigat Marring rn.n.ztY€11laaWnOuu46553 DB-SDNY-0009377 EFTA 00157162 EFTA01289525 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period August 1,2018 - August 31,2018 SOUTHERN FlNA NCIAL LLC Desadtion Dale Devoted Date Acquired Designation deposition Method, Teaesadlon Nudity Ftoteeds Cod Bads Realized Gslo/Los Short Term CD PROST SA %ISIS 08102118 04/08/18 Covered Frst In First Out / sat 4,880.000 252,724.71 164,893.33 87,831.38 C00011 08103118 04108/18 Covered First In First Out! SELL 3,972.000 215,724.62 139,947.93 75,776.69 Security Wegner. X0957196 08103118 04/18118 Covered First In First Out! SELL 11.348.000 616,325.03 409,231.79 207,093.24 Total 20,000.000 1,084,774.36 714,073.05 370,701.31 SERVICEMASTER OD HT 08109118 10/18/17 Covered First In First Out! SELL 100.000.000 99,369.00 103,925.15 4,556.15 /0138 BIEDTD 03/02/98 Original Cost Basis: 94,00010 Security Identifier 81780NAB5 08/13/18 1011/117 Covered First In First Out! SELL 200,000.000 197,753.00 207,849.23 -10,096.23 Original Cost BUIS:208,00120 08/14/18 10/18/17 Covered First In First Out! SELL 100,000.000 99,135.00 103,924.35 4,789.35 Original Cost Basis: 94,000 60 08114118 10118117 Covered First In First Out! SELL 100,000.000 98,875.00 103,924.35 1,049.35 Original Cost Basis: 94,000.60 08117118 10119117 Covered Frst In First Out / SELL 200,000.000 196,744.00 207,84911 41,105.71 Original Cost Basis: 206,00342 08/17/18 10/19/17 Covered First In First Out! SELL 100,000.000 98,375.00 103,924.85 -5,549.85 Original Cost Basis: 94.00171 08120118 10/19/17 Covered Fret in First Out / SELL 50,000.000 49.436.00 51,982.29 -2,526.29 Original Cost Basis:52000.85 08120118 10/20117 Covered First in rust Out! SELL 80,000.000 79,097.60 83,144.40 4,046.80 Original Cost Basis:83206.00 08120118 10131117 Covered First In First Out! SELL 70,000.000 69,210.40 12,753.41 4,543.07 Original Cost Basis:72.80100 Total 1,000,000.000 987,995.00 1,039,257.80 -51,262.80 Total Short Term 2,072,769.36 1,753,330.85 319,438.51 Long Term WASHINGTONMUT NTG S 08/08/18 12/13/13 Noncoveled* I First In First Out / SELL 1,290,000.000 409,935.54 362,080.20 47,855.34 004-RA2 1114PASSTHRU CTFCL C- Original Cost Oasis. 362.08020 B-11AR RATE 6.998%07/25133 Security Identifier 939336520 Total Long Term 409,935.54 382,080.20 47,855.34 Total Short and Long Term 2,482,704.90 2,115,411.05 367,293.85 CONFIDENTIAL - PURSUANT TO FED. R CRIPA. P. 6(e) Account Nurnbe CONFIDO. L Page 13 of 20 Rated Estrilent Clewing through PenbinglIC nob* evened (very Year Since 2O07 sobsidiary of The Basket/4w. Vat Md* DALBAR RATED COMMUNICATIONS ContoesotoncitiY MOW VICILLINCE PT„ fins 11.C. rrernbt• roaKirKrIlileceM_00046554 0B-SDNY-0009378 EFTA_00157163 EFTA01289526 Schedule of Realized Gains and Losses Current Period (continued) • Noncovered under the cost basis rules as defined below. 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 1988, 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 10998, the cost basis will not be reported to the IRS. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made alter year-end. in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement et year end versus any subsequent reports, including your 1099-8 or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R.1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities. and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 1 The cost basis of This security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or toss, unless another method was selected at the time of the security disposal, and this may be reported on the IRSForm 1099-B. Messages Although a money market mutual fund seeks to preserve the value of your investment at Viper 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-'0 ( b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (An amounts shown are in base currency) Credits ThisPeriod Debits ThisPerio4 Net ThisPeried CleditsYcer4o•Dule DebasYeur4o•Dute Net Yew4o•Dele Securities Severities Bought 0.00 -423A76.76 423,476.76 0.00 43,909,488.17 83,909,488.17 Securities Sold 2,929,701 00 0.00 2,929,701 00 39,012,693.89 0.00 39,012,693.89 Page 14 of 20 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Numbs CONFIDO' 3tEss Rats Etotlitnt Clarks Winer Pallas 11Cflatly owned (very Yes, Sins 2007 sabsklass at Theis* a Nat Yen Maas DASAR RATED COMMUIRCATIONS Carpostfon (SHY Man) VICILLINCI Perfhnx 11.C.nitetty FINIKARNYLEIGM-00046555 DB-SDNY-0009379 EFrA_00I57I64 EFTA01289527 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Activity Summary (continued) August 1, 2018 - August 31, 20 18 SOUTHERN FINANCIAL LLC CreditsThisPolon Debits ThisPetiori Net Ns NIA OiwitsYstr-to-Date DebileYear4o-Dine Net Yerme-Dine Total Securities $2029,701.00 4423.476 76 $2.506.224.24 $39,012,893.89 433,909,488.17 $5,103,205.72 Dividends and Interest $439073.90 $0 00 $439,873.90 $2,090,252.22 $0.00 $2,090,252.22 Distributions $113,728.27 $0 00 $113,728.27 $2,717,935.88 $0.00 $2,717,935.88 Fees $0.00 44 00 44.00 $0.00 41,168.00 41,168.00 Taxes Withheld $0.00 $0 00 $0.00 $0.00 47,000.37 47,000.37 Other $0.00 $0.00 $0.00 $0.00 477.65 477.65 Cash Withdlawah 0.00 4,110,504.31 -1,110,504.31 0.00 -4077,61824 .4,077,618.24 Deposits 1,089,970.60 0.00 1,089,970.60 3,056,792.64 0.00 3,056,792.64 Total Cash $1,089,970.60 41,110,504.31 420,533.71 $3,056,792.64 44,077,618.24 41,020,825.60 Totals $4,573,273.77 41,533,985.07 $3,039,288.70 $46,877,674.83 437,995,352.43 $8,882,322.20 Transactions by Type of Activity Process Settlement Dote Tilde Transaction Ode Adivity Type Description Quantity Price Accrued interest Amount Cunene, Securities Bought and Sold 08106/18 08102/18 SOLD CD PRO,B(7 SA SHS ISMS PLOPTTC00011ALLOCATED ORDER .4,680.000 198.7071 929,294.03 PIN OTGLF YOUR BROKER ACTED AS AGENT AS OF 08102/ 2013 252,724.71 USD 08107/18 08103/18 SOLD CD PROST SA SHS 'SINS PLOPTTC000 tl ALLOCATED ORDER .15,320.000 199.4626 3,053,622.23 PIN OTGLF YOUR BROKER ACTED ASAGBIT AS OF08/03/2013 832,049.65 USD 08110/18 08108/18 SOLD WASHINGTON MUT II TG SECS CORP 2004-RA2 RIG 4,290,000.000 87.0000 828.09 412,499.45 USD WAMU3515294 PASSTHRU CTF CL C41.1 YAR RATE 6198% 07/25133 WE DTD 06/0104 VARIABLE RATE FACTOR 366867890 RBI OAL 47310237 08113/18 08109/18 SOLD SERVICEM ASTER CO NT 7.250%03/0138 WE DM 03/02198 -100,000.000 99.3750 3,262.50 102,631.50 USD SV18.00 YLD 7311TO RAT 08115/18 08113/18 SOLD SERVICEM ASTER CO NT 7150% 0310138 WE DTO 03/02198 -200,000.000 98.8795 6.605.56 204,358.56 USD SVM.GD YLD 7359 TO MAT 08116/18 08114/18 SOLD SERVICEM ASTER CO NT 7250%0310138 WE DT0 03/02198 ,100,000.000 99.1410 3,322.92 102,457.92 USD SV11.GD YLD 7234 TO MAT CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Herne; Page '5 of 20 CONFIDO' etc: es Rated IstvIlent Clewing through PerinlIC a May evened Cvtry Yew Since 2007 setalalary of Me Bank el New Yak Melba DALIAR RATIO COMAUJNICATIONS Como-ream (MY Wilco) LICILLINCI PerIhnx 11.C.rnentxt FintA.IIWYLEPA—00046556 DB-SDNY-0009380 EFTA_00 I 57165 EFTA01289528 Transactions by Type of Activity (continued) Process; Trade; Settlemenl Tranuctkin Date Dale Adivily Type Securities Bought and Sold (continued) 08/16/18 08114)18 SOLD SVM GD 08/21/18 08117118 SOLD WM GD 08/21/18 08117/18 SOLD WM GD 08/220 08/20118 SOLD SVM,GC 08/27/18 08108/18 CANCELLED Sal W AM U351294 08/27/18 08108118 CORRECTED SELL W ALI U351294 08/30/18 RON/ESTCASH INCOME .PHSX Description SERVICE/ ASTER CO NT 7250% 0310138 BIE DTD 03/02198 YLD 7.359 TO MAT SERVICEN ASTER CO NT 7250% ON /311 EVE DTD 03/02198 /ID 7.409 TOMAT SERVICEM ASTER CO NT 7250% 03/0138 BIE DID 03/02198 YID 7.409 TOMAT SERVICEM ASTER CO NT 7250% 0310138 BIE DTD 03/02198 YID 7.359 TO RAT WASHINGTON M UT MTG SECS CORP 2004 -RA2 II TG PASSTHRU Cif Cl C-11VAR RATE 6.998% 07/25/336/E DTD 0610104 VARIABLE RATE FACTOR .366817890 REM BAL 4731237 CANCELLED TRADE WASHINGTON NUT IiiTG SECS CORP 2001-RA2 M TG PASSTHRU Cif CI. C-B-1 VAR RATE 6.998% 07/25/336/E DTD 06/0104 FACTOR .365269Ø0O0 REM BAL 4711)713 FACT/CPN CORRECTION VARIABLE RATE CORRECTED CONFIRM PM ORGAN FLOATING RATE INCOME FUND CLASS I 329649.0420 SHRS SH RS PORCH. AT S9.37000 RD 08/28 Pt) 08/3011 Total Securities Bought and Sold POLISH ZLOTY TOTAL USC EQUIVALENT U.S. COLLARS Dividends and Interest 08/02/18 BOND INTEREST RECEIVED 842400 FU2 08/16/18 CASH DIVIDEND RECEIVED AAPL 08/16/18 CASH DIVIDEND RECEIVED 17296745 08116/18 BOND INTEREST RECEIVED ALLY PRA 08/27/18 BOND INTEREST RECEIVED 939336520 3000000 SOUTHERN CALIF EDISON CO PREF SERE 6 250% 0117162 BIE DTD 0117112 Ca RD 07/15PD 081011 261000 SHRS APPLE INC COW RD 08113 PO 08/1/1 3000000 CITICROUP INC FXD RT SR NT PERP CEP RECPT 5950% 08/5188 WE DID 08/12/15 CM/ RD 08/1 PD 081•6113 80000 SHRSC41 AC CAP TR I GTD TR PF0 SECS SER 2 CPtl￾125% FRED ORTLY ATY-021512040 CALL ANYTIME025 W/30 DAYSBEGINS0215/Z RD 08/11 PD 08/1/13 490000 WASHINGTON M UT M TG SECS CORP 2004 -RA2 M TG PASSTHRU CTF CI. C-B-IVAR RATE 6.998% 07/251336/E DTD 06/0104 RD 07/31P0 08(25/13 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) AccoumN"~ uae CONFID Ouantily Price Acaued Mint Arnnunt Corrency -100.000.000 98.8750 3.322.92 102.197.92 USD -200.000.000 98.3750 6,847.22 203,591.22 USD -100,900.000 98.3750 3,423.61 101,798.61 USD -200,000.000 98.8750 6.887 50 204.631.50 USD 1,290,000 000 87.0000 128.09 412.499.45 USD -1.290,000 000 87.0000 824.42 110,759 96 USD 1,171.538 -10,977.31 USD 0.00 3,982,916.26 PIN 0.00 1.081.774 36 USD 34.496.65 1,121,149.88 USD 93.750 00 USD 192.720.00 USD 89,250.00 USO 41.540 56 USD 2.759.71 USD Page '6 of 20 L-- RiBted Tarry Year Since 2007 DAMAR RATED COMMUNICATIONS UMIAK( Clawing through Penhin LI.C.• Say owned tetaldlary of Ne Usk al~ Yak Mellon ~ban (Mir Mellon) arn , f‘a Psnl.ira ILC.n ,itzA.41"N¥a.w,"-0w46557 DB-SDNY-0009381 EFTA_00 I57166 EFTA01289529 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) kugust 12018 - August 31,2018 SOUTHERN FINANCIAL LLC Roes Trade; Settlement Transaction Date Dale Activity Type DesaOtion Ouantily Price Accrued emelt Amount Currency Dividends and Interest (continued) 08/30/18 CASH DIVIDEND RECEIVED .PHSX 08/31/18 MONEY MARKET FUND INCOME RECEIVED PER232045 PM ORGAN FLOATING RATE INCOM E FUND CLASS I 329649.0420 SHRS RD 08128 PD 08/ 30/ I CASH AC TR DWSGOVT 10.977.31 8.876.32 USD USD Total Dividends and Interest - U.S. DOLLARS 0.00 439,873.90 Distributions 08/27118 RETURN OF PRINCIPAL 490000 WASHINGTON MUT M TG SECS CORP 2004 •RA2 M TG 570.76 USD RECEIVED PASSTHRU CTF CLCM-1VAR RATE 6 998% 07/25/338/E DTD 939336S20 06/0104 RD 07/31PD 08/25/8 08/31/18 PARTNERSHIP DISTRIBUTION 26357 SHRS APOLLO GLOBAL MGM T Lit CL A SHS RD 08/4 PD 113,157.51 USD APO 08/311 Total Distributions- U.S. DOLLARS 0.00 113.728 27 Fees 08/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping JUL 201 CUSP: F9396N-11-6 -200 USD UWE 08/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping JUL 201 CUSP. X0957E-8.6 •2.00 USD OTaF Total Fees - U.S. DOLLARS 0.00 -4.00 Cash W ithdrawals and Deposits 08/02/18 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -25.241.02 USD USD999997 08/07/18 FEDERAL FUNDS RECEIVED DEUTSCHE BANK TRUST 31325 1.089.970.60 USD USD999997 08/08/18 OUTGOING NON USD CURRENCY OUTGOING NON USD CURRENCY WIRE POUSH ZLOTY 4.982.916/6 PLN WIRE CURRENCY -1.085/63.29 USD PLN999997 Total Cash Withdrawals and Deposits POLISH ZLOTY 0.00 -3,982,916 26 PLN TOTAL USD EQUIVALENT 0.00 -1.085,263.29 USD US. DOLLARS 0.00 1,064,729.58 USD Account Numbein C acme CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO Page 7 of 20 L Rated Gallen, Claim through halms LC. • alb* owned Eery Vex Since 2007 atlas, of De Usk OW. Yoh Mellon DAUM PATILDC0MMUNICA11016 Corponem OM Melba/ ,,,,,..,, L, EXCULD1a Porlitint UK. m_000465513 reermw lg.:RA.46011cl 32Co DB-SDNY-0009382 EFTA_00157167 EFTA01289530 Transactions by Type of Activity (continued) Total Accrued Interest Total Amount TrassaclionsSurantary Total Aotreed !Merit Told Amount Onrency USDEquivalent USDEquivelent POLISH ZLOTY 0.00 0.00 PIN 0.00 48813 U.S. DOLLARS 34496.65 3.039.777.63 USD 34,496 65 3,039,777 63 The price and quantity displayed may have been rounded. Cash Not Yet Received Stagily Interest CITIZENSCOMMUNICATIONSCOSR 08131118 09115118 NT FULLY EXCHANGED Total Cash Not Yet Received 935,625.00 Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Ramo Date Payable Ode (Malay Held Rale Dividend Option Amount of Payment 1.000.000.000 0.035625 Cash 35.625.00 Fixed IncomeAnalysis Bond Quality Bone Guilty A 2,172,720.00 9% BAA 8,215,330.00 32% BA/ Lower 14,164,728.34 56% Not Rated 867,810.00 3% Total 25,420,588.34 100% 0 %ol Bond Market Value Mutat Villa Percent or Axed income AEI ■ 20 40 60 80 100 Bond Maturity Schedule Bond Maturity I. 7 to 12 months a 1to 5 years Me to 10 years I.7] Over 10 years Total %of Bond Market Value Muth Value 1,003,750.00 5% 3,142,500.00 12% 2,898,540.00 11% 18,375,798.34 72% 25,420,588 34 100% Percentages of bond market values are rounded tot e nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Client Service Information Your Invedmeat Spedand:ZBI MARTIN ZEMAN 345 PARK AVENUE NEW YORK NY 10154 Coated Information Telephone Number: Page 18 of 20 Account Plumbellin. uctssrg:s CONFID AL ISY CONFIDENTIAL — PURSUANT TO FED. R CRIK P. 6(e) S Rated hatilent trey Year Since 2007 DAtIAR Matti COMMUNICATIONS EXCIllatta Clewing through fleabag IIC *whey evened sataldiary of TM Bask el Near Vat Meta Caoporallan (MY Melba) Panting WC. freeman FiralacaRnaGM-00046559 DB-SDNY-0009383 EFTA_00 I 57 168 EFTA01289531 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Your Account Information kugust 1,2018 - August 31,2018 SOUTHERN FINANCIAL LLC 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 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 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 institutionit 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, w here 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 . 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 Ad. • Your financial organization's contact information can bet n nh fir 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. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Hornbell Page '9 of 20 CONFIDO. L Rated hotlient (Teri Year Since 2007 DALBAR RATIO COMMUNICATIONS VICILLINCI Cleanng through Penh% LC. auk*, evened .Mawr of The Bank el /kr. Yak Mellon CarporatIon (MY Mao) Perihnx 11.C. nntntatt FINRAVVVELGM—°°° 46560 DI3-SDNY-0009384 EFrA_00 I 57169 EFTA01289532 Important Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding:a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, w itness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reasons) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • 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; Account tiumbil. C Uwe CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO. Page 20 of 20 Rated banal Oaring Omagh Pashto; LLC. a MS, owned bery Yew Since 2007 sotaidlary of The Usk el Mew Vat Mellor. MAAR RATED COMMUNICATIONS corootationcour Mellon) UMW( P.”.P.n.: RC. in ter9M1 RA, Pkri‘.61‘A-00046561 DB-SDNY-0009385 EFTA_00157170 EFTA01289533 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIAL LLC 6100 RED HOOK QUARTER B3 ST THOMASVI 00802 Onanth Dant anther Nth,/ beenegtmeth leaflets (Carnage eaCthe Dewnthe Seth 1rneson POW Yen Cake 1415 Pot &teeth. )611 Men Now Toll' the Cant July 1,2018 - July 3 2018 Account Number: Portfolio at a Glance Ties lirlod Year4o-Dalt Your Investment Specialist. BEGINNINGACCOUNT VALUE 8102,070,019.45 897,272,547.37 MARTIN ZEMAN NM Cash Deposits and Withdrawals 83,599.81 -1,000291.89 Adjusted Previous Account Value 102,153,619.06 96,272,256.48 Dividends. 'nicest and Ol het Income 265,397.23 1,924,061.60 Total Taxes Withheld -829.93 -7,000.37 Other Transactions 406.00 -1241.65 Net Change in Portfolio' 3,018,451.35 1,248,056.65 61. . " Accrued interest 5387,652.37 Estimated Annual Income 53,353,485.25 'NW Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Panel Asset 7ype Mar Year-End Lad Period This Period • 4% Cash. Money Funds, and Bank Deposits 823,820.96 3,505,820.11 3,905,773.16 a 25% Fixed Income 26,083,479.22 25,671,185.00 26,892258.89 57% Equities 80,899,388.97 68,940,091.01 70,674,908.14 3% Mutual Funds 3,020,938.22 3,066,687.33 3,088,811.52 1% Exchange-Traded Products 6,444,920.00 880,230.00 814,380.00 100% Account Total (Pie Chart) $97,272,547.37 8102,070,019.45 8105,436,131.71 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) EdNFIDgfilysow-- Page tot 2' Rated Excellent Every Year Since 2007 DALBAR RATED COMMUIIICATIONS EXCELLENCE Clewing through pealikag EEC a %SW evened sabeldiary a me Malt a Na. Vat Mellen CaelearatIon (MY Mika) a A Dertheth 11.C.ninwto fthltA.W 1? 11EL IVI- 00346562 DB-SDNY-0009386 EFTA_00157171 EFTA01289534 Summary of Gains and Losses This Petiod Realized Yeas-I a-Dele Unrealized Short-Term Gain/ Loss 119812.90 1245884.13 4.757.371 10 Long-Term Gain! Loss 461.86 2.589.60844 6.692.198 58 Net Gain! Loss 120.374.76 3.935.292.67 11,449,569.68 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. Exchange Rate Table Global Cash affinity USO Equivalent Oaring per UM Olnency Closing Balance Amount in Base O1(1111O/ USO EURO 1.1699 0 8547 EURO -64.80 -7581 HONG KONG DOLLAR 0.1274 78469 HONG KONG OOLIAR 183242 25 23,352.03 JAPANESE YEN 0.0089 111.9200 APANESE YEN 49.00 0.44 POLISH ZLOTY 0.2735 36555 Total Global Cash Balance $23,275.78 RAND 0.0763 13.0946 Exchange rates are based on interbank exchange rates as of 07! 3V 2018. Exchange rates can vary. Money Market Fund Detail Dale Sweep Money CASH ACTR Current Yield Adivily Type Description Amount Balance Market Fund DWSGOVT & AG INSTL 181% Activity Ending: 07! 31/18 06130/18 Opening Balance 3,497,019.18 3,497,019.18 07103118 Deposit MONEY FUND PURCHASE 10,541.40 3.507.560.58 07106118 Deposit MONEY FUND PURCHASE 2.480.00 3.510.040.58 07/10/18 Deposit MONEY FUND PURCHASE 73.052.21 3.583.092.79 07111118 Withdrawal M ON EY FUND REDEMPTION -1,077,644.89 2.505.447 90 07/16/16 Withdrawal MONEY FUND REDEM PTION -313,016 86 2.192.431.04 07/24/18 Deposit MONEY FUND PURCHASE 1,099,929.70 3,292,360.74 07126/18 Deposit MONEY FUND PURCHASE 6,311.03 3.298.671.77 07/30/18 Deposit MONEY FUND PURCHASE 505.550.67 3.804.222.44 Account Numba C 9tC072 . . CONFIDENTIAL - PURSUANT TO FED. R. CRAM. P. 6(e) ONFIDO AL Rated Catyllent (very Year Since 2007 DALBAR RATED COMMUNICATIONS Page 2 of V Clown& tint's,. Penh's; LC.* Say °mai subudiary of The In el Na. Yak Melba Corporation(0NY maw) P.tv.P.ng tic. rnntry 11liRA.g4111,2PM_00046563 DB-SDNY-0009387 EFTA 0015717? EFTA01289535 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Money Market Fund Detail (continued) July 1,2018 - July 31, 2018 SOUTHERN FINANCIAL LW Dale Mikity Type Desulptial Mont Balm Sweep Money Market Fund (continued) CASH AC TR DWSGOVT & AG INSTL (continued) 07131118 Deposit INCOM E REINVEST 4,604.94 3,808,827.38 07/31118 Closing Balance 63,808,827.38 Total All Money Market Funds $3,808,827.38 icome and Expense Summary Cviterl Petiod That4a-Date Taxable Non Taal* Tooth Non Taxable Dividend Income Equities 25,374.46 0.00 373,146.93 0.00 Money Market 4,604.94 0.00 29,732 62 0.00 Other Dividends 82,646.55 0.00 656,044 47 0.00 Interest Income Bond Interest 152,771.28 0.00 516,954.70 0.00 Other Interest 0.00 0.00 74,499.60 0.00 Expenses W ithholding Taxes 429.93 0.00 -7,000.37 0.00 Fees(Foreign Securities) 400.00 0.00 400.00 0.00 Total Dividends, Interest, Income and Expenses $264,087.30 $0.00 $1,642,477.95 $0.00 Distributions Alternative Investments 0.00 0.00 0.00 273,683.28 Other Distributions 0.00 539.75 -77.65 30,524.33 Total Distributions $0.00 $539.75 477.65 6304,207.81 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Hurnbe C rcoE CONFIDO. Page 3 of 2' Rated Eaceilent (my Year Since 2007 DAtIAR RA TED COMMUNICATIONS UMIAK( Clewing through Pfl CuC..euee evened sabtldiary of The leek ed New Vat Mellon Ceoporatton (OM Melon) Par I hnx U.C.nterto FINRAPPMVELGM—°°° 46564 DB-SDNY-0009388 EFTA_00157173 EFTA01289536 Portfolio Holdings U.S. DOLLARS Account Opening Da Ouaatily Number Activity Opening Ending Balance Comp San Accrued Income Income Tit is Year CASH, MONEY FUNDS, AND BANK DEPOSITS Cash Balance 0.00 73,670.00 Money Market CAM AC TR DVISGOVT1 AGI14$ft 06130/18 3,808,827.380 N/A 07/31/18 3,497,019.18 3,808,827.38 0.00 29,732.62 Total Monsy Market $3,497,019.18 $3,808,827.38 $0.00 $29,732.62 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $3,497,019.18 $3,682,497.38 $0.00 $29,732.62 Adjusted Unegalzed Awned Clete Annulled Ouentity Unit Cod Cost gags Markel Price Midst Value Cialallose folded FIXED INCOMEOn Maturity Date Sequence) °Asset Backed Securities WASHINGTON M UT M TG SECS CORP 2004•RA2 Security Identifier 939335520 MTG PASSTHRU CTF CL Cf1-1 VAR RATE 6.998% 07125/33 81E DTD 0610104 Factor: 0.3688578 Effective Dale27102/1 Current Face Value: 473,22.358 12/13113 "r t2 1290,000.000 76.5190 362,080.20 93.0280 Original Cost Basis: $638.908.71 Total Asset Backed Securities 1,290,000.000 Total Current Face Value:473,192.356 Corporate Bonds CITIZENS CON MUNICATIONSCO SR NT FULLY EXCHANGE FROM 24538AX9 7.25% 031518 8/E DID 03/23/01M oody Rating CAAIS8 P Rating 10103117 1,000,000.000 100.0450 EXELA INTER LLC I DELA FIN INC GTD FIRST PRIORITY SR SECD NT 14A OHO% 0711/23 WE DM 0711212 CLBM oody Rating83SL P Rating B 10/24/17 2.000.000.000 97.0250 07/09118 1.000.000.000 102.8520 $362,080.20 Secuiity Wenlifier: 174538AW1 1,000,449.97 100.5000 Original Cost Basis: 5100100600 Secarily Identifier. 3022RAA9 1.940.506.00 103.1250 Original Cost Basis: 51940,50600 1,028,517.00 103.1250 Original Cost Basis: S1028,756.00 CONFIDENTIAL — PURSUANT TO FED. R CRI6A, P. 6(e) ?Inci= 00 Account Nine 30-On Current Yield Yield 1.81% 1 81% Eillmated Undid Maud boom Yield 440201.39 78,121.19 2,759.81 $440,201.39 878,121.19 $2,759.81 $0.00 1,005,000.00 4,550 03 26.916 67 71,250.00 7.08% 2.062.500 01 121,994.01 8.88819 200.000.00 9 69% 1,031.249 99 2,732.99 4,444.44 100.000 00 9 69% CONFID L Rated ticellent bay Year Since 2007 DALIARMIT0 COMMUNCATI0NS trauma Page 4 of V Cleanng %Mr PadS LLC nob* evened utak:limy a The Melt a New Vat Mete CarporatIon (IINY Mellon) Peri hnx 11.C. mnWon ?MAAR; YaGM-00046565 DB-SDNY-0009389 EFTA_00157174 EFTA01289537 O Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dote Acquired Quantity Unit Cost FIXED I NCOM E (continued) Corporate Bonds (continued) EXELA INTER tiC I DELA RN INC GTO (continued) Total Covered 3,000,000 000 Total 3100.000.000 J3SINVTS GM BH GTD SR NT REG S INN* USA29866AB53 7250% 04/03124 MOTO 04/03/145 & P Rating B• 10/31117 2,000,000.000 99.0650 DEUTSCHE BANK AG NTS ISINt US25625AM33 4 296% 05/24/28 B/E DTO 05/24/13 FOREIGN SECURITY 15T CPN DTE 1124113M oody Rating Ba2 S& P Rating BB. 05/01118 1,000,000.000 91.7780 DEUTSCHE BK AG N Y BRH VAR ISMS US25:626BN89 4.875% 41013281E VD 2/0117 CALLABLE 2/0127 06/01/18 1.000.000.000 86.8260 Adiusted Cod Bade Market Pike 2.969.023.00 $2,969,023.00 Security Identifier A29866AB5 1,981,300.00 100.2500 Original Cost Basis: $1981300.00 Sexily Identifier 25'625AM 3 917.776.00 91.0240 Original Cost Basis: $917,776 00 Security Identifier 256269118 868.256.00 88.3870 SERVICEMASTER CO NT 7250%03/0138 B/E DTD 03/02/98 1ST CFN DTE 09/0198 CPN KIT SEMI ANNUAL ON MAR 01AND SEPOtoody Rating 62 S& P Rating B Original Cost Basis: $868256.00 Security Identifier 81760NAI3,5 10/18/17 500.000.000 519.642.94 100.0000 Original Cost Basis: 5520.00300 10/19117 350.000.000 103.9300 363.756.47 100.0000 Original Cost Basis:$354 106 00 10/20117 80,000.000 103.9360 83.14917 100.0000 Original Cost Basis:383206.00 10/31117 70,000.. 103.9390 72,757.56 100.0000 July1,2018 - July 312018 SOUTHERN ANA NCIALLLC Market Value 3,093,750.00 33,093,750.00 2,005,000.00 910.240.00 883.870.00 500.000.00 350,000.00 80.000 00 70,000.00 Unrealized Gainless 124,727.00 3124127.00 Accrued lidded 13,333.33 $13.333.33 Estimated Estimated Annul Income Yield 300,000.00 3300.000.00 23,700.00 47,125.00 145,000.00 723% 2.536.00 7,995.33 42.960.00 411% 15,614.00 8,125.00 48,750.00 551% -19.642.94 15,104.17 36.250.00 725% -13,756.47 10,572.92 25.375.00 725% -3,149 07 2,416.67 5,800.00 7 25% -2,757.56 2,114.57 5,075.00 725% Page 5 of 2' Account Numb CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated banal Charing through halms LC. • May anal Ever/Yea Since 2007 setaldlary of Ile Usk el Nee York Mellon OMAR PAM COMMUNICATIONS Corporation (IINY Melba) (Antoci Peshattl.C.rnember FIARA.Wri UNM-00046566 DB-SDNY-0009390 EFTA_00157 175 EFTA01289538 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit am FIXED I N COM E (continued) Corporate Bonds (continued) SERVICEM ASTER CO NT 7250%03/01138 FUE (continued) Total Covered 1,000,000 000 Total 1,000,000.000 ASSURANT INC FXD TO RIG SUB NT 7.000% 03/27/48 B/E DID 03727113 CALLABLE03/27128 0 1) 0.000M oody Riling 8A1 03/29/18 2,000,000.000 101.9930 SYORGAN CHASES CO DEP SHSREPSTG TOTH PFD SERIFIXED TO FLTG RT BD 5.828% 04123(58 8/E OW 04123108M oody Rating SAM S8 P Riling BBB. 06/15/11 . '3 2,500,000.000 101.5000 06/15/11"-n 2,500,000.000 107.0000 Total Noncovered 5,000,000 000 Total 5,000,000.000 SOUTHERN CALIF EDISON CO PREF SER E 6 250% 0117/62 BIE OTC Of flit CALLABLE 02/0122 0 AO 000M oody Raring BAM St P Retie BBB￾01/30/12 " 12 3,000,000.000 99.8950 GENERAL ELEC CO GTD FXD-TO.FLTGRT NON-CUMULATIVE PERPETUAL PREFERRED 4 000% 4/03/65 REG DID 12/03/5 Moody Rating A3 S8 P Rating BBB,. 12/03/15 2.469.000.000 88.0930 LLOYDS BANKING GROUP PLC FXD RATE RESET *DIX TIER 1SECS 'SIN. US539439AG42 7.500% 04/27/888/E DID 04107/10S 8 P Rating BB￾04110114'3,° 1,903,000.000 102.3910 Adjusted Oust Bans Market Price Original Cost Basis: $72806.00 1,039,306.04 $1,039,306.04 Security Identifier: 0462UAK4 2,039,868.33 102.0000 Original Cost Basis: $2.040.005.00 Security Identifier: 46625HHA1 2,687,500.00 100.4409 Original Cost Basis:52,687.500,00 2.675.000.00 100.4400 Original Cost Basis: $2,675,000.00 5,362,500.00 $5,362,500.00 Saud y Ident ifier: 842400FU2 2.996.853.10 196.6250 Original Cost Basis: $2892,564.97 Securely Identifier: 369604BM 4 2.175.016.17 90.0000 Original Cost Basis: $2,175.01 .17 Securely Identifier: 539439AG4 1.948.500 00 103 2500 Market Value Unrealized pintos Awued Interest allmated annulled Annual Income Yield 1,000,000.00 -39,306.04 30,208 33 72,500.00 $1,000,000.00 439,306.04 $30,208.33 $72,500.00 2,040,000.00 131.67 48322.22 140,000.00 6.86% 2.511.000.00 -176,500.00 404.72 145,700.00 5.80% 2.511.000.00 -164.000.00 404.72 145.700.00 5.80% 5,022,000.00 -340,500.00 809.44 291,400 00 $5,022,000.00 4340500.00 $809.44 $291,400.00 3.198.750 00 201.896.90 93.750.00 187,500.00 586% 2.222.100.00 47.083.83 12.619.33 98.760.00 4.44% 1.964.847.50 16.347.50 13.479.58 142.725 00 7 26% Account NumbeS C UCO7 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO L Rated Enellent bey Ye4t Since 2007 OMAR WED COMMUNICATIONS EXCUSUICI Page 6 of 2 ' ClewmgdwourPershowlMatAWhaned sabldimeydneUMONmYodtMellon OmmeallimOMYMAm) s XDN/yGMy:00 0004963569 71 hisitint UC. tor t., FinftADIT EFTA_00157176 EFTA01289539 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Cate Acquised FIXED INCOM E (continued) Corporate Bonds (continued) LLOYDS BANKING GROUP PLC FXD RATE RESET (continued) Ousatity Unit Cod Adjusted Cod Bris Medd Prix CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 0815188 WE DTO ONE/ V CALLABLE0811429 VO 000M oody Rahog 8742 S P Roblin BB* 08108115 3,000,000.000 100.0000 Total Corporate Bonds 26,372,000.000 TOTAL FIXED INCOME 27,662,090.000 Ode Acquired EQUITIES Common Stocks Quantity Una Cod Original Cost Basis: $1948.500.00 Security Identifier:172967325 July 1, 2018 - July 31, 2018 SOUTHERN RNA NCIAL LLC Market value Jniealized Gettig-ars Accrued Estimated Estimated Interest Annual Income Yield 3,000,005.99 103.5500 Original Cost Basis: $3.000,006.00 3,108,500.00 106,494.01 82,308.33 178,500.00 5.74% $26,298,854.60 $26,452,057.50 $153,202.90 5384,892.56 $1,719,345.00 $26,660,934.80 $26,692,258.89 $231,324.09 $387,652.37 $1,719,345.00 ALIBABA GROUPHLDG LTD SPONSORED ADR USO 509W 27 Dividend Option: Cash 06110115 5.000.000 88.9500 AMAZON COM INC Dividend Option: Cash 03129118 500.000 1,423.8620 04102118 500.000 1,367.0210 Total Covered 1.000.000 Total 1.000 000 APOLLO GLOBAL MGM T (LC CL A SHS Dividend Option: Cash 263%7.00 of these shares ale io your margin a unt Cod Bale Mickel Pike Market Value Untested Celakoss &Sled Edinuted Armed WNW Add %unity Identifier BABA CUSP:060915102 444,749.00 187.2300 936.150 00 491.401.00 Securily Identifier: MIN CUSP:02313M 711,930.80 1,777.4400 888,720.00 176,789.20 683,570.38 7,777.4400 888,720.00 205,209.62 1,395,441.18 1,777,440.00 387.998.82 $1.395,441.18 51.777.440.00 5381.998.82 $0.00 CONFIDENTIAL - PURSUANT TO FED. R CRilt,I. P. 6(e) Security Identifier APO CUSIP 03764306 Account Numb r vtoz CONFIDO. Page 7 of 2' Rated Caceiltnt Clewing through Peale% LLC. aulayievnted Every Year Since 2007 sateldiery of nit leek et New York Mellon DIallAR RATED COAiMutlICATIONS Cenceettan (MY Mellen) VICILLINCI ittelhne 11C. trerlatt Fieata.61VVELGM-00046568 DI3-SDNY-0009392 EFrA_00157177 EFTA01289540 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired Quantity Unk Cod Cost Bale Market Price Market Value Unrealized Orinoco Estimated Whaled Annual Income Yield EQUITIES {continued) Common Stocks (continued) APOLLO GLOBAL Al GM T LLC CL ASK (continued) 03/29/11 '.13 263.157.000 19.0000 4.999.983.00 35.5000 9.342.073.50 4.342.090 50 513.156.15 5.49% APPLE INC COM Security Identifier. AAPL Dividend Oplion: Cash CUSIP: 037833t0 12/07/17 214,000.000 169.8140 36.340.223.40 190.2900 40.722.059.97 4,381,836.57 624,880.00 1.53% 06/20/18 50,000.000 186.7940 9,339,697.00 190.2900 9.514.500 03 174,803.03 146,000.00 1.53% Total Covered 264.000.000 45.679.920.40 50,236,560.00 4,556,639.60 770,880.00 Total 264.000.000 $45,679,920.40 $50.236,560.00 $4,556.639.60 $770.880.00 BIOGEN IDEC INC COM Security Identifier. BUB Dividend Oplion: Cash CUSP:09052KM 02114112 ' 2.095.000 110.2720 231.019.65 334.3700 700,505.15 469.485 50 CENTENE CORP DB. COM Security Identifier, CNC Dividend Option: Cash CUSP: t11.5691 09/08/14 15.550.000 63.6450 989.679.75 130.3300 2.026.631 50 1,036.951 75 GENERAL ELECTRIC CO COM Security Identifier. GE Dividend Oplion: Cash CUSIP. 369604 03 25.000.00 of these shares are le your margin account 02123118 2,500.000 16.2210 40.551.71 13.6300 34.075.00 4,476.71 1,200.00 3.52% 02/26/18 2.500.000 16.2210 40.551 71 13 6300 34.075 00 847671 1,200.00 352% 03105118 800.000 16.2260 12,980.63 13.6300 10,904.00 -2,076.63 384.00 3.52% 03/07/18 5,000.000 16.2190 81,097.41 13.6300 68,150.00 -12,947.41 2,400.00 3.52% 03112118 2.500.000 16.2210 40.551.71 13.6300 34.075.00 4.476.71 1,200.00 3.52% 03/16/18 11.700.000 16.2190 189.75910 13.6300 159,471.00 -30188.90 5.616.00 3.52% Total Covered 25,000 000 405.493.07 340.750.00 44,743.07 12,000 OD Total 25,000-000 $405,493.07 $340,750.00 464,743.07 $12,000.00 KARYOPHARM THERAPEUTICS INC COM Security Identifier. KPTI Dividend Oplion: Cash CUSP 48576U116 07/12/18 25,000.000 18.6840 467,106.00 17.7800 444.500.00 .22,606.00 NINTENDO LTO ADR Security Identifier: NTDOY Dividend Oplion: Cash CUSIP:654445303 02/05/18 10,000.000 51.7910 517,906.00 42.6700 426,700 00 -91,206.00 5,027 26 1 17% Total Common Stocks $55.131.298.05 $66.231.310.15 817,100,012.10 $1,301,063 41 Page of 2 Account Humber . CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated Iityllent Every That Since 2007 DALIAR PATIO COMMUNICATIONS EXCIILLOICE Charm. tirough Penaing LC. a **at owned satsidiary of The Bank el New York Mellon Ceeporatfon (MY Melba) Itratint meter FINItA.Wcilha," 00046569 DB-SDNY-0009393 EFTA_00 I 57 178 EFTA01289541 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Clete Acquired EQUITIES (continued) Preferred Stocks (Usted by expiration date) GAIAC CAP TR 'GTO TREED SECS SER2 CP11. Secarity Identifier ALLY PRA 8.115% FRED ORTLY MATY-02/15/2040 CALL CUSP. 36160206 ANYTIME025 V4130 DAYS BEGINS02/S/S Dividend Option: Cash 02/22/12 -•° 80,000.000 23.5350 Total Preferred Stocks TOTAL EQUITIES Ode Acquired Deathly I.MII Cod M UTUAL FUNDS /MORGAN FLOATING RATE INCOME FUND Security {daintier SHSX CLASS I CUSIP.48121.510 Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest 09128/17 318,809.777 9 4100 3,000,000.00 9.3700 2 987 247 60 -12,752.40 118.689.69 3 97% Reinvestments to Date 10,839.265 9.3910 101,787.45 9.3700 101.56392 423.53 4,035.35 397% Total Covered 329.649 042 3,101,787.45 3,088,811.52 -12,975.93 122.725 04 Total 329,649 042 $3,101,787.45 $3.088.811.52 412,975.93 3122.725.04 TOTAL M UTUAL FUNDS $3,101,787.45 $3.088,811.52 412,915.93 3122.725.04 Umeallidd Estimated Edintaled Date Acquired Quantity WI Cod Cad Bads Markel Pike Market Value Gab/Loss Annual Income Yield EXCHANGE-TRADED PRODUCTS ISHARESINC M SCI SOUTH KOREA ETF Dividend Option: Cash; Capital Gains Collin' Cash 11/03/17 13,000.000 75.8460 TOTAL EXCHANGE-TRADED PRODUCTS July 1,2018- July 31,2018 SOUTHERN FlNA NCIAL LLC Nudity link Col Jniealized Cod Bads Mild Price Market Value Ceintloss Estimated Estimated Annual Income Yield 1,882,773.60 26.5700 2,125,600.00 242,826.40 152,329.04 7.16% $1,882,773.60 $2,125,600.00 $242,826.40 $152,329.04 $57,014,071.65 Cod Bait Market Price $88,368,910.15 dirket Value $11,342,838.50 Unedited GalarLas 91,453,392.45 Stifled Estimated Annual Income nerd Security Identifier PM CUSP. 464286772 985,996.98 67.2800 $985,996.98 03d Bads 874,380.00 9874,380.00 Mild Value -111,616.98 4111,616.98 28,291.14 323% $28,291.14 Unseated Accrued Estintated Callon rattled Annual Income TOTAL U.S. DOLLARS $91,645,288.26 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) $103,094,857.94 401011116Bkeeil IIS EUNFID $11,449,569.68 $387,652.37 $3,353,486.25 Page 9 of 2' Rithed ticollent Every Year Since 2007 DM AR RA TED COMMUNICATIONS EXCILUNCI Clearing *rough Fenian IIC avoid,' evened Maid's." a The Mak a New Yak Mellon CarporatIon (MY Mellon) Perihnx 11.C.nwelber FINRASWM- 00046570 DB-SDNY-0009394 EFTA_00157179 EFTA01289542 Portfolio Holdings (continued) EURO Crning ClouIng Acaved 30.Oay Desaption Oenlily Balance Banco Currency Inas Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 44.80 44.80 EUR •75.81 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 44.80 44.80 EUR 0.00 45.81 USD 0.00 Description EQUITIES Common Stocks UBI SOFT ENTERTAINMENT 1868FR0000054470 SA M ONTREUll ACT Security Id unifier: UBI:FR CUSP. F93961416 Total Common Stocks Sainted Corny Merkel Pria Musket Value pliancy Yield 11,200.000 94.4400 1,057,718.00 EUR 1,237,435.99 USD 1,057,728.00 RIR 1,237,435.99 USD 1,057,728.00 EUR 1,237,435.99 USD TOTAL EQUITIES TOTAL EURO HONGKONG DOLLAR Merkel Value Currency Acaued Intend 1,057,663.20 EUR 0.00 1,237,360.18 USD 0.00 opting Closing Atoned 30-Day Description (Seethe Balance Balance Omen" Inane Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 89,842.25 183,242.25 HIM 23,352.03 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 69,642.25 183,242.25 HKD 23,352 03 USD Musket Value Canna 183,242.25 HKO 23,352.03 USD TOTAL HONG KONG DOLLAR CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account NumtatilM ?toy CONFIDO. L 0 00 000 Acaued Interest 0.00 000 Page 10 of 2' Rated hortlent Clewing through Pershing LLC,a voilayevnted (rely Year Since 2007 Sniffle., a The Mak a We Yak Melba DALIAR RATIO COMMUNICATIONS CarpontIon(ONY Mellon) LICILL INCE Per Ihnx 11.C. FtratActiVitecGM—00046571 DEI-SDNY-0009395 EFTA_00157180 EFTA01289543 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) JA PAN ESE Y EN Desaiphon CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance July 1, 2018 - July 31, 2015 SOUTHERN FINANCIAL LLC CP11669 Going Awued 30.04 Beta Wm Currency Income Yield 49.00 49.00 JPY -0.44 USD 49.00 49.00 JPY 0.00 -0.44 USD 0.00 Acaved Musket Yalu, Cimino/ weed TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS TOTAL JA PA NESE YEN POLISH ZLOTY Desaiplion EQUITIES Common Stocks CD PROST SA SliS ISDN PLOPITO30011 Security Ideetifier.OTGLF CUSP. X0957106 Total Common Stocks 49.00 JPY 0.00 0.44 USD 0.00 Eillnuted CkeinIty Nadal Prke Market Wine Carew YINd 20000 3,950,000.00 PIN 1,080,562.00 USO 3,950,000.00 PIN 1,080,562.00 USD TOTAL EQUITIES 3,950,000.00 PIN 1,080,562.00 USD Market Value Currency TOTAL POLISH ZLOTY 3,950,000.00 PLN 03d Mk 1.080.582.00 USD Market Value Awued Interest o00 o 00 Unreel:0d Accrued Blinded Golalloss Interest Mewl Income TOTAL PORTFOLIO HOLDINGS - U.S. $91,845,288.28 DOLLARS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 2105,436,131.71 211,449,569.68 2387,652.37 23,353,486.25 Page 11 of 21 Account ,77berISI CONFIDOs L ticellent Every Yew Since 2007 DALIARIATED COMMUNICATIONS uctuoicr Clare...through Peal*. 11C•aapronwel sataldiary a The Mak elllaw Vat Mellon CarporatIon (MY Mellon) Perihnx 11.C.nytt-tan FtiveAVVVELGM-00046572 DB-SDNY-0009396 EFTA_OOI57I 81 EFTA01289544 Portfolio Holdings (continued) Noncovered under the cost basis rules as defined below. 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 20 0 8, 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 1099.8 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. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided fo us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. e The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may changeover time and are obtained from sources we believe to be reliable ° Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided fo us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency Omen, Cash Fired Income Equities mutusi Funds ExchangeTraded Funds Total by Oaring U.S. DOLLARS 3,882,497 26,892.258 68,356,910 3,088,811 874,380 103,094,857 USD EURO 44 0 1.057.728 0 0 t.057.663 EUR HONG KONG DOLLAR 183,242 0 0 0 0 183,242 HKO JAPANESE YEN 49 0 0 0 0 49 JPY POLISH ZLOTY 0 0 3,950,000 0 0 3.950,000 PIN Total USD Equivalent 3,905,773 26.892,258 70.674.908 3.088.811 874.380 105.436.131 USD % of Allocation 4% 25% 67% 3% 1% 100% 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 "N/ A" and are omitted from the Total. THEASOF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield ( EA Y ) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or Page '2 of 2' Account Numbe ItCti`t )2: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO' L-- Rated [smiler., bey Yew Since 2007 DALIAR WED COMMUNICATIONS UCILLUKt Cleanng through hakes LC. • Say anti setaldiary of me Usk N New Vat Mellon Corporation (Ely Mew) Positing UK. merter Pkilliia.GM-00046573 DB-SDNY-0009397 EFTA_00 I 57 182 EFTA01289545 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) July 1, 2018 - July 31, 2018 SOUTHERN FlNA NCIAL LLC Estimated Annual Figures (continued) 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 w hich 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. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions. regardless of the cause. or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities, and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Page '3 of 2' Account Number: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Ram timilent fray Year Since 2007 OMAR MITO COMMUNICATIONS EXCULINCI Clewing Heater Pashas LC. • k•A•ti owned sobsidiary of TM Usk el Mew 'fort Mellon OnotatIon (MY Mellon) Per Oinx 11.C.rnet-to IthRA.%WiLka.GM-00346574 DB-SDNY-0009398 EFTA_00 I 57 I 83 EFTA01289546 Schedule of Realized Gains and Losses Current Pe iod Date Dale Realized Desolation Disposed Acquked Designation Cispodlion Method! Traoadion Quantity Proceeds Cod Bads Gain:Loss Short Term NWERS LIMITED LTD 0705/18 12112117 Covered first In First Out! SELL 2.000 000 504173 64 516,820 51 -12,246.87 005889 Security Identifier 55343593 SOUTH AFRICAN RAND C 07/25/18 07125118 Nonmetal* first In First Out! SELL 6168196.590 505,55017 50417314 977.03 Security Identifier. ZAR999996 ALPHABET INC CAP STK 07120/18 04102118 Covered first In Fed Out! SELL 1.000100 1.122.873.40 1,004,634.49 118.23811 Security Identifier 02079K97 PUT ALPHABET INC CL 07/23/18 05122118 Covered first In First Out / WIRE OPT SHT -10.000 12.943.83 0.00 12,943.83 D25.00 Security Identifier. 990AM 8601 Total Short Term 2.145 941 54 2,026,028.64 119,912 90 Long Term WASHINGTON MUT MTGS 07/25/18 12/13/13 Noncovered'' REPYMT OF PRIN 1.290,000 000 1,966 95 1,505.09 461.86 004-RA2 MTGPASSTHRU CTFCL C- Original Cost Basis:1506.09 B•1 VAR RATE 6.998%07/25133 Security Identifier 939336520 Total Long Term 1.966.95 1,505 09 461.86 Total Short and Long Term 2.147.908.49 2.027.533.73 121374.76 Date Dale Realized Description Disposed Acquired Designation Disposition Method r Dansadion Quantity Proceeds Cod Basis Oaintoss As of Trades HONG KONG DOLLAR CUR 06/11/18 12121117 Nonoovered' Versus Purchase! SELL 35,044.370 4,465.07 4,483.15 .18.08 Security Identifier. 111(0999999 06/11118 05102118 Noncovered' Versus Purchase! SELL 7,738.030 985.92 985.77 0.15 06111/18 05102/18 Noncovered' Versus Purchase! SELL 10.014.150 1,275.92 1,275.74 0.18 06/11/18 06105118 tioneoyeted. Versus Purchase! SELL 7.738.030 985.92 985.84 0.08 06/11/18 06/11/18 Noncovered' Versus Purchase! SELL 1.902.365.420 242.384.32 242.441.46 47.14 08/11/18 06111118 Noncovered' Versus Purchase! SELL 2,839,974.790 361.847.07 361,932.38 15.31 06111/18 06111118 Noncovered' Versus Purchase! SELL 1.697.089.980 216,229.75 216,280.73 40.98 06111118 06/11/18 Noncovered' Versus Purchase! SELL 2,577,887.920 328,454.04 328,531.47 -77.43 06/11/18 06/11/10 Noncovered' Versus Purchase! SELL 2.140.921650 272.779.77 272,844.08 44.31 06/11/18 06/11/18 Noncovered' Versus Purchase! SELL 1,895,607.510 241,523.28 241,580.22 46.94 06111/18 06111/16 Noncovered' Versus Purchase! SELL 876,585.300 111,687.55 111,713.88 -26.33 06/11/18 06/11/18 Nonoovered' Versus Purchase! SELL 2.532.555.050 322,678.08 322,754.16 -76.08 06/11/18 06111/18 Noncovered' Versus Purchase! SELL 1.683.744.780 211,981.15 212,031.14 49.99 06/15/18 06/15/18 Nonoovered- Versus Purchase! SELL 982.444.650 125.136.24 125.163.35 -27.11 Page 14 of V 9tCtin C Account Numb CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO L-- Rated Excellent Every Year Since 2007 DALBAR Mit° COMMUNICATIONS LXCILLINCI Clewing through PenhieglIC. a *lay ~ad sabsidiary of The Mak at New Vat Mellor. CarporatIon (OM WNW Per tin 11.C.nwt-bn Itt.U.g4q2PM- 00346575 DB-SDNY-0009399 EFTA_00 157184 EFTA01289547 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) July 1,2018- July 31,2018 SOUTHERN FINANCIAL LLC Noncovered under the cost basis rules as defined below. Generally, securities acquired before 201i 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 markthe account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes. especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition. corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information.as it relates to corporate actions. has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1399-8 or online displays you may have available to you W hen you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRSor other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election. type of fixed income security. and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less t han one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. ' The cost basis of this security has been provided Co us by you or your introducing firm and Pershing makes no representation ask, the accuracy of this in formation. