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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
his notice or if you would like additional copes of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCt). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in exces
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
is 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 (SIPCt). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in exces
rmined by the Secretary of the Treasury. 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. M essa•es Federal Depose Insurance Corporation (FDIC)-Insured Bank Deposits are not
d accounts will include Pershing's proprietary and employee accounts, as well as proprietary and employee accounts of introducing broker-dealers (if Pershing taffies and clears those accounts). No allocation eel be made to these proprietary and employee accounts until al other client positions at Pershing
of any trading unit held by an account being selected as called in a partial call 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 allocation. Securities regist
is 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 (SIPCt). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in exces
pectus or the bank deposit product's disclosure document or contact your advisor for additional information. Please note the blowing information for Pershing's 2015 IRS Forms 1099 (8, DIV, INT, OIL) and MISC ): Your form 1099 will be deldered as early as possible, beginning January 31, 2016. By February 16
IAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SONY-0011625 EFTA_00159410 EFTA01291155 Important Information and Disclosures (continued) The Role of Pershing (continued) • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) pr
is 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 (SIPCt). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in exces
. P. 6:7TONFIDAERTIA SDNY_GM_00049294 DB-SDNY-0012118 EFTA_00159903 EFTA01291547 Important Information and Disclosures (continued) The Role of Pershing (continued) • Your financial institution is responsible for adherence to the securities laws. regulations and rules which apply to it regarding its
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
is 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 (SIPCt). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in exces
asily determined acquired on or after January 1, 2014. 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. M essa es Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are no
AL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012457 EFTA_OO16O242 EFTA01291728 Important Information and Disclosures (continued) The Role of Pershing (continued) • Inquiries concerning the positions ano balarces in your account may be directed to the Pershing Customer Service Department at (201)
is 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 (SIPCt). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in exces
rmined acquired on or after January 1, 2014. 13 The cost basis of this security has been provided to us by the delmenng km or transferring agent and Pershing makes no representation as to the accuracy of this information. Pap 4 of 9 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) nriprwriAL Account Nu
is 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 (SIPCt). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in exces
Entities connected to both Pershing and the Securities Investor Protection Corporation (SIPCt
Pershing LLC
ORGANIZATION
Baltimore
LOCATIONthe State of New York
LOCATIONLegal Department
ORGANIZATIONDeutsche Bank Securities Inc.
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATION
Jeffrey Epstein
PERSONJersey City
LOCATIONthe Options Clearing Corporation
ORGANIZATIONMoney Market Fund
ORGANIZATIONClient Service Information
ORGANIZATION
Deutsche Bank
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATION
Jeff Sessions
PERSONTHE BOARD OF GOVERNORS OF
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATION
FDIC
ORGANIZATION
CUSTOMS
ORGANIZATIONTAXABLE
ORGANIZATIONUSAGES
ORGANIZATION