Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired Quantity Unk Cod Cost Bale Market Price Market Value Unrealized Orinoco Estimated Whaled Annual Income Yield EQUITIES {continued) Common Stocks (continued) APOLLO GLOBAL Al GM T LLC CL ASK (continued) 03/29/11 '.13 263.157.000 19.0000 4.999.983.00 35.5000 9.342.073.50 4.342.090 50 513.156.15 5.49% APPLE INC COM Security Identifier. AAPL Dividend Oplion: Cash CUSIP: 037833t0 12/07/17 214,000.000 169.8140 36.340.223.40 190.2900 40.722.059.97 4,381,836.57 624,880.00 1.53% 06/20/18 50,000.000 186.7940 9,339,697.00 190.2900 9.514.500 03 174,803.03 146,000.00 1.53% Total Covered 264.000.000 45.679.920.40 50,236,560.00 4,556,639.60 770,880.00 Total 264.000.000 $45,679,920.40 $50.236,560.00 $4,556.639.60 $770.880.00 BIOGEN IDEC INC COM Security Identifier. BUB Dividend Oplion: Cash CUSP:09052KM 02114112 ' 2.095.000 110.2720 231.019.65 334.3700 700,505.15 469.485 50 CENTENE CORP DB. COM Security Identifier, CNC Dividend Option: Cash CUSP: t11.5691 09/08/14 15.550.000 63.6450 989.679.75 130.3300 2.026.631 50 1,036.951 75 GENERAL ELECTRIC CO COM Security Identifier. GE Dividend Oplion: Cash CUSIP. 369604 03 25.000.00 of these shares are le your margin account 02123118 2,500.000 16.2210 40.551.71 13.6300 34.075.00 4,476.71 1,200.00 3.52% 02/26/18 2.500.000 16.2210 40.551 71 13 6300 34.075 00 847671 1,200.00 352% 03105118 800.000 16.2260 12,980.63 13.6300 10,904.00 -2,076.63 384.00 3.52% 03/07/18 5,000.000 16.2190 81,097.41 13.6300 68,150.00 -12,947.41 2,400.00 3.52% 03112118 2.500.000 16.2210 40.551.71 13.6300 34.075.00 4.476.71 1,200.00 3.52% 03/16/18 11.700.000 16.2190 189.75910 13.6300 159,471.00 -30188.90 5.616.00 3.52% Total Covered 25,000 000 405.493.07 340.750.00 44,743.07 12,000 OD Total 25,000-000 $405,493.07 $340,750.00 464,743.07 $12,000.00 KARYOPHARM THERAPEUTICS INC COM Security Identifier. KPTI Dividend Oplion: Cash CUSP 48576U116 07/12/18 25,000.000 18.6840 467,106.00 17.7800 444.500.00 .22,606.00 NINTENDO LTO ADR Security Identifier: NTDOY Dividend Oplion: Cash CUSIP:654445303 02/05/18 10,000.000 51.7910 517,906.00 42.6700 426,700 00 -91,206.00 5,027 26 1 17% Total Common Stocks $55.131.298.05 $66.231.310.15 817,100,012.10 $1,301,063 41 Page of 2 Account Humber . CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated Iityllent Every That Since 2007 DALIAR PATIO COMMUNICATIONS EXCIILLOICE Charm. tirough Penaing LC. a **at owned satsidiary of The Bank el New York Mellon Ceeporatfon (MY Melba) Itratint meter FINItA.Wcilha," 00046569 DB-SDNY-0009393 EFTA_00 I 57 178 EFTA01289541

a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Clete Acquired EQUITIES (continued) Preferred Stocks (Usted by expiration date) GAIAC CAP TR 'GTO TREED SECS SER2 CP11. Secarity Identifier ALLY PRA 8.115% FRED ORTLY MATY-02/15/2040 CALL CUSP. 36160206 ANYTIME025 V4130 DAYS BEGINS02/S/S Dividend Option: Cash 02/22/12 -•° 80,000.000 23.5350 Total Preferred Stocks TOTAL EQUITIES Ode Acquired Deathly I.MII Cod M UTUAL FUNDS /MORGAN FLOATING RATE INCOME FUND Security {daintier SHSX CLASS I CUSIP.48121.510 Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest 09128/17 318,809.777 9 4100 3,000,000.00 9.3700 2 987 247 60 -12,752.40 118.689.69 3 97% Reinvestments to Date 10,839.265 9.3910 101,787.45 9.3700 101.56392 423.53 4,035.35 397% Total Covered 329.649 042 3,101,787.45 3,088,811.52 -12,975.93 122.725 04 Total 329,649 042 $3,101,787.45 $3.088.811.52 412,975.93 3122.725.04 TOTAL M UTUAL FUNDS $3,101,787.45 $3.088,811.52 412,915.93 3122.725.04 Umeallidd Estimated Edintaled Date Acquired Quantity WI Cod Cad Bads Markel Pike Market Value Gab/Loss Annual Income Yield EXCHANGE-TRADED PRODUCTS ISHARESINC M SCI SOUTH KOREA ETF Dividend Option: Cash; Capital Gains Collin' Cash 11/03/17 13,000.000 75.8460 TOTAL EXCHANGE-TRADED PRODUCTS July 1,2018- July 31,2018 SOUTHERN FlNA NCIAL LLC Nudity link Col Jniealized Cod Bads Mild Price Market Value Ceintloss Estimated Estimated Annual Income Yield 1,882,773.60 26.5700 2,125,600.00 242,826.40 152,329.04 7.16% $1,882,773.60 $2,125,600.00 $242,826.40 $152,329.04 $57,014,071.65 Cod Bait Market Price $88,368,910.15 dirket Value $11,342,838.50 Unedited GalarLas 91,453,392.45 Stifled Estimated Annual Income nerd Security Identifier PM CUSP. 464286772 985,996.98 67.2800 $985,996.98 03d Bads 874,380.00 9874,380.00 Mild Value -111,616.98 4111,616.98 28,291.14 323% $28,291.14 Unseated Accrued Estintated Callon rattled Annual Income TOTAL U.S. DOLLARS $91,645,288.26 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) $103,094,857.94 401011116IIS Bkeeil EUNFID $11,449,569.68 $387,652.37 $3,353,486.25 Page 9 of 2' Rithed ticollent Every Year Since 2007 DM AR RA TED COMMUNICATIONS EXCILUNCI Clearing *rough Fenian IIC avoid,' evened Maid's." a The Mak a New Yak Mellon CarporatIon (MY Mellon) Perihnx 11.C.nwelber FINRASWM- 00046570 DB-SDNY-0009394 EFTA_00157179 EFTA01289542

Portfolio Holdings (continued) EURO Crning ClouIng Acaved 30.Oay Desaption Oenlily Balance Banco Currency Inas Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 44.80 44.80 EUR •75.81 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 44.80 44.80 EUR 0.00 45.81 USD 0.00 Description EQUITIES Common Stocks UBI SOFT ENTERTAINMENT 1868FR0000054470 SA M ONTREUll ACT Security Id unifier: UBI:FR CUSP. F93961416 Total Common Stocks Sainted Corny Merkel Pria Musket Value pliancy Yield 11,200.000 94.4400 1,057,718.00 EUR 1,237,435.99 USD 1,057,728.00 RIR 1,237,435.99 USD 1,057,728.00 EUR 1,237,435.99 USD TOTAL EQUITIES TOTAL EURO HONGKONG DOLLAR Merkel Value Currency Acaued Intend 1,057,663.20 EUR 0.00 1,237,360.18 USD 0.00 opting Closing Atoned 30-Day Description (Seethe Balance Balance Omen" Inane Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 89,842.25 183,242.25 HIM 23,352.03 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 69,642.25 183,242.25 HKD 23,352 03 USD Musket Value Canna 183,242.25 HKO 23,352.03 USD TOTAL HONG KONG DOLLAR CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account NumtatilM ?toy CONFIDO. L 0 00 000 Acaued Interest 0.00 000 Page 10 of 2' Rated hortlent Clewing through Pershing LLC, a voilayevnted (rely Year Since 2007 Sniffle., a The Mak a We Yak Melba DALIAR RATIO COMMUNICATIONS CarpontIon(ONY Mellon) LICILL INCE Per Ihnx 11.C. FtratActiVitecGM—00046571 DEI-SDNY-0009395 EFTA_00157180 EFTA01289543

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) JA PAN ESE Y EN Desaiphon CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance July 1, 2018 - July 31, 2015 SOUTHERN FINANCIAL LLC CP11669 Going Awued 30.04 Beta Wm Currency Income Yield 49.00 49.00 JPY -0.44 USD 49.00 49.00 JPY 0.00 -0.44 USD 0.00 Acaved Musket Yalu, Cimino/ weed TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS TOTAL JA PA NESE YEN POLISH ZLOTY Desaiplion EQUITIES Common Stocks CD PROST SA SliS ISDN PLOPITO30011 Security Ideetifier.OTGLF CUSP. X0957106 Total Common Stocks 49.00 JPY 0.00 0.44 USD 0.00 Eillnuted CkeinIty Nadal Prke Market Wine Carew YINd 20000 3,950,000.00 PIN 1,080,562.00 USO 3,950,000.00 PIN 1,080,562.00 USD TOTAL EQUITIES 3,950,000.00 PIN 1,080,562.00 USD Market Value Currency TOTAL POLISH ZLOTY 3,950,000.00 PLN 03d Mk 1.080.582.00 USD Market Value Awued Interest o00 o 00 Unreel:0d Accrued Blinded Golalloss Interest Mewl Income TOTAL PORTFOLIO HOLDINGS - U.S. $91,845,288.28 DOLLARS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 2105,436,131.71 211,449,569.68 2387,652.37 23,353,486.25 Page 11 of 21 Account ,77berISI CONFIDOs L ticellent Every Yew Since 2007 DALIARIATED COMMUNICATIONS uctuoicr Clare...through Peal*. 11C•aapronwel sataldiary a The Mak elllaw Vat Mellon CarporatIon (MY Mellon) Perihnx 11.C.nytt-tan FtiveAVVVELGM-00046572 DB-SDNY-0009396 EFTA_OOI57I 81 EFTA01289544

Portfolio Holdings (continued) Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non.U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 20 0 8, and are marked as "noncovered". Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099.8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided fo us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. e The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may changeover time and are obtained from sources we believe to be reliable ° Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided fo us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency Omen, Cash Fired Income Equities mutusi Funds ExchangeTraded Funds Total by Oaring U.S. DOLLARS 3,882,497 26,892.258 68,356,910 3,088,811 874,380 103,094,857 USD EURO 44 0 1.057.728 0 0 t.057.663 EUR HONG KONG DOLLAR 183,242 0 0 0 0 183,242 HKO JAPANESE YEN 49 0 0 0 0 49 JPY POLISH ZLOTY 0 0 3,950,000 0 0 3.950,000 PIN Total USD Equivalent 3,905,773 26.892,258 70.674.908 3.088.811 874.380 105.436.131 USD % of Allocation 4% 25% 67% 3% 1% 100% Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "N/ A" and are omitted from the Total. THEASOF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield ( EA Y ) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or Page '2 of 2' Account Numbe ItCti`t )2: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO' L-- Rated [smiler., bey Yew Since 2007 DALIAR WED COMMUNICATIONS UCILLUKt Cleanng through hakes LC. • Say anti setaldiary of me Usk N New Vat Mellon Corporation (Ely Mew) Positing UK. merter Pkilliia.GM-00046573 DB-SDNY-0009397 EFTA_00 I 57 182 EFTA01289545

PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) July 1, 2018 - July 31, 2018 SOUTHERN FlNA NCIAL LLC Estimated Annual Figures (continued) guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political. and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities. thereby overstating them. Refer to www pershing.coml disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions. Money Market Fund dividend income. Bank Deposit interest income. or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts. please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions. regardless of the cause. or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities, and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Page '3 of 2' Account Number: CON CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FIDO. Ram timilent fray Year Since 2007 OMAR MITO COMMUNICATIONS EXCULINCI Clewing Heater Pashas LC. • k•A•ti owned sobsidiary of TM Usk el Mew 'fort Mellon OnotatIon (MY Mellon) Per Oinx 11.C.rnet-to IthRA.%WiLka.GM-00346574 DB-SDNY-0009398 EFTA_00 I 57 I 83 EFTA01289546

Schedule of Realized Gains and Losses Current Pe iod Date Dale Realized Desolation Disposed Acquked Designation Cispodlion Method! Traoadion Quantity Proceeds Cod Bads Gain:Loss Short Term NWERS LIMITED LTD 0705/18 12112117 Covered first In First Out! SELL 2.000 000 504173 64 516,820 51 -12,246.87 005889 Security Identifier 55343593 SOUTH AFRICAN RAND C 07/25/18 07125118 Nonmetal* first In First Out! SELL 6168196.590 505,55017 50417314 977.03 Security Identifier. ZAR999996 ALPHABET INC CAP STK 07120/18 04102118 Covered first In Fed Out! SELL 1.000100 1.122.873.40 1,004,634.49 118.23811 Security Identifier 02079K97 PUT ALPHABET INC CL 07/23/18 05122118 Covered first In First Out / WIRE OPT SHT -10.000 12.943.83 0.00 12,943.83 D25.00 Security Identifier. 990AM 8601 Total Short Term 2.145 941 54 2,026,028.64 119,912 90 Long Term WASHINGTON MUT MTGS 07/25/18 12/13/13 Noncovered'' REPYMT OF PRIN 1.290,000 000 1,966 95 1,505.09 461.86 004-RA2 MTGPASSTHRU CTFCL C- Original Cost Basis:1506.09 B•1 VAR RATE 6.998%07/25133 Security Identifier 939336520 Total Long Term 1.966.95 1,505 09 461.86 Total Short and Long Term 2.147.908.49 2.027.533.73 121374.76 Date Dale Realized Description Disposed Acquired Designation Disposition Method r Dansadion Quantity Proceeds Cod Basis Oaintoss As of Trades HONG KONG DOLLAR CUR 06/11/18 12121117 Nonoovered' Versus Purchase! SELL 35,044.370 4,465.07 4,483.15 .18.08 Security Identifier. 111(0999999 06/11118 05102118 Noncovered' Versus Purchase! SELL 7,738.030 985.92 985.77 0.15 06111/18 05102/18 Noncovered' Versus Purchase! SELL 10.014.150 1,275.92 1,275.74 0.18 06/11/18 06105118 tioneoyeted. Versus Purchase! SELL 7.738.030 985.92 985.84 0.08 06/11/18 06/11/18 Noncovered' Versus Purchase! SELL 1.902.365.420 242.384.32 242.441.46 47.14 08/11/18 06111118 Noncovered' Versus Purchase! SELL 2,839,974.790 361.847.07 361,932.38 15.31 06111/18 06111118 Noncovered' Versus Purchase! SELL 1.697.089.980 216,229.75 216,280.73 40.98 06111118 06/11/18 Noncovered' Versus Purchase! SELL 2,577,887.920 328,454.04 328,531.47 -77.43 06/11/18 06/11/10 Noncovered' Versus Purchase! SELL 2.140.921650 272.779.77 272,844.08 44.31 06/11/18 06/11/18 Noncovered' Versus Purchase! SELL 1,895,607.510 241,523.28 241,580.22 46.94 06111/18 06111/16 Noncovered' Versus Purchase! SELL 876,585.300 111,687.55 111,713.88 -26.33 06/11/18 06/11/18 Nonoovered' Versus Purchase! SELL 2.532.555.050 322,678.08 322,754.16 -76.08 06/11/18 06111/18 Noncovered' Versus Purchase! SELL 1.683.744.780 211,981.15 212,031.14 49.99 06/15/18 06/15/18 Nonoovered- Versus Purchase! SELL 982.444.650 125.136.24 125.163.35 -27.11 Page 14 of V 9tCtin C Account Numb CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO L-- Rated Excellent Every Year Since 2007 DALBAR Mit° COMMUNICATIONS LXCILLINCI Clewing through PenhieglIC. a *lay ~ad sabsidiary of The Mak at New Vat Mellor. CarporatIon (OM WNW Per tin 11.C.nwt-bn Itt.U.g4q2PM- 00346575 DB-SDNY-0009399 EFTA_00 157184 EFTA01289547

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) July 1,2018- July 31,2018 SOUTHERN FINANCIAL LLC Noncovered under the cost basis rules as defined below. Generally, securities acquired before 201i in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as 'covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account. we may markthe account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes. especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition. corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information.as it relates to corporate actions. has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1399-8 or online displays you may have available to you W hen you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRSor other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election. type of fixed income security. and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less t han one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. ' The cost basis of this security has been provided Co us by you or your introducing firm and Pershing makes no representation ask, the accuracy of this in formation. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account If you do not select a method, your account will be defaulted to First In, First Out (FIFO) Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRSForm 1099-B M essages Although a money market mutual fund seeks to preserve the value of your investment at S1per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-13( b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Account Number... CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID 'NOV Page '5 of 2' Rated Excellent Clasen. Racier Persian LC. a ~gowned Every Year Since 2007 saandlary al The lank a Nov York Mellon DM AR RATED COMAWNCATI0NS Corporatton(ativ Man) EXCELLENCE Anthem rren-nan ne,RA.PkiY,EPM_00046576 DB-SDNY-0009400 EFTA_00 157 185 EFTA01289548

Activity Summary (All amounts shown are in base currency) Claes TNsPeilod Debits ThisPerlod Net IbisPoilod CridlleYem4o-Dale Deal:Marti-Dote Net Yeet-lotate Securities Securities Bought 9.00 .1,663,727.44 .1,553,727.44 0.00 .33.486.011 41 .33,486,011.41 Securities Sold 2,110,054.01 0.00 2,110,054.01 36,082,992.89 0.00 36,082,992.89 Total Securities $2,110,054.01 41,553,727.44 $556,326.57 $36,082,992.89 433.486.011 41 $2,596,981.48 Dividends and Interest $265,397.23 50.00 $265,397.23 $1,650,378.32 $0 .00 $1,650,378.32 Distributions $539.75 $000 $539.75 52,604,207.61 $0.00 52,604,207.61 Fees $0.00 -$506 00 4506.00 $0.00 41,164.00 41,164.00 Taxes Withheld $0.00 4629 93 4829.93 $0.00 47,000.37 47,000.37 Other $0.00 $0 00 $0.00 $0.00 477.65 477.65 Cash Withdrawals 9.00 0.00 9.00 0.00 -2,967,113.93 -2,967,113.93 Deposits 83,599.61 0.00 83,599.61 1,966,822.04 0.00 1,966,822.04 Total Cash $83,599.61 $0.00 $83,599.61 $1,966,822.04 42,967,113.93 41,000,291.89 Totals $2,459.590.60 41,555,083.37 $904,527.23 $42,304,400.86 436,461,367.36 $5,843,033.50 Transactions by Type Activity of Process Dade Settlement Transaction Dote Dote Activity Type DesalptIon Goatee Prim Awued lateral Amount twenty Securities Bought and Sold 07111/18 07109118 PURCHASED EfELA INTER LLC f DELA AWING GTO FIRST PRIORITY SR %CD 1,909,900.000 102.8750 48.888 89 -L017,644.89 USD Elal45141N NT 114A 11000% 07P6123 81E DTD 0712/4 ClB YLD 9.47 TO PAR 07116/18 07/12118 PURCHASED KARYOPHARM THERAPEUTICS INC CON UNSOLICITED ORDER 25,000.000 18.6440 467,106.00 USD KPH AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 07/23/18 YOUR OPTION ASS GNED CALL DO ALPHABET INC CLC EKP 07.20.5 41110 GOOG 10.000 0.00 USD 990AM BOOB CLOSING TRANSACTION 07/23/18 YOUR OPTION WIRED PUT HO ALPHABET INCUCE/207-20-11(312250000 10.000 0.00 USD 990AM 8601 CLOSING TRANSACTION 07/24/18 07/20/18 SOLD ALPHABET INC CAP STK CL C ACCT OPT ASSIGNED OPTCUSIP -1.000.000 1.100.0000 1.099.929.70 USD GOOG NOAH860H 07130/18 07126/18 SOLD RAND 4,668,596.590 13.1907 505,550.67 USD Page 16 of 21 CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) Account Numbs-11M CONFIDO. RCM L Rated Cioalent Every Year Since 2007 DALIAR RATED COMMUIIICATIONS LXCILLINCI Clewing *roar Pate, IIC a wiepreved subsidiary a The Mak a New Yak Meta CarpotatIon (OM Mellon) P U.C.ertn—bn FilislAVVVELGM-00046577 DE1-SDNY-0009401 EFTA_00 157186 EFTA01289549

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) July 1, 2018 - July 31, 2018 ertlITle FMK] CIAIA NINA' i ir Proceed Trade; Settkmenl Trance:Hon Date Dale AclivRy Type Desaiption Duality Price Accrued Interest Amount Corrency Securities Bought and Sold (continued) 07130/18 07/25/18 SOLD NASPERS LIM 'TED LTD INNS ZAEDO 00 16889 ALLOCATED -2100.000 3.335.0004 6.668.596 59 DR NAPRF ORDER YOUR BROKER ACTED AS AGENT AS OF 07125/201 504,573 64 USD 07/30/18 REINVEST CASH INCOME .PMORGM FLOATING RATE I HCOM E FUND CUSS I 958.010 4.916 55 USD PHSX 3286910320 SIRS SIRS PURCH. AT 59.37000 RD 0712/3 PO 07130113 Total Securities Bought and Sold U S. DOLLARS -41888.89 51.752 93 USD RAND 0.00 6,668,596.59 ZAR TOTAL USC EQUIVALENT 0.00 504.573.64 USD Dividends and Interest 07/05/18 FOREIGN SECURITY DIVIDEND HS8C HOLDINGS PLC ORD SHS IS NO G80005405286 RD 05/1 -24,800.000 2.480.00 USO RECEIVED PD 07105/1 DIV @ol HBCYF 07/1018 BOND INTEREST RECEIVED 3000000 URA INTER LLC I BRA RN INC GTD FIRST 150.000.00 USD 30 '62RAA9 PRIORITY SR SECO NT 414A D 000% 07111238/E DTD 0714117 CLB RC 06/29 PD 07/15/1 07116/18 FOREIGN SECURITY DIVIDEND 13000 MRS NINTB100 LTO AC R RO 03/29 PC OTIZI13 5.419.07 USD RECEIVED NTDOY 07/24/18 FOREIGN SECURITY DIVIDEND 7 NO 0 00 SHARES LONKING HOLDINGS LTD SHS 113,600 00 HKD RECEIVED INNS KYG6636C13 78 FOREIGN SECURITY DIVIDEND RECEIVED 14.475.39 USO 3339 HK RD 06011 PO 072413ASOF05/0/1 07/25/18 CASH DIVIDEND RECEIVED 25000 SHRS GENERAL ELECTRIC CO COM RD 06/1 PD 07/25/13 3.000.00 USD CF 07125/18 BOND INTEREST RECEIVED 490000 WASHINGTONMUT M TG SECS CORP 200 4.17A2 M TG 2.77118 USD 939336$20 PASSTHRU CTF Cl C-8-1VAR RATE 6 997% 07/25/1311E DTD 06/010 4 RD 06129 PD 0712511 07/30/18 CASH DIVIDEND RECEIVED ?MORGAN FLOATING RATE INCOM E FUND CUSS I 8.976.55 USD PHU 3286910320 SHRS RD 07126 PO 07/30/1 Account Numbe CON CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FIDe L- Rated Lateen‚ free Yen Sae 2OO7 DALIAR RATED COMMUNICATIONS IXCILLINC( Page '7 of 2' Omni through Peninnt LC, a wee owned sutesidury of The Oak of New York Mellon Corporation(aN' Mellon) Peery:11C men>, ‘2,RA.eaenfapm_oce46578 DB-SDNY-0009402 EFTA_00I57 187 EFTA01289550

Transactions by Type of Activity (continued) PrOCtit; Trade; Settlement Transaction Date Date Activity Type Description Quantity Price Acaued Interest Amount Cerrency Dividends and Interest (continued) 07/31/18 MONEY MARKET FUND CASH AC TR DWSGOVT 4.60494 USD INCOME RECEIVED PER232045 07131/18 CASH DIVIDEND RECEIVED 5000000 PM ORGAN CHASE & CO DEP SHS REPSTG 79TH PFD 73,67000 USD 4662511HA1 SERIFIXED TO FLTG RT BD RD 07/27 PO 07/30/13 ADJSOURCE CODE Total Dividends and Interest HONG KONG DOLLAR 0.00 113,600.00 HKD TOTAL USD EQUIVALENT 0.00 14.475.39 USD US. DOLLARS 0.00 251921 84 USD Distributions 07/25/18 RETURN Of PRINCIPAL 1290000 WASHINGTON M UT M TGSECS CORP 2004-RA2 M TG 539.75 USD RECEIVED PASSTHRUCTF CL C1-1VAR RATE 6.997% 07125133 BIE DTD 939336520 06/0104 R006/29 PD 07/25/1 Total Distributions U.S DOLLARS 0.00 639.75 Fees 07/02118 FOREIGN CUSTODY FEE Fgn Safekeeping UN 20$ CUSIP. F9396N-13-6 -210 USD UBSFF 07102/18 FOREIGN CUSTODY FEE Fgn Safekeeping JUN 20$ CUSP S53435-13-3 -2.00 USD NAPRF 07102/18 FOREIGN CUSTODY FEE Fgn Safekeeping JUN 2013 CUSP X0957E-8.6 -2.00 USD OTGLF 07/16/18 FEE ON FOREIGN DIVIDEND 9000 SHRS N10110400 LID ADR RD 03129 PD 07/8/13 500.00 USD WITHHELD AT THE SOURCE NTDOY Total Fees - U.S. DOLLARS 0 00 508.00 Taxes Withheld 07/16118 FOREIGN TAX WITHHELD AT 11000 SHRS NINTENDO LTD ADR RD 03129 PC 07/S/S 129.93 USD THE SOURCE NTDOY Total Taxes Withheld - U.S. DOLLARS 0.00 429.93 Other Transactions 07125118 07/24/18 ACTIVITY WITHIN YOVRACCT ALPHABET INC CAPSTK CL C INTRA-ACCT JNL -1000.000 0.00 USD GOOD 07/25/18 07124/18 ACTIVITY WITHIN YOUR ACCT ALPHABET INC CAPSTK CL C INTRAACCT Ill 1100.000 0.00 USD GOOG Total Ot her Transactions - U S DOLLARS 0.00 0.00 Page 18 of 2' Account Number: CON CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) FIDO. Rated [smitten bey Year Since 2007 DAMIARMIT0 COMMUNICATIONS EXCELLENCE Clewing through PEWS LC. a *lay coma" sobsidiary of The Mak awe« Vat Mellor. CarporatIon (MY Wilco) rs na Peri hnx LICerter-bn Ithttx. VALNYIEt9m—Ouv4657w DB-SDNY-0009403 EFTA_00 I 57 188 EFTA01289551

Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Transactions by Type of Activity (continued) July 1, 2018 - July 31, 2018 SOUTHERN FlNA NCIAL LLC PT0CRSI. Trade Settlement Transaction Date Dale Activity Type Devaiption Quanta, Price Awued Mitered Amount Cunene, Cash Withdrawals and Deposits 07/02/18 FEDERAL FUNDS RECBVED DEUTSCHE BANK TRUST 34575 10,547.40 USD USD999997 07/09/18 CUSTOMER AUTHOMZED TRANS FRIA N4G.026t1 73,052.21 USD TRANSFER US0999997 Tot al Cash Withdrawals and Deposits- U.S. DOLLARS 0.00 83,599.61 Tote Accrued Blued Total Amount TronsoctIonsexemory Told Awued Mimed Told Amount Currency US0Equtralont USDEquIvolent HONG KONG DOLLAR 0.00 113.600.00 HKD 0.00 14,475.39 U.S.DOLLARS 48.888.89 385.478.20 USD 48.888 89 385,478.20 RAND 0.00 6,668,596.59 ZAR 0.00 504,573.64 The price and quantity displayed may have been rounded. Fixed Income A nalys s Bond Quality % ol Bond Bond Duality lisket Value Motet bin Percent of Fixed name A 2,222,100.00 8% BAA 8,220,750.00 31% BA/ Lower 16,126,337.50 56% Not Rated 1,324,071.39 5% Total 28,892,258.89 100% 0 20 40 80 80 100 Bond Maturity Schedule Bond Melnik, IS 7 to 2 months Mita 5 years M8 to iO years 1 Over 10 years Total Merkel Vim %el Bond Market Value 1,005,000.00 4% 3,093,750.00 12% 2,915,240.00 11% 19.878.288.89 73% 26,892,258.89 100% Percentages of bond market values are rounded tot e nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. CONFIDENTIAL — PURSUANT TO FED. R CRII14. P. 6(e) Account Number: CONFIDO' .c. Page 19 of 21 Rated Cantlient Clewing near PaflS IIC nob* monad (very Year Since 20O7 Malawi, of The Malta New Yoh Mellon DAUIAR RATED COMMUNICATIONS CarporatIon OM Man) LXCILLINCI Pen hnx 11.C. rwett. FtuRAAR4VELGM-000 46580 DS-SDNY-0009404 EFIA_00157189 EFTA01289552

