Portfolio Holdings U.S. DOLLARS Account Activity Opening Closing Acaued Income 30-Day Cared Opening Date Quantity Number Ending Balance Balance Income ThIsYear Yield Yield CASH, MONEY FUNDS. AND BANK DEPOSITS Margin Balance 291900.00 1152.462.50 Money Market DEUTSCHE GOVT CASH INSTL 03/01/18 5137,207.870 NIA 03129/18 4.620.905.09 5.937.207.87 275.80 12.367.78 1.40% 1.53% Total Money Market $4,620,905.09 $5,937,207.87 $275.80 $12,367.78 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $4911905.09 56,989170.37 $275.80 $12,367.78 Adjusted Untealized Accrued Estimated Skated Date Acquired Quantity Unit Cod Cod Bads Market Pike Muket Value Denton Interest Annual Income Yield FIXED INCOME (In Maturity Date Sequence) °Asset Backed Securities WASHINGTON NUT MTG SECS CORP 2004.9.42 Security testifier:939336820 NIG PASSTHRU CTF CI.C41VAR RATE 6997%07/25/338/E DID 06/0104 Factor: 0.37306485 Effect rye Dak03/0/1 Current Face Value. 481253657 12113113'3° 1,290,000.000 76.5190 368,248.59 93.0380 447,748.78 Original Cost Basis: $631906.71 Total Asset Backed Securities 5368,248.59 1,290,000.000 Total Current Face Value: 481.253.657 Corporate Bonds CITIZENS COM M UNICATIONS CO SR Security Identifier: 174538AW1 NT FULLY EXCHANGED FROM 174539AX9 7.125%03/E/S 8/E DTD 03/23/07M nod y Rating CAA1S1 P Rating 9 10/03117 1.000.000.000 100.0680 1.000.680.02 99.8750 Original Cost Basis: 5100100600 Security Identifier: 06739FHK0 BARCLAYS BK PLC CONTINGENT CAP NT ISINt USO 6739FHK03 7.750% 04111/23 WE DTD 04/9/13 CALLABLE 04'1)/1S* P Rating 81. 04/03113 '.3 ° 300,000.000 100.0000 300,000.00 100.0200 Original Cost Basis: 5300.000.00 5447,748.78 998,750.00 300.060 00 79,500.19 2.806.30 $79,500.19 52,80130 $0.00 -1,930.02 3,166.67 71 250 00 7 13% 60 00 11,04375 23,250 00 774% Account Number: St027tXMC25 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO Rated ticellent trey Year Since 2007 OMAR ItA110 COMMUNICATIONS UCtlIttla Page 4 of 3' Clewing through Penave LC. • **at owned ittalcliary of The Bank el New Yea Mellon CaveratIon OM Mellon) Pen. 'mg U.C. ertn—bn Ithito..%WhiGM-00046669 DB-SDNY-0009493 EFTA_00 157275 EFTA01289641

Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired FIXED INCOME (continued) Corporate Bonds (continued) EXELA INTER LLC/ EXELA FIN INC GTD FIRST PRIORITY SR SECO NT 144A 1)100% 0715123 8/E DID 07/4/17 CLBMoody Paling 83 SR P Rating B 10/24/17 M arch 1,2018 - M arch 31,2018 SOUTHERN FINANCIAL LLC 0uantity unit Cost Adjured Cum Bala Market Nice Market Value 2.000.000.000 97.0250 11S INVTS GM BH GTD SR NT REG S ISIN# U5429866A853 7250%04103/24 BIE D1004/03(145 & P Rating B 10/31/17 2,000,000.000 99.0650 Security Identifier 30 S2RAA9 1.940.506.00 101.1250 Original Cost Basis:61940,506.00 Security Ideal A29866AB5 1,981,300.00 99.3500 SERVICES ASTER CO NT 7250%03/0138 B/E DTD 03102/98 ST CP/4 DTE 09/0198 CPN PM T SEMI ANNUAL ON MAR 01AND SEPOiloody Rating El2 St P Rating B Original Cost Basis: $1981300.00 Security Identifier: 81760NAB5 10/18117 500,000.000 103.9600 519,799.60 100.4750 Original Cost Basis: $520,00300 10/19/17 350.000.000 103.9620 363.866.18 100.4150 Original Cost Basis:6364,006.00 10/20/17 80.000.000 103.9680 83.174.19 100.4750 Original Cost Basis:683206.00 10/31117 70,000.000 103.9710 72.779.55 100.4750 Original Cost Basis:572/306.00 Total Covered 1.000,000 000 1,039,619.52 Total 1,000,000.000 51,039.619 52 $14 ORGAN CHASE& CO DEP SHSREPSTG 10TH PFC SERIFIXED TO FUG RT BD 7.900% 04129149 BIND 0023/08M oody Rating RAMS& P Rating BBB- 06115111 .'"? 2.500.000.000 107.5000 Security Identifier. 4662514HA1 2,687,500.00 100 5100 2.022.500.00 1,987,000.00 502.375.00 351.662.50 80,380.00 10,332.50 1,004,750.00 51,004,750.00 2,512,750.00 Unrealized Geier Loss Accrued Estimated Estimated Interest Annual Income Yield 81.994.00 42.222 22 200.000.00 9.88% 5,700 00 71,291 67 145,000 00 729% .17,424.60 3,020.84 36,250.00 721% -12.203.68 2114.58 25.375.00 721% -2.794.19 483.33 5.800.00 721% -2.447.05 422.92 5,075.00 721% -34.869.52 6,041 67 72,500.00 434,869 52 $6,041 67 $72.500.0D -174,750.00 82291.67 197,500.00 7 85% Page 5 of 3' Account Number CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFID C L Rated Gallen, tray Yeas Since 2007 DALIARPATEDCOMMUNICATIONS EXCallha Clewing %MO PeaNng LC • Say anal Saila, of The Mak ether. Y.:4 Melba Corporation (lita• Aielloa) hoshint UK. rreente Fitain. tWilla!"—00046670 DB-SDNY-0009494 EFTA 00157279 EFTA01289642

Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit Cog FIXED INCOM E (continued) Corporate Bonds (continued) SUORGAN CHASES CO DEP SHSREPSTG (continued) 06115111 . '" 2 Total Noncovered Total 5,000,000.000 BANK AM ER CORP PERP NON COM ULATIV E DEP SKS FIXED TO FLOAT 8.25% 04/30/58 WE DTD 04130/08 CALLABLE0571/SM oody Rating BA2 S& P Rating BBB• 01/10/11 . '3-t2 2,000,000.000 103.9800 2.500.000.000 107.0000 5,000,000 000 SOUTHERN CAUF EDISON CO PREF SER E 6 250% 0117162 WE DTD 0 Y Int CALLABLE02/01220 DO 000M ood y Ruling BAA1S & P Rat mg BBB- 01130f12 ' '312 3.000.000.000 99.8860 GENERAL ELEC CO GTD FX0-70-FLTGRT NON•CUMULATIVE PERPETUAL PREFERRED 4.000% 2/03/65 FtEG DID 12/03/1Moody Rating A3 S8 P Rating BBB* 12/03/15' 2.469.000 000 88.0930 5LLOYDS8ANKING GROUP PLC FXD RATE RESET AUDI TIER1SECS 'SINS US539439AG42 7.500% 04127/88 WE DTD 04107/13 & P Rating B8- Please Would e • 1,903,000.000 *dolled Cast Bads Market Rio NM CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5950% 08/15/88 MDR) 0012/4 CALLABLEOBIS/20 0 VO 0001loody Rating BA2 S& PRaling BB* 08/06/15 3,000,000.000 100.0000 Original Cost Basis: $2.687.500.00 2.675.000.00 100.5100 Original Cost Basis: $2475000.00 5,362,500.00 55,362,500.00 Security Identifier 0605050T8 2,079,596.33 100.4000 Original Cost Basis: 52,08710.56 Securely Identifier: 842400 FU2 2.996.587.97 106.2500 Original Cost Basis: 52,992,56497 Securely Identifier 359604BM 4 2.175.016.17 91.0000 Original Cost Basis: 52,175.01.17 Securdy Identifier $39439A64 Please Provide 108.3750 Original Cost Basis: Please Provide Security Identdiet: 2296725 3,000,005.99 103.6260 Market Value Unrealized Gain (Loss Awued Interest Estimated EsIlmaled Annual Income Yield 2.512.750.00 -162.250.00 82.291.66 197.500.00 7.85% 5,025,500.00 -337,000.00 164.583.33 395,000.00 55,025,500.00 4337,000 00 5164,583 33 thskjii.do 2,008,000.00 -71,596.33 61,388.89 162,500.00 8.09% 3.187.500 00 190.912.03 31.250.00 187,500.00 5.88% 2.246.790 00 71.773.83 29,079.33 98.760.00 4.39% 2.062.376 25 N/A 1,585.83 142.725.00 6 92% 3,108,780.00 108,774.01 22.808.33 178.500.00 5 74% Account NUMb teM C it 02 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) ONFIDO. Rated ticellent (very Year Since 2007 DAtlIAR ItATED COMMUNICATIONS EXCLISINCI Page 6 of 3' Clewing through Penleve LLC, a ~y owned sotaidiary of The Bank a New York Mellon CarporatIon (lily Mellon) Perin .n.‘ RC. rent-to ftt..4"..glkia.GM- 00046671 DB-SDNY-0009495 EFTA 00157280 EFTA01289643

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Otte Acquired FIXED INCOM E (continued) Corporate Bonds (continued) CITIGROUP INC FXD RT SR NT PERP DEP RECPT (continued) M arch 1,2018 - M arch 31,2018 SOUTHERN FINANCIAL LLC Quantity Unit Cost Adjusted Cod Bain Markel Price Market Value Unrealized Gain/Loss Acaued Estimated al imaled Interest Annual Income Yield Original Cost Basis: 2900,006.00 Total Corporate Bonds 23,672,000.000 TOTAL FIXED INCOME 24,902,000.000 $21,675,812.00 Dile Acquired Quantity Unit Cod EQUITIES Common Stocks ADVANCED M ICRO DEVICES INC COM Dividend Oplion: Cash 50,000.00 of these shares are in your margin account 09115117 20.000.000 12.2810 12/15/17 Total Covered Total 222,244,080.59 Cost Bads Market Pike 323,952,006.25 213,818.00 2444,461.69 $1,676,985.00 324,399,755.03 $93,318.19 $441,267.99 21,676,985.00 Market Value Unmated Est bided Whaled Gnu/Loss Annual Incase Yield 30,000.000 50.000 000 50,000.000 ALI8A8A GROUP HLOG LTD SPONSORED ADR ISNt USO 209W/327 Dividend Oplion: Cash 06110/15 5.000.000 APOLLO GLOBAL AI GM T LLCCL A SHS Dividend Oplion: Cash 03129111 t° 263,157.000 APPLE INC 002 Dividend Oplion: Cash 1210711? 214,000.000 169.8140 12.2300 Searcy Identifier AM 0 CUSP. 00790327 245.612.36 10.0500 366.912.57 10.0500 612.524 93 5612,524.93 Secutity Identifier. MA CUSP:050MM 889500 444,749.00 183 5400 Security Wenl ifier: APO CUSH? 03762306 19.0000 4.999.983.00 29.6200 Secerily Identifier: AAPL CUSIP: 03783320 36,340,223.40 161.1800 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 201.000 00 301 500 00 502.500 00 -44.612.36 -65,412 57 -110..024.93 $502,500.00 -5110.024.93 $0 00 917.700.00 472.951 00 7.704.710.34 2.794.727.34 542.103 42 695% 35,904,920.00 -435.303.40 539,280.00 1.50% Accountialli= CONFIDOs L Rats Caotlient (very Year Since 2007 DALBAR RATIO COMMUNICATIONS ()tallMCC Page 7 of 3' Clewing laser Pesti% LLC. *Say asted sabsidlary a The MA attar Yeek Melee Catiostfon (SHY Mellon) Pert! mg Ilk...nests Fitalla.614VELGM-00046672 DB-SONY-0009496 EFTA_00157281 EFTA01289644

Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired EQUITIES (continued) Common Stocks (continued) BASF SE SPONSADR 1°11100552625057 Dividend Oplion. Cash 04/13/15 Quantity Unit Conn Cost Baas Meant Rice Market Value Unrealized °elution* Estimated Eillmaled Annual Income Yield 20.000.000 BERKSHIRE HATHAWAY INC DEL CL A Dividend Oplion: Cash 02/05/18 02/16/18 03119/18 03/23/18 03/27/18 Total Covered Total 15.000 Securily Identifier: BASFY CUSIP. 055262505 25.4030 508.056.00 25.3900 3.000 310.425.3330 3.000 307,028.6670 3.000 305.135.3330 3.000 296.035.3330 3.000 301.775.3330 15 000 931.276.00 921.086.00 915.406.00 888.106.00 905.326.00 4,561,200.00 BIDDEN IDEC INC COM Dividend Oplion: Cash 02/14/12 t 3 2.095.000 110.2720 CENTENE CORP Da COM Dividend Oplion: Cash 09/08/14 15.550.000 63.6450 FACEBOOK INC CL A Dividend Oplion: Cash 05/11/12 ".an 6.500.000 38.0000 GENERAL ELECTRIC CO COM Dividend Oplion: Cash 25.00000 of these shales are le your margin account 02/23/18 2.500.000 02/26/18 03/05/18 03/07/18 03/12/18 03/16/18 Total Covered Total Snowily Identifier. BRK A CUSP: 084670138 299.100.0000 299,100.0000 299.100.0000 299.100.0000 299.100.0000 $4,561,200.00 Stagily Identifier. BUB CUSP 09062X133 231.019.65 273.8200 Security Identifier. CNC CUSIR. 1613581)1 989.619.75 106.8700 Security Identifier: FB CUSP 3030302 247.000.00 159.7900 Security Identifier. GE CUSP 3696041)3 16.2210 40.551.71 2,500.000 16.2210 40,551.71 800.000 16.2260 12.980.63 5,000.000 16.2190 81.097.41 2,500.000 16.2210 40.551.71 11.700.000 16.2190 189.759.90 25,000.000 405,493.07 25,000.000 $405,493.07 13.4800 13.4800 13.4800 13.4800 13.4800 13.4800 507,800.00 891,300.00 897,300.00 897.300.00 897.300.00 897.300.00 4,486,500.00 -256.00 33,976.00 -23,786 00 -18.106.00 9.194 00 -8.026 00 -74,700.00 12.092.12 2.38% $4,486,500.00 573.652.90 1.661.828.50 1,038,635.00 33,700.00 33.700.00 10.784.00 67.400.00 33.700 00 157,716.00 337,000.00 $337,000.00 474,700.00 342.633 25 672.148 75 10.00 791,635.00 -6.851.71 1,200.00 3.56% b,851.71 1,200.00 3.56% -2.196 63 384.00 3.56% -13,697.41 2,400.00 3.56% -6,851 71 1,200.00 3.56% -32.043.90 5,616.00 3.56% -68,493.07 12,000.00 468,493 07 $12,000.00 Page 8 of 3' ACCOUIII NUITW SM. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Wad Gana, trey Yew Since 2007 DAtiARIAITDCOMMUNICATIONS UMW.« Orin %Sour Terna LLC, • ~wend subsidiary of The Beak a New %lc Mellon Corporation (Ely Mellon) Pesitirat U.C. ~now FihstA.Rigg, ¥a.w,"—Ouv4" 73 DB-SDNY-0009497 EFTA 00157282 EFTA01289645

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Cite Acquit(' EQUITIES (continued) Common Stocks (continued) GILEAD SCIENCESINC Dividend Option: Cash 02105114 03/07/14 10/24/17 Total Covered Total NINTENDO LTD ADR Dividend Option: Cash 02/05/18 Total Common Stocks Preferred Stocks (Listed by expiration date) GMAC CAP TR I GED TR PR) SECS SER 2 CPN• 8.25% FREIDRILY ATY42/1512040 CALL ANYTIIIE.25Y4130 DAYS BEGINS02/6/13 Dividend Option: Cash 02/22/12'•A Total Preferred Stocks Options PUT IN DUALCOMM INC DtPO4-20-134)60 000 OPTION ROOT: 00011 -130.00 of these oanbacts ate a shod position 03107118' .100.000 PUT '00 SPDR SS P 500 ETF TR TR UNIT BP 04-2040255.000 OPTION ROOT: SPY -20000 of these cord lads area shod position 03119118' -200.000 M arch 1,2018 - M arch 31,2018 SOUTHERN FINANCIAL LLC Quantity Unit Col Col Bads Market Rix Market Value 5,000.000 3,100.000 4,400.000 12,500 000 12.500 000 10,000.000 80.000.000 79.2810 79.6120 80.0900 51.7910 396,407.00 246,797.00 352,395.71 995.599.71 3995.599 71 Security Identdiet MIDDY CUSP:654445303 517,906.00 55.5100 250,853,434.51 Secarity Identifier GILD CUSP:375558M 75.3900 75.3900 75.3900 Smarity Identifier: ALLY PRA CUSIP: 36160208 23.5350 1,882,773.60 25.9750 1.8690 1 3800 $1,882,773.60 Option Identifier 990A1P8D5 Underlying Security Identifier MOM Underlying Security NCO: 555.41 -18.693.56 5.2000 Option Identifier 99DAII DCA% Underlying Security Identifier: WY Under lying Security Pike:3213.5 -27,593.34 2.1000 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 376,950.00 233,709.00 331,716.00 942,375 00 3942.375 00 555,100.00 $55,222,721.74 2.078.000.00 $2,078,000.00 Account Number CONFID 42.000.00 -42.000 00 Untested Gilwistre Estimated Estimated Annual Income Yield -19,457.00 43,088.00 -20,679.71 -53,224.71 453.224 71 37,194.00 $4,369,287.23 195,226.40 $195,226.40 43,306.44 -14,406 66 11,400.00 7,068.00 10,032.00 28,500 00 528.500 00 3.02% 3.02% 3.02% 4,689.56 0.84% 51,138,665.10 146,396.48 704% 8146,396.48 Page 9 of 3' Rated Excellent trey Year Since 2007 DAtIAR MITO COMMUNICATIONS uaLLoicr Clain through Pealing LLC a .easy evanad sobildlary a Tat Mak a Neva Vat Mello, Carponaten (SHY Mellon) Per Ihru U.C.ntenter FINRAVVVOM- 00046674 DB-SDNY-0009408 EFTA_00157283 EFTA01289646

Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit BP EQUITIES (continued) Options (continued) CALL 130 GILEAD SCIENCES INC EXP 04-2043082500 OPTION ROOT: GILD -2500 of theseontracts area short position 03116/18' .125.000 0.9990 PUT AO GILEAD SCIENCESINC EXP 04.20.3017.500 OPTION ROOT: GILD .12510 of these contracts area short position 03/16/18' -125.000 1.0290 CALL DO SPQR S&P 500 ETF TR TR UNIT EXP 04-20-130277.500 OPTION ROOT: SPY 03/19/18 200.000 CALL DO 'SHARES TR M SCIEMERGINGMKTS INDEX ED !AP 06.6.130$5.000 OPTION ROOT: ED/ 01/17/18 Total Opt ions TOTAL EQUITIES 1.5400 2,400.000 0.4100 Cost Basis Market Nice Option Identifier 990AM L2D5 Underlying Bandy Identifier. GILD Underlying Security Price $75.39 .12.493.70 0.2500 Option Identifier fie0A111.2FE Underlying Secaiity Identifier. GILD Underlying Security Price:675.39 -12,868.69 3.0000 Option Identifier. 990AMMOM Underlying Security Identifier. SPY Underlying Security Price: $263.E 30.806.00 0.3900 Option Identifier: 900ALA RM Underlying Security Identifier: EBI Underlying Security Plitt $4828 105,606.00 0.1100 $64,762.71 Market Value 3.12400 37.500.00 7.800.00 26,400.00 unrealized Guinfloss 9,368.70 -24,631.31 -23.006.00 -79,206 00 Estimated Bleasted Annual income Yield Date Acquired Quantity Unit Col M UT UAL FUNDS PM ORGAN FLOATING RATE INCOME FUND CLASS! Open End Fund Dividend Opl ion: Reinvest: Capital Gains Option: Reinvest $52,800,970.82 Cost Bares Market Price Security Went Wier: PISX CUSIP 482459 09/28/17 318.809.777 9.4100 3.000.000.00 9.4000 Reinvestments to Date 6.659.963 9.4050 62.635.61 9.4000 Total Covered 325,469 740 3.062.635.61 Total 325.469.740 $3.062.635.61 TOTAL MUTUAL FUNDS $3,062,635.61 4100,425.00 $57,200,296.74 Market Value 2.996.811.90 62,603.66 3.059.415 56 $3.059,415.56 $3.059,415.56 Account Number CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO' 9C0/12CSM C 25 AL 4165,187.71 54,399,325.92 Unrealized G3in r toss 3.188.10 31.95 -3.220.05 43,220.05 43220.05 Rated btallent Even Year Sint 2007 DALBAR RATED COMMUNICATIONS IXMLINCI $0.00 $1,285,061.58 Estimated Estimated Annual Income Yield 117.503.72 2.454.66 119,958 38 $119.958.38 $119.958.38 392% 392% Page • of 3' ClewngtIvoualt Rename% tLC. a .*pry owned subudiara of The lank a New York Mellon CorporationMy Mellon) P.tv.P.n.: tic. rnntnt , INIZAA4n1LEPA_00046675 DB-SDNY-0009499 EFTA_00 157284 EFTA01289647

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired EXCHANGE-TRADED PRODUCTS ISHARESINCLISQ SOUTH KOREA ETF Dividend Option: Cash; Capital Galas Option: Cash 11103117 13,000.000 75.8460 TOTALEXCHANGE -TRADED PRODUCTS March 1, 2018 - M arch 31,2018 SOUTHERN FINANCIAL LLC Downie UnR Cote Cod Bass Market Rice Market Value unrealized Cerium Estimated Estimated Annual Income Yield Scarily Identifier. EWY WSW 464288772 985,996.98 75.4500 $985,996.98 Cod Buis 980,850.00 $980,850.00 Market Value 4,146.98 45,146.98 Unrealized Colallow Accrued lateral 28,291.14 288% $28,291.14 Slanted Mosel loom TOTAL U.S DOLLARS CHINA RENM IN BI Oeseription EQUITIES Common Stocks CHINA COY M UNICATIONS CONSTRUCTION COMPANY LTD *IS H INNS CHE1)00002F5 Security Id Wilier: 100 MK CUSP Y12363128 Total Common Stocks TOTAL EQUITIES $86,083,334.37 One Markel RH* $92,629,987.70 Market Value Currency $4,484,277.08 8447,267.99 $3,12203.88 Wised Meld 224,000.000 6.4595 1,446,937.18 CNY 230,047.33 USD 1,446,937.18 CNY 230,047.33 USD 1,446,937.18 CNY 230,047.33 USD Market VYw Cuttellty Accrued lensed TOTALCHINA RENMINBI Account Nornbe CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 1,446,937.18 CNY 230,047.33 USD Rated Excellent brew Year Since 2007 DALIAR RATIO COMMUNICATIONS LaCtltINC 0.00 0.00 Page 11 of 3' Clemag *rough Pate II( wady evened tataldtary a Tot Melt a New Yen Melee Cerporatton at« Melon) Perthnell.C. meet« iimsofflIVießkA_00046676 DB-SDNY-0009500 EFTA_00157255 EFTA01289648

Portfolio Holdings (continued) EURO Description °tatty Market Paco Market value Currency EQUITIES Common Stocks UBI SOFT ENTERTAINMENT 11,200.000 68.5200 767,424.00 EUR ISMS FR00000 54470 SA IA ONTREUIL ACT 943,701.29 USO Security Id ettifier. UBI:FR WSIP F9396N136 Total Common Stocks 767,424.00 EUR 943,701.29 UW TOTAL EQUITIES 767,424.00 EUR 943,701.29 UW Market Value Currency 767.424.00 EUR 913,701.29 UW TOTAL EURO BRITISH POUND Description CeranIlly Market Price Market Value Currency Estimated Estimated Annual Income Yield EQUITIES Common Stocks NSW HOLDINGS PLC ORD SUS 24,800.000 6.7225 166,718.74 GBP 9,017.53 5.40% Ian980005405286 233,839.35 USO 12,648.00 Security Id estilier. H93ADB CUSP. 64634U139 Total Common Stocks 166,718.74 GOP 9,017.53 233,839.35 UW 12,648.00 TOTAL EQUITIES 166,718.74 CIBP 9,017.53 233,839.35 UW 12,648.00 Accrued Stated Market Value Curing Interest Maui Income TOTAL BRITISH POUND 166,718.74 GBP 0.00 9,017.53 233,839.35 UW 0.00 12,648.00 Accrued Interest o 00 0 00 Estimated view CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Number CONFIDg L- Page 12 of 3' Rated Excellent bere Yee. Since 2007 DAtIAR RATED COMMUNICATORS tRULLUKE Clewing through Perth% LC. a ~I owned subsidiary of TM Bank N Nee Yak Mellen Ceepteataare My ~Roo) earthne LIC. remit« otvRA~ELGM_00046677 DB-SDNY-0009501 EFTA_00157286 EFTA01289649

