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,140,000.000 $1,516,248.56 LLOYDS 768 BK PLC EURO ISSUE MEDIUM TERM NOTES151NR XS0717735822 9.875% 12/16/21 RIG DTO 12/16/11 Moody Rating Bat SS P Rating BBB- 12/04113 '.3.17 1,500.000 000 107 6770 Adjusted Cost Basis Drallsre Rant Pnwile *Mahn &Waren Mu Caen., 6 ,0‘p Des-bOX la* SelloneraC Yo
erless Page 10 of 21 SO I. TH ERN CO N LLC. F I DAENTIAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Raba tacellenti (very V.a. Siam 2007 DALBAR RATED COMMUNICATIONS IXCILLINC, SDNY_GM_000155.57 DB-SDNY-OOO8381 EFTA_00156166 EFTA01288529 Deutsche Asset & Wealth Management PO Dox 1778, Sallimore. MD 21203
2 mentions1 same-page
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12/03115 • 2,469,000.000 88.0930 5LLOYDS8ANKING GROUP PLC FXD RATE RESET ADM. TIER 1SECS 'SINS US539439AG42 7.500% 04/27/88 B/E DTD 04107/14S/1 P Rating BB- Please Provide • 1.903.000.000 NIA CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08/t/88 81E DTD 08112/4 CALLABLE0815120Q D0.00014 oody R
estment advice. Page 16 of 3' 801002.6C630_0Z5 NFIDFFITAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Rated Ein4lent Every Year Sine 2007 DALBAR RATED COMMUNICATIONS VIM I. MCC Clown& through Persbn LLC • Say ~ad subudiary of me Bank ol Mew Y.:4 Melba Corporation18NY Mellon) tic. mntft ‘11•RA.gWrillteM 000462
2 mentions1 same-page
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00.000 Total 1,410,000.000 LLOYDS TSB 8K PLC EURO ISSUE MEDIUM TERM NOTES IMO XS0717735822 9.875% 12/16/21 RIG DTD 12116)11 Moody Rating Bat SS P Rating BBB- 12104/13'.3.12 1,500,000.000 107 6100 BARCLAYS 8K PLC CONTINGENT CAP NT ISINS1.936739FF K03 7.750% 01/ 10123 B/E DTD 04110113 CALLABLE 04/1
visit: vnwtpershing.coinfstrength_stability.html. Paget? of 18 Account Number: Go paperless e t ) Rated twallella 9O1.1. bray 'Ian LSO, 2'007 DALBAR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6:06THERk F I DENTIA exararmer ..... SDNY_GM_00046023 OB-SDNY-0006847 EFrA_00156632 EFTA01288995
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108,680.090 Corporate Bonds PEABODY ENERGY CORP SR NT 7.375% 11/01116 WE DTO 10112/06 LITIPLE GUARANTORS 1ST CPA DTE 05101/07 Moody Rating 63 38 P Rating BR Security Identifier: 704649AES 05110/11 'MA 1.200.000 .000 104 5260 1,251.306.06 105 0000 1.260.000.00 IPAYM ENT INC GTD SR NT 10.250% 05
Account Num THE FAZE T CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) U N I LJE)ht fisAL Page 9 of12 Rated tacellera (very V.4. Since 2007 DALBAR RATED COMMUNICATIONS exorimser SDNY_GM_00048213 DB-SDNY-0011037 EFTA_00 158822 EFTA01290850 Transactions by Type of Activity (continued) Process/ Settlement Dat
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Mutual Connections (116)
Entities connected to both P Rating and DALBAR RATED COMMUNICATIONS
Legal Department
ORGANIZATION9 w/ P·10 w/ DALBAR
Pershing LLC
ORGANIZATION9 w/ P·10 w/ DALBAR
the Pershing Customer Service Department
ORGANIZATION9 w/ P·10 w/ DALBAR
Pershing
LOCATION9 w/ P·10 w/ DALBAR
the State of New York
LOCATION9 w/ P·10 w/ DALBAR
the Options Clearing Corporation
ORGANIZATION9 w/ P·9 w/ DALBAR
THE BOARD OF GOVERNORS OF
ORGANIZATION8 w/ P·9 w/ DALBAR
THE CLEARING FACILITY
ORGANIZATION8 w/ P·9 w/ DALBAR
TAXABLE
ORGANIZATION8 w/ P·9 w/ DALBAR
THE FEDERAL RESERVE SYSTEM
ORGANIZATION8 w/ P·9 w/ DALBAR
ON PERSHING'S
ORGANIZATION8 w/ P·9 w/ DALBAR
Money Market Fund
ORGANIZATION8 w/ P·9 w/ DALBAR
Pie Chart
ORGANIZATION8 w/ P·9 w/ DALBAR
Jeff Sessions
PERSON8 w/ P·9 w/ DALBAR
Ghislaine Maxwell
PERSON8 w/ P·9 w/ DALBAR
USAGES
ORGANIZATION6 w/ P·9 w/ DALBAR
Securities Investor Protection Corporation
ORGANIZATION8 w/ P·7 w/ DALBAR
Baltimore
LOCATION9 w/ P·6 w/ DALBAR
CUSTOMS
ORGANIZATION6 w/ P·9 w/ DALBAR
CU
Curren
PERSON8 w/ P·7 w/ DALBAR