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account If you do not select a method, your account will be defaulted to First In, First Out (FIFO) Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRSForm 1099-B M essages 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-13( b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Account Number... CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID 'NOV Page '5 of 2' Rated Excellent Clasen. Racier Persian LC. a ~gowned Every Year Since 2007 saandlary al The lank a Nov York Mellon DM AR RATED COMAWNCATI0NS Corporatton(ativ Man) EXCELLENCE Anthem rren-nan ne,RA.PkiY,EPM_00046576 DB-SDNY-0009400 EFTA_00 157 185 EFTA01289548 Activity Summary (All amounts shown are in base currency) Claes TNsPeilod Debits ThisPerlod Net IbisPoilod CridlleYem4o-Dale Deal:Marti-Dote Net Yeet-lotate Securities Securities Bought 9.00 .1,663,727.44 .1,553,727.44 0.00 .33.486.011 41 .33,486,011.41 Securities Sold 2,110,054.01 0.00 2,110,054.01 36,082,992.89 0.00 36,082,992.89 Total Securities $2,110,054.01 41,553,727.44 $556,326.57 $36,082,992.89 433.486.011 41 $2,596,981.48 Dividends and Interest $265,397.23 50.00 $265,397.23 $1,650,378.32 $0 .00 $1,650,378.32 Distributions $539.75 $000 $539.75 52,604,207.61 $0.00 52,604,207.61 Fees $0.00 -$506 00 4506.00 $0.00 41,164.00 41,164.00 Taxes Withheld $0.00 4629 93 4829.93 $0.00 47,000.37 47,000.37 Other $0.00 $0 00 $0.00 $0.00 477.65 477.65 Cash Withdrawals 9.00 0.00 9.00 0.00 -2,967,113.93 -2,967,113.93 Deposits 83,599.61 0.00 83,599.61 1,966,822.04 0.00 1,966,822.04 Total Cash $83,599.61 $0.00 $83,599.61 $1,966,822.04 42,967,113.93 41,000,291.89 Totals $2,459.590.60 41,555,083.37 $904,527.23 $42,304,400.86 436,461,367.36 $5,843,033.50 Transactions by Type of Activity Process Dade Settlement Transaction Dote Dote Activity Type DesalptIon Goatee Prim Awued lateral Amount twenty Securities Bought and Sold 07111/18 07109118 PURCHASED EfELA INTER LLC f DELA AWING GTO FIRST PRIORITY SR %CD 1,909,900.000 102.8750 48.888 89 -L017,644.89 USD Elal45141N NT 114A 11000% 07P6123 81E DTD 0712/4 ClB YLD 9.47 TO PAR 07116/18 07/12118 PURCHASED KARYOPHARM THERAPEUTICS INC CON UNSOLICITED ORDER 25,000.000 18.6440 467,106.00 USD KPH AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 07/23/18 YOUR OPTION ASS GNED CALL DO ALPHABET INC CLC EKP 07.20.5 41110 GOOG 10.000 0.00 USD 990AM BOOB CLOSING TRANSACTION 07/23/18 YOUR OPTION WIRED PUT HO ALPHABET INCUCE/207-20-11(312250000 10.000 0.00 USD 990AM 8601 CLOSING TRANSACTION 07/24/18 07/20/18 SOLD ALPHABET INC CAP STK CL C ACCT OPT ASSIGNED OPTCUSIP -1.000.000 1.100.0000 1.099.929.70 USD GOOG NOAH860H 07130/18 07126/18 SOLD RAND 4,668,596.590 13.1907 505,550.67 USD Page 16 of 21 CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) Account Numbs-11M CONFIDO. RCM L Rated Cioalent Every Year Since 2007 DALIAR RATED COMMUIIICATIONS LXCILLINCI Clewing *roar Pate, IIC a wiepreved subsidiary a The Mak a New Yak Meta CarpotatIon (OM Mellon) P U.C.ertn—bn FilislAVVVELGM-00046577 DE1-SDNY-0009401 EFTA_00 157186 EFTA01289549 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) July 1, 2018 - July 31, 2018 ertlITle FMK] CIAIA NINA' i ir Proceed Trade; Settkmenl Trance:Hon Date Dale AclivRy Type Desaiption Duality Price Accrued Interest Amount Corrency Securities Bought and Sold (continued) 07130/18 07/25/18 SOLD NASPERS LIM 'TED LTD INNS ZAEDO 00 16889 ALLOCATED -2100.000 3.335.0004 6.668.596 59 DR NAPRF ORDER YOUR BROKER ACTED AS AGENT AS OF 07125/201 504,573 64 USD 07/30/18 REINVEST CASH INCOME .PMORGM FLOATING RATE I HCOM E FUND CUSS I 958.010 4.916 55 USD PHSX 3286910320 SIRS SIRS PURCH. AT 59.37000 RD 0712/3 PO 07130113 Total Securities Bought and Sold U S. DOLLARS -41888.89 51.752 93 USD RAND 0.00 6,668,596.59 ZAR TOTAL USC EQUIVALENT 0.00 504.573.64 USD Dividends and Interest 07/05/18 FOREIGN SECURITY DIVIDEND HS8C HOLDINGS PLC ORD SHS IS NO G80005405286 RD 05/1 -24,800.000 2.480.00 USO RECEIVED PD 07105/1 DIV @ol HBCYF 07/1018 BOND INTEREST RECEIVED 3000000 URA INTER LLC I BRA RN INC GTD FIRST 150.000.00 USD 30 '62RAA9 PRIORITY SR SECO NT 414A D 000% 07111238/E DTD 0714117 CLB RC 06/29 PD 07/15/1 07116/18 FOREIGN SECURITY DIVIDEND 13000 MRS NINTB100 LTO AC R RO 03/29 PC OTIZI13 5.419.07 USD RECEIVED NTDOY 07/24/18 FOREIGN SECURITY DIVIDEND 7 NO 0 00 SHARES LONKING HOLDINGS LTD SHS 113,600 00 HKD RECEIVED INNS KYG6636C13 78 FOREIGN SECURITY DIVIDEND RECEIVED 14.475.39 USO 3339 HK RD 06011 PO 072413ASOF05/0/1 07/25/18 CASH DIVIDEND RECEIVED 25000 SHRS GENERAL ELECTRIC CO COM RD 06/1 PD 07/25/13 3.000.00 USD CF 07125/18 BOND INTEREST RECEIVED 490000 WASHINGTONMUT M TG SECS CORP 200 4.17A2 M TG 2.77118 USD 939336$20 PASSTHRU CTF Cl C-8-1VAR RATE 6 997% 07/25/1311E DTD 06/010 4 RD 06129 PD 0712511 07/30/18 CASH DIVIDEND RECEIVED ?MORGAN FLOATING RATE INCOM E FUND CUSS I 8.976.55 USD PHU 3286910320 SHRS RD 07126 PO 07/30/1 Account Numbe CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDe L￾Rated Lateen‚ free Yen Sae 2OO7 DALIAR RATED COMMUNICATIONS IXCILLINC( Page '7 of 2' Omni through Peninnt LC, a wee owned sutesidury of The Oak of New York Mellon Corporation(aN' Mellon) Peery:11C men>, ‘2,RA.eaenfapm_oce46578 DB-SDNY-0009402 EFTA_00I57 187 EFTA01289550 Transactions by Type of Activity (continued) PrOCtit; Trade; Settlement Transaction Date Date Activity Type Description Quantity Price Acaued Interest Amount Cerrency Dividends and Interest (continued) 07/31/18 MONEY MARKET FUND CASH AC TR DWSGOVT 4.60494 USD INCOME RECEIVED PER232045 07131/18 CASH DIVIDEND RECEIVED 5000000 PM ORGAN CHASE & CO DEP SHS REPSTG 79TH PFD 73,67000 USD 4662511HA1 SERIFIXED TO FLTG RT BD RD 07/27 PO 07/30/13 ADJSOURCE CODE Total Dividends and Interest HONG KONG DOLLAR 0.00 113,600.00 HKD TOTAL USD EQUIVALENT 0.00 14.475.39 USD US. DOLLARS 0.00 251921 84 USD Distributions 07/25/18 RETURN Of PRINCIPAL 1290000 WASHINGTON M UT M TGSECS CORP 2004-RA2 M TG 539.75 USD RECEIVED PASSTHRUCTF CL C1-1VAR RATE 6.997% 07125133 BIE DTD 939336520 06/0104 R006/29 PD 07/25/1 Total Distributions U.S DOLLARS 0.00 639.75 Fees 07/02118 FOREIGN CUSTODY FEE Fgn Safekeeping UN 20$ CUSIP. F9396N-13-6 -210 USD UBSFF 07102/18 FOREIGN CUSTODY FEE Fgn Safekeeping JUN 20$ CUSP S53435-13-3 -2.00 USD NAPRF 07102/18 FOREIGN CUSTODY FEE Fgn Safekeeping JUN 2013 CUSP X0957E-8.6 -2.00 USD OTGLF 07/16/18 FEE ON FOREIGN DIVIDEND 9000 SHRS N10110400 LID ADR RD 03129 PD 07/8/13 500.00 USD WITHHELD AT THE SOURCE NTDOY Total Fees - U.S. DOLLARS 0 00 508.00 Taxes Withheld 07/16118 FOREIGN TAX WITHHELD AT 11000 SHRS NINTENDO LTD ADR RD 03129 PC 07/S/S 129.93 USD THE SOURCE NTDOY Total Taxes Withheld - U.S. DOLLARS 0.00 429.93 Other Transactions 07125118 07/24/18 ACTIVITY WITHIN YOVRACCT ALPHABET INC CAPSTK CL C INTRA-ACCT JNL -1000.000 0.00 USD GOOD 07/25/18 07124/18 ACTIVITY WITHIN YOUR ACCT ALPHABET INC CAPSTK CL C INTRAACCT Ill 1100.000 0.00 USD GOOG Total Ot her Transactions - U S DOLLARS 0.00 0.00 Page 18 of 2' Account Number: CON CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) FIDO. Rated [smitten bey Year Since 2007 DAMIARMIT0 COMMUNICATIONS EXCELLENCE Clewing through PEWS LC. a *lay coma" sobsidiary of The Mak awe« Vat Mellor. CarporatIon (MY Wilco) rs na Peri hnx LICerter-bn Ithttx. VALNYIEt9m—Ouv4657w DB-SDNY-0009403 EFTA_00 I 57 188 EFTA01289551 Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Transactions by Type of Activity (continued) July 1, 2018 - July 31, 2018 SOUTHERN FlNA NCIAL LLC PT0CRSI. Trade Settlement Transaction Date Dale Activity Type Devaiption Quanta, Price Awued Mitered Amount Cunene, Cash Withdrawals and Deposits 07/02/18 FEDERAL FUNDS RECBVED DEUTSCHE BANK TRUST 34575 10,547.40 USD USD999997 07/09/18 CUSTOMER AUTHOMZED TRANS FRIA N4G.026t1 73,052.21 USD TRANSFER US0999997 Tot al Cash Withdrawals and Deposits- U.S. DOLLARS 0.00 83,599.61 Tote Accrued Blued Total Amount TronsoctIonsexemory Told Awued Mimed Told Amount Currency US0Equtralont USDEquIvolent HONG KONG DOLLAR 0.00 113.600.00 HKD 0.00 14,475.39 U.S.DOLLARS 48.888.89 385.478.20 USD 48.888 89 385,478.20 RAND 0.00 6,668,596.59 ZAR 0.00 504,573.64 The price and quantity displayed may have been rounded. Fixed Income A nalys s Bond Quality % ol Bond Bond Duality lisket Value Motet bin Percent of Fixed name A 2,222,100.00 8% BAA 8,220,750.00 31% BA/ Lower 16,126,337.50 56% Not Rated 1,324,071.39 5% Total 28,892,258.89 100% 0 20 40 80 80 100 Bond Maturity Schedule Bond Melnik, IS 7 to 2 months Mita 5 years M8 to iO years 1 Over 10 years Total Merkel Vim %el Bond Market Value 1,005,000.00 4% 3,093,750.00 12% 2,915,240.00 11% 19.878.288.89 73% 26,892,258.89 100% Percentages of bond market values are rounded tot e nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. CONFIDENTIAL — PURSUANT TO FED. R CRII14. P. 6(e) Account Number: CONFIDO' .c. Page 19 of 21 Rated Cantlient Clewing near PaflS IIC nob* monad (very Year Since 20O7 Malawi, of The Malta New Yoh Mellon DAUIAR RATED COMMUNICATIONS CarporatIon OM Man) LXCILLINCI Pen hnx 11.C. rwett. FtuRAAR4VELGM-00046580 DS-SDNY-0009404 EFIA_00157189 EFTA01289552 Client Service Information Your !maimed Spedad:ZEM MARTIN ZBA AN 345 PARK AVENUE NEW YORK NY 10154 Your Account Information Canted Information Telephone Number: 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 ELE-CTIONS 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. 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, w here 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 . 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. CONFIDENTIAL — PURSUANT TO FED. R CRilvl. P. 6(e) Page 20 of 21 Account Number CONFID L Wed Emden? Emmy Year Since 2007 DALIAR RATED COMMUNICATIONS LXCILLINCI Clearing lamp% PashiglIC *lay evened semidry QUM lank a Meer Yak Mellon CarpondonOINY WWI P meet. F thisIA.SW VELGM-00046581 DE1-SDNY-0009405 EFTA_00157190 EFTA01289553 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) July 1,2018 - July 31, 2018 SOUTHERN FINANCIAL LLC 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, 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 (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; stctibla Account Nunn C CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO L Rated Extrilem trey Year Sint 2CO7 DALBAR RATED COMMutoCATIONS ['CULMCI Page 21 of 2' Clewing %MVO /BPS C 11C. • Say anal stidiary of The Bonk a Mew Yon Mellon Caw-Alan (MY Mellon) p,, RA.get".4UGM_00046582 DB-SDNY-0009406 EFTA_00157191 EFTA01289554 PA Deutsche Bank P.O Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIAL LLD GE RED HOOK QUARTER B3 ST THOM AS VI 00802 Dlutvh• Sant etisain Marlh Mules contact Gion: Devliche Ur* Se. vier. Yen Me 3.5 Pot m.enva. 3611,11.01 Now VCAIS Ton roe tote June 1,2018 - June 30 2 It Account Number: Portfolio at a Glance ThisPeried Write-Date Your Investment Specialist: BEGIN NI NGACCOUNT VALUE JOSHUA SHOSHAN Net Cash Deposits and Withdrawals 3102,037,432.07 47,829.37 $97,272,547.37 4,083,891.50 Adjusted Previous Account Value 102,085,081.44 96,188,655.87 Dividends. Interest and Other Income 120,922.63 1458464.37 Total Taxes Withheld 485.84 4,170.44 Other Transactions -28.45 -735.65 Net Change in Portfolio' ,134,950.23 4,229,605.30 ENDiNGACCOll $102,070,019.45 $102,070,019.4 Accrued Merest 5417.745 15 Estimated Annual Income 53 248.833 26 Asset Summary 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. MI a • Pena Asset Type Pier YeatZed Lad Period This Period 3% Cash. Money Funds, and Bank Deposits 823,820.96 2152.138.08 3,505,820.11 25% Fixed Income 26,083,479.22 24,025,290.61 25,871,185.00 68% Equities 60,899,388.97 71,251,655.07 68,940,097.01 3% Mutual Funds 3,020,938.22 3,070,528.05 3,068,887.33 1% Exchange-Traded Products 6,444,920.00 937,620.00 880230.00 100% Account Total (Pie Chart) $97,272,547.37 $102,037,432.07 $102,070,019.45 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Pagel of 28 CONFIDO. L Rated Excellent (my Yew Since 2007 OM AR RATIO COMMUNICATIONS EXClattla Clawing through Penblin IIC auk*, elms sosIdlary of The Mak a New Vat Mete CoriNf Won OINY Mellon) PerIhnx 11.C. merlon iiime.E44YeiceM_00046583 DB-SDNY-00O94O7 EFTA_00157192 EFTA01289555 Summary of Gains and Losses This Period Realized Yeer-lo-Date Unrealized Short-Term Gain! Loss 74,698.81 1,225,771.23 3 266 517 44 Long-Term Gain? Loss 1535998 2.589.146.58 5.467 108 14 Net Gain! Loss 9139.23 3.814.917.81 8.733.625 58 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. Exchange Rate Table Global Cash Ommry Closing Amount in Currency USD BaolealeM per U9) 0.111ffq Belau Base currency USO EURO 1.1674 0.8566 EURO .64 80 -75.65 HONG KONG DOLLAR 0.1274 7 8452 HONG KONG DOLLAR 69,642 25 8.877.02 ,b1PANESE YEN 0.0090 110.7500 APANESE YEN 49.00 .0.44 POLISH ZLOTY 0.2671 3.7428 Total Global Cash Balance 68.800.93 RAND 0.0729 13.7027 Exchange rates are based on interbank exchange rates as of 06/ 29! rates can vary. 2018. Exchange Money Market Fund Detail Dale Activity Type Deocaptha Mount Bean Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield 179% Activity Ending: 06/ 29/18 06/01/i8 Opening Balance 2,642,633.90 2.642.633 90 06/01/18 Deposit MONEY FUND PURCHASE 99,99996 2.742,633 56 06104/18 Withdrawal M ON EY FUND REDEMPTION .8,648.63 2.733.984.93 06105118 Withdrawal MONEY FUND REDEMPTION -1,731,636.34 1,002 348.59 06/11/18 Deposit MONEY FUND PURCHASE 744.427.29 1.746.775 88 08/12/18 Deposit MONEY FUND PURCHASE 7194.933.00 9.141.708 88 06/13/18 Deposit MONEY FUND PURCHASE 2.317.277.84 11.458.986 72 06/14/18 Deposit MONEY FUND PURCHASE 205.433.55 11,664.420 27 06/18/18 Deposit MONEY FUND PURCHASE 49,380.00 11,713,800 27 06120/18 Deposit MONEY FUND PURCHASE 125.136.24 11,838 936 51 Page 2 of 28 Account Number: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO L-- Rated ticellent trey Year Since 2007 OMAR RA TED COMMUNICATIONS EXCULINCI Clean... rough Peeshft 11C. a Say °mai sabsicliary a The Mak OW. York Mao Carponclon (IINY Wilco) Pers. Ira U.C. ertrett. DB-SDNY-0009408 EFTA_00 157 193 EFTA01289556 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Money Market Fund Detail (continued) June 1, 2018 - June 30,2018 SOUTHERN FINA NCIAL LLC _LA Dale Activity Type Sweep Money Market Fund (continued) DEUTSCHEGOVT CASH INSTL (continued) 08/21/18 Deposit 06/22/18 Withdrawal 06125118 Deposit 06126/18 Deposit 06128118 Deposit 06129/18 Deposit Desaiption Mount Nit= MONEY FUND PURCHASE MONEY FUND REDEMPTION MONEY FUND PURCHASE MONEY FUND PURCHASE MONEY FUND PURCHASE 6,200.00 4,339,697.00 944)64.33 3,390.99 35,681.25 7.743.10 11,845,136.51 2,505,439.51 3,450,203.84 3,453,594.83 3,489276.08 INCOM E REIN V EST 3,497,019.18 06/29/18 Closing Balance $3,497,019.18 Total All Money Market Funds $3,497,019.18 Income and Expense Summary Oment Period You4o-bare Non Tittle Taxable Noo 'noble Dividend Income Equities 16,058.37 0.00 347,772.47 0.00 Money Market 7,743.10 0.00 25,127.68 0.00 Other Dividends 58,657.12 0.00 573,397.92 0.00 Interest Income Bond Interest 38,463.94 0.00 364,183.42 0.00 Other Interest 0.00 0.00 74,499.60 0.00 Expenses Withholding Taxes 485.84 0.00 4,170.44 0.00 Fees( Foreign Securities) 0.00 0.00 400.00 0.00 Total Dividends, Interest, Income and Expenses $119,936.69 $0.00 $1,378,410.65 $0.00 Distributions Alternative Investments 0.00 0.00 0.00 273,883.28 Other Distributions .0.45 808.30 -77.65 20,084.58 Total Distributions 40.45 $608.30 477.65 $303,667.86 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: 3teg2CSI.:25 CONFID AL￾Page 3 of 28 Rated Emden? Clewing through Periwig IIC ntlaprewel (very Year Since 2007 stadia" of The MBA N New York Mellon DALIAR RATED COMMUNICATIONS CapotatIon (WY meuoo) (1OILLINCI Per thing 11.C. Fret-tan rtratkrigneceTA-00046585 DB-SDNY-OOO94O9 EFTA_00 157194 EFTA01289557 Portfolio Holdings U.S. DOLLARS Account Opening Dale Quantity Number Adirity Opening Ending Banda acEg Snot Awued h10)111. income ThisYear CASH, MONEY FUNDS, AND BANK DEPOSITS Margin Balance 99,999.66 0.00 Money Market DEUTSCHE GOVT CASH INSTL 06/01/18 3,497,019.180 N/A 0829118 2,612,633.99 3,497,019.18 172 60 25.12718 Total Monsy Market $2,642,633.90 $3,497,019.18 $17260 $25,127.68 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $2,742,633.56 $3,497,019.18 $172.60 $25:127.68 Adjusted Unrealized Awued Date Acquired Matey UnN OA Cost Saris Merkel Price Market Velue Grin Loss Interne FIXED INCOMEOn Maturity Date Sequence) °Asset Backed Securities WASHINGTON M UT MTGSECSCORP 2004•RA2 V TG PASSTHRU CTE CI. C.- 61 VAR RATE Security Identifier 939336520 6.997% 07/25/33 53/ E DM 0610404 Factor: 0.36834055 EffedNe Dale:06/0113 Current Face Value: 475.49 3D 12/13113 . '3rt? 1,290,000.000 76.5190 363,585.29 93.0590 Original Cost Basis: 9638108.71 Total Asset Backed Securities $363,585.29 1,290600.000 Total Current Face Value:475 159.310 Corporate Bonds CITIZENSCOM MUNICATIONSCO SR Sedulity Identifier: 04538.0141 NT FULLY EXCHANGE FROM 44538AX9 7125%03/S/9 8/E DM03/23/01M oody Rating CAA1S8 P Rating B• 10/03117 1,000,000.000 100.0510 1,000,507.99 100.7500 Original Cost Basis:91001006.00 EXELA INTER LLCI DELA FIN INC GTD Security Identifier 3052RAA9 FIRST PRIORITY SR SECO NT 144A 9.000% 0716/238/EDM07/12/17CLBMoody Rating 83 S 6 P Retied B 1024117 2,000,000.000 97.0250 1.940.506.00 102.1250 Original Cost Basis: 51940,506.00 CONFIDENTIAL — PURSUANT TO FED. R CRIAA, P. 6(e) Account Number.. 30.0ey Current Yield Yield 1.73% 1.79% Estimated Wingate; Annual Income Yield 442,178.50 78,593.21 2,678.37 $442,178.50 $78,593.21 $2,678.37 $0.00 1,007,500.00 6,992.01 20,781.25 71,250.00 7 07% 2.042.500.00 101,994.00 91,66617 200600.00 9 79% Page 4 of 28 CONFIDO. nOi2C 25 L Rated ticellent Clewing emir Pagel% I1C a %AM/0mM bay Year Since 2007 Moldier, of TItt oak el Mew Vat Mellon DALIAR WM COMMUNICATIONS Carponban My Mellon) EXCILLUKt Per I linx 11.C. mtntan FINRA.SIVVELGM-00046586 DB-SDNY-0009410 EFrA_00 I 57195 EFTA01289558 a Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) June 1,2018 - June 30,2018 SOUTHERN FINANCIALLW Date Acquired Quantity Unit Cost FIXED INCOM E (continued) Corporate Bonds (continued) J3,5 INV TS GM Bli GTD SR NT REG S 'SINS USA29866AB53 7250% 04103124 BlE DTD 04/03/65 8 P Rating 10/31/I7 2.000.000.000 99.0650 DEUTSCHE BANK AG NTS ISM* UO62541133 4 296% 05124128 8/E MD05/24/B FORBGN SECURITY ST CPN DIE 11241131loody Rating Bat S 8 P Rating BB. 06/01/18 1,000,000.000 91.7780 DEUTSCHE BK AG N Y BRH VAR INNS U625620689 4.875% 1210132 8/E DTD 2/0117 CALLABLE 12/0127 06/01/18 1,000,000.000 86.8260 SERVICEMASTER 00 NT 7250%03/0138 BIE DID 03102/98 ST CPN DTE 09/0198 CPN PY T SD/ I ANNUAL ON MAR 01AND SEPO%loody Rating 82 S 8 P Rating 8 10/18/17 500,000.000 103.9360 10/19/17 350,000.000 103.9380 10/20117 80,000.000 103.9440 10131117 70.000.000 103.9470 Total Covered 1400 000 000 Total 1 000 000 000 Adlutaed Gad Bala Market Rice Market Voice Unrealized Glint Los Accrued Eshr el ed Esluraled Interest Annual Income Yield Security 'denting:0,29866AM 1,981,300.00 96.8540 1.931.080.00 -44,220.00 35,041.67 145,000.00 7.48% Original Cost Basis: 51981300.00 Security Identifier 25625All 3 917,776.00 90.0220 900,220.00 -17,556.00 4,296.00 42,960.00 4.77% Original Cost Basis: 5917.776.00 Security Identifier:25626868 868.256.00 85.5520 855.520.00 -12,736.00 3,927.08 48,750.00 5.69% Original Cost Basis: $868156.00 Security Identifier: 81760NA65 519.682.44 99.6250 498,125.00 -21,557.44 11,982.64 36,250.00 727% Original Cost Basis: 5520,003.00 363,784.13 99.6250 348.687 50 -15,096.63 8,387.85 25,375.00 727% Original Cost Basis: 5364,006 00 83.155.41 99.6250 79,700.00 4.455.41 1,917.22 5,800.00 7.27% Original Cost Basis: 583206 00 72.763.10 99.6251 69.737 50 4,025.60 1,677.57 5,075.00 727% Original Cost Basis: $72.806.00 1,039,385.08 996,250.00 -43,135.08 23.965 28 72,500.00 51,039,385.08 5996,250.00 -$43,135.08 $23,965.28 $72,500.00 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account ttua CONFIDO =on Page 5 of 28 Rated Galls. Clewing through Penhing 11C. a *lay evme4 bay Yew shat 2007 stitaldiary of The crank a New Yak Melba OMAR PATILDCOMMUNICATIONT Corporation (eta Mellon) ar....‘ , ,..., UC82.04a m_00046587 Ponitint UK. feenter liMtn.48M 52L‘ DB-SDNY-0009411 EFTA_00 I 57 196 EFTA01289559 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit Cost FIXED INCOM E (continued) Corporate Bonds (continued) ASSURANT INC FXD TO FLTG SUB NT 7.000% 03127/48 EVE DTD 031271E CALLABLE0372M 0 DO 000Moody Ral ing 8A1 03/29118 2.000.000.000 101.9950 Adjusted Cost Baia ,PM ORGAN CHASE& CO DEP SHSREPSTG METH PFD SFR 'FIXED TO FLTG RT BD 5828% 0412358 B/E DTD 04/23108M oody Rating BAA3S& P Rating BBB￾06115111 '.?V 2500,000.000 107.5000 06115/11 " 12 2.500.000.000 107.0000 Total Noncovered 5,000,000.000 Total 5,000,000.000 SOUTHERN CALIF EDISON CO PREF SER E 6 250% 0117/62 BlE OTC 0t17/12 CALLABLE02109220 DO 000M ood y Rating BAAIS& P Rat mg BBB￾01130/12 3.000.000.000 99.8930 GENERAL ELEC CO GTD FXD-TO-FLTGRT NON-CUMULATIVE PERPETUAL PREFERRED 4 000% 2/03465 REG DTD 1003/ 46Moody Rating A3 S& P Rem BBB* 12/03/15 2.469.000.000 88.0930 LLOYDS BANKING GROUP PLC FXD RATE RESET AD DL TIER 1SECS US539439AG42 7.500% 04127188 BfE DTD 0410711166 P Rating BB￾04/10/14 " i2 1.903.000.000 102.3910 Market Price Security Identifier. 0462S(AK4 2.039.903.33 100.9420 Original Cost Basis: $2,040,005.00 Security Identifier: 46625HHA1 2,687,500.00 100.7500 Original Cost Basis: $2,687.50000 2,675,000.00 100.7500 Original Cost Basis: $2,675,000.00 5,362,500.00 $5,362,500.00 Security Identifier: 842400 FU2 2.996.786.30 106.5009 Original Cost Basis: $2.992.564.97 Securdy Identifier 359604BM 4 2,175016.17 90.0000 Original Cost Basis: $2,175.01317 Security Identifier: 539439AG4 1.948.500.00 101 5500 Original Cost Basis:61948.500 00 Market Value Unrealized Gain(Loss Awued Estimated Estimaled interest Annual Income Yield 2.018.840.00 -21.063.33 36.166.67 140.000.00 6.93% 2,518,750.00 -168,750.00 24,688.06 145,700.00 5.78% 2,518,750.00 -156,250.00 24,688.05 145,700.00 5.78% 5,037,500.00 -325,000.00 49,376.11 291,400.00 $5.037,500.00 -$325.000.00 $49.376.11 $291.400.00 3,195,000.00 198,213.70 77,604.17 187,500.00 5.86% 2.222.100.00 47,083.83 4.115.00 98.760.00 4.44% 1.932.496 50 -16,003.50 1 189.38 142.725 00 7 38% Account Numbe eta g2C 51'C25 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L-- Rabid Einellent trey Year Since 2007 MBAR MUD COMMUNICATIONS EXCIILUNCE Page 6 of 2 Clown. through Penang U.C. a tAtolly owned sabsidiary of The lank a New York Mellon Carpontlon(ONY Megan) PrOirtt , ii,eA.SCLenfacm_oo046588 DB-SDNY-00004 12 EFTA_00 I 57 I 97 EFTA01289560 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired FIXED INCOME (continued) Corporate Bonds (continued) CITIGROUP INC 110 RT SR NT PERP DEP RECPT 5.950% 08115/88 WE DTD 0 WM% CALLABLE0815/20 0 1)0.000Moody Ratiag BA2 68 P Rating 88• 08106/15 3,000,000.000 100.0000 June 1,2018 - June 30,20 18 SOUTHERN FINANCIAL LLC Oustity IAN Cost Adjusted Cod Bads Market Pike Tot al Corporate Bonds 25,372,000 000 TOTAL FIXED IN COM E 26,662,000 000 Date Aorked EQUITIES Common Stocks ALIBA&A GROUP NLDG LTD SPONSORED ADR ISINSUS0509W1327 Dividend Option: Cash 06110/IS ALPHABET INC CAP STK CL C Dividend Opl ion: Cash 04102118 AMAZON COM INC Dividend Option: Cash 03/29/18 500.000 1423.8620 04/02118 500.000 1,367 0210 Total Covered 1.000 000 Total 1.000 000 Queenly the Cod Security Identifier:1296725 3.000.005.99 103 0000 Original Cost Basis:53,03,mm $25,270,442.86 $25,634,028.15 Cost BUN Merkel Price Market 'lake 3,060,000.00 $25,235,006.50 525,677,185.00 Market Value Unrealized Gain toss Accrued Estimated Estimated Interest Annual Income Yield 89,994.01 06,937.50 178,500.00 5.77% 435,438.38 $416,066.78 $1,619,345.00 $43,156.85 $417,745.15 $1,619,345.00 Unsealzad Oehalloss &Salted Solkeeted Maud Income Yield 5,000.000 1,000.000 1,004.6340 SEEM Identifier: MBA OMR 01309WS2 88.9500 444,749.00 185.5300 Sealy Identifier: GOOG cUSP 02079K1)7 1.004.634.49 1.115.6500 Secerrly Identifier AUDI CUSP. 023135136 1,699.8000 1.699.8000 711.930.80 683.510 38 1.395,441 113 81.395.441 18 CONFIDENTIAL — PURSUANT TO FED. R CRIM, P. 6(e) 927 650.00 1115.650 00 849.900 00 849,900 00 1.699.800 00 81.699.800 D0 482,901 00 111.015 51 137,969.20 166.38962 304.358.82 5304.358.82 Account Number CONFID L Rated Excellent Every Year Since 2007 DAllIAR In= COMMUNICATIONS EXCELLENCE $0.00 Page 7 of 28 Clewing liner Pollan EEC awl*, evened tissue! a The Melt a New Yak Mellen Ceeponelan (IINY Mellon) Perihnx 11.C. rnertn iireleARKeiteM-00046589 DE1-SDNY-0009413 EFrA_00 157198 EFTA01289561 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired EQUITIES {continued) Common Stocks (continued) APOLLO GLOBAL M GM T LLCCL A IS Dividend Oplion: Cash 263,6700 of these shares are in your margin account 03/29/11 " 3 263.157.000 19.0000 4.999.983.00 31.8700 8.386.813.59 3.386.830.59 513.156.15 6.11% APPLE INC COM Security Identdier. AAPL Dividend Oplion: Cash CUSIP: 03783300 12/07/17 214.000.000 169.8140 36.340.223.40 185.1100 39.613.539.97 3.273.316.57 624.880.00 1.57% 06120118 50,000.000 186.7940 9,339,697 00 185.1100 9.255.500.03 -84,196.97 146,000.00 157% Total Covered 264,000 000 45.679.920 40 48,869,040.00 3,189,119.60 770,880.00 Total 264,000100 345,679,920.40 348,869,040.00 33,189,119.60 3770.880.00 BIOGEN IDEC INC COM Security Identifier. BNB Dividend Oplion: Cash CUSIP 09062X03 02114112'0 2,095.000 110.2720 231,019.65 290.2400 608.052.80 377,033.15 CENTRE CORP DE COM Security Identifier: CNC Dividend Oplion: Cash CUSP: tt35801 09/08/14 15,550.000 63.6450 989.679.75 123.2100 1,915.915 50 926,235 75 GENERAL ELECTRIC CO COM Security Identifier. GE Dividend Oplion. Cash CUSP. 36960403 25.000.00 of these shares are m your margin account 02/23/18 2500.000 16.2210 40.551.71 13.6100 34.025.00 4,526.71 1,200.00 3.52% 02/26/18 2.500.000 16.2210 40.551.71 13.6100 34.025.00 4,526.71 1,200.00 3.52% 03/05/18 800.000 16.2260 12.980.63 13.6100 10.888.00 -2.092.63 384.00 3.52% 03/07/18 5,000.000 16.2190 81,097.41 13.6100 68.050.00 -13,047.41 2,400.00 3.52% 03/12/18 2.500.000 16.2210 40.551.71 13.6100 34.025.00 4.526.71 1,200.00 3.52% 03/16/18 11.700.000 16.2190 189,759.90 13.6100 159,237.00 -30,522.90 5,616.00 3.52% Total Covered 25,000 000 405.493,07 341250 00 -65,243.07 12,000 OD Total 25.000.000 3405.493.07 3340.250.00 465,243.07 $12,000.00 NINTENDO LTD ADR Security Identifier: 0700Y Dividend Oplion: Cash CUSP:654445303 02/05/18 10,000.000 51.7910 517.906.00 40,7900 407.900.00 -110,006.00 4.689.56 1.14% Total Common Stocks 355,668,826.54 364,271,071.89 38,602,245.35 31,300,725.71 Quantity Unit Cap Cast Basis Market Price Made Value Unrealized Oainlloss Estimated Whaled Annual Income Yield Security kind Kier APO CUSP 03764306 Account Hornbill= CO CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFIDO L Rabid Extrilent hely Year Since 2007 DMIAR TED COMMUNICATIONS EXCILLOICE Page 3 of 23 Clown. tivour Pershing LC. a %*ay owned atlas., of The Bank a New York Mellon ConeratIon (eta Mellon) PtrOirtt member Faan.g4qa.GM_00046590 DB-SDNY-0009414 EFTA_00 I 57 I 99 EFTA01289562 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Cate Argued Quantity Unk Col Cod Bads Market Rice Market Value Jniealtzed Gam on Estimated Estimated Annual Income Yield EQUITIES (continued) Preferred Stooks (Listed byexpiration date) GMAC CAP TR IGTO TR PEG SECS SEM CPR￾8.45% FRED ORTLY MATT-0211512040 CALL ANYTIME 025 W130 DAYS BEGINS 02/1/13 Dividend Option: Cash Security Identifier ALLY PRA CUSIP 36160208 02122/12 ' •° 80,000.000 23.5350 1182,773.80 28.3000 2.104.000.00 221,228.40 152,329.04 723% Total Preferred Stooks $1,882,773.60 $2,104,000.00 $221,228.40 $152,329.04 Options CALL AO ALPHABET INCCAPSTK CL C Option Identifier: 990A118G0H DP 07.20.5 0100.000 Underlying Security Identifier 6006 OPTION ROOT: GOOG Underlying Security Nice:5116.65 -1.00 of these contrails area salon position 05122/18 -10.000 22.9440 42,943 70 34.3000 -34,300.00 81,358.30 PUT '00 ALPHABET INC CAP STK CL C Option Identifier: 990A118601 EXP 07-20-10125000 Underlying Securay Identifier: GOOG OPTION ROOT: GOOG Underlying Security Prix: $115.65 .13.00 of these contrails area don position 05/22118 -10000 121440 -12,943.83 2.7000 -2,700.00 10,243.83 Total Options 435,887.53 437,000.00 41,112.47 $0 00 TOTAL EQUITIES $67,515,712.61 188,338,071.89 $8,822,359.28 $1.453.054 75 Unrealized Estimated Estimated Ore knelled Oulatky Uni Cod Cost Bade Marled RS Monet 94194 Oalriloss Annul Income Yield MUTUALFUNDS 111 ORGAN FLOATING RATE INCOME FUND Security Identifier: ,PHSX CUSS I CUSIP. 48121310 Open End Fund Dividend Option. Reinvest: Capital Gains Option: Reinvest 09/28/17 318109177 9.4100 3.000.000 00 9.3300 2174.495.23 -25.504.77 118.396 38 398% Reinvestments to Date 9,881.255 9.3930 92.810 90 9.3300 92,192.10 818 80 3.669.60 398% June 1, 2018 - June 30,2018 SOUTHERN FINANCIAL LLC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDOP Rated Escoilent (my Yew Since 2007 OMAR RATIO COMMUNICATIONS UMIAK( Page 9 of 28 Clewing liner Fenian IIC a whey evened sotaldianr a The Mak a New Yak Meta Ono-atlas My Mellon) Per I Finx 11.C. maderimeA.WAKateM—00046591 DE1-SDNY-0009415 EFTA_00 157200 EFTA01289563 Portfolio Holdings (c tit Inuccf) U.S. DOLLARS (continued) Unrealized OsteAcquited Quotas LIM Coq Cod Weis Motet Price Market Value Cain Loss MUTUAL FUNDS (continued) MORGAN FLOATING RATE INCOU E FUND (continued) Total Covered 328,691 032 3,092,810 90 3 066,687 33 Total 328.691.032 $3,092,810 90 $3 066.687 33 TOTAL MUTUAL FUNDS $3,092,810.90 $3.066.687.33 0de Accitied Quantity Unit Cod Cod Barb Market Price Market Value EXCHANGE-TRADED PRODUCTS ISHARESINC II SG SOUTH KOREA Elf Dividend Opl ion: Cash: Capital Gains Option: Cash 11103/17 13.000.000 75.8460 TOTAL EXCHANGE-TRADED PRODUCTS Security Identifier EWY CUSP. 16/286772 985,99618 67.7100 880230.00 $985,996.98 $680,230.00 Cod Bads Mad VOA TOTAL U.S. DOLLARS $90,725,567.82 $99,459,193.40 EURO Oblitiv9 Clot° Descriptioa Cletinlity Balace Bina Currency CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 44.80 44.80 EUR -75.65 USD Estimated Eslimaled Annual Income Yield -26 123 57 122.065 98 426 123 57 3122 065.98 426 123 57 8122 065 98 Unrealized Geinloss Estimated Estimaled Annual Income Yield -105,766.98 28,291.11 321% 4105,766 98 Unrested Gal:dins Accrued letetal $28,291.11 Ella/Med Annual income 58,133,625.58 3417,745.15 Mailed Income 83247,884.55 30-Day Yield TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 44.80 44.80 91R 0.00 Description EQUITIES Common Stocks UBI SOFT DITERTAINIA ENT 11,200.000 93.9800 1,052,576.00 EUR -75.65 USD 0.00 Deafly Merkel Rae Maddt Vabe Wen, ISMS FR0000051470 SA MONTREUIL ACT Security UBI:FR WSP F9396N136 Total Common Stocks 1,228,777.22 U9) 1,052,576.00 EUR 1,226,777.22 USD TOTAL EQUITIES 1,052,576.00 EUR CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 1,226,777.22 USD Edkaaled Yield Page 10 of 28 Account Numbed= 2:ci:c Rated Eacellent Clain/glamor Iambic I1C gala/ evened C 0 NFIDO' oriummanoccmwmAanom cmemmmomvilmeem mamma Per, ltC. mamba remeNittellaieGM—00046592 trey Year Since 2007 istaldlarg of Thalamic al Newercelt Meta C EFTA_00157201 EFTA01289564 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) EURO (continued) lune 1,2018 - June 30,2018 SOUTHERN FINANCIAL LLC Market Value Clarence Accrued Interest TOTAL EURO HONGKONG DOLLAR 1,052,511.20 RJR 0.00 1228,701 57 USD 0.00 CP*19119 Closing Amid 304:by Desuiption Oveney Ban Mane Currency Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 60.534 58 69.642 25 HKD 8.877.02 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 60,534.58 69.642.25 HKD 0.00 8,877.02 USD 0.00 Moved Market Value twang banal TOTAL HONG KONG DOLLAR JAPAN ESE YEN Discrbalon OPINP8 Oesothy Basco 69,642.25 HKD 8,877.02 USD Ming Maim Currency 0.00 0.00 Moved 30-Day Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 202,366.00 49.00 JPY -0.44 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 202,366.00 49.00 JPY -0.44 USD Market Value Currency 0.00 0.00 acauml Ritual* TOTAL JAPANESEYEN 49.00 JPY 0.00 -0.44 USD 0.00 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDO. L Rated Excellent Every Year Since 2007 DAtRAR RA TED COMMUNICATIONS CAC:MINCE Page 11 of 28 Clewing Omer Penblin IIC sub./ evened sotaldlarg a The lank a New Yak Mellon Caeporatke (Iltly Peri U.C.rriteter FINRAVVYTLGM-00046593 DB-SDNY-0009417 EFTA_00157202 EFTA01289565 Portfolio Holdings (continuel) POLI SH ZLOTY Es aled DesonrAien OtanlIty Nanti Rb Market Value Cuneo*/ ViNd EQUITIES Common Stocks CO PR0.EKT SA SHS 20,000.000 161.8000 3.236.000.00 FIN MN/ PL0P11030011 864,591.24 UW Seturity Ideatifier 07GLF CUSIR X0957ED6 Total Common Stocks TOTAL EQU ITIES 3,236,000.00 FIN 864,591.24 USD 3,236,000.00 FIN 864,591.24 USD Acuued Market Velue Currency Interest TOTAL POUSFI ZLOTY 3,236,000.00 PLN 0 00 864,591.24 USO 0 00 RAND Deacriplion EQUITIES Common Stocks NASPERS UNITED LTD 2,000.000 3,05.0000 6,970,000.00 ZAR 12 999 89 0.18% ISINtZAFA000Ti889 508,656.66 USO 948.71 Security 1444'116er: NAPRF WSP. 56343593 Total Common Stocks Esbral ed Este aled Quitte Market Ria Market Value Currency Annal I ncome field TOTAL EQUITIES 6,970,000.00 2AR 506,656.66 USD 6,970,000.00 2AR 508,656.66 USD Market Value Cortina 12,999.89 948.71 12,999.89 948.71 Accuse Estimai.] lutant Moud lemme TOTAL RAND 6,970,000.00 2AR Cod Baas TOTAL PORTFOLIO HOLDINGS - U.S. 590 725 667 82 DOLLARS CONFIDENTIAL - PURSUANT TO FED. R CIRAI. P. 6(e) Accourt Numbe Market Value 8102,070,019.45 CONFID 0.00 12,999.89 508,656.66 UW 0.00 948.71 Undeeized Acaued Ettioneted Geddloss Inteued Annuel Incont 18,733,625.58 8417,745.15 83,248,833.26 Page 12 of 28 Rated Capaient (n'y "'COI Sin« 2007 DMIARRATED COMMUNKATONS UOILLOICE Clean„erough PenbimiLLC aida/ "ana istaidiary of Tee hait el Na Yak Melon *flamba (IINY Melon) Perihnx LIC membe oreneklYaGM_00046594 DS-SDNY-0009418 EFTA_00157203 EFTA01289566 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) June 1, 2018 - June 30,2018 SOUTHERN FlNA NCIAL LLC • Noncovered under the cost basis rules as defined below. 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 "noncovereda. 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 99.8 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. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed , there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. 6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may changeover time and are obtained from sources we believe to be reliable. 12Pershing has received updated cost basisinformation, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of Misinformation. Holdings Summary by Currency Omency Pah aced Income Equities Mutual Funds Exchange•Tioled Funds Total by Omency U.S. DOLLARS 3.497,019 25,677 185 66,338,071 3.066.687 880,230 99,459,193 USD EURO 44 0 1,052,516 0 0 1,052,511 EUR HONG KONG DOLLAR 69,642 0 0 0 0 69,642 HID JAPANESE YEN 49 0 0 0 0 49 JPY POLISH ZLOTY 0 0 3,236,000 0 0 3,236,000 PIN RAND 0 0 8.970.000 0 0 8,970.000 ZIA Total USD Equivalent 3.505.820 25,877,185 88,940,097 3,086,687 880,230 102,070,019 USO % of Allocation 3% 25% 68% 3% 1% 100% CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number 2:E::t M:025 CONFIDO. Page 13 of 28 Rated Dttllent Clewing through Pagel% IIC•aapronwel Every Yew Since 2007 sotaldiary of The Baikal Mew Yen Meta DALBAR RATED COMMUNCATIONS Canceatlan(IINY Melon) DIMLING( Per Oita LLC. member FilislAAR4VELGM-00046595 DB-SDNY-0009419 EFTA_00 157204 EFTA01289567 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 "N/ A" and are omitted from the Total. THEAS OF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES 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 w hich 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. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions. regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities, and do not address suitability for investment purpose Credit ratings should not be relied upon as investment advice. Account sco= Nan CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID AL Rated ['mental (my Year Since 2007 DALBAR RATED COMMUNICATIONS EXCELLING( Page '4 of 28 Clewing %MVO PISS% LLC • ittlay owned sdasidlary al The Bank olMew Yon Mellon CawRion - (ONY Mellon) ,It•RA.%4%LeM_00046596 DB-SDNY-0009420 EFTA_00 157205 EFTA01289568 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gans and Losses Current Period June 1, 2018 - June 30,2018 SOUTHERN FlNA NCIAL LLC Description Date Disposed Dale As:puked Designation Disposition Method, Tumid ion Gummy Proceeds Cod Bads Realized Galnaoss Short Term HSBC HOLDINGS PLC OR 06/11118 12/04/17 Covered first In First Out! Sal 24800 000 242441 46 246.679 75 4,238.29 9GB0005405286 Security Identifier. G46341.159 CONKING HOLDINGS LTD 06111118 12104117 Covered first In First Out! SELL 710,000.000 361,932.38 254,284 78 107,647.60 KYG5636C1378 Security Identifier. G5636037 NINE DRAGONS PAPER H 06/11/18 12104117 Covered first In First Out / SELL 144.000.000 216,280.73 248,603.69 .32,322.96 DSHSISIN*611G65311305 Security Identifier 0653500 HONG KONG DOLLAR CUR 06/11/18 12121117 Noncovered' Fist In First Out! Sal 35,044.370 4.465.07 4,483.15 .18.08 Security Identifier. HKC999999 06111118 05102118 NoncoverS' first In First Out! SELL 7.738.030 985.92 985.77 0.15 06111118 05102118 Noncovered' First In First Out / SELL 10,014.150 1,275.92 1,275.74 0.18 06111118 06105118 Noncovered' first In First Out / SELL 7.738.030 985.92 985.84 0.08 06/11/18 06111118 Nonoovered' Versus Purchase/ sa 1.902.365.420 242.384.32 242,441.46 -57.14 06/11118 06/11118 iloncovered. Versus Purchase! SELL 2.839.974.790 361,847.07 361,932 38 .15.31 06/11/18 06111/18 Noncovered' Versus Purchase! SELL 1.697.089.980 216.229.75 216,280 73 40.98 06111/18 06/11118 Noncovered' Versus Purchase! SELL 2,577,887.920 328,454.04 328,531 47 -77.43 06/11/18 06111118 Noncovered' Versus Purchase! SELL 2.140.925.650 272.779.77 272,844 08 .64.31 06111/18 06/11118 Noncovered' Versus Purchase! SELL 1,895,607.510 241,523.28 241,580 22 -56.94 06/11/18 06111118 Noncovered' Versus Purchase! SELL 876.585.300 111.687.55 111,713 88 -26.33 06/11/18 06/11118 Noncovered' Versus Purchase! SELL 2,532,555.050 322,678.08 322,754.16 -76.08 06111/18 06115118 06/11118 06/15118 Noncovered' Noncovered' Versus Purchase! SELL Versus Purchase! SELL 1,663.744380 982,444.650 211.981.15 125,136.24 122152:160313 1354 -49.99 -27.11 Total 19,169,715.630 2,442,414.08 2,443,003.37 589.29 APANESE YEN CURRENC 08/11/18 12131/12 Noncovered' First In First Out! SELL 202.366.000 1,838.96 1,913.62 -74.66 Security Identifier. )1999993 06/11/18 06/11/18 Noncovered' first In First Out! SELL 22.404.343.000 203,594.59 203,879.73 -285.14 Total 22,606,709.000 205,433.55 205,793.35 .359.80 NABTESCO CORP TOKYO 06/11/18 12/04/17 Covered first In First Out! SELL 6.300.000 203,879 73 247,402.49 -43,522.76 INS.P365213001 Security Identifier. A7070100 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Numb c stoe2 ig CONFID Rated Ein4lent trey Year Since 2007 OMAR MUD COMMUNICATIONS EXCIILUNCE Page *5 of 23 Chinni through Penn{ ISC. a tAtolly owned sobsidlay of me Oak a New York Mellon Cawalai - MY Mellon) P.”.P.ni: tic.,... , ii,,R,...g%PdaG, M_00046597 DB-SDNY-0009421 EFTA 00157206 EFTA01289569 Schedule of Realized Gains and Losses Current Pen d (continued) Desolation Dee Cispotad Dole Acµied Designation Oispoillon Method r Transaction Ouw19q Proceeds Cod Beds Wind Weans Short Term (continued) POUSH ZLOTY CURRENC 08121118 06/19/18 Noncovered' first In First Out! SELL 3,523,782.000 944,164.33 944,789.66 25.33 Security Identifier. PLN989997 CD PROST SA SHS IS 06/19/18 03/27/18 Covered first In First Out SELL 10,000.000 442,565.89 331,804.35 110,961.54 000011 08119118 04/06/18 Covered first In First Out I SELL 11,348.000 502,223.77 399,831.10 102,392.67 Security Identifier: X095TES6 Total 21,348.000 944,789.66 731,435.45 213,354.21 ZTE CORP SHS H ISDIt 06115/18 12704/17 Covered first In First Out! SELL 70,600.000 125,163.35 250,418.14 -125,254.79 Y2 Security Identifier: 90004F1)5 ANHUI CONN CB/ ENT C 06/11/18 12104117 Covered Fro In First Out! SELL 52,500.000 328,531.47 149,65315 78,877.71 H ISIN9 CNE170000 W2 Security Identifier: 1047392 BANK OF CHINA LTD BE 06111/18 12/04117 Covered first In First Out! SELL 512,000.000 212,844.08 249,547.66 23,296.41 H ISHII CNE90000 45 Secutity Identifier: Y0698At7 CHINA COMMUNICATIONS 06/11/18 12/04/17 Covered First In First Out! SELL 224,000.000 241,580.22 249,308.76 -7,728.54 ION COMPANY LTD SUS If 15911 CNE 900002F5 Security Identifier: VESA/8 DONGFANG ELECTRIC CO 06111118 12/04/17 Covered First In First Out! SELL 150.200 000 11131386 127.36512 -15,651.24 LTD SHS H ISINICNE90000304 Security Identifier 120958137 WEN:HAIPOWERCO LTD 06111118 72/04/17 Covered first In First Out / SELL 228,000.000 322154.16 247,186.75 75,587.41 NIUNES0000419 Security Identifier 1953%99 DIUZHOU CRRC nm ESE 06/11/18 12/04/17 Covered first In First Out / Sal 43,400.000 212,031.14 254,566.74 42.537.60 LTD SUS 41- ISIN9 CHEW 0004%4 Security Identifier Y9892N94 ADVANCE MICRO DEVIC 06/07/18 09/15/17 Covered First In Fast Out! SELL 20,000.000 297,770.92 245,612.36 52,158.56 Security Identifier:00790397 06/07118 12/15/17 Covered Ant In First Out! SELL 30,000.000 446,656.31 368,912.57 79,743.80 Total 50,000.000 744,427.29 612,524.93 131,902.36 BER1(SHIRE HATHAWAY I 06/08/18 02105118 Coveted Frit In Flirt Out / SELL 3.000 881,312.95 931276.00 -16,654.35 A Adjustment -33.308.70 Adjuslment Type: W Security Identifier 084670108 06108/18 02/16/18 Coveted first In First Out! SELL 3.000 881,312.95 921,086.00 -39,773.05 06/08/18 03119118 Coveted first In First Out! SELL 3.000 881,312.95 915,406.00 -34,093.05 06108/18 03123/18 Covered First In First Out! SELL 3.000 881,312.95 888,106.00 1,793.05 Page 16 of 28 CONFIDENTIAL — PURSUANT TO FED. R CRlIcl. P. 6(e) Account Numb.= CONFIDO. L Rated ticellent trey Year Since 2007 DM AR IMO COMMUNICATIONS EXCELLENCE Cleanng through timbre11C nob* evened Malaita" of The Mak ether Vat Meta Carpotaban (MY wilco) rerihng noara.frRt4YeraGM_ 00046598 DI3-SDNY-0009422 EFTA_00157207 EFTA01289570 Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) Dale Date Desolation Disposed Acquired Designation Short Term (continued) BERKSHIRE HATHAWAY I 08108118 03127118 Covered (continued) 08108118 05121118 Covered Total GILEAD SCIENCESINC 08/08/18 10124117 Covered Security Identifier. 37555893 08108118 05102118 Covered 06108118 05103118 Covered 08108118 05/18/18 Covered Total OUALCONI/ INC 08/08118 04118118 Covered Security Identifier. 747525133 06108118 04120118 Covered Total CALL 'SNARES TR M SCI 06/18/18 01/17/18 Covered 55.00 Security Identifier 990AUeRM Total Short Term Long Term GILEAD SCIENCESINC 06/08/18 02105114 Covered Security Identifier 3755581)3 06108/18 03107114 Covered 06/08/18 05/18118 Covered 06/08/18 05118/18 Covered June 1, 20 18 - June 30, 2018 SOUTHERN FINANCIAL LLC Cisposilion Method Tfiliadioil Cuanlily First In First Out! SELL 3.000 First In First Out! Sat 2.000 113day(s) added to your holding period a a melt of a wash sale. first In First Out! Sat Adjustment: -7,348.17 Adjustment Type: W first In First Out! SELL first In First Out! Sal. first In First Out! 900.000 227 day(s) added to your holding period as a resat of a wash sale. 17.000 4,400.000 2,500.000 1,000.000 first In Fug Out! Sat first In First Out! SELL 8,800.000 2,500.000 1,500.000 10,000.000 first In First Out! WIREOPTION 2,400.000 first In First Out! Sat 5.000.000 Adjustment: -36780.48 Adjustment Type: W first In First Out! 3,100.000 Adjustment: -23,828.56 Adjustment Type: W first In First Out! 58.1 5,000.000 Your lot has been adjusted due to awash sale for mote the one year First In First Out! SELL 3,100.000 Your lot has been adjusted due to a wash sale for mote than one year Total CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 16,200.000 Account Nun atm CONFIDO L￾Rands Cod Ms Realized Gain loss 881,312.95 904,428.00 -23,113.06 587,541.99 627,414.70 -39,872.71 4,004,106.74 5,97,714.70 -160,299.26 316,471.34 352,395.71 -28,576.20 179,813.28 181,432.49 -1,619.23 71,925.30 72,588.60 -661.30 84,732.77 72,862.30 -7,929.53 632,942.67 679,077.10 -38,786.26 150,673.41 145,432.61 5,240.80 452,020.24 436285.83 15,734.41 602,693.65 581,70.44 20,975.21 0.00 105,806.00 -105,606.00 14,150,724.57 14,116,682.63 74,698.81 359,828.52 396,407.00 0.00 222,988.44 246,797.00 0.00 359,828.53 399,636.79 40,010.26 222,988.45 248,790.47 -25,831.02 1,165,189.94 1,291,640.26 45,841.28 Rated ticellent bereecor Since 2007 DALIARMITO COMMUNICATIONS exasuttra Page 17 of 28 Clewing liner Pagel% I1C ..miry evened sneakier, NTH. kelt New Vat Meta Canceation My Mellon) Per I Pinx 11.C. mett• FINRAVVVELGM-00046599 DB-SDNY-0009423 EFrA_00157208 EFTA01289571 Schedule of Realized Gains and Losses Curren, Period (continued) Dosaiplion Long Term (continued) WASHINGTON N UT M TG 004•RA2 M TG PASSTHRU CTFCL 84 VAR RATE 6997% 07125/33 Security Identifier 939336520 Date Whored Dale Acquired Designation 06/22/18 12113113 Nonooveree l Cispoeition Method) Ttantadion Ouanlity REPYM T OF PINN Original Cost Basis: 1569.72 Realized Proceeds Cod Bads Gainrloss 1.290.000 000 2,051.42 1,56932 481.70 Total Long Term Total Short and Long Term 1,167,241.36 1,293,209.98 15,359.58 15,317,965.93 15,409,892.61 9.339.23 ' Noncovered under the cost basis rules as defined below. Generally, securities acquired before 20 1T 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 20 0 8, 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. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition. corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions. has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made alter year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have available to you W hen you report your cost basis on your tax return. it should be verified using all of your own records. In particular, there may be other adjustments which you need to make. but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your lax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion. original issue discount adjustments. or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes. obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less t han one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. ' The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. w Wash Sales Loss - This adjustment is the amount for a disallowed wash safe loss. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRSForm 1099.8. Account Numbeu stone =on CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO Rated DtWiem hely Year Since 2007 I/MARIAM COMMUNICATIONS UMIAK( Page '3 of 28 Cloying tlrougli Persiwg U.C. a weal owned atlas, of me Bank col New York Mellon Gnatnoon - (SHY Mellon) P.,,Pmg RC. ,...,,n •u,Rn.111 Y'aGM_00046600 DB-SDNY-0009424 EFTA_00 157209 EFTA01289572 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 M essages June1,2018 - June 30,2018 SOUTHERN FINANCIAL LLC 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 13.33% of each eligible substitute payment. based on the difference between an 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 1SC, 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 less than 13.33% of the corresponding substitute payment. Since incom e from investment companies may consist partly of non qualified 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 $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 10 b-10(b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (A., ar,ounts my' n a. e in base current/) Credits ThisPetiod Debits ibis Period Net Dna Period Credits Year-to-Date Debits Yeer4o-Date Net Year-to-Date Securities Securities Bought 0.00 -11,136,860.46 -11,136,860.16 0.00 -31,932283.97 -31,93228317 Securities Sold 15,315,914.51 0.00 15,315,914.51 33,912,938.88 0.00 33,972,938.88 Total Securities $15.315.914.51 411.136.860.46 $4.179,054.05 $33.972.938.88 431.932.283.97 $2,040.654.91 Dividends and Interest $120,922.53 $0.00 $120,922.53 $1.384,981.09 $0.00 $1.384.981.09 Distributions $808.30 $0.00 $608.30 $2.803667.86 $0.00 $2.803.667.86 Fees $0.00 428.00 428.00 $0.00 4658.00 4658.00 Taxes Withheld $0.00 4985.84 4985.84 $0.00 46,170.44 46.170.44 Other $0.00 40.45 40.45 $0.00 477.65 477.65 Account Numbern C stoen CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDg AL Rated Eintilent Every Year Sine 2007 DALIAR RATED COMMUNICATIONS IxcIRENCE Page '9 of 23 Clewing tivough Pershing U.C. w %lag owned subsidiary of The Bank olNew York Mellon Corporation18NY Mellon) P.,,Pmg tic. ‘II•R D A.B aYSIlia. DNemY --0°°09430466°2 15 EFTA 00157210 EFTA01289573 Activity Summary (continued) *Sits ThIsPetlind DebitoThisPerlind Net TbisPerlod Credits Yer-to-Date Debt Yeor4o-Dete Net Yew-to-Dote Cash Withdrawals 0.00 -181,250.00 -181.250.00 0.00 -2,967,113.93 -2,967,113.93 Deposits 228879.37 0.00 228.879.37 1.883.222.43 0.00 1.883.222.43 Total Cash 5228.879.37 4181.250.00 $47.629.37 51.883.222.43 -52.967.113.93 41.083.891.50 Totals 515,666,324.71 -511,319.124.75 $4,347,199.96 539,844,810.26 434,906,303.99 54,938,506 27 Transactions by Type of Activity Prom* Trade; Settlement Trona:Non Date Date Adivity Type Description OuantNy Price Atoned Third Amount Cogency Securities Bought and Sold 06/05/18 06/01/18 PURCHASED DEUTSCHE BANK AG NTS ISMS US25'625AM 334296% 1.000,000 000 91.7770 -1.312.67 -919.08867 USD DB4D0915 05/24/28 B/E DTD 05/24/13 CLB YLD 5.372 TO MAT 06/05/18 06101/18 PURCHASED DEUTSCHE 8K AG N Y BMI VAR (SINS US25126BN894.875% 1.000.000.000 86.8250 -541.67 468.191.61 USD DB457174 12/0132 B/E DTD 12101 17 CLEI YLD 6.272 TO MAT 06111/18 06107/18 SOLD ADVANCED MICRO DEVICES INC COM UNSOLICITED ORDER 40.000.000 14.9288 744,427 29 USD AM D AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 06/12/18 06108/18 SOLD BERKSHIRE HATHAWAY INC DEL CI. A UNSOL AVERAGE UNIT -17.000 293.789.8629 4.994.106 74 USD BRK A PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 06/12/18 06108/18 SOLD GILEAD SCIENCES INC UNSOLICITED ORDER AVERAGE UNIT -25.000.000 71.9664 1,798,132.61 USD GILD PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 06112/18 06108/18 SOLD OUALCOM IA INC UNSOLICITED ORDER AVERAGE UNIT PRICE -10,000 000 60.3107 602,693 65 USD MOM TRANSACTION YOUR BROKER ACTED AS AGENT 06113/18 06111118 SOLD HONG KONG DOLLAR -18.187.270.980 7.8485 2,317,277 84 USD 06/13/18 06111/18 SOLD H SBC HOLDINGS PLC ORD DM IS NO GB0005405286 -24.800.000 76.9065 1.902.365.42 HKO HSBA:GB ALLOCATED ORDER YOUR BROKER ACTED AS AGENT AS OF 242,441 46 USD 06/11201 06/13/18 06111/18 SOLD LONKING HOLDINGS LTD SASISNS KYG5536C978 ALLOCATED -710.000.000 4.0103 2.839,974 79 HE' 3339 HK ORDER YOUR BROKER ACTED AS AGENT AS OF 06/11201 361.932 38 USD 06/13/18 06/11/18 SOLD NINE DRAGONS PAPER HOLDINGS LTD SH5 -144,000.000 11.8158 1,697,089 98 HKD 2689:11K (SINS BM665313105 ALLOCATED ORDER YOUR BROKER ACTED 216.280 73 USD AS AGENT AS OF 06/1201 06113/18 06/11/18 SOLD ANHUI CONCH CEMENT CO LTD 915 H IS1Nt CNE100000112 -52,500.000 49.2295 2.577.887 92 HKD 9$111 ALLOCATED ORDER YOUR BROKER ACTED AS AGENT AS OF 328,531.47 USD 06/11201 06/13/18 06/11/18 SOLD BANK OF CHINA LTD BEING SHS H ISMSCHET00004S -512,000 000 4.1923 2,140,925.65 HKD 3988:11K ALLOCATED ORDER YOUR BROKER ACTED AS AGENT AS OF 272,844 08 USD 06/11201 Page 20 of 28 Account Number CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Hated Excellent Every Yew Since 2007 DALBARMITO COMMUNICATIONS LXIALLINCI Clewing through Pealing 11C. a Say owned sobsidiary of TM Bank a Mow Vat Mellon CogNeatIon My Wilco) rs A na res.. Pelting U.C.ertretty Ittato..4W 42Nm—Ouv4ouu4 DB-SDNY-0009426 EFTA_00157211 EFTA01289574 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) June 1,2018 - June 30,2018 SOUTHERN FINANCIAL LLC Props Trade; Settlement Transaction Date Date Activity Type Description Quality Price Accrued Interest Amount Currency Securities Bought and Sold (continued) 06/13/18 06/11/18 SOLO CHINA COMM UNICATIONS CONSTRUCTION COMPANY LTD WS -224.000.000 8.4844 1.895.607.51 HKO 100 HK H ISNICNED00002F5 ALLOCATED ORDER YOUR BROKER 241,580 22 USD ACTED AS AGENT AS OF 061W201 06113/18 06111118 SOLD DONGFANG ELECTRIC CORPORATION LTD SASH -150.200100 51512 876,585 30 HKD 1372tIK ISIN1 CR E130000304 ALLOCATED ORDER YOUR BROKER 111.713 88 USD ACTED AS AGBIT AS OF 0611,201 06113/18 06111/18 SOLO WBCHAI POW ER CO LTD SHSH 'SINS NED 00004L9 -228.000100 11.1364 2.532.555.05 HKO 2338:liK ALLOCATED ORDER YOUR BROKER ACTED AS AGENT AS OF 322,754.16 USD 06/17201 06113/18 06111/18 SOLO ZHUZHOU CRRC TIM ES ELECTRIC CO LTD SHS-H- .43.400100 38.4342 1,663,744.78 HKD 3898:HK 'SINS CNED00004X4 WITH DUE BILLS ALLOCATED ORDER 212,031 14 USD YOUR BROKER ACTED AS AGENT AS OF06/112013 06114/18 06111118 SOLD APANESE YEN -22,606,709.000 110.0439 205,433 55 USD 06/14/18 06111118 SOLO NABTESCO CORP TOKYO 915 LTD ISINS P36521001 6.300.000 3.561.5873 22.404.343.00 JPY 6268:P ALLOCATED ORDER YOUR BROKER ACTED AS AGENT AS OF 203,879.73 USD 06/1,201 06118/18 YOUR OPTION WIRED CALL 130 ISHARES TR MSCI EMERGING M KTS ETF ELP -2.400.000 0.00 USD 990AUIRM 06.5.5055.000 OPTION ROOT: Eli EDI CLOSING TRANSACTION 06120/18 06115/18 SOLO HONG KONG DOLLAR -982.444.650 7.8510 125.136 24 USD 06/20/18 06115/18 SOLD ZTE CORP SHSH ISINO CNE900004Y2 ALLOCATED ORDER -70,600.000 13.9516 982,444.65 HKD 763 HK YOUR BROKER ACTED AS AGENT A$ 0E0615/206 125.163 35 USD 06/21/18 06119/18 SOLD CD PROIXT SA SHS ISMS PLOPTIC000 tl ALLOCATED ORDER 21.348.000 165.2038 3,523,782 00 PIN OTGLF YOUR BROKER ACTED AS AGENT AS OF 06/81/201 944.789 66 USD 06/22/18 06120/18 PURCHASED APPLE INC COM UNSOLICITED ORDER AVERAGE UNIT PRICE 50.000.000 186.7538 -9.339,697 00 USD AAPL TRANSACTION YOUR BROKER ACTED AS AGENT 06/25/18 06/21/18 SOLO POUSH ZLOTY -3,523,782.000 3.7298 944,764.33 USD 06128/18 FtBNYEST CASH INCOME PM ORGAN FLOATING RATE INCOM E FUND CLASS I 993 268 4.277.12 USD .PHSX 327697.7640 SHRS SHRS PURCH. AT 59.34000 RC 06/26 PO 06/28/13 Total Securities Bought and Sold HONG KONG DOLLAR 0.00 19.109.181.05 HKD TOTAL USD EQUIVALENT 0.00 2,435,272 87 USD Account Number C .