Epstein Secrets

TG RATE SERA CALLABLE Dividend Option: Cash 02/03/12'.13 45 6C0 000 02109112'.13 53 000 000 Total Noncovered 126,600.000 Total 126,600.000 GM AC CAP TR I GTO TR PFD SECS SER 2 125% FIXED RATE 1 FLTG Dividend Option: Cash 02/22/12'.13 80.000.000 ROYAL BANK SCOTLAND GROUP PLC 7.25% WON

Annual Income Yield Mutual Funds 4.00% of Portfolio P MORGAN VALUE ADVANTAGE FUND INSTITUTIONAL CLASS Open End Fund Dividend Option: Reinvest; Capital Gains Option Reinvest 01109113 '4.52 78,109.170 25.1100 Cost Basis Market Price Market Valve Unrealized Gain/ Lou Estimated Estimated Annual Income Yie

ferred Soda (continued) ROYAL BANK SCOTLAND GROUP PLC 7.25% SPON ADR REPSTG SER T PFD SHIS CALLABLE ON OR AFTER 12131/2012 ($ 25 Dividend Option: GM 10124112'.13 40,000.000 23.7900 951,600.00 24.5400 981.599.99 29,999 99 72,500.00 7.38% 01/07113 40,000.000 24.4400 977,600.00 24.5400

Value Gairti Loss Mnual Income Yield Exchange-Traded Products DEUTSCHE BK AG LONDON BRH DB AGRIC DOUBLE LONG TRADED NT Dividend Option: Cash; Capital Gains Option. Cash 07112110'.13,73 31,134.000 7.0510 Deutwie Ran. 0,naer *tali 64/..e.,414 Ms•te% C00.4.0 CM( p oe.:scne Dana lewnes Int Cosi Baas Market

TO FED. R. CRIM. P. 6(e) SOUTHER Account Num ber. Go paperless Rated tsallera Lyon, Vs.Since 2007 DALBAR RATED COMMUNCATIONS rxarturnaer SDNY GM 00045549 DB-SDNY-0008373 EFTA_00136138 EFTA01288521 Deutsche Asset & Wealth Management Pa &a 1778, Balamore, MO21203 Income and Expense Summa

ality Unit Cost Exchange-Traded Products 3.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FD Security 'deadlier: DXJ Dividend Option: Cash; Capital Gains Option: Caen CUSP: 97717W851 60,000 00 of these shares are in your margin account 12/11113 60.000.000 49 4350 2 966 098 50 55.4000 3.324.000.00 357

CALLA 25 05115116 Dividend Option: Cash 02103/12 ' .13 46,600 000 02/09112 ' .13 80.000.000 Total Noncovered 126,600.000 Total 126,600.000 GM AC CAP TR I GTD TR PFD SECS SER 2 125% AXED RATE / FLTG Dividend Option: Cash 02122112 ' .13 80,000.000 23.5350 ROYAL BANK SCOTLAND GROUP PLC S

ted Annual Income Yield Dale Acquired Quantity Unit Cod Exchange-Traded Products WISDOM TREE TR JAPAN HEDGED EQUITY ED Dividend Option: Cash; Capital Gains Option: Cash 60.000 00 of these shares are in your margin account 12111113 sosoomo 49.4350 Total Exchange-Traded Products 1605,612.50 929,673,187.24

n Stocks (continued) ALLIANZ SE SPONS ADR REPSTG 1110 SHS (continued) 04113115 5.000.000 18.0110 90.056 00 17 7660 88.830.00 APOLLO GLOBAL M GM T LLC CL A SHS Dividend Option: Cash Security Identifier: APO CUSIP. 037612306 03129111 '.13 263.157,000 19 0000 4.999.983 00 15.1800 3.994.

el Valle Gala/ Loss Monet Income Yield Exchange-Traded Products 3.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FD Dividend Option: Cash; Capital Gains Option: Cate 60,000.00 of these shares are in your margin account 12/11/13 80.000.000 49.4350 2.986.098.50 53.2900 3.197 000 00 231 301 50 45.236.4

ifier: GE CUSP: 369604103 04123113 '.13 23 000 000 21 5700 196,109.08 26.1000 GENERAL MIMS CO COM Dividend Option: Cash Security Identifier: GM CUSP: 37045V100 11118/10 ' 10.988.200 36 4010 399,978.16 31.5100 12109110 ' 86,536.800 36 8160 3.185.969.22 31.5100 Total Noncovered 97,

t Value Gala/ Loss Mutual Income Yield Exchange-Traded Products 3.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FD Dividend Option: Cash; Capital Gains Option: Cash 60.000.00 of these shares are in your margin account 12111113 60.000.000 49.4350 2.966.098 50 57.4500 3.447.000.00 180.901 50 13.093.8

ED. R. CRIM. P. 67: 4AZETCO N F I DarrIAL tkr try ~me •••~ WC. • wernmenbniter •• Te•••••••imat seen ~warn ens' ~ray tic as•••%. rent Let SDNY GM 00048083 DB-S6NY:00 10907 EFTA_00 158692 EFTA01290720 Oram.v Rant PnnieWeatnPapvienan Manes Coon., 6,...1) Des-tut/4 la* %won 'ac An la Pan A

d Maual Income Yield Mutual Funds 9.00% of Portfolio FN ORGAN FLOATING RATE INCOME FUND SELECT STARES Open End Fund Dividend Option: Reinvest; Capital Gains Option Reinvest Security Identifier: .PHSX CUSP. 481211510 01122113 '.3 198,216058 10.0900 2,000,000.00 10.1200 2,005,946.48 5,948.48 85,03418 4.2

UANT TO FED. R. CRIM. P. 6(e) CON FIDAENTIAL Rated too-SYS (very v«. Since 2007 OALBAR RATED COMMUNICATKIHS rxesartraer :term... • ". -- SDNY GM 00047463 DB-SDNY-00 10287 EFTA_00 158072 EFTA01290193 PC. Sat 17/S. Balt moot MD 21203 Transactions by Type of Activity Process/ Settlement

Annual Income Yield Mutual Funds 6.00% of Portfolio P MORGAN FLOATING RATE INCOME FUND SELECT STARES Open End Fund Dividend Option: Reinvest. Capital Gains Option: Reinvest Security Identifier: .PHSX USW- 481211510 02113113 13 148,957.299 10 0700 1.500.000.00 9 7200 1,447,664.94 -52,135.06 61,817.27 4