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AVE- 3R0 FL NEW YORK NY 13017 Telephone Number: CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 6 of 9 N40-024950 A 130272 CCSF3O00 25 NFIDO. AL- Med hr llent Every Yew Shwa 2007 DAYAR RAI ID COMMLNICATIONS EXCLUENCIE Owing through ewes PIC. • Sally owned subsidiary SIM brat a New Y
ities Bought and Sold 07106117 08130117 SOLD DISNEY WALT CO DISNEY COM BKCM APERSHINGAERATE -500.000 106.2150 53,050.27 USD DIS MAKESA MKT IN THISSECURITY 8 ACTED AS PRINCIPAL UNSOLICITEDORDER 07/28117 07/25117 SOLD DISNEY WALT CO DISNEY COM BKCM A PERSHING AFRLIATE -1 000.000 106 8224 106,753.94
RIM. P. 6(e) 1,226,777.22 USD Edkaaled Yield Page 10 of 28 Account Numbed= 2:ci:c Rated Eacellent Clain/glamor Iambic I1C gala/ evened C 0 NFIDO' oriummanoccmwmAanom cmemmmomvilmeem mamma Per, ltC. mamba remeNittellaieGM—00046592 trey Year Since 2007 istaldlarg of Thalamic al Newercelt M
ought and Sold 04103/18 03129/18 PURCHASED AMAZON COM INC BKCM A PERSHING AFFILIATE MAKESA Il KT 500 .000 1,423.7496 -711,930.80 USD AM ZN IN THISSECURITY 8 ACTED AS PRINCIPAL UNSOLICITED ORDER 04/03/18 03/29118 PURCHASED ASSURANT INC FAD TO FLTG SUB NT 7000% 03/27/48 B/E OTC 2.000.000 000 102.0000
ty disposal, and this may be reported on the IRS Form 1099.8. Page 20 of 3' Account Number: CO CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) NFIDO =:I Rated Excellent (very Year Since 2007 DALBAR MTV) COMMUNICATONT EXCO.LINCI Clewing through PenhinlIC • Say °mai Meld's." of TM Usk el New
lidded Settlement Amount 04/03/18 03129/18 Buy All AZ0N CON INC KM A PERSHING 500.900 1,423.7496 0.00 ,711,930.80 AFFILIATE MAKESA LW IN THISSECURITY 8 ACTED AS PRINCIPAL UNSOLICITED ORD 04/03/18 03129/18 Bay ASSURANT INC RD TO FLTG SUB NT 2.000.000.. 2,333.33 -2,042,339.33 7.000% 03121148
Entities connected to both NFIDO and THISSECURITY
the Options Clearing Corporation
ORGANIZATIONUSAGES
ORGANIZATIONLegal Department
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATIONPershing LLC
ORGANIZATIONJersey City
LOCATIONPershing
LOCATION
CUSTOMS
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATION
Angela Merkel
PERSONInterest - U.S. DOLLARS
ORGANIZATION
Baltimore
LOCATIONBNY MELLON CAPITAL MARKETS
ORGANIZATIONThe European Central Bank
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATION
Jeff Sessions
PERSONSecurities Investor Protection Corporation
ORGANIZATIONON PERSHING'S
ORGANIZATIONthe State of New York
LOCATION