= ttogn . CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFID Page 2* of 28 Rated ticellent trey Year Since 2007 OMAR MITO COMMUNICATIONS LXCULINCI Clewing through hushing 11C. • May anal sobsidiary of TM Bonk a New Yak Melba CaneratIon (MY Wilco) PerOing LICertrett. IthitA.Pknii2PM-00046603 DB-SDNY-0009427 EFTA_00157212 EFTA01289575 Transactions by Type of A ctivrt y (continued) Pims Trade; Senielen! Tranuellon Date Date Adivity Type Total Secur dies Bought and Sold (continued) Desaiption Quantily Ria Acaued Inkreeg Mount Cortency APANESE YEN 0.00 22.404.343 00 JPY TOTAL UW EQUIVALENT 0.00 203.879.73 USD POLISH ZLOTY 0.00 3.523.782 00 PIN TOTAL UW EQUIVALENT 0.00 944,789.66 UW US. DOLLARS •1,854.34 595.111.79 UW Dividends and Interest 06/15/18 CASH DIVIDEND RECOVED 2469000 GENERAL ELEC CO GTD FXD-TO-FLTG RT 49,380.00 UW 369604814 NON-CUM ULATIVEPERPETUAL PREFERRED 4.000% 2103165 REG DTD 121025 CLB RD 05131PD 06151E 06/20118 CASH DIVIDEND RECEIVED 9000 SHRSQUALCOMM INC RD 05130 PD 061201E 6200.00 UW %OM 06/25/18 BOND INTEREST RECEIVED 290000 WASHINGTON M UT MTGSECSCORP2004-FLA2 M TG 2.782.69 USD 939336620 PASSTHRU CTF CL C-B-1VAR RATE 6.997% 07125/33 B/E DTD 06/0104 RD 05/31P006/2511 06/27/18 FOREIGN SECURITY DIVIDEND 52500.00 SHARESANHUI CONCH CEM ENT CO LTD SHS H 77,380.28 HKD RECBVED ISINKCNE13000 OV 2 FOREIGN SECURITY DIVIDEND RECEIVED 9.858.37 UW 914 HK R0060513 P006271 ASOF 061051E 06/27/18 FOREIGN BOND INTEREST 103000 LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL 35.681.25 UW 539439A04 TIER 1SEC.S ISINI US539439AG42 7.500% 04127/88 BIE DTD 04/0704 CLB RD 06126 PO 061271E 06128/18 CASH DIVIDEND RECE1VED "MORGAN FLOATING RATE INCOM E FUND CLASS I 9277.12 UW .PHSX 3276973640 SHRS RD 06/26 PO 06/28/1 06129/18 MONEY MARKET FUND DEUTSCHEGOVT CASH 7.743.10 UW INCOM E RECENED PER232045 Total Dividends and Interest HONG KONG DOLLAR 0.00 77,380 28 HKO TOTAL UW EQUIVALENT 0.00 9.858.37 UW U S. DOLLARS 0.00 111.064.16 UW Distributions 06/25/18 RETURN OF PRINCIPAL 290000 WASHINGTON Al UT M TG SaSCORP 2004-RA2 M TG 608.30 UW RECOVED PASSTHRU CTF Cl. C-B-1VAR BATE 6.997% 07125133 BIE DTD 939336620 06/0104 RO 06/31PO 06/25/13 Total Distributions - U.S. DOLLARS 0.00 608.30 Page 22 of 23 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Numbe CSteatONFID g Rated barrem ben. YtOt Sime 2007 PAMS Maa COMMUNICATONT SMUK( Glenns %push Paslet LLC, awlay *weed sabsidlars of ne laak of New York Menen Capoestbon SONY ~Ion) Isinhirts IK. en ,ilis,..g;".1 GM_00046604 DB-SDNY-0009428 EFTA_00157213 EFTA01289576 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) June 1, 2018 - June 30, 2018 SOUTHERN FINANCIAL LLC Ross Trade; Settlemenl Transaction Date Dale Adivity Type Desaiption 0karmy dice Accrued Interest Amount Caring Fees 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSIP. F9396H-V-6 -2.00 USD UBSFF 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSIP. CA 63411.1-9 -2.00 USD HBCYF 06101/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP GS6360.13-7 -2.00 USD LONKF 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP 66531.1-0 -2.00 USD NDGPF 06101/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP J47010-/-0 -2.00 USD NCTKF 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP 5534354.3 -2.00 USD NAPRF 06101/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 2011 CUSP X09S7E-0-6 -2.00 USD OTGLF 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 WSW. Y0004 F-10-5 -2.00 USD ZTCOF 06101/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP Y01373-D-2 -2.00 USD AHCHF 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP Y0698A-13 -7 -2.00 USD BACHF 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP Y1R3611-8 -2.00 USD CCCGF 06101/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP. Y20958.1.1 -2.00 USD DNGFF 06/0 1 /18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP Y95314-9-9 -2.00 USD WEICF 06101/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP Y9892N-13-4 -2.00 USD ZHUZF Total Fees - U.S. DOLLARS 0.00 -28.00 Page 23 of 28 Account Number CO ttogn . CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO. L Rated Wallin, Every Yea %Kt 2007 DAtIAR PARDCPAKINICATIONS UCUIANCE Clewing through Pealwg LC.* ittlay anal sttaldiary of The Mak N Mew Vat Mellon Corporation (ltly Melba) PrOtint tC. mentor FinIzA.%41‘. 00 - 00346605 DB-SDNY-0009429 EFTA_001572 14 EFTA01289577 Transactions by Type of Activity (continued) Process Dade Settlement Transaction Date Date Activity Type DesaWin Quantity Price Accrued Interest Amount Cumemy Taxes Withheld 06127/18 FOREIGN TAX WITHHELD AT 52500.00 SHARES ANHUI CONCH CETIBITCO LTD SHSH 2,738.03 HKD THE SOURCE ISINt CHEM 000IV 2 FOREIGN TAX WITHHELD AT THE 185.84 USD 9MilK SOURCE RD 06058 PO 06271 AS OF 0 6/0 511 Total Taxes Withheld - HONG KONG DOLLAR 0.00 -7,738.03 Total USD Equivalent 0.00 485.84 Ot her Transactions 06120/18 06119116 FREE CREDIT BALANCE APANESE YEN CURRENCY FREE CREDIT BALANCE INTEREST 49.00 JPY INTERESTCHARGE CHARGE FREE CREDIT INT CHRG 05-20.13 TO 06.1.8 FOR -0.45 USD PY999993 CUSTOMER ACCOUNT Total Other Transactions - JAPANESE YEN 0.00 -49.00 Total USD Equivalent 0.00 -0.45 Cash Withdrawals and Deposits 06101/18 FEDERAL FUNDS RECEIVED DEUTSCHE BANK TRUST 40387 75,879.37 USD US0949997 06/04/18 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST 14500.00 USD USD999997 06104/18 FEDERAL FUNDS RE-CBVED DEUTSCHE BANK TRUST 02098 136,000.00 USD USD999997 06104/18 FEDERAL FUNDS RECEIVED DEUTSCHE BANK TRUST 00335 17,000.00 USD USD999997 06105/18 FEDERAL FONDS SENT DEUTSCHE BANK TRUST 16,750.00 USD USD999997 Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 47,629.37 Tots *coved mutt TotalAmount Transactions arrentay Total Acand Merest Told Amount Currency USD Equivalent USD6nhalent HONG KONG DOLLAR 0.00 19,178,823.30 HKD 0.00 2,444,145.40 JAPANESE YEN 0.00 22,404294.00 JPY 0.00 203,879 28 POLISH ZLOTY 0.00 3,523,782.00 PIN 0.00 944,789 66 U.S. DOLLARS -1,854.34 754,385.62 USD -1,854.34 754,385 62 The price and quantity displayed may have been rounded. Cash Not Yet Received Security Dividends GENERAL ELECTRIC CO COM Record Date Payable Dale Quantity Held Rale Dividend Option Amount of Payment 06/18/18 07125118 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Plumberli= 25.000.000 0.120000 CONFID Rated hotlient (very Yet Since 20O7 DALIAR RATED COMMUNICATIONS EXCELLENCE Cash 3,000.00 Page 24 of 28 Clewing through Politic 11C. awl*, wend MISS." of The Bask N New Yak Melba CarporatIon Melba) Panama U.C. arae-txt FaitIAAR4VELGRA_00046606 DE1-SDNY-0009430 EFTA_00157215 EFTA01289578 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Cash Not Yet Received (continued) June 1,2018 - June 30,20 *IS SOUTHERN FlNA NCIAL LLC Security Record Date Payable Date Quality Held Rate Dividend Option Amount of Payment Interest BRA INTER NC/ EXELA RN INC GTD 08129118 07115118 2,000,000.000 0.050000 Cash 100,000.00 FIRST PRIORITY SR Total Cash Not Yet Received $103,000.00 Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information Fixed Income Analysis Bond Quality Bond Quality A 2,222,100.00 9% BAA 8,232,600.00 32% BA! Lower 13,924,888.50 54% Not Rated 1,297,898.50 5% Total 25,877,185.00 100% 0 % of Bard Market Value Markel Value Percent of Axed Income 20 40 60 80 100 Bond Maturity Schedule %of Bond Bond Maturity Market Vdua Mrk t Valet MI 7 to 32 months 1,007,500.00 4% lE6 to 10 years 4,879,800.00 19% M Over 10 years 19,789,885.00 77% Total 25,877,185.00 100% Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Doors ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Client Service Information Your Invedment Seeded!: DU JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10017 Contact infuriation Telephone Number: CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 25 of 28 Account Humber CONFIDO. 2., L Rated Excellent Extra Year Since 2007 OMARMT/al COMUJNICATIONT EXCELLENCE Clewing through PeesNng LC. *Slay evened .ae.Ml.rra The kelt ether Yak Mellen Caeponalan Sly Mallon/ Pere. etc member FlteRA.UVVEPA-00046607 DB-SDNY-0009431 EFTA_00157216 EFTA01289579 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 0 Ell VERY You have not selected any account communications for electronic delivery. 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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, 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 Page26 of 28 CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) Account Nunber acc"O NFID gfttAL￾RAS hottlent (very Year Since 2007 DALIAR RATED COMMUNICATIONS LICILLINCI Clearing Um* P.S. LI-Caul*/ evened atolls" of The MSc al New Yoh Meta Caporation OINY Mellon) Perihnx1K. mtett• FINRAAKELGM-00046608 DE1-SDNY-0009432 EFTA_00157217 EFTA01289580 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) June 1,2018 - June 30,2018 SOUTHERN FINANCIAL LLC Important Arbitration Disclosures (continued) 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. 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A COPY OF [TWILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW,PERSHING COM, • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW.PERSHING.COM/DISCLOSURES • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS - RULE 807(AX1)-(2)] PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS, OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE. COUNTER AND EXCHANGE-LISTED SECURITES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NEMO). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET W THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THER EXECUTIONS IN ONE OR MORE MARKET SEGMENTS ANO THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUAUTY OF EXECUTION PURPOSES. F ANY OF TEE ABOVE TERMS AND CONCLUDES ARE UNACCEPTABLE TO YOU. REASE NOTIFY PERS-1970 DILEDIATELY IN WRRING BY CERTFE0 MAIL TOONE PERSHNO PLAZA JERSEYCITY, Ni 07]99, MTN' LEGAL DEPT CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) Account Numb accenManS CONFIDO. Page28 of 28 R•ted Exuatnt Every Yet Since 2007 DALIAR RATED COMMUNICATIONS EXCELLENCE Clewing through Pealing 11C. evoke, evened sabildlary a The kek a Near Yak Meta Carponelan My Mellon) Panting U.C.nerEatt FINRA,SRKELGM-00046610 DE1-SDNY-0009434 EFTA_00157219 EFTA01289582 Deutsche Bank PO Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIALUS 6130 RED HOOK QUARTER B3 ST THOM AS VI 00802 dutt.tRo Lint ensatr •Vcallhh•NnIetmeil Madels coon. it (40.: O•vtiche Sark StANNIPI at. Yon cake 345 Pot page. JMn new Nes TON rm. C., ect May 1,2018 - May 31.2018 Account Number Portfolio at a Glance This lifted Year4o-Date Your Investment Specialist. BEGINNINGACCOUNT VALUE $96,694,233.76 $97,272,547.37 JOSHUA SHOSHAN Net Cash Deposits and Withdrawals -1,051,789.89 -1,131,520.87 (212) 454-4433 Adjusted Previous Account Value 95,842,483.87 96,141,026.50 Dividends. Interest and Other !RCM e 809,820.72 1,537,741.84 Total Taxes Withheld 4,837.90 .5,184.60 Other Transactions 608.78 -707.20 Net Change in Portfolio' 5,790,692.16 4,364,555.53 ENDINGACCOUNT VALUE $102,037,432.07 $102,037,4 Accrued Interest 5369.606 97 Estimated Annual Income 53.112.802 82 'Nef Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Percent Asset Type Pau Yese-Eed Lad Period MsPeriod • 3% Cash, Money Funds, and Bank Deposits 823,820.96 1,126,791.71 2,752,138.08 a 23% Fixed Income 26,083,479.22 27,272,063.55 24,025,290.81 • 70% Equities 60,899,388.97 64,239,589.65 71,251,655.07 kV- 3% M utual Funds 3,020,938.22 3,072,988.85 3,070,528.05 • 1% Exchange-Traded Products 6,444,920.00 982,800 00 937,820.00 100% Account Total (Pie Chart) $97,272,547.37 $96,694,233.76 $102,037,432.07 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 6'"6"NFIDO' Rats Eacttlient (my Year Since 2007 DAtRAR RATIO COMMUNICATIONS EXClattICE Page 1 of 27 °W INN INOLOgh Penis: 1.1.Caulay evened WbUdialy of The Bank Salm Vat Was Corporation OINY Wks) Perthnall.C. straw IlttliaAPARRGM-00046611 OB-SDNY-0009435 EFrA_00157220 EFTA01289583 Summary of Gains and Losses fhb Period Reeked Yeas-to-Dale Unrealized Short-Term Gain! Loss 477671.43 1,151,072.42 3,494,241 46 Long-Term Gain! Loss 11.480.86 2,654,506.16 5.213.866 30 Net Gain! Loss -239,452.29 3.805.578.58 8.708.107 76 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. Exchange Rate Table Global Cash Of rring Closing Amount in twenty USO Equivalent per U93 Currency Bala Base °WHIG/ USD CHINA RENM INS' 0.1562 6.4010 EURO -64.80 -75.63 EURO 1.1672 0.8567 HONG KONG DOLLAR 60,534.58 7,717.37 BRITISH POUND 1.3304 0 7516 SAPANESE YEN 202.366.00 1,862.78 HONG KONG DOLLAR 0.1274 7 8439 Total Global Cash Balance $9.504.52 31PANEK YEN 0.0092 108.6300 POLISH ZLOTY 0.2703 3 6988 RAND 0.0789 12.6615 Exchange rates are based on interbank exchange rates as of 05/ 3V 2018. Exchange rates can vary. Money Market Fund Detail Date /Wilily Type Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Description Amount Mance Current Yield 168% Activity Ending: 05! 31/ 18 05101/18 Opening Balance 1,119,490.43 1,119,490.43 05/02/18 Deposit MONEY FUND PURCHASE 197.470.00 1,316,960.43 05/04/18 Withdrawal MONEY FUND REDEM PTION -193.856.00 1.123.104.43 05107118 Withdrawal MONEY FUND REDEM PTION -77.556.00 1.045.548.43 05109118 Withdrawal MONEY FUND REDEMPTION -100.000.00 945.548 43 05/14/18 Deposit MONEY FUND PURCHASE 1,084,713.49 2,030,261.92 05115118 Deposit MONEY FUND PURCHASE 1,192,980.11 3,223 242.03 05116118 Deposit MONEY FUND PURCHASE 37,695.20 3.260.937.23 Account Numbe: JIM C sto:n ONFID CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Page 2 of 27 L-- Rated tactile/4 Every Yew Since 2007 MAAR RAM COMMUNICATIONS uctunia Clewing through halm; LC. • aa, anti sttaldiary of The Bask a Mew Yore Mellon Corporation (IINY hielloo) PwsPirtt t LC. meter NNan.$fl4c111,1391"— 00046612 DB-SDNY-0009436 EFTA_00157221 EFTA01289584 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Money Market Fund Detail (continued) May 1,2018-May31,2019 SOUTHERN FINANCIAL LW U Date Activity Type DescripIke Moot 84frice Sweep Money Market Fund (continued) DEUTSCHEGOVT CASH INSTL (continued) 05117/18 Deposit MONEY FUND PURCHASE 40,000.00 3,300,937.23 05118/18 Deposit MONEY FUND PURCHASE 192220.00 3.403.157.23 05122118 Withdrawal MONEY FUND REDEMPTION -1,752,477.87 1,740,679.36 05123/18 Deposit MONEY FUND PURCHASE 363,287.82 2,703,967.16 05124118 Withdrawal MONEY FUND REDEMPTION 47,612.47 2,636,354.71 05129118 Deposit MONEY FUND PURCHASE 3,312.67 2,639,667.38 05131/18 Deposit INCOM E REMY EST 2,966.52 2,642,633.90 05131118 Closing Balance 82,642,633.90 Total All Money Market Funds 82,842,833.90 Income and Expense Summary torrent Period Yomia-Oils TaxSa Han Taxable Tamable NMI Taxable Dividend Income Equities 176,824.21 0.00 331,714.10 0.00 Money Market 2,966.52 0.00 17,384.58 0.00 Other Dividends 289,340.54 0.00 514,740.80 000 Interest Income Bond Interest 2,794.59 0.00 325,719.48 0.00 Other Interest 37,695.20 0.00 74,499.60 0.00 Expenses W ithholding Taxes 4,837.90 0.00 -5,184.60 0.00 Fees( Foreign Securities) 400.00 0.00 400.00 0.00 Total Dividends, Interest, Income and Expenses 004,383.16 80.00 $1,258,473.96 PIN Distributions Alternative Investments 0.00 99,999.66 0.00 273,683.28 Other Distributions -78.78 518.08 -77.20 29,376.28 Total Distributions 476.78 8100,517.74 477.20 $303,059.56 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number ..:„ CON F I D L Page 3 of 27 Rated Entlient Gleama through halting11C nakoly wend Every Year Since 2007 sobsidiary of The Book other Yak Mellon OMAR RATED COMMUNICATIONS Ono-saw (IINY EXCELLING( Per Ihnx 11.C.Frertan IthltA.SiVillxeM-00046613 DB-SDNY-0009437 EFFA_00157222 EFTA01289585 Portfolio Holdings U.S. DOLLARS Opening Die CASH, MONEY FUNDS, AND BANK DEPOSITS Margin Balance 0.00 99 999 66 Money Market DEUTSCHE GOUT CASH 'NUL 05101118 2,642,633.900 N/A osra 111 8 1,119,490.43 Total Money Market $1,119,490.43 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $1,119,490.43 Adjusted Date Acquired Quantity We Cote Cost Basis UuMt Price FIXED I NCOM E (In Maturity Date Sequence) °Asset Backed Securities WASHINGTON M UT MTGSEGSCORP 2004•RA2 Sedulity Identifier 939336520 M TG PASSTHRU CTF CL DDIVAR RATE 6.998% 01125133 81E Olt 0610104 Factor: 0.38993081 Effective Date:05/01S Current Face Yalue: 177,20.745 12/13/13 .'"? 1,290,000.000 76.5190 365,155.01 93.0170 Original Cost Basis: $638905.71 Total Asset Backed Securities $365,155.01 $443,887.12 1,290,000.000 Total Current Face Value:477,210.745 Corporate Bonds CITIZENSCOM MUNICATIONSCO SR Sedulity Identifier: 174538AW1 NT FULLY EXCHANGED FROM 44538AX9 7.0%03/VI 8/E DID 03/23/01M oody Rating CAAISS P Rating D 10/03117 1,000,000.000 100.0570 1,000,565.67 101.2500 1,012,500.00 Original Cost Basis: S100100650 EXELA INTER LLC/ EXELA FIN INC GTI) Severity Identifier 3052RAA9 FIRST PRIORITY SR SECO NT 144A 1).000% 07/6/23 WE DT0 0719/ 17 CLBMoody Rating 83 S 8 P Rating B 10/24117 2.000.000.000 97.0250 1.940.506.00 102.3750 2,047,500.00 Original Cost Basis: 51940,50600 Account Activity Opening posing Acaued Income 30.0ey Current Corey Number Biding Balance eadance Income Ms Year Yield Yield 2,642,633.90 0.00 17,384.58 $2,642,633.90 $0.00 $17,384.58 $2,742,633.56 Minket Value $0.00 Uneealzed OelmMose $17,384.58 Awned Interest 443,887.12 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Numbeill= 1.65% 1.68% FoliceMed Muted Mani Inmate Yield 78,732.11 2,783.20 $78,732.11 52,783.20 $0.00 11,934.33 15,041.67 71,250.00 7.03% 106.99450 75.55556 200.00050 9.76% C„ONFIDO. tc: L Page 4 of 27 Rats Etotlist Clannalteash Pa* LLC nib* salmi (very Year Sins 2007 sabtialiary of Tot MS a Near Yost Man DALIAR RATIO COMMUNICATIONS Caporals SHY Man) VICILLINCI Perthnx 'river iimm.fignmeM-00046614 DI3-SDNY-0009438 EFFA_00157223 EFTA01289586 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit Cost FIXED INCOME (continued) Corporate Bonds (continued) J38 INVTS GM BH GTD SR NT REG S 'SINS U64298664853 7250% 04103124 BlE DTD 04103/516 8 P Rating B. 10/31/17 2,000,000.000 99.0650 SERVICEMASTER CO NT 7250%03/0138 DTD 03/02/98 ET CFN DTE 09)0198 CPN PVT Sall ANNUAL ON MAR 01AND SEP011oody Rating US& P Rating B 10/18/17 500,000.000 103.9440 10/19/17 10/20117 10/31/17 350,000.000 80.000.000 10,000.000 Total Covered 1,000,000 000 Total 1,000,000.000 ASSURANT INC FXD TO FLTG SOB NT 7.000% 03/27/48 B/E DTD 03/2711 CALLABLE03/27128(i 130000Moody Riling BAA3 03/29/18 2,000,000.000 101.9970 103.9460 103.9520 103.9550 Se ORGAN CHASE 8 CO DEP SHSREPSTG TATH PFD SER1FIXED TO Fl70 RT BD 5828% 04/23156 8/E DTD 04123108M oody Rating tiaa3 S 8 P Rating BBB• 06/15/11 " 37 2,500,000.000 107.5000 *dinged Coat Dais Market Rice Security Identifier:429866AM 1.981.300.00 98.2510 Original Cost Basis: $198t300.00 Security Identifier: 81760NAB5 519.721.72 99.6250 Original Cost Basis: $520.003.00 363,811.64 99.6250 Original Cost Basis: $364 606 00 83 61.71 99.6250 Original Cost Basis:683206.00 12,768.62 99.6250 Original Cost Basis: $72.806.00 1.039.163.69 $1.039.463.69 Security Identifier: 0462'MK4 2,039,938.33 1023700 Original Cost Basis: $2.040.006.00 Security Identifier: 46625HHA1 2,687,500.00 100.6250 Original Cost Basis: $2.687.500.00 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) May 1,2018- M ay 31,2018 SOUTHERN FINANCIAL LLC Mar)el Van. e Unrealized Gain Loss Accrued Eslir sled Interest Annual Income Yield 1.965.020.00 .16.280.00 22.958.33 145,000.00 7.37% 198.125.00 -21,596.72 9.062.50 36,250.00 727% 348,687.50 -15,124.14 6,343.75 25,375.00 727% 79.700 00 -3.161 71 1,450 00 5,800.00 727% 69,731.50 .3,031.12 1268.75 5,015.00 727% 996,250.00 -43,213.69 18,125 00 72,500 00 $996.250.00 443213.69 $16,125.00 $72,500.00 2,055,100.00 15,461.67 24,888.89 140,000.00 6.81% 2,515,625.00 ,171,875.00 12,141.67 145,700.00 5.79% Page 5 of 27 Account Nina CONFIDO. L Rated Galls. Owing Omagh PenblinlIC a al*, owned Every Yea Since 2007 star, of The kek a New Yak Melba DA{ IARRATED COMMUNICATIONS Corporatfon (IINY Mellon) s (Amara Pt/0kt emote. Fii•RAAWq2Nm-00046615 DB-SDNY-0009439 EFTA_00 157224 EFTA01289587 Portfolio Holdings (continued) U.S. DOLLARS (continued) Clete Acquired FIXED INCOM E (continued) Corporate Bonds (continued) alORGAN CHASE& CO DEP SIM REPSTG (continued) 06/15111 2,500,000.000 107.0000 Nudity UM Cost Adjusted Cost Weis Hetet Price Total Nonovered Total 5,000,000.000 5,000,000.000 2.675.000.00 Original Cost Eras 5 362 500.00 $5,362,500.00 100 6250 $2875,000.00 SOUTHERN CALIF EDISON CO PREP SER E 6250%0117/62 WE DTD 011112 CALLABLE01/01220 M oody Rating SAM S& P Rating 88B￾01130112'•s,2 3,000,000.000 99.8910 GENERAL ELEC CO GTD FXD-TO.FLIGRT NON-CUMULATIVE PERPETUAL PREFERRED 4.000% 2/03/65 REGOTDIV03/Elloody Rating A3 S& P Rating BBB* 12/03/15 2,469,000.000 88.0930 LLOYDS BANKING GROUP PLC FXD RATE RESET AD DL TIER ISEC-5151Na US539439AG42 7.500% 04127188 WE DID 04107/NS& P Rating 88- 04/10114 .." 1,903,000.000 102.3910 CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5950% ON SAN WE DID WU 11/5 CALIABLE08115/20 D0.0008 oody Rating BA2 & P Rating BB+ 08106/15 3,000,000.000 100.0000 Total Corporate Bonds 23,372,000.000 TOTAL FIXED INCOM E 24,662,000.000 Security Idealist. 84240011/2 2,996,719.84 105.9500 Original Cost Basis: 52992564.97 Securdy Identifier: 3695048514 2.175.016.17 89.0000 Original Cost Basis: 52,1750117 Securdy Identifier: 539439AG4 1,948,500.00 104.6250 Original Cost Basis: 51948.500.00 Security Identifier 17296725 3,000,005.99 103.5520 Original Cost Basis: $3000.006.00 $23,484,515.69 $23,849,670.70 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Numbe anb NFID Market Value 2.515.625 00 5.031 250 A0 lawealad Sabana Around EatImMed Estimated lateral Aloud Income Yield -159,315.00 12,141.66 145.700 00 5 79% 431,250.00 24,283.33 291,400 00 85 031250 00 3.178 500 00 2.197.410 00 1,991,013.75 3,108,560.00 $23,581,403.75 $24,025,290.87 4331,250.00 $24,283.33 $291,400.00 181.780.16 62.500.00 187.500.00 589% 12.393.83 45,539.33 98.760 00 4 49% 42,513.75 25,373.33 142,725.00 7.16% 106,554.01 52,558.33 178,500.00 5.74% $96,888.06 $366,823.77 $1,527,635.00 $175,620.17 $369,606.97 $1,527,635.00 Rated hottlent Every Yet Since 2007 DALIAR RATIO COMMUNICATIONS ("all INCE Page 6 of 27 Cleanng through Pershing IIC nob* evened sobsidiary of The Bank ether WA Mellon Ono -saw (OM MAW PerIhnx (OM FiratA.g)kyLe&M_00046616 DB-SDNY-0009440 EFTA_00157225 EFTA01289588 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired EQUITIES Common Stocks Quantity Unit Com Cost Basis Market Rix ADVANCED MICRO DEVICES INC COM Dividend Oplion: Cash 50.000.00 of these shares are in your margin account 09115117 20.000.000 12115117 30,000.000 Total Covered 50,000.000 Total 50,000.000 ALIBABA GROUP HIM LTD SPONSORED ADR ISMS US01609W1127 Dividend Option: Cash 06/10/15 ALPHABET INC CAP STK CL C Dividend Oplion: Cash 04/02/18 AMAZON COM INC Dividend Option: Cash 03/29/18 04102/18 Total Covered Total 5,000.000 12.2810 12.2300 88.9500 1.000.000 1.004.6340 500.000 500.000 1,000 000 1,000 000 1.423.8620 1,367.0210 APOLLO GLOBAL N GU T LLC CL A SHS Dividend Oplion: Cash 26317.00 of these shams are in your margin account 03/29/11 " 3 263,157.000 19.0000 APPLE INC 00M Dividend Oplion: Cash 12/07/17 214,000.000 169.8140 May12016 -May 31,2018 SOUTHERN FINANCIAL LLC Market Value Unrealized GainiLoss Eslir 31 ed Estraled Ann al Ir come Yreld Security Identifier: AND CUSP. 00790317 245.612.36 13.7300 366.912.57 13.7300 612.524.93 274.600.00 411.900.00 686,500.00 28.987 64 44,987.43 73,975.07 $612.524.93 $686,500.00 $73,975.07 $0.00 Secutity Identifier: MBA CUSP:05090/12 444.749.00 198.0100 990.050.00 545,301.00 Securdy Identifier GOOG CUSP 02079K97 1.004.63149 1.084.9900 1.081.990.00 80.355.51 Security Identifier: AMZN CUSP. 023%16 711.930.80 1.629 6200 811.810.00 102.879 20 683.510.38 1.629.6200 811.810.00 131,299.62 1,395,441.18 1,629,620 00 234,178 82 $1.395,141.18 $1,629,620.00 $234,178.82 $0.00 Seemly Wenl her: APO CUSP 03162306 4,999,983.00 31.3200 8.242.077 24 3.242,094 24 513,156.15 622% Security Identifier:AAR COP:037833130 36,340,223.40 186.8700 39.990.180 00 3,649,956 60 624,880.00 1.56% Page 7 of 27 Account Number: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated balls. Clewing Omer Pealing LC. a volay evened Every Yea Since 2007 entaldlary of The Beek a New Volt Wane DAUIAR PATIEDCOMMUNICANONS Corpoyaben OINY Aldan) ........‘, , s a EXCUSING( fienhiettucreenorfrovn.itYPUNm _00046617 DB-SDNY-0009441 EFTA 00157226 EFTA01289589 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired Quantity Unit Co Cost Balls Market Price Market Value Unrealized Gaintoss Estimated Annual income &healed Yield EQUITIES {continued) Common Stocks (continued) BERKSHIRE HATHAWAY INC DEL Cl. A Dividend Oplion: Cash Security Identifier: BRKA CUSIP. 08467018 02/05118 3.000 310,425.3330 931,276.00 287.200.0000 861,600.01 -69.675.99 02/16/18 3.000 307.028.6670 921.086.00 287.200.0000 861.600.01 -59.485.99 03/19/18 3.000 305.135.3330 915.406.00 287,200.0000 861.600.01 53.805.99 03123118 3.000 296.035.3330 888.106.00 287.200.0000 861.600.01 -26.505.99 03127118 3.000 301,475.3330 904,426 00 287,200.0000 861,600.01 -42125 99 05/21/18 2.000 297.053.0000 594.106 00 287200.0000 574.399.95 -19.706.05 Total Covered 17100 5,154,406.00 4,882,400.00 -272,006.00 Total 17.000 $5,154,406.00 $4,882,400.00 4272,006.00 $0.00 BIOGEN IDEC INC COM Security Identifier. BOB Dividend Oplion: Cash CUSP 09062X13 02/14112" 2,095.000 110.2720 231,019.65 293.9600 615.846 20 384,826 55 CENTENE CORP DEL COM Security Identifier. CNC Dividend Oplion: Cash CUSP. 1515811 09108114 15.550.000 63.6450 989.679.75 117.1600 1.821.838.00 832.158 25 GENERAL ELECTRIC CO COM Security Identifier. GE Dividend Oplion: Cash CUSIP. 36960413 25,000.00 of these shares are in your margin account 02/23/18 2,500.000 16.2210 40,551.71 14.0800 35,200.00 -5,351.71 1,200.00 3.40% 02/26118 2.500.000 16.2210 40.551.71 14.0800 35.200.00 -5.351.71 1,200.00 3.40% 03/05118 800.000 16.2260 12.980.63 14.0800 11.264 00 -1,716.63 384.00 3.40% 03107118 5.000.000 16.2190 81.097.41 14.0800 70.400.00 -10.697.41 2,400.00 3.40% 03/12/18 2,500.000 16.2210 40,551.71 14.0800 35.200.00 4,351.71 1,200.00 3.40% 03/16/16 11,700.000 16.2190 189.759.90 14.0800 164.736 00 -25,023.90 5,616.00 3.40% Total Covered 25,000.000 405.493.07 352.000.00 -53.493.07 12,000.00 Total 25,000.000 $405,493.07 $352,000.00 453,493.07 $12,000.00 GILEAD SCIENCES INC Scarily Identifier: GILD Dividend Oplion: Cash CUSP: 37555813 25,000.00 of these shares are ie your margin account 02/05114 5.000.000 79.2810 396.407.00 674000 337.000 00 -59.407.00 11,400.00 3.38% 03/07/14 3,100.000 79.6120 246.797.00 674000 208.940 00 -37.857.00 7,068.00 3.38% 10/24/17 4,400.000 80.0900 352,395.71 674000 296,560 00 -55,835.71 10,032.00 3.38% 05/02118 2.500.000 72.5730 181.432.49 674000 168.500 00 -12.932.49 5.700.00 3.38% 05/03/18 1,000.000 72.5870 72.586.60 674000 67.400 00 -5,186 60 2,280.00 3.38% Account Nora CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO Page 8 of 27 L Wed balls. bay Year Since 2007 DAUM PATIEDCOMMLINICATIONS LX CHUNG Charing Omagh Penh's.* LLC. a as, *WOW subsidiary a Ma in a New Yee10.4ellon Carpoeabon (MY Mallon) Panairat lLC. woven F ikitA3IWOLeMI/I_OULP4bb 1 IS DB-SDNY-0009442 EFTA_001572/ 7 EFTA01289590 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired EQUITIES (continued) Common Stocks (continued) GILEAD SCIENCES INC (continued) 05118118 9.000.000 Total Covered 25.000 000 Total 25,000.000 NINTENDO LTD ADR Dividend Oplion: Cash 02/05/18 OUALCOMM INC Dividend Oplion: Cash 0.000.00 of I hese shares ate Irl your margin account 04118118 2.500.000 04120/18 7,500.000 Total Covered 10.000000 Total 10 000 000 Total Common Stocks Preferred Stocks (Listed by expiration date) GM AC CAP TR I GTO TRPFD SECS SER 2 CPN￾8.125% FREOORTLY MATY-02/112040 CALL ANYTIME4:125W30 DAYS BEGIN802/5l5 Dividend Oplion: Cash 02/22/12 80.000.000 Total Preferred Stocks Options CALL 10 'SHARES TR IA SCIEMERONGLIKTS 'NM FD E906-1-1055000 OPTION ROOT: EEM (muddy Unit Cap 10,000.000 51.7910 58.1730 58.1710 Cod Bala Market Rice 72.5710 653.141.36 67.4000 1,902,760.16 $1,902,760.16 Security Identifier: 1700Y CUSP: 654445303 517,906.00 51.0400 Security Identifier:0CM CUSP. 74752503 145.432.61 436,285.83 581,718 44 5581.718.44 554,580,539.07 58.1200 58.1200 Security Identifier. ALLY PRA CUSP. 36160208 23.5350 1.882.773.60 28.1100 01117/18 2.400.000 0.4400 $1,882,773.60 Option Identifier: 990ALIIRM Undellfing Security Identifier: EEM Underlying Security Nice. $4569 Price Estimated as of: 0512911 105.608.00 0.0100 May 1,2018 - May 31,2018 SOUTHERN FINANCIAL LLC Market Value 606.600.00 1,685,000.00 51,685,000.00 510.400 00 145.300.00 435,900.00 581,200.00 $581,200.00 $63,072,101.44 2 088,800.00 $2,088,800.00 2.400.00 Account ter CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO L4 Unrealized Garlic's Estimated Eel haled Annual Income Yield -46.541.36 217.760.16 4217.760.16 -7,506 00 -132.61 -385.83 518.44 4518.44 58,491,562.37 206.026.40 5206,026.10 -103.206.00 Rated I 'eviler.? Even Yew Since 2007 DALBAR RATIO COMMUNICATIONS EXCIILLINCI 20.520.00 3.38% 57.000 OD $57,000.00 4,689.56 0.91% 6,200.00 18,600.00 24,800 00 $24,800.00 426% 426% $1,236,525.71 152,329.04 729% $152,329.04 Page 9 of 2 - Own. through Penang LC.* ollet Owned **Wiwi or The eon of New VGA lAelkm Ommentam(ONY wlwN AnOinall.C.mner ,uoiAiiPAPLEIPA-0 °° 46619 DB-SDNY-0009443 EFTA_00 I 57228 EFTA01289591 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired QuatIty aN Coat Cod Beds Motet Price Market Value Untested adolloss Estimated Estimated Anna Income Yield EQUITIES (continued) Options (continued) CALL MO AIPHABET INCCAPSMC a C Option Identifier: 990141860H RP 07-2041 61130.000 Underlying Swirly Identifier: GOOG OPTION ROOT: GOOG Underlying Sectifity Price:9108419 -1).00 of these contracts area stoat position 05r22118 -10.000 22.9110 -22,943.70 27.9000 -27.900.00 4,956.30 PUT TO ALPHABET INC CAP STK CL C Option Identifier: 991:IA118031 OW 07.204 0925.000 Underlying Securely Identifier: GOOG OPTION ROOT: GOOG Underlying Security Price:3808499 -13.00 of these contracts area short position 05122118' -10.000 12.9140 -12,943.83 8.7000 4,700.00 1,243.83 Total Options 889,718.47 434,200.00 4103,918.47 $0.00 TOTAL EQUITIES 656,533,031.11 $65,126,701.44 88,593,670.30 $1,388,854.75 Untested Estimated Estimated Date Acquired Quantity Onl Cod Bab Market Pike Market Value Gainless Maud Income Yield M UTUAL FUNDS SM ORGAN FLOATING RATE INCOME FUND CUSS' Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security CUSIP.1812L51) 09128117 318909.717 94100 3900.000.00 9.3700 2,987247.62 -1275238 117,857.59 394% Reinvestments to Elate 8.887.987 9.3990 83.533 78 9.3700 83280.43 -253 35 3,285.71 314% Total Covered 327497.764 3.083.533 78 3,070,528.05 -13005 73 121,143.30 Total 327 697 764 83,083,533 78 $3 070.528 05 -513 005 73 $121 143.30 TOTAL MUTUAL FUNDS 13,083,533 78 13 070,528 05 .113 005 73 5121 143.30 Unrealized Estimated Estimated Date Acquired Quantity UnN Cost Cost Bats Market Price Market Value Gain Loss Annual Income Yield EXCHANGE-TRADE) PRODUCTS WARESINC M SCI SOUTH KOREA OF Dividend Option: Cash; Capin' Gaits DON: CM 11103/17 13,000.000 75.8480 TOTAL EXCHANGE-TRADE) PRODUCTS 985,996.98 1985,998 98 Coal Bads &eerily Identifier: EWY CUSP 464288772 72.1400 931,820.00 $937,820.00 NOS Value .48,178.98 148,178.98 Unmated War Loss TOTAL U.S. DOLLARS $87,194,866.16 $95,902,973.92 Acaued lateral 28,291.14 301% $28,291.14 Skated Annual Income 18,708,107 76 1369.806.97 $3,083,308.77 CONFIDENTIAL — PURSUANT TO FED. R CRI6,1 P. 6(e) Account Number: CONFID Page '0 of 27 Rated hottlent Clewing *nigh PaflS IIC nob* email Every Year Since 2007 sabsidiary a The Mak a Maw Vat Meta DALIAR RATIO COMMUNICATIONS Ono-saw (atly Mellon) LXCILL INCE Per Ihnx ,.w-a.FINRAAR4VELGM-00046620 OS-SDNY-0001444 4 EFTA_00157229 EFTA01289592 a Deutsche Bank PO Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) CHINA RENM INBI May1,2018 -May 31,2018 SOUTHERN FlNA NCIAL LLC Description Ovanlily Market Pace Market Value Datong EQUITIES Common Stocks CHINA OM M UNICATIONS CONSTRUCTION COMPANY 224,000.000 6.8825 1,541,691.20 CNY LTD SHS ISINSCNE900002F5 240,450.56 USD Security Ideetifier.S00:HK CUSIP: YE36J1M Total Common Stocks 1,541,691.20 CNY 240,450.56 USD TOTAL EQUIT IES 1,541,691.20 CNY 240,450.56 USD air Med Yield Menet Wye Currenq Acaved Adored TOTALCHINA RENMINEN EURO 1,541,691.20 CNY 0.00 240,450.56 USD 0.00 0P'S% CUM Aimed 30-Day 0esaipliee evanlily Sauce Manse Omency Income Yield CASH. MONEY FUNDS. AND BANK DEPOSITS Global Cash Balance TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Humber. 0.00 14.80 BJR -75.63 USD 0.00 44.80 WR 0.00 -75.63 USD 0.00 CONFID Page 11 of 27 Rated hottlent Ching through P.nb LC. eulogy evened (my Year Since 2007 stosidiary of TM Baket/4a Vat Mellon DALBAR RATIO COMMUNICATIONS CarporatIon (MY Mao) VICILLINCI Perthnx ertan meaAtellneteM-00046621 DE1-SDNY-0009445 EFTA_00157230 EFTA01289593 Portfolio Holdings (continued) EURO (continued) Oescriptioe EQUITIES Common Stocks UBI SOFT ENTERTAINMENT Mit FR0000064470 SA MONTREUIL ACT Security Ideetifier.UBI:FR CUSP P33961413 Total Common Stocks Bleared Civility NAM Pike Market Value Cuttimoi Yield 11,200.000 92.8200 1,037,344.00 EUR 1,210,787.92 USD 1,037,344.00 EUR 1,210,787.92 USD 1,037,344 00 SIR 1,210,787.92 USD TOTAL EQUITIES Acaued Market Woe Wrong Intact,' TOTAL EURO 1,037,279.20 SIR 0.00 1,210,712.29 USD 0.00 BRITISH POUND Description EQUITIES Common Stocks HSBC HOLDINGS PLC ORD SHS 19Ni680005405286 Security IdeetiliecHSBA:GB CUSIP:64634U69 Total Common Stocks Quantity Market Price Market Value Currency 21,800 000 7.2060 178,708 80 GBP 237,754.18 US) Estimated Eslimaled Annual Income Yield 745640 4.17% 9,920 00 178,708.80 GBP 237,754.18 USD 178,708.80 GBP 237,751.18 USD 7,458.10 9,920.00 TOTAL EQUITIES Market Value Cuttenq 178,708.80 128P 0.00 7,456.40 237,754 18 USD 0.00 9,920.00 7,456.40 9,920.00 Acaue4 Ettkoatod Interest Mimi Income TOTAL BRITISH POUND CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number It 00 0NFIDOP : SI M..1 , Page 12 of 27 Rated hotlient Clawing through Pelham 11Caulholy evened Emery Year Since 2007 sataldiary of The Bask el New Yak Mellon DAUIAR RATED COMMUNICATIONS Caepontfon(INY maw LXCILLINCI Perstira Ilk. member F INR•SigniteM_ 00046622 DB-SDNY-0009446 EFTA_00 I 57231 EFTA01289594 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) HONG KONG DOLLAR Opening among Accrued 30 Clay Description Quoddy Balance Woo Currency income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 42,782.40 60,534.58 HKD 1.717.37 USD TOTAL CASH, M ON EY FUNDS, AND BANK DEPOSITS Desorption Quantity 42,782 40 Market Price 60.534 58 HKD 7717.37 USD Market Value Cilf Miley 0.00 0.00 Estimated Estimated Annual Income Yield EQUITIES Common Stocks LONKING HOLDINGS LTD SHS 110,000.000 3.9300 2.790.300.00 HKD 113.59944 4.07% ISINIKYG5636C978 Security Id enl Met 333911K CUSP. G5636CV7 NINE DRAGONS PAPER HOLDINGS LTD SHS 144,000.000 12.4800 355.726.33 USD 1,797,120.00 HKD 14,482 52 0653131)05 Secuiily 268911K CUSP. GSS313D0 ZTECORP SHSH ISNSCNED00004Y2 70,600.000 25.6000 229.109.33 USD 1,807,360.00 HKD Security Id eel ifier 763:11K CUSP. Y0004 P05 ANHUI CONCH C8,1 ENT CO LTD SHSH 52.500.000 48.1000 230.414.89 USD 2,525250.00 HKD ISHII DE100000182 Security Id eal Wier 914:11K CUSP. Y01373D2 BANK OF CHINA LTD BEUNG SHS H 512,000.000 4.1000 321,936.51 USD 2,099,200.00 HKD ISHIIDIM0000V Security Id eel ifier 3988:HK CUSIP. Y06984137 DONGFANG ELECTRIC CORPORATION LTD 150.200.000 5.9500 267.620 35 USD 893.690.00 FIND SHSH ISINSCNED0000304 Security Idenlifier 1)7211K CUSIP. Y20958191 113.933.76 USD May 1,2018 - May 31,2018 SOUTHERN FINANCIAL LLC Account Numb CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L4 Rated ticellent trey Year Same 2007 OMAR ItAITO COMMUNICATIONS LXCULINCI Page '3 of Clewing through Penang LC. a tAto&I owned sataidiary of The Bank el New York Mellon CancratIon OM Mellon) Periling 11.C. met-en rthstoAWLet.GM-00046623 DB-SDNY-0009447 EFTA_00157232 EFTA01289595 Portfolio Holdings (continued) HONGKONG DOLLAR (continued) Estimated Estimated Oescration Cleanlity Market Pam Market Value Currency Annual Income Yield EQUITIES (continued) Common Stocks (continued) WBCHAI POWERCO LTD SHSH 228,000.000 103200 2,398,560.00 HKD ISMS G493000040 305)85.16 US) Security Ideetifier 2338:HK CUSIP. 79531AD9 ZHUZHOU CRK TIM ES ELECTRICCO LTD 543 43,400.000 39.5000 1,714,300.00 HKD •Ii• ISMS 04EVOODOIX4 218,550.94 USD Security Idmanlier:3898M CUSP: Y98926114 Total Common Stocks 16,025,780.00 HKD 113,599.44 2,043,077.27 USD 14,482.52 TOTAL EQUIT IES 16,025,780.00 HIM 113,599.44 2,043,077.27 USD 14,482.52 Market Value Currency Accrued littered &Muted Maud Income TOTAL HONG KONG DOLLAR 16,086,314.58 HKD 0.00 113,599.44 2,050,794 64 USD JA PA N ESE Y EN 0.00 14,482.52 0946669 Doting Accrued 30-Day Description Quantity Bekaa Balance Currency Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 202,424.00 202,366.00 JPY 1.862.78 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 202,424.00 202,366.00 JPY 1,862.78 USD Desalptioe EQUITIES Common Stocks NASTESCO CORP TOKYO SHS LTD ISINIP365129001 Security Ideetifier.6268:? CUSP )17070110 Total Common Stocks 0.00 0.00 Edlmted Striated Overfly Markel Pike Market Value Currency Maud Income Yield 6,300.000 3,560.0000 22,428,000.00 JPY 206,449.74 USD 453,571.53 2.02% 4,175.38 22,426,000.00 JPY 453,571.53 206,449.74 USD 4,175.38 CONFIDENTIAL - PURSUANT TO FED. R CRIKA P. 6(e) Account Number: C3ONFIDOP Uo .s Page 14 of 27 Rated EstrIlent Clewing liner Pealing 11C. auk*, evened (very Year Since 2007 sobildlary of The kek el Near Vat Man DALIAR RATIO COMMUNICATIONS Carpontfon (MY Mellon) EXCILLINCI Perthng U.C.nte-ber iimea.fickKeteM-00046624 DI3-SDNY-0009448 EFTA_00157233 EFTA01289596 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) JAPANESE YEN (continued) Description EQUITIES (continued) TOTAL EQUITIES May 1,2018 - M ay 31,2018 SOUTHERN FINANCIAL LW Estimated Estimated dwells Merkel Pike Merest Vane Clang Maud Income Yield 22,426,000.00 JPY 206,449.74 USD Merkel Value Currency 453,571.53 4,175.38 Maven Estimated littered Maud Income TOTALJAPA NESE YEN 22,630,388.00 JPY 0.00 453,571.53 POLISH ZLOTY Oescripelon 208,312.52 USD 0.00 4,175.38 BMWS Cleandly Mrket Price Market Value Currency Add EQUITIES Common Stocks CD PROIKT SA %IS 41,348.000 152.8572 8,320,339.51 PIN PLOPTTC00011 1,708,453.05 USD Security Ideetifier OTGLF CUSP: X0957E96 Total Common Stocks 8,320,339.51 PIN 1,706,453.05 USD TOTAL EQUITIES 6,320,339.51 PIN 1,708,453.05 USD Matted Market Value Currency Interest TOTAL POLISH ZLOTY 8,320,339.51 PLN 0.00 1,708,453.05 USD 0.00 CONFIDENTIAL - PURSUANT TO FED. R CRilvl P. 6(e) Account Numb CONFIDO. Page 15 of 27 Rated Excellent Clain; lamer. I1C nib* wend beer Year Since 2007 sataldlarg al The in a New Vat Mellon DAIIIAR WM COMMUNICATIONS Carpotat$ an (Ely Man) LXCELLENCE Per Ml 11.C. rinetan FINRA.SiVVELGM-00046625 DI3-SDNY-0009449 EFTA_00157234 EFTA01289597 Portfolio Holdings (continued) RAND Desorption EQUITIES Common Stocks NASPERS LIM ITED LTD 2,000.000 3,028.0000 6,052,000.00 2AR 11.599 83 0.19% ISMS ZA500006889 477,980.91 USD 916.15 Security Identifier. NAPRP CtISIR 55343593 Total Common Stocks Estimated Blind dandy Market Price Market Value Currency Annual income Yield 6,052,000.00 TAR 11,599.83 471,980.91 USD 916.15 TOTAL EQUITIES 6,052,000.00 MR 11,599.83 477,980.91 USD 916.15 Accrued Estimated Market Value Currency Interest Amami Income TOTAL RAND 6,052,000.00 ZAR 0.00 11,599 83 477,980.91 USD 0.00 916.15 Unmated Awued Estimated Cost Basis Merkel Value Dakotan Inten Annual Income TOTAL PORTFOLIO HOLDINGS - U.S. DOLLARS $87,194,866.16 $102,037,432.07 $8,708,107.76 $369,606.92 $3,112,802.82 • Noncovered under the cost basis rules as defined below. 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 1099-8 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. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation este the accuracy of this information. The Current Face value represents the outstanding principal balance of the underlying security. The Current Fece value is determined by multiplying the current factor times the original face amount of the secorify. Factors may changeover time and are obtained from sources we believe to be reliable. t2Pershing hes received updated cost besisinformation, therefore cost baNs provided on previous client brokerage statements may differ from the new cos basis reported in this section. ° The cost basis of this security has been provided fo us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) Account Number Page 16 of 27 C ms-sr:1 ONFIDOP stor Rated Istyllent (very Yes, Since 2007 DALBAR RATIO COMMUNICATIONS LXCILLINCI Cleanng through Pate LLC nib* evened sabsidiary of fi e kelt anew Vat Mellon Canceallan My Mellon) Pen hng U.C.rrienter FINRAVNYLOM-00046626 DB-SDNY-0009450 EFTA_00157235 EFTA01289598 O Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Holdings Summary by Currency M ay 1, 2018 - M ay 31,2018 SOUTHERN F1NA NCIAL LLC Fxchmge•Trked Currency cam Fhed Income Equities Mutual Raids Funds Total by Currency U.S. DOLLARS 2)42,633 24,025,290 65,126,701 3,070,528 937,820 95,902,973 USD CHINA RENM INEO 0 0 1,541,691 0 0 1,541,691 CNY EURO 44 0 1.037,344 0 0 1,037.279 EUR BRITISH POUND 0 0 178,708 0 0 178,708 GBP HONG KONG DOLLAR 60.534 0 18.025.780 0 0 16.086.314 HKO JAPANESE YEN 202,366 0 22,428,000 0 0 22,630.366 JPY POLISH ZLOTY 0 0 6.320.339 0 0 6.320.339 PLN RAND 0 0 6,052.000 0 0 6,052,000 DR Total USD Equivalent 2.752,138 24.025,290 71 251.655 3.070.528 937.820 102.037.432 USD % of Allocation 3% 23% 70% 3% 1% 100% 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, w hich 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 "NI A" and are omitted from the Total. THEASOF PF3CEDATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATES, 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 Page '7 of 27 Account Number: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg L4 Rated Galls. fiery Yea. Since1007 DALIARIATEDCOMMUNICATIONS LXCGAINC( Cleanng through Pershn LLC. • alay owned setaldiary of The Usk el New Vat Mellon Caporal on (IINY meson) Pontigat LC. men*. Fikitn.%411,2PM-00046627 DB-SDNY-0009451 EFTA 00157236 EFTA01289599 Portfolio Holdings Disclosures (continued) Option Disclosure (continued) 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. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Schedule of Realized Gains and Losses Current Period Dale Dale Realized Otscription Disposed Aolvieed Designation Diaposilion Method Treeeklin Queenly Proceeds Cedillas GSn;Lon Short Term REPUBUC OF ARGENTIN 05108118 04/13118 Covered Ant In First Out / SELL 1,000,000.000 1,059,036.36 1,243,077.10 ,184,010.74 INOXS171303779 5250%07171 28 REG DID W09/17 Security Identifier AP7608387 Original Cost Basis:1243,0771 EURO CURRENCY 05/10118 05108118 NOeCeeetee Fad In Ant Out / saL 909,941.100 1,084,713.49 1,078,844.18 6,069.31 Security Identifier EUR999995 Total Short Term 2,143,749.85 2,321,721.28 -177,971.43 Page 18 of 27 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account ritrnbe !s CONFIDO. an. L Rated hottlent Emmy Year Since 2007 DALIAR RATIO COMMUNICATIONS EMU. INCE Clewing through Pella. I1C *lady evened sobsidiary of The kelt al New Vat Maio CaoporatIon (OM Mellon) Per, hnx 11.C. mnWon on) OB-SDNY-OOO9452 EFTA_00157237 EFTA01289600 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) May 1,2018 - May31,2018 SOUTHERN FINA NCIAL LLC Date Date Realized DesaiptIon Disposed Acquked Designation Disposition Method) Trentection Cuantily Proceeds Cod Basis Grin/Loss Long Term BASF SE SPONS ADR IS 05/21/18 04113115 Covered First In First Out / SELL 20,000.000 525,677.15 508,056.00 17,621.15 25057 Security Identifier 055262505 BANK AM ER CORP PERP 05115/18 01110111 Noncoveted" first In First Out / RED EN PTION 2.000.000.000 2,000,000.00 2.079.560.27 -79.560.27 TIVE DEP SKS FIXED TO FLOAT 8 Original Cost Basis.2,081130 56 .125% 04/30/58 BJE DTD 0413010 Security Identifier 0605050T8 WASHINGTON MUT MTGS 05124/18 12113113 Noncovered" REPYM T OF PRIN 1,290,000.000 1,951.63 1,493 37 458.26 004-RA2 MTG PASSTHRU CTFCL Original Cost Basis' 1493.37 B-1VAR RATE 6.998%07/25133 Security Identifier 939336820 Total Long Term 2,527,628.78 2,589,109.64 -61,480.86 Total Short and Long Term 4,671,378.63 4,910,830.92 -239,452.29 - Noncovered under the cost basis rules as defined below. Generally, securities acquired before 201X 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 lax 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. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-0 or online displays you may have available to you W hen you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Page 19 of 27 r Account Numb. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO L Rated tactile+, Owing *Nair PeriblinlICaulay owned [eery Yew Since 2007 Salary of Tits Bank a1 New Vat Mellon DALIAR &MD COMMUNICATIONS CorporationOM Alston) EXCULO4a PeeNntltC.inente, ihitAAWgilla9m-00046629 DB-SDNY-0009453 EFTA_00 157238 EFTA01289601 Schedule of Realized Gains and Losses Current Period (continued) Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed. there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less t hen one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation aster the accuracy of this information. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account If you do not select a method, your account will be defaulted to First In, First Out (FIFO) Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRSForm 1099-B. 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. Flease see the money market mutual fund's prospect us or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to W=C Rule 10b-10(b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (All amounts snow n are in bass currency) Securities ()edits ThisPerioe Debits TbisPeried Net ThisPedoe GeditsYear4o-Ciate DebilsYeareo-Dote Net Year-to-Date Securities Bought 0.00 -1373374.54 -137397434 0.00 -20.795.423.51 -20.795.423.51 Securities Sold 2,724,922.35 0.00 2,724,922.35 18,657,024.37 9.00 18,657,024.37 Total Securities $2,724,922.35 41,573,974.54 $1.150,947.81 $18,657,024.37 420,795,423.51 42,138,399.14 Dividends and Interest $509.621.06 $0.00 $509.621.06 $1.264.058.56 $0.00 $1,264,058.56 Distributions $2.100,517.74 $0.00 $2.100,517.74 $2.603.059.56 $0.00 $2.603.059.56 Fees $0.00 4430 00 4430.00 $0.00 4630.00 4630.00 Taxes Withheld $0.00 44,837 90 44,837.90 $0.00 45,184.60 45,184.60 Other $0.00 476 78 476 78 $0.00 477.20 477.20 Cash Withdrawals 9.00 -1,117,769.89 -1,117,769.89 0.00 .2,785363.93 -2,785,863.93 Deposits 66,000.00 0.00 66,000.00 1.654.343 06 0.00 1.654.343.06 Total Cash $66,000.00 41.117.769 89 41.051.769 89 $1.654,343.06 42.785.863.93 41.131.520 87 Totals $5,401,061.15 42,697,089.11 $2.703,972.04 $24.178,485.55 423,587,179.24 $591,306.31 Page 20 of 2 - Account Number CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg AL bled excellent Even Year Since 2007 DALBAR RATED COMMUMCAT IONS DIMLING Clan...through Parties LI.C. a rho* owned tobsidiary of The lank olNew York Mellon Corporation (My Mellon) P.,,P4n4 lic.M.Ftft RA.g4111,ILGM_00046630 DB-SDNY-0009454 EFTA 00157239 EFTA01289602 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 212O3 Transactions by Type of Activity M ay 1. 2016 - M ay 31, 2018 SOUTHERN FlNANCIALLLC Process Trade, Stillwell Transaction Date Dale Adivily Type Description ()wieldy Price Acaued Interest Amount Wang Securities Bought and Sold 05103/18 YOUR OPTION ASSIGNED PUT DO GILEAD SCIENCES INC DIP 05-93-1341177500 OPTION 25.000 0.00 USD 99OALUOW A ROOT= GILD GILDMA CLOSING TRANSACTION 05104/18 05102/18 PURCHASED GILEAD SCIENCES INC ACCT OPT ASSIGNED 2300 000 773000 -193,856.00 USD GILD 05104/18 YOUR OPTION ASSIGNED PUT DO GILEAD SCIENCES INC DIP 05-13.1©77500 OPTION 10.000 0.00 USD 99OALUOWA ROOT= GILD GILD-WA CLOSING TRANSACTION 05/07/18 05/03/18 PURCHASED GILEAD SCIENCES INCACCT OPT ASSIGNED 1900 000 77.5000 -77.556.00 USD OLD 05110/18 05108/18 SOLD REPUBLIC OF ARGBITINA REG S 'SIN* XS1715303779 5250% 4 ,000,000.000 89.3400 16,541 10 909,941.10 EUR AP7608387 6128 REG DTD 1109117 YLD 6182 TO MAT AS OF 19.607 82 1,078,644.18 USD 05/0812013 05114/18 05/10118 SOLD EURO -909,941.100 1.1920 1,084,713.49 USD 05/21/18 YOUR OPTION ASSIGNED PUT DO GILEAD SCIENCES INC EXP05.5.5©77.500 OPTION 90.000 0.00 USD 99OALUOW A ROOT= GILD GILD CLOSING TRANSACTION 05/22/18 05/18/18 PURCHASED GILEAD SCIENCES INC ACCT OPT ASSIGNED OPTCUSIP 9.000 000 77.5000 197,866.00 USD GILD 99OALUNA 05123/18 osniris SOLD BASF SE SPONS AD R US0552625057 UNSOLICITED ORDER -20.000.000 26.3245 525,677.15 USD BASFY AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 05/23/18 05/21/18 PURCHASED BERKSHIRE HATHAWAY RIC DB CL A UNSOL AVERAGE UNIT 2.000 297.000.0000 -594.106O0 USD BRK A PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 05/23/18 05122/18 SOLD SHORT CALL DO ALPHABET INC CL C EXP 07.20.5 Q110 OPENING -10.000 23.0000 22,943.70 USD 99OAM 8GOH TRANSACTION UNSOL EXCHANGE LISTED OPTION 05/23/18 05/22/18 SOLD SHORT PUT DO ALPHABET INC CL C EXP 07.20-8 Q1325 OPENING -10.000 13.0000 12,943 83 USD 99OAM 8031 TRANSACTION UNSOL EXCHANGE LISTED OPTION 05130/18 REINVESTCASH INCOME .PIA ORGAN FLOATING RATE INCOM E FUND CLASS I 1.131.468 -10.590.54 USD PHSX 326566 2960 SH RS SHRS PURCH. AT 39.36000 RD 05125PD 05130/13 Total Securities Bought and Sold EURO 16.541.10 909.941.10 EUR TOTAL USD EQUIVALENT 19,607 82 1,078,644.18 USD U S. DOLLARS 0.00 72.303 63 USD Page 21 of 27 Th Accou Iumber IM itcsi CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO Rated tactile/ trey Year Since 2007 DM AR MILD COMMUNICATIONS LXCLUINCI Clewing through flashiest 11C. a Say semi SASS." a The Mak a New Yak Melba Ono-ream (MY Wilco) Pen. 'mg U.C.ertn—bn rineketlerieqrawe-00046631 DB-SDNY-OOO9455 EFTA OO15724O EFTA01289603 Transactions by Type of Activity (continued) Process Trade; Settlima Tranualen Date Dee Activity Type Description Deemed). Price Accrued Interest Amount Currency Dividends and Interest 05/01/18 CASH DIVIDEND RECEIVED 5000000 ?MORGAN CHASE 8 CO DEPSHS REPSTG 16TH PFD 197.500 00 USD 46625H HAI SERIFIXED TO FUG RT BD 7.90 0% 0 4/29/49 B1EDTD 04/23/08 CLB RD 04129 PD 04/3011 05/15118 BOND INTEREST RECEIVED 80000 SHRSG11 AC CAP TR I GTD TR PE SECS SER 2 CPR- 37,695 20 USD ALLY PRA 8.25% FREO ORTLY ATY-0 2/51 2040 CALL ANYTIME 025 VI/30 DAYSBEGINS 0211/6 RD 0914 PD 05/5/11 05116/18 CASH DIVIDEND RECEIVED 2000000 BANK AVER CORP PEW NON 001A ULATIVE CEPS'S 61,250 00 USD 0605050T8 FIXED TO FLOAT 8.25%04/30/58 WE DID 0430/08 as RD 05/14 PD 05/5/6 05117/18 CASH DIVIDEND RECEIVED 2$11000 SHRSAPPLE INC COM RD 05/14 PD 05117/1 156.220 00 USD AAPL 05/21118 05118/18 FOREIGN SECURITY DIVIDEND $14000.00 SHARESNINEDRAGONSPAPER HOLDINGS LTD SHS 17,752.18 HKD RECEIVED 'SINS BM G65311305 FOREIGN SECURITY DIVIDEND RECEIVED 2161.51 USD 2689.HK RD 050213PD 05151 AS OF 05102/1 05/21/18 FOREIGN SECURITY DIVIDEND 20000 SHRS SASE SE SPONS ADR !Snit US05526250 57 RD 18.342.70 USD RECEIVED 05108 PD 051211 BASFY 05125/18 BOND INTEREST RECEIVED 290000 WASHINGTON AI UT M TG SECS CORP 2004-ßA2 M TG 2,794.59 USD 939336520 PASSTHRU CTF Cl C-B-WAR RATE 6998% 07/25/33 Ell E DTD 06/0104 RD 04/30 PD 05/25/1 05/30/18 CASH DIVIDEND RECEIVED .PKIORGAN FLOATING RATE I NCOM E FUND CLASS I 10.590 54 USD PHSX 326566 2960 SH RS RD 05/25 PD 05/30/1 05/31/18 MONEY MARKET FUND DEUTSCHEGOV7 CASH 2.966.52 USD INCOME RECEIVED P£ß232045 Total Dividends and Interest HONG KONG DOLLAR 0.00 17,752.18 HKD TOTAL USTI EQUIVALENT 0.00 2261.51 USD US. DOLLARS 0.00 507,359.55 USD Distributions 05/15/18 SECURITY REDEEMED BANK AMER CORP PERP NON COM ULATIVE DEPSHS FIXED TO -2000000.000 2,000,000.00 USD 060505018 FLOAT 8.25% 04/30158 BIEDTD 04/30/08 CLB 05/25/18 RETURN OF PRINCIPAL 290000 WASHINGTON M UT M TG SECS CORP 200 4.RA2 M TG 518.08 USD RECEIVED PASSTHRU CTF CA.C.B.IVAR RATE 6.998% 07/25/338/E DTD 939336520 06/0104 RD 04130 PD 05125/13 05131/18 PARTNERSHIP DISTRIBUTION 26317 SHRS APOLLO GLOBAL M GM T LLCCL A SHS RD 05/1 PD 99,999.66 USD APO 05/311 Total Distributions - U.S. DOLLARS 0.00 2,100,517.74 Page 22 of 27 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) &aunt Numb emu la CID CONFIDE NIPS bodkin (Ivy YCO/ Since 2007 DAllIAR RA 1111 COMMUNICATIONS EXCiLLINCI Cleanng fl our esdYt<LLCoudueYaumM istaldiarg of TRe Mnk a New Yen Met« CeeefatIon (atly Mellon) Pen. ing 11.C. mere« FzedtA.gat9Y2P0 - 00046632 DB-SDNY-0009456 EFTA_00 5724 1 EFTA01289604 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) M ay 1,2018 - M ay 31,2018 SOUTHERN FINANCIAL LLC Process' Trade; Settlement Transmtion Clete Dote Aclivity Type Description :LAM 1 Price accrued Intent Amount Cerrenq Fees 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 209 CUSP. APT608-38-7 -2.00 USD APT 608387 05101/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP. F9398N.D-6 •2.00 USD UBSFF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 208 cuaRG46341114 -2.00 USD HBCYF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP. 65636C-11-7 -210 USD LONKF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP G65313-10 -0 -200 USD NDGPF 05101/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP. J4 TO 70-11-0 -2.00 USD NCTKF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2018 CUSP S5343541-3 -200 USD NAPRF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2018 CUSP. X0957E-A-6 -2.00 USD OTGLF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 OAP Y000 4 F-D-5 -2.00 USD 2TCOF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP YOS73-11-2 -200 USD AHCHF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2018 CUSP. Y0698A-11-7 -2.00 USD BACHF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 208 CUSP. Yfi36.1-1)-8 -2.00 USD CCCGF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP. Y20958.t.7 -2.00 USD DNGFF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP Y95314-D-9 -200 USD VIEICF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 208 CUSP. Y989214.1:1-4 -2.00 USD 2HU2F 05/21/18 FEE ON FOREGN DIVIDEND 20000 SHRSBASF SE SPONSADR ISINS 115055262505T RD .400.00 USD WITHHELD AT THE SOURCE 05/08 P0051211 BASFY Total Fees - U.S. DOLLARS 0.00 430.00 Account /Until= C ecom ONFIDO CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) L Raied finilent (very Yaw Sine 2007 DALBAR RATED COMMutoCATIONS EXCELLENCE Page 23 of 27 Clown& dims,. PenhirglIC. a .by ~ad subudiary of The Balk other. Yak Mellor. Corporation (MY Mellon) p,o.ng it( rnnnta, £u.Rn.Sp pfxpM_00046633 DB-SDNY-0009457 EFTA_00157242 EFTA01289605 Transactions by Type of Activity (continued) Process Trade; Settamyl Translation Date Date Activity Type Description Duentily Price Acaued Interest Amount County Taxes Withheld 05/21/18 FOREIGN TAX WITHHELD AT 20000 SHRS EA& SE "OHS ACM USO 552625057 RD 4,83790 USD THE SOURCE 05108 PD 05121E BASFY Total Taxes Withheld - U.S. DOLLARS 0.00 -4,837.90 Other Transactions 05/15118 ACTIVITY WITHIN YOUR ACCT GILEAD SCIENCES INC TRANSFER TOY ARGIN -12.500.000 0.00 USD GILD 05/15/18 ACTIVITY WITHIN YOUR ACCT GILEAD SCIENCES INC TRANSFER FROM CASH 12.500 000 0.00 USD GILD 05/21/18 05/19)18 FREE CREDI T BALANCE EURO CURRENCY FREE CREDIT BALANCE INTEREST CHARGE 44.80 EUR INTEREST CHARGE FREE CREDIT INT CHRG 04.20-E TO 05-17-13 FOR CUSTOM ER -76.26 USD EUR999995 ACCOUNT 05121/18 05119/18 FREE CREDIT BALANCE J%PANESE YEN CURRENCY FREE CREDIT BALANCE INTEREST -58.00 JPY INTERESTCHARGE CHARGE FREE CREDIT INT CHRG 04-20-2 TO 05-2-13 FOR 4.52 USD .PY999993 CUSTOMER ACCOUNT Total Other Transactions EURO 0.00 -64.80 EUR TOTAL USD EQUIVALENT 0.00 -76.26 USD JkPANESE YEN 0.00 48.00 JPY TOTAL USD EQUIVALENT 0.00 4.52 USD US. DOLLARS 0.00 0.00 USD Cash W ithdrawals and Deposits 05/09/18 FEDERAL FUNDS SENT CITIBANK. HA. -100.000.00 USD USD999997 05114118 FEDERAL FUNDS RECBVED DEUTSCHE BANK TRUST 12245 30,000 00 USD USD999997 05115/18 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST 437419 89 USD USD999997 05117/18 FEDERAL FUNDS SENT CEUTSCHEBANKTRUST •4 1.250.00 USD USD999997 05/17/18 FEDERAL FUNDS RECBVED CEUTSCHEBANKTRUST00343 36400 00 USD USD999997 05/22/18 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -36,000 00 USD USD999997 05/24/18 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -103.500.00 USD USD999997 Total Cash Withdrawals and Deposits- U.S. DOLLARS 0.00 -1.051,789.89 Account NUMbeillM C at031 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO Page 24 of 27 Rated [smitten fray Year Since 2007 DM AR MITO COMMUNICATIONS EXallttla Clewing *each Peskin I1C naoly yew" sobsidiary a The Bank a New Yak Melon CaveratIon (MY Melee) Peening LICerter-bn %RA. Pk.q2PM-00046634 DB-SDNY-0009458 EFTA_00 157243 EFTA01289606 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) May 1,2018 - May31,2018 SOUTHERN FINA NCIAL LLC Told Accrued Mitred Total Amount TransedionsSummiry Total Aoned 'merest Told Amount Quincy US0 Equivalent USDEquivelent EURO 16 541 10 909,876.30 BJR 19,607.82 1,078,567.92 HONG KONG DOLLAR 0.00 17352.18 NKD 0.00 2,261.51 APANESE YEN 0.00 -58.00 JPY 0.00 0.52 U.S. DOLLARS 0.00 1,823,143.13 USO 0.00 1,623,143.13 The price and quantity displayed may have been rounded. Cash Not Yet Received Security Retold Data Payable Die Quantity Held Rite 01rWend Cmtion Amount of Payment Dividends OUALCOAIN INC Total Cash Not Yet Received Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. 05/30118 omits 10.000.000 0.620000 Cash 6200.00 $6,200.00 Fixed IncomeAnalysis Bond Quality %dewed Bond Quality LIAM Vim Merkel Value Percent of Fixed Income A 2,197,410.00 9% BAA 10,265,150.00 43% BA/ Lower 11,118,843.75 46% Not Rated 443,887.12 2% Total 24,025,290.87 100% 0 20 40 60 80 100 Bond Maturity Schedule Bond Maturity .7 to t2 months .6 to 10 years Over 10 years Total Markel Value %ol Bond Mutat Wee 1,012,500.00 4% 4,012,520.00 17% 19,000370.87 79% 24,025,290.87 100% Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. CONFIDENTIAL — PURSUANT TO FED. R CRiM. P. 6(e) Account Number CONFIDO. L Rated [stollen% trey Year Since 2007 MAAR ItATIO COMMUNCATIONS EXCIattla Page25 of 27 Clewing lame. Pella. 11C•aapronwel sstaldlary of The lank al New Vat Mellon CarponefonOINY Mellon) Peening LIC.nwiter on) DB-SDNY-0009459 EFM_00157244 EFTA01289607 Client Service Information Your Invettmeot Spedakt DIJ JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10017 Your Account Information Coated Wornolon Telephone Number: 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 SECTIONS 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. 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, w here 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 . 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 26 of 27 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDO. L Rats (4c &.n Event Year Since 20O7 DALBAR RATED COMMUIRCAT IONS (Jtall INC I Clewing laser Pad,S IIC •way wend steldlary a TheMA a New Vat Mellon Carponalan Man) PerIhnx RCmet-beg iimi4.SBIOVELGM_00046636 DB-SDNY-0009460 EFTA_00 157245 EFTA01289608 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) Mayt 2018-May31 2018 SOUTHERN FINANCIAL LLC 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 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 agreem ent 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; Account Umbel= C'ton CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO Rated Excellent Leery Year Sleet 2007 DAtIAR RATED COMMUNICATIONS LXCELLUICE Page 2 7 of 2 Glee/meth/our Pertain LC. a melee owned tabsidlacy or The Bank ad New York Mellon Caeporattan (INY Mato) hemline !AC. member ruatA.PkIlf,,E,PM_0C046637 DB-SDNY-0009461 EFTA 00157246 EFTA01289609 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Otututkr tank Ptisair //felt. lglalltm.*1 Mulcts Central< C4OW Deoliche Lir* Setwitini Inc Wu' Yon Me 34S Pot AM6VP. 1611 HON Plow Tolls,.. Clint SOUTHERN FINANCIAL LLC 6 10 0 RED HOOK QUARTER B3 April 1, 2018 - April 30 2018 Account Number: ST THOMASVI 0 0 80 2 Portfolio at a Glance Bali Period Year4o-Date Your Investment Specialist. BEGINNINGACCOUNT VALUE 896,985,510.52 897,272,547.37 JOSHUA SHOSHAN Net Dash Deposits aid Withdraw* 101,008.20 -79,750.98 Adjusted Previous Account Value 97,086,516.72 97,192,796.39 Dividends. Interest and Other Income 104,498.82 928,121.12 Total Taxes Withheld 0.00 -346.70 Other Transactions -128.42 -200.42 Net Change in Portfolio' -496,651.36 -1,426,136.63 ENDINGACCOUNT VALUE $96,694,233.76 896,694,233.8 Accrued Interest $331.915.04 Estimated Annual Income 53,316.357 96 GAsset Summary 1% 100% Cash. M oney Funds, and Bank Deposits 28% Fixed Income 67% Equities Mutual Funds 1% Exchange-Traded Products El IMI El El 3% Account Total (Pie Chart) Please review your allocation periodically with your Investment Specialist. Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Preen( Asset Type CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Pier Yeatad Lad Period Ms Period 823,820.96 6,997,025.68 1,126,791.71 26,083,479.22 24,399,756.03 27,272,063.66 80,899,388.97 61,548,164 25 64,239,589.65 3,020,938.22 3,059,415.56 3,072,988.85 6,444,920.00 980,850 00 982,800.00 $97,272,547.37 896,985,510.52 896,694,233.76 Pagel of 28 Rated Cacellent Caere Year Since 2007 DAUIAR RATIO COMMUMCAT *NS (JIMA MCC Clewing lamer Feebly I1C sub* evened sabildlerg et The Mak ei New 'reek MOOR ONIXIIINSOTIONY M•11011) Perglita U.C.menter FIARAAW14391"—Ouv46638 DB-SDNY-0009462 EFTA 00157247 EFTA01289610 Summary of Gains and Losses This Period Rested Yeas4o-Date Unrealized Short-Term Gain/ Loss -30,106.27 1,329,043 85 1 277 479 21 Long-Term Gain! Loss 798,933.90 2.715.987.02 4 392 650 37 Net Gain/ Loss 768.827.63 1.045.030.87 3.115.171 16 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. Exchange Rate Table Global Cash Ceirency Posing Amount in Currency USO Equivalent per USD Quincy Beata Base Cill rent,/ USO CHINA RENMIN81 0.1576 6.3449 HONG KONG DOLLAR 42,782 10 5.451 33 EURO 1.2081 0 8277 JAPANESE YEN 202.121 00 1 849 95 BRITISH POUND 1.3771 0 726 I Total Global Cash Balance 57.30t.28 HONG KONG DOLLAR 0.1274 7 8480 APANESE YEN 0.0091 109.4100 POLISH ZLOTY 0.2854 35030 RAND 0.0801 12.4802 Exchange rates are based on interbank exchange rates as of 04/ 30/ rates can vary. 2018. Exchange Money Market Fund Detail Date Activity Type Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield 164% Activity Ending: 04t 30r 18 Deseriplitin Amount Manse 03130118 Opening Balance 5,937,207.87 5,937,207.87 04/03/18 Withdrawal MONEY FUND REDEMPTION ,629,335.63 4,307,872.24 04/04/18 Withdrawal MONEY FUND REDEM PTION 4 ,688,141.87 2.619.727.37 04/05/18 Withdrawal MONEY FUND REDEM PTION 4 .052.462.50 1.567.264.87 04/09/18 Deposit MONEY FUND PURCHASE 5.108 00 1,572.372 87 04/11/18 Withdrawal M ON EY FUND REDEMPTION 406,137.71 1,166235.16 04/12/18 Deposit MONEY FUND PURCHASE 11,625.00 1,177,860.16 04/16/18 Deposit MONEY FUND PURCHASE 1,052,462.50 2,230,322.66 Page 2 of 28 Th AccouMtlund CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Noted Galls. Every Yea Since 2007 DALIAR PATEDCOMMUNICATIONS rxcuwic( Oar% through PenhieglIC. a Say °mai sataldlary a nit crank a New Vat Mellon CorpontIon (MY Mellon) Igraine inenew onatn./IW 44°m—00046639 DB-SDNY-0009463 EFTA 0015724R EFTA01289611 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Money Market Fund Detail (continued) April 1,2018 - April 30,2018 SOUTHERN ANA NCIAL LLC Date Activity Type Sweep Money Market Fund (continued) DEUTSCHEGOVT CASH INSTL (continued) Desuiptiae Mount Brim 04117/18 Withdrawal MONEY FUND REDEMPTION -1,259,336.86 970,985.80 04120/18 Withdrawal MONEY FUND REDEMPTION -559,874.08 411.111.72 04124/18 Withdrawal MONEY FUND REDEMPTION -411,111.72 0.00 04124/18 Withdrawal SHARES REDEEM ED .1,796.53 -1,795.53 04124/18 Deposit ACCRUED DIVIDEND CREDIT 1,796.53 0.00 04125118 Deposit MONEY FUND PURCHASE 69,434.15 89,434.15 04128118 Deposit MONEY FUND PURCHASE 1,049,802.53 1,119238.68 04130/18 Deposit INCOM E RBNV EST 253.75 1,119,490.43 04130118 Closing Balance $1,119,490.43 Total All Money Market Funds $1,119,490.43 Income and Expense Summary West Period Year4o-Date Table Nan Tsxt4 Twit Noe Tmfl Dividend Income Equities 5,208.00 0.00 154,889.89 0.00 Money Market 2,050.28 0.00 14,418.06 0.00 Other Dividends 10,307.63 0.00 225,400.26 0.00 Interest Income Bond Interest 86,930.91 0.00 322,924.89 0.00 Other Interest 0.00 0.00 36,804.40 0.00 Expenses W ithholding Taxes 0.00 0.00 346.70 0.00 Total Dividends, Interest, Income and Expenses $104,498.82 $0.00 $754,090.80 $0.00 Distributions Alternative Investments 0.00 0.00 0.00 173,883.82 Other Distributions 4.42 653.78 -0.42 28,85820 Total Distributions 40.42 $853.78 40.42 8202,541.82 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Humber. CONFID AL Page 3 of 28 Rated hortlent Clewing %Mr Penblin I1C *take/ evened Every Year Since 2007 SASS." a The end a New Yak Mete DALBAR RATED COMMUMCATIONS CarpontlanaltlY WWI ()tall INCE Pt • rig U.C.erber FINItANV YaGM_ 00046640 DB-SDNY-0009464 EFrA_OO 157249 EFTA01289612 Portfolio Holdings U.S. DOLLARS Opening Date CASH, MONEY FUNDS, AND BANK DEPOSITS Margin Balance 1,052,462.50 0.00 Money Market DEUTSCHE GOVT CASH INSTL 03/30/18 1,119,490.430 N/A 04/30118 5,937,207.87 1,119,490.43 0.00 14,418.06 Total Money Market $5,937,207.87 $1,119,490.43 $0.00 $14,418.06 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $6,989,670.37 $1,119,490.43 $0.00 $14,418.06 Account Activity Opening Going Acaued Income 30 Day Cement Quantity Number Biding Balance galena Income This Yes Yield Yield Date Acquited FIXED INCOME (In Maturity Date Sequence) °Asset Backed Securities WASHINGTON M UT MTGSECSCORP 20044242 MTG PASSTHRU CTF Ct. C VAR RATE 6.996%07125/33 81E DTD06/0104 Factor: 0.37114371 Effective Date04/02/S Current Face Value: 479$2386 12/13113'.3.° 1290,000.000 Adjusted OuatIty NMI OA Cost Bees Merkel Pike Midst Value 1.63% 1.64% thmealzed Awned EilleaMed SUSS °skirls% Interest Annuli Income Yield Security Identifier 939336520 76.5190 366,648.38 93.0380 Original Cost Basis: 5838406.71 445,803.10 Total Asset Backed Securities $366,648.38 $445,803.10 1,290,000.000 Total Current Face Value:479,162.386 Corporate Bonds CITIZENSCOMMUNICATIONSCOD Security Identifier: 174538AW1 NT FULLY EXCHANGED FROM 44538AX9 7.125%03/S/9 8/E DID03/23/07M oody Rating CAA1S41 P Rating B. 10103117 1,000,000.000 100.0620 1,000,623.01 99.5000 995900.00 Original Cost Basis: 51001006.00 EXELA INTER LLC/ EXELA FIN INC GTD Security Identifier 3052RAA9 FIRST PRIORITY SR SECO NT 144A 9.000% 0716/23 WE DID 0 7/12117 CLBM oody Rating 83 S 8 P Rating B 10/24/17 2.000.000.000 97.0250 1.940.506.00 100.1250 2.002.500.00 Original Cost Basis: 51940,506.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 79,154.72 2,700.60 979,164.72 $2,700.60 $0.00 .5,623.01 8,906.25 71,250.00 7.16% 61.994 00 58.333 33 200.00090 9.98% Page 4 of 28 Rated Itettlent Cleanng through Pagan IIC auk,/ evened (very Yew Since 2007 sabsidiary of The Mak anew. Vat Meta DALBAR RATED COMMUNICATIONS CarporatIon (MY Mellon) (XCILLINCE Panama RC. ente-to romu,tag‘GM_00046641 DI3-SDNY-0009465 EFTA_00157250 EFTA01289613 a Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) A pril 1, 2018 - A pril 30, 2018 SOUTHERN ANA NCIAL LLC Date Acquired Quantity Unit Coal FIXED INCOM E (continued) Corporate Bonds (continued) J3,5 INVTS GM BH GTD SR NT REG S ISINt HM29866453 7250% 04103124 FOE DTD 04/03/5ISS P Baling B 10/31117 2,000,000.000 99.0650 SERViCEMASTER CO NT 7250%03/0538 BIE DTD 03/02198 ET CPN DTE 09/0798 CPN PUT Sall ANNUAL ON MAR 01AND SEPOilocdy Rating 62 Sd P Rating B 10/18/17 500,000.000 103.9520 10/19/17 10/20117 10131117 Total Covered Total 350,000.000 80,000.000 70000.000 1,000,000 000 1,000,000.000 103.9540 103.9600 103.9630 ASSURANT INC FXD TO FLTG SUB NT 7.000% 03/27/48 B/E DTD 037271E CALLABLE03/27128 (I DOODOMoody Rating EIM3 03129118 2,000,000.000 101.9990 ,P11 ORGAN CHASE 8 CO DEP MISREPSTG METH PFD SER 1FIXED TO FLTG RT BD 7.940% 04/29/49 BIC DTD 04/23/08M oody Baling BAA3 S 8 P Rating BBB￾06/1511I " 37 2,500,000.000 107.5000 Adjusted Cost Dais Market Rice Market Value Unrealized Gigolo's Accrued Interest Eslir al ed Estraled Ann al rime Yield Security Identifier: A29866485 1.981.300.00 98.5950 1.971.900.00 4.400.00 10.875.00 145.000.00 7.35% Original Cost Basis: 51981300.00 Security Identifier: 81760NAB5 519.760.77 99.7500 498,750 00 -21,010.77 5,940.97 36,250.00 7 26% Original Cost Basis: 5520.003.00 363,838.99 99.7500 349,125 00 -14,713.99 4,158.68 25,375.00 726% Original Cost Basis: 5364,006 00 83.167.97 99.7500 79.800 00 3.367 97 950.56 5,800.00 716% Original Cost Basis:583206.00 72,774.10 99.7500 69.825.00 .2,949.10 831.73 5,015.00 726% Original Cost Basis:57280600 1,039,541.83 997,500.00 -42,041.63 11,881 94 72,500 00 $1,039,541.83 5997.500.00 442,041 83 $11.881.94 572,500 00 Security Identifier:04625MM 2,039,973.33 104.1940 2,083,880.00 43,906.67 12,83333 140,000.00 6.71% Original Cost Basis: 52,040,006.00 Security Identifier 46625HHA1 2,687,500.00 100.7500 2,518,750.00 -168.750.00 0.00 197,500.00 7.84% Original Cost Basis: $2,887.500.00 Stcacill M Account Numb C CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO Page 5 of 28 L Rated Calls. Glean... through Pealing LLC.aulay (Amid Every Year Since 2007 setaldiary of The Mace( New Volt Mellor. DALIARPATEDCOMMUNICATIONS Corporation (IINY Mellon) ......... ..., EXCUSING( Penkkektc.monew onstik.kltY&FatItl 00046642 DB-SDNY-0009466 EFTA 00157251 EFTA01289614 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit Cost FIXED INCOME (continued) Corporate Bonds (continued) Se ORGAN CHASE& CO DEP SHSREPSTG (continued) 06/15111 '3° 2.500.000.000 107.0000 Total Noncovered Total 5,000,000.000 5,000,000.000 BANK AM ER CORP PERP NON COM ULATIV E DEP SHS FIXED TO FLOAT 8.45% 04/30158 WE DTD 04130/08 CALLABLE05/151SM oody Rating BA2 St P Rating BBB. 01/10/11 " V 2,000,000.000 103.9790 SOUTHERN CAUF EDISON CO PREF SER E 6 250% 0117162 B1E OTO 0Y412 CALLABLE 02/0 V22 © 130000Moody Raling BAAIS& P Rating BBB￾01/30/12 " 52 3.000.000.000 99.8880 GENERAL ELEC CO GTD FXD-TO-FLTGRT NON-CUMULATIVE PERPETUAL PREFERRED 4.000% 2/03/6511EG DTD 3.1Moody Rating A3 58 P Rating BBB. 12/03/15 2,469,000.000 88.0930 LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1SECS US539139AG12 7.500% 04/27/88 BIE DTD 0410V145A P Rating BEI￾04/10rI4 . '3 t2 1,903,000.000 102.3910 CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08115/88 IVE DID 0812/15 CALLABLE081S/200 310.0002 oody Rating BA2 SI P Raling BB￾08/06/15 3.000.000.000 100.0000 Adjusted Cost Bads Market Pin 2.675.000.00 100.7500 Original Cost Basis: 32175100.00 5,362,500.00 35,362,500.00 Security Identifier: 060505018 2,079,572.34 100.2000 Original Cost Basis: $2,081830.56 Security Identifier: 842400 FU2 2.996.653.73 106.0000 Original Cost Basis: $2,992,561.97 Securely Identifier 369604BM 4 2,175,016.17 90.0000 Original Cost Basis: 52,45.011.4 Security Identifier. 539439A04 1,948,500.00 107.9000 Original Cost Basis:31918,500 00 Security Identifier: 17296725 3.000.005.99 103.3750 Market Value 241835010 5,037,500.00 34037,500 00 2.004.000.00 3.180.000 00 2,222.100 00 2,053,337.00 3.101.250.00 Unrealized Oainlloss Accrued Interest Estimated Estimated Annual Income Yield -156.250.00 0.00 197.500.00 7.84% 325,000.00 0.00 395,000.00 4325,000.00 30.00 3395,000.00 -75.572.34 74,479.17 162,500.00 8.10% 183.346 27 46.354.17 187.500.00 5.89% 17,083.83 37,035.00 98,760.00 414% 104,837.00 13,083.13 142,725.00 6.95% 101:244.01 37.187.50 178.500.00 515% Account Number CO CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFIDO. 4 Rated Einellent fray Year Since 2007 MBAR MUD COMMUNICATIONS EXCMINCE Page 6 of 28 Clown. tivough Persian U.C. a.tory owned ' ,Asiatic' The lank a New York Mellon Carpotatken(ONY Mellon) PtnPiat LI.C.rnerte HtoiA.g4ra:PM_00046643 DB-SDNY-0009467 EFTA_00 15725/ EFTA01289615 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Cute Acquked Ouestky Unk Cod Adjusted Cod Bede Merkel Prim Market Value unasked Wenn Acaued funded Estimated Ed mated Annuli Income Yidd FIXED INCOM E (continued) Corporate Bonds (continued) CITIGROUP INC FM) RT SR NT PERP DEP RECPT (continued) Original Cost Basis: $3.000,006.00 Total Corporate Bonds 25,372,000.000 $25,564,192.40 $25,648,967.00 $84,774.60 5310,968.82 $1,793,735.00 TOTAL FIXED INCOME 26,662,000.000 Dote Acquked Oumtky MIN Cool $25,930,840.78 Cod Bats Merkel Price $26,094,770.10 Market Value $163,929.32 Unmated Gelarlon $313,669.42 $1,793,735.00 Bille ted Whaled Maud Income YIeld EQUITIES Common Stocks ADVANCED MICRO DEVICES INC COM Dividend Oplion: Cash &wily Identifier AMP CUSP. 007903127 April 1,2018 - April 30,2018 SOUTHERN FINANCIAL LLC 50,000.00 of these shares are in your mated account 09115117 20.000.000 12.2810 245.612 36 10.8800 217.600 00 -28,012.36 12115117 30,000.000 122300 366.912 57 10.8800 326 400.00 -40,512.57 Total Covered 50,000 000 612.524 93 544,000 00 48,524 93 Total 50,000.000 $612,524.93 3544,000.00 •$68 524 93 SO 00 ALIMM GROUP HLOG LTD SPONSORED ADR &toddy Identifier. MBA ISNt USOSO9W927 CUSP: 0 S091V 1)2 Dividend Oplion: Cash 06110115 5.000.000 88.9500 444,749.00 178 5400 892,700.00 447,951 00 ALPHABET INC CAP 5Th CL C Seedily Identifier: GOOG Dividend Oplion: Cash CUSP: 02079K1)7 04102/18 1.000.000 1,004.6340 1.004.634.49 1.017.3300 1,017,330.00 12.695.57 AMAZON COM INC Security Identifier AUDI Dividend Option: Cash CUSP:023135U 03/29118 500.000 1,423.8620 711,930.80 1,566.1300 783,065.00 71,134.20 04102/18 500.000 1,367.0210 683.570.38 1.566.1300 783,065.00 99,554.62 Page 7 of 28 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: It ON2 CONFIDO. 1:0)C. L Rated Eic•Ilent Every Yet Since 2007 DALIAR RATIO COMMUNICATIONS LXCILL INCE Clewing through Mire I1C nob* evened Malaita" of me Ian a/ New Vat Meta Carpontlan (IINY Mellon) Periling U.C.ntenter FIIIIIAAR4VELGM_00046644 DB-SONY-0009468 EFTA_00157253 EFTA01289616 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired EQUITIES {continued) Common Stocks (continued) AMAZON COM INC (continued) Total Covered 1,000 000 Total 1,000100 APOLLO GLOBAL M GM T LLCCL A SHS Dividend Option: Cash 263,1710 of these shares are is your margin account 03/29/11 " 3 263.157.000 19.0000 APPLE INC COM Dividend Option: Cash 12/07/17 BASF SE SPONS ADR 1914100552625057 Dividend Option: Cash 04/13115 20,000.000 25.4030 BERKSHIRE HATHAWAY INC DEL CI. A Dividend Option: Cash 02105/18 3.000 310.425.3330 02/16/18 3.000 307,028.6670 03119118 3.000 305,135.3330 03/23/18 3.000 296.035.3330 03127118 3.000 301,415.3330 Total Covered 15.000 Total 15.000 BIOGEN IDEC INC COM Dividend Option: Cash 02/14/12 ..3 CD4TENE CORP DEL COM Dividend Option: Cash 09108114 GENERAL ELECTRIC CO COM Dividend Option: Cash 25100.00 of these shares are io your margin account 02123118 2.500.000 02/26/18 2.500.000 Quantity Unit Com 214,000.000 169.8140 2.095.000 110.2720 15.550.000 63.6450 16.2210 16.2210 931,276 921,086 915.406 888.106 904,426 1,561,300 $1,560,300 Cost Baia Market Price 1,395,441 18 $1,395,441.18 Secuidy Identifier. APO CUSP 03764306 4,999,983.00 28.8400 Security Identifier: WI CUSP: 037833100 36,340,223 40 165.2600 Securily Identifier: BASFY CUSP. 055262505 508.056 00 26.0500 Security Ideating. BRK A CUSP:084670138 00 290,650.0000 00 290,650.0000 00 290,650.0000 00 290.650.0000 00 290,650.0000 00 00 Security Identifier. BUB CUSP 09062X03 231.019 65 273.6000 Sectrity Identifier: CNC CUSIP 1135891 989,679 75 108.5800 Socially Identifier GE CUSP 36960413 40.551 71 14.0700 40.551 71 14.0700 Market Value 1,566,130 00 Unceanzed Clinton Estimated Edbaled Annual Income Yield 170,688 82 $1,566,130.00 $170,688.82 $0.00 7,589,447.88 2,589,464 88 542,103.42 714% 35,365.640 00 174,583 40 539,280.00 152% 521,000.00 12.944.00 25,587.20 491% 871.950.00 -59,326.00 871.950.00 .49,136.00 871,950.00 43,456.00 871.950.00 -16.156.00 871.950.00 .32,476.00 4,359,750.00 -200,550.00 $4.359,750.00 4200,550.00 $0.0D 573.192.00 342.172.35 1.688.419.00 698,739 25 35.175.00 4.376.71 1200 00 3 41% 35.17510 -5,376.71 1.200 00 341% Page 8 of 23 Account tiumbeill= C Stint/ CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO Rated balls. bery Yea. Since1007 DALIARIATEDCOMMUNICA11016 LXCHAINC( Cain. liner PagektiLLC. a %l ay owned sat ddlity of The lank el New York Mellon CaTcatIon 01110( Mellon) FikiteAlAqi:t.GM_00046645 DB-SDNY-0009469 EFTA_00 157254 EFTA01289617 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) April 1,2018 - April 30,2018 SOUTHERN FlNA NCIAL LLC Date Acquired EQUITIES (continued) Common Stocks (continued) GENERAL ELECTRIC CO COM (continued) Quantity Unit Cosi Cost Dais Market Ftice Market Value Unrealized Gaintloss Estimated Estimated Annual Income Yield 03105118 800.000 16.2260 12.980.63 14.0700 11.256.00 -1,724.63 384.00 3.41% 03/07/18 5,000.000 16.2190 81,097.41 14.0700 70,35010 -10,747.41 2,400.00 341% 03112118 2.500.000 16.2210 40.551.71 14.0700 35.175.00 4.376.71 1,200.00 341% 03/16/18 11,700.000 16.2190 189.759.90 14.0700 164.619.00 -25,140.90 5,616.00 3.41% Total Covered 25,000 000 405,493.07 351,750.00 -53,743.07 12,000 OD Total 25,000 000 5405,493.07 3351.750.00 453,743.07 312,000.00 GILEAD SCIENCES INC Secluity Identifier. GILD Dividend Oplion: Cash CUSP. 37555803 02105114 5.000.000 79.2810 396.407.00 72.2300 361.150.00 -35.257 00 11,400.00 3.15% 03107114 3.100.000 79.6120 246,797.00 72.2300 223,913.00 -22,884.00 7.068.00 3.15% 10/24/17 4.400.000 80.0900 352.395.71 72.2300 317.812.00 -34.583 71 10.032.00 3.15% Total Covered 12.500 000 995,599.71 902,875.00 -92,724.71 28.500.00 Total 12,500 000 5995,599.71 3902,875.00 492,724 71 328,500 OD NINTENDO LTD ADR Sandy Identifier: NTDOY Dividend Oplion: Cash CUSP:654445303 02105118 10,000.000 51.7910 517.906.00 52.4800 524.800 00 6.894 00 4,689.56 0 89% OUALCOUN INC Security Identifier: OCOM Dividend Oplion: Cash CUSP. 74752503 9600.00 ollhese shares are in your margin account 04118118 2,500.000 58.1730 145.432.61 51.0100 127.525.00 -17,907.61 6,200.00 4.86% 04120118 7,500.000 58.1710 436285.83 51.0100 382,575.00 -53,710.83 18,600.00 486% Total Covered 10,000.000 581,718 44 510.100.00 -71,618.44 24,800.00 Total 10,000.000 $581,718.44 3510,100.00 471.618.44 $24,800.00 Total Common Stocks 353,587,328.62 $56.407.133.88 52,619,805.26 $1,176,960.18 Account Numbe C storrracsqici: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDOt Rated allin, bay Yeas Since 2007 DALIARPATEDCOMMUNICATIONS UMIAK( Page 3 of 28 Chinni through 'Ware U.C. a calory owned sakskliary of The Bank *I New York Mellon Corporatfon (MY Mao) ‘40_00046646 Fintint ltC. reenter Fit.RA. tleAcqkt. DB-SDNY-0009470 EFTA_00 157255 EFTA01289618 Portfolio Holdings (continued) U.S. DOLLARS (continued) Unfenced Estimated Edimeled Oete Acquired Cmanky Unit Cod Cod Bads Motet Prim Market Value Coin Loss Anneal Income Yield EQUITIES (continued) Preferred Stocks (Listed by expiration date) GMAC CAP TR I GTO TR PR) SECS SER2 CPN. Security Identifier: ALLY PRA 815% FRED ORTLY MA1Y-02115/2040 CALL CUSP. 361160208 ANYTIME 025 W130 GAYS B8314602/16/1 Dividend Option: Cash 02122112 ' •° 80.000.000 23.5350 1,882,773.60 26.5900 2.127200 00 244,426.40 146.396.48 6 88% Total Preferred Stocks $1,882,773.60 $2,127,200.00 $244,426.40 $146,396.48 Options PUT 1/0 GILEAD SCIDICESINC Option Identifies: 990ALUDWA EXP 05-1.1077.500 OPTION ROOT: GILD 425.00 of tbeseoontracts ale a short position Underlying Security Identifier: OLD thud eitying Security Prix: $7223 04120118' .125.000 4.9690 42,111.55 5.5000 48,750.00 4,632.45 CALL 130 'SNARES TR M SCI EMERGINGLINTS Option Identifier:99041RM INDEX FD EXP0614055.000 Underlying Security Identifier:DEM OPTION ROOT: EDI Underlying Security Price:146.92 Price Estimated as of.0412711 01/17/18 2,400.000 0.4400 105.60610 0.0100 2.400.00 -103,206.00 Total Options $43,488.45 466,350.00 4109,838.45 $0.00 TOTAL EQUITIES $55,513,590.67 $58,467,983.88 $2,954,393.21 $1,323,356.66 Unsuited Edlinded &limited Date Acquits Quantity Una Cod Cod Bads Market Price Market Value Warless Maud Income Yldd M UTUAL FUNDS PM ORGAN FLOATING RATE INCOME FUND Security Identifier...611SX CLASS I CUSP. 484151 Open End Fund Dividend Option: Reinvest; Capital Goias Option: Reinvest 09128117 318109.777 9.4100 3,000,000.00 9.4100 3.000.000.02 0.02 118,061.64 313% Reinvestments to Date 7,756.519 9.4040 12,943.24 9.4100 72,988.83 45.59 2,872.39 393% Total Covered 326,566.296 3,072,943.24 3,072,988.85 45.61 120,934.03 Total 326,566.296 $3,072,943.24 $3,072,988.85 $45.61 $120,934.03 TOTAL M UTUAL FUNDS $3,072,943.24 $3,072,988.85 $45.61 $120,934.03 Page ID of 28 CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) Account Number CONFIDO. , CO2i L Rated Excellent (my Year Since 2007 DALIAR RATED COMMUtisCATIONS LXCILLINCI Cleating through Penlwel1C. a vilayevnted sobsidiary of The Bonk a New Yak Melba CarporatIon( ao) PerIhnx 11. INY M C. nwett• FINRAVV4PM_00046647 DI3-SDNY-0009471 EFTA_00157256 EFTA01289619 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquked EXCHANGE-TRADED PRODUCTS ISHARESINC MSCI SOUTH KOREA ETF Dividend Option: Cash; Capital Gains Option: Cash 11103117 13,000.000 75.8460 TOTAL EXCHANGE-TRADED PRODUCTS April 1, 2018 - April 30, 2018 SOUTHERN FINA NCIAL LLC Unrealized Quantity Unk Cod Cod Bun Market Peke Market Value Gaidloas Estimated Eslimaled Annual Income Yield Searity Identifies. EWY CUSIP: 464286772 985,996.98 75.6000 $985,996.98 982,800.00 $982,800.00 4,196 98 43,196.98 I8,291.14 2.87% $28,291.14 Uncoated Accrued Slated Cod Bads Merkel Value Godless Stared Andel biome TOTAL U.S. DOLLARS CHINA RENM I N BI $86,622,862.10 $89,738,033.26 $3,115,171.16 5313,669.42 $3,280,734.89 Estimated Oesalptlen bearely Market Price Market Value Caning YI441 EQUITIES Common Stocks CHINA CONN UNICATIONS CONSTRUCTION COMPANY 224,000.000 7.3445 1,645,184.35 CNY LTD SKS H ISMS CHE1)00002F5 259,732.93 USD Security Id edifier: MOO IIK CUSP. Y1136J1)8 Total Common Stocks 1,845,184.35 CNY 259,732.93 USD TOTAL EQUITIES 1,645,184.35 CNY 259,732.93 USD Market Value Currency Acaued Wont TOTAL CHINA RENM INBI Account tiornbet CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 1,645,184.35 CNY 0.00 259,732.93 USD 0.00 Page 11 of 28 Rated ruttlent Clewing liner Pagel% IIC nakayevened (very Yew Since 2007 semidry of Thalamic...kw Yalt Mellon DALBAR RATED COMMUNICATIONS corporactonottir MAW DIMLING( PerThinx 11.C.n.O-to ribakfriVYTEGM-00046648 DB-SDNY-0009472 EFTA_00157257 EFTA01289620 Portfolio Holdings (continued) EURO Desaltslen decay Market Prke Market Yalu. Currency Accrued Intend* Estimated Estimated Annual Income Yield FIXED INCOME (In Maturity Date Sequence) Sovereign Debt REPUBLIC OFARGENTINA REG ISMS X6175303779 5250% DI t/28 REG DTD ri09/17 Security Ideetifier: AP7608387 1,000,000.900 97.4500 974,500.00 EUR 1,177,293.45 USD 15,102.74 18,245.62 52,500.00 5.38% 63,425.25 Total Sovereign Debt: 1,000,000.000 974,500.00 SIR 1,177,293.45 USD 15,102.74 18,245.62 52,500.00 63,425.25 TOTAL FIXED INCOM E Oemiplion 1,000,000.000 Ovenlky Merkel Price 974,500.00 EUR 1,177,293.45 USD Market Value Currency 15,102.74 18,245.62 52,500.00 63,425.25 Estinated Yield EQUITIES Common Stocks UBI SOFT DITERTAINMENT 1988FR0000054470 SA MONTREUIL ACT Security Id Wilier: UBI:FR CUSIP:F9396N136 11,200.000 79.2600 887.712.00 EUR 1,072,444.87 USD Total Common Stocks 887,712.00 EUR 1,012,444.87 USD TOTAL EQUITIES 887,712.00 EUR 1,072,444.87 USD MAN Value Currency Aoreed Etlimaled Meted Maud Income TOTAL EURO 1,862,212.00 EUR 15,102.74 52,500.00 2,249,738.32 USD 18,245.82 83,425.25 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account ?turbo;OM . ,..: CONFIDO. L Rand Citylient (wi Year Since 2007 DALIAR RATED COMMUNICATIONS (10ILLINCE Page 12 of 28 Clearing liner Pealing 11C. a volay evnted sobildiary a The Mak @Mew Yak Melba Carpotaban (MY WNW Per97inx 11.C. mentatt rtrieAVVYLOM_00046649 DB-SDNY-0009473 EFTA_00157258 EFTA01289621 I !A I Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) BRITISH POUND Oesuiption dlrNKy Merkel Price Market Value Connor Estimated Annual Income Estimated Yield EQUITIES Common Stocks HSBC HOLDiNGS PLC ORD HIS 24,800.000 1.2819 180,592.43 GBP 9,184.51 5.08% ISMS680005405286 248,693.26 USD 12,648 00 Security Id Wirier. HSBA:GB CUSIP:64634U19 Total Common Stocks 180,592.43 ek. 9,184.51 218,693.26 USD 12,618.00 TOTAL EQUITIES 180,592.43 CEP 9,184.51 218,693.26 USD 12,618.00 Accrued Eatheated Hulot Value Currenq Interest Mud SWIM TOTAL BRITISH POUND 180,592.43 GBP 0.00 9,184.51 248,693.26 USD 0.00 12,648.00 HON G KONG DOLLA R April 1, 20 - A pril 30, 2018 SOUTHERN F1NANCIALLLC Opening Owing Awued 30 Day Deariptor Du ante Belem Balance Currency Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 42,782.40 42,782.40 HKD 5,151.33 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 42,782.40 12,782.40 HKD 0 00 5,451.33 USD 0 00 Duciption EQUITIES Common Stocks LONKING HOLDINGS LTD MS ISIlltKYG5636CD78 Security Id48101er 3339:HK CUSP. 65636C107 Estimated al ironed prNily Markel Prise Market Vain Coning MMUS Income Yield 710,000.000 3.8000 2,556,000.00 HKD 113,599.09 4 44% 325,685.52 USD 14,474.91 CONFIDENTIAL - PURSUANT TO FED. R CRI6,1. P. 6(e) Account tioinbCItated rityllern 2: E. ben Yew Since 2O07 CONFID AL- DALBAR RATED COMMUNICATIONS Page 13 of 28 Cleanng Ear ugh Penlivg I1C *Ma/ evened sabsidiary a The kek a New Vat Mellon CarporatIon (MY WWI P • nw-to HINIAPWM_ 00046650 DB-SDNY-0009474 EFTA_00 I 57259 EFTA01289622 Portfolio Holdings (continued) HONGKONGDOLLAR (continued) Estimated Estimated Description Quantity Market Moe MLitt Value Currency Annual Income Yield EQUITIES (continued) Common Stooks (continued) NINE DRAGONS PAPER HOLDINGS LTO SOS 144.000 000 11.8400 1,704,960.00 HKD ION. BM G65311305 217245.89 USD Security Id edifier. 2689:FIK CUSP. G65311130 ZTECORP NISH INN* CNE1300004Y2 70800 000 25.8000 1,807,360.00 HKD Security Idedifier: 763.HK 230,293.81 USO CUSIP. Y0004995 ANHUI CONCH CE11 ENT CO LTD SITS H ism. UE1)0000182 52.500 000 49.4000 2,593,500.00 HKD 330.463.77 USO Security Id edifier 911:IIK CUSP: Y01373'02 BANK OF CHINA LTD BEIJNG VS II 512.000 000 4.3000 2,201,600.00 HKD ION. CITE:3000025 280,527.87 USO Security Id Benner. 398811K CUSP: Y0698A137 DONGFANG ELECTRIC CORPORATION LTD 150,200.000 8.1600 925232.00 HKD SHSH IONS0010000304 117.893.03 USD Security Id eetifier. D72:HK CUSP. Y2095897 Vi BOLA' POW ERCO LTD NISH 228,000.000 9.1600 2,088,480.00 HKD MN* NE130000419 265,114.08 USO Security Identifier:2338:Hk CUSP: Y95314119 ZHLIZHOU CRRC TIM ES ELECTRIC CO LTD SHS 43,400.000 41.8500 1,816,290.00 HKD -H- ISIN4CNE1300004X4 231,431.67 USD Security Idedifier 3898:111( CUSP: Y9692N14 Total Common Stocks 15,693,422.00 HKD 113,599.09 1,999,655.64 USD 14,474.91 TOTAL EQUITIES 15,693,422.00 HKD 113,599.09 1,999,655.64 USD 14,414.91 Meet Value Comm Accrued Estimated letterset Maui Income TOTAL HONG KONG DOLLAR 15,736,204.40 1110 0.00 113.599.09 2,005,106.97 USO 0.00 14,474.91 CONFIDENTIAL - PURSUANT TO FED. R CRIK P. 6(e) Account Number: CONFID Page '4 of 28 bled borleent bey Yew Since 2007 DAM* RA TED COMMUNICATIONS UCILAINCI Cleaging emir Pealing II( ea../ evened subsidiary a Tee leek a New WA Mellon Cap:aeon (IINY Melon) Perow 11.C. mere, FzivRAAPAELGM_00046651 DB-SDNY-0009475 EFTA_00 157260 EFTA01289623 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) JA PAN ESE Y EN Desaiplon CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance April 1,2018 - April 30,2018 SOUTHERN FINANCIAL LLC danlity Opening Closing Accrued 30-0q Currency Income Yield TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS Simplon EQUITIES Common Stocks NISTESCO CORP TOKYO MS LTD 6.300 000 3 955 0000 24.916.500 00 JPY 453,553.68 1.81% ISINSPJ85129001 227 711.89 US) 4,145 45 Security Ideutilier 6268, War. J1707010 Price Estimated as of 0412711 Total Common Stocks 202,469.00 202,424.00 JPY 1,849.95 USD 202,469.00 202,424.00 JPY 1,849.95 USD Ourdity Markel Prim Market Value CelITUICy 0.00 0.00 alleged Muted Maui Income Yield 24,916,500.00 JPY 453,553.68 227,711.89 USD 4,145.45 TOTAL EQUITIES 24,916,500.00 JPY 453,553.68 227,711.89 USD 4,145.45 Accrued Fullimeted Mutet Value Currency intern Maud Income TOTAL JAPANESEYEN 25,116,924.00 JPY 0.00 453.553.68 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 229,561.84 USD Account Humber. CONFID L￾RAS Excellent Every Yell Since 2007 ClAtIlAR RATED COMMUNICATIONS EXCELIENCE 0.00 4,145.45 Page 15 of 28 Clewing linter Peaking Lit auk,/evened subsidiary a timbal, elele• Ycelt Mellen Cerponelen OW Mellon) Per owRC. mere« F natal Y5;6(.4_00046652 DB-SDNY-0009476 EFTA_00i5726I EFTA01289624 Portfolio Holdings (continued) POLISH ZLOTY Conception EQUITIES Common Stocks CD PR0ST SA %IS 41 348.000 124.8000 5,180,230.40 PIN Wet PL0PTT030011 1,473,085.80 UW Security Ideatifier 0TGLF CUSIPX09575116 Total Common Stocks Eslur act 0ientlly Maki Pike Market Value Currency Yield 5,160,230.40 RN 1,473,085.80 USD 5,160,230.40 FIN 1,473,085.80 UW TOTAL EQU IT IES Accrued Market Value Currency Interest TOTAL POLISH ZLOTY RAND Description EQUITIES Common Stocks NASPERS LIM ITED LTD 2,000.000 3,059.4400 6,118,880.00 ZAR 11 599 85 0.18% ISIS' ZAE000015889 490281.38 UW 929.46 Security Welder. NAPRF CUSP: 55343593 Total Common Stocks 5,160,230.40 PLN 0 00 1,473,085.80 UW 0 00 Estral ed Estimated 0esnlity Market Pike Market Value Currency Annual Income Yield TOTAL EQUITIES 6,118,880.00 MR 490,281.38 USD 6,118,880.00 ZAR 490,281.38 UW Market Value Currency 11,599.85 929.46 11,599.85 929.46 Accrued Eallraated lamest Mime Income TOTAL RAND 6,118,880.00 ZAR 0.00 11,599.85 TOTAL PORTFOLIO HOLDINGS - U.S. DOLLARS 490,281.38 UW 0.00 929.46 Unseated Accrued &rated Cost Basis Market Value Gannon Interne AnnualIncome 886 622 862 10 $98,694,233.76 $3,115,171.16 $331,915.04 $3,376,357.96 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account !tomb CONFID L￾Rated Excellent (my Year Since 2007 DALBAR RATIO COMMUNICATIONS (ialt MCC Page 16 of 28 Cleans through PenhieglIC.~ owned subsidiary of net Reek a Nee Yen Mete Certattatton(ONY Melton) LIC. neretta tette.g0 Y5;604_00046653 DB-SDNY-0009477 EFTA_00 '57262 EFTA01289625 ra Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) April 1, 2018 - April 30,2018 SOUTHERN FINANCIAL LLC • Noncovered under the cost basis rules as defined below. 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 20 0 8. 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 10998, the cost basis will not be reported to the IRS. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances. including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided fo us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. ° The cost basis of this security has been provided fo us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency Currency Cie fired Income Equities Mutual Funds Exchange•Traded Funds Total by Cunene/ U.S. DOLLARS 1119.490 26,094.770 58.467.983 3,072,988 982,800 89,738,033 USD CHINA RENM IN81 0 0 1.645.184 0 0 1.645.184 CNY EURO 0 974,500 887,712 0 0 1,862,212 EUR BRITISH POUND 0 0 180.592 0 0 180.592 GBP HONG KONG DOLLAR 42,782 0 15,693,422 0 0 15,736204 HKD XPANESE YEN 202.424 0 24.916.500 0 0 25.113.924 JPY POLISH ZLOTY 0 0 5.160,230 0 0 5,160.230 PLN RAND 0 0 8.118.880 0 0 8.113.380 ZAR Total USO Equivalent 1,126,791 27,272,063 64,239,589 3.072,988 982,800 96,694,233 USO % of Allocation 1% 28% 67% 3% 1% 100% Page 7 of 2S Account Number: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg L￾Paled Cacellent Even Yew Since 2007 DALBARPATED COMMUNICATONT L‘CiLLINCI Cleaging fl our Paden lit • elely owned istaldiarg of T4 Bank el New York Mellon expo-wen (MY Menu) Periling 11.C. mere« ihRA.gaenfilief0 - 00046654 DB-SDNY-0009478 EFTA 00157263 EFTA01289626 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 "NI A" and are omitted from the Total. THEAS OF PRICE DATE ONLY APPEARS W HEN THEPRICEDATEDOESNOT EQUAL THE STAMM ENT DATE Estimated Annual Figures The estimated annual income (EA I) 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 effected 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. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities, and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. CONFIDENTIAL — PURSUANT TO FED. R CRINI, P. 6(e) Account Numbeill= Page 18 of 28 CONFIDO' „„d, Rated Etoelitnt Every Year Since 2007 DALIAR RATIO COMMUNICATIONS (JIMA MCC Clewing lame. Pella. IIC nib* evened sabsidlaary of The lank el New Yak Meta Cerpotation Man) Pero me 11.C. Mr FtuRAAR4VELGM_00046655 DE1-SDNY-0009479 EFrA_00 157264 EFTA01289627 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Cu. rent Period April 1,2019 - April 30,2018 SOUTHERN FINANCIAL LLC Date Dale Realized Description earned narked Designation Disposition Method/ Ttansadion Owning Placenta Cod Sash Gals/Loss Short Term EURO CURRENCY 04/17/18 04113118 Noncom( Ant In First Out! REC IN YR ACCT -1.021,732 880 1.259.387 95 0.00 0.00 Security Identifier. EUR999995 PUT WEIR S&P 500 ET 04/23/18 03119118 Covered Fist In First Out! EXPIRE OPT MT -200.000 27.593.34 0.00 27.593.34 255.00 Security Identifies. 990AM CCAX CALL GILEAD SCIENCES 04123/18 03116118 Covered first in First Out / EXPIRE OPT SHT •125.000 12.493.70 0.00 12.493.70 82.50 Security Identifier. 990AM L2D5 PUT GILEAD SCIENCES 04/20/18 03116118 Covered Ant In rust Out! BUY .125.000 12.868.69 52.25610 .39,387.31 77.50 Security Identifier 990AM L2FE CALL sr9RUP500 ET 04/23/18 03119118 Covered First in First Out! EXPIRE OPTION 200.000 0.00 30.80610 -30,806.00 277.50 Security Identifier 990AM VOM Total Short Term 1,312,343.68 83,062.00 -30,106.27 Long Term BARCLAYS BK PLC CONT 04110/18 04103/13 Noncovered" Fist in First Out / REDEMPTION 300.000.000 300100.00 300.00010 0.00 NT ISINOUS06739FHK03 7.750% Original Cost Basis:300,000.00 04/1)/23 B/EDTD 0411.114C1B Security Identifier. 06739FHKO FACEBOOK INC CL A 04124/18 05111112 Noncoverelis Arst In First Out / Sal 6.500.000 1,045,442.84 247100.00 798.44214 Security Identifier. 30303M132 WASHINGTON MUT MTGS 04/24/18 12/13/13 Nonosvered".1 REPYMT OFPION 1.290.000.000 2,091.27 1,600.21 491.06 004-RA2 MTGPASSTHRU CTFCL C- Original Cost Basis: 160021 BAVAR RATE 6.996% 07/25133 Security Identifier 939335620 Total Long Term 1,347,534.11 548,600.21 798,933.90 Total Short and Long Term 2.659.877.79 631,662.21 768.827.63 Account Number: CO CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) NFID 4 Rated ticillent hay Year Since 2007 DALIAR RAM> COMMUNICATIONS D0:WINCE Page '9 of 23 Clewing theough Penang U.C. a %l e7 owned studio" of The Bank el New York Mellon Corporation (IINY Melba) Petting llCanerIng ruin.c.PkALGM_00046656 DB-SDNY-0009480 EFTA_00 157265 EFTA01289628 Schedule of Realized Gains and Losses Current Period (continued) ' Noncovered under the cost basis rules as defined below. 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 markthe account as noncovered. However, if the account does not receive a 10998. the cost basis will not be reported to the IRS This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information,as it relates to corporate actions. has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1)99-B or online displays you may have available to you W hen you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRSor other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting Cost Basis on fixed income securities may be adjusted for amortization, accretion. original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election. type of fixed income security. and certain attributes. obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with lessthan one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. ' The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. ' The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no represent anon as to the accuracy of Misinformation. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO) Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8 M essages Although a money market mutual fund seeks to preserve the value of your investment at $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. Reese 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. Page 20 of 23 Account Numba CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDOt 4 Rated Galls. Every VW Since 2007 DAtIAR Vino CCOAMUNICATIONS uaueicr demo through halms LLC, • May owned istaldiary of The Usk el blew Ye,* Mellon Caporatfon (IINY &igloo) Pt/Oita ihRAAW Illia91"—OW40007 DB-SDNY-0009481 EFTA 00157266 EFTA01289629 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Act iv it y Summary (Alt amounts shown are in base currency) April 1,2018 - April 30,2018 SOUTHERN FlNA NCIAL LLC Credits TNsPetead Debits ThisPeilod Net ThisPetend Credits Yes-to-Date Debels Year-to-Date Net Yee-to-Date Securities Securities Bought 0.00 9,499,014.52 0,499,014.52 0.00 -19.221,448.97 -19.221,448.97 Securities Sold 2.012.886.39 0.00 2.012.886.39 15.932.102.02 0.00 15.932.102.02 Total Securities $2112186.39 49.499.014 52 47.486.128.13 115.932.102.02 419,221,448.97 43,289,346.95 Dividends and Interest $104.496.82 $000 $104.496.82 $754,437.50 $0.00 $754,437.50 Distributions 1300.653 78 $0 00 1300.653 78 $502,541 82 $0.00 $502,541 82 Fees $0.00 4128.00 4128.00 $0.00 4200.00 4200.00 Taxes Withheld $0.00 $0.00 $0.00 $0.00 4346.70 4346.70 Other $0.00 40.42 40.42 $0.00 40.42 40.42 Cash Withdrawal 0.00 -1,259.336.86 -1,259.336.86 0 00 -1,668,094.04 -1,668,094.04 Deposits 1,360,343.06 0.00 1,360,343.06 1,588,343.06 0.00 1,588,343.06 Total Cash $1.360,343.06 41,259,336.86 $101,006.20 $1,588,343.06 41,668,094.04 479,750.98 Totals $3,778.380.05 410,758,479.80 46,980,099.75 $18,777,424.40 420,890,090.13 42,112,665.73 Transactions by Type of Activity Process; Trade; Sett kmenl Transaction Dote Clete Activity Type Dreuiption Conley Price &trued Interest Amount °infancy Securities Bought and Sold 04103/18 03129/18 PURCHASED AMAZON COM INC BKCM A PERSHING AFFILIATE MAKESA Il KT 500 .000 1,423.7496 -711,930.80 USD AM ZN IN THISSECURITY 8 ACTED AS PRINCIPAL UNSOLICITED ORDER 04/03/18 03/29118 PURCHASED ASSURANT INC FAD TO FLTG SUB NT 7000% 03/27/48 B/E OTC 2.000.000 000 102.0000 -2,333.33 -2.042.339.33 USD A114613422 03/27/1 CLB VARIABLE RATE 04/04/18 04102/18 PURCHASED ALPHABET INCCAPSTK CL C UNSOLICITED ORDER AVERAGE 1,000 000 1.004.5784 -1.004.634.49 USD GOOD UNIT PRICE TRANSACTION YOUR BROKERACTED AS AGENT 04104/18 04102/18 PURCHASED AMAZON COM INC BKCM A PERSHING AFFILIATE MAKESA MKT 500.000 1,366.9087 183,510 38 USD AM ZN IN THISSECURITY 8 ACTED AS PRINCIPAL UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT Page 2'. of 28 Account Number C 02i1 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO Rated tscollent trey Year Since 2007 DAM/AWED COMMUNICATIONS LXCULINCI Claim. linter halms LLC. 4..4" owned sobsidiacy of The Bank a Mew Yovk Mellon CoopotatIon (MY /*Moo) PerchnglIC.nw-bt, IthRo..W11.1391"—00046658 DB-SDNY-0009482 EFTA_00 157267 EFTA01289630 Transactions by Type of Activity (continued) Proms Settlement Trade; Transaction Date Dine Aciiyity Type Description auentily Price Acaued Interest Amount Currency Securities Bought and Sold (continued) 04/10/18 04105/18 PURCHASED POUSH ZLOTY 2.410.966 000 3.4143 -706.137.71 USD 04/10/18 04/06/18 PURCHASED CD PROJEKT SA 915 ISM* PLOPTTCOOOTIALLOCATED ORDER 20.000 000 120.4083 -1,410,966.00 PLN OTGLF YOUR BROKER ACTED AS AGENT AS 0E04/06/2011 -704.672.36 USD 04/17/18 94113/18 PURCHASED REPUBLIC OF ARGENTINA REG S (SINS XS17%303779 5.250% 1.000,000 000 100.8500 •13.232.88 -1,021,732.88 EUR AP7608387 065128 REG DTD 1109117 YLD 5.134 TO MAT ASOF -16,310.85 -1,259.387.95 USD 04/3312013 04119/18 YOUR OPTION ASSIGNED PUT 110 QUALCOM II INC DP 04.20.16060 000 OPTION 25 000 000 USD 990AL P130 5 ROOT: OCOM OCOM -05 CLOSING TRANSACTION 04/20/18 04118/18 PURCHASED POUSH ZLOTY 1.375.796 340 3.3575 409.768 08 USD 04120/18 04/18/18 PURCHASED CO PROBIT SA 915 (SINS PLOPTTC00011ALLOCATED ORDER 11.348 000 121 0969 -1,375,796.34 PLN OTGLF YOUR BROKER ACTED AS AGENT AS OF 04/13/201 X09.231.79 USD 04120/18 94118/18 PURCHASED QUALCOM M INC ACCT OPT ASSIGNED 2,500 000 60.0000 -150,106.00 USD OCOM 04/23/18 04120118 SOLD SHORT PUT DO GLEAD SCIENCES INC DP 05-1-1277500 OPTION -125 000 5.0000 62,117 55 USD 990ALUCIW A ROOT: GILD OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 04/23/18 04/20/18 PURCHASED PUT 130 MEAD SCIENCES INC EXP 0 4-20-10 77500 OPTION 125.000 4.1500 42.256 00 USD 990AIA L2FE ROOT: GILD CLOSING TRANSACTION UNSOL EXCHANGE LISTED OPTION 04/23/18 YOUR OPTION ASSIGNED PUT DO QUALCOM M INC EXP 04.20.16060 000 OPTION 75.000 0.00 USD 990ALP9D5 ROOT: OCOM OCOM CLOSING TRANSACTION 04/23/18 YOUR OPTION EXPIRED PUT 100 SPIN S&P 500 ETF TR TR UNIT EXP 200.000 000 USD 990AM DCAX 04-20.130255000 OPTION ROOT: SPY SPY CLOSING TRANSACTION 04/23/18 YOUR OPTION EXPIRED CALL DO G LEAD SCIENCES INC EXP 04.20.13082,500 OPTION 125.000 0.00 USD 990AML205 ROOT: GILD GLD CLOSING TRANSACTION 04/23/18 YOUR OPTION EXPIRED CALL DO SPDR S&P 500 ETF TR TR UNIT EXP -200.000 0.00 USD 990AM ROM 04-2040277500 OPTION ROOT: SPY WY CLOSING TRANSACTION 04/24/18 04/20118 PURCHASED QUALCOM IA INC ACCT OPT ASSIGNED OPTCUSIP 990ALPB05 7.500 000 60.0000 450.30640 USD OCOM 04/25/18 93127/18 CORRECTED PURCHASE BERKSHIRE HATHAWAY INC DEL CL A UNSOL AVERAGE UNIT 3.000 301.440.0000 404.426.00 USD BRK A PRICE TRANSACTION YOUR BROKER ACTED AS AGENT CORRECTED CONFIRM 04/25/18 03127/18 CANCELLED PURCHASE BERKSHIRE HATHAWAY INC DEL CI. A UNSOL AVERAGE UNIT -.000 301.440 0000 905,326 00 USD BRK A PRICE TRANSACTION YOUR BROKER ACTED AS AGENT CANCELLED TRADE Account Puma CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Page 22 of 28 Rated ticellent trey Year Since 2007 OMAR MITO COMMUNICATIONS EACtLLINCI Clewing through PenhinlIC • Say °mai SASS." of TM Mak a New Ytelc Melba CaneratIon any Wilco) PerOing 11.C. ertrett. MR", tlei lha9,"- 00046659 DB-SDNY-0009483 EFTA_00157268 EFTA01289631 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) Process Trade; Settlement Transaction Date Dale Activity Type Securities Bought and Sold (continued) 04/26/18 04/24118 SOLO FB 04127/18 REINVEST CASH INCOME ?HS% kpril 1,2018 - April 30, 2018 SOUTHERN FlNA NCIAL LLC Description Quartile Price Accrued Interest Amount Correnq FACEBOOK INC CL A UNSOLICITED ORDER .PM ORGAN FLOATING RATE INCOME FUND CLASS I 3254697400 SHRS *IRS PORCH. AT $910000 RD 04125 PD 04/27/13 1,500 000 160.8820 1,096 556 1.045.442 84 USD .10,307.63 USD Total Securities Bought and Sold EURO TOTAL USD EQUIVALENT POLISH ZLOTY TOTAL USD EQUIVALENT U S. DOLLARS Dividends and Interest 04/03/18 FOREIGN BOND INTEREST A29866AB5 04/06/18 04111/18 04/24/18 04/25/18 FOREIGN SECURITY DIVIDEND RECEIVED HBCYF FOREIGN BOND INTEREST 06739FHKO MONEY Al ARKET FUND INCOME RECEIVED PER232045 BOND INTEREST RECEIVE) 939336520 04127/18 CASH DIVIDEND RECEIVED 04/30/18 MONEY M AFtKET FUND INCOME RECEIVED PER232045 Total Dividends and Interest - U.S. DOLLARS 2000000 .13S INVTSGMBH GTD SR NT REG S ISINt LISA29866AB537250% 04/03124 WE DTO 04103/14 US RD 04102 PD 04/03/13 HS8C HOLDINGS PLC ORD SHS ISINO GB0005405286 RD 02/23 PD 04/06/13 DIV -00.21 300000 BARCLAYS BK PLC CONTINGENT CAP NT ISINt US06739FliK03 7750% 04/1/23 WE DTD 0 4/13/ t3 CLB RD 04101 PD 04/13113 DEUTSCHE GOVT CASH INSTL INCOME REDEEM ED 00000 WASHINGTON M UT M TGSECSCORP 200 4-RA2 M TG PASSTHRU CTF Cl C-B-WAR RATE 6 996% 07125133 B/E DTD 06/0104 RD 03/30 PD 04/251% .PMORGAN FLOATING RATE INCOM E FUND CLASS I 325469 7400 SHRS RD 04125 PD 0412718 DEUTSCHEGOVT CASH -24,800.000 -13.232.88 -1.021.732 88 EUR -16.310.85 -1,259.387.95 USD 0.00 -3,786,762.34 PLN 0.00 -1.113.904.15 USD -2.333.33 -5.112.836.03 USD 72,500 00 USD 5,208 00 USD 11,625 00 USD 1.796.53 USD 2,805 91 USD 10.307 63 USD 253.75 USD 0.00 104,496.82 Page 23 of 28 Account Numbeu CO CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) NFIDO L Rated banal Clewing Itwough Penhieg 11C. a Say ~ad bay Y. Since 2007 Salary a rite Malta New Yak Mellor. DALIAR £ATFDCOMMUNICATgNS Corporation (11111Y Mellon) .........,, , s a LXCWINCE fientlett l LC. reenter Fihitn.illeM orNm-00046660 DB-SDNY-0009484 EFTA_00 157269 EFTA01289632 Transactions by Type of Activity (continued) Process; Trade; Settlement Transmtion Date Dote Activity Type Description Quantity Price Accrued Interest Amount Drumm Distributions 04110/18 SECURITY REDEEMED BARCLAYS BK PLC CONTINGENT CAP NT 'SINS US06739FHK03 -300.000 000 300.000.00 USD 0 6739FHKO 7150% 0111123 BIE DTD 04/1113 CL8 04/25/18 RETURN OF PRINCIPAL 1290000 WASHINGTON NUT M TG SECS CORP 200 4 -RA2 M TG 653.78 USD RECEIVED PASSTHRU CTF CL C-B-1VAR RATE 6 996% 07/25/33 B/E DTD 939336620 06/0104 RD 03/30 PO 0412511 Total Distributions - U.S. DOLLARS 0.00 300.653.78 Fees 04/02/18 FOREIGN CUSTODY FEE Fgn Safekeeping M AR 20 13 CUSIP. F9396N-1.6 -2.00 USD UBSFF 04102/18 FOREIGN CUSTODY FEE Fgn Safekeeping 11 AR 20 1 CUSP. 64634 U-1-9 -2.00 USD HBCYF 04102118 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 201 CUSP G5636G1.7 -2.00 USD LONKF 04102118 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 201 CUSP 66531.1-0 -2.00 USD NDGPF 04102/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 201 ClISP X 70 70-1-0 -2.00 USD NCTKF 04102/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 201 CUSP S53435-1.3 -2.00 USD NAPRF 04102/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 201 CUSP X0957E-1-6 -2.00 USD OTGLF 04/02118 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 201 CUSP. Y0004 F-1.5 -2.00 USD ZTCOF 04102/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 201 CUSP. Y0473-D.2 -2.00 USD AHCHF 04/02/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 201 CUSP. Y0698A-13 -7 -2.00 USD BACHF 04102/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 21101SP Y1136J1.8 -2.00 USD CCCGF 04/02118 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 201 CUSP. Y20958.1.7 -2.00 USD DNGFF 04/02/18 FOREIGN CUSTODY FEE Fgn Safekeeping M AR 20 13 CUSP. Y953%-9-9 -2.00 USD WEICF 04102/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 201 CUSP Y9892N-13-4 -2.00 USD ZHUZF 04/04/18 AGENT SERVICING FEE ALIBABA GROUP HLDG LTD SPONSORED ADR -100.00 USD MBA ISINft UW10914127 RD 03/30 PO 04/04/15000 SHSSVC FEE NIG° 2380 4 1 Total Fees - U.S. DOLLARS 0.00 -128.00 Page 24 of 28 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Noma eCDip7X31Gt Y. CONFID L-- Rated Eintilent tray Year Since 2007 PAIAAR MUD COMMUNICATIONS EXCILIANCE Clown& tIvough Pealing LC. wlay evened subudimy of The Bank a New Vat Mao Corporation(SNY Mao) tic. Mnt41 tit,RA.gWrateM_00046661 DB-SDNY-0009485 EFTA_00 157270 EFTA01289633 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) A pril 1,2018 - A pril 30, 2018 SOUTHERN FINANCIAL LLC Roam Trade; Settlement Transedlon Date Date AdivNy Type Description Ouentily Price Accrued Interest Amount Correnq Other Transactions 04/13/18 ACTIVITY WITHIN YOUR ACCT APOLLO GLOBAL M GM T LLC CL A SKS TRANSFER TO MARGIN -263.157.000 0.00 USD APO 04/13/18 ACTIVITY WITHIN YOUR ACCT APOLLO GLOBALMGMTLLC CI A SHS TRANSFER FROM CASH 263 157.000 0.00 USD APO 04/20/18 04119/18 FREE CREDI T BALANCE JAPANESE YEN CURRENCY FREE CREDIT BALANCE INTEREST 45.00 JPY INTEREST CHARGE CHARGEFREECREDIT INT CHRG 03-20-1 TO 04.1.13 FOR 4.42 USD .PY999993 CUSTOMER ACCOUNT Total Other Transactions .APANESE YEN 0.00 -45.00 JPY TOTAL USC EQUIVALENT 0.00 4.42 USD US. DOLLARS 0.00 0.00 USD Cash W ithdrawals and Deposits 04/17/18 INCOMING CURRENCY WIRE INCOMING CURRENCY WIRE EURO CURRENCY 1,021,732.88 EUR EUR999995 1,263,372 71 USD 04/17/18 FEDERAL FUNDS SENT CEUTSCHEBANKTRUST 4 .259.336 85 USD USD999997 04/24/18 CUSTOM ER AUTHORIZED TRANS FRII N4G02611 96,970.35 USD TRANSFER USD999997 Total Cash Withdrawals and Deposits EURO 0.00 1,021,732.88 EUR TOTAL USC EQUIVALENT 0.00 1,263,372.71 USD U.S. DOLLARS 0.00 4 ,162,366.51 USD Told Accrued Interest Total Amount Transimtionsanmay Told Mailed altered Told Amount Oaring US0Equhalent USDEquivalent EURO -13.232.88 0.00 EUR .16,310.85 3.984.76 tIAPANESE YEN 0.00 45.00 JPY 0.00 4.42 POLISH ZLOTY 0.00 -3.186.762.34 PLN 0.00 -1,113,904.15 U.S. DOLLARS -2.333.33 5,870,179.94 USD -2,333.33 4,870,179.94 The price and quantity displayed may have been rounded. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Nimbi Stern .. CONFID AL Fisted Eses4lent Even Year Sirs« 2007 DALIAR RATED COMMutoCATIONS EXCELLENCE Page 25 of 28 Diana through kohl % LC. • w.layesmai subsidiary of The Usk col Mew Yalc Macon Corpotatkon (SHY Mellon) P.,,P4n4 tut. ',Ito' sA.gWILE,GM_00046662 DB-SDNY-0009486 EFTA_00 I5727 I EFTA01289634 Fixed IncomeAnalysis Bond Quality Bond Maturity Schedule %eland tot Bond Bond Quality Matt Value Met Value Percent of need Income Bold Mindy Mate Yid Maker Win A 2,222,100.00 8% I.7 to 12 months 995,000.00 4% BAA 10,301,380.00 38% altil to 10 years 5,151,693.45 19% BA/ Lower 13,125,487.00 48% MOver 10 years 21,125,370.10 77% Total 27,272,063.55 100% Not Rated 1,623,096.55 6% Total 27,272,063.55 100% 20 40 80 80 10 Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Called Bonds WIDE. 05/15/2018 BANK AM ER CORP PERP NON COM ULATIVEDEP 2,000,000.000 2,000,000.000 100.0000 Full 2,000,000.00 SHS FIXED TO FLOAT 8.125% 04/ 30158 B! E DTD 04/ 30108 CAUABLE05/ 15/18 Pershing LW receives the called bond information from several information sources which Pershing believes are reliable. Pershing does not guarantee the accuracy of the information. For callable options that are available to you please contact your Investment Specialist. Security Description Oigit4e pled Cd Type Rederidllon Quantity Otialky Prim of Cd Proceeds Client Service Information Your Investment Specialrst ENJ JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10017 Coaled lotormalion 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 M ethod Include market discount in income annually. No CONFIDENTIAL — PURSUANT TO FED. R DRilvl. P. 6(e) Account Number: CONFID Rated Excellent Even Yes, Since 2007 DALIAR RATED COMMUNKATIONS EXCELLENCE Page 26 of 28 Clain, liner Penbleg EEC auk,/ wend .Sian a The Malt a New Yak Mellon Camotat an Sly MA W Peri • in 11.C.ner-bn FilitIAAR4VELGM_00046663 DB-SDNY-0009487 EFM_00157272 EFTA01289635 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Your Account Information (continued) April 1,2018 - April 30,2018 SOUTHERN FlNANCIALLLC 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. Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. 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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. w here 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 a: All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance. but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC®). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.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 f unit n th fir 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. 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. Page 27 of 28 Account Number: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L Rated banal (very Yew Since 2007 DAtIAR RATED COMMUNICATIONS EXCIall4a Charing Omagh Paws 11C. a wIlayovmed setaldlan of The in Wk. Yak Mellor. Corporatfon (IINY Mellon) Pershett 6664 LC. mete F Inge, liat'llfila,"_ouv4 DB-SDNY-0009488 EFTA 00157273 EFTA01289636 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • 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 act ion 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 or the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the clan 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 28 of 23 Account Number C St CU/ CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO. RAN Iscollent (very Year Since 2007 DALBAR RATED COMMUNICATIONS LXCULINCI Clewing through Pecan LLC, • ably owned sobsidiary of The Bank olNew York Mellon CoporatIon (MY Mellon) Perihng 11.C.mer-bn HMV,. P4.114:t.GM—00046665 DB-SDNY-0009489 EFTA_00 157274 EFTA01289637 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Dtutuhe aant Minh. Malth ligarintalryt mutat, (mean 6,o4 0ntul* illKitithit New York Cake Writ& Attfts. Ha floor Near ne Val Toll o Neva M arch t 2018 M arch 31 2018 Account Number: SOUTHERN FINANCIAL LLC 6 10 0 RED HOOK QUARTER B3 ST THOMASVI 0 0 80 2 Portfolio at a Glance This hand Vear4o-Date Your Investment Specialist. BEGINNINGACCOUNT VALUE 9100,798,935.88 $97,272,547.37 JOSHUA SHOSHAN Net Cash Deposits awl Withdrawals 4,284.48 80,757.18 (272) 454-4433 Adjusted Previous Account Value 100,792971.38 97,091,790.19 Dividends. Interest and Other scone 158,053.65 823,624.30 Total Taxes Withheld 446.70 -346.70 Other Transactions -24.00 -72.00 Net Change in Portfolio' -3,962,843.81 -929,485.27 ellOWAcoout4r Accrued Interest 5447,267.99 Estimated Annual Income $3,158,097.74 Asset Summary 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Nand Awl Type 7% le 25% 64% 3% 1% 100% Cash. Money Funds, and Bank Deposits Fixed Income Equities M utual Funds Exchange-Traded Products Account Total (Pie Chart) Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) FIDMIAL Mot Year-91d Lad Period ThisPeriod 823,820.96 4,917,369.68 6,997,025.68 28,083,479.22 24,938,825.22 24,399,755.03 60,899,388.97 65,010,259.12 61,548,464.25 3,020,938.22 3,050,791.84 3,059,415.58 6,444,920.00 2,881,690 00 980,850.00 $97,272,547.37 8100,798,935.88 $98,985,510.52 Page 1 of 3' Rated Einelient (my Year Since 2007 DALIAR RATED C0MMUNKATI0NS LICILLINCI Cie Omer Peaky LLC, sub./evened Moldered The lank altleo Yak Melee CaeParatfanatlY MAW Penhng U.C.rnerter Fit..RA.*M SLEN,"_ 00346666 DB-SDNY-0009490 EFTA_00 157275 EFTA01289638 Summary of Gains and Losses This Period Realized Year-le-Date Unrealized Short-Term Gain! Loss 218,961.89 1359,150.12 -794.667.39 Long-Term Gain! Loss 1.197.695.62 1.917.053.12 5.278.944 47 Net Gain! Loss 1.416.657.51 3.276.203.24 4,484,277.08 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. Exchange Rate Table Global Cash Omrmry Closing Amount in Currency USO Equivalent per U93 Currency Uwe Base Currency USO CHINA RENM INS' 0.1589 6 2917 HONG KONG DOLLAR 42,782 40 5.451 29 EURO 1.2297 0 8132 JAPANESE YEN 202.469 00 1 904 02 BRITISH POUND 1.4026 0 7129 Total Global Cash Balance 57.355 31 HONG KONG DOLLAR 0.1274 7 8481 APANESE YD4 0.0094 106 3300 POLISH ZLOTY 0.2920 3 4245 RAND 0.0844 11.8452 Exchange rates are based on interbank exchange rates as of 03/ 29/ rates can vary. 2018. Exchange Money Market Fund Detail Date Adhrity Type Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield 153% Activity Ending: 031 29/ 18 Descristmn Amount Mena 03/01/18 Opening Balance 4,620,905.09 4,620,905.09 03/01/18 Deposit MONEY FUND PURCHASE 54,375.00 4,675,280.09 03/05/18 Withdrawal MONEY FUND REDEM PTION -25.637.10 4.649.642.99 03/06/18 Deposit MONEY FUND PURCHASE 21.572.81 4.671.215.80 03/13/18 Withdrawal MONEY FUND REDEMPTION -142.711.00 4.528.504 80 03/14/18 Deposit MONEY FUND PURCHASE 1,023,650.70 5.552.155.50 03/15/18 Deposit MONEY FUND PURCHASE 35,625.00 5,587,780.50 03/20/18 Deposit MONEY FUND PURCHASE 1,051,392.38 6,639,172.88 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Nunititella CONFID AL Rated Estrilent Even Yet Sint 2O07 DALBAR RATED COMMUNICATIONS DIMLING( Page 2 of 3' Chinni (Sough hushing LC • Say venal sstaittiary a The Bank a Mew Yak Mellor. Corporation (BNY Mellon) p.,,pmg Mt. , it,RA.K%1U,GM_00046667 DB-SDNY-0009491 EFTA_00 157276 EFTA01289639 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Money Market Fund Detail (continued) M arch 1,2018 - M arch 31,2018 SOUTHERN FINANCIAL LLC Date Activity Type Sweep Money Market Fund (continued) DEUTSCHEGOVT CASH INSTL (continued) Desaiptin Mount Beam 03121,18 Withdrawal MONEY FUND REDEMPTION 493,258.27 5,745,918.81 03121/18 Withdrawal MONEY FUND REDEMPTION 499,506.77 4,746,409.84 03122/18 Withdraw al MONEY FUND REDEM PTION .47,505.24 4,698,904.60 03123/18 Deposit MONEY FUND PURCHASE 9,125.09 4,708,029.69 03126/18 Deposit MONEY FUND PURCHASE 991,370.56 5,699,400.25 03128/18 Withdrawal MONEY FUND REDEM PTION 43,027.06 5,656,373.19 03/29/18 Deposit MONEY FUND PURCHASE 274,535.14 5,930,908.33 03129/18 Deposit INCOM E RBNV EST 6,299.54 5.937207.87 030/18 Closing Balance $5,937,207.87 Total All Money Market Funds $5,937,207.87 Income and Expense Summary Callleti Pence Yeareigiale Untie Non Taxable Malt Noe Tumble Dividend Income Equities 9,388.83 0.00 149,681.89 0.00 Money Market 6,299.54 0.00 12,367.78 0.00 Other Dividends 11,865.99 0.00 215,092.63 0.00 Interest Income Bond Interest 128,499.29 0.00 235,993.98 0.00 Other Interest 0.00 0.00 36,804.40 0.00 Expenses W ithholding Taxes 446.70 0.00 44610 0.00 Total Dividends, Interest, Income and Expenses $155,706.95 $0.00 $649,593.98 $0.00 Distributions Alternative Investments 0.00 0.00 0.00 173,883.82 Other Distributions 0.00 573.57 0.00 28,204.42 Total Distributions $0.00 $573.57 $0.00 $201,888.04 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account ?turbo 2:C: tWAL15 CONFIDO. Rated CzotIlent (my Year Since 2007 DALBAR RATIO CO MMUMCATIONS LICILLINCI Page 3 of 3' Clewing through Paging LLC.ea* evmed Malatya The in a Na. Yoh Meta Capponefon (MY Map) P nxILC...p.ter FINRAARKELGM-00046668 DEl-SDNY-OOO9492 EFTA_00157277 EFTA01289640 Portfolio Holdings U.S. DOLLARS Account Activity Opening Closing Acaued Income 30-Day Cared Opening Date Quantity Number Ending Balance Balance Income ThIsYear Yield Yield CASH, MONEY FUNDS. AND BANK DEPOSITS Margin Balance 291900.00 1152.462.50 Money Market DEUTSCHE GOVT CASH INSTL 03/01/18 5137,207.870 NIA 03129/18 4.620.905.09 5.937.207.87 275.80 12.367.78 1.40% 1.53% Total Money Market $4,620,905.09 $5,937,207.87 $275.80 $12,367.78 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $4911905.09 56,989170.37 $275.80 $12,367.78 Adjusted Untealized Accrued Estimated Skated Date Acquired Quantity Unit Cod Cod Bads Market Pike Muket Value Denton Interest Annual Income Yield FIXED INCOME (In Maturity Date Sequence) °Asset Backed Securities WASHINGTON NUT MTG SECS CORP 2004.9.42 Security testifier:939336820 NIG PASSTHRU CTF CI.C41VAR RATE 6997%07/25/338/E DID 06/0104 Factor: 0.37306485 Effect rye Dak03/0/1 Current Face Value. 481253657 12113113'3° 1,290,000.000 76.5190 368,248.59 93.0380 447,748.78 Original Cost Basis: $631906.71 Total Asset Backed Securities 5368,248.59 1,290,000.000 Total Current Face Value: 481.253.657 Corporate Bonds CITIZENS COM M UNICATIONS CO SR Security Identifier: 174538AW1 NT FULLY EXCHANGED FROM 174539AX9 7.125%03/E/S 8/E DTD 03/23/07M nod y Rating CAA1S1 P Rating 9 10/03117 1.000.000.000 100.0680 1.000.680.02 99.8750 Original Cost Basis: 5100100600 BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 06739FHK0 ISINt USO 6739FHK03 7.750% 04111/23 WE DTD 04/9/13 CALLABLE 04'1)/1S* P Rating 81. 04/03113 '.3 ° 300,000.000 100.0000 300,000.00 100.0200 Original Cost Basis: 5300.000.00 5447,748.78 998,750.00 300.060 00 79,500.19 2.806.30 $79,500.19 52,80130 $0.00 -1,930.02 3,166.67 71 250 00 7 13% 60 00 11,04375 23,250 00 774% Account Number: St027tXMC25 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO Rated ticellent trey Year Since 2007 OMAR ItA110 COMMUNICATIONS UCtlIttla Page 4 of 3' Clewing through Penave LC. • **at owned ittalcliary of The Bank el New Yea Mellon CaveratIon OM Mellon) Pen. 'mg U.C. ertn—bn Ithito..%WhiGM-00046669 DB-SDNY-0009493 EFTA_00 157275 EFTA01289641 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired FIXED INCOME (continued) Corporate Bonds (continued) EXELA INTER LLC/ EXELA FIN INC GTD FIRST PRIORITY SR SECO NT 144A 1)100% 0715123 8/E DID 07/4/17 CLBMoody Paling 83 SR P Rating B 10/24/17 M arch 1,2018 - M arch 31,2018 SOUTHERN FINANCIAL LLC 0uantity unit Cost Adjured Cum Bala Market Nice Market Value 2.000.000.000 97.0250 11S INVTS GM BH GTD SR NT REG S ISIN# U5429866A853 7250%04103/24 BIE D1004/03(145 & P Rating B 10/31/17 2,000,000.000 99.0650 Security Identifier 30 S2RAA9 1.940.506.00 101.1250 Original Cost Basis:61940,506.00 Security Ideal A29866AB5 1,981,300.00 99.3500 SERVICES ASTER CO NT 7250%03/0138 B/E DTD 03102/98 ST CP/4 DTE 09/0198 CPN PM T SEMI ANNUAL ON MAR 01AND SEPOiloody Rating El2 St P Rating B Original Cost Basis: $1981300.00 Security Identifier: 81760NAB5 10/18117 500,000.000 103.9600 519,799.60 100.4750 Original Cost Basis: $520,00300 10/19/17 350.000.000 103.9620 363.866.18 100.4150 Original Cost Basis:6364,006.00 10/20/17 80.000.000 103.9680 83.174.19 100.4750 Original Cost Basis:683206.00 10/31117 70,000.000 103.9710 72.779.55 100.4750 Original Cost Basis:572/306.00 Total Covered 1.000,000 000 1,039,619.52 Total 1,000,000.000 51,039.619 52 $14 ORGAN CHASE& CO DEP SHSREPSTG 10TH PFC SERIFIXED TO FUG RT BD 7.900% 04129149 BIND 0023/08M oody Rating RAMS& P Rating BBB￾06115111 .'"? 2.500.000.000 107.5000 Security Identifier. 4662514HA1 2,687,500.00 100 5100 2.022.500.00 1,987,000.00 502.375.00 351.662.50 80,380.00 10,332.50 1,004,750.00 51,004,750.00 2,512,750.00 Unrealized Geier Loss Accrued Estimated Estimated Interest Annual Income Yield 81.994.00 42.222 22 200.000.00 9.88% 5,700 00 71,291 67 145,000 00 729% .17,424.60 3,020.84 36,250.00 721% -12.203.68 2114.58 25.375.00 721% -2.794.19 483.33 5.800.00 721% -2.447.05 422.92 5,075.00 721% -34.869.52 6,041 67 72,500.00 434,869 52 $6,041 67 $72.500.0D -174,750.00 82291.67 197,500.00 7 85% Page 5 of 3' Account Number CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) C ONFID L Rated Gallen, tray Yeas Since 2007 DALIARPATEDCOMMUNICATIONS EXCallha Clewing %MO PeaNng LC • Say anal Saila, of The Mak ether. Y.:4 Melba Corporation (lita• Aielloa) hoshint UK. rreente Fitain. tWilla!"—00046670 DB-SDNY-0009494 EFTA 00157279 EFTA01289642 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit Cog FIXED INCOM E (continued) Corporate Bonds (continued) SUORGAN CHASES CO DEP SHSREPSTG (continued) 06115111 . '" 2 Total Noncovered Total 5,000,000.000 BANK AM ER CORP PERP NON COM ULATIV E DEP SKS FIXED TO FLOAT 8.25% 04/30/58 WE DTD 04130/08 CALLABLE0571/SM oody Rating BA2 S& P Rating BBB• 01/10/11 . '3-t2 2,000,000.000 103.9800 2.500.000.000 107.0000 5,000,000 000 SOUTHERN CAUF EDISON CO PREF SER E 6 250% 0117162 WE DTD 0 Y Int CALLABLE02/011220 DO 000M ood y Ruling BAA1S & P Rat mg BBB￾01130f12 ' '312 3.000.000.000 99.8860 GENERAL ELEC CO GTD FX0-70-FLTGRT NON•CUMULATIVE PERPETUAL PREFERRED 4.000% 2/03/65 FtEG DID 12/03/1Moody Rating A3 S8 P Rating BBB* 12/03/15' 2.469.000 000 88.0930 5LLOYDS8ANKING GROUP PLC FXD RATE RESET AUDI TIER1SECS 'SINS US539439AG42 7.500% 04127/88 WE DTD 04107/13 & P Rating B8- Please Would e • 1,903,000.000 *dolled Cast Bads Market Rio NM CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5950% 08/15/88 MDR) 0012/4 CALLABLEOBIS/20 0 VO 0001loody Rating BA2 S& PRaling BB* 08/06/15 3,000,000.000 100.0000 Original Cost Basis: $2.687.500.00 2.675.000.00 100.5100 Original Cost Basis: $2475000.00 5,362,500.00 55,362,500.00 Security Identifier 0605050T8 2,079,596.33 100.4000 Original Cost Basis: 52,08710.56 Securely Identifier: 842400 FU2 2.996.587.97 106.2500 Original Cost Basis: 52,992,56497 Securely Identifier 359604BM 4 2.175.016.17 91.0000 Original Cost Basis: 52,175.01.17 Securdy Identifier $39439A64 Please Provide 108.3750 Original Cost Basis: Please Provide Security Identdiet: 2296725 3,000,005.99 103.6260 Market Value Unrealized Gain (Loss Awued Interest Estimated EsIlmaled Annual Income Yield 2.512.750.00 -162.250.00 82.291.66 197.500.00 7.85% 5,025,500.00 -337,000.00 164.583.33 395,000.00 55,025,500.00 4337,000 00 5164,583 33 thskjii.do 2,008,000.00 -71,596.33 61,388.89 162,500.00 8.09% 3.187.500 00 190.912.03 31.250.00 187,500.00 5.88% 2.246.790 00 71.773.83 29,079.33 98.760.00 4.39% 2.062.376 25 N/A 1,585.83 142.725.00 6 92% 3,108,780.00 108,774.01 22.808.33 178.500.00 5 74% Account NUMb teM C it 02 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) ONFIDO. Rated ticellent (very Year Since 2007 DAtlIAR ItATED COMMUNICATIONS EXCLISINCI Page 6 of 3' Clewing through Penleve LLC, a ~y owned sotaidiary of The Bank a New York Mellon CarporatIon (lily Mellon) Perin .n.‘ RC. rent-to ftt..4"..glkia.GM- 00046671 DB-SDNY-0009495 EFTA 00157280 EFTA01289643 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Otte Acquired FIXED INCOM E (continued) Corporate Bonds (continued) CITIGROUP INC FXD RT SR NT PERP DEP RECPT (continued) M arch 1,2018 - M arch 31,2018 SOUTHERN FINANCIAL LLC Quantity Unit Cost Adjusted Cod Bain Markel Price Market Value Unrealized Gain/Loss Acaued Estimated al imaled Interest Annual Income Yield Original Cost Basis: 2900,006.00 Total Corporate Bonds 23,672,000.000 TOTAL FIXED INCOME 24,902,000.000 $21,675,812.00 Dile Acquired Quantity Unit Cod EQUITIES Common Stocks ADVANCED M ICRO DEVICES INC COM Dividend Oplion: Cash 50,000.00 of these shares are in your margin account 09115117 20.000.000 12.2810 12/15/17 Total Covered Total 222,244,080.59 Cost Bads Market Pike 323,952,006.25 213,818.00 2444,461.69 $1,676,985.00 324,399,755.03 $93,318.19 $441,267.99 21,676,985.00 Market Value Unmated Est bided Whaled Gnu/Loss Annual Incase Yield 30,000.000 50.000 000 50,000.000 ALI8A8A GROUP HLOG LTD SPONSORED ADR ISNt USO 209W/327 Dividend Oplion: Cash 06110/15 5.000.000 APOLLO GLOBAL AI GM T LLCCL A SHS Dividend Oplion: Cash 03129111 t° 263,157.000 APPLE INC 002 Dividend Oplion: Cash 1210711? 214,000.000 169.8140 12.2300 Searcy Identifier AM 0 CUSP. 00790327 245.612.36 10.0500 366.912.57 10.0500 612.524 93 5612,524.93 Secutity Identifier. MA CUSP:050MM 889500 444,749.00 183 5400 Security Wenl ifier: APO CUSH? 03762306 19.0000 4.999.983.00 29.6200 Secerily Identifier: AAPL CUSIP: 03783320 36,340,223.40 161.1800 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 201.000 00 301 500 00 502.500 00 -44.612.36 -65,412 57 -110..024.93 $502,500.00 -5110.024.93 $0 00 917.700.00 472.951 00 7.704.710.34 2.794.727.34 542.103 42 695% 35,904,920.00 -435.303.40 539,280.00 1.50% Accountialli= CONFIDOs L Rats Caotlient (very Year Since 2007 DALBAR RATIO COMMUNICATIONS ()tallMCC Page 7 of 3' Clewing laser Pesti% LLC. *Say asted sabsidlary a The MA attar Yeek Melee Catiostfon (SHY Mellon) Pert! mg Ilk...nests Fitalla.614VELGM-00046672 DB-SONY-0009496 EFTA_00157281 EFTA01289644 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired EQUITIES (continued) Common Stocks (continued) BASF SE SPONSADR 1°11100552625057 Dividend Oplion. Cash 04/13/15 Quantity Unit Conn Cost Baas Meant Rice Market Value Unrealized °elution* Estimated Eillmaled Annual Income Yield 20.000.000 BERKSHIRE HATHAWAY INC DEL CL A Dividend Oplion: Cash 02/05/18 02/16/18 03119/18 03/23/18 03/27/18 Total Covered Total 15.000 Securily Identifier: BASFY CUSIP. 055262505 25.4030 508.056.00 25.3900 3.000 310.425.3330 3.000 307,028.6670 3.000 305.135.3330 3.000 296.035.3330 3.000 301.775.3330 15 000 931.276.00 921.086.00 915.406.00 888.106.00 905.326.00 4,561,200.00 BIDDEN IDEC INC COM Dividend Oplion: Cash 02/14/12 t 3 2.095.000 110.2720 CENTENE CORP Da COM Dividend Oplion: Cash 09/08/14 15.550.000 63.6450 FACEBOOK INC CL A Dividend Oplion: Cash 05/11/12 ".an 6.500.000 38.0000 GENERAL ELECTRIC CO COM Dividend Oplion: Cash 25.00000 of these shales are le your margin account 02/23/18 2.500.000 02/26/18 03/05/18 03/07/18 03/12/18 03/16/18 Total Covered Total Snowily Identifier. BRK A CUSP: 084670138 299.100.0000 299,100.0000 299.100.0000 299.100.0000 299.100.0000 $4,561,200.00 Stagily Identifier. BUB CUSP 09062X133 231.019.65 273.8200 Security Identifier. CNC CUSIR. 1613581)1 989.619.75 106.8700 Security Identifier: FB CUSP 3030302 247.000.00 159.7900 Security Identifier. GE CUSP 3696041)3 16.2210 40.551.71 2,500.000 16.2210 40,551.71 800.000 16.2260 12.980.63 5,000.000 16.2190 81.097.41 2,500.000 16.2210 40.551.71 11.700.000 16.2190 189.759.90 25,000.000 405,493.07 25,000.000 $405,493.07 13.4800 13.4800 13.4800 13.4800 13.4800 13.4800 507,800.00 891,300.00 897,300.00 897.300.00 897.300.00 897.300.00 4,486,500.00 -256.00 33,976.00 -23,786 00 -18.106.00 9.194 00 -8.026 00 -74,700.00 12.092.12 2.38% $4,486,500.00 573.652.90 1.661.828.50 1,038,635.00 33,700.00 33.700.00 10.784.00 67.400.00 33.700 00 157,716.00 337,000.00 $337,000.00 474,700.00 342.633 25 672.148 75 10.00 791,635.00 -6.851.71 1,200.00 3.56% b,851.71 1,200.00 3.56% -2.196 63 384.00 3.56% -13,697.41 2,400.00 3.56% -6,851 71 1,200.00 3.56% -32.043.90 5,616.00 3.56% -68,493.07 12,000.00 468,493 07 $12,000.00 Page 8 of 3' ACCOUIII NUITW SM. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Wad Gana, trey Yew Since 2007 DAtiARIAITDCOMMUNICATIONS UMW.« Orin %Sour TernaLLC, • ~wend subsidiary of The Beak a New %lc Mellon Corporation (Ely Mellon) Pesitirat U.C. ~now FihstA.Rigg, ¥a.w,"—Ouv4" 73 DB-SDNY-0009497 EFTA 00157282 EFTA01289645 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Cite Acquit(' EQUITIES (continued) Common Stocks (continued) GILEAD SCIENCESINC Dividend Option: Cash 02105114 03/07/14 10/24/17 Total Covered Total NINTENDO LTD ADR Dividend Option: Cash 02/05/18 Total Common Stocks Preferred Stocks (Listed by expiration date) GMAC CAP TR I GED TR PR) SECS SER 2 CPN• 8.25% FREIDRILY ATY42/1512040 CALL ANYTIIIE.25Y4130 DAYS BEGINS02/6/13 Dividend Option: Cash 02/22/12'•A Total Preferred Stocks Options PUT IN DUALCOMM INC DtPO4-20-134)60 000 OPTION ROOT: 00011 -130.00 of these oanbacts ate a shod position 03107118' .100.000 PUT '00 SPDR SS P 500 ETF TR TR UNIT BP 04-2040255.000 OPTION ROOT: SPY -20000 of these cord lads area shod position 03119118' -200.000 M arch 1,2018 - M arch 31,2018 SOUTHERN FINANCIAL LLC Quantity Unit Col Col Bads Market Rix Market Value 5,000.000 3,100.000 4,400.000 12,500 000 12.500 000 10,000.000 80.000.000 79.2810 79.6120 80.0900 51.7910 396,407.00 246,797.00 352,395.71 995.599.71 3995.599 71 Security Identdiet MIDDY CUSP:654445303 517,906.00 55.5100 250,853,434.51 Secarity Identifier GILD CUSP:375558M 75.3900 75.3900 75.3900 Smarity Identifier: ALLY PRA CUSIP: 36160208 23.5350 1,882,773.60 25.9750 1.8690 1 3800 $1,882,773.60 Option Identifier 990A1P8D5 Underlying Security Identifier MOM Underlying Security NCO: 555.41 -18.693.56 5.2000 Option Identifier 99DAII DCA% Underlying Security Identifier: WY Under lying Security Pike:3213.5 -27,593.34 2.1000 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 376,950.00 233,709.00 331,716.00 942,375 00 3942.375 00 555,100.00 $55,222,721.74 2.078.000.00 $2,078,000.00 Account Number CONFID 42.000.00 -42.000 00 Untested Gilwistre Estimated Estimated Annual Income Yield -19,457.00 43,088.00 -20,679.71 -53,224.71 453.224 71 37,194.00 $4,369,287.23 195,226.40 $195,226.40 43,306.44 -14,406 66 11,400.00 7,068.00 10,032.00 28,500 00 528.500 00 3.02% 3.02% 3.02% 4,689.56 0.84% 51,138,665.10 146,396.48 704% 8146,396.48 Page 9 of 3' Rated Excellent trey Year Since 2007 DAtIAR MITO COMMUNICATIONS uaLLoicr Clain through Pealing LLC a .easy evanad sobildlary a Tat Mak a Neva Vat Mello, Carponaten (SHY Mellon) Per Ihru U.C.ntenter FINRAVVVOM- 00046674 DB-SDNY-0009408 EFTA_00157283 EFTA01289646 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit BP EQUITIES (continued) Options (continued) CALL 130 GILEAD SCIENCES INC EXP 04-2043082500 OPTION ROOT: GILD -2500 of theseontracts area short position 03116/18' .125.000 0.9990 PUT AO GILEAD SCIENCESINC EXP 04.20.3017.500 OPTION ROOT: GILD .12510 of these contracts area short position 03/16/18' -125.000 1.0290 CALL DO SPQR S&P 500 ETF TR TR UNIT EXP 04-20-130277.500 OPTION ROOT: SPY 03/19/18 200.000 CALL DO 'SHARES TR M SCIEMERGINGMKTS INDEX ED !AP 06.6.130$5.000 OPTION ROOT: ED/ 01/17/18 Total Opt ions TOTAL EQUITIES 1.5400 2,400.000 0.4100 Cost Basis Market Nice Option Identifier 990AM L2D5 Underlying Bandy Identifier. GILD Underlying Security Price $75.39 .12.493.70 0.2500 Option Identifier fie0A111.2FE Underlying Secaiity Identifier. GILD Underlying Security Price:675.39 -12,868.69 3.0000 Option Identifier. 990AMMOM Underlying Security Identifier. SPY Underlying Security Price: $263.E 30.806.00 0.3900 Option Identifier: 900ALA RM Underlying Security Identifier: EBI Underlying Security Plitt $4828 105,606.00 0.1100 $64,762.71 Market Value 3.12400 37.500.00 7.800.00 26,400.00 unrealized Guinfloss 9,368.70 -24,631.31 -23.006.00 -79,206 00 Estimated Bleasted Annual income Yield Date Acquired Quantity Unit Col M UT UAL FUNDS PM ORGAN FLOATING RATE INCOME FUND CLASS! Open End Fund Dividend Opl ion: Reinvest: Capital Gains Option: Reinvest $52,800,970.82 Cost Bares Market Price Security Went Wier: PISX CUSIP 482459 09/28/17 318.809.777 9.4100 3.000.000.00 9.4000 Reinvestments to Date 6.659.963 9.4050 62.635.61 9.4000 Total Covered 325,469 740 3.062.635.61 Total 325.469.740 $3.062.635.61 TOTAL MUTUAL FUNDS $3,062,635.61 4100,425.00 $57,200,296.74 Market Value 2.996.811.90 62,603.66 3.059.415 56 $3.059,415.56 $3.059,415.56 Account Number CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO' 9C0/12CSM C 25 AL 4165,187.71 54,399,325.92 Unrealized G3in r toss 3.188.10 31.95 -3.220.05 43,220.05 43220.05 Rated btallent Even Year Sint 2007 DALBAR RATED COMMUNICATIONS IXMLINCI $0.00 $1,285,061.58 Estimated Estimated Annual Income Yield 117.503.72 2.454.66 119,958 38 $119.958.38 $119.958.38 392% 392% Page • of 3' ClewngtIvoualt Rename% tLC. a .*pry owned subudiara of The lank a New York Mellon CorporationMy Mellon) P.tv.P.n.: tic. rnntnt , INIZAA4n1LEPA_00046675 DB-SDNY-0009499 EFTA_00 157284 EFTA01289647 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired EXCHANGE-TRADED PRODUCTS ISHARESINCLISQ SOUTH KOREA ETF Dividend Option: Cash; Capital Galas Option: Cash 11103117 13,000.000 75.8460 TOTALEXCHANGE-TRADED PRODUCTS March 1, 2018 - M arch 31,2018 SOUTHERN FINANCIAL LLC Downie UnR Cote Cod Bass Market Rice Market Value unrealized Cerium Estimated Estimated Annual Income Yield Scarily Identifier. EWY WSW 464288772 985,996.98 75.4500 $985,996.98 Cod Buis 980,850.00 $980,850.00 Market Value 4,146.98 45,146.98 Unrealized Colallow Accrued lateral 28,291.14 288% $28,291.14 Slanted Mosel loom TOTAL U.S DOLLARS CHINA RENM IN BI Oeseription EQUITIES Common Stocks CHINA COY M UNICATIONS CONSTRUCTION COMPANY LTD *IS H INNS CHE1)00002F5 Security Id Wilier: 100 MK CUSP Y12363128 Total Common Stocks TOTAL EQUITIES $86,083,334.37 One Markel RH* $92,629,987.70 Market Value Currency $4,484,277.08 8447,267.99 $3,12203.88 Wised Meld 224,000.000 6.4595 1,446,937.18 CNY 230,047.33 USD 1,446,937.18 CNY 230,047.33 USD 1,446,937.18 CNY 230,047.33 USD Market VYw Cuttellty Accrued lensed TOTALCHINA RENMINBI Account Nornbe CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 1,446,937.18 CNY 230,047.33 USD Rated Excellent brew Year Since 2007 DALIAR RATIO COMMUNICATIONS LaCtltINC 0.00 0.00 Page 11 of 3' Clemag *rough Pate II( wady evened tataldtary a Tot Melt a New Yen Melee Cerporatton at« Melon) Perthnell.C. meet« iimsofflIVießkA_00046676 DB-SDNY-0009500 EFTA_00157255 EFTA01289648 Portfolio Holdings (continued) EURO Description °tatty Market Paco Market value Currency EQUITIES Common Stocks UBI SOFT ENTERTAINMENT 11,200.000 68.5200 767,424.00 EUR ISMS FR00000 54470 SA IA ONTREUIL ACT 943,701.29 USO Security Id ettifier. UBI:FR WSIP F9396N136 Total Common Stocks 767,424.00 EUR 943,701.29 UW TOTAL EQUITIES 767,424.00 EUR 943,701.29 UW Market Value Currency 767.424.00 EUR 913,701.29 UW TOTAL EURO BRITISH POUND Description CeranIlly Market Price Market Value Currency Estimated Estimated Annual Income Yield EQUITIES Common Stocks NSW HOLDINGS PLC ORD SUS 24,800.000 6.7225 166,718.74 GBP 9,017.53 5.40% Ian980005405286 233,839.35 USO 12,648.00 Security Id estilier. H93ADB CUSP. 64634U139 Total Common Stocks 166,718.74 GOP 9,017.53 233,839.35 UW 12,648.00 TOTAL EQUITIES 166,718.74 CIBP 9,017.53 233,839.35 UW 12,648.00 Accrued Stated Market Value Curing Interest Maui Income TOTAL BRITISH POUND 166,718.74 GBP 0.00 9,017.53 233,839.35 UW 0.00 12,648.00 Accrued Interest o 00 0 00 Estimated view CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Number CONFIDg L￾Page 12 of 3' Rated Excellent bere Yee. Since 2007 DAtIAR RATED COMMUNICATORS tRULLUKE Clewing through Perth% LC. a ~I owned subsidiary of TM Bank N Nee Yak Mellen Ceepteataare My ~Roo) earthne LIC. remit« otvRA~ELGM_00046677 DB-SDNY-0009501 EFTA_00157286 EFTA01289649 Deutsche Bank P.O. Box 1776, Baltimore, MD 21233 Portfolio Holdings (continued) HONG KONG DOLLAR M arch 1,2018 - M arch 31, 20 SS SOUTHERN FINANCIAL LLC Opening Oosing Accrued 30 'Day Descoption Queerly Balance Una Currency Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 42.782.40 42,782.40 MO 5.451.29 USD TOTAL CASH, M ON EY FUNDS. AND BANK DEPOSITS 42,782 40 42.782 40 HKD 0.00 5,451.29 USD 0.00 Estimated Estimated Desorption Domeity Market Price Market Value Currency Annual Income Yield EQUITIES Common Stocks LONKING HOLDINGS LTD SHS 710,000.000 3.3400 2.371.400.00 HKD 113 599 60 4.79% 1911* KYG5636C1378 302.161 09 USD 14,474 79 Security Id eel diet 3339:11K CUSS>. G5636O7 NINE DRAGONS PAPER HOLDINGS LTD SKS 144,000 000 11.7400 1,690,560.00 1110 (SINS BM G653131305 215.409.46 USD Security Mollifier 2689:HK G55313t0 ZTE CORP SHSH 19W01H00004Y2 70,600.000 25.5500 1,803,830.00 HKD Security Ideal6er: 763.11K 229.842.18 USD CUSIR Y0004 P05 ANHUI CONCH C8I ENT CO LTD SHSH 52,500.000 42.7500 2,244,375.00 HKD ISINICNE130000182 285,976.01 USD Security Id eel Wier: 914:1K DM Y01373132 BANK OF CHINA LTD BEUNG 91S H 512,000.000 4.2200 2,160,640.00 HKD ISINICNE130000125 275.306.50 USD Security Ideal 3988:HK CUSIP. Y0698A137 CONGFANG ELECTRIC CORPORATION LTO 150.200.000 6.1100 917.722.00 HKD SHSH ISMS CNEti0000304 116,935.21 USD Security Idenlitier:1372,11K CUSH+. Y2095897 Page '3 of 3' Account NUnibet 9t0112COMS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L￾Rued ticellent trey Year Since 2007 OMAR MITO COMMUNICATIONS EXCULINCI Clewing through Palen LC. • vAtay owned stiff's." of The Bank a Mew York Mellon OnotatIon (MY Mao) Perchnx 11.C.mer-bn MOM PL,.11hief IA_00046678 DB-SDNY-0009502 EFTA_OO 157287 EFTA01289650 Portfolio Holdings (continued) HONG KONG DOLLAR (continued) Estimated Eshealed Ownslion Otani Mane Price Market Value Currency Annual Inome Yield EQUITIES (continued) Common Stocks (continued) WBCHAI POWERCO LTD SHSH 228.000.000 81000 2,006,400.00 HKD 'SRI CRE1300004L9 255,653.44 USD Security Identifier. 