a Deutsche Bank PO Box 1776, Baltimore, MD 21203 Income and Expense Summary (continued) August 1,2017 - August 31,2017 SOUTHERN FINANCIAL LLC Tattle anient Period NO Taxable Teeth Yea-to-DM Non Taal* Interest Income Bond Interest 3,298.25 0.00 283,149.16 0.00 Other Interest 35.608.00 0.00 103,545.60 0.00 Expenses Margin Interest 0.00 -2.31 0.00 -2.31 Withholding Taxes 0.00 0.00 4,078.09 0.00 Fees(Foreign Securities) 0.00 0.00 -275.00 0.00 Total Dividends, Interest, Income and Expenses $434,741.79 42.31 $1,921,141.38 42.31 Distributions Alternative Investments 0.00 136,841.64 0.00 364,20922 Other Distributions 0.00 0.00 0.00 17,595.42 Total Distributions $0.00 $136,841.64 $0.00 $401,804.84 Portfolio Holdings Account Adivity Cimmil9 Owing Aimed Income 30-Day Current Opening Dale Quelky Number Wog Bias Ulna Income Thb Year Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 16.00% of Portfolio Cash Balance 0.00 138,841.84 Money Market DEUTSCHE GOVT CASH WM 08101/17 17,938,889.550 WA 08131117 17,438,124.43 17.938.889.55 0.00 77,019.52 0.92% 043% Total Money Market $17,438,124.43 $17,938,889.55 $0.00 977,019.52 TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS $17,438,124.43 $18,075.731.19 $0.00 $77,019.52 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 3 of 17 CONFIDNVAL-41 Rated Gott Gay Yaw Salle 2007 DAWN PATM CCSIMUNICATONS mama Clearing through Pershing LUC, Sbaly ("mod Snider" of the Bark er New Yak Melba Corporation (MY mace) hrshint 11C. ment. FINRA.MOYELM-00046329 OS-SONY-0009153 EFrA_00 156938 EFTA01289301

Portfolio Holdings (continued) Adjusted Dale Acquired Quantity Unit Cost Cost Basis FIXED INCOME 17.0 0 % of Port f olio (Th Maturity Date Sequence) 6Asset Backed Securities WASHINGTON M UT MTG SECSCORP 200441A2 RIG PASSTHRU CTF CA. C-B-I VAR RATE 7.032% 07125133 WE DTD 06101104 Factor:0 13463438 Effective Date:08/01l17 Current Face Value. 560.678.350 12/13/13 . •312 1290,000.000 76.5190 Total Asset Backed Securities 1.290.000.000 Total Current Face Value: 560,678.350 Corporate Bonds BARCLAYS BK PLC CONTINGENT CAP NT ISIN$ US06739FHK037.750% 04/10/23 B/E DTD 04113/I CALLABLE 04I 13/1358 P Rating BB+ 04/03/13 " 2'13 300.000.000 100.0000 ,PM ORGAN CHASE 8 CO DEP SHSREPSTG 113TH PFD SERIFIXED TO FLTG RT BD 7900% 04/29/49 WE OTD 04/23/08M oody Rating BAA3 S S P Rating BBB- 06/15/11 .,3-12 2.500.000.000 107.5000 06/15/I 1',d 2 2,500,000.000 107.0000 Total Noncovered 5.000,000 000 Total 5,000,000.000 BANK AM ER CORP PERP NON COM ULATIV E DEP SHS FIXED TO FLOAT 8.125% 04/30/58 WE DTD 04130/08 CALLABLE05/VMM oody Rating Bat S 8 P Rating BB+ 01/10111 . •3-12 2,000,000.000 102.7500 Markel Price Security kleatifier- 939336520 429,023.26 92.5630 Original Cost Basis: $638.906.71 $429,023.26 Security Identifier. 06739FHKO Market Value 518.980.70 300.000.00 103.0000 Original Cost Basis: $300,000.00 Security Identifier: 46625HI1A1 2.687.500.00 103.0000 Original Cost Basis: 52,687,500 00 2,675,000.00 103.0000 Original Cost Basis: $2.675.000.00 5,362,500.00 $5,362,500.00 Security Identifier: 060505018 2,055.000.00 103 4000 Original Cost Basis: $2,055.000.00 $518,980.70 309.000.00 2.575.000 00 2.575.000.00 5,150,000.00 95,150,000.00 2,068.000 00 Unrealized Gain loss Accrued lateral Estimated Edintaled Annual Income Yield 89,957 44 3,285.87 589.957.11 $3,285.87 $0.00 9,000.00 9.106.25 23,250.00 7.52% -112.500.00 65.833.34 197.500.00 7.66% 400,000.00 65,833.33 197,500.00 7.66% -212,500.00 131,666.67 395,000 00 4212.500.00 $131.666.67 $395.000.00 13,000 00 47,847.22 162,500.00 7.85% Page 4 of CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Raed link .% ben Yew Sect 200/ 0041144 RATED COMMUNICATTOP6 acittuta Owing through Perstars LC. a Sway owned stint." auto Barra New Yak Melon Corporation (ONY Melee) m_00046330 'taint 11C . rnente. FINRA.f6•46 Se& DB-SDNY-0009154 EFTA_00156939 EFTA01289302

Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) Date Acquired FIXED I NCOM E (continued) Corporate Bonds (continued) SOUTHERN CALIF EDISON CO PREF SER E 6 250% Offfi62 BIE DID 0 f 17/12 CALLABLE02/0 122 0 130 000Moody Rating BAA1 S8 P Rating BBB- 01130112'•J° 3.000.000.000 99.8710 2.996.137.11 111.6250 3.348.750 00 Original Cost Basis: 52,992,564.97 GENERAL ELEC CO GTD FXDTO•FLTGRT Securely Identiber. 3696048144 NONCUMULATIVE PERPETUAL PREFERRED 4.000% 12/03/65 REG OTD IRO 3P6Moody Rating A3 S8 P Rating A 12/03115 2,469,000.000 88.0930 2,175,016.17 99.0000 2,444,310.00 Original Cost Basis: 52,175,01.17 5LIOYDSOANKING GROUP PLC FXD RATE RESET Securely Identifier: 539439AG4 AD DI TIER 1SECS ISINSUS539439AG42 7.500% 04/27/88 B/E DTD 04107/14S 8 P Rating BR Please Provide' 1,903,000.000 N/A Please Provide 111.5200 2,122,225.60 Original Cost Basis: Please Provide CITIGROUP INC FXD RT SR NT PERP DEP RECPT Security Identifier: 4296725 5.950% 08/15/88 8/E DID 08/12/15 CALLABLE0816/20 0 130.0DOM oody Rating BA2 $ P Riling BB. 08/06115 3,000,000.000 100.0000 3,000,005.99 105.5630 3,166,890.00 Original Cost Basis: $3,000,006.00 Total Corporate Bonds $15,888,659.27 $18,609,175.60 17.672.000.000 TOTAL FIXED INCOME $16,317,682.53 $19.128,156.30 August 1,2017 - August 31,2017 SOUTHERN FINANCIAL LW Quantity Unit Osa Adjusted Cost Oasis Market Price Securely Identifier: 842400 FU2 Market Value 18,962,000.000 ealeed Gain Lon Acaued Estimated Wonted lateral Annual Income Yield 352.612.89 15.625.00 187,500.00 5.59% 269,293.83 20,849.33 98,760.00 4.04% N/A 25,373.33 142,725.00 6.72% 166,884.01 7,933.33 178.500.00 5.63% $598,290.73 $258,401.13 $1,188,235.00 $688,248.17 $261,687.00 $1,188,235.00 Page 5 of '7 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg L4- Riltd (•02141/4 be, Yea. Since 2CO/ DAllA4 RATED COMMUNICATIONS camera Cloning trough Pershing LC. a Sbany owned stAxidiary of WeBarka New Yak Melon Corporation (/NY WOW Petshing11C.rnentt. FINRA.E*PICPM_00046331 DB-SDNY-0009155 EFTA_00 156940 EFTA01289303

Portfolio Holdings (continued) Date Acquired Quantity Unit coel Cod Basis Market Rix EQUITIES 64.00% of Portfolio Common Stocks ADVERUM BIOTECHNOLOG1ESINC COM Dividend Oplion: Cash Security Idenl diet ADO CUSP. 00773U28 04/20/15 10.000.000 39.8610 398.60600 2.7500 ALIBABA GROUP HIM LTD SPONSORED ADS 1911* USO 209W1327 Dividend Oplion: Cash Securely Identifier. MBA CUS1P: 0 209W 22 06/10/15 5.000.000 88.9500 444,749 00 171.7400 ALLW12 SE SPONSADR REPSTG Y9 SHS Dividend Oplion: Cash Securely Identifier: JOEY CUSP:01180591 04/13/15 5.000.000 18.0110 90.056 00 21.4000 APOLLO GLOBAL M GM T LLCCL A SHS Dividend Oplion: Cash Security Wollner: APO CUSIP 03762306 03/29/11 " 3 263.157 000 19.0000 4.999.983.00 29.5300 APPLE INC COM Dividend Oplion: Cash Security Identifier. AAPL CUSIP: 03783320 09105114 38,180.000 98.9500 3,777,912.53 164.0000 09/05/11 3 7200.000 98.9500 712,440.29 164.0000 09105114 3 18,620.000 98.9500 1.842.449.74 164.0000 01/11/16 250,000.000 99.0000 24,750,006.00 164.0000 Total Covered 314,000 000 Total 314.000 000 ASCENA RETAIL GROUP INC COM Dividend Oplion: Cash 31.082.808.56 $31,082,808.56 Security Identifier. ASNA CUSP. 04351691 01/16/01 " 70,500.000 21.2770 1,500,000.00 2.0400 BASF SE PONS AOR ISINI US0552625057 Dividend Oplion: Cash Security Identifier: BASF( CUSIP. 055262505 04113115 5.000.000 101 6110 508.056.00 96.9700 BIOGEN IDEC INC COM Dividend Oplion: Cash Security Identifier: BIIB CUSP 09052X23 02/14/12 . '3 2,095.000 110.2720 231.019.65 316.5600 BIOVERATIV INC COM Dividend Oplion: Cash Securely Identifier: BIVY CUSP. 09075E20 Market Value Unitaheed Gainloss Estimated annulled Annual Income Yield 27.500 00 858.700 00 107.000 00 7.771.026 21 6.261.520.17 1,180,800.19 3.053.679.84 40.999.999.80 51,496,000.00 $51.496,000.00 143.820 00 484.850.00 663.193 20 471.106 00 413,951 00 16,94400 3.054.30 2.85% 2.771.043 21 476.314.17 6.12% 2,483,607.64 96,213.60 1.53% 468,359 90 18,144.00 153% 1.211.230.10 46,922.40 1.53% 16,249,993 80 630,000.00 1.53% 20,413,191 41 791,280.00 $20,413,191.44 $791.280.00 4 ,356,180.00 -23.206.00 12.092.13 249% 432,173.55 Page s of '7 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Rated (scant Cron Year Lace 2001 DAL/AR RATED COMUNICADONS micautia Clearlas through haft1Mo Many owned stinidiary a theBarka New Yak Mellon Corporation atly Mellon m_00046332 Pttshing 11.C. mends FINRA.AW DB-SDNY-0009156 EFTA_00 15694 I EFTA01289304

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) August 1,2017 - August 31,2017 SOUTHERN FINANCIAL LLC „untanned Estimated Estimated Outs Acquired Quantity Unit com Cod Basis Market Rice al).et Gain Loss Annual Income Yield EQUITIES (continued) Common stocks (continued) BIOVERATIY INC COM (continued) 02/14/12 1.047.000 18.5540 19.426.02 56.6900 59.351 13 39.928.41 CENTENE CORP DEL COM Security Identifier. CNC Dividend Option: Cash CUSP: tt35B91 09/08/14 15.550.000 63.6450 989.679.75 88.8500 1.381.617,50 391.937.75 DISH NETWORK CORP CL A Security Identifier: DISH Dividend Option: Cash CUSP 25470M139 06/10/15 5,000.000 72.9960 364,978.00 57.2900 286,450 00 -78,528.00 FACEBOOK INC CL A Security Wealthy: FI3 Dividend Option: Cash COP.30303MM 05/17/12 t° 17,500.000 38.0000 665.000.00 171.9700 3.009.475.00 2.344.475.00 FOUNDATION MEDICINE INC COM Security Identitle. FM I Dividend Callon: Cash CUSP:3504651)0 01/13/14 25.000.000 27.5070 687.663.50 40.3000 1.007.500.00 319.836.50 08/05/14 24,830.000 23.2530 577,373.02 40.3000 1 000.649 00 423,275 98 Total Covered 49.830 000 1.265.036.52 2.008.149 00 743,112.48 Total 19,830.000 $1,265,036.52 32 008,149 00 3743,11248 $0 .00 GILEAD SCIENCES INC Secility Identifier: GIG Dividend Option: Cash CUSP: 37555803 02/05/14 5,000.000 79.2810 396,107.00 83.7100 418,550.00 22,143.00 10.400.00 2.48% 03/07/14 3.100.000 79.6120 246.797.00 83.7100 259.501.00 12.704.00 1148.00 248% Total Covered 8,100.000 643,204.00 678,051.00 34,847.00 16,848.00 Total 8,100.000 3643,204.00 3678,051.00 334,847.00 $16,848.00 GIAXOSMITHKUNE PLC SPONSADR Security Beni ifier: GSK Dividend Option: Cash CUSP. 37733W 1:15 06/10115 5,000.000 43.0010 215,006.00 40.2300 201.15000 -13,856 00 9,999.90 4 97% GOOADDY INC CI. A Security Identifier: GOD? Dividend Option: Cash CUSP: 38023707 04/01/15 700.000 20.0000 14.000.00 44.8200 31.374 00 17.374 00 Page 7 of •7 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated (Anneal Cron Year Sffice 200/ DAL/AR RA TED COMUNICATCP6 actiwia Owing through PerstArs LUC, a alb* owned "ASSN" of the Bark at New Yak Mellon Corporation (MY maw holing NY FINRA.WnrilkeM_ 00046333 DB-SDNY-0009157 EFTA_00 156942 EFTA01289305

Portfolio Holdings (continued) Dote Aciatied EQUITIES (continued) Common Stocks (continued) SANGAMO BIOSCIENCES INC COM Dividend Oplion: Cash 05128113 ..n 50,000.000 SANTANDER CONSUM ER USA IILDGS INC COM Dividend Oplion: Cash 01123114 1.000.000 TWITTER INC COM Dividend Oplion: Cash 11/07/13 VIACOM INC NEW CL B Dividend Option: Cash 06/10/15 VOLKSWAGEN A GADR (SPONS) Dividend Option: Cash 04/13/15 WISDOM TREE INYtS INC COM Dividend Option: Cash 03131115 15,000.000 Total Common Stocks Preferred Stocks (Listed by expiration date) GMAC CAP TR 'GTO TR PF0 SECS SER 2 CPN. 8.45% HO WILY MATT-02/1512040 CALI. ANYTIII E Q25 W130 DAYS BEGINS02/4/ 13 Dividend Option: Cash 02722/12 ..n 80,000.000 Total Preferred Stocks Options CALL 10 CURENCYSHARES EURO TR EURO 94$ DP 0 9-154013.000 OPTION ROOT= FXE 450.00 of Ibesecontracts are in your margin account 07/10/17 450.000 0.8000 Nastily Unit Coal Cal Bele Market Rice 1,500.000 5,000.000 5,000.000 8.4440 422,214 24.0000 24.000 26.0000 39,000 67.7490 338,745 50.8610 254,306 21.6110 324,157.50 $44,834,031.00 Security Identifier: SGMO CUSP 80067716 00 13.3500 Security Identifier: SC CUSP:802831111 00 14.2800 Security Idenlilier: MI TR CUSIP.9014L12 00 16.9109 Security Identifier: VIAB CUSP 92551,201 00 28.6000 Security Identifier: VLKAY CUSP:928862303 00 30.9400 Security Identifier: WETF CUSP:9771781)4 9.1700 Security Identifier: ALLY PRA CUSP 36160208 23.5350 1,882,773.60 26.1200 51,882,773 60 Option Identifier 990AKENX Underlying Security Identifier: RE Underlying Security Price:515.03 36,006.00 22200 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Markel Value 667 500.00 14.280.00 25.365.00 143.000 00 154.700.00 137,550.00 $70,350,105.34 2.069.600.00 $2,089,600.00 99,900.00 CONFIDOWAL ••••• Unrealized Gain Loss 245,286 00 9120 00 13.635 00 .195 745 00 -99 606 00 -186,607.50 S25,516974 34 206,826.40 $206,826.40 63,894 00 Rated (Nelkot Inn, Year SoKe 2001 DALBAR RA TED COMMUNICATIONS EXCILLINCE Eslirnaled Eslirated Annual irocrre Yield 4,000.00 2.79% 1,706.59 1.10% 4,800.00 3.48% $1,320,095.09 145,152.00 694% 1145,152.00 Page 8 of 17 Clestlas *cough P.O.W. ut.asbay trod Ninicliory of **Bark a Ns Yak Meta Coma-alas (IINY WNW FINFlint L1C. morix. FINR,Saylye,GM_00046334 DB-SDNY-0009158 EFT:4_00156943 EFTA01289306

a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Dote Acqtired EQUITIES (continued) Options (continued) PUT DO CURENCYSHARES EURO TR EURO SHS 8009-54010.000 OPTION ROOT: FXE -450,00 of these contracts area short position 07719!17' -450.000 0.6900 PUT 90 ADVANCB)MICRODEVICESINC COM DtP00/6460.000 OPTION ROOT: AM D .200.00 of these contracts are a short position 07131117 -200.000 0.7600 Total Options TOTAL EQUITIES Quantity UnN Cop ante Argued Quantity UnN Cud EXCHANGE-TRADED PRODUCTS 3.00% of Portfolio WISDOM TREE TRAPAN HEDGED EQUITY FD Dividend Option: Cash: Capital Gains Option: Cash 60,000 00 of these shares are in your margin account 12111/13 61000.000 49.4350 TOTAL e(CHANGE-TRADED PRODUCTS August 1, 2017 - August 31,2017 SOUTH ERN FINANCIAL LLC Cast Basis Merkel Rice arket Pale Unmated Gsintloss estimaled Est ir al ed MI MI Income Yield Option Identifier: 990IXEDI Underlying Security Identifier: FXE Uadertying Security Rice: $16 03 -31.043.27 0.0300 -1.350.00 29,693.27 Option Ideetifier:990AMIAA Underlying Security Identifier: A140 11'dtitling Security Prise:513.00 -15,193.64 0.4900 4,800.00 5,393.64 410,230 91 588.750 00 598.980.91 $0.00 $48,706,573.69 $72,526,455.34 $25,821,881.65 $1,465,247.09 thmealeind Nadel Whaled Cost Basis Markel Rice Market Woe Pink= Ansel Inman Yield Security Identifier DXJ CUSIP 97717W851 2.986.098.50 52.0800 92,966,098.50 3.123.60010 $3,123,600.00 Cod Bites Make, Value 157,501.50 $157,501.50 Unrealized Golelloss Accrued Intend 82,534.20 2.64% $82,534.20 Blinded Annul Income TOTAL PORTFOLIO HOLDINGS 384,066.085 91 $112.855,942.83 326,887,631.32 $261,687.00 92,813,035.81 • Noncovered under the cost basis rules as defined below. Securities acquired before 20 llor in retirement accounts 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.110-34 3, the Emergency Economic Stabilization Act of 20 0 8) and are, 1 herefore, 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 non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)" at which they CONFIDENTIAL — PURSUANT TO FED. R CRISA. P. 6(e) Page 9 of 17 CONFIDWFAL ••••• Rated (salient tan Year Sect 2C0/ DALBAR RATED COWAUNICAWNS acittoic( Clearing through Pershing LUC, a Spey toned .nendwyaneBarka New Yee Melba Co•Ponelon(ONY NNW) holing LIC.mori. FINRA.RitYftelt00046335 0B-SDNY-0009159 EFTA_00I56944 EFTA01289307

Portfolio Holdings (continued) are subject to the cost basis reporting rules and the adjusted basis will 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 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1 2014 Cost Basis on fixed income securities may be adjusted for amortization, accretion. original issue discount adjustments. or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns 3 The cost basis of this security has been provided fo us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. 5 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. o The Current Face valuerepresents 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 fo 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. " 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. Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "NIA" and are omitted from the Total. THEAS OF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results These figures are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political. and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities. thereby overstating them. Refer to www pershing.coml disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining Page 10 of 4.7 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg r AL •••••• Rated (scant fray Year &ace 2001 DAL/AR RATED COMUNICAD0NS autistic( Cloning through Per stars 1.1.C. • Sbany owned stinicliary of **Barka New Yowl( Mellon Corporation (IINY Mellon) Pershing Lit...sends FRIRA.E*PriliteM_00046336 DB-SDNY-0009160 EFTA_00 156945 EFTA01289308

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) August 1,2017 - August 31,2017 SOUTHERN FINANCIAL LLC Option Disclosure (continued) current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the M argin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Ratings This statement may contain credit rating information obtained from Standard & Poor's Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness. timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities, and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Schedule of Realized Gains and Losses Curren, Period Description Long Term It 08ILEYE NV AM STELVE ISINSNLOOD831361 Security Identifier N5M88117 Date Dale Disposed Acquired Delineation 08/16/11 08/01/14 Covered Realized Cispontion Method l Dented ion Quantity Proceeds Col sale Gain Loss Versus Purchase/ M EIMER TO CASH 800.000 50.832.00 20.000.00 30.832.00 Page '' of CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated hatIcat bay Yew Sect 2007 DAUM PATIO COMUNICATONS MELLING( Owing through MAW.' LW. a SIN/ owned stinidlavy of the tank of New Yak Mellon Como-melon (BNY Mellon) Petshift 11.C. mends FINRA.WFICAM_00046337 DB-SDNY-0009161 EFTA 00156946 EFTA01289309

Schedule of Realized Gains and Losses Current Period (continued) Date Description Mooted Date Acquked [ledgesHon deposition Method i Treated lon Quantify Proceeds Cod Bads Realized Gam Loss Long Term (continued) WASHINGTON IA UT IA TG S 08124117 12/13113 Homage( I REPYM T OF PRIN 1,290,000.000 2,112.53 1,616.48 496.05 004-RA2 IA TG PASSTHRU CTFC1C- Original Cost Basis: 169.48 B-1VAR RATE 7032910T/25/33 Security Identifier. 939336520 Total Long Term 52,944.53 21,616.48 31,328.05 Total Short and Long Term 52,944.53 21,616.48 31,328.05 ' Noncovered under the cost basis rules as defined below. Securities acquired before 20 11 or in retirement accounts 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.t10-34 3, the Emergency Economic Stabilization Act of 20 0 8) 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 non-retirement, UStaxpayers 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 will be reported to the IRSon 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, 20 11 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 202 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January t 2014. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions. has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made alter year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-B or online displays you may have available to you W hen you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting Cost Basis on fixed income securities may be adjusted for amortization, accretion. original issue discount adjustments. or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less t han one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. ' The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO) Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8. Page '2 of '7 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg ••• Rated (Aneal fray Year Sffice 2C01 DALLURATEDCOMMUNICATiOt6 rAcautta Cleating trough Perstars LC, waxy owned sticliary of **Bark of New Yak Mellon Corporation (IINY maw Petshinell.C.mtnin MRA.VAPteLeM-00046338 DB-SDNY-0009162 EFTA_00 156947 EFTA01289310

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 M essages August 1,2017 - August 31,2017 SOUTHERN FINANCIAL LLC Although a money market mutual fund seeks to preserve the value of your investment at $1 per share. it is possible to lose money by fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidat credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure additional information. Pursuant to SEC Rule 10 b-10( b)( 1) confirmations are not sent for purchases into money market mutual funds Activity Summary (All amounts shown are in base currency) investing in a money market mutual ed upon request with the proceeds document or contact your advisor for processed on the sweep platform. tredas This Pecker Debits 1146,60d Net This Perim! Credits Yeer-to-Date Debi% Year-to-Date Net Year-to-Date Securities Securities Bough 0.00 0.00 0.00 0.00 -55,112.00 -55,112.00 Securities Sold 66.025.64 0.00 66,025.64 717,496.81 0.00 717,496.81 Securities Wilhdrren 0.00 0.00 0.00 0.00 -31.554.218.50 -31.554.218.50 Total Securities $66,025.64 $0.00 $66,025.64 $717,496.81 431,609,330.50 430,891,833.69 Dividends and Interest $434,711.79 42 31 $434,739.48 $2,016.742.47 489,252.31 $1,927,490.16 Distributions $136.841.64 $000 $136 891 69 $760.593.33 $0.00 $760.593.33 Fees $0.00 $0 .00 $0.00 $0.00 4375.00 4375.00 Taxes Withheld $0.00 $0 .00 $0.00 $0.00 46.076.09 46,076.09 Cash Withdrawals 0.00 0.00 0 00 0 00 -1.132,731.96 -1,132,731.96 Total Cash $0.00 $0.00 $0.00 $0.00 41,132,731.96 41,132331.96 Totals $637.609.07 42.31 $637,606.76 $3.494,832.61 432,837,765.86 429,342,933.25 Page '3 of '7 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO r t AL- Rated (scallent fray Yea/ Saxe 2O0: DALIAR RA TED COMUNICADONS actuoia Owing through P.O.W. LC. a abaft owned sticlian Oft Bank N New Yak Mellon Corporation (IINY maw Wffe Le M_00046339 MINKMINKMINKLit mends FiNRA. A DB-SDNY-0009163 EFTA 00I56948 EFTA01289311