Client Service Information Your !maimed Spedad:ZEM MARTIN ZBA AN 345 PARK AVENUE NEW YORK NY 10154 Your Account Information Canted Information Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELE-CTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, w here applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at . All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.com/ about! strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. CONFIDENTIAL — PURSUANT TO FED. R CRilvl. P. 6(e) Page 20 of 21 Account Number CONFID L Wed Emden? Emmy Year Since 2007 DALIAR RATED COMMUNICATIONS LXCILLINCI Clearing lamp% PashiglIC *lay evened semidry QUM lank a Meer Yak Mellon CarpondonOINY WWI P meet. F thisIA.SW VELGM-00046581 DE1-SDNY-0009405 EFTA_00157190 EFTA01289553

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) July 1,2018 - July 31, 2018 SOUTHERN FINANCIAL LLC The Role of Pershing (continued) • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC. Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399;-. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding:a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, w itness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason( s) for their award, unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; stctibla Account Nunn C CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO L Rated Extrilem trey Year Sint 2CO7 DALBAR RATED COMMutoCATIONS ['CULMCI Page 21 of 2' Clewing %MVO /BPS C 11C. • Say anal stidiary of The Bonk a Mew Yon Mellon Caw-Alan (MY Mellon) p,, RA.get".4UGM_00046582 DB-SDNY-0009406 EFTA_00157191 EFTA01289554

PA Deutsche Bank P.O Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIAL LLD GE RED HOOK QUARTER B3 ST THOM AS VI 00802 Dlutvh• Sant etisain Marlh Mules contact Gion: Devliche Ur* Se. vier. Yen Me 3.5 Pot m.enva. 3611,11.01 Now VCAIS Ton roe tote June 1,2018 - June 30 2 It Account Number: Portfolio at a Glance ThisPeried Write-Date Your Investment Specialist: BEGIN NI NGACCOUNT VALUE JOSHUA SHOSHAN Net Cash Deposits and Withdrawals 3102,037,432.07 47,829.37 $97,272,547.37 4,083,891.50 Adjusted Previous Account Value 102,085,081.44 96,188,655.87 Dividends. Interest and Other Income 120,922.63 1458464.37 Total Taxes Withheld 485.84 4,170.44 Other Transactions -28.45 -735.65 Net Change in Portfolio' ,134,950.23 4,229,605.30 ENDiNGACCOll $102,070,019.45 $102,070,019.4 Accrued Merest 5417.745 15 Estimated Annual Income 53 248.833 26 Asset Summary 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. MI a • Pena Asset Type Pier YeatZed Lad Period This Period 3% Cash. Money Funds, and Bank Deposits 823,820.96 2152.138.08 3,505,820.11 25% Fixed Income 26,083,479.22 24,025,290.61 25,871,185.00 68% Equities 60,899,388.97 71,251,655.07 68,940,097.01 3% Mutual Funds 3,020,938.22 3,070,528.05 3,068,887.33 1% Exchange-Traded Products 6,444,920.00 937,620.00 880230.00 100% Account Total (Pie Chart) $97,272,547.37 $102,037,432.07 $102,070,019.45 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Pagel of 28 CONFIDO. L Rated Excellent (my Yew Since 2007 OM AR RATIO COMMUNICATIONS EXClattla Clawing through Penblin IIC auk*, elms sosIdlary of The Mak a New Vat Mete CoriNf Won OINY Mellon) PerIhnx 11.C. merlon iiime.E44YeiceM_00046583 DB-SDNY-00O94O7 EFTA_00157192 EFTA01289555

Summary of Gains and Losses This Period Realized Yeer-lo-Date Unrealized Short-Term Gain! Loss 74,698.81 1,225,771.23 3 266 517 44 Long-Term Gain? Loss 1535998 2.589.146.58 5.467 108 14 Net Gain! Loss 9139.23 3.814.917.81 8.733.625 58 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECB" ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 10 99 and/ or 104 2 S These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Exchange Rate Table Global Cash Ommry Closing Amount in Currency USD BaolealeM per U9) 0.111ffq Belau Base currency USO EURO 1.1674 0.8566 EURO .64 80 -75.65 HONG KONG DOLLAR 0.1274 7 8452 HONG KONG DOLLAR 69,642 25 8.877.02 ,b1PANESE YEN 0.0090 110.7500 APANESE YEN 49.00 .0.44 POLISH ZLOTY 0.2671 3.7428 Total Global Cash Balance 68.800.93 RAND 0.0729 13.7027 Exchange rates are based on interbank exchange rates as of 06/ 29! rates can vary. 2018. Exchange Money Market Fund Detail Dale Activity Type Deocaptha Mount Bean Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield 179% Activity Ending: 06/ 29/18 06/01/i8 Opening Balance 2,642,633.90 2.642.633 90 06/01/18 Deposit MONEY FUND PURCHASE 99,99996 2.742,633 56 06104/18 Withdrawal M ON EY FUND REDEMPTION .8,648.63 2.733.984.93 06105118 Withdrawal MONEY FUND REDEMPTION -1,731,636.34 1,002 348.59 06/11/18 Deposit MONEY FUND PURCHASE 744.427.29 1.746.775 88 08/12/18 Deposit MONEY FUND PURCHASE 7194.933.00 9.141.708 88 06/13/18 Deposit MONEY FUND PURCHASE 2.317.277.84 11.458.986 72 06/14/18 Deposit MONEY FUND PURCHASE 205.433.55 11,664.420 27 06/18/18 Deposit MONEY FUND PURCHASE 49,380.00 11,713,800 27 06120/18 Deposit MONEY FUND PURCHASE 125.136.24 11,838 936 51 Page 2 of 28 Account Number: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO L-- Rated ticellent trey Year Since 2007 OMAR RA TED COMMUNICATIONS EXCULINCI Clean... rough Peeshft 11C. a Say °mai sabsicliary a The Mak OW. York Mao Carponclon (IINY Wilco) Pers. Ira U.C. ertrett. DB-SDNY-0009408 EFTA_00 157 193 EFTA01289556

a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Money Market Fund Detail (continued) June 1, 2018 - June 30,2018 SOUTHERN FINA NCIAL LLC _LA Dale Activity Type Sweep Money Market Fund (continued) DEUTSCHEGOVT CASH INSTL (continued) 08/21/18 Deposit 06/22/18 Withdrawal 06125118 Deposit 06126/18 Deposit 06128118 Deposit 06129/18 Deposit Desaiption Mount Nit= MONEY FUND PURCHASE MONEY FUND REDEMPTION MONEY FUND PURCHASE MONEY FUND PURCHASE MONEY FUND PURCHASE 6,200.00 4,339,697.00 944)64.33 3,390.99 35,681.25 7.743.10 11,845,136.51 2,505,439.51 3,450,203.84 3,453,594.83 3,489276.08 3,497,019.18 INCOM E REIN V EST 06/29/18 Closing Balance $3,497,019.18 Total All Money Market Funds $3,497,019.18 Income and Expense Summary Oment Period You4o-bare Non Tittle Taxable Noo 'noble Dividend Income Equities 16,058.37 0.00 347,772.47 0.00 Money Market 7,743.10 0.00 25,127.68 0.00 Other Dividends 58,657.12 0.00 573,397.92 0.00 Interest Income Bond Interest 38,463.94 0.00 364,183.42 0.00 Other Interest 0.00 0.00 74,499.60 0.00 Expenses Withholding Taxes 485.84 0.00 4,170.44 0.00 Fees( Foreign Securities) 0.00 0.00 400.00 0.00 Total Dividends, Interest, Income and Expenses $119,936.69 $0.00 $1,378,410.65 $0.00 Distributions Alternative Investments 0.00 0.00 0.00 273,883.28 Other Distributions .0.45 808.30 -77.65 20,084.58 Total Distributions 40.45 $608.30 477.65 $303,667.86 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: 3teg2CSI.:25 CONFID AL- Page 3 of 28 Rated Emden? Clewing through Periwig IIC ntlaprewel (very Year Since 2007 stadia" of The MBA N New York Mellon DALIAR RATED COMMUNICATIONS CapotatIon (WY meuoo) (1OILLINCI Per thing 11.C. Fret-tan rtratkrigneceTA-00046585 DB-SDNY-OOO94O9 EFTA_00 157194 EFTA01289557

Portfolio Holdings U.S. DOLLARS Account Opening Dale Quantity Number Adirity Opening Ending Banda acEg Snot Awued h10)111. income ThisYear CASH, MONEY FUNDS, AND BANK DEPOSITS Margin Balance 99,999.66 0.00 Money Market DEUTSCHE GOVT CASH INSTL 06/01/18 3,497,019.180 N/A 0829118 2,612,633.99 3,497,019.18 172 60 25.12718 Total Monsy Market $2,642,633.90 $3,497,019.18 $17260 $25,127.68 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $2,742,633.56 $3,497,019.18 $172.60 $25:127.68 Adjusted Unrealized Awued Date Acquired Matey UnN OA Cost Saris Merkel Price Market Velue Grin Loss Interne FIXED INCOMEOn Maturity Date Sequence) °Asset Backed Securities WASHINGTON M UT MTGSECSCORP 2004•RA2 V TG PASSTHRU CTE CI. C.- 61 VAR RATE Security Identifier 939336520 6.997% 07/25/33 53/ E DM 0610404 Factor: 0.36834055 EffedNe Dale:06/0113 Current Face Value: 475.49 3D 12/13113 .'3rt? 1,290,000.000 76.5190 363,585.29 93.0590 Original Cost Basis: 9638108.71 Total Asset Backed Securities $363,585.29 1,290600.000 Total Current Face Value:475 159.310 Corporate Bonds CITIZENSCOM MUNICATIONSCO SR Sedulity Identifier: 04538.0141 NT FULLY EXCHANGE FROM 44538AX9 7125%03/S/9 8/E DM03/23/01M oody Rating CAA1S8 P Rating B• 10/03117 1,000,000.000 100.0510 1,000,507.99 100.7500 Original Cost Basis:91001006.00 EXELA INTER LLCI DELA FIN INC GTD Security Identifier 3052RAA9 FIRST PRIORITY SR SECO NT 144A 9.000% 0716/238/EDM07/12/17CLBMoody Rating 83 S 6 P Retied B 1024117 2,000,000.000 97.0250 1.940.506.00 102.1250 Original Cost Basis: 51940,506.00 CONFIDENTIAL — PURSUANT TO FED. R CRIAA, P. 6(e) Account Number.. 30.0ey Current Yield Yield 1.73% 1.79% Estimated Wingate; Annual Income Yield 442,178.50 78,593.21 2,678.37 $442,178.50 $78,593.21 $2,678.37 $0.00 1,007,500.00 6,992.01 20,781.25 71,250.00 7 07% 2.042.500.00 101,994.00 91,66617 200600.00 9 79% Page 4 of 28 CONFIDO. nOi2C 25 L Rated ticellent Clewing emir Pagel% I1C a %AM/0mM bay Year Since 2007 Moldier, of TItt oak el Mew Vat Mellon DALIAR WM COMMUNICATIONS Carponban My Mellon) EXCILLUKt Per I linx 11.C. mtntan FINRA.SIVVELGM-00046586 DB-SDNY-0009410 EFrA_00 I 57195 EFTA01289558

a Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) June 1,2018 - June 30,2018 SOUTHERN FINANCIALLW Date Acquired Quantity Unit Cost FIXED INCOM E (continued) Corporate Bonds (continued) J3,5 INV TS GM Bli GTD SR NT REG S 'SINS USA29866AB53 7250% 04103124 BlE DTD 04/03/65 8 P Rating 10/31/I7 2.000.000.000 99.0650 DEUTSCHE BANK AG NTS ISM* UO62541133 4 296% 05124128 8/E MD05/24/B FORBGN SECURITY ST CPN DIE 11241131loody Rating Bat S 8 P Rating BB. 06/01/18 1,000,000.000 91.7780 DEUTSCHE BK AG N Y BRH VAR INNS U625620689 4.875% 1210132 8/E DTD 2/0117 CALLABLE 12/0127 06/01/18 1,000,000.000 86.8260 SERVICEMASTER 00 NT 7250%03/0138 BIE DID 03102/98 ST CPN DTE 09/0198 CPN PY T SD/ I ANNUAL ON MAR 01AND SEPO%loody Rating 82 S 8 P Rating 8 10/18/17 500,000.000 103.9360 10/19/17 350,000.000 103.9380 10/20117 80,000.000 103.9440 10131117 70.000.000 103.9470 Total Covered 1400 000 000 Total 1 000 000 000 Adlutaed Gad Bala Market Rice Market Voice Unrealized Glint Los Accrued Eshr el ed Esluraled Interest Annual Income Yield Security 'denting:0,29866AM 1,981,300.00 96.8540 1.931.080.00 -44,220.00 35,041.67 145,000.00 7.48% Original Cost Basis: 51981300.00 Security Identifier 25625All 3 917,776.00 90.0220 900,220.00 -17,556.00 4,296.00 42,960.00 4.77% Original Cost Basis: 5917.776.00 Security Identifier:25626868 868.256.00 85.5520 855.520.00 -12,736.00 3,927.08 48,750.00 5.69% Original Cost Basis: $868156.00 Security Identifier: 81760NA65 519.682.44 99.6250 498,125.00 -21,557.44 11,982.64 36,250.00 727% Original Cost Basis: 5520,003.00 363,784.13 99.6250 348.687 50 -15,096.63 8,387.85 25,375.00 727% Original Cost Basis: 5364,006 00 83.155.41 99.6250 79,700.00 4.455.41 1,917.22 5,800.00 7.27% Original Cost Basis: 583206 00 72.763.10 99.6251 69.737 50 4,025.60 1,677.57 5,075.00 727% Original Cost Basis: $72.806.00 1,039,385.08 996,250.00 -43,135.08 23.965 28 72,500.00 51,039,385.08 5996,250.00 -$43,135.08 $23,965.28 $72,500.00 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account ttua CONFIDO =on Page 5 of 28 Rated Galls. Clewing through Penhing 11C. a *lay evme4 bay Yew shat 2007 stitaldiary of The crank a New Yak Melba OMAR PATILDCOMMUNICATIONT Corporation (eta Mellon) a r....‘ , ,..., UC82.04a m_00046587 Ponitint UK. feenter liMtn.48M 52L‘ DB-SDNY-0009411 EFTA_00 I 57 196 EFTA01289559

Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit Cost FIXED INCOM E (continued) Corporate Bonds (continued) ASSURANT INC FXD TO FLTG SUB NT 7.000% 03127/48 EVE DTD 031271E CALLABLE0372M 0 DO 000Moody Ral ing 8A1 03/29118 2.000.000.000 101.9950 Adjusted Cost Baia ,PM ORGAN CHASE& CO DEP SHSREPSTG METH PFD SFR 'FIXED TO FLTG RT BD 5828% 0412358 B/E DTD 04/23108M oody Rating BAA3S& P Rating BBB- 06115111 '.?V 2500,000.000 107.5000 06115/11 " 12 2.500.000.000 107.0000 Total Noncovered 5,000,000.000 Total 5,000,000.000 SOUTHERN CALIF EDISON CO PREF SER E 6 250% 0117/62 BlE OTC 0t17/12 CALLABLE02109220 DO 000M ood y Rating BAAIS& P Rat mg BBB- 01130/12 3.000.000.000 99.8930 GENERAL ELEC CO GTD FXD-TO-FLTGRT NON-CUMULATIVE PERPETUAL PREFERRED 4 000% 2/03465 REG DTD 1003/ 46Moody Rating A3 S& P Rem BBB* 12/03/15 2.469.000.000 88.0930 LLOYDS BANKING GROUP PLC FXD RATE RESET AD DL TIER 1SECS US539439AG42 7.500% 04127188 BfE DTD 0410711166 P Rating BB- 04/10/14 " i2 1.903.000.000 102.3910 Market Price Security Identifier. 0462S(AK4 2.039.903.33 100.9420 Original Cost Basis: $2,040,005.00 Security Identifier: 46625HHA1 2,687,500.00 100.7500 Original Cost Basis: $2,687.50000 2,675,000.00 100.7500 Original Cost Basis: $2,675,000.00 5,362,500.00 $5,362,500.00 Security Identifier: 842400 FU2 2.996.786.30 106.5009 Original Cost Basis: $2.992.564.97 Securdy Identifier 359604BM 4 2,175016.17 90.0000 Original Cost Basis: $2,175.01317 Security Identifier: 539439AG4 1.948.500.00 101 5500 Original Cost Basis:61948.500 00 Market Value Unrealized Gain(Loss Awued Estimated Estimaled interest Annual Income Yield 2.018.840.00 -21.063.33 36.166.67 140.000.00 6.93% 2,518,750.00 -168,750.00 24,688.06 145,700.00 5.78% 2,518,750.00 -156,250.00 24,688.05 145,700.00 5.78% 5,037,500.00 -325,000.00 49,376.11 291,400.00 $5.037,500.00 -$325.000.00 $49.376.11 $291.400.00 3,195,000.00 198,213.70 77,604.17 187,500.00 5.86% 2.222.100.00 47,083.83 4.115.00 98.760.00 4.44% 1.932.496 50 -16,003.50 1 189.38 142.725 00 7 38% Account Numbe eta g2C 51'C25 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L-- Rabid Einellent trey Year Since 2007 MBAR MUD COMMUNICATIONS EXCIILUNCE Page 6 of 2 Clown. through Penang U.C. a tAtolly owned sabsidiary of The lank a New York Mellon Carpontlon(ONY Megan) PrOirtt ,ii,eA.SCLenfacm_oo046588 DB-SDNY-00004 12 EFTA_00 I 57 I 97 EFTA01289560

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired FIXED INCOME (continued) Corporate Bonds (continued) CITIGROUP INC 110 RT SR NT PERP DEP RECPT 5.950% 08115/88 WE DTD 0 WM% CALLABLE0815/20 0 1)0.000Moody Ratiag BA2 68 P Rating 88• 08106/15 3,000,000.000 100.0000 June 1,2018 - June 30,20 18 SOUTHERN FINANCIAL LLC Oustity IAN Cost Adjusted Cod Bads Market Pike Tot al Corporate Bonds 25,372,000 000 TOTAL FIXED IN COM E 26,662,000 000 Date Aorked EQUITIES Common Stocks ALIBA&A GROUP NLDG LTD SPONSORED ADR ISINSUS0509W1327 Dividend Option: Cash 06110/IS ALPHABET INC CAP STK CL C Dividend Opl ion: Cash 04102118 AMAZON COM INC Dividend Option: Cash 03/29/18 500.000 1423.8620 04/02118 500.000 1,367 0210 Total Covered 1.000 000 Total 1.000 000 Queenly the Cod Security Identifier:1296725 3.000.005.99 103 0000 Original Cost Basis:53,03,mm $25,270,442.86 $25,634,028.15 Cost BUN Merkel Price Market 'lake 3,060,000.00 $25,235,006.50 525,677,185.00 Market Value Unrealized Gain toss Accrued Estimated Estimated Interest Annual Income Yield 89,994.01 06,937.50 178,500.00 5.77% 435,438.38 $416,066.78 $1,619,345.00 $43,156.85 $417,745.15 $1,619,345.00 Unsealzad Oehalloss &Salted Solkeeted Maud Income Yield 5,000.000 1,000.000 1,004.6340 SEEM Identifier: MBA OMR 01309WS2 88.9500 444,749.00 185.5300 Sealy Identifier: GOOG cUSP 02079K1)7 1.004.634.49 1.115.6500 Secerrly Identifier AUDI CUSP. 023135136 1,699.8000 1.699.8000 711.930.80 683.510 38 1.395,441 113 81.395.441 18 CONFIDENTIAL — PURSUANT TO FED. R CRIM, P. 6(e) 927 650.00 1115.650 00 849.900 00 849,900 00 1.699.800 00 81.699.800 D0 482,901 00 111.015 51 137,969.20 166.38962 304.358.82 5304.358.82 Account Number CONFID L Rated Excellent Every Year Since 2007 DAllIAR In= COMMUNICATIONS EXCELLENCE $0.00 Page 7 of 28 Clewing liner Pollan EEC awl*, evened tissue! a The Melt a New Yak Mellen Ceeponelan (IINY Mellon) Perihnx 11.C. rnertn iireleARKeiteM-000 46589 DE1-SDNY-0009413 EFrA_00 157198 EFTA01289561

Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired EQUITIES {continued) Common Stocks (continued) APOLLO GLOBAL M GM T LLCCL A IS Dividend Oplion: Cash 263,6700 of these shares are in your margin account 03/29/11 " 3 263.157.000 19.0000 4.999.983.00 31.8700 8.386.813.59 3.386.830.59 513.156.15 6.11% APPLE INC COM Security Identdier. AAPL Dividend Oplion: Cash CUSIP: 03783300 12/07/17 214.000.000 169.8140 36.340.223.40 185.1100 39.613.539.97 3.273.316.57 624.880.00 1.57% 06120118 50,000.000 186.7940 9,339,697 00 185.1100 9.255.500.03 -84,196.97 146,000.00 157% Total Covered 264,000 000 45.679.920 40 48,869,040.00 3,189,119.60 770,880.00 Total 264,000100 345,679,920.40 348,869,040.00 33,189,119.60 3770.880.00 BIOGEN IDEC INC COM Security Identifier. BNB Dividend Oplion: Cash CUSIP 09062X03 02114112'0 2,095.000 110.2720 231,019.65 290.2400 608.052.80 377,033.15 CENTRE CORP DE COM Security Identifier: CNC Dividend Oplion: Cash CUSP: tt35801 09/08/14 15,550.000 63.6450 989.679.75 123.2100 1,915.915 50 926,235 75 GENERAL ELECTRIC CO COM Security Identifier. GE Dividend Oplion. Cash CUSP. 36960403 25.000.00 of these shares are m your margin account 02/23/18 2500.000 16.2210 40.551.71 13.6100 34.025.00 4,526.71 1,200.00 3.52% 02/26/18 2.500.000 16.2210 40.551.71 13.6100 34.025.00 4,526.71 1,200.00 3.52% 03/05/18 800.000 16.2260 12.980.63 13.6100 10.888.00 -2.092.63 384.00 3.52% 03/07/18 5,000.000 16.2190 81,097.41 13.6100 68.050.00 -13,047.41 2,400.00 3.52% 03/12/18 2.500.000 16.2210 40.551.71 13.6100 34.025.00 4.526.71 1,200.00 3.52% 03/16/18 11.700.000 16.2190 189,759.90 13.6100 159,237.00 -30,522.90 5,616.00 3.52% Total Covered 25,000 000 405.493,07 341250 00 -65,243.07 12,000 OD Total 25.000.000 3405.493.07 3340.250.00 465,243.07 $12,000.00 NINTENDO LTD ADR Security Identifier: 0700Y Dividend Oplion: Cash CUSP:654445303 02/05/18 10,000.000 51.7910 517.906.00 40,7900 407.900.00 -110,006.00 4.689.56 1.14% Total Common Stocks 355,668,826.54 364,271,071.89 38,602,245.35 31,300,725.71 Quantity Unit Cap Cast Basis Market Price Made Value Unrealized Oainlloss Estimated Whaled Annual Income Yield Security kind Kier APO CUSP 03764306 Account Hornbill= CO CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFIDO L Rabid Extrilent hely Year Since 2007 DMIAR TED COMMUNICATIONS EXCILLOICE Page 3 of 23 Clown. tivour Pershing LC. a %*ay owned atlas., of The Bank a New York Mellon ConeratIon (eta Mellon) PtrOirtt member Faan.g4qa.GM_00046590 DB-SDNY-0009414 EFTA_00 I 57 I 99 EFTA01289562

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Cate Argued Quantity Unk Col Cod Bads Market Rice Market Value Jniealtzed Gam on Estimated Estimated Annual Income Yield EQUITIES (continued) Preferred Stooks (Listed byexpiration date) GMAC CAP TR IGTO TR PEG SECS SEM CPR- 8.45% FRED ORTLY MATT-0211512040 CALL ANYTIME 025 W130 DAYS BEGINS 02/1/13 Dividend Option: Cash Security Identifier ALLY PRA CUSIP 36160208 02122/12 ' •° 80,000.000 23.5350 1182,773.80 28.3000 2.104.000.00 221,228.40 152,329.04 723% Total Preferred Stooks $1,882,773.60 $2,104,000.00 $221,228.40 $152,329.04 Options CALL AO ALPHABET INCCAPSTK CL C Option Identifier: 990A118G0H DP 07.20.5 0100.000 Underlying Security Identifier 6006 OPTION ROOT: GOOG Underlying Security Nice:5116.65 -1.00 of these contrails area salon position 05122/18 -10.000 22.9440 42,943 70 34.3000 -34,300.00 81,358.30 PUT '00 ALPHABET INC CAP STK CL C Option Identifier: 990A118601 EXP 07-20-10125000 Underlying Securay Identifier: GOOG OPTION ROOT: GOOG Underlying Security Prix: $115.65 .13.00 of these contrails area don position 05/22118 -10000 121440 -12,943.83 2.7000 -2,700.00 10,243.83 Total Options 435,887.53 437,000.00 41,112.47 $0 00 TOTAL EQUITIES $67,515,712.61 188,338,071.89 $8,822,359.28 $1.453.054 75 Unrealized Estimated Estimated Ore knelled Oulatky Uni Cod Cost Bade Marled RS Monet 94194 Oalriloss Annul Income Yield MUTUALFUNDS 111 ORGAN FLOATING RATE INCOME FUND Security Identifier: ,PHSX CUSS I CUSIP. 48121310 Open End Fund Dividend Option. Reinvest: Capital Gains Option: Reinvest 09/28/17 318109177 9.4100 3.000.000 00 9.3300 2174.495.23 -25.504.77 118.396 38 398% Reinvestments to Date 9,881.255 9.3930 92.810 90 9.3300 92,192.10 818 80 3.669.60 398% June 1, 2018 - June 30,2018 SOUTHERN FINANCIAL LLC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDOP Rated Escoilent (my Yew Since 2007 OMAR RATIO COMMUNICATIONS UMIAK( Page 9 of 28 Clewing liner Fenian IIC a whey evened sotaldianr a The Mak a New Yak Meta Ono-atlas My Mellon) Per I Finx 11.C. maderimeA.WAKateM—00046591 DE1-SDNY-0009415 EFTA_00 157200 EFTA01289563

Portfolio Holdings (c tit Inuccf) U.S. DOLLARS (continued) Unrealized OsteAcquited Quotas LIM Coq Cod Weis Motet Price Market Value Cain Loss MUTUAL FUNDS (continued) MORGAN FLOATING RATE INCOU E FUND (continued) Total Covered 328,691 032 3,092,810 90 3 066,687 33 Total 328.691.032 $3,092,810 90 $3 066.687 33 TOTAL MUTUAL FUNDS $3,092,810.90 $3.066.687.33 0de Accitied Quantity Unit Cod Cod Barb Market Price Market Value EXCHANGE-TRADED PRODUCTS ISHARESINC II SG SOUTH KOREA Elf Dividend Opl ion: Cash: Capital Gains Option: Cash 11103/17 13.000.000 75.8460 TOTAL EXCHANGE-TRADED PRODUCTS Security Identifier EWY CUSP. 16/286772 985,99618 67.7100 880230.00 $985,996.98 $680,230.00 Cod Bads Mad VOA TOTAL U.S. DOLLARS $90,725,567.82 $99,459,193.40 EURO Oblitiv9 Clot° Descriptioa Cletinlity Balace Bina Currency CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 44.80 44.80 EUR -75.65 USD Estimated Eslimaled Annual Income Yield -26 123 57 122.065 98 426 123 57 3122 065.98 426 123 57 8122 065 98 Unrealized Geinloss Estimated Estimaled Annual Income Yield 321% -105,766.98 28,291.11 4105,766 98 Unrested Gal:dins Accrued letetal $28,291.11 Ella/Med Annual income 58,133,625.58 3417,745.15 Mailed Income 83247,884.55 30-Day Yield TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 44.80 44.80 91R 0.00 Description EQUITIES Common Stocks UBI SOFT DITERTAINIA ENT 11,200.000 93.9800 1,052,576.00 EUR -75.65 USD 0.00 Deafly Merkel Rae Maddt Vabe Wen, ISMS FR0000051470 SA MONTREUIL ACT Security UBI:FR WSP F9396N136 Total Common Stocks 1,228,777.22 U9) 1,052,576.00 EUR 1,226,777.22 USD TOTAL EQUITIES 1,052,576.00 EUR CONFIDENTIAL - PURSUANT TO FED. R. CRIM. 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 Meta C EFTA_00157201 EFTA01289564

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) EURO (continued) lune 1,2018 - June 30,2018 SOUTHERN FINANCIAL LLC Market Value Clarence Accrued Interest TOTAL EURO HONGKONG DOLLAR 1,052,511.20 RJR 0.00 1228,701 57 USD 0.00 CP*19119 Closing Amid 304:by Desuiption Oveney Ban Mane Currency Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 60.534 58 69.642 25 HKD 8.877.02 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 60,534.58 69.642.25 HKD 0.00 8,877.02 USD 0.00 Moved Market Value twang banal TOTAL HONG KONG DOLLAR JAPAN ESE YEN Discrbalon OPINP8 Oesothy Basco 69,642.25 HKD 8,877.02 USD Ming Maim Currency 0.00 0.00 Moved 30-Day Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 202,366.00 49.00 JPY -0.44 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 202,366.00 49.00 JPY -0.44 USD Market Value Currency 0.00 0.00 acauml Ritual* TOTAL JAPANESEYEN 49.00 JPY 0.00 -0.44 USD 0.00 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDO. L Rated Excellent Every Year Since 2007 DAtRAR RA TED COMMUNICATIONS CAC:MINCE Page 11 of 28 Clewing Omer Penblin IIC sub./ evened sotaldlarg a The lank a New Yak Mellon Caeporatke (Iltly Peri U.C.rriteter FINRAVVYTLGM-00046593 DB-SDNY-0009417 EFTA_00157202 EFTA01289565

