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5.40 62% Total 24,993,470.70 100% Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Hol
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
19.878.288.89 73% 26,892,258.89 100% Percentages of bond market values are rounded tot e nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Hol
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
445 03 78% Total 24,399,755 03 100% Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Hol
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 M oody's and Important Arbitration Disclosures
Legal Department
ORGANIZATIONPershing LLC
ORGANIZATIONPershing
LOCATION
Baltimore
LOCATIONJersey City
LOCATION
Angela Merkel
PERSONON PERSHING'S
ORGANIZATIONthe Options Clearing Corporation
ORGANIZATION
Condoleezza Rice
PERSONTAXABLE
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATIONthe State of New York
LOCATIONthe Pershing Customer Service Department
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATIONInterest - U.S. DOLLARS
ORGANIZATIONUSAGES
ORGANIZATION
Deutsche Bank
ORGANIZATION
CUSTOMS
ORGANIZATIONSecurities Investor Protection Corporation
ORGANIZATION
Ghislaine Maxwell
PERSON