Transactions by Type of Activity (continued) Process/ Trade/ Settlement Transaction Date Date Adivit Type Desai ion Distributions 03125111 RETURN OF PRINCIPAL 1500000 COUNTRYWIDE HOME LOANS SER 03-1 CL 81 RECEIVED 4.090% 03125133 B/E DID 01130103 RD 02128 PD 03125/14 12669DYS1 03125114 RETURN OF PRINCIPAL 8250000 GLOBAL MTG SECURITIZATION LTD/ GLOBAL M TG RECEIVED SCTZN ISINIIUS378961AV83 5.250% 04125132 B/E DTD 378961AV8 04128/05 RD 02128 PD 03125/14 03/25/11 RETURN OF PRINCIPAL 1290000 WASHINGTON MLTMTG SECS CORP 2004•RA2 RECEIVED M TG PASSTHRt, CTF CL C-B-1 VAR RATE 6.973% 07125/33 939336520 WE DTD 06101/04 RD 02128 PD 03125/14 03/26/14 RETURN OF PRINCIPAL 10000000 IMPAC CM B TR 2005.2 ASSET BKD BD CL 1-M-2 RECEIVED 0 889% 04125135 B/E OTO 03103105 RD 03121 PD 03/25/14 45254N KC7 Qua Price Accrued littered Mont Curren 20.718.12 6S0 41.811.68 LSD 794.62 LSD 1,578 05 LSD Total Distributions • UNITED STATES DOLLAR Other Transactions 03/31/14 REORGANIZATION INSTRUCTION OTT 3.000,000 LBG CAPITAL NO 1 PLC 144A G54338868 ISINOXS0473106283 8.000% 09/15/68 REG DTD 12/15109 EXHAAGE OFFER 0.00 61,902.47 0.00 LSD Total Other Transactions- UNITED STATES DOLLAR 0.00 0.00 Cash Withdrawals and Deposits 03106/11 FEDERAL FL i‘ CIS RECEIVED DELTSCHE BANK TRUST 01951 115.000.00 LSO LS0999997 03/12/11 FEDERAL FL k CIS RECEIVED .P14 ORGAN CHASE BANK 38988 50.58 LSD US0999997 03/14/11 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -257.00000 LSD US0999997 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR FDIC Insured Bank Deposits 03/07114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM US0999997 03112/14 FDIC INSURED BANK INSURED DEPOSITS PROGRAM WITHDRAWAL US0999997 03/13114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM US0999997 03/14114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM WITHDRAWAL US0999997 03/14/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED DEPOSITS INTEREST REINVESTED 458997996 0.00 441,949.42 •115.00000 LSD 500,000 00 LSO •253,253.58 LSD 257,000 00 LSO -703.55 LSD Page 18 of 24 Account Number Go paperless Seven Yews In A Raw SOUTHERN CA LLC. ONJFID rcat,:„Wcpcommun CONFIDENTIAL - PURSUANT TO FED. R CRIN1 P. 6(e) nosy tit. • wer". ••••••doranan SDNY_GM_00045748 DB-SDNY-0008572 EFEk_00156357 EFTA01288720

PC. &. MC &pv,ceMD21pp °raw< Papa kmaln wean stptagenan Weans CodrapeeKaP Devisch4 M Setwari +gc Proven OPIp, In net Ammo. Ha ibp Transactions by Type of Activity (continued) Processf Trade! Settlement Transaction Date Date Activity Type Desaiption Quantity Statement Period: 0310112114 -0313112014 Price Accrued littered Amount Currency FDIC insured Bank Deposits (continued) 03124114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 17 000 00 LSO WITHDRAWAL U50999997 03125114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM .28,777.06 LSD USD999997 03126114 FDIC INSURED BMA DEPOSIT INSURED DEPOSITS PROGRAM .87.600.05 USD USD999997 03127114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -1.578.05 LSD USD999997 03131114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -18,182.50 USD USD999997 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 288,905.21 Total Value of Transactions 0.00 42,235.04 USD The price and quantity displayed may have been rounded. Cash Not Yet Received Security Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment Dividends GENERAL ELECTRIC CO COM 02721111 04125114 23,000.000 0.220000 Cash 5,060 00 Interest BARCLAYS BK PLC CONTINGENT CAP NT 03126114 000714 300.000.000 0.038750 Cash 11.625.00 ISIAO LS06739F1-K03 FEADWATERS INC GTO SR NT 03113114 04101/14 1.000.000 090 0.038125 Cash 38.125.00 7.625% 01/01/19 BIE ,PM ORGAN CHASE 8 CO DEP SHSREPSTG 0313111/ 01/30/14 5,000,000.000 0.039500 Cash 197.500.00 1710Th PFD SER 1 Total Cash Not Yet Received $252,310.00 Page 19 of 24 Account Number Go paperless re" tYttr:A Re" SOUTHERN LLC. CALM* RATED COMPAUNICAlIONS F Dt itiNTIA EXCE"N" CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) noway use. • %SOP IP/POW •••••••• , 7 Whiv_GM_00045749 DB-SDNY-0008573 EFTA_00 156355 EFTA01288721

Bond Maturity Schedule Bond Maturity Market Value % of Bond Market Value Ito 6 months 4,303,20010 12% Percentages of bond market values are 7 to 12 months 1147,500 00 3% - rounded to the nearest whole percentage. to 5 years 2.150.000 00 6% n 6 to 10 years Over 10 years 10.103.25100 18.898,82416 28% 51% E.1 0 K_ Total 36,502,774.96 100% Bond Quality Bond Quality Market Value % of Bond Market Value BM 5,415,000.00 15% BAllower 24,688,018.59 68% I I tot Rated 6,339,756.37 17% Total 36,502,774.96 100% Trades Not Settled Percentages of bond market values are rounded to the nearest whole percentage. Settlement Trade Activity Accrued Settlement Date Date Type Description Quantity Price lidera Amount r 1, 04101114 03/27/14 Sell TRINET GROUP IAC COM -1.200000 19.1000 0.00 22.399.53 UNSOL AVERAGE Lk IT PRICE TRANSACTION YO If R BROKER ACTED AS AGaT 04102114 03/28/14 Sell CBS OUTDOOR AMERS INC COM -1,000.000 29.1700 0.00 29,703.31 UNSOL AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGaT Total Amount of Trades Not Settled 524,102.67 Client Service Information Your Client Advisor: TDS TAZIA SMITH 345 PARK AVENUE 11TH FLOOR ABY YORK NY 10154 8010/I3OCSF30022 Contaa Information Telephone Number: Account Number SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Pap 20 of 24 italed !Konen\ Go I) iperless s...ny... ea A Row MW* RATtDCOMMUNICAllONS NFIDEN `1AL CI COMMIVOMION INIMMOMILLie. • ••••• ••••d ••••••,/ SDNY_GM_00045750 DB-SDNY-0008574 EFTA_00156359 EFTA01288722

Your Account Inform ation DirvItet R•ni Vr/t4/111PAIMIP,Int M4 4CS toevia p De.tic 1.01.141,•art gr. brit Mc* Jilts?, Annie. )00.31.1 14•-•• 'kr It hY IOVA Statement Period: 0310112114 -03/3112114 Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Sloths in a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account corn m unications for electronic delivery. To register and turn off paper con in unications, log in to your account or contact your Client Advisor for more inform ation. FIRST IN FIRST OUT Important Information and 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 dose of the statement period. The market prices have been obtained from sources which we believe to be rehable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked —N/A— and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) 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 ynwipershing.cornibtisiness_continuily.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. 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 wit 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 renvestment transactions, Pershing acts as your agent and receives payment for order flow. Options information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information Is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. 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. Foreign Currency Transactions Pershing may 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 win 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. Page 21 of 24 8010/138CSF30022 Account Nun ber paperless Rseabid . v .. Latellent A Row s. DAUM* MUD COMMUNOCATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. 6: )UTHERN CO KiFI DfNITIAL Condo. onmagir•magitiC. • imam apes •••••••. SDNY_GM_00045751 O6-SDNY-0008575 EFT:4_00156360 EFTA01288723

Important Information and Disclosures (continued) 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 & Pools. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools 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 inducing warranties of merchantability or fitness for a particular purpose. Standard & Pools 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 riot 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. Cash Not Yet Received Assets shown here are not reflected in your account This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. 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 (itany 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 am 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 appicable; the rendering of investment advice, if any, to you and n general, for the ongoing relationship that it has with you. • Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. M 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. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC. ). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: ynnv.pershing.coinfstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing. within ten days after receipt of this statement. 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, 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 MI typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose tine limits fa 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. Page 22 of 24 B010/I3OCSF30022 Account Number SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) RObirdf.fellont Go paperiess tidir LM ea Row CA * RAT ID COMMUNICA1100.1 F I 1:i5NTIAL ..„..c, comae onauss sonsinosa. ernenetan SDNY_GM_00045752 OB-SDNY-0006576 EFIA_OO156361 EFTA01288724

PC. B<. 177o B-411 mon: MD 21203 Important Information and Disclosures (continued) Oraisoveana kmaln Wok Paragenen Weans t Odrie 6 ,0‘P DeAsch4 M Smelts W. lin. von Ont• Na ti n Annetlkh I ter Na verk we 10114 Statement Period: 0310112014 • 03/3112014 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 blows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; Page 23 et 24 P*10/138CSF30022 t Account Nun Dr PUPS I ...Wont Go paper less tzt :t A Re*" terct•A ci l ic IttDCOMMILINICATiONS SOUTHERN CA de" KIFI Or NITTA CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Crow. Orgy sorry's& 'Aar artistes" SDNY_GM_00045753 DB-SDNY-0008577 EFTA_00 156362 EFTA01288725

TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. LIAAGFS. 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 WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT GATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO. THE 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 IN 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 IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION I; YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT Cf 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 IS AVAILABLE FOR YOUR INSPECTION 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 PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT STATEMENT TO PREPARE YOUR TAX FILINGS. 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 Ti IE DISTRIBUTION DATE. THIS CLASSIFICATION 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 TM ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL. INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC CPERSHING1 FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DSCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE CR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINNG DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE INDEBTED 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 WILL 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. TERMS AND CONDITIONS • 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 FINANCLAJ. INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT PERSHINGS OFFICES. A COPY OF I T WILL BE MAILED UPON YOUR WRIT TEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WVAN.PENSHIN(3 COWBUSINESS_CONTINUITY.HTML • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS- RULE 607(A)(1)-(2)I PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS PRINCIPAL. 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. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE COUNTER AND EXCHANGE.LISTED SECURITIES 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 (NBSO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN 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 THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSH NG ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. IF ANY OF PE ABOVE TERMS MID CONDITIONS ME UNACCEPTABLE TO YOU. FI.EASE NOTIFY PEREFING IMMEDIATELY DI WRITINGBY CERTFED WAIL 10 OM PERSHING RNA. JERSEY CRY. NI 07399. ATM MOE DEPT Page 24 of 24 f/CIAB•rt 17 Account Number Go paperless PUBS t wrong.' MAMA* RATED COmmuteCA71O•47 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERk COLINFIDEVIIAL Amory WC • — easel •••••14inr SDNY_GM_00045754 DB-SDNY-0008578 EFTA_00 156363 EFTA01288726

en Mont asenionastifloa SOUTHERN FINANCIAL LLC 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: TAZIA SM IIN Gnt,. e Pam wan. Maniets int•gt 6.0.9 °taut.. N. SSW". n< Vintage Ma 11)Peit Arens.. 1011•11cce Wave WA Pa IOVA Valuation at a Glance Beginning Account Value het Cash Deposits and Withdrawals Adjusted Previous Account Value Dividends, Interest and Other Income het Other Activity het Chan e in Pollak() nding Account Value Estim ated Annual Income Account Number: Statement Period: 0210112/14 -0212812014 this Period $91,003,606.46 10.207.099.07 101,210,70613 617.091.87 0 00 I 256.94438 Year-to-Date $90173,050.28 10,097,104.07 100,670,154.36 655.899.06 -18 00 1 758.706 37 5103 084 741.78 S103.084 741 78 Asset Allocation Prior Year-End Lag Period This Period % Allocation USD Cash. Money Funds. and Bank Depoitsl 18,295,919.71 21,938,379.16 32.642,231.04 31.66% USD Fixed Income 27,736,972.38 25,708,949.55 26,189,29160 25.41% Non-USD Fixed Income 10,227,309.46 10,201,807.02 10.150,031.85 9.85% USD Equities 30,410,519.65 29.756.390.18 30,837,538.01 29.91% I N Non6SD Equities 3.137.192.71 2.796.600.00 2.862.606.00 2.78% Non•USD Cash. Money Funds. and Bank Deposits 402,106.31 393,526.05 403.010.25 0.39% Other 363.000.00 210.151.50 0.00 0.00% Account Total (Pte Mart) $90,573650.28 $91,003,606.16 3103,061,711.18 100.00% I The Bank Deposes in your account are FDIC Insured bank deposits. FDIC insured bank deposits are rot secs lies and are not covered by the Securities Investor Protectian Cotentin (SIPC). These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC). W to aicnvable limes. See page 2 of the statement for importer( informaton regarcing the Asset Allocation section. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) $3,718.093.33 Pe Chan allocation only nudes products that are of positive value. Assets of less than 1% of holdings win not display on this pie chad. Page 1 of 22 sunxtell B0 1992SCSF30D15 GO pallet-less 4 ., ea. In A ,• A . ,1 I C II llt Rat COMMUNICATIONS CONFIDENTIAr_T-r- """`"" beat snow. owes. is& fl ume, *ass *snow. SDNY_GM_00045755 OB-SDNY-0008579 EFTA_00 156364 EFTA01288727

Asset Allocation Disclosure and Footnotes Certain values have been defaulted into the Other Asset Class due to incomplete categorizing data Al values are displayed in U.S. dollars based on interbank exchange rates as of 02/2872014. Exchange rates can vary. Equities contains Equity Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gain/Loss 8 C33 'p .134,00217 2.235.144.89 Long-Term Gain/Loss .3 .^:^» : -55.582.40 -3.127.045.22 Net Gain/Loss 4.7”.45 -189,584.57 -891,900.33 This summary excludes transactions where cost basis information is not available. Exchange Rate Table Global Cash Canary Closing Mount in Currency USD Equivalent Per USD Cyrano/ Balance Base Cerrence USD I EURO 1.3810 0.7241 I EURO 291,846.67 403,040.25 Exchange rates are based on iderbank exchange rates as of 0228/2014. Exchange rates can vary. Total Global Cash Balance $403,040.25 FDIC Insured Bank Deposits Date Act ,[ty Type DeacrIption Amount Sabena Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number:- Activdy Ending: 02/28/14 02101114 Opening Balance 21,928,113.02 21,928,113.02 02/03(14 Deposit DEPOSIT 8,266.14 21,936,379.16 02101(11 Withdrawal WITHDRAWAL -96.250.00 21.840.129 16 02/05(14 Deposit DEPOSIT 33.543.41 21.873.872.57 02106/14 Deposit DEPOSIT 110,399.92 21,984,072.49 02107114 Deposit DEPOSIT 17,047.14 22,001,119.63 02/10(14 Withdrawal WITHDRAWAL -342,92254 21,658,197.09 02/14(14 (legal DEPOSIT 6.100.00 21.664.297.09 02114714 Deposit INTEREST CREDITED 581.67 21.664.858/8 APY 003% 02/18114 Associated Bank NA 21,664,858.76 NO 02(18 5250000.00 BEAT NO 02/18 5250000.00 Bank of America N0 02118 5250000.00 Page 2 of 22 Account Number Go paperless DA ISAR RATLD COMMUNICA11O.4 SOUTHERN C.Nej. F rin\rritAL 11X<CLUINCI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ...ON In", YC. • am. 4~ wiaMien, SDNY_GM 00045756 DB-SDNY_0008580 EFTA_00 156365 EFTA01288728