Portfolio Holdings (continuel) POLI SH ZLOTY Es aled DesonrAien OtanlIty Nanti Rb Market Value Cuneo*/ ViNd EQUITIES Common Stocks CO PR0.EKT SA SHS 20,000.000 161.8000 3.236.000.00 FIN MN/ PL0P11030011 864,591.24 UW Seturity Ideatifier 07GLF CUSIR X0957ED6 Total Common Stocks TOTAL EQU ITIES 3,236,000.00 FIN 864,591.24 USD 3,236,000.00 FIN 864,591.24 USD Acuued Market Velue Currency Interest TOTAL POUSFI ZLOTY 3,236,000.00 PLN 0 00 864,591.24 USO 0 00 RAND Deacriplion EQUITIES Common Stocks NASPERS UNITED LTD 2,000.000 3,05.0000 6,970,000.00 ZAR 12 999 89 0.18% ISINtZAFA000Ti889 508,656.66 USO 948.71 Security 1444'116er: NAPRF WSP. 56343593 Total Common Stocks Esbral ed Este aled Quitte Market Ria Market Value Currency Annal I ncome field TOTAL EQUITIES 6,970,000.00 2AR 506,656.66 USD 6,970,000.00 2AR 508,656.66 USD Market Value Cortina 12,999.89 948.71 12,999.89 948.71 Accuse Estimai.] lutant Moud lemme TOTAL RAND 6,970,000.00 2AR Cod Baas TOTAL PORTFOLIO HOLDINGS - U.S. 590 725 667 82 DOLLARS CONFIDENTIAL - PURSUANT TO FED. R CIRAI. P. 6(e) Accourt Numbe Market Value 8102,070,019.45 CONFID 0.00 12,999.89 508,656.66 UW 0.00 948.71 Undeeized Acaued Ettioneted Geddloss Inteued Annuel Incont 18,733,625.58 8417,745.15 83,248,833.26 Page 12 of 28 Rated Capaient (n'y "'COI Sin« 2007 DMIARRATED COMMUNKATONS UOILLOICE Clean„erough PenbimiLLC aida/ "ana istaidiary of Tee hait el Na Yak Melon *flamba (IINY Melon) Perihnx LIC membe oreneklYaGM_ 00046594 DS-SDNY-0009418 EFTA_00157203 EFTA01289566

a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) June 1, 2018 - June 30,2018 SOUTHERN FlNA NCIAL LLC • Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovereda. Securities marked as "covered-, were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 10 99.8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed , there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. 6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may changeover time and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basisinformation, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of Misinformation. Holdings Summary by Currency Omency Pah aced Income Equities Mutual Funds Exchange•Tioled Funds Total by Omency U.S. DOLLARS 3.497,019 25,677 185 66,338,071 3.066.687 880,230 99,459,193 USD EURO 44 0 1,052,516 0 0 1,052,511 EUR HONG KONG DOLLAR 69,642 0 0 0 0 69,642 HID JAPANESE YEN 49 0 0 0 0 49 JPY POLISH ZLOTY 0 0 3,236,000 0 0 3,236,000 PIN RAND 0 0 8.970.000 0 0 8,970.000 ZIA Total USD Equivalent 3.505.820 25,877,185 88,940,097 3,086,687 880,230 102,070,019 USO % of Allocation 3% 25% 68% 3% 1% 100% CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number 2:E::t M:025 CONFIDO. Page 13 of 28 Rated Dttllent Clewing through Pagel% IIC•aapronwel Every Yew Since 2007 sotaldiary of The Baikal Mew Yen Meta DALBAR RATED COMMUNCATIONS Canceatlan(IINY Melon) DIMLING( Per Oita LLC. member FilislAAR4VELGM-00046595 DB-SDNY-0009419 EFTA_00 157204 EFTA01289567

Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the close of the statement period. The market prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer. and may differ from the actual sale price. Securities for which a price is not available are marked "N/ A" and are omitted from the Total. THEAS OF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political. and business conditions, they should not be relied on for making investment, trading. or tax decisions. These figures assume that the position quantities, interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.coml disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions. including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions. regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities, and do not address suitability for investment purpose Credit ratings should not be relied upon as investment advice. sco= Account Nan CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID AL Rated ['mental (my Year Since 2007 DALBAR RATED COMMUNICATIONS EXCELLING( Page '4 of 28 Clewing %MVO PISS% LLC • ittlay owned sdasidlary al The Bank ol Mew Yon Mellon Caw- Rion (ONY Mellon) ,It•RA.%4%LeM_00046596 DB-SDNY-0009420 EFTA_00 157205 EFTA01289568

PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gans and Losses Current Period June 1, 2018 - June 30,2018 SOUTHERN FlNA NCIAL LLC Description Date Disposed Dale As:puked Designation Disposition Method, Tumid ion Gummy Proceeds Cod Bads Realized Galnaoss Short Term HSBC HOLDINGS PLC OR 06/11118 12/04/17 Covered first In First Out! Sal 24800 000 242441 46 246.679 75 4,238.29 9GB0005405286 Security Identifier. G46341.159 CONKING HOLDINGS LTD 06111118 12104117 Covered first In First Out! SELL 710,000.000 361,932.38 254,284 78 107,647.60 KYG5636C1378 Security Identifier. G5636037 NINE DRAGONS PAPER H 06/11/18 12104117 Covered first In First Out / SELL 144.000.000 216,280.73 248,603.69 .32,322.96 DSHSISIN*611G65311305 Security Identifier 0653500 HONG KONG DOLLAR CUR 06/11/18 12121117 Noncovered' Fist In First Out! Sal 35,044.370 4.465.07 4,483.15 .18.08 Security Identifier. HKC999999 06111118 05102118 NoncoverS' first In First Out! SELL 7.738.030 985.92 985.77 0.15 06111118 05102118 Noncovered' First In First Out / SELL 10,014.150 1,275.92 1,275.74 0.18 06111118 06105118 Noncovered' first In First Out / SELL 7.738.030 985.92 985.84 0.08 06/11/18 06111118 Nonoovered' Versus Purchase/ sa 1.902.365.420 242.384.32 242,441.46 -57.14 06/11118 06/11118 iloncovered. Versus Purchase! SELL 2.839.974.790 361,847.07 361,932 38 .15.31 06/11/18 06111/18 Noncovered' Versus Purchase! SELL 1.697.089.980 216.229.75 216,280 73 40.98 06111/18 06/11118 Noncovered' Versus Purchase! SELL 2,577,887.920 328,454.04 328,531 47 -77.43 06/11/18 06111118 Noncovered' Versus Purchase! SELL 2.140.925.650 272.779.77 272,844 08 .64.31 06111/18 06/11118 Noncovered' Versus Purchase! SELL 1,895,607.510 241,523.28 241,580 22 -56.94 06/11/18 06111118 Noncovered' Versus Purchase! SELL 876.585.300 111.687.55 111,713 88 -26.33 06/11/18 06/11118 Noncovered' Versus Purchase! SELL 2,532,555.050 322,678.08 322,754.16 -76.08 06111/18 06115118 06/11118 06/15118 Noncovered' Noncovered' Versus Purchase! SELL Versus Purchase! SELL 1,663.744380 982,444.650 211.981.15 125,136.24 212152:016331 3154 -49.99 -27.11 Total 19,169,715.630 2,442,414.08 2,443,003.37 589.29 APANESE YEN CURRENC 08/11/18 12131/12 Noncovered' First In First Out! SELL 202.366.000 1,838.96 1,913.62 -74.66 Security Identifier. )1999993 06/11/18 06/11/18 Noncovered' first In First Out! SELL 22.404.343.000 203,594.59 203,879.73 -285.14 Total 22,606,709.000 205,433.55 205,793.35 .359.80 NABTESCO CORP TOKYO 06/11/18 12/04/17 Covered first In First Out! SELL 6.300.000 203,879 73 247,402.49 -43,522.76 INS.P365213001 Security Identifier. A7070100 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Numb cig stoe2 CONFID Rated Ein4lent trey Year Since 2007 OMAR MUD COMMUNICATIONS EXCIILUNCE Page *5 of 23 Chinni through Penn{ ISC. a tAtolly owned sobsidlay of me Oak a New York Mellon Caw -alai MY Mellon) P.”.P.ni: tic.,... , ii,,R,...g%PdaG, M_00046597 DB-SDNY-0009421 EFTA 00157206 EFTA01289569

Schedule of Realized Gains and Losses Current Pen d (continued) Desolation Dee Cispotad Dole Acµied Designation Oispoillon Method r Transaction Ouw19q Proceeds Cod Beds Wind Weans Short Term (continued) POUSH ZLOTY CURRENC 08121118 06/19/18 Noncovered' first In First Out! SELL 3,523,782.000 944,164.33 944,789.66 25.33 Security Identifier. PLN989997 CD PROST SA SHS IS 06/19/18 03/27/18 Covered first In First Out SELL 10,000.000 442,565.89 331,804.35 110,961.54 000011 08119118 04/06/18 Covered first In First Out I SELL 11,348.000 502,223.77 399,831.10 102,392.67 Security Identifier: X095TES6 Total 21,348.000 944,789.66 731,435.45 213,354.21 ZTE CORP SHS H ISDIt 06115/18 12704/17 Covered first In First Out! SELL 70,600.000 125,163.35 250,418.14 -125,254.79 Y2 Security Identifier: 90004F1)5 ANHUI CONN CB/ ENT C 06/11/18 12104117 Covered Fro In First Out! SELL 52,500.000 328,531.47 149,65315 78,877.71 H ISIN9 CNE170000 W2 Security Identifier: 1047392 BANK OF CHINA LTD BE 06111/18 12/04117 Covered first In First Out! SELL 512,000.000 212,844.08 249,547.66 23,296.41 H ISHII CNE90000 45 Secutity Identifier: Y0698At7 CHINA COMMUNICATIONS 06/11/18 12/04/17 Covered First In First Out! SELL 224,000.000 241,580.22 249,308.76 -7,728.54 ION COMPANY LTD SUS If 15911 CNE 900002F5 Security Identifier: VESA/8 DONGFANG ELECTRIC CO 06111118 12/04/17 Covered First In First Out! SELL 150.200 000 11131386 127.36512 -15,651.24 LTD SHS H ISINICNE90000304 Security Identifier 120958137 WEN:HAIPOWERCO LTD 06111118 72/04/17 Covered first In First Out / SELL 228,000.000 322154.16 247,186.75 75,587.41 NIUNES0000419 Security Identifier 1953%99 DIUZHOU CRRC nm ESE 06/11/18 12/04/17 Covered first In First Out / Sal 43,400.000 212,031.14 254,566.74 42.537.60 LTD SUS 41- ISIN9 CHEW 0004%4 Security Identifier Y9892N94 ADVANCE MICRO DEVIC 06/07/18 09/15/17 Covered First In Fast Out! SELL 20,000.000 297,770.92 245,612.36 52,158.56 Security Identifier:00790397 06/07118 12/15/17 Covered Ant In First Out! SELL 30,000.000 446,656.31 368,912.57 79,743.80 Total 50,000.000 744,427.29 612,524.93 131,902.36 BER1(SHIRE HATHAWAY I 06/08/18 02105118 Coveted Frit In Flirt Out / SELL 3.000 881,312.95 931276.00 -16,654.35 A Adjustment -33.308.70 Adjuslment Type: W Security Identifier 084670108 06108/18 02/16/18 Coveted first In First Out! SELL 3.000 881,312.95 921,086.00 -39,773.05 06/08/18 03119118 Coveted first In First Out! SELL 3.000 881,312.95 915,406.00 -34,093.05 06108/18 03123/18 Covered First In First Out! SELL 3.000 881,312.95 888,106.00 1,793.05 Page 16 of 28 CONFIDENTIAL — PURSUANT TO FED. R CRlIcl. P. 6(e) Account Numb.= CONFIDO. L Rated ticellent trey Year Since 2007 DM AR IMO COMMUNICATIONS EXCELLENCE Cleanng through timbre11C nob* evened Malaita" of The Mak ether Vat Meta Carpotaban (MY wilco) rerihng noara.frRt4YeraGM_ 00046598 DI3-SDNY-0009422 EFTA_00157207 EFTA01289570

Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) Dale Date Desolation Disposed Acquired Designation Short Term (continued) BERKSHIRE HATHAWAY I 08108118 03127118 Covered (continued) 08108118 05121118 Covered Total GILEAD SCIENCESINC 08/08/18 10124117 Covered Security Identifier. 37555893 08108118 05102118 Covered 06108118 05103118 Covered 08108118 05/18/18 Covered Total OUALCONI/ INC 08/08118 04118118 Covered Security Identifier. 747525133 06108118 04120118 Covered Total CALL 'SNARES TR M SCI 06/18/18 01/17/18 Covered 55.00 Security Identifier 990AUeRM Total Short Term Long Term GILEAD SCIENCESINC 06/08/18 02105114 Covered Security Identifier 3755581)3 06108/18 03107114 Covered 06/08/18 05/18118 Covered 06/08/18 05118/18 Covered June 1, 20 18 - June 30, 2018 SOUTHERN FINANCIAL LLC Cisposilion Method Tfiliadioil Cuanlily First In First Out! SELL 3.000 First In First Out! Sat 2.000 113day(s) added to your holding period a a melt of a wash sale. first In First Out! Sat Adjustment: -7,348.17 Adjustment Type: W first In First Out! SELL first In First Out! Sal. first In First Out! 900.000 227 day(s) added to your holding period as a resat of a wash sale. 17.000 4,400.000 2,500.000 1,000.000 first In Fug Out! Sat first In First Out! SELL 8,800.000 2,500.000 1,500.000 10,000.000 first In First Out! WIREOPTION 2,400.000 first In First Out! Sat 5.000.000 Adjustment: -36780.48 Adjustment Type: W first In First Out! 3,100.000 Adjustment: -23,828.56 Adjustment Type: W first In First Out! 58.1 5,000.000 Your lot has been adjusted due to awash sale for mote the one year First In First Out! SELL 3,100.000 Your lot has been adjusted due to a wash sale for mote than one year Total CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 16,200.000 Account Nun atm CONFIDO L- Rands Cod Ms Realized Gain loss 881,312.95 904,428.00 -23,113.06 587,541.99 627,414.70 -39,872.71 4,004,106.74 5,97,714.70 -160,299.26 316,471.34 352,395.71 -28,576.20 179,813.28 181,432.49 -1,619.23 71,925.30 72,588.60 -661.30 84,732.77 72,862.30 -7,929.53 632,942.67 679,077.10 -38,786.26 150,673.41 145,432.61 5,240.80 452,020.24 436285.83 15,734.41 602,693.65 581,70.44 20,975.21 0.00 105,806.00 -105,606.00 14,150,724.57 14,116,682.63 74,698.81 359,828.52 396,407.00 0.00 222,988.44 246,797.00 0.00 359,828.53 399,636.79 40,010.26 222,988.45 248,790.47 -25,831.02 1,165,189.94 1,291,640.26 45,841.28 Rated ticellent bereecor Since 2007 DALIARMITO COMMUNICATIONS exasuttra Page 17 of 28 Clewing liner Pagel% I1C ..miry evened sneakier, NTH. kelt New Vat Meta Canceation My Mellon) Per I Pinx 11.C. mett• FINRAVVVELGM-00046599 DB-SDNY-0009423 EFrA_00157208 EFTA01289571

Schedule of Realized Gains and Losses Curren, Period (continued) Dosaiplion Long Term (continued) WASHINGTON N UT M TG 004•RA2 M TG PASSTHRU CTFCL 84 VAR RATE 6997% 07125/33 Security Identifier 939336520 Date Whored Dale Acquired Designation 06/22/18 12113113 Nonooveree l Cispoeition Method) Ttantadion Ouanlity REPYM T OF PINN Original Cost Basis: 1569.72 Realized Proceeds Cod Bads Gainrloss 1.290.000 000 2,051.42 1,56932 481.70 Total Long Term Total Short and Long Term 1,167,241.36 1,293,209.98 15,359.58 15,317,965.93 15,409,892.61 9.339.23 ' Noncovered under the cost basis rules as defined below. Generally, securities acquired before 20 1T in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 20 0 8, and are marked as "noncovered". Securities marked as 'covered', were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10 9 98, the cost basis will not be reported to the IRS. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition. corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions. has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made alter year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have available to you W hen you report your cost basis on your tax return. it should be verified using all of your own records. In particular, there may be other adjustments which you need to make. but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your lax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion. original issue discount adjustments. or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes. obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less t han one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. ' The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. w Wash Sales Loss - This adjustment is the amount for a disallowed wash safe loss. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRSForm 1099.8. Account Numbeu stone =on CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO Rated DtWiem hely Year Since 2007 I/MARIAM COMMUNICATIONS UMIAK( Page '3 of 28 Cloying tlrougli Persiwg U.C. a weal owned atlas, of me Bank col New York Mellon Gnat-noon (SHY Mellon) P.,,Pmg RC. ,...,,n •u,Rn.111 Y'aGM_00046600 DB-SDNY-0009424 EFTA_00 157209 EFTA01289572

PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 M essages June1,2018 - June 30,2018 SOUTHERN FINANCIAL LLC Your statement reflects a substitute payment reimbursement because you received one or more substitute payments last year in lieu of a qualified dividend. This reimbursement is being made because substitute payments do not receive the same preferential tax rate as qualified dividends. We credited your account with an amount equal to 13.33% of each eligible substitute payment. based on the difference between an assumed rate on ordinary income of 25% and the rate for qualified dividends of 15% (10% difference). We amended your reimbursement from 10% up to 13.33% to adjust for taxes paid on the reimbursement. This income will be reported on your Tax Information Statement as 'Other Income' on Form 1099-M 1SC, Box 3. If you received a substitute payment reimbursement with respect to income from an investment company (mutual fund or unit investment trust), you may have received less than 13.33% of the corresponding substitute payment. Since incom e from investment companies may consist partly of non qualified dividend income, your reimbursement was calculated only on the percentage of income that qualifies for the preferential tax rate. If you have any questions regarding your reimbursement, please contact your advisor. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share. it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10(b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (A., ar,ounts my' n a. e in base current/) Credits ThisPetiod Debits ibis Period Net Dna Period Credits Year-to-Date Debits Yeer4o-Date Net Year-to-Date Securities Securities Bought 0.00 -11,136,860.46 -11,136,860.16 0.00 -31,932283.97 -31,93228317 Securities Sold 15,315,914.51 0.00 15,315,914.51 33,912,938.88 0.00 33,972,938.88 Total Securities $15.315.914.51 411.136.860.46 $4.179,054.05 $33.972.938.88 431.932.283.97 $2,040.654.91 Dividends and Interest $120,922.53 $0.00 $120,922.53 $1.384,981.09 $0.00 $1.384.981.09 Distributions $808.30 $0.00 $608.30 $2.803667.86 $0.00 $2.803.667.86 Fees $0.00 428.00 428.00 $0.00 4658.00 4658.00 Taxes Withheld $0.00 4985.84 4985.84 $0.00 46,170.44 46.170.44 Other $0.00 40.45 40.45 $0.00 477.65 477.65 Account Numbern C stoen CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDg AL Rated Eintilent Every Year Sine 2007 DALIAR RATED COMMUNICATIONS IxcIRENCE Page '9 of 23 Clewing tivough Pershing U.C. w %lag owned subsidiary of The Bank ol New York Mellon Corporation18NY Mellon) P.,,Pmg tic. ‘II•R A.B aYSIlia. DNem Y --0°°094 30466°2 1 D 5 EFTA 00157210 EFTA01289573

Activity Summary (continued) *Sits ThIsPetlind DebitoThisPerlind Net TbisPerlod Credits Yer-to-Date Debt Yeor4o-Dete Net Yew-to-Dote Cash Withdrawals 0.00 -181,250.00 -181.250.00 0.00 -2,967,113.93 -2,967,113.93 Deposits 228879.37 0.00 228.879.37 1.883.222.43 0.00 1.883.222.43 Total Cash 5228.879.37 4181.250.00 $47.629.37 51.883.222.43 -52.967.113.93 41.083.891.50 Totals 515,666,324.71 -511,319.124.75 $4,347,199.96 539,844,810.26 434,906,303.99 54,938,506 27 Transactions by Type Activity of Prom* Trade; Settlement Trona:Non Date Date Adivity Type Description OuantNy Price Atoned Third Amount Cogency Securities Bought and Sold 06/05/18 06/01/18 PURCHASED DEUTSCHE BANK AG NTS ISMS US25'625AM 334296% 1.000,000 000 91.7770 -1.312.67 -919.08867 USD DB4D0915 05/24/28 B/E DTD 05/24/13 CLB YLD 5.372 TO MAT 06/05/18 06101/18 PURCHASED DEUTSCHE 8K AG N Y BMI VAR (SINS US25126BN894.875% 1.000.000.000 86.8250 -541.67 468.191.61 USD DB457174 12/0132 B/E DTD 12101 17 CLEI YLD 6.272 TO MAT 06111/18 06107/18 SOLD ADVANCED MICRO DEVICES INC COM UNSOLICITED ORDER 40.000.000 14.9288 744,427 29 USD AM D AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 06/12/18 06108/18 SOLD BERKSHIRE HATHAWAY INC DEL CI. A UNSOL AVERAGE UNIT -17.000 293.789.8629 4.994.106 74 USD BRK A PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 06/12/18 06108/18 SOLD GILEAD SCIENCES INC UNSOLICITED ORDER AVERAGE UNIT -25.000.000 71.9664 1,798,132.61 USD GILD PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 06112/18 06108/18 SOLD OUALCOM IA INC UNSOLICITED ORDER AVERAGE UNIT PRICE -10,000 000 60.3107 602,693 65 USD MOM TRANSACTION YOUR BROKER ACTED AS AGENT 06113/18 06111118 SOLD HONG KONG DOLLAR -18.187.270.980 7.8485 2,317,277 84 USD 06/13/18 06111/18 SOLD H SBC HOLDINGS PLC ORD DM IS NO GB0005405286 -24.800.000 76.9065 1.902.365.42 HKO HSBA:GB ALLOCATED ORDER YOUR BROKER ACTED AS AGENT AS OF 242,441 46 USD 06/11201 06/13/18 06111/18 SOLD LONKING HOLDINGS LTD SASISNS KYG5536C978 ALLOCATED -710.000.000 4.0103 2.839,974 79 HE' 3339 HK ORDER YOUR BROKER ACTED AS AGENT AS OF 06/11201 361.932 38 USD 06/13/18 06/11/18 SOLD NINE DRAGONS PAPER HOLDINGS LTD SH5 -144,000.000 11.8158 1,697,089 98 HKD 2689:11K (SINS BM665313105 ALLOCATED ORDER YOUR BROKER ACTED 216.280 73 USD AS AGENT AS OF 06/1201 06113/18 06/11/18 SOLD ANHUI CONCH CEMENT CO LTD 915 H IS1Nt CNE100000112 -52,500.000 49.2295 2.577.887 92 HKD 9$111 ALLOCATED ORDER YOUR BROKER ACTED AS AGENT AS OF 328,531.47 USD 06/11201 06/13/18 06/11/18 SOLD BANK OF CHINA LTD BEING SHS H ISMSCHET00004S -512,000 000 4.1923 2,140,925.65 HKD 3988:11K ALLOCATED ORDER YOUR BROKER ACTED AS AGENT AS OF 272,844 08 USD 06/11201 Page 20 of 28 Account Number CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Hated Excellent Every Yew Since 2007 DALBARMITO COMMUNICATIONS LXIALLINCI Clewing through Pealing 11C. a Say owned sobsidiary of TM Bank a Mow Vat Mellon CogNeatIon My Wilco) rs A na res.. Pelting U.C.ertretty Ittato..4W 42Nm—Ouv4ouu4 DB-SDNY-0009426 EFTA_00157211 EFTA01289574

PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) June 1,2018 - June 30,2018 SOUTHERN FINANCIAL LLC Props Trade; Settlement Transaction Date Date Activity Type Description Quality Price Accrued Interest Amount Currency Securities Bought and Sold (continued) 06/13/18 06/11/18 SOLO CHINA COMM UNICATIONS CONSTRUCTION COMPANY LTD WS -224.000.000 8.4844 1.895.607.51 HKO 100 HK H ISNICNED00002F5 ALLOCATED ORDER YOUR BROKER 241,580 22 USD ACTED AS AGENT AS OF 061W201 06113/18 06111118 SOLD DONGFANG ELECTRIC CORPORATION LTD SASH -150.200100 51512 876,585 30 HKD 1372tIK ISIN1 CR E130000304 ALLOCATED ORDER YOUR BROKER 111.713 88 USD ACTED AS AGBIT AS OF 0611,201 06113/18 06111/18 SOLO WBCHAI POW ER CO LTD SHSH 'SINS NED 00004L9 -228.000100 11.1364 2.532.555.05 HKO 2338:liK ALLOCATED ORDER YOUR BROKER ACTED AS AGENT AS OF 322,754.16 USD 06/17201 06113/18 06111/18 SOLO ZHUZHOU CRRC TIM ES ELECTRIC CO LTD SHS-H- .43.400100 38.4342 1,663,744.78 HKD 3898:HK 'SINS CNED00004X4 WITH DUE BILLS ALLOCATED ORDER 212,031 14 USD YOUR BROKER ACTED AS AGENT AS OF06/112013 06114/18 06111118 SOLD APANESE YEN -22,606,709.000 110.0439 205,433 55 USD 06/14/18 06111118 SOLO NABTESCO CORP TOKYO 915 LTD ISINS P36521001 6.300.000 3.561.5873 22.404.343.00 JPY 6268:P ALLOCATED ORDER YOUR BROKER ACTED AS AGENT AS OF 203,879.73 USD 06/1,201 06118/18 YOUR OPTION WIRED CALL 130 ISHARES TR MSCI EMERGING M KTS ETF ELP -2.400.000 0.00 USD 990AUIRM 06.5.5055.000 OPTION ROOT: Eli EDI CLOSING TRANSACTION 06120/18 06115/18 SOLO HONG KONG DOLLAR -982.444.650 7.8510 125.136 24 USD 06/20/18 06115/18 SOLD ZTE CORP SHSH ISINO CNE900004Y2 ALLOCATED ORDER -70,600.000 13.9516 982,444.65 HKD 763 HK YOUR BROKER ACTED AS AGENT A$ 0E0615/206 125.163 35 USD 06/21/18 06119/18 SOLD CD PROIXT SA SHS ISMS PLOPTIC000 tl ALLOCATED ORDER 21.348.000 165.2038 3,523,782 00 PIN OTGLF YOUR BROKER ACTED AS AGENT AS OF 06/81/201 944.789 66 USD 06/22/18 06120/18 PURCHASED APPLE INC COM UNSOLICITED ORDER AVERAGE UNIT PRICE 50.000.000 186.7538 -9.339,697 00 USD AAPL TRANSACTION YOUR BROKER ACTED AS AGENT 06/25/18 06/21/18 SOLO POUSH ZLOTY -3,523,782.000 3.7298 944,764.33 USD 06128/18 FtBNYEST CASH INCOME PM ORGAN FLOATING RATE INCOM E FUND CLASS I 993 268 4.277.12 USD .PHSX 327697.7640 SHRS SHRS PURCH. AT 59.34000 RC 06/26 PO 06/28/13 Total Securities Bought and Sold HONG KONG DOLLAR 0.00 19.109.181.05 HKD TOTAL USD EQUIVALENT 0.00 2,435,272 87 USD Account Number C .= ttogn . CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFID Page 2* of 28 Rated ticellent trey Year Since 2007 OMAR MITO COMMUNICATIONS LXCULINCI Clewing through hushing 11C. • May anal sobsidiary of TM Bonk a New Yak Melba CaneratIon (MY Wilco) PerOing LICertrett. IthitA.Pknii2PM-00046603 DB-SDNY-0009427 EFTA_00157212 EFTA01289575