Transactions by Type of Activity Process Trade; Settlement Transaction Date Date Adivity Type Description Quantity Price Accrued Interest Amount Currency Securities Bought and Sold 08/01/17 07131/17 SOLD SHORT PUT 130 ADVANCED MICRO DEVICES INC OOM DIP -200.000 0.7700 15.193 64 USD 990AKIIAA 0941700000 OPTION ROOT: AM D OPENING TRANSACTION UNCOVERED UNSOL 08/16117 ELECTION MOBILEYE NV AM STELVESV ORD SHS ISIN1 N100983961 -800.000 50,832.00 USD MBLY Total Securities Bought and Sold - U.S. DOLLARS 0.00 66,025.64 Dividends and Interest 08/01/17 CASH DIVIDEND RECEIVED SOUTHERN CALIF EDISON CO PREF SER 56250% 0117162 B/E 4,000,000.000 93,750.00 USD 842400 FU2 DTD 0117/12 C18 RD 07115 PD 0810117 08115/17 CASH DIVIDEND RECEIVED CITIGROUP INC FXD RT SR NT PERPOEP RECPT 5950% 4,000,000.000 89.250.00 USD 17296725 08/$188 BEE DTD 8112/ CLB RD 08/14 PD 8/5/17 DIV PAID AT29.753000000 08/15/17 BOND INTEREST RECEIVED 80000 SHRSGM AC CAP TR I GTD TR PEG SECSSER 2 CPN- 35.608.00 USD ALLY PM 8.25% FRED ORTLY MATT-0215/2040 CALL ANYTIME 025 W/30 DAYSSEGINS 02/VS 8008/14 PD 08/6/2 08117/17 CASH DIVIDEND RECEIVED 311000 SHRSAPPLE INC COM RD 08/14 PD 08/17117 197.820.00 USD AAPL 08/21/17 08119/17 INT. CHARGED ON DEBIT MARGIN INTEREST FOR 1DEBIT DAYSAV ML 36006.00 -2.31 USD BALANCES RATE 2.309 07.20.0 TO 07.20.0 USD999997 08/23117 CASH DIVIDEND RECEIVED $000 SHRSWISOOM TREE INVTS INC COM RD 08109 PO 1.20000 USD WETF 08/23/17 08/25/17 BOND INTEREST RECEIVED 290000 WASHINGTON M UT MTGSECSCORP 2004•RA2 M TG 3.298.25 USD 939336S20 PASSTHRU CTF CL C.B1VAR RATE 7032% 07/25/33 B/E DTD 06/0104 RD 07/31P0 08/ 25/17 08131/17 MONEY MARKET FUND DEUTSCHEGOVT CASH 13,815.54 USD INCOME RECEIVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 434,739.48 Distributions 08/31/17 PARTNERSHIP DISTRIBUTION 26367 SHRS APOLLO GLOBAL M GM T LLC CL A SHS RD 06122 136.841.64 USD APO PO 08/3117 Total Distributions - U.S. DOLLARS 0.00 136,841.64 Other Transactions 08/16/17 WITHDRAWAL OF REORG OTY 800- M OBILEYE NV AMSTELVEEN ORD SHS 0.00 USD INSTRUCTIONS ISM 111.00 1383661EXEM PT FROM TAX MBLY Total Ot her Transactions - U.S. DOLLARS 0.00 0.00 Page '4 of '7 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) N46023804 CONFIDg Rated (.taller fray Year Sole 200: DALIAR RATED COMUNICAD0NS amnia Cloning through Pars/ars LAC, 'Many owned sticliary of **Bark of New Yak Mellon CorporationOM maw Petshinell.C.mtnin MRA.VAPIII2PM—00046340 DB-SDNY-0009164 EFTA_00 156949 EFTA01289312

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) Roast Trade; Settlement Transaction Date Dale Activity Type DewMtion kugust 1,2017 - August 31,2017 SOUTHERN FlNA NCIAL LLD Quantity lice Accrued lofted Amount Wrong Total Value of Transactions The price and quantity displayed may have been rounded. Fixed IncomeAnalysis 0.00 837,608.76 USD Bond Quality Bond Maturity Schedule Bond Duality A 2.444.310.00 13% BAA 8,498,750.00 44% BA? Lower 7366,115.60 40% Not Rated 518.980.70 3% Total 19,128,158.30 100% 0 %of Bond Market Value Market Value Prang of Axed Income 20 40 80 80 100 Sof Bond Bond Maturity Market Value Merkel Value 6 to 10 years 309,000.00 2% Over 10 years 18,819,156.30 98% Total 19,128,156.30 100% Percentages of bond market values are rounded tot e nearest whole paste tags. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Client Service Information Your Investment Specislit ENJ JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10 0 17 Minted Information Telephone Number: Page '5 of '7 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated (Kellent tan Year Sege 2001 DALBAR RATED COMMUNICATIONS around Cleating through Pershing LLC.a Swayowned stinicliory of theBarka New Yak Mellon Co•Pontion OM Melee/ Penning 11C.mendx. FiNRA.A7s r DB N MY:000000946134615 EFTA_00 156950 EFTA01289313

Your Account Information TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRON IC 0 EU VERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institutionit acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, w here applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit:www.pershing.com/ about/ strength-and-stability. • This statement will be deemed conclusive. You ere advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be • t page of this statement. Pershing's contact information is as follows: Pershing U.C. Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, w itness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason( s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the Page 16 of 17 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDNVAL lawn Rated (tallent (rev Year Sect 2C01 DAUM RA T ED COMMUNICATORS actuum Owl% through Pasty lle. • ea/ ("mod stinicliary of the Barka Nom Yak Man Corporation (MY NNW) Ptrshinellf.rnenity FINROAMIYELGM-00046342 DI3-SDNY-0009166 EFTA_00 156951 EFTA01289314

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) kuguSt 1,2017 - August 31,2017 SOUTHERN FINANCIAL LLC Important Arbitration Disclosures (continued) panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC. Legal Department. One Pershing Plaza. Jersey City. New Jersey 07399: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Page '7 of" Rated (Kent. tan Year SOICt 2C0/ DALBAR RA ID COMMUNICATIONS actinic Cleating throush haft LC, Sway owned adnicliory of tlw Bark of New Yak Mellon Corporation (ON lim) Ptrshine 11C. meYndx Me . FINRA.AW 00046343 DB-SDNY-0009167 EFTA_00 156952 EFTA01289315

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIALLW 6130 RED HOOK QUARTER B3 ST THOM AS VI 00802 Puha. lank Pelr•ir Noll/ bt 4n/geount Mule's frrotrage Sews D•eliche 14,...44i Nav York Me 345 POI Arent.. 3411N:el New Tolls,,._______________ Ciretl. July 1, 2017 - July 31, 2017 Account Number: N4G-023804 P rtf oh a: a Glance This Period yetto-Date Your Investment Specialist: BEGINNINGACCOUNT VALUE 020,803,697.80 3117,069,956.26 JOSHUA SHOSHAN Net Cash Deposits and Wilhdrawals 0.00 -1.132.731.96 Net Securities lorOut of Account -17,188,218.50 41.554.218.50 Adjusted Previous Account Value 103,615,479.30 84,383,005.80 Dividends, Interest and Other Income 25,440.64 1,740,118.26 Total Taxes Withheld 0.00 4,076.09 Other Transactions -25.00 475.00 Net Change in Portfoilial 2,734,552.62 20,258,774.59 EN DINGACCOUNT VALUE 81 Accrued Interest 5345,692.58 Estimated Annual Income 32.757.026.72 'Nef Change in Port folio is the difference between The ending account value and beginning account value after activity. Asset Summary Percent Asset Type P601 Year-End tax Period %%Period MI 16% Cash, Money Funds, and Bank Deposits 15,864,445.94 17,207,92815 17,438,124.43 le 18% Fixed Income 19,233,099.80 19,135,454.56 19,134,601.29 in 83% Equities 79,000,010.52 81,340,314.59 66,664,721.84 El 3% Exchange-Traded Products 2.972.400.00 3.120.000.00 3,138,000.00 100% Account Total (Pie Chart) $117,069,956.26 $120,803,697.80 1106.375.447.56 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page • of 18 CONFIDWFAL-4 Rated t.allest beet Year Since 2001 DAUM!, RAMO COMMUNICATIONS amerce Clearlas through P.O.W. LLC.a assy aimed stinicliory of WeBarka Now Ycelt Melba Corporation0NY Melim) PeoNne 11C. menu. rirmAANYELG0rt_ 00046344 DB-SDNY-0009168 EFrA_00156953 EFTA01289316

Summary of Gains and Losses Realized This Period Yeas4m0ale Unrealized Short-Term Gain! Loss 10,885.64 11.729 29 86,387.27 Long-Term Gain! Loss -64.870.39 46.412.97 20.706.746.60 Net Gain! Loss -53,984.75 58.142.26 20,793,133.87 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECB" ) and other credit institutions introduced ' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 1042 S These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Dole Adivity Type Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield 0 91% Activity Ending: 07! 31/17 07701/17 Opening Balance 07103117 Deposit 07105117 Deposit 07/14117 Deposit 07/17/17 Deposit 07/21/17 Withdrawal 07126/17 Deposit 07/28/17 Deposit 07/31/17 Deposit Description MONEY FUND PURCHASE MONEY FUND PURCHASE MONEY FUND PURCHASE MONEY FUND PURCHASE MONEY FUND REDEMPTION MONEY FUND PURCHASE MONEY FUND PURCHASE IN CO M E REIN V EST Amount 17,158,128.65 49,800.00 1,000.00 2.426.76 14.991.64 -4,962.73 8,843.56 194.751.23 13.145.32 Balance 17,158,128.65 17,207,928.65 17.208.928.65 17.211.355.41 17.226.347.05 17221.384.32 17,230,227.88 17,424,979.11 17,438,124.43 07/31/17 Closing Balance $17,438,124.43 517.438.124.43 Total All Money Market Funds Income and Expense Summary Tuttle Oment Period Non Taxable Taxable Yeal4o-Date Non Taxable Dividend Income Equities M oney M arket Other Dividends 8,971 76 13.145.32 0.00 0.00 0.00 0.00 663,958.19 63,203.98 417,800.00 0.00 0.00 0.00 Page 2 of 18 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Rated twine% bay Yew Same 2001 DALAI!, RAM COMUNICAT1016 manta Cloatin Ibroush Pershing1M a Sbany owned stinicliary of tlw Barka New Yak Mellon Corporation (IINY Melon) DB Y-0 9 9 Pttshing 11.C. menin FiNRA.g3A:s lete DN M_0 000451346 5 EFTA_D0 156954 EFTA01289317

a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Income and Expense Summary (continued) July 1, 2017 - July 31,2017 SOUTHERN FINANCIAL LLC heath Oral Period Non Title Tattle Year-to-Dale Nominal* Interest Income Bond Interest 3,323.56 0.00 279,850.91 0.00 Other Interest 0.00 0.00 67,937.60 0.00 Expenses Withholding Taxes 0.00 0.00 .6,016.09 0.00 Fees( Foreign Securities) -25.00 0.00 -275.00 0.00 Total Dividends, Interest, Income and Expenses $1,486,399.59 $25,415.64 $0.00 $0.00 Distributions Alternative Investments 0.00 0.00 0.00 247,367.58 Other Distributions 0.00 0.00 0.00 17,595.42 Total Distributions $0.00 $0.00 $0.00 $264,963.00 Portfolio Holdings Adtrlty Opening Closing Actrod Income 30-Day Current Account Opening Die Nudity Number Biding Balance Balance Income ThlnYer Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 16.00% of Portfolio Margin Balance Money Market DEUTSCHE GOVT CASH INSTL 07101/17 17,438,124.430 N/A 07131/17 49 800 00 17,158,12865 0.00 17,438,124.43 0.00 63203.98 0.90% 091% Total Money Market $17,158,128.65 $17,438,124.43 $0.00 $83,203.98 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $17,207,928.65 $17,438,124.43 $0.00 $83,203.98 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDNVAL ••••• Rated (ottlkot Inn, Year $lItt 20O/ DALBAR RATED COMMUNICATIONS DICOAD4CE Page 3 of 18 Cleating through Pentang LLC, a wig,/ aimed sticliary of the Banta New Yak Melba capons, Man WIWI Pashint 11C. meat*. FINRA.Mtlifyelt00046346 DB-SDNY-0009170 EFTA_00156955 EFTA01289318

Portfolio Holdings (continued) Adjusted Date Acquited Quantity Unit Cost Cost Cans FIXED INCOME 18.00% of Portfolio (In Maturity Dale Sequence) *Asset Backed Securities WASHINGTON M UT MTG SECSCORP 2004-RA2 NIG PASSTHRU CTF CL C-B-IVAR RATE 7.059% 07125/33 WE DTD 0610104 Factor: 0,43627200 Elfede Date:07/03/17 Current Face Value. 562.790880 12113/13 . '312 1290,000.000 76.5190 Total Asset Backed Securities 1,290,000.000 Total Current Face Value: 562,790.880 Corporate Bonds BARCLAYS BK PLC CONTINGENT CAP N1 ISIHB US06739FHK03 7.750% 04110/23 DID 041818 CALLABLE 04101858 P Rating BB+ 04/03/I3 " 213 300.000.000 100.0000 ,PM ORGAN CHASE& CO DEP SHSREPSTG 113TH PFD SER 1FIXED TO FLTG RT BD 7.900% 04/29/49 EUE DID 04123/08M oody Raling BAA3 S 8 P Rating BBB- 06/15/11 .3.12 2.500.000.000 107.5000 06115111 . '3C 2,500,000.000 107.0000 Total Noncovered 5.000,000 000 Total 5,000,000.000 BANK AM ER CORP PERP NON COM ULATIVE DEP SHS FIXED TO FLOAT 8.125% 04130158 WE DTD 04/30108 CALLABLE 05/.5113M oody Rating Bat 68 P Rating BB+ 01/10111 . " 2 2,000,000.000 102.7500 Market Rice Market Value Unrealized Gainfloss Security Identifier: 939336620 430.639.74 86.1730 Original Cost Basis: $638906.71 $430,639.74 Security Identifier: 06739FHKO 300.000.00 103.2500 Original Cost Basis: $300.000.00 Security Identifier: 46525HHAl 2.687.500.00 103.7500 Original Cost Basis:62687,50000 2,675,000.00 103.7500 Original Cost Basis: $2.675.000 .00 5,362,500.00 $5,362,500.00 Security Moldier 060505018 2,055.000.00 104 4660 Original Cost Basis: $2,055.000.00 484,973 79 $484,973.79 309.750.00 2.593.750 00 2.593.750 00 5,187,500 00 $5.187,500.00 2,089.320 00 Accrued Estimated Estimated Mitten Annual Income Yield 54,334 05 3,311 03 $54,334.05 $3.311.03 $0.00 9,750.00 7.16815 23.250.00 7.50% 43.750.00 49.375.00 197,500.00 7.61% -81,250.00 49,375.00 197,500.00 7.61% -175,000.00 98,750 00 395,000.00 4175.000.00 $98.750.00 $395.000.00 34,320.00 34,305.56 162,500.00 7 77% Page 4 of 15 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Raid tscallent bay Year Since 200/ DALIAN RA TED COMMUNICATIONS mamma Owing through Pershing LUC, Sbany owned stinidiary of **Bark a New Yak Mellon Corporation (IINY maw M_00046347 Petshift Lit...sends Fi Wrillite NRA. DB-SDNY-0009171 EFTA_00156956 EFTA01289319

Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) Date Argued FIXED INCOME(continued) Corporate Bonds (continued) SOUTHERN CAUF EDISON CO PREf SER E 6 250% 0117/62 DIE DTD 0117/2 CALLABLE02/0/22Q 100 100 M oody Rating MA'S P Ral lag BBB- 01130/12 .." 3.000.000.000 99.8690 2.996.074.03 111.5000 3.345.000 00 Original Cost Basis: 52,992,56497 GENERALBICCOGTO FXD•TO•FLTGRT Security Identifier: 369604BM 4 NONCUMULATIVE PERPETUAL PREFERRED 4.000% 12703165 REG OTO 12/03111400dy Rating A3 S8 P Rating A 12103115' 2,469,000.000 88.0930 2,175,016.17 99.0000 2,444,310.00 Original Cost Basis: $2,175,01.17 sLLOYDSBANKING GROUP PLC FXD RATE RESET SecurAy Identifier 539439AG4 ADDL TIER 1SEC,S ISINt USS39439AG42 7.500% 04/27188 B/E DTD 04/07/115 8 P Rating B8- Please Provide' 1,903,000.000 NIA Please Provide 111.2500 2,117,087.50 Original Cost Basis: Please Provide CITIGROUP INC FXD RT SR NT PERP DEP RECPT Security Identifier 0296725 5.950% 08/6188 DIE DTD 01119.1% CALLASLEOS/V20 0 14.000iloody Ratios BA2S8 P Rsting 89. 08/06/15 3,000,000.000 100.0000 3,000,005.99 105.2220 3,156,660.00 Original Cost Basis: 53,000,006.00 Tot al Corporate Bonds $15,888,596.19 818,849,627.50 17,672,000.000 TOTAL FIX ED I N COM E $16,319,235.93 $19,134,601.29 July 1, 2017 - July 31, 2017 SOUTHERN FINANCIAL LLC Nudity Unit Cod Adjusted Cost Saris Market Rice Securely Identifier: 842400 FU2 Market Value 18,962,000.000 CONFIDENTIAL — PURSUANT TO FED. R CRIFA, P. 6(e) Unrealtzed Gain Lon Accrued Estimated Estimated Catered Annual Income Yield 348125.97 93.750.00 187,500.00 5.60% 269.293 83 12619.33 98.760.00 4 04% NIA 13,479.58 142,725.00 6.74% 156,654.01 82,308.33 178,500.00 5.65% 6643,943.81 8342,381.55 $1,188,235.00 6698,277.86 8345,692.58 11 188,235.00 Page 5 of 18 CONFIDOMPAL lawn Rated (salient tan Yeat Sect 200/ DALBAR RATED CONMUNICA11016 actituta Clearlas through P.O.W. LAC. a Sbaly owned wintry of the Barka Now Ycelt Melba CorporationOM WIWI holing 1.1C. mortet FINRA.MOYEGM-00046348 DB-SDNY-0009172 E FTA_00 156957 EFTA01289320

Portfolio Holdings (continued) Dale Acquired Quantity EQUITIES 6 3.0 0% of Portfolio Common Stocks Unit Cod Cod Bads Market Rix OBILEYE NV AM STELVEEN ORO SI% MN. 610010831361 Dividend Oplion: Cash Security Id tattle*: MBLY CUSP. N57188/17 08101114 800.000 25.0000 20.000.00 63.3000 ADVERUM BIOTECHNOLOG1ESINC COM Dividend Option: Cash Secuity Idylltier/WO CUSP 00773U138 04/20/15 10,000.000 39.8610 398,606.00 2.5500 ALIBABA GROUP HLOG LTD SPONSORED ADS USOSO9W1327 Dividend Oplion: Cash Sixthly Identifier: BABA CUSP: 0$09W 22 06/10/15 5.000.000 88.9500 444.749.00 154.9500 ALLIANZ SE WOWS ADR REPSTG 61) %IS Dividend Option: Cash Security Identifier: AZSEY CUSP:0180591 0013/15 5.000.000 18.0110 90.056.00 21.3500 APOLLO GLOBAL M GM T LLCCL A SHS Dividend Oplion: Cash Security Idenl tier APO CUSIP 03162396 03/29111 . •13 263,157.000 19.0000 4,999,983.00 28.1000 APPLE INC COM Dividend Option: Cash Security Ideatifier: AAPL CUSP:03783320 09/05/14 38,180.000 98.9500 3,777,912.53 118.7300 09/05/14 3 7.200.000 98.9500 712.440.29 148.7300 09/05/14 3 18,620.000 98.9500 1,842,449.74 148.7300 01/11/16 250.000.000 99.0000 24.750.006.00 148.7300 Total Covered 314,000.000 Total 314,000 000 ASCENA RETAIL GROUP INC COM Dividend Option: Cash 31,082,808.56 $31,082608.56 Stonily Idenlifier. ASIA CUSP 0435tD1 01/16/01 " 70.500.000 21.2770 1.500.000.00 2.3400 BASF SE SPONS ADR ISNt USO 552625057 Dividend Option: Cash Seemly Identifier: BASFY CUSP 055262505 0013115 5.000.000 101.6110 508,056.00 95.2700 Market Value Unrealized GainfLoss Estimated Whaled Annual Income Yield 50.640 00 25.500 00 774,750 00 106,750.00 7,394,711.70 5,678.511 55 1.070.856.17 2.769.352.46 37.182.499.82 46,701,220.00 $46,701,220.00 164.970 00 476,350 00 30.640 00 -373,106.00 330.001 00 16.694.00 2,394,728.70 1,900,599 02 358.415 88 926,902 72 12.432.493 82 15,618,411 44 $15,618,411.44 •1.335.030.00 31.706.00 3.054.30 2.86% 436,840.62 5.90% 96,213.60 1.69% 18 .114.00 1.69% 46,922.40 1.69% 630.000.00 1.69% 791,280.00 3791,280.00 12.092.13 2.53% Page 6 of 18 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Rated (scallent 6ery Year Sffice 2CO/ DAL/AR RA TED COMMUNICATIONS marina Owing trough Pershing LC. a awed owned sticliary of **Barka New Yak Mellon Corporation (My Melee) IVI_00046349 Pershing Lit...sends DB-SDNY-0009173 EFTA_00156958 EFTA01289321

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) July 1,2017- July 31,2017 SOUTHERN FINANCIAL LLC Date Acquied Purdy Unit Col EQUITIES (continued) Common Stocks (continued) BIOGEN IDEC INC COM Dividend Oplion: Cash 02114112'.3 2,095 BIOVERATIV INC COM Dividend Oplion: Cash 02/14/12 1.047.000 18.5540 CENTENE CORP DEl. COM Dividend Oplion: Cash 09108114 15,550.000 63.6450 DISH NETWORK CORPCL A Dividend Oplion: Cash 06/10/15 5,000.000 72.9960 FACEBOOK INC CL A Dividend Oplion: Cash 05117112'0 17,500.000 38.0000 FOUNDATION MEDICINE INC COM Dividend Oplion: Cash 01113114 25.000.000 27.5070 08/05/14 24.830.000 23.2530 Total Covered 49,830 000 Total 49,830 000 GILEAD SCIENCES INC Dividend Oplion: Cash 02/05/14 5,000.000 79.2810 03/07/14 3.100.000 79.6120 Total Covered 8.100.000 Total 8,100 000 Cad Baas Market Price Security Identifier: BUB CUSP. 09062X133 231,019.65 289.5900 Security Identifier BIVV CUSP. 09075EDO 19.426.02 61.9700 Security Identifier. CNC CUSP. 61159131 989.679.75 79.4200 Security Identifier: DISH CUSP. 25470M119 364,978.00 64.0300 Security Identifier FB CUSP. 3030302 665.000.00 169.2500 Security Identifier FM I CUSP:350465130 687.663.50 35.3500 577.373.02 35.3500 1,265,036.52 $1,265,036.52 Security Identifier, GILD CUSP: 375558t3 396,407.00 76.0900 246.797.00 76.0900 643,204.00 $643,204.00 arl.et Valle 606,691 05 64.882 59 1.234.981.00 320.150 00 2.961.875.00 883.750.00 877.740 50 1.761.490.50 $1,761,490.50 380 A 50.00 235.879.00 616,329.00 $616,329.00 Uniealized Pintos EMI•tated Whaled Annualloom Yield 375,671 40 45.456 57 245,301 25 -44,828 00 2,296,875.00 196,086.50 300,367.48 496,453.98 $496,453.98 -15,957.00 .10.918.00 -26,875.00 -$26,875.00 $0.00 10,400.00 2.73% 6.448.00 2.73% 16,848.00 $16,848.00 Page 7 of 18 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO' L4 Rand btallent ben Year Sffice 240/ DALIAR RATED COMMUNICATIONS exceituia Owing VVOUgh Peal% LC, a okay owned "ASSN" of tfre Bark of New Yak Melon CorporationOW( Waal) _00046350 Poslite 11C. mendat. FINRA.AWM! Se IVI & DB-SDNY-0009174 EFTA_00 156959 EFTA01289322