PC Bo, 1110. Etat, PK": MD 2120 FDIC Insured Bank Deposits (continued) Da...hoeUm row.. wean maParneat Marais Cedric, 6,o‘P Destulv Met Smote' hit. Mow TM Oita. SO Put Asa IM, I tom Statement Period: /2/0112114 - 12/2812114 Date Activity Type Dew • Ice Mouni Salaam Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) Otibank NA NO 02118 $250000.00 Deutsche Bank Trst Co NO 02118 519477861. East Wes' Bank NO 02/18 5250000.00 AY Comm unity Bank NO 02/18 5250000.00 Texas Capital Bank NO 02/18 $250000.00 TriSlate Capital Bank NO 02/18 5186997.38 Union Bank of CA NO 02118 5250000.00 02119114 Depoe1 DEPOSIT 207,881.29 21,872,740.05 02120/14 Depoil DEPOSIT 10,397,099.07 32,269,839.12 02126/14 Donald DEPOSIT 82.542.72 32 352,381.84 02127/14 Depotil DEPOSIT 289,852.20 32,642,234.04 02/28/14 dosing Balance $32,642,234.04 $32,642,234.04 Total FDIC Insured Bank Deposits The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC) The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 5250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Corrent Period Year4oGale Taxable Non Taxable Taxable Non Taxable Dividend Income Eq wires Other Dividends 801199nCSF30015 73,35625 0.00 86682 39 000 93,750.00 0.00 93.750 00 0.00 Account Plumber SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) Page 3 of 22 Go paperless i T. F I DAEN "NAL Paled tpallat Seven Years In A Row DAUM* PATIO COMMUNICATIONS EXCILUINCE Constieveoses Ont. LLC. • Solo •••••••••~1 *I Tie rikin••••••0 C•••••••••• MINT Ma" Pm•PINIII Lcc..ws revue was an SDNY_GM_00045757 OB-SDNY-0008581 EFrA_00 156366 EFTA01288729

Income and Expense Summary (continued) Current Period Year.to•Date Taxable Non Taxable Taxable Non Taxable Interest Income Bond Interest 124.589 35 000 149,599.56 0 00 FDIC Insured Bank Deposits 561 67 000 1,032.51 000 Other Interest 40.625 04 000 40,625,04 000 Total Dividends, Interest, Income and Expenses 1332,882.31 $0.00 $371,619.60 10.00 Distributions Alternative Inyestm ents 000 284.209 56 0.00 284,209.56 Other Distributor's 0 00 63.596 01 0.00 149.32510 Total Distributions $0.00 $347,805.57 WOO 1433,634.66 Portfolio Holdings U.S. DOLLARS A=unt Opening Date Quantity Number Activity Opening Ending Balance Closing Balance Accrued Income Income This Year 30•Day Cermet Yield Yield Cash, Money Funds, and Bank Deposits Cash Balance FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 02101(14 32.642.234.040 8 266 14 02126114 21.928.113.02 0.00 32.612.234 04 328.84 1.032.51 N/A N/A Total FDIC Insured Bank Deposits 621,928,113.02 132,642,234.04 1328.84 $1,032.51 Total Cash, Money Funds, and Bank Deposits Date Acquired Quantity Unit Colt $21,938,379.18 Adjusted Cod Basis Market Price 132,642,234.04 Market Value 1328.84 Unrealized Gainfloss $1,032.51 44M iottrevend Estimated Estimated Annual Income Yield Fixed Income (In Usuirey Date Sequence) 'Asset Backed Securities GLOBAL M TG SECUR1TIZATION LTD/ GLOBAL MTG SCTZN ISM US37896IAV83 Security Identifier: 378961AV8 5.250% 04/25/32 WE DID 04/28/05 Moody Rating CAM S 8 Pasting B- Fedor: 0.35639052 Effective Date:02103/14 Current Face Value: 2,940,221.790 10116113 'AM 8.250.000.000 89 2470 2.624.059.12 94.1650 2.768.659.85 144.600 13 1.286.35 0 nginal Cost Basis $2,705.004.09 Page 4 of 22 C11992SCS F300I S l'IlAlt LI' Account Number SOUTHERN CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Go paperless NFID4ENTIAL Rioted igtallent Seven Years On A Row CALM* RATIO COMMUNICAY1O.11 EXCELaNCII Conavukragli Ormsby u.C. nods. araniewbollin SDNY_GM_00045758 DB-SDNY-0008582 EFTA_00 156367 EFTA01288730

P.O. Bag 1776. Batman MD 2i200 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale airs Ousatlt Unit Cost Fixed Income (continued) 'Asset Backed Securities (continued) COUNTRYWIDE HOME LOANS SER 03•t CI el 4.090% 03125133 WE DTD 01130103 Factor 0.25865574 Effective Date:02103114 Current Face Value: 1,183,950.830 12113113'.3.12 4,500400.000 WASHINGTON NUT MTG SECS CORP 2004R42 MTG PASSTHRU CTF CL C-B-1 VAR RATE 6.973% 07125133 WE DID 06/01/04 S 8 P Rating D Factor:0.64321625 Effective Date:02103/14 Current Face Value: 829,748.963 12113113'•3.I2 1,290400.000 76.5190 HI PAC CM B TR 2005.2 ASSET BKD BD CL tad -2 0.890% 04125135 WE DTD 03103105 Moody Rating CA SE P Rating CC Factor:0.14826877 Effective Date:02125/14 Current Face Value: 1,462,687.700 12113113 '•3.12 1.500.554.000 12113113'.3.12 8,499,446.000 Total Noncovered 10,000,000.000 Total 10,000,000.000 Total Asset Backed Semi/Ides 24,040,000.000 Total Current Face Value : 6,390,609.283 Adjusted Cost Basis Destine Sint Pr ,.,,n "mall Ma napnad MYf6I0Mr,F Gtot,p Destulv Sat Stuettei 4%. Now *4 Mk. HS Pin Asa. loth I tom Mos** NY 101M Market Price Market Value Statement Period: 0210112014 - 02/28/2014 Uarealtzed Galatia* Accrued Interest Estimated Estimated Annual Income Yield Security Identifier: 12869 OYS1 93.3760 1,086,855.88 86.9870 Original Cost Basis: $1,111.573.07 Security Identifier: 939338320 631,912.37 86.2600 Original Con Basis: 5638,906.71 Security [decaliter 45254NNC7 67.9900 144227.02 71.4450 Original Cost Bans: 5153,090.22 67 9900 845.252.55 71 4450 Original Con Basis: 5867,134.46 914 479 67 1,012,485 91 715,74146 156.81048 888,206.75 1,045,017.23 $1,045,017.23 $5,641,904.46 -74,369.97 80,829.09 7.583.46 42,954 20 50,53746 3,570.42 4,339.48 10.86 61.50 72.36 6994,479.57 95,340,307.54 550,537.06 972.38 $281,696.11 $9,268.61 90.00 $0.00 Page 5 of 22 Account Nun Der' Rated I .eaileni 1,01199nCSF30015 Go IN11.wriess tt, L'ILA'vort:TTD4:O7....u...cAnons CONFIDENTIAL — PURSUANT TO FED. R CRIM. 6(e)U Them CO F I DAENTIAL eXCELIENCI •••••• oar's •••••••• SDNY_GM_00045759 OB-SDNY-0008583 EFTA_00156368 EFTA01288731

Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Asired Ouantit Unit Cost Fixed Income (confirued) Corporate Bonds SG STRUCTURED PRODS INC COMMODITY LKD IA KT PLUS PROTECTED NOTES 0.000% 08105114 WE DTD 07/30113 07/25/13 '4141 2.000.000.000 100 0000 HSU USA INC MEDIUM TERM PITS BUFFERED NOTES LW TO EURO ST0/0(50 0.000% 0812911181E DTO 05130113 05121/13 %UM 2.000.000 .000 loo moo JPM ORGAN CHASE & CO MEDIUM TERM NTS CAPPED CONTINGENT BUFFERED EQUITY NTS 0.000% 1011611181E DTO 09127113 12/05113 '.3.12 1,000,000.000 100.0000 1,000,000.00 105.1600 1,051,600.00 PETROLEOS DE VENEZUELA NOTES SENIOR ISA XS0460546525 5.000% 10/28/15 REG D TO 10/28109 S & P Rating BP Onginal Cosl Basis: 51.000.000.00 Security Identifier: P7807HAF2 12104113 '.3.12 2,500,000 000 91 0890 2,277,219.61 82.9000 anginal Cosl Basis $2.250,00.00 2,072,500.00 HEADWATERS INC GTD SR NT 7.625% 04/01/19 WE DID 03/11/11 CALLABLE 04/01115 0 103 813 Moody Rating 02 St P Rating Ei• Security Identifier: 42210PA05 10/22/12 '.12.13 1,000,000.000 102 5440 1.025.139.81 108.5000 1,085,000.00 EARTHLINK INC GTD SR NT FULLY EXCHANGED CL SIP FROM 270321018 8.875% 05/15/19 WE DTD 05117/11 CALLABLE 05115115 S 6 P Rating CCC+ Original Cod Basis: 51,035,000.00 Security Identifier: 270321AC8 10122/12 '.12.13 400,000.000 102 5930 410,372.81 100.7500 103,000 00 Original Cosl Basis $411.000.00 10123/12 %ILO 600,000.000 102 1100 611,460.81 100.7500 601,500 00 Original Cosl Basis: 8619500.00 Total Nona:meted 1,000,000.000 1 021 833.86 1,007,500.00 Total 1,000,000.000 81,021,833.85 31,007,500.00 Adjusted Cod Basis Market Pria Market Value Unrealized Gain! loos Awued Interest Estimated Estimated Annual Income Yield Security Identifier: 7812381$3 2.000.000.00 104.5000 engine' Cosl Basis: $2.000,000.00 Security Identifier: 10432XFP1 2.000.000 00 108 6100 Original Cosl Basis $2.000.000.00 Security Identifier: 41121INVE4 2.090.000 00 2.172.200 00 90.000 00 172,200 00 51,600 00 201.71964 59,560.19 .7,372.81 .9,960.81 -17,333.86 0.00 0.00 0.00 11.666 67 31,13542 10,156 94 15 235 42 25,392.38 -817,333.85 825,392.38 125.000.00 6.03% 76,250 00 7.02% 35,500.00 8.80% 53,250.00 8.80% 88,750.00 $86,750.00 Page 6 of 22 Account Number Raise' fiallent Go paperless sty—Ye—hi. Raw SOL METH LW. CAW* RATED COMMUNICAlICHS ONFIDENTIAc -„— CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ...41. 0••••••• LLA • ....I *S....FP SDNY_GM_00045760 DB-SDNY-0008584 EFTA_00 156369 EFTA01288732

P.O. Bag 1776.N1w/winMDM00 Portfolio Holdings (continued) U.S. DOLLARS (conwieed) Date sired Quail Usk Cod Fixed Income (continued) Corporate Bonds (continued) SERVICEM ASTER CO SR NT - CUSP FULLY EXCHANGED FROM OLD CUSP 81780HAL3 8.000% 02115120 BIE DTD 02113112 Moody Rating CAM S P Rating CCC• 01124113 '.12.13 1,503000.000 1031760 02125113 %UM 1,000,060.000 105.7600 Total Noncovered 2,600,000.000 Total 2,500,000.000 LLOYDS TSB BK PLC EURO ISSUE MEDIUM TERM NOTES ISIN$230717735821 9.875% 11/16/11 REG DTD 12118111 Moody Rating 8a1 SI P Raling BBB 12104/13 *.3.12 1,500,000.000 108.3310 SOUTHERN CALIF EDISON CO PREF SERE 8.250% 02101122 WE DID 01117/12 CALLABLE 02101/22 Moody Raling BAAI S P Rating 8B8- 01/30112'.3.12 3,000,000300 99.7920 BARCLAYS BK PLC CONTINGENT CAP NT ISA US06739FHK03 7.750% 04110123 BIE DID 0/110/13 CALLABLE 04110118 58 P Rating 884 04/03/13 '.12.13 300,000.000 100 0000 801199nCSF30,15 Monied Cost Basis Destine 8.m PO, lir *Aria Ma ria,....,, Marais Conran Comp Deauhi M Smote 4%. Mar Int Moo HS Pia Asa. lothlbw Wieredeet NY 101M Market Puce Market Value Statement Period:02101/2014 - 02/28/2014 Unrealized Gain/ Loss Accrued Interest Estimated Estimated Annual Income Yield Security Identifier: 81760NAN9 1377,846.11 106.7500 Original Cost Basis: 51.593625 00 1,057,59343 106.7500 Original Cosi Basis: 51.070.000.00 2,635,241.65 $2,635,241.65 Security Identifier: GIS15PPIII Pnce Estimated as of 02117114 1,624,967.30 119.7500 Original Cost Basis: $1,627,500.00 Security Identifier: 142400FU2 1,993,751.19 106 0000 Original Cost Basis 51.992.564 97 Security Identifier: 06739FHKO 300.00000 111.5000 Original Cost Basis 5300,000 00 Account Number SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R. CRINI P. 6(e) 1.601.250 00 1.067.500 00 2,568,750.00 $2,668,750.00 1,796,150 00 3,180,000.00 334,500.00 23.60378 4.333.33 120,000.00 7.49% 9904 57 2,888.89 80,000.00 7.49% 33,508.35 7,222.22 200,000.00 833,508.35 $7,222.22 $200,000.00 171.282 70 29,625 00 148 125 00 8.24% 186,24781 14,062 50 187 500 00 5.89% 34,500.00 8,912.50 23.250.00 6.95% Pagel of 22 Rated I ellemt Go paperless Sea '. Watt la 4 R.••• SA DA [ATED COMMUNICAlIONS D-E F I NTTA L `MC1UL` Owspismap Owes* •••••• imam rasa" SDNY_GM_00045761 OD-SONY-0008.585 EFIA_00156370 EFTA01288733