Deutsche Bank P.O. Box 1776, Baltimore, MD 21233 Portfolio Holdings (continued) HONG KONG DOLLAR M arch 1,2018 - M arch 31, 20 SS SOUTHERN FINANCIAL LLC Opening Oosing Accrued 30 'Day Descoption Queerly Balance Una Currency Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 42.782.40 42,782.40 MO 5.451.29 USD TOTAL CASH, M ON EY FUNDS. AND BANK DEPOSITS 42,782 40 42.782 40 HKD 0.00 5,451.29 USD 0.00 Estimated Estimated Desorption Domeity Market Price Market Value Currency Annual Income Yield EQUITIES Common Stocks LONKING HOLDINGS LTD SHS 710,000.000 3.3400 2.371.400.00 HKD 113 599 60 4.79% 1911* KYG5636C1378 302.161 09 USD 14,474 79 Security Id eel diet 3339:11K CUSS>. G5636O7 NINE DRAGONS PAPER HOLDINGS LTD SKS 144,000 000 11.7400 1,690,560.00 1110 (SINS BM G653131305 215.409.46 USD Security Mollifier 2689:HK G55313t0 ZTE CORP SHSH 19W01H00004Y2 70,600.000 25.5500 1,803,830.00 HKD Security Ideal6er: 763.11K 229.842.18 USD CUSIR Y0004 P05 ANHUI CONCH C8I ENT CO LTD SHSH 52,500.000 42.7500 2,244,375.00 HKD ISINICNE130000182 285,976.01 USD Security Id eel Wier: 914:1K DM Y01373132 BANK OF CHINA LTD BEUNG 91S H 512,000.000 4.2200 2,160,640.00 HKD ISINICNE130000125 275.306.50 USD Security Ideal 3988:HK CUSIP. Y0698A137 CONGFANG ELECTRIC CORPORATION LTO 150.200.000 6.1100 917.722.00 HKD SHSH ISMS CNEti0000304 116,935.21 USD Security Idenlitier:1372,11K CUSH+. Y2095897 Page '3 of 3' Account NUnibet 9t0112COMS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L- Rued ticellent trey Year Since 2007 OMAR MITO COMMUNICATIONS EXCULINCI Clewing through Palen LC. • vAtay owned stiff's." of The Bank a Mew York Mellon OnotatIon (MY Mao) Perchnx 11.C.mer-bn MOM PL,.11hief IA_00046678 DB-SDNY-0009502 EFTA_OO 157287 EFTA01289650

Portfolio Holdings (continued) HONG KONG DOLLAR (continued) Estimated Eshealed Ownslion Otani Mane Price Market Value Currency Annual Inome Yield EQUITIES (continued) Common Stocks (continued) WBCHAI POWERCO LTD SHSH 228.000.000 81000 2,006,400.00 HKD 'SRI CRE1300004L9 255,653.44 USD Security Identifier. 2338:HK CUSIP. Y95314119 ZHUZHOU CRRC TIM ES ELECTRICCO LTD 6145 43400.000 38.0000 1,649,200.00 HKD -H. ISMS 010)00004X! 210,139.41 USD Security Identifier:389811K CUSP: Y9892ND4 Total Common Stocks 14,644,127.00 HKD 113,599.60 1,691,423.30 USD 14,474.79 TOTAL EQUITIES 14,644,127.00 HIM 113,599.60 1,891,423.30 USD Motet Value Currency Acaued lateral 14,474.79 allmale4 Maudlame TOTAL HONG KONG DOLLAR 14,886,909.40 HKD 0.00 113,599.60 JA PA N ESE Y EN Oeicriplion CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance Quantity 1,896,874.59 USD 0.00 14,474.79 Opening bolos Acaued 30-Day Bain Bain Curling Income Yield -267.00 202,469.00 JPY 1,904.02 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS "261.00 202,469.00 JPY 1,904.02 USD Dinablbe EQUITIES Common Stocks NMITEECO CORP TOKYO SHS LTD ISINI.P3651211001 Security Identifier. 6268:Y CUM> )17070110 Total Common Stocks ovraNy Metal Prke Bakal Value Currency 0.00 0.00 Edlatee4 Shied Paul lactate Yield 6,300.000 4,075.0000 25,672,500.00 JPY CONFIDENTIAL — PURSUANT TO FED. R CRIN1. P. 6(e) 453,566.56 1.76% 241,424.19 USD 4265.65 25,672,500.00 JPY 453,566.56 241,424.19 USD 4,265.65 Account Numbs 2:c:tc CONFIDOP Rated [stollen% bey Year Since 2007 DALIAR RATED COMMUNICATCNS EXCIELLU4Ct Page 14 of 31 Clewing Omagh Pagan IIC eulogy owned subsidiary a The kek a New Vat Mellon Coaccitlan Mae) renhnxil.C.nwrion FINRAARKELGM_00046619 DI3-SDNY-0009503 EFTA_00157288 EFTA01289651

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) JAPANESE YEN (continued) DescryRan EQUITIES(corth/tired) TOTAL EQUITIES M arch 1 2018 - M arch 31, 2018 SOUTHERN FINA N CIA L LLO Estimated Estimated Clesolly Market Prase Market Value Currency Maul income Yield 25,672,500.00 JPY 241,424.19 USD Market Value Currency TOTALJAPANESEYEN POLISH ZLOTY Descdpelon °talky Mickel Price 25174,96910 JPY 243,328.21 USD Market Value Currency EQUITIES Common Stocks CD PR0STSA56S 10,000.000 109.4000 1,094,000.00 PIN PL0PTTC00011 319,462.22 USD Sandy Identifier 0TGU CUSP:80957896 Total Common Stocks 1,094,000.00 RN 319,462.22 USD TOTAL EQUITIES 1,094,000.00 PtN 319,462.22 USD 453,666.56 4,265.65 Amami Entimaled altered AnnualIncome 0.00 453,566.56 0.00 4,265.65 Estimated Blimaied Annual Income 'NM 10,499.96 0.95% 3,066.13 Market Value Currency 10,49916 3,066.13 10,499.96 3,066.13 Accrued Edinteled adored Annul Income TOTAL POLISH ZLOTY CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 1,094,000.00 PLN 319,462.22 USD Account Hornbe CONFIDO. L 0.00 10,499.96 0.00 3,066.13 Page 15 of 3' Rated Excellent Every Year Since 2007 MAAR UM) COMMUNICATIONS EXallitiCE Clearing through peoltly I1C • slay monad sobtlailary a me Beak a New Volt Mellon CanceatIon (My Man) Per Thee RC. ninnte. FtleReARKEPSI—°°° 46680 OS-SDNY-0009SO4 EFTA_00 157289 EFTA01289652

Portfolio Holdings (continued) RAND Descuption EQUITIES Common Stocks SAWNLIMITED LTD 2.000 000 2.891.8400 5,783,680 00 ZAR 11,599.89 0.20% ISINt ZAB000S889 488269 83 USD 979.29 Security Identifier. NAPRF CLISIP S53415103 Total Common Stocks Estimated Estimated 0tantlly U.S Pik* Market Value OfilenCy Annual Income Yield 5,783,680.00 ZAR 11,599.89 488,269.83 USD 979.29 TOTAL EQUITIES 5,783,680.00 ZAR 11,599.89 488,269.83 USD 979.29 Accrued Eallmaled Mickel Value Currency Interest Amami Income TOTAL RAND 5,783,680.00 ZAR 0.00 11599 89 488,289.83 USD 0.00 979 29 Unrested Accrued Estimated Cost Beek Market Value Walton 'Maul Annual Income TOTAL PORTFOLIO HOLDINGS - U.S. DOLLARS $86,083,334.37 $96,985,510.52 64,484,277.08 $447,267.99 $3,158,097.74 ' 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 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 Penhing makes no representation as fo the accuracy of this information. 5 Unrealized gains and losses are not reported for securities for which cost basis or market value isnot available. 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 chenge over time end are obtained from sources we believe to be reliable. r2 Pershing has received updated cost basisinformalion, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 0 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 this information. CONFIDENTIAL — PURSUANT TO FED. R CRITA. P. 6(e) Account N:02 umber CONFIDOP Page 16 of 31 Rated Eacenent Clewing lamer PaflS IIC eulogy evened Event Year Since 2007 setalMory of The Rank anew Yoh Mellon DALIAR RATED COMMUNICATIONS Cerpoentlan Sly Mellon) uCu INC I Perihnx 11.C. ,nerd. riNaA.SRVIELGM_000466lal DS-SDNY-0009505 EFTA_00157290 EFTA01289653

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Holdings Summary by Currency M arch 12018 - M arch 31,2018 SOUTHERN ANA NCIAL LLC Bobismateded Quincy Cat Mind Income Equities Mutual Funds Funds Total by Currency U.S. DOLLARS 6,989,610 24,399,755 57,200,296 3,059,415 980,850 92,629,987 USD CHINA RENMIN8I 0 0 1.446,937 0 0 1,446,937 CNY EURO 0 0 767.424 0 0 767.424 EUR BRITISH POUND 0 0 166,718 0 0 166,718 GBP HONG KONG DOLLAR 42.782 0 14,844.127 0 0 14.886.909 HKO .APANESE YEN 202,469 0 25.672.500 0 0 25,874.969 JPY POLISH ZLOTY 0 0 1.094.000 0 0 1.094.000 PLN RAND 0 0 5.783.680 0 0 5,783,680 LIR Total USD Equivalent 6,997,025 24.399,755 61.548,464 3.059.415 980.850 96.985.510 USD % of Allocation 7% 25% 64% 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 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 3' Account Nimbi_____________ CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO SCIII. L-- Rated banal Oaring through Pinkly LC. • ittlay owned bay Yea Since 2007 setaldlary of Ile Mak el Mew Y.:4 Mellon DALIMPATEDCOMMUNICATIONS Corporation (IINY Melba) e.t .a. . ,... s . LICalltha PrOira M....enter FihRA. tiol0fuet 000 46682 DB-SDNY-0009506 EFTA_00 157291 EFTA01289654

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 Date Dale Realized Otscription 040Sed Acquired Designation Disposition MethOdr TIMUC1100 Ostia Preowls Cogan. Wagon Short Term BROADCOM LTD SHS 151 03116118 09129117 Covered first In First Out! SELL 2,000.000 503,642.36 485,814.78 17,827.58 4823 03116118 10113117 Covered first In First Out! Sal 2,000.000 503,642.36 499.976.68 3.665.68 Security Identifier: Y09827139 Total 1,000.000 1,007,284.72 985,791.16 21,193.26 BRIGHT SCHOLAR ED HI 03/01/18 02128118 Covered first In First Out / sat. 1,500.000 27,035.00 28.500.00 -1,465.00 ONSADR (SINS US9999991 Security Identifier. 1391919 DROPBOX INC CL A 0311 03/23/18 03123/18 Covered first In First Out! SELL 1,300.000 38,113.79 27,300.00 10.813.79 Security Identifier. 26213C94 'SHARES TR CHINA LAR 03/12/18 11103/17 Covered first In First Out! SELL 21,000.000 1,029,915.18 973,747.44 56.167.71 Security Identifier. 16428714 Page 18 of 3' CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) Account Nornbe CO DO. L Rated Eacelient Every Year Since 20O7 DALBAR RATED COMMUNICATIONS EX a LI INC I Clearing through PaflS IIC newly evened sobtidiary a The Beek a New Yoe Mete Ce oratton (MY Man) Pe rp rihnx 11.C.mtetan FINRAVVVELGOL00046683 DB-SDNY-0009507 EFTA_00157292 EFTA01289655

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) Date Dale Description Cispotad Acquked Designation Short Term (continued) ISHARES INC M SCI TM 03122/18 11103117 Covered Security Identifier. 464340772 SERVICEMASTER CO NT 03/20/16 10/0/17 Covered /0138 EVE OTD 03/02/98 Security Identifier. 81760NAB5 VOLKSWAGEN A GADR 03/23/18 09121/17 Covered Security Id entifier. 928662303 03/26/18 09/21/17 Covered Total PUT BROADOOM LTD SH 03119118 02113118 Covered 230.00 Security Identifier 990810004 CALL GILEAD SCIENCES 03/19/18 02116118 Covered 82.50 Security Identifier 990ALOOF6 PUT GLEAD SCIENCES 03/19/18 02116118 Covered 7150 Security Identifier. 990ALO OGIN Total Short Term Long Term FACEBOOK INC CL A 03/26/18 05/17112 Noncoverern Security Identifier. 303039 192 VOLKSWAGEN A GADR ( 03/23/18 01/13115 Covered Security Identifier 928662303 WASHINGTON MUT MTGS 03/23/18 12113113 Noncoveree ' 001-RA2 MTG PASSTHRU CIF CL C- B-150AR RATE 6.997%07/25/33 Security Identifier 939336520 Total Long Term Total Short and Long Term M arch 1,2018 - M arch 31,2018 SOUTHERN FINANCIAL LLC Disposition Method) Transaction First In First Out / SELL first In First Out! SELL Original Cost Basis: 520,003.00 first In First Out! sat. First In First Out! SELL first In First Out! EXPIRE OPT SHT first In First Out I EXPIRE OPT SHT first In First Out! EXPIRE OPT SHT first In First Out / SELL first In First Out/SELL REPYMT OF RN Original Cost Basis: 1510.84 Account Num.. C It 02 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO Ovally Ptoceede Cott 8aMe Realized Gaimaoss 26,000.000 500.000.000 16.000.000 8.000.000 987,978.95 502.369.00 608.44418 311.467.79 987,205.46 519109.89 547.002.00 273.501.00 773.49 -17,440.89 61.442.88 37.966.79 24.000 000 919,912.67 820.50310 99.409.67 40.000 20.838.51 0.00 20.838.51 -125.000 16,634.60 0.00 16,634.60 -125.000 11,736.72 0.00 11,736.72 4,561119.14 4.342.857.25 218,961.89 11100.000 1179.38916 118.000.00 1.261.389.76 5.000.000 190.13912 254.30610 -61.166.98 1,290100.000 2,013.68 1,540.84 472.84 1,871,542.46 673,846.84 1,197,695.62 6,433,361 60 5.016.704 09 1,416157 51 L Rated EnWiem hely Year Since 2007 DAtIAR WU COMMUNICATIONS LXCILLUICI Page 19 of 3' Clown& drone. Penhing tIC. a Await owned sabudiara of The Beak or New York Mellon Ceeporatlan (MY Mace) Pennine man. PL,.IKE:t.GM_00346684 DB-SDNY-0009508 EFTA_00157 293 EFTA01289656

Schedule of Realized Gains and Losses Current Period (continued) Description Date Disposed Date Acquired Designation Disposition Method; rtanradion Quanta). Proceeds Cod Brie Realized Ca, loss As of Trades BRIGHT SCHOLAR ED HI. 02/28/18 02/28/18 Covers First In First Out! Sal 3.900 000 71.198 55 71.100 00 -2.90145 ONSADR ISINt LIS1)9/91)91 02128118 02128118 Covered Ant In First Out! SELL 2.500.000 45.097.95 47.500.00 -2.402.05 Scanty Identifier.1391989 ENDOCYTE INC COM 02/28/18 02128118 Covered First In First Out / SRI 1.400 000 7.410.88 5.880.00 1.530.88 Security Identifier. 29269A92 NMI HLOGSINCCL A 02/20/18 02/28/10 COvered First In First Out 58.1 1.400 000 28817.33 27.650.00 1197.33 Security Identifier. 629209305 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 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 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. 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 representation as to 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 IRS Form 1099.8. Page 20 of 3' Account Number: CO CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) NFIDO =:I Rated Excellent (very Year Since 2007 DALBAR MTV) COMMUNICATONT EXCO.LINCI Clewing through PenhinlIC • Say °mai Meld's." of TM Usk el New Yalt Melba CarpooratIon (OM Wilco) PerOing !tanninUtak tlei llha9m-00046685 DB-SDNY-0009509 EFTA_00 157294 EFTA01289657

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 M essages M arch 1,2018 - M arch 31,2018 SOUTHERN FINANCIAL LLC 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 fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidat credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure additional information. Pursuant to SEC Rule 10 b-10( b)( 1) confirmations are not sent for purchases into money market mutual funds Activity Summary (All amounts shown are on base currency) investing in a money market mutual ed upon request with the proceeds document or contact your advisor for processed on the sweep platform. ()edits ThisPetiad Debits %NNW Net ThisPedod Cunlits Yet-to-Date DebilsYnt-to-Dets Net Yea-to-Date Securities Securities Bought 0.00 5,951,833.81 4,951,833.81 0.00 -9,722,434.45 -9,722A34.45 Securities Sold 6,575,720.97 0.00 6,575,120 97 13,919,215.63 0.00 13,919,215.63 Total Securities $6,575,720.97 45,951,833.81 $623,887.16 $13,919,215.63 49,722,434.45 $4,196,781.18 Dividends and Interest $156,053.65 $0.00 $156,053.65 $649,940.68 $0.00 $649,940.68 Distributions $573.57 $0.00 $573.57 $201,888.04 $0.00 $201,888.04 Fees $0.00 424.00 424.00 $0.00 472.00 472.00 Taxes Withheld $0.00 4346.70 4346.70 $0.00 4346.70 4346.70 Cash Withdrawals 0.00 -6,264.46 6,264.48 0.00 408,757.18 ♦08,757.18 Deposits 9.00 0.00 0.00 228,000.00 0.00 228,000.00 Total Cash $0.00 46,264.48 46,26448 $228,000.00 4408,757.18 4180,757.18 Totals 86,732,348.19 45,958,468.99 $773,879.20 $14,999,044.35 410,131,610.33 $4,867,434.02 CONFIDENTIAL - PURSUANT TO FED. R CRIK P. 6(e) Account Humber CONFIDO. Page 21 of 3' Rated [stollen% Nary Year Since 2007 DALUR LATW COMMUNICATIONS EXCULUKt Chin{ through PenbinglIC. *lay owned stidiary of The Wok el New Yak Mellon Carpotaban (MY Melba) Peri hng meet./ iiNRAAPtIVELGm_00046686 DB-SDNY-0009510 EFTA_00157295 EFTA01289658

Transactions by Typeof Activity Process' Trade Sett lemenl Transaction Date Date AcHeily Type Dena Olio Ouentily Price Acaued Interest Amount Currency Securities Bought and Sold 03/02118 02128/18 PURCHASED BRIGHT SCHOLAR ED HLOGS LTD SPONSADR ISINS 7.900 000 19.0000 -150.100.00 USD BEDU UST9M91091PROSPECTUS UN DER SEPARATE COVER 03102/18 02128/18 SOLD BRIGHT SCHOLAR ED HLOGS LTC SPONSADR BINS 3.900.000 18.2980 71,198.55 USD BEDU U8139139139181(CM A PERSHING AFFILIATE M AKES A M KT IN THIS SECURITY 8 ACTED AS PRINCIPAL UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 03/02118 02/28/18 SOLD BRIGHT SCHOLAR ED HLOGS LTD SPONSADR ISIN1 -2,500.000 18.0820 45.097 95 USD BEDU USS9M9991UNSOL AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 03102/18 02128/18 CORRECTED SELL DIDOCYTE INC COM BKCM A PERSHING AFFILIATE M ARES A -1400.000 5.3379 7.410.88 USD ECYT IA KT IN THIS SECURITY 8 ACTED AS PRINCIPAL UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER CORRECTED CONFIRM 03102/18 02/28/18 PURCHASED ENDOCYTE INC COM PROSPECTUS UNDER SEPARATE COVER 1,400 000 4.2000 -5.880.00 USD ECYT 03102/18 02128/18 PURCHASED NMI HLDGS INC CL A PROSPECTUS UNDER SEPARATE COVER 1,400 000 19.7500 -27,650.00 USD NM IH 03102/18 02/28/18 CORRECTED SELL NMI ROCS INC CA A UNSOLICITED ORDER ALLOCATED ORDER -1.400.000 20.6500 18.847.33 USD NMIH YOUR BROKER ACTED AS AGENT CORRECTED CONFIRM 03105/18 03101/18 SOLO BRIGHT SCHOLAR ED HLOGS LTD SPONSADR -1.500.000 18.0677 17.035.00 USD BEDU US1991391391BKCM A PERSHING AFFILIATE BARBA M KT IN THIS SECURITY 8 ACTED AS PRINCIPAL UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 03106/18 YOUR OPTION ASSIGNED PUT DO GENERAL ELECTRIC CO COM EXP 03/6-13013000 8.000 0.00 USD 990AK5CSO OPTION ROOT: GE GE-SO CLOSING TRANSACTION 03/07/18 03105/18 PURCHASED GENERAL ELECTRIC CO COM ACCT OPT ASSIGNED 800.000 18.0000 -14,737.20 USD GE 03/08/18 03105/18 CORRECTED PURCHASE GENERAL ELECTRIC CO COM ACCT OPT ASSIGNED CORRECTED 800.000 18.0000 -14,438.00 USD GE CONFIRM 03108/18 03105/18 CANCELLED PURCHASE GENERAL ELECTRIC CO COY ACCT OPT ASSIGNED CANCELLED -800.000 18.0000 14,737.20 USD GE TRADE 03108/18 03107/18 SOLD SHORT PUT AO (MALCOM LI INC EXP 04-20-18060 000 OPTION -100.000 1.9000 18.693.56 USD 990ALPRO5 ROOT: °COM OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 03/08/18 YOUR OPTION ASSIGNED PUT 130 GENERAL ELECTRIC CO COM EXP 03.9. MO II 000 50.000 0.00 USD 990AK5CSO OPTION ROOT: GE GESO CLOSING TRANSACTION 03/09/18 03/07/18 PURCHASED GENERAL ELECTRIC CO COM ACCT OPT ASSIGNED 5,000 000 18.0000 -90,20600 USD GE Page 22 of V Accounl C 9t02 2CM2S CONFIDENTIAL — PURSUANT TO FED. R. CRAM. P. 6(e) ONFIDO. Rated ticellent fray Year Since 2007 OMAR MITO COMMUNICATIONS LXCULINCI Clewing through PenhiaglIC • Savoy/nal sabsidiary of The Mak ar New Yalc Melba CarporatIon (MY Melba) na Perchnx LICertet-tx. Ithtto..Wilha9,"_Ouv4ou07 DB-SDNY-0009511 EFTA 00157296 EFTA01289659

Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Transactions by Type of Activity (continued) ROOS Trade settiemeni Transaction Date Dale Activity Type Securities Bought and Sold (continued) 03/13/18 YOUR OPTION ASSIGNED 990AK5CSO 03114/18 03112/18 PURCHASED GE 03114/18 03/12/18 SOLO FXI March 1. 2018 - M arch 31,2015 SOUTHERN FINA NCIAL LLC Description 03119/18 03116/18 SOLD SHORT 990AM12D5 03119/18 03116/18 SOLD SHORT 990AM L2FE 03/19/18 03119/18 03119/18 03/19/18 03119/18 03120/18 03/20/18 03/20/18 03116/18 03116/18 03119/18 YOUR OPTION ASSIGNED 990AK5CSO YOUR OPTION ASSIGNED 990ALOOGF YOUR OPTION EXPIRED 990ALOOG4 YOUR OPTION WIRED 990ALOOF6 YOUR OPTION WIRED 990ALOOGW SOLD AVGO PURCHASED GE SOLD SHORT 990AM DCAX PUT AO GENERAL ELECTRIC CO COY EXP 034401000 OPTION ROOT: GE GE-SO CLOSING TRANSACTION GENERAL ELECTRIC CO CAM ACCT OPT ASSIGNED ISHARES TR CHINA LARGE-CAP ETF UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT CALL AO GILEAD SCIENCES INC EXP 04.20-11082.500 OPTION ROOT: GILD OPINING TRANSACTION UNSOL EXCHANGE LISTED OPTION PUT A0 GILEAD SCIENCES INC EXP 04.204077.500 OPTION ROOT: GILD OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION PUT AO GENERAL ELECTRIC CO COY EXP 03-S4113.000 OPTION ROOT: GE GE CLOSING TRANSACTION CALL DO BROADCOM LTD SHS ISMS S69999051823 EXP 03-141240000 OPTION ROOT: AVG° AVG° CLOSING TRANSACTION PUT 130 BROADCOM LTO SHSISINI S09999014823 EXP 03.1.10230 .000 OPTION ROOT: AVG° AVG0 CLOSING TRANSACTION CALL AO GILEAD SCIENCES INC EXP 03.1.1082.500 OPTION ROOT: GILD GILD CLOSING TRANSACTION PUT DO GILEAD SCIENCES INC EXP 03-1.1077.500 OPTION ROOT: GILD GILD CLOSING TRANSACTION BROADCOM LTD SHSISINSSG99990$1823ACCT OPT ASSIGNED OPTCUSIP 990ALOOGF GENERAL ELECTRIC CO COM ACCT OPT ASSIGNED OPTWSIP 990AK5CSO PUT 130 VIA SSP 500 ETF TR TR UNIT EXP 04-20.10255000 OPTION ROOT: SPY OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION ()Imlay Price Acaued Interest Amount Wang 25.000 0.00 USD 2500 000 18.0000 .45,106.00 USD -21.000.000 49.0850 1,029,915.18 USD -125.000 1.0300 12.493.70 USD -125.000 1.0600 12,868.69 USD 117.000 0.00 USD 40.000 0.00 USD 40.000 000 USD 125.000 0.00 USD 125.000 0.00 USD -4.000.000 240.0000 959,811 82 USD 11.700 000 18.0000 -211.074.00 USD -200.000 1.4100 27.593 34 USD Page 23 of 3' CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account ituin illM ar CONFID Rated [smitten trey Year Since 2007 DAMIARMITO COMMUNICATIONS EXCULINCI Clewing through PenhiaglIC.• Say. cornal sobsidiary of The Bonk ei New Yalc Melba CarporatIon (MY Melba) A na cent. PerOinglIC.mer-bn Ithttx. tWq2Y ,"—Ouv4onao DB-SDNY-0009512 EFTA 00157297 EFTA01289660

