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I bet Valuation at a Glance Account Number: Statement Period:12/01/2014 -1213112014 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value $128,056,222.31 $90,573,050.28 6100 RED HOOK QUARTER B3 net Cash Deposits and Wilhdrawals 0 00 31.086.436 34 ST THOMAS VI 00802 Adjusted Prev
SO t,THERN N LLC. F I DAENT1A L CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 3 of 20 Rated tscollerdi [von Year Woos 2007 DAUM. RATED COMMUNCA MN'S rxciurner SDNY_GM_00045631 DB-SDNY-0008455 EFTA_00 156240 EFTA01288603 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired
folio at a Glance Account Number: N40-023804 Statement Period: 12/0112016 -12/31/2016 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value $114,618,198.25 8103,284,617.80 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 .3 278.060 93 ST THOMAS VI 00802 net Securiti
00.00 20,783 89 162.500.00 7.82% Page 4 of 19 Account Number. N4G-023804 Go paperless listed tacellordi (very yes. Since 2'007 DAL BAR RATED COMMUNCA MN'S rxertuNer SDNY GM_00046028 DB-SDNY-0008852 EFTA_00 156637 EFTA01289000 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holding
ividends. Interest and Other Income 24.116.12 916.905.76 Tots Taxes Withheld 0 00 410 het Charlie in Portfolio -72,363.20 -132,444.74 riding Account Value 562 302 676 21 562 302 676 21 Estim ated Annual Morn e 51.111.295.52 Asset Allocation Prior Year-End lad Period This Period % Allocation US
ZE TRLSI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 2 of 12 Go ErEPiVis ON Fl A L Raid facolloni (very YearSince 2'007 DAL BAR RATED COMMUNCA MN'S rxarturnact SDNY_GM_00047993 DB-SDNY-0010817 EFTA_00158602 EFTA01290630 Deasre OMR 'Sate Wealth Maaagenetel IelamIS (MOP 4.10 °ft.loam% sesa
Entities connected to both Account Value and COMMUNCA MN'S
the Pershing Customer Service Department
ORGANIZATIONthe State of New York
LOCATIONPie Chart
ORGANIZATIONPershing
LOCATIONLegal Department
ORGANIZATION
Jeff Sessions
PERSONTHE FEDERAL RESERVE SYSTEM
ORGANIZATIONPershing LLC
ORGANIZATION
Daniel Sabba
PERSONTHE BOARD OF GOVERNORS OF
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATIONClient Service Information
ORGANIZATION
CUSTOMS
ORGANIZATIONTAXABLE
ORGANIZATIONON PERSHING'S
ORGANIZATIONthe Options Clearing Corporation
ORGANIZATIONSecurities Investor Protection Corporation
ORGANIZATIONUSAGES
ORGANIZATIONINDEBTED TO PERSHING LLC
ORGANIZATIONMoney Market Fund
ORGANIZATION