Portfolio Holdings (continued) U.S. DOLLARS (continued) Date AP wired Quad Usk Cost Fixed Income (continued) Corporate Bonds (continued) PM ORGAN CHASE & CO DEP SHS REPSTG 1/10TH PFD SER 1 FIXED TO FLTG RI BO 7.900% 04/29/49 WE DTO 0/123108 Moody Rating BAt S P Rating 888 06/15111 '.3.12 2,500,000.000 107.5000 06/15111 '.3.12 2.500.000 000 107 0000 Total Noncovered 6,000,000.000 Total 5,000,000.000 BANK AM ER CORP PERP NON COM ULATIVE DEP SHS FIXED TO FLOAT 8.125% 04130/58 WE DID 0030108 CALLABLE 05/151'8 Moody Rating BA3 S8 P Rating 88• 01(10/11 'AM 2.000.000.000 102.7500 GENERAL EEC CAP CORP NON CUM PFD SER A 7.125% 06/12162 WE GTO 06,12/12 CALLABLE 06115122 Moody Rating BAA1 S P Rating AA- 06127/12 '.12.13 2,000,000.000 105.5300 LBG CAPITAL NO I PLC 144A ISINOXS0473108283 8.000% 09/15188 REG DM 12/15109 FOREIGN SECURITY S t P Rating BB 12/04113 '.3.12 3,000,000.000 1082500 Adjusted Cost Bays Market Pria Markel %lee Ihrealized Gale/ Loss Accrued Estimated Estimated Interest Annual Income Yield Total Corporate Bonds 28,800,000.000 Security Identifier: 4662514H41 2,687,500.00 112.2200 Original Cost Basic $2.687,500.00 2.675.000.00 112.2200 Original Cost Basic $2,675,000.00 5,362,500.00 $5,362,500.00 Security Identifier: 060505028 2,055,000.00 114.0000 Original COS! BOOS: $2.055.000.00 Security Identifier: 3696228N6 2,110,605.12 113.5000 Original Cost Basic $2.122.016.67 Security Identifier: G54338668 Price Estimated as of: 02/21/14 2,805,500.00 2.805.500.00 5,611,000.00 $5,611,000.00 2,280 000 00 2,270,000 00 3,247,500.00 105.9375 3,178,125.00 Original Cop Begit. $3.247.500.00 $29,657,059.36 $30,797,425.00 Total Fixed Income 52,840,000.000 B01199nCSF3011S $34,997,366.90 $36,339,329.15 Account Number SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) 118,000.00 64,736 11 197.500 00 7.03% 130.500 00 64,736.11 197.500 00 7.03% 248,800.00 129,472.22 395,000.00 $248,500.00 $129,472.22 $395,000.00 225,000 00 46,493 06 162,500.00 7.12% 159,394.88 28,895 83 142,500.00 6.27% •69,375.00 48,868.67 240.000 00 7.55% $1,140,365.64 2411,544.46 81,788,875.00 $1,341,962.55 $420,613.06 $1,788,875.00 Page 8 of 22 tts Go paperless Re., bAttAll INTLDCO•iumuediCATIO•el iq F I DfNITIAL EXCARAINCI boa. •••••• ammo. ••••••••• el no Dail 'snot ado% Cogan'sCONY SS" Lie ems Pena Dna an SDNY_GM_00045762 OB-SDNY-0008586 EFTA_00156371 EFTA01288734

PCBs Int Iliolens•MD2i200 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date ired Nut Unit Cosi Equities Common Stocks APOLLO GLOBAL MGM T LLC CL A SliS Dividend Option: Cash 03129111 '.13 283.157.000 APPLE INC CON Dividend Option: Cash 10128113 2,000.000 ARIAD PHARMACEUTICALS INC Dividend Option: Cash 02114112 '.13 7,535000 01124113 '.13 9.000.000 Total Noncovered 16,535.000 Total 16,535.000 ASCENA RETAIL GROUP INC COM Dividend Option: Cash 01116101 . .3 70500 000 21 2770 BIOGEN IDEC INC COM Dividend Option: Cash 02114/12 'A 2,095.000 119 5490 FACEBOOK INC CL A Dividend Option: Cash 05117/12 '.13 17,500.000 38.0000 FOUNDATION MEDICINE INC COM Dividend Option: Cash 01113114 2ssol000 275070 GENERAL ELECTRIC CO CON Dividend Option: Cash 04123113 '.13 2390 000 21 5700 ()PASO( Illma Pon'. Weal Pt Maine,. Marais Conran 4.0..p DestuN Sanii Smote 4n. Mn 1,4 Mar 30 Put Asa. lothlbw Mw** NY 10114 Cod Bads Market Price Market Value Statement Period: 02101/2014 • 02/28/2014 Unrealized Gainl Loss Estimated Estimated Annual Income Yield Security Identifier: APO CUSP. 037612308 19 0000 4.999.983.00 32.1900 Security Identifier: AAPL CUSP. 037833100 529 0600 1,058,120.50 5282400 Security Identifier ARIA CUSP 04033A100 15 2090 114,597.40 8.6900 19 6000 176,400.00 8.6900 210,997.40 8.471.023.83 1,052 480 00 65,479.15 78,210.00 143,691.15 3,471,040.83 -5,1340.50 .49,11825 -98,190.00 -147,308.25 1.047.364 86 12 36% 24.400 00 2.31% 8011992SCSF30015 929,997.40 Security Identifier: ASNA CUSP 043516101 1,500,000.00 18.2900 Security Identifier: BNB CUSP: 09062903 250,454.95 340.6800 Security Identifier: FB CUSP: 3030311102 665,000.00 68.4600 Security Identifier: FM I CUSP. 350465100 687,663.50 35.6300 Security Identifier: GE CUSP: 369604103 496.109.08 25.4700 Account Number SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 943,689.15 1.289.445.00 713,724.60 1,198,050.00 890,750.00 585,810.00 -9147,3925 -210.555 00 463269 65 533.050 00 203,086.50 89,700.92 90.00 20,240.00 3.45% Page 9 of 22 AIN.' I I...141001 Go p iperless se.— V.... la Raw DALIN* SATEDCOMMUNICA110.6 A• • Oc c IT I C FIDENTIAL OINSfill•••••••tinS0116 •IIIIII•0100,04••••••••••1 011101•••• OF le/..001% CO•1100••••• COW SIMI 1•••111•0 LUC ere new Mil an SDNY_GM_00045763 OB-SDNY-0008587 EFTA_00156372 EFTA01288735

Portfolio Holdings (continued) U.S. DOLLARS (continued) Date bed Nam tleit Col Equities (continued) Common Stocks (continued) GENERAL M TRS CO COM Dividend Option: Cash 11118110 ' 10,988.200 38.1010 12109110 ' 86,536.800 36.8160 Total Noncovered 97,526.000 Total 97,825.000 GILEAD SCIENCES INC Dividend Option: Cash 02105114 5,000.000 79 2810 JP M ORGAN CHASE & CO CON ISM US16625H1005 Dividend Option: Cash 07111105 '.3 21,753.000 488 4840 SARGASSO BIOSCIENCES INC CON Dividend Option: Cash 05128113'.12 50.000.000 SANTANDER CONSUMER USA HLDGS INC COM Dividend Option: Cash 01123114 1,000.000 TWITTER INC CON Dividend Option: Cash 11107113 1,500.000 Total Common Stocks Preferred Stocks (Listed by expiration date) ALLY ANL INC PERP PFD FIXEDIFLTO RATE SER A CALLABLE Dividend Option: Cash 02103112 'AM 46.600.000 02109112'•12.12 80.000.000 Total Noncovered 125,500.000 Total 128,600.000 GM AC CAP TR I GTD TR PFD SECS SER 2 II 125% FlYZO RATE/ FUG Dividend Option: Cash 02122/12 '.13 80,000.000 8.4140 24 0000 26 0000 0:41 Buis Market Price Markel Value Unrealized Gale/ Loss Estimated Estimated Annual Income Yield Security Identifier: GM CUSP: 37045V100 399,978.16 36 2000 3,185,969.22 36.2000 3 515 917.38 13,615,917.31 Security Identifier: GILD CUSP: 375558103 396407.00 82.7900 Security Identifier: PM CUSIP. 1662514100 10 626.002 00 56.8200 Security Identifier: SGM 0 CUSP:800677106 422.211.00 18.2000 Security identifier: SC CUSP: 8028311101 21,000.00 25.3300 Security Identifier: TWTR CUSP: 901841102 39,000.00 51.9100 391,772.85 3,132,632.15 3,530,405.00 $3,530,105.00 113,950 00 1,238,005.16 910.000.00 25,330.00 82.365.00 .2,20&31 -5&337.07 -55,642.35 -155,542.35 17,513.00 -9,389,99634 187.786.00 1,330.00 13,365.00 13,185.81 3.31% 103,811.16 3.31% 117,030.00 $117,030.00 33,061.56 2.67% 193820 20.1250 125,011,591.51 Security Identifier: ALLY PRB CUSP. 02005N308 903,217.51 1,610,000.00 2,513,217.51 27.3500 27.3500 $20,543,025.04 1,274,510.01 2,187,999.99 3,462,510.00 -64,498,870.77 371,292.50 577,999.99 919,292.19 $1,242,099.42 99,025.00 7.76% 170.000.00 7.76% 269,025.00 B01199nCSF3011S $2,513,217.51 Security Identifier: ALLY PRA CUSP 361860208 23.5350 1,882,773.60 27 1500 Account Number: SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) $3,462,510.00 2,172,000.00 6949,292.49 289,22610 5259,025.00 162,500.00 768% Pap 10 of 22 Raboellmoollont Go I ktperless vtar, 11.A Re.'" CALM* RATED COMMUNICATIONS F I Dr NITTA L ' Conay•••••••••rabwiti.C.••••••••••••••••••••• SDNY_GM_00045764 OB-SDNY-0008588 EFTA_00156373 EFTA01288736

P.O. Bag 1776. alltin0t• MD 21200 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Ired Equities (continued) Preferred Stocks (continued) ROYAL BANK SCOTLAND GROUP PLC 7.25% SPON ADR REPSTG SER T PFD SHS CALLABLE ON OR AFTER 12/3112012 0 25 Dividend Option: Cash 10/24/12 '.13 40.000.000 23.7900 951,600.00 25.0000 999.999.99 48.399.99 72,500 00 7.25% 01/07/13 '.13 goact000 24.4400 977,600.00 25.0000 999,999 99 22,399 99 72,500 00 7.25% 01114113 '.13 40,000.000 248840 995,200.00 25.0000 1,000,000.02 4.800.02 72,500 00 7.25% Total Noncovered 120,000.000 2,924,400.00 3,000,000.00 15,600.00 217,600.00 Total 120,000.000 $2,924,400.00 $3,000,000.00 i76 001.10 3211,500.00 Total Preferred Stocks $7,320,391.11 $8,834,610.00 $1,314,11119 049,026.00 Options CALL 100 AMERICAN AIRLS GROUP INC COM Option Identifier: 99CIADTZS EXP01-17-15@ 20.000 OPTION ROOT: AL Undedying Security Identifier: AL 1,00000 of these conlrads are in your margin account Underlying Security Price: 936.93 12111/13 ' 1,000 000 8.0330 803,314.50 17.0000 1,700,000.00 896,685.50 PUT 100 AM ERICAN AIRLS GROUP INC COM Option Identifier: 99CIADTZQO EXP 01.17-150 20 000 OPTION ROOT: AAL Undedying Security Identifier: AAL .1,000.00 of these contracts are a shod position Underlying Scarily Price: $36.93 12/11113 -1,000000 1.9770 -197,70200 0.4000 -40,000.00 157,702 00 Total Options $606,81210 $1,660,000.00 11,054,387.50 $0.00 Total Equities $32,967,902.42 $30,837,530.04 -32,130,384.38 $1,891,124.42 Unrealized Estimated Estimated Date Acquired Quantity Unit Cod Cod Basis Market Price Markel Valle Gain! Loss Annual Income Yield Exchange-Traded Products WISDOM TREE TR JAPAN HEDGED EQUITY FD Dividend Option: Cash; Capital Gins Option: Cash 60.000.00 of these shares are in your margin account 12111/13 60,000.000 49.4350 Total Exchange-Traded Products Quiet Uok CoM 01,41.1. 0 Vots• n M, nal P-wtat Mwoets (Inger G• cc De.tic la Nom Stcv,ari “tw g Office JO P M. ant Annw. ire, Mann wrik. nr iavA Cost Basis Market Price Market Value Statement Period: 02/01/2014 - 02128/2014 Unrealized Gainf Loss Estimated Estimated Annual Income Yield Security Identifier: RBS PRT CUSP. 780097713 Security Identifier: DXJ CUSP. 9771700851 2,988,098.50 47.7100 2,882,800.00 ,103,498.50 37,061.40 1.29% 801199nCSF30,15 $2,986,098.50 Account Number SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 32,882,600.00 -$103,498.50 $37,081.40 Page 11 of 22 Rated I.. ellent Go papetieSS It rt.-Ye— Rew DA I. BAR RAT ED COMMUNCATIONS F I DAE NITTA L Cowry wevoinhosin. fl ower arra esorSP rie 'alio renew sew ammo*. tow ea" SDNY_GM_00045765 DB-SONY-0006Sn EFrA_00 156374 EFTA01288737

Portfolio Holdings (continued) U.S. DOLLARS (continued) Cod Basis Market Value Unrealized Accrued Estimated Gainl Loss Interest Aneval Income Total U.S. DOLLARS EURO Description Cash, Money Funds, and Bank Deposits Global Cash Balance $103,573,601.86 9102,681,701 53 Quality 4891,900.33 4120,813.06 93,718,093.33 Opals° Poring Awued 30-Day Balance Balance Currency Income Yield 281,81617 291,81647 EUR 103,040.25 US0 Total Cash, Money Funds, and Bank Deposits 291,846.87 211,916.67 EUR 103,010.25 USO Market Value Currency 291,848.87 EUR 0.00 403 040 25 LSD 000 0.00 000 Awued Interest Total EURO Unrealized Awued Estimated Cost Basis Market Value Gaintloss Interest Mnual Income Total Portfolio Holdings • U.S. DOLLARS 8103,573,601.86 8103,084,741.78 4891,900.33 4120,813.06 93,718,093.33 Footnotes ' Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis repotting rules are defined as secunnes which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as folows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attrtartes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold shat or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. I 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 efformation. 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 change over time and are obtained from sources we believe to be reliable. 12 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. Page 12 of 22 E,11992SCSF300IS ,:11en.,. , ,, Account Number: G° PaP,Ie e. ss 411fr* C.tili2D:O17..cAno.s CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: UTHERNCO F I DAEN "NA L CONSInfensell WI •••••••• MOM •••••••Iet Mb MOM Moral. Nan C•••••••••• VINT Irailime • 1/2••••• • nt. Mat VC SDNY_GM_00045766 DB-SDNY-0008590 EFTA_00 156375 EFTA01288738

PC. Boa 1776 Elul min: MD 21203 Portfolio Holdings (continued) Gnaw.< Rana PnvieWeal.P.Paragenan Weals Coon., 6 ,0‘P DeAsch4 Sat Settolenk lire von Mar Hobnt Ramo. I *' I be, War wet Ire lmv Statement Period: 0210112014 • 02/28/2014 " The cost basis of this security has been provided to us by the delivering firm or transfening agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency &change-Traded NIRLARS Fixed Income Equiti es Funds Total by Currency 32,612,r 36.339.329 30.837.538 2.862,600 102.681.761 USO EURO. 291,846 0 0 0 291,846 EUR Total USD Equivalent 33,045,271 36,339,329 30,837,535 2,862,800 103,054,741 USD % of Allocation 32.06% 35.25% 29.91% 2.75% 100.00% Schedule of Realized Gains and Losses Current Period Disposition Date Acquisition Date Disposition Transaction Description Quantity Coll Basis Proceeds Realized Gain/ Loss/ Disallowance Short Term 0210304 12113113' RPP COUNTRYWIDE HOM E LOA 1 CL 81 4.090% 03/25/33 B/E D 4.500.000.000 12,068.36 12.924.41 856.05 TD 01130103 Security Identifier 12669DYS1 Original Cost Basis: 12.068.36 02103114 10/16113' RIP GLOBAL M TG SECUR1TIZ GLOBAL MTG SCTZN 'S17411337896 8,250.000 000 39,492 36 11,250 63 1.75817 1AV83 5.250% 04/25132 B/E DTD Security Idenbfier 37896 tAV8 Original Cost Bat 39,492.36 02103/14 12113113' Fl4P WASH', GTON MUT MTG S004-RA2 LUG PASSTHRU CTF CL 1.290.000.000 1.99818 2.611.75 613 27 C. B.1 VAR RATE 6.973% 07125133 Security Idenbfier 939336320 Original Cost Basis: 1.998.48 02125/14 12113113' FFP IMPAC CM B TR 2005.2 BD CL l -M-2 0.890% 01125/35 BCE 1,500 554 000 575.68 846 70 271 02 DTD 03/03105 Security identifier: 15254NNC7 Original Cost Basis: 575.68 02.125/14 12/13113' Rif IMPAC CM B TR 2005.1 BD CL 1-11-2 0.890% 04125/35 B tE 8,499,446.000 3.260 74 1,535.18 4,195.92 DTD 03103/05 Security Idenbfier 45254NNC7 Original Cost Basis: 3.260.74 8011992SCSF3001S Page 13 of 22 Account Number SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) G t . GC) paperless rit,t,c7.:1:1TA Raw DALIN* RATED COMMUNICATIONS K1 F I DA5NTIAL fl at...INCE eiwasevireueo ••••••....L.2. • wooer •••••• •••••••••1 SDNY_GM_00045767 DB-SDNY-0008591 EFTA_00 156376 EFTA01288739