Portfolio Holdings (continued) Date Acquired EQUITIES {continued) Common Stocks (continued) GLAXOSM ITHKUNE RC SPONS AD R Dividend Option: Cash 06/10/15 GODADDY INC CL A Dividend Oplion: Cash 04/01/15 SANGAMO BIOSCIENCES INC COM Dividend Oplion: Cash 05/28/13 . '13 50100.000 8.4440 SANTANDER CONSUM ER USA MINS INC COM Dividend Oplion: Cash 01/23114 1,000.000 24.0000 TWITTER INC COM Dividend Oplion: Cash 11/07/13 VIACOM INC NEW Cl. B Dividend Oplion: Cash 06/10/15 VOLKSWAGEN A GADR (SPONS) Dividend Oplion: Cash 04/13/15 5,000.000 WISDOM TREE INVTS INC COM Dividend Oplion: Cash 03/31/15 15.000.000 21.6110 Total Common Stocks Preferred Stocks (Listed by expiration date) GM AC CAP TR I GTO TR FCC SECS SETT 2 CM 8.45% FRED DRILY M ATV-02/612040 CALL ANYTILI 6025W/30 DAYS BEGINS02/ 5/ Dividend Oplion: Cash 02/22/12 " 3 80,000.000 Total Preferred Stocks 324.157.50 1,500.000 26.0000 5.000.000 67.7490 Quantity Unit con 5.000.000 Cost dads Market Price Market Value Unsalted Gainfloss Estimated Ediroaled Annual Income Yield Security Ideal ifier: GSK WSIP. 37733W 15 43.0010 215.006 00 40.5200 Security Identifier: GODY CUSP: 38023717 700.000 20.0000 14.000 00 42.9800 Security Identifier. SW 0 CUSP 80057716 422.21410 8.6000 Wordy Identifier: SC CUSP: 80283M 11 24,000.00 12.8100 Security Weal diet 114 TR CUSP. 9014032 39,000.00 16.0900 Stencil y Identifier VIM CUSP 92553P201 338.745.00 34.9200 Securely Identifier: VLKAY CUSP:928662303 50.8610 254,306.00 31.4500 Security Identifier WETF CUSIP.97717P14 10.4400 202.600.00 30.086.00 430.000.00 12.810.00 24,135.00 174,600.00 157,250.00 156.600.00 $44,854,031.00 Security Identifier ALLY PRA CUSP 36160208 23.5350 1,882,773.60 26.5500 $1,882,773.60 $64,449,371.84 2.124.000.00 $2,124,000.00 -12,406.00 16.086.00 7,786.00 -11,190 00 -14,865.00 ,164,145.00 -97,056 00 •167.557.50 $19,595,340.84 241.22640 $241,226.40 9.99910 4.93% 4,000.00 229% 1,706.59 1.08% 4.800.00 3.06% $1,280,621.54 142432.00 6.70% $142,432.00 Page 8 of 18 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDOI Rated (scant fray Year Lace 200: DAL/AR RATED COMMUNICATONS mama Clowlasibra4hhnhMigUCa+holyemwd mAnicliwyoldwiankeflemYcAMOkm Corpomtkm(ONYWIWO Pershing 11C. meadx. nnas.ginmeM_00046351 DB-SDNY-0009175 EFTA_00 156960 EFTA01289323

Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) OuteAcqtired EQUITIES (continued) Options CALL 90 CURBICYSHARES EURO TR EURO SKS 6009-6-170113.000 OPTION ROOT= FXE 450.00 of thesecontracts are in your margin account 07119117 450.000 0.8000 PUT 1)0 CURENCYSHARES EURO TREUROSHSW09-640113.000 OPTION ROOT= FXE -450.00 of these contracts area snort position 01119/17 450.000 0.6900 Total Options TOTAL EQUITIES July 1,2017- July 31,2017 SOUTHERN FlNA NCIALLLC Nudity Wit Cost Cod Ends Market Price Option Identifier: 990AKENX Underlying Security Identifier FXE Underlying Security Price:511145 36,008.00 2.1900 Option Identifier: 99(//XES1 Underlying Security Identifier: FXE Underlying Security Price:611445 -31,043.27 0.1600 $4,962.73 Market saILe 98.550.00 Unrealized GainfLoss Estimated Estimated Annual Income Yidd 62,544.00 -7200.00 23,843.27 OMeAcquied Nanny Unit Cost EXCHANGE-TRADED PRODUCTS 3.00% of Portfolio WISDOM TREE TRAPAN HEDGED EQUITY FD Dividend Option:Cash:Capital Gains Option. Cash 60,000 00 of these shares are in your margin account 12111/13 80,000.000 49.4350 TOTAL EXCHANGE-TRADED PRODUCTS 646,141,787.33 Cod Bois Market Price Security Identifies DXJ CUSIP 97717W851 $91,350.00 $86,664,721.84 Market Value $86,387.27 $0.00 $19,922,954.51 $1,423,053.54 Unrealized Ciolnfiess afirmated afirnated Armed Income Yield 2.966,098.50 52.3000 3,136,000.00 $2,966,098.50 $3,138,000.00 Cod Brit Markel Via 171,901.50 $171,901.50 Unrealked Geliaose Accrued Intend 82,534.20 2.63% $82,534.20 Berated Annul Income TOTAL PORTFOLIO HOLDINGS $83,485,226.19 $106,375,447.56 $20,793,133.67 $345,692.58 $2,757,026.72 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011or in retirement accounts 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.1110-34 3, the Emergency Economic Stabilization Act of 20 0 8) and are, 1 herefore, 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 non-retirement, US taxpayers securities which have been acquired on or after their "applicable date( s)" at which they CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 9 of 18 CONFIDWITAL Rated(matl brerryt&SoKe2001 DALBARRATEDCOMMUNICATTONS MIME( Cleating through Man 'Sc,. Wally wind stinidlary of the Bank M Ws Yak PASN, Corporation OPNY Mae,; Paging 11C. mat. FINRA.644 ifyelt00046352 DB-SDNY-0009176 EFTA_00156961 EFTA01289324

Portfolio Holdings (continued) are subject to the cost basis reporting rules and the adjusted basis will 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 1,20 T2 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1 2014 Cost Basis on fixed income securities may be adjusted for amortization, accretion. original issue discount adjustments. or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes. obtained from sources believed to be reliable. In the event, one or more of these attributes is changed there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns 3 The cost basis of this security has been provided fo us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. 5 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. o The Current Face valuerepresents 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 fo be reliable. c 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. c The cost basis of this security has been provided fo us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total. THEASOF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results These figures are computed using information from providers believed to be reliable. however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political. and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities. thereby overstating them. Refer to www pershing.coml disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions. Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions. including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining Page 10 of 18 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated (Anneal Cron Year &ace 2O0/ DAL/AR RATED COMUNICATONS actunia Cloning through Pars/ars lit. a 'Many owned stinicliary of tlw Bark of New Yak Mellon Corporation (ONY maw Pershing Lit...sends FINRA.WAffiliteM_00046353 DB-SDNY-0009177 EFTA 00156962 EFTA01289325

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) July 1,2017 - July 31,2017 SOUTHERN FINANCIAL LLC Option Disclosure (continued) current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's Standard & Poor's does not guarantee the accuracy. completeness. timeliness Or availability Of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities, and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Schedule of Realized Gains and Losses Current Period Description Short Term PUT ADVANCED MICRO 13.00 Scanty Identifier 990AK4K90 Total Short Term Date Date Disposed Acquired Designation 07/26/17 07113117 Coveted Disposition Method) Teassdion Arst In First Out I BUY Realized Quanta), Roceeds Cot Bate QS Lon .200.000 14.991.64 4,106.00 10,885.84 14,991.64 4,106.00 10,885.64 Page 11 of 18 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated (Kenai (rev Year Sect 200/ DALBAR RATED CONMUNICATOP6 actituta Clearlas through Peal% LUC a away owned stinicliory elfin Bark New Yak Mellon Co•Pontion OM Mellon) Pa shine 11C. menix. FINRA.AW !R&M_00046354 DB-SDNY-0009178 EFTA_00156963 EFTA01289326

Schedule of Realized Gains and bosses Curren*, Period (continued) Description Date deposed Dale Acquited OesIgeation deposition Method / Traneaction Quantity Proceeds Cost Bade Realized Gain, Loss Long Term AKORN INC COM 07/25/17 06110115 Covered First In First Out! sat 5.000 000 167.849.01 231.206.00 46.356.99 Security Identifier.009728136 GLOBAL PARTNER ACOUI 07/25/17 07130115 Nonoweree First In First Out /Sat 2.000 000 20.010.03 20.000.00 10.03 P UNIT ICOR S 1WT DtP Security Identifier 37951X204 MATCH GROUP INC COM 07125117 11118115 Covered First In First Out! SELL 200.000 3330.17 2A00.00 1,330.17 Security Identifier. 57665RD6 SQUARE INC a A 07125/17 11119115 Covered First In First Out! SELL 200.000 5.314.07 1.800.00 3,511.07 Security Identifier. 8522341)3 TERRAFORM GLOBAL INC 07125/17 07131/15 Covered Ant In First Out! SELL 400.000 1,953.95 5.821.84 -3.861.89 Security Identifier 881)481101 WASHINGTONMUT MTGS 07124/17 12113113 Noncovered" REPYM T OF PRel 1.290.000.000 2.130.29 1.630.07 500.22 004-RA2 M TG PASSTHRU CTFCL B-1VAR RATE 7059%07/25133 Security Identifier. 939335S20 Original Cost Basis- 1630 07 Total Long Term 200,987.52 265,857.91 41.870.39 Total Short and Long Term 215,979.16 269,963 91 -53.981.75 • Noncovered under the cost basis rules as defined below. Securities acquired before 20 11or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended ("IRV) ( incorporating amendments enacted by P.L. 110-343, the Emergency Economic Stabilization Act of 20 0 8) 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 securitieswhich are "covered" under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as non-retirement, US taxpayers securitieswhich 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 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. 20 11 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes. especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions. has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports. including your 1099-8 or online displays you may have available to you W hen you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make. but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRSor other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Page 12 of 15 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID •••••• Rated (soMent (Very Year Saxe 2001 DAIL,* RA TED COMMUNICATIONS 'Amax( Ciwia through Peal% 1.1.C, a abaft owned nosidiary of Neearta New Yak Mellon Corporation (IINY PASO Pershing lit. entnis 00046355 DB-SDNY-0009179 EFTA_OO 156964 EFTA01289327

PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) July 1, 2017 - July 31, 2017 SOUTHERN FINA NCIAL LW Cost Basis on fixed income securities may be adjusted for amortization. accretion, original issue discount adjustments. or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes. obtained from sources believed to be reliable. In the event. one or more of these attributes is changed. there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with lessthan one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. ' The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In. First Out (FIFO) Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss. unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099.8. M essages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (All amounts shown are in bass currency) Securities etedits7hisPerio4 Debits ThisPetio4 Net ThisPecio4 Gene Yea-to-Date DetilsYear4o-Dete Net Year-to-Dale Securities Bought 0.00 -40,112.00 -40,11210 0.00 -55,11280 -55,112.00 Securities Sold 244,892.14 0.00 244,892.14 651,471.17 0.00 651.471.17 Securities Withdraws 0.00 -17.188218.50 17,188,218.50 0.00 -31.554.218.50 -31.554.218.50 Total Securities $244.892.14 417,228,330.50 416,983,438.36 $651,171.17 431,609,330.50 430.957.859 33 Dividends and Interest 525,440 64 $O 00 525.440.64 51,582,000 68 489,250.00 $1,492,750.68 Distributions $0.00 $000 50.00 $623.751.69 $0.00 $623.751.69 Fees $0.00 425.00 425.00 $0 .00 4376.00 4375.00 Taxes Withheld $0 .00 $O 00 $0.00 S0.00 46,076.09 46,076 09 Cash Withdraw* 0.00 0.00 0.00 0.00 •1.132.731.96 •1,132.731.96 Total Cash $0.00 $0 .00 $0.00 S0.00 41,132,731 96 41,132,731 96 Page 13 of 15 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated (Anneal Cron Year Sffice 200/ DAL1AR RATED COMMUNICATORS actiutia Owing through MAW.' LW, a abaft owned stinidlavy of tlw earta Now Yak Mellon Corporation (MY maw Petshift Lit...sends FINRA.E*PilliteM_00046356 DB-SDNY-0009180 EFTA_00156965 EFTA01289328

Activity Summary (continued) Credits TNsPeriod Nees TbisPetiod Net ThisPeriod Cedes Year4o-DMe DebilsYeer4o-Dete Net Year-to-Dale Totals Transactions by Type f Activity $270.332.78 417,228,355.50 416,958,022.72 52,857,223.54 432,837,763.55 429,980,540.01 Roses Trade; Settkmeni Transaction Crete NW Activity Type Description Queenly Securities Bought and Sold 07/14/17 07113/17 SOLD SHORT PUT DO ADVANCED MICRO DEVICESINC031 E(P -200.000 990AK4K90 08.9.4@13000 OPTION ROOT: Ail D OPENING TRANSACTION UNSOLICITED ORDER EXCHANGE LISTED 07/20/17 07/19/17 PURCHASED CALL DO CURENCYSHARES EU RO TR EURO SHS 450 000 990AKEAX 09.9.40ttt.000 OPTION ROOT: FXEOPENING TRANSACTION UNSOL EXCHANGE LISTED 07/20/17 07/19/17 SOLD SHORT PUT DO CURDICYSHARES EURO TR EURO SHS E(P 450100 990AKE.P1 091.17011000 OPTION ROOT: FXE OPENING TRANSACTION UNSOL EXCHANGE LISTED 07127/17 07126/17 PURCHASED PUT DO ADVANCED MICRO DEVICES INC COM D(P 200.000 990AK4K90 08.9.4@13000 OPTION ROOT: Ail D CLOSING TRANSACTION UNSOL EXCHANGE LISTED 07/28/17 07125/17 SOLO AKORN INC COM BKCII A PERSHINGAFFILIATE M AKES A M KT -5.000100 AKRX IN THIS SECU RITY 8 ACTED AS PRINCIPAL UNSOUCITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 07128/17 07125117 SOLD GLOBAL PARTNER ACQUISITION CORP UNIT ICOM IW T -2.000.000 GPACU UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 07128/17 07/25/17 SOLO MATCH GROUP INC COM 81(CM A PERSHING AFFILIATE MAKES -200.000 MTN A MKT IN THIS SECURITY & ACTED AS PRINCIPAL UNSOLICITED ORDER 01/28/17 07/25/17 SOLD SQUARE INC CL A BKCII A PERSHING AFHLIATE IA AXES A MKT -200.000 SO IN THISSECURITY .1 ACTED AS PRINCIPAL UNSOLICITED ORDER 07/28/17 ornsrir SOLD TERRAFORM GLOBAL INC CL A BKCM A PERSHING AFRUATE 400.000 GLBL M AKES A MKT IN THIS SECURITY 8 ACTED AS PRINCIPAL UNSOLICITED ORDER ALLOCATED ORDER YOUR BROKER ACTED AS AGENT Total Securities Bought and Sold - U.S. DOLLARS Price Aimed Interest Amount Urgency 0.7599 14,991.64 USD 03900 -36.00600 USD 0.7000 31.043.27 USD 0.2000 4,10610 USD 33.6317 157,849.01 USD 10.0682 20,010.03 USD 18.9313 3,730.17 USD 26.8510 5,314.07 USD 5.0250 1.953 95 USD 0.00 204.780 14 Page '4 of 18 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rats (talk. bery Year Sect 2C0/ DALBAR RA TED COMMUNICATIONS c(cottna Outing trough PerstArs LC, alb* owned stinicliary old.* Bark a New Yak Mellon Corporation My Melee) M_00046357 Ptrshinellf.rnenix. FINRA.AW SIELA DB-SDNY-0009181 EFTA_00156966 EFTA01289329

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of A ctivity (continued) July 1,2017 - July 31,2017 SOUTHERN FlNA NCIALLLC Proces' Triode; Settlement Transustion Date Date Adivky Type Desaiption Quantily Price Accrued interest Mnaunt 01(Nny Securities Withdrawals and Deposits 07/14/17 SECURITYDEUVERED BANK OF NEW YORK N EU.ON CORP COM 2251BOA/CLIENT A/C -250,000.000 -13.090.000.00 UW BK 603181 07/27117 07126/17 SECURITYDEUVERED GENERAL ELECTRIC CO COM 2251BOA/CLIENT A/C 603181 •23.000.000 -593,170.00 UW GE 07/27117 07/26117 SECURITYDEUVERED GENERALM TRS CO COM 2251BONCUENT A/C 60388.1 47,525.000 4,505,048.50 UW GIL Total Securities Withdrawals and Deposits - U.S. DOLLARS 0.00 -17.188218.50 Dividends and Interest 07/03/17 CASH DIVIDEND RECEIVED 5000 SHRSVIACOM INC NEW CL B RD 06/8PD 07103/17 1.000.00 UW VIAB 07113/17 FOREIGN SECURITY DIVIDEND 5000 SHRS GLAXOSM ITHKLINE PLC SPONSADR RO 0514 PD 2.451.76 UW RECEIVED 07/13/17 GSK 07/25117 CASH DIVIDEND RECEIVED 23000 SHRSGENERAL ELECTRIC CO COM RD 0619 PO 07/25117 5.52000 UW GE 07/25/17 BOND INTEREST RECEIVED 1290000 WASHINGTON /I UT kl TG SECS CORP 2004RA2 M TG 3.323.56 USD 939336S20 PASSTHRU CTF Cl. C11-1VAR RATE 1059% 07/25/33 BIE DTO 06/0104 RO 06130 PO 07/25117 07131/17 MONEY hl »WET FUND DEUTSCHEGOVT CASH 13,145.32 USD INCOM E RECOVED PER2320 45 Total Dividends and Interest - U.S. DOLLARS 0.00 25.440.61 Fees 07/13117 FEE ON FORBGN DIVIDEND 5000 SHRS GLAXOSM ITHKUNE PLC SPONSADR RO 05/12 PD -25.00 UW WITHHELD AT THESOURCE 07109 GSK Total Fees - U.S. DOLLARS 0.00 -25.00 Total Value of Transactions 0.00 -16,958.022.72 USD The price and quantity displayed may have been rounded. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Page 15 of 18 CONFIDg Raad (Kont" tee Wat 5.rce 2CO/ DAMAR RATIO COMUMCA1106 aCttlfila Cleehm fl oot Pest^ LLC. a tolmayomed stamitlim of Me Ponk er New Vak Mam Capo-20mM« Meloo) DB Y 0 9 82 PetthinellC. ~Op Ms RA3nOrDN m: 0 00304613513 EFTA_00 156967 EFTA01289330

Fixed IncomeAnalysis Bond Quality Bond Maturity Schedule %01 Pond %of Bond Bone Guilty Mattel Value Market Value Percent of Axed Income Bend Maturity Market Value Market Value A 2,444,310.00 13% 6 to 10 years 309,750.00 1% BAA 8,532,500.00 44% Over 10 years 18,824,851.29 98% BA/ Lower 7,672,817.50 40% Total 19,134,601.29 100% Not Rated 484,973.79 3% Total 19,134,601.29 100% 0 20 40 80 80 100 Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. T ades Not Settled Settlement Trade Date Date 08101117 07131117 Short Sale PUT MO ADVANCED MICRO DEVICES INC -201000 0.7700 0.00 15.19314 COM EXP09-15.17410000 OPTION ROOT: AM 0 OPENING TRANSACTION UNCOVERED UNSOL EXCHANGE HEM Total Amount of Trades Not Sett led Mirky Type Desaloilloa Acaueil Settlement Quantity Price lotus AmouM Client Service Information 815,103.84 Your Investment Specialea: ENJ Contact Information JOSHUA SHOSHAN Telephone Number: 280 PARK AVE- 3RD FL NEW YORK NY 10017 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 16 of 18 CONFIDWAL-4 Rated balk. bery Yea, Sect MO/ DALIAlt RATED COMMUNICATiOt6 pruritic( Clozelas through Pantiles1.Mo Sbaly *vend stiosidiory of Ow Bark of Now Ycelt Mace Comotatlas Ma Mellon) Pestling men**. FINR,Salye,GM_00046359 DB-SDNY-0009183 EFTA_00156968 EFTA01289331

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Your Account Information July 1,2017 - July 31,2017 SOUTHERN FINANCIALLLD TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that It receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, w here applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 4.0.3333.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, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.com/ about! strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be • t page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Raze, Jersey City, New Jersey 07399; . Errors and Omissions excepted. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDWFAL Inge Rated (.taller (n.y Year Sect 2C0/ DAL1AR RATED COMUNICATiOt6 actuDia Page'.? of 18 Cleating through Perstarell.C. • milmay turned stinicliary of eve BOSCO Now Ycelt Melba Corporation (Iltly Mete/ PetshineLLCArtain. FINRAAVYNyelt 00046360 DS-SONY-0009184 EFTA_00156969 EFTA01289332

Important Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding:a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents. w itness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reasons) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; Page '8 of '8 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rackl (Anneal fray Year &ace 2001 DAL/AR RATED COMUNICATONS mama Owing throush hairsLC.4 away owned sticliary a the Bark a New Yak Wean Corporation (MY Mete) Petshift mtnin FINRA.VAPIIELGM_00046361 DB-SDNY-0009185 EFTA_00156970 EFTA01289333

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIAL LLC 6 10 0 RED HOOK QUARTER B3 ST THOMASVI 00802 Drutt.tRo Lint 'risen N•allhhAlaletmett mantis cperate C404: O•hiche M,* SrAediel W.Vd Yon C.ite 365 Pot ottenva. )611110N Nero Vial" fall sr,. Cirett June 1, 2017 - Jun Account Numberill. Portfolio a: a Glance ThisPerled Yew-to-Clete Your investment Specialist. BEGINNING ACCOUNT VALUE 9121,795,105.41 9117,089,956.26 JOSHUA SHOSHAN Net Cash Deposits aid Withdrawals 0.00 -1,132,731.96 Net Securities In/Out of Account 0.00 -14,366.000.00 Adjusted Previous Account Value 121,795,105.41 101,571,224.30 0Mdends.interest and Olhet Income 190,767.47 1,714,677.62 Total Taxes Withheld 0.00 4,078.09 Net Other Activity 0.00 450.00 Net Change in Portfolio 4,182,175.08 17,524,221.97 EN DINGACCOUNT VALUE 1=MMI Accrued Interest 3244,394.45 Estimated Annual Income $8,104.479.23 Asset Summary Percent Awed Type Wier Year•Ead led Pead lbisPeriod . 14% Cash, M oney Funds, and Bank Deposits 15,884,445.94 17,016,317.53 17,207,928.65 IM 16% Fixed Income 19,233,099.80 19,104,641.04 19,135,454.66 . 67% Equities 19,000,010.52 82,614,546.64 61,340,314.59 En 3% Exchange-Traded Products 2.972.400.00 3,059,400.00 3.120.000.00 100% Account Total (Pie Chart) 9117,089,958.28 $121,795,105.41 $120,803697.80 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CON F ID gifFAL Page let 19 Rated(Kellem (*o,YearS.me200/ DALBARRATUDCWOAUNKAM6 acittuta Cloy/ft through PINS. LLC. slicayowned Snider" of the Soak el Ws Yak Aim Corporation tear MOW _00046362 hi shine mend:et FINRAAW SIW ra DB-SDNY-OO09186 EFTA_OO156971 EFTA01289334

Summary of Gains and Losses This Period Peaked vear4o-Dele Metalloid Short-Term Gain! Loss 843.65 843.65 0.00 Long-Term Gain/ Loss 507.05 111,283.36 22,050,118.09 Net Gain! Loss 1,350.70 112,127.01 22,050,118.09 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECEr ) and other credit institutions introduced' negative interest rates' Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1399 and/ or 1042 S These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Oate Activity Type Desalptin Amount flaimice &weep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield 0.88% Activity Biding:08/ 30117 06101117 Opening Balance 16,887,370.60 18,887,370.80 06/01/17 Deposit MONEY FUND PURCHASE 128,946.93 17.0103,317.53 06/16/17 Deposit MONEY FUND PURCHASE 49,380.00 17,065,697.53 06/26117 Deposit MONEY FUND PURCHASE 37,059.50 17,102,757.03 06/27/17 Deposit MONEY FUND PURCHASE 3,360.28 17,108,117.31 06/26/17 Deposit MONEY FUND PURCHASE 36,524.90 17,142,84211 08/30/17 Deposit MONEY FUND PURCHASE 4,212.00 17,148,85421 08130/17 Deposit INCOMERBNVEST 11,274.44 17,158,128.85 06/30/17 Closing Balance $17,156,128.65 Total All Money Market Funds 817,158,128.85 Income and Expense Summary Cement Period Yea4coDato Taxable Non Taxable Taxable Non iambi. Dividend Income Equities 41,271.50 0.00 654,986.43 0.00 Money Market 11,274.44 0.00 50,058.66 0.00 Other Dividends 49,800.00 0.00 417,800.00 0.00 Page 2 of 19 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDWFAL-4 Rated ticellent bort Yew Since 2C0/ DAUM RARD COMMUNICATIONS EARWIG( Clexing through Perstars LUX. a abaft toned Snider" a Ow Barra Now Yak Melba corporation (MY WIWI Pennine monte. FINRA.Mtl 00046363 DS-SDNY-0009187 EFTA_00 156972 EFTA01289335

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Income and Expense Summary (continued) lune 1, 2017 - June 30,2017 SOUTHERN FINANCIAL LLC Orient Period Taxable Non Taxable Taxable Year4a-Date Non Taxable. Interest Income Bond Interest 88,421.53 0.00 278,527.35 0.00 Other Interest 0.00 0.00 67,937.60 0.00 Expenses Withholding Taxes 0.00 0.00 1,076.09 0.00 Fees(Foreign Securities) 0.00 0.00 -250.00 0.00 Total Dividends, Interest, Income and Expenses $190.767.47 $0.00 51.460.983.95 $0.00 Distributions Alternative Investments 0.00 0.00 0.00 247,361.58 Other Distributions 0.00 0.00 0.00 17,595.42 Total Distributions $0.00 $0.00 $0.00 $264,963.00 Portfolio Holdings Account Acuity Opening Date Quantity Number Ending Opening Balante Oombig Mama Accrued Income Nome ThNYeat 30.Dey Add Olnal Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 14 00% of Portfolio Cash Balance Margin Balance Money Market DEUTSCHE GOTT CASH INSTL 06/01/17 17,158,128.650 N/A 06/30117 128,946.93 0.00 16,887,370.80 0.00 49,800.00 17,158,128.65 843.32 50,058.68 0.80% 0.86% Total Money Market $16,887,370.60 $17,158,128.65 $843.32 $50,058.66 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $17,016,317.53 $17,207,928.65 $843.32 $50,058.66 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDWFAL ••••• Rated (ottlket Even Year SoKe 200/ DALBAR RATED COMMUNICATIONS tzetteletCE Page 3 of 19 Cloarlas through P Wie LLC,a Sbaly owned adnithory of Ow Barka Now YM Melba Corporation (VW Waal Pashint motto FINROARtlieleM_00046364 DEI-SDNY-0009188 EFTA_00 156973 EFTA01289336