Transactions by Type of A ctivrt y (continued) Pims Trade; Senielen! Tranuellon Date Date Adivity Type Total Secur dies Bought and Sold (continued) Desaiption Quantily Ria Acaued Inkreeg Mount Cortency APANESE YEN 0.00 22.404.343 00 JPY TOTAL UW EQUIVALENT 0.00 203.879.73 USD POLISH ZLOTY 0.00 3.523.782 00 PIN TOTAL UW EQUIVALENT 0.00 944,789.66 UW US. DOLLARS •1,854.34 595.111.79 UW Dividends and Interest 06/15/18 CASH DIVIDEND RECOVED 2469000 GENERAL ELEC CO GTD FXD-TO-FLTG RT 49,380.00 UW 369604814 NON-CUM ULATIVEPERPETUAL PREFERRED 4.000% 2103165 REG DTD 121025 CLB RD 05131PD 06151E 06/20118 CASH DIVIDEND RECEIVED 9000 SHRSQUALCOMM INC RD 05130 PD 061201E 6200.00 UW %OM 06/25/18 BOND INTEREST RECEIVED 290000 WASHINGTON M UT MTGSECSCORP2004-FLA2 M TG 2.782.69 USD 939336620 PASSTHRU CTF CL C-B-1VAR RATE 6.997% 07125/33 B/E DTD 06/0104 RD 05/31P006/2511 06/27/18 FOREIGN SECURITY DIVIDEND 52500.00 SHARESANHUI CONCH CEM ENT CO LTD SHS H 77,380.28 HKD RECBVED ISINKCNE13000 OV 2 FOREIGN SECURITY DIVIDEND RECEIVED 9.858.37 UW 914 HK R0060513 P006271 ASOF 061051E 06/27/18 FOREIGN BOND INTEREST 103000 LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL 35.681.25 UW 539439A04 TIER 1SEC.S ISINI US539439AG42 7.500% 04127/88 BIE DTD 04/0704 CLB RD 06126 PO 061271E 06128/18 CASH DIVIDEND RECE1VED "MORGAN FLOATING RATE INCOM E FUND CLASS I 9277.12 UW .PHSX 3276973640 SHRS RD 06/26 PO 06/28/1 06129/18 MONEY MARKET FUND DEUTSCHEGOVT CASH 7.743.10 UW INCOM E RECENED PER232045 Total Dividends and Interest HONG KONG DOLLAR 0.00 77,380 28 HKO TOTAL UW EQUIVALENT 0.00 9.858.37 UW U S. DOLLARS 0.00 111.064.16 UW Distributions 06/25/18 RETURN OF PRINCIPAL 290000 WASHINGTON Al UT M TG SaSCORP 2004-RA2 M TG 608.30 UW RECOVED PASSTHRU CTF Cl. C-B-1VAR BATE 6.997% 07125133 BIE DTD 939336620 06/0104 RO 06/31PO 06/25/13 Total Distributions - U.S. DOLLARS 0.00 608.30 Page 22 of 23 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Numbe C g SteatONFID Rated barrem ben. YtOt Sime 2007 PAMS Maa COMMUNICATONT SMUK( Glenns %push Paslet LLC, awlay *weed sabsidlars of ne laak of New York Menen Capoestbon SONY ~Ion) Isinhirts IK. en ,ilis,..g;".1 GM_00046604 DB-SDNY-0009428 EFTA_00157213 EFTA01289576

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) June 1, 2018 - June 30, 2018 SOUTHERN FINANCIAL LLC Ross Trade; Settlemenl Transaction Date Dale Adivity Type Desaiption 0karmy dice Accrued Interest Amount Caring Fees 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSIP. F9396H-V-6 -2.00 USD UBSFF 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSIP. CA 63411.1-9 -2.00 USD HBCYF 06101/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP GS6360.13-7 -2.00 USD LONKF 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP 66531.1-0 -2.00 USD NDGPF 06101/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP J47010-/-0 -2.00 USD NCTKF 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP 5534354.3 -2.00 USD NAPRF 06101/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 2011 CUSP X09S7E-0-6 -2.00 USD OTGLF 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 WSW. Y0004 F-10-5 -2.00 USD ZTCOF 06101/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP Y01373-D-2 -2.00 USD AHCHF 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP Y0698A-13 -7 -2.00 USD BACHF 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP Y1R3611-8 -2.00 USD CCCGF 06101/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP. Y20958.1.1 -2.00 USD DNGFF 06/0 1 /18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP Y95314-9-9 -2.00 USD WEICF 06101/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP Y9892N-13-4 -2.00 USD ZHUZF Total Fees - U.S. DOLLARS 0.00 -28.00 Page 23 of 28 Account Number CO ttogn . CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO. L Rated Wallin, Every Yea %Kt 2007 DAtIAR PARDCPAKINICATIONS UCUIANCE Clewing through Pealwg LC.* ittlay anal sttaldiary of The Mak N Mew Vat Mellon Corporation (ltly Melba) PrOtint tC. mentor FinIzA.%41‘. 00 - 00346605 DB-SDNY-0009429 EFTA_001572 14 EFTA01289577

Transactions by Type of Activity (continued) Process Dade Settlement Transaction Date Date Activity Type DesaWin Quantity Price Accrued Interest Amount Cumemy Taxes Withheld 06127/18 FOREIGN TAX WITHHELD AT 52500.00 SHARES ANHUI CONCH CETIBITCO LTD SHSH 2,738.03 HKD THE SOURCE ISINt CHEM 000IV 2 FOREIGN TAX WITHHELD AT THE 185.84 USD 9MilK SOURCE RD 06058 PO 06271 AS OF 0 6/0 511 Total Taxes Withheld - HONG KONG DOLLAR 0.00 -7,738.03 Total USD Equivalent 0.00 485.84 Ot her Transactions 06120/18 06119116 FREE CREDIT BALANCE APANESE YEN CURRENCY FREE CREDIT BALANCE INTEREST 49.00 JPY -0.45 USD INTERESTCHARGE CHARGE FREE CREDIT INT CHRG 05-20.13 TO 06.1.8 FOR PY999993 CUSTOMER ACCOUNT Total Other Transactions - JAPANESE YEN 0.00 -49.00 Total USD Equivalent 0.00 -0.45 Cash Withdrawals and Deposits 06101/18 FEDERAL FUNDS RECEIVED DEUTSCHE BANK TRUST 40387 75,879.37 USD US0949997 06/04/18 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST 14500.00 USD USD999997 06104/18 FEDERAL FUNDS RE-CBVED DEUTSCHE BANK TRUST 02098 136,000.00 USD USD999997 06104/18 FEDERAL FUNDS RECEIVED DEUTSCHE BANK TRUST 00335 17,000.00 USD USD999997 06105/18 FEDERAL FONDS SENT DEUTSCHE BANK TRUST 16,750.00 USD USD999997 Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 47,629.37 Tots *coved mutt TotalAmount Transactions arrentay Total Acand Merest Told Amount Currency USD Equivalent USD6nhalent HONG KONG DOLLAR 0.00 19,178,823.30 HKD 0.00 2,444,145.40 JAPANESE YEN 0.00 22,404294.00 JPY 0.00 203,879 28 POLISH ZLOTY 0.00 3,523,782.00 PIN 0.00 944,789 66 U.S. DOLLARS -1,854.34 754,385.62 USD -1,854.34 754,385 62 The price and quantity displayed may have been rounded. Cash Not Yet Received Security Dividends GENERAL ELECTRIC CO COM Record Date Payable Dale Quantity Held Rale Dividend Option Amount of Payment 06/18/18 07125118 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Plumberli= 25.000.000 0.120000 CONFID Rated hotlient (very Yet Since 20O7 DALIAR RATED COMMUNICATIONS EXCELLENCE Cash 3,000.00 Page 24 of 28 Clewing through Politic 11C. awl*, wend MISS." of The Bask N New Yak Melba CarporatIon Melba) Panama U.C. arae-txt FaitIAAR4VELGRA_00046606 DE1-SDNY-0009430 EFTA_00157215 EFTA01289578

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Cash Not Yet Received (continued) June 1,2018 - June 30,20 *IS SOUTHERN FlNA NCIAL LLC Security Record Date Payable Date Quality Held Rate Dividend Option Amount of Payment Interest BRA INTER NC/ EXELA RN INC GTD 08129118 07115118 2,000,000.000 0.050000 Cash 100,000.00 FIRST PRIORITY SR Total Cash Not Yet Received $103,000.00 Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information Fixed Income Analysis Bond Quality Bond Quality A 2,222,100.00 9% BAA 8,232,600.00 32% BA! Lower 13,924,888.50 54% Not Rated 1,297,898.50 5% Total 25,877,185.00 100% 0 % of Bard Market Value Markel Value Percent of Axed Income 20 40 60 80 100 Bond Maturity Schedule %of Bond Bond Maturity Market Vdua Mrk t Valet MI 7 to 32 months 1,007,500.00 4% lE6 to 10 years 4,879,800.00 19% M Over 10 years 19,789,885.00 77% Total 25,877,185.00 100% Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Doors ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Client Service Information Your Invedment Seeded!: DU JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10017 Contact infuriation Telephone Number: CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 25 of 28 Account Humber CONFIDO. 2., L Rated Excellent Extra Year Since 2007 OMARMT/al COMUJNICATIONT EXCELLENCE Clewing through PeesNng LC. *Slay evened .ae.Ml.rra The kelt ether Yak Mellen Caeponalan Sly Mallon/ Pere. etc member FlteRA.UVVEPA-00046607 DB-SDNY-0009431 EFTA_00157216 EFTA01289579

Your Account Informati n TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC 0 Ell VERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, w here applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit:www.pershing.com/ aboutf strength-and-stability. • This statement will be deemed conclusive. You ere advised to report any inaccuracy or discrepancy , (induding unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be t page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; . Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, w itness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason( s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the Page26 of 28 CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) Account Nunber acc"O NFID gfttAL- RAS hottlent (very Year Since 2007 DALIAR RATED COMMUNICATIONS LICILLINCI Clearing Um* P.S. LI-Caul*/ evened atolls" of The MSc al New Yoh Meta Caporation OINY Mellon) Perihnx1K. mtett• FINRAAKELGM-00046608 DE1-SDNY-0009432 EFTA_00157217 EFTA01289580

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) June 1,2018 - June 30,2018 SOUTHERN FINANCIAL LLC Important Arbitration Disclosures (continued) panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC. Legal Department. One Pershing Plaza. Jersey City. New Jersey 07399; Account Homo Ulf OE m-vrs CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO AL- Rated Curilem beet Yes, Since 2007 DA/BARRATIO 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

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TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TM INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TM INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TM RETURNS. • DIVIDENDS. INTEREST AM) OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS r• ASSFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE NDEBTED TO Pf-RSHING LLC CPERSHING1 FOR ANY AMOUNT, ALL SECURITES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHNG MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEBTW TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY 8E. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABLMES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVAILABLE UPON REQUEST • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL NSPECTION AT PERSHING'S OFFICES. A COPY OF [TWILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW,PERSHING COM, • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW.PERSHING.COM/DISCLOSURES • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS - RULE 807(AX1)-(2)] PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS, OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE. 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Page28 of 28 R•ted Exuatnt Every Yet Since 2007 DALIAR RATED COMMUNICATIONS EXCELLENCE Clewing through Pealing 11C. evoke, evened sabildlary a The kek a Near Yak Meta Carponelan My Mellon) Panting U.C.nerEatt FINRA,SRKELGM-00046610 DE1-SDNY-0009434 EFTA_00157219 EFTA01289582

Deutsche Bank PO Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIALUS 6130 RED HOOK QUARTER B3 ST THOM AS VI 00802 dutt.tRo Lint ensatr •Vcallhh•NnIetmeil Madels coon. it (40.: O•vtiche Sark StANNIPI at. Yon cake 345 Pot page. JMn new Nes TON rm. C., ect May 1,2018 - May 31.2018 Account Number Portfolio at a Glance This lifted Year4o-Date Your Investment Specialist. BEGINNINGACCOUNT VALUE $96,694,233.76 $97,272,547.37 JOSHUA SHOSHAN Net Cash Deposits and Withdrawals -1,051,789.89 -1,131,520.87 (212) 454-4433 Adjusted Previous Account Value 95,842,483.87 96,141,026.50 Dividends. Interest and Other !RCM e 809,820.72 1,537,741.84 Total Taxes Withheld 4,837.90 .5,184.60 Other Transactions 608.78 -707.20 Net Change in Portfolio' 5,790,692.16 4,364,555.53 ENDINGACCOUNT VALUE $102,037,432.07 $102,037,4 Accrued Interest 5369.606 97 Estimated Annual Income 53.112.802 82 'Nef Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Asset Type Pau Yese-Eed Lad Period MsPeriod Percent • 3% Cash, Money Funds, and Bank Deposits 823,820.96 1,126,791.71 2,752,138.08 a 23% Fixed Income 26,083,479.22 27,272,063.55 24,025,290.81 • 70% Equities 60,899,388.97 64,239,589.65 71,251,655.07 kV- 3% M utual Funds 3,020,938.22 3,072,988.85 3,070,528.05 • 1% Exchange-Traded Products 6,444,920.00 982,800 00 937,820.00 100% Account Total (Pie Chart) $97,272,547.37 $96,694,233.76 $102,037,432.07 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 6'"6"NFIDO' Rats Eacttlient (my Year Since 2007 DAtRAR RATIO COMMUNICATIONS EXClattICE Page 1 of 27 °W INN INOLOgh Penis: 1.1.Caulay evened WbUdialy of The Bank Salm Vat Was Corporation OINY Wks) Perthnall.C. straw IlttliaAPARRGM-00046611 OB-SDNY-0009435 EFrA_00157220 EFTA01289583

Summary of Gains and Losses fhb Period Reeked Yeas-to-Dale Unrealized Short-Term Gain! Loss 477671.43 1,151,072.42 3,494,241 46 Long-Term Gain! Loss 11.480.86 2,654,506.16 5.213.866 30 Net Gain! Loss -239,452.29 3.805.578.58 8.708.107 76 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECB" ) and other credit institutions introduced ' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 10 99 and/ or 104 2 S These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances. Exchange Rate Table Global Cash Of rring Closing Amount in twenty USO Equivalent per U93 Currency Bala Base °WHIG/ USD CHINA RENM INS' 0.1562 6.4010 EURO -64.80 -75.63 EURO 1.1672 0.8567 HONG KONG DOLLAR 60,534.58 7,717.37 BRITISH POUND 1.3304 0 7516 SAPANESE YEN 202.366.00 1,862.78 HONG KONG DOLLAR 0.1274 7 8439 Total Global Cash Balance $9.504.52 31PANEK YEN 0.0092 108.6300 POLISH ZLOTY 0.2703 3 6988 RAND 0.0789 12.6615 Exchange rates are based on interbank exchange rates as of 05/ 3V 2018. Exchange rates can vary. Money Market Fund Detail Date /Wilily Type Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Description Amount Mance Current Yield 168% Activity Ending: 05! 31/ 18 05101/18 Opening Balance 1,119,490.43 1,119,490.43 05/02/18 Deposit MONEY FUND PURCHASE 197.470.00 1,316,960.43 05/04/18 Withdrawal MONEY FUND REDEM PTION -193.856.00 1.123.104.43 05107118 Withdrawal MONEY FUND REDEM PTION -77.556.00 1.045.548.43 05109118 Withdrawal MONEY FUND REDEMPTION -100.000.00 945.548 43 05/14/18 Deposit MONEY FUND PURCHASE 1,084,713.49 2,030,261.92 05115118 Deposit MONEY FUND PURCHASE 1,192,980.11 3,223 242.03 05116118 Deposit MONEY FUND PURCHASE 37,695.20 3.260.937.23 Account Numbe: JIM C sto:n ONFID CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Page 2 of 27 L-- Rated tactile/4 Every Yew Since 2007 MAAR RAM COMMUNICATIONS uctunia Clewing through halm; LC. • aa, anti sttaldiary of The Bask a Mew Yore Mellon Corporation (IINY hielloo) PwsPirtt t LC. meter NNan.$fl4c111,1391"— 00046612 DB-SDNY-0009436 EFTA_00157221 EFTA01289584

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Money Market Fund Detail (continued) May 1,2018-May31,2019 SOUTHERN FINANCIAL LW U Date Activity Type DescripIke Moot 84frice Sweep Money Market Fund (continued) DEUTSCHEGOVT CASH INSTL (continued) 05117/18 Deposit MONEY FUND PURCHASE 40,000.00 3,300,937.23 05118/18 Deposit MONEY FUND PURCHASE 192220.00 3.403.157.23 05122118 Withdrawal MONEY FUND REDEMPTION -1,752,477.87 1,740,679.36 05123/18 Deposit MONEY FUND PURCHASE 363,287.82 2,703,967.16 05124118 Withdrawal MONEY FUND REDEMPTION 47,612.47 2,636,354.71 05129118 Deposit MONEY FUND PURCHASE 3,312.67 2,639,667.38 05131/18 Deposit INCOM E REMY EST 2,966.52 2,642,633.90 05131118 Closing Balance 82,642,633.90 Total All Money Market Funds 82,842,833.90 Income and Expense Summary torrent Period Yomia-Oils TaxSa Han Taxable Tamable NMI Taxable Dividend Income Equities 176,824.21 0.00 331,714.10 0.00 Money Market 2,966.52 0.00 17,384.58 0.00 Other Dividends 289,340.54 0.00 514,740.80 000 Interest Income Bond Interest 2,794.59 0.00 325,719.48 0.00 Other Interest 37,695.20 0.00 74,499.60 0.00 Expenses W ithholding Taxes 4,837.90 0.00 -5,184.60 0.00 Fees( Foreign Securities) 400.00 0.00 400.00 0.00 Total Dividends, Interest, Income and Expenses 004,383.16 80.00 $1,258,473.96 PIN Distributions Alternative Investments 0.00 99,999.66 0.00 273,683.28 Other Distributions -78.78 518.08 -77.20 29,376.28 Total Distributions 476.78 8100,517.74 477.20 $303,059.56 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number ..:„ CON F I D L Page 3 of 27 Rated Entlient Gleama through halting11C nakoly wend Every Year Since 2007 sobsidiary of The Book other Yak Mellon OMAR RATED COMMUNICATIONS Ono-saw (IINY EXCELLING( Per Ihnx 11.C.Frertan IthltA.SiVillxeM-00046613 DB-SDNY-0009437 EFFA_00157222 EFTA01289585

Portfolio Holdings U.S. DOLLARS Opening Die CASH, MONEY FUNDS, AND BANK DEPOSITS Margin Balance 0.00 99 999 66 Money Market DEUTSCHE GOUT CASH 'NUL 05101118 2,642,633.900 N/A osra 111 8 1,119,490.43 Total Money Market $1,119,490.43 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $1,119,490.43 Adjusted Date Acquired Quantity We Cote Cost Basis UuMt Price FIXED I NCOM E (In Maturity Date Sequence) °Asset Backed Securities WASHINGTON M UT MTGSEGSCORP 2004•RA2 Sedulity Identifier 939336520 M TG PASSTHRU CTF CL DDIVAR RATE 6.998% 01125133 81E Olt 0610104 Factor: 0.38993081 Effective Date:05/01S Current Face Yalue: 177,20.745 12/13/13 .'"? 1,290,000.000 76.5190 365,155.01 93.0170 Original Cost Basis: $638905.71 Total Asset Backed Securities $365,155.01 $443,887.12 1,290,000.000 Total Current Face Value:477,210.745 Corporate Bonds CITIZENSCOM MUNICATIONSCO SR Sedulity Identifier: 174538AW1 NT FULLY EXCHANGED FROM 44538AX9 7.0%03/VI 8/E DID 03/23/01M oody Rating CAAISS P Rating D 10/03117 1,000,000.000 100.0570 1,000,565.67 101.2500 1,012,500.00 Original Cost Basis: S100100650 EXELA INTER LLC/ EXELA FIN INC GTI) Severity Identifier 3052RAA9 FIRST PRIORITY SR SECO NT 144A 1).000% 07/6/23 WE DT0 0719/ 17 CLBMoody Rating 83 S 8 P Rating B 10/24117 2.000.000.000 97.0250 1.940.506.00 102.3750 2,047,500.00 Original Cost Basis: 51940,50600 Account Activity Opening posing Acaued Income 30.0ey Current Corey Number Biding Balance eadance Income Ms Year Yield Yield 2,642,633.90 0.00 17,384.58 $2,642,633.90 $0.00 $17,384.58 $2,742,633.56 Minket Value $0.00 Uneealzed OelmMose $17,384.58 Awned Interest 443,887.12 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Numbeill= 1.65% 1.68% FoliceMed Muted Mani Inmate Yield 78,732.11 2,783.20 $78,732.11 52,783.20 $0.00 11,934.33 15,041.67 71,250.00 7.03% 106.99450 75.55556 200.00050 9.76% C„ONFIDO. tc: L Page 4 of 27 Rats Etotlist Clannalteash Pa* LLC nib* salmi (very Year Sins 2007 sabtialiary of Tot MS a Near Yost Man DALIAR RATIO COMMUNICATIONS Caporals SHY Man) VICILLINCI Perthnx 'river iimm.fignmeM-00046614 DI3-SDNY-0009438 EFFA_00157223 EFTA01289586

Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit Cost FIXED INCOME (continued) Corporate Bonds (continued) J38 INVTS GM BH GTD SR NT REG S 'SINS U64298664853 7250% 04103124 BlE DTD 04103/516 8 P Rating B. 10/31/17 2,000,000.000 99.0650 SERVICEMASTER CO NT 7250%03/0138 DTD 03/02/98 ET CFN DTE 09)0198 CPN PVT Sall ANNUAL ON MAR 01AND SEP011oody Rating US& P Rating B 10/18/17 500,000.000 103.9440 10/19/17 10/20117 10/31/17 350,000.000 80.000.000 10,000.000 Total Covered 1,000,000 000 Total 1,000,000.000 ASSURANT INC FXD TO FLTG SOB NT 7.000% 03/27/48 B/E DTD 03/2711 CALLABLE03/27128(i 130000Moody Riling BAA3 03/29/18 2,000,000.000 101.9970 103.9460 103.9520 103.9550 Se ORGAN CHASE 8 CO DEP SHSREPSTG TATH PFD SER1FIXED TO Fl70 RT BD 5828% 04/23156 8/E DTD 04123108M oody Rating tiaa3 S 8 P Rating BBB• 06/15/11 " 37 2,500,000.000 107.5000 *dinged Coat Dais Market Rice Security Identifier:429866AM 1.981.300.00 98.2510 Original Cost Basis: $198t300.00 Security Identifier: 81760NAB5 519.721.72 99.6250 Original Cost Basis: $520.003.00 363,811.64 99.6250 Original Cost Basis: $364 606 00 83 61.71 99.6250 Original Cost Basis:683206.00 12,768.62 99.6250 Original Cost Basis: $72.806.00 1.039.163.69 $1.039.463.69 Security Identifier: 0462'MK4 2,039,938.33 1023700 Original Cost Basis: $2.040.006.00 Security Identifier: 46625HHA1 2,687,500.00 100.6250 Original Cost Basis: $2.687.500.00 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) May 1,2018- M ay 31,2018 SOUTHERN FINANCIAL LLC Mar)el Van. e Unrealized Gain Loss Accrued Eslir sled Interest Annual Income Yield 1.965.020.00 .16.280.00 22.958.33 145,000.00 7.37% 198.125.00 -21,596.72 9.062.50 36,250.00 727% 348,687.50 -15,124.14 6,343.75 25,375.00 727% 79.700 00 -3.161 71 1,450 00 5,800.00 727% 69,731.50 .3,031.12 1268.75 5,015.00 727% 996,250.00 -43,213.69 18,125 00 72,500 00 $996.250.00 443213.69 $16,125.00 $72,500.00 2,055,100.00 15,461.67 24,888.89 140,000.00 6.81% 2,515,625.00 ,171,875.00 12,141.67 145,700.00 5.79% Page 5 of 27 Account Nina CONFIDO. L Rated Galls. Owing Omagh PenblinlIC a al*, owned Every Yea Since 2007 star, of The kek a New Yak Melba DA{ IARRATED COMMUNICATIONS Corporatfon (IINY Mellon) s (Amara Pt/0kt emote. Fii•RAAWq2Nm-00046615 DB-SDNY-0009439 EFTA_00 157224 EFTA01289587

Portfolio Holdings (continued) U.S. DOLLARS (continued) Clete Acquired FIXED INCOM E (continued) Corporate Bonds (continued) alORGAN CHASE& CO DEP SIM REPSTG (continued) 06/15111 2,500,000.000 107.0000 Nudity UM Cost Adjusted Cost Weis Hetet Price Total Nonovered Total 5,000,000.000 5,000,000.000 2.675.000.00 Original Cost Eras 5 362 500.00 $5,362,500.00 100 6250 $2875,000.00 SOUTHERN CALIF EDISON CO PREP SER E 6250%0117/62 WE DTD 011112 CALLABLE01/01220 1 0 0 0 0 M oody Rating SAM S& P Rating 88B- 01130112'•s,2 3,000,000.000 99.8910 GENERAL ELEC CO GTD FXD-TO.FLIGRT NON-CUMULATIVE PERPETUAL PREFERRED 4.000% 2/03/65 REGOTDIV03/Elloody Rating A3 S& P Rating BBB* 12/03/15 2,469,000.000 88.0930 LLOYDS BANKING GROUP PLC FXD RATE RESET AD DL TIER ISEC-5151Na US539439AG42 7.500% 04127188 WE DID 04107/NS& P Rating 88- 04/10114 .." 1,903,000.000 102.3910 CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5950% ON SAN WE DID WU 11/5 CALIABLE08115/20 D0.0008 oody Rating BA2 & P Rating BB+ 08106/15 3,000,000.000 100.0000 Total Corporate Bonds 23,372,000.000 TOTAL FIXED INCOM E 24,662,000.000 Security Idealist. 84240011/2 2,996,719.84 105.9500 Original Cost Basis: 52992564.97 Securdy Identifier: 3695048514 2.175.016.17 89.0000 Original Cost Basis: 52,1750117 Securdy Identifier: 539439AG4 1,948,500.00 104.6250 Original Cost Basis: 51948.500.00 Security Identifier 17296725 3,000,005.99 103.5520 Original Cost Basis: $3000.006.00 $23,484,515.69 $23,849,670.70 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Numbe anb NFID Market Value 2.515.625 00 5.031 250 A0 lawealad Sabana Around EatImMed Estimated lateral Aloud Income Yield -159,315.00 12,141.66 145.700 00 5 79% 431,250.00 24,283.33 291,400 00 85 031250 00 3.178 500 00 2.197.410 00 1,991,013.75 3,108,560.00 $23,581,403.75 $24,025,290.87 4331,250.00 $24,283.33 $291,400.00 181.780.16 62.500.00 187.500.00 589% 12.393.83 45,539.33 98.760 00 4 49% 42,513.75 25,373.33 142,725.00 7.16% 106,554.01 52,558.33 178,500.00 5.74% $96,888.06 $366,823.77 $1,527,635.00 $175,620.17 $369,606.97 $1,527,635.00 Rated hottlent Every Yet Since 2007 DALIAR RATIO COMMUNICATIONS ("all INCE Page 6 of 27 Cleanng through Pershing IIC nob* evened sobsidiary of The Bank ether WA Mellon Ono -saw (OM MAW PerIhnx (OM FiratA.g)kyLe&M_00046616 DB-SDNY-0009440 EFTA_00157225 EFTA01289588

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired EQUITIES Common Stocks Quantity Unit Com Cost Basis Market Rix ADVANCED MICRO DEVICES INC COM Dividend Oplion: Cash 50.000.00 of these shares are in your margin account 09115117 20.000.000 12115117 30,000.000 Total Covered 50,000.000 Total 50,000.000 ALIBABA GROUP HIM LTD SPONSORED ADR ISMS US01609W1127 Dividend Option: Cash 06/10/15 ALPHABET INC CAP STK CL C Dividend Oplion: Cash 04/02/18 AMAZON COM INC Dividend Option: Cash 03/29/18 04102/18 Total Covered Total 5,000.000 12.2810 12.2300 88.9500 1.000.000 1.004.6340 500.000 500.000 1,000 000 1,000 000 1.423.8620 1,367.0210 APOLLO GLOBAL N GU T LLC CL A SHS Dividend Oplion: Cash 26317.00 of these shams are in your margin account 03/29/11 " 3 263,157.000 19.0000 APPLE INC 00M Dividend Oplion: Cash 12/07/17 214,000.000 169.8140 May12016 -May 31,2018 SOUTHERN FINANCIAL LLC Market Value Unrealized GainiLoss Eslir 31 ed Estraled Ann al Ir come Yreld Security Identifier: AND CUSP. 00790317 245.612.36 13.7300 366.912.57 13.7300 612.524.93 274.600.00 411.900.00 686,500.00 28.987 64 44,987.43 73,975.07 $612.524.93 $686,500.00 $73,975.07 $0.00 Secutity Identifier: MBA CUSP:05090/12 444.749.00 198.0100 990.050.00 545,301.00 Securdy Identifier GOOG CUSP 02079K97 1.004.63149 1.084.9900 1.081.990.00 80.355.51 Security Identifier: AMZN CUSP. 023%16 711.930.80 1.629 6200 811.810.00 102.879 20 683.510.38 1.629.6200 811.810.00 131,299.62 1,395,441.18 1,629,620 00 234,178 82 $1.395,141.18 $1,629,620.00 $234,178.82 $0.00 Seemly Wenl her: APO CUSP 03162306 4,999,983.00 31.3200 8.242.077 24 3.242,094 24 513,156.15 622% Security Identifier:AAR COP:037833130 36,340,223.40 186.8700 39.990.180 00 3,649,956 60 624,880.00 1.56% Page 7 of 27 Account Number: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated balls. Clewing Omer Pealing LC. a volay evened Every Yea Since 2007 entaldlary of The Beek a New Volt Wane DAUIAR PATIEDCOMMUNICANONS Corpoyaben OINY Aldan) ........‘, , s a EXCUSING( _00046617 fienhiettucreenorfrovn.itYPUNm DB-SDNY-0009441 EFTA 00157226 EFTA01289589

Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired Quantity Unit Co Cost Balls Market Price Market Value Unrealized Gaintoss Estimated Annual income &healed Yield EQUITIES {continued) Common Stocks (continued) BERKSHIRE HATHAWAY INC DEL Cl. A Dividend Oplion: Cash Security Identifier: BRKA CUSIP. 08467018 02/05118 3.000 310,425.3330 931,276.00 287.200.0000 861,600.01 -69.675.99 02/16/18 3.000 307.028.6670 921.086.00 287.200.0000 861.600.01 -59.485.99 03/19/18 3.000 305.135.3330 915.406.00 287,200.0000 861.600.01 53.805.99 03123118 3.000 296.035.3330 888.106.00 287.200.0000 861.600.01 -26.505.99 03127118 3.000 301,475.3330 904,426 00 287,200.0000 861,600.01 -42125 99 05/21/18 2.000 297.053.0000 594.106 00 287200.0000 574.399.95 -19.706.05 Total Covered 17100 5,154,406.00 4,882,400.00 -272,006.00 Total 17.000 $5,154,406.00 $4,882,400.00 4272,006.00 $0.00 BIOGEN IDEC INC COM Security Identifier. BOB Dividend Oplion: Cash CUSP 09062X13 02/14112" 2,095.000 110.2720 231,019.65 293.9600 615.846 20 384,826 55 CENTENE CORP DEL COM Security Identifier. CNC Dividend Oplion: Cash CUSP. 1515811 09108114 15.550.000 63.6450 989.679.75 117.1600 1.821.838.00 832.158 25 GENERAL ELECTRIC CO COM Security Identifier. GE Dividend Oplion: Cash CUSIP. 36960413 25,000.00 of these shares are in your margin account 02/23/18 2,500.000 16.2210 40,551.71 14.0800 35,200.00 -5,351.71 1,200.00 3.40% 02/26118 2.500.000 16.2210 40.551.71 14.0800 35.200.00 -5.351.71 1,200.00 3.40% 03/05118 800.000 16.2260 12.980.63 14.0800 11.264 00 -1,716.63 384.00 3.40% 03107118 5.000.000 16.2190 81.097.41 14.0800 70.400.00 -10.697.41 2,400.00 3.40% 03/12/18 2,500.000 16.2210 40,551.71 14.0800 35.200.00 4,351.71 1,200.00 3.40% 03/16/16 11,700.000 16.2190 189.759.90 14.0800 164.736 00 -25,023.90 5,616.00 3.40% Total Covered 25,000.000 405.493.07 352.000.00 -53.493.07 12,000.00 Total 25,000.000 $405,493.07 $352,000.00 453,493.07 $12,000.00 GILEAD SCIENCES INC Scarily Identifier: GILD Dividend Oplion: Cash CUSP: 37555813 25,000.00 of these shares are ie your margin account 02/05114 5.000.000 79.2810 396.407.00 674000 337.000 00 -59.407.00 11,400.00 3.38% 03/07/14 3,100.000 79.6120 246.797.00 674000 208.940 00 -37.857.00 7,068.00 3.38% 10/24/17 4,400.000 80.0900 352,395.71 674000 296,560 00 -55,835.71 10,032.00 3.38% 05/02118 2.500.000 72.5730 181.432.49 674000 168.500 00 -12.932.49 5.700.00 3.38% 05/03/18 1,000.000 72.5870 72.586.60 674000 67.400 00 -5,186 60 2,280.00 3.38% Account Nora CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO Page 8 of 27 L Wed balls. bay Year Since 2007 DAUM PATIEDCOMMLINICATIONS LX CHUNG Charing Omagh Penh's.* LLC. a as, *WOW subsidiary a Ma in a New Yee10.4ellon Carpoeabon (MY Mallon) Panairat lLC. woven F ikitA3IWOLeMI/I_OULP4bb 1 IS DB-SDNY-0009442 EFTA_001572/ 7 EFTA01289590

PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired EQUITIES (continued) Common Stocks (continued) GILEAD SCIENCES INC (continued) 05118118 9.000.000 Total Covered 25.000 000 Total 25,000.000 NINTENDO LTD ADR Dividend Oplion: Cash 02/05/18 OUALCOMM INC Dividend Oplion: Cash 0.000.00 of I hese shares ate Irl your margin account 04118118 2.500.000 04120/18 7,500.000 Total Covered 10.000000 Total 10 000 000 Total Common Stocks Preferred Stocks (Listed by expiration date) GM AC CAP TR I GTO TRPFD SECS SER 2 CPN- 8.125% FREOORTLY MATY-02/112040 CALL ANYTIME4:125W30 DAYS BEGIN802/5l5 Dividend Oplion: Cash 02/22/12 80.000.000 Total Preferred Stocks Options CALL 10 'SHARES TR IA SCIEMERONGLIKTS 'NM FD E906-1-1055000 OPTION ROOT: EEM (muddy Unit Cap 10,000.000 51.7910 58.1730 58.1710 Cod Bala Market Rice 72.5710 653.141.36 67.4000 1,902,760.16 $1,902,760.16 Security Identifier: 1700Y CUSP: 654445303 517,906.00 51.0400 Security Identifier:0CM CUSP. 74752503 145.432.61 436,285.83 581,718 44 5581.718.44 554,580,539.07 58.1200 58.1200 Security Identifier. ALLY PRA CUSP. 36160208 23.5350 1.882.773.60 28.1100 01117/18 2.400.000 0.4400 $1,882,773.60 Option Identifier: 990ALIIRM Undellfing Security Identifier: EEM Underlying Security Nice. $4569 Price Estimated as of: 0512911 105.608.00 0.0100 May 1,2018 - May 31,2018 SOUTHERN FINANCIAL LLC Market Value 606.600.00 1,685,000.00 51,685,000.00 510.400 00 145.300.00 435,900.00 581,200.00 $581,200.00 $63,072,101.44 2 088,800.00 $2,088,800.00 2.400.00 Account ter CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO L4 Unrealized Garlic's Estimated Eel haled Annual Income Yield -46.541.36 217.760.16 4217.760.16 -7,506 00 -132.61 -385.83 518.44 4518.44 58,491,562.37 206.026.40 5206,026.10 -103.206.00 Rated I 'eviler.? Even Yew Since 2007 DALBAR RATIO COMMUNICATIONS EXCIILLINCI 20.520.00 3.38% 57.000 OD $57,000.00 4,689.56 0.91% 6,200.00 18,600.00 24,800 00 $24,800.00 426% 426% $1,236,525.71 152,329.04 729% $152,329.04 Page 9 of 2 - Own. through Penang LC.* ollet Owned **Wiwi or The eon of New VGA lAelkm Ommentam(ONY wlwN AnOinall.C.mner ,uoiAiiPAPLEIPA-0 °° 46619 DB-SDNY-0009443 EFTA_00 I 57228 EFTA01289591

Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired QuatIty aN Coat Cod Beds Motet Price Market Value Untested adolloss Estimated Estimated Anna Income Yield EQUITIES (continued) Options (continued) CALL MO AIPHABET INCCAPSMC a C Option Identifier: 990141860H RP 07-2041 61130.000 Underlying Swirly Identifier: GOOG OPTION ROOT: GOOG Underlying Sectifity Price:9108419 -1).00 of these contracts area stoat position 05r22118 -10.000 22.9110 -22,943.70 27.9000 -27.900.00 4,956.30 PUT TO ALPHABET INC CAP STK CL C Option Identifier: 991:IA118031 OW 07.204 0925.000 Underlying Securely Identifier: GOOG OPTION ROOT: GOOG Underlying Security Price:3808499 -13.00 of these contracts area short position 05122118' -10.000 12.9140 -12,943.83 8.7000 4,700.00 1,243.83 Total Options 889,718.47 434,200.00 4103,918.47 $0.00 TOTAL EQUITIES 656,533,031.11 $65,126,701.44 88,593,670.30 $1,388,854.75 Untested Estimated Estimated Date Acquired Quantity Onl Cod Bab Market Pike Market Value Gainless Maud Income Yield M UTUAL FUNDS SM ORGAN FLOATING RATE INCOME FUND CUSS' Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security CUSIP.1812L51) 09128117 318909.717 94100 3900.000.00 9.3700 2,987247.62 -1275238 117,857.59 394% Reinvestments to Elate 8.887.987 9.3990 83.533 78 9.3700 83280.43 -253 35 3,285.71 314% Total Covered 327497.764 3.083.533 78 3,070,528.05 -13005 73 121,143.30 Total 327 697 764 83,083,533 78 $3 070.528 05 -513 005 73 $121 143.30 TOTAL MUTUAL FUNDS 13,083,533 78 13 070,528 05 .113 005 73 5121 143.30 Unrealized Estimated Estimated Date Acquired Quantity UnN Cost Cost Bats Market Price Market Value Gain Loss Annual Income Yield EXCHANGE -TRADE) PRODUCTS WARESINC M SCI SOUTH KOREA OF Dividend Option: Cash; Capin' Gaits DON: CM 11103/17 13,000.000 75.8480 TOTAL EXCHANGE-TRADE) PRODUCTS 985,996.98 1985,998 98 Coal Bads &eerily Identifier: EWY CUSP 464288772 72.1400 931,820.00 $937,820.00 NOS Value .48,178.98 148,178.98 Unmated War Loss TOTAL U.S. DOLLARS $87,194,866.16 $95,902,973.92 Acaued lateral 28,291.14 301% $28,291.14 Skated Annual Income 18,708,107 76 1369.806.97 $3,083,308.77 CONFIDENTIAL — PURSUANT TO FED. R CRI6,1 P. 6(e) Account Number: CONFID Page '0 of 27 Rated hottlent Clewing *nigh PaflS IIC nob* email Every Year Since 2007 sabsidiary a The Mak a Maw Vat Meta DALIAR RATIO COMMUNICATIONS Ono-saw (atly Mellon) LXCILL INCE Per Ihnx ,.w-a.FINRAAR4VELGM-00046620 OS-SDNY-00041444 EFTA_00157229 EFTA01289592

a Deutsche Bank PO Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) CHINA RENM INBI May1,2018 -May 31,2018 SOUTHERN FlNA NCIAL LLC Description Ovanlily Market Pace Market Value Datong EQUITIES Common Stocks CHINA OM M UNICATIONS CONSTRUCTION COMPANY 224,000.000 6.8825 1,541,691.20 CNY LTD SHS ISINSCNE900002F5 240,450.56 USD Security Ideetifier.S00:HK CUSIP: YE36J1M Total Common Stocks 1,541,691.20 CNY 240,450.56 USD TOTAL EQUIT IES 1,541,691.20 CNY 240,450.56 USD air Med Yield Menet Wye Currenq Acaved Adored TOTALCHINA RENMINEN EURO 1,541,691.20 CNY 0.00 240,450.56 USD 0.00 0P'S% CUM Aimed 30-Day 0esaipliee evanlily Sauce Manse Omency Income Yield CASH. MONEY FUNDS. AND BANK DEPOSITS Global Cash Balance TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Humber. 0.00 14.80 BJR -75.63 USD 0.00 44.80 WR 0.00 -75.63 USD 0.00 CONFID Page 11 of 27 Rated hottlent Ching through P.nb LC. eulogy evened (my Year Since 2007 stosidiary of TM Baket/4a Vat Mellon DALBAR RATIO COMMUNICATIONS CarporatIon (MY Mao) VICILLINCI Perthnx ertan meaAtellneteM-00046621 DE1-SDNY-0009445 EFTA_00157230 EFTA01289593

Portfolio Holdings (continued) EURO (continued) Oescriptioe EQUITIES Common Stocks UBI SOFT ENTERTAINMENT Mit FR0000064470 SA MONTREUIL ACT Security Ideetifier.UBI:FR CUSP P33961413 Total Common Stocks Bleared Civility NAM Pike Market Value Cuttimoi Yield 11,200.000 92.8200 1,037,344.00 EUR 1,210,787.92 USD 1,037,344.00 EUR 1,210,787.92 USD 1,037,344 00 SIR 1,210,787.92 USD TOTAL EQUITIES Acaued Market Woe Wrong Intact,' TOTAL EURO 1,037,279.20 SIR 0.00 1,210,712.29 USD 0.00 BRITISH POUND Description EQUITIES Common Stocks HSBC HOLDINGS PLC ORD SHS 19Ni680005405286 Security IdeetiliecHSBA:GB CUSIP:64634U69 Total Common Stocks Quantity Market Price Market Value Currency 21,800 000 7.2060 178,708 80 GBP 237,754.18 US) Estimated Eslimaled Annual Income Yield 745640 4.17% 9,920 00 178,708.80 GBP 237,754.18 USD 178,708.80 GBP 237,751.18 USD 7,458.10 9,920.00 TOTAL EQUITIES Market Value Cuttenq 178,708.80 128P 0.00 7,456.40 237,754 18 USD 0.00 9,920.00 7,456.40 9,920.00 Acaue4 Ettkoatod Interest Mimi Income TOTAL BRITISH POUND CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number It 00 0NFIDOP : SI M..1 , Page 12 of 27 Rated hotlient Clawing through Pelham 11Caulholy evened Emery Year Since 2007 sataldiary of The Bask el New Yak Mellon DAUIAR RATED COMMUNICATIONS Caepontfon(INY maw LXCILLINCI Perstira Ilk. member F INR•SigniteM_ 00046622 DB-SDNY-0009446 EFTA_00 I 57231 EFTA01289594

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) HONG KONG DOLLAR Opening among Accrued 30 Clay Description Quoddy Balance Woo Currency income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 42,782.40 60,534.58 HKD 1.717.37 USD TOTAL CASH, M ON EY FUNDS, AND BANK DEPOSITS Desorption Quantity 42,782 40 Market Price 60.534 58 HKD 7717.37 USD Market Value Cilf Miley 0.00 0.00 Estimated Estimated Annual Income Yield EQUITIES Common Stocks LONKING HOLDINGS LTD SHS 110,000.000 3.9300 2.790.300.00 HKD 113.59944 4.07% ISINIKYG5636C978 Security Id enl Met 333911K CUSP. G5636CV7 NINE DRAGONS PAPER HOLDINGS LTD SHS 144,000.000 12.4800 355.726.33 USD 1,797,120.00 HKD 14,482 52 0653131)05 Secuiily 268911K CUSP. GSS313D0 ZTECORP SHSH ISNSCNED00004Y2 70,600.000 25.6000 229.109.33 USD 1,807,360.00 HKD Security Id eel ifier 763:11K CUSP. Y0004 P05 ANHUI CONCH C8,1 ENT CO LTD SHSH 52.500.000 48.1000 230.414.89 USD 2,525250.00 HKD ISHII DE100000182 Security Id eal Wier 914:11K CUSP. Y01373D2 BANK OF CHINA LTD BEUNG SHS H 512,000.000 4.1000 321,936.51 USD 2,099,200.00 HKD ISHIIDIM0000V Security Id eel ifier 3988:HK CUSIP. Y06984137 DONGFANG ELECTRIC CORPORATION LTD 150.200.000 5.9500 267.620 35 USD 893.690.00 FIND SHSH ISINSCNED0000304 Security Idenlifier 1)7211K CUSIP. Y20958191 113.933.76 USD May 1,2018 - May 31,2018 SOUTHERN FINANCIAL LLC Account Numb CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L4 Rated ticellent trey Year Same 2007 OMAR ItAITO COMMUNICATIONS LXCULINCI Page '3 of Clewing through Penang LC. a tAto&I owned sataidiary of The Bank el New York Mellon CancratIon OM Mellon) Periling 11.C. met-en rthstoAWLet.GM-00046623 DB-SDNY-0009447 EFTA_00157232 EFTA01289595

Portfolio Holdings (continued) HONGKONG DOLLAR (continued) Estimated Estimated Oescration Cleanlity Market Pam Market Value Currency Annual Income Yield EQUITIES (continued) Common Stocks (continued) WBCHAI POWERCO LTD SHSH 228,000.000 103200 2,398,560.00 HKD ISMS G493000040 305)85.16 US) Security Ideetifier 2338:HK CUSIP. 79531AD9 ZHUZHOU CRK TIM ES ELECTRICCO LTD 543 43,400.000 39.5000 1,714,300.00 HKD •Ii• ISMS 04EVOODOIX4 218,550.94 USD Security Idmanlier:3898M CUSP: Y98926114 Total Common Stocks 16,025,780.00 HKD 113,599.44 2,043,077.27 USD 14,482.52 TOTAL EQUIT IES 16,025,780.00 HIM 113,599.44 2,043,077.27 USD 14,482.52 Market Value Currency Accrued littered &Muted Maud Income TOTAL HONG KONG DOLLAR 16,086,314.58 HKD 0.00 113,599.44 2,050,794 64 USD JA PA N ESE Y EN 0.00 14,482.52 0946669 Doting Accrued 30-Day Description Quantity Bekaa Balance Currency Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 202,424.00 202,366.00 JPY 1.862.78 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 202,424.00 202,366.00 JPY 1,862.78 USD Desalptioe EQUITIES Common Stocks NASTESCO CORP TOKYO SHS LTD ISINIP365129001 Security Ideetifier.6268:? CUSP )17070110 Total Common Stocks 0.00 0.00 Edlmted Striated Overfly Markel Pike Market Value Currency Maud Income Yield 6,300.000 3,560.0000 22,428,000.00 JPY 206,449.74 USD 453,571.53 2.02% 4,175.38 22,426,000.00 JPY 453,571.53 206,449.74 USD 4,175.38 CONFIDENTIAL - PURSUANT TO FED. R CRIKA P. 6(e) Account Number: C3ONFIDOP Uo .s Page 14 of 27 Rated EstrIlent Clewing liner Pealing 11C. auk*, evened (very Year Since 2007 sobildlary of The kek el Near Vat Man DALIAR RATIO COMMUNICATIONS Carpontfon (MY Mellon) EXCILLINCI Perthng U.C.nte-ber iimea.fickKeteM-00046624 DI3-SDNY-0009448 EFTA_00157233 EFTA01289596

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) JAPANESE YEN (continued) Description EQUITIES (continued) TOTAL EQUITIES May 1,2018 - M ay 31,2018 SOUTHERN FINANCIAL LW Estimated Estimated dwells Merkel Pike Merest Vane Clang Maud Income Yield 22,426,000.00 JPY 206,449.74 USD Merkel Value Currency 453,571.53 4,175.38 Maven Estimated littered Maud Income TOTALJAPA NESE YEN 22,630,388.00 JPY 0.00 453,571.53 POLISH ZLOTY Oescripelon 208,312.52 USD 0.00 4,175.38 BMWS Cleandly Mrket Price Market Value Currency Add EQUITIES Common Stocks CD PROIKT SA %IS 41,348.000 152.8572 8,320,339.51 PIN PLOPTTC00011 1,708,453.05 USD Security Ideetifier OTGLF CUSP: X0957E96 Total Common Stocks 8,320,339.51 PIN 1,706,453.05 USD TOTAL EQUITIES 6,320,339.51 PIN 1,708,453.05 USD Matted Market Value Currency Interest TOTAL POLISH ZLOTY 8,320,339.51 PLN 0.00 1,708,453.05 USD 0.00 CONFIDENTIAL - PURSUANT TO FED. R CRilvl P. 6(e) Account Numb CONFIDO. Page 15 of 27 Rated Excellent Clain; lamer. I1C nib* wend beer Year Since 2007 sataldlarg al The in a New Vat Mellon DAIIIAR WM COMMUNICATIONS Carpotat$ an (Ely Man) LXCELLENCE Per Ml 11.C. rinetan FINRA.SiVVELGM-00046625 DI3-SDNY-0009449 EFTA_00157234 EFTA01289597

Portfolio Holdings (continued) RAND Desorption EQUITIES Common Stocks NASPERS LIM ITED LTD 2,000.000 3,028.0000 6,052,000.00 2AR 11.599 83 0.19% ISMS ZA500006889 477,980.91 USD 916.15 Security Identifier. NAPRP CtISIR 55343593 Total Common Stocks Estimated Blind dandy Market Price Market Value Currency Annual income Yield 6,052,000.00 TAR 11,599.83 471,980.91 USD 916.15 TOTAL EQUITIES 6,052,000.00 MR 11,599.83 477,980.91 USD 916.15 Accrued Estimated Market Value Currency Interest Amami Income TOTAL RAND 6,052,000.00 ZAR 0.00 11,599 83 477,980.91 USD 0.00 916.15 Unmated Awued Estimated Cost Basis Merkel Value Dakotan Inten Annual Income TOTAL PORTFOLIO HOLDINGS - U.S. DOLLARS $87,194,866.16 $102,037,432.07 $8,708,107.76 $369,606.92 $3,112,802.82 • Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as 'noncovered". Securities marked as 'covered', were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation este the accuracy of this information. The Current Face value represents the outstanding principal balance of the underlying security. The Current Fece value is determined by multiplying the current factor times the original face amount of the secorify. Factors may changeover time and are obtained from sources we believe to be reliable. t2 Pershing hes received updated cost besisinformation, therefore cost baNs provided on previous client brokerage statements may differ from the new cos basis reported in this section. ° The cost basis of this security has been provided fo us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) Account Number Page 16 of 27 C ms-sr:1 ONFIDOP stor Rated Istyllent (very Yes, Since 2007 DALBAR RATIO COMMUNICATIONS LXCILLINCI Cleanng through Pate LLC nib* evened sabsidiary of fi e kelt anew Vat Mellon Canceallan My Mellon) Pen hng U.C.rrienter FINRAVNYLOM-00046626 DB-SDNY-0009450 EFTA_00157235 EFTA01289598

O Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Holdings Summary by Currency M ay 1, 2018 - M ay 31,2018 SOUTHERN F1NA NCIAL LLC Fxchmge•Trked Currency cam Fhed Income Equities Mutual Raids Funds Total by Currency U.S. DOLLARS 2)42,633 24,025,290 65,126,701 3,070,528 937,820 95,902,973 USD CHINA RENM INEO 0 0 1,541,691 0 0 1,541,691 CNY EURO 44 0 1.037,344 0 0 1,037.279 EUR BRITISH POUND 0 0 178,708 0 0 178,708 GBP HONG KONG DOLLAR 60.534 0 18.025.780 0 0 16.086.314 HKO JAPANESE YEN 202,366 0 22,428,000 0 0 22,630.366 JPY POLISH ZLOTY 0 0 6.320.339 0 0 6.320.339 PLN RAND 0 0 6,052.000 0 0 6,052,000 DR Total USD Equivalent 2.752,138 24.025,290 71 251.655 3.070.528 937.820 102.037.432 USD % of Allocation 3% 23% 70% 3% 1% 100% Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, w hich we believe to be reliable. Market prices do not constitute a bid or an offer. and may differ from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total. THEASOF PF3CEDATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATES, ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities. thereby overstating them. Refer to www pershing.com/ disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining Page '7 of 27 Account Number: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg L4 Rated Galls. fiery Yea. Since1007 DALIARIATEDCOMMUNICATIONS LXCGAINC( Cleanng through Pershn LLC. • alay owned setaldiary of The Usk el New Vat Mellon Caporal on (IINY meson) Pontigat LC. men*. Fikitn.%41,2PM-00046627 DB-SDNY-0009451 EFTA 00157236 EFTA01289599

Portfolio Holdings Disclosures (continued) Option Disclosure (continued) current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day. increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Schedule of Realized Gains and Losses Current Period Dale Dale Realized Otscription Disposed Aolvieed Designation Diaposilion Method Treeeklin Queenly Proceeds Cedillas GSn;Lon Short Term REPUBUC OF ARGENTIN 05108118 04/13118 Covered Ant In First Out / SELL 1,000,000.000 1,059,036.36 1,243,077.10 ,184,010.74 INOXS171303779 5250%07171 28 REG DID W09/17 Security Identifier AP7608387 Original Cost Basis:1243,0771 EURO CURRENCY 05/10118 05108118 NOeCeeetee Fad In Ant Out / saL 909,941.100 1,084,713.49 1,078,844.18 6,069.31 Security Identifier EUR999995 Total Short Term 2,143,749.85 2,321,721.28 -177,971.43 Page 18 of 27 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account ritrnbe !s CONFIDO. an. L Rated hottlent Emmy Year Since 2007 DALIAR RATIO COMMUNICATIONS EMU. INCE Clewing through Pella. I1C *lady evened sobsidiary of The kelt al New Vat Maio CaoporatIon (OM Mellon) Per, hnx 11.C. mnWon on) OB-SDNY-OOO9452 EFTA_00157237 EFTA01289600

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) May 1,2018 - May31,2018 SOUTHERN FINA NCIAL LLC Date Date Realized DesaiptIon Disposed Acquked Designation Disposition Method) Trentection Cuantily Proceeds Cod Basis Grin/Loss Long Term BASF SE SPONS ADR IS 05/21/18 04113115 Covered First In First Out / SELL 20,000.000 525,677.15 508,056.00 17,621.15 25057 Security Identifier 055262505 BANK AM ER CORP PERP 05115/18 01110111 Noncoveted" first In First Out / RED EN PTION 2.000.000.000 2,000,000.00 2.079.560.27 -79.560.27 TIVE DEP SKS FIXED TO FLOAT 8 Original Cost Basis.2,081130 56 .125% 04/30/58 BJE DTD 0413010 Security Identifier 0605050T8 WASHINGTON MUT MTGS 05124/18 12113113 Noncovered" REPYM T OF PRIN 1,290,000.000 1,951.63 1,493 37 458.26 004-RA2 MTG PASSTHRU CTFCL Original Cost Basis' 1493.37 B-1VAR RATE 6.998%07/25133 Security Identifier 939336820 Total Long Term 2,527,628.78 2,589,109.64 -61,480.86 Total Short and Long Term 4,671,378.63 4,910,830.92 -239,452.29 - Noncovered under the cost basis rules as defined below. Generally, securities acquired before 201X in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008. and are marked as "noncovered". Securities marked as 'covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable lax year in which the securities are disposed. Note. In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-0 or online displays you may have available to you W hen you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Page 19 of 27 r Account Numb. C CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO L Rated tactile+, Owing *Nair PeriblinlICaulay owned [eery Yew Since 2007 Salary of Tits Bank a1 New Vat Mellon DALIAR &MD COMMUNICATIONS CorporationOM Alston) EXCULO4a PeeNntltC.inente, ihitAAWgilla9m-00046629 DB-SDNY-0009453 EFTA_00 157238 EFTA01289601

Schedule of Realized Gains and Losses Current Period (continued) Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed. there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less t hen one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation aster the accuracy of this information. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account If you do not select a method, your account will be defaulted to First In, First Out (FIFO) Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRSForm 1099-B. Messages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Flease see the money market mutual fund's prospect us or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to W=C Rule 10b-10(b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (All amounts snow n are in bass currency) Securities ()edits ThisPerioe Debits TbisPeried Net ThisPedoe GeditsYear4o-Ciate DebilsYeareo-Dote Net Year-to-Date Securities Bought 0.00 -1373374.54 -137397434 0.00 -20.795.423.51 -20.795.423.51 Securities Sold 2,724,922.35 0.00 2,724,922.35 18,657,024.37 9.00 18,657,024.37 Total Securities $2,724,922.35 41,573,974.54 $1.150,947.81 $18,657,024.37 420,795,423.51 42,138,399.14 Dividends and Interest $509.621.06 $0.00 $509.621.06 $1.264.058.56 $0.00 $1,264,058.56 Distributions $2.100,517.74 $0.00 $2.100,517.74 $2.603.059.56 $0.00 $2.603.059.56 Fees $0.00 4430 00 4430.00 $0.00 4630.00 4630.00 Taxes Withheld $0.00 44,837 90 44,837.90 $0.00 45,184.60 45,184.60 Other $0.00 476 78 476 78 $0.00 477.20 477.20 Cash Withdrawals 9.00 -1,117,769.89 -1,117,769.89 0.00 .2,785363.93 -2,785,863.93 Deposits 66,000.00 0.00 66,000.00 1.654.343 06 0.00 1.654.343.06 Total Cash $66,000.00 41.117.769 89 41.051.769 89 $1.654,343.06 42.785.863.93 41.131.520 87 Totals $5,401,061.15 42,697,089.11 $2.703,972.04 $24.178,485.55 423,587,179.24 $591,306.31 Page 20 of 2- Account Number CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg AL bled excellent Even Year Since 2007 DALBAR RATED COMMUMCAT IONS DIMLING Clan...through Parties LI.C. a rho* owned tobsidiary of The lank ol New York Mellon Corporation (My Mellon) P.,,P4n4 lic.M.Ftft RA.g4111,ILGM_00046630 DB-SDNY-0009454 EFTA 00157239 EFTA01289602

Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 212O3 Transactions by Type of Activity M ay 1. 2016 - M ay 31, 2018 SOUTHERN FlNANCIALLLC Process Trade, Stillwell Transaction Date Dale Adivily Type Description ()wieldy Price Acaued Interest Amount Wang Securities Bought and Sold 05103/18 YOUR OPTION ASSIGNED PUT DO GILEAD SCIENCES INC DIP 05-93-1341177500 OPTION 25.000 0.00 USD 99OALUOW A ROOT= GILD GILDMA CLOSING TRANSACTION 05104/18 05102/18 PURCHASED GILEAD SCIENCES INC ACCT OPT ASSIGNED 2300 000 773000 -193,856.00 USD GILD 05104/18 YOUR OPTION ASSIGNED PUT DO GILEAD SCIENCES INC DIP 05-13.1@77500 OPTION 10.000 0.00 USD 99OALUOWA ROOT= GILD GILD-WA CLOSING TRANSACTION 05/07/18 05/03/18 PURCHASED GILEAD SCIENCES INCACCT OPT ASSIGNED 1900 000 77.5000 -77.556.00 USD OLD 05110/18 05108/18 SOLD REPUBLIC OF ARGBITINA REG S 'SIN* XS1715303779 5250% 4 ,000,000.000 89.3400 16,541 10 909,941.10 EUR AP7608387 6128 REG DTD 1109117 YLD 6182 TO MAT AS OF 19.607 82 1,078,644.18 USD 05/0812013 05114/18 05/10118 SOLD EURO -909,941.100 1.1920 1,084,713.49 USD 05/21/18 YOUR OPTION ASSIGNED PUT DO GILEAD SCIENCES INC [email protected] OPTION 90.000 0.00 USD 99OALUOW A ROOT= GILD GILD CLOSING TRANSACTION 05/22/18 05/18/18 PURCHASED GILEAD SCIENCES INC ACCT OPT ASSIGNED OPTCUSIP 9.000 000 77.5000 197,866.00 USD GILD 99OALUNA 05123/18 osniris SOLD BASF SE SPONS AD R US0552625057 UNSOLICITED ORDER -20.000.000 26.3245 525,677.15 USD BASFY AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 05/23/18 05/21/18 PURCHASED BERKSHIRE HATHAWAY RIC DB CL A UNSOL AVERAGE UNIT 2.000 297.000.0000 -594.106O0 USD BRK A PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 05/23/18 05122/18 SOLD SHORT CALL DO ALPHABET INC CL C EXP 07.20.5 Q110 OPENING -10.000 23.0000 22,943.70 USD 99OAM 8GOH TRANSACTION UNSOL EXCHANGE LISTED OPTION 05/23/18 05/22/18 SOLD SHORT PUT DO ALPHABET INC CL C EXP 07.20-8 Q1325 OPENING -10.000 13.0000 12,943 83 USD 99OAM 8031 TRANSACTION UNSOL EXCHANGE LISTED OPTION 05130/18 REINVESTCASH INCOME .PIA ORGAN FLOATING RATE INCOM E FUND CLASS I 1.131.468 -10.590.54 USD PHSX 326566 2960 SH RS SHRS PURCH. AT 39.36000 RD 05125PD 05130/13 Total Securities Bought and Sold EURO 16.541.10 909.941.10 EUR TOTAL USD EQUIVALENT 19,607 82 1,078,644.18 USD U S. DOLLARS 0.00 72.303 63 USD Page 21 of 27 Accou Th IM Iumber itcsi CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO Rated tactile/ trey Year Since 2007 DM AR MILD COMMUNICATIONS LXCLUINCI Clewing through flashiest 11C. a Say semi SASS." a The Mak a New Yak Melba Ono-ream (MY Wilco) Pen. 'mg U.C.ertn—bn rineketlerieqrawe-00046631 DB-SDNY-OOO9455 EFTA OO15724O EFTA01289603

Transactions by Type of Activity (continued) Process Trade; Settlima Tranualen Date Dee Activity Type Description Deemed). Price Accrued Interest Amount Currency Dividends and Interest 05/01/18 CASH DIVIDEND RECEIVED 5000000 ?MORGAN CHASE 8 CO DEPSHS REPSTG 16TH PFD 197.500 00 USD 46625H HAI SERIFIXED TO FUG RT BD 7.90 0% 0 4/29/49 B1EDTD 04/23/08 CLB RD 04129 PD 04/3011 05/15118 BOND INTEREST RECEIVED 80000 SHRSG11 AC CAP TR I GTD TR PE SECS SER 2 CPR- 37,695 20 USD ALLY PRA 8.25% FREO ORTLY ATY-0 2/51 2040 CALL ANYTIME 025 VI/30 DAYSBEGINS 0211/6 RD 0914 PD 05/5/11 05116/18 CASH DIVIDEND RECEIVED 2000000 BANK AVER CORP PEW NON 001A ULATIVE CEPS'S 61,250 00 USD 0605050T8 FIXED TO FLOAT 8.25%04/30/58 WE DID 0430/08 as RD 05/14 PD 05/5/6 05117/18 CASH DIVIDEND RECEIVED 2$11000 SHRSAPPLE INC COM RD 05/14 PD 05117/1 156.220 00 USD AAPL 05/21118 05118/18 FOREIGN SECURITY DIVIDEND $14000.00 SHARESNINEDRAGONSPAPER HOLDINGS LTD SHS 17,752.18 HKD RECEIVED 'SINS BM G65311305 FOREIGN SECURITY DIVIDEND RECEIVED 2161.51 USD 2689.HK RD 050213PD 05151 AS OF 05102/1 05/21/18 FOREIGN SECURITY DIVIDEND 20000 SHRS SASE SE SPONS ADR !Snit US05526250 57 RD 18.342.70 USD RECEIVED 05108 PD 051211 BASFY 05125/18 BOND INTEREST RECEIVED 290000 WASHINGTON AI UT M TG SECS CORP 2004-ßA2 M TG 2,794.59 USD 939336520 PASSTHRU CTF Cl C-B-WAR RATE 6998% 07/25/33 Ell E DTD 06/0104 RD 04/30 PD 05/25/1 05/30/18 CASH DIVIDEND RECEIVED .PKIORGAN FLOATING RATE I NCOM E FUND CLASS I 10.590 54 USD PHSX 326566 2960 SH RS RD 05/25 PD 05/30/1 05/31/18 MONEY MARKET FUND DEUTSCHEGOV7 CASH 2.966.52 USD INCOME RECEIVED P£ß232045 Total Dividends and Interest HONG KONG DOLLAR 0.00 17,752.18 HKD TOTAL USTI EQUIVALENT 0.00 2261.51 USD US. DOLLARS 0.00 507,359.55 USD Distributions 05/15/18 SECURITY REDEEMED BANK AMER CORP PERP NON COM ULATIVE DEPSHS FIXED TO -2000000.000 2,000,000.00 USD 060505018 FLOAT 8.25% 04/30158 BIEDTD 04/30/08 CLB 05/25/18 RETURN OF PRINCIPAL 290000 WASHINGTON M UT M TG SECS CORP 200 4.RA2 M TG 518.08 USD RECEIVED PASSTHRU CTF CA.C.B.IVAR RATE 6.998% 07/25/338/E DTD 939336520 06/0104 RD 04130 PD 05125/13 05131/18 PARTNERSHIP DISTRIBUTION 26317 SHRS APOLLO GLOBAL M GM T LLCCL A SHS RD 05/1 PD 99,999.66 USD APO 05/311 Total Distributions - U.S. DOLLARS 0.00 2,100,517.74 Page 22 of 27 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) &aunt Numbla CID emu CONFIDE NIPS bodkin (Ivy YCO/ Since 2007 DAllIAR RA 1111 COMMUNICATIONS EXCiLLINCI Cleanng fl our esdYt<LLCoudueYaumM istaldiarg of TRe Mnk a New Yen Met« CeeefatIon (atly Mellon) Pen. ing 11.C. mere« FzedtA.gat9Y2P0 - 00046632 DB-SDNY-0009456 EFTA_00 5724 1 EFTA01289604

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) M ay 1,2018 - M ay 31,2018 SOUTHERN FINANCIAL LLC Process' Trade; Settlement Transmtion Clete Dote Aclivity Type Description :LAM 1 Price accrued Intent Amount Cerrenq Fees 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 209 CUSP. APT608-38-7 -2.00 USD APT 608387 05101/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP. F9398N.D-6 •2.00 USD UBSFF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 208 cuaRG46341114 -2.00 USD HBCYF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP. 65636C-11-7 -210 USD LONKF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP G65313-10 -0 -200 USD NDGPF 05101/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP. J4 TO 70-11-0 -2.00 USD NCTKF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2018 CUSP S5343541-3 -200 USD NAPRF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2018 CUSP. X0957E-A-6 -2.00 USD OTGLF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 OAP Y000 4 F-D-5 -2.00 USD 2TCOF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP YOS73-11-2 -200 USD AHCHF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2018 CUSP. Y0698A-11-7 -2.00 USD BACHF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 208 CUSP. Yfi36.1-1)-8 -2.00 USD CCCGF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP. Y20958.t.7 -2.00 USD DNGFF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP Y95314-D-9 -200 USD VIEICF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 208 CUSP. Y989214.1:1-4 -2.00 USD 2HU2F 05/21/18 FEE ON FOREGN DIVIDEND 20000 SHRSBASF SE SPONSADR ISINS 115055262505T RD .400.00 USD WITHHELD AT THE SOURCE 05/08 P0051211 BASFY Total Fees - U.S. DOLLARS 0.00 430.00 Account /Until= C ecom ONFIDO CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) L Raied finilent (very Yaw Sine 2007 DALBAR RATED COMMutoCATIONS EXCELLENCE Page 23 of 27 Clown& dims,. PenhirglIC. a .by ~ad subudiary of The Balk other. Yak Mellor. Corporation (MY Mellon) p,o.ng it( rnnnta, £u.Rn.Sp pfxpM_00046633 DB-SDNY-0009457 EFTA_00157242 EFTA01289605

Transactions by Type of Activity (continued) Process Trade; Settamyl Translation Date Date Activity Type Description Duentily Price Acaued Interest Amount County Taxes Withheld 05/21/18 FOREIGN TAX WITHHELD AT 20000 SHRS EA& SE "OHS ACM USO 552625057 RD 4,83790 USD THE SOURCE 05108 PD 05121E BASFY Total Taxes Withheld - U.S. DOLLARS 0.00 -4,837.90 Other Transactions 05/15118 ACTIVITY WITHIN YOUR ACCT GILEAD SCIENCES INC TRANSFER TOY ARGIN -12.500.000 0.00 USD GILD 05/15/18 ACTIVITY WITHIN YOUR ACCT GILEAD SCIENCES INC TRANSFER FROM CASH 12.500 000 0.00 USD GILD 05/21/18 05/19)18 FREE CREDI T BALANCE EURO CURRENCY FREE CREDIT BALANCE INTEREST CHARGE 44.80 EUR INTEREST CHARGE FREE CREDIT INT CHRG 04.20-E TO 05-17-13 FOR CUSTOM ER -76.26 USD EUR999995 ACCOUNT 05121/18 05119/18 FREE CREDIT BALANCE J%PANESE YEN CURRENCY FREE CREDIT BALANCE INTEREST -58.00 JPY INTERESTCHARGE CHARGE FREE CREDIT INT CHRG 04-20-2 TO 05-2-13 FOR 4.52 USD .PY999993 CUSTOMER ACCOUNT Total Other Transactions EURO 0.00 -64.80 EUR TOTAL USD EQUIVALENT 0.00 -76.26 USD JkPANESE YEN 0.00 48.00 JPY TOTAL USD EQUIVALENT 0.00 4.52 USD US. DOLLARS 0.00 0.00 USD Cash W ithdrawals and Deposits 05/09/18 FEDERAL FUNDS SENT CITIBANK. HA. -100.000.00 USD USD999997 05114118 FEDERAL FUNDS RECBVED DEUTSCHE BANK TRUST 12245 30,000 00 USD USD999997 05115/18 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST 437419 89 USD USD999997 05117/18 FEDERAL FUNDS SENT CEUTSCHEBANKTRUST •41.250.00 USD USD999997 05/17/18 FEDERAL FUNDS RECBVED CEUTSCHEBANKTRUST00343 36400 00 USD USD999997 05/22/18 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -36,000 00 USD USD999997 05/24/18 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -103.500.00 USD USD999997 Total Cash Withdrawals and Deposits- U.S. DOLLARS 0.00 -1.051,789.89 Account NUMbeillM C at031 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO Page 24 of 27 Rated [smitten fray Year Since 2007 DM AR MITO COMMUNICATIONS EXallttla Clewing *each Peskin I1C naoly yew" sobsidiary a The Bank a New Yak Melon CaveratIon (MY Melee) Peening LICerter-bn %RA. Pk.q2PM-00046634 DB-SDNY-0009458 EFTA_00 157243 EFTA01289606

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) May 1,2018 - May31,2018 SOUTHERN FINA NCIAL LLC Told Accrued Mitred Total Amount TransedionsSummiry Total Aoned 'merest Told Amount Quincy US0 Equivalent USDEquivelent EURO 16 541 10 909,876.30 BJR 19,607.82 1,078,567.92 HONG KONG DOLLAR 0.00 17352.18 NKD 0.00 2,261.51 APANESE YEN 0.00 -58.00 JPY 0.00 0.52 U.S. DOLLARS 0.00 1,823,143.13 USO 0.00 1,623,143.13 The price and quantity displayed may have been rounded. Cash Not Yet Received Security Retold Data Payable Die Quantity Held Rite 01rWend Cmtion Amount of Payment Dividends OUALCOAIN INC Total Cash Not Yet Received Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. 05/30118 omits 10.000.000 0.620000 Cash 6200.00 $6,200.00 Fixed IncomeAnalysis Bond Quality %dewed Bond Quality LIAM Vim Merkel Value Percent of Fixed Income A 2,197,410.00 9% BAA 10,265,150.00 43% BA/ Lower 11,118,843.75 46% Not Rated 443,887.12 2% Total 24,025,290.87 100% 0 20 40 60 80 100 Bond Maturity Schedule Bond Maturity .7 to t2 months .6 to 10 years Over 10 years Total Markel Value %ol Bond Mutat Wee 1,012,500.00 4% 4,012,520.00 17% 19,000370.87 79% 24,025,290.87 100% Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. CONFIDENTIAL — PURSUANT TO FED. R CRiM. P. 6(e) Account Number CONFIDO. L Rated [stollen% trey Year Since 2007 MAAR ItATIO COMMUNCATIONS EXCIattla Page25 of 27 Clewing lame. Pella. 11C•aapronwel sstaldlary of The lank al New Vat Mellon CarponefonOINY Mellon) Peening LIC.nwiter on) DB-SDNY-0009459 EFM_00157244 EFTA01289607

Client Service Information Your Invettmeot Spedakt DIJ JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10017 Your Account Information Coated Wornolon Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION SECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, w here applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at . All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial Institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.corni about! strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. Page 26 of 27 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDO. L Rats (4c &.n Event Year Since 20O7 DALBAR RATED COMMUIRCAT IONS (Jtall INC I Clewing laser Pad,S IIC •way wend steldlary a The MA a New Vat Mellon Carponalan Man) PerIhnx RCmet-beg iimi4.SBIOVELGM_000 46636 DB-SDNY-0009460 EFTA_00 157245 EFTA01289608

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) Mayt 2018-May31 2018 SOUTHERN FINANCIAL LLC The Role of Pershing (continued) • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC. Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399;-. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding:a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason( s) for their award, unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreem ent except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Account Umbel= C 'ton CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO Rated Excellent Leery Year Sleet 2007 DAtIAR RATED COMMUNICATIONS LXCELLUICE Page 2 7 of 2 Glee/meth/our Pertain LC. a melee owned tabsidlacy or The Bank ad New York Mellon Caeporattan (INY Mato) hemline !AC. member ruatA.PkIlf,,E,PM_0C046637 DB-SDNY-0009461 EFTA 00157246 EFTA01289609

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Otututkr tank Ptisair //felt. lglalltm.*1 Mulcts Central< C4OW Deoliche Lir* Setwitini Inc Wu' Yon Me 34S Pot AM6VP. 1611 HON Plow Tolls,.. Clint SOUTHERN FINANCIAL LLC 6 10 0 RED HOOK QUARTER B3 April 1, 2018 - April 30 2018 Account Number: ST THOMASVI 0 0 80 2 Portfolio Glance at a Bali Period Year4o-Date Your Investment Specialist. BEGINNINGACCOUNT VALUE 896,985,510.52 897,272,547.37 JOSHUA SHOSHAN Net Dash Deposits aid Withdraw* 101,008.20 -79,750.98 Adjusted Previous Account Value 97,086,516.72 97,192,796.39 Dividends. Interest and Other Income 104,498.82 928,121.12 Total Taxes Withheld 0.00 -346.70 Other Transactions -128.42 -200.42 Net Change in Portfolio' -496,651.36 -1,426,136.63 ENDINGACCOUNT VALUE $96,694,233.76 896,694,233.8 Accrued Interest $331.915.04 Estimated Annual Income 53,316.357 96 Asset Summary G 1% 100% Cash. M oney Funds, and Bank Deposits 28% Fixed Income 67% Equities Mutual Funds 1% Exchange-Traded Products El IMI El El 3% Account Total (Pie Chart) Please review your allocation periodically with your Investment Specialist. Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Preen( Asset Type CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Pier Yeatad Lad Period Ms Period 823,820.96 6,997,025.68 1,126,791.71 26,083,479.22 24,399,756.03 27,272,063.66 80,899,388.97 61,548,164 25 64,239,589.65 3,020,938.22 3,059,415.56 3,072,988.85 6,444,920.00 980,850 00 982,800.00 $97,272,547.37 896,985,510.52 896,694,233.76 Pagel of 28 Rated Cacellent Caere Year Since 2007 DAUIAR RATIO COMMUMCAT *NS (JIMA MCC Clewing lamer Feebly I1C sub* evened sabildlerg et The Mak ei New 'reek MOOR ONIXIIINSOTIONY M•11011) Perglita U.C.menter FIARAAW14391"—Ouv46638 DB-SDNY-0009462 EFTA 00157247 EFTA01289610

Summary of Gains and Losses This Period Rested Yeas4o-Date Unrealized Short-Term Gain/ Loss -30,106.27 1,329,043 85 1 277 479 21 Long-Term Gain! Loss 798,933.90 2.715.987.02 4 392 650 37 Net Gain/ Loss 768.827.63 1.045.030.87 3.115.171 16 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECB° ) and other credit institutions introduced ' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 10 99 and/ or 104 2 S These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances. Exchange Rate Table Global Cash Ceirency Posing Amount in Currency USO Equivalent per USD Quincy Beata Base Cill rent,/ USO CHINA RENMIN81 0.1576 6.3449 HONG KONG DOLLAR 42,782 10 5.451 33 EURO 1.2081 0 8277 JAPANESE YEN 202.121 00 1 849 95 BRITISH POUND 1.3771 0 726 I Total Global Cash Balance 57.30t.28 HONG KONG DOLLAR 0.1274 7 8480 APANESE YEN 0.0091 109.4100 POLISH ZLOTY 0.2854 35030 RAND 0.0801 12.4802 Exchange rates are based on interbank exchange rates as of 04/ 30/ rates can vary. 2018. Exchange Money Market Fund Detail Date Activity Type Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield 164% Activity Ending: 04t 30r 18 Deseriplitin Amount Manse 03130118 Opening Balance 5,937,207.87 5,937,207.87 04/03/18 Withdrawal MONEY FUND REDEMPTION ,629,335.63 4,307,872.24 04/04/18 Withdrawal MONEY FUND REDEM PTION 4 ,688,141.87 2.619.727.37 04/05/18 Withdrawal MONEY FUND REDEM PTION 4 .052.462.50 1.567.264.87 04/09/18 Deposit MONEY FUND PURCHASE 5.108 00 1,572.372 87 04/11/18 Withdrawal M ON EY FUND REDEMPTION 406,137.71 1,166235.16 04/12/18 Deposit MONEY FUND PURCHASE 11,625.00 1,177,860.16 04/16/18 Deposit MONEY FUND PURCHASE 1,052,462.50 2,230,322.66 Page 2 of 28 AccouMtlund Th CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Noted Galls. Every Yea Since 2007 DALIAR PATEDCOMMUNICATIONS rxcuwic( Oar% through PenhieglIC. a Say °mai sataldlary a nit crank a New Vat Mellon CorpontIon (MY Mellon) Igraine inenew onatn./IW 44°m—00046639 DB-SDNY-0009463 EFTA 0015724R EFTA01289611

a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Money Market Fund Detail (continued) April 1,2018 - April 30,2018 SOUTHERN ANA NCIAL LLC Date Activity Type Sweep Money Market Fund (continued) DEUTSCHEGOVT CASH INSTL (continued) Desuiptiae Mount Brim 04117/18 Withdrawal MONEY FUND REDEMPTION -1,259,336.86 970,985.80 04120/18 Withdrawal MONEY FUND REDEMPTION -559,874.08 411.111.72 04124/18 Withdrawal MONEY FUND REDEMPTION -411,111.72 0.00 04124/18 Withdrawal SHARES REDEEM ED .1,796.53 -1,795.53 04124/18 Deposit ACCRUED DIVIDEND CREDIT 1,796.53 0.00 04125118 Deposit MONEY FUND PURCHASE 69,434.15 89,434.15 04128118 Deposit MONEY FUND PURCHASE 1,049,802.53 1,119238.68 04130/18 Deposit 253.75 1,119,490.43 INCOM E RBNV EST 04130118 Closing Balance $1,119,490.43 Total All Money Market Funds $1,119,490.43 Income and Expense Summary West Period Year4o-Date Table Nan Tsxt4 Twit Noe Tmfl Dividend Income Equities 5,208.00 0.00 154,889.89 0.00 Money Market 2,050.28 0.00 14,418.06 0.00 Other Dividends 10,307.63 0.00 225,400.26 0.00 Interest Income Bond Interest 86,930.91 0.00 322,924.89 0.00 Other Interest 0.00 0.00 36,804.40 0.00 Expenses W ithholding Taxes 0.00 0.00 346.70 0.00 Total Dividends, Interest, Income and Expenses $104,498.82 $0.00 $754,090.80 $0.00 Distributions Alternative Investments 0.00 0.00 0.00 173,883.82 Other Distributions 4.42 653.78 -0.42 28,85820 Total Distributions 40.42 $853.78 40.42 8202,541.82 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Humber. CONFID AL Page 3 of 28 Rated hortlent Clewing %Mr Penblin I1C *take/ evened Every Year Since 2007 SASS." a The end a New Yak Mete DALBAR RATED COMMUMCATIONS CarpontlanaltlY WWI ()tall INCE Pt • rig U.C.erber FINItANV YaGM_ 00046640 DB-SDNY-0009464 EFrA_OO 157249 EFTA01289612

Portfolio Holdings U.S. DOLLARS Opening Date CASH, MONEY FUNDS, AND BANK DEPOSITS Margin Balance 1,052,462.50 0.00 Money Market DEUTSCHE GOVT CASH INSTL 03/30/18 1,119,490.430 N/A 04/30118 5,937,207.87 1,119,490.43 0.00 14,418.06 Total Money Market $5,937,207.87 $1,119,490.43 $0.00 $14,418.06 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $6,989,670.37 $1,119,490.43 $0.00 $14,418.06 Account Activity Opening Going Acaued Income 30 Day Cement Quantity Number Biding Balance galena Income This Yes Yield Yield Date Acquited FIXED INCOME (In Maturity Date Sequence) °Asset Backed Securities WASHINGTON M UT MTGSECSCORP 20044242 MTG PASSTHRU CTF Ct. C VAR RATE 6.996%07125/33 81E DTD06/0104 Factor: 0.37114371 Effective Date04/02/S Current Face Value: 479$2386 12/13113'.3.° 1290,000.000 Adjusted OuatIty NMI OA Cost Bees Merkel Pike Midst Value 1.63% 1.64% thmealzed Awned EilleaMed SUSS °skirls% Interest Annuli Income Yield Security Identifier 939336520 76.5190 366,648.38 93.0380 Original Cost Basis: 5838406.71 445,803.10 Total Asset Backed Securities $366,648.38 $445,803.10 1,290,000.000 Total Current Face Value:479,162.386 Corporate Bonds CITIZENSCOMMUNICATIONSCOD Security Identifier: 174538AW1 NT FULLY EXCHANGED FROM 44538AX9 7.125%03/S/9 8/E DID03/23/07M oody Rating CAA1S41 P Rating B. 10103117 1,000,000.000 100.0620 1,000,623.01 99.5000 995900.00 Original Cost Basis: 51001006.00 EXELA INTER LLC/ EXELA FIN INC GTD Security Identifier 3052RAA9 FIRST PRIORITY SR SECO NT 144A 9.000% 0716/23 WE DID 0 7/12117 CLBM oody Rating 83 S 8 P Rating B 10/24/17 2.000.000.000 97.0250 1.940.506.00 100.1250 2.002.500.00 Original Cost Basis: 51940,506.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 79,154.72 2,700.60 979,164.72 $2,700.60 $0.00 .5,623.01 8,906.25 71,250.00 7.16% 61.994 00 58.333 33 200.00090 9.98% Page 4 of 28 Rated Itettlent Cleanng through Pagan IIC auk,/ evened (very Yew Since 2007 sabsidiary of The Mak anew. Vat Meta DALBAR RATED COMMUNICATIONS CarporatIon (MY Mellon) (XCILLINCE Panama RC. ente-to romu,tag‘GM_000 46641 DI3-SDNY-0009465 EFTA_00157250 EFTA01289613

a Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) A pril 1, 2018 - A pril 30, 2018 SOUTHERN ANA NCIAL LLC Date Acquired Quantity Unit Coal FIXED INCOM E (continued) Corporate Bonds (continued) J3,5 INVTS GM BH GTD SR NT REG S ISINt HM29866453 7250% 04103124 FOE DTD 04/03/5ISS P Baling B 10/31117 2,000,000.000 99.0650 SERViCEMASTER CO NT 7250%03/0538 BIE DTD 03/02198 ET CPN DTE 09/0798 CPN PUT Sall ANNUAL ON MAR 01AND SEPOilocdy Rating 62 Sd P Rating B 10/18/17 500,000.000 103.9520 10/19/17 10/20117 10131117 Total Covered Total 350,000.000 80,000.000 70000.000 1,000,000 000 1,000,000.000 103.9540 103.9600 103.9630 ASSURANT INC FXD TO FLTG SUB NT 7.000% 03/27/48 B/E DTD 037271E CALLABLE03/27128 (I DOODOMoody Rating EIM3 03129118 2,000,000.000 101.9990 ,P11 ORGAN CHASE 8 CO DEP MISREPSTG METH PFD SER 1FIXED TO FLTG RT BD 7.940% 04/29/49 BIC DTD 04/23/08M oody Baling BAA3 S 8 P Rating BBB- 06/1511I " 37 2,500,000.000 107.5000 Adjusted Cost Dais Market Rice Market Value Unrealized Gigolo's Accrued Interest Eslir al ed Estraled Ann al rime Yield Security Identifier: A29866485 1.981.300.00 98.5950 1.971.900.00 4.400.00 10.875.00 145.000.00 7.35% Original Cost Basis: 51981300.00 Security Identifier: 81760NAB5 519.760.77 99.7500 498,750 00 -21,010.77 5,940.97 36,250.00 7 26% Original Cost Basis: 5520.003.00 363,838.99 99.7500 349,125 00 -14,713.99 4,158.68 25,375.00 726% Original Cost Basis: 5364,006 00 83.167.97 99.7500 79.800 00 3.367 97 950.56 5,800.00 716% Original Cost Basis:583206.00 72,774.10 99.7500 69.825.00 .2,949.10 831.73 5,015.00 726% Original Cost Basis:57280600 1,039,541.83 997,500.00 -42,041.63 11,881 94 72,500 00 $1,039,541.83 5997.500.00 442,041 83 $11.881.94 572,500 00 Security Identifier:04625MM 2,039,973.33 104.1940 2,083,880.00 43,906.67 12,83333 140,000.00 6.71% Original Cost Basis: 52,040,006.00 Security Identifier 46625HHA1 2,687,500.00 100.7500 2,518,750.00 -168.750.00 0.00 197,500.00 7.84% Original Cost Basis: $2,887.500.00 Stcacill M Account Numb C CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO Page 5 of 28 L Rated Calls. Glean... through Pealing LLC.aulay (Amid Every Year Since 2007 setaldiary of The Mace( New Volt Mellor. DALIARPATEDCOMMUNICATIONS Corporation (IINY Mellon) ......... ..., EXCUSING( 00046642 Penkkektc.monew onstik.kltY&FatItl DB-SDNY-0009466 EFTA 00157251 EFTA01289614

Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit Cost FIXED INCOME (continued) Corporate Bonds (continued) Se ORGAN CHASE& CO DEP SHSREPSTG (continued) 06/15111 '3° 2.500.000.000 107.0000 Total Noncovered Total 5,000,000.000 5,000,000.000 BANK AM ER CORP PERP NON COM ULATIV E DEP SHS FIXED TO FLOAT 8.45% 04/30158 WE DTD 04130/08 CALLABLE05/151SM oody Rating BA2 St P Rating BBB. 01/10/11 " V 2,000,000.000 103.9790 SOUTHERN CAUF EDISON CO PREF SER E 6 250% 0117162 B1E OTO 0Y412 CALLABLE 02/0 V22 @ 130000Moody Raling BAAIS& P Rating BBB- 01/30/12 " 52 3.000.000.000 99.8880 GENERAL ELEC CO GTD FXD-TO-FLTGRT NON-CUMULATIVE PERPETUAL PREFERRED 4.000% 2/03/6511EG DTD 3.1Moody Rating A3 58 P Rating BBB. 12/03/15 2,469,000.000 88.0930 LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1SECS US539139AG12 7.500% 04/27/88 BIE DTD 0410V145A P Rating BEI- 04/10rI4 . '3 t2 1,903,000.000 102.3910 CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08115/88 IVE DID 0812/15 CALLABLE081S/200 310.0002 oody Rating BA2 SI P Raling BB- 08/06/15 3.000.000.000 100.0000 Adjusted Cost Bads Market Pin 2.675.000.00 100.7500 Original Cost Basis: 32175100.00 5,362,500.00 35,362,500.00 Security Identifier: 060505018 2,079,572.34 100.2000 Original Cost Basis: $2,081830.56 Security Identifier: 842400 FU2 2.996.653.73 106.0000 Original Cost Basis: $2,992,561.97 Securely Identifier 369604BM 4 2,175,016.17 90.0000 Original Cost Basis: 52,45.011.4 Security Identifier. 539439A04 1,948,500.00 107.9000 Original Cost Basis:31918,500 00 Security Identifier: 17296725 3.000.005.99 103.3750 Market Value 241835010 5,037,500.00 34037,500 00 2.004.000.00 3.180.000 00 2,222.100 00 2,053,337.00 3.101.250.00 Unrealized Oainlloss Accrued Interest Estimated Estimated Annual Income Yield -156.250.00 0.00 197.500.00 7.84% 325,000.00 0.00 395,000.00 4325,000.00 30.00 3395,000.00 -75.572.34 74,479.17 162,500.00 8.10% 183.346 27 46.354.17 187.500.00 5.89% 17,083.83 37,035.00 98,760.00 414% 104,837.00 13,083.13 142,725.00 6.95% 101:244.01 37.187.50 178.500.00 515% Account Number CO CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFIDO. 4 Rated Einellent fray Year Since 2007 MBAR MUD COMMUNICATIONS EXCMINCE Page 6 of 28 Clown. tivough Persian U.C. a.tory owned ' ,Asiatic' The lank a New York Mellon Carpotatken(ONY Mellon) PtnPiat LI.C.rnerte HtoiA.g4ra:PM_00046643 DB-SDNY-0009467 EFTA_00 15725/ EFTA01289615

a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Cute Acquked Ouestky Unk Cod Adjusted Cod Bede Merkel Prim Market Value unasked Wenn Acaued funded Estimated Ed mated Annuli Income Yidd FIXED INCOM E (continued) Corporate Bonds (continued) CITIGROUP INC FM) RT SR NT PERP DEP RECPT (continued) Original Cost Basis: $3.000,006.00 Total Corporate Bonds 25,372,000.000 $25,564,192.40 $25,648,967.00 $84,774.60 5310,968.82 $1,793,735.00 TOTAL FIXED INCOME 26,662,000.000 Dote Acquked Oumtky MIN Cool $25,930,840.78 Cod Bats Merkel Price $26,094,770.10 Market Value $163,929.32 Unmated Gelarlon $313,669.42 $1,793,735.00 Bille ted Whaled Maud Income YIeld EQUITIES Common Stocks ADVANCED MICRO DEVICES INC COM Dividend Oplion: Cash &wily Identifier AMP CUSP. 007903127 April 1,2018 - April 30,2018 SOUTHERN FINANCIAL LLC 50,000.00 of these shares are in your mated account 09115117 20.000.000 12.2810 245.612 36 10.8800 217.600 00 -28,012.36 12115117 30,000.000 122300 366.912 57 10.8800 326 400.00 -40,512.57 Total Covered 50,000 000 612.524 93 544,000 00 48,524 93 Total 50,000.000 $612,524.93 3544,000.00 •$68 524 93 SO 00 ALIMM GROUP HLOG LTD SPONSORED ADR &toddy Identifier. MBA ISNt USOSO9W927 CUSP: 0 S091V 1)2 Dividend Oplion: Cash 06110115 5.000.000 88.9500 444,749.00 178 5400 892,700.00 447,951 00 ALPHABET INC CAP 5Th CL C Seedily Identifier: GOOG Dividend Oplion: Cash CUSP: 02079K1)7 04102/18 1.000.000 1,004.6340 1.004.634.49 1.017.3300 1,017,330.00 12.695.57 AMAZON COM INC Security Identifier AUDI Dividend Option: Cash CUSP:023135U 03/29118 500.000 1,423.8620 711,930.80 1,566.1300 783,065.00 71,134.20 04102/18 500.000 1,367.0210 683.570.38 1.566.1300 783,065.00 99,554.62 Page 7 of 28 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: It ON2 CONFIDO. 1:0)C. L Rated Eic•Ilent Every Yet Since 2007 DALIAR RATIO COMMUNICATIONS LXCILL INCE Clewing through Mire I1C nob* evened Malaita" of me Ian a/ New Vat Meta Carpontlan (IINY Mellon) Periling U.C.ntenter FIIIIIAAR4VELGM_00046644 DB-SONY-0009468 EFTA_00157253 EFTA01289616

Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired EQUITIES {continued) Common Stocks (continued) AMAZON COM INC (continued) Total Covered 1,000 000 Total 1,000100 APOLLO GLOBAL M GM T LLCCL A SHS Dividend Option: Cash 263,1710 of these shares are is your margin account 03/29/11 " 3 263.157.000 19.0000 APPLE INC COM Dividend Option: Cash 12/07/17 BASF SE SPONS ADR 1914100552625057 Dividend Option: Cash 04/13115 20,000.000 25.4030 BERKSHIRE HATHAWAY INC DEL CI. A Dividend Option: Cash 02105/18 3.000 310.425.3330 02/16/18 3.000 307,028.6670 03119118 3.000 305,135.3330 03/23/18 3.000 296.035.3330 03127118 3.000 301,415.3330 Total Covered 15.000 Total 15.000 BIOGEN IDEC INC COM Dividend Option: Cash 02/14/12 ..3 CD4TENE CORP DEL COM Dividend Option: Cash 09108114 GENERAL ELECTRIC CO COM Dividend Option: Cash 25100.00 of these shares are io your margin account 02123118 2.500.000 02/26/18 2.500.000 Quantity Unit Com 214,000.000 169.8140 2.095.000 110.2720 15.550.000 63.6450 16.2210 16.2210 931,276 921,086 915.406 888.106 904,426 1,561,300 $1,560,300 Cost Baia Market Price 1,395,441 18 $1,395,441.18 Secuidy Identifier. APO CUSP 03764306 4,999,983.00 28.8400 Security Identifier: WI CUSP: 037833100 36,340,223 40 165.2600 Securily Identifier: BASFY CUSP. 055262505 508.056 00 26.0500 Security Ideating. BRK A CUSP:084670138 00 290,650.0000 00 290,650.0000 00 290,650.0000 00 290.650.0000 00 290,650.0000 00 00 Security Identifier. BUB CUSP 09062X03 231.019 65 273.6000 Sectrity Identifier: CNC CUSIP 1135891 989,679 75 108.5800 Socially Identifier GE CUSP 36960413 40.551 71 14.0700 40.551 71 14.0700 Market Value 1,566,130 00 Unceanzed Clinton Estimated Edbaled Annual Income Yield 170,688 82 $1,566,130.00 $170,688.82 $0.00 7,589,447.88 2,589,464 88 542,103.42 714% 35,365.640 00 174,583 40 539,280.00 152% 521,000.00 12.944.00 25,587.20 491% 871.950.00 -59,326.00 871.950.00 .49,136.00 871,950.00 43,456.00 871.950.00 -16.156.00 871.950.00 .32,476.00 4,359,750.00 -200,550.00 $4.359,750.00 4200,550.00 $0.0D 573.192.00 342.172.35 1.688.419.00 698,739 25 35.175.00 4.376.71 1200 00 3 41% 35.17510 -5,376.71 1.200 00 341% Page 8 of 23 Account tiumbeill= C Stint/ CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO Rated balls. bery Yea. Since1007 DALIARIATEDCOMMUNICA11016 LXCHAINC( Cain. liner PagektiLLC. a %l ay owned sat ddlity of The lank el New York Mellon CaTcatIon 01110( Mellon) FikiteAlAqi:t.GM_00046645 DB-SDNY-0009469 EFTA_00 157254 EFTA01289617

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) April 1,2018 - April 30,2018 SOUTHERN FlNA NCIAL LLC Date Acquired EQUITIES (continued) Common Stocks (continued) GENERAL ELECTRIC CO COM (continued) Quantity Unit Cosi Cost Dais Market Ftice Market Value Unrealized Gaintloss Estimated Estimated Annual Income Yield 03105118 800.000 16.2260 12.980.63 14.0700 11.256.00 -1,724.63 384.00 3.41% 03/07/18 5,000.000 16.2190 81,097.41 14.0700 70,35010 -10,747.41 2,400.00 341% 03112118 2.500.000 16.2210 40.551.71 14.0700 35.175.00 4.376.71 1,200.00 341% 03/16/18 11,700.000 16.2190 189.759.90 14.0700 164.619.00 -25,140.90 5,616.00 3.41% Total Covered 25,000 000 405,493.07 351,750.00 -53,743.07 12,000 OD Total 25,000 000 5405,493.07 3351.750.00 453,743.07 312,000.00 GILEAD SCIENCES INC Secluity Identifier. GILD Dividend Oplion: Cash CUSP. 37555803 02105114 5.000.000 79.2810 396.407.00 72.2300 361.150.00 -35.257 00 11,400.00 3.15% 03107114 3.100.000 79.6120 246,797.00 72.2300 223,913.00 -22,884.00 7.068.00 3.15% 10/24/17 4.400.000 80.0900 352.395.71 72.2300 317.812.00 -34.583 71 10.032.00 3.15% Total Covered 12.500 000 995,599.71 902,875.00 -92,724.71 28.500.00 Total 12,500 000 5995,599.71 3902,875.00 492,724 71 328,500 OD NINTENDO LTD ADR Sandy Identifier: NTDOY Dividend Oplion: Cash CUSP:654445303 02105118 10,000.000 51.7910 517.906.00 52.4800 524.800 00 6.894 00 4,689.56 0 89% OUALCOUN INC Security Identifier: OCOM Dividend Oplion: Cash CUSP. 74752503 9600.00 ollhese shares are in your margin account 04118118 2,500.000 58.1730 145.432.61 51.0100 127.525.00 -17,907.61 6,200.00 4.86% 04120118 7,500.000 58.1710 436285.83 51.0100 382,575.00 -53,710.83 18,600.00 486% Total Covered 10,000.000 581,718 44 510.100.00 -71,618.44 24,800.00 Total 10,000.000 $581,718.44 3510,100.00 471.618.44 $24,800.00 Total Common Stocks 353,587,328.62 $56.407.133.88 52,619,805.26 $1,176,960.18 Account Numbe C storrracsqici: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDOt Rated allin, bay Yeas Since 2007 DALIARPATEDCOMMUNICATIONS UMIAK( Page 3 of 28 Chinni through 'Ware U.C. a calory owned sakskliary of The Bank *I New York Mellon Corporatfon (MY Mao) ‘40_00046646 Fintint ltC. reenter Fit.RA. tleAcqkt. DB-SDNY-0009470 EFTA_00 157255 EFTA01289618

Portfolio Holdings (continued) U.S. DOLLARS (continued) Unfenced Estimated Edimeled Oete Acquired Cmanky Unit Cod Cod Bads Motet Prim Market Value Coin Loss Anneal Income Yield EQUITIES (continued) Preferred Stocks (Listed by expiration date) GMAC CAP TR I GTO TR PR) SECS SER2 CPN. Security Identifier: ALLY PRA 815% FRED ORTLY MA1Y-02115/2040 CALL CUSP. 361160208 ANYTIME 025 W130 GAYS B8314602/16/1 Dividend Option: Cash 02122112 ' •° 80.000.000 23.5350 1,882,773.60 26.5900 2.127200 00 244,426.40 146.396.48 6 88% Total Preferred Stocks $1,882,773.60 $2,127,200.00 $244,426.40 $146,396.48 Options PUT 1/0 GILEAD SCIDICESINC Option Identifies: 990ALUDWA EXP 05-1.1077.500 OPTION ROOT: GILD 425.00 of tbeseoontracts ale a short position Underlying Security Identifier: OLD thud eitying Security Prix: $7223 04120118' .125.000 4.9690 42,111.55 5.5000 48,750.00 4,632.45 CALL 130 'SNARES TR M SCI EMERGINGLINTS Option Identifier:99041RM INDEX FD EXP0614055.000 Underlying Security Identifier:DEM OPTION ROOT: EDI Underlying Security Price:146.92 Price Estimated as of.0412711 01/17/18 2,400.000 0.4400 105.60610 0.0100 2.400.00 -103,206.00 Total Options $43,488.45 466,350.00 4109,838.45 $0.00 TOTAL EQUITIES $55,513,590.67 $58,467,983.88 $2,954,393.21 $1,323,356.66 Unsuited Edlinded &limited Date Acquits Quantity Una Cod Cod Bads Market Price Market Value Warless Maud Income Yldd M UTUAL FUNDS PM ORGAN FLOATING RATE INCOME FUND Security Identifier...611SX CLASS I CUSP. 484151 Open End Fund Dividend Option: Reinvest; Capital Goias Option: Reinvest 09128117 318109.777 9.4100 3,000,000.00 9.4100 3.000.000.02 0.02 118,061.64 313% Reinvestments to Date 7,756.519 9.4040 12,943.24 9.4100 72,988.83 45.59 2,872.39 393% Total Covered 326,566.296 3,072,943.24 3,072,988.85 45.61 120,934.03 Total 326,566.296 $3,072,943.24 $3,072,988.85 $45.61 $120,934.03 TOTAL M UTUAL FUNDS $3,072,943.24 $3,072,988.85 $45.61 $120,934.03 Page ID of 28 CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) Account Number CONFIDO. , CO2i L Rated Excellent (my Year Since 2007 DALIAR RATED COMMUtisCATIONS LXCILLINCI Cleating through Penlwel1C. a vilayevnted sobsidiary of The Bonk a New Yak Melba CarporatIon( ao) PerIhnx 11. INY M C. nwett• FINRAVV4PM_00046647 DI3-SDNY-0009471 EFTA_00157256 EFTA01289619

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquked EXCHANGE-TRADED PRODUCTS ISHARESINC MSCI SOUTH KOREA ETF Dividend Option: Cash; Capital Gains Option: Cash 11103117 13,000.000 75.8460 TOTAL EXCHANGE-TRADED PRODUCTS April 1, 2018 - April 30, 2018 SOUTHERN FINA NCIAL LLC Unrealized Quantity Unk Cod Cod Bun Market Peke Market Value Gaidloas Estimated Eslimaled Annual Income Yield Searity Identifies. EWY CUSIP: 464286772 985,996.98 75.6000 $985,996.98 982,800.00 $982,800.00 4,196 98 43,196.98 I8,291.14 2.87% $28,291.14 Uncoated Accrued Slated Cod Bads Merkel Value Godless Stared Andel biome TOTAL U.S. DOLLARS CHINA RENM I N BI $86,622,862.10 $89,738,033.26 $3,115,171.16 5313,669.42 $3,280,734.89 Estimated Oesalptlen bearely Market Price Market Value Caning YI441 EQUITIES Common Stocks CHINA CONN UNICATIONS CONSTRUCTION COMPANY 224,000.000 7.3445 1,645,184.35 CNY LTD SKS H ISMS CHE1)00002F5 259,732.93 USD Security Id edifier: MOO IIK CUSP. Y1136J1)8 Total Common Stocks 1,845,184.35 CNY 259,732.93 USD TOTAL EQUITIES 1,645,184.35 CNY 259,732.93 USD Market Value Currency Acaued Wont TOTAL CHINA RENM INBI Account tiornbet CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 1,645,184.35 CNY 0.00 259,732.93 USD 0.00 Page 11 of 28 Rated ruttlent Clewing liner Pagel% IIC nakayevened (very Yew Since 2007 semidry of Thalamic...kw Yalt Mellon DALBAR RATED COMMUNICATIONS corporactonottir MAW DIMLING( PerThinx 11.C.n.O-to ribakfriVYTEGM-000 46648 DB-SDNY-0009472 EFTA_00157257 EFTA01289620

Portfolio Holdings (continued) EURO Desaltslen decay Market Prke Market Yalu. Currency Accrued Intend* Estimated Estimated Annual Income Yield FIXED INCOME (In Maturity Date Sequence) Sovereign Debt REPUBLIC OFARGENTINA REG ISMS X6175303779 5250% DI t/28 REG DTD ri09/17 Security Ideetifier: AP7608387 1,000,000.900 97.4500 974,500.00 EUR 1,177,293.45 USD 15,102.74 18,245.62 52,500.00 5.38% 63,425.25 Total Sovereign Debt: 1,000,000.000 974,500.00 SIR 1,177,293.45 USD 15,102.74 18,245.62 52,500.00 63,425.25 TOTAL FIXED INCOM E Oemiplion 1,000,000.000 Ovenlky Merkel Price 974,500.00 EUR 1,177,293.45 USD Market Value Currency 15,102.74 18,245.62 52,500.00 63,425.25 Estinated Yield EQUITIES Common Stocks UBI SOFT DITERTAINMENT 1988FR0000054470 SA MONTREUIL ACT Security Id Wilier: UBI:FR CUSIP:F9396N136 11,200.000 79.2600 887.712.00 EUR 1,072,444.87 USD Total Common Stocks 887,712.00 EUR 1,012,444.87 USD TOTAL EQUITIES 887,712.00 EUR 1,072,444.87 USD MAN Value Currency Aoreed Etlimaled Meted Maud Income TOTAL EURO 1,862,212.00 EUR 15,102.74 52,500.00 2,249,738.32 USD 18,245.82 83,425.25 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account ?turbo;OM . ,..: CONFIDO. L Rand Citylient (wi Year Since 2007 DALIAR RATED COMMUNICATIONS (10ILLINCE Page 12 of 28 Clearing liner Pealing 11C. a volay evnted sobildiary a The Mak @Mew Yak Melba Carpotaban (MY WNW Per97inx 11.C. mentatt rtrieAVVYLOM_00046649 DB-SDNY-0009473 EFTA_00157258 EFTA01289621

I !A I Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) BRITISH POUND Oesuiption dlrNKy Merkel Price Market Value Connor Estimated Annual Income Estimated Yield EQUITIES Common Stocks HSBC HOLDiNGS PLC ORD HIS 24,800.000 1.2819 180,592.43 GBP 9,184.51 5.08% ISMS680005405286 248,693.26 USD 12,648 00 Security Id Wirier. HSBA:GB CUSIP:64634U19 Total Common Stocks 180,592.43 ek. 9,184.51 218,693.26 USD 12,618.00 TOTAL EQUITIES 180,592.43 CEP 9,184.51 218,693.26 USD 12,618.00 Accrued Eatheated Hulot Value Currenq Interest Mud SWIM TOTAL BRITISH POUND 180,592.43 GBP 0.00 9,184.51 248,693.26 USD 0.00 12,648.00 HON G KONG DOLLA R April 1, 20 - A pril 30, 2018 SOUTHERN F1NANCIALLLC Opening Owing Awued 30 Day Deariptor Du ante Belem Balance Currency Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 42,782.40 42,782.40 HKD 5,151.33 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 42,782.40 12,782.40 HKD 0 00 5,451.33 USD 0 00 Duciption EQUITIES Common Stocks LONKING HOLDINGS LTD MS ISIlltKYG5636CD78 Security Id48101er 3339:HK CUSP. 65636C107 Estimated al ironed prNily Markel Prise Market Vain Coning MMUS Income Yield 710,000.000 3.8000 2,556,000.00 HKD 113,599.09 4 44% 325,685.52 USD 14,474.91 CONFIDENTIAL - PURSUANT TO FED. R CRI6,1. P. 6(e) Account tioinbCItated rityllern 2: E. ben Yew Since 2O07 CONFID AL- DALBAR RATED COMMUNICATIONS Page 13 of 28 Cleanng Ear ugh Penlivg I1C *Ma/ evened sabsidiary a The kek a New Vat Mellon CarporatIon (MY WWI P • nw-to HINIAPWM_ 00046650 DB-SDNY-0009474 EFTA_00 I 57259 EFTA01289622

Portfolio Holdings (continued) HONGKONGDOLLAR (continued) Estimated Estimated Description Quantity Market Moe MLitt Value Currency Annual Income Yield EQUITIES (continued) Common Stooks (continued) NINE DRAGONS PAPER HOLDINGS LTO SOS 144.000 000 11.8400 1,704,960.00 HKD ION. BM G65311305 217245.89 USD Security Id edifier. 2689:FIK CUSP. G65311130 ZTECORP NISH INN* CNE1300004Y2 70800 000 25.8000 1,807,360.00 HKD Security Idedifier: 763.HK 230,293.81 USO CUSIP. Y0004995 ANHUI CONCH CE11 ENT CO LTD SITS H ism. UE1)0000182 52.500 000 49.4000 2,593,500.00 HKD 330.463.77 USO Security Id edifier 911:IIK CUSP: Y01373'02 BANK OF CHINA LTD BEIJNG VS II 512.000 000 4.3000 2,201,600.00 HKD ION. CITE:3000025 280,527.87 USO Security Id Benner. 398811K CUSP: Y0698A137 DONGFANG ELECTRIC CORPORATION LTD 150,200.000 8.1600 925232.00 HKD SHSH IONS0010000304 117.893.03 USD Security Id eetifier. D72:HK CUSP. Y2095897 Vi BOLA' POW ERCO LTD NISH 228,000.000 9.1600 2,088,480.00 HKD MN* NE130000419 265,114.08 USO Security Identifier:2338:Hk CUSP: Y95314119 ZHLIZHOU CRRC TIM ES ELECTRIC CO LTD SHS 43,400.000 41.8500 1,816,290.00 HKD -H- ISIN4CNE1300004X4 231,431.67 USD Security Idedifier 3898:111( CUSP: Y9692N14 Total Common Stocks 15,693,422.00 HKD 113,599.09 1,999,655.64 USD 14,474.91 TOTAL EQUITIES 15,693,422.00 HKD 113,599.09 1,999,655.64 USD 14,414.91 Meet Value Comm Accrued Estimated letterset Maui Income TOTAL HONG KONG DOLLAR 15,736,204.40 1110 0.00 113.599.09 2,005,106.97 USO 0.00 14,474.91 CONFIDENTIAL - PURSUANT TO FED. R CRIK P. 6(e) Account Number: CONFID Page '4 of 28 bled borleent bey Yew Since 2007 DAM* RA TED COMMUNICATIONS UCILAINCI Cleaging emir Pealing II( ea../ evened subsidiary a Tee leek a New WA Mellon Cap:aeon (IINY Melon) Perow 11.C. mere, FzivRAAPAELGM_00046651 DB-SDNY-0009475 EFTA_00 157260 EFTA01289623

Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) JA PAN ESE Y EN Desaiplon CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance April 1,2018 - April 30,2018 SOUTHERN FINANCIAL LLC danlity Opening Closing Accrued 30-0q Currency Income Yield TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS Simplon EQUITIES Common Stocks NISTESCO CORP TOKYO MS LTD 6.300 000 3 955 0000 24.916.500 00 JPY 453,553.68 1.81% ISINSPJ85129001 227 711.89 US) 4,145 45 Security Ideutilier 6268, War. J1707010 Price Estimated as of 0412711 Total Common Stocks 202,469.00 202,424.00 JPY 1,849.95 USD 202,469.00 202,424.00 JPY 1,849.95 USD Ourdity Markel Prim Market Value CelITUICy 0.00 0.00 alleged Muted Maui Income Yield 24,916,500.00 JPY 453,553.68 227,711.89 USD 4,145.45 TOTAL EQUITIES 24,916,500.00 JPY 453,553.68 227,711.89 USD 4,145.45 Accrued Fullimeted Mutet Value Currency intern Maud Income TOTAL JAPANESEYEN 25,116,924.00 JPY 0.00 453.553.68 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 229,561.84 USD Account Humber. CONFID L- RAS Excellent Every Yell Since 2007 ClAtIlAR RATED COMMUNICATIONS EXCELIENCE 0.00 4,145.45 Page 15 of 28 Clewing linter Peaking Lit auk,/ evened subsidiary a timbal, elele• Ycelt Mellen Cerponelen OW Mellon) Per ow RC. mere« F natal Y5;6(.4_00046652 DB-SDNY-0009476 EFTA_00i5726I EFTA01289624

Portfolio Holdings (continued) POLISH ZLOTY Conception EQUITIES Common Stocks CD PR0ST SA %IS 41 348.000 124.8000 5,180,230.40 PIN Wet PL0PTT030011 1,473,085.80 UW Security Ideatifier 0TGLF CUSIPX09575116 Total Common Stocks Eslur act 0ientlly Maki Pike Market Value Currency Yield 5,160,230.40 RN 1,473,085.80 USD 5,160,230.40 FIN 1,473,085.80 UW TOTAL EQU IT IES Accrued Market Value Currency Interest TOTAL POLISH ZLOTY RAND Description EQUITIES Common Stocks NASPERS LIM ITED LTD 2,000.000 3,059.4400 6,118,880.00 ZAR 11 599 85 0.18% ISIS' ZAE000015889 490281.38 UW 929.46 Security Welder. NAPRF CUSP: 55343593 Total Common Stocks 5,160,230.40 PLN 0 00 1,473,085.80 UW 0 00 Estral ed Estimated 0esnlity Market Pike Market Value Currency Annual Income Yield TOTAL EQUITIES 6,118,880.00 MR 490,281.38 USD 6,118,880.00 ZAR 490,281.38 UW Market Value Currency 11,599.85 929.46 11,599.85 929.46 Accrued Eallraated lamest Mime Income TOTAL RAND 6,118,880.00 ZAR 0.00 11,599.85 TOTAL PORTFOLIO HOLDINGS - U.S. DOLLARS 490,281.38 UW 0.00 929.46 Unseated Accrued &rated Cost Basis Market Value Gannon Interne Annual Income 886 622 862 10 $98,694,233.76 $3,115,171.16 $331,915.04 $3,376,357.96 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account !tomb CONFID L- Rated Excellent (my Year Since 2007 DALBAR RATIO COMMUNICATIONS (ialt MCC Page 16 of 28 Cleans through PenhieglIC.~ owned subsidiary of net Reek a Nee Yen Mete Certattatton(ONY Melton) LIC. neretta tette.g0 Y5;604_00046653 DB-SDNY-0009477 EFTA_00 '57262 EFTA01289625

ra Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) April 1, 2018 - April 30,2018 SOUTHERN FINANCIAL LLC • Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 20 0 8. and are marked as "noncovered" Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances. including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided fo us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. ° The cost basis of this security has been provided fo us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency Currency Cie fired Income Equities Mutual Funds Exchange•Traded Funds Total by Cunene/ U.S. DOLLARS 1119.490 26,094.770 58.467.983 3,072,988 982,800 89,738,033 USD CHINA RENM IN81 0 0 1.645.184 0 0 1.645.184 CNY EURO 0 974,500 887,712 0 0 1,862,212 EUR BRITISH POUND 0 0 180.592 0 0 180.592 GBP HONG KONG DOLLAR 42,782 0 15,693,422 0 0 15,736204 HKD XPANESE YEN 202.424 0 24.916.500 0 0 25.113.924 JPY POLISH ZLOTY 0 0 5.160,230 0 0 5,160.230 PLN RAND 0 0 8.118.880 0 0 8.113.380 ZAR Total USO Equivalent 1,126,791 27,272,063 64,239,589 3.072,988 982,800 96,694,233 USO % of Allocation 1% 28% 67% 3% 1% 100% Page 7 of 2S Account Number: CON CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) FIDg L- Paled Cacellent Even Yew Since 2007 DALBARPATED COMMUNICATONT L‘CiLLINCI Cleaging fl our Paden lit • elely owned istaldiarg of T4 Bank el New York Mellon expo-wen (MY Menu) Periling 11.C. mere« ihRA.gaenfilief0 - 00046654 DB-SDNY-0009478 EFTA 00157263 EFTA01289626

Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total. THEAS OF PRICE DATE ONLY APPEARS W HEN THEPRICEDATEDOESNOT EQUAL THE STAMM ENT DATE Estimated Annual Figures The estimated annual income (EA I) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be effected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.com/ disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities, and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. CONFIDENTIAL — PURSUANT TO FED. R CRINI, P. 6(e) Account Numbeill= Page 18 of 28 CONFIDO' „„d, Rated Etoelitnt Every Year Since 2007 DALIAR RATIO COMMUNICATIONS (JIMA MCC Clewing lame. Pella. IIC nib* evened sabsidlaary of The lank el New Yak Meta Cerpotation Man) Pero me 11.C. Mr FtuRAAR4VELGM_00046655 DE1-SDNY-0009479 EFrA_00 157264 EFTA01289627