Schedule of Realized Gains and Losses Current Period (continued) Disponi°, Acquisition Date Date Disposition Transaction Descr p:ron Quantity Cost Basis Proceeds Realized Gain/ Loss/ Diullorance Total Short Term 157,395.62 185,428.11 18,033.78 Long Term 0210311/ 07112110' SELL DEUTSCHE BK AG LONDO GRIC DOUBLE LONG TRADED NT 16 200 000 111,219.10 110,399.92 -3,819.18 First In First Out Security Identifier: DAG 02/0411/ 07112110' SELL DEUTSCHE BK AG LONDO GRIC DOUBLE LONG TRADED NT 2.100 000 16,921.39 17,017.11 125.75 First In First Out Security Identifier DAG 02105/14 07/12110' SELL DEUTSCHE BK AG LONDO GRIC DOUBLE LONG TRADED NT 7.531.000 53,119.07 53,184.18 365.39 First In First Out Security Identifier: DAG Total Long Term 8181,259.88 $180,931.62 -$3,328.31 Total Short Term and Long Term 8211,855.18 $218,380.93 54,705.15 Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.1.110.343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered' under the new cost basis reporting rules, and marked or denoted as such. Al other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis aria be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. This Schedule may not reflect an 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 tarn to be reliable. Adjustments to cost basis can be made after year-end, in particular, for retum of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly cbent brokerage statement at year end versus any subsequent reports, including your 1099.8 or online displays you may have avalaWe 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 N.R. 1424. You should consul 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 is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the 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 portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your accounts 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, Fist Out (FIFO). Your accounts 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 14 of 22 801199nCSF3011S Account Number SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRINA P. 6(e) Go lariperless It.”...t72;;VA Row F DrNiTi A Mt; RAI ZDCOMMUNICA110.41 Olney !snags owning u.a. • sr. omens «Ammon SDNY_GM_00045768 OB-SDNY-0008592 EFTA_00156377 EFTA01288740

PC. Bra 17/6, Bali moot 7,1D 21203 Messages Dean Um PnwalP *math up.agenan 61/MI, tonna 41010 Deetic he UN Stare" at. Now brio:Mc* 30 ON Ass. IM, ber Rem *A NY 101M Statement Period: 0210112111- 02/28/2014 Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporatko.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:/AwAv.dws-investments.conVEN/products/moneyrnarket-funds-Melds.jsp. Please note that all money market funds listed on the website may not be offered through us. Activity Sum m ary (All amounts shown are in base amency) Credits This Period Year-to-Date Debits Thu Period Year-to-Date Securities Securities SecuntiesBoughl 000 000 Secunties Bought -396,40700 -7,084861.11 Secuntes Sold 214 474 93 10 418 649 26 Securities Sold 000 000 Total Securities 3214,474.93 310,418,649.28 Total Securities -$396,407.00 -$7,084,861.11 Dividends and Interest $426,832.31 3465,439.50 Dividends and Interest -$93,750.00 -$93,750.00 Distributions 3347,805.57 3433,534.66 Distributions $0.00 $0.00 Fees 30.00 30.00 Fees $0.00 -$18.00 Cash Cash Withdrawals 0 00 0.00 Withdrawals ,190,000.00 ,299,995.00 Deposits 10.397.099.07 10.397.099.07 Deposits 0.00 0.00 Total Cash 310,397,099.07 310,397,099.07 Total Cash -$190,000.00 -$299,995.00 FDIC Insured Bank Deposits 3439,172.54 34,233,868.88 FDIC Insured Bank Deposits .$11,153,293.56 -318,694,428.57 Total Credits 311,825,184.42 325,946,589.35 Total Debits ,111,833,150.56 -326,173,052.66 PC'11992SCSF3001S Account Number SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 15 of 22 Raise, vccenent GO paper-less en Row OMAN* RATED COMMUNICATIONIS NFIDENTTAL ComaNN•••••••••••••” lig. • imam aro ....a., SDNY_GM_00046769 DB-SDNY-0008593 EFTA_00I56378 EFTA01288741

Transactions by Type of Activity Proceed Trade! Settlement Transaction Date Date Activi Securities Bought and Sold 02105114 0113111/ SOLD DAG 02106111 02103/14 SOLD DAG 02/07/14 02104/14 SOLD DAG 02110114 02105/14 SOLD OAG Dew ion Clean t' Price Awed Interest Amount Curren 02110114 02105/14 PURCHASED GILD DELTSCHEBK AG LONDON BR,- DB AGRIC DOUBLE LONG TRADED NT UNSOL AVERAGE UNIT PRICE TRAK SACTION YOUR BROKER ACTED AS AGENT DEUTSCHE BK AG LONDON BRH DB AGRIC DOUBLE LONG TRADED NT IASOL AVERAGE UNIT PRICE TRAKWT(0k YOUR BROKER ACTED AS AGENT DEUTSCHE BK AG LONDON BRH DB AGRIC DOUBLE LONG TRADED NT UNSOL AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT DELTSCHEBK AG LONDON BRH DB AGRIC DOUBLE LONG TRADED AT UNSOL AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT GILEAD SCIENCES INC UNSOL AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT -5.000.000 6.7500 -16,200000 6.8553 -2,400.000 7.1556 -7.534.000 7.1500 5.000.000 79.2202 33,613.41 LSO 110,399 92 LSD 17.017.14 USD 53,184.46 LSD •396,40700 LSO Total Securities Bought and Sold • UNITED STATES DOLLAR Dividends and Interest 02104114 BOND INTEREST RECEIVED 842400F62 02113114 CASH DIVIDEND RECEIVED 02114114 FDIC INSURED BANK DEPOSITS INTEREST RECEIVED 458997996 02118114 CASH DIVIDEND RECEIVED ALLY PRB 02/18/14 BOND INTEREST RECEIVED ALLY PRA 02/18/14 80ND INTEREST RECEIVED 81760NAN9 02/25/14 02/25/14 BOND INTEREST RECEIVED 12669DYS1 FOREIGN BOND INTEREST 378961AV8 0.00 3000000 SOLD, ERN CALIF EDISON CO PREF SERE 6.250% 02101/22 WE DTO 01/17/12 CLB RD 01/04 PD 02/01/14 2000 SFRS APPLE INC COM RD 02110 PD 02/13/14 INSURED DEPOSITS INTEREST CREDITED 126600 SF RS ALLY Fl L INC PERP PFD FIXEDIFLTG RATE SEE A CALLABLE RD 02101 PD 02118114 80000 SF RS GM AC CAP TR I G TD TR PFD SECS SER 2 8 125% FIXED RATE RIG RD 02/14 PD 02115/14 2500000 SERVICEM ASTER CO SR NT • CUSIP FULLY EXCHANGED FROM OLD CUSP 81760NAL3 8.000% 02115/20 WE DTD 02/13112 CLB RD 01/31 PD 02/15/14 4500000 COUNTRYWIDE HOME LOANS SER 03.1 CL 81 1090% 03125133 B/E OTEI 01130103 RD 01131 PD 02125/14 8250000 GLOBAL MTG SECURITIZATION LTDI GLOBAL MTG SCIZN ISINOUS378961A1/83 5.250% 01125132 B/E DTD 04/28/05 RD 01131 PD 02125114 ,181,932.07 93,750.00 LSD 6.100,00 LSD 561.67 LSD 67.256.25 LSD 40,625.04 LSD 100,000.00 LSD 5,639 20 LSD 13.057.07 LSD Page 16 of 22 Account Number. Go paperless Ck ,ForNrriAL LLC. oN CAW* RATED EXCILIANC I COMMUNICAlIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN Ral•d tiocel.n l•M c- ....%.n.. WC • am. arra ••••••••••• SDNY_GM_00045770 DB-SDNY-0008594 EFTA_00 156379 EFTA01288742

PC. Sot 12/6. aPt mat MD 21203 0eviv, e Ram Dnwrr. Worth Maernalt 1.14e<C, Conn« Grod) MAV M Pa* ~net `ac IlmIlert Mc* Ha Part 4.~ lNnrxcr Wm. RA. PY BMA Transactions by Type of Activity (continued) Process/ Trade) Settlement Transaction Date Date ACtiVi Dividends and Interest (continued) 02125114 BOND INTEREST RECEIVED 10000000 IM PAC CM B TR 2005.2 ASSET BC BD CL 114.2 45254NNC7 0 890% 04125135 BIE DID 03103105 RD 02124 PD 02125114 Dew' on Doane Statement Period: 0210112/14 -0212812114 Price Accrued littered Amount Curren 02/25/14 BOND INTEREST RECEIVED 1290000 WASHINGTON MUT MTG SECS CORP 2004-12A2 939336S20 MIG PASSTHRU CTF CL C-8.1 VAR RATE 6.973% 07125/33 EVE DTD 06101/04 RD 01131 PO 02125/14 3000000 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 02101/22 WE RD 01/04 PO 02/01/14 SOURCE CODE RUSL ADJ TO FOLLOW 02126114 02104114 BOND INTEREST ADJUSTMENT 842400FU2 1,056.26 LSO 4,836.82 USD .93.750.00 USD 02/26/14 CASH DIVIDEND RECEIVED SOUTHERN CALIF ED ISOA CO PREF SER E 6 250% 02101122 93.750.00 LSD 842400FU2 WE RD 01/04 PD 02/01/14 CASH PAYMENT 3000000 Total Dividends and Interest- UNITED STATES DOLLAR Distributions 02125/14 RETURN OF PRINCIPAL RECEIVED 126690Y51 4500000 COUNTRYWIDE HOME LOANS SER 03-1 CL BI 4 090% 03125133 WE DTD 01130103 RD 01131 PO 02125/14 02/25/It RETURN OF PRINCIPAL 8250000 GLOBAL MTG SECURMZATIOA LTD/ GLOBAL MTG RECEIVED SCTZN ISINAUS378961AV83 5 250% 04125132 B/E DTD 378961AV8 04128/05 RD 01131 PD 02/25/14 02/25/14 RETURN OF PRINCIPAL 1290000 WASHINGTON MUT MTG SECS CORP 2004•RA2 RECEIVED MIG PASSTHRL CTF Cl. C.B-1 VAR RATE 6.973% 07125/33 939336S20 WE DTD 06101/04 RD 01/31 PD 02125/14 02/26/14 PARTNERSHIP DISTRIBUTION 263157 SHRS APOLLO GLOBAL MGM T LLC CL A SHS RD APO 02/19 PO 02/26/14 02/26/14 RETURN OF PRINCIPAL 10000000 IM PAC CM B TR 2005.2 ASSET Be BO CL 14.2 RECEIVED 0.890% 04/25135 WE DTD 03103105 RD 02124 PD 02125/14 45254A NC7 0.00 332,882.31 12,924 41 LSD 44,250 63 USD 778.33 LS0 284,209 56 LSO 5,642 64 LSD Total Distributions • UNITED STATES DOLLAR 0.00 347,805.57 Page 17 of 22 Account Aura Dec- Ral•cl GeJ paperless Sane. Yews In A Row SO Li THERAeri C t\IFIDEhrstaliAL N` r xcitatui ItAITZDCOMMUNSCATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ag,,,,,,,~•~ 9 msg. • •~•~•••••••••• SDNY GM 00045771 DB-S6NY:0008595 EFTA_00 156380 EFTA01288743

Transactions by Type of Activity (continued) Process/ Trade! Sttlenient Transaction Date Date Activi Deal ion Giant' Price Awned Interest Arn cunt Garen Cash Withdrawals and Deposits 02104114 FEDERAL FADS 0. DEUTSCHE BANK TRUST ,190,000.00 USD USD999997 02(19/14 FEDERAL FUNDS RECEIVED ?MORGAN CHASE BANK 35437 10.397.099.07 USD USD999997 Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 10,207,099.07 FDIC Insured Bank Deposits 02/03114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -8,266.14 LSD USD999997 02/04/14 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 96,250.00 LSO WITHDRAWAL USD999997 02/05/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITSPROGRAM -33,54341 LSD USO999997 02/06/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM •110,39992 LSD USD999997 02/07/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -17,047.14 LSO U5O999997 02/10/14 FDIC INSURED BANK INSURED DEPOSITSPROGRAM 342.922 54 LSD WITHDRAWAL USO999997 02/14/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITSPROGRAM 4100.00 USO USD999997 02/14/14 FDIC INSURED MK INSURED DEPOSITS INTEREST Ran VESTED .661.67 LSD DEPOSITS INTEREST REINVESTED 458997996 02/19/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM •207.88129 USD USD999997 02/20/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITSPROGRAM •10,397,099O7 LSD USD999997 02/26/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM .82.542.72 USD USD999997 02/27/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITSPROGRAM -289,852.20 LSD 50999997 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 40,714,121.02 Total Value of Transactions 0.00 .8,266.14 USD The price and quantity displayed may have been rounded. Pap 18 of 22 Account Nu@ Der Go paper Rand tiallent lless Seven Veen In A Row CALM* RATED COMMInCATIONS SOUTH ERA CLIO F E NMAL excumucc CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Cf.........t. 1/4 0.•••• We. • ••••••••••••••••••141M7 SDNY_GM_00045772 DB-SDNY-0008596 EFTA_OOI5638I EFTA01288744

PC. Bc.1776 B4I .M021203 Cash Not Yet Received Security Deshoe Pnwe Weada mr.agenms Marais tonna ro‘P Deaulv Sank Secto9e. Inc Mow Int Olk• HS Put Asa. IM, I leer Statement Period: 0210112114 -02/2812114 Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment Dividends GENERAL ELECTRIC CO CON 02124114 04125114 Total Cash Not Yet Received Bond Maturity Schedule 23 000 COO 0 220000 Cash 5.060.00 Bond Maturity Market Value % of Bond Market Value 1 to 6 months 2,090,000.00 6% Percentages of bond market values are I to 12 months 3.223.800.00 9% rounded to the nearest whole percentage. 1 to 5 years 2.072.500.00 6% 6 to 10 years 10,012,000.00 28% Over 10 years 18,881,029.45 51% Total 36,331,329.45 100% Bond Quality Bond CHAN Market Value % of Bond Market Value BAA 5.450 000 00 15% eAlLower 24.563.043 54 68% F1 hot Rated 6.326.285 91 Total 36,339,329.45 100% Client Service Information 15.060.00 Percentages of bond market values are rounded to the nearest whole percentage. Your Client Advisor: TDS TAZIA Irk 345 PARK MtEh LE 141.f. FLOOR KEW YORK NY 10154 Pin1992SCSF300IS Contact Information Telephone Number: Account Number SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 19 of 22 listed I ...tient Go paperless sten '.la Yea A Rew LI 0. . IT . II V NFIDEN 1AL (NW* RATED COMPALINOCADONS EXCEL...NCI C•NISIIII.NIONOWSIP.114.•••••0011.••••••••••••MI SDNY_GM_00045773 DB-SDNY-0008597 EFTA_00 156382 EFTA01288745