Portfolio Holdings (continued) Adjusted Date Acquired Quantity Unit Cog Cost Sags FIXED INCOME 16.0 0% of Portfolio (In Maturity Dale Sequence) eAsset Backed Securities WASHINGTON MUT MTG SECS CORP 2004•RA2 NIG PASSTHRU CIF CL C-B-I VAR RATE 7.113%07/25/33 DTD 0610704 Factor: 0 13792339 Effective Date:06/0ff/ Current Face Value. 564.921173 12113113'3° 1.290.000.000 76.5190 Total Asset Backed Securities 1,290,000.000 Total Current Face Value:564.921.173 Corporate Bonds BARCLAYS BK PLC CONTINGENT CAP NS ISINSUS06739FHK037.750% 041912381E DTD 04/9/13 CALLABLE 04191ES8 P Rating BB• 04/03/I3 " En 300,000.000 100.0000 ORGAN CHASE 8 CO DEP SHSREPSTG 79TH PFD SER 'FIXED TO RIG RT BD 7.900%04/29/49 BIE CID 04/23/08M oody Paling BAA3 $ P Rating BBB. 06/15111 2,500,000.000 107.5000 06/15/11 " i2 2.500.000 000 107 0000 Total Noncovered 5,000,000.000 Total 5,000,000.000 BANK AM ER CORP PERP NON COM ULATIV E DEP SHS FIXED TO FLOAT 8.25% 04/30/58 B/E DID 04130/08 CALLABLE05/16MM oody Rating Ba2 S8 P Rating BB, 01/10/11 " j2 2.000.000.000 102.7500 Market Rice Market Value Unaeallzed Gaintoss Accrued Estimated EslIntaled Interest Annual Income Yield Security Ideatifies.939336320 432.269.81 86.1170 Original Cost Basis: $638,906.71 $432,269.81 Security Identifier. 06739FHKO 486,493,17 300,000.00 104.0000 Original Cost Basis: $300.000.00 Security Identifier 46625HHA1 2,687,500.00 103.9500 Original Cost Basis: $2$87,50000 2.675.000.00 103 9500 Original Cost Basis: $2,675,000.00 5,362,500.00 $5,362,500.00 Security Identifier: 060505018 2,055,000.00 103.9850 Original Cost Basis: $2,055,000.00 $486,493.17 312,000.00 2.598.750.00 2.598.750.00 5,197,500.00 85,197,500.00 2,079,700.00 54,223.36 3,235.90 $54,223.36 $3,235.90 $0.00 12,000.00 5,166.67 23,250.00 7.45% .88,750.00 32,916.67 197,500.00 7.59% -76.250.00 32,916.66 197,500.00 759% ,165,000.00 65,833.33 395,000.00 4165,000.00 $65,833.33 3395,000.00 24,700.00 20,312 50 162 500 00 7 81% Page 4 of '9 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg L4- Wed (scant Gm Yee/ Since 2C01 DALIAN RA TED COMUNICATIONS DICILLUICI Owing trough Perstars LC, iabany owned stinkliary of 4.4 Bark el New Yak Maw Corporation (OM Mace) fWV NENm_00046365 Pershing Lit...wads FINRA. DB-SDNY-0009189 EFTA_00 156974 EFTA01289337

PA Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) Date Acquired FIXED I NCOM E (continued) Corporate Bonds (continued) SOUTHERN CALIF EDISON CO PREF SER E 6 250%0 T17/62 BIE DID 011712 CALLABLE 0210122 Cr 130 000M ood y Rating BAMS P Rat itig BBB- 01130/12 '.3"1 3.000.000.000 99.8670 Quantity Unit com Algoma Cast Batas GENERAL ELEC CO GTD FXD TO- FLTG RT NON-CUMULATIVE PERPETUAL PREFERRED 4 000% 12(03/65 REG 010 12/03P6Moody Rating A3 S8 P Rating A 12/03/15 2,469,000.000 88.0930 5LLOYDSBANKING GROUP PLC FXD RATE RESET AD DL TIER 1SECS ISINSUS539439AG42 7.500% 0407/88 BIE DTD 04107/14S8 P Rating BB- Please Provide' 1,903,000.000 N/A CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08/ 6/88 8/E DID 08112/15 CALLABLE 08179120 130.000M oody Rating BA2 P Rating ElB+ 08/06115 3,000,000.000 100.0000 Total Corporate Bonds 17.672.000.000 TOTAL FIXED INCOM E 18,962,000.000 Market Fine Security Identifier: 842400 FU2 2.996.011 29 110.7500 Original Cost Basis: 52,992,564.91 Securdy 3696048144 2,175,016.17 100 5000 Original Cost Bash: 52,45,011.4 Swirly Identifier 539439AG4 Please Provide 110.3130 Original Cost Basis: Please Provide Security Identifier 4296725 3,000,006.00 105.2220 Original Cost Bas $3,000,006.00 $15,888,533.46 June 1, 2017 - June 30,2017 SOUTHERN FINANCIAL LLC Market Vaite 3.322.500 00 2,481,345 00 2,099,256.39 3.156.660.00 $18,648,961.39 $16,320,803.27 $19,135,454.56 Mot* Gain rims Accrued Waded Edkuted Mend Maud home Yidd 326.488.71 77,604.17 187,500.00 5.64% 306,328.83 4,115.00 98,760.00 3.98% N/A 1,189.38 142,725.00 6.79% 156,654.00 66.937.50 178.500.00 5.65% $661,171.54 $241,158.55 $1,188,235.00 $715,394.90 $244.394.45 $1,188,235.00 Page 5 of '9 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated (Kell." ben, Year Sect 20O1 DALBAR RATED COMMUNICATORS acittuta Cleating VVOUgh Pershing LUC a Sbany owned stinithory of the Bark of New Yak Mellon Corporation (OM Mellon) AW m_00046366 Ptrshinellf. mat. FINRA. Sit! DB-SDNY-0009190 EFTA_00 156975 EFTA01289338

Portfolio Holdings (continued) DateAcquired Quantity EQUITIES 6 7.0 0% of Portfolio Common Stocks Unit Co! Cost Bale Market Price OBILEYE NV AM STELVEEN ORO SKS MN. 610010831361 Dividend Option: Cash Security Id trifled: MBLY CUSP. N51188117 08101114 800.000 25.0000 20.000.00 62.8000 ADVERUM BIOTECHNOLOGIESINC COM Dividend Option: Cash Secuiily Wen' ilia. ADVM ClISIP. 0077311138 04/20/15 10,000.000 39.8610 398506.00 2.5000 AKORN INC COM Dividend Option: Cash Security Identifier: ikKRX CUSP. 00972816 06/10/15 5.000.000 46.8410 234.206 00 33.5400 ALIBABA GROUP KM LTD SPONSORED ADS ISMS USO $09W1127 Dividend Option: Cash Senility Wachner MBA CUSP:0$09W132 06/10/15 5.000.000 88.9500 444.749 00 140.9000 ALLIANZ SE SPONSADR REPSTG 11)31IS Dividend Option: Cash Security Iden1 her: AZSEY CUSP. 01380591 04/13/15 5,000.000 18.0110 90,056 00 19.7750 APOLLO GLOBAL MGM T LLCCL A SHS Dividend Option: Cash Security Idealdim:APO CUSP 03762306 03/29111 ".1) 263,157.000 19.0000 4,999.983 00 26.4500 APPLE INC 00M Dividend Option: Cash Security Idealifier.AAPL CUSP:037833130 09/05/14 38.180.000 98.9500 3.171.912 53 144.0200 09105114 3 7200.000 98.9500 712,440 29 144.0200 09/05/14 3 18,620.000 98.9500 1,842.449 74 144.0200 01/11/16 250,000.000 99.0000 24,750,006 00 144.0200 Total Covered 314,000 000 Total 314.000.000 ASCENA RETAIL GROUP INC COM Dividend Option: Cash 31,082.808 56 $31.082.808.56 Secolity Identifier: ASNA CUSP:0435101)1 01/16/01" 70,500.000 21.2770 1500,000 00 2.1500 Market Value Unrealized Gainfloss Estimated Estimaled Annual Income Yield 50 240 00 25.000 00 167,700 00 704.500.00 98,875.00 6 960.502 65 5.498.683.15 1,036,944.17 2.681.652.26 36,004,999.82 45,222.280 00 545.222.280.00 151,57500 30.240 00 -373,606 00 16,506 00 259.751 00 8,819 00 1560,519 65 1720.171.22 324,503 88 839,202.52 11,254,993.82 14,139,471 44 $14,139,471.44 -1,348,425 00 3,054.30 3.08% 436,840 62 6 27% 96.213.60 1.74% 18.144.00 1.74% 16,922.40 1 74% 630,000.00 1.74% 791,280.00 $791.280.00 Page 6 of '9 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated link. Every Year Sect 240/ DALBAR RATED COMMUNICATIONS asthma Owing trough Pers4Ing LC. a ...Kay owned stinicliary atnlorta New Yak Melon Corporation (MY Melee) flYM Se&IVI_00046367 Ptishine 11C . men**. .H RA. DB-SDNY-0009191 EFTA_00 156976 EFTA01289339

O Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Date Acquied Quantity Unit cot4 Cost Beds Market Price EQUITIES (continued) Common Stocks (continued) BASF SE SPONSADR ISMS US0552625057 Dividend Option: Cash Securely Identifier: BASFY CUSP. 055262505 04/13/15 5.000.000 BANK OF NEW YORK M ICON CORP CON Dividend Cullen: Cash 508.056.00 93.2900 Security Identifier. BK CUSIR 06105810 06/25/14 250.000.000 36.3060 9.076.00 51.0200 BIOGEN IDEC INC COM Dividend Option: Cash 02/14/12 2.095.000 BIOVERATIV INC CON Dividend Option: Cash Scarily Ideatifier. BBB CUSP. 09052X133 231,019.65 271.3600 Sturdy Identifier: ElIVV CUSH? 09075E90 01/11/12 1.017.000 18.5540 19.426.02 60.1700 CENTENE CORP DB. COM Dividend Oplion: Cash Security Identifier: CNC MP. 1135B131 09/08/14 15.550.000 63.6450 989.679 75 79.8800 DISH NETWORK CORPCL A Dividend Option: Cash Warily Identifier DISH CUSP 2517011139 06/10/15 5,000.000 72.9960 364.978 00 61.7600 FACEBOOK INC CL A Dividend Oplion: Cash Security Idealifier FB CUSIR 3030302 05/17/12 " 3 17.500.000 38.0000 665.000 00 150.9800 FOUNDATION MEDICINE INC COM Dividend Option: Cash Security Identifier. FM I CUSP:35046510 01/13/11 25.000.000 27.5070 687.663 .50 39.7500 08/05/11 21.830 000 13.2530 577.373 .02 39.7500 Total Covered 49.830 Total 49.830 000 1.265.036 52 81,265,036 52 June 1,2017 - June 30,2017 SOUTHERN FINANCIAL LLC Market Vaice 466.450.00 12.755.000.00 568.499.20 62.997 99 1,242,134.00 313,800.00 1.612.150.00 993.750.00 986.992.50 1,980,742.50 $1,980,742.50 uncial:ad Gaiorloss Maual EtJaated EMImated lamme Yield 41.606.00 3.678.594.00 337,179.55 43.571 97 252.454.25 41,178.00 1.977.150.00 306.086.50 409.619.48 715,705.98 $715,705.98 12.092.13 2.59% 190.000.00 1.48% $000 Page 7 of CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg 'bled twellent buy Y.:« satt 203/ DAUM...TM COMIUNICADONS FICILUSICI Clexhilbrough P.M" LI.C. a 'Many owned ~Wiry of **Bank a New Yak Mean Corporation (IINY MS) 00046368 hrshim lIC. men«. FINRA.AWIN DB-SDNY-0009192 EFTA_00 156977 EFTA01289340

Portfolio Holdings (continued) OmeAceteired Quantity Unit Cog Cost Basis Market Price EQUITIES (continued) Common Stocks (continued) GENERAL ELECTR1C CO COM Dividend Oplion: Cash Security Identifier GE CUSP 369604133 04123113 ' 23,000.000 21.5700 496.109 08 27.0100 GENERAL M TRS CO COM Dividend Oplion: Cash Security Identifier' GM CUSP. 370451(100 11/18/10' 10.988.200 36.4010 399.978 16 34.9300 12/09110 86,536.800 36.8160 3,185,969 22 34.9300 Total Noncovered 97,525.000 Total 97,525 no GILEAD SCIENCES INC Dividend Oplion: Cash 3,585,947 38 83,585,947 38 Security Identifier. GILD CUSP: 37555803 02105114 5.000.000 79.2810 396.407 00 70.7800 03101114 3.100.000 79.6120 246.797 00 70.7800 Total Covered 8,100000 Total 8,100.000 GLAXOSMITHKUNE PLC SPONSADR Dividend Oplion: Cash 613,204 00 $643,204 00 Security Idealdeer:GS( CUSP 37733W 95 06110115 5,000.000 43.0010 215,006 00 43.1200 GLOBAL PARTNER ACQUISITION CORP UNIT ICOM 8 1WT EXP Dividend Oplion: Cash Security Identifier: GPACU CUSP: 37954X204 07/30/15 • 2.000.000 10.0000 20.000 00 9.8500 GODADDY INC CL A Dividend Oplion: Cash Securely Identifier:CODY CUSP:380237W 04/01/15 700.000 20.0000 14,000.00 42.4200 MATCH GROUP INC COM Dividend Oplion: Cash Security Wenlifier MICH CUSP: 57665R136 11/18/15 200.000 12.0000 2.400.00 17.3800 SANGAMO BIOSCIENCES INC COM Dividend Oplion: Cash Security Identifier: SGil 0 CUSP. 800677136 05/28/13 t° 50,000.000 8.4440 422.211.00 8.8000 SANTANDEROONSOM ER USA IILDGS INC COM Dividend Oplion: Cash Security Identifier: SC CUSP:80283M 91 01123114 1,000.000 24.0000 24,000.00 12.7600 Market Value 621.230 00 383.817 84 3 022.730 41 3,406,548 25 $3,406,548.25 353.900.00 219.418.00 573.318.00 3573,318.00 215,600 00 19,700 00 29.694.00 3,476 00 440.000.00 12.760.00 Unrealized Gainless 125.120 92 -16,160.32 -163,238 81 -179,399.13 4179 399 13 42.507.00 -27.379 00 -69,886 00 -869,886.00 594 00 300.00 15,694.00 1,076 00 17,786.00 -11,240.00 Estimated Estintaled Annual Income Yield 22,080.00 3.55% 16,702.06 131,535.94 148,238.00 $118.238.00 10.400.00 6,448.00 16,818 OD $16,848.00 4.35% 4.35% 2.93% 2.93% 9,839.73 4.56% Page 8 of '9 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDOI Rated twelkat ben Yew Seem 2001 DAUM Ott) COMMUNICATIONS DICILLOICI Cleatins through Ponta% LUC a Many armed stirLdiary of 4.4 Bark New Yak Maw 44414tation (My Melee) m_00046369 Pttshing Lit...wads FINRA.9W DB-SDNY-0009193 EFTA_00156975 EFTA01289341

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Date An:It:red EQUITIES (continued) Common Stocks (continued) SQUARE INC CL A Dividend Oplion: Cash 11119115 TERRAFORM GLOBAL INC CL A Dividend Option: Cash 07/31/15 TWITTER INC COM Dividend Oplion: Cash 11107113 VIACOM INC NEW CL B Dividend Oplion: Cash 06110115 YOLKS/JAGER A GADR (SDORS) Dividend Oplion: Cash 04113115 June 1,20 17 - June 30, 2017 SOUTHERN FINANCIAL= Quantity Una Col Cod Beds Market Price WISDOM TREEINVIG INC COM Dividend Option: Cash 03/31/15 15,000.000 Total Common Stocks Preferred Stocks (Listed by expiration date) GMAC CAP TRIGTD TR KO SECS SER2 CPN• 8.125% FREO DRILY MATT-02/1512040 CALL ANYTIM EI25 WI30 GAYS BESNS02/6/6 Dividend Option: Cash om 2112 . •13 Total Preferred Stocks TOTAL EQUITIES 80.000.000 200.000 9.0000 400.000 14.5550 1.500.000 26.0000 5,000.000 67.7490 5,000.000 50.8610 21.6110 Security 'darnWier:SO CUSP. $52234 03 1,800.00 23.4600 Security Wenl Wier: GUI CUSIP:1104M131 5121.84 5.0500 Security Weel diet MIR CUSIP 90134192 39,000.00 17.8700 Security Identifier VIAB CUSP 925539201 338,745.00 33.5700 Security Identifier: VLKAY CUSIP: 928662303 254,306.00 31.1250 &rarity Id Wilier WETE CUSP:97717PN 10.1700 324,157 50 $58,276,721.30 Secority Identifier: ALLY PRA CUSIP. 36160298 23.5350 1,882,773.60 $1,882,773.60 $60,159,494.90 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Market Value 4.692 00 2020.00 26.805.00 167 850 00 155.625 00 152,550.00 $79,244,314.59 262000 2.096.000.00 $2,096,000.00 $81,340,314.59 Unrealized Gain Loss 289200 4.801.84 42,195.00 -170,895.00 48,681.00 -171,607.50 $20,967,593.29 213,226.40 $213,226.40 $21,180,819.69 CONFIDOWAL ••••• Rated (mtelkot Even, Year SoKe 2OO1 DALBAR RATED COMMUNICATIONS (XCO.LINCE Estimated Estimated Annual income Yield 440.00 21.78% 4,000 00 2.38% 1,706.59 109% 4,800.00 3.14% $1,641,219.37 142.432.00 6.79% $142,432.00 $1,783,651.37 Page 9 of 19 Owl% through Pestarell.C. alb* aimed stinithory of Ow Bark of New Ycelt Melba corporation (MY NNW) Ptrshint monSt. FINRA.6414410 A-00046370 OB-SDNY-00O9194 EFTA_00156979 EFTA01289342

Portfolio Holdings (continued) Date Acquked EXCHANGE-TRADED PRODUCTS3.00% of Portfolio WISDOM TREE TR WAN HEDGED EQUITY FD Dividend Option: Cash; Capital Gains Option: Cash 60,000.00 of these shares are in yoar margin amount 12111113 60,000.000 49.4350 TOTAL EXCHANGE-TRADED PRODUCTS OustIty Una OA Unrealized Cost Bads Merkel Price Market Value Ceram 2,966,098.50 62,966,098 50 Security Identifier: DXJ CUSP 97111/2'851 52.0000 3,120,000.00 153,901 50 63,120,000.00 8153,901.50 Estimated Mailed Annual income Yield 82,534.20 244% 882.534.20 Unlearned Awued Winded Cod Baia Merkel Value Geinitors Interne Anneal Income TOTAL PORTFOLIO HOLDINGS $96,654,325.32 $120,803,697.80 $22,050,116.09 $244,39445 83,104,479.23 Noncovered under the cost basis rules as defined below. Securities acquired before 20 llor in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1988, as amended ("IRC") (incorporating amendments enacted by P.L.110-34 3, the Emergency Economic Stabilization Act of 20 0 8) 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 non-retirement, US taxpayers 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 will 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: • Sock in a corporation acquired on or after January 12011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or alter January 1, 20 12 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed , there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. 5 Unrealized gains and losses are not reported for securities for which cost basis or market value isnot available. 6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basisin formation, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis including short positions at the close of the statement period The market CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDNVAL ••••• Rated hcatett Even( Yea, Stree 200/ DedIAR RATED COMMUNICATIONS IXCCU(14CE Page 10 of 19 Cleadas through Pershing LUC, Sbaly wonted sidesidiory of &eller. a New Yee Mellen Coepontleet(tNY Mellon) Pasting 11C. menete. nrakfiRIOYetelt 00046371 DB-SDNY-0009195 EFIA_00156980 EFTA01289343

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) June 1,2017 - June 30,2017 SOUTHERN FINANCIAL LLC Pricing (continued) prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer. and may differ from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total. THEASOF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic. political. and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.com/ business_continuity.htm I for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing 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 will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day. increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Ratings This statement may contain credit rating information obtained from Standard I. Poor's Reproducing and distributing any information received from Standard & Poor's is not permitted Page 1' of -.9 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated ['anent Lady Year S.nct MO/ DALIAR RATED COMMUNICATIONS actuuta Owing trough Pers4Ing LAC, inkony wooed adnicliary of theBark of New Yak Melon Corporation (ONY A1/4 464) Ptishinellf.rnenix, FINRA.AW Imo' M_00046372 DB-SDNY-0009196 EFTA_0015698 I EFTA01289344

Portfolio Holdings Disclosures (continued) Ratings (continued) 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 11 Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any tees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Schedule of Realized Gains and Losses Current Period Desorption Date Cicala Date Acquired Designation Oispontion Method Treesection Quantity Proceeds Cop Bois Realized PiroLon Short Term ALTICEUSAINCO.A Security Identifies:02156KM 06122111 06122117 Covered First In Hest Oul / SELL 500.000 15,843.65 15,000.00 843.65 Total Short Term Long Term WASHINGTON N UT II TG S 004-RA2 LITG PASSTHRU CTF CL C- 8.1VAR RATE 7.113% 07/25/33 Security Identifier: 939336520 06/22/17 12/13113 Noncovered" REPYM T OF PRIN Original Cost Basis: t652 31 1,290,000.000 15,843.65 2,159.36 15,000.00 1,652.31 843.65 507.05 Total Long Term Total Short and Long Term 2,159.36 1,652.31 507.05 18,003.01 16,652.31 1,350.70 ' Noncovered under the cost basis rules as defined below. Securities acquired before 2011or in retirement accounts are generally not subject to 1 he 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 non-retirement, US taxpayers securities which have been acquired on or alter 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 1399-El 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, 202 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. Page 12 of 19 CONFIDENTIAL — PURSUANT TO FED. R CRlM. P. 6(e) CONFIDfilrAL-4 Rated tuelkot hay Yea Sege 2001 DALBAR RA TED COVOAUNICATTONS DICILLUICI Clearlas through PestanglIX. a Sbaly ("mod ad:8*m of ft Bark er Now Ycelt Melba Corporation (MY WIW) Pa %hint motto FINRA.Mtlifyelt 00046373 DB-SDNY-0009197 EFIA_00156982 EFTA01289345

PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) lune 1,2017 - June 30,2017 SOUTHERN FINANCIAL LLC This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes. especially for noncovered securities Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions. has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-B or online displays you may have available to you W hen you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with lessthan one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method. your account will be defaulted to First In. First Out (FIFO) Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRSForm 1099-B. M essages Although a money market mutual fund seeks to preserve the value of your investment at $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 prospect us or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. The U.S. will adopt a shortened settlement timeframe beginning with trade date September 5, 2017, for equities, corporate and municipal bonds, and unit investment trusts. Moving from a T+3 to a T+2 settlement cycle will provide faster access to sale proceeds. but it also means that funds will be due on purchase transactions earlier. This may be a good time to consider e-delivery of your account documents-including trade confirmations, account statements and more. Ask your advisor or financial insititut ion about how you can set up e-delivery. Page '3 of '9 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated botnent beef Yew Since 2C01 DAIL!, RA TED COMMUNICATORS DtallUla Cloning throush halo{ LUC, a Sway owned "ISSN" of ** Barra New Yak Megan Corporation (IINY Mellon) M Pershing titan...yin FiriRA.BN:slik D DNy: 00 0000496139748 EFTA_00 156983 EFTA01289346