Transactions by Type of Activity (continued) Process' Trade; Settlement Transaction Date Dale Activity Type Description Quantity Price Aimed Interest Amount Correnq Securities Bought and Sold (continued) 03/20/18 03119)18 PURCHASED CALL AO SPDR SEP 510 ETF TR TR UNIT DID 200.000 1.5100 -30.806 00 USD 990AM ROM 04.20.86277500 OPTION ROOT: SPY OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 03121/18 03119118 PURCHASED BERKSHIRE HATHAWAY INC DFL CI A UNSOL AVERAGE UNIT 3.000 305.100 0000 915,40600 USD BRK A PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 03122/18 03120/18 SOLD SERVICDA ASTER CO NT 7.250% 0310138 BIEDTD 03/02/98 -500,000 000 100 4750 2.114 58 504,483.58 USD SYNOD YID 7204 TO MAT 03123/18 03121118 PURCHASED EURO 398.769 280 1.2285 -489.90800 USD 03123/18 03121118 PURCHASED UBI SOFT ENTERTAINMENT ISHII FR0000054470 SA 5,600 000 71.1768 498.769 28 EUR UBI FR MONTREUIL ACT ALLOCATED ORDER XILINSOL YOUR BROKER -489.130.40 USD ACTED AS AGENT AS0103/212013 03126/18 03722/18 SOLO !SHARES INC MSC' TAIWAN ETF UNSOLICITED ORDER AVERAGE -26,000 000 38.0403 987.978 95 USD EWT UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 03127/18 03723/18 PURCHASED BERKSHIRE HATHAWAY INC DEL CL A UNSOL AVERAGE UNIT 3.000 296.000.0000 488.106.00 USD BRK A PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 03727/18 03123118 SOLD DROPBOX INC CL A COM UNSOLICITED ORDER •1,300.000 29.3636 38,113.79 USD DBX 03127/18 03123/18 PURCHASED DROPBOX INC CL A COM PROSPECTUS UND ER SEPARATE 1.300.000 21.0000 -27.300.00 USD DBX COVER 03/27/18 03123118 SOLD VOLKSWAGEN A G ADR I SPONS) UNSOL AVERAGE UNIT PRICE •21.000.000 38.0889 798.583 90 USD VLKAY TRANSACTION YOUR BROKER ACTED AS AGENT 03128/18 03126118 SOLO FACEBOOK INC CL A BKCM A PERSHING AFFILIATE M AKES A •11,000.000 152.7158 1,619,389.76 USD FB M KT IN THIS SECURITY 8 ACTED AS PRINCIPAL UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED ASAGENT 03/28/18 03726/18 SOLO VOLKSWAGEN A GADRISPONSI UNSOL AVERAGE UNIT PRICE 43,000.000 38.9751 311167.79 USD VIKA? TRANSACTION YOUR BROKER ACTED AS AGENT 03128/18 REINVEST CASH INCOME .PM ORGAN FLOATING RATE INCOM E FUND CUSS I 1262.339 4 1,865.99 USD .PHSX 324207.4013 SHRSSHRS PORCH. AT 59.40000 RD 03/26 PO 03/28/13 03/29/18 03/27/18 PURCHASED EURO 391.373.620 1.2408 -485,616.39 USD 03129/18 03127/18 PURCHASED POLISH ZLOTY 1.126.261.000 3.3872 ,332,505.02 USD 03729/18 03127118 PURCHASED UBI SOFT ENTERTAINMENT 'SINK FR0000054470 SA 5.600.000 69.6492 .391.373.62 EUR UBI FR MONTREUIL ACT ALLOCATED ORDER YOUR BROKER ACTED AS -485.068.46 USD AGENT AS OF 03/ 2712013 03129/18 03127/18 PURCHASED CD PRO.EKT SA 915 IS1Nt PLOPTTC00011ALLOCATED ORDER 10.000.000 112.4861 4.126.261.00 PIN OTGLF YOUR BROKER ACTED AS AGENT AS 01031271208 431,604.35 USD 03/29/18 03127/18 PURCHASED BERKSHIRE HATHAWAY INC DEL CL A UNSOL AVERAGE UNIT 3.000 301.440.0000 -905,326 00 USD BRK A PRICE TRANSACTION YOUR BROKER ACTED AS AGENT Page 24 of 3' CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Numb lla CONFIDO. 4 Rated Galls. Every Yea Since 2007 DMIAR WED COMMUNICATIONS EXCIILUNCE Clearing through Pealwg Lit.* May anal seteldiary of The Bask el New Yore Mellon Corporation Oltly MAW w,miettttcrrsrorr F Inge, DB-SDNY-0009513 EFTA 00157295 EFTA01289661

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) Process. Tra4e; Seillemen1 Transaction Clete Dale Activity Type Total Securities Bought and Sold EURO TOTAL USD EQUIVALENT POLISH ZLOTY TOTAL USD EQUIVALENT US. DOLLARS Dividends and Interest 03101/18 BOND INTEREST RECEIVED 81760NAB5 03115/18 BOND INTEREST RECEIVED 174538AW1 03/26118 BOND INTEREST RECEIVED 939338820 03/27/18 FOREIGN BOND INTEREST 53S439AG4 03/28118 FOREIGN SECURITY DIVIDEND RECEIVED 6268:34 03/28/18 CASH DIVIDEND RECEIVED PHSX 03/29/18 MONEY MARKET FUND INCOME RECEIVED PER232045 03/29/18 CASH DIVIDEND RECEIVED GILD Total Dividends and Interest JVANESE YEN TOTAL USD EQUIVALENT US. DOLLARS Desuiption M arch 1,2018 - M arch 31,2048 SOUTHERN FINANCIAL LLC 1500000 SERVICEil ASTER CO NT 7.250%0370138 WE DID 0310248 RD 0218 PD 03'0 18 1100000 CITIZENSCONN UNICATIONS CO SR NT FULLY EXCHANGED FROM 174 53BAX9 715% 034$/I 81E DID 03123107 RC 03114 PD 0311518 290000 WASHINGTON M UT M TG SECS CORP 200 4.FIA2 M TG PASSTHRU CTF CI. C.8.1VAR RATE 6.997% 07125433 EU E DTD 06/0104 RD 02/28 PD 03/25/1 103000 LLOYDS BANKING GROUP PLC RD RATE RESET ADDL TIER 1SECS INN, OS5394394642 7.500% 04127/86 BIE DID 04/07/14 CLB RD 03126 PD 03/2703 6300.00 SHARES NABTESCO CORP TOKYO 91S LTD 'SINK "36521001FOREIGN SECURITY DIVIDEND RECEIVED RD 23117 PD 03281 AS OF 12/3117 .PM ORGAN FLOATING RATE INCOM E FUND CLASS I 324207.4010 SHRS RD 03126 PO03,28113 DEUTSCHEGOVT CASH 2500 SHRSGILEAD SCIENCES INC RD 03/1 PO 03729113 Account tiunita C tt O2 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO :Lantl) Price Accrued Interest Amount Correnq 0.00 0.00 0.00 0.00 2,114.58 0.00 0.00 0.00 .790.142.90 EUR -974,198 86 USD .1,126,261.00 PIN -331,604.35 USD 1.929.690.37 USD 54,375.00 USD 35,625.00 USD 2.818.04 USD 35,681 25 USD 239.400 00 JPY 2,263.83 USD 11,865 99 USD 6,299 54 USD 7.125.00 USD 239.400.00 JPY 226383 USD 153.789.82 USD Page 25 of 3' L Rated Galls. Every Year Since 2007 DALIARIATEDCOMMUNICATIONS LC:WINCE Charing through Pealing11C • Say ogrnai setaklan of The Mak a New Yon Melba Corpont$ on OM Mellon) Peribitte LC. avert. Finits...WKa9m—00046690 DB-SDNY-0009514 EFTA_00 157299 EFTA01289662

Transactions by Type of Activity (continued) Proms' Trade Sett lemenl Trans/Mon Dote Dote Adivity Type Description Quantity Ma Accrued intend Mount Omen, Distributions 03126/18 RETURN Of PRINCIPAL 290000 WASHINGTON 14 UT M TG SECS CORP 200 4-RA2 M TG 573.57 USD RECEIVED PASSTHRU CTF CL C-8-1 VAR RATE 6.997% 0 7125/ 33 B1E DTD 939336820 06/0104 RD 02/28 PD 03/2511 Total Distributions - U.S. DOLLARS 0.00 573.57 Fees 03/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUSP: 64634 U-1-9 -2.00 USD HBCYF 03/0 1/I 8 FOREIGN CUSTODY FEE Fgn Safekeeping FEB201 CUSP: G5636C-13 -7 -2.00 USD LONKF 03101/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUSP: G8531.2.0 •2.00 USD NDGPF 03/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUSP: )17070. -2.00 USD NCTKF 03/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUSP:853415-9-3 -200 USD NAPRF 03/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUSIP: Y000 4F-2-5 •2.00 USD ZTO3F 03101/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUSP: Y01373-2-2 -200 USD AHCHF 03/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUSP: YO 698A-13-7 -2.00 USD BACHF 03/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUSP: Y R36.t 12-8 -2.00 USD CCCGF 03/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUSP: Y209581-7 -2.00 USD DNGFF 03101/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUSP: Y953:14-13 -9 -2.00 USD WEIC5 03/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 201 CUMP:19$92N-11-4 •200 USD ZHUZF Total Fees - U.S. DOLLARS 0.00 -24.00 Taxes Withheld 03/28/18 FOREIGN TAX WITHHELD AT 6300.00 SNARES NABTEXO CORP TOKYO SITS LTD -36,664.00 JPY THE SOURCE ISINt .13661213 00 1FOREIGN TAX WITHHELD AT THE SOURCE -346.70 USD 6268:1 RD 23117 PO 03281 AS OF 413117 Total Taxes Withheld - JAPANESE YEN 0.00 -36164.00 Total USD Equivalent 0.00 44610 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Hornbill= CONFIDO AL Rated Eseellent trey Year Since 2O07 DALIAR RATED COMMutoCATIONS EXCELLENCE Page 26 of 3' Clown& through PeaNng 11C. • Say °mai subudiary of The Bank ol Mew Yalt Melba Corporation18NY Mellon) p.,.p.na: Lit% mn-rx. ,it.RA.%X,YEEPM_00046691 DB-SDNY-0009515 EFTA_00 157300 EFTA01289663

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) Process Trace Settlement Transaction Date Dote Activity Type Other Transactions 03119/18 ACTIVITY WITHIN YOURACCT BROADCON LTD STISIS1N8 $099990N823 TRANSFER TO -4,000.000 0.00 USD AY/9O MARGIN 03119/18 ACTP/1TY WITHIN YOURACCT BROADCOM LTD SHSISN. S139999014823 TRANSFER FROM 4,000.000 0.00 USD AYGO CASH Total Ot her Transactions - U.S. DOLLARS M arch 1,2013 - M arch 31,20 13 SOUTHERN FINANCIAL LLC Description Quantily Price Accrued Meted Amount Cunenq Cash Withdrawals and Deposits 03112/18 FEDERAL RINDS SENT USD999991 Total Cash Withdrawals and Deposits - U.S. DOLLARS Total Aosrued Intend Total Amount Transactions arentary Total Accrued Interest Told Amount Oaring USD Equitalent US0Equiralent EURO 0.00 -790,142.90 EUR 0.00 474,198.88 &VARESE YB1 0.00 202,138.00 JPY 0.00 1,917.13 POLISH ZLOTY 0.00 -1,128.281.00 PLN 0.00 431,804.35 U.S. DOLLARS 2,111.58 2,077,785.28 USD 2,114.58 2,077,785.28 The price and quantity displayed may have been rounded. DEUTSCHE BANK TRUST 0.00 0.00 6,264.48 1120 0.00 -8,2134.48 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) NW -- Account Number ^ bled Lotlient C 0 NFIIDgs N AL_ MILLING( DALBAR RATIO COMMUNICATIONS 2:C::: cs, Even, Year Since 2007 Page 27 of 3' Cleanng through PenlikvIIC•aapronwil sabsidiary a The Mak a New Vat Mellon CarporatIon (MY Mellon) Pen hnx 11.C. rwr/on FtivRAPPMVELGM-00046692 DI3-SDNY-0009516 EFTA_00157301 EFTA01289664

Fixed IncomeAnalysis Bond Quality Bond Ouahty A 2,246,790.00 9% BAA 8,213,000.00 34% BM Lower 13,492,216.25 55% Not Rated 447,748.78 2% %HENN Markel Valve eked Vain Percent or need income otal Bond Maturity Schedule Bead Mahay Market Value %of Bond Muter Um 7 to 12 months 998,750 00 4% all to 10 years 4,309,580 00 18% Over 10 years 19,091,445 03 78% Total 24,399,755 03 100% 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. Called Bonds Cd Date 0411012018 BARCLAYS BK PLC CONTINGENT CAP NT 300.000.000 300,000.000 100.0000 ISINIUSO 6739FHKO 3 7.750% 0 4ftif 23 Fll E DTD 04/ 13713 CALLABLE() 4/ 10/18 Pershing LLC 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. Stoney Desaiption Bigitee Quantity Celled Chalky a Pike Type ot Redemption Proceeds ades Not Settled Full 300,000.00 Settlement Trade Adivity Ode Clete Type Description Cvandee Pda Awned lidded Settlement Amount 04/03/18 03129/18 Buy All AZ0N CON INC KM A PERSHING 500.900 1,423.7496 0.00 ,711,930.80 AFFILIATE MAKESA LW IN THISSECURITY 8 ACTED AS PRINCIPAL UNSOLICITED ORD 04/03/18 03129/18 Bay ASSURANT INC RD TO FLTG SUB NT 2.000.000.. 2,333.33 -2,042,339.33 7.000% 03121148 BIEDTD 03/2718 CL8 VARIABLE RATE Total Amount of Trades Not Settled 42,754,270.13 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDg EtC212CPTCLE AL- MOLD ticellent bey Year Since 2007 PALMARATED COMMUNICATIONS UCELIANCE Page 28 of 31 Clawing through Peaking I1C näolyetmed subsidiary a Tie Beek a New ran ~on Cm•Leatkon My Mellon) Rerd..nx LIC. ~Ito FINIKOMYMOM-00046693 DB-SDNY-0009517 EFTA_00157302 EFTA01289665

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Client Service Information M arch 1,2018 - M arch 31, 20 $8 SOUTHERN FINANCIAL LLC Your layeelment Specialta ENJ Coated Information JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10017 Your Account Information 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 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 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. Standing Instructions We are providing the below information on your behalf to allow you to confirm the Sanding Instructions on this account. Our records indicate that you previously provided these Sanding Instructions to your Investment Specialist as part of the account opening process or subsequent to opening your account. A standing Instruction is an instruction an account holder gives to their Investment Specialist to permit the withdrawal or transmittal of funds or other assets from the account holders account at regular intervals, or as needed. The items included below are both instructions that appear to be third party asset movements, as well as first and third party journal instructions for accounts that are custodied with Pershing. If a standing instruction was updated from first party to third party it may not be reflected in the list below. Those instructions will be listed in a future statement. W e may remove any standing instructions that have not been used in the past 38 months (except for Automated Clearing House (ACH) which does not expire). You have the ability to re-establish those instructions through your Investment Specialist. Please review all the below Information carefully. If you have any questions or If any information is inaccurate, please contact your Investment Specialist. Dardadloa Type del:Need Neale Bank Name Receiving Account *rebel gad Date Frequency Amount ammo/ FED FUND WIRES DEUTSCHEBANK AG LONDON DEUTSCHE BANK TRUST CO. OEN -739 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Hunter •• Rated Catellern 2: : brew Year Since 207 CONFID AL_- DAUIAR RATED COMMUNICATIONS LRCM Ma Page 29 of 31 Clearing through Fenian IIC eulogy evened sobsidiacy a Me Beek a New Yak Melee Cerpoestlen My Mellon) Perow 11.C.mer-bn Fitiejlq4VELGM_00046694 DE!SDNY-0009518 EFTA_00157303 EFTA01289666

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 (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 visitwww.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 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 Mass 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; Page 30 of 3' CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Number CONFID AL Rated EstWiem (my Year Sint< 2007 DALBAR RATED COMMutoCATIONS IXCILLINCI Clown& thtough PershinglIC • Sang/nal subudiarf a me Osaka Mew Yak Melba Corporation ONY Mellon) P!,PIng ‘INIZA.g4.1UGM- 00346695 DB-SDNY-0009519 EFTA_00157304 EFTA01289667

TERMS AND CONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WRH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO, TIE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT Of ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES PI YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST S COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION F YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGN ACCOUNT. THIS IS A COMMNED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T S AVALABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHNG WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX 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 TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS (-• 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 PERSHING LLC (PERSHING, FOR ANY AMOUNT, ALL SECURRES 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 RS 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 BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WLL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABILITIES 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 AVALABLE FOR YOUR PERSONAL NSPECTION AT PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WVON.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWVV.PERSHING.COM/DISCLOSURES • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION MIS- RULE 607(AX1H2)) PERSHING SENDS CERTAN 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 MID 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 EXECURON: NOTWRHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW, PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE. COUNTER AND EXCHANGE-LISTED SECURRES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBB0). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET W THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THER EXECUTIONS IN ONE OR MORE MARKET SEGMENTS ANO THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSH:NG ALSO REGULARLY REVIEWS REPORTS FOR OUAUTY OF EXECUTION PURPOSES. F ANY OF THE ABOVE TERMS ANO CCNINTRINS ARE UNACCEPTABLE TO YOU. REASE NOTIFYPERS-MVO NINEDULTELY IN WRITING EN CERTFED MAIL TOONE PERSHNG FRAM JERSEY CITY, Ni 07399, ATM: LEGAL DEPT CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) Account Numbel CONFID aeon:vitt: L Page Slot 31 Wed ticellent bey Year Since 2007 DAME RATED COMMUNICATIONS EXCILUNCt OewnWeough Penblim nib* emml sobOdiary a Me in a New YM Man Oppotatkon (MY Melon) Peellw U.C.imertatt FIARAVVVELGOL00046696 DI3-SDNY-0009520 EFTA_00157305 EFTA01289668

a Deutsche Bank P.O. Box 1776, Baltimore, MD 212O3 SOUTHERN FINANCIAL LLC 6 10 0 RED HOOK QUARTER B3 ST THOMASVI 00802 DliAtuth• Lint ensile N•Wih ontetmen Mule, (potent C404: Devtiche SrAritin POw Ycel C•ke 345 Pert Ate Mtg. MO now Ne e O Toll siv Cern% February 1, 2018 - Februar 28, 2018 Account Number: Portfolio at a Glance TelePeriod Yeepto-Date Your Investment Specialist. BEGINNINGACCOUNTVAWE 3100,113,191.08 397,272,547.37 JOSHUA SHOSHAN No Dash Deposits asid Withdrawah 228,000.00 -174,492.70 Adjusted Previous Account Value 100,341,191.08 97,096,054.67 Dividends. Interest and Other Income 545,662.32 667,570.65 Other Transactions -24.00 48.00 Net Change in Portfolio' -87,893.54 3,033,358.54 EN DINGACCOUNT VALUE Accrued Interest 5420,153.80 Estimated Annual Income 53,241179.86 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Penal Meet Type Prior Year-End Last Period ThisPerlo0 5% Cash, Money Funds, and Bank Deposits 823,820.96 5,052.766 03 4,917,369.88 fL) 25% Fixed Income 26,083,419.22 25235,863.11 24,938,825.22 im 64% Equities 80,899,388.97 63,639,334.70 65,010,259.12 Es 3% M utast Funds 3,020,938.22 3,057,397.24 3,050,791.64 3% Exchange-Traded Products 6,444,920.00 3,127,830.00 2.881.690.00 100% Account Total (Pie Chart) $97,272,541.37 $100,113,191.08 $100,798,935.86 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID fft irAL-4 Wed [scented Rely Year Since 2007 DALIAR MTV) COMMUNICATIONS uctrutra Page'- of 23 CleSIng th•Ough Penh": TLC. a ace/ evened Wbudialy of The Dank 04 New Pak Mellon Corporation MY Mallon) P P tux 11.C. ranter Flt.Lt. PkfEli.GM-00046697 DB-SDNY-OOO9521 EFTA_OO 157306 EFTA01289669

Summary of Gains and Losses ThisPeriod ha zed Year4o-Dele Wreaked Short-Term Gain! Loss 67,691.13 1,135,515.40 1,830,682.63 Long-Term Gain/ Loss 456.23 719,357.50 7,761,533.98 Net Gain! Loss 88,147.38 1,854,872.90 9,592,216.61 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECG( ) 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 1399 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 Currency Wrung USD Equivalent per USO twenty Omits Biwa Amount in Base Currency USD CHINA RENMINBI 0.1579 6.3320 HONG KONG DOLLAR 42,782.40 5,467.29 BRITISH POUND 1.3776 0.7259 JAPANESE YEN .267.00 -2.50 HONG KONG DOLLAR APANESE YEN RAND Exchange rates are based on rates can vary. 0.1277 7 8251 0.0093 106.6900 0.0847 11.8002 interbank exchange rates as of 02/282018 Exchange Total Global Cash Balance $5,464.79 Money Market Fund Detail Date Activity Type Dem:thorn Amount Salem Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield: 1.31% Activity Ending:02/ 28/18 02101/18 Opening Balance 4,930,679.70 4,930,679.70 02101/18 Deposit MONEY FUND PURCHASE 1,367,401.33 6,298,081.03 02/02/18 Deposit MONEY FUND PURCHASE 51,556.27 6,349,637.30 02/05118 Deposit MONEY FUND PURCHASE 135,630.39 6,485,287.69 02/06118 Deposit MONEY FUND PURCHASE 31,651.80 6,516,919.49 02107118 Withdrawal MONEY FUND REDEMPTION ,397,601.73 5,119,317.76 02108118 Withdrawal MONEY FUND REDEMPTION -51,580.27 5.067.737.49 02/13/18 Deposit MONEY FUND PURCHASE 1,541.40 5,069,278.89 02/20118 Withdrawal MONEY FUND REDEMPTION ,044,951.85 4,024,327.04 02/22/18 Withdrawal MONEY FUND REDEMPTION 429,566.23 3,584,780.81 Page 2 of 28 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDO' orcessnm—e Rated Eaceiltee (my Year Since 2007 DMIAR ItaTtO COMMUNICATIONS UMIAK( Clarinda...II Peale% LC. eulogy evened sabsidiary of The Usk el New Welt Mellon Cenceetten Maw) Pen ,Ml h 1.C.remet-ber theleStRt4 VEGOA-00046698 DE1-SDNY-0009522 EV1:4_00157307 EFTA01289670

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Money Market Fund Detail (continued) February 1, 2018 - February 28,2018 SOUTHERN FINANCIAL LLC Date Actuity Type Desaipthe Amon' Uwe Sweep Money Market Fund (continued) DEUTSCHEGOVT CASH INSTL (continued) 02723/18 Deposit MONEY FUND PURCHASE 834,170.70 4,428,931.51 02726718 Deposit MONEY FUND PURCHASE 3,331.25 4,432282.78 02728/18 Deposit MONEY FUND PURCHASE 183,661.62 4,615,924.38 02128/18 Deposit INCOMER8NVEST 4,980.71 4 620 905.09 02728118 Closing Balance $4,620,905.09 Total All Money Market Funds $4,620,905.09 Income and Expense Summary Taxa Canal Pitied Non Taxable Taxable Yeaseo-Date Non Taxable Dividend Income Equities 134,820.00 0.00 140,293 06 0.00 Money Market 4,980.71 0.00 6 068.24 0.00 Other Dividends 192,543.86 0.00 203.226 64 0.00 Interest Income Bond Interest 2,829.73 0.00 107.494 69 0.00 Other Interest 36,804.40 0.00 36,804 40 0.00 Total Dividends, Interest, Income and Expenses $371,978.70 $0.00 $493,887.03 50.00 Distributions Alternative Investments 0.00 173,683.82 0 00 173,683.62 Other Distributions 0.00 501.52 0.00 27,630.85 Total Distributions $0.00 $174,185.14 $0.00 $201,314.47 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account /turbo CONFIDO. Page 3 of 28 Rated timeliest bay Year Since 2007 DALUR LATW COMMUNICATIONS LXCattl.Ct Clewing through Penlivg I1C nth./ evened stidiary of The Bank a New Vat Mellon CarporatIon (MY Mellon) Per era 11.C. me FINRAVVVELGOL00046699 DB-SDNY-0009523 EV1:4_00157308 EFTA01289671