Your Account Information Tax Lot Default Disposition M ethod Default Method for Mutual Funds: FIRST lie FIRST OUT Default Method for Socks In a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST lk FIRST OUT Electronic Delivery You have not selected any account com m unications for electronic delivery. To register and turn off paper con m unications, log in to your account or contact your Client Advisor for more inform alion. FIRST lk FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in you account on a settlement date basis. including short positions. at the close of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked —N/A— and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) 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 vAwrpershing.cornibusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securties 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. Options Information WO 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 fern. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. 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. Foreign Currency Transactions Pershing may 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 win 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) wit be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Pools 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 & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Pod'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. Cash Not Yet Received Assets shown here are not reflected is your account This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Page 20 of 22 rrnan.r. • T Account Number: SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) 4 • Rabid Excellent Seven Years In A Row blew. •••••401.1.1.C. se. ••••• istat Go paperless DAL•All ILATCOCOWALINICAT1ONS K1 F I DA5NITIAL.:'' . """"" SDNY_GM_00045774 OB-SDNY-0008598 EFTA_00 156383 EFTA01288746

01,41.1•C PAIMIP, Ind Maroets (Ino 4.0.9 De.tic Nom M. ...iv, bete Office 14,°m n...... .lent tine writ 1.v laVA Statement Period: 0210112014 • 02/28/2014 Important Information and Disclosures (continued) Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody'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. The Role of Pershing • Pershing carries your account as cleating 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 (i) 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 controling or under common control with it liaNe 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 appicable; 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 (201) 413-3333. AI 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, btu as a general disclosure. II 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. Fa more detailed information please visit: wmv.pershing.cornistrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be reconfirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization' inn information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department: One Pershing Plaza; Jersey City, New Jersey 07399; . Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Page 21 of 22 801199nCSF30,15 Account Number SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) owe Go p<Ilwrless sten year, ea aft. F DrTIA L at i lt; RTC) COMPAUPOCA110.4% Corwopienueliftreinpu.0.•••••.••••••••••••••ar SDNY_GM_00045775 013-SDNY-0008599 EFTA_00156384 EFTA01288747

Important Information and Disclosures (continued) Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration. nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until: (I) the class certification is denied: (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this 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 224122 Account Nun her a ., Rated I ...meat B011992SCSF300IS Go paperless i —Yen i DACOOMI..a.A SO CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Mar F I DAENTIA r Cons.••••41. ••••••wo.I.C. • sea. *arts ••••••••• SDNY_GM_00045776 DB-SDNY-0008600 EFIA_00 156385 EFTA01288748

PA Os 1775. Swam MDPIXO Draft, ' (I.4 Pr'WO V./.411.1•11Mle, tat Mwats I wear tot,p Pawl./ sat sew on 4%. New brit Cato HS Past Asa. Ammer I•r• *A NY 101M Valuation at a Glance Account Number: Statement Period:0110112114 -01/3112114 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 90,673,060.28 590,573,050.28 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals -109,995.00 -109.995.00 ST THOMAS VI 00802 Adjusted Previous Account Value 90,463,056.28 90,463,056.28 Dividends. Interest and Other Income 38.807.19 38.807.19 Net Other Activity -18 00 -18 04) Net Chan e in Portfolio 501 761 99 501.761 99 nding Account Value S91 003 606.46 591.003.606.46 Your Client Advisor: Estim aced Annual Morn e 13,709,636.95 TAZIA 9M ITN Asset Allocation Prior Year-Bed led Period This Period % Allocation ISO Cash. money Funds. and Bank Deposts1 18295,949.71 18,295,949.71 21,930379.16 21.10% USD Axed Income 27,736,972.38 27,736,972.38 25,708,949.55 2825% Noniti SD Fixed Income 10.22230916 10,222309.46 10,201.60702 1121% USD Equities 30,41051965 30,410,519.65 29,750390.18 3211% 1 l N Non-LSD Equities 3.137.192.74 3,137,192.74 2,796,600.00 3.07% Non.liSD Cash. Money Funds. and Bank Deposits 402106.34 402106.34 393,526.05 0.43% Other 363.000.00 363.000.00 210.154.50 0.23% Account Total (Pie Chart) 990,573,050.28 590,572050.20 $91,003,806.46 100.00% I The Bank Deposis In your account are FDIC insured bank deposits. FDIC insured bank deposits are rot securities and are not covered by the Securities Investor Piotectbn Corporaton These bank deposits are covered by the Federal Deposrt Insurance Corporation FDIC). up to stowable lents. See! pap page 2 01 the statement for important nformaton regarding the Asset APOC8t)Casecoon. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 50100:42CSF30DI6 Pe Chart allocation only inctdes products that are of positve value. Assets or lass than 1% of hue:linos wit not display on this pe chart Page 1 of 23 Go p tperless Si,,.,, V... er. A , • . . , T • 0 a t Rated I ..t eNent gl:Vtaf ge STD COMMUNICAllONS coNFIDEN /AL, - T brae Wyse Oinalow LW. node. *wood *SM." SDNY_GM_00O45777 OB-SDNY-0008601 EFTA_00156386 EFTA01288749

Asset Allocation Disclosure and Footnotes Certain values have been defaulted into the Other Asset Class due to incomplete categorizing data Al values are displayed in U.S. dollars based on interbank exchange rates as of 01/3112014. Exchange rates can vary. Equities contains Equity Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short.Tern Gain/Loss -155,710.40 ,155,770.40 1,381,904.52 Long-Term Gain/Loss -50.544 57 -50,544.57 4,707,158.03 Net GaIn/Loss -206,314.97 -206,314.97 4,345,253.51 This summary excludes transactions where cost basis information is rot available. Exchange Rate Table Global Cash Orating Closing Amount in Currency USD Etolvalent pee USD Wrenn, Balance Base Wrens* USD EURO 1.3404 0.7416 EURO 291,846.67 393,526.05 MEXICAN PESO 0.0747 13.3801 Total Global Cash Balance 5393,526.05 Exchange rates are based on interbank exchange rates as of 0113112014. Exchange rates can vary. FDIC Insured Bank Deposits Date Activity Type Desaiption Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number. AaMily En ing: 01/31114 01101114 Opening Balance 18,181,672.33 18,181,672.33 01102114 Deposit DEPOSIT 114,277.30 18,295,949.71 01103/14 Withdrawal WITHDRAWAL -18.00 18.295.931.71 01113/14 Deposit DEPOSIT 2,216,07141 20,512,003.12 01115114 Deposit Its TERM CREDITED 470.84 20,512,473.98 01115/14 Deposit DEPOSIT 2,149,274.07 22,661,748.03 AN 0.03% 01116114 Withdrawal WITHDRAWAL -3,684,681.32 18,977,088.71 Associated Bank NA NO 01/16 5250000.00 BB&T NO 01/16 5250000.00 Bank of America NO 01116 S250000.00 Citibank N.A. Page 2 of 23 80100212C5F30016 Account Number SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) NI c Go paperless t s MA t LSA ".—II `TA Rae TONS F I D,• • NT IA RA MUNCA VCCOUNC Caislop *map Owenby LLC. • same. oar. •••••••• ea no MAI la Psi yes lean C•••••••••• Cart all.1 SDNY_GM_00045778 0B-SDNY-0008602 EFrA_00156387 EFTA01288750

PC. BC. 1776. salt mum MD 21203 FDIC Insured Bank Deposits (continued) Date Activity Type Description 0ruisce Pan. Pnwiln *MAP. Papmernan Pavans Cisme 4,0‘P DeAsov M Sectonei +gc lire yen Cali* la Pon Annus. )(alter Statement Period: 01/01/2014 • 01/31/2014 Amount Balance Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) NO 01/16 5250000.00 Deutsche Bank NO 01/16 $16790068. East West Bank NO 01/16 5250000.00 NY Comm unity Bank NO 01/16 5250000.00 Texas Capital Bank NO 01/16 $25000000 Miele Capital Bank NO 01/16 $186998.58 Union Bank of CA NO 01/16 5250000.00 01/23/14 Dermal DEPOSIT 93.47910 19.070.546.41 01124/14 Withdrawal WITHDRAWAL 109,995.00 18.960.551.41 01128/14 Deposit DEPOSIT 99,559.34 19,060,110 75 01129/14 Deposit DEPOSIT 2.868,00227 21.928.113 02 01131/14 Closing Balance 521,928,113.02 Total FDIC Insured Bank Deposits 521,928,113.02 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250.000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Dividend Income Equities Interest Income Bond Interest FDIC Insured Bank Deposts Total Dividends, Interest, Income and Expenses Cement Period Yeahlo•Date Taxable Non Taxable Taxable Non Taxable 13,326.14 0.00 13,326.14 0.00 25,010.21 0.00 25,010.21 0.00 470.84 0.00 470.84 0.00 $38,807.19 $0.00 $38,801.19 $0.00 Page 3 of 23 Account Number Go paperless SOL THERM CH r6w. CALM* ItATED CCPAPALINICATIONS FIDtgataTAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0„,....0,.....•••••••• us& • ••••• Paned ••••••••• SDNICGM_000,15779 DB-SDNY-0008603 EFTA_00 156388 EFTA01288751

Income and Expense Summary (continued) Current Period Year.to-Date Taxable Non Taxable Taxable Non Taxable Distributions Other Cis:nu:ir:us 000 85.72909 0 00 85 729 09 Total Distributions $0.00 685,729.09 $0.00 $85,729.09 Portfolio Holdings U.S. DOLLARS Account Cimino Date Quantity Number Activity Opening Baba Balance Closing Balance Accrued Income Income This Year 30•Day Oment Yield Yield Cash, Money Funds, and Bank Deposits Cash Balance 54,731 58 8.26614 Margin Balance 59,545.80 0.00 FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 01101114 21,928,113.020 01531/14 18,181,672.33 21 928.113 02 292.99 470 84 NIA NIA Total FDIC Insured Bank Deposits $18,181,672.33 $21,928,113.02 $292.99 $47044 Total Cash, Money Funds, and Bank Deposits 318,295,949.71 $21,936,379.16 $292.99 $47014 Adjusted Utrealized Awued Estimated Estimated Date Ned Ousetit Daft Cos! Cod Basis Market Price Markel Value Gala/ Loss hung Muesli Income Yield Fixed Income (In Maturity Date Sequence) 'Asset Backed Securities 'GLOBAL M TG SECURITIZATION LTD/ Security Identifier: 378961AV8 GLOBAL MTG SCTA ISM/ US3789611V83 5250% 04125132 WE DM 04128105 Moody Rating CAA3 S P Rating B- Factor. 0.36175424 Effete Date:01/02/14 Current Face Value: 2.984.472.480 12113/13 '.3.12 3,078,211.000 919900 1,024 360 05 94.0780 1,047,611 09 23,251 04 974.36 0 nginal Cost Basis: $1,040,301.84 Total Noncovered 3,078,211.000 1,024,360.06 1,047,611.00 23,261.01 974.38 Variouse.1.11 5,171,789.000 N/A Pease Provide 94.0780 1.760.120.93 N/A 1,637.05 Original Cost Bait Rena Provide Total Unallocated 6,171,789.000 Please Provide 1,760,120.93 NIA 1437.05 Total 8,260,000.000 NIA $2,607,732.02 NIA $2,611.41 $0.00 'COUNTRYWIDE HOME LOANS Security Identifier: 12669DYS1 SER 03-I CL 81 4.090% 03126/33 B/E DID 01130103 Factor: 0.26152783 Effective Date:01102114 Current Face Value:1.176.875.235 12113/13 Urn 1,211,860.000 95.4990 302469.88 86.9630 275,61628 -27,053.60 1,080.22 80100242CSF30016 Page 4 of 23 Account Number SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) . . i Go paperless S c E Ti ,,..-r-, la xt ir C""L"CATICNI ñ CONI.S.O.NIONINIMSOLLIC. •101100.••••••• Melt, *I MP DOM Ilan•••••• SM. C•••••••••14•MY MS* SDNY_GM_00045780 OB-SDNY-0008604 EFTA_00156389 EFTA01288752

P.O. e41776. Balemon MD21200 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Ned Ouaetlt Deft Cori Fixed Income (continued) 'Asset Backed Securities (continued) COUNTRYWIDE NOM E LOANS (continued) Original Cosl Basis: 5306.153.67 Total Noncovered 1,211,660.000 302,669.10 275,616.21 -27,053.60 1,000.22 Various',1,11 3,288,140.000 Pi/A, Hesse Provide 86.9630 Original Cost Basis: Ream Provide 747,829.73 N/A 2.930 96 Total Unallocated 3,210,140.000 Please Provide 747,1129.73 NIA 2,930.96 Total 4,500,000.000 NIA 51,023,446.01 N/A 94,011.18 $0.00 !WASHINGTON NUT N TG SECS CORP 2004-RA2 Semite Identifier: 939338320 TG PASSTHRU CTFCL C43-1 VAR RATE 6.972% 01125/33 WE DID 06/01104 S 8 P Rating D Factor:0.64524087 Effective Date:01(02414 Current Face Value: 832,360122 12113113'.x•12 837,723.000 77 0000 416.210.59 86.0460 465,107 12 48.896 62 3.14090 Original Cost Basis 5417,514.76 Total Noncovered 837,723.000 416,210.50 465,107.12 48,396.62 3,140.90 Various'.3.11 452,277.000 NIA Please Provide 86.0460 251 105 99 NIA 1.695 74 Original Cosl Baas: Please Provide Total Unallocated 452,277.000 Please Provide 251,105.99 NIA 1,695.74 Total 1,290,000.000 NIA 1710,213.11 NIA 14,835.54 WOO 11N PAC CM B TR 2005.2 ASSET 61(0 BD CL Security Identifier: 45254NNC7 14-2 0.893% 04125135 WE DID 03103105 Moody Rating CA S 8 P Rating CC Factor: 0.14683303 Effective Date:01127114 Current Face Value: 1.468.330.300 12113/13 'An 1,500.554 000 69 4090 152.929.44 71.1550 156,776.45 3,847 01 32.79 Original Cosl Basis: 5156,285.58 Total Noncovered 1,500,554.000 152,929.44 156,776.45 3,047.01 32.79 Various'.3.11 8,499,446.000 N/A Please Provide 71.1550 888,013.98 N/A 185.75 Draftee lima P0•110 YMY I, PAIMI,Nat Mareits I wear Comp °tau iv sat sew *es 4%. Naw b4Niko HS Pia Aso* IM, I Icor Now** NY 101M AdJudmi Cad Bads Market Price Markel Ville Statement Period: 01/0112014 - 01/3112014 Usrealized GaialLoss Acaued Estimated Estimated Interest Annual Income Yield Original Cosl Basis: Please Provide Account Number SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) Page 5 of 23 Rated tiallent paperless t ir yews en A LAMAR RATED COMMLNOCA110.41 F I DrW[1AL INCELIANCI Consp0••••• Ono.. U.C. • sop *sad •••••Nan SDNY_GM_00045781 OB-SDNY-0008605 EFTA_00156390 EFTA01288753