Activity Summary (.1 a s. CL, rte, Cj) Debits ThisPetIod Net TbIsPerlod °edits Year-to-Dale CieheisTesmo-Date Net Year-to-Date *KR: ThIsPerlod Securities Securities Bought 0.00 -15,000.00 -15.000.00 0.00 -15,000.00 -15,000.00 Securities Sold 15.84315 0.00 15.843.65 406.579.03 0.00 406.579.03 Securities Withdrawn 000 0.00 0.00 0 00 -14,366,000.00 -14,366,000.00 Total Securities $15,843.65 415,000 00 $843 65 $406,579.03 414,381,000.00 413,974,420.97 Dividends and Interest $190,767.47 $0.00 $190.767.47 $1.556.560.04 489.250.00 $1,467,310.04 Distributions $0.00 $0.00 $0.00 $623,751.69 $0.00 $623,751.69 Fees $0.00 $000 $000 $0.00 4350.00 4350.00 Taxes Withheld $0.00 $0.00 $0.00 $0.00 46.076.09 46,076.09 Cash Withdrawals 0 00 0.00 0 00 0 00 -1,132,731.96 -1,132,731.96 Total Cash $0.00 $0.00 $0.00 $0.00 -$1,132,731.96 41,132,731 96 Totals $206,611.12 415.000 00 $191,611 12 $2.586.890.76 415,601408.05 413.022.517 29 Transactions by Type of Activity Prows Trade Settlement Transaction Date Me Activity Type Securities Bought and Sold 06/27/17 06122)17 SOLD ATUS 06/27/17 06122/17 PURCHAS9) ATUS Total Securities Bought and Sold - U.S. DOLLARS Description Camay Price Awued Alta USA INC CIA UNSOLICITED ORDER ALLOCATED ORDER YOUR BROKER ACTED AS AGENT aria USA INC CIA PROSPECTUS UNDER SEPARATE COVER 400.000 31.8000 500.000 30.0000 Amount Currency 15,843.65 USD -15,000.00 USD Dividends and Interest 06/15/17 BOND INTEREST RECEIVED 3696048114 06123/17 CASH DIVIDEND RECEIVEC GM 06/26/17 BOND INTEREST RECEIVED 939336520 06127/17 FOREIGN BOND INTEREST 539439AG4 0.00 2469000 GENERAL ELK CO GTD FXD-TO-FLTGRT NON-CUM ULATIVE PERPETUAL PREFERRED 4 000%12103165 REG DTD 12/03/5 CLB RD 05/31PD 06/1117 97525 SHRS GENERAL M TRS CO COM RD 06/09 PD 06/23/17 1290000 WASHINGTON M UT M TG SECS CORP 2004-FLA214 TG PASSTHRU CTF Cl C-B-1VAR RATE 7.10% 07/25/338/E DTO 06/0 TO 4 RD 05/31PO 06125/f/ 103000 LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1SECS ISMS US539439AG42 7.500% 04127/88 DIE DTD 04/07/14 CIS RD 06126 PD 06127/17 843.65 49,380.00 USD 37,059.50 USD 3360 28 USD 35.681 25 USD Page '4 of '9 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO' Ras li nk.% Cnry Yew Sect 2001 DALBAR RATED CONMUNICATiOt6 amine( Clestlas trough Pershing LC. a Sbany tens adnidiary of We Bark of New Yak Melon Corporation (ely Melon) holing 11C . rnendx. FINRA.W$46 7.e&IVI_00046375 DB-SDNY-0009199 EFTA_00 156984 EFTA01289347

a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) I M I I I I I I I I I I I I I I I I I I I I I June 1, 2017 - June 30, 2017 SOUTHERN FINANCIAL LLC Roast: Trade, Settlement Transaction Dale Dale Activity Type Description Quietly Price Accrued Meted Amount Wiener Dividends and Interest (continued) 08129/17 CASH DIVIDEND FECEIVED EDO SHRS GILEAD SCIENCESINCRO 06/1PD 06/29/ 4,212.00 USD OLD 06130/17 MONEY MARKET FUND DEUTSCHEGOVI CASH 11,214.44 USD INCOMERECBVED PER232045 06130/17 CASH DIVIDEND RECEIVED 60000 %IRS WISDOM TREE TRAPAN HEDGED EQUITY FD RO 49,800.00 USD DXJ 06/28 PO 064311 Total Dividends and Interest - U.S. DOLLARS 0.00 190,761.47 Other Transactions 06108/17 REORGANIZATION INSTRUCTION QTY 800 MOBILEYE HMI STELVEEN ORD SHS 0.00 USD WILY INNS NL001183181BBAPT FROM TAX Total Other Transactions - U.S. DOLLARS 0.00 0.00 Total Value of Transactions 0.00 191,611.12 USD The price and quantity displayed may have been rounded. Cash Not Yet Received Security Record Date Payable Dale Ilerlity Held Rate Divided Option Amount of Payment Dividends GEN DIAL ELECTRIC CO COM 06119117 07125117 23,000.000 0.240000 Cash 5,520.00 VIACOM INC NEW CL 06115/11 0210311T 5,000.000 0.200000 Cash 1,000.00 Total Cash Not Yet Received $6,520.00 Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) C0NFIDgfOrAL WNW., Page 15 of 19 Rated (m<elkot Inn, Year SoKe 2001 DAL BAR RA TED COVIMUNICATTONS EXCELLENCE Cleating through Persian LIZ. R elle/ wood adnicliary of coo Barra New Yak Stain Corporation (ONY NNW slim 11C. ment. FINRA.644 Yfielt00046376 DES-SDNY-0009200 EFTA_00156985 EFTA01289348

Fixed Income Analysis Bond Quality Bond Quality Medal Valve %eland MAO Value A 2,181,315.00 13% BAA 8,520,000.00 44% BA! Lower 7,817,818.39 40% Not Rated 186,493.17 3% Total 19,135,151.58 100% 20 40 80 80 100 0 Pawl of Axed income Bond Maturity Schedule Bond MMurily 6 tot) years 312,000.00 2% Over 10 years 18,823,454.56 98% Total 19,135,454.56 100% Make Value %or Bend Market Value Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Client Service I nf ormati on Your Invatment Specialin.ENJ JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10017 Contact InfamMlon Telephone Number: Your Account Informal n TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 16 of 19 CONFIDWFAL lawn Rated (Kenai (rev Year Sect 2001 DALBAR RATED CONMUNICA11016 acettu4a Clwk, through P iaW llC.a milmay toned .d»idwead»wra Now Ycelt Melba Corporation (MY Mete) Poshing 11C. ...swim FINRA.6414410 A-00046377 DB-SDNY-0009201 EFE4_OO156986 EFTA01289349

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures June 1,2017 - June 30,2017 SOUTHERN FINANCIAL LLC The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents. the acceptance and, in certain instances. execution of securities orders.the assessment of the suitability of those transactions. w here applicable, the rendering of investment advice. if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413.3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.com/ about! strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement. to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LI_C, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; . Errors and Omissions excepted Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by Jury, except as provided by the rules of the arbitration forum in which a claim is filed • Arbitration awards are generally final and binding:a party's ability to have a court reverse or modify an arbitration award is very limited • The ability of the parties to obtain documents. witness statements and other discovery is generally more limited in arbitration than in court proceedings • The arbitrators do not have to explain the reason( s) for their award. unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court • The rules of the arbitration forum in which the claim is filed, and any amendments thereto. shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified, or Page 17 of 19 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated balk. bery Year S.ritt 2C0/ DALBAR RA TED C0MMUNICATi0NS actittoa Owing through hams LUC a iittbany owned adosidiary a**Barka New Yak Mellon Co•Potation (IINY Melee) Ptrshinellf.rnendx. FINRA.AW SeNm-00046378 DB-SDNY-0009202 EFTA_00 156987 EFTA01289350

Important Information and Disclosures (continued) Important Arbitration Agreement (continued) (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LI_C, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Page 18 of 19 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDNVAL Rated (“clkot Even, Year Seitt 2001 DALBAR RATED COMMUNICATTONS DICOAINCE CIwl through P.O.W. at. a saw/ ern d adnicliary of eh Bark a Now YM Melba Corporation any maw Ptrshint 11C. menbe. FINRA.WilYfielt00046379 DB-SDNY-0009203 EFTA_00156988 EFTA01289351

TERMS ANDCONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS, CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED, OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLO TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL, SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO, 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 14 YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST S COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A CONENED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVALABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. MEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS (-• ASSFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHNG IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE NDEBTED TO PERSHING LLC (*PERSHING" FOR ANY AMOUNT. ALL SECURITES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHNG MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHNG TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE, WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WLL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABLMES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVAILABLE UPON REQUEST • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL NSPECTION AT PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWVV.PERSHING.COM/DISCLOSURES • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS- RULE 607(AX1)-(2)] PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHNG RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE. COUNTER AND EXCHANGE-LISTED SECURITES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICAISY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (P1880). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET BI 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 ANO THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSHNG ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F ANY OF THE ABOVE TERMS AND CONDITIONS ARE UNACCEPTABLE TO YOU. REASE NOTIFY PERS-ING IMMEDIATELY IN WRITING ElY CERTFED MAIL TOONE PERSHING PLAZA JERSEY CITY. NJ 0T399. ATTN. LEON, DEPT CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) CONFIDOMPAL4 Page '9 of Wed Exam hartYew Since ICO [AMU RAM COMUNICATIOP6 IDICILLDICI Cleating DIM* P.O. W. RC. a SRO/ wind minicliory of the Bark a Now Yee Melba Comontlas (IINY Mellon) Pt/ shim . membH FINIUSWYBILGM—°°° 46380 DI3-SDNY-0009204 EFTA_00156989 EFTA01289352

O Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIAL LLC 6 10 0 RED HOOK QUARTER B3 ST THOMASVI 00802 O41.11.th• Sant PrI•alr MelhiAlaletennt WIWI] COotratt C40.3: 0eviiche us, 3e-rwreer POW a. Yon elite 30 Pork Avenva, 160 Flax Nero %AO Toll s roe Cern: May 1,2017 -May 31 2017 Account Number Portfolio at a Glance his Period Yew-to-Dote Your Investment Specialist BEGINNING ACCOUNT VALUE 8118,240,573.49 8117,069,956.28 ilk /SAN Net Cash Deposits ad Withdrawals Net Securities In/Out of Account 0.00 0.00 .1,132,131.96 -14,366.000.00 Adjusted Previous Account Value 118,240,573.49 101,571,224.30 Dividends. Interest and Olhet locale 723.601.84 1,523,910.15 Total Taxes Withheld 4,076.09 4,076.09 Net Other Activity 400.00 450.00 Net Change in Portfolio 2,837,206.17 18,706,397.05 ENDINGACCOUNT VALUE Accrued Interest 5232.263.91 Estimated Annual Income 53,069,504.79 Summary Asset Percent Asset Type Prior Year-End last Period ThisPeriod 14% Cash, Money Funds, and Bank Deposits 15,864,445.94 16,298 991 78 11,016,311.53 IN 16% Fixed Income 19,233,099.80 19,100.314 80 19,104,841.04 68% Equities 79,000,010.52 79,777 066 91 82,614,546.84 2% Exchange-Traded Products 2,972,400.00 3,061,200 00 3,059,400.00 100% Account Total (Pie Chart) 5117,069,956.26 4118,240,573.49 $121,795,105.41 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Pagel of 18 C0NFIDOMAL4 Rated [scam bay Yew Since 200? DALIN, PAM COMUNICATONS DICIILDICI Owing through Parsed% Lit. a elvaand stinicliary of Ow Bank et Nes Yak IMItin Corporation (MY NNW) Porrshirte molt. FINRA.AWPSeNm_00046381 DB-SDNY-0009205 EFTA_DO 156990 EFTA01289353

Summary of Gains and Losses Realized This Period Lone-Term Gain! Loss Net Gain/ Loss This summary excludes transactions where cost basis information is not available. Money Market Fund Detail 449.65 449.65 Year4o-Date 110 776.31 110,778.31 Dateline 23 37 501.32 23,237,50112 Date Activity Type Deeallion Amount Wince Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield: 014% Activity Ending:0 5/ 3V 17 04129/11 Opening Balance 18,298,991.78 18,298,991.78 05/02/17 Deposit MONEY FUND PURCHASE 197,500.00 16.498.491.78 05115/17 Deposit MONEY FUND PURCHASE 47,500.00 16,543,991.78 05/18/17 Deposit MONEY FUND PURCHASE 118,045.18 16,662,036.96 05/19/17 Deposit MONEY FUND PURCHASE 197,820.00 16,859,856.96 05123111 Deposit MONEY FUND PURCHASE 1,814.74 16,861,471.10 05/25/17 Deposit MONEY FUND PURCHASE 13,292.13 16,874,763.83 05128/17 Deposit MONEY FUND PURCHASE 2,889.94 16,877,633.77 05/31/17 Deposit INCOMER8NVEST 9,738.83 16,887,370.60 05/31/17 Closing Balance $16,887,370.60 Total All Money Market Funds $16,887,370.60 Income and Expense Summary Count Period Taxable Nan Taxabk Yeepto-Die Taxable Non Taxabk Dividend Income Equities 269,557.26 0.00 613,714.93 0.00 Money Market 9,736.83 0.00 38,784.22 0.00 Other Dividends 278,750.00 0.00 368,000.00 0 00 Interest Income Bond Interest 2,869.94 0.00 188,105 82 0.00 Other Interest 33,740.88 0.00 67,937.60 000 Expenses Withholding Taxes -8,076.09 0.00 -8,076.09 0.00 Fees(Foreign Securities) -200.00 0.00 -250.00 0.00 Total Dividends, Interest, Income and Expenses $588,378.82 $0.00 $1,270,216.48 $0.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDWFAL ••••• Page 2 of 18 FINed(Nekel Ennyta,Smebocu DAMAINGUEDCOMMUNKANONS (Marna Clwk. teach P.O.W. LAC, NIKO/ owned adnicliary of Wax Bark a Now Yak Meta Coma-aim (IINY AMINO FNnt L1C. merit.. FIN Raqtylye,GM_00046382 DB-SDNY-0009206 EFTA_00 156991 EFTA01289354

a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Income and Expense Summary (continued) Distributions Alternative Investments Other Distributions Total Distributions Portfolio Holdings M ay 1,2017 - May 31,2017 SOUTHERN FINANCIAL LiC Osumi Naiad Yea-to-Date Math Non Tad* Taxable Nominal, 0.00 128.946.93 0.00 247,367.58 0.00 0.00 0.00 17,595.42 $0.00 $128,946.93 $0.00 $264,963.00 Account Adkity Opening Opening CNN Quality Number Biding Balance CASH, MONEY FUNDS, AND BANK DEPOSITS 14.00% of Portfolio Cash Balance 0.00 Money Market DEUTSCHE GOVT CASH INSTL 04/29/17 16,887,370.600 N/A 05131/17 16,298,991.78 Total Money Market $16,298,991.78 TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS $16,298,991.78 Adbeded Dale Acadia' Witty UM Cod Cod Bads Merkel Rice FIXED INCOME 16.0 0% of Portfolio (In Maturity Clete Sequence) °Asset Backed Securities WASHINGTON,/ UT MTGSECSCORP 2004•RA2 Security Identifier 939336520 Y to PASSTHRU CIF CL C-B-1 VAR RATE 6.052% 07125/33 B/E OW 08/0104 Factor 0.43959732 EffecineDMe.05/0117 Cement Face Value: 667.080.543 12/13/13 ',1T2 1,290,000.000 76.5190 433,922.12 86.0250 Original Cost Basis: $638,90611 Total Asset Backed Securities 1.290.000.000 Total Current Face Value. 567 080.543 Closing Balance &awed Income Income This Yea 3D-Day Coital Yield Yield 128546.93 16.887.370.60 0.00 38384.22 0.69% 0.74% $16.887,370.60 517 016.317 53 Market Value $0.00 $38,784.22 $0.00 Unrealized Gain Loss $38,784.22 Atoned totaled Eats ated Edina-led Maud Name Yield 487,831.04 53,908.92 2,880.28 5433,922.12 $487,831.04 553,908.92 $2,860.28 $0.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 3 of 18 CONFIDWFAL armee Rated (Falb% beet Yew Sect a O/ DAUM RA TED COMMUNICATORS Gamma Clozelas through Pirthirell.C. a Sbaly wood stinicliavy of the Barra Ns Ycelt Mace Comoration MY WNW Petshift rnendat. FINR,SalyeLGM_00046383 DS-SDNY-0009207 EFTA_00156992 EFTA01289355

Portfolio Holdings (continued) DateAcquired Quantity Unit Com Adjusted Cod Baia Market Rice Market Value FIXED INCOM E(continued) Corporate Bonds BARCLAYS BK PLC CONTINGBIT CAP NT Security Identifier: 06739FHK0 ISINIUS06739FHK037.750% 04ft/2381E DID 04/13/ 13 CALLABLE 04f t1ES8 P Rating BB+ 04/03/13 . '12'13 300.000.000 100.0000 300.00040 104.5000 313,500 00 Original Cost Basis: $300.000.00 "MORGAN CHASE& CO DEP SHSREPSTG Security Identifier: 46625HHA1 10TH PEG SER 'FIXED TO FLTG RT BD 7.900%04/29/49 fit E DTD 04/23/08M oody Rai ing BAA3S8 P Rating BBB. 06/15/11 " 12 2,500400.000 107.5000 2,687,500.00 103.7800 2,594,500.00 Original Cost Basis 62.687.50000 06/15/11 " 12 2,500,000.000 107.0000 2.675.000.00 103.7800 2,594,500.00 Original Cost Basis: $2675,000.00 Total Noncovered 5400400 000 5,362,500.00 5,189,000.00 Total 5,000,000.000 55.362.500.00 $5.189,000.00 BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 060505018 SHS FIXED TO FLOAT 8.25% 0413015887E DTD 0030/08 CALLABLE 05P6/ 13M oody Rating BA2Sb P Rating BEfi, n10/11.112 2,000,000.000 102.7500 2,055,000.00 104.1880 2.083.760.00 Original Cost Basis: $2,055.000 tO SOUTHERN CALIF EDISON CO PREF SEE E Security Identifier: 842400 FU2 6 250% 0117/62 B/E DID 0 t17111 CALLABLE02/01220 AO DOOM oody Rating BAA1Sb P Ration BBB- 01/30/12 " .12 3.000.000.000 99.8650 2.995.948.87 111.0000 3.330.000.00 Original Cost Basis:62.992,544.97 GENERAL ELEC CO GTD FXD.TO.FLTGRT Security Identifier:3696048/44 NONCUMULATIVE PERPETUAL PREFERRED 4 400% 2/03/65 REG CID 12/03/1Moody Rating A3 51 P Rating A 12/03/15 ' 2,469,000.000 88.0930 2.175.016.1? 99.0000 2.444.310 00 Original Cost Bas 5225.01.17 Welled GISVIon Atoned Estimated Edkaated Interest Annul Income Yield 13300 00 3.293 75 23.250 00 7.41% -93,000 00 16,458.34 197,500.00 7.61% 80.500.00 16,458.33 197,500.00 7.61% ,173,500.00 32,916.67 395,000.00 4173300.00 532.916.67 5395.000.00 28,760.00 7,222.22 162,500.00 7.79% 334,051.13 62.500.00 187,500.00 5.63% 269.293.83 45.539.33 98,760.00 4.04% Page 4 of 15 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Rated (salient Every Year Sect 2CO1 DALBAR RATED CONMUNICATiONS aceituta Cleating through Pars/ars LAC. R iittbany owned adnicliary of erearta New Yak Mellon Contotation CONY Mellon nn_00046384 'taint 11C...wit. FINRA.AW Se& DB-SDNY-0009208 EFTA_00 156993 EFTA01289356

a Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) M ay 1,2017-May31.2017 SOUTHERN FlNA NCIAL LLC Adjusted Jr: e ante d Acaued Eslor al ed Eshr al ed Date Acquired Csientity Unit Cost Cod Beds Merkel Price arket Valve Gair Loss Interest Annus Income Yield FIXED INCOME(continued) Corporate Bonds (continued) 5LLOYDSBANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4 ADDL TIER ISMS ISINSUS539139AG12 7.500% 0/127188 FUEOTD 01/07/14S 8 P Rating B8- Please Provide • 1,903,000.000 N/A Please Provide 110.0000 2,093,300.00 NIA 25,373.33 142,725.00 6.81% Original Cost Basis: Please Provide CITIGROUP INC FXD RT SR NT PERP DEP RECPT Security Identifier: 41967,25 5.950% 08/9/88 WE DTD 081419 CALLABLEOWS/10 90.000M oody Rating BA1 SII P Rating 88• 08106/15 3,000,000.000 100.0000 3,000,006.00 105.4380 3,163,140.00 163,134.00 52,558.33 178,500.00 504% Original Cost Basis: 53.000.006.00 Total Corporate Bonds $15,888,471.04 $18,617,010.00 $635,238.96 $229,403.63 $1,188,235.00 17,672,000.000 TOTAL AXED INCOM E $16,322,393.16 $19,104,841.04 $689,147.88 $232,263.91 $1,188,235.00 18,962,000.000 Unmated allanaled &limited Dete Amami Ouietky in Coil Cod &is Market Prke Market Value &ham Maud Income Yield EQUITIES 68.00% of Portfolio Common Stocks M OWLEYE NV AM STB.VEEN ORD StIS ISNS N1009831161 Dividend Oplion: Cash 08101114 ADVERUM BIOTECNNOLOGIESINC 004 Dividend Galion: Cash 04120115 AKORN INC COM Dividend Oplion: Cash 800.000 15.0000 Security Id ratifier. MBLY CUSP. N51188117 20,000.00 61.9000 Searity Identifier. ADYM CUSIP.00773U18 10.000.000 39.8610 398.606.00 2.5500 Security Identifier: AKRX CUSP. 00971896 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 49,520.00 25.500.00 CONFIDWFAL ••••• 29,520.00 473.106 00 Rated (Nelket Inn, Year S,Mt 2001 DAL BAR RA TED coeamunomoms OcCtuANCE Page 5 of 18 Clestlas trough Ponta% LAC. a Nib* owned stinithory of the Bork of New YM Meta Cot/antics (0111F Millon) Pa Flint tic. mote. FINRaatlysyGM_00046385 DI3-SDNY-0009209 EFTA_00156994 EFTA01289357

Portfolio Holdings (continued) Date Acquired Quantity EQUITIES {continued) Common Stocks (continued) AKORN INC COM (continued) Unit Co! Cnst Bale Market Price 06/10/15 5.000.000 46.8410 234.206 00 33.2700 ALIBABA GROUP HLDG LTD SPONSORED ADS ISIN8US0t609W027 Dividend Oplion: Cash Security Idenlifiet MBA CUSP: 0 SO9WS2 06110115 5,000.000 88.9500 444.749 00 122.4600 ALLIANZ SE SPONS ADR REPSTG Y9 SHS Dividend Oplion: Cash Security Identifier:AZSEY CUSP. 01805101 04/13/15 5,000.000 18.0110 90,056 00 19.2500 APOLLO GLOBAL M GM T LLCCL A VS Dividend Oplion: Cash Security Wenl Wier APO CUSP 037612306 03129111 " 3 263.157 000 19.0000 4.999.983.00 27.0300 APPLE INC COM Dividend Oplion: Cash Security Identifier: AAPL CUSIP:037833130 09/05/14 38,180.000 98.9500 3,777,912.53 152.7600 09/05/14 3 7,200.000 98.9500 712.140.29 152.7600 09/05/14 3 18,620.000 98.9500 1.842.449.74 152.7600 01/11/16 250,000.000 99.0000 24,750,006.00 152.7600 Total Covered 311,000 000 Total 314,000.000 ASCENA RETAIL GROUP INC COM Dividend Oplion: Cash 31,082,808.56 631,082,808.56 Security Identifier: ASIA CUSP:0435031 01/16/01 . •3 70,500.000 21.2770 1,500,000.00 1.7700 BASF SE SPONS ADR US0552625057 Dividend Oplion: Cash Security Identifier: SASSY CUSIP. 055262505 04/13/15 5.000.000 101.6110 508,056.00 94.4500 BANK OF NEW YORK M SION CORP COM Dividend Oplion: Cash Secwity Identifier. BK ClISIP.0640513130 06/25/14 250,000.000 36.3060 9,076,406.00 47.1200 BIGGER IDEC INC COM Dividend Oplion: Cash Security Identifier: BOB CUSP 09062X133 02114112 ' 2,095.000 110.2720 231,019.65 247.7700 Market Value Unrealized Gainless Estimated Ellmaled Annul Income Yield 166.350.00 612.300.00 96,250.00 7,113,133.71 5,832,376.96 1,099,872.18 2.844.391.05 38.189.999 81 47,966,640 00 547,966,640.00 124,785.00 472.250.00 11,780,000.00 519,018.15 -67.856.00 167,551.00 6,194 00 3,054.30 3.17% 2.113.150 71 436,840.62 6.14% 2.054,464 43 96213.60 1.64% 387.431 89 18,144.00 1 64% 1,001,941.31 46,922.40 1.64% 13.439,993 81 630,000.00 164% 16,883,831.44 791,280 00 316,883,831 44 6791,280.00 -1,375,215.00 -35.806.00 12.092.13 2.56% 2,703,594.00 190,000.00 1.61% 288,058 50 Page 6 of "S CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Rated Gallia% bery Year Sect 200/ DALBAR RATED CONMUNICATiONS actatect Owing through Radars LC. a +haft owned %Amid*" +*»Barra New Yak Meitan Corporation0NY Mellon) M_00046386 Ptrshinellf.rnenix. FINRA.AW Se& DB-SDNY-0009210 EFTA_00156995 EFTA01289358

PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) M ay 1,2017 - May 31,2017 SOUTHERN FINANCIAL LLC Ode Acquired Nudity Unit Co! EQUITIES (continued) Common Stooks (continued) BIOVERATIV INC COM Dividend Oplion: Cash 02/14/12 1,047.000 18.5540 CDITENE CORP DEL COM Dividend Oplion: Cash 09/08/14 15.550.000 63.6450 DISH NETWORK CORPCL A Dividend Oplion: Cash 06110115 5,000.000 72.9960 FACEBOOK INCCL A Dividend Oplion: Cash 05/17/12 ..13 17,500.000 38.0000 FOUNDATION MEDICINE INC COM Dividend Oplion: Cash 01113114 25,000.000 27.5070 08105114 24,830.000 23.2530 Total Covered 49,830 000 Total 49.830 000 GENERAL ELECTRIC CO COM Dividend Oplion: Cash 04/23/13 23,000.000 21.5700 GENERAL I1T RS CO CON Dividend Oplion: Cash 11/18/10 10.988.200 36.4010 12/09/10 86.536.800 36.8160 Total Noncovered 97.525 000 Total 97,525 000 Cost Baas Market Fria Security Identifier: BIVV CUSP. 09075Et0 19.426.02 55.0900 Stonily Identifier CNC CUSP, 15136BDi 989.679 75 72.6300 Securely bolder DISH CUSP 2$470M19 364.978 00 63.7700 Security Identifier: FB QISIP. 30303M 92 665,000 00 151.4600 Security Identifier FM I CUSP: 1504651)0 687.663 50 38.0000 577,373 02 38.0000 1.265.036 52 S1,265.036 52 Security Identifier. GE CUSP 369604 93 496,10908 27.3800 Sturdy Identifier GM WSIP 37045Vt0 399,978 16 33.9300 3.185.969 22 33.9300 3,585,947 38 $3,585,947.38 arket Vete 57.679 23 1129.396.50 318.850.00 2,650,550.00 950.000.00 943,540.00 1,893,540.00 $1,893.540.00 629,740.00 372,829.63 2.936.193.62 3,309,023.25 $3,309,023.25 Unrealized 38253 21 139.716 75 46,128 00 1,985,550 00 Sheered Estimated Maudloom Yield 262,336.50 366,166.98 628,503.48 3628,503.48 $0.00 133,630 92 22,080.00 3.50% -27,148.53 I 6,702.06 4.17% -249.775.60 131.535.94 4.47% -276.924.13 148,238.00 4276,924 13 S148,238,00 Page 7 of 18 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Wed (utile% bent Year Sect MO/ DALIAlt RATED CONMUNICATiONS ctattuta Cleating through Pen.. .RUC. okay owned %ISSN" of tMeeta New York Mellon Corporation aNY Mellon IVI_00046387 Ptrshim 11C . rnend. FINRA.AW Se & DB-SDNY-0009211 EFTA_00 156996 EFTA01289359

