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3 Total All Money Market Funds 514,219,609.33 Page 2 of 21 (ISM, von It1 LLC. FIDAENTIAL ON CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHER Account Num ber. Go paperless Rated tsallera Lyon, Vs.Since 2007 DALBAR RATED COMMUNCATIONS rxarturnaer SDNY GM 00045549 DB-SDNY-0008373 EFTA
OME LOANS SER 03-1 CL BI 4.090% 03125133 BIE DTD 01130103 RD 09130 PD 10125114 1290000 WASFINGTON NUT MTG SECS CORP 2004•RA2 MTG PASSIM-RU CTF CI. C-B-1 VAR RATE 6.974% 07/25/33 WE DTD 06/01/04 RD 09/30 PD 10/25/14 -1.000.000000 1.012,04690 12.302.73 1,745.54 USD LSO LSD Total Distributions • UNI
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.00 $1,310,300.09 1849,025.00 Account Number Go paperless Page 94021 IZ1 LLC. FI DENTIAL ON CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) SOUTHER Rsd taallonill (nay V.A. LSO, 2007 DAL OAR RATED COMMUN CATIONS excrim.ser SDNY_GM_00045676 OB-SDNY-0008500 EFTA_00156285 EFTA01288648 Portf
Dividends and Interest (continued) 07/25/14 BOND INTEREST RECEIVED 1290000 WASFIAGTOAMUMTG SECS CORP 2004•RA2 939336520 11 TG PASSTHRL CTF Cl. C-B-1 VAR RATE 6.973% 07125/33 WE DID 06101/04 RD 06130 PD 07125/14 07/31/14 MONEY MARKET FUND DWSGOVT CASF 'ASTI INCOME RECEIVED 233993682 07/31/14 CA
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rom the new cost basis reported in this section. Page 11 of 20 Account Number. Raced Excell•rdi t03AN NOLI Go paperless L very Virar Lace 2007 SOUTHER( CRCS LL . F I DranA L 4 ? [ALDAN RATED COMMUNICATIONS rxest unser CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_GM_00045866 DB-SDNY-00
idends and Interest 09/25/15 80ND INTEREST RECEIVED 1290000 WASHINGTON MU T MTG SECS CORP 70041292 3.796.40 LSO 939336S20 LIM PASS1116 CTF Cl. C-B-1 VAR RATE 6.510% 07125/33 WE DID 06101/01 RD 08/31 PD 09/25115 09125115 CASH DIVIDEND RECEIVED 60000 SH RS WISDOM TREE TR JAPAN HEDGED EQUITY FD RD 3
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Mutual Connections (140)
Entities connected to both SOUTHER and C-B-1 VAR
the Pershing Customer Service Department
ORGANIZATION6 w/ SOUTHER·5 w/ C-B-1
Jeff Sessions
PERSON6 w/ SOUTHER·5 w/ C-B-1
the State of New York
LOCATION6 w/ SOUTHER·5 w/ C-B-1
Legal Department
ORGANIZATION6 w/ SOUTHER·5 w/ C-B-1
Pershing
LOCATION6 w/ SOUTHER·5 w/ C-B-1
Pershing LLC
ORGANIZATION6 w/ SOUTHER·5 w/ C-B-1
THE BOARD OF GOVERNORS OF
ORGANIZATION6 w/ SOUTHER·5 w/ C-B-1
THE CLEARING FACILITY
ORGANIZATION6 w/ SOUTHER·5 w/ C-B-1
THE FEDERAL RESERVE SYSTEM
ORGANIZATION6 w/ SOUTHER·5 w/ C-B-1
the Options Clearing Corporation
ORGANIZATION6 w/ SOUTHER·5 w/ C-B-1
Ghislaine Maxwell
PERSON6 w/ SOUTHER·5 w/ C-B-1
Account Value
ORGANIZATION6 w/ SOUTHER·4 w/ C-B-1
Securities Investor Protection Corporation
ORGANIZATION5 w/ SOUTHER·5 w/ C-B-1
TIME PERSHING
ORGANIZATION5 w/ SOUTHER·5 w/ C-B-1
ON PERSHING'S
ORGANIZATION5 w/ SOUTHER·5 w/ C-B-1
TAXABLE
ORGANIZATION6 w/ SOUTHER·4 w/ C-B-1
Money Market Fund
ORGANIZATION5 w/ SOUTHER·5 w/ C-B-1
Pie Chart
ORGANIZATION5 w/ SOUTHER·5 w/ C-B-1
Moody's
ORGANIZATION5 w/ SOUTHER·4 w/ C-B-1
Barclays
ORGANIZATION5 w/ SOUTHER·4 w/ C-B-1