2338:HK CUSIP. Y95314119 ZHUZHOU CRRC TIM ES ELECTRICCO LTD 6145 43400.000 38.0000 1,649,200.00 HKD -H. ISMS 010)00004X! 210,139.41 USD Security Identifier:389811K CUSP: Y9892ND4 Total Common Stocks 14,644,127.00 HKD 113,599.60 1,691,423.30 USD 14,474.79 TOTAL EQUITIES 14,644,127.00 HIM 113,599.60 1,891,423.30 USD Motet Value Currency Acaued lateral 14,474.79 allmale4 Maudlame TOTAL HONG KONG DOLLAR 14,886,909.40 HKD 0.00 113,599.60 JA PA N ESE Y EN Oeicriplion CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance Quantity 1,896,874.59 USD 0.00 14,474.79 Opening bolos Acaued 30-Day Bain Bain Curling Income Yield -267.00 202,469.00 JPY 1,904.02 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS "261.00 202,469.00 JPY 1,904.02 USD Dinablbe EQUITIES Common Stocks NMITEECO CORP TOKYO SHS LTD ISINI.P3651211001 Security Identifier. 6268:Y CUM> )17070110 Total Common Stocks ovraNy Metal Prke Bakal Value Currency 0.00 0.00 Edlatee4 Shied Paul lactate Yield 6,300.000 4,075.0000 25,672,500.00 JPY CONFIDENTIAL — PURSUANT TO FED. R CRIN1. P. 6(e) 453,566.56 1.76% 241,424.19 USD 4265.65 25,672,500.00 JPY 453,566.56 241,424.19 USD 4,265.65 Account Numbs 2:c:tc CONFIDOP Rated [stollen% bey Year Since 2007 DALIAR RATED COMMUNICATCNS EXCIELLU4Ct Page 14 of 31 Clewing Omagh Pagan IIC eulogy owned subsidiary a The kek a New Vat Mellon Coaccitlan Mae) renhnxil.C.nwrion FINRAARKELGM_00046619 DI3-SDNY-0009503 EFTA_00157288 EFTA01289651 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) JAPANESE YEN (continued) DescryRan EQUITIES(corth/tired) TOTAL EQUITIES M arch 1 2018 - M arch 31, 2018 SOUTHERN FINA N CIA L LLO Estimated Estimated Clesolly Market Prase Market Value Currency Maul income Yield 25,672,500.00 JPY 241,424.19 USD Market Value Currency TOTALJAPANESEYEN POLISH ZLOTY Descdpelon °talky Mickel Price 25174,96910 JPY 243,328.21 USD Market Value Currency EQUITIES Common Stocks CD PR0STSA56S 10,000.000 109.4000 1,094,000.00 PIN PL0PTTC00011 319,462.22 USD Sandy Identifier 0TGU CUSP:80957896 Total Common Stocks 1,094,000.00 RN 319,462.22 USD TOTAL EQUITIES 1,094,000.00 PtN 319,462.22 USD 453,666.56 4,265.65 Amami Entimaled altered AnnualIncome 0.00 453,566.56 0.00 4,265.65 Estimated Blimaied Annual Income 'NM 10,499.96 0.95% 3,066.13 Market Value Currency 10,49916 3,066.13 10,499.96 3,066.13 Accrued Edinteled adored Annul Income TOTAL POLISH ZLOTY CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 1,094,000.00 PLN 319,462.22 USD Account Hornbe CONFIDO. L 0.00 10,499.96 0.00 3,066.13 Page 15 of 3' Rated Excellent Every Year Since 2007 MAAR UM) COMMUNICATIONS EXallitiCE Clearing through peoltly I1C • slay monad sobtlailary a me Beak a New Volt Mellon CanceatIon (My Man) Per Thee RC. ninnte. FtleReARKEPSI—°°° 46680 OS-SDNY-0009SO4 EFTA_00 157289 EFTA01289652 Portfolio Holdings (continued) RAND Descuption EQUITIES Common Stocks SAWNLIMITED LTD 2.000 000 2.891.8400 5,783,680 00 ZAR 11,599.89 0.20% ISINt ZAB000S889 488269 83 USD 979.29 Security Identifier. NAPRF CLISIP S53415103 Total Common Stocks Estimated Estimated 0tantlly U.S Pik* Market Value OfilenCy Annual Income Yield 5,783,680.00 ZAR 11,599.89 488,269.83 USD 979.29 TOTAL EQUITIES 5,783,680.00 ZAR 11,599.89 488,269.83 USD 979.29 Accrued Eallmaled Mickel Value Currency Interest Amami Income TOTAL RAND 5,783,680.00 ZAR 0.00 11599 89 488,289.83 USD 0.00 979 29 Unrested Accrued Estimated Cost Beek Market Value Walton 'Maul Annual Income TOTAL PORTFOLIO HOLDINGS - U.S. DOLLARS $86,083,334.37 $96,985,510.52 64,484,277.08 $447,267.99 $3,158,097.74 ' Noncovered under the cost basis rules as defined below. 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 10998. the cost basis will not be reported to the IRS. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed , there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing firm and Penhing makes no representation as fo the accuracy of this information. 5 Unrealized gains and losses are not reported for securities for which cost basis or market value isnot available. e The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may chenge over time end are obtained from sources we believe to be reliable. r2Pershing has received updated cost basisinformalion, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 0 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. CONFIDENTIAL — PURSUANT TO FED. R CRITA. P. 6(e) Account N:02umber CONFIDOP Page 16 of 31 Rated Eacenent Clewing lamer PaflS IIC eulogy evened Event Year Since 2007 setalMory of The Rank anew Yoh Mellon DALIAR RATED COMMUNICATIONS Cerpoentlan Sly Mellon) uCu INC I Perihnx 11.C. ,nerd. riNaA.SRVIELGM_000466lal DS-SDNY-0009505 EFTA_00157290 EFTA01289653 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Holdings Summary by Currency M arch 12018 - M arch 31,2018 SOUTHERN ANA NCIAL LLC Bobismateded Quincy Cat Mind Income Equities Mutual Funds Funds Total by Currency U.S. DOLLARS 6,989,610 24,399,755 57,200,296 3,059,415 980,850 92,629,987 USD CHINA RENMIN8I 0 0 1.446,937 0 0 1,446,937 CNY EURO 0 0 767.424 0 0 767.424 EUR BRITISH POUND 0 0 166,718 0 0 166,718 GBP HONG KONG DOLLAR 42.782 0 14,844.127 0 0 14.886.909 HKO .APANESE YEN 202,469 0 25.672.500 0 0 25,874.969 JPY POLISH ZLOTY 0 0 1.094.000 0 0 1.094.000 PLN RAND 0 0 5.783.680 0 0 5,783,680 LIR Total USD Equivalent 6,997,025 24.399,755 61.548,464 3.059.415 980.850 96.985.510 USD % of Allocation 7% 25% 64% 3% 1% 100% 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 "N/ A" and are omitted from the Total. THEASOF PF3CEDATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATES, 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 Page '7 of 3' Account Nimbi_____________ CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO SCIII. L-- Rated banal Oaring through Pinkly LC. • ittlay owned bay Yea Since 2007 setaldlary of Ile Mak el Mew Y.:4 Mellon DALIMPATEDCOMMUNICATIONS Corporation (IINY Melba) e.t .a. . ,... s . LICalltha PrOira M....enter FihRA. tiol0fuet 000 46682 DB-SDNY-0009506 EFTA_00 157291 EFTA01289654 Portfolio Holdings Disclosures (continued) Option Disclosure (continued) 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. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Schedule of Realized Gains and Losses Current Period Date Dale Realized Otscription 040Sed Acquired Designation Disposition MethOdr TIMUC1100 Ostia Preowls Cogan. Wagon Short Term BROADCOM LTD SHS 151 03116118 09129117 Covered first In First Out! SELL 2,000.000 503,642.36 485,814.78 17,827.58 4823 03116118 10113117 Covered first In First Out! Sal 2,000.000 503,642.36 499.976.68 3.665.68 Security Identifier: Y09827139 Total 1,000.000 1,007,284.72 985,791.16 21,193.26 BRIGHT SCHOLAR ED HI 03/01/18 02128118 Covered first In First Out / sat. 1,500.000 27,035.00 28.500.00 -1,465.00 ONSADR (SINS US9999991 Security Identifier. 1391919 DROPBOX INC CL A 0311 03/23/18 03123/18 Covered first In First Out! SELL 1,300.000 38,113.79 27,300.00 10.813.79 Security Identifier. 26213C94 'SHARES TR CHINA LAR 03/12/18 11103/17 Covered first In First Out! SELL 21,000.000 1,029,915.18 973,747.44 56.167.71 Security Identifier. 16428714 Page 18 of 3' CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) Account Nornbe CO DO. L Rated Eacelient Every Year Since 20O7 DALBAR RATED COMMUNICATIONS EX a LI INC I Clearing through PaflS IIC newly evened sobtidiary a The Beek a New Yoe Mete Ce oratton (MY Man) Pe rp rihnx 11.C.mtetan FINRAVVVELGOL00046683 DB-SDNY-0009507 EFTA_00157292 EFTA01289655 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) Date Dale Description Cispotad Acquked Designation Short Term (continued) ISHARES INC M SCI TM 03122/18 11103117 Covered Security Identifier. 464340772 SERVICEMASTER CO NT 03/20/16 10/0/17 Covered /0138 EVE OTD 03/02/98 Security Identifier. 81760NAB5 VOLKSWAGEN A GADR 03/23/18 09121/17 Covered Security Id entifier. 928662303 03/26/18 09/21/17 Covered Total PUT BROADOOM LTD SH 03119118 02113118 Covered 230.00 Security Identifier 990810004 CALL GILEAD SCIENCES 03/19/18 02116118 Covered 82.50 Security Identifier 990ALOOF6 PUT GLEAD SCIENCES 03/19/18 02116118 Covered 7150 Security Identifier. 990ALO OGIN Total Short Term Long Term FACEBOOK INC CL A 03/26/18 05/17112 Noncoverern Security Identifier. 303039 192 VOLKSWAGEN A GADR ( 03/23/18 01/13115 Covered Security Identifier 928662303 WASHINGTON MUT MTGS 03/23/18 12113113 Noncoveree ' 001-RA2 MTG PASSTHRU CIF CL C￾B-150AR RATE 6.997%07/25/33 Security Identifier 939336520 Total Long Term Total Short and Long Term M arch 1,2018 - M arch 31,2018 SOUTHERN FINANCIAL LLC Disposition Method) Transaction First In First Out / SELL first In First Out! SELL Original Cost Basis: 520,003.00 first In First Out! sat. First In First Out! SELL first In First Out! EXPIRE OPT SHT first In First Out I EXPIRE OPT SHT first In First Out! EXPIRE OPT SHT first In First Out / SELL first In First Out/SELL REPYMT OF RN Original Cost Basis: 1510.84 Account Num.. C It 02 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO Ovally Ptoceede Cott 8aMe Realized Gaimaoss 26,000.000 500.000.000 16.000.000 8.000.000 987,978.95 502.369.00 608.44418 311.467.79 987,205.46 519109.89 547.002.00 273.501.00 773.49 -17,440.89 61.442.88 37.966.79 24.000 000 919,912.67 820.50310 99.409.67 40.000 20.838.51 0.00 20.838.51 -125.000 16,634.60 0.00 16,634.60 -125.000 11,736.72 0.00 11,736.72 4,561119.14 4.342.857.25 218,961.89 11100.000 1179.38916 118.000.00 1.261.389.76 5.000.000 190.13912 254.30610 -61.166.98 1,290100.000 2,013.68 1,540.84 472.84 1,871,542.46 673,846.84 1,197,695.62 6,433,361 60 5.016.704 09 1,416157 51 L Rated EnWiem hely Year Since 2007 DAtIAR WU COMMUNICATIONS LXCILLUICI Page 19 of 3' Clown& drone. Penhing tIC. a Await owned sabudiara of The Beak or New York Mellon Ceeporatlan (MY Mace) Pennine man. PL,.IKE:t.GM_00346684 DB-SDNY-0009508 EFTA_00157 293 EFTA01289656 Schedule of Realized Gains and Losses Current Period (continued) Description Date Disposed Date Acquired Designation Disposition Method; rtanradion Quanta). Proceeds Cod Brie Realized Ca, loss As of Trades BRIGHT SCHOLAR ED HI. 02/28/18 02/28/18 Covers First In First Out! Sal 3.900 000 71.198 55 71.100 00 -2.90145 ONSADR ISINt LIS1)9/91)91 02128118 02128118 Covered Ant In First Out! SELL 2.500.000 45.097.95 47.500.00 -2.402.05 Scanty Identifier.1391989 ENDOCYTE INC COM 02/28/18 02128118 Covered First In First Out / SRI 1.400 000 7.410.88 5.880.00 1.530.88 Security Identifier. 29269A92 NMI HLOGSINCCL A 02/20/18 02/28/10 COvered First In First Out 58.1 1.400 000 28817.33 27.650.00 1197.33 Security Identifier. 629209305 Noncovered under the cost basis rules as defined below. 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 markthe account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes. especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions. has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments. but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have available to you W hen you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes. obtained from sources believed to be reliable. In the event. one or more of these attributes is changed. there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds. bonds sold short or bonds issued with lessthan one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns ' The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this in formation. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO) Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss. unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099.8. Page 20 of 3' Account Number: CO CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) NFIDO =:I Rated Excellent (very Year Since 2007 DALBAR MTV) COMMUNICATONT EXCO.LINCI Clewing through PenhinlIC • Say °mai Meld's." of TM Usk el New Yalt Melba CarpooratIon (OM Wilco) PerOing !tanninUtak tlei llha9m-00046685 DB-SDNY-0009509 EFTA_00 157294 EFTA01289657 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 M essages M arch 1,2018 - M arch 31,2018 SOUTHERN FINANCIAL LLC 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 fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidat credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure additional information. Pursuant to SEC Rule 10 b-10( b)( 1) confirmations are not sent for purchases into money market mutual funds Activity Summary (All amounts shown are on base currency) investing in a money market mutual ed upon request with the proceeds document or contact your advisor for processed on the sweep platform. ()edits ThisPetiad Debits %NNW Net ThisPedod Cunlits Yet-to-Date DebilsYnt-to-Dets Net Yea-to-Date Securities Securities Bought 0.00 5,951,833.81 4,951,833.81 0.00 -9,722,434.45 -9,722A34.45 Securities Sold 6,575,720.97 0.00 6,575,120 97 13,919,215.63 0.00 13,919,215.63 Total Securities $6,575,720.97 45,951,833.81 $623,887.16 $13,919,215.63 49,722,434.45 $4,196,781.18 Dividends and Interest $156,053.65 $0.00 $156,053.65 $649,940.68 $0.00 $649,940.68 Distributions $573.57 $0.00 $573.57 $201,888.04 $0.00 $201,888.04 Fees $0.00 424.00 424.00 $0.00 472.00 472.00 Taxes Withheld $0.00 4346.70 4346.70 $0.00 4346.70 4346.70 Cash Withdrawals 0.00 -6,264.46 6,264.48 0.00 408,757.18 ♦08,757.18 Deposits 9.00 0.00 0.00 228,000.00 0.00 228,000.00 Total Cash $0.00 46,264.48 46,26448 $228,000.00 4408,757.18 4180,757.18 Totals 86,732,348.19 45,958,468.99 $773,879.20 $14,999,044.35 410,131,610.33 $4,867,434.02 CONFIDENTIAL - PURSUANT TO FED. R CRIK P. 6(e) Account Humber CONFIDO. Page 21 of 3' Rated [stollen% Nary Year Since 2007 DALUR LATW COMMUNICATIONS EXCULUKt Chin{ through PenbinglIC. *lay owned stidiary of The Wok el New Yak Mellon Carpotaban (MY Melba) Peri hng meet./ iiNRAAPtIVELGm_00046686 DB-SDNY-0009510 EFTA_00157295 EFTA01289658 Transactions by Typeof Activity Process' Trade Sett lemenl Transaction Date Date AcHeily Type Dena Olio Ouentily Price Acaued Interest Amount Currency Securities Bought and Sold 03/02118 02128/18 PURCHASED BRIGHT SCHOLAR ED HLOGS LTD SPONSADR ISINS 7.900 000 19.0000 -150.100.00 USD BEDU UST9M91091PROSPECTUS UN DER SEPARATE COVER 03102/18 02128/18 SOLD BRIGHT SCHOLAR ED HLOGS LTC SPONSADR BINS 3.900.000 18.2980 71,198.55 USD BEDU U8139139139181(CM A PERSHING AFFILIATE M AKES A M KT IN THIS SECURITY 8 ACTED AS PRINCIPAL UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 03/02118 02/28/18 SOLD BRIGHT SCHOLAR ED HLOGS LTD SPONSADR ISIN1 -2,500.000 18.0820 45.097 95 USD BEDU USS9M9991UNSOL AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 03102/18 02128/18 CORRECTED SELL DIDOCYTE INC COM BKCM A PERSHING AFFILIATE M ARES A -1400.000 5.3379 7.410.88 USD ECYT IA KT IN THIS SECURITY 8 ACTED AS PRINCIPAL UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER CORRECTED CONFIRM 03102/18 02/28/18 PURCHASED ENDOCYTE INC COM PROSPECTUS UNDER SEPARATE COVER 1,400 000 4.2000 -5.880.00 USD ECYT 03102/18 02128/18 PURCHASED NMI HLDGS INC CL A PROSPECTUS UNDER SEPARATE COVER 1,400 000 19.7500 -27,650.00 USD NM IH 03102/18 02/28/18 CORRECTED SELL NMI ROCS INC CA A UNSOLICITED ORDER ALLOCATED ORDER -1.400.000 20.6500 18.847.33 USD NMIH YOUR BROKER ACTED AS AGENT CORRECTED CONFIRM 03105/18 03101/18 SOLO BRIGHT SCHOLAR ED HLOGS LTD SPONSADR -1.500.000 18.0677 17.035.00 USD BEDU US1991391391BKCM A PERSHING AFFILIATE BARBA M KT IN THIS SECURITY 8 ACTED AS PRINCIPAL UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 03106/18 YOUR OPTION ASSIGNED PUT DO GENERAL ELECTRIC CO COM EXP 03/6-13013000 8.000 0.00 USD 990AK5CSO OPTION ROOT: GE GE-SO CLOSING TRANSACTION 03/07/18 03105/18 PURCHASED GENERAL ELECTRIC CO COM ACCT OPT ASSIGNED 800.000 18.0000 -14,737.20 USD GE 03/08/18 03105/18 CORRECTED PURCHASE GENERAL ELECTRIC CO COM ACCT OPT ASSIGNED CORRECTED 800.000 18.0000 -14,438.00 USD GE CONFIRM 03108/18 03105/18 CANCELLED PURCHASE GENERAL ELECTRIC CO COY ACCT OPT ASSIGNED CANCELLED -800.000 18.0000 14,737.20 USD GE TRADE 03108/18 03107/18 SOLD SHORT PUT AO (MALCOM LI INC EXP 04-20-18060 000 OPTION -100.000 1.9000 18.693.56 USD 990ALPRO5 ROOT: °COM OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 03/08/18 YOUR OPTION ASSIGNED PUT 130 GENERAL ELECTRIC CO COM EXP 03.9. MO II 000 50.000 0.00 USD 990AK5CSO OPTION ROOT: GE GESO CLOSING TRANSACTION 03/09/18 03/07/18 PURCHASED GENERAL ELECTRIC CO COM ACCT OPT ASSIGNED 5,000 000 18.0000 -90,20600 USD GE Page 22 of V Accounl C 9t02 2CM2S CONFIDENTIAL — PURSUANT TO FED. R. CRAM. P. 6(e) ONFIDO. Rated ticellent fray Year Since 2007 OMAR MITO COMMUNICATIONS LXCULINCI Clewing through PenhiaglIC • Savoy/nal sabsidiary of The Mak ar New Yalc Melba CarporatIon (MY Melba) na Perchnx LICertet-tx. Ithtto..Wilha9,"_Ouv4ou07 DB-SDNY-0009511 EFTA 00157296 EFTA01289659 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Transactions by Type of Activity (continued) ROOS Trade settiemeni Transaction Date Dale Activity Type Securities Bought and Sold (continued) 03/13/18 YOUR OPTION ASSIGNED 990AK5CSO 03114/18 03112/18 PURCHASED GE 03114/18 03/12/18 SOLO FXI March 1. 2018 - M arch 31,2015 SOUTHERN FINA NCIAL LLC Description 03119/18 03116/18 SOLD SHORT 990AM12D5 03119/18 03116/18 SOLD SHORT 990AM L2FE 03/19/18 03119/18 03119/18 03/19/18 03119/18 03120/18 03/20/18 03/20/18 03116/18 03116/18 03119/18 YOUR OPTION ASSIGNED 990AK5CSO YOUR OPTION ASSIGNED 990ALOOGF YOUR OPTION EXPIRED 990ALOOG4 YOUR OPTION WIRED 990ALOOF6 YOUR OPTION WIRED 990ALOOGW SOLD AVGO PURCHASED GE SOLD SHORT 990AM DCAX PUT AO GENERAL ELECTRIC CO COY EXP 034401000 OPTION ROOT: GE GE-SO CLOSING TRANSACTION GENERAL ELECTRIC CO CAM ACCT OPT ASSIGNED ISHARES TR CHINA LARGE-CAP ETF UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT CALL AO GILEAD SCIENCES INC EXP 04.20-11082.500 OPTION ROOT: GILD OPINING TRANSACTION UNSOL EXCHANGE LISTED OPTION PUT A0 GILEAD SCIENCES INC EXP 04.204077.500 OPTION ROOT: GILD OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION PUT AO GENERAL ELECTRIC CO COY EXP 03-S4113.000 OPTION ROOT: GE GE CLOSING TRANSACTION CALL DO BROADCOM LTD SHS ISMS S69999051823 EXP 03-141240000 OPTION ROOT: AVG° AVG° CLOSING TRANSACTION PUT 130 BROADCOM LTO SHSISINI S09999014823 EXP 03.1.10230 .000 OPTION ROOT: AVG° AVG0 CLOSING TRANSACTION CALL AO GILEAD SCIENCES INC EXP 03.1.1082.500 OPTION ROOT: GILD GILD CLOSING TRANSACTION PUT DO GILEAD SCIENCES INC EXP 03-1.1077.500 OPTION ROOT: GILD GILD CLOSING TRANSACTION BROADCOM LTD SHSISINSSG99990$1823ACCT OPT ASSIGNED OPTCUSIP 990ALOOGF GENERAL ELECTRIC CO COM ACCT OPT ASSIGNED OPTWSIP 990AK5CSO PUT 130 VIA SSP 500 ETF TR TR UNIT EXP 04-20.10255000 OPTION ROOT: SPY OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION ()Imlay Price Acaued Interest Amount Wang 25.000 0.00 USD 2500 000 18.0000 .45,106.00 USD -21.000.000 49.0850 1,029,915.18 USD -125.000 1.0300 12.493.70 USD -125.000 1.0600 12,868.69 USD 117.000 0.00 USD 40.000 0.00 USD 40.000 000 USD 125.000 0.00 USD 125.000 0.00 USD -4.000.000 240.0000 959,811 82 USD 11.700 000 18.0000 -211.074.00 USD -200.000 1.4100 27.593 34 USD Page 23 of 3' CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account ituinar illM CONFID Rated [smitten trey Year Since 2007 DAMIARMITO COMMUNICATIONS EXCULINCI Clewing through PenhiaglIC.• Say. cornal sobsidiary of The Bonk ei New Yalc Melba CarporatIon (MY Melba) A na cent. PerOinglIC.mer-bn Ithttx. tWq2Y ,"—Ouv4onao DB-SDNY-0009512 EFTA 00157297 EFTA01289660 Transactions by Type of Activity (continued) Process' Trade; Settlement Transaction Date Dale Activity Type Description Quantity Price Aimed Interest Amount Correnq Securities Bought and Sold (continued) 03/20/18 03119)18 PURCHASED CALL AO SPDR SEP 510 ETF TR TR UNIT DID 200.000 1.5100 -30.806 00 USD 990AM ROM 04.20.86277500 OPTION ROOT: SPY OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 03121/18 03119118 PURCHASED BERKSHIRE HATHAWAY INC DFL CI A UNSOL AVERAGE UNIT 3.000 305.100 0000 915,40600 USD BRK A PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 03122/18 03120/18 SOLD SERVICDA ASTER CO NT 7.250% 0310138 BIEDTD 03/02/98 -500,000 000 100 4750 2.114 58 504,483.58 USD SYNOD YID 7204 TO MAT 03123/18 03121118 PURCHASED EURO 398.769 280 1.2285 -4 89.90800 USD 03123/18 03121118 PURCHASED UBI SOFT ENTERTAINMENT ISHII FR0000054470 SA 5,600 000 71.1768 498.769 28 EUR UBI FR MONTREUIL ACT ALLOCATED ORDER XILINSOL YOUR BROKER -489.130.40 USD ACTED AS AGENT AS0103/212013 03126/18 03722/18 SOLO !SHARES INC MSC' TAIWAN ETF UNSOLICITED ORDER AVERAGE -26,000 000 38.0403 987.978 95 USD EWT UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 03127/18 03723/18 PURCHASED BERKSHIRE HATHAWAY INC DEL CL A UNSOL AVERAGE UNIT 3.000 296.000.0000 488.106.00 USD BRK A PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 03727/18 03123118 SOLD DROPBOX INC CL A COM UNSOLICITED ORDER •1,300.000 29.3636 38,113.79 USD DBX 0312 7/18 03123/18 PURCHASED DROPBOX INC CL A COM PROSPECTUS UND ER SEPARATE 1.300.000 21.0000 -27.300.00 USD DBX COVER 03/27/18 03123118 SOLD VOLKSWAGEN A G ADR I SPONS) UNSOL AVERAGE UNIT PRICE •21.000.000 38.0889 798.583 90 USD VLKAY TRANSACTION YOUR BROKER ACTED AS AGENT 03128/18 03126118 SOLO FACEBOOK INC CL A BKCM A PERSHING AFFILIATE M AKES A •11,000.000 152.7158 1,619,389.76 USD FB M KT IN THIS SECURITY 8 ACTED AS PRINCIPAL UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED ASAGENT 03/28/18 03726/18 SOLO VOLKSWAGEN A GADRISPONSI UNSOL AVERAGE UNIT PRICE 43,000.000 38.9751 311167.79 USD VIKA? TRANSACTION YOUR BROKER ACTED AS AGENT 03128/18 REINVEST CASH INCOME .PM ORGAN FLOATING RATE INCOM E FUND CUSS I 1262.339 4 1,865.99 USD .PHSX 324207.4013 SHRSSHRS PORCH. AT 59.40000 RD 03/26 PO 03/28/13 03/29/18 03/27/18 PURCHASED EURO 391.373.620 1.2408 -4 85,616.39 USD 03129/18 03127/18 PURCHASED POLISH ZLOTY 1.126.261.000 3.3872 ,332,505.02 USD 03729/18 03127118 PURCHASED UBI SOFT ENTERTAINMENT 'SINK FR0000054470 SA 5.600.000 69.6492 .391.373.62 EUR UBI FR MONTREUIL ACT ALLOCATED ORDER YOUR BROKER ACTED AS -485.068.46 USD AGENT AS OF 03/ 2712013 03129/18 03127/18 PURCHASED CD PRO.EKT SA 915 IS1Nt PLOPTTC00011ALLOCATED ORDER 10.000.000 112.4861 4.126.261.00 PIN OTGLF YOUR BROKER ACTED AS AGENT AS 01031271208 431,604.35 USD 03/29/18 03127/18 PURCHASED BERKSHIRE HATHAWAY INC DEL CL A UNSOL AVERAGE UNIT 3.000 301.440.0000 -905,326 00 USD BRK A PRICE TRANSACTION YOUR BROKER ACTED AS AGENT Page 24 of 3' CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Numb lla CONFIDO. 4 Rated Galls. Every Yea Since 2007 DMIAR WED COMMUNICATIONS EXCIILUNCE Clearing through Pealwg Lit.* May anal seteldiary of The Bask el New Yore Mellon Corporation Oltly MAW w,miettttcrrsrorr F Inge, DB-SDNY-0009513 EFTA 00157295 EFTA01289661 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) Process. Tra4e; Seillemen1 Transaction Clete Dale Activity Type Total Securities Bought and Sold EURO TOTAL USD EQUIVALENT POLISH ZLOTY TOTAL USD EQUIVALENT US. DOLLARS Dividends and Interest 03101/18 BOND INTEREST RECEIVED 81760NAB5 03115/18 BOND INTEREST RECEIVED 174538AW1 03/26118 BOND INTEREST RECEIVED 939338820 03/27/18 FOREIGN BOND INTEREST 53S439AG4 03/28118 FOREIGN SECURITY DIVIDEND RECEIVED 6268:34 03/28/18 CASH DIVIDEND RECEIVED PHSX 03/29/18 MONEY MARKET FUND INCOME RECEIVED PER232045 03/29/18 CASH DIVIDEND RECEIVED GILD Total Dividends and Interest JVANESE YEN TOTAL USD EQUIVALENT US. DOLLARS Desuiption M arch 1,2018 - M arch 31,2048 SOUTHERN FINANCIAL LLC 1500000 SERVICEil ASTER CO NT 7.250%0370138 WE DID 0310248 RD 0218 PD 03'0 18 1100000 CITIZENSCONN UNICATIONS CO SR NT FULLY EXCHANGED FROM 174 53BAX9 715% 034$/I 81E DID 03123107 RC 03114 PD 0311518 290000 WASHINGTON M UT M TG SECS CORP 200 4.FIA2 M TG PASSTHRU CTF CI. C.8.1VAR RATE 6.997% 07125433 EU E DTD 06/0104 RD 02/28 PD 03/25/1 103000 LLOYDS BANKING GROUP PLC RD RATE RESET ADDL TIER 1SECS INN, OS5394394642 7.500% 04127/86 BIE DID 04/07/14 CLB RD 03126 PD 03/2703 6300.00 SHARES NABTESCO CORP TOKYO 91S LTD 'SINK "36521001FOREIGN SECURITY DIVIDEND RECEIVED RD 23117 PD 03281 AS OF 12/3117 .PM ORGAN FLOATING RATE INCOM E FUND CLASS I 324207.4010 SHRS RD 03126 PO03,28113 DEUTSCHEGOVT CASH 2500 SHRSGILEAD SCIENCES INC RD 03/1 PO 03729113 Account tiunita C tt O2 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO :Lantl) Price Accrued Interest Amount Correnq 0.00 0.00 0.00 0.00 2,114.58 0.00 0.00 0.00 .790.142.90 EUR -974,198 86 USD .1,126,261.00 PIN -331,604.35 USD 1.929.690.37 USD 54,375.00 USD 35,625.00 USD 2.818.04 USD 35,681 25 USD 239.400 00 JPY 2,263.83 USD 11,865 99 USD 6,299 54 USD 7.125.00 USD 239.400.00 JPY 226383 USD 153.789.82 USD Page 25 of 3' L Rated Galls. Every Year Since 2007 DALIARIATEDCOMMUNICATIONS LC:WINCE Charing through Pealing11C • Say ogrnai setaklan of The Mak a New Yon Melba Corpont$ on OM Mellon) Peribitte LC. avert. Finits...WKa9m—00046690 DB-SDNY-0009514 EFTA_00 157299 EFTA01289662 Transactions by Type of Activity (continued) Proms' Trade Sett lemenl Trans/Mon Dote Dote Adivity Type Description Quantity Ma Accrued intend Mount Omen, Distributions 03126/18 RETURN Of PRINCIPAL 290000 WASHINGTON 14 UT M TG SECS CORP 200 4-RA2 M TG 573.57 USD RECEIVED PASSTHRU CTF CL C-8-1 VAR RATE 6.997% 0 7125/ 33 B1E DTD 939336820 06/0104 RD 02/28 PD 03/2511 Total Distributions - U.S. DOLLARS 0.00 573.57 Fees 03/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUSP: 64634 U-1-9 -2.00 USD HBCYF 03/0 1/I 8 FOREIGN CUSTODY FEE Fgn Safekeeping FEB201 CUSP: G5636C-13 -7 -2.00 USD LONKF 03101/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUSP: G8531.2.0 •2.00 USD NDGPF 03/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUSP: )17070. -2.00 USD NCTKF 03/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUSP:853415-9-3 -200 USD NAPRF 03/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUSIP: Y000 4F-2-5 •2.00 USD ZTO3F 03101/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUSP: Y01373-2-2 -200 USD AHCHF 03/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUSP: YO 698A-13-7 -2.00 USD BACHF 03/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUSP: Y R36.t 12-8 -2.00 USD CCCGF 03/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUSP: Y209581-7 -2.00 USD DNGFF 03101/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUSP: Y953:14-13 -9 -2.00 USD WEIC5 03/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUMP:19$92N-11-4 •200 USD ZHUZF Total Fees - U.S. DOLLARS 0.00 -24.00 Taxes Withheld 03/28/18 FOREIGN TAX WITHHELD AT 6300.00 SNARES NABTEXO CORP TOKYO SITS LTD -36,664.00 JPY THE SOURCE ISINt .13661213 00 1FOREIGN TAX WITHHELD AT THE SOURCE -346.70 USD 6268:1 RD 23117 PO 03281 AS OF 413117 Total Taxes Withheld - JAPANESE YEN 0.00 -36164.00 Total USD Equivalent 0.00 44610 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Hornbill= CONFIDO AL Rated Eseellent trey Year Since 2O07 DALIAR RATED COMMutoCATIONS EXCELLENCE Page 26 of 3' Clown& through PeaNng 11C. • Say °mai subudiary of The Bank olMew Yalt Melba Corporation18NY Mellon) p.,.p.na: Lit% mn-rx. , it.RA.%X,YEEPM_00046691 DB-SDNY-0009515 EFTA_00 157300 EFTA01289663 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) Process Trace Settlement Transaction Date Dote Activity Type Other Transactions 03119/18 ACTIVITY WITHIN YOURACCT BROADCON LTD STISIS1N8 $099990N823 TRANSFER TO -4,000.000 0.00 USD AY/9O MARGIN 03119/18 ACTP/1TY WITHIN YOURACCT BROADCOM LTD SHSISN. S139999014823 TRANSFER FROM 4,000.000 0.00 USD AYGO CASH Total Ot her Transactions - U.S. DOLLARS M arch 1,2013 - M arch 31,20 13 SOUTHERN FINANCIAL LLC Description Quantily Price Accrued Meted Amount Cunenq Cash Withdrawals and Deposits 03112/18 FEDERAL RINDS SENT USD999991 Total Cash Withdrawals and Deposits - U.S. DOLLARS Total Aosrued Intend Total Amount Transactions arentary Total Accrued Interest Told Amount Oaring USD Equitalent US0Equiralent EURO 0.00 -790,142.90 EUR 0.00 474,198.88 &VARESE YB1 0.00 202,138.00 JPY 0.00 1,917.13 POLISH ZLOTY 0.00 -1,128.281.00 PLN 0.00 431,804.35 U.S. DOLLARS 2,111.58 2,077,785.28 USD 2,114.58 2,077,785.28 The price and quantity displayed may have been rounded. DEUTSCHE BANK TRUST 0.00 0.00 6,264.48 1120 0.00 -8,2134.48 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number NW -- ^ bled Lotlient C 0 NFIIDgs N AL_ MILLING( DALBAR RATIO COMMUNICATIONS 2:C::: cs, Even, Year Since 2007 Page 27 of 3' Cleanng through PenlikvIIC•aapronwil sabsidiary a The Mak a New Vat Mellon CarporatIon (MY Mellon) Pen hnx 11.C. rwr/on FtivRAPPMVELGM-00046692 DI3-SDNY-0009516 EFTA_00157301 EFTA01289664 Fixed IncomeAnalysis Bond Quality Bond Ouahty A 2,246,790.00 9% BAA 8,213,000.00 34% BM Lower 13,492,216.25 55% Not Rated 447,748.78 2% %HENN Markel Valve eked Vain Percent or need income otal Bond Maturity Schedule Bead Mahay Market Value %of Bond Muter Um 7 to 12 months 998,750 00 4% all to 10 years 4,309,580 00 18% Over 10 years 19,091,445 03 78% Total 24,399,755 03 100% Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Called Bonds Cd Date 0411012018 BARCLAYS BK PLC CONTINGENT CAP NT 300.000.000 300,000.000 100.0000 ISINIUSO 6739FHKO 3 7.750% 0 4ftif 23 Fll E DTD 04/ 13713 CALLABLE() 4/ 10/18 Pershing LLC receives the called bond information from several information sources which Pershing believes are reliable. Pershing does not guarantee the accuracy of the information. For callable options that are available to you please contact your Investment Specialist. Stoney Desaiption Bigitee Quantity Celled Chalky a Pike Type ot Redemption Proceeds ades Not Settled Full 300,000.00 Settlement Trade Adivity Ode Clete Type Description Cvandee Pda Awned lidded Settlement Amount 04/03/18 03129/18 Buy All AZ0N CON INC KM A PERSHING 500.900 1,423.7496 0.00 ,711,930.80 AFFILIATE MAKESA LW IN THISSECURITY 8 ACTED AS PRINCIPAL UNSOLICITED ORD 04/03/18 03129/18 Bay ASSURANT INC RD TO FLTG SUB NT 2.000.000.. 2,333.33 -2,042,339.33 7.000% 03121148 BIEDTD 03/2718 CL8 VARIABLE RATE Total Amount of Trades Not Settled 42,754,270.13 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDg EtC212CPTCLE AL￾MOLD ticellent bey Year Since 2007 PALMARATED COMMUNICATIONS UCELIANCE Page 28 of 31 Clawing through Peaking I1C näolyetmed subsidiary a Tie Beek a New ran ~on Cm•Leatkon My Mellon) Rerd..nx LIC. ~Ito FINIKOMYMOM-00046693 DB-SDNY-0009517 EFTA_00157302 EFTA01289665 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Client Service Information M arch 1,2018 - M arch 31, 20 $8 SOUTHERN FINANCIAL LLC Your layeelment Specialta ENJ Coated Information JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10017 Your Account Information Telephone Number: 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. Standing Instructions We are providing the below information on your behalf to allow you to confirm the Sanding Instructions on this account. Our records indicate that you previously provided these Sanding Instructions to your Investment Specialist as part of the account opening process or subsequent to opening your account. A standing Instruction is an instruction an account holder gives to their Investment Specialist to permit the withdrawal or transmittal of funds or other assets from the account holders account at regular intervals, or as needed. The items included below are both instructions that appear to be third party asset movements, as well as first and third party journal instructions for accounts that are custodied with Pershing. If a standing instruction was updated from first party to third party it may not be reflected in the list below. Those instructions will be listed in a future statement. W e may remove any standing instructions that have not been used in the past 38 months (except for Automated Clearing House (ACH) which does not expire). You have the ability to re-establish those instructions through your Investment Specialist. Please review all the below Information carefully. If you have any questions or If any information is inaccurate, please contact your Investment Specialist. Dardadloa Type del:Need Neale Bank Name Receiving Account *rebel gad Date Frequency Amount ammo/ FED FUND WIRES DEUTSCHEBANK AG LONDON DEUTSCHE BANK TRUST CO. OEN -739 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Hunter •• Rated Catellern 2: : brew Year Since 207 CONFID AL_- DAUIAR RATED COMMUNICATIONS LRCM Ma Page 29 of 31 Clearing through Fenian IIC eulogy evened sobsidiacy a Me Beek a New Yak Melee Cerpoestlen My Mellon) Perow 11.C.mer-bn Fitiejlq4VELGM_00046694 DE!SDNY-0009518 EFTA_00157303 EFTA01289666 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. w here 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 . 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 visitwww.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 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. 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 Mass action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until. (I) the class certification is denied: (II) the class is decertified: or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Page 30 of 3' CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Number CONFID AL Rated EstWiem (my Year Sint< 2007 DALBAR RATED COMMutoCATIONS IXCILLINCI Clown& thtough PershinglIC • Sang/nal subudiarf a me Osaka Mew Yak Melba Corporation ONY Mellon) P!,PIng ‘INIZA.g4.1UGM- 00346695 DB-SDNY-0009519 EFTA_00157304 EFTA01289667 TERMS AND CONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WRH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO, TIE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT Of ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES PI YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST S COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION F YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGN ACCOUNT. THIS IS A COMMNED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T S AVALABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHNG WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS (-• ASSFICATION 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 TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE NDEBTED TO PERSHING LLC (PERSHING, FOR ANY AMOUNT, ALL SECURRES 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 RS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU, CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEBTW 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. • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL NSPECTION AT PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WVON.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWVV.PERSHING.COM/DISCLOSURES • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION MIS￾RULE 607(AX1H2)) PERSHING SENDS CERTAN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY MID OPTION ORDERS TO ITS AFFILIATE, BNY MELLON CAPITAL MARKETS. LLC, FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECURON: NOTWRHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW, PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE. COUNTER AND EXCHANGE-LISTED SECURRES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBB0). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET W THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THER EXECUTIONS IN ONE OR MORE MARKET SEGMENTS ANO THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSH:NG ALSO REGULARLY REVIEWS REPORTS FOR OUAUTY OF EXECUTION PURPOSES. F ANY OF THE ABOVE TERMS ANO CCNINTRINS ARE UNACCEPTABLE TO YOU. REASE NOTIFYPERS-MVO NINEDULTELY IN WRITING EN CERTFED MAIL TOONE PERSHNG FRAM JERSEY CITY, Ni 07399, ATM: LEGAL DEPT CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) Account Numbel CONFID aeon:vitt: L Page Slot 31 Wed ticellent bey Year Since 2007 DAME RATED COMMUNICATIONS EXCILUNCt OewnWeough Penblim nib* emml sobOdiary a Me in a New YM Man Oppotatkon (MY Melon) Peellw U.C.imertatt FIARAVVVELGOL00046696 DI3-SDNY-0009520 EFTA_00157305 EFTA01289668 a Deutsche Bank P.O. Box 1776, Baltimore, MD 212O3 SOUTHERN FINANCIAL LLC 6 10 0 RED HOOK QUARTER B3 ST THOMASVI 00802 DliAtuth• Lint ensile N•Wih ontetmen Mule, (potent C404: Devtiche SrAritin POw Ycel C•ke 345 Pert Ate Mtg. MO now Ne e O Toll siv Cern% February 1, 2018 - Februar 28, 2018 Account Number: Portfolio at a Glance TelePeriod Yeepto-Date Your Investment Specialist. BEGINNINGACCOUNTVAWE 3100,113,191.08 397,272,547.37 JOSHUA SHOSHAN No Dash Deposits asid Withdrawah 228,000.00 -174,492.70 Adjusted Previous Account Value 100,341,191.08 97,096,054.67 Dividends. Interest and Other Income 545,662.32 667,570.65 Other Transactions -24.00 48.00 Net Change in Portfolio' -87,893.54 3,033,358.54 EN DINGACCOUNT VALUE Accrued Interest 5420,153.80 Estimated Annual Income 53,241179.86 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Penal Meet Type Prior Year-End Last Period ThisPerlo0 5% Cash, Money Funds, and Bank Deposits 823,820.96 5,052.766 03 4,917,369.88 fL) 25% Fixed Income 26,083,419.22 25235,863.11 24,938,825.22 im 64% Equities 80,899,388.97 63,639,334.70 65,010,259.12 Es 3% M utast Funds 3,020,938.22 3,057,397.24 3,050,791.64 3% Exchange-Traded Products 6,444,920.00 3,127,830.00 2.881.690.00 100% Account Total (Pie Chart) $97,272,541.37 $100,113,191.08 $100,798,935.86 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID fft irAL-4 Wed [scented Rely Year Since 2007 DALIAR MTV) COMMUNICATIONS uctrutra Page'- of 23 CleSIng th•Ough Penh": TLC. a ace/ evened Wbudialy of The Dank 04 New Pak Mellon Corporation MY Mallon) P P tux 11.C. ranter Flt.Lt. PkfEli.GM-00046697 DB-SDNY-OOO9521 EFTA_OO 157306 EFTA01289669 Summary of Gains and Losses ThisPeriod ha zed Year4o-Dele Wreaked Short-Term Gain! Loss 67,691.13 1,135,515.40 1,830,682.63 Long-Term Gain/ Loss 456.23 719,357.50 7,761,533.98 Net Gain! Loss 88,147.38 1,854,872.90 9,592,216.61 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECG( ) 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 1399 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. Exchange Rate Table Global Cash Currency Wrung USD Equivalent per USO twenty Omits Biwa Amount in Base Currency USD CHINA RENMINBI 0.1579 6.3320 HONG KONG DOLLAR 42,782.40 5,467.29 BRITISH POUND 1.3776 0.7259 JAPANESE YEN .267.00 -2.50 HONG KONG DOLLAR APANESE YEN RAND Exchange rates are based on rates can vary. 0.1277 7 8251 0.0093 106.6900 0.0847 11.8002 interbank exchange rates as of 02/282018 Exchange Total Global Cash Balance $5,464.79 Money Market Fund Detail Date Activity Type Dem:thorn Amount Salem Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield: 1.31% Activity Ending:02/ 28/18 02101/18 Opening Balance 4,930,679.70 4,930,679.70 02101/18 Deposit MONEY FUND PURCHASE 1,367,401.33 6,298,081.03 02/02/18 Deposit MONEY FUND PURCHASE 51,556.27 6,349,637.30 02/05118 Deposit MONEY FUND PURCHASE 135,630.39 6,485,287.69 02/06118 Deposit MONEY FUND PURCHASE 31,651.80 6,516,919.49 02107118 Withdrawal MONEY FUND REDEMPTION ,397,601.73 5,119,317.76 02108118 Withdrawal MONEY FUND REDEMPTION -51,580.27 5.067.737.49 02/13/18 Deposit MONEY FUND PURCHASE 1,541.40 5,069,278.89 02/20118 Withdrawal MONEY FUND REDEMPTION ,044,951.85 4,024,327.04 02/22/18 Withdrawal MONEY FUND REDEMPTION 429,566.23 3,584,780.81 Page 2 of 28 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDO' orcessnm—e Rated Eaceiltee (my Year Since 2007 DMIAR ItaTtO COMMUNICATIONS UMIAK( Clarinda...II Peale% LC. eulogy evened sabsidiary of The Usk el New Welt Mellon Cenceetten Maw) Pen h ,Ml1.C.remet-ber theleStRt4 VEGOA-00046698 DE1-SDNY-0009522 EV1:4_00157307 EFTA01289670 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Money Market Fund Detail (continued) February 1, 2018 - February 28,2018 SOUTHERN FINANCIAL LLC Date Actuity Type Desaipthe Amon' Uwe Sweep Money Market Fund (continued) DEUTSCHEGOVT CASH INSTL (continued) 02723/18 Deposit MONEY FUND PURCHASE 834,170.70 4,428,931.51 02726718 Deposit MONEY FUND PURCHASE 3,331.25 4,432282.78 02728/18 Deposit MONEY FUND PURCHASE 183,661.62 4,615,924.38 02128/18 Deposit INCOMER8NVEST 4,980.71 4 620 905.09 02728118 Closing Balance $4,620,905.09 Total All Money Market Funds $4,620,905.09 Income and Expense Summary Taxa Canal Pitied Non Taxable Taxable Yeaseo-Date Non Taxable Dividend Income Equities 134,820.00 0.00 140,293 06 0.00 Money Market 4,980.71 0.00 6 068.24 0.00 Other Dividends 192,543.86 0.00 203.226 64 0.00 Interest Income Bond Interest 2,829.73 0.00 107.494 69 0.00 Other Interest 36,804.40 0.00 36,804 40 0.00 Total Dividends, Interest, Income and Expenses $371,978.70 $0.00 $493,887.03 50.00 Distributions Alternative Investments 0.00 173,683.82 0 00 173,683.62 Other Distributions 0.00 501.52 0.00 27,630.85 Total Distributions $0.00 $174,185.14 $0.00 $201,314.47 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account /turbo CONFIDO. Page 3 of 28 Rated timeliest bay Year Since 2007 DALUR LATW COMMUNICATIONS LXCattl.Ct Clewing through Penlivg I1C nth./ evened stidiary of The Bank a New Vat Mellon CarporatIon (MY Mellon) Per era 11.C. me FINRAVVVELGOL00046699 DB-SDNY-0009523 EV1:4_00157308 EFTA01289671 Portfolio Holdings U.S. DOLLARS Account Activity Opening Closing Awued Income 30Day Current Opening DMe Quail ity Number Wing Balance Balance Income This Year Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Margin Balance 116,618.75 291 000.00 Money Market DEUTSCHE GOVT CASH 'NUL 02/01/18 4,820,906.090 N/A 02128118 4,930,679.70 4,620,905.09 0.00 8,088.24 1.27% 1.31% Total Money Market $4,930,679.70 $4,620,905.09 $0.00 $6,068.24 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $5,047,298.45 $4,911,905.09 $0.00 $6,068.24 Date Acquired FIXED INCOME (In Maturity Date Sequence) °Asset Backed Securities WASHINGTON NUT IA TG SECSCORP 2004.RA2 Security Identifier 939366620 M TG PASSTHRU CTF CL C-8WAR RATE 6.998% 07125133 g1E DTD 06/0104 Factor: 0.37462584 Bled Ue Dale:02/07i Current Face Value: 463,267.334 12/13/13'.3'° 1,290,000.000 76.5190 369,789.43 93.0780 Original Cost Oasis: 5638108.71 Total Asset Backed Securities $369,789.43 1,290,000.009 Total Current Face Value:483,267.334 Corporate Bonds CITIZENSCOM MUNICATIONSCO SR Seculity Identifier: 174638ALY1 NT FULLY EXCHANGED FROM 174539AX9 7.26% ON if 9 8/E DID 03/23/07/4 oody Rating 03 S 8 P Rating 9- 10103117 1,000,000.000 100.0740 1,000,736.69 101.7500 Original Cost Basis: 5100100690 Securgy Identifier: 06739FFIKO Adjusted Vocalized Aimed Stated Relegated 00144 Una Cod Cod Baas Merkel Price Medal V*e Phan; lateral Mgual Income Yield 8ARCUYSSK PLC CONTINGENT CAP NT ISNI US06739FHK037.750% 04/10123 B/E OTD 04112/13 CALLABLE 041111158 P Rating 884 04/03/13'•°.° 300,000.000 100.0000 300,000.00 100 5000 Original Cost Basis: 5300.000.00 CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) 449,815.57 80,026.14 2,536.56 $449,815.57 $80,028.14 52,536.68 $0.00 1,011,500.00 16,763.31 32260.42 71,250.00 7.00% 301.500 00 1.500 00 8.912 50 23,250.00 771% Account ?tuna CONFIDO. L Page 4 of 28 Mom tacentot Orme tomer Pegg% MC eakely owned trey Year Since 2007 smith:Mary of me Bank e/ New Yen Mellon MAAR WM COMMUNICATIONS CarporetIon (SHY Mae) UMIAK( Per Ihnx 11.C. merge, otmo.ttrtVYsLGM-00046700 DS-SDNY-0009524 EFTA_00 157309 EFTA01289672 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired FIXED INCOME (continued) Corporate Bonds (continued) EXELA INTER LC/ EXELA FIN INC GTD FIRST PRIORITY SR SECO NT 144A 13000% 0716123 B/E DTD 07/4/17 C1BMoody Riling 93 5 P Rating B 10124117 February 1, 2018 - February 28,2018 SOUTHERN FIN A NCIAL LLC Quantity Ong Com Adjusted Cod Basis Market Rice 2.000.000.000 97.0250 IISINVTS GM BH GTD SR NT REG S ISINt VS429866853 7250%04/03/24 B1E DUI 04/031145 8 P Rating B 10/31117 2,000,000.000 99.0650 SERVICEM ASTER CO NT 7250%03/0138 B/E DTD 03102/98 ST CPN DTE 09/0198 CPR PUT SEMI ANNUAL ON MAR 01AND SEPOiloody Rating 62 S 8 P Rating B 10/18117 1.000.000.000 103.9680 10/19/1? 10/20/17 10131117 350.000.000 80.000.000 70,000.000 103.9690 103.9750 103.9790 Total Covered 1,500,000 000 Total 1.500.000e00 811 ORGAN CHASE; CO DEP SHSREPSTO 10TH PFD SERIFIXED TO RTG RT BD 7.900%04/29/49B/EOM 04123/08M oody Riling BAA3S8 P Rating BBB￾06/15/11 .'"? 2.500.000.000 107.5000 Security Muddier. 30162RAA9 1.940.506.00 99.6250 Original Cost Basis: $1940,506.00 Security Identifier: A29866A85 1,981,300.00 99.3750 Original Cost Basis: 61981300.00 Security Identifier 61760NAB5 1,039,616.41 100.5000 Original Cost Sas 51040.006.00 363.893.22 100.5000 Original Cost Basis: $354,006.00 83.180.38 100.5000 Original Cost Basis: $83206.00 72.784.97 100.5000 Original Cost Basis: $72.806.00 1,559,534.98 $1,559,534.98 Security Identifier: 46625HHA1 2,687,500.00 100.8750 ati.e I ':aloe Unrealized Gaintoss Acaued Estimated Eslimaled Interest Annual Income Yield 1.992.500.00 51.994.00 23.888.89 200.000.00 10.03% 1,987,500.00 6,200.00 58.402.78 145,000.00 7 29% 1,005,000.01 44.676.40 35,645.83 72,500.00 721% 351.749.99 -12.143.23 12.476.04 25.375.00 721% 80 399 99 -2.780.39 2.851 67 5.800 00 721% 10.35001 -2.434.96 2.495.21 5,075.00 721% 1.507.500.00 -52,034.98 53,468 75 108,750 00 $1,507,500.00 -$52,034.98 $53,468.75 $108,750.00 2.521.875.00 -165,625.00 64,736.11 197,500.00 7.83% Page 5 of 28 ItCOI2I Account NumbeIIIMI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L Rated Walls. Clarion Omagh Pagan IIC a vokily owned Every vex Since 2007 Snider, a The in a New Vat Ohellon DMJAR£ATODCOMMUNICATIONS Corporation (11111Y Melon) ........ , i , EXCWINCE Pennine U.C. mewing F thitAAW lia9m-00046701 DB-SDNY-0009525 EFTA_00 157310 EFTA01289673 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit CoM FIXED INCOM E (continued) Corporate Bonds (continued) SU ORGAN CHASE& CO DEP SHSREPSTG (continued) 06/15/11 . '312 2.500.000.000 107.0000 Total Noncovered 5,000,000 000 Total 5,000,000.000 BANK AM ER CORP PERP NON COM ULATIVE DEP VS FIXED TO FLOAT 8.25% 04/30158 WE DTD 04130/08 CALLABLE05/10314 oody Rating BA2 S& P Rating BBB• 01/10/11 . '332 2,000,000.000 1021500 Adjusted Cent Balls Market Price Market Value Original Cost Basis: $2.887,500.00 2.675.000.00 100.8750 Original Cost Basis: 52,675,000 00 5,362,500.00 $5,362,500.00 2.521.875.00 5,043,750.00 SOUTHERN CAUF EDISON CO PREF SER E 6 250% 0117162 WE DTD 011712 CALLABLE 0210122 0 130 000M oody Wing BAA1S & P Rating BBB￾01/30/12 . '312 3.000.000.000 99.8840 GENERAL BIC CO GTD FXD.TO.FLTGRT NON.CUNULATIVE PERPETUAL PREFERRED 4.000% 4103/65 REGDTD 12/03/tMoody Rating A3 S& P Rating BBB* 12/03/15' 2.469.000 000 88.0930 5LLOYDS BANKING GROUP PLC FXD RATE RESET AUDI TIER 1SECS US539439AG42 7.500% 04727/88 WE DTD 04107/M8 P Rating titi. Please Nelda 1.903.000.000 NIA CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5950% 08/15/888/E DID 0614/5 CALLABLEOBIS/20 0 D0.000MaodyRatikg0A2StPRaling BB' 08/06115 3,000,000.000 100.0000 Security Ideatifier 0605050T8 2,055,000.00 101.5000 Original Cost Basis: 52,055,000.00 Swirly Identifier: 842400 FU2 2.996.522.55 104.7000 Original Cost Basis: 52,992,56497 Securdy Identifier 359604B/44 2.175.016.17 92.1100 Original Cost Basis: $2,25.01.2 Haag Identifier 539439A64 Please Provide 109.6250 Original Cost Basis: Purse Provide Security Identifier 2296725 3,000,005.99 103.5800 $5,043,750.00 2,030,000.00 3.141.000.00 2.274.195.90 2,086.163 75 3107 400 00 Unrealized Clinton Awued Interest Estimated EstImaled Annual Income Yield -153.125 00 -318.750.00 64136.11 129.472.22 197.500.00 395,000.00 7.83% 4318,750 00 1.1 29,472 22 $395,000.00 -25,000.00 46,493.06 162,500.00 8.00% 144,477.45 14.062.50 187.500.00 5.96% 99.179.73 20,026.33 98/60.00 4 34% N/A 24 183.96 142/25.00 694% 107,394.01 6.445.83 178.500 00 5 74% Page 6 of 2 .3 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number mud CONFID L-- bled Iscollent Clewing through Penh", LLC • ~yawned (very Yew Since 2007 SASS." of TM Bank el Mr Yorlg Mellon DALBAR IMO COMMUNICATIONS Como-atlas (MY Mellon) LXCLLLINC( Pern.ig li.C.neren Ithsto..