Portfolio Holdings (continued) Date Acquired Quantity Unit com Cost Bens Market Price EQUITIES {continued) Common Stocks (continued) GILEAD SCIENCES INC Dividend Oplion: Cash Security Identifier- GILD CUSP: 3755581)3 02/05/14 5.000.000 792810 396.407.00 64.8900 03/07/14 3.100.000 796120 246.797 00 64.8900 Total Covered 8,100.000 Total 8,100 000 GLAXOSN ITHKUNE PLC SPONS AD R Dividend Oplion: Cash 643,204.00 $643,204.00 Sedulity Wenl GSK CUSIP. 37733W1)5 06110115 5400.000 43.0010 215,006.00 44.2300 GLOBAL PARTNER ACQUISITION CORP UNIT ICON 8 1W T EXP Dividend Oplion: Cash Security Identifier: GPACU CUSP: 37954X204 07130115' 2,000.000 10.0000 20,000.00 10.0000 GODADDY INC CL A Dividend Oplion: Cash Security Identifier CODY CUSP: 38023797 04/01/15 700.000 20.0000 14,000.00 41.1400 MATCH GROUP INC COM Dividend Oplion: Cash Security Ideal Wier MICH CUSP: 5766%16 11/18115 200.000 12.0000 2.400.00 19.4800 SANGAMO BIOSCIENCES INC COM Dividend Oplion: Cash Scarily Identifier: SGM O CUSP 60057716 05/28113 " 3 50.000.000 8.4440 422,214.00 6.8000 SANTANDER CONSUM ER USA HLOGS INC COM Dividend Oplion: Cash Stonily Identifier:SC CUSP:80283M 91 01/23/14 1.000.000 24.0000 24.000.00 11.1700 SQUARE INC CL A Dividend Oplion: Cash Security Identifier SO CUSP: 8522341)3 11/19/15 200.000 9.0000 1.800.00 22.9900 TERRAFORM GLOBAL INC CL A Dividend Oplion: Cash Security Idenl ilier CAR CUSP: 88141191 07/31/15 400.000 14.5550 5,821.84 4.9000 TWITTER INC COM Dividend Oplion: Cash Sedulity Menlifiec T1V TR CUSIP. 90941132 11/07/13 1,500.000 26.0000 39,000.00 18.3200 Market Value 324.450.00 201.159.00 525,609.00 3525,609.00 221.150 00 20.000.00 28.798 00 3.89400 340,000.00 11.170 00 4.598.00 1.960 00 27.480 00 Untainted Carrion -71,957.00 .45.638 00 -117.595.00 4117,59500 6.144 00 0.00 14,798 00 1.496 00 42,214.00 -12.830.00 2.798 00 4.861 84 -11,520 00 Esthaled Estimated Annual Income Yield 10.400.00 6,448.00 16,848.00 516,848 00 320% 320% 9,839 73 444% 440.00 22.44% Page 8 of 18 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDOI Rated [.celloA Leery Yaw Sect 200/ OMBRA RAM COMMUNICATIONS Clemlag through Pershing LLC. a Many **fled mdaskliwy el &alert a New Yak Mellon CoMmation Ma Melee) Pasting L1C. mead*/ FINRA.CW !R&M_ 00046388 DB-SDNY-0009212 EFTA_OO 156997 EFTA01289360

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings ( continued) M ay 1,2017 - May 31.2017 SOUTHERN FlNANCIALLLC Unrealized Estimated Eslimated Date Acmgred Cerny UnR Cog Cog Bags Market Price Market Value Gain Loss Annual Income Yield EQUITIES (continued) Common Stocks (continued) VIACOM INC NEW CL B Security Identifier: VIAB Dividend Oplion: Cash CUSP: 92553P201 06/10115 5,000.000 67.7490 338,745.00 34.7900 173 950 00 -164,795.00 4,000 00 2 29% VOLKSMAGEN A GADR (PONS) Security Identifier: VLKAY Dividend Oplion: Cash CUSP: 928662303 04/13/15 5.000.000 50.8610 254,306.00 31.4200 157,100.00 47.206.00 1.706.59 1.08% WISDOM TREE INVTS INC COM Security Iderdifiet WETF Dividend Option: Cash CUSP: 97717P134 03131115 15,000.000 21.6110 324,157.50 9.5100 142,850.00 -161,507.50 4,800.00 3.36% Total Common Stocks $58,276,721.30 $80,572,946.84 822,298,225.54 $1941,219.37 Preferred Stocks (Listed by expiration date) GMAC CAP TR I GTD TR UFO SECS SER2 Ceti. Security Identifier: ALLY PRA 8.25% FRED DRILY M ATV-02/112040 CALL CUSIP. 36160208 ANYTIM EONS W/30 DAYS BEGINS 02/515 Dividend Option: Cash 02/22/12 ' •° 80,000.000 23.5350 1,882,77390 25.5200 2,041,800.00 158,826.40 142,432 00 897% Total Preferred Stocks $1,882,773.60 $2,011,600.00 $158,826.10 $142,432.00 TOTAL EQUITIES $60,159,494.90 $82,614,546.84 $22,455,051.94 $1 ,783,651 37 Unrealized Efilmated Maimed Date Acquired Ouentity UnR Cog Cost Baas Market Price Market Value Onliglow Maud PROMO Yield EXCHANGE-TRADED PRODUCTS 2.00% of Portfolio WISDOM TREE TH,APAN HEDGED EOUITY FD Security Identifier CXJ Dividend Option: Cash: Capital Gains Option- Cash CUSIP 9772W851 80,000.00 of these shares are in year margin moue' 12/11/13 60,000.000 49.4350 TOTAL EXCHANGE-TRADED PRODUCTS 2,988,098.50 50.9900 52,986,098.50 Cost Bail 3.059.400.00 53,059,400.00 Market Value 93,301.50 $93,301.50 Uniformed Gelman Awned Internal 58,834.20 1.92% $58,834.20 Edinded Annul Income TOTAL PORTFOLIO HOLDINGS 998,464,304 09 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) $121.795.105.41 $23.237.501.32 $232,263.91 $3.069.504.79 Page 9 of 18 CONFIDWFAL Rated (scelkot hay Yea, SoKe 200/ DALIAR RATED COVIMUNICATTONS DICOAINCE Os /ft *tough hiMe LLC.e Shay owned stinicliary of IM ea rk to Now Ycelt Melba Corporation (Wly Pa shine 1.1C FINRA.MtlYftlt 00046389 DB-SDNY-0009213 EFrA_00 I 56998 EFTA01289361

Portfolio Holdings (continued) Noncovered under the cost basis rules as defined below. Securities acquired before 2011or in retirement accounts 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 P1.110-343, 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 non-retirement, UStaxpayers 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 will 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 12011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1,2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1 2014 Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided fo us by you or your introdudng firm and Pershing makes no representation as to the accuracy of thisinformation. 5 Unrealized gains and losses are not reported for securities for which cost basis or market value isnot available. o 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. t2 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided fo us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer. and may differ from the actual sale price. Securities for which a price is not available are marked "N/ A" and are omitted from the Total. THEAS OF PRICE DATE ONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however. no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political. and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.comf business_continuity.htm I for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may Page 10 of 18 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated (.talent (rev Year S.ritt 2001 DALBAR RA TED COMMUNICATIONS trauma Owing through Prs/ars l(C,a trIxoly owned att." of &altar& a Now Via Mellon Corporation (OM Melee) a Pa shine 11C. menix. FINRA.AW 00046390 DB-SDNY-0009214 EFTA_00 156999 EFTA01289362

O Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) M ay 1,2017 -May 31,2017 SOUTHERN FINA NCIAL LLC Reinvestment {continued) have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you A summary of this information is available to you promptly upon your written request directed to your introducing firm In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing 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 will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge. or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Ratings This statement may contain credit rating information obtained from Standard & Poor's Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions. regardless of the cause. or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase. hold or sell securities. and do not address suitability for investment purpose Credit ratings should not be relied upon as investment advice CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 1' of 18 Rated (scallent Cron Year Lae 200/ DAL/AR RA TED COMMUNICATIONS actunia Owing through Pars/ars LUC, a 'Many owned stinidiary of dwearta New Yak Mellon CorporationCONY Mellon Pttshing Lit...sends FINRA.AW 00046391 DB-SDNY-0009215 EFTA_00157000 EFTA01289363

Schedule of Realized Gains and Losses Current Period Desaiplion Date Disposed Dale Acnelied Designation Disposition &Weed i Transedion Chantey PrecisWe 031 Beds Realized GeIss Loss Long Term WASHINGTON IA UT IA TG 6 004-M2 MW PASSTHRU Cif CI. C- 8-WAR RATE 6.052% 07125133 Security Identifier.939336520 05124117 12/13/13 Noncovered'' REVISIT OF PRIN Original Cost Basis:1465.29 1,290,000.000 1,914.94 1,465.29 449.65 Total Long Term 1,914.94 1,465.29 449.65 Total Short and Long Term 1,914.94 1,465.29 449.65 • Noncovered under Me cost basis rules as defined below. Securities acquired before 2011or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amends ("IRC") (incorporating amendments enacted by P.L110-34 3, 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 non-retirement, UStaxpayers 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 will be reported to the IRS on form 1399-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 1,204 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made alter year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1199•B or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Page 12 of 18 CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) C0NFIDOMPAL ••••• Rated (mtelkot Even, Year SoKe 2OO1 DALBAR RATED COVIMUNICATTONS (XCOJANCE Clearlas through PerstSOLC. vilayavnal Snider" of tinier. a New Yak Main corporation (MY NNW) Pashint mere nnexficl8lieter'A_00046392 DB-SDNY-0009216 EFTA_00 57001 EFTA01289364

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) May1,2017 - May31,2017 SOUTHERN FINANCIAL LW 1 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. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method. your account will be defaulted to First In. First Out (FIFO) Your account's selected tax 101 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-B. M essages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (All amounts shown are in base currency) Securities CredasihisPeriod Debits ThisPerio4 Net ThisPeriod CreditsYear4oate DebasYear4o-Date Net Yeauto.Date Securities Sold 0.00 0.00 0.00 390,735.38 0.00 390.735.38 Securities Withdrawn 0.00 0.00 0.00 0.00 44,366,000.00 -14,366,000.00 Total Securities $0.00 $0.00 $0.00 $390.735.38 414.366.000.00 413.975.264.62 Dividends and Interest $594,654.91 $0.00 $594.654.91 $1,365.792.57 489.250.00 $1.276.542.57 Distributions $128,946.93 $0.00 $128,946.93 $623,751.69 $0.00 $623.751.69 Fees $0.00 4200.00 4200.00 $0.00 4350.00 4350.00 Taxes Withheld $0.00 46.076 09 46.076 09 $0.00 46.076 09 46.076 09 Cash Withdrawals 0.00 0.00 0.00 0.00 .1.132,731.96 .1.132,731.96 Total Cash $0.00 $0.00 $0.00 $0.00 41.132.731.96 41.132.731 96 Totals $723,601.84 46,276 09 $717,325.75 $2.380,279.64 415,594,408.05 413,214,128.41 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Page '3 of 18 Rated (Kellent Eno Yea, Sesce 2C0/ DALBAR RATED C0MMUNICATi0NS uctuora Owing through Pershing1M, okay owned stinithry of Ow Barka New Yak Mellon Corporation (MY Mellon ftW Se&ne_00046393 Paging 11C. menix. FINRA. DB-SDNY-0009217 EFTA_00 157002 EFTA01289365

Transactions by Type of Activity Process Settlemenl Dote Aclivity Type Description 0uentily Price Awned Interest Amount Urgency Dividends and Interest 05/01/17 CASH DIVIDEND RECEIVED .PMORGAN CHASE& CO DEP SHS REPSTG PATH PFD SER 1 197.500 00 USD 46625H HAI 7900% 04129149 EVE RD 04/28 PD 04/30/17 DIV PAID AT 39.51 5000000 05/12/17 CASH DIVIDEND RECEIVED 250000 SIRS BANK OF NEW YORK MELLON CORP COM RD 47,500 00 USD BK 05/02 PD 05/2/17 05/15/17 FOREIGN SECURITY DIVIDEND 5000 SHRSALLIANZ SE SPONS AD R FtEPSTG VI) SHS RD 05/08 4,148 46 USD RECEIVED PD 0514117 AZSEY 05115/17 CASH DIVIDEND RECEIVED BANK AMER CORP PERP NON COM ULATIVE DEPSHS FIXED TO 81,250.00 USD 060505018 FLOAT 8.25% 04/30/58 BIE RD 0514 PO 05/ 15/17 DIV PAID AT 40525 2000000 05/15/17 BOND INTEREST RECEIVED 80000 SHRSGM AC CAP TR I GT0 TR PFD SECS SER 2 CPN- 33,740 88 USD ALLY PM 8.125% FRED ORTLY MATY-02/ 4/2040 CALL ANYTIME 4)25 W130 DAYS BEGINS 0215/6 RD 05/2 PO 05/1611 05/18/17 CASH DIVIDEND RECEIVED 351000 SHRSAPPLE INC COM RD 05115PD 051107 197.820 00 USD AAPL 05/22/17 FOREIGN SECURITY DIVIDEND 5000 SHRS VOLKSWAGEN A G ADR (SPONS) RD 05/2 PD 2.193.20 USD RECEIVED 05/22/17 VLKAY 05/24/17 FOREIGN SECURITY DIVIDEND 5000 SIRS BASF SE SPONSADR IONS US0552629357 RD 05/17 16,695 60 USD RECEIVED P0 05/24/17 BASFY 05/24/17 CASH DIVIDEND RECEIVED S000 SHRS WISDOM TRE INVTS INC COM RD 0510 PD 1.200.00 USD WETF 05/24/17 051250 7 BOND INTEREST RECEIVED 290000 WASHINGTON Al UT M TG SEC.SCORP 2004 .17A2 M TG 2.869.94 USD 939336820 PASSTHRU CIF CL C-11VAR RATE 6.052% 07/25133 BIE DID 06/0104 RD 04/28 PD 05/25117 05/31/17 MONEY MARKET FUND DEUTSCHEGOVT CASH 9.736 83 USD INCOME RECEIVED PER23214 5 Total Dividends and Interest - U.S. DOLLARS 0.00 594,654.91 Distributions 05/31/17 PARTNERSHIP DISTRIBUTION 26367 SHRSAPOLLO GLOBAL M GM T LC CL A SHS RD 054 PO 128,94613 USD APO 05/3117 Total Distributions - U.S. DOLLARS 0.00 128,946.93 Page 'A of 18 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID t I AL- bled !.alien! bay Year Sect 2001 nMWtMrte COMMUNICATIONS (Amapa CloatIn through Pershing1M, Sway owned stinicliary of **Bark of New Yak Mellon Corporation (IINY Mellon) M_0O346394 Pershing Lit...sends MRA.WAffillie DB-SDNY-0009218 EFTA_00 157003 EFTA01289366

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) May 1,2017 -May 31,2017 SOUTHERN FINANCIAL LLC Procne; Settlement Clete Activity Type Deatiption earthly Price Acaued Interest Amount Currency Fees 05/24/17 FEE ON FORSCH DIVIDEND 5000 SHRS BASF SE SPONS ADR 'SIN' USO 5526250 57 RD 05/1 •200.00 USD WITHHELD AT THE SOURCE PD 05124/17 BASFY Total Fees - U.S. DOLLARS 0.00 -200.00 Taxes Withheld 05/15/17 FOREIGN TAX WITHHELD AT 5000 SHRSALLIANZ SE SPONSADR REPSTG SFIS RD 05/08 -1.094.16 USD THE SOURCE PO 05/SIV AZSEY 05/22/17 FOREIGN TAX WITHHELD AT 5000 SHRSVOLKSWAGB4 A G ADR (SPONS) RD 05/2 PD 478.46 USD THE SOURCE 05/224 VLKAY 05/24/17 FOREIGN TAX WITHHELD AT 5000 SHRS BASF SE SPONS ADR ISM* US0552625057 RD 05/17 4,403.47 USD THE SOURCE PD 05/24117 BASFY Total Taxes Withheld - U.S. DOLLARS 0.00 -6,076.09 Total Value of Transactions 0.00 717,325.75 USD The price and quantity displayed may have been rounded. Cash Not Yet Received Smarty Interest GENERAL ELEC CO GTD FKO-TO•FLTGRT 05/31117 06/15/17 NON-CUMULATIVE Total Cash Not Yet Received 549.380.00 Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment 2,469,000.000 0.020000 Cash 49,380.00 Page's of '8 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Wed (utile% (wy Year Sffice 200/ DAMANRATED COMMUNICATIONS DICULDICI ClearIng throush Peal% LLC. a Many owned stinicliory old.* Bark a New York Mellon Corporation (IN't Mellon) M_00046395 Ptrshine 11C. menix. FINRAAW Se& DB-SDNY-0009219 EFTA_00 157004 EFTA01289367

Fixed IncomeAnalysis Bond Quality %o18op4 Bond Maturity Schedule %or Bone Bond Quality Market WM Midst Value Paced el Fixed Income BoneMaturity Markel Value Market Value A 2,444,310.00 13% 6 to 'A years 313,500.00 2% BAA 8,519,000.00 44% Over 10 years 18)91,341.04 98% BA/ Lower 1,653)00.00 40% Total 19,104,841.04 100% Not Rated 487,831.04 3% Total 19,104,841.04 100% 0 20 40 60 80 100 Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Client Service Information Yew Invedment Speeded. ENJ JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10017 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 Flan First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDWAL ••••• Rated httlket Even, Year SoKe 200/ DALBAR RATED COMMUNICATIONS (XCULINCE Page 16 of 18 Owing through Penal% LI.C. a wig,/ owned sticliary of tlw tank M New Yak Melba CorporationMy Mieoe1 Paging RC. mender FINROAROYftelt00046396 DB-SDNY-0009220 EFM_00157005 EFTA01289368

O Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures May 1,2017 -May 31,2017 SOUTHERN FINA NCIAL LLC The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and ( ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives asthe result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws. regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents. the acceptance and. in certain instances. execution of securities orders.the assessment of the suitability of those transactions. w here applicable. the rendering of investment advice. if any. to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413.3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance. but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC limits. For more detailed information please visit:www.pershing.com/ about! strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement. to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LI_C, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; . Errors and Omissions excepted Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited • The ability of the parties to obtain documents. w itness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason( s) for their award. unless. in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court • The rules of the arbitration forum in which the claim is filed, and any am endm ents t hereto. shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LW 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 Page 17 of 18 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated balleet ben Yew Seem 2001 DAUM PATO) COMMUNICATIONS WRUNG( Cleating through haft1Mo Many owned stinicliary of **Bark a New Yak Mellon Corporation (WY PASO Pershing lit. mentorFiNRA.VAPteLeM_ 00046397 DB-SDNY-0009221 EFTA_00157006 EFTA01289369

Important Information and Disclosures (continued) Important Arbitration Agreement (continued) (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399: Page '8 of '8 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated (Anneal fray Year Sffice [CO! DALIAR RA TED COMMUNICATIONS amnia Cloatins throush Pars/ars lit. a SIN/ owned sticliary a tlw Bark el New Yak Mellon Corporation (IINY Mellon) Petshift FINRA.Pk DB -SDNY-0009222 kem° 46398 EFTA_00 157007 EFTA01289370

a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 dutut14 Lint 'riser Melh MI./amen Marini (*.watt (404 (inn (he Oar* Se “ e nen POW Yon C.Ice 30 POIL Attnva.}611. now Net. %AO Ton roe Cote A pril 1, 2017 - A pril 30,2017 Account Number: SOUTHERN FINANCIALLLC 6 130 RED HOOK QUARTER B3 ST THOM AS VI 00802 Portfolio Glance at a NuPeried Ter:to-Deft Your Investment Specialist. BEGINNINGACCOUNT VALUE 6117,147,287.63 6117,069,956.28 JOSHUA SHOSHAN Nd Cash Deposits aid Withdrawals 0.00 .1,132,131.96 (212) 454-4433 Nd Securities In/Out of Account 0.00 -14,366.000.00 Adjusted Previous Account Value 117,147,287.63 101,571,224.30 Dividends, Interest and Olher Wane 39,141.86 800.308.31 Nd Other Ad ivity -125.00 -150.00 Net Change in Portfolio 1,054,269.20 15,669,190.88 IENDINGACCOUN1 Acaued 'Merest 3212,317.11 Estimated Annual Income $2,914,906.73 Asset Summary Percent Meet Type 14% Cash, Money Funds, and Bank Deposits E. 16% Fixed Income ) 67% Equities 3% Exchange-Traded Products 100% Account Total (Pie Chart) Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Pifer Year43id Int Period This Period 15,864,445.94 16,242,379.70 16,298,991.78 19,233,099.80 18.979.191.67 19,100,314.80 79,000,010.52 78,888,516.26 79,777,066.91 2,972,400.00 3,037200.00 3,064200.00 6117,069,956.26 6117,147,287.83 6118,240,573.49 CONFIDWAL4 Page 1 of 17 Wed beellent bay Yew Sege 2C0/ DALIN, RA 111) COMMUNICATORS DICIILDICI Clearing through Persian Ut..• %Maywood minicliwy of tin Bart a New 'Ark Main CoMotation (MY MOW Paging 11C. meat*. riNRAARMIELGm_00046389 DB-SDNY-0009223 EFrA_00157008 EFTA01289371

Summary of Gains and Losses PeeAzed Tots Period 6,193.46 6,193.46 Yeako-Dele 110326.66 110,326.66 UrgesNeed Lone-Term Gain! Loss Net Gain! Loss This summary excludes transactions where cost basis information is not available. Money Market Fund Detail 20 441 709.45 20,441,709.45 Dale Adivity Type Deeception Amount edam Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield: 0.65% Activity Endin 04/28/ 17 04/01117 Opening Balance 04/04117 Deposit 04106117 Withdrawal 04/11/17 Deposit 04/17/17 Deposit 04/28117 Deposit 04/28/17 Deposit MONEY FUND PURCHASE MONEY FUND REDEMPTION MONEY FUND PURCHASE MONEY FUND PURCHASE MONEY FUND PURCHASE INCOM E REINVEST 16,242,379.70 1,000.00 -100.00 11,625.00 2,830.77 32,492.87 8,763.44 16,242,379.70 18,243,379.70 16,243,279.70 16,254,904.70 16,257,735.47 18,290,228.34 18,298,991.78 04/28111 Closing Balance $16,296,991.78 Total All Money Market Funds 816,298,991.78 Income and Expense Summary rent Period Yeat4o-Date Taxable Non Taxitle Tangle Nos Taxable Dividend Income Equities 9,375.77 0.00 344,157.67 0.00 Money Market 8,763.44 0.00 29,047.39 0.00 Other Dividends 0.00 0.00 89,250.00 0.00 Interest Income Bond Interest 21,002.45 0.00 185,235.88 0.00 Other Interest 0.00 0.00 34,198.72 0.00 Expenses Fees(Foreign Securities) 45.00 0.00 40.00 0.00 Total Dividends, Interest, Income and Expenses $39,116.66 80.00 8681,837.66 80.00 Distributions Alternative Investments 0.00 0.00 0.00 118,420.65 Other Distributions 0.00 17,595.42 0.00 17,595.42 Total Distributions 80.00 $17,595.42 90.00 9136,016.07 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 2 of 17 CONFIDP Rated (salient Cary Yew Sect 2C01 DALBAR RATED COMMUNICATORS trauma Cleating through Pershing LUC a Sbaly ("mod stinithory of tMbnka Now Yak Melba Corporation0NY WNW holing 11C. rnente. FINRAMOYakelt00046400 DB-SDNY-0009224 EFTA_00157009 EFTA01289372

