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ctus or the bank deposit product's disclosure document or contact your advisor for additional information. Please note the following information for Pershing's 2014 IRS Forms 1099 (8, DIV, INT, VD and MC): Your form 1099 will be delivered as early as possible, beginning January 31, 2015. By February 17, yo
M•. teen Mat Mae SDNY_GM_00048710 DI3-SONY-0011534 EFFA_00159319 EFTA01291064 Important Information and Disclosures (continued) The Role of Pershing (continued) institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC"). Please note that SIPC does not protect
ty of any trading unit held by an account being selected as caled in a partial cal is proportional to the total number of trading units held through Pershing. Once the lottery is complete. Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation. Securities registe
ll CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Page 1 of 10 Rated excellent B0100579CSF30023 GO paperless ',v.." 'ear 5.,,W• C 2007 htS D OALSAR RAT( OMMUNICATIO CONFIDE1SITIAL "a"`"`i oar...1.. Ora wait:. rets... .. sty row SDNY_GM_00048675 DB-SDNY-0011499 EFTA_00159284 EFTA01291029
ectus or the bank deposit products disclosure document or contact your advisor for additional information. Please note the following information for Pershing's 2014 IRS Forms 1099 (a DIV, INT. O/D and 411SC): Your form 1099 will be delivered as early as possible, beginning January 31, 2015. By February 17,
d accounts will include Pershing's proprietary and employee accounts, as well as proprietary and employee accounts of introducing broker-dealers (if Pershing carves and clears those accounts). No allocation will be made to these proprietary and employee accounts until Page4 of 9 DKAO ROIL CONFIDENTIAL —
ty of any trading unit held by an account being selected as caled in a partial cal is proportional to the total number of trading units held through Pershing. Once the lottery is complete. Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation. Securities registe
holdings will not change as a result of the rebranding. Pap 3 of I Account Number: Riled twollent °PAH ROL Go paperless leery Year Skire 2007 OALSAR RATED °MEV EPSC ON F I DrI S ITIA e f Ram (NOE COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) maw, ..,- SDNY_GM_00049159
s. Accrued interest represents interest earned but not yet received. 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 th
owable limits. OSA° ROll CONFIDENTIAL - PURSUANT TO FED. R CRI M. P. 6(e) Page 1 of 8 Riled excollent A0100546CSF1001, Go paperless C t 2007 OALSAR RATED OMMUNICATIOhtS CONFIDrwrIAL rw eta=si tittemeen 111011VINAm. SDNY_GM_00049790 DB-SDNY-0012614 EFTA_00160399 EFTA01291885 For Your Inf
Entities connected to both Pershing and OALSAR
Pershing LLC
ORGANIZATION
Baltimore
LOCATIONthe State of New York
LOCATIONSecurities Investor Protection Corporation
ORGANIZATIONLegal Department
ORGANIZATIONDeutsche Bank Securities Inc.
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATION
Jeffrey Epstein
PERSONClient Service Information
ORGANIZATION
Deutsche Bank
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATION
FDIC
ORGANIZATION
Jeff Sessions
PERSONTHE CLEARING FACILITY
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATION
CUSTOMS
ORGANIZATIONUSAGES
ORGANIZATIONTAXABLE
ORGANIZATIONON PERSHING'S
ORGANIZATIONINDEBTED TO PERSHING LLC
ORGANIZATION