%WhiGM-00046702 DB-SDNY-0009526 EFTA_00I5731 I EFTA01289674 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Clete Acquired FIXED INCOME (continued) Corporate Bonds (continued) CITIGROUP 040 FXD RT SR NT PERP DEP RECPT (continued) February 1, 2018 - February 28, 2018 SOUTHERN FINANCIAL LLC Ouentky Unk Cast Adjusted Cast Bads Market Prim Market Value Unrealized Geinfloss Accrued Estimated Estimated lateral Annual Income Yield Total Corporate Bonds 24,172,000.000 TOTAL FIXED INCOME 25,462,000.000 Original Cost Basis: 53,000,006.00 $22,371,122.36 $22,740,911.81 $24,489,009.65 324,938,825.22 Date Awned Oulatky Unk Cost Oast Bees Market Prke Mead Value EQUITIES Common Stocks BROADCOM LTD SHSISINO D39999011923 Dividend Opl ion: Cash 09/29/17 Security Went diet AVGO COP Y09827139 485.814,78 246.4600 492.920.00 10/13/17 2,000. 499.976 68 246.4600 492,920.00 Total Covered 4,000 000 985.791 46 985,840.00 Tot al 4.000 000 3985.791 46 $985,840.00 ADVANCED MICRO DEVICES INC COM Securely Identifier: AMC Dividend Option: Cash CUSIP. 007903107 50,000.00 of these shares ate is your macula account 09/15/17 20,000.000 12.2810 245.612 36 12 1100 242 200 00 12/15/17 30.000.000 12.2300 366.912 57 12 1100 363 300 00 Total Covered 50,000 000 612.524 93 605.500 00 Total 50,000 000 3612,524 93 $605,500.00 ALIBABA GROUP RUA LTD SPONSORED AOR Security Identifier BABA IONS USO $09W1327 CUSP. 0•6091VD2 Dividend Option: Cash 06/10/15 5,000.000 88.9500 444.749 00 186 1400 930.700.00 APOLLO GLOBAL MGM T LLCCL A MIS Security Identifier APO Dividend Option: Cash CUSIP 037612306 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Nurnbe $31,723.52 5417,617.24 $1,713,235.00 9111,749.66 3420 153 80 $1,713,235.00 Unrealized Gehlrloss 7.105 22 -7,056 68 48 54 348 54 -3 41236 -,612 57 -7.024.93 47,024 93 485.951 00 CONFIDO. L Estimated Estimated Maui Income Yield 14.000.00 14,000.00 28,000 00 328.000 00 9000 284% 284% Page 7 of 28 Rated timeliest bey Yew Since 2007 OMAR WED COMMUNICATIONS uatiora Clewing through PenlikvIICatlaprewel stosidiary of me oak al New Vat Mellon CaporatIon (MY Mellon) Per. hnxil.C. mer-bn thiRAVIO VELGM-00046703 DB-SDNY-0009527 EFTA_00157312 EFTA01289675 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired EQUITIES {continued) Common Stocks (continued) APOLLO GLOBAL it GMT LLC a A SHS (continued) 03/29/11 'in 263.157.000 19.0000 APPLE INC COM Dividend Oplion: Cash 12/07117 214,000.000 169.8140 BASF SE SPONSADR 191111150552625057 Dividend Oplion: Cash 04/13/15 20,000.000 25.4030 BERKSHIRE HATHAWAY INC DEL CL A Dividend Oplion: Cash 02/05/18 02/16/18 Total Covered Total BIOGEN MEC INC COM Dividend Oplion: Cash 02/14/12 . '3 CINTENE CORP DB. COM Dividend Oplion: Cash 09108114 15.550.000 FACEBOOK INC a A Dividend Oplion: Cash 05117112 .0 17.500.000 GENERAL ELECTRIC CO COM Dividend Oplion: Cash 5.000 00 of these shams are in your margin account 02/23/18 2,500.000 02/26/18 2.500.000 Total Covered 5,000.000 Total 5,000 000 GILEAD SCIENCES INC Dividend Oplion: Cash 02/05/14 5,000.000 Quantity Unit Cost Coat Bala Market Price Might Value Maenad Clinton 3.000 310.425.3330 3.000 307.028.6670 6 000 6.000 2,095.000 110.2720 63.6450 38.0000 16.2210 16.2210 79.2810 931.276.00 921,086.00 1152.36210 51.852.362.00 4.999.983 00 32.8000 Security Identifier. AAPL CUSIP: 03783300 36,340.223 40 178.1200 Securely Identifier: BASFY CUSIP. 055262505 508,056 00 26.2800 &wily Identifier. BRK A CUSP:08467008 310.250.0000 310.250.0000 Sectuity Identifier. BBB CUSP 09052X93 231,019.65 288.9900 Secarity Identifier. CNC CUSP 1135B91 989.679.75 101.4200 Secuiity Idenlifier. FB CUSIP 30303M92 665.000.00 178.3200 Security Identifier. GE CUSP. 36960403 40,551.71 40.551.71 81,103.42 14.1100 14.1100 $81,103.42 Security Identifier. GILD CUSP. 37555803 396,407.00 78 7300 6.631.549.60 38.117.680.00 525.600 00 930.750.00 930.750.00 1,861,500.00 $1161,500.00 605,434.05 1.577.081.00 3.120.600.00 35,275.00 35.275.00 70,550.00 $70,550.00 393.650 00 3.631.56640 1,777,456.60 17,544 00 426.00 9,664.00 9,138.00 $9.138.00 374,414.40 587.401 25 2.455.600 00 -5176.71 4.276.71 -10,553.42 -$10,553.42 -2,757 00 Estimated &haled Annual Income Yield 542.103 42 628% 539,280.00 1.41% 12,092.12 2.30% $0.00 1,200.00 3.40% 1,200.00 3.40% 2,400.00 $2,400 OD 11,400.00 2 89% Page 8 of 28 Account ern CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L-- Rated Gallen, Clewing through PenhieglIC. a US/ OWIIS bery Yea Since 2007 SASS." of The leek a New Yak Mellon DALW£ATEDCCSMICATIONS Corporation (eta Mellon) a...... ,, s , L(CIUINC( _00046704 tinsai ttc.menta, nnan.on4.11dodom DB-SDNY-0009528 EFTA_00157313 EFTA01289676 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Oete Acquit(' EQUITIES (continued) Common Stocks (continued) GILEAD SCIENCESINt (continued) 03107114 3,100.000 10/24117 4,400.000 Total Covered 12,500.000 Total 12.500 000 NINTENDO LTD ADR Dividend Oplion: Cash 02105118 VOLKSWAGEN A GADR (SPONS Dividend Opl ion: Cash 04113115 09121117 Total Covered Total 29.000.000 Total Common Stocks Preferred Stocks (Usted by expiration date) GMAC CAP TR I STD TR PFD SECS SER2 CM￾8.25% FRED ORTLY "MTV-02/1512040 CALL ARMY E025 W/30 DAYS BE0414$02/6/S Divides Option: Cash 02122112 '3 80,000.000 23.5350 Total Preferred Stocks Options PUT DO GENERAL ELECTRIC CO COM EXP 03.1.1@1000 OPTION ROOT= GE •200 00 of these contracts are a shorl position 01/19/18' 400,000 1.8220 February 1,2018 - February 28,2018 SOUTHERN FINANCIAL LLC Quantity UM Cost Cod EMS Market Price 79.8120 80.0900 10.000.000 51.7910 5,000.000 24.000.000 29.000.000 50.8610 34.1880 254,306.00 820,503.00 1,074,809.00 $1,074,80990 550,298,807 32 246,797.00 78.7300 352,395.71 78.7300 995599.71 5995599 71 Security Identifier: NTDOY CUSP 854445303 517,908.00 57.0500 Security Identifier: VLKAY CUSP:928662303 39.7600 39.7600 Security Identifier ALLY PRA CUSP. 36160208 1,882.773 60 25.8000 $1,882,773.60 Option Idenlifier 990AK5C93 Underlying Secinity Identifier. GE Unduly* Security Price: SIM -36,434.36 3.6700 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) A MILS12)Ila ccount Minix Market Vidue Uneeallzed Calms Estimated Estimated Annual Income Yield 244.063.00 .2,734.00 7,068.00 2.89% 346,412.00 1,983.71 10,032.00 2.89% 984,125.00 -11,474.71 28,500.00 $984,125.00 411,474.71 528.500 00 570,500.00 52,594.00 4.689.56 0 82% 198,800.00 45,506.00 1,706 59 085% 954.240.00 133.737.00 8.191 66 085% 1,153,040.00 78 231.00 9.898 25 $1.153,040.00 $78,231.00 89.898 25 559,739,699.65 $9,440,892.33 $1,166 963 35 2.064.000.00 181,228.40 146.39548 7 09% $2,064,000.00 $181,226.40 $146,396.48 47,400.00 -40,965.65 CONFID L Rated ticellent bay Year Since 2007 DALIARMITO COMMUtisCATIONS csauttics Page 9 of 28 Clewing through Penlivg I1C nakoly owned stoney of me Melt d New Vat Mellon CarporatIon My Mellon) P onion. meet. FINRAVO VELGM-00046705 DB-SDNY-0009529 EFrA_00157314 EFTA01289677 Portfolio Holdings (continued) U.S. DOLLARS (continued) Oete Acquined Quality UnN Cod Cod Buis Merkel Price Market Valim Untested Gels/Loss Estketited Estimated MameIncome Yield EQUITIES (continued) Options (continued) CALL 100 BROADCOM LTD SIG Option 'dent ifier. 990ALOOGF ISMISG9999011823 EXP03-11-14)240.000 Underlying Security 'dentine: AVG° OPTION ROOT: MOO Underlying Security Price: 3246.46 -40.00 of these contracts are a short position 02/13/18 • 40.000 11.8680 -47472.90 12.7000 40.80040 4.327.10 PUT 90 8ROADCOM LID MIS Option Identifier: 990AL0004 ISHII SC4999011823 EXP 0344-13Q230.000 Underlying Security Identifier: MOO OPTION ROOT: AVGO Underlying Security Nice:5246.46 •4000 of these contracts are a short position 02/13/18 -40.000 5.2100 -20.838.51 2.8000 41,200.00 9,638.51 CALL TO GILEAD SCIENCES INC Option Identifier SSC/ALOOF& DIP 03-13-S082500 OPTION ROOT= GILD Underlying Security Identifier. GILD -125.00 of Ws. contracts are a short position Underlying Security Price:578.73 02/16118 4 25.000 1.3310 4 6.634.60 0.4900 -6.125.00 10,509.60 PUT 130 GILEAD SCIENCESINC Option Identifier: 990ALO OGIV FXP03-t-E077.500 OPTION ROOT: GILD Underlying Security Identifier GILD 425.00 of thesecontractsarea short position Underlying Security Price:578.73 02/16/18' 425.000 0.9390 -11,736.72 1.2800 -16,000.00 4,263.28 CALL DO 'SHARES TR IA XI EM ENING LINTS Option Identifier: 90QMARLI INDEX FD EXP 06-S-1455400 Underlying Security Identifier: EBI OPTION ROOT: EDI Underlying Security Price: 548.02 01/17118 2.400.000 0.4400 105.608.00 0.2400 57.600.00 -48,006.00 Total Options 427,511.08 4103,925.00 476,413.92 $0.00 TOTAL EQUITIES $52,154,069.84 $61,699,774.65 59,545,704.81 $1,313,359.83 Unrealized Ellmated Estimated Dete Assented Nudity VAN Cost Cod Bath Markel Prim Modal Veto Gain Loss Maul MOAN Yield M UTUAL FUNDS ,PYORGAN FLOATING RATE INCOME FUND CLASS I Open End Fund Dividend Option: Reinvest; Capital Gain Option: Reinvest Security Identifier StISX CUSP 4872757 09/28117 314809.777 9.4100 3.000.000.00 9.4100 2.999.999.99 4.01 114,60235 3.82% Reinvestments to Date 5,397.624 9.4060 50.769.62 9.4100 50,791.65 22.03 1,940.28 382% CONFIDENTIAL — PURSUANT TO FED. R CRIAA. P. 6(e) Account riumbe CONFIDO. Rated tactile'? trey Yew Since 2007 PALIAR RATIO COMMUNICATIONS LXCILUNCI Page 10 of 28 Cleanng through fleabag 11C•aaprented sobsidiary of The Bank el New *At Meta CaoporatIon OPNY MOW Per Finx 11.C. nweltatt FINRA.EIANYELGM-00046706 DB-SDNY-0009530 EFrA_00 I 57315 EFTA01289678 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) ,ebruary 1,201B - February 28,2018 3OUTHERN FINANCIAL LLC Ode Acquieed Nudity OA Cod MUTUAL FUNDS (continued) ..PM ORGAN FLOATING RATE INCOME FUND (continued) Cod Nis Markel Prim Market Vitae Unteeltatd Gannon Estimated Estimated Annual Income Yield Total Covered 324,207 401 Total 324,207 401 3 050 769 62 $3,050,769.62 3,050,791 64 $3,050.791.64 22 02 $22.02 116.54213 $116.542.83 TOTAL M UTUAL FUNDS Date Acqdted Quantity MI Cod $3,050,769.62 Cod Buhl Market Pace $3,050,791.64 Market Value $22.02 Unseated eakeMose $116,542.83 NSW Ellmaled Wed Isom Meld EXCHANGE-TRADED PRODUCTS 1SHARES INC MSC] SOUTH KOREA ETF Dividend Oplion: Cash; Capital Gains Option: Cash Scarily Identifier EWY CUSIP 464286772 11703117 13,000.000 75.8460 985.996.98 72.0900 937,170.00 48,826.98 28,291.14 3.01% 'SHARES TR CHINA LARGECAPETF Security Identifier FXI Dividend Oplion: Cash; Capital Gains Option: Cash CUSP.46428714 11103117 21,000.000 46.3690 973,747.44 47.2200 991,620.00 17,872.58 22,422.26 226% 1SHARES INC M SCI TAIWAN ETF Security Identifier: EWT Dividend Oplion: Cash: Capital Gains Option: Cash CUSP 464346712 11703117 26,000.000 37.9690 967,205.46 36.6500 952,900.00 -34,305.46 26,491.55 2.78% TOTAL EXCHANGE-TRADED PRODUCTS $2,946,949.88 $2,881,690.00 465,259 88 $77,204.95 Umeallzed Mend Shred Cad Saris Mittel Value NW tow Intend Annual home TOTAL U.S. DOLLARS $85,804,606.24 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) $97,482,986.60 59,592,216.61 $420,153.80 53,226,410.85 ir Account Umbel " Rated Intik.? CON FID '' , ' AL* DALBAR RATED COMMUNICATIONS 1 ..... DMLING( S. $ LA ih:S. Even/ Year Since 2O07 Page 11 of 28 Clearing %Mr NOM% nilaprewel SASS." of The Bank al New Yalt Mellon CarporatIon Melba) Perihnx LICerionbn FtuRAVVVELGM-00046707 DS-SDNY-0009531 EFTA_001 57316 EFTA01289679 Portfolio Holdings (continued) CHINA RENM INBI Estimated Desorption 0uuANy Market Price Market Value Currency Yield EQUITIES Common Stocks CHINA 03MM UNICATIONS CONSTRUCTION COMPANY 224.000.000 7.0894 1,588,046.66 CNY LTD SHS H 'SINS CNE900002F5 250,760.38 USD Security Id edifier. 1800:HK CUSIP:Y1R36.108 Total Common Stocks 1,586,046.66 CNY 250,760.38 USD 1,588,046.66 CNY 250,760.38 USD TOTAL EQU ITIES Accrued Market Value Currency Interest TOTAL CHINA RENM INBI 1,588.046 66 CNY 000 250.760 38 USD 0 00 BRITISH POUND Estimated Desolation Quantity Market Pt i2 Market Value Currency Yield EQUITIES Common Stooks HS8C HOLDINGS PLC ORD SHS 24,800.000 7.2356 179.444.62 esP IONS G800054052$6 241,202.78 USD Security Id Wilier: HSBA:GB CUSIFtG4834U19 Total Common Stocks 179,444.62 GBP 247,202.78 USD TOTAL EQUITIES TOTAL BRITISH POUND CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 179,444.62 GBP 247,202.78 USD Maket Value Currency 179,444.62 GBP 247,202.78 USD Accrued IMenS Account ?turbo CONFID 0.00 0.00 Page 12 of 28 Rated Escoilent (my Year Since 2007 DA AR MUD COMMUNICATIONS UMIAK( Clewing throve. Peaking 11C•aapronwil istaldiary of TM Bonk NNW Yak Meta CancratIon (MY Mao) Peri Finx 11.C. mento Ho ) DB-SONY-0009532 EFTA_00157317 EFTA01289680 Deutsche Bank P.O. Box 1776, Baltimore, MD 212O3 Portfolio Holdings (continued) HONG KONG DOLLAR February 1,201 - February 28,2018 SOUTHERN FINANCIAL LLC Description CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance TOTAL CASH, M ON EY FUNDS. AND BANK DEPOSITS Desorption EQUITIES Quantity Opening Oosing Accrued 30 •Day Balance BRIME4 Currency Income Yield 42,782.40 42,782.40 HKD 5.467.29 USD 12,782 40 12.782 40 HKD 5,467.29 USD Caensity Market Prim Andel Value CIMMICy 0.00 0.00 Estimated &hauled Annual Income Yield Common Stocks LONKING HOLDINGS LTD SHS 710,000.000 3.2700 2.321.700.00 HKD 44.019 63 1.89% KYG5636C1/78 296,696.93 USD 5,625 44 Security Id enl Wier: 333911K CUSIP. G5636CV7 NINE DRAGONS PAPER HOLDINGS LTD 5145 144,000 000 14.1200 2,033,280.00 HO ISINIBLIGS53131305 259.838.93 USD Security Idenliliet: 2689HK CUSIP. G55313D0 ZTECORP SHSH ISINS CNE1)00004Y2 70,600.000 27.6000 1,948,560.00 HKD Security HK 249.012.27 USD CUSIP. Y0004 P05 ANHUI CONCH Ceil 941 CO LTD SHSH 52,500.000 11.9500 2,202,375.00 HKD 32.439 58 1.17% ISINS CNE130000182 281,448.09 USO 4.145 58 Security Id enl Wier 9$1:HK CUSIP. Y01373132 BANK OF CHINA LTD BEIJNG SHS H 512,000.000 4.2700 2,186,240.00 1110 1911* O1E90000125 279.386.11 USD Security Id eal Wier 3988:HK CUSIP. Y0698A137 DONGFANG ELECTRIC CORPORATION LTD 150.200.000 6.5300 980.806,00 HKD SHSH ISINSCNED0000301 125.340.10 USD Security Idenliliet: 1372.HK CUSIP Y20958137 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number: ItC0121 CONFIDE Page '3 of 28 L Rated balks. bay Yea. Since1007 DAUMRATEDCOMMUNICATORS LSCRAINCE ChM% lamer Psalms LC • Maly owned satosIdlia of The Mak el New Tort Mellon CarperatlanONY maw nennifteti.c.nenew nmtA.B(4111,,,GM_00046709 DB-SDNY-0009533 EFTA_OO157318 EFTA01289681 Portfolio Holdings (continued) HONG KONG DOLLAR (continued) Estimated Noraled heartboo AareAy Maker Peke Market Value Currency Annual Income Yield EQUITIES (continued) Common Stocks (continued) WBCHAI POWERCO LTD SHSH 228,000.000 8.8200 2,010,960.00 HKD 'SINS CRE1300004L9 256,986.55 USD Security Identifier 2338:11K CUSIP. Y9531AD9 ZHUZHOU CRCTIRESELECTRICCO LTD SHS 43.400 000 42.4000 1,840,180.00 HKD -H. ISMS CH0300000(4 235,159.56 USD Security Identifier:389811K CUSP. Y9892NO4 Total Common Stocks 15,524,081.00 HKD 76,459.21 1,983,860.54 USD 9,771.02 TOTAL EQUITIES 15,524,081.00 HKD 76,459.21 1,983,868.54 USD 9,771 02 Maned allmated Market Value Currency Interne MaudIncome TOTAL HONGKONG DOLLAR JA PAN ESE Y EN 0ficiption Quantity CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 15,566,863.40 HKD 0.00 76.459.21 1,989,335.83 USD 0.00 9,771.02 09•9919 Chaim Awued 30-Day Balance Balance Currency Income Yield -267.00 -267.00 JPY -2.50 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS .267.00 -267.00 JPY 0.00 •2.50 USD 0.00 DaecrIplion EQUITIES Common Stocks NASTESr,..0 cORP TOKYO SHS LTD ISINI.P365129001 Security Ideetifier.6268:P CUSP. )17070110 Total Common Stocks Estimated Estimated OvinOly Martel Mot Bakal Value Clancy Annual Income Yield 6,300.004 4,645.0000 29,263,500.00 JPY 428 356 08 146% 274257.52 USD 4,014 96 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Humbe CONFID 29,263,500.00 JPY 428,356.08 274,257.62 USD 4,014 96 Page '4 of 28 Rats Etatlitnt Clanngthrotir Penblag I1C *Say easel Every Year Since 2007 steals! of The Hoak al New Yeelt Meta DASAR RATED COMMUNICATIONS Caporals (UNY Melon) VICtll MCC PerIhnx LUC erw-tatt FINRAAWIELGM—00046710 DB-SDNY-0009534 EFTA_00157319 EFTA01289682 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) JAPAN ESE YEN (continued) Description EQUITIES (continued) TOTAL EQUITIES February 1,2018 - February 28,2018 SOUTHERN FINANCIAL LLC Estimated Estimated Paring Market Rem Markel Value Cuomo/ Maud Income Yield 29,263,500.00 JPY 428,356.08 274,257.52 USD 4,014.96 Awned Estimated Market Value Cuffing Mired Annul Income TOTALJAPANESEYEN 29,253,233.00 JPY 0.00 428,356 08 RAND DiscrIplIon EQUITIES Common Stocks NASPRISLIIIITED LTD 2,000.000 3,271.0000 6,542,000.00 ZAR 11,599.95 0.17% ISINIZAE00005889 554,395.25 US0 983.03 Security Ideetifier.NAPRF CUSIBS5343593 Total Common Stocks 274,255.02 USD 0.00 4,014 96 Estimated Estimated (hardy Market Pike Market Value Cullom Annual Income Yield TOTAL EQUITIES TOTAL RAND 6,542,000.00 ?AR 554,395.25 USD 6,542,000.00 ZAR 554,395.25 USD Market Value Cuffing 11,599.95 983.03 11,599.95 983.03 Awned Estimated Intend Annul Income 6,542,000.00 ZAR 0.00 11,599.95 554,395.25 USD 0.00 983.03 Untedzed Atoned &haled Cost Bats Markel Value Oiled= Interest Annual Income TOTAL PORTFOLIO HOLDINGS - U.S. 185,804,606.24 1100,798,935.86 $9,592,216.61 1420.153.80 13,241,179.86 DOLLARS Noncovered under the cost basis rules as defined below. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Num CONFID Rated Earelitnt Every Year Since 2007 DAtIlAR RATIO COMMUNICATIONS LXCILLINCC Page 15 of 28 Clewng th•ough Pershitnti.Caaa/OWINId subathaty of The Bankol tee* 'fed Mellon Corporation0NY ~Ion) Rent erte LIC. ~nat. FINRA~M_ 00046711 DB-SDNY-0009535 EFTA 00157320 EFTA01289683 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 20 0 8. 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-S 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. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided fo us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. 5 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. 6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may changeover time and are obtained from sources we believe to be reliable. t1Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided fo us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency Quincy Cash Flied loon Equities Mutual Funds Dicsangaie444 Funds Total by Cortency U.S. DOLLARS 4.911.905 24.931825 61.699.774 3.050.791 2.881.690 97.482.986 USD CHINA RDIM IN8I 0 0 1,588.046 0 0 1.588 046 CNY BRITISH POUND 0 0 179.444 0 0 t79.444 GBP HONG KONG DOLLAR 42,782 0 15,524.081 0 0 15.566.863 HIM JAPANESE YEN -267 0 29,263.500 0 0 29.263 233 JPY RAND 0 0 6.542.000 0 0 6.542.000 DR Total USD Equivalent 4.917.369 24.938,825 65.010,259 3,050,791 2.881,690 100.798.935 USD % of Allocation 5% 25% 64% 3% 3% 100% 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 "NI A" and are omitted from the Total. THE AS OF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income ( EA I) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or Page *6 of 28 ICC ;M C I Account limboa CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ON FID Rated Galls. Cleating OOP* P allos LLC. • Mb" anal trey VW Since 2007 SASS." of The Bask el Mew Y.:4 Mellon MBAR RATED COMMUNICATIONS Carpontlan (MY Wilco) ,..... EXCIILUNC C Nesting U.C.menter Fttatk*MKPI. GM_00046712 DB-SDNY-0009536 EFTA_00157321 EFTA01289684 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) February 12018 - February 28,2018 SOUTHERN ANA NCIAL LLC Estimated Annual Figures (continued) 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 w hich 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. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions. regardless of the cause. or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities, and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Page "7 of 28 Account Numbe CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated ticellent trey Year Since 2007 OMAR MITO COMMUNICATIONS EXCLIAINCI Clewing through Penis's LLC. • Say owned sobsidiary of The Bank a Mew Vat Mellon CarporatIon (MY Mao) Perchnx 11.C.rnet-to A.%41‘. 00 - 00046713 DB-SDNY-0009537 EFTA 00157322 EFTA01289685 Schedule of Realized Gains and Losses Current Period Date Dale Realized Desaiption Disposed Moulted Designation Ohposition Method) Ttainection (hardily Planted& Cot Bats Gait:non Short Term BRIGHT SCHOLAR ED HI 02/28/18° 02128118 Covered First In First Out / SELL 3.900 000 71,198.55 74.100.00 -2.901.45 ONSADR ISINt U81991791391 Security Identifier 13913919 DFB HEALTHCAREACQUI 02/16/18 02116118 Covered First In First Out / SELL 4,800.000 47148.89 48.000.00 -151.11 RP UNIT 1COM & 73WISEXP 20 23 Security Identifier. 2329408 DOMINION ENERGY II IDS 02116118 02116118 Noncoveret First In First Out! SELL 6.600 000 171.426.48 168.630.00 2396.48 RS LP COM UNIT REPSTG LTD PART NERSHIP INT Security Identified 257454'08 IIIRAGEN THERAPEUTICS 02/09/18 02/09110 Covered First In First Out! SELL 3.000 000 15123.63 16,500.00 -876.37 Security Identifier 60463E03 NMI HLOGSINCCL A 02/28/18° 02128118 Covered Aril In First Out! SELL 1.400 000 23303 33 27,650 00 -4.346.67 Security Id entifier. 629209305 VIC' PPTYS INC COM 02/01/18 02101118 Covered First In First Out! SELL 1.000 000 83.232 07 80.00010 3.232 07 Security Identifier. 925652139 PVT WEIR SSP 500 ET 02/22/18 02113118 Covered Frst In First Out! BUY -100 000 15.88412 6.488.00 9.396.62 24100 Security Identifier 990AILYM 3 PUT GILEAD SCIENCES 02120/18 01109/18 Covered first In First Out! EXMRE OPT SHT •I25.000 19.554.54 0.00 19.554.54 75.00 Security Identifier 990ALSCIS CALL GILEAD SOENCES 02/20/18 01109118 Covered Hilt In First Out / EXPIRE OPT SHT -125.000 15.340.63 0.00 15.340.63 82.50 Security Identifier 990ALHGAC CALL SELECT SECTORS 02/02/18 01109118 Covered First In First Out / SELL 525 000 121.880 39 101,269 00 20.61139 80.00 Security Identifiet 990ALK9P5 CALL SP DR St P500 ET 02/22/18 02/13/18 Covered First In First Out! SELL 100.000 24,103.43 18193.00 5.610.43 274.00 Security Identifier. 990AMA627 CALL %DR SS P 500 ET 02/22/18 02/13/18 Covered First In First Out? Sal 100 000 35,008.18 26.85310 8.155.18 27610 Security Identifier. 990AM DB9J Page '8 of 23 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Numb CONFIDO. &COMM OS L-- Rated Galls. Eery Year Since1007 DALIARIATEDCOMMUNICATIONS LXCGAINCE Clewing liner ;kli% I1C nokily owned sat ddlary of TM kalcolNavo Vat Mellon Calaginelon OM IMMO hMia U.C.meTte FilRA.4WILEPM_00046714 DB-SDNY-0009538 EFTA 00157323 EFTA01289686 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) February 1,2018 - February 28,2018 SOUTHERN FINANCIAL LLC Date Dale Realized Description Demoted Acooked Designation Disposition Method / Transaction &ems Proceeds Cat Bails Galtsiloss Short Term (continued) PUT SPDRUP 500 ET 02/22/18 02113118 Covered first In First Out I BUY -100 000 25163.39 14.462.00 11.401.39 240,00 Security Identifier. 990AMCCAO CALL 'SHARES INC M SC 02120/18 01123118 Covered first In First Out I EXPIRE OPTION 2.000 0.00 132.00 -132.00 79.00 Security Identifier. 990AM EK0 Total Short Term 670,268,13 582,577.00 87,691.13 Long Term WASHINGTON M UT MTG S 02123118 12113/13 Noncovered'' REPYMT OF PAIN 1,290.000 000 1.942,94 1,486.71 456.23 004-RA2 MTGPASSTHRUCTFCLC- Original Cost Basis:1486.71 8-1VAR RATE 6.998% 07125/33 Security Identifier. 939336520 Total Long Term 1,942.94 1,486.71 456.23 Total Short and Long Term 672,211.07 584.063 71 88.147 36 • Noncovered under the cost basis rules as defined below. 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 'coverer . 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 markthe account as noncovered. However, if the account does not receive a 13998, the cost basis will not be reported to the IRS. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1399-B or online displays you may have available to you When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities. and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting Page '9 of 28 Account Number: ICCOMM.011 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated [smitten beer Year Since 2007 OMAR Mit° COMMUNICATIONS EXCULINCI Clewing through Pershn LC a Say owned Sniffle., of TM Bank a Mew Yore Mellon CarporatIon ('NY Mellon) Peri. 11.C.rnertn Ithtto..%WriliGM-00046715 DB-SDNY-0009539 EFTA 00157324 EFTA01289687 Schedule of Realized Gains and Losses Current Period (continued) Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security. and certain attributes. obtained from sources believed to be reliable. In the event. one or more of these attributes is changed. there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds. bonds sold short or bonds issued with lessthan one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided fo us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. u These shares are unsettled and have been recently disposed. You will also see these shares on the Portfolio Holdings section until this transaction has been settled. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099.8. M essages Although a money market mutual fund seeks to preserve the value of your investment at $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. Rease see the money market mutual fund's prospect us 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. Activity Summary (4/1 amounts shown are in base currency) Securities °edits ThisPerioti Debits ThisPetiod Net ThisPerioci °edits Yea4o-Date DebilsYear-to-Dote Net Year-to-Dale Securities Bought 0 00 -2.819.419.86 -2.849.419.86 0 00 4.770.600.64 -3.770.600 61 Securities Sold 1,939,916.66 0.00 1,939,916.66 7.343.491.66 0.00 7.343 194.66 Total Securities $1,939,916.66 42,849,449.86 4909,533 20 $7,343.494.66 $3.770,600.61 $3,572,894.02 Dividends and Interest $371,978.70 $000 $371,978.70 $493.887.03 $0.00 $493.887.03 Distributions $174.185.14 $0.00 $174,185.14 $201 314 47 $0.00 $201 314 47 Fees $0.00 52100 424 00 $0.00 448.00 448 00 Cash Withdrawals 0.00 0.00 0.00 0.00 -102.492.70 -402.492.70 Deposits 228,000.00 0.00 228,000.00 228,000 00 0.00 228,000.00 Total Cash $228,000.00 $0 00 $228,000.00 $228,000.00 $402,492.70 $174,492.70 Totals $2,714,080.50 $2,849,473.86 4135,393 36 $8,266,696.16 $4.173,141.34 $4,093,554.82 Page 20 of 28 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) stcs„, ciQ CONFID L Rated Conalltal Clams tivough hushing LLC. a wilayosnacl Every Year Since 2007 subsidiary al The Bank Ware 'fat Mellon UMIAK DAUM ATED CC.IMUNICATIONS Cancration(BNY Mellon) DB-SDNY-0009540 EFTA_00 157325 EFTA01289688 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Transactions by Type of Activity February 1,2018 - February 28,2018 SOUTHERN FINANCIAL LLC Roan, Trade; Settlement Transaction Date Dale Activity Type Description Cluantiy Price Acaued Interest Amount Cannot Securities Bought and Sold 02101/18 01131/18 SOLO CALL AO VCR SSP 500 ETF TR TR UNIT DP 800.000 14.5011 1.302.362 85 USD 990AILYIG 034.13(1270.000 OPTION ROOT: SPY CLOSING TRANSACTION UNSOL EXCHANGE LISTED OPTION 02105/18 02101118 SOLD VICI PPTYS INC COM UNSOLICITED ORDER ALLOCATED ORDER x.000.000 20.8500 83,232 07 USD VICI YOUR BROKER ACTED AS AGENT 02105/18 02101/18 PURCHASED VICI PPTYS INC COM PROPSECTUS UNDER SEPARATE COVER 4000 000 20.0000 -80,00000 USD VIG 02105/18 02102/18 SOLO CALL AO SELECT SECTOR SPQR TR INDL EXP 064- 14180.000 -525.000 2.3517 121.880.39 USD 990ALK9P5 OPTION ROOT: XLI CLOSING TRANSACTION UNSOL EXCHANGE LISTED OPTION 02/07/18 02105/18 PURCHASED BERKSHIRE HATHAWAY INC DB CL A UNSOLICITED ORDER 3.000 310,390.0000 ,931,276.00 USD BRK A 39,390 00000000 02107/18 02105/18 PURCHASED NINTENDO LTD ADR UNSOLICITED ORDER ALLOCATED ORDER 10,000 000 51.7500 417,906 00 USD NTDOY YOUR BROKER ACTED AS AGENT 02113/18 02/09/18 SOLO M IRAGEN THERAPEUTICS INC COM UNSOLICITED ORDER -3.000.000 5.2500 15.623 63 USD MGEN ALLOCATED ORDER YOUR BROKER ACTED AS AGENT 02/13/18 02109/18 PURCHASED IRAGEN THERAPEUTICS INC COM PROSPECTUS UNDER 3,000.000 5.5000 4 6,500.00 USD MGEN SEPARATE COVER 02/14/18 02/13/18 SOLO SHORT PUT 130 SP1)R SSP 500 ETF TR TR UNIT EXP03-1-111a245000 -100.000 1.6191 15.884 62 USD 990AILYM 3 OPTION ROOT: SPY OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 02/14/18 02113/18 SOLD SHORT CALL AO BROADCOM LTD SHSISINS 939999014823 EXP 40.000 11.9000 47.472 90 USD 990ALOOGF 0344(1240 000 OPTION ROOT: AVGO OPENING TRANSACTION UNSOL EXCHANGE LISTED 02/14/18 02113/18 SOLD SHORT PUT DO BROADCOM LTD SHS ISMS SG9999014823 UP 40.000 5.2412 20,838.51 USD 990A10064 034-SO230000 OPTION ROOT: AVGO OPENING TRANSACTION UNSOL EXCHANGE LISTED 02/14/18 02/13/18 PURCHASED CALL DO VCR SSP 500 ETF TR TR UNIT EXP 100.000 1.8187 -18.493.00 USO 990AM A627 03440274.000 OPTION ROOT: SPY OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 02/14/18 02/13/18 PURCHASED CALL DO SPDR SSP 500 ETF TR TR UNIT EXP 100.000 2.6547 46,853.00 USD 990AM DB9J 04.20-$0276.000 OPTION ROOT: SPY OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION Page 2' of 28 Account Number: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO WM) L Rated ticellent Clewing through Penitent LC. R May owned trey Year Since 2007 totaling of TM Bank a Mew Vat Mellon DAMARMITO COMMUNICATIONS CarporatIon (MY Ammo ,„ „„ LXCLLLINCC Perchnx 11.C.nlet-bn IthltA.VOLIZI91"—Ouv46717 DB-SDNY-0009541 EFTA_001573 26 EFTA01289689 Transactions by Type of Activity (continued) Proe' Trade; Settlemenl Trance:lion Date Dote Securities Bought 02/11/18 02113/18 02/20/18 02/16/18 02/20/18 02116/18 02120/18 02120/18 02/20/18 02/21/18 02/21/18 02/21/18 02/21/18 02116118 02/16118 02/16/18 02116/18 02121/18 02/16/18 02/23/18 02/22/18 02123/18 02/22/18 02123/18 02/22/18 02/23/18 02/22/18 Adivity Type and Sold (continued) SOLD SHORT 990AM DCAO SOLD SHORT 9904100PD SOLD SHORT 990ALOOGV1 YOUR OPTION EXPIRED 990ALBC.6 YOUR OPTION EXPIRED 990ALHGAC YOUR OPTION EXPIRED 990AM EEKO PURCHASED BRK A SOLD DFBHU PURCHASED DFBHU SOLD ON PURCHASED ON PURCHASED 990AILYM 3 SOLD 990AM A627 SOLD 990AM DB9J PURCHASED 990AM DCAO Desaiption PUT AO SFORS8P 500 ETF TR TR UNIT EXP 4-20 -130240.000 OPTION ROOT= SPY OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION CALL DO GILEAD SCIENCES INC EXP 03.9.9082500 OPTION ROOT= GILD OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION PUT DO GILEAD SCIENCES INC EXP 03-S43077100 OPTION ROOT= GILD OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION PUT DO GILEAD SCIENCES INC DP 02.9.9075.000 OPTION ROOT= GILD GILD CLOSNG TRANSACTION CALL DO GILEAD SCIENCES INC EXP 02-9.9082.500 OPTION ROOT= GILD GILD CLOSNG TRANSACTION CALL DO !SHARES INC M SO SOUTH KOREA ETF DIP 02-5.9079 000 OPTION ROOT= EWY EWY CLOSING TRANSACTION BERKSHIRE HATHAWAY INC DEL CL A UNSOL AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT DFB HEALTHCARE ACOUISTIONSCORP UNIT 1COM 8 13 W TS EXP 2023 UNSOLICITED ORDER DFB HEALTHCARE ACOUISITIONSCORP UNIT 100M 8 13 W TS EXP 2023 PROSPECTUS UNDER SEPARATE COVER DOMINION ENERGY M IDSTREAM PRTNRS LP COM UNIT REPSTG LTD PARTNERSHIP INT UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT DOMINION ENERGY MIDSTREAM PRTHRS LP COM UNIT REPSTG LTD PARTNERSHIP INT PROSPECTUS UNDER SEPARATE COVER PUT 130 MN SSP 500 ETF TR TR UNIT 61P 03.9.4245.000 OPTION ROOT= SPY CLOSING TRANSACTION UNSOL EXCHANGE LISTED OPTION CALL DO SPDR SIP 500 ETF TR TR UNIT EXP 03-5.10274.000 OPTION ROOT= SPY CLOSING TRANSACTION UNSOL EXCHANGE LISTED OPTION CALL 100 SPDR S&P 500 ETF TR TR UNIT EXP 04-20-10276.000 OPTION ROOT= SPY CLOSING TRANSACTION UNSOL EXCHANGE LISTED OPTION PUT HO SPOR SIP 500 ETF TR TR UNIT EXP 04-20-10240 000 OPTION ROOT= SPY CLOSNG TRANSACTION UNSOL EXCHANGE LISTED OPTION Th Accoui rebmulM acorn CONFIDENTIAL - PURSUANT TO FED. R. CRAM. P. 6(e) CONFIDO. Quality -100.000 Price 2.6170 Acaued Interest Amount Currency 25.86339 USD -125 000 1.3612 16,634 60 USD -125.000 0.9494 11.736 72 USD 125.000 0.00 USD 125.000 0.00 USD -2.000 0.00 USD 3.000 306.993.3333 ,921,086.00 USD -1,800.000 10.0100 47.848 89 USD 4,800 000 10.0000 -48.00000 USD 4.600.000 26.0152 171.426.48 USD 6.600.000 25.5500 -168,630.00 USD 100.000 0.6382 .6,488.00 USD -100.000 2.4410 24,103.43 USD -100.000 3.5315 35.008.18 USD 100.000 1.1156 -14,462.00 USD Page 22 of 28 L4 Rated halls. hay Year Since1007 DALIAR INTIDCOMMUNICATIONS DtallINC( Clewing through Penh's; 11C. • Say ogmai satddlary a The in a New Vat Melba Corp./melon OM Mellon) llC. averrate Facee.%41)1aPM-00046718 DB-SDNY-0009542 EFTA_00 157327 EFTA01289690 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) ,ebruary 1,2018 - February 28,2018 SOUTHERN RNA NCIAL LLC Procure Trade; Settlement Transaction Date Dale Adivity Type Description Quantity Price Aimed Interest Amount Wang Securities Bought and Sold (continued) 02/26/18 YOUR OPTION ASSIGNED PUT DO GENERAL ELECTRICCOCOM DP 03-46405000 25.000 0.00 USD 990AK5CSO OPTION ROOT: GE GESO CLOSING TRANSACTION 02127/18 02123/18 PURCHASED GENERAL ELECTRIC CO CAM ACCT OPT ASSIGNED 2.500 000 18.0000 -45,106.00 USD GE 02127/18 REINVEST CASH INCOME .PMORGAN FLOATING RATE INCOME FUND CLASS I 1015 304 4,543.86 USD PHSX 323920970 SH RS SHRS PURCH AT 5940000 RD 02/23PD 02127/13 0212 7/18 YOUR OPTION ASSIGNED PUT 90 GENERAL ELECTRIC CO COY EXP 034•90E.000 25.000 0.00 USD 990AK5CSO OPTION ROOT: GE GE•93 CLOSING TRANSACTION 02/28/18 02126/18 PURCHASED GENERAL ELECTRIC CO CAN ACCT OPT ASSIGNED 2.500 000 18.0000 -45,106.00 USD GE Total Securities Bought and Sold - U.S. DOLLARS 0.00 -909,533.20 Dividends and Interest 02/02118 CASH DIVIDEND RECEIVED 3000000 SOUTHERN CALIF EDISON CO PREF SERE 6 250 % 93,750 00 USD 842400 FU2 0417162B/E OTC 0117/2 CLB RD 0115 F002/0111 02115/18 CASH DIVIDEND RECEIVED 214000 SH RS APPLE INC COM RD 02/2 PD 02! 151E 134.820 00 USD AAPL 02115/18 BOND INTEREST RECEIVED 80000 SHRSGM AC CAP TR I GTD TR PFD SECS SER 2 CPN- 36,804 40 USD ALLY PM 8.25% FRED ORTLY M ATM 2/ Si 20 40 CALL ANYTIME 025 W/30 DAYSBEGINS02/61S RD 02/14 PD 021151E 02/20118 CASH DIVIDEND RECEIVED 3000000 CITIGROUP INC FXD RT SR NT PERP D EP RECPT 89,250 00 USD 17296725 5950% 0816/88 BS E DTO 08/12/6 CLB RD 02/14 PD 021151E 02126/18 BOND INTEREST RECEIVED 290000 WASHINGTON M UT M TG SECS CORP 2004 4A2 M TG 2.829.73 USD 939336S20 PASSTHRU CTF CI. C-91VAR RATE 6 998% 07/25/33 DIE DTD 06/0104 RD 0131 PD 02/2511 02127/18 CASH DIVIDEND RECEIVED .PM ORGAN FLOATING RATE1NCOME FUND CLASS I 9,543.86 USD PHSX 323920970 SH RS RD 02/23 PD 021271E 02/28/18 MONEY MARKET FUND DEUTSCHEGOVT CASH 4.980.71 USD INCOME RECEIVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 371,978.70 Page 23 of 23 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account tlumbeil ll= CONFID 4 Rated Gallo* Clewing liner Pagan IIC a *lay owned bay vex Since 2007 Salary of The lank oi New Vat Mellon DALIARPATEDCOINAUNICAllONS Commotion OM Alden) ......... Wq , imA, LICallMa PeOintltC.inente F ihitn.il - 00046719 DB-SDNY-0009543 EFTA_00 I 57325 EFTA01289691 Transactions by Type of Activity (continued) Oetle; Trade; settlement TransKtion Crete Date Activity Type Description 0uentay Price Accrued Interest Amount Omenq Distributions 02/26/18 RETURN OF PRINCIPAL RECEIVED 939336520 02/28118 PARTNERSHIP DISTRIBUTION APO 1290000 WASHINGTON al UT M TG SECS CORP 200 4-RAVA TG PASSTHRU CTF Cl C-B-I VAR RATE 6 998% 07/25/33 B/E DTD 06/0104 RD 0731PD 02/25113 263157 SHRS APOLLO GLOBAL IA GM T LLCCL A SHSRO 0 2/21P0 02/28113 501.52 173,683 62 USD USD Total Distributions - U.S. DOLLARS 0.00 171,185.11 Fees 02/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 208 CUSP. G4 634 li• S•9 -2.00 USD HBCYF 02/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 208 CUSP'. (36636C4-7 -2.00 USD LONKF 02/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 208 CUSP. G66313.10. 0 -2.00 USD NDGPF 02/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 208 CUSIR. A7070-8.0 -200 USD NCTKF 02101/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 208 CUSP. 553435.0.3 -2.00 USD NAPRF 02/0 1/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 20 13 CUSIR YO 00 4 F- t -5 -200 USD ZTCOF 02101/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 208 CUSP Y01373.0.2 -2.00 USD AHCHF 02/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 208 CUSP YO 698A-13-7 -2.00 USD BACHF 02101/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 208 CURF'. YR36413-8 -2.00 USD CCCGF 02101/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 208 CUSP. Y20958.134 -2.00 USD DNGFF 02101/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 20s cuar.. Y9 5314/0.9 -200 USD WEICF 02/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 20s CUSP. Y9892N-8.4 -2.00 USD ZHUZF Total Fees - U.S. DOLLARS 0.00 Account Numb eteilitla1411 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L4 Page 24 of 23 Rated tiarlivn Clewing through Pecs bn (IC. • 01Way0W1104 trey Yew Since 2007 sobsidiary of TM Bonk el Mew torn Mellon OMAR RATED COMMUNICATIONS Ono-ream (MY Mao) rn . EXCULINCI Pelting U.C. frt./ , fljVLE19,"—C-"46740 DB-SDNY-0009544 EFTA_00 157329 EFTA01289692 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) ProttSS Trade Settlement Transaction Date We Activity Type Cash Withdrawals and Deposits 02114/18 FEDERAL FUNDS RECBVED DEUTSCHE BANK TRUST 00050 USD999997 02/14/18 FEDERAL FUNDS RECBVED DEUTSCHE BANK TRUST 38341 USD999997 02/16118 FEDERAL FUNDS RECBVED DEUTSCHE BANK TRUST 07709 USD999997 Total Cash Withdrawals and Deposits-U.S. DOLLARS Desaiption ,ebruary 1, 2018 - February 28, 2018 >GUTH ERN FINA NCIALLLC Outlay Price Accrued intern Amnia Cunenq 128,000.00 USD 24,000.00 USD 78,000.00 USD 0.00 228,000.00 Total Value of Transactions The price and quantity displayed may have been rounded. Fixed Income Analysis Bond Quality Bond oualily A 2,274,195.90 9% BAA 8,184,750.00 33% BA/ Lower 14,030,083.75 56% Not Rated 449,815.57 2% Total 24,938,825.22 100% 0 0.00 -135,393.38 USD S of Bond Market Value Market Value Percent or Fixed Income : 59 20 40 60 80 100 Bond Maturity Schedule %ol Bond Bond Murky Meat Vane Maker Vales IMI 1 to 5 years 1,017,500.00 4% 08 to 10 years 4,281,500.00 17% • Over 10 years 19,639,825.22 79% Total 24,938,825.22 100% Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDOP AL￾Page 25 of 28 FortedUcOlem OwingdmerhnloWIC•awkwmod bereetarSime2007 sobsamoMmkekaNm*AMOcon ommenagocimtiawocmrnm ConoWboORWAMMO uctuma Peri. inxilCnitrAttomuskigeSozena_00046721 DB-SONY-000954S EFrA_00157330 EFTA01289693 Trades Not Settled Settlement Trade Activity Dole Dale TYP. Deuription Quantity Price Aimed literal Settlement Amount 03/02/18 02128118 Bay BRIGHT SCHOLAR ED HLDGS LTD SPONSADR 7,900.000 19.0000 0.00 -160,100.00 ISDN USD9991391PROSPECTUSUNDER SEPARATE COVER 03/02/18 02128/18 Sell BRIGHT SCHOLAR ED FROGS LTD SP3NSADR -3,900.000 18.2080 0.00 71,198.55 (SINS USV9199918KCII A PERSHING AFFILIATE M AKES A MKT IN THIS SECURITY & ACTED AS PRINCIPAL UNSOLICITED ORDER AVERAGE UNIT PRICE 03/02/18 02/28/18 Sell ENDOCYTE INC COM BKCM A PERSHING 4,100.000 5 3379 0.00 1,888.88 AFFILIATE MAKESA MKT IN THIS SECURITY & ACTED AS PRINCIPAL UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER 03/02/18 02128118 Buy NMI HLDGS INC CL A 1,400.000 19.7500 0.00 -27,850.00 PROSPECTUS UNDER SEPARATECOVER 03/02/18 02128/18 Sell NMI HLDGS INC CL A -1,400.000 20 6500 0.00 23,303.33 UNSOUCITED ORDER ALLOCATED ORDER YOUR BROKER ACTED AS AGENT Total Amount of Trades Not Settled 481,381.24 Client Service Information Your Investment SpedakitENJ JOSHUA SHOSHAN 280 PARK AVE- 3R0 FL NEW YORK NY 10017 Your Account Information Contad Information Telephone Number: 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 CONFIDENTIAL — PURSUANT TO FED. R CRAM. P. 6(e) Account Numb IIIII.r ^ Rated (.O41ent : F.: ,-,:. , (n ben/ Mat Sat 2O07 DALBAR RATED COMMUNICATIONS CONFID AL EXCILLINCE - Page 26 of 28 Clearing throve. Peaking IIC nobly evened sobsidiary of The Bonk N Neu Wolt Mellon CarporatIon (MY Mao) Per Oinx 11.C.nwetan rimitA.SR4Vecerk00046722 DS-SDNY-0009646 EFrA_00 157331 EFTA01289694 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Your Account Information (continued) February 1,2018 - February 28,2018 SOUTHERN FINANCIAL LLC 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. 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 . 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 bet n nh it 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. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Accoent Ntrnbern= WM) CONFIDO. L Page 27 of 28 Rated hottlent Every Yet Since 2007 DALIAR RATED COMMUNICATIONS EXCELLENCE Clewing through Pen*, IIC ea.* evened Mold's." of The kelt N New Vat Make CooporatIon Per, (My Mellon) 11.C.nler-tan on) DB-SDNY-0009547 EFTA_00157332 EFTA01289695 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • 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 clan 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; CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) AeCounl MIN C MIUM ag CONFID L Page 23 of 23 Rated Galls. Clewing through Pasha,. LLC. a %lag owned bery Year Since 2007 sebsidiary of The Mak col Mew York Mellon DAUM PATEDCOMMUNICATIONS Corporation (ltly &Woo) ,..,.. ,, LXCUltha Firsitintlt.C.reembw F itiltA. tioigilfra.‘40- 00046724 DB-SDNY-0009548 EFTA_00157333 EFTA01289696 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Dtutviv Lint Prink. Marl/, Mon.etmen Marini (overact C400.: Devtiche Oar* Stmeitini POW net c4ke 345 Pvt. Ammo. 3611 Flow MW IS Tall 3 roe Cote January 1,2018 - January 31,2018 Account Number: SOUTHERN FINANCIAL LIS 6 10 0 RED HOOK QUARTER B3 ST THOMASVI 00802 Portfolio at a Glance ThisPuled YeareaDalt Your Investment Specialist. BEGINNINGACCOUNT VALUE $97,272,547.37 $97,272,547.37 JOSHUA SHOSHAN No Cash Deposits ard Withdrawals 402,492.70 402,492.70 Adjusted Previous Account Value 96,870,054.87 96,870,054.67 Dividends. Interest and Other Income 121,908.33 121,908.33 Other Transactions •24.00 44.00 Net Change in Portfolio' 3,121, 252 08 3 121,252.08 ENDINGACCOUNT VALUE $100,113.191.08 $10tt' Accrued Interest 5473 454.75 Estimated Annual Income 53.171.234.20 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Nam meet Type Prior Year-End last Period Ibis Period 5% Cash, Money Funds, and Bank Deposits 623,820.96 823.820.96 5,052,788.03 j= 25% Fixed Income 26,083,419.22 26,083,479.22 25,235,883.11 64% Equities 60,899,388.97 60.899.388.97 83,639,334.70 D 3% M utual Funds 3,020,938.22 3,020,938.22 3,057,397.24 • 3% Exchange-Traded Products 6,444,920.00 8,444,920.00 3,127,830.00 100% Account Total (Pie Chart) $97,272,647.37 $97,272,547.37 $100,113,191.08 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Co'NFIDFITTAL4- Wed ticellent beet Teat Since 2007 DA{ VAR MTV) COMMUNICATIONS exauttic4 Pagel of 2 Cleannlokrough Prawn. IX aulanven441 subslaey of The Bank *film Vat Melee C449444tIon (MY Melloil) Per33.4411.C.m43-to 3113.44.g4 11434GM _ 00346725 DB-SDNY-0009549 EFTA_00I57334 EFTA01289697 Summary of Gains and Losses TbisPerlod Rested Yeat-to-Dele Unrealized Short-Term Gain! Loss 1,047,824.27 1,047,824.27 1,247,694.98 Long-Term Gain/ Loss 718,901.27 718,901.27 9,347,286.80 Net Gain/ Loss 1,768,725.54 1,768,725.54 10,594,981.18 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 139 9 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. Exchange Rate Table Global Cash Quincy USD Equivalent Carroty per USD Caning Closing Bdanca Amount in Base Cunene/ USD BRITISH POUND 1.4218 0.7033 HONG KONGDOLLAR 42,782.40 5,470.03 HONG KONG DOLLAR 0.1278 1.8212 JAPANESE Y84 -267.00 4.46 ,b1PANESE YEN 0.0091 109.1400 Total Global Cash Balance 65,467.58 RANO 0.0842 11.8701 Exchange rates are based on interbank exchange rates as of 0V 31/ 20*. Exchange rates can vary. Money Market Fund Detail Date Anklly Type Description Amount SIMMS Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield: 124% Activity Ending: 0 V 31/ 18 12730/17 Opening Balance 787.283 53 787283.53 01102/18 Deposit MONEY FUND PURCHASE 36.539 80 823,823.33 01/03/18 Withdrawal MONEY FUND REDEMPTION -24.00 823,799.33 01710/18 Withdrawal M ON EY FUND REDEMPTION 401,269,00 722530.33 01711/18 Deposit MONEY FUND PURCHASE 30.247.17 752.777 50 01112/18 Withdrawal MONEY FUND REDEMPTION 49.000 00 703.777 50 01118/18 Deposit MONEY FUND PURCHASE 49.090 86 752.888.36 01/17/18 Deposit MONEY FUND PURCHASE 49,666 67 802,535.03 01/18/18 Withdrawal MONEY FUND REDEMPTION -9 4,561.21 707,973.82 01123/18 Withdrawal M ON EY FUND REDEMPTION .248.147 07 459,826.75 01124/18 Deposit MONEY FUND PURCHASE 228.380 80 688,207.55 CONFIDENTIAL - PURSUANT TO FED. R CIRrIcl. P. 6(e) Account Hurnbe CON FIDOP AL￾Page 2 of 27 Rabid Exottlent Clewing through kohl% LLC. eulogy evened (very Year Since 2007 SASEs" of The Usk ether Yak Mellon DALIAR RATIO COMMUNICATIONS Ono-atlas (IINY Melba) EXCELLENCE Perchnx LIC.nwriptc HuRAAVVELGM-00046726 DI3-SDNY-0009550 EFTA_00157335 EFTA01289698 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Money Market Fund Detail (continued) January 1,2018 - January 31,2018 SOUTHERN FINANCIAL LLC Date Activity Type Sweep Money Market Fund (continued) DEUTSCHEGOVT CASH INSTI. (continued) Descsiptidi Amount Banta 01128/18 Withdraw al MONEY FUND REDEMPTION 485,065.08 203,142.47 01129118 Deposit MONEY FUND PURCHASE 2,936,251.75 3,139,394.22 01130/18 Deposit MONEY FUND PURCHASE 1,789,041.70 4,928,435.92 01131118 Deposit MONEY FUND PURCHASE 1,156.25 4,929,592.17 01131/18 Deposit INCOMERI3NVEST 1,087.53 4,930,679.70 01731118 Closing Balance $4,930,679.70 Total All Money Market Funds 54 A30,679.70 Income and Expense Summary Baal* Oarent Period Non Taxable Trouble Yemeo-Oale Moo Taxable Dividend Income Equities 5,413.06 0.00 5,473.06 0.00 Money Market 1,087.53 0.00 1,087.53 0.00 Other Dividends 10,682.78 0.00 10,682.78 0.00 Interest Income Bond Interest 104,664.96 0.00 104,664.96 0.00 Total Dividends, Interest, Income and Expenses $121,908.33 50.00 5121,908.33 50.00 Distributions Other Distributions 0.00 27,129.33 0.00 27,129.33 Total Distributions $0.00 $27,129.33 $0.00 $27,129.33 Portfolio Holdings U.S. DOLLARS Opening Date CASH, MONEY FUNDS, AND BANK DEPOSITS Cash Balance Account Duality Number AdNity Ending Owning Balance Going Blanco Awned Income Income This Yes 30-Day Dwell Yield Yield 7,000.00 0.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDO. L Page 3 of 27 Rated Excellent Every Yes, Since 20O7 DALIAR RATED COMMUNICATIONS EXCELLENCE Clewing Itinatigh Fenian EEC *whole evened sotaldlary a The leak a New Yak Mellon Caoporatfan (MY Mellon) Pertetne RC. mernan Fteata.flAnliGM-00046727 DB-SDNY-0009551 EFTA_00157336 EFTA01289699 Portfolio Holdings (continued) U.S. DOLLARS (continued) AcccnM Madly Opening Opening Date Ciumtity Number Biding Balance CASH, MONEY FUNDS, AND BANK DEPOSITS (continued) Margin Balance 29,539.80 Money Market DEUTSCHE GOVT CASH INSTL 12730/17 4,930,679.700 N/A 01/31/18 787,28353 Total Money Market $781283.53 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $823,823.33 Adjusted Cute Acqtdred Quantity UnN Col Cost Bets Market Prim FIXED INCOME (In Maturity Date Sequence) eAsset Backed Securities WASHINGTON IA UT M M SECS CORP 2004-RA2 TG PASSTHRU CTF CL GB-19AR RATE 6.999%07125/33 WE DTD 0610104 Factor. 