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings Opining Cole CASH, MONEY FUNDS, AND BANK DEPOSITS 14.00% of Portfolio Money Market DEUTSCHE GOVT CASH Inn 04/01117 16,298,991.780 N/A 04/28/17 16242.379.70 16,298,991.78 0.00 29,047.39 0.65% 0.65% Total Money Market TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $16,242,379.70 $16,298,991.78 $0.00 $29,047.39 Adjusted nested Aonved Blinded Winded Dale Monett Ouralky Ung Cod Cod Basis Markel Prim Marital WS Gain/Lou Mined Maud NKOMO Yield FIXED INCOME 16.0 0% of Portfolio an Maturity Date Sequence) "Asset Backed Securities WASHINGTON II UT N TG SECS CORP 20 04•RA2 Security Identifier 939336920 SIG PASSTHRU CTFCL C-B-11/AR RATE 6297% 07/25/33 B/E DTD 0610104 Factor: 0.44108177 EffectiveDate:04/03/V Current Face Value: 568.995.483 12/13/13 . •312 1,290,000.000 76.5190 435,367.41 83 9860 Original Cost Basis: $638,906.11 Total Asset Backed Securities $435,387.41 $477,876.55 $42,489.14 $2,886.50 $0.00 1,290,000.000 Total Current Face Value: 566,995.483 Corporate Bonds SARCLAYSIIK PLCCONTINGENT CAP NT Security Identifier: 06739FHK0 ISINt USO 8739RIK03 7.760% 04/13123 WE DTD 04/11/1 CALLABLE 04ID11S8 P Rating 08+ 04103113 '.° •° 300,000.000 100.0000 300.000.00 104.8940 Original Cost Basis:5300000.00 IN ORGAN CHASE 8 CO DEP SHSREPSTG Security Identifier 46625HHA1 /13TH PFD SER1FIXED TO RTGRT BD 7.900% 04/29/ 49 WE DTI) 04123/0 BM oody Rating 8M3 SS P Rating BBB- 0 6115/11 .4.12 2.500.000.000 107.5000 2.687.500.00 104 5000 2,612,500.00 -75.000.00 0.00 197,500.00 7.55% April 1,2017 - April 30,2017 SOUTHERN FINANCIAL LLC Account Adivity OWNII9 Closing Accrued income 3043oy Current Wally Number Ending Balmer Balance Income UMW( Yield Yield $16,242,379.70 $16,298,991.78 $0.00 $29,047.39 477,876.55 42,489.14 2,886.50 314,682.00 14,682.00 1.291.67 23.250.00 7 38% CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 3 of 17 CONFIDgffsfrAL-4 Rated (Actlient hay Veal Since 200? DA UM RATED COMUNICATONS MELLING Clearlas throush PerstAng LC, Sbaly owned stinicliary elfinBarka New Yeek Melba Corporation (ONY Milen) Paging 11C . nmekfiRlOYEGM_00046401 DB-SDNY-0009225 EFTA_00157010 EFTA01289373

Portfolio Holdings (continued) Dale Acquired FIXED INCOME(continued) Corporate Bonds (continued) ORGAN CHASES CO DEP SHSREPSTG (continued) Quantity Unit Coal Adjusted Cost Basis Markel Rice Mutant Value Unntalized Quinton 06115/11 . '3 Total Noncovered Total 5,900,000.000 BANK AM ER CORP PERP NON COM ULATIVE DEP MS FIXED TO FLOAT 8.25% 04/30/58 BIE DTD 04/30/08 CALLABLE05/16/BM oody Rating BA2 S& P Rating BB, 01/10/11 2,000,000.000 2.500.000.000 107.0000 5,900,000.000 Original Cost Basis: 52.687.5a000 2.675.000.00 104.5000 Original Cost Basis:52,675,000.00 5,362,500.00 $5,362,500.00 241240040 5,225,000.00 42.500.00 ,137,500.00 Accrued Estimated EdImaled Mimed Annual Income Yield 102.7500 SOUTH ERN CAUF EDISON CO PREF SERE 6250% 0114/62 EVE DTD 0117112 CALLABLE02/0122Q 90000M oody Rating 9AAISt P Rat leg BBB- 01/30/12 ..3-52 3.000.000.000 99.8630 GENERAL ELEC CO GTD FX0.70-FLTGRT NON-CUMULATIVE PERPETUAL PREFERRED 4 000% 12/03/65 REG DTD 4/03/51doody Rating A3 S& P Rating A 12/03/15 2.469.000 000 68.0930 5LLOYDS8ANKING GROUP PLC FXD RATE RESET ADDL TIER 1SECSISINSUS539439AG12 7.500% 04/27/88 B/E DTD 0410711458 P Rating BB- Please Provide 1,903,000.000 N/A CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08/5188 81E DTD 08/12/4 CALLABLE081'6/20 V0.0001I oody Ralieg BA2 SI P Rating BB. 08/06/15 3,000,000.000 100.0000 Security Idtatifier 060505038 2,055,000.00 104.7500 Original Cost Basis:52,055.000.00 Securty Identifier: 842400 FU2 2.995.886.78 111.3750 Original Cost Basis: 52,992,56427 Securdy Identifier: 369604BM 4 2,175.016.17 98.8750 Original Cost Basis:52,25.01.R Securdy Ident reel: 539439AG4 Please Provide 107.7500 Original Cost Basis: Neese Provide Sectirey Identifier: 172967.125 3.000.006.00 105.1600 $5,225,000.00 2,095,000.00 3.341 250 00 2.441.22375 2,050.482.50 3.154 800.00 4137,500.00 0.00 197.500.00 7.55% 0.00 395,000.00 $0.00 $395,000.00 40,000.00 74,479.17 162,500.00 7.75% 345.363.22 46.354.17 187.500.00 5.61% 266.207 58 37,035.00 98,760.00 4 04% NIA 13,083.13 142,725.00 6.96% 154,794.00 37.187.50 178,500.00 5.65% Page 4 of *7 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Inn Rated («elk" (rev Year S.rce MC/ DALBAR RATED CONMUNICADONS ClCaltNa Clueing Ibrough NS" LIC. a !Many egmed ~Wiry of **Bank a New Yak Maim corporation (eta MS) M_00046402 hrshim lIC. men«. FINRA.RWR!SrW DB-SDNY-0009226 EFTA_0015701 I EFTA01289374

Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) Date Acquired FIXED INCOME (continued) Corporate Bonds (continued) CITIGROUP INC FXD RT SR NT PERP DEP RECPT (continued) Quantity Unit Con Adjusted Cud Basis Merkel MCI April 1,2017 - April 30,2017 SOUTHERN FlNANCIALLLC Mall Value Total Corporate Bonds 17,672,000.000 TOTAL FIXED INCOME 18,962.000 000 Dote Acquired EQUITIES 67.00% of Portfolio Common Stocks OBILEYE NV AM STELVEEN ORD SHS ISNINI1013831361 Dividend Option: Cash 08/01/14 ADVERUM BIOTECHNOLOGIESINC COM Dividend Oilier Cash 04/20/15 AKORN INC COM Dividend Oplion: Cash 06/10/15 Gorky Unit Cod Original Cost Basis: $3.000.006.00 $15,886,408.95 $16,323,796.36 Cost ens Merkel Price 618,622,438.25 $19,100,314.80 Market Value 800.000 25.0000 10,000.000 5.000.000 ALIBABA GROUP HLOG LTD SPONSORED ADS ISINIUS0109W927 Dividend Oplion: Cash 06/10/15 5,000.000 ALLIANZ SE SPONSADR REPSTG VS StIS Dividend Oplion: Cash 04/13115 5,000.000 39.8610 46.8410 Security Identifier: MEV CUSP 1151188/17 20100.00 61.9200 Security Identifier: ADVM CUSIP.00773U138 398,60100 2.8500 Seurdy Identifier: AKRX CUSP 00972816 234.20610 33.4500 Security Idenueer. MM CUSP:06090/M 88.9500 444,749.00 115.5000 Securely Identifier: AZSEY CUSP. 01380591 18.0110 90,056.00 19.0090 49.536 00 28,500 00 167.250 00 577 500.00 95.045 00 Untested Gentiles Accsued &Steeled Estimated lateral Annulloom, Yield $683,546.80 $209,430.64 $1,188,235.00 $726,035.94 $212,317.14 $1,188,235.00 Unrealized Estimated Edimaled Pintoes Annul Income Yield 29.536 00 ,370,106.00 -66.956.00 132,751.00 4,989 00 2,955 54 3.10% Page 5 of CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Rated (Kenai (rev Year Sect 200/ DALBAR RATED COMMUNICATIONS actimict Cleating through Peal% LLC, p !Sway owned stinicliory elfneeata New Yak Mellon Corporation My Mellon) M_00046403 kr shine 11C. mat. FINRA.AW Se& DB-SDNY-0009227 EFTA_00 157012 EFTA01289375

Portfolio Holdings (continued) Date Acquired Quantity Unit com Cod Beres Market Price EQUITIES {continued) Common Stocks (continued) APOLLO GLOBAL MGM T LLCCL A SHS Dividend Oplion: Cash Security Wenlifier: APO CUSP. 03762306 Mari' '.13 263,157.000 19.0000 4,999,983.00 26.7700 APPLE INC COM Dividend Oplion: Cash Security Identifier: AAPL CUSP:03783320 09/05/14 38.180.000 98.9500 3.777.912.53 143.6500 09105114 3 7,200.000 98.9500 712,440.29 143.6500 09/05/14 3 18.620100 98.9500 1.842.449.74 143.6500 01/11/16 250100.000 99.0000 24,750,006.00 143.6500 Total Covered 314,000 000 Total 314,000 000 ASCENA RETAIL GROUP INC COM Dividend Oplion: Cash 31,082,808.56 $31,082,808.56 Security Idenlifier. ASNA CUSIP.04351091 01/16/01 .•3 70.500.000 21.2770 1.500.000.00 3.9100 BASF SE SPONSAOR 'SIN. U93552625057 Dividend Oplion: Cash Securdy Identifier: BASF? CUSP: 055262505 04/13/15 5,000.000 101.6110 508,056.00 97.2860 BANK OF NEW YORK M GAON CORP COM Dividend Oplion: Cash Secerity Identifier BK COP.06405820 06/25/14 250.000.000 36.3060 9.076.10 47.0600 BIOGEN INC INC COM Dividend Option: Cash 02/14/12'1-'2 2,095.000 BIOVERATIV INC CON Dividend Oplion: Cash Security Identifier. BIIB CUSP 09062X133 231,019.65 271.2100 Security Identifier: BIVV CUSP. 09075E20 02/14/12 1147.000 18.5540 19.426.02 58.8100 CENTSIE CORP DB. COM Dividend Oplion: Cash Secruity Identifier- CNC CUSP: 625821 09/08/14 15.550.000 63.6450 989.679.75 74.4000 DISH NETWORK CORP CL A Dividend Option: Cash Seemly Wenl der DISH CUSP. 254705119 06/10/15 5,000.000 72.9960 364,978.00 64.4400 Market Value 7,044,712.89 5.484.567.15 1134.280.17 2.674.762.86 35.912.499.82 45,106,100.00 $45,106,100.00 275,655.00 486,430 00 11.765.000 00 568.18495 61.57407 1 156.920 00 322 200 00 Unrealized Gain toss 2.044.729 89 1.706.644.62 321,839.88 832.313.12 11,162,493.82 14,023,291.44 614,023,291.44 .1,224.345 00 -21,626.00 2.688.594 00 337,165 30 42,148 05 167.240 25 X2,778.00 Estimated Edit's' ed Annul Income Yield 373,682.94 5.30% 87.050.40 1.58% 16,416.00 1.58% 42.45310 158% 570,000.00 1.58% 715,920 00 5715.920.00 11,561 37 2.37% 190.000.00 1.61% Page 6 of '7 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated (scallent fray Year Sffice2CO/ DAL/AR RATED COMMUNICATIONS amnia CIOXIIR$ VVOUgh hairs LLC. a Sway owned stinicliary of tlw Bark of New Yak Mellon Corporation (MY Plebe) Petshift Lit...sends FINRA.VANPM_00046404 DB-SDNY-0009228 EFTA_00 157013 EFTA01289376

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Dare Acquired Quantity Unit Cog EQUITIES (continued) Common Stocks (continued) FACE800K INC CL A Dividend Oplion: Cash 05117112 '9 17,500.000 38.0000 FOUNDATION MEDICINE INC CON Dividend Oplion: Cash 01/13/14 25.000.000 27.5070 08/05/14 24,830.000 23.2530 Total Covered 49,830.000 Total 49,830.000 GENERAL ELECTRIC CO COM Dividend Oplion: Cash 04123113'9 23,000.000 21.5700 GENERAL U IRS CO COM Dividend Oplion: Cash 11/18/10' 10.988.200 36.4010 12/09/10 86.536.800 36.8160 Total Noncovered 97,525.000 Total 97,525 000 GILEAD SCIENCES INC Dividend Oplion: Cash 02/05/14 5.000.000 79.2810 03/07/14 3,100.000 79.6120 Total Covered 8,100 000 Total 8,100 000 GUVOSM ITHKUNE PLC SPONSADR Dividend Oplion: Cash 06/10/15 5.000.000 43.0010 399,978.16 3.185.969 22 3,585,947.38 Cog Bags Market Rice April 1,2017 - April 30,2017 SOUTHERN FINA NCIAL LW Security Identifier: F8 COP.3030302 665,000.00 150.2500 Security Ideatifier. FM I COP:35046500 687.663.50 35.5000 577.373.02 35.5000 1,265,036.52 $1,265,036.52 Security Identifier. GE CUSP. 36960403 496.109.08 28.9900 Security Identifier: Cal CLISIP.37045V100 34.6400 34.6400 Market Value 2.629.375 00 887.500.00 881.465.00 1,768,965.00 S1,768.965.00 666.770.00 380,631.26 2.997.634.74 3,378,266.00 63,585,947.38 Security Identifier. GILD CUSP: 37555803 68.5500 68.5500 396.407.00 246.797.00 643,204.00 6643,204 00 63 378,266 00 342.750 00 212505.00 555.255 00 Unrealized GainfLoss Eslor al ed Esbraled Annual Income Yield 1,964,375 00 199.83630 304,091 98 503,928.48 $503.928.48 170,660.92 -19,346 90 -188.334.48 -207,681.38 -$207,681.38 -53.657 00 -34.292.00 47,949 00 Security Ideal Wier GEN CLISP 37713W 135 215.008.00 40.9000 $555,255.00 204.500 00 487,949 00 -10.508 00 S0.00 22,080.00 3.31% 16.702.06 131.535.94 148,238 00 6148.238.00 4.38% 4.38% 10.400 00 3 03% 6.448.00 3 03% 16,848 OD $16,848.00 9.839.73 4.81% Page 7 of 17 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Raved (scallent fray Yea/ Saxe 2001 DAL/AR RA TED COMUNICADONS eicaLera Cloarlas through Pantiles1.Mo whey owned WNW*/ a **Barka New Yak Mellon Corporation (IINY maw WkPilikeM_0O346405 Petshine Lit...sends FaiRA. DB-SDNY-0009229 EFTA_00 157014 EFTA01289377

Portfolio Holdings (continued) Date molt:aid Quantity Unit cocil Cost Basis Market Rice EQU IT I ES {continued) Common Stocks (continued) GLOBAL PARTNER ACQUISITION CORP UNIT ICOM S MT Ea Dividend Option: Cash Security Identifier: GPACU CUSP: 37954X204 07/30115 2.000.000 10.0000 20.00040 9.8500 GODADDYINCCLA Dividend Oplion: Cash Security Idenlilier: GOV CUSP: 38023707 04/01115 700.000 20.0000 14.000.00 38.9200 MATCH GROUP INC COM Dividend Oplion: Cash Security Idealdiet: M TCH CUSP:57665036 11/18115 200.000 12.0000 2,400.00 18.6300 WIGAMO BIOSCIENCES INC COM Dividend Option: Cash Security Identifier: SGM 0 CUSP 80067706 05/28/13'.a 54000400 41410 422211.00 1.8000 SANTANDER OONSUM ER USA HIGGS INC COW Dividend Option: Cash Security Identifier: SC CUSP:80283M 01 01/23/14 1.000.000 21.0000 24.00040 12.7100 SQUARE INC CL A Dividend Oplion: Cash Security Went tier: SO CUSP:85223403 11/19/15 200.000 9.0000 1.80010 18.2400 TERRAFORM GLOBAL INC CL A Dividend Option: Cash Security Identifier: GUI CUSP:881141101 07/31/15 400.000 14.5550 5.82184 4.7500 TWITTER INC COM Dividend Option: Cash Security Idenlilier: TIV TR CUSP. 9014102 11/07/13 1.500.000 26.0000 39.00040 16.4800 VIACOM INC NEW CI. B Dividend Oplion: Cash Security Identifier: VIAB CUSP. 92553P201 06/10/15 5,000.000 67.7490 338.745.00 12.5600 VOLKSWAGEN A GADR (SPONS) Dividend °alien: Cash Security Identifier: VLKAY CUSP:928662303 04/13/15 5.000.000 50.8610 254.306.00 32.1600 WISDOM TREE INVTS INC COM Dividend Option: Cash Security Identifier:WM CUSIR 9771P114 Market Value Unstilted Oainloss Estimated Edkaaled Annual Income Yield 19,700.00 27.211.00 3,726.00 240,000 00 12,740.00 3.648.00 1,900.00 24.720.00 212.800.00 160.800.00 300.00 13.214 00 1.326 00 -182,214 00 •11.260.00 1.848 00 4.921 84 440.00 23.15% •14,280.00 -125,945 00 4,000.00 1.81% -93.506.00 1.637 68 1.016 Page 8 of '7 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Rated (scallent Cron Year Sffice 200/ DAL/AR RATED COMUNICAT10t6 amnia Cleating through Peal % LUC, a !Sway owned stinicliary of eneeata New Yak Mellon Corporation (IINY Mellon) WknriikeM_00046406 Pttshift lit. mends .IRA. DB-SDNY-0009230 EFTA_00157015 EFTA01289378

a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) April 1,2017 - April 30,2017 SOUTHERN FINANCIALLLC Die Audited Cyanide OM Onl Cod Bede Markel Pam Market Value Unrealized Gain Loss Slotted Whaled Anneal Income Yield EQUITIES (continued) Common Stocks (continued) WISDOM TREE INYTS INC CCM (continued) 03131115 15.000.000 21.6110 324,157.50 8.3500 125.250.00 -198.907.50 4,800.00 313% Total Common Stocks $58,276,721.30 $77,740,266.91 319,463,545.61 $1,502,003.26 Preferred Stocks (listed by expiration date) GMAC CAP TR 'GTO TR PIO SECS SER2 CM- Security Identifier: ALLY PRA 8.25% FRED DRILY *MI1'42/1512040 CALL CUSP: 36160208 ANYTHIE0250/130 DAYS BEGINS02/1/15 Dividend Option: Cash 02/22/12'•° 80,000.000 23.5350 1,882,773.60 25.4600 2,036,800.00 154,026.40 136,786.88 671% Total Preferred Stocks 11,882,773.60 $2,036,800.00 $154,026.40 1136,786.88 TOTAL EQUITIES 260,159,494.90 379,777,066.91 119,617,572.01 $1,638,790 14 Unrealized Estimated Estimated Date Aequked Quantity Unit Cod Cod Bads Markel Price Market Value GekilLoss Annual Income Yield EXCHANGE-TRADED PRODUCTS 3.00% of Portfolio WISDOM TREE TR %PAN HEDGED EQUITY ID Security Identifier. DXJ Dividend Option: Cash; Capital Gains Option: Cash CUSP. 97717W851 60,000.00 of these shares are in your margin account 12111113 60.000.000 49.4350 TOTAL EXCHANGE-TRADED PRODUCTS 2,966,098.50 S2,966,098 50 51.0700 3,064200 00 98,101 50 53,064,200 00 S98,101 50 58,834.20 192% $58,834.20 Unrealized Awued Estimated Cod Beds Markel Value OrintLoss Intend Annual Income TOTAL PORTFOLIO HOLDINGS 195,748,381.54 1118,24157319 120,441,70915 5212,317.14 52.914106.73 ' Noncovered under the cost basis rules as defined below. Securities acquired before 2011or in retirement accounts 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 20 00 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 non-retirement, US taxpayers 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 will be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 9 of 17 CONFIDWAL-4 Rated (utile% ben Yet/ Sffice2C01 [AMU RA TED COMMUNICATIONS eictuoict Clearing through Pershing LC, alb* wood stinicliary elfinBark Ni.. Yak Melba Co•Pontion OW( Mdenj Ptrshine 11.C. rnendx. FINRARVYaklt 00046407 DB-SDNY-0009231 EFTA_00157016 EFTA01289379

Portfolio Holdings (continued) 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 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January t 2010 Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security. and certain attributes. obtained from sources believed to be reliable. In the event. one or more of these attributes is changed. there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided fo us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. s Unrealized gains and losses are not reported for securities for which cost basis or market value isnot 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 client brokerage statements may differ from the new cost basis reported in this section. Is The cost basis of this security has been provided fo us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis. including short positions, at the close of the statement period. The market prices. unless otherwise noted. have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "N/ A" and are omitted from the Total. THEASOF PRICE DATEONLY APPEARSW HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political. and business conditions. they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.com/ business_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions. Money Market Fund dividend income. Bank Deposit interest income. or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions. including the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts. please promptly advise them in writing of any material change in your investment objectives or Page 10 of 17 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg t AL lawn Rated lictike4 tart MY Sole 200? DAL/AR RA TED COMMUNICATIONS actuura Clearing through Peal% LUC, Many owned stinicliory of the Bark of New Yak Mellon Contention(ONY Mellon Pa shine 11C. mat. FINRA.W4t! 00046408 DB-SDNY-0009232 EFTA_DO 157017 EFTA01289380

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) April 1,2017 - April 30,2017 SOUTHERN ANA NCIAL LLC Option Disclosure (continued) financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing 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 will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness. timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase. hold or sell securities. and do not address suitability for investment purpose Credit ratings should not be relied upon as investment advice. Page of CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Ras balk. Every Yeat S.ritt 2C0/ DALBAR RA T CD CONMUNICATiOt6 mattna Cie ins through 'waft Lica Sway owned aticliary of the Bark of New Yak Megan Corporation aNY Melon) M_00046409 holing 11C. rnendx. FINRA.9W Se& DB-SDNY-0009233 EFTA_00 157018 EFTA01289381

Schedule of Realized Gains and Losses Current Period Desorption Date Disposed Me Acquired Orsignatioe Disposition Method; Traniadion Duality Proceeds Cost Batts Realized Galniuns Long Term WASHINGTON M UT MISS 004-RA2 MTGPASSTHRU CIF CI, C- B-1VAR RATE 6297%07/25/33 Security identifier. 939336520 0 Weft 7 12/13113 Noncovered'' REPYIIT OF PRIN Original Cost Basis: 20.162.58 1,290100.000 26476.04 20,182.58 6193.46 Total Long Term 26,376.04 20,182 58 6,193.46 Total Short and Long Term Description As of Trades BIOVERATIV INCCOM Security Identifier. 09075EVO EARTHLINK INC GTO SR EXCHANGED CUSP FROM 2703210/8 1875% 054%/9 8/E DTD 05/1 Date Disposed Date Acquired 02/14112 10123/12 Designation Noncom( Noncoxereti Disposition Method; Trance:lion Fast In Fast Oul f FRACT SHRS OSP Post In Thal OW REDEMPTION Original Cost Basis: 362.407.50 Quantity 0.500 351.000.000 26,376.04 Proceeds 20,182.58 Cost Basis 6,193.46 Realized Gain/Lose 02/07/17 03/29f1] 21.26 358.78869 9.28 358.828.18 11.98 49.79 Security Identifier. 270 321106 Noncovered under the cost basis rules as defined below. Securities acquired before 2011or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IR') ( incorporating amendments enacted by P L110-343, the Emergency Economic Stabilization Act of 2006) 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. Securitieswhich are "covered" under the new cost basis reporting rules are defined as non-retirement, LIS taxpayers securities which have been acquired on or after their "applicable date( sr at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1399-Ei 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 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January t 2014. 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. Page '2 of 17 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO' Rated (scab% Cron Year Sffice 2001 DAL/AR RATED COMUNICATiONS actimia Owing through Madre 1.1.C. • Sbany owned WNW*/ of the ark el New Yak Mellon Corporation (OM Mace) Poshing 11.C. mends FINRA.Weile 00046410 DB-SDNY-0009234 EFTA_00157019 EFTA01289382

a Deutsche Bank P.O. Box 1776, Baltimore, MD 212O3 Schedule of Realized Gains and Losses Current Period (continued) April 1,2017 - April 30,2017 SOUTHERN RNANCIALLLC Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-B or online displays you may have available to you W hen you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election. type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with lessthan one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account If you do not select a method, your account will be defaulted to First In, First Out (FIFO) Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-B M essages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share. it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-1O(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary , A. . amounts shown are in aS9 r r en cf ) Securities &rarities Sold Securities Wilhdravio Total Securities Dividends and Interest Oedks ThisPetiod Debks This Period Net ThisPetiod 0.00 0.00 $0.00 $39,141.66 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 0.00 0.00 $0.00 0.00 0.00 $0.00 $0.00 $39.141.66 CONFID OeditsYear-to-Dale Mils Year-to-Cate Net Yeet-to-Date 390.735.38 0.00 390.735 38 0.00 -14.366,000.00 -14,366,000.00 $390,735.38 414,366,000 00 413,975,264 62 $771.137.66 489.250.00 $681.887.66 Page '3 of '7 Rated (Kent.% tan Year Sect 2C0/ DALBAR RATED COMMUNICATIONS 'nutria Cleating throush haft LLC. a Sway owned adnicliory of Ow urea New Yak Mellon Co•Potation CONY Mellon Ptrshine 11C. M FINRA.AW 00046411 DB-SDNY-OOO9235 EFTA_OO 157O2O EFTA01289383