Portfolio Holdings (continued) U.S. DOLLARS (continued) Date A ired act WM Cost Fixed Income (Generated) 'Asset Backed Securities (continued) III PAC CM B TR 2005.2 ASSET WO BD CL (continued) Total Unallocated 1199,416.000 Total 10,000,000.000 Total Asset Backed Securities 24,010,000.000 Total Current Face Value : 6,482,038.737 Corporate Bonds SG STRUCTURED PRODS INC COMMODITY LKO MKT PLUS PROTECTED NOTES 0.000% 08/05/14 WE DM 07/30113 07/25/13 ' •12.13 2,000.000 000 100 0000 HSBC USA INC MEDIUM TERM NTS BUFFERED NOTES LKD TO EURO STO)S 50 0.000% 08/29/14 WE DTD 05/30/13 05124113 2,000,000.000 100 0000 PM ORGAN CHASE & CO M EDIUM TERM NTS CAPPED CONTINGENT BUFFERED EQUITY NTS 0.000% 10/16/11 WE D10 09/27/13 12/05113 '•2.2! 1.000.000 000 100 0000 PETROLEOS DE VENEZUELA NOTES SENIOR 'SIM XS0460516525 5.000% 10/28/15 REG DTD 10/28109 S 8 P Rating B• 12/04/13 '.3.t2 2 500 000.000 90.6830 Adjusted 0:41 Basis Market Price Markel Valet Please Provide NM 888,013.98 $1,044,790.43 55192,181.57 HEADWATERS INC GTD SR NT 7.625% 0110111981E DTD 03/11/11 CALLABLE 0//01115 (I 103.813 Moody Rating B2 St P Rating B• 10122112'.22,23 1,000,000.000 102.6060 EARTHUNK INC GTD SR NT FULLY EXCHANGED CUSP FROM 270321AB8 8.875% 05115119 WE DTD 05117111 CALLABLE 05115/15 S8 P Rating CCC• 10/22/12 '.12,13 400,000.000 102.6520 80100212CSF30016 11,896,16917 Security Identifier: 78423EHS5 2,000,000.00 100.3900 Original Cosi Basic 52,000,000.00 Security Identifier: 10132XFP1 2,000,000.00 105.9300 Original Cosi Basic 52.000.000.00 Security Identifier: 18126NVE4 1.000.000 00 101 6900 Original Cosl Base 51.000.000.00 Security Identifier: P7807HAF2 2,267,064.32 82.8000 Original Coin Basic 52.250.000.00 Security Identifier: 42210PA05 1.026.056.48 108.0000 Original Cosi Basic 51,035,000.00 Security Identifier: 270321AC6 410.808.59 99.7500 Original Cosi Basic 5414.000.00 Account Number SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 2,007,800.00 2,118 600 00 1A16.900 00 2,070,000.00 1,080,000.00 399 000 00 Unasked Gala/ Loss Accrued Interest Estimated Estimated Annual Income Yield NIA 05.75 NIA 921151 $0.00 548,941.07 911,877.77 50.00 7,800.00 0.00 118100 00 0.00 16100 00 000 .197.064 32 31.94444 125.000 00 6.03% 53.943 52 25.416 67 76,250.00 7.06% .11108.59 7,491.44 35,500.00 8.89% Page 6 of 23 Go paper less Rat cat ;17:A R— K1 F I I:YrNITTA '''`turccmmumesitta CONIES. OMUI.111.010•MPISC. • i••••.••••• •••••••••• SDNY_GM_00045782 06-SDNY-0008606 EFIA_00 156391 EFTA01288754

P.O. Bag 1776. Baltnnot•MOV203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date 'red Quad Usk Cod Fixed Income (continued) Corporate Bonds (continued) EARTHUNK INC GTD SR NT FULLY EXCHANGED (continued) 10123112 %DM 800,000.000 102.4650 Total Noncovered 1,000,000.000 Total 1,000,000.000 SERVICES ASTER CO SR NT - CUSP FULLY EXCHANGED FROM OLO CUSP 81760NAL3 8.000% 02/15120 WE DTD 02113112 Moody Rating CAA1 S P Riling CCOr 01124113 'AM 1,500.000.000 1052680 Adjuded Cod Bads 0..n.,•, Pam w,. PAanair-wor Mtnets (Pt„(* G.0.9 De.ite Nom Sew"... 4( Yin lkirk Office JI,Pant Anne.. 101.01cce trine SA nY 101:4 Market Price Market Value Statement Period: 01101/2014 - 01/31/2014 linearized Galnl Loss Acaued Interest Estimated Estimated Annual Income Yield 614,789.17 99.7500 Original Cad BaSit $619,500.00 1 025 397.76 51,025,397.76 598,500.00 997,600.00 $997,500.00 .16,289.17 11,241.07 -27,897.76 18,738.11 53,250.00 8.89% 68,750.00 02125113 %UM 1,000,000.000 105.8590 Total Noncovered 2,500,000.000 Total 2,600,000.000 LLOYDS TSB BK PLC EURO ISSUE MEDIUM TERN NOTESISMSX.50717735822 9.875% 12116/21 REG DM 12/16111 Moody Rating Del St P Rating BBB 12104/13 '.3.12 1,500.000 000 108 3940 Security Identifier: 81760NANI 1,579,026.96 103.5000 Original Cod Basis: SI.595,625.00 1,058,588.49 103.5000 Original Cod Bass: 51,070,000.00 2,637,615.45 $2,637,615.46 1,552,500.00 1,035,000.00 2,517,600.00 $2,617,600.00 -327,007.76 113,731.11 -26.526.96 -23,588.19 -60,116.16 55,333 33 38.888 89 92,222.22 111,750.00 120,000.00 7.72% 80,000.00 7.72% 200,000.00 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 02101122 WE DTD 01117/12 CALLABLE 02701122 Moody Raring BAA2 S P Rating BBB. 01130112'.3.I2 3,000,000 000 99.7900 BARCLAYS BK PLC CONTINGENT CAP NT ISM LS06739FH KO3 7.750% 04/10123 B/E D1D 04110113 CALLABLE 04110118 St P Rating BB* 04103113 %ISM 300,000.000 100.0000 Security Identifier: GIS15PP48 1.625.910 66 119 2500 engine! Cost Basis. 51 627,500 00 Security Identifier: 842400FU2 2.993.701 54 103.7500 Original Cost Ban 52,992,564.97 Smithy Identifier: 06739FliK0 300,000.00 108.3750 1.788350 00 3,112,500.00 325,125.00 -$50,115.15 162,83934 118.798 46 25,125.00 $12,222.22 1200,000.00 18.10117 93.750 00 7,188 75 118.125 00 8.28% 187.500 00 6.02% 23,250.00 7.15% Page 7 of 23 (MAR.( o r Account Number: Go paperless KIFIDAENTIAL eXCELISPICI CONFIDENTIAL — PURSUANT TO FED. R CRIPA. P. 6(e) Rated imeellent Seven Years In A Row DAMAO, RATED COMINIUNICAT10.41 CONSIIIIIMuel. PONS. Ile. • WINO. 0•1004 YAWS, MR DOM fa maw saw conminta• can MS04 SDNY_GM_00045783 OB-SDNY-0008607 EFTA_00156392 EFTA01288755

Portfolio Holdings (continued) U.S. DOLLARS (continued) Date A ired al Usk Cot Fixed Income (continued) Corporate Bonds (continued) BARCLAYS BK PLC CONTINGENT CAP NT (cod/ended) PM ORGAN CHASE & CO DEP SHSREPSTG 1/10TH Pf0 SER 1 FIXED TO FLTG RT BD 7.900% 04/29/49 B1E DID 04/23108 Moody Rating BA1 S d P Rating BBB 06/15/11 '.3.12 2.500.000.000 107 5000 06115/11 2.500,000 000 107 0000 Total Noncoyeted 5,000,000.000 Total 5,000,000.000 BANK AM ER CORP PERP NON COM ULATIVE DEP FINEI TO FLOAT 8.125% 04130/58 EVE DTD 04130/08 CALLABLE 05/15118 Moody Rating BA3 Sd P Rating BB+ 01/10/11 '.3.12 2.000.000 000 102 7500 Adjusted Cot Basis Market Pria Market Value Unrealized Gain/ Loss Accrued Interest Estimated Estimated Annual Income Yield Original Cost Basis. 5300,000 00 Security Identifier: 48825141141 2.687.500.00 110.6200 Original Cost Basis. 52,687,510.00 2.675.000.00 110.6200 Original Cosl Basis: 52,675,000.00 5,362,500.00 35,362,500.00 2.765.500.00 2,765,500 00 5,531,000.00 $5,531,000.00 78.000 00 90,500 00 168,500.00 49.375 00 49,375 00 98,750.00 197.500.00 7.14% 197,500 00 7.14% 395,000.00 GENERAL ELEC CAP CORP NON CUM PFD SER A 7.125% 00112/62 ENE DTD 06112112 CALLABLE 06/15/22 Moody Rating BAA1 S P Rating AA- 06127/12 %ILO 2.000.000.000 105 5300 LBG CAPITAL NO 1 PLC 144A ISMS X50473106283 8.000% 09/15/88 REG DTD 12115109 FOREIGN SECURITY S8 P Rating BB 12104/13 '.3.12 3.000.000.000 108 2500 Total Corporate Bonds 28,800,000.000 Security Identifier: 060505018 2.055.000.00 111.2600 Onginal Cast Basic 52.055.000.00 Searlty Identifier: 3696228N6 2.110.605.12 112.3750 Onginal Cost Basis. 52.122.916.67 Security Identifier: 054338808 3.247.500.00 107.0000 Original Cosl Basis: 53,247,510.00 $29,651,351.33 2.225.200.00 2.247.500.00 3.210.000 00 $30,318,375.00 $166,500.00 170.200 00 136.89488 196,750.00 $395,000.00 34.305 56 18.208 33 •37.500.00 30.666 67 162.500.00 7.30% 142.500.00 6.34% 240.000 00 747% $661,023.67 $469,272.92 11,788,875.00 Total Fixed Income 52,840,000.000 $31,547,521.20 135,910,556.67 $716,984.74 $480,950.69 11,788,875.00 Page 8 of 23 80100212CSF30016 Account Number. Go paperless ejtik w om en Yea/. en A Rew FtDrniariAr--""rt-- CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) SOLTHERA cr5. eyes., ...IA Anse. We. • am. •••••• ••••••••• SDNY_GM_00045784 DB-SDNY-0008608 EFTA_00156393 EFTA01288756

PC. Sat Ills. flat moot MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Cate A- aired Outfit Unit Cod Equities Common Stocks APOLLO GLOBAL M GM T LLC CL A SHS Dividend Option: Cash 03129/11 '.13 263.157.000 APPLE INC COM Dividend Option: Cash 10/28113 2,000.000 ARIAD PHARM ACEUTICALS INC Dividend Option: Cash 02114/12 '.13 7,535.000 01124/13 '.13 9.000.000 Total Noncovered 16,535.000 Total 16,535.000 ASCENA RETAIL GROUP INC CON Dividend Option: Cash 01116101 70.500.000 BIOGEN IDEC INC CON Dividend Option: Cash 02114/12'.13 FACEBOOK INC CL A Dividend Option Cash 05117/12 '.13 Onisre Ram kmalPVItaltniAmigenes Pdatal$ Poen< 6 ,..p Dettsch4 Oat Stwles wan Onto Put 4+~.160. "ter War we\ Yr ,paw Cost Basis Market Prim Nadel Value Statement Period: 01/01/2014 01/31/2011 Unrealized Gain! Loa Estimated Estimated Annual Income Yield 19 0000 529 0600 15 2090 19 6000 21 2770 2,095.000 119 5490 17.500.000 38.0000 FOUNDATION MEDICINE INC COM Dividend Option: Cash 01113114 GENERAL ELECTRIC CO COM Dividend Option Cash 04123/13 P0100212CSF30:0 :: 25.000 000 27.5070 23,000 000 21.5700 Security Identifier: APO CUSP. 037612306 4,999,983.00 32.4500 6.539.444.65 3.539.46115 1 039 470 15 12 17's Security Identifier: AAPL C699 037833100 1,058.120 50 500.6000 1,001,200.00 -56.920.50 24,400.00 2.43% Security Identifier: ARIA CUSP. 04033A100 114,597.40 7.3900 55,683.65 48,913.75 176.400.00 7.3900 66.510.00 -100,890.00 211,997.10 122,193.65 ,188,003.75 1290,997.10 $122,193.65 -116803.75 $0.00 Security Identifier: ASNA CIAP. 04351G101 1.500.000.00 18.7600 1.322.580 00 -177,420 00 Security Identifier: BNB CL SIP 09062X103 250,454.95 312.6400 654.980 80 404,525 85 Security Identifier: FB CUSP: 3030311102 665.000 00 62.5700 1.094.975.00 429,975.00 Security Identifier FM I CUSP. 350165100 687.66350 29.9400 748.500.00 60,836.50 Security Identifier: GE CUSP: 369604103 496,109.08 25.1300 577,990.00 81,880.92 20210.00 3.50% Account Number SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 9 of 23 Rand ow ',lent Go paperless se—v---8^ Itew DALIN* RATED COMMUNICAtIONS • • • eXCILUNCE N C FIDENTIAL Condo& enuoiralwabyti.a. •floor *gabs mums., SDNY_GM_00045785 DB-SDNY-0008609 EFTA_00 156394 EFTA01288757

Portfolio Holdings (continued) U.S. DOLLARS (continued) Date ired Eq uities (continued) Common Stocks (continued) GENERAL MTN CO COM Dividend Option: Cash 11118110 ' 12109110 ' Total Noncovered Total 97,525.000 P M ORGAN CHASE & CO COM ISktUS46625H1005 Dividend Option: Cash 07114105 '.3 21 753.000 SANGAN 0 BIOSCIENCES INC COM Dividend Option: Cash 05128/13 '.13 Quail Usk Cod Cod Buis Market Price Markel Value Unedited Gala/ Low Estimated Estimated Annual Income Yield 10.988.200 86,536 800 97,525.000 36.4010 36 8160 Security Identifier: GM CUSP. 37045V100 399.978.16 36.0800 3,185,969.22 36.0800 3 586 947.36 396,454.21 3,122,247.73 3,516,702.00 .3,623.89 -63,721.49 -67,245.36 13,185.84 3.32% 103,844.16 3.32% 117,030.00 50.000 000 SANTANDER CONSUMER USA HMS INC COM Dividend Option: Cash 01123/14 1.000.000 TWITTER INC COM Dividend Option: Cash 11107/13 1,500.000 Total Common Sods Preferred Sods (Listed by expiration data) ALLY FINL INC PERP PFD FIXEDIFLTG RATE SERA CALLABLE Dividend Option: Cash 02103112 '.13 46.600.000 02/09112 '.13 mom 000 Total Noncovered 126,600.000 Total 126,600.000 GM AC CAP TR I GTD TR PFD SESSER 2 8 125% FIXED RATE/ FLTG Dividend Option: Cash 02/22112'.13 80,000.000 488 4840 8 4440 24 0000 26 0000 $3,686,947.38 Severity Identifier: PM CUSIP. 4662511100 10.626.002 00 55.3600 Security Identifier: SGM 0 CUSP. 800677106 422,214.00 19.3400 Security Identifier: SC CUSP. 8028311101 24.000.00 25.6300 Security Identifier: TWTR CUSP. 901841102 39.000.00 64.5000 23,516,702.00 1,204,246.08 967,000.00 25.630.00 96,750.00 -$17,246.38 -9,421,755.92 544,786.00 1.630.00 57,750 00 $117,030.00 33,064.58 2.74% 19.9140 208580 $24,645,491.81 Security Identifier: ALLY PRB CUSP. 0200511308 927,973.76 1.652.500.00 2,580,473.76 27.0300 27 0300 $2,580,473.76 Security Identifier: ALLY PRA CUSP. 361860208 23.5350 1,882,773.60 27 3800 $19,874,192.18 1,259,598.01 2,162,399.99 3,421,998.00 $3,421,998.00 2,190,400.00 -94,771,299.63 331,62425 509,899 99 841,624.24 $841,524.24 307,626.40 $1,234,204.71 99,025.00 7.86% 170.000.00 7.86% 269,025.00 $289,025.00 162,500.00 7.41% Page 10 of 23 Account Num Der ROwdl.edollent ?:0024-CSF'" Go paperless s— Yea- 8^ Pc."' DA LM* ItAT ID COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. 67e)UThatt F I DA5NITIAL EXCILISNCI awry •••••••••••••• node. ••••••1••••••••• SON Y_GM_00045786 OB-SDNY-0008610 EFEk_00156395 EFTA01288758