037613200 Effeclive Date:0/02/13 Current Face Value: 485211280 12/13/13'.1° 1,290,000.000 76.5190 Total Asset Backed Securities 1,290,000.000 Total Current Face Value:485,210.280 Corporate Bonds CITIZENSCOM MUNICATIONS CO SR NT FULLY EXCHANGED FROM 17453BAX9 7.125%031t11 WE DID 03/23/071400dy Rating 93 58 P Rating 8 10/03/17 1.000.000.000 100.0790 Security Ideitthe 939336520 371,276.14 93.7350 Original Cost Basis: $638,906.71 $371,276.14 awing Mem 116.618 75 4,930,679.70 $4,930,679.70 $5.047,298.45 Market Value 454,811.86 Security Identifier 174538AW I 1.000.193.03 100.8750 Original Cost Basis: 5100100600 BARCLAYS 8K PLC CONTINGENT CAP NT Sealy Identilia:06739FHKO INNS US06739FHK037.750% 0411123 WE DM 0419/13 CALLABLE 04/1/158 P Rating 88. 04103/13'•°° 300,000.000 100.0000 300,000.00 Original Cost Etas CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 100.6500 $300.000.00 $454,811.86 1.008.750.00 301,950.00 Accrued Income Income Maur 30-Day Nett Yield Yield 0.00 1,087.53 1.23% 124% $0.00 81,087.63 $0.00 $1,087.53 Unrealized *caved Bilmated Billmated Gain. Lott literal Annul Income Yield 83,535.72 2,830.14 $83,535.72 82,830.14 $0.00 7,956.97 26.91667 71,250.00 706% 1,950.00 7.168.75 23.250.00 769% Account Number grcstr CNFIDO O . Rated EiSlent Every Year Since 2007 DALIAR RATIO COMMUNCAT IONS Vtall INC I Page 4 of 27 Clewing through Mire I1C naoly evened stosidiary of The kelt a New Vat Mellon CarporatIon (MY Mellon) Per thnx 11.C. mertatt rrrertAAtlioteGM-00046728 DB-SDNY-0009552 EFTA_00157337 EFTA01289700 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired FIXED INCOME (continued) Corporate Bonds (continued) EXELA INTER LLC1 EXELA FIN INC GTD FIRST PRIORITY SR SECO NT 144A 0100% 0716/23B/EDTD 07/12/17 CLBIloody Riling 6358 P Rating B 10/24/17 January 1, 2018 - January 31 2018 SOUTHERN FINANCIAL LLC Quantity Unit Cost Adjusted Cud Basis Market Rice Market Value 2.000.000.000 97.0250 IISINVTS GM BH GTD SR NT REG S ISINt VS429866853 7250%04/03/24 BIE DTI) 04/03/145 8 P Rating B 10/31117 2,000,000.000 99.0650 Security Identifier 30162RAA9 1.940.506.00 98.7500 Original Cost Basis:51940,506.00 Security !dent A29866A85 1,981,300.00 100.2500 SERVICEM ASTER CO NT 7250%03/0118 WE DTD 01/02/98 BT CPN DTE 09/0198 CPN PUT SEMI ANNUAL ON MAR 01AND SEPO Woody Rating El2 S P Rating B Original Cost Basis: $198t300.00 Security Identifier 81760NAB5 10/18/17 1.000.000.000 103.9750 1,039,753.19 102.5000 Original Cost Elas 51040.006.00 10/19/17 350.000.000 103.9770 363.920.10 102.5000 Original Cost Basis:5354,006.00 10/20/17 80.000.. 83.186.54 102.5000 Original Cost Basis:583206.00 10/31/17 70,000.000 103.9860 72.790.36 102.5000 Original Cost Basis: $72.806.00 Total Covered 1,500,000 000 1,559,650.19 Total 1,500,000.000 81,559.650 19 ,PM ORGAN CHASE& CO DEP SHSREPSTG 10TH PFC SER1FIXED TO RIG RT BD 7.900%04/29/49 EVE DID 04/23/08Moody Rating BAA3 S & P Rating BBB￾06/15/11 •'?° 2.500.000.000 107.5000 Security Identifier. 466251111A1 2,687,500.00 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 101.3750 Unrealized Gain'loss Accrued Estimated Estimated Interest Annual Income Yield 1.975.000.00 34.494.00 8.888 89 200.000.00 10.12% 2.005.000.00 23)00.00 47125.00 145,000.00 7 23% 1,025,000.01 -14,753.18 30,208.33 72,500.00 7.07% 358.749.99 -5.170.11 10.572.92 25.375 00 7.07% 81.999.99 -1.186.55 2.416.67 5.800 00 7.07% 71.750.01 -1.040.35 2,114.58 5,075.00 7.07% 1,537,500.00 -22.150.19 15,312 50 108.750 00 81,537,500.00 422,150.19 $45,312.50 $108,750.00 2,534,375.00 -153,125.00 49,315.00 197,500.00 7.79% Account Numb etc:sum:ix CONFIDO. Page 5 of 27 L Rated banal Oaring through kohl% Inc. • Say °mai bay Yea Since 2007 sataldlary of The in a New Yak Melba DALIARPATEDCOMMUNICAllONS Carporatfon (MY Mellon) a r . ,.., a LXCWINCE PesPint U.C. ...enter FINIZAD. r sr Nmy: oo 0oo04 96 57 52 93 EFTA_00157338 EFTA01289701 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired Quantity Unit Coal FIXED INCOM E (continued) Corporate Bonds (continued) PM ORGAN CHASES CO DEP SHSREPSTG (continued) Adjuged Cod Brio Market Price Market Value 06/15/11 ..3 n 2.500.000.000 107.0000 Total Noncovered 5,000,000 000 Total 5,000,000.000 BANK AM ER CORP PERP NON COM ULATIV E DEP SHS FIXED TO FLOAT 8.25% 04/30158 WE DID 04130/08 CALLABLE05/2/SM oody Rating BA2 58 P Rating BBB• 01/10/11',1i2 2,000,000.000 102.7500 SOUTHERN CAUF EDISON CO PREF SER E 6 250% 0TV/62 WE DID Of 1712 CALLABLE02/011220 20 0002 ood y Raring BAA1Sil P Rat mg BBB￾01130112 .'312 3.000.000.000 99.8820 GENERAL BIC CO GTD FXD-TO-FLTGRT NON-CUMULATIVE PERPETUAL PREFERRED 4.000% 2103/65 FtEG DID 12/03P6Moody Rating A358 P Rating BBB• 12/03115' 2.469.000.000 88.0930 5LLOYDS8ANKING GROUP PLC FXD RATE RESET AUDI TIER 1SECS 'SINS US539439AG42 7.5009E 04/27/88 WE DTD 04107/1138 P Rating 68- Please Piovide • 1,903.000 000 NIA CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5950% 081518881E DTD 09112/2 CALLABLEOBIS/200 D0.0002oodyRatikg6A2SIPRiling BB• 08106115 3,000,000.000 100.0000 Original Cost Basis: 52.887.500.00 2.675.000.00 101.3750 Original Cost Basis:52,675.000.00 5,362,500.00 $5,362,500.00 Security Id eatifier 060505018 2,055,000.00 101.9020 Original Cost Basis: 52955000.00 Secure). Ident Bier: 842400 FU2 2.996.457.46 107.3750 Original Cost Basis: 52,992,58497 Security Identifier: 359604624 2.175.016.17 95.0000 Original Cost Basis:52,175.01.17 Security Identifier 539439A04 Please Provide 112.8750 Original Cost Basis: Please Provide Security Identifier. 17296725 3,000,005.99 104.3750 2.534.375 00 5,068,750.00 55,068,750.00 2,038,040.00 3.221.250.00 2.345.550 00 2,148.011 25 3,131,250.00 Unction:ad Olin floss Accrued Merest Estimated Banal ed Annual Income Yield 4 40.625.00 49.375.00 197.500.00 7.79% ,293,750.00 98,750.00 395,000.00 4293,750.00 $98,750.00 $395,000.00 -16,960.00 34,305.56 162,500.00 7.97% 224,792.54 93,750.00 187.500.00 5.82% 170.533 83 12.619 33 98.760 00 4 21% N/A 13.479 58 142.725 00 664% 131.244.01 82,308.33 178,500.00 5.70% Page 6 of 27 Account Nutt CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L Rated Gallen. Clewing through Pasha U.( avvialy evem4 bay Yea Sine 2007 sttaldiary a me kek a New Yak Mete DALIARPATILDCOMMUNICATIO16 Corporation (MY Mellon) a ....‘, ...., Caltha Porfitint UK. m_00046730 reenor F ilvRA.4tWl UP DB-SDNY-0009554 EFTA_00 157339 EFTA01289702 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Cale Acquired Ousatity Unk Cod Adjusted Cod Bads Mind Price Market Value Unrealized Gainfloss Awued Interest Estimated Eslimaled Annual Income Yield FIXED INCOM E (continued) Corporate Bonds (continued) CITIGROUP INC FXD RT SR NT PERP DEP RECPT (continued) Original Cost Basis: $3.000,006.00 Total Corporate Bonds 24,172,000.000 $22,371,228.84 $24,781,051.25 8281,811.16 $470,624.61 $1,713,235.00 TOTAL FIXED INCOM E $22,742,504.98 $25,235,863.11 $345,346.88 $473,454.75 $1,713,235.00 January 1,2018 - January 31,2018 SOUTHERN FINANCIAL LLC 25,462,090.000 Date Adniked Oveatky Unk Cod Cod Buis Market Rife Merkel Value Unreeized GehdLOIS Ellkaded UMW AIMS Inane Yield EQUITIES Common Stocks BROADCOM LTD SHS (SINS 939999011823 Dividend Opl ion: Cash 09129/17 10/13/17 2,000 Total Covered 4,000 000 Total 4.000 000 ADVANCED MICRO DEVICES INC COM Dividend Option: Cash 50.00000 of these shares are is your margin account Security Identifier AVGO WSW Y0982713 485,814 78 248.0300 499,976 68 248 0300 985.791 46 $985.791.46 Security Identifier AMC CUSP. 00790307 496,060.00 498,060.00 992,120.00 $992.120.00 10.245 22 -3 916 68 6 328.54 $6 328.54 14,000.00 282% 14,000.00 282% 28,000 00 $28.000 00 09/15117 20,000.000 12.2810 245.612 36 13 7400 274.800 00 29.187 64 12/15117 30.000.000 12.2300 366,912 57 13 7400 412 200 00 45,287 43 Total Covered 50,000 000 612,524 93 687.000 00 74.475.07 Total 50,000 000 $612 524 93 $687,000 00 $74.475.07 $0 00 ALIBABA GROUP BLDG LTD SPONSORED AOR Security Identifier: MBA ISINt USOS09W127 COW 0409W42 Dividend Option: Cash 08/10/15 5,000.000 88.9500 444.749.00 204.2900 1.021,450 00 576.701 00 APOLLO GLOBAL II GM T LLCCL A SHS Security Wollner APO Dividend Option: Cash CUSP. 03764306 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Numbt CON FIDO. Page 7 of 27 Rated Caotlient Clewing %Seer eadYC I1C newly evened Every Year Since 2007 sabtlaitry of Me Beek a New Yen Mellen DALIAR RATIO COMMUNICATIONS Cerporatton (OM Mellon) CJICILL MCC Pe„ Rine 11.C. merit./ imaiA,SRIOVELGM-00046731 DB-SONY-0009555 EV1:4_00157340 EFTA01289703 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired EQUITIES {continued) Common Stocks (continued) APOLLO GLOBAL M GMT LIC CL ASK (continued) 03/29/11 '.13 263.157.000 19.0000 APPLE INC COM Dividend Oplion: Cash 12/07/17 BASF SE SPONS ADR U$0552625057 Dividend Oplion: Cash 04/13/15 BIOGEN IDEC INC COM Dividend Oplion: Cash 02114112 ' •3 CENTRE CORP DEL COM Dividend Oplion: Cash 09108114 FACEBOOK INC CL A Dividend Oplion: Cash 05/17/12 t° GILEAD SCIENCES INC Dividend Oplion: Cash 02105114 03/07/14 10/24/17 Total Covered Total 12,500 000 VOU(SNAGEN A GADR (SPONS) Dividend Oplion: Cash 04/13/15 5.000.000 09/21117 24,000.000 Total Covered 29.000 000 Total 29 000 000 Total Common Stocks Quantity Unit Coq Cod Bala Market Price Market Value Unrealized Oainitoss Estimated Estimated Annul Income Yield 214,000.000 169.8140 20,000.000 25,4030 2.095.000 110.2720 15,550.000 17.500.000 5,000.000 3.100.000 4.400.000 12,500.000 63.6450 38.0000 79.2810 79.6120 80.0900 4.999.983.00 35.7500 Security Ideetifier.AAPL CUSIP: 03783300 36,340,223.40 167.4300 Securely Identifier BASFY CUSIP. 055262505 508,056.00 29.3000 Security Ideatifiet BUB CUSP. 09062X03 231.019.65 347.8100 Security Identifier: CNC CUSP. 0135691 989,679.75 107 2400 Security Identifier FB CUSIP. 30303M 132 665.000.00 186.8900 Secatity Identifier. GILD CUSP: 37555803 83.8000 83.8000 83.8000 396.407.00 246.797.00 352.395.71 995,599.71 9.407.862.75 35.830.020.00 586,000 00 728.661.95 1,667.582 00 3.270.575 00 419.000.00 259.780.00 368.720.00 1,047,500.00 4.407.879.75 ,510,203.40 77,944.00 497.642.30 677,902 25 2.605.575.00 22.593.00 12,98300 16.324 29 51.900.29 486.840.45 5.17% 539,280.00 1,50% 12,092.12 2 06% 10,400.00 6.448.00 9.152.00 26,000.00 50.8610 34.1880 $995,599.71 Security Identifier: VLKAY CUSP:928662303 254.306.00 44.4400 820.503.00 44.4400 1,074.809 00 $1,047,500.00 222.200.00 1.066.560.00 1,288,760.00 $1,074,809.00 $47,847,435.90 Account tiumbt CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID $1,288,760.00 $56.527,531.70 AL $51,900.29 42.106 00 246,057.00 213,951 00 $213,951.00 $8,680,095.80 Rated ExtWiem trey Year Sint 2CO7 DALIAR RATED COMMUNICATIONS $26,000.00 1.706.59 8,191.66 9,898 25 $9,898 25 $1.102,110.82 2.48% 2.48% 2.48% 0.76% 076% Page 3 of 2 - Clown& tivough 'Want U.C. %lay ownS subuthary of The lank a New York Mellon Corpontion(SNY Mellon) pc...p.ng LIS% , it,RA.gt".qgpM_00046732 DB-SDNY-0009556 EFTA_00 I 5734 I EFTA01289704 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 212O3 Portfolio Holdings (continued) U.S. DOLLARS (continued) reabze Eiltratei Ethr ate: Date Acquired Quantity Unit Cost Cod Bans Market Price aO .et Value sir ,:ss Anr La! rxre Yielz Kall IT IES {continued) Preferred Stocks (Listed by expiration date) GM AC CAP TR I GTD TRKD SECS SER 2 CPR- Security Identifier: ALLY PRA 815% FRED ORTLY MATT-02115/2040 CALL CUSP. 36180208 ANYTIME 025 WI30 DAYS BEGINSO2i bre Dividend Option: Cash 02122112'° 80.000.000 23.5350 1.882.773.60 26.0200 2,081,600.00 198.826 40 147.216.00 7.07% Total Preferred Stocks $1,882,773.60 $2,081,600.00 $198,626.40 6147,216.00 Options PUT AO GILEAD SCIENCESINC Option Identifier: 99OALEICS EXP 02.1.1075.000 OPTION ROOT= GILD Underlying Security Identifier. GILD -25.00 of thesecontracts area short position Underlying Security Price. $83.80 01109118' -125.000 1.5640 -19.554.54 0.2700 4.375.00 16,179.54 CALL 130 GILEAD SCIENCES INC Option Identifier: 99OALHGAC EXP 02.1.1082.500 OPTION ROOT= GILD Underlying Security Identifier. GILD -2510 of theseO00MM area short position Underlying Security Price. $83.80 01109/18 -125100 1,2270 -15.340.63 3.4000 -42.500 00 -27,159.37 GALL 10 'SHARES INC MSCI SOUTH KOREA ETF Option Ident ifier: 99OAM EEKO EXP 02.1.1079.000 OPTION ROOT= EVi Y Underlying Security Identifier. EWY Underlying Security Pnce: $7824 01123118 2.000 0.6600 132 00 0.9300 186.00 54.00 CALL 130 SPOR SSP 500 ETF TR TR UNIT Option Identifier: 99OAILYLG EXP 03-140270 000 OPTION ROOT= SPY Underlying Security Identifier: SPY Underlying Security Pike $28190 12/11/17 900.000 2.9200 262,806.00 141700 1.293.300 00 1,030,494.00 PUT AO GENERAL ELECTRIC CO COM Option Idenlifier99OAK5CS0 EXP 03.5.101.000 OPTION ROOT= GE Underlying Security Identifier. GE .250.00 of these conl iacts are a shod position Underlying Security Price: $1.17 01119118' •250.000 1.8220 -45.542.93 1.9900 49,750.00 4,207.07 January 1,2018 - January 31,2018 SOUTHERN FINANCIAL LLC Account Nimbi C Stun CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO L Rated CAWS..? boy Year Since 2007 DALIMR *ATM COMMUNICATIONS LXCILIAOKC Page 9 of 2' Clewing theougli Penang LI.C. a %ea/owned subsidiary al The Bank el New York Mellon Caporabon (MY Melba) Peraint llgarkente Fit.RA.M•iggillt IVI—Oum46733 DB-SDNY-OOO9557 EFTA_OO 157342 EFTA01289705 Portfolio Holdings (continued) U.S. DOLLARS (continued) nested Ealknated Edlmaled OM, Acquired CuntHy Una Cost Cod bile Market Price Market V*, GM& Loss Annual Income Yield EQUITIES (continued) Options (continued) CALL 10 'SHARES TR IISCI EM EKING LIKTS Option Identifier: 990ALIIRM INDEX FD EXP06•E•11g55000 Undeilying Security Identifier EEM OPTION ROOT: EDI Undeilying Security Pea $5103 01117118 2.400100 0.4400 105.60610 01200 220,800.00 115.194.00 CALL 130 SELECT SECTOR SPDR TR INDL Option 'dentine 990ALK9P5 EXP 061.1080 000 OPTION ROOT: XLI Underlying Security Identifier: XLI Undeilying Securdy Price: $79.73 01109118 525.000 1.9290 101,269.00 2.7500 144,375.00 43,106.00 Total Options $389,374.90 $1,563,036.00 $1,173,681.10 $0 00 TOTAL EQUITIES $50,119,584.40 660,172,167.70 $10,052,583.30 $1,249,326 82 Umealzad Estimated Ealimaled Date Acquired Quantity UnN Coll Cod Bads Market Price Muhl Value GskYlese Annual Income Yield M UTUAL FUNDS SMORGAN FLOATING RATE INCOME FUND Security ;MSC CLASS I CUSP. 4821.51 Open End Fund Dividend Oplion: Reinvest: Capital Gaits Option: Reinvest 09128117 318,809.777 9.4100 3,000,000.00 9.4600 3,015,940.49 15.940 49 114 108 39 3 78% Reinvestments to Date 4,382.320 9.4070 41,225.76 9.4600 41,456.75 230 99 1,568 52 3 78% Total Covered 323.192 097 3.041225.76 3,057,397.24 16 171 48 115.676 91 Total 323.192 097 53.041.225 76 $3.057.397.24 $16 171 48 $115 676 91 TOTAL MUTUAL FUNDS 63,041,225.76 53.057,397 24 116 171 48 6115 676.91 Unrealized Estimated Eslimaled Dote Acquired Quality UnN Col Cost Bads MekN Price Market Value Gain Loss Annual mime Yield EXCHANGE-TRADED PRODUCTS ISHARESINC M SO SOUTH KOREA ETF Dividend Oplion: Cash: Capital Gains Option: Cash 11103117 13.000.000 75.8460 ISHARESTRCHINA LARGE-CAP0T Dividend Oplion: Cash; Capital Gains Option: Cash 11103117 21,000.000 46.3690 ISHARESINC MSCI TAIWAN ETF Dividend Oplion: Cash; Capital Gains Option: Cash *cur* kleatitim: EWY CUSIP 464286772 985,996.98 78.2400 Securdy Identifier: FXI CUSIP 46428714 973,747.44 52.6700 Security Ideelifien:EWT CUSIP: 464346772 1.01712040 1 106 070.00 31.123 02 132 322 56 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Nun CONFID 28,291.14 2.78% 22,422.26 2.02% Page '0 of 27 Rated barllent Cleanng through PaflS 11Caulholy evened Emmy Year Since 2007 stidiary of The Mak a New Vat Mellon DAIIAR RATED COMMUNICATIONS CarpontIonaltlY Mellon) LXCILL INCE Per thnx 11.C, met-to tirrenAMVELGM-00046734 DS-SONY-0009558 EFEk_00157343 EFTA01289706 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquied Quantity Unit Cod 0)11 Bads Markel Mee Market Value in realized CahrLoas Estimated Eslimaled Annual Income Yield EXCHANGE-TRADED PRODUCTS (continued) ISHARESINC M SCI TAIWAN ETF (continued) 11103117 26,000.000 37.9690 9117,205.46 38.6400 1604,640.00 17,434.54 28,491.55 2.83% TOTAL EXCHANGE-TRADED PRODUCTS $2,946,949.88 Cod Bads $3,127,830.00 Mattel Vdue $180,880.12 Unmated Golorlor Acautd Altered $77,204.95 Welled Annual Income TOTAL U.S. DOLLARS BRITISH POUND Onalplion $83,897,56347 Quality $96,640,556.50 Market Rice Market Value Cuirency $10,594,981.78 $473,454.75 $3,156,531.21 Ed dud id Mid EQUITIES Common Stocks HSBC HOLDINGS PLC ORD MS INNS 080005405286 Security Id Miner HSBAGEI CUSIPG4634U159 24,800.000 7.5717 187/7987 286585.86 GBP USD Total Common Stocks 187,779.87 266,985.86 %P USD TOTAL EQUITIES 187,779.87 266.985 86 GBP USD January 1, 2018 - January 31, 2018 SOUTHERN FINANCIAL LLC Mead Value Cdrenoi Accrued Interest TOTAL BRITISH POUND 187,779.87 SOP 0.00 288,985.88 USD 0.00 CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) Account Humber CONFIDO. L Page 11 of 27 Rithed Emilent Clewing *roar Persbng IIC nob* evened Emmy Year Since 2007 utak:limy of The Basket/4w Wolt Mellon DALIAR RATED COMMUNICATIONS Ono-saw (Ilta MOW ("CM INCE Per I Finx RCFree-to imrAcrAMYreceM-00046735 DI3-SDNY-0009559 EFrA_00157344 EFTA01289707 Portfolio Holdings (continued) HONG KONG DOLLAR Description Denny Opening Balance Cloging Accrued Barna Currency Income 30-D ay Yield Estimated Eslimaled Annual Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 0.00 42,782 40 5,470.03 HKD USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS Descriplian Overlay 0.00 Merkel Ka 42,782.40 HKD 0 00 5,470.03 USD 0 00 Market Value Cuirenq EQUITIES Common Stocks LONKING HOLDINGS LTD SIM 710,000.000 3.5000 2,485,000.00 HKD 44.019.75 1.77% ISNtKYG5636Ct78 317,724.29 USD 5,628.26 Security Id unifier: 3339:HK CUSP. 65636C197 NINE DRAGONS PAPER HOLDINGS LTO SHS 144,000 000 12.1800 1,753,920.00 HKD ISINt BM G653131705 224)50.91 USD Security Id 2689:HK CUSP: 6653189)0 ZTE CORP SHSH ISM CHEll 00004Y2 70,600 000 28.5000 2,012,100.00 110 Security Id eel Wier 76).HK 257261.03 USD CUSP. Y0004 F135 ANHUICO/ICHESA ENT CO LTD SISK 52,500 000 43.1000 2,282,750.00 HKD 32 633 88 144% ISNICNE1300001142 289,308.39 USD 417249 Security Idolater:911:Hk CUSP: Y01373102 BANK OF CHINA LTD BEIJNGSHS H 512,000.000 4.7100 2,411,520.00 FWD ISNI MS13000025 308.329.47 USD Security Ideetifier.3988:HK CUSP. Y0698AD7 CHINA COMM U NICATIONS CONSTRUCTION COMPANY 224,000.000 9.3400 2,092,160.00 HKD LTD SHS H (SINS CHEW 0002F5 267,497.22 USD Security Id edifier: SOO:HK CUSP. Y113631)8 DONGFANG ELECTRIC CORPORATION LTD 150,200.000 7.4800 1,120,492.00 HKD SHSH ISIS* CNE130000304 143282.71 MD Security IdWilier t72:HK CUSP. Y209581)7 Page 12 of 27 CONFIDENTIAL — PURSUANT TO FED. R CRIPA. P. 6(e) Account Numb 2:t:!g CONFIDO. .„a L Rated Euratom Erin Year Since 2007 DALIAR RATED COMMUNICATIONS EXCILL INC I desist through PerlinlIC nob* evened Melds" a me talc a New Yak Mellon CaoporatIon (MY Mellon) Per I hnx mento FtivRA.EIAVVOM-00046736 DB-SDNY-0009560 EFIA_00157345 EFTA01289708 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) HONGKONG DOLLAR (continued) Estimated Estimated DemIptlee Demilly Market Prim Market Value Currency Annul Income Yield EQUITIES (continued) Common Stocks (continued) WEICHAI POWERCO LTD SHSH 228.000.000 9.7800 2,229,840.00 HKD ISMS CH930000419 285,100.55 USD Seeurky Id unifier 2338:HK CUS1P. 7053141:19 ZHUZHOU nm ES ELECTRIC CO LTD *IS 43,400.000 43.3000 1,879,220.00 HKD -11- 'SIN. CHEV00004X4 240,271.43 USD Secutity Id unifier: 3898:IIK CUSP. 79892N134 Total Common Stocks 18,247,002.00 HKD 76,653.63 2,333,006.00 USD 9,800.75 TOTAL EQUITIES 18,247,002.00 HKD 76,653.63 2,333,006.00 USD 9,800 75 Accrued Estimated Market Value Currency Interest Maui Income TOTAL HONG KONG DOLLAR JAPANESEYEN Description Opening Nattily Balance 18,289,784.40 HKD 2,338,476.03 USD Closing Balance Currency 0.00 76,653 63 0.00 9,800 75 Accrued 30 -Day Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance -267.00 267.00 JPY 4.45 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 467.00 •267.00 JPY 0.00 4.45 USD 0.00 January 1, 2018 - January 31,2018 SOUTHERN FINANCIAL LLC CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number c!): , Page 13 of 27 Rated [smitten trey Yew Since 2007 OMAR WED COMMUNICATIONS EXCELLENCE Clewing through Penh's* 11C.• voila/ owned se:oldie, of The Usk a New Yfl Mellon Carpont$ an (IINY Mellon) Peri. 'at 11.C. ',enter FINRA.M4412PA-00046737 DB-SDNY-0009561 EFrA_00 157346 EFTA01289709 Portfolio Holdings (continued) JAPAN ESE YEN (continued) Destription Clesnelly Markel Prim Market Value Cimino/ Estimated Maul Income Eslimaled Yield EQUITIES Common Stocks NASTESCO 0311P TOKYO SHS LTD 6,300.000 5.150 0000 32,445,000.00 JPY 428,374.60 1.32% Wilt P36529001 297261.09 USD 382560 Security Idestifier.6268:10 alSRS170701:10 Total Common Stocks 32,445,000.00 JPY 428,374.50 297,261.09 USD 3,925.00 TOTAL EQUITIES 32,445,000.00 JPY 428,374.50 297.261 09 USD 3,925.00 Accrued Bleated Market Value Wrenn/ Intuese Maud Income TOTAL JAPANESEYEN 32,444,733.00 JPY 0.00 428,374.50 297,258.64 USD 0.00 3,925.00 RAND Esileuded Estimated Oescription Quantity Mutate Price Market Value Currency Ansel loons Yield EQUITIES Common Stocks NASPERS LIM ITED 170 2,000.000 3,382.4800 6,764,960.00 ZAR 11,599.94 0.17% ISINt ZAE0000t889 589,914.06 USD 977.24 Security Id Wilier: NAPRE CUSP: 55343593 Total Common Stocks 6,764,960.00 TAR 11,599.94 569,914.06 USD 977.24 TOTAL EQUITIES 6,764,960.00 ZAR 11,599.94 569,914.05 USD 977.24 Accrued Wanted Market Value Clumpy Interest Armed Income TOTAL RAND Cod Beds TOTAL PORTFOLIO HOLDINGS - U.S. $83,697,563.47 DOLLARS 6,764,960.00 ZAR 0.00 11,599.94 569,914.05 USD 0.00 977.24 Unrealized Accrued Estimated Market Value Gainloes Inlets Annual Income $100,113,191.08 $10,594,981.78 8473,454 75 83,171,234.20 CONFIDENTIAL — PURSUANT TO FED. R CRIN1 P. 6(e) Account Number: CONFIDO' Rated tacellent Lary Year Since 2007 DALIAR RATED COMMUNICATIONS uctunucc Page 14 of 27 Oes.ng thsough Pershing LC* %act owned Wfri.dialY Of The Dank ig New WA Mellon Corporation OINY wilon) PerIhng 11.C. nortx. rimmAldleirrenGEA_ 00046738 DS-SONY-0009562 EFTA_00157347 EFTA01289710 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) January 1,20'18 - January 31,2018 SOUTHERN FINANCIAL LLC Noncovered under the cost bases rules as defined below. 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 20 0 8. 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 10998, the cost basis will not be reported to the IRS. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances. including those involving foreign bonds. bonds sold short or bonds issued with less than one year to maturity This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing GM and Pershing makes no representation as to the accuracy of this information. 5 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. '2 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency Omtency Usti Fixed Income Equities Mutual Funds Exclungagaded Funds Total by Ontency U.S. DOLLARS 5.047.298 25.235.863 60.172.167 3,057,397 3.127.830 96.640.556 USD BRITISH POUND 0 0 187,779 0 0 187,779 GBP HONG KONG DOLLAR 42.782 0 18247.002 0 0 18.289.784 HKO APANESE YEN -267 0 32.445.000 0 0 32.444 733 JPY RAND 0 0 6.764.960 0 0 6,764.960 ZAR Total USO Equivalent 5,052,766 25,235,863 63,639.334 3,057,397 3,127,830 100,113.191 USD % of Allocation 5% 25% 64% 3% 3% 100% Account bombe 0:51Ifl220 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Redid Ezeollent boy Yew Since 2007 DA/OARRATED COMMUNICATIONS DO:WINCE Page '5 of'_' Cleanng through ~Ins U.C. a.Mry owned totsidiary of The Balk eiNew York Mellon Ceeporeben atly Melba) pot i, e (met«rimt4at" .1X2PM_00046739 DB-SDNY-0009563 EFTA_00157348 EFTA01289711 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 "N/ A" and are omitted from the Total. THEAS OF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES 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 w hich 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. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness. timeliness or availability of any information. Standard Poor's is not responsible for any errors or omissions. regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities, and do not address suitability for investment purpose Credit ratings should not be relied upon as investment advice. Page *6 of 27 Account Nimbi.= ttCte CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID 4 Rated ticellent hely Yew Since 2007 DAUIAR RATED COMMUNICATIONS LXCILLUNCE Cal% lame. Pealn LC* Mae, owned sat ddlia of he kek a New Vat Mellon exponaceatir Mame erstimettC.mener. reetn.ehateKe9m-00346740 DB-SDNY-0009564 EFTA_00 157349 EFTA01289712 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period Date Dale Description Ctiposed Acquired Designation Short Term GATESINDUSTRIAL COR 01/26/18 01125118 Covered LC REGISTERED MS ISM* G800809 02512 Security Identifier. G39138118 PAGSEGURODIGTAL LT 01124/18 01/24118 Covered ED SHS -A- ISIN$K10368707912 Security Identifier 05870791 PLATINUM EAGLE ACOUI 01/12/18 01/12118 Covered P UNIT 1CL A & 'BRED 1VT ESP 2025isafeKYG7260260 Security Identifier 67126126 ACT INC DEL COM 01/22/18 01/19/18 Covered Security Identifier:000900113 01122/18 01/19/18 Covered Total ATHENEX INC COM 01125/18 01/25/18 Covered Security Identifier. 0468511103 BARRETT BILL CORP 03 01119/18 12/06/17 Covered Security Identifier. 06846/41:14 FRONTIER COMM UNICATI 01/25/18 10111117 Covered R NT FULLY EXCHANGED FROM COSI P 8.500% 04/6/20 BIEDTD 04f Security Identifier. 35906M111 NEBULA ACQUISITION C 01/11118 01110118 Covered ICI A 113W70G 2/3124 Security Identifier. 6290 76209 PLAYAGSINC COM 01/26/18 01126118 Covered Security Identifier. 1281414134 January 1,2018 - January 31,2018 SOUTHERN FINANCIAL LLC Cespoltion Method / Ttameadlon first In First Out! SELL 1.600 000 first In First Out! SRI 5.900.000 first In First Out! SELL 5.200.000 first In Fast Out! SELL First In First Out! SELL 10,000.000 10100.000 20.000.000 first In First Out! Slit 2.300.000 first In First Out! SELL 3.400.000 first In First Out! SELL 1,000,000.000 Adjustment:1326.60 Adjustment Type: R Original Cost Basis:987,506.00 first In First Out! SELL first In First Out! SELL 4.900 000 3,100.000 Proceeds Cost Sale Realized OS' Loss 30,001 27 30.400 00 -398 73 167.933.14 126.850.00 41.083.14 52.044.79 52.000.00 44.79 114,591.35 140,000.00 -25,408.65 113,921.45 140.000.00 -26.078.55 228.512.80 280.00010 -51187.20 34,171.20 35175.00 403.80 17,112.60 17.000.00 112.60 961,574.00 987,506.00 •25.932.00 49.090.86 49.000.00 90.86 54.429.72 49.600.00 4.829.72 Page'7 of 2 7 Account !Untie CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L Rated tactile/A Clewing Heater Persbn U.C. • rat/owned trey Year Since 2007 sobsidiary of The Bonk col Mew torn Mellon OM ARRATED COMMUNICATIONS CaneratIon (MY Mellon) UMIAK( Pelting11C. frt., ruazo.. .10fuet9nn—Ouv46741 DB-SDNY-0009565 EFTA_00157350 EFTA01289713 Schedule of Realized Gains and Losses Current Period (continued) Description Date Mooted Dale Acquired Designation Cisposillon Method Moodier' Quoddy Proceeds Cod Bads Realized Gain,Loss Short Term (continued) CALLTIMEWARNER INC 01122118 10/13/17 Covered First In First Out / EXPIRE OPTION 10.000 0.00 4.536.00 -4.536.00 D0.00 Security Identifier. 990AHDGHJ PUT GILEAD SCIENCES 01/09/18 12/15/17 Covered First In First Out/ BUY -125.000 20.993.50 4.64810 16.345.50 75.00 Security Identifier. 990AKEIAK PUT GENERAL ELECTR1 01119118 12105/17 Covered First In First Out/ BUY -250.000 21,493.49 39,470.00 -17,976.51 SOO Sedulity Identifier. 9904HUOJJ CALL VCR SSP 500 ET 01/31/18" 12/11/17 Covered Ant In First Out/ SELL 900.000 1,302,362.85 262.806.00 1,039,556.85 270.00 Security Identifier 990AILYLG CALL BROADCOM LTD SH 01/19/18 12/15/17 Covered Rrst In First Out / BUY -20.000 21,126.51 16,816.00 4 3 10.51 260.00 Security Identifier. 990A481 CALL BROADCON LTD SH 01125118 12/15/17 Covered First In First Out / BUY -20 000 36.803.14 13.416.00 23.387.11 254.00 Security Identifier. 990AM C2D7 CALL BROACCON LTD Ski 01/25/18 01/19118 Covered First In First Out / BUY -20.000 25.483.40 6.186.00 19.297.40 260.00 Security Identifier. 990AM C2D8 Total Short Term 3,023,133.27 1,975,309.00 1,047,824.27 Long Term WASHINGTON MUT MTGS 01/24/18 12/13/13 Noncovered' REPYMT OF PERN 1,290,000.000 28.827.98 22,058.77 6.769.21 004-RA2 MTGPASSTHRU CIF CL C- Original Cost Basis: 22158.77 B-1VAR RATE 6.999%07/25133 Security Identifier 939336520 WISDOM TREE TRIAPAN 01/25/18 12/11/13 Covered First In First Out/ SELL 30.000.000 1,840,416.05 1,483,049.25 357,366.80 ITYFD 01/26/18 12/11/13 Covered First In First Out / mu 30.000.000 1,837,814.51 1.483.049.25 354365.26 Security Identifier.17717W851 Total 60.000.000 3.678.230.56 2.966.098.50 712,132.06 Total Long Term 3,707,058.54 2,988,157.27 718,901.27 Total Short and Long Term 6,730,191 81 4,963,466 27 1,766,725.54 - Noncovered under the cost basis rules as defined below. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Nua It CSUM::2C CONFID Page '3 of 2 Rated ticellent Clewing %teeter Pershing tLC, a .lag owned Every Year Since 2007 snisidiary el The Bank a New York Mellon DM AR COMMUNICATIONS Carpoestson Owl Mellon) L‘Ctuttia Perchne 11.C.nnt-to FINRA.VAqi:PM-00346742 DB-SDNY-0009566 EFTA_00 15735 I EFTA01289714 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) January 1,2018 - January 31,2018 SOUTHERN FlNANCIALLLC 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 markthe account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition. corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments. but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-B or online displays you may have available to you W hen you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make. but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities. and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting Cost Basis on fixed income securities may be adjusted for amortization. accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security. and certain attributes. obtained from sources believed to be reliable. In the event. one or more of these attributes is changed. there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances. including those involving foreign bonds, bonds sold short or bonds issued with less t han one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation ash, the accuracy of this information. FI Reportable Income • This adjustment is the deferred market discount on a disposed tax lot from the Original Settle Date. u These shares are unsettled and have been recently disposed. You will also see these shares on the Portfolio Holdings section until this transaction has been settled. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method. your account will be defaulted to First In. First Out (FIFO) Your account's selected tax lot method will be used to determine the cost basis tor calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099.8 M essages Important Reminder for Pershing's 2017 Form 1099 tax statement (1099): The 1099 includes IRS 1099 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 15 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 15.2018. For more information please visit mytaxhand book com. 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 Account Nimbi ito:sen:x CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg' L-- Ras Cacenent heavy Yew Since 2007 PALIAR RAM COMMUNICATIONS uabuice Page 19 of 27 Charing *nor halms LC. a vAok owned staldlay a The Bank col New Yorlg Mellon Corporation (IINY ASKO e. t.a.. nki Penn iett LC. meta F it.RA.RFaAlt.wm-00046743 DB-SDNY-0009567 EFTA_00 157352 EFTA01289715 M essages (continued) 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. Activity Summary (All amounts shown are in base currency) Credits TtisPeriod Debits This Pend Net Ibis Period GeditsYeato-Dite DebiloYesr4o-Date Net Yew-to-Dote Securities Securities Bought 0.00 421,150.78 421,150.78 0.00 421,15018 421,150.78 Securities Sold 5,403,57890 0.00 5,403,578.00 5,403,578.00 0.00 5,403,578.00 Total Securities 0403,578.00 4921,150.78 $4,482,427.22 0403,578.00 4921,150.78 $4,482,427.22 Dividends and Interest $121,908.33 $0.00 $121,908.33 $121,908.33 $0.00 $121,908.33 Distributions $27,129.33 $0.00 $27,129.33 $27,129.33 $0 00 827,129.33 Fees $0.00 424.00 424.00 $0.00 424.00 424.00 Cash %%drawers 0.00 402,492.70 -402,492.70 0.00 -402,492.70 -402,492.70 Total Cash $0.00 4402,492.70 4402,492.70 $0.00 4402,492.70 4402,492.70 Totals $5,552,815.88 41,32307.48 $4,228,948.18 $5,552,815.86 41,323187.48 84,228,948.18 Transactions by Type of Activity Process Settlement Date Trade. Transaction Date Activity Type DesaiptIon Quantity Nice Awued Interest Amount Currency Securities Bought and Sold 01110/18 01/09118 PURCHASED PUT DO GILEAD SCIENCES INC DP 011-11075.000 OPTION 125.000 0.3613 4,648.00 USD 990AN.511K ROOT: GILD CLOSING TRANSACTION UNSOL EXCHANGE LISTED OPTION 01110/18 01109118 SOLO SHORT PUT DO GLEAD SCIENCES INC ET 021-1075.000 OPTION -125.000 1.5848 19,554.54 USD 990AL8C5 ROOT: GILD OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 01/10118 01109/18 SOLD SHORT CALL DO GILEAD SCIENCES INC ESP 024.13082SO 0 OPTION 425.000 1.2477 15,340.63 USD 990ALHGR ROOT: GILD OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 01/10/18 01/09/18 PURCHASED CALL DO SELECT SECTOR VCR TR INDL EXP 064-t080.000 525.000 1.8988 -101,289.00 USD 990ALX9P5 OPTION ROOT: XLI OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 01112/18 01110118 PURCHASED NEBULA ACQUISITION CORP UNIT 1CL A 8 /3 W T QJ 3124 4,900.000 10.0000 -49,000.00 USD NEBUU PROSPECTUS UNDER SEPARATECOVER Page 20 of 27 CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) Account Numberl eco: CONFIDO. 01 L Rated ticollent hwy Yew Since 2007 DMIAR RATIO COMMUNICATIONS LXCILIANCI Clewing lame. Pats tic &ma/ems istaldlary of The lank al New Vat Mellon Carporation (My Melba) Peri Finx meet.. ormAActittiatteM-00046744 DB-SDNY-0009568 EFrA_00157353 EFTA01289716 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Transactions by Type of Activity (continued) January 1.2018 - January 31,2018 SOUTHERN FINANCIAL LLC Proass Settlement Date Trade; iransadion Dale Adivily Type Desaiption Daintily Price Accrued Inlered Amount Carrenq Securities Bought and Sold (continued) 01116/18 01111/18 SOLO NEBULA ACOUISTION CORP UNIT 1C4. A8 13 WT EXP 12/3114 x.900.000 10.0600 49.090.86 USD NEBUU UNSOLICITED ORDER ALLOCATED ORDER YOUR BROKER ACTED AS AGENT 01117/18 01112118 SOLD PLATINUM EAGLE ACOUISTION CORP UNIT 10. A8 Y3 RED WT -5.200 000 10.0500 52,044 79 USD EAGLU EXP 2025 ISM KYG712611260 UNSOLICITED ORDER ALLOCATED ORDER YOUR BROKER ACTED AS AGENT 01/17/18 01/12/18 PURCHASED PLATINUM EAGLE ACOUISITION CORP UNIT1CL A 8 13 RED WT 5200 000 10.0000 -52.000.00 USD EAGLU EXP 2025 ISM. KYG7261.1250 PROSPECTUS UNDER SEPARATE COVER 01118/18 01117/18 PURCHASED CALL DO !SHARES TR MSG EMERGING MKTS ETF FJIP 2,400 000 0.4300 -105,606.00 USD 990AL.HRM 06.5.4055.000 OPTION ROOT: EEM OPENING TRANSACTION UNSOL EXCHANGE LISTED 01122/18 01119118 PURCHASED PUT DO GENERAL ELECTRIC CO COM EXP 044-4@e 000 250.000 1.5485 -39,47000 USD 990AHUOJJ OPTION ROOT: GE CLOSING TRANSACTION UNSOL EXCHANGE LISTED OPTION 01122/18 01119/18 PURCHASED CALL DO BROADCOM LTD SHS 'SINS S69999051823 EXP 20.000 8.3750 -16.816.00 USD 990AJEK1 01-114{2)280.000 OPTION ROOT: AVG° CLOSING TRANSACTION UNSOL EXCHANGE LISTED 01122118 01119118 SOLO SHORT PUT 100 GENERAL ELECTRIC CO COM EXP 03.5-4@4000 -250000 1.8520 45.542 93 USD 990AK5CSO OPTION ROOT: GE OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 01/22/18 01/19/18 SOLO SHORT CALL AO BROADCOM LTD SHS 'SINS 939999014823 EXP -20.000 12.7750 25.483.40 USD 990AM C208 02.5.40260 000 OPTION ROOT: AVG() OPENING TRANSACTION UNSOL EXCHANGE LISTED 01122/18 YOUR OPTION EXPIRED CALL DO TIME WARNER INC NEW COM NEW DIP -10.000 0.00 USD 990AHOGHJ 044.50A0 000 OPTION ROOT: TWX TW X CLOSING TRANSACTION 01123/18 01119/18 PURCHASED ADT INC DEL CON PROSPECTUSUND ER SEPARATE COVER 20.000 000 14.0000 -260.000.00 USO ADT 01/23/18 01119/18 SOLO BARRETT BILL CORP COM BKCM A PERSHING AFFIUATE MAKES -3.400.000 5.0750 17.112 60 USD BBG A MKT IN THIS SECURITY & ACTED AS PRINCIPAL UNSOLICITED ORDER 01124/18 01122118 SOLO ADT INC DEL CON UNSOLICITED ORDER -10,000.000 11.5000 114,591.35 USD ADT Account Houten C ucni CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFID Page 21 of 27 L Rated Galls. Clewing through PenhirglIC. a wilay venal berg Year Since 2007 setaldlan of The laakethew Yak Melba DALIARIATEDCPAMUNICATIONS Caporal on (eta Melon) A LXCGAINCE Pt/Okt lLC. nitrite, Mtn. tWi lL a.."- 00046745 DB-SDNY-0009569 EFTA_00 157354 EFTA01289717 Transactions by Type of Activity (continued) Proms* Trade Settlemenl Transaction Date Dote AciisKy Type Desolation Donley Price Acaued Interest Amount Currency Securities Bought and Sold (continued) 01/24/18 01/22/18 SOLD AIM INC DEL COM UNSOLICITED ORDER AVERAGE UNIT PRICE -10.000.000 11.4324 113.921.45 USD ADT TRANSACTION YOUR BROKER ACTED AS AGENT 01/24/18 01/23/18 PURCHASED CALL 130 !SHARES INC M Sa SOUTH KOREA ETF ET 2.000 0.6200 .132.00 USD 990AM EEKO 02-S4479.000 OPTION ROOT: DV Y OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 01/26/18 °mule SOLD PAGSEGURO DIGITAL LTO REGISTERED SIS -A- -5,900 000 28.5049 167133.14 USD PADS 151114 KYG687070 If UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 01/26/18 01/24/18 PURCHASED PAGSEGURO DIGITAL LM REGISTERED 585•A- 5,900.000 21.5000 -126,850.00 USD PAGS ISIS KYG68707132 PROSPECTUS UNDER SEPARATE COVER 01/26/18 01/25/18 PURCHASED CALL AO BROADCOM LTD SHSISINS 9G9999014823 EXP 20.000 6.6750 -13,416.00 USD 990AM C207 02-6.8@250.000 OPTION ROOT: AVG° CLOSING TRANSACTION UNSOL EXCHANGE LISTED 01/26/18 01/25/18 PURCHASED CALL 130 BROADCOM LTD SHS ISMS 939999051823 DP 20.000 31600 1.186.00 USD 990AM C208 02-5.8@260 000 OPTION ROOT: AVGO CLOSNG TRANSACTION UNSOL EXCHANGE LISTED 01/29/18 01/25/18 PURCHASED GATESINDUSTRIAL CORPORATION PLC REGISTERED SHS 1,600.000 19.0000 -30,400.00 USD GTES 'SINS GBOOBEIG2S12 PROSPECTUS UNDER SEPARATE COVER °inane 01/25/18 SOLD ATTER EX INC COM BKCM A PERSHING AFFILIATE MAKESA -2.300.000 14.9000 34.171.20 USD ATNX M KT IN THIS SECURITY 8 ACTED AS PRINCIPAL UNSOLICITED ORDER ALLOCATED ORDER YOUR BROKER ACTED AS AGENT 01129/18 oinsm PURCHASED ATHEN EX INC COM PROSPECTUS UNDER SEPARATE DOVER 2.300.000 15.2500 -35.075.00 USD ATNX 01/29/18 01/25/18 SOLD FRONTIER COM M UNICATIONS CORP SR NT FULLY EXCHANGED -1,000,000.000 96.1580 24,555.56 986,129.56 USD FTR3684517 FROM CUSP 8.500% 04/6120 B/E DID 04/12/13 YLD 9478 TOMAT 01/29/18 01/25/18 SOLD WISDOM TREE TR illiPAN HEDGED EQUITY ED UNSOLICITED -30,000 000 61.3888 1,840,416.05 USD DXJ ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED ASAGENT 01/30/18 01/26/18 SOLD GATES INC USTR1AL CORPORATION PLC REGISTERED SHS •I,600.000 18.7949 30.001.27 USD GTES !SINS GBOOBDOG2S2 UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 01/30/18 01/26/18 SOLD PLAYAGS INC COM UNSOLICITED ORDER AVERAGE UNIT PRICE -3,100.000 17.6003 54,429.72 USD AGS TRANSACTION YOUR BROKER ACTED AS AGENT 01/30/18 01/26/18 PURCHASED PLAYAGS INC COM PROSPECTUS UNDER KPARATECOVER 3.100.000 16.0000 -49,600.00 UST) AGS Page 22 of 2 7 Account tiumbetilM C itcsu CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO. Rated Civilian? trey Year Since 2007 DAtIAR RA TED COMMUNICATIONS EXCIILLINCE Clown. through Penang U.C. a tAtolly owned subsidiary of The Bank el New York Mellon Carporatfon any Mellon) firtligat 1gal-rote MitA.P4411LE,GM_00046746 DB-SDNY-0009570 EFTA_00157355 EFTA01289718 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) January 1,2018 - January 31,2018 SOUTHERN FlNA NCIALLLC Process: Trade; Saltine' Transadion Date Dale Adivily Type Dna:pike (Manley Price Acaued Interest Amount Wang Securities Bought and Sold (continued) 01/30/18 01/26/18 SOLD WISDOM TREE TR JAPAN HEDGED EOUITY FD UNSOLICITED 30.000.000 61.3021 1.837.814.51 USD DXJ ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED ASAGENT 01/30/18 REINVEST CASH INCOME .PM ORGAN FLOATING RATE INCOM E FUND CLASS I 1,130 453 -10,682.78 USD PHSX 3220616440 SHRS SHRS PURCH. AT 59.45000 RD 0126 PD 0130/13 Total Securities Bought and Sold - U.S. DOLLARS 24.55556 4.482.427.22 Dividends and Interest 01/16/18 BOND INTEREST RECEIVED 2000000 EXEIA INTER LW/ EXBA FIN INC GTD FIRST 101.66667 USD 30 22RAA9 PRIORITY SR SECO NT 114A 9600%07/ 6/23 EVE DTD 071212 CLB RD 2/29 P0016/1 01125/18 BOND INTEREST RECEIVED 290000 WASHINGTON Al UT NIG SECS CORP 2004 -RAN TG 2,998.29 USD 939336520 PASSTHRU CTF CL C-B-WAR RATE 6.999% 07/25133 B/E DTD 06/0 TO 4 RD 2129 PD 0 125/ 11 01/26/18 FOREIGN SECURITY DIVIDEND 11 400010 SHARES NINE DRAGONS PAPER HOLDINGS LTD SHS 42.782 40 HKO RECEIVED ISINt BM655348205 FOREIGN SECURITY DIVIDEND RECEIVED 5.473.06 USD 2689MK RD 22117 PO 012613 AS OF 2/211 01/30/18 CASH DIVIDEND RECEIVED .PM ORGAN FLOATING RATE INCOM E FUND CLASS I 10,682.78 USD PHSX 322061.6440 SHRS RD 0126 PD 0130/13 01/31/18 MONEY MARKET FUND DEUTSCHEGOVT CASH 1,087.53 USD INCOME RECEIVED PER232045 Total Dividends and Interest HONG KONG DOLLAR 0.00 42,782.40 HKO TOTAL USD EQUIVALENT 0.00 5,473.06 USD US. DOLLARS 0.00 116,43527 USD Distributions 01/25/18 RETURN OF PRINCIPAL 1290000 W ASHINGTON 41 UT M TG SECS CORP 2004 -RA214 TG 27,129.33 USD RECEIVED PASSTHRU CTF CL C-61VAR RATE 6.999% 07/25/33 B/E DTD 939336520 06/0104 RD 2/29 PD 0125/2 Total Distributions - U.S. DOLLARS 0.00 27,129.33 Page 23 of 27 Th Account tiu m il stc:ssi CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L Rated tactile/A bey Year Since 2007 OMAR MITO COMMUNICATIONS EXCLIAINCI Cleans *each PenhieglIC. a Say caned sataldiary of The Balk a New Yak Mellor. CaneratIon (MY Wilco) Per Oing 11.C.rnertn A.g4q2PM- 00046747 DB-SDNY-0009571 EFTA_00 157356 EFTA01289719 Transactions by Type of Activity (continued) Process' Trade; Settlement Transadion Date Dale Adivity Type Description Quantity Price Acaued 'Meted Amount Urgency Fees 01/02/18 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 2017 CUSP: G4634U-S-9 -200 USD HBCYF 01/02/18 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 200 CUSIP:G5536C-12-7 -2.00 USD LONKF 01102/18 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 200 CUSIP: G6531-9-0 -2.00 USD NDGPF 01/02/18 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 200 CUSIP: )47070-D-0 -200 USD NCTKF 01102/18 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 20 V CUSIP: 553435.0.3 -2.00 USD NAPRF 01102/18 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 200 CUSIP: YO 004 F-9-5 -2.00 USD ZTCOF 01102/18 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 200 CUSIP: Y01373-D-2 -200 USD AHCHF 01102/18 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 200 CUSIP: YO 698A-13-7 -2.00 USD BACHF 01/02/18 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 200 CUSIP: YR3689-8 -2.00 USD CCCGF 01102118 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 20 V CUSIP: Y20958-17-7 -250 USD DNGFF 01/02118 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 200 CUSIP Y95314-17-9 -2.00 USD WEICF 01102/18 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 200 CUSIP. Y9892N-17-4 -2.00 USD ZHUZF Total Fees - U.S. DOLLARS 0.00 -24.00 Cash Withdrawals and Deposits 01118118 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -41500.00 USD USD999997 01126718 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -261.492.70 USD USD999997 01129/18 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -100.000.00 USD USD999997 Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 -402.492.70 Total Acaued teetered Total Amount Transactions Summary Total Acaned !Merest Total Amount (latency USD Equivalent USD Equivalent HONG KONG DOLLAR 0.00 42.782.40 HKD 0.00 5173.06 U.S. DOLLARS 24,555.56 4.22547512 USD 24555 56 4.223.475 12 The price and quantity displayed may have been rounded. Page 24 of 2 Account Numberja C sto:su CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO. bled Cacellein Every Yew Since 2007 DALBAR MTV) COMMUNICATIONS LXCLIAINCI Cleanng through Peaking LC* Maly anal ittakflary of The Bank el Mew Yore Mellon CaveratIon (OM Wilco) Per Oing 11.C. meet.. IthitA.Pkilli2PM—OOO46748 DB-SDNY-0009572 EFTA_00157357 EFTA01289720 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Fixed IncomeAnalysis Bond Quality %MOS Bond Quality Market Wave Mutat Vim A 2,345,550.00 9% BAA 8,290,000.00 33% BA/ Lower 14,145,501.25 56% Not Rated 454,811.86 2% Total 25,235,863.11 100% Percent of Axed Income January 1,2018 - January 31,2018 SOUTHERN FINANCIAL LLC Bond Maturity Schedule Bond Maturity . 1to 5 years 06 to 10 years . Over 10 years Total Mattel BMus %of Bond Mattet Value 1,008,750.00 4% 4381,950.00 17% 19,945,183.11 79% 25,235,863.11 100% Percentages of bond market values are rounded tot e nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Trades Not Settled SettlerteM Doti 02101/18 01131/18 Sell CALL SO SPORS&P500 ETF TR TRUNIT W034-130270 000 OPTION ROOT: SPY CLOSING TRANS4CTION UNSOL EXCHANGE LISTED OPTION Total Amount of Trades Not Settled Trade Date Activity Type DosaiMion Awned Settlement Duality Rico Intend Amount Client Service Information 900.000 14.5011 0.00 1.302.362 85 $1,302,362.85 Your Inv eg rn tot Sptwirl ENJ Contact iniensetbn JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10017 Telephone Number: (2 t2) 454-4433 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number: COFIDO N . st,:sunn, L Page 25 of 27 Rated EstrIlent Clearing through Peaking Inc nakoly evened (very Year Since 2007 ittaldiary of The Bank el New Vat Mellon DALBAR RATIO COMMUMCAT *NS CancratIon (MY Maw) ("all INCE Perihrtx 11.C.rnertan rtraecanecOM-00046749 DB-SONY-0009573 EFIA_00 157358 EFTA01289721 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 ELECTRON IC 0 BJ VERY 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 mp rtant Information arid 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 institutionit 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, w here 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 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 • t page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Flaza, 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, 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 Page 26 of 27 CONFIDENTIAL — PURSUANT TO FED. R CRili,I. P. 6(e) Account Number: tocotto , CONFID L Rated [Amnion tray Yew Since 2007 DM MR WV) COMMUNICATIONS EXCELLENCE Clewing Omagh Pagan LLC. a *lay evened sobildlary a The kek a New Yak Mellon Carponban any Mellon) Perfhnx 11.C.mtelter rtivektrM4VeteM_00046750 013-SDNY-0009574 EFTA_00157359 EFTA01289722 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) January 1,2018 - January 31,2018 SOUTHERN FlNA NCIAL LLC Important Arbitration Disclosures (continued) 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 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; ttcsA ra Account limbo CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated Eintliem hely Year Since 2007 MBAR MUD COMMUNICATIONS EXCIILUNCE Page27 of 2 7 Clown& drove. Penang U.C., wary owned subuthary of The 'aka New York Mellon Corporation0NY Mellon) .p.ng LIS% rnntn. , it.RA.W4/KeyeM_00046751 DB-SDNY-0009575 EFTA_00157360 EFTA01289723