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f 9 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) AO 100270 C SF30025 CONFIDO. AL- Rated (Kart Every Vex Since 2007 DALBAR MUD COMMUNCATICNS EXCIA CNC t Owing tlnov W hating Ilt. a Sally craned 'maw:Wry el Ilwa &onkel New York Mellon CciPontim aim meta) Penn. LK. ritterte Filactia 00047682 DB-SD
. AL- RaltaacaNnt Owing IlittnIthrsiing LI.C. • Sally owned 6%9"OG./ Since 2007 sibMWya TM Bordtel New York Mellon DALIAR ItAl ED COMMIRCATICOS Corponthal (SW Meta) EXCULENC( Pen/vett U.C.inerrtel allIPAtikriker344—°° 047681 DE!-SDNY-0010505 EFTA_OO15829O EFTA01290318 Summary of Gains and Losses
DENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 2 of 9 Account !Aunty CONFID AL- Rated (KaNnt Every Vex Since 2007 DALIIAR RAT ED CONVOCATIONS EXCIA CNC t Owing tinge. Amble( PIC a Sally owned subsidiary time brat a New York Melon Ccnaatim (MY Mellon) Pent.. LIX. mInta mitatikkierat00047803 DB-SDN
D m y?AL- RateaKeirm EmyYarSime2007 DAUARLUEDC0NNUNCAfia% EXCUOKt Owing through ALMS% PIC • Sally owned subsidiary o1 The brat of New York Make Corponthal (MY Mellon) PenhetlVdsmwagfMaallime4 A_00047838 DB-SDNY-0010662 EFTA_00158447 EFTA01290475 -'ortfOlt0 Holdings (continued) Generally, securitie
4 of 8 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number CONFIDO. AL- Rated (weirnt Emy Veit Since 2007 DALBAR WED COMMUNICATIONS EXCIA CNC t Owing IMO holing Ilt. a Sally owned subsidiary a The Unit of New York Melon CaPonth20 (MY Melon) Penile.; MC. iftlinber FIIIRADWARPM_00049771 D
ge ' of 9 RAW ballerd Clewing IMO. Pining LIC, a wholly owned Every Yew Slece 2007 subsidiary as brief New York Mellon DAISAR WED COMMJNCATICOS Corponthal (SW Mellon) nn .. EXCEUENCC Pentww ue mtrytt, FiliRILAWASAA-00 049720 DB-SDNY-00 12544 EFTA_00 160329 EFTA01291815 Summary of Gains and Losses
Entities connected to both EXCIA CNC and Corponthal

CUSTOMS
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATIONON PERSHING'S
ORGANIZATIONUSAGES
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATIONBNY MELLON CAPITAL MARKETS
ORGANIZATIONInterest - U.S. DOLLARS
ORGANIZATIONThe European Central Bank
ORGANIZATION
Jeff Sessions
PERSONTIME PERSHING
ORGANIZATIONJersey City
LOCATION
Mellon
ORGANIZATIONSecurities Investor Protection Corporation
ORGANIZATIONINDEBTED TO PERSHING LLC
ORGANIZATIONLegal Department
ORGANIZATIONTAXABLE
ORGANIZATION
Sally
PERSONPershing
LOCATION