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Cu. rent Period April 1,2019 - April 30,2018 SOUTHERN FINANCIAL LLC Date Dale Realized Description earned narked Designation Disposition Method/ Ttansadion Owning Placenta Cod Sash Gals/Loss Short Term EURO CURRENCY 04/17/18 04113118 Noncom( Ant In First Out! REC IN YR ACCT -1.021,732 880 1.259.387 95 0.00 0.00 Security Identifier. EUR999995 PUT WEIR S&P 500 ET 04/23/18 03119118 Covered Fist In First Out! EXPIRE OPT MT -200.000 27.593.34 0.00 27.593.34 255.00 Security Identifies. 990AM CCAX CALL GILEAD SCIENCES 04123/18 03116118 Covered first in First Out / EXPIRE OPT SHT •125.000 12.493.70 0.00 12.493.70 82.50 Security Identifier. 990AM L2D5 PUT GILEAD SCIENCES 04/20/18 03116118 Covered Ant In rust Out! BUY .125.000 12.868.69 52.25610 .39,387.31 77.50 Security Identifier 990AM L2FE CALL sr9RUP500 ET 04/23/18 03119118 Covered First in First Out! EXPIRE OPTION 200.000 0.00 30.80610 -30,806.00 277.50 Security Identifier 990AM VOM Total Short Term 1,312,343.68 83,062.00 -30,106.27 Long Term BARCLAYS BK PLC CONT 04110/18 04103/13 Noncovered" Fist in First Out / REDEMPTION 300.000.000 300100.00 300.00010 0.00 NT ISINOUS06739FHK03 7.750% Original Cost Basis:300,000.00 04/1)/23 B/EDTD 0411.114C1B Security Identifier. 06739FHKO FACEBOOK INC CL A 04124/18 05111112 Noncoverelis Arst In First Out / Sal 6.500.000 1,045,442.84 247100.00 798.44214 Security Identifier. 30303M132 WASHINGTON MUT MTGS 04/24/18 12/13/13 Nonosvered".1 REPYMT OFPION 1.290.000.000 2,091.27 1,600.21 491.06 004-RA2 MTGPASSTHRU CTFCL C- Original Cost Basis: 160021 BAVAR RATE 6.996% 07/25133 Security Identifier 939335620 Total Long Term 1,347,534.11 548,600.21 798,933.90 Total Short and Long Term 2.659.877.79 631,662.21 768.827.63 Account Number: CO CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) NFID 4 Rated ticillent hay Year Since 2007 DALIAR RAM> COMMUNICATIONS D0:WINCE Page '9 of 23 Clewing theough Penang U.C. a %l e7 owned studio" of The Bank el New York Mellon Corporation (IINY Melba) Petting llCanerIng ruin.c.PkALGM_00046656 DB-SDNY-0009480 EFTA_00 157265 EFTA01289628

Schedule of Realized Gains and Losses Current Period (continued) ' Noncovered under the cost basis rules as defined below. Generally. securities acquired before 2011 in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as -covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may markthe account as noncovered. However, if the account does not receive a 10998. the cost basis will not be reported to the IRS This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information,as it relates to corporate actions. has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1)99-B or online displays you may have available to you W hen you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRSor other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting Cost Basis on fixed income securities may be adjusted for amortization, accretion. original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election. type of fixed income security. and certain attributes. obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with lessthan one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. ' The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. ' The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no represent anon as to the accuracy of Misinformation. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO) Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8 M essages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Reese see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10( b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Page 20 of 23 Account Numba CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDOt 4 Rated Galls. Every VW Since 2007 DAtIAR Vino CCOAMUNICATIONS uaueicr demo through halms LLC, • May owned istaldiary of The Usk el blew Ye,* Mellon Caporatfon (IINY &igloo) Pt/Oita ihRAAW Illia91"—OW4 0007 DB-SDNY-0009481 EFTA 00157266 EFTA01289629

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Act iv it y Summary (Alt amounts shown are in base currency) April 1,2018 - April 30,2018 SOUTHERN FlNA NCIAL LLC Credits TNsPetead Debits ThisPeilod Net ThisPetend Credits Yes-to-Date Debels Year-to-Date Net Yee-to-Date Securities Securities Bought 0.00 9,499,014.52 0,499,014.52 0.00 -19.221,448.97 -19.221,448.97 Securities Sold 2.012.886.39 0.00 2.012.886.39 15.932.102.02 0.00 15.932.102.02 Total Securities $2112186.39 49.499.014 52 47.486.128.13 115.932.102.02 419,221,448.97 43,289,346.95 Dividends and Interest $104.496.82 $000 $104.496.82 $754,437.50 $0.00 $754,437.50 Distributions 1300.653 78 $0 00 1300.653 78 $502,541 82 $0.00 $502,541 82 Fees $0.00 4128.00 4128.00 $0.00 4200.00 4200.00 Taxes Withheld $0.00 $0.00 $0.00 $0.00 4346.70 4346.70 Other $0.00 40.42 40.42 $0.00 40.42 40.42 Cash Withdrawal 0.00 -1,259.336.86 -1,259.336.86 0 00 -1,668,094.04 -1,668,094.04 Deposits 1,360,343.06 0.00 1,360,343.06 1,588,343.06 0.00 1,588,343.06 Total Cash $1.360,343.06 41,259,336.86 $101,006.20 $1,588,343.06 41,668,094.04 479,750.98 Totals $3,778.380.05 410,758,479.80 46,980,099.75 $18,777,424.40 420,890,090.13 42,112,665.73 Transactions by Type of Activity Process; Trade; Sett kmenl Transaction Dote Clete Activity Type Dreuiption Conley Price &trued Interest Amount °infancy Securities Bought 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 -2,333.33 -2.042.339.33 USD A114613422 03/27/1 CLB VARIABLE RATE 04/04/18 04102/18 PURCHASED ALPHABET INCCAPSTK CL C UNSOLICITED ORDER AVERAGE 1,000 000 1.004.5784 -1.004.634.49 USD GOOD UNIT PRICE TRANSACTION YOUR BROKERACTED AS AGENT 04104/18 04102/18 PURCHASED AMAZON COM INC BKCM A PERSHING AFFILIATE MAKESA MKT 500.000 1,366.9087 183,510 38 USD AM ZN IN THISSECURITY 8 ACTED AS PRINCIPAL UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT Page 2'. of 28 Account Number C 02i1 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO Rated tscollent trey Year Since 2007 DAM/AWED COMMUNICATIONS LXCULINCI Claim. linter halms LLC. 4..4" owned sobsidiacy of The Bank a Mew Yovk Mellon CoopotatIon (MY /*Moo) PerchnglIC.nw-bt, IthRo..W11.1391"—00046658 DB-SDNY-0009482 EFTA_00 157267 EFTA01289630

Transactions by Type of Activity (continued) Proms Settlement Trade; Transaction Date Dine Aciiyity Type Description auentily Price Acaued Interest Amount Currency Securities Bought and Sold (continued) 04/10/18 04105/18 PURCHASED POUSH ZLOTY 2.410.966 000 3.4143 -706.137.71 USD 04/10/18 04/06/18 PURCHASED CD PROJEKT SA 915 ISM* PLOPTTCOOOTIALLOCATED ORDER 20.000 000 120.4083 -1,410,966.00 PLN OTGLF YOUR BROKER ACTED AS AGENT AS 0E04/06/2011 -704.672.36 USD 04/17/18 94113/18 PURCHASED REPUBLIC OF ARGENTINA REG S (SINS XS17%303779 5.250% 1.000,000 000 100.8500 •13.232.88 -1,021,732.88 EUR AP7608387 065128 REG DTD 1109117 YLD 5.134 TO MAT ASOF -16,310.85 -1,259.387.95 USD 04/3312013 04119/18 YOUR OPTION ASSIGNED PUT 110 QUALCOM II INC DP 04.20.16060 000 OPTION 25 000 000 USD 990AL P130 5 ROOT: OCOM OCOM -05 CLOSING TRANSACTION 04/20/18 04118/18 PURCHASED POUSH ZLOTY 1.375.796 340 3.3575 409.768 08 USD 04120/18 04/18/18 PURCHASED CO PROBIT SA 915 (SINS PLOPTTC00011ALLOCATED ORDER 11.348 000 121 0969 -1,375,796.34 PLN OTGLF YOUR BROKER ACTED AS AGENT AS OF 04/13/201 X09.231.79 USD 04120/18 94118/18 PURCHASED QUALCOM M INC ACCT OPT ASSIGNED 2,500 000 60.0000 -150,106.00 USD OCOM 04/23/18 04120118 SOLD SHORT PUT DO GLEAD SCIENCES INC DP 05-1-1277500 OPTION -125 000 5.0000 62,117 55 USD 990ALUCIW A ROOT: GILD OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 04/23/18 04/20/18 PURCHASED PUT 130 MEAD SCIENCES INC EXP 0 4-20-10 77500 OPTION 125.000 4.1500 42.256 00 USD 990AIA L2FE ROOT: GILD CLOSING TRANSACTION UNSOL EXCHANGE LISTED OPTION 04/23/18 YOUR OPTION ASSIGNED PUT DO QUALCOM M INC EXP 04.20.16060 000 OPTION 75.000 0.00 USD 990ALP9D5 ROOT: OCOM OCOM CLOSING TRANSACTION 04/23/18 YOUR OPTION EXPIRED PUT 100 SPIN S&P 500 ETF TR TR UNIT EXP 200.000 000 USD 990AM DCAX 04-20.130255000 OPTION ROOT: SPY SPY CLOSING TRANSACTION 04/23/18 YOUR OPTION EXPIRED CALL DO G LEAD SCIENCES INC EXP 04.20.13082,500 OPTION 125.000 0.00 USD 990AML205 ROOT: GILD GLD CLOSING TRANSACTION 04/23/18 YOUR OPTION EXPIRED CALL DO SPDR S&P 500 ETF TR TR UNIT EXP -200.000 0.00 USD 990AM ROM 04-2040277500 OPTION ROOT: SPY WY CLOSING TRANSACTION 04/24/18 04/20118 PURCHASED QUALCOM IA INC ACCT OPT ASSIGNED OPTCUSIP 990ALPB05 7.500 000 60.0000 450.30640 USD OCOM 04/25/18 93127/18 CORRECTED PURCHASE BERKSHIRE HATHAWAY INC DEL CL A UNSOL AVERAGE UNIT 3.000 301.440.0000 404.426.00 USD BRK A PRICE TRANSACTION YOUR BROKER ACTED AS AGENT CORRECTED CONFIRM 04/25/18 03127/18 CANCELLED PURCHASE BERKSHIRE HATHAWAY INC DEL CI. A UNSOL AVERAGE UNIT -.000 301.440 0000 905,326 00 USD BRK A PRICE TRANSACTION YOUR BROKER ACTED AS AGENT CANCELLED TRADE Account Puma CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Page 22 of 28 Rated ticellent trey Year Since 2007 OMAR MITO COMMUNICATIONS EACtLLINCI Clewing through PenhinlIC • Say °mai SASS." of TM Mak a New Ytelc Melba CaneratIon any Wilco) PerOing 11.C. ertrett. MR", tlei lha9,"- 00046659 DB-SDNY-0009483 EFTA_00157268 EFTA01289631

PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) Process Trade; Settlement Transaction Date Dale Activity Type Securities Bought and Sold (continued) 04/26/18 04/24118 SOLO FB 04127/18 REINVEST CASH INCOME ?HS% kpril 1,2018 - April 30, 2018 SOUTHERN FlNA NCIAL LLC Description Quartile Price Accrued Interest Amount Correnq FACEBOOK INC CL A UNSOLICITED ORDER .PM ORGAN FLOATING RATE INCOME FUND CLASS I 3254697400 SHRS *IRS PORCH. AT $910000 RD 04125 PD 04/27/13 1,500 000 160.8820 1,096 556 1.045.442 84 USD .10,307.63 USD Total Securities Bought and Sold EURO TOTAL USD EQUIVALENT POLISH ZLOTY TOTAL USD EQUIVALENT U S. DOLLARS Dividends and Interest 04/03/18 FOREIGN BOND INTEREST A29866AB5 04/06/18 04111/18 04/24/18 04/25/18 FOREIGN SECURITY DIVIDEND RECEIVED HBCYF FOREIGN BOND INTEREST 06739FHKO MONEY Al ARKET FUND INCOME RECEIVED PER232045 BOND INTEREST RECEIVE) 939336520 04127/18 CASH DIVIDEND RECEIVED 04/30/18 MONEY M AFtKET FUND INCOME RECEIVED PER232045 Total Dividends and Interest - U.S. DOLLARS 2000000 .13S INVTSGMBH GTD SR NT REG S ISINt LISA29866AB537250% 04/03124 WE DTO 04103/14 US RD 04102 PD 04/03/13 HS8C HOLDINGS PLC ORD SHS ISINO GB0005405286 RD 02/23 PD 04/06/13 DIV -00.21 300000 BARCLAYS BK PLC CONTINGENT CAP NT ISINt US06739FliK03 7750% 04/1/23 WE DTD 0 4/13/ t3 CLB RD 04101 PD 04/13113 DEUTSCHE GOVT CASH INSTL INCOME REDEEM ED 00000 WASHINGTON M UT M TGSECSCORP 200 4-RA2 M TG PASSTHRU CTF Cl C-B-WAR RATE 6 996% 07125133 B/E DTD 06/0104 RD 03/30 PD 04/251% .PMORGAN FLOATING RATE INCOM E FUND CLASS I 325469 7400 SHRS RD 04125 PD 0412718 DEUTSCHEGOVT CASH -24,800.000 -13.232.88 -1.021.732 88 EUR -16.310.85 -1,259.387.95 USD 0.00 -3,786,762.34 PLN 0.00 -1.113.904.15 USD -2.333.33 -5.112.836.03 USD 72,500 00 USD 5,208 00 USD 11,625 00 USD 1.796.53 USD 2,805 91 USD 10.307 63 USD 253.75 USD 0.00 104,496.82 Page 23 of 28 eu Account Numb CO CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) NFIDO L Rated banal Clewing Itwough Penhieg 11C. a Say ~ad bay Y. Since 2007 Salary a rite Malta New Yak Mellor. DALIAR £ATFDCOMMUNICATgNS Corporation (11111Y Mellon) .........,, , s a LXCWINCE fientlett l LC. reenter Fihitn.illeM orNm-00046660 DB-SDNY-0009484 EFTA_00 157269 EFTA01289632

Transactions by Type of Activity (continued) Process; Trade; Settlement Transmtion Date Dote Activity Type Description Quantity Price Accrued Interest Amount Drumm Distributions 04110/18 SECURITY REDEEMED BARCLAYS BK PLC CONTINGENT CAP NT 'SINS US06739FHK03 -300.000 000 300.000.00 USD 0 6739FHKO 7150% 0111123 BIE DTD 04/1113 CL8 04/25/18 RETURN OF PRINCIPAL 1290000 WASHINGTON NUT M TG SECS CORP 200 4 -RA2 M TG 653.78 USD RECEIVED PASSTHRU CTF CL C-B-1VAR RATE 6 996% 07/25/33 B/E DTD 939336620 06/0104 RD 03/30 PO 0412511 Total Distributions - U.S. DOLLARS 0.00 300.653.78 Fees 04/02/18 FOREIGN CUSTODY FEE Fgn Safekeeping M AR 20 13 CUSIP. F9396N-1.6 -2.00 USD UBSFF 04102/18 FOREIGN CUSTODY FEE Fgn Safekeeping 11 AR 20 1 CUSP. 64634 U-1-9 -2.00 USD HBCYF 04102118 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 201 CUSP G5636G1.7 -2.00 USD LONKF 04102118 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 201 CUSP 66531.1-0 -2.00 USD NDGPF 04102/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 201 ClISP X 70 70-1-0 -2.00 USD NCTKF 04102/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 201 CUSP S53435-1.3 -2.00 USD NAPRF 04102/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 201 CUSP X0957E-1-6 -2.00 USD OTGLF 04/02118 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 201 CUSP. Y0004 F-1.5 -2.00 USD ZTCOF 04102/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 201 CUSP. Y0473-D.2 -2.00 USD AHCHF 04/02/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 201 CUSP. Y0698A-13 -7 -2.00 USD BACHF 04102/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 21101SP Y1136J1.8 -2.00 USD CCCGF 04/02118 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 201 CUSP. Y20958.1.7 -2.00 USD DNGFF 04/02/18 FOREIGN CUSTODY FEE Fgn Safekeeping M AR 20 13 CUSP. Y953%-9-9 -2.00 USD WEICF 04102/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAR 201 CUSP Y9892N-13-4 -2.00 USD ZHUZF 04/04/18 AGENT SERVICING FEE ALIBABA GROUP HLDG LTD SPONSORED ADR -100.00 USD MBA ISINft UW10914127 RD 03/30 PO 04/04/15000 SHSSVC FEE NIG° 2380 4 1 Total Fees - U.S. DOLLARS 0.00 -128.00 Page 24 of 28 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Noma eCDip7X31Gt Y. CONFID L-- Rated Eintilent tray Year Since 2007 PAIAAR MUD COMMUNICATIONS EXCILIANCE Clown& tIvough Pealing LC. wlay evened subudimy of The Bank a New Vat Mao Corporation(SNY Mao) tic. Mnt41 tit,RA.gWrateM_00046661 DB-SDNY-0009485 EFTA_00 157270 EFTA01289633

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) A pril 1,2018 - A pril 30, 2018 SOUTHERN FINANCIAL LLC Roam Trade; Settlement Transedlon Date Date AdivNy Type Description Ouentily Price Accrued Interest Amount Correnq Other Transactions 04/13/18 ACTIVITY WITHIN YOUR ACCT APOLLO GLOBAL M GM T LLC CL A SKS TRANSFER TO MARGIN -263.157.000 0.00 USD APO 04/13/18 ACTIVITY WITHIN YOUR ACCT APOLLO GLOBALMGMTLLC CI A SHS TRANSFER FROM CASH 263 157.000 0.00 USD APO 04/20/18 04119/18 FREE CREDI T BALANCE JAPANESE YEN CURRENCY FREE CREDIT BALANCE INTEREST 45.00 JPY INTEREST CHARGE CHARGEFREECREDIT INT CHRG 03-20-1 TO 04.1.13 FOR 4.42 USD .PY999993 CUSTOMER ACCOUNT Total Other Transactions .APANESE YEN 0.00 -45.00 JPY TOTAL USC EQUIVALENT 0.00 4.42 USD US. DOLLARS 0.00 0.00 USD Cash W ithdrawals and Deposits 04/17/18 INCOMING CURRENCY WIRE INCOMING CURRENCY WIRE EURO CURRENCY 1,021,732.88 EUR EUR999995 1,263,372 71 USD 04/17/18 FEDERAL FUNDS SENT CEUTSCHEBANKTRUST 4 .259.336 85 USD USD999997 04/24/18 CUSTOM ER AUTHORIZED TRANS FRII N4G02611 96,970.35 USD TRANSFER USD999997 Total Cash Withdrawals and Deposits EURO 0.00 1,021,732.88 EUR TOTAL USC EQUIVALENT 0.00 1,263,372.71 USD U.S. DOLLARS 0.00 4 ,162,366.51 USD Told Accrued Interest Total Amount Transimtionsanmay Told Mailed altered Told Amount Oaring US0Equhalent USDEquivalent EURO -13.232.88 0.00 EUR .16,310.85 3.984.76 tIAPANESE YEN 0.00 45.00 JPY 0.00 4.42 POLISH ZLOTY 0.00 -3.186.762.34 PLN 0.00 -1,113,904.15 U.S. DOLLARS -2.333.33 5,870,179.94 USD -2,333.33 4,870,179.94 The price and quantity displayed may have been rounded. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Nimbi Stern .. CONFID AL Fisted Eses4lent Even Year Sirs« 2007 DALIAR RATED COMMutoCATIONS EXCELLENCE Page 25 of 28 Diana through kohl % LC. • w.layesmai subsidiary of The Usk col Mew Yalc Macon Corpotatkon (SHY Mellon) P.,,P4n4 tut. ',Ito' sA.gWILE,GM_00046662 DB-SDNY-0009486 EFTA_00 I5727 I EFTA01289634

Fixed IncomeAnalysis Bond Quality Bond Maturity Schedule %eland tot Bond Bond Quality Matt Value Met Value Percent of need Income Bold Mindy Mate Yid Maker Win A 2,222,100.00 8% I.7 to 12 months 995,000.00 4% BAA 10,301,380.00 38% altil to 10 years 5,151,693.45 19% BA/ Lower 13,125,487.00 48% MOver 10 years 21,125,370.10 77% Total 27,272,063.55 100% Not Rated 1,623,096.55 6% Total 27,272,063.55 100% 20 40 80 80 10 Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Called Bonds WIDE. 05/15/2018 BANK AM ER CORP PERP NON COM ULATIVEDEP 2,000,000.000 2,000,000.000 100.0000 Full 2,000,000.00 SHS FIXED TO FLOAT 8.125% 04/ 30158 B! E DTD 04/ 30108 CAUABLE05/ 15/18 Pershing LW receives the called bond information from several information sources which Pershing believes are reliable. Pershing does not guarantee the accuracy of the information. For callable options that are available to you please contact your Investment Specialist. Security Description Oigit4e pled Cd Type Rederidllon Quantity Otialky Prim of Cd Proceeds Client Service Information Your Investment Specialrst ENJ JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10017 Coaled lotormalion Telephone Number: Your Account Information TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield M ethod Include market discount in income annually. No CONFIDENTIAL — PURSUANT TO FED. R DRilvl. P. 6(e) Account Number: CONFID Rated Excellent Even Yes, Since 2007 DALIAR RATED COMMUNKATIONS EXCELLENCE Page 26 of 28 Clain, liner Penbleg EEC auk,/ wend .Sian a The Malt a New Yak Mellon Camotat an Sly MA W Peri • in 11.C.ner-bn FilitIAAR4VELGM_00046663 DB-SDNY-0009487 EFM_00157272 EFTA01289635

PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Your Account Information (continued) April 1,2018 - April 30,2018 SOUTHERN FlNANCIALLLC ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (I) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account. its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents. the acceptance and, in certain instances, execution of securities orders:the assessment of the suitability of those transactions. w here applicable, the rendering of investment advice. if any. to you and in general. for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department a: All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance. but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC@). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.com/ about/ strength-and-stability • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be f unit n th fir t page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza. Jersey City, New Jersey 07399; . Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding:a party's ability to have a court reverse or modify an arbitration award is very limited • The ability of the parties to obtain documents. w itness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason( s) for their award. unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court. Page 27 of 28 Account Number: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L Rated banal (very Yew Since 2007 DAtIAR RATED COMMUNICATIONS EXCIall4a Charing Omagh Paws 11C. a wIlayovmed setaldlan of The in Wk. Yak Mellor. Corporatfon (IINY Mellon) 6664 Pershett LC. mete F Inge, liat'llfila,"_ouv4 DB-SDNY-0009488 EFTA 00157273 EFTA01289636

Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • The rules of the arbitration forum in which the claim is filed, and any amendments thereto. shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class act ion to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out or the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the clan is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Page 28 of 23 Account Number C St CU/ CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO. RAN Iscollent (very Year Since 2007 DALBAR RATED COMMUNICATIONS LXCULINCI Clewing through Pecan LLC, • ably owned sobsidiary of The Bank ol New York Mellon CoporatIon (MY Mellon) Perihng 11.C.mer-bn HMV,. P4.114:t.GM—00046665 DB-SDNY-0009489 EFTA_00 157274 EFTA01289637

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Dtutuhe aant Minh. Malth ligarintalryt mutat, (mean 6,o4 0ntul* illKitithit New York Cake Writ& Attfts. Ha floor Near ne Val Toll o Neva M arch t 2018 M arch 31 2018 Account Number: SOUTHERN FINANCIAL LLC 6 10 0 RED HOOK QUARTER B3 ST THOMASVI 0 0 80 2 Portfolio Glance at a This hand Vear4o-Date Your Investment Specialist. BEGINNINGACCOUNT VALUE 9100,798,935.88 $97,272,547.37 JOSHUA SHOSHAN Net Cash Deposits awl Withdrawals 4,284.48 80,757.18 (272) 454-4433 Adjusted Previous Account Value 100,792971.38 97,091,790.19 Dividends. Interest and Other scone 158,053.65 823,624.30 Total Taxes Withheld 446.70 -346.70 Other Transactions -24.00 -72.00 Net Change in Portfolio' -3,962,843.81 -929,485.27 ellOWAcoout4r Accrued Interest 5447,267.99 Estimated Annual Income $3,158,097.74 Asset Summary 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Nand Awl Type 7% le 25% 64% 3% 1% 100% Cash. Money Funds, and Bank Deposits Fixed Income Equities M utual Funds Exchange-Traded Products Account Total (Pie Chart) Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) FIDMIAL Mot Year-91d Lad Period ThisPeriod 823,820.96 4,917,369.68 6,997,025.68 28,083,479.22 24,938,825.22 24,399,755.03 60,899,388.97 65,010,259.12 61,548,464.25 3,020,938.22 3,050,791.84 3,059,415.58 6,444,920.00 2,881,690 00 980,850.00 $97,272,547.37 8100,798,935.88 $98,985,510.52 Page 1 of 3' Rated Einelient (my Year Since 2007 DALIAR RATED C0MMUNKATI0NS LICILLINCI Cie Omer Peaky LLC, sub./evened Moldered The lank altleo Yak Melee CaeParatfanatlY MAW Penhng U.C.rnerter Fit..RA.*M SLEN,"_ 00346666 DB-SDNY-0009490 EFTA_00 157275 EFTA01289638

Summary of Gains and Losses This Period Realized Year-le-Date Unrealized Short-Term Gain! Loss 218,961.89 1359,150.12 -794.667.39 Long-Term Gain! Loss 1.197.695.62 1.917.053.12 5.278.944 47 Net Gain! Loss 1.416.657.51 3.276.203.24 4,484,277.08 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECB° ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 10 99 and/ or 104 2 S These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Exchange Rate Table Global Cash Omrmry Closing Amount in Currency USO Equivalent per U93 Currency Uwe Base Currency USO CHINA RENM INS' 0.1589 6 2917 HONG KONG DOLLAR 42,782 40 5.451 29 EURO 1.2297 0 8132 JAPANESE YEN 202.469 00 1 904 02 BRITISH POUND 1.4026 0 7129 Total Global Cash Balance 57.355 31 HONG KONG DOLLAR 0.1274 7 8481 APANESE YD4 0.0094 106 3300 POLISH ZLOTY 0.2920 3 4245 RAND 0.0844 11.8452 Exchange rates are based on interbank exchange rates as of 03/ 29/ rates can vary. 2018. Exchange Money Market Fund Detail Date Adhrity Type Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield 153% Activity Ending: 031 29/ 18 Descristmn Amount Mena 03/01/18 Opening Balance 4,620,905.09 4,620,905.09 03/01/18 Deposit MONEY FUND PURCHASE 54,375.00 4,675,280.09 03/05/18 Withdrawal MONEY FUND REDEM PTION -25.637.10 4.649.642.99 03/06/18 Deposit MONEY FUND PURCHASE 21.572.81 4.671.215.80 03/13/18 Withdrawal MONEY FUND REDEMPTION -142.711.00 4.528.504 80 03/14/18 Deposit MONEY FUND PURCHASE 1,023,650.70 5.552.155.50 03/15/18 Deposit MONEY FUND PURCHASE 35,625.00 5,587,780.50 03/20/18 Deposit MONEY FUND PURCHASE 1,051,392.38 6,639,172.88 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Nunititella CONFID AL Rated Estrilent Even Yet Sint 2O07 DALBAR RATED COMMUNICATIONS DIMLING( Page 2 of 3' Chinni (Sough hushing LC • Say venal sstaittiary a The Bank a Mew Yak Mellor. Corporation (BNY Mellon) p.,,pmg Mt. ,it,RA.K%1U,GM_00046667 DB-SDNY-0009491 EFTA_00 157276 EFTA01289639

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Money Market Fund Detail (continued) M arch 1,2018 - M arch 31,2018 SOUTHERN FINANCIAL LLC Date Activity Type Sweep Money Market Fund (continued) DEUTSCHEGOVT CASH INSTL (continued) Desaiptin Mount Beam 03121,18 Withdrawal MONEY FUND REDEMPTION 493,258.27 5,745,918.81 03121/18 Withdrawal MONEY FUND REDEMPTION 499,506.77 4,746,409.84 03122/18 Withdraw al MONEY FUND REDEM PTION .47,505.24 4,698,904.60 03123/18 Deposit MONEY FUND PURCHASE 9,125.09 4,708,029.69 03126/18 Deposit MONEY FUND PURCHASE 991,370.56 5,699,400.25 03128/18 Withdrawal MONEY FUND REDEM PTION 43,027.06 5,656,373.19 03/29/18 Deposit MONEY FUND PURCHASE 274,535.14 5,930,908.33 03129/18 Deposit 6,299.54 5.937207.87 INCOM E RBNV EST 030/18 Closing Balance $5,937,207.87 Total All Money Market Funds $5,937,207.87 Income and Expense Summary Callleti Pence Yeareigiale Untie Non Taxable Malt Noe Tumble Dividend Income Equities 9,388.83 0.00 149,681.89 0.00 Money Market 6,299.54 0.00 12,367.78 0.00 Other Dividends 11,865.99 0.00 215,092.63 0.00 Interest Income Bond Interest 128,499.29 0.00 235,993.98 0.00 Other Interest 0.00 0.00 36,804.40 0.00 Expenses W ithholding Taxes 446.70 0.00 44610 0.00 Total Dividends, Interest, Income and Expenses $155,706.95 $0.00 $649,593.98 $0.00 Distributions Alternative Investments 0.00 0.00 0.00 173,883.82 Other Distributions 0.00 573.57 0.00 28,204.42 Total Distributions $0.00 $573.57 $0.00 $201,888.04 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account ?turbo 2:C: tWAL15 CONFIDO. Rated CzotIlent (my Year Since 2007 DALBAR RATIO CO MMUMCATIONS LICILLINCI Page 3 of 3' Clewing through Paging LLC. ea* evmed Malatya The in a Na. Yoh Meta Capponefon (MY Map) P nxILC...p.ter FINRAARKELGM-00046668 DEl-SDNY-OOO9492 EFTA_00157277 EFTA01289640