P.O. Bag 1776. BAbay** MO21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date tied Equities (continued) Preferred Stocks (continued) ROYAL BANK SCOTLAND GROUP PLC 7.25% WON AD R REPSTG SER T PFD SHS CALLABLE ON OR AFTER 12/3112012 0 25 Dividend Option: Cash 10124112 '.13 40.000.000 23.7000 951.600.00 24.5400 981.599.99 29.999 99 12,500 00 7.38% 01107113 40.000.000 21.1400 977.600.00 24 5400 981.599 99 3.999 99 72,500 00 7.38% 01111113 '.13 40,000.000 21.8800 995,200.00 24.5400 981.600.02 .13,599 98 12,500 00 7.38% Total Noncovered 120,000.000 2,924,100.00 2,911,500.00 20,400.00 217,600.00 Total 120,000.000 $2,924,406.60 12,944,11011.115 $20,400.00 2217,500.00 Total Preferred Stocks 17,387,647.36 $5,651,198.00 11,169,660.64 $619,025.00 Options CALL 100 AMERICAN AIRLS GROUP INC COM Option Identifier: 990AOTZX EXP 01.17.15Q 20.000 OPTION ROOT: AL Lnderlying Security Identifier: MI. 1,000.00 of these conlracts are in your margin account Underlying Security Price: $33.55 12111113' 1.000.000 8.0330 803,311.50 13.9000 1,390,000.00 586.68550 PUT 100 All ERICAN AIRLS GROUP INC COM Option Identifier: 99CIADTZGO EV0147450 20 000 OPTION ROOT: AAL Undedying Security Identifier: AAL -1,000.00 of these conlrads are a short position Underlying Security Price: $33.55 12111113' -1,000.000 1.9770 -197,702.00 0.6500 -65,000.00 132,702 00 Total Options 2606,012.50 $1,326,000.00 $719,357.50 $0.00 Total Equities 632,635,751.57 $29,756,390.18 -$2,582,351.49 11,083,220.71 Estimated Estimated Date Acquired Quantity Unit Cog Cost Basis Market Price Markel Value Gale/ Lon Mind Income Yield Exchange-Traded Products DEUTSCHE BK AG LONDON BRH DB AGRIC DOUBLE LONG TRADED NT Dividend Option: Cash: Capital Gains Option: Cash 07/12/10 %UM 31,134.000 7.0510 aunt Unit Cod Oeuiv.v gam Pr Fn. Wealth Ma nerrat Mnts Cowan . p Dtotem 544,. ',lc Ilre bet CON* M Pant Anew. 16.1 h I kw Cost Basis Market Price Markel Value Statement Period: 01/01/2014 - 0 1/311201 0 Unrealized Gain! Loa Estimated Estimated Annual Income Yield Security Identifier: RBS PRT CUSP 780097713 Security Identifier DAG CUSP 2515411558 219,512.76 6.7500 210.154.50 .9,358.26 Page 11 of 23 Account Num tier R•led I ...tient Go paperless saen la A no.- DALIN* RA T ED COMPALINICADONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 67e)UTHERk CO F I brNiTIA lc* EXCELIAINCI Comae Ono. owes. is& ....n rod assassin es no tier OP PSI'S. sew conpossos can maw% •••••••• tic yes new w el an SDNY_GM_00045787 DB-SONY-0008611 EFT:4_00156396 EFTA01288759

Portfolio Holdings (continued) U.S. DOLLARS (continued) Cafe Acq..red Quantity Unit Cost Cost Ban Market Price Market Value Unrealized Gain! Loss Estimated Estimated Annual Income Yield Exchange-Traded Products (continued) WISDOM TREE TR JAPAN HEDGED EQUITY FD Dividend Oren Cash. Capital Gans Option. Cash 60,000 00 of these shares are in your margin account 12/11113 60.000 000 19 1350 Security Identifier: DXJ CLSIP 97717W851 2.966.098 50 166100 2.796.600 00 -169.19850 37.06I 10 132% Total Exchange-Traded Products $3,185,611.26 Cost Basis 63,006,751.50 Market Value -$178,858.78 Unrealized Gain/ Ws Awued Interest $37,081.10 Estimated Annual Income Total U.S. DOLLARS EURO Description $89,308,263.29 Quantity Opening Balance $90.610,08041 Posing Balance Currency -$2,315,253.51 $180,950.69 Accrued Income $3,709636.95 30-Day Yield Cash, Money Funds, and Bank Deposits Global Cash Balance 291,816.67 291,816.87 EUR 393.526 05 LSO Total Cash, Money Funds, and Bank Deposits 291,846.67 291616.67 EUR 393.526 05 LSO 0.00 000 Markel Value Currency 291,846.67 EUR 0.00 393.52605 ISO 0.00 Accrued Interest Total EURO Unrealized Accrued Estimated Cost Basis Market Value Gain/ loss Interest Annual Income Total Portfolio Holdings - U.S. DOLLARS 889,308,263.29 $91,003,60666 -$2,315,253.51 $480,950.69 $3,709,636.95 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reposing rules and the adjusted basis vAll be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Page 12 of 23 80100242CSP30016 I IIAI1 Account Num ber Go prless rti fat VA Re., SOL THERA CN LLC. oNFIDAENTIAL CAW* RATED COMmutaCi1/41..4 IPICCLUNCI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 0...yowaoltOwww.ousGswoodyommo......, SDNY_GM_00045788 DB-SDNY-0008612 EFTA_OO 156397 EFTA01288760

aon.r •r R4M P,,.' Wean PAPMernalt Minn Codrar Ge.P De.ticht 11.4. Stc, mc mtv, bete Oina, leant Annw. riccr tine writ et la vA Portfolio Holdings (continued) Statement Period: 0110112114 • 01/3112014 Reporting requirements generally will be phased in over a three-year penod, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2013, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization. accretion or principal paydowns. The method of calculation is based upon the 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 portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. f 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. f 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. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous dent 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 Currency Cash Fixed Income Equities Facitange•Traded Funds Total by Correa°, I., S. DOLLARS 21.936.379 35,910,556 29,756,390 3,006,754 90,610,080 USD EL.R0 291,816 0 0 0 291,816 EUR Total USD Equivalent 22,329,906 36,910,666 29,766,390 3,006364 91,003,601 USD % of Allocation 24.54% 39.46% 32.70% 3.30% 100.00% Schedule of Realized Gains and Losses Current Period Disposition Date Acquisition Date Disposition Tranuclion Description Quantity Cot Bois Proceeds Realized Gain/ Loser Disallowance Short Term 01/10114 05/29/13' SELL GENERAL ELEC CAP COR SR C FIXED TO FUG 5.250% 0 1,100,000.000 1,400,000.00 1,316,869.00 .83,131.00 Ruth First Out 6/03/63 B/E OTD 06103/13 CLB Security Identifier: 369622513 Original Cost Basis: 1.400.000.00 01/10/14 07/09/13' SELL P M °RCM% VALUE ADMINSTITUTIONAL GASS 78309.170 2,000,000.00 2.138,528.15 138,528.15 First In First Out Security Identifier: JINX Account Number SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 13 of 23 zt Go p aperless Mt CtItt A Re" OALOAR MAUD COMMUNICJOIONS ñ F I DA5NTIAL WAILUINCII Osessownusii•nin. u.a.• 101•000•1••• eaten" MR DINA OF ISM 'MS Seen C••••••••• SISII SDNY_GM_000457139 DB-SDNY-0008613 EFTA_00156398 EFTA01288761

Schedule of Realized Gains and Losses Current Period (continued) Disposition Acquisition Dale Date Disposition Transaction Description Short Term (continued) 01110/14 12/13/13 SELL P MORGAN VALUE ADVA INSTITUTIONAL CLASS Engin First Out Security Identifier: MIX 01110/14 12113/13 SELL P MORGAN VALUE ADVA INSTITUTIONAL CLASS NM In First Out Security Identifier: JVAIX 01110114 12/23/13 SELL P MORGAN VALUE ADVA INSTITUTIONAL CLASS Fusl In First Out Security Identifier. JVAIX 01110114 07122113' SELL .PM ORGAN CHASE 8 CO 101188 WE OTD 07129/13 Ars1 In First Out Security Identifier: 48126FAA8 Original Cast Basis 750,000.00 01124/14 12/13113' RPP WASFINGTON MUT IA TG 5 004-RA2 MTG PASSTHRU CTF CL C- B-1 VAR RATE 6.972% 07/25/33 Security Idenbfier. 939336 0 Original Cost Basis 1.304.26 01127/14 01127114' SELL MEXICAN PESO CtiRREAC Firs1 In First Out Security Identifier. M Xh999994 01127/14 01114114' SELL L WED IA 64 STATES 7 2011-13.11.42 ISM M XOM 000000 Finn In First Out R8 0.000% 11113/42 REG DTD 12 Security Identifier PIROC9EK5 Original Cost Basis 3.008.030.70 01127/14 12/13113' FPP COL ATRYWIDEHOME LOA I CL B1 4.090% 03/25/33 B/E D TD 01130103 Security Identifier. 12669DYS1 Original Cost Basis: 3.483.79 01/21/14 12/13113' FR GLOBAL MTG SECURITIZ GLOBAL MTG SCTZN 1Si/40337896 14V83 5.250% 04/25/32 WE DID Security Identifier. 3789614V8 Original Cast Basis 15.941.79 01127/14 12/13113' FfP IM PAC CM B TR 2005.2 BD CL 1-M-2 0.893% 04125/35 B 1E DM 03/03/05 Security Identifier: 45254NNC7 Original Cast Basis: 2.592.27 Total Short Term Long Term 01110/14 07110/07' SELL BOMBARDIER INC CLASS NM In First Out Security Identifier. BOW 01117/14 07/12110' SELL DEUTSCHE BRAG LONDO GRIC DOUBLE LONG TRADED NT Ars1 In First Out Security Identifier. DAG 01123/14 07/12110' SELL DEUTSCHE BRAG LONDO GRIC DOUBLE LONG TRADED NT Firs1 In First Out Security Identifier. DAG Quantity Cost Basis 840.719 22161.35 1,255.017 33182.25 758.267 20.283.85 750.000.000 75010100 1,30426 837,723.000 38.199.653.100 2.628.807.68 380.000.000 3.000.030.70 1.211.860100 3.48379 3,078,211.000 15.941.79 1500,554.000 2,592 27 $10.016,887.74 20.000.000 125.700 00 13.866.000 97,763.34 5.000.000 35.252.90 Proceeds Realized Gain/ Loss/ DiulInane* 22142.34 68099 34,098.81 1,016.50 20,602.11 318.46 724.681.50 -25.31150 1.69314 389.58 2.841.918.91 11111.23 2103.970.02 -204.060.68 3.64718 164.19 17,329.91 1.388.12 3,734.77 1.142 50 39,929,917.34 -$165,770.40 80.848 57 -44.851.43 93,479.70 •4,28364 33143.40 -1.409.50 Page 14 of 23 Account Number. Go paperless SOUTHERN co F D.A. Ii E NTIAL MA easm P4C r xciltit ItAiTLDCOMMUNKATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Ile. • 101•11. •••••••••••••0 SDNVIGM 00045790 DES-SDNY:00086 14 EFTA_00I56399 EFTA01288762

PO. Bap 1776, Balt min MD 21203 Dean Rana Pon,. wean Alvvienret Parsecs Codrace6,o‘P Ontscip NA Smote' irk. Now Irk Nice HS Pia AS*. Ioth Hoer • Arm *A NY 10IM Statement Period: 0110112114 -01/3112114 Schedule of Realized Gains and Losses Current Period (continued) Disposition Acquisition Disposition Realized Gain/ Loss/ Dale Date Transaction Description Quantity Cod Basis Proceeds Disallowance Total Long Term $258,716.24 8308,171.87 -$50,544.57 Total Short Term and Long Term $10,344,403.98 $10,138,089.01 -$206,314.97 ▪ Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered,' under the new cost basis reporting rules, and marked or denoted as such. Al other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after thee 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2013, or later, as determined by the Secretary of the Treasury. 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 retum 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. 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 consuk 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 is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event one or more of these attrbutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-IM 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 Fist In, Fist 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 15 of 23 Account Number: Go paperless la) SOUTHERN tleb. L LC. DAMN* RAT ID COMSALNOCATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) N F I DAERTIAL "'flaw" Rated f.el,ml Seven Years In A Row best Onus& On*. ISC. • Inaltemeni rows, SDNY_GM_00045791 DES-SDNY-0008615 EFTA_00 I 56400 EFTA01288763

Messages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, It is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your investment professional for additional information. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https://www.dws-investments.corn/EN/productsfirioneysarket-fundslields.jsp. Please note that all money market funds listed on the website may not be offered through us. Important Reminder for Pershing's 2013 IRS Forms 1099 (B. DIV. INT, OID and MISC): As a reminder, by February 18. you will receive Sher your 1099 form ore special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. it will inform you of the securities that are pending final reporting, and wit provide the anticipated mail date of your 1099 for. Your 1099 will be mailed no later than March 17, 2014. Activity Sum m a ry (Al! amounts shown are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Securities Securities Secunties (taught 0.00 0.00 Secunties Bought 4.688.45411 4.688.454.11 Secunties Sold 10.204.174.33 10.201.174 33 Secunties Sold 0.00 0.00 Total Securities $10,204,174.33 $10,204,17433 Total Securities -96,688,154.11 -96,688,154.11 Dividends and Interest $38,807.19 $38,807.19 Dividends and Interest $0.00 $0.00 Distributions $85,729.09 $85,729.09 Distributions $0.00 $0.00 Fees $0.00 $0.00 Fees -$18.00 -$18.00 Cash Cash Withdrawals 0 00 0 00 Withdrawals .109495 00 -109.995 00 Total Cash $0.00 $0.00 Total Cash -$109,995.00 -$109,995.00 FDIC Insured Bank Deposits $3,794,694.32 0,791,691.32 FDIC Insured Bank Deposits -97,511,135.01 -$7,511,135.01 Total Credits $14,123,404.93 914,123,404.93 Total Debits -$11,339,602.12 -$11,339,602.12 Transactions by Type of Activity Process/ Trade/ Settlement Transaction Date Date Activity Type Securities Bought and Sold 01113114 0111011/ SOLO PlIORGAA VALI. E ADVAN TAGE FUAD INSTITUTIONAL -81.563.173 27.1700 2.216,071 41 1.30 JVAIX CLASS UNSOLICITED ORDER 01115114 0111011/ SOLD BOMBARDIER INC CLASS B AVERAGE UNIT PMCE -20.000000 1.0828 80.818 57 ISO 8D RBF TRANSACTION YOUR BROKER ACTED AS AGENT 01115114 01110114 CORRECTED SELL GENERAL ELEC CAP CORP PERP PFD SER C FIXED TO FLTG •1,400,000.000 91.0625 6,125 00 1322,994.00 USD Description Quantity Price Acaved Interest Amount Currency 369622573 5 250% 06103163 BIE DTD 06103113 CIS VARIABLE RATE CORRECTED CONFIRM Page 16 of 23 Account Number (*) PUPS allen,' 80100212CSP30016 Go paiwrIess SM.% C In A Row SOUTHERN CA LLC. oNFIDAENTIAL bALSAlt RATtDCOMMUNICATIONS EXCIELIANCI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Amway tat. • %war arra •••••••••••• SDNY_GM_00045792 DB-SDNY-0008616 EFTA_0015640 I EFTA01288764