Portfolio Holdings U.S. DOLLARS Account Activity Opening Closing Awued Income 30Day Current Opening DMe Quail ity Number Wing Balance Balance Income This Year Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Margin Balance 116,618.75 291 000.00 Money Market DEUTSCHE GOVT CASH 'NUL 02/01/18 4,820,906.090 N/A 02128118 4,930,679.70 4,620,905.09 0.00 8,088.24 1.27% 1.31% Total Money Market $4,930,679.70 $4,620,905.09 $0.00 $6,068.24 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $5,047,298.45 $4,911,905.09 $0.00 $6,068.24 Date Acquired FIXED INCOME (In Maturity Date Sequence) °Asset Backed Securities WASHINGTON NUT IA TG SECSCORP 2004.RA2 Security Identifier 939366620 M TG PASSTHRU CTF CL C-8WAR RATE 6.998% 07125133 g1E DTD 06/0104 Factor: 0.37462584 Bled Ue Dale:02/07i Current Face Value: 463,267.334 12/13/13'.3'° 1,290,000.000 76.5190 369,789.43 93.0780 Original Cost Oasis: 5638108.71 Total Asset Backed Securities $369,789.43 1,290,000.009 Total Current Face Value:483,267.334 Corporate Bonds CITIZENSCOM MUNICATIONSCO SR Seculity Identifier: 174638ALY1 NT FULLY EXCHANGED FROM 174539AX9 7.26% ON if 9 8/E DID 03/23/07/4 oody Rating 03 S 8 P Rating 9- 10103117 1,000,000.000 100.0740 1,000,736.69 101.7500 Original Cost Basis: 5100100690 Securgy Identifier: 06739FFIKO Adjusted Vocalized Aimed Stated Relegated 00144 Una Cod Cod Baas Merkel Price Medal V*e Phan; lateral Mgual Income Yield 8ARCUYSSK PLC CONTINGENT CAP NT ISNI US06739FHK037.750% 04/10123 B/E OTD 04112/13 CALLABLE 041111158 P Rating 884 04/03/13'•°.° 300,000.000 100.0000 300,000.00 100 5000 Original Cost Basis: 5300.000.00 CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) 449,815.57 80,026.14 2,536.56 $449,815.57 $80,028.14 52,536.68 $0.00 1,011,500.00 16,763.31 32260.42 71,250.00 7.00% 301.500 00 1.500 00 8.912 50 23,250.00 771% Account ?tuna CONFIDO. L Page 4 of 28 Mom tacentot Orme tomer Pegg% MC eakely owned trey Year Since 2007 smith:Mary of me Bank e/ New Yen Mellon MAAR WM COMMUNICATIONS CarporetIon (SHY Mae) UMIAK( Per Ihnx 11.C. merge, otmo.ttrtVYsLGM-000 46700 DS-SDNY-0009524 EFTA_00 157309 EFTA01289672

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired FIXED INCOME (continued) Corporate Bonds (continued) EXELA INTER LC/ EXELA FIN INC GTD FIRST PRIORITY SR SECO NT 144A 13000% 0716123 B/E DTD 07/4/17 C1BMoody Riling 93 5 P Rating B 10124117 February 1, 2018 - February 28,2018 SOUTHERN FIN A NCIAL LLC Quantity Ong Com Adjusted Cod Basis Market Rice 2.000.000.000 97.0250 IISINVTS GM BH GTD SR NT REG S ISINt VS429866853 7250%04/03/24 B1E DUI 04/031145 8 P Rating B 10/31117 2,000,000.000 99.0650 SERVICEM ASTER CO NT 7250%03/0138 B/E DTD 03102/98 ST CPN DTE 09/0198 CPR PUT SEMI ANNUAL ON MAR 01AND SEPOiloody Rating 62 S 8 P Rating B 10/18117 1.000.000.000 103.9680 10/19/1? 10/20/17 10131117 350.000.000 80.000.000 70,000.000 103.9690 103.9750 103.9790 Total Covered 1,500,000 000 Total 1.500.000e00 811 ORGAN CHASE; CO DEP SHSREPSTO 10TH PFD SERIFIXED TO RTG RT BD 7.900%04/29/49B/EOM 04123/08M oody Riling BAA3S8 P Rating BBB- 06/15/11 .'"? 2.500.000.000 107.5000 Security Muddier. 30162RAA9 1.940.506.00 99.6250 Original Cost Basis: $1940,506.00 Security Identifier: A29866A85 1,981,300.00 99.3750 Original Cost Basis: 61981300.00 Security Identifier 61760NAB5 1,039,616.41 100.5000 Original Cost Sas 51040.006.00 363.893.22 100.5000 Original Cost Basis: $354,006.00 83.180.38 100.5000 Original Cost Basis: $83206.00 72.784.97 100.5000 Original Cost Basis: $72.806.00 1,559,534.98 $1,559,534.98 Security Identifier: 46625HHA1 2,687,500.00 100.8750 ati.e I ':aloe Unrealized Gaintoss Acaued Estimated Eslimaled Interest Annual Income Yield 1.992.500.00 51.994.00 23.888.89 200.000.00 10.03% 1,987,500.00 6,200.00 58.402.78 145,000.00 7 29% 1,005,000.01 44.676.40 35,645.83 72,500.00 721% 351.749.99 -12.143.23 12.476.04 25.375.00 721% 80 399 99 -2.780.39 2.851 67 5.800 00 721% 10.35001 -2.434.96 2.495.21 5,075.00 721% 1.507.500.00 -52,034.98 53,468 75 108,750 00 $1,507,500.00 -$52,034.98 $53,468.75 $108,750.00 2.521.875.00 -165,625.00 64,736.11 197,500.00 7.83% Page 5 of 28 ItCOI2I Account NumbeIIIMI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L Rated Walls. Clarion Omagh Pagan IIC a vokily owned Every vex Since 2007 Snider, a The in a New Vat Ohellon DMJAR£ATODCOMMUNICATIONS Corporation (11111Y Melon) ........ , i , EXCWINCE Pennine U.C. mewing F thitAAW lia9m-00046701 DB-SDNY-0009525 EFTA_00 157310 EFTA01289673

Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit CoM FIXED INCOM E (continued) Corporate Bonds (continued) SU ORGAN CHASE& CO DEP SHSREPSTG (continued) 06/15/11 . '312 2.500.000.000 107.0000 Total Noncovered 5,000,000 000 Total 5,000,000.000 BANK AM ER CORP PERP NON COM ULATIVE DEP VS FIXED TO FLOAT 8.25% 04/30158 WE DTD 04130/08 CALLABLE05/10314 oody Rating BA2 S& P Rating BBB• 01/10/11 . '332 2,000,000.000 1021500 Adjusted Cent Balls Market Price Market Value Original Cost Basis: $2.887,500.00 2.675.000.00 100.8750 Original Cost Basis: 52,675,000 00 5,362,500.00 $5,362,500.00 2.521.875.00 5,043,750.00 SOUTHERN CAUF EDISON CO PREF SER E 6 250% 0117162 WE DTD 011712 CALLABLE 0210122 0 130 000M oody Wing BAA1S & P Rating BBB- 01/30/12 . '312 3.000.000.000 99.8840 GENERAL BIC CO GTD FXD.TO.FLTGRT NON.CUNULATIVE PERPETUAL PREFERRED 4.000% 4103/65 REGDTD 12/03/tMoody Rating A3 S& P Rating BBB* 12/03/15' 2.469.000 000 88.0930 5LLOYDS BANKING GROUP PLC FXD RATE RESET AUDI TIER 1SECS US539439AG42 7.500% 04727/88 WE DTD 04107/M8 P Rating titi. Please Nelda 1.903.000.000 NIA CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5950% 08/15/888/E DID 0614/5 CALLABLEOBIS/20 0 D0.000MaodyRatikg0A2StPRaling BB' 08/06115 3,000,000.000 100.0000 Security Ideatifier 0605050T8 2,055,000.00 101.5000 Original Cost Basis: 52,055,000.00 Swirly Identifier: 842400 FU2 2.996.522.55 104.7000 Original Cost Basis: 52,992,56497 Securdy Identifier 359604B/44 2.175.016.17 92.1100 Original Cost Basis: $2,25.01.2 Haag Identifier 539439A64 Please Provide 109.6250 Original Cost Basis: Purse Provide Security Identifier 2296725 3,000,005.99 103.5800 $5,043,750.00 2,030,000.00 3.141.000.00 2.274.195.90 2,086.163 75 3107 400 00 Unrealized Clinton Awued Interest Estimated EstImaled Annual Income Yield -153.125 00 -318.750.00 64136.11 129.472.22 197.500.00 395,000.00 7.83% 4318,750 00 1.1 29,472 22 $395,000.00 -25,000.00 46,493.06 162,500.00 8.00% 144,477.45 14.062.50 187.500.00 5.96% 99.179.73 20,026.33 98/60.00 4 34% N/A 24 183.96 142/25.00 694% 107,394.01 6.445.83 178.500 00 5 74% Page 6 of 2 .3 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number mud CONFID L-- bled Iscollent Clewing through Penh", LLC • ~yawned (very Yew Since 2007 SASS." of TM Bank el Mr Yorlg Mellon DALBAR IMO COMMUNICATIONS Como-atlas (MY Mellon) LXCLLLINC( Pern.ig li.C.neren Ithsto..%WhiGM-00046702 DB-SDNY-0009526 EFTA_00I5731 I EFTA01289674

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Clete Acquired FIXED INCOME (continued) Corporate Bonds (continued) CITIGROUP 040 FXD RT SR NT PERP DEP RECPT (continued) February 1, 2018 - February 28, 2018 SOUTHERN FINANCIAL LLC Ouentky Unk Cast Adjusted Cast Bads Market Prim Market Value Unrealized Geinfloss Accrued Estimated Estimated lateral Annual Income Yield Total Corporate Bonds 24,172,000.000 TOTAL FIXED INCOME 25,462,000.000 Original Cost Basis: 53,000,006.00 $22,371,122.36 $22,740,911.81 $24,489,009.65 324,938,825.22 Date Awned Oulatky Unk Cost Oast Bees Market Prke Mead Value EQUITIES Common Stocks BROADCOM LTD SHSISINO D39999011923 Dividend Opl ion: Cash 09/29/17 Security Went diet AVGO COP Y09827139 485.814,78 246.4600 492.920.00 10/13/17 2,000. 499.976 68 246.4600 492,920.00 Total Covered 4,000 000 985.791 46 985,840.00 Tot al 4.000 000 3985.791 46 $985,840.00 ADVANCED MICRO DEVICES INC COM Securely Identifier: AMC Dividend Option: Cash CUSIP. 007903107 50,000.00 of these shares ate is your macula account 09/15/17 20,000.000 12.2810 245.612 36 12 1100 242 200 00 12/15/17 30.000.000 12.2300 366.912 57 12 1100 363 300 00 Total Covered 50,000 000 612.524 93 605.500 00 Total 50,000 000 3612,524 93 $605,500.00 ALIBABA GROUP RUA LTD SPONSORED AOR Security Identifier BABA IONS USO $09W1327 CUSP. 0•6091VD2 Dividend Option: Cash 06/10/15 5,000.000 88.9500 444.749 00 186 1400 930.700.00 APOLLO GLOBAL MGM T LLCCL A MIS Security Identifier APO Dividend Option: Cash CUSIP 037612306 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Nurnbe $31,723.52 5417,617.24 $1,713,235.00 9111,749.66 3420 153 80 $1,713,235.00 Unrealized Gehlrloss 7.105 22 -7,056 68 48 54 348 54 -341236 -,612 57 -7.024.93 47,024 93 485.951 00 CONFIDO. L Estimated Estimated Maui Income Yield 14.000.00 14,000.00 28,000 00 328.000 00 9000 284% 284% Page 7 of 28 Rated timeliest bey Yew Since 2007 OMAR WED COMMUNICATIONS uatiora Clewing through PenlikvIICatlaprewel stosidiary of me oak al New Vat Mellon CaporatIon (MY Mellon) Per. hnxil.C. mer-bn thiRAVIO VELGM-00046703 DB-SDNY-0009527 EFTA_00157312 EFTA01289675

Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired EQUITIES {continued) Common Stocks (continued) APOLLO GLOBAL it GMT LLC a A SHS (continued) 03/29/11 'in 263.157.000 19.0000 APPLE INC COM Dividend Oplion: Cash 12/07117 214,000.000 169.8140 BASF SE SPONSADR 191111150552625057 Dividend Oplion: Cash 04/13/15 20,000.000 25.4030 BERKSHIRE HATHAWAY INC DEL CL A Dividend Oplion: Cash 02/05/18 02/16/18 Total Covered Total BIOGEN MEC INC COM Dividend Oplion: Cash 02/14/12 .'3 CINTENE CORP DB. COM Dividend Oplion: Cash 09108114 15.550.000 FACEBOOK INC a A Dividend Oplion: Cash 05117112 .0 17.500.000 GENERAL ELECTRIC CO COM Dividend Oplion: Cash 5.000 00 of these shams are in your margin account 02/23/18 2,500.000 02/26/18 2.500.000 Total Covered 5,000.000 Total 5,000 000 GILEAD SCIENCES INC Dividend Oplion: Cash 02/05/14 5,000.000 Quantity Unit Cost Coat Bala Market Price Might Value Maenad Clinton 3.000 310.425.3330 3.000 307.028.6670 6 000 6.000 2,095.000 110.2720 63.6450 38.0000 16.2210 16.2210 79.2810 931.276.00 921,086.00 1152.36210 51.852.362.00 4.999.983 00 32.8000 Security Identifier. AAPL CUSIP: 03783300 36,340.223 40 178.1200 Securely Identifier: BASFY CUSIP. 055262505 508,056 00 26.2800 &wily Identifier. BRK A CUSP:08467008 310.250.0000 310.250.0000 Sectuity Identifier. BBB CUSP 09052X93 231,019.65 288.9900 Secarity Identifier. CNC CUSP 1135B91 989.679.75 101.4200 Secuiity Idenlifier. FB CUSIP 30303M92 665.000.00 178.3200 Security Identifier. GE CUSP. 36960403 40,551.71 40.551.71 81,103.42 14.1100 14.1100 $81,103.42 Security Identifier. GILD CUSP. 37555803 396,407.00 78 7300 6.631.549.60 38.117.680.00 525.600 00 930.750.00 930.750.00 1,861,500.00 $1161,500.00 605,434.05 1.577.081.00 3.120.600.00 35,275.00 35.275.00 70,550.00 $70,550.00 393.650 00 3.631.56640 1,777,456.60 17,544 00 426.00 9,664.00 9,138.00 $9.138.00 374,414.40 587.401 25 2.455.600 00 -5176.71 4.276.71 -10,553.42 -$10,553.42 -2,757 00 Estimated &haled Annual Income Yield 542.103 42 628% 539,280.00 1.41% 12,092.12 2.30% $0.00 1,200.00 3.40% 1,200.00 3.40% 2,400.00 $2,400 OD 11,400.00 2 89% Page 8 of 28 Account ern CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L-- Rated Gallen, Clewing through PenhieglIC. a US/ OWIIS bery Yea Since 2007 SASS." of The leek a New Yak Mellon DALW£ATEDCCSMICATIONS Corporation (eta Mellon) a ...... ,, s, L(CIUINC( _00046704 tinsai ttc.menta, nnan.on4.11dodom DB-SDNY-0009528 EFTA_00157313 EFTA01289676

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Oete Acquit(' EQUITIES (continued) Common Stocks (continued) GILEAD SCIENCESINt (continued) 03107114 3,100.000 10/24117 4,400.000 Total Covered 12,500.000 Total 12.500 000 NINTENDO LTD ADR Dividend Oplion: Cash 02105118 VOLKSWAGEN A GADR (SPONS Dividend Opl ion: Cash 04113115 09121117 Total Covered Total 29.000.000 Total Common Stocks Preferred Stocks (Usted by expiration date) GMAC CAP TR I STD TR PFD SECS SER2 CM- 8.25% FRED ORTLY "MTV-02/1512040 CALL ARMY E025 W/30 DAYS BE0414$02/6/S Divides Option: Cash 02122112 '3 80,000.000 23.5350 Total Preferred Stocks Options PUT DO GENERAL ELECTRIC CO COM EXP 03.1.1@1000 OPTION ROOT= GE •200 00 of these contracts are a shorl position 01/19/18' 400,000 1.8220 February 1,2018 - February 28,2018 SOUTHERN FINANCIAL LLC Quantity UM Cost Cod EMS Market Price 79.8120 80.0900 10.000.000 51.7910 5,000.000 24.000.000 29.000.000 50.8610 34.1880 254,306.00 820,503.00 1,074,809.00 $1,074,80990 550,298,807 32 246,797.00 78.7300 352,395.71 78.7300 995599.71 5995599 71 Security Identifier: NTDOY CUSP 854445303 517,908.00 57.0500 Security Identifier: VLKAY CUSP:928662303 39.7600 39.7600 Security Identifier ALLY PRA CUSP. 36160208 1,882.773 60 25.8000 $1,882,773.60 Option Idenlifier 990AK5C93 Underlying Secinity Identifier. GE Unduly* Security Price: SIM -36,434.36 3.6700 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) A MILS12)Ila ccount Minix Market Vidue Uneeallzed Calms Estimated Estimated Annual Income Yield 244.063.00 .2,734.00 7,068.00 2.89% 346,412.00 1,983.71 10,032.00 2.89% 984,125.00 -11,474.71 28,500.00 $984,125.00 411,474.71 528.500 00 570,500.00 52,594.00 4.689.56 0 82% 198,800.00 45,506.00 1,706 59 085% 954.240.00 133.737.00 8.191 66 085% 1,153,040.00 78 231.00 9.898 25 $1.153,040.00 $78,231.00 89.898 25 559,739,699.65 $9,440,892.33 $1,166 963 35 2.064.000.00 181,228.40 146.39548 7 09% $2,064,000.00 $181,226.40 $146,396.48 47,400.00 -40,965.65 CONFID L Rated ticellent bay Year Since 2007 DALIARMITO COMMUtisCATIONS csauttics Page 9 of 28 Clewing through Penlivg I1C nakoly owned stoney of me Melt d New Vat Mellon CarporatIon My Mellon) P onion. meet. FINRAVO VELGM-00046705 DB-SDNY-0009529 EFrA_00157314 EFTA01289677

Portfolio Holdings (continued) U.S. DOLLARS (continued) Oete Acquined Quality UnN Cod Cod Buis Merkel Price Market Valim Untested Gels/Loss Estketited Estimated MameIncome Yield EQUITIES (continued) Options (continued) CALL 100 BROADCOM LTD SIG Option 'dent ifier. 990ALOOGF ISMISG9999011823 EXP03-11-14)240.000 Underlying Security 'dentine: AVG° OPTION ROOT: MOO Underlying Security Price: 3246.46 -40.00 of these contracts are a short position 02/13/18 • 40.000 11.8680 -47472.90 12.7000 40.80040 4.327.10 PUT 90 8ROADCOM LID MIS Option Identifier: 990AL0004 ISHII SC4999011823 EXP 0344-13Q230.000 Underlying Security Identifier: MOO OPTION ROOT: AVGO Underlying Security Nice:5246.46 •4000 of these contracts are a short position 02/13/18 -40.000 5.2100 -20.838.51 2.8000 41,200.00 9,638.51 CALL TO GILEAD SCIENCES INC Option Identifier SSC/ALOOF& DIP 03-13-S082500 OPTION ROOT= GILD Underlying Security Identifier. GILD -125.00 of Ws. contracts are a short position Underlying Security Price:578.73 02/16118 4 25.000 1.3310 4 6.634.60 0.4900 -6.125.00 10,509.60 PUT 130 GILEAD SCIENCESINC Option Identifier: 990ALO OGIV FXP03-t-E077.500 OPTION ROOT: GILD Underlying Security Identifier GILD 425.00 of thesecontractsarea short position Underlying Security Price:578.73 02/16/18' 425.000 0.9390 -11,736.72 1.2800 -16,000.00 4,263.28 CALL DO 'SHARES TR IA XI EM ENING LINTS Option Identifier: 90QMARLI INDEX FD EXP 06-S-1455400 Underlying Security Identifier: EBI OPTION ROOT: EDI Underlying Security Price: 548.02 01/17118 2.400.000 0.4400 105.608.00 0.2400 57.600.00 -48,006.00 Total Options 427,511.08 4103,925.00 476,413.92 $0.00 TOTAL EQUITIES $52,154,069.84 $61,699,774.65 59,545,704.81 $1,313,359.83 Unrealized Ellmated Estimated Dete Assented Nudity VAN Cost Cod Bath Markel Prim Modal Veto Gain Loss Maul MOAN Yield M UTUAL FUNDS ,PYORGAN FLOATING RATE INCOME FUND CLASS I Open End Fund Dividend Option: Reinvest; Capital Gain Option: Reinvest Security Identifier StISX CUSP 4872757 09/28117 314809.777 9.4100 3.000.000.00 9.4100 2.999.999.99 4.01 114,60235 3.82% Reinvestments to Date 5,397.624 9.4060 50.769.62 9.4100 50,791.65 22.03 1,940.28 382% CONFIDENTIAL — PURSUANT TO FED. R CRIAA. P. 6(e) Account riumbe CONFIDO. Rated tactile'? trey Yew Since 2007 PALIAR RATIO COMMUNICATIONS LXCILUNCI Page 10 of 28 Cleanng through fleabag 11C•aaprented sobsidiary of The Bank el New *At Meta CaoporatIon OPNY MOW Per Finx 11.C. nweltatt FINRA.EIANYELGM-00046706 DB-SDNY-0009530 EFrA_00 I 57315 EFTA01289678

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) ,ebruary 1,201B - February 28,2018 3OUTHERN FINANCIAL LLC Ode Acquieed Nudity OA Cod MUTUAL FUNDS (continued) ..PM ORGAN FLOATING RATE INCOME FUND (continued) Cod Nis Markel Prim Market Vitae Unteeltatd Gannon Estimated Estimated Annual Income Yield Total Covered 324,207 401 Total 324,207 401 3 050 769 62 $3,050,769.62 3,050,791 64 $3,050.791.64 22 02 $22.02 116.54213 $116.542.83 TOTAL M UTUAL FUNDS Date Acqdted Quantity MI Cod $3,050,769.62 Cod Buhl Market Pace $3,050,791.64 Market Value $22.02 Unseated eakeMose $116,542.83 NSW Ellmaled Wed Isom Meld EXCHANGE-TRADED PRODUCTS 1SHARES INC MSC] SOUTH KOREA ETF Dividend Oplion: Cash; Capital Gains Option: Cash Scarily Identifier EWY CUSIP 464286772 11703117 13,000.000 75.8460 985.996.98 72.0900 937,170.00 48,826.98 28,291.14 3.01% 'SHARES TR CHINA LARGECAPETF Security Identifier FXI Dividend Oplion: Cash; Capital Gains Option: Cash CUSP.46428714 11103117 21,000.000 46.3690 973,747.44 47.2200 991,620.00 17,872.58 22,422.26 226% 1SHARES INC M SCI TAIWAN ETF Security Identifier: EWT Dividend Oplion: Cash: Capital Gains Option: Cash CUSP 464346712 11703117 26,000.000 37.9690 967,205.46 36.6500 952,900.00 -34,305.46 26,491.55 2.78% TOTAL EXCHANGE-TRADED PRODUCTS $2,946,949.88 $2,881,690.00 465,259 88 $77,204.95 Umeallzed Mend Shred Cad Saris Mittel Value NW tow Intend Annual home TOTAL U.S. DOLLARS $85,804,606.24 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) $97,482,986.60 59,592,216.61 $420,153.80 53,226,410.85 ir Account Umbel " Rated Intik.? CON FID '' , ' AL* DALBAR RATED COMMUNICATIONS 1 ..... DMLING( $ S. LA ih:S. Even/ Year Since 2O07 Page 11 of 28 Clearing %Mr NOM% nilaprewel SASS." of The Bank al New Yalt Mellon CarporatIon Melba) Perihnx LICerionbn FtuRAVVVELGM-00046707 DS-SDNY-0009531 EFTA_001 57316 EFTA01289679

Portfolio Holdings (continued) CHINA RENM INBI Estimated Desorption 0uuANy Market Price Market Value Currency Yield EQUITIES Common Stocks CHINA 03MM UNICATIONS CONSTRUCTION COMPANY 224.000.000 7.0894 1,588,046.66 CNY LTD SHS H 'SINS CNE900002F5 250,760.38 USD Security Id edifier. 1800:HK CUSIP:Y1R36.108 Total Common Stocks 1,586,046.66 CNY 250,760.38 USD 1,588,046.66 CNY 250,760.38 USD TOTAL EQU ITIES Accrued Market Value Currency Interest TOTAL CHINA RENM INBI 1,588.046 66 CNY 000 250.760 38 USD 0 00 BRITISH POUND Estimated Desolation Quantity Market Pt i2 Market Value Currency Yield EQUITIES Common Stooks HS8C HOLDINGS PLC ORD SHS 24,800.000 7.2356 179.444.62 esP IONS G800054052$6 241,202.78 USD Security Id Wilier: HSBA:GB CUSIFtG4834U19 Total Common Stocks 179,444.62 GBP 247,202.78 USD TOTAL EQUITIES TOTAL BRITISH POUND CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 179,444.62 GBP 247,202.78 USD Maket Value Currency 179,444.62 GBP 247,202.78 USD Accrued IMenS Account ?turbo CONFID 0.00 0.00 Page 12 of 28 Rated Escoilent (my Year Since 2007 DA AR MUD COMMUNICATIONS UMIAK( Clewing throve. Peaking 11C•aapronwil istaldiary of TM Bonk NNW Yak Meta CancratIon (MY Mao) Peri Finx 11.C. mento Ho) DB-SONY-0009532 EFTA_00157317 EFTA01289680

