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NY-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 (conti
k 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 arbi
09393 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
sche 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 arbi
01289661 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 In
nk 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 arbi
Entities connected to both Clete and Important Arbitration Disclosures

Ghislaine Maxwell
PERSON
Joi Ito
PERSON
Mao Zedong
PERSON
Condoleezza Rice
PERSONDoug Band
PERSONPershing
LOCATION
Baltimore
LOCATIONPershing LLC
ORGANIZATIONLegal Department
ORGANIZATION
Deutsche Bank
ORGANIZATIONJersey City
LOCATIONthe State of New York
LOCATION
Angela Merkel
PERSONInterest - U.S. DOLLARS
ORGANIZATIONSecurities Investor Protection Corporation
ORGANIZATIONthe Options Clearing Corporation
ORGANIZATIONThe European Central Bank
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATIONTAXABLE
ORGANIZATION