PC. &w 1226. &II moot AID 21203 (Misr< arta Pn.air Wean lApmgenas Weals lowrp 6,..P Dettsch4 SP* Smola% W. Mee von OPIp, In Pon A . 160. I Pper War wet ItY 1011.4 Transactions by Type of Activity (continued) Process/ Trade/ Settlement Transaction Date Date Activi Desa ion Oea Price Statement Period: 01/01/2014 - 01/31/2014 Accroed Interest Amount Curren Secudtles Bought and Sold rcortinued) 01115/14 01110114 SOLD .14/ORGAN CHASE 8 CO 6000% 09101188 WE DID .150.000000 951250 20.750 00 745,431 50 LSD ,PM 403173 07/29/13 01/16/14 01113114 PURCHASED FOUNDATION MEDICINE INC COM AVERAGE Is NIT PfdCE 25,000 000 27.4463 -687,66350 LSD FMI TRANSACTION TOL R BROKER ACTED AS AGENT 01/16/14 0111411/ PURCHASED MEXICAN PESO 39,253,141.020 13.0975 -2.991,017.82 LSD 01/16/14 0111411/ PURCHASED PIROC9EK5 UNITED MEX STATES 7314% BONOS2011-13.11.42 MINI MXOM 600000R8 0.000% 11113142 REG DTD 12122111 380.000.000 102.6957 .22985536 -17 ,38786 •39.253,44102 -2.979,772.79 M XN LSD AS OF 01114/14 YLD ..094 TO MAT Exchange Rate. 13.1733 0112311/ 0111711/ SOLD DELTSCHEBK AG LONDON BR1- DB AGRIC DOUBLE LOAG -13.866.000 6.8022 93.479.70 LSO DAG TRADED NT UNSOL AVERAGE UN IT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 01/28/14 0112311/ SOLD DELTSCHEBK AG LONDON BRH DB AGRIC DOUBLE LONG -5.000.000 6.8100 33813.40 LSD DAG TRADED NT LASOL AVERAGE UNIT Ff3CE TRANSACTION YOUR BROKER ACTED AS AGENT 01/28/14 0112311/ PURCHASED SANTANDER CONSUMER USA 1- LOGS INC COM PROSPECTUS 1,000.000 21.0000 .24,000.00 LSO SC LA DER SEPARATE COVER 01/29/14 0112711/ SOLD MEXICAN PESO -38199,653.100 13.1115 2,811,918.91 LSO 01/29/14 0112711/ SOLD UNITED MEX STATES 73/4% BONOS2011-13.11.42 480.000.000 99.6127 335,102.78 38.199853.10 MTh PIROC9EK5 ISINIMX0MG00000R8 0.000% 11111142 REG DTD 12/22111 25,195.71 2,869,586.81 LSO AS OF 0112711/ Exchange Rate. 13.3119 Total Securities Bought and Sold MEXICAN PESO 106,347.22 -1,053,78792 M Xh TOTAL USD EOL IVALENT 7807.85 -110.18595 LSO UNITED STATES DOLLAR 26.875.00 3,625,906.11 LSD Page 17 of 23 Account Num Der. Go papedess SOUTHERN CR Ler dt7::=A R— CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) oNFIDAENTTIAL:-.-mtuirc--- ay.. pp..% INnedby LIA. • alto armed ••••••••••• SDNICGM_00045793 DB-SDNY-0008617 EFTA_00 156402 EFTA01288765

Transactions by Type of Activity (continued) Proms/ Trade/ Settlement Transaction Date Date Adivi Dividends and Interest 01115114 FDIC INSURED BANK DEPOSITS INTEREST RECEIVED 458997996 01/27/14 BOND INTEREST RECEIVED 12669DYS1 01/27/14 01/27/14 01/27/14 01/28114 CASH DIVIDEND RECEIVED GE FOREIGN BOND INTEREST 378961AV8 BONG INTEREST RECEIVED 939336S20 BOND INTEREST RECEIVED 45254K NC7 01/31114 CASH DIVIDEND RECEIVED SM Dew Dean • Price Accrued Interest Amount Curren INSURED DEPOSITS INTEREST CREDITED 4500000 COUNTRYWIDE HOME LOANS SER 03-1 CL BI 4890% 03125133 WE DTD 01130103 RD 12131 PD 01125/14 23000 SF RS GENERAL ELECTRIC CO COM RD 12123 PD 01127/1/ 8250000 GLOBAL MTG SECURITIZATIO LTD/ GLOBAL MTG SCTZA 'SINS US378961AV83 5 250% 04/25132 B/E DTD 04128/05 RD 12131 PD 01125114 1290000 WASHINGTON N L T MTG SECS CORP 2004•RA2 MTG PASSTFRL CTF CL C-B.1 VAR RATE 6.972% 07125/33 WE DTD 06101/04 RD 12131 PD 0112511/ 10000000 IM PAC CM B TR 2005.2 ASSET BKD BD CL 14.2 0.893% 0/125135 WE DTD 03103105 RD 01124 PD 01125/14 21753 SFRS,113 MORGAN CHASE 8, CO CON 'SINS US46625141005 RD 01/06 PD 01131/11 470.84 LSO 5304.10 LSD 5,060 00 LSD 13.260.27 LSO 4.651.79 LSO 1,194.05 LSD 8266.14 LSD Total Dividends and Interest • UNITED STATES DOLLAR Distributions 01/27/14 01/27/14 01/27/14 01/28/14 RETURN OF PRINCIPAL RECEIVED 12669DYS1 RETURN OF PRINCIPAL RECEIVED 378961AV8 RETURN OF PRINCIPAL RECEIVED 939336520 RETURN OF PRINCIPAL RECEIVED 45254K NC7 4500000 COUNTRYWIDE HOME LOANS SER 03-1 CL 81 4 090% 03125133 WE DTD 01130103 RD 12131 PD 01/25/14 8250000 GLOBAL MTG SECURMZATION LTD! GLOBAL MTG SCTZN ISINAUS318961AV83 5.250% 04125/32 B/E DTD 04128/05 RD 12131 PO 01/25/11 1290000 WASHINGTON N L T MTG SECS CORP 2004•RA2 MTG PASSTFRL CTF C1. C-B-I VAR RATE 6.972% 07125/33 WE DTD 06/01/04 RD 12131 PD 01/25/14 10000000 IMPAC CME1 TR 2005.2 ASSET B0 BD CL 1-14-2 0 893% 04125/35 WE DTD 03/03105 RD 01124 PO 01/25/14 0.00 38,807.19 13,546 06 LSO 16,146.39 LSO 841.33 LSD 21,8119.31 LSD Total Distributions • UNITED STATES DOLLAR 0.00 05,720.09 låge 18 of 23 Account Number zt %PS I" zollem 80100242C5P30016 Go paperless SOUTHERN eN dejk F I DtErriAL bALOAR RATED COmmumeCaTiO“S WALLIN« CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) trr~wwr~WM. LLA • ism» •••••• •••••••• SDNY GM 00045794 DB-SINY:0008618 EFTA_00 156403 EFTA01288766

PC. Bat 177S. Balt AID 21203 Transactions by Type of Activity (continued) Prxessi Trade/ Settlement Transaction Date Date Adivi Fees 01102114 12131113 01102114 12131113 01102114 12131113 FOREIGN CUSTODY FEE G/S15F948 FOREIGN CUSTODY FEE G5433EIBG8 FOREIGN CUSTODY FEE P7807I-AF2 °now< Rana Pnwiln Wean &Warm, Mats Codrage Groat) MAUIMAUIla, % tn. +IL lire wan Calict In Pan An~. 160. I be, Dem ion Fgn Safekeeping DEC 2013 CUSP: G4S15P444.8 Fgn Safekeeping DEC 2013 CUSP 65433B43G-8 Fgn Safekeeping DEC 2013 CUSP. P7807h.A.F.2 Nan ' Statement Period: 0110112/14 -01/3112114 Price Accrued letered Mount Curren •6.00 LSO 4.00 LSD •6.00 LSD Total Fees • UNITED STATES DOLLAR Cash Withdrawals and Deposits 01124114 FEDERAL FL NDS SENT LS0999997 Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR FDIC Insured Bank Deposits 01/02/14 FDIC INSURED BANK DEPOSIT USD999997 01103114 FDIC INSURED BANK WITHDRAWAL USD999997 01/13/ FDIC INSURED BANK DEPOSIT USD999997 01/15/14 FDIC INSURED BANK DEPOSIT USD999997 01/15/14 FDIC INSURED BANK DEPOSITS INTEREST REINVESTED /58997996 01/16/14 FDIC INSURED BANK WITHDRAWAL USD999997 01/23/14 FDIC INSURED BANK DEPOSIT USD999997 01/24/14 FDIC INSURED BANK WITHDRAWAL 050999997 DEUTSCHE BANK TRUST 0.00 .18.00 .109,995 00 LSD INSURED DEPOSITS PROGRAM INSURED DEPOSITS PROGRAM INSURED DEPOSITS PROGRAM INSURED DEPOSITS PROGRAM INSURED DEPOSITS INTEREST REINVESTED INSURED DEPOSITS PROGRAM INSURED DEPOSITS PROGRAM INSURED DEPOSITS PROGRAM 0.00 -109,995.00 -111,27738 LSO 1800 LSD -2,21807141 LSD -2.149,274.07 LSD -470.84 LSO 2681,681 32 LSO -93.479.70 LSO 109.995 00 LSO Page 19 of 23 Account Num Der. Go papedess Z.ts° tett A Wray SO L THERM CPI orIFIDtwriTAL...„ eCIAxctr ul PIZ D COMPALINICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Amain. msg. • •••••,....”.•••••••• SDNY_GM_00045795 DB-SDNY-0008619 EFTA_00 156404 EFTA01288767

Transactions by Type of Activity (continued) Process/ Trade! Settlement Transaction Date Date Activity Type FDIC Insured Bank Deposits (continued) 01128114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -99,559.34 USD LS0999997 01129/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -2.868,002.27 USD USD999997 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR Desolation Quantity Pike Awned hayed Amount Currency Transadioas Summary MEAGAN PESO UNITED STATES DOLLAR The price and quantity displayed may have been rounded. Cash Not Yet Received security 0.00 -3346,44019 Total Accrued Interest Total Amovit Total Awued littered Total Amount Currency USD Equivalent USO Equivaleit 106,317.22 -1.053,787.92 MA 7.80785 -110,185.95 26,875.00 ,106,011.24 USD 26,875 00 -106,011.24 Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment Interest SERV10EMASTER CO SR NT • CUSP FULLY EXCHANGED FROM OLD Total Cash Not Yet Received Bond Maturity Schedule Bond Maturity Market Value % of Bond Market Value 7 to 12 months 5.113,300 00 11% MI 1 to 5 years 2,070,000.00 6% In 6 to 10 years 9,891,375.00 28% Over 10 years 18105.881.57 52% In Total 35110,556.67 100% 01/31/14 02)15/14 2 500,000 000 0.040000 Cash 100 000 CO Bond Quality $100.000.00 Bond Quality Market Value % of Bond Market Value BAA 5.360.000 00 15% la BAiLower 24,383,810 56 68% [0 hot Rated 6,166.746 01 17% Total 35,910,55617 100% Percentages of bond market values are rounded to the nearest whole percentage. Percentages of bond market values are rounded to the nearest whole percentage. Page 20 of 23 txollent E.0100242CSF30016 Account Num Go is sperle.sS SOUTHERNco NADA5N1s1A CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) gDA SILMLuir mcfvc:21(7w Ommutocariems CONS. 0•••••• 1.01adryi Lit. • •••00. •••••••••• SDNY_GM_00045796 DB-SDNY-0008620 EFTA_00 156405 EFTA01288768

Pa] PC. Bcp 1776 Elul mote MD 2121Y3 Client Service Information Draft, ' Um Pnwill•Wea•n•Avtagenmt Marais t Dom/16.0J Deau IN UN Selo On hic Now bit Clio, HS Pal MY, IM, Ike weer *A NY 101M Statement Period: 0110112114 • 01/3112014 Your Client Advisor: WS TAZIA SMITH 345 PARK AVEA LE 14TH FLOOR NEW YORK NY 10154 Your Account Information Contact 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: Default Method for ill Other Securities: FIRST IN FIRST OLT Electronic Delivery You have not selected any account corn in unications for electronic delivery. To register arid turn off paper comm unications. log in to your account or contact your Client Advisor for more inform ation. FIRST IN FIRST OUT Important Information and 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 have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked —N/A- and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) 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 are, 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 vmw.pershing .corn/business_conbnuky. hurl for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other secunlies shown on your statement may have been reinvested. You coil 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. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confrmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Account Number SOUTHERN CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Page 21 of 23 Rat•d I ittellent Go 'wet -less NS (*) ea A V ID COMMUN F D-ENTIAL nbActiNAJNI ICATIO bease.nueiksingi u.C. • fl oor ease......... SDNY_GM_00045797 DB-SDNY-0008621 EFTA_00156406 EFTA01288769

Important Information and Disclosures (continued) Proxy Vote Securities not fully paw 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. Foreign Currency Transactions Pershing may 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 MU 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) wit be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Pools is not permitted without prior written authorization from Standard & Poor's. Standard & Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or emissions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties includng warranties of merchantability or fitness for a particular purpose. Standard & Pools 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. Cash Not Yet Received Assets shown here are nol reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. 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 (I) 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 appicable; the rendering of investment advice, if any, to you and it general, for the ongoing relationship that it has with you. • Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)113-3333. M other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC"). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.conVstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be reconfirmed 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 it 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 fimited. Page 22 of 23 Rated I welling' Go paperless ----A Raw BO 10 0 212CSF 30 016 Account Num bet CALMAR RATt D COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRINI, 67: HarO F I DAENTIAL,.....- CONIES. -- _C. • WINI. •••••••••••••••1 SDNY_GM_00045798 OB-SDNY-0006622 EFrA_00156407 EFTA01288770

le] PC. Bo .1770. &It Poop MD 2120 Important Information and Disclosures (continued) 0...P.oe Pont ,1/2 .4. '0.a,. PAanair,tat Mwoets Ontne De.cieYi Nom S.W.... M. *A Office 11)Pant Annw. W loci Wave Writ Pa la VA Statement Period:01/01/2014 - 01/3112011 Important Arbitration Disclosures (continued) • 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 fawns may impose tine 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 predispule arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC: Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; Account Number: SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 23 of 23 Go paperless IttDCOMMUNICA/IONS 01••••••••••••••••••••u0.•••••••••••••••••••••P SDNY_GM_00045799 OB-SDNY-0008623 EFTA_00156408 EFTA01288771