Activity Summary (continued) Cis/ALIN:NW Debits Diskirled Net Ibisetied OmfltsTem4o-Date Deeds Year4e-Oete NN Tetto•Date Distributions $17,595.42 $0.00 $17,595.42 $494,804.76 $0.00 $494,804.76 Fees $0.00 4125.00 4125.00 $0.00 4150.00 4150.00 Cash Withdrawals 0.00 0.00 400 0.00 -1,132,731.96 -1,132,731.96 Total Cash $0.00 $0.00 $0.00 $0.00 41,132,731.96 41,132,731.96 Totals $58,737.08 4125.00 $58,612.08 $1,658,677.80 415,588,131.96 413,931,454.16 Transactions by Type of Activity Pieces Settlement Date Mikity Type Dueretlon Duality Price Awned Mead Amount twenty Dividends and Interest 04103/17 CASH DIVIOBID RECEIVED 5000 SHRS VIACOM INC NEW Clan/ 03115 PO 0410417 1,000.00 USD VIAB 04/10117 FOREIGN BOND INTEREST 300000 BARCLAYS BK PLC CONTINGENT CAP NT 11,625.00 USD 06739FHKO WIWI UW673914/03 7.750% 04/1/23 WE DTD 041174 04 RD 04107 PD 041111 04/13/17 FOREIGN SECURITY OP/IDEND 5000 SHRSGAXOSIIITHNLINE PLC SPONSADR RD 02/24 PD 2,855.77 USD RECEIVED 0414/17 GSK 04/25/17 CASH DIVIDEND RECEIVED 23000 SHRS GENERAL ELECTRIC CO COM RD 02/27 PO 5,520.00 USD GE 04/25/17 04/25/17 BOND INTEREST RECEIVED 490000 WASHINGTON MUT II TG SECS COFtP 2004-RA2M TG 9,377.45 USD 939336520 PASSTHRU CTF CL C-B-1VAR RATE 6297%071251338/E DM 06/0104 RD 03/31PD 04/25/17 04/28/17 MONEY MARKET FUND DEUTSCHEGOVT CASH 8,763.44 USD INCOME RECEIVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 39,141.66 Distributions 04/25117 RETURN Of PRINCIPAL 490000 WASHINGTON MUT MTG SECS CORP 2004-RA2 N TG 17,595.42 USD RECEIVED PASSTHRU CIF CI. Co41VAR RATE 6297% 07/25/33 B/E DM 991336420 06/0104 RD 0431PD 04125117 Total Distributions- U.S. DOLLARS 0.00 17,595.42 Page 14 of 17 CONFIDENTIAL - PURSUANT TO FED. R CRWI. P. 6(e) CONFIDNVAL-4 kowdballest teertYcwSince2W/ DAMAIMOWCOMMUMUMONS actauia Clearing through PerstaVIC. elvannal Snider" of tinier. Nat Yak Ater. Corporation (MY NNW) Paging 11C. netsFINRA.ggilifyGM—00046412 DI3-SDNY-0009236 EFrA_00 I 57021 EFTA01289384

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) Process' settiemeni Clete Adivity Type Fees 04105/17 AGENT SERVICING FEE ALIBABA GROUP HLDG LTD SPONSORED ADS MBA ISOM U93609W 027 RD 03/31PD 0 4/05117 50 00 SHSSVC FEE 11460238041 04/13/17 FEE ON FORBGN DIVIDEND 5000 SHRS GLAXOSUIDIKLINE PLC SPONS ADR RD 02124 PD WITHHELD AT THESOURCE 04113f17 GSK Total Fees - U.S. DOLLARS April 1,2017 - April 30,2017 SOUTHERN FlNA NCIAL LLD Description DIANA, Price Acaued Interest Amount Correnq •100.00 USD -2500 USD Total Value of Transactions The price and quantity displayed may have been rounded. Fixed IncomeAnalysis 0.00 -125.00 0.00 56,612.08 USD Bond Quality Bond Maturity Schedule Bond Quality A BAA BA! Lower Not Rated Total %of Bond Market Value Market Urn 2,441,223.75 13% 8,566,250.00 44% 7,614,964.50 40% 477,876.55 3% 19,100,314.80 100% 0 Percent of Fixed income pol 20 40 60 80 100 %of Bond Bond Maturity Market Value Market Value 6 10 10 years 314.682.00 2% Over 10 years 18.785.632.80 98% Total 19,100,314.80 100% Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Page '5 of '.- CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated (scallent Cron Year Sffice 2C01 DAL/AR RA TED COMUNICATIONS 'xebec( Cleating trough Pershing LLC. a Sway owned stinicliary Otte Bark of New Yak Megan Corporation (ONY Mellee) DB Y-0 9 37 Poshift 11C. mends FINRA.g3:As lete DN M_0000046;113 EFTA_00 15702/ EFTA01289385

Client Service Information Your inwwwwit spedzw:BU JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YOPX NY 10017 Your Account Information Wild Information Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield M ethod: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at . All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit www.pershing.com/ about! strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. CONFIDENTIAL — PURSUANT TO FED. R GRIM. P. 6(e) Page 16 of 17 CONFIDWAL-4 Rated (salient Cron Year Sffice 2001 DAL/AR RATED COMMUNICATORS trauma Cleating through Pesti% 'ICs wanornal stinicliary of tlw Bank el Wm Yak Mae Corporation (Iltly MONO Ptrshite 11C. mends FINRAPNIELGM-00046414 DB-SDNY-0009238 EFTA_00157O23 EFTA01289386

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) kpril 1,2017 - April 30,2017 SOUTHERN FlNA NCIALLLC The Role of Pershing (continued) • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing US, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; . Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents,witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDOMPAL ••••• Rated (ottlkot Even, Year SoKe 2OO1 DALBAR RATED COMMUNICATIONS (XCOJANCE Page 17 of 17 Clearing through haft IIC. elielkanal Snider" of tinier. of Nw York Mae Corporation (MY NNW) Pashira 11C. merit. FINRA.MOYSYGM—°°° 46415 DB-SDNY-0009239 EFTA_00157024 EFTA01289387

PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 04u,,'10 Lint Miser Mall/ 6t1n/etmest Maass Cprernt 6, 04 Owiniche G,., St“enini Inc u. Yon Clite 345 Put Arenva. )61111004 Nero YA Stit tM fall Witt M arch t 2017 - M arch 31 2017 Account Number: SOUTHERN FINANCIAL LLC 6100 RED HOOK QUARTER B3 ST THOMASVI 00802 Portfolio Glance at a This Period Yew-to-Dote Your Investment Specialist. BEGINNING ACCOUN T VALUE $129,017.516.14 $117,069,956.26 JOSHUA SHOSHAN Net Cash Deposits aid Withdrawals 4,132,731.96 •1,132,131.96 (212) 454-4433 Net Securities In/Out of Account .14,386,000.00 -14,366,000.00 Adjusted Previous Account Value 113,518,784.18 101,571,224.30 Dividends, Interest and Olher 'Home 114,111.94 761,166.65 Net Other Activity 0.00 25.00 Net Change in Portfolio 3,514,391.51 14,814,921.68 ENDINGACCOUNT VA Accined Interest $324,863.92 Estimated Annual Income 52,906,828.88 Asset Summary Percent Asset Type 14% Cash, Money Funds, and Bank Deposits a 16% Fixed Income 67% Equities (O 3% Exchange-Traded Products 100% Account Total (Pie Chart) Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Prior Year43W tea Period This Period 15,864,445.94 16,902,211.03 16,242,379.70 19,233,099.80 19,417,180.17 18,979,191.67 79,000,010.52 89,655,524.94 78,888,518.26 2,972,400.00 3.042.600.00 3,037200.00 $117.069,956.26 $129,017,516.14 6117,147,287.63 CON FID ONFA L Page 1 of 19 Rated li ctIket bey Year Sege 2001 DALIAR RATED COWAUNICA11016 actuprict Clueing through Parsed% IIC. *Iva owned Snider" of the Bark et New Yak Male Corporation (MY Melon) a ivi_00046416 Pashint 11C. men**. FINRA.Wit! se& DB-SDNY-0009240 EFTA_00157025 EFTA01289388

Summary of Gains and Losses %BIS This Period Year4o-Dale 100,553.79 100,553.79 Unrealized Long-Term Gain! Loss Net Gain! Loss This summary excludes transactions where cost basis information is not available. Money Market Fund Detail -73.71 -73.71 19,422,784.95 19,422,784.95 Dale Activity Type Neaten Amount Balance Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield: 0.63% Activity Ending: 03! 3V 17 03101/17 Opening Balance 03101/17 Deposit 03102/17 Deposit 03/10/1? Withdrawal 03127/17 Deposit 03128117 Deposit 03129/17 Deposit 03130/17 Deposit 03131/17 Deposit 03131/17 Deposit MONEY FUND PURCHASE MONEY FUND PURCHASE M ONEY FUND REDEM PTION MONEY FUND PURCHASE MONEY FUND PURCHASE MONEY FUND PURCHASE MONEY FUND PURCHASE MONEY FUND PURCHASE INCOME REINVEST 16,783,790.38 118,420.65 1,200.00 4,132,731.96 37,059.50 52,287.10 358,788.69 11,595.19 4,212.00 7,758.15 16,783,790.38 16,902,211.03 16,903,411.03 15,770,879.0? 15,807,738.57 15,880,025.87 16,218,814.36 16,230,409.55 18,234,821.55 16,242,379.70 03/31117 Closing Balance $16,242,379.70 Total All Money Market Funds $16,242,379.70 Income and Expense Summary anent Period Yeal4o-Oale Troth Non Taxable Tooth Non Taxable Dividend Income Equities 42,471.50 0.00 334,781.90 0.00 Money Market 7,758.15 0.00 20,283.95 0.00 Other Dividends 0.00 0.00 89,250.00 0.00 Interest Income Bond Interest 63,882.29 0.00 164,233.43 0.00 Other Interest 0.00 0.00 34,19872 0.00 Expenses Fees(Foreign Securities) 0.00 0.00 -25.00 0.00 Total Dividends, Interest, Income and Expenses $114,111.94 $0.00 9842,721.00 $0.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 2 of 19 CONFIDMVAL armee Rated [.mien (n.y Year Sect 2C0/ DAUM RATED COMMUNICATORS accattice Cleating through Parlors LUC a ,*way owned stinicliary of **Bark et Now Ycelt Melba Corporation0NY Mete) Poshift 11.C. rnendx. FINROARtqf A-00046417 DB-SDNY-0009241 EFTA_00157026 EFTA01289389

a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Income and Expense Summary (continued) Distributions Alternative Investments Total Distributions Portfolio Holdings M arch 1, 2017 - M arch 31, 2017 SOUTHERN FINANCIAL LLC Wont Period Yeablo.Date Taxable Non Taxable Taxable Non Taxable 000 0.00 0.00 118420 65 $0.00 $0.00 $0.00 $118,420.65 Account Adtilly OPulln0 Opening Dele OustIty Number &Meg Balsa CASH, MONEY FUNDS, AND BANK DEPOSITS 14.00% of Portfolio Cash Balance 118,420.65 Money Market DEUTSCHE GOVT CASH INTL 03101/17 16,242,379.700 N/A 03131117 16.783.790.38 Total Money Market $16,783,790.38 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $16,902,211.03 Adjusted On Acquired Clumaky Una Coal Cod Bat Merkel Price FIXED INCOME 16.00 % of Portfolio (In Maturity Date Sequence) °Asset Backed Securities WASHINGTON IA LIT M TGSECSCORP 20 04 -Ft42 Satiably Identifier 939335320 V TG PASSTHRU CTF CL C-B-1VAR RATE 6.217%07/25133 WE DTD 06/0104 Factor: 04662831 Effective Oate:03/0117 Current Face Value: 595,37t520 12/13/13 %II° 1,290,000.000 76.5190 455,569.99 84.3610 502,261.37 46,691.38 3,124.46 Original Cost Basis: $638308.71 Total Asset Backed Securities $455,569.99 $502,261.37 646,691.38 $3,124.46 $0.00 1,290,000.000 Total Current Face Value: 595,371.520 doing Mame Accrued IOWA! Income Theories 30-Day Current Yield Yield 0.00 16,242,379.70 565.92 20283.95 0.57% 0.63% $16,242,379.70 $565.92 $20,283.95 $16,242,379.70 $565.92 $20,283.95 Unmated Acaued Estimated Estimated Mann Ma Gain/Lon Mere* Annual Mame Yield CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 3 of 19 C0NFIDOMPAL Rated ballast Inn Yew Since 200/ (MOLAR RA MO COMMUNICATIONS DiatttNa Clearing through hnol•41.1.4 a Wally owned sticliwy of tlw tank el New Yak Meta Corporation (MY Mao) Pashint 11C. mat. FINROARIYELGM_00046418 DD-SDNY-0009242 EFTA_00157027 EFTA01289390

Portfolio Holdings (continued) Dale Acquired FIXED INCOM E (continued) Corporate Bonds BARCLAYS BK PLC CONTINGENT CAP NT 151/41 US06739FHK03 7.750% 04ft/238/E DID 04/13/13 CALLABLE04/18MS* P Rating BEI• 04/03/13"in 300.000.000 100.0000 Quantity Unit Coal Adjuster Cod Bale Markel MCC Market Value Welled Gain/Lots Accrued Whaled Edkaated Interest Annul Income Yield SUORGAN CHASE& CO DEP SHSREPSTG TOTH PFD SER 'FIXED TO FLTG RT BD 7.900% 04/29/49 fit E DTD 04/23/08M oody Rating BAA3 S 8 P Rating BBB• 06115/11 " 12 2.500.000.000 107.5000 06/15/11 " 12 2,500,000.000 107.0000 Total Noncovered 5,000,000 000 Total 5,000,000.000 BANK AM ER CORP PERP NON COM ULATIVE DEP SHS FIXED TO FLOAT 8.25% 04/30158 B/E DTD 04130/08 CALLABLE 05715/13M oody Rating BA2 Sb P Rating BEfi, 01/10/11.'3'12 2,000,000.000 102.7500 SOUTHERN CALIF EDISON CO PREF SEE E 6250% 01'17/62 EUEOTD 01' 1714 CALLABLE 0210122 Q AO 000M oody Ruling BAA1S b P Rat wig BBB- 01/30/12 " 12 3.000.000.000 99.8610 GENERAL ELEC CO GTO FXD.TO.FLTGRT NONCUMULATIVE PERPETUAL PREFERRED 4000% 2/03/85 REG OTD 2/03P6Moody Rating A3 S& P Rating A 11/03/15' 2.469.000.000 88.0930 Security Identifier: 06739FHK0 300.000.00 104.9250 Original Cost Basis: $300.000.00 Security Identifier: 46625HHA1 2,687,500.00 103.6250 Original Cost Basis: $2.687.50000 2.675.000.00 103.6250 Original Cost Basis:52,675,000.00 5,362,500.00 $5,362.500.00 Security Identifier 060505018 2,055,000.00 104.2500 Original Cost Basis:62,055.00000 Security Identifier: 842400 FU2 2.995.825.01 111.0000 Original Cost Basis:62.992564.97 Security Identifier: 3696048/44 2.175.016.1? Original Cost Bas 98.2500 52,175.01.17 314.775.00 14.775.00 11,043.75 23,250.00 7.38% 2,590,625.00 2.590.625.00 5,181,250.00 $5.181,250.00 2,085.000 00 3.330.000.00 2,425,792.50 -96,875 00 44.375.00 .181250.00 82,291.67 82,291.66 164,583.33 197,500.00 7.62% 197,500.00 7.62% 395,000 00 4181.250.00 $164,583.33 $395.000.00 30,000.00 61,388.89 162,500.00 7.79% 334.174.99 31.250.00 187.500.00 5.63% 250,776.33 29.079.33 98,760.00 4.07% Page 4 of '9 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Rated (scant fray Year Sffice 2CO: DAL/AR RA TED COMUNICATONS actiLuia CloatIn through Pershing LC. a ...Kay owned stinicliary of Sc Bark a New Yak Mellon Co•Pantion (OM Mace) AW %ENan_00346419 Pershing Lit...sends FINRA. DB-SDNY-0009243 EFTA 00157028 EFTA01289391

a Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) M arch 1, 2017 - M arch 31, 2017 SOUTHERN FINANCIAL LIG Adjusted uncealad Awned Egon al ed Eslirraled Ode Nodded Cvantity Unit Cod Cod Bade Market Price Market Valk e Gaieties lidded Annual Income Yield FIXED INCOME(continued) Corporate Bonds (continued) sLLOYDS BANKING GROUP PLC FXD RATE RESET AD DI. TIER isms ISINSUS539439AG42 7.500% 04/27/88 FUE DID 04107/%5S P Rating 88- Security Identifier: 539439AG4 Please Provide • 1,903,000.000 N/A Please Provide 105.7600 2,012,612.80 NIA 1,585.83 142,725.00 7.09% CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08/9/88 WE DTO 0812/ CA11.0108115/20 Q 90.000M oody Rating BA2 S6 P Rating 88• Original Cost Basis: Please Provide Security Identifier: 22967,25 08/06115 3,000,000.000 100.0000 3,000,006.00 104.2500 3,127,500.00 127,494.00 22,808.33 178,500.00 570% Original Cost Basis: $3D00.006.00 Total Corporate Bonds $15,888,347.18 $18,476,930.30 $575,970.32 $321,739.46 $1,188,235.00 17,672,000.000 TOTALAXED INCOME $16,343,917.17 518,979,191.67 $622,681.70 $324,863.92 $1,188,235.00 18,962,000.000 OdeNeedled entity Und Coal Cod Bads Markel Prke Market Value (Scatted GoldLos Eallinated allmated Annul Isom field EQUITIES 67.00% of Portfolio Common Stocks M OBILEYE NV AM STB.VEEN ORO SUS ISNS N1009831161 Dividend Option: Cash 08101/14 ADVERUM BIOTEDINOLOGIESINC COM Dividend Option: Cash 04/20/15 AKORN INC COM Dividend Option: Cash 800.000 15.0000 10.000.000 Security le edifier: M BLY CUSP. N5118817 20,000.00 61.4000 Security Identifier: ADM CUSP 0077311118 39.8610 398.606.00 2.7000 Secerity Identifier AKRX CUSP 00971896 CONFIDENTIAL — PURSUANT TO FED. R CRilvi. P. 6(e) 49,120.00 27,000.00 29,120 00 ,371,606.00 Page 5 of 19 Rated Estelle% heat Yet, Sffice 2001 RATED COMMUNICATIONS acmes Clearlas through Pershing LAC, Sbaly turned adosidiary of *» Barra Ns Ycelt Melba Corporation Ma Milee) hrshint LiC. merit*/ nms.9QQYetelt 00046420 OB-SDNY-0009244 EFTA_00157029 EFTA01289392

Portfolio Holdings (continued) Date Acquired Quantity EQUITIES {continued) Common Stocks (continued) AKORN INC CON (continued) Unit Cod Cost Bans Market Price 06/10/15 5.000.000 46.8410 234.206 00 24.0800 ALIBABA GROUP HLOG LTD SPONSORED ADS ISINIUSOt09Wt27 Dividend Oplion: Cash Security Identifier. BABA CUSP: 0 109W 132 06/10/15 5,000.000 88.9500 444.749 00 107.8300 ALLIANZ SE SPONS ADR REPSTG tt SHS Dividend Oplion: Cash Security Identifier:AZSEY CUSP. 01805101 01/13/15 5,000.000 18.0110 90,056 00 18.5300 APOLLO GLOBAL M GM T LIG CL A SHS Dividend Oplion: Cash Security Identifier. APO CUSIP 037612306 03129/11 '.13 263.157 000 19.0000 4.999.983.00 24.3200 APPLE INC CON Dividend Oplion: Cash Security Identifier: AAPL CUSIP:037833130 09105/11 38,180.000 98.9500 3,777,912.53 143.6600 09105/14 3 7,200.000 98.9500 712.440.29 143.6600 09105/14 3 18,620.000 98.9500 1,842,449.74 143.6600 01/11/16 250,000.000 99.0000 24,750,006.00 143.6600 Total Covered 314,000 000 Total 314,000.000 ASCENA RETAIL GROUP INC CON Dividend Oplion: Cash 31,082,808.56 631,082,808.56 Security Idenlifier: ASH* CUSP. 0435t91 01/16/01 70,500.000 21.2770 1,500,000.00 4.2600 BASF SE SPONSADR ISMS US0552625057 Dividend Oplion: Cash Security Identifier: BASFY CUSP. 055262505 01/13/15 5.000.000 101.6110 508.056.00 99.1750 BANK OF NEW YORK hi ELLON CORP COM Dividend Oplion: Cash Secwity Identifier. BK CUSH? 06405810 06/25/14 250,000.000 36.3060 9,076,106.00 47.2300 BIOGEN IDEC INC COM Dividend Oplion: Cash Security Identifier: BOB CUSP 09062X133 02114112" 2,095.000 109.8760 230,190.90 273.4200 Market Value 120.100.00 539,150.00 92,650.00 6 399.978 21 5.484.938.95 1,034,352.17 2.674.949.06 35.911.999.82 45,109,240.00 545,109,240,00 300,330.00 195.875.00 11,807,500.00 572,811 90 Unrealized Cain toss -113.806 00 94,401.00 Est hated Edlmaled Annual Income Yield 2,594 00 2,955.51 3.19% 1.399.995 21 373,682.94 5.83% 1,707,026.42 87,050.10 1.58% 321.911 88 16416.00 158% 832,499.32 12,153.60 1.58% 11.164,993 82 570.000.00 1.58% 11,026,131 14 715,920 00 314,026,431.44 5715.920.00 -1,199,670.00 -12.181.00 12.163 55 2.15% 2,731,094 00 190,000.00 1.60% 342,624 00 Page 6 of '9 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Rated beellent hay Yew Since 2001 DAUM PATO/COMMUNICATIONS °Kama Cleating through Perstars lit. a +hely owned stinicliary of **Bark a New Yak MOW Corporation0NY Melee) Ptrshinellf.rnent. FINRA.AW Si0Ann_00046421 DB-SDNY-0009245 EFTA_00 157030 EFTA01289393

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Oils An:inked EQUITIES (continued) Common Stocks (continued) BIOVERATIV INC COM Dividend Option: Cash 02/14/12 CENTENE CORP DEL COM Dividend Option: Cash 09108114 DISH NETWORK CORPCL A Dividend Option: Cash 06/10/15 FACEBOOK INC CL A Dividend Option: Cash 05117112 ..13 FOUNDATION IIEDICINEINCC011 Dividend Option: Cash 01113114 08105114 Total Covered Total GENERAL ELECTRIC CO COM Dividend Option: Cash 04123113 GENERAL II TRS CO CON Dividend Option: Cash 11/18110 12109110' Total Noncovered Total Nudity 1,047.000 15.550.000 5,000.000 17,500.000 25,000.000 24,830.000 49,830 000 49,830 000 23,000.000 10.988.200 86.536.800 97.525 000 97,525 000 March 1, 2017 - M arch 31,2017 SOUTHERN F1NANCIALLLC Unit Cost Cost Bees MEW Rix Market Value 57.019.62 1.108.093.00 Unrealized Gain'loss EMIreated Stifled Maud Income Yield 19.3450 63.6450 Security Identifier: BIVV WSP09075E00 20254.38 54.4600 Stacey Identifier. CNC CUSP.15135101 989.879 75 71.2600 36,765 24 118.413 25 Securely Identifier: DISH CUSP 25470M99 72.9960 364,978 00 63.4900 317.450.00 -47,528.00 Security Identifier: FB CUSP. 30303M 92 38.0000 665,000 00 142.0500 2,485,875.00 1,820,875.00 Security Identifier: FM I CUSP:150465130 27.5070 687,663 50 32.2500 806.250.00 118,586.50 23.2530 577,373 02 32.2500 800,767.50 223,394.48 1.265.036.52 1,607,017 50 341,980.98 51,265,036 52 $1.607,017.50 $341,980.98 $0.00 Security Identifier. GE CUSP. 36960493 21.5700 496,109.08 29.8000 685,400.00 189,290 92 22,080.00 322% Security Identifier GM CUSIP 37045990 36.4010 399,978 16 35.3600 388,542.76 -11,435.40 16.702.06 429% 36.8160 3.185.969 22 35.3600 3,059,941.24 -126.027.98 131.535.94 429% 3,585,947 38 3,448,484.00 -137.463.38 148.238.00 53,585,947 38 53,448,484.00 4137,463.38 $148,238.00 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 7 of 19 CONFIDO. Rated (scant Cron Year Sffice 2C0/ DAL/AR RATED COMUNICATCP6 MELLING Clwla through Pershing1M, okay owned stinicliary of **Bark of New Yak Mellon Co•Patatlan (My Mellon Pershing lit...Anis FiNRA.AW 1rWm-00046422 DB-SDNY-0009246 EFTA_00 157031 EFTA01289394

Portfolio Holdings (continued) Date Acquired Quantity Unit Cool Cost Basis Market Rice EQUITIES {continued) Common Stocks (continued) GILEAD SCIENCES INC Dividend Oplion: Cash Security Identifier GILD CUSP: 375558123 02105114 5.000.000 79.2810 396.407.00 67.9200 03101114 3.100.000 79.6120 246.797.00 67.9200 Total Covered 8,100.000 Total 8,100 000 GLAXOSM ITHKUNE PLC PONS AD R Dividend Oplion: Cash 643,204.00 5643204 00 Sedulity Identifier: GSI( CUSIP. 37713W 1)5 06110115 8000.000 43.0010 215,006.00 42.1600 GLOBAL PARTNER ACQUISITION CORP UNIT ICON 8 1W T EXP Dividend Oplion: Cash Security Identifier: GPACU CUSP. 31954X204 07/30/15 ' 2.000.000 10.0000 20,000.00 9.8000 GODADDY INC CL A Dividend Oplion: Cash Security Identifier: CODY CUSP: 3802371)7 04101115 700.000 20.0000 14,000.00 378000 MATCH GROUP INC COM Dividend Oplion: Cash Security Identifier: MICH CUSP: 57665R'06 11118115 200.000 12.0000 2.400.00 16.3300 SANGAMO BIOSCIENCES INC COM Dividend Oplion: Cash Security Identifier: SGM 0 CUSP 800677136 05/28/13 t° 50.000.000 8.4440 422,21480 5.2000 SANTANDER CONSUM ER USA FILMS INC COM Dividend Oplion: Cash Security Identifier:SC CUSP:8028301)1 01123114 1.000.000 24.0000 24.000.00 13.3200 SQUARE INC Q. A Dividend Oplion: Cash Security Identifier: SO CUSP:852234123 11119115 200.000 9.0000 1.80080 17.2800 TERRAFORM GLOBAL INC CL A Dividend Oplion: Cash Security Idenl Hier: GLBL CUSIP:881341191 07/31/