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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
COMMUNICATIONS OCCULOIC( Page 2- of :3 Clown& drench Penhing I.I.C. a %bay owned gabbling of The Balk el New York Mellon Ceeporatton any Melba) Pennine llCanerreer RA*. PL,.11‘JeLefIA-00346609 DB-SDNY-0009433 EFTA 00157218 EFTA01289581 TERMS AND CONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACT
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
COMMUNICATIONS LXCILLUICI Page 19 of 3' Clown& drone. Penhing tIC. a Await owned sabudiara of The Beak or New York Mellon Ceeporatlan (MY Mace) Pennine man. PL,.IKE:t.GM_00346684 DB-SDNY-0009508 EFTA_00157 293 EFTA01289656 Schedule of Realized Gains and Losses Current Period (continued) Descrip
S SECURITY & ACTED AS PRINCIPAL UNSOLICITED ORDER 01/28/17 07/25/17 SOLD SQUARE INC CL A BKCII A PERSHING AFHLIATE IA AXES A MKT -200.000 SO IN THISSECURITY .1 ACTED AS PRINCIPAL UNSOLICITED ORDER 07/28/17 ornsrir SOLD TERRAFORM GLOBAL INC CL A BKCM A PERSHING AFRUATE 400.000 GLBL M AKES A MKT IN THI
w Since 2C0/ DAUM RARD COMMUNICATIONS EARWIG( Clexing through Perstars LUX. a abaft toned Snider" a Ow Barra Now Yak Melba corporation (MY WIWI Pennine monte. FINRA.Mtl 00046363 DS-SDNY-0009187 EFTA_00 156972 EFTA01289335 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Income and Expense Sum
Entities connected to both THISSECURITY and Pennine
USAGES
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATIONPie Chart
ORGANIZATIONJersey City
LOCATIONTAXABLE
ORGANIZATION
Angela Merkel
PERSONTHE BOARD OF GOVERNORS OF
ORGANIZATION
Mao Zedong
PERSON
Condoleezza Rice
PERSONTHE CLEARING FACILITY
ORGANIZATION
Joi Ito
PERSON
Baltimore
LOCATIONInterest - U.S. DOLLARS
ORGANIZATION
Jeff Sessions
PERSON
Mellon
ORGANIZATION
Deutsche Bank
ORGANIZATIONSecurities Investor Protection Corporation
ORGANIZATIONON PERSHING'S
ORGANIZATION
CUSTOMS
ORGANIZATIONthe Options Clearing Corporation
ORGANIZATION