Deutsche Bank P.O. Box 1776, Baltimore, MD 212O3 Portfolio Holdings (continued) HONG KONG DOLLAR February 1,201 - February 28,2018 SOUTHERN FINANCIAL LLC Description CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance TOTAL CASH, M ON EY FUNDS. AND BANK DEPOSITS Desorption EQUITIES Quantity Opening Oosing Accrued 30 •Day Balance BRIME4 Currency Income Yield 42,782.40 42,782.40 HKD 5.467.29 USD 12,782 40 12.782 40 HKD 5,467.29 USD Caensity Market Prim Andel Value CIMMICy 0.00 0.00 Estimated &hauled Annual Income Yield Common Stocks LONKING HOLDINGS LTD SHS 710,000.000 3.2700 2.321.700.00 HKD 44.019 63 1.89% KYG5636C1/78 296,696.93 USD 5,625 44 Security Id enl Wier: 333911K CUSIP. G5636CV7 NINE DRAGONS PAPER HOLDINGS LTD 5145 144,000 000 14.1200 2,033,280.00 HO ISINIBLIGS53131305 259.838.93 USD Security Idenliliet: 2689HK CUSIP. G55313D0 ZTECORP SHSH ISINS CNE1)00004Y2 70,600.000 27.6000 1,948,560.00 HKD Security HK 249.012.27 USD CUSIP. Y0004 P05 ANHUI CONCH Ceil 941 CO LTD SHSH 52,500.000 11.9500 2,202,375.00 HKD 32.439 58 1.17% ISINS CNE130000182 281,448.09 USO 4.145 58 Security Id enl Wier 9$1:HK CUSIP. Y01373132 BANK OF CHINA LTD BEIJNG SHS H 512,000.000 4.2700 2,186,240.00 1110 1911* O1E90000125 279.386.11 USD Security Id eal Wier 3988:HK CUSIP. Y0698A137 DONGFANG ELECTRIC CORPORATION LTD 150.200.000 6.5300 980.806,00 HKD SHSH ISINSCNED0000301 125.340.10 USD Security Idenliliet: 1372.HK CUSIP Y20958137 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number: ItC0121 CONFIDE Page '3 of 28 L Rated balks. bay Yea. Since1007 DAUMRATEDCOMMUNICATORS LSCRAINCE ChM% lamer Psalms LC • Maly owned satosIdlia of The Mak el New Tort Mellon CarperatlanONY maw nennifteti.c.nenew nmtA.B(4111,,,GM_00046709 DB-SDNY-0009533 EFTA_OO157318 EFTA01289681

Portfolio Holdings (continued) HONG KONG DOLLAR (continued) Estimated Noraled heartboo AareAy Maker Peke Market Value Currency Annual Income Yield EQUITIES (continued) Common Stocks (continued) WBCHAI POWERCO LTD SHSH 228,000.000 8.8200 2,010,960.00 HKD 'SINS CRE1300004L9 256,986.55 USD Security Identifier 2338:11K CUSIP. Y9531AD9 ZHUZHOU CRCTIRESELECTRICCO LTD SHS 43.400 000 42.4000 1,840,180.00 HKD -H. ISMS CH0300000(4 235,159.56 USD Security Identifier:389811K CUSP. Y9892NO4 Total Common Stocks 15,524,081.00 HKD 76,459.21 1,983,860.54 USD 9,771.02 TOTAL EQUITIES 15,524,081.00 HKD 76,459.21 1,983,868.54 USD 9,771 02 Maned allmated Market Value Currency Interne MaudIncome TOTAL HONGKONG DOLLAR JA PAN ESE Y EN 0ficiption Quantity CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 15,566,863.40 HKD 0.00 76.459.21 1,989,335.83 USD 0.00 9,771.02 09•9919 Chaim Awued 30-Day Balance Balance Currency Income Yield -267.00 -267.00 JPY -2.50 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS .267.00 -267.00 JPY 0.00 •2.50 USD 0.00 DaecrIplion EQUITIES Common Stocks NASTESr,..0 cORP TOKYO SHS LTD ISINI.P365129001 Security Ideetifier.6268:P CUSP. )17070110 Total Common Stocks Estimated Estimated OvinOly Martel Mot Bakal Value Clancy Annual Income Yield 6,300.004 4,645.0000 29,263,500.00 JPY 428 356 08 146% 274257.52 USD 4,014 96 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Humbe CONFID 29,263,500.00 JPY 428,356.08 274,257.62 USD 4,014 96 Page '4 of 28 Rats Etatlitnt Clanngthrotir Penblag I1C *Say easel Every Year Since 2007 steals! of The Hoak al New Yeelt Meta DASAR RATED COMMUNICATIONS Caporals (UNY Melon) VICtll MCC PerIhnx LUC erw-tatt FINRAAWIELGM—00046710 DB-SDNY-0009534 EFTA_00157319 EFTA01289682

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) JAPAN ESE YEN (continued) Description EQUITIES (continued) TOTAL EQUITIES February 1,2018 - February 28,2018 SOUTHERN FINANCIAL LLC Estimated Estimated Paring Market Rem Markel Value Cuomo/ Maud Income Yield 29,263,500.00 JPY 428,356.08 274,257.52 USD 4,014.96 Awned Estimated Market Value Cuffing Mired Annul Income TOTALJAPANESEYEN 29,253,233.00 JPY 0.00 428,356 08 RAND DiscrIplIon EQUITIES Common Stocks NASPRISLIIIITED LTD 2,000.000 3,271.0000 6,542,000.00 ZAR 11,599.95 0.17% ISINIZAE00005889 554,395.25 US0 983.03 Security Ideetifier.NAPRF CUSIBS5343593 Total Common Stocks 274,255.02 USD 0.00 4,014 96 Estimated Estimated (hardy Market Pike Market Value Cullom Annual Income Yield TOTAL EQUITIES TOTAL RAND 6,542,000.00 ?AR 554,395.25 USD 6,542,000.00 ZAR 554,395.25 USD Market Value Cuffing 11,599.95 983.03 11,599.95 983.03 Awned Estimated Intend Annul Income 6,542,000.00 ZAR 0.00 11,599.95 554,395.25 USD 0.00 983.03 Untedzed Atoned &haled Cost Bats Markel Value Oiled= Interest Annual Income TOTAL PORTFOLIO HOLDINGS - U.S. 185,804,606.24 1100,798,935.86 $9,592,216.61 1420.153.80 13,241,179.86 DOLLARS Noncovered under the cost basis rules as defined below. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Num CONFID Rated Earelitnt Every Year Since 2007 DAtIlAR RATIO COMMUNICATIONS LXCILLINCC Page 15 of 28 Clewng th•ough Pershitnti.Caaa/OWINId subathaty of The Bankol tee* 'fed Mellon Corporation0NY ~Ion) Rent erte LIC. ~nat. FINRA~M_ 00046711 DB-SDNY-0009535 EFTA 00157320 EFTA01289683

Portfolio Holdings (continued) 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-S 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. 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. 5 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. 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. t1 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 Quincy Cash Flied loon Equities Mutual Funds Dicsangaie444 Funds Total by Cortency U.S. DOLLARS 4.911.905 24.931825 61.699.774 3.050.791 2.881.690 97.482.986 USD CHINA RDIM IN8I 0 0 1,588.046 0 0 1.588 046 CNY BRITISH POUND 0 0 179.444 0 0 t79.444 GBP HONG KONG DOLLAR 42,782 0 15,524.081 0 0 15.566.863 HIM JAPANESE YEN -267 0 29,263.500 0 0 29.263 233 JPY RAND 0 0 6.542.000 0 0 6.542.000 DR Total USD Equivalent 4.917.369 24.938,825 65.010,259 3,050,791 2.881,690 100.798.935 USD % of Allocation 5% 25% 64% 3% 3% 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 "NI A" and are omitted from the Total. THE AS OF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM 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 Page *6 of 28 ICC ;M C I Account limboa CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ON FID Rated Galls. Cleating OOP* P allos LLC. • Mb" anal trey VW Since 2007 SASS." of The Bask el Mew Y.:4 Mellon MBAR RATED COMMUNICATIONS Carpontlan (MY Wilco) ,..... EXCIILUNC C Nesting U.C.menter Fttatk*MKPI. GM_00046712 DB-SDNY-0009536 EFTA_00157321 EFTA01289684

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) February 12018 - February 28,2018 SOUTHERN ANA 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 "7 of 28 Account Numbe CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated ticellent trey Year Since 2007 OMAR MITO COMMUNICATIONS EXCLIAINCI Clewing through Penis's LLC. • Say owned sobsidiary of The Bank a Mew Vat Mellon CarporatIon (MY Mao) Perchnx 11.C.rnet-to A.%41‘. 00 - 00046713 DB-SDNY-0009537 EFTA 00157322 EFTA01289685

Schedule of Realized Gains and Losses Current Period Date Dale Realized Desaiption Disposed Moulted Designation Ohposition Method) Ttainection (hardily Planted& Cot Bats Gait:non Short Term BRIGHT SCHOLAR ED HI 02/28/18° 02128118 Covered First In First Out / SELL 3.900 000 71,198.55 74.100.00 -2.901.45 ONSADR ISINt U81991791391 Security Identifier 13913919 DFB HEALTHCAREACQUI 02/16/18 02116118 Covered First In First Out / SELL 4,800.000 47148.89 48.000.00 -151.11 RP UNIT 1COM & 73WISEXP 20 23 Security Identifier. 2329408 DOMINION ENERGY II IDS 02116118 02116118 Noncoveret First In First Out! SELL 6.600 000 171.426.48 168.630.00 2396.48 RS LP COM UNIT REPSTG LTD PART NERSHIP INT Security Identified 257454'08 IIIRAGEN THERAPEUTICS 02/09/18 02/09110 Covered First In First Out! SELL 3.000 000 15123.63 16,500.00 -876.37 Security Identifier 60463E03 NMI HLOGSINCCL A 02/28/18° 02128118 Covered Aril In First Out! SELL 1.400 000 23303 33 27,650 00 -4.346.67 Security Id entifier. 629209305 VIC' PPTYS INC COM 02/01/18 02101118 Covered First In First Out! SELL 1.000 000 83.232 07 80.00010 3.232 07 Security Identifier. 925652139 PVT WEIR SSP 500 ET 02/22/18 02113118 Covered Frst In First Out! BUY -100 000 15.88412 6.488.00 9.396.62 24100 Security Identifier 990AILYM 3 PUT GILEAD SCIENCES 02120/18 01109/18 Covered first In First Out! EXMRE OPT SHT •I25.000 19.554.54 0.00 19.554.54 75.00 Security Identifier 990ALSCIS CALL GILEAD SOENCES 02/20/18 01109118 Covered Hilt In First Out / EXPIRE OPT SHT -125.000 15.340.63 0.00 15.340.63 82.50 Security Identifier 990ALHGAC CALL SELECT SECTORS 02/02/18 01109118 Covered First In First Out / SELL 525 000 121.880 39 101,269 00 20.61139 80.00 Security Identifiet 990ALK9P5 CALL SP DR St P500 ET 02/22/18 02/13/18 Covered First In First Out! SELL 100.000 24,103.43 18193.00 5.610.43 274.00 Security Identifier. 990AMA627 CALL %DR SS P 500 ET 02/22/18 02/13/18 Covered First In First Out? Sal 100 000 35,008.18 26.85310 8.155.18 27610 Security Identifier. 990AM DB9J Page '8 of 23 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Numb CONFIDO. &COMM OS L-- Rated Galls. Eery Year Since1007 DALIARIATEDCOMMUNICATIONS LXCGAINCE Clewing liner ;kli% I1C nokily owned sat ddlary of TM kalcolNavo Vat Mellon Calaginelon OM IMMO hMia U.C.meTte FilRA.4WILEPM_00046714 DB-SDNY-0009538 EFTA 00157323 EFTA01289686

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) February 1,2018 - February 28,2018 SOUTHERN FINANCIAL LLC Date Dale Realized Description Demoted Acooked Designation Disposition Method / Transaction &ems Proceeds Cat Bails Galtsiloss Short Term (continued) PUT SPDRUP 500 ET 02/22/18 02113118 Covered first In First Out I BUY -100 000 25163.39 14.462.00 11.401.39 240,00 Security Identifier. 990AMCCAO CALL 'SHARES INC M SC 02120/18 01123118 Covered first In First Out I EXPIRE OPTION 2.000 0.00 132.00 -132.00 79.00 Security Identifier. 990AM EK0 Total Short Term 670,268,13 582,577.00 87,691.13 Long Term WASHINGTON M UT MTG S 02123118 12113/13 Noncovered'' REPYMT OF PAIN 1,290.000 000 1.942,94 1,486.71 456.23 004-RA2 MTGPASSTHRUCTFCLC- Original Cost Basis:1486.71 8-1VAR RATE 6.998% 07125/33 Security Identifier. 939336520 Total Long Term 1,942.94 1,486.71 456.23 Total Short and Long Term 672,211.07 584.063 71 88.147 36 • 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 'coverer . 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 13998, 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-B or online displays you may have available to you When 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 '9 of 28 Account Number: ICCOMM.011 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated [smitten beer Year Since 2007 OMAR Mit° COMMUNICATIONS EXCULINCI Clewing through Pershn LC a Say owned Sniffle., of TM Bank a Mew Yore Mellon CarporatIon ('NY Mellon) Peri. 11.C.rnertn Ithtto..%WriliGM-00046715 DB-SDNY-0009539 EFTA 00157324 EFTA01289687

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 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 fo us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. u These shares are unsettled and have been recently disposed. You will also see these shares on the Portfolio Holdings section until this transaction has been settled. 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. Rease 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 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 (4/1 amounts shown are in base currency) Securities °edits ThisPerioti Debits ThisPetiod Net ThisPerioci °edits Yea4o-Date DebilsYear-to-Dote Net Year-to-Dale Securities Bought 0 00 -2.819.419.86 -2.849.419.86 0 00 4.770.600.64 -3.770.600 61 Securities Sold 1,939,916.66 0.00 1,939,916.66 7.343.491.66 0.00 7.343 194.66 Total Securities $1,939,916.66 42,849,449.86 4909,533 20 $7,343.494.66 $3.770,600.61 $3,572,894.02 Dividends and Interest $371,978.70 $000 $371,978.70 $493.887.03 $0.00 $493.887.03 Distributions $174.185.14 $0.00 $174,185.14 $201 314 47 $0.00 $201 314 47 Fees $0.00 52100 424 00 $0.00 448.00 448 00 Cash Withdrawals 0.00 0.00 0.00 0.00 -102.492.70 -402.492.70 Deposits 228,000.00 0.00 228,000.00 228,000 00 0.00 228,000.00 Total Cash $228,000.00 $0 00 $228,000.00 $228,000.00 $402,492.70 $174,492.70 Totals $2,714,080.50 $2,849,473.86 4135,393 36 $8,266,696.16 $4.173,141.34 $4,093,554.82 Page 20 of 28 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ciQ stcs„, CONFID L Rated Conalltal Clams tivough hushing LLC. a wilayosnacl Every Year Since 2007 subsidiary al The Bank Ware 'fat Mellon DAUM UMIAKATED CC.IMUNICATIONS Cancration(BNY Mellon) DB-SDNY-0009540 EFTA_00 157325 EFTA01289688

Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Transactions by Type of Activity February 1,2018 - February 28,2018 SOUTHERN FINANCIAL LLC Roan, Trade; Settlement Transaction Date Dale Activity Type Description Cluantiy Price Acaued Interest Amount Cannot Securities Bought and Sold 02101/18 01131/18 SOLO CALL AO VCR SSP 500 ETF TR TR UNIT DP 800.000 14.5011 1.302.362 85 USD 990AILYIG 034.13(1270.000 OPTION ROOT: SPY CLOSING TRANSACTION UNSOL EXCHANGE LISTED OPTION 02105/18 02101118 SOLD VICI PPTYS INC COM UNSOLICITED ORDER ALLOCATED ORDER x.000.000 20.8500 83,232 07 USD VICI YOUR BROKER ACTED AS AGENT 02105/18 02101/18 PURCHASED VICI PPTYS INC COM PROPSECTUS UNDER SEPARATE COVER 4000 000 20.0000 -80,00000 USD VIG 02105/18 02102/18 SOLO CALL AO SELECT SECTOR SPQR TR INDL EXP 064- 14180.000 -525.000 2.3517 121.880.39 USD 990ALK9P5 OPTION ROOT: XLI CLOSING TRANSACTION UNSOL EXCHANGE LISTED OPTION 02/07/18 02105/18 PURCHASED BERKSHIRE HATHAWAY INC DB CL A UNSOLICITED ORDER 3.000 310,390.0000 ,931,276.00 USD BRK A 39,390 00000000 02107/18 02105/18 PURCHASED NINTENDO LTD ADR UNSOLICITED ORDER ALLOCATED ORDER 10,000 000 51.7500 417,906 00 USD NTDOY YOUR BROKER ACTED AS AGENT 02113/18 02/09/18 SOLO M IRAGEN THERAPEUTICS INC COM UNSOLICITED ORDER -3.000.000 5.2500 15.623 63 USD MGEN ALLOCATED ORDER YOUR BROKER ACTED AS AGENT 02/13/18 02109/18 PURCHASED IRAGEN THERAPEUTICS INC COM PROSPECTUS UNDER 3,000.000 5.5000 4 6,500.00 USD MGEN SEPARATE COVER 02/14/18 02/13/18 SOLO SHORT PUT 130 SP1)R SSP 500 ETF TR TR UNIT EXP03-1-111a245000 -100.000 1.6191 15.884 62 USD 990AILYM 3 OPTION ROOT: SPY OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 02/14/18 02113/18 SOLD SHORT CALL AO BROADCOM LTD SHSISINS 939999014823 EXP 40.000 11.9000 47.472 90 USD 990ALOOGF 0344(1240 000 OPTION ROOT: AVGO OPENING TRANSACTION UNSOL EXCHANGE LISTED 02/14/18 02113/18 SOLD SHORT PUT DO BROADCOM LTD SHS ISMS SG9999014823 UP 40.000 5.2412 20,838.51 USD 990A10064 034-SO230000 OPTION ROOT: AVGO OPENING TRANSACTION UNSOL EXCHANGE LISTED 02/14/18 02/13/18 PURCHASED CALL DO VCR SSP 500 ETF TR TR UNIT EXP 100.000 1.8187 -18.493.00 USO 990AM A627 03440274.000 OPTION ROOT: SPY OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 02/14/18 02/13/18 PURCHASED CALL DO SPDR SSP 500 ETF TR TR UNIT EXP 100.000 2.6547 46,853.00 USD 990AM DB9J 04.20-$0276.000 OPTION ROOT: SPY OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION Page 2' of 28 Account Number: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO WM) L Rated ticellent Clewing through Penitent LC. R May owned trey Year Since 2007 totaling of TM Bank a Mew Vat Mellon DAMARMITO COMMUNICATIONS CarporatIon (MY Ammo ,„ „„ LXCLLLINCC Perchnx 11.C.nlet-bn IthltA.VOLIZI91"—Ouv46717 DB-SDNY-0009541 EFTA_001573 26 EFTA01289689

Transactions by Type of Activity (continued) Proe' Trade; Settlemenl Trance:lion Date Dote Securities Bought 02/11/18 02113/18 02/20/18 02/16/18 02/20/18 02116/18 02120/18 02120/18 02/20/18 02/21/18 02/21/18 02/21/18 02/21/18 02116118 02/16118 02/16/18 02116/18 02121/18 02/16/18 02/23/18 02/22/18 02123/18 02/22/18 02123/18 02/22/18 02/23/18 02/22/18 Adivity Type and Sold (continued) SOLD SHORT 990AM DCAO SOLD SHORT 9904100PD SOLD SHORT 990ALOOGV1 YOUR OPTION EXPIRED 990ALBC.6 YOUR OPTION EXPIRED 990ALHGAC YOUR OPTION EXPIRED 990AM EEKO PURCHASED BRK A SOLD DFBHU PURCHASED DFBHU SOLD ON PURCHASED ON PURCHASED 990AILYM 3 SOLD 990AM A627 SOLD 990AM DB9J PURCHASED 990AM DCAO Desaiption PUT AO SFORS8P 500 ETF TR TR UNIT EXP 4-20 -130240.000 OPTION ROOT= SPY OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION CALL DO GILEAD SCIENCES INC EXP 03.9.9082500 OPTION ROOT= GILD OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION PUT DO GILEAD SCIENCES INC EXP 03-S43077100 OPTION ROOT= GILD OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION PUT DO GILEAD SCIENCES INC DP 02.9.9075.000 OPTION ROOT= GILD GILD CLOSNG TRANSACTION CALL DO GILEAD SCIENCES INC EXP 02-9.9082.500 OPTION ROOT= GILD GILD CLOSNG TRANSACTION CALL DO !SHARES INC M SO SOUTH KOREA ETF DIP 02-5.9079 000 OPTION ROOT= EWY EWY CLOSING TRANSACTION BERKSHIRE HATHAWAY INC DEL CL A UNSOL AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT DFB HEALTHCARE ACOUISTIONSCORP UNIT 1COM 8 13 W TS EXP 2023 UNSOLICITED ORDER DFB HEALTHCARE ACOUISITIONSCORP UNIT 100M 8 13 W TS EXP 2023 PROSPECTUS UNDER SEPARATE COVER DOMINION ENERGY M IDSTREAM PRTNRS LP COM UNIT REPSTG LTD PARTNERSHIP INT UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT DOMINION ENERGY MIDSTREAM PRTHRS LP COM UNIT REPSTG LTD PARTNERSHIP INT PROSPECTUS UNDER SEPARATE COVER PUT 130 MN SSP 500 ETF TR TR UNIT 61P 03.9.4245.000 OPTION ROOT= SPY CLOSING TRANSACTION UNSOL EXCHANGE LISTED OPTION CALL DO SPDR SIP 500 ETF TR TR UNIT EXP 03-5.10274.000 OPTION ROOT= SPY CLOSING TRANSACTION UNSOL EXCHANGE LISTED OPTION CALL 100 SPDR S&P 500 ETF TR TR UNIT EXP 04-20-10276.000 OPTION ROOT= SPY CLOSING TRANSACTION UNSOL EXCHANGE LISTED OPTION PUT HO SPOR SIP 500 ETF TR TR UNIT EXP 04-20-10240 000 OPTION ROOT= SPY CLOSNG TRANSACTION UNSOL EXCHANGE LISTED OPTION Accoui Th rebmulM acorn CONFIDENTIAL - PURSUANT TO FED. R. CRAM. P. 6(e) CONFIDO. Quality -100.000 Price 2.6170 Acaued Interest Amount Currency 25.86339 USD -125 000 1.3612 16,634 60 USD -125.000 0.9494 11.736 72 USD 125.000 0.00 USD 125.000 0.00 USD -2.000 0.00 USD 3.000 306.993.3333 ,921,086.00 USD -1,800.000 10.0100 47.848 89 USD 4,800 000 10.0000 -48.00000 USD 4.600.000 26.0152 171.426.48 USD 6.600.000 25.5500 -168,630.00 USD 100.000 0.6382 .6,488.00 USD -100.000 2.4410 24,103.43 USD -100.000 3.5315 35.008.18 USD 100.000 1.1156 -14,462.00 USD Page 22 of 28 L4 Rated halls. hay Year Since1007 DALIAR INTIDCOMMUNICATIONS DtallINC( Clewing through Penh's; 11C. • Say ogmai satddlary a The in a New Vat Melba Corp./melon OM Mellon) llC. averrate Facee.%41)1aPM-00046718 DB-SDNY-0009542 EFTA_00 157327 EFTA01289690

PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) ,ebruary 1,2018 - February 28,2018 SOUTHERN RNA NCIAL LLC Procure Trade; Settlement Transaction Date Dale Adivity Type Description Quantity Price Aimed Interest Amount Wang Securities Bought and Sold (continued) 02/26/18 YOUR OPTION ASSIGNED PUT DO GENERAL ELECTRICCOCOM DP 03-46405000 25.000 0.00 USD 990AK5CSO OPTION ROOT: GE GESO CLOSING TRANSACTION 02127/18 02123/18 PURCHASED GENERAL ELECTRIC CO CAM ACCT OPT ASSIGNED 2.500 000 18.0000 -45,106.00 USD GE 02127/18 REINVEST CASH INCOME .PMORGAN FLOATING RATE INCOME FUND CLASS I 1015 304 4,543.86 USD PHSX 323920970 SH RS SHRS PURCH AT 5940000 RD 02/23PD 02127/13 02127/18 YOUR OPTION ASSIGNED PUT 90 GENERAL ELECTRIC CO COY EXP 034•90E.000 25.000 0.00 USD 990AK5CSO OPTION ROOT: GE GE•93 CLOSING TRANSACTION 02/28/18 02126/18 PURCHASED GENERAL ELECTRIC CO CAN ACCT OPT ASSIGNED 2.500 000 18.0000 -45,106.00 USD GE Total Securities Bought and Sold - U.S. DOLLARS 0.00 -909,533.20 Dividends and Interest 02/02118 CASH DIVIDEND RECEIVED 3000000 SOUTHERN CALIF EDISON CO PREF SERE 6 250 % 93,750 00 USD 842400 FU2 0417162B/E OTC 0117/2 CLB RD 0115 F002/0111 02115/18 CASH DIVIDEND RECEIVED 214000 SH RS APPLE INC COM RD 02/2 PD 02! 151E 134.820 00 USD AAPL 02115/18 BOND INTEREST RECEIVED 80000 SHRSGM AC CAP TR I GTD TR PFD SECS SER 2 CPN- 36,804 40 USD ALLY PM 8.25% FRED ORTLY M ATM 2/ Si 20 40 CALL ANYTIME 025 W/30 DAYSBEGINS02/61S RD 02/14 PD 021151E 02/20118 CASH DIVIDEND RECEIVED 3000000 CITIGROUP INC FXD RT SR NT PERP D EP RECPT 89,250 00 USD 17296725 5950% 0816/88 BS E DTO 08/12/6 CLB RD 02/14 PD 021151E 02126/18 BOND INTEREST RECEIVED 290000 WASHINGTON M UT M TG SECS CORP 2004 4A2 M TG 2.829.73 USD 939336S20 PASSTHRU CTF CI. C-91VAR RATE 6 998% 07/25/33 DIE DTD 06/0104 RD 0131 PD 02/2511 02127/18 CASH DIVIDEND RECEIVED .PM ORGAN FLOATING RATE1NCOME FUND CLASS I 9,543.86 USD PHSX 323920970 SH RS RD 02/23 PD 021271E 02/28/18 MONEY MARKET FUND DEUTSCHEGOVT CASH 4.980.71 USD INCOME RECEIVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 371,978.70 Page 23 of 23 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account t il lumbe ll= CONFID 4 Rated Gallo* Clewing liner Pagan IIC a *lay owned bay vex Since 2007 Salary of The lank oi New Vat Mellon DALIARPATEDCOINAUNICAllONS Commotion OM Alden) ......... Wq , i, mA LICallMa PeOintltC.inente F ihitn.il - 00046719 DB-SDNY-0009543 EFTA_00 I 57325 EFTA01289691

Transactions by Type of Activity (continued) Oetle; Trade; settlement TransKtion Crete Date Activity Type Description 0uentay Price Accrued Interest Amount Omenq Distributions 02/26/18 RETURN OF PRINCIPAL RECEIVED 939336520 02/28118 PARTNERSHIP DISTRIBUTION APO 1290000 WASHINGTON al UT M TG SECS CORP 200 4-RAVA TG PASSTHRU CTF Cl C-B-I VAR RATE 6 998% 07/25/33 B/E DTD 06/0104 RD 0731PD 02/25113 263157 SHRS APOLLO GLOBAL IA GM T LLCCL A SHSRO 0 2/21P0 02/28113 501.52 173,683 62 USD USD Total Distributions - U.S. DOLLARS 0.00 171,185.11 Fees 02/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 208 CUSP. G4 634 li• S•9 -2.00 USD HBCYF 02/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 208 CUSP'. (36636C4-7 -2.00 USD LONKF 02/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 208 CUSP. G66313.10. 0 -2.00 USD NDGPF 02/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 208 CUSIR. A7070-8.0 -200 USD NCTKF 02101/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 208 CUSP. 553435.0.3 -2.00 USD NAPRF 02/0 1/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 20 13 CUSIR YO 00 4 F- t -5 -200 USD ZTCOF 02101/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 208 CUSP Y01373.0.2 -2.00 USD AHCHF 02/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 208 CUSP YO 698A-13-7 -2.00 USD BACHF 02101/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 208 CURF'. YR36413-8 -2.00 USD CCCGF 02101/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 208 CUSP. Y20958.134 -2.00 USD DNGFF 02101/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 20s cuar.. Y9 5314/0.9 -200 USD WEICF 02/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping AN 20s CUSP. Y9892N-8.4 -2.00 USD ZHUZF Total Fees - U.S. DOLLARS 0.00 Account Numb eteilitla1411 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L4 Page 24 of 23 Rated tiarlivn Clewing through Pecs bn (IC. • 01Way0W1104 trey Yew Since 2007 sobsidiary of TM Bonk el Mew torn Mellon OMAR RATED COMMUNICATIONS Ono-ream (MY Mao) rn . EXCULINCI Pelting U.C. frt./ , fljVLE19,"—C-"46740 DB-SDNY-0009544 EFTA_00 157329 EFTA01289692

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) ProttSS Trade Settlement Transaction Date We Activity Type Cash Withdrawals and Deposits 02114/18 FEDERAL FUNDS RECBVED DEUTSCHE BANK TRUST 00050 USD999997 02/14/18 FEDERAL FUNDS RECBVED DEUTSCHE BANK TRUST 38341 USD999997 02/16118 FEDERAL FUNDS RECBVED DEUTSCHE BANK TRUST 07709 USD999997 Total Cash Withdrawals and Deposits-U.S. DOLLARS Desaiption ,ebruary 1, 2018 - February 28, 2018 >GUTH ERN FINA NCIALLLC Outlay Price Accrued intern Amnia Cunenq 128,000.00 USD 24,000.00 USD 78,000.00 USD 0.00 228,000.00 Total Value of Transactions The price and quantity displayed may have been rounded. Fixed Income Analysis Bond Quality Bond oualily A 2,274,195.90 9% BAA 8,184,750.00 33% BA/ Lower 14,030,083.75 56% Not Rated 449,815.57 2% Total 24,938,825.22 100% 0 0.00 -135,393.38 USD S of Bond Market Value Market Value Percent or Fixed Income : 59 20 40 60 80 100 Bond Maturity Schedule %ol Bond Bond Murky Meat Vane Maker Vales IMI 1 to 5 years 1,017,500.00 4% 08 to 10 years 4,281,500.00 17% • Over 10 years 19,639,825.22 79% Total 24,938,825.22 100% 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: CONFIDOP AL- Page 25 of 28 FortedUcOlem OwingdmerhnloWIC•awkwmod bereetarSime2007 sobsamoMmkekaNm*AMOcon ommenagocimtiawocmrnm ConoWboORWAMMO uctuma Peri. inxilCnitrAttomuskigeSozena_00046721 DB-SONY-000954S EFrA_00157330 EFTA01289693

Trades Not Settled Settlement Trade Activity Dole Dale TYP. Deuription Quantity Price Aimed literal Settlement Amount 03/02/18 02128118 Bay BRIGHT SCHOLAR ED HLDGS LTD SPONSADR 7,900.000 19.0000 0.00 -160,100.00 ISDN USD9991391PROSPECTUSUNDER SEPARATE COVER 03/02/18 02128/18 Sell BRIGHT SCHOLAR ED FROGS LTD SP3NSADR -3,900.000 18.2080 0.00 71,198.55 (SINS USV9199918KCII A PERSHING AFFILIATE M AKES A MKT IN THIS SECURITY & ACTED AS PRINCIPAL UNSOLICITED ORDER AVERAGE UNIT PRICE 03/02/18 02/28/18 Sell ENDOCYTE INC COM BKCM A PERSHING 4,100.000 5 3379 0.00 1,888.88 AFFILIATE MAKESA MKT IN THIS SECURITY & ACTED AS PRINCIPAL UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER 03/02/18 02128118 Buy NMI HLDGS INC CL A 1,400.000 19.7500 0.00 -27,850.00 PROSPECTUS UNDER SEPARATECOVER 03/02/18 02128/18 Sell NMI HLDGS INC CL A -1,400.000 20 6500 0.00 23,303.33 UNSOUCITED ORDER ALLOCATED ORDER YOUR BROKER ACTED AS AGENT Total Amount of Trades Not Settled 481,381.24 Client Service Information Your Investment SpedakitENJ JOSHUA SHOSHAN 280 PARK AVE- 3R0 FL NEW YORK NY 10017 Your Account Information Contad Information 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 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 CONFIDENTIAL — PURSUANT TO FED. R CRAM. P. 6(e) IIIII.r Account Numb ^ Rated (.O41ent : (n F.: ,-,:. , ben/ Mat Sat 2O07 DALBAR RATED COMMUNICATIONS EXCILLINCE CONFID AL- Page 26 of 28 Clearing throve. Peaking IIC nobly evened sobsidiary of The Bonk N Neu Wolt Mellon CarporatIon (MY Mao) Per Oinx 11.C.nwetan rimitA.SR4Vecerk00046722 DS-SDNY-0009646 EFrA_00 157331 EFTA01289694

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Your Account Information (continued) February 1,2018 - February 28,2018 SOUTHERN FINANCIAL LLC 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, where 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. • Your financial organization's contact information can bet n nh it 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, 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. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Accoent Ntrnbern= WM) CONFIDO. L Page 27 of 28 Rated hottlent Every Yet Since 2007 DALIAR RATED COMMUNICATIONS EXCELLENCE Clewing through Pen*, IIC ea.* evened Mold's." of The kelt N New Vat Make CooporatIon (My Mellon) Per, 11.C.nler-tan on) DB-SDNY-0009547 EFTA_00157332 EFTA01289695

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 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 clan 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 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; CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) AeCounl MIN C M IUM ag CONFID L Page 23 of 23 Rated Galls. Clewing through Pasha,. LLC. a %lag owned bery Year Since 2007 sebsidiary of The Mak col Mew York Mellon DAUM PATEDCOMMUNICATIONS Corporation (ltly &Woo) ,..,.. ,, LXCUltha Firsitintlt.C.reembw F itiltA. tioigilfra.‘40- 00046724 DB-SDNY-0009548 EFTA_00157333 EFTA01289696

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Dtutviv Lint Prink. Marl/, Mon.etmen Marini (overact C400.: Devtiche Oar* Stmeitini POW net c4ke 345 Pvt. Ammo. 3611 Flow MW IS Tall 3 roe Cote January 1,2018 - January 31,2018 Account Number: SOUTHERN FINANCIAL LIS 6 10 0 RED HOOK QUARTER B3 ST THOMASVI 00802 Portfolio Glance at a ThisPuled YeareaDalt Your Investment Specialist. BEGINNINGACCOUNT VALUE $97,272,547.37 $97,272,547.37 JOSHUA SHOSHAN No Cash Deposits ard Withdrawals 402,492.70 402,492.70 Adjusted Previous Account Value 96,870,054.87 96,870,054.67 Dividends. Interest and Other Income 121,908.33 121,908.33 Other Transactions •24.00 44.00 Net Change in Portfolio' 3,121, 252 08 3 121,252.08 ENDINGACCOUNT VALUE $100,113.191.08 $10tt' Accrued Interest 5473 454.75 Estimated Annual Income 53.171.234.20 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Nam meet Type Prior Year-End last Period Ibis Period 5% Cash, Money Funds, and Bank Deposits 623,820.96 823.820.96 5,052,788.03 j= 25% Fixed Income 26,083,419.22 26,083,479.22 25,235,883.11 64% Equities 60,899,388.97 60.899.388.97 83,639,334.70 D 3% M utual Funds 3,020,938.22 3,020,938.22 3,057,397.24 • 3% Exchange-Traded Products 6,444,920.00 8,444,920.00 3,127,830.00 100% Account Total (Pie Chart) $97,272,647.37 $97,272,547.37 $100,113,191.08 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Co'NFIDFITTAL4- Wed ticellent beet Teat Since 2007 DA{ VAR MTV) COMMUNICATIONS exauttic4 Pagel of 2 Cleannlokrough Prawn. IX aulanven441 subslaey of The Bank *film Vat Melee C449444tIon (MY Melloil) Per33.4411.C.m43-to 3113.44.g4 11434GM _ 00346725 DB-SDNY-0009549 EFTA_00I57334 EFTA01289697

Summary of Gains and Losses TbisPerlod Rested Yeat-to-Dele Unrealized Short-Term Gain! Loss 1,047,824.27 1,047,824.27 1,247,694.98 Long-Term Gain/ Loss 718,901.27 718,901.27 9,347,286.80 Net Gain/ Loss 1,768,725.54 1,768,725.54 10,594,981.18 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 139 9 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 Quincy USD Equivalent Carroty per USD Caning Closing Bdanca Amount in Base Cunene/ USD BRITISH POUND 1.4218 0.7033 HONG KONGDOLLAR 42,782.40 5,470.03 HONG KONG DOLLAR 0.1278 1.8212 JAPANESE Y84 -267.00 4.46 ,b1PANESE YEN 0.0091 109.1400 Total Global Cash Balance 65,467.58 RANO 0.0842 11.8701 Exchange rates are based on interbank exchange rates as of 0V 31/ 20*. Exchange rates can vary. Money Market Fund Detail Date Anklly Type Description Amount SIMMS Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield: 124% Activity Ending: 0 V 31/ 18 12730/17 Opening Balance 787.283 53 787283.53 01102/18 Deposit MONEY FUND PURCHASE 36.539 80 823,823.33 01/03/18 Withdrawal MONEY FUND REDEMPTION -24.00 823,799.33 01710/18 Withdrawal M ON EY FUND REDEMPTION 401,269,00 722530.33 01711/18 Deposit MONEY FUND PURCHASE 30.247.17 752.777 50 01112/18 Withdrawal MONEY FUND REDEMPTION 49.000 00 703.777 50 01118/18 Deposit MONEY FUND PURCHASE 49.090 86 752.888.36 01/17/18 Deposit MONEY FUND PURCHASE 49,666 67 802,535.03 01/18/18 Withdrawal MONEY FUND REDEMPTION -94,561.21 707,973.82 01123/18 Withdrawal M ON EY FUND REDEMPTION .248.147 07 459,826.75 01124/18 Deposit MONEY FUND PURCHASE 228.380 80 688,207.55 CONFIDENTIAL - PURSUANT TO FED. R CIRrIcl. P. 6(e) Account Hurnbe CON FIDOP AL- Page 2 of 27 Rabid Exottlent Clewing through kohl% LLC. eulogy evened (very Year Since 2007 SASEs" of The Usk ether Yak Mellon DALIAR RATIO COMMUNICATIONS Ono-atlas (IINY Melba) EXCELLENCE Perchnx LIC.nwriptc HuRAAVVELGM-00046726 DI3-SDNY-0009550 EFTA_00157335 EFTA01289698

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Money Market Fund Detail (continued) January 1,2018 - January 31,2018 SOUTHERN FINANCIAL LLC Date Activity Type Sweep Money Market Fund (continued) DEUTSCHEGOVT CASH INSTI. (continued) Descsiptidi Amount Banta 01128/18 Withdraw al MONEY FUND REDEMPTION 485,065.08 203,142.47 01129118 Deposit MONEY FUND PURCHASE 2,936,251.75 3,139,394.22 01130/18 Deposit MONEY FUND PURCHASE 1,789,041.70 4,928,435.92 01131118 Deposit MONEY FUND PURCHASE 1,156.25 4,929,592.17 01131/18 Deposit INCOMERI3NVEST 1,087.53 4,930,679.70 01731118 Closing Balance $4,930,679.70 Total All Money Market Funds 54 A30,679.70 Income and Expense Summary Baal* Oarent Period Non Taxable Trouble Yemeo-Oale Moo Taxable Dividend Income Equities 5,413.06 0.00 5,473.06 0.00 Money Market 1,087.53 0.00 1,087.53 0.00 Other Dividends 10,682.78 0.00 10,682.78 0.00 Interest Income Bond Interest 104,664.96 0.00 104,664.96 0.00 Total Dividends, Interest, Income and Expenses $121,908.33 50.00 5121,908.33 50.00 Distributions Other Distributions 0.00 27,129.33 0.00 27,129.33 Total Distributions $0.00 $27,129.33 $0.00 $27,129.33 Portfolio Holdings U.S. DOLLARS Opening Date CASH, MONEY FUNDS, AND BANK DEPOSITS Cash Balance Account Duality Number AdNity Ending Owning Balance Going Blanco Awned Income Income This Yes 30-Day Dwell Yield Yield 7,000.00 0.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDO. L Page 3 of 27 Rated Excellent Every Yes, Since 20O7 DALIAR RATED COMMUNICATIONS EXCELLENCE Clewing Itinatigh Fenian EEC *whole evened sotaldlary a The leak a New Yak Mellon Caoporatfan (MY Mellon) Pertetne RC. mernan Fteata.flAnliGM-00046727 DB-SDNY-0009551 EFTA_00157336 EFTA01289699

Portfolio Holdings (continued) U.S. DOLLARS (continued) AcccnM Madly Opening Opening Date Ciumtity Number Biding Balance CASH, MONEY FUNDS, AND BANK DEPOSITS (continued) Margin Balance 29,539.80 Money Market DEUTSCHE GOVT CASH INSTL 12730/17 4,930,679.700 N/A 01/31/18 787,28353 Total Money Market $781283.53 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $823,823.33 Adjusted Cute Acqtdred Quantity UnN Col Cost Bets Market Prim FIXED INCOME (In Maturity Date Sequence) eAsset Backed Securities WASHINGTON IA UT M M SECS CORP 2004-RA2 TG PASSTHRU CTF CL GB-19AR RATE 6.999%07125/33 WE DTD 0610104 Factor. 037613200 Effeclive Date:0/02/13 Current Face Value: 485211280 12/13/13'.1° 1,290,000.000 76.5190 Total Asset Backed Securities 1,290,000.000 Total Current Face Value:485,210.280 Corporate Bonds CITIZENSCOM MUNICATIONS CO SR NT FULLY EXCHANGED FROM 17453BAX9 7.125%031t11 WE DID 03/23/071400dy Rating 93 58 P Rating 8 10/03/17 1.000.000.000 100.0790 Security Ideitthe 939336520 371,276.14 93.7350 Original Cost Basis: $638,906.71 $371,276.14 awing Mem 116.618 75 4,930,679.70 $4,930,679.70 $5.047,298.45 Market Value 454,811.86 Security Identifier 174538AW I 1.000.193.03 100.8750 Original Cost Basis: 5100100600 BARCLAYS 8K PLC CONTINGENT CAP NT Sealy Identilia:06739FHKO INNS US06739FHK037.750% 0411123 WE DM 0419/13 CALLABLE 04/1/158 P Rating 88. 04103/13'•°° 300,000.000 100.0000 300,000.00 Original Cost Etas CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 100.6500 $300.000.00 $454,811.86 1.008.750.00 301,950.00 Accrued Income Income Maur 30-Day Nett Yield Yield 0.00 1,087.53 1.23% 124% $0.00 81,087.63 $0.00 $1,087.53 Unrealized *caved Bilmated Billmated Gain. Lott literal Annul Income Yield 83,535.72 2,830.14 $83,535.72 82,830.14 $0.00 7,956.97 26.91667 71,250.00 706% 1,950.00 7.168.75 23.250.00 769% Account Number grcstr O CNFIDO. Rated EiSlent Every Year Since 2007 DALIAR RATIO COMMUNCAT IONS Vtall INC I Page 4 of 27 Clewing through Mire I1C naoly evened stosidiary of The kelt a New Vat Mellon CarporatIon (MY Mellon) Per thnx 11.C. mertatt rrrertAAtlioteGM-00046728 DB-SDNY-0009552 EFTA_00157337 EFTA01289700

Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired FIXED INCOME (continued) Corporate Bonds (continued) EXELA INTER LLC1 EXELA FIN INC GTD FIRST PRIORITY SR SECO NT 144A 0100% 0716/23B/EDTD 07/12/17 CLBIloody Riling 6358 P Rating B 10/24/17 January 1, 2018 - January 31 2018 SOUTHERN FINANCIAL LLC Quantity Unit Cost Adjusted Cud Basis Market Rice Market Value 2.000.000.000 97.0250 IISINVTS GM BH GTD SR NT REG S ISINt VS429866853 7250%04/03/24 BIE DTI) 04/03/145 8 P Rating B 10/31117 2,000,000.000 99.0650 Security Identifier 30162RAA9 1.940.506.00 98.7500 Original Cost Basis:51940,506.00 Security !dent A29866A85 1,981,300.00 100.2500 SERVICEM ASTER CO NT 7250%03/0118 WE DTD 01/02/98 BT CPN DTE 09/0198 CPN PUT SEMI ANNUAL ON MAR 01AND SEPO Woody Rating El2 S P Rating B Original Cost Basis: $198t300.00 Security Identifier 81760NAB5 10/18/17 1.000.000.000 103.9750 1,039,753.19 102.5000 Original Cost Elas 51040.006.00 10/19/17 350.000.000 103.9770 363.920.10 102.5000 Original Cost Basis:5354,006.00 10/20/17 80.000.. 83.186.54 102.5000 Original Cost Basis:583206.00 10/31/17 70,000.000 103.9860 72.790.36 102.5000 Original Cost Basis: $72.806.00 Total Covered 1,500,000 000 1,559,650.19 Total 1,500,000.000 81,559.650 19 ,PM ORGAN CHASE& CO DEP SHSREPSTG 10TH PFC SER1FIXED TO RIG RT BD 7.900%04/29/49 EVE DID 04/23/08Moody Rating BAA3 S & P Rating BBB- 06/15/11 •'?° 2.500.000.000 107.5000 Security Identifier. 466251111A1 2,687,500.00 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 101.3750 Unrealized Gain'loss Accrued Estimated Estimated Interest Annual Income Yield 1.975.000.00 34.494.00 8.888 89 200.000.00 10.12% 2.005.000.00 23)00.00 47125.00 145,000.00 7 23% 1,025,000.01 -14,753.18 30,208.33 72,500.00 7.07% 358.749.99 -5.170.11 10.572.92 25.375 00 7.07% 81.999.99 -1.186.55 2.416.67 5.800 00 7.07% 71.750.01 -1.040.35 2,114.58 5,075.00 7.07% 1,537,500.00 -22.150.19 15,312 50 108.750 00 81,537,500.00 422,150.19 $45,312.50 $108,750.00 2,534,375.00 -153,125.00 49,315.00 197,500.00 7.79% Account Numb etc:sum:ix CONFIDO. Page 5 of 27 L Rated banal Oaring through kohl% Inc. • Say °mai bay Yea Since 2007 sataldlary of The in a New Yak Melba DALIARPATEDCOMMUNICAllONS Carporatfon (MY Mellon) a r . ,.., a LXCWINCE PesPint U.C. ...enter FINIZAD. r sr N my : o o0o04 96 5 5 7 2 93 EFTA_00157338 EFTA01289701

Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired Quantity Unit Coal FIXED INCOM E (continued) Corporate Bonds (continued) PM ORGAN CHASES CO DEP SHSREPSTG (continued) Adjuged Cod Brio Market Price Market Value 06/15/11 ..3n 2.500.000.000 107.0000 Total Noncovered 5,000,000 000 Total 5,000,000.000 BANK AM ER CORP PERP NON COM ULATIV E DEP SHS FIXED TO FLOAT 8.25% 04/30158 WE DID 04130/08 CALLABLE05/2/SM oody Rating BA2 58 P Rating BBB• 01/10/11',1i2 2,000,000.000 102.7500 SOUTHERN CAUF EDISON CO PREF SER E 6 250% 0TV/62 WE DID Of 1712 CALLABLE02/01220 20 0002 ood y Raring BAA1Sil P Rat mg BBB- 01130112 .'312 3.000.000.000 99.8820 GENERAL BIC CO GTD FXD-TO-FLTGRT NON-CUMULATIVE PERPETUAL PREFERRED 4.000% 2103/65 FtEG DID 12/03P6Moody Rating A358 P Rating BBB• 12/03115' 2.469.000.000 88.0930 5LLOYDS8ANKING GROUP PLC FXD RATE RESET AUDI TIER 1SECS 'SINS US539439AG42 7.5009E 04/27/88 WE DTD 04107/1138 P Rating 68- Please Piovide • 1,903.000 000 NIA CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5950% 081518881E DTD 09112/2 CALLABLEOBIS/200 D0.0002oodyRatikg6A2SIPRiling BB• 08106115 3,000,000.000 100.0000 Original Cost Basis: 52.887.500.00 2.675.000.00 101.3750 Original Cost Basis:52,675.000.00 5,362,500.00 $5,362,500.00 Security Id eatifier 060505018 2,055,000.00 101.9020 Original Cost Basis: 52955000.00 Secure). Ident Bier: 842400 FU2 2.996.457.46 107.3750 Original Cost Basis: 52,992,58497 Security Identifier: 359604624 2.175.016.17 95.0000 Original Cost Basis:52,175.01.17 Security Identifier 539439A04 Please Provide 112.8750 Original Cost Basis: Please Provide Security Identifier. 17296725 3,000,005.99 104.3750 2.534.375 00 5,068,750.00 55,068,750.00 2,038,040.00 3.221.250.00 2.345.550 00 2,148.011 25 3,131,250.00 Unction:ad Olin floss Accrued Merest Estimated Banal ed Annual Income Yield 4 40.625.00 49.375.00 197.500.00 7.79% ,293,750.00 98,750.00 395,000.00 4293,750.00 $98,750.00 $395,000.00 -16,960.00 34,305.56 162,500.00 7.97% 224,792.54 93,750.00 187.500.00 5.82% 170.533 83 12.619 33 98.760 00 4 21% N/A 13.479 58 142.725 00 664% 131.244.01 82,308.33 178,500.00 5.70% Page 6 of 27 Account Nutt CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L Rated Gallen. Clewing through Pasha U.( avvialy evem4 bay Yea Sine 2007 sttaldiary a me kek a New Yak Mete DALIARPATILDCOMMUNICATIO16 Corporation (MY Mellon) a ....‘, ...., Caltha m_00046730 Porfitint UK. reenor F ilvRA.4tWl UP DB-SDNY-0009554 EFTA_00 157339 EFTA01289702

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Cale Acquired Ousatity Unk Cod Adjusted Cod Bads Mind Price Market Value Unrealized Gainfloss Awued Interest Estimated Eslimaled Annual Income Yield FIXED INCOM E (continued) Corporate Bonds (continued) CITIGROUP INC FXD RT SR NT PERP DEP RECPT (continued) Original Cost Basis: $3.000,006.00 Total Corporate Bonds 24,172,000.000 $22,371,228.84 $24,781,051.25 8281,811.16 $470,624.61 $1,713,235.00 TOTAL FIXED INCOM E $22,742,504.98 $25,235,863.11 $345,346.88 $473,454.75 $1,713,235.00 January 1,2018 - January 31,2018 SOUTHERN FINANCIAL LLC 25,462,090.000 Date Adniked Oveatky Unk Cod Cod Buis Market Rife Merkel Value Unreeized GehdLOIS Ellkaded UMW AIMS Inane Yield EQUITIES Common Stocks BROADCOM LTD SHS (SINS 939999011823 Dividend Opl ion: Cash 09129/17 10/13/17 2,000 Total Covered 4,000 000 Total 4.000 000 ADVANCED MICRO DEVICES INC COM Dividend Option: Cash 50.00000 of these shares are is your margin account Security Identifier AVGO WSW Y0982713 485,814 78 248.0300 499,976 68 248 0300 985.791 46 $985.791.46 Security Identifier AMC CUSP. 00790307 496,060.00 498,060.00 992,120.00 $992.120.00 10.245 22 -3 916 68 6 328.54 $6 328.54 14,000.00 282% 14,000.00 282% 28,000 00 $28.000 00 09/15117 20,000.000 12.2810 245.612 36 13 7400 274.800 00 29.187 64 12/15117 30.000.000 12.2300 366,912 57 13 7400 412 200 00 45,287 43 Total Covered 50,000 000 612,524 93 687.000 00 74.475.07 Total 50,000 000 $612 524 93 $687,000 00 $74.475.07 $0 00 ALIBABA GROUP BLDG LTD SPONSORED AOR Security Identifier: MBA ISINt USOS09W127 COW 0409W42 Dividend Option: Cash 08/10/15 5,000.000 88.9500 444.749.00 204.2900 1.021,450 00 576.701 00 APOLLO GLOBAL II GM T LLCCL A SHS Security Wollner APO Dividend Option: Cash CUSP. 03764306 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Numbt CON FIDO. Page 7 of 27 Rated Caotlient Clewing %Seer eadYC I1C newly evened Every Year Since 2007 sabtlaitry of Me Beek a New Yen Mellen DALIAR RATIO COMMUNICATIONS Cerporatton (OM Mellon) CJICILL MCC Pe„ Rine 11.C. merit./ imaiA,SRIOVELGM-00046731 DB-SONY-0009555 EV1:4_00157340 EFTA01289703

Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired EQUITIES {continued) Common Stocks (continued) APOLLO GLOBAL M GMT LIC CL ASK (continued) 03/29/11 '.13 263.157.000 19.0000 APPLE INC COM Dividend Oplion: Cash 12/07/17 BASF SE SPONS ADR U$0552625057 Dividend Oplion: Cash 04/13/15 BIOGEN IDEC INC COM Dividend Oplion: Cash 02114112 ' •3 CENTRE CORP DEL COM Dividend Oplion: Cash 09108114 FACEBOOK INC CL A Dividend Oplion: Cash 05/17/12 t° GILEAD SCIENCES INC Dividend Oplion: Cash 02105114 03/07/14 10/24/17 Total Covered Total 12,500 000 VOU(SNAGEN A GADR (SPONS) Dividend Oplion: Cash 04/13/15 5.000.000 09/21117 24,000.000 Total Covered 29.000 000 Total 29 000 000 Total Common Stocks Quantity Unit Coq Cod Bala Market Price Market Value Unrealized Oainitoss Estimated Estimated Annul Income Yield 214,000.000 169.8140 20,000.000 25,4030 2.095.000 110.2720 15,550.000 17.500.000 5,000.000 3.100.000 4.400.000 12,500.000 63.6450 38.0000 79.2810 79.6120 80.0900 4.999.983.00 35.7500 Security Ideetifier.AAPL CUSIP: 03783300 36,340,223.40 167.4300 Securely Identifier BASFY CUSIP. 055262505 508,056.00 29.3000 Security Ideatifiet BUB CUSP. 09062X03 231.019.65 347.8100 Security Identifier: CNC CUSP. 0135691 989,679.75 107 2400 Security Identifier FB CUSIP. 30303M 132 665.000.00 186.8900 Secatity Identifier. GILD CUSP: 37555803 83.8000 83.8000 83.8000 396.407.00 246.797.00 352.395.71 995,599.71 9.407.862.75 35.830.020.00 586,000 00 728.661.95 1,667.582 00 3.270.575 00 419.000.00 259.780.00 368.720.00 1,047,500.00 4.407.879.75 ,510,203.40 77,944.00 497.642.30 677,902 25 2.605.575.00 22.593.00 12,98300 16.324 29 51.900.29 486.840.45 5.17% 539,280.00 1,50% 12,092.12 2 06% 10,400.00 6.448.00 9.152.00 26,000.00 50.8610 34.1880 $995,599.71 Security Identifier: VLKAY CUSP:928662303 254.306.00 44.4400 820.503.00 44.4400 1,074.809 00 $1,047,500.00 222.200.00 1.066.560.00 1,288,760.00 $1,074,809.00 $47,847,435.90 Account tiumbt CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID $1,288,760.00 $56.527,531.70 AL $51,900.29 42.106 00 246,057.00 213,951 00 $213,951.00 $8,680,095.80 Rated ExtWiem trey Year Sint 2CO7 DALIAR RATED COMMUNICATIONS $26,000.00 1.706.59 8,191.66 9,898 25 $9,898 25 $1.102,110.82 2.48% 2.48% 2.48% 0.76% 076% Page 3 of 2 - Clown& tivough 'Want U.C. %lay ownS subuthary of The lank a New York Mellon Corpontion(SNY Mellon) pc...p.ng LIS% ,it,RA.gt".qgpM_00046732 DB-SDNY-0009556 EFTA_00 I 5734 I EFTA01289704

Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 212O3 Portfolio Holdings (continued) U.S. DOLLARS (continued) reabze Eiltratei Ethr ate: Date Acquired Quantity Unit Cost Cod Bans Market Price aO .et Value sir ,:ss Anr La! rxre Yielz Kall IT IES {continued) Preferred Stocks (Listed by expiration date) GM AC CAP TR I GTD TRKD SECS SER 2 CPR- Security Identifier: ALLY PRA 815% FRED ORTLY MATT-02115/2040 CALL CUSP. 36180208 ANYTIME 025 WI30 DAYS BEGINSO2i bre Dividend Option: Cash 02122112'° 80.000.000 23.5350 1.882.773.60 26.0200 2,081,600.00 198.826 40 147.216.00 7.07% Total Preferred Stocks $1,882,773.60 $2,081,600.00 $198,626.40 6147,216.00 Options PUT AO GILEAD SCIENCESINC Option Identifier: 99OALEICS EXP 02.1.1075.000 OPTION ROOT= GILD Underlying Security Identifier. GILD -25.00 of thesecontracts area short position Underlying Security Price. $83.80 01109118' -125.000 1.5640 -19.554.54 0.2700 4.375.00 16,179.54 CALL 130 GILEAD SCIENCES INC Option Identifier: 99OALHGAC EXP 02.1.1082.500 OPTION ROOT= GILD Underlying Security Identifier. GILD -2510 of theseO00MM area short position Underlying Security Price. $83.80 01109/18 -125100 1,2270 -15.340.63 3.4000 -42.500 00 -27,159.37 GALL 10 'SHARES INC MSCI SOUTH KOREA ETF Option Ident ifier: 99OAM EEKO EXP 02.1.1079.000 OPTION ROOT= EVi Y Underlying Security Identifier. EWY Underlying Security Pnce: $7824 01123118 2.000 0.6600 132 00 0.9300 186.00 54.00 CALL 130 SPOR SSP 500 ETF TR TR UNIT Option Identifier: 99OAILYLG EXP 03-140270 000 OPTION ROOT= SPY Underlying Security Identifier: SPY Underlying Security Pike $28190 12/11/17 900.000 2.9200 262,806.00 141700 1.293.300 00 1,030,494.00 PUT AO GENERAL ELECTRIC CO COM Option Idenlifier99OAK5CS0 EXP 03.5.101.000 OPTION ROOT= GE Underlying Security Identifier. GE .250.00 of these conl iacts are a shod position Underlying Security Price: $1.17 01119118' •250.000 1.8220 -45.542.93 1.9900 49,750.00 4,207.07 January 1,2018 - January 31,2018 SOUTHERN FINANCIAL LLC Account Nimbi C Stun CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO L Rated CAWS..? boy Year Since 2007 DALIMR *ATM COMMUNICATIONS LXCILIAOKC Page 9 of 2' Clewing theougli Penang LI.C. a %ea/owned subsidiary al The Bank el New York Mellon Caporabon (MY Melba) Peraint llgarkente Fit.RA.M•iggillt IVI—Oum46733 DB-SDNY-OOO9557 EFTA_OO 157342 EFTA01289705

Portfolio Holdings (continued) U.S. DOLLARS (continued) nested Ealknated Edlmaled OM, Acquired CuntHy Una Cost Cod bile Market Price Market V*, GM& Loss Annual Income Yield EQUITIES (continued) Options (continued) CALL 10 'SHARES TR IISCI EM EKING LIKTS Option Identifier: 990ALIIRM INDEX FD EXP06•E•11g55000 Undeilying Security Identifier EEM OPTION ROOT: EDI Undeilying Security Pea $5103 01117118 2.400100 0.4400 105.60610 01200 220,800.00 115.194.00 CALL 130 SELECT SECTOR SPDR TR INDL Option 'dentine 990ALK9P5 EXP 061.1080 000 OPTION ROOT: XLI Underlying Security Identifier: XLI Undeilying Securdy Price: $79.73 01109118 525.000 1.9290 101,269.00 2.7500 144,375.00 43,106.00 Total Options $389,374.90 $1,563,036.00 $1,173,681.10 $0 00 TOTAL EQUITIES $50,119,584.40 660,172,167.70 $10,052,583.30 $1,249,326 82 Umealzad Estimated Ealimaled Date Acquired Quantity UnN Coll Cod Bads Market Price Muhl Value GskYlese Annual Income Yield M UTUAL FUNDS SMORGAN FLOATING RATE INCOME FUND Security ;MSC CLASS I CUSP. 4821.51 Open End Fund Dividend Oplion: Reinvest: Capital Gaits Option: Reinvest 09128117 318,809.777 9.4100 3,000,000.00 9.4600 3,015,940.49 15.940 49 114 108 39 3 78% Reinvestments to Date 4,382.320 9.4070 41,225.76 9.4600 41,456.75 230 99 1,568 52 3 78% Total Covered 323.192 097 3.041225.76 3,057,397.24 16 171 48 115.676 91 Total 323.192 097 53.041.225 76 $3.057.397.24 $16 171 48 $115 676 91 TOTAL MUTUAL FUNDS 63,041,225.76 53.057,397 24 116 171 48 6115 676.91 Unrealized Estimated Eslimaled Dote Acquired Quality UnN Col Cost Bads MekN Price Market Value Gain Loss Annual mime Yield EXCHANGE-TRADED PRODUCTS ISHARESINC M SO SOUTH KOREA ETF Dividend Oplion: Cash: Capital Gains Option: Cash 11103117 13.000.000 75.8460 ISHARESTRCHINA LARGE-CAP0T Dividend Oplion: Cash; Capital Gains Option: Cash 11103117 21,000.000 46.3690 ISHARESINC MSCI TAIWAN ETF Dividend Oplion: Cash; Capital Gains Option: Cash *cur* kleatitim: EWY CUSIP 464286772 985,996.98 78.2400 Securdy Identifier: FXI CUSIP 46428714 973,747.44 52.6700 Security Ideelifien:EWT CUSIP: 464346772 1.01712040 1 106 070.00 31.123 02 132 322 56 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Nun CONFID 28,291.14 2.78% 22,422.26 2.02% Page '0 of 27 Rated barllent Cleanng through PaflS 11Caulholy evened Emmy Year Since 2007 stidiary of The Mak a New Vat Mellon DAIIAR RATED COMMUNICATIONS CarpontIonaltlY Mellon) LXCILL INCE Per thnx 11.C, met-to tirrenAMVELGM-00046734 DS-SONY-0009558 EFEk_00157343 EFTA01289706

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquied Quantity Unit Cod 0)11 Bads Markel Mee Market Value in realized CahrLoas Estimated Eslimaled Annual Income Yield EXCHANGE-TRADED PRODUCTS (continued) ISHARESINC M SCI TAIWAN ETF (continued) 11103117 26,000.000 37.9690 9117,205.46 38.6400 1604,640.00 17,434.54 28,491.55 2.83% TOTAL EXCHANGE-TRADED PRODUCTS $2,946,949.88 Cod Bads $3,127,830.00 Mattel Vdue $180,880.12 Unmated Golorlor Acautd Altered $77,204.95 Welled Annual Income TOTAL U.S. DOLLARS BRITISH POUND Onalplion $83,897,56347 Quality $96,640,556.50 Market Rice Market Value Cuirency $10,594,981.78 $473,454.75 $3,156,531.21 Ed dud id Mid EQUITIES Common Stocks HSBC HOLDINGS PLC ORD MS INNS 080005405286 Security Id Miner HSBAGEI CUSIPG4634U159 24,800.000 7.5717 187/7987 286585.86 GBP USD Total Common Stocks 187,779.87 266,985.86 %P USD TOTAL EQUITIES 187,779.87 266.985 86 GBP USD January 1, 2018 - January 31, 2018 SOUTHERN FINANCIAL LLC Mead Value Cdrenoi Accrued Interest TOTAL BRITISH POUND 187,779.87 SOP 0.00 288,985.88 USD 0.00 CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) Account Humber CONFIDO. L Page 11 of 27 Rithed Emilent Clewing *roar Persbng IIC nob* evened Emmy Year Since 2007 utak:limy of The Basket/4w Wolt Mellon DALIAR RATED COMMUNICATIONS Ono-saw (Ilta MOW ("CM INCE Per I Finx RCFree-to imrAcrAMYreceM-00046735 DI3-SDNY-0009559 EFrA_00157344 EFTA01289707

Portfolio Holdings (continued) HONG KONG DOLLAR Description Denny Opening Balance Cloging Accrued Barna Currency Income 30-D ay Yield Estimated Eslimaled Annual Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 0.00 42,782 40 5,470.03 HKD USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS Descriplian Overlay 0.00 Merkel Ka 42,782.40 HKD 0 00 5,470.03 USD 0 00 Market Value Cuirenq EQUITIES Common Stocks LONKING HOLDINGS LTD SIM 710,000.000 3.5000 2,485,000.00 HKD 44.019.75 1.77% ISNtKYG5636Ct78 317,724.29 USD 5,628.26 Security Id unifier: 3339:HK CUSP. 65636C197 NINE DRAGONS PAPER HOLDINGS LTO SHS 144,000 000 12.1800 1,753,920.00 HKD ISINt BM G653131705 224)50.91 USD Security Id 2689:HK CUSP: 6653189)0 ZTE CORP SHSH ISM CHEll 00004Y2 70,600 000 28.5000 2,012,100.00 110 Security Id eel Wier 76).HK 257261.03 USD CUSP. Y0004 F135 ANHUICO/ICHESA ENT CO LTD SISK 52,500 000 43.1000 2,282,750.00 HKD 32 633 88 144% ISNICNE1300001142 289,308.39 USD 417249 Security Idolater:911:Hk CUSP: Y01373102 BANK OF CHINA LTD BEIJNGSHS H 512,000.000 4.7100 2,411,520.00 FWD ISNI MS13000025 308.329.47 USD Security Ideetifier.3988:HK CUSP. Y0698AD7 CHINA COMM U NICATIONS CONSTRUCTION COMPANY 224,000.000 9.3400 2,092,160.00 HKD LTD SHS H (SINS CHEW 0002F5 267,497.22 USD Security Id edifier: SOO:HK CUSP. Y113631)8 DONGFANG ELECTRIC CORPORATION LTD 150,200.000 7.4800 1,120,492.00 HKD SHSH ISIS* CNE130000304 143282.71 MD Security IdWilier t72:HK CUSP. Y209581)7 Page 12 of 27 CONFIDENTIAL — PURSUANT TO FED. R CRIPA. P. 6(e) Account Numb 2:t:!g CONFIDO. .„a L Rated Euratom Erin Year Since 2007 DALIAR RATED COMMUNICATIONS EXCILL INC I desist through PerlinlIC nob* evened Melds" a me talc a New Yak Mellon CaoporatIon (MY Mellon) Per I hnx mento FtivRA.EIAVVOM-00046736 DB-SDNY-0009560 EFIA_00157345 EFTA01289708

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) HONGKONG DOLLAR (continued) Estimated Estimated DemIptlee Demilly Market Prim Market Value Currency Annul Income Yield EQUITIES (continued) Common Stocks (continued) WEICHAI POWERCO LTD SHSH 228.000.000 9.7800 2,229,840.00 HKD ISMS CH930000419 285,100.55 USD Seeurky Id unifier 2338:HK CUS1P. 7053141:19 ZHUZHOU nm ES ELECTRIC CO LTD *IS 43,400.000 43.3000 1,879,220.00 HKD -11- 'SIN. CHEV00004X4 240,271.43 USD Secutity Id unifier: 3898:IIK CUSP. 79892N134 Total Common Stocks 18,247,002.00 HKD 76,653.63 2,333,006.00 USD 9,800.75 TOTAL EQUITIES 18,247,002.00 HKD 76,653.63 2,333,006.00 USD 9,800 75 Accrued Estimated Market Value Currency Interest Maui Income TOTAL HONG KONG DOLLAR JAPANESEYEN Description Opening Nattily Balance 18,289,784.40 HKD 2,338,476.03 USD Closing Balance Currency 0.00 76,653 63 0.00 9,800 75 Accrued 30-Day Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance -267.00 267.00 JPY 4.45 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 467.00 •267.00 JPY 0.00 4.45 USD 0.00 January 1, 2018 - January 31,2018 SOUTHERN FINANCIAL LLC CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number c!): , Page 13 of 27 Rated [smitten trey Yew Since 2007 OMAR WED COMMUNICATIONS EXCELLENCE Clewing through Penh's* 11C.• voila/ owned se:oldie, of The Usk a New Yfl Mellon Carpont$ an (IINY Mellon) Peri. 'at 11.C. ',enter FINRA.M4412PA-00046737 DB-SDNY-0009561 EFrA_00 157346 EFTA01289709

Portfolio Holdings (continued) JAPAN ESE YEN (continued) Destription Clesnelly Markel Prim Market Value Cimino/ Estimated Maul Income Eslimaled Yield EQUITIES Common Stocks NASTESCO 0311P TOKYO SHS LTD 6,300.000 5.150 0000 32,445,000.00 JPY 428,374.60 1.32% Wilt P36529001 297261.09 USD 382560 Security Idestifier.6268:10 alSRS170701:10 Total Common Stocks 32,445,000.00 JPY 428,374.50 297,261.09 USD 3,925.00 TOTAL EQUITIES 32,445,000.00 JPY 428,374.50 297.261 09 USD 3,925.00 Accrued Bleated Market Value Wrenn/ Intuese Maud Income TOTAL JAPANESEYEN 32,444,733.00 JPY 0.00 428,374.50 297,258.64 USD 0.00 3,925.00 RAND Esileuded Estimated Oescription Quantity Mutate Price Market Value Currency Ansel loons Yield EQUITIES Common Stocks NASPERS LIM ITED 170 2,000.000 3,382.4800 6,764,960.00 ZAR 11,599.94 0.17% ISINt ZAE0000t889 589,914.06 USD 977.24 Security Id Wilier: NAPRE CUSP: 55343593 Total Common Stocks 6,764,960.00 TAR 11,599.94 569,914.06 USD 977.24 TOTAL EQUITIES 6,764,960.00 ZAR 11,599.94 569,914.05 USD 977.24 Accrued Wanted Market Value Clumpy Interest Armed Income TOTAL RAND Cod Beds TOTAL PORTFOLIO HOLDINGS - U.S. $83,697,563.47 DOLLARS 6,764,960.00 ZAR 0.00 11,599.94 569,914.05 USD 0.00 977.24 Unrealized Accrued Estimated Market Value Gainloes Inlets Annual Income $100,113,191.08 $10,594,981.78 8473,454 75 83,171,234.20 CONFIDENTIAL — PURSUANT TO FED. R CRIN1 P. 6(e) Account Number: CONFIDO' Rated tacellent Lary Year Since 2007 DALIAR RATED COMMUNICATIONS uctunucc Page 14 of 27 Oes.ng thsough Pershing LC* %act owned Wfri.dialY Of The Dank ig New WA Mellon Corporation OINY wilon) PerIhng 11.C. nortx. rimmAldleirrenGEA_ 00046738 DS-SONY-0009562 EFTA_00157347 EFTA01289710

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) January 1,20'18 - January 31,2018 SOUTHERN FINANCIAL LLC Noncovered under the cost bases 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. 3 The cost basis of this security has been provided to us by you or your introducing GM and Pershing makes no representation as to the accuracy of this information. 5 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. 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. '2 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 to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency Omtency Usti Fixed Income Equities Mutual Funds Exclungagaded Funds Total by Ontency U.S. DOLLARS 5.047.298 25.235.863 60.172.167 3,057,397 3.127.830 96.640.556 USD BRITISH POUND 0 0 187,779 0 0 187,779 GBP HONG KONG DOLLAR 42.782 0 18247.002 0 0 18.289.784 HKO APANESE YEN -267 0 32.445.000 0 0 32.444 733 JPY RAND 0 0 6.764.960 0 0 6,764.960 ZAR Total USO Equivalent 5,052,766 25,235,863 63,639.334 3,057,397 3,127,830 100,113.191 USD % of Allocation 5% 25% 64% 3% 3% 100% Account bombe 0:51Ifl220 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Redid Ezeollent boy Yew Since 2007 DA/OARRATED COMMUNICATIONS DO:WINCE Page '5 of'_' Cleanng through ~Ins U.C. a.Mry owned totsidiary of The Balk ei New York Mellon Ceeporeben atly Melba) pot i, e (met« rimt4at" .1X2PM_00046739 DB-SDNY-0009563 EFTA_00157348 EFTA01289711

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. Page *6 of 27 Account Nimbi.= ttCte CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID 4 Rated ticellent hely Yew Since 2007 DAUIAR RATED COMMUNICATIONS LXCILLUNCE Cal% lame. Pealn LC* Mae, owned sat ddlia of he kek a New Vat Mellon exponaceatir Mame erstimettC.mener. reetn.ehateKe9m-00346740 DB-SDNY-0009564 EFTA_00 157349 EFTA01289712

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period Date Dale Description Ctiposed Acquired Designation Short Term GATESINDUSTRIAL COR 01/26/18 01125118 Covered LC REGISTERED MS ISM* G800809 02512 Security Identifier. G39138118 PAGSEGURODIGTAL LT 01124/18 01/24118 Covered ED SHS -A- ISIN$K10368707912 Security Identifier 05870791 PLATINUM EAGLE ACOUI 01/12/18 01/12118 Covered P UNIT 1CL A & 'BRED 1VT ESP 2025isafeKYG7260260 Security Identifier 67126126 ACT INC DEL COM 01/22/18 01/19/18 Covered Security Identifier:000900113 01122/18 01/19/18 Covered Total ATHENEX INC COM 01125/18 01/25/18 Covered Security Identifier. 0468511103 BARRETT BILL CORP 03 01119/18 12/06/17 Covered Security Identifier. 06846/41:14 FRONTIER COMM UNICATI 01/25/18 10111117 Covered R NT FULLY EXCHANGED FROM COSI P 8.500% 04/6/20 BIEDTD 04f Security Identifier. 35906M111 NEBULA ACQUISITION C 01/11118 01110118 Covered ICI A 113W70G 2/3124 Security Identifier. 6290 76209 PLAYAGSINC COM 01/26/18 01126118 Covered Security Identifier. 1281414134 January 1,2018 - January 31,2018 SOUTHERN FINANCIAL LLC Cespoltion Method / Ttameadlon first In First Out! SELL 1.600 000 first In First Out! SRI 5.900.000 first In First Out! SELL 5.200.000 first In Fast Out! SELL First In First Out! SELL 10,000.000 10100.000 20.000.000 first In First Out! Slit 2.300.000 first In First Out! SELL 3.400.000 first In First Out! SELL 1,000,000.000 Adjustment:1326.60 Adjustment Type: R Original Cost Basis:987,506.00 first In First Out! SELL first In First Out! SELL 4.900 000 3,100.000 Proceeds Cost Sale Realized OS' Loss 30,001 27 30.400 00 -398 73 167.933.14 126.850.00 41.083.14 52.044.79 52.000.00 44.79 114,591.35 140,000.00 -25,408.65 113,921.45 140.000.00 -26.078.55 228.512.80 280.00010 -51187.20 34,171.20 35175.00 403.80 17,112.60 17.000.00 112.60 961,574.00 987,506.00 •25.932.00 49.090.86 49.000.00 90.86 54.429.72 49.600.00 4.829.72 Page'7 of 2 7 Account !Untie CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L Rated tactile/A Clewing Heater Persbn U.C. • rat/owned trey Year Since 2007 sobsidiary of The Bonk col Mew torn Mellon OM ARRATED COMMUNICATIONS CaneratIon (MY Mellon) UMIAK( Pelting11C. frt., ruazo.. .10fuet9nn—Ouv46741 DB-SDNY-0009565 EFTA_00157350 EFTA01289713

Schedule of Realized Gains and Losses Current Period (continued) Description Date Mooted Dale Acquired Designation Cisposillon Method Moodier' Quoddy Proceeds Cod Bads Realized Gain, Loss Short Term (continued) CALLTIMEWARNER INC 01122118 10/13/17 Covered First In First Out / EXPIRE OPTION 10.000 0.00 4.536.00 -4.536.00 D0.00 Security Identifier. 990AHDGHJ PUT GILEAD SCIENCES 01/09/18 12/15/17 Covered First In First Out/ BUY -125.000 20.993.50 4.64810 16.345.50 75.00 Security Identifier. 990AKEIAK PUT GENERAL ELECTR1 01119118 12105/17 Covered First In First Out/ BUY -250.000 21,493.49 39,470.00 -17,976.51 SOO Sedulity Identifier. 9904HUOJJ CALL VCR SSP 500 ET 01/31/18" 12/11/17 Covered Ant In First Out/ SELL 900.000 1,302,362.85 262.806.00 1,039,556.85 270.00 Security Identifier 990AILYLG CALL BROADCOM LTD SH 01/19/18 12/15/17 Covered Rrst In First Out / BUY -20.000 21,126.51 16,816.00 4 3 10.51 260.00 Security Identifier. 990A481 CALL BROADCON LTD SH 01125118 12/15/17 Covered First In First Out / BUY -20 000 36.803.14 13.416.00 23.387.11 254.00 Security Identifier. 990AM C2D7 CALL BROACCON LTD Ski 01/25/18 01/19118 Covered First In First Out / BUY -20.000 25.483.40 6.186.00 19.297.40 260.00 Security Identifier. 990AM C2D8 Total Short Term 3,023,133.27 1,975,309.00 1,047,824.27 Long Term WASHINGTON MUT MTGS 01/24/18 12/13/13 Noncovered' REPYMT OF PERN 1,290,000.000 28.827.98 22,058.77 6.769.21 004-RA2 MTGPASSTHRU CIF CL C- Original Cost Basis: 22158.77 B-1VAR RATE 6.999%07/25133 Security Identifier 939336520 WISDOM TREE TRIAPAN 01/25/18 12/11/13 Covered First In First Out/ SELL 30.000.000 1,840,416.05 1,483,049.25 357,366.80 ITYFD 01/26/18 12/11/13 Covered First In First Out / mu 30.000.000 1,837,814.51 1.483.049.25 354365.26 Security Identifier.17717W851 Total 60.000.000 3.678.230.56 2.966.098.50 712,132.06 Total Long Term 3,707,058.54 2,988,157.27 718,901.27 Total Short and Long Term 6,730,191 81 4,963,466 27 1,766,725.54 - Noncovered under the cost basis rules as defined below. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Nua It CSUM::2C CONFID Page '3 of 2 Rated ticellent Clewing %teeter Pershing tLC, a .lag owned Every Year Since 2007 snisidiary el The Bank a New York Mellon DM AR COMMUNICATIONS Carpoestson Owl Mellon) L‘Ctuttia Perchne 11.C.nnt-to FINRA.VAqi:PM-00346742 DB-SDNY-0009566 EFTA_00 15735 I EFTA01289714

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) January 1,2018 - January 31,2018 SOUTHERN FlNANCIALLLC 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 1099-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 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 ash, the accuracy of this information. FI Reportable Income • This adjustment is the deferred market discount on a disposed tax lot from the Original Settle Date. u These shares are unsettled and have been recently disposed. You will also see these shares on the Portfolio Holdings section until this transaction has been settled. 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 tor 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 Important Reminder for Pershing's 2017 Form 1099 tax statement (1099): The 1099 includes IRS 1099 Form B, DIV, INT, OID and M ISC. By February 15,2018, you will be mailed either your 1099 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final information from issuers and trustees of securities you hold by the as of date of the February 15 1099 mailing. You will also be sent the notice if your information is still being reviewed and finalized. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than M arch 15.2018. For more information please visit mytaxhand book com. 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 Account Nimbi ito:sen:x CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg' L-- Ras Cacenent heavy Yew Since 2007 PALIAR RAM COMMUNICATIONS uabuice Page 19 of 27 Charing *nor halms LC. a vAok owned staldlay a The Bank col New Yorlg Mellon Corporation (IINY ASKO e. t.a.. nki Penn iett LC. meta F it.RA.RFaAlt.wm-00046743 DB-SDNY-0009567 EFTA_00 157352 EFTA01289715

M essages (continued) 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 (All amounts shown are in base currency) Credits TtisPeriod Debits This Pend Net Ibis Period GeditsYeato-Dite DebiloYesr4o-Date Net Yew-to-Dote Securities Securities Bought 0.00 421,150.78 421,150.78 0.00 421,15018 421,150.78 Securities Sold 5,403,57890 0.00 5,403,578.00 5,403,578.00 0.00 5,403,578.00 Total Securities 0403,578.00 4921,150.78 $4,482,427.22 0403,578.00 4921,150.78 $4,482,427.22 Dividends and Interest $121,908.33 $0.00 $121,908.33 $121,908.33 $0.00 $121,908.33 Distributions $27,129.33 $0.00 $27,129.33 $27,129.33 $0 00 827,129.33 Fees $0.00 424.00 424.00 $0.00 424.00 424.00 Cash %%drawers 0.00 402,492.70 -402,492.70 0.00 -402,492.70 -402,492.70 Total Cash $0.00 4402,492.70 4402,492.70 $0.00 4402,492.70 4402,492.70 Totals $5,552,815.88 41,32307.48 $4,228,948.18 $5,552,815.86 41,323187.48 84,228,948.18 Transactions by Type Activity of Process Settlement Date Trade. Transaction Date Activity Type DesaiptIon Quantity Nice Awued Interest Amount Currency Securities Bought and Sold 01110/18 01/09118 PURCHASED PUT DO GILEAD SCIENCES INC DP 011-11075.000 OPTION 125.000 0.3613 4,648.00 USD 990AN.511K ROOT: GILD CLOSING TRANSACTION UNSOL EXCHANGE LISTED OPTION 01110/18 01109118 SOLO SHORT PUT DO GLEAD SCIENCES INC ET 021-1075.000 OPTION -125.000 1.5848 19,554.54 USD 990AL8C5 ROOT: GILD OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 01/10118 01109/18 SOLD SHORT CALL DO GILEAD SCIENCES INC ESP 024.13082SO 0 OPTION 425.000 1.2477 15,340.63 USD 990ALHGR ROOT: GILD OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 01/10/18 01/09/18 PURCHASED CALL DO SELECT SECTOR VCR TR INDL EXP 064-t080.000 525.000 1.8988 -101,289.00 USD 990ALX9P5 OPTION ROOT: XLI OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 01112/18 01110118 PURCHASED NEBULA ACQUISITION CORP UNIT 1CL A 8 /3 W T QJ 3124 4,900.000 10.0000 -49,000.00 USD NEBUU PROSPECTUS UNDER SEPARATECOVER Page 20 of 27 CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) Account Numberl eco: CONFIDO. 01 L Rated ticollent hwy Yew Since 2007 DMIAR RATIO COMMUNICATIONS LXCILIANCI Clewing lame. Pats tic &ma/ems istaldlary of The lank al New Vat Mellon Carporation (My Melba) Peri Finx meet.. ormAActittiatteM-00046744 DB-SDNY-0009568 EFrA_00157353 EFTA01289716

Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Transactions by Type of Activity (continued) January 1.2018 - January 31,2018 SOUTHERN FINANCIAL LLC Proass Settlement Date Trade; iransadion Dale Adivily Type Desaiption Daintily Price Accrued Inlered Amount Carrenq Securities Bought and Sold (continued) 01116/18 01111/18 SOLO NEBULA ACOUISTION CORP UNIT 1C4. A8 13 WT EXP 12/3114 x.900.000 10.0600 49.090.86 USD NEBUU UNSOLICITED ORDER ALLOCATED ORDER YOUR BROKER ACTED AS AGENT 01117/18 01112118 SOLD PLATINUM EAGLE ACOUISTION CORP UNIT 10. A8 Y3 RED WT -5.200 000 10.0500 52,044 79 USD EAGLU EXP 2025 ISM KYG712611260 UNSOLICITED ORDER ALLOCATED ORDER YOUR BROKER ACTED AS AGENT 01/17/18 01/12/18 PURCHASED PLATINUM EAGLE ACOUISITION CORP UNIT1CL A 8 13 RED WT 5200 000 10.0000 -52.000.00 USD EAGLU EXP 2025 ISM. KYG7261.1250 PROSPECTUS UNDER SEPARATE COVER 01118/18 01117/18 PURCHASED CALL DO !SHARES TR MSG EMERGING MKTS ETF FJIP 2,400 000 0.4300 -105,606.00 USD 990AL.HRM 06.5.4055.000 OPTION ROOT: EEM OPENING TRANSACTION UNSOL EXCHANGE LISTED 01122/18 01119118 PURCHASED PUT DO GENERAL ELECTRIC CO COM EXP 044-4@e 000 250.000 1.5485 -39,47000 USD 990AHUOJJ OPTION ROOT: GE CLOSING TRANSACTION UNSOL EXCHANGE LISTED OPTION 01122/18 01119/18 PURCHASED CALL DO BROADCOM LTD SHS 'SINS S69999051823 EXP 20.000 8.3750 -16.816.00 USD 990AJEK1 01-114{2)280.000 OPTION ROOT: AVG° CLOSING TRANSACTION UNSOL EXCHANGE LISTED 01122118 01119118 SOLO SHORT PUT 100 GENERAL ELECTRIC CO COM EXP 03.5-4@4000 -250000 1.8520 45.542 93 USD 990AK5CSO OPTION ROOT: GE OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 01/22/18 01/19/18 SOLO SHORT CALL AO BROADCOM LTD SHS 'SINS 939999014823 EXP -20.000 12.7750 25.483.40 USD 990AM C208 02.5.40260 000 OPTION ROOT: AVG() OPENING TRANSACTION UNSOL EXCHANGE LISTED 01122/18 YOUR OPTION EXPIRED CALL DO TIME WARNER INC NEW COM NEW DIP -10.000 0.00 USD 990AHOGHJ 044.50A0 000 OPTION ROOT: TWX TW X CLOSING TRANSACTION 01123/18 01119/18 PURCHASED ADT INC DEL CON PROSPECTUSUND ER SEPARATE COVER 20.000 000 14.0000 -260.000.00 USO ADT 01/23/18 01119/18 SOLO BARRETT BILL CORP COM BKCM A PERSHING AFFIUATE MAKES -3.400.000 5.0750 17.112 60 USD BBG A MKT IN THIS SECURITY & ACTED AS PRINCIPAL UNSOLICITED ORDER 01124/18 01122118 SOLO ADT INC DEL CON UNSOLICITED ORDER -10,000.000 11.5000 114,591.35 USD ADT Account Houten C ucni CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFID Page 21 of 27 L Rated Galls. Clewing through PenhirglIC. a wilay venal berg Year Since 2007 setaldlan of The laakethew Yak Melba DALIARIATEDCPAMUNICATIONS Caporal on (eta Melon) A LXCGAINCE Pt/Okt lLC. nitrite, Mtn. tWi lL a.."- 00046745 DB-SDNY-0009569 EFTA_00 157354 EFTA01289717

Transactions by Type of Activity (continued) Proms* Trade Settlemenl Transaction Date Dote AciisKy Type Desolation Donley Price Acaued Interest Amount Currency Securities Bought and Sold (continued) 01/24/18 01/22/18 SOLD AIM INC DEL COM UNSOLICITED ORDER AVERAGE UNIT PRICE -10.000.000 11.4324 113.921.45 USD ADT TRANSACTION YOUR BROKER ACTED AS AGENT 01/24/18 01/23/18 PURCHASED CALL 130 !SHARES INC M Sa SOUTH KOREA ETF ET 2.000 0.6200 .132.00 USD 990AM EEKO 02-S4479.000 OPTION ROOT: DV Y OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 01/26/18 °mule SOLD PAGSEGURO DIGITAL LTO REGISTERED SIS -A- -5,900 000 28.5049 167133.14 USD PADS 151114 KYG687070 If UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 01/26/18 01/24/18 PURCHASED PAGSEGURO DIGITAL LM REGISTERED 585•A- 5,900.000 21.5000 -126,850.00 USD PAGS ISIS KYG68707132 PROSPECTUS UNDER SEPARATE COVER 01/26/18 01/25/18 PURCHASED CALL AO BROADCOM LTD SHSISINS 9G9999014823 EXP 20.000 6.6750 -13,416.00 USD 990AM C207 [email protected] OPTION ROOT: AVG° CLOSING TRANSACTION UNSOL EXCHANGE LISTED 01/26/18 01/25/18 PURCHASED CALL 130 BROADCOM LTD SHS ISMS 939999051823 DP 20.000 31600 1.186.00 USD 990AM C208 02-5.8@260 000 OPTION ROOT: AVGO CLOSNG TRANSACTION UNSOL EXCHANGE LISTED 01/29/18 01/25/18 PURCHASED GATESINDUSTRIAL CORPORATION PLC REGISTERED SHS 1,600.000 19.0000 -30,400.00 USD GTES 'SINS GBOOBEIG2S12 PROSPECTUS UNDER SEPARATE COVER °inane 01/25/18 SOLD ATTER EX INC COM BKCM A PERSHING AFFILIATE MAKESA -2.300.000 14.9000 34.171.20 USD ATNX M KT IN THIS SECURITY 8 ACTED AS PRINCIPAL UNSOLICITED ORDER ALLOCATED ORDER YOUR BROKER ACTED AS AGENT 01129/18 oinsm PURCHASED ATHEN EX INC COM PROSPECTUS UNDER SEPARATE DOVER 2.300.000 15.2500 -35.075.00 USD ATNX 01/29/18 01/25/18 SOLD FRONTIER COM M UNICATIONS CORP SR NT FULLY EXCHANGED -1,000,000.000 96.1580 24,555.56 986,129.56 USD FTR3684517 FROM CUSP 8.500% 04/6120 B/E DID 04/12/13 YLD 9478 TOMAT 01/29/18 01/25/18 SOLD WISDOM TREE TR illiPAN HEDGED EQUITY ED UNSOLICITED -30,000 000 61.3888 1,840,416.05 USD DXJ ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED ASAGENT 01/30/18 01/26/18 SOLD GATES INC USTR1AL CORPORATION PLC REGISTERED SHS •I,600.000 18.7949 30.001.27 USD GTES !SINS GBOOBDOG2S2 UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 01/30/18 01/26/18 SOLD PLAYAGS INC COM UNSOLICITED ORDER AVERAGE UNIT PRICE -3,100.000 17.6003 54,429.72 USD AGS TRANSACTION YOUR BROKER ACTED AS AGENT 01/30/18 01/26/18 PURCHASED PLAYAGS INC COM PROSPECTUS UNDER KPARATECOVER 3.100.000 16.0000 -49,600.00 UST) AGS Page 22 of 2 7 Account tiumbetilM C itcsu CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO. Rated Civilian? trey Year Since 2007 DAtIAR RA TED COMMUNICATIONS EXCIILLINCE Clown. through Penang U.C. a tAtolly owned subsidiary of The Bank el New York Mellon Carporatfon any Mellon) firtligat 1gal-rote MitA.P4411LE,GM_00046746 DB-SDNY-0009570 EFTA_00157355 EFTA01289718

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) January 1,2018 - January 31,2018 SOUTHERN FlNA NCIALLLC Process: Trade; Saltine' Transadion Date Dale Adivily Type Dna:pike (Manley Price Acaued Interest Amount Wang Securities Bought and Sold (continued) 01/30/18 01/26/18 SOLD WISDOM TREE TR JAPAN HEDGED EOUITY FD UNSOLICITED 30.000.000 61.3021 1.837.814.51 USD DXJ ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED ASAGENT 01/30/18 REINVEST CASH INCOME .PM ORGAN FLOATING RATE INCOM E FUND CLASS I 1,130 453 -10,682.78 USD PHSX 3220616440 SHRS SHRS PURCH. AT 59.45000 RD 0126 PD 0130/13 Total Securities Bought and Sold - U.S. DOLLARS 24.55556 4.482.427.22 Dividends and Interest 01/16/18 BOND INTEREST RECEIVED 2000000 EXEIA INTER LW/ EXBA FIN INC GTD FIRST 101.66667 USD 30 22RAA9 PRIORITY SR SECO NT 114A 9600%07/ 6/23 EVE DTD 071212 CLB RD 2/29 P0016/1 01125/18 BOND INTEREST RECEIVED 290000 WASHINGTON Al UT NIG SECS CORP 2004 -RAN TG 2,998.29 USD 939336520 PASSTHRU CTF CL C-B-WAR RATE 6.999% 07/25133 B/E DTD 06/0 TO 4 RD 2129 PD 0 125/ 11 01/26/18 FOREIGN SECURITY DIVIDEND 11 400010 SHARES NINE DRAGONS PAPER HOLDINGS LTD SHS 42.782 40 HKO RECEIVED ISINt BM655348205 FOREIGN SECURITY DIVIDEND RECEIVED 5.473.06 USD 2689MK RD 22117 PO 012613 AS OF 2/211 01/30/18 CASH DIVIDEND RECEIVED .PM ORGAN FLOATING RATE INCOM E FUND CLASS I 10,682.78 USD PHSX 322061.6440 SHRS RD 0126 PD 0130/13 01/31/18 MONEY MARKET FUND DEUTSCHEGOVT CASH 1,087.53 USD INCOME RECEIVED PER232045 Total Dividends and Interest HONG KONG DOLLAR 0.00 42,782.40 HKO TOTAL USD EQUIVALENT 0.00 5,473.06 USD US. DOLLARS 0.00 116,43527 USD Distributions 01/25/18 RETURN OF PRINCIPAL 1290000 W ASHINGTON 41 UT M TG SECS CORP 2004 -RA214 TG 27,129.33 USD RECEIVED PASSTHRU CTF CL C-61VAR RATE 6.999% 07/25/33 B/E DTD 939336520 06/0104 RD 2/29 PD 0125/2 Total Distributions - U.S. DOLLARS 0.00 27,129.33 Page 23 of 27 Account tiu Th il m stc:ssi CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L Rated tactile/A bey Year Since 2007 OMAR MITO COMMUNICATIONS EXCLIAINCI Cleans *each PenhieglIC. a Say caned sataldiary of The Balk a New Yak Mellor. CaneratIon (MY Wilco) Per Oing 11.C.rnertn A.g4q2PM- 00046747 DB-SDNY-0009571 EFTA_00 157356 EFTA01289719

Transactions by Type of Activity (continued) Process' Trade; Settlement Transadion Date Dale Adivity Type Description Quantity Price Acaued 'Meted Amount Urgency Fees 01/02/18 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 2017 CUSP: G4634U-S-9 -200 USD HBCYF 01/02/18 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 200 CUSIP:G5536C-12-7 -2.00 USD LONKF 01102/18 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 200 CUSIP: G6531-9-0 -2.00 USD NDGPF 01/02/18 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 200 CUSIP: )47070-D-0 -200 USD NCTKF 01102/18 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 20 V CUSIP: 553435.0.3 -2.00 USD NAPRF 01102/18 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 200 CUSIP: YO 004 F-9-5 -2.00 USD ZTCOF 01102/18 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 200 CUSIP: Y01373-D-2 -200 USD AHCHF 01102/18 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 200 CUSIP: YO 698A-13-7 -2.00 USD BACHF 01/02/18 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 200 CUSIP: YR3689-8 -2.00 USD CCCGF 01102118 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 20 V CUSIP: Y20958-17-7 -250 USD DNGFF 01/02118 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 200 CUSIP Y95314-17-9 -2.00 USD WEICF 01102/18 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 200 CUSIP. Y9892N-17-4 -2.00 USD ZHUZF Total Fees - U.S. DOLLARS 0.00 -24.00 Cash Withdrawals and Deposits 01118118 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -41500.00 USD USD999997 01126718 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -261.492.70 USD USD999997 01129/18 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -100.000.00 USD USD999997 Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 -402.492.70 Total Acaued teetered Total Amount Transactions Summary Total Acaned !Merest Total Amount (latency USD Equivalent USD Equivalent HONG KONG DOLLAR 0.00 42.782.40 HKD 0.00 5173.06 U.S. DOLLARS 24,555.56 4.22547512 USD 24555 56 4.223.475 12 The price and quantity displayed may have been rounded. Page 24 of 2 Account Numberja C sto:su CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO. bled Cacellein Every Yew Since 2007 DALBAR MTV) COMMUNICATIONS LXCLIAINCI Cleanng through Peaking LC* Maly anal ittakflary of The Bank el Mew Yore Mellon CaveratIon (OM Wilco) Per Oing 11.C. meet.. IthitA.Pkilli2PM—OOO46748 DB-SDNY-0009572 EFTA_00157357 EFTA01289720

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Fixed IncomeAnalysis Bond Quality %MOS Bond Quality Market Wave Mutat Vim A 2,345,550.00 9% BAA 8,290,000.00 33% BA/ Lower 14,145,501.25 56% Not Rated 454,811.86 2% Total 25,235,863.11 100% Percent of Axed Income January 1,2018 - January 31,2018 SOUTHERN FINANCIAL LLC Bond Maturity Schedule Bond Maturity . 1to 5 years 06 to 10 years . Over 10 years Total Mattel BMus %of Bond Mattet Value 1,008,750.00 4% 4381,950.00 17% 19,945,183.11 79% 25,235,863.11 100% 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. Trades Not Settled SettlerteM Doti 02101/18 01131/18 Sell CALL SO SPORS&P500 ETF TR TRUNIT W034-130270 000 OPTION ROOT: SPY CLOSING TRANS4CTION UNSOL EXCHANGE LISTED OPTION Total Amount of Trades Not Settled Trade Date Activity Type DosaiMion Awned Settlement Duality Rico Intend Amount Client Service Information 900.000 14.5011 0.00 1.302.362 85 $1,302,362.85 Your Inv eg rn tot Sptwirl ENJ Contact iniensetbn JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10017 Telephone Number: (2 t2) 454-4433 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number: N COFIDO. st,:sunn, L Page 25 of 27 Rated EstrIlent Clearing through Peaking Inc nakoly evened (very Year Since 2007 ittaldiary of The Bank el New Vat Mellon DALBAR RATIO COMMUMCAT *NS CancratIon (MY Maw) ("all INCE Perihrtx 11.C.rnertan rtraecanecOM-00046749 DB-SONY-0009573 EFIA_00 157358 EFTA01289721

Your Account Information 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 ELECTRON IC 0 BJ 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 mp rtant Information arid 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 institutionit 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. • 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 Flaza, 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 Page 26 of 27 CONFIDENTIAL — PURSUANT TO FED. R CRili,I. P. 6(e) Account Number: tocotto , CONFID L Rated [Amnion tray Yew Since 2007 DM MR WV) COMMUNICATIONS EXCELLENCE Clewing Omagh Pagan LLC. a *lay evened sobildlary a The kek a New Yak Mellon Carponban any Mellon) Perfhnx 11.C.mtelter rtivektrM4VeteM_00046750 013-SDNY-0009574 EFTA_00157359 EFTA01289722

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) January 1,2018 - January 31,2018 SOUTHERN FlNA NCIAL 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; ttcsA ra Account limbo CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated Eintliem hely Year Since 2007 MBAR MUD COMMUNICATIONS EXCIILUNCE Page27 of 2 7 Clown& drove. Penang U.C., wary owned subuthary of The 'aka New York Mellon Corporation0NY Mellon) .p.ng LIS% rnntn. ,it.RA.W4/KeyeM_00046751 DB-SDNY-0009575 EFTA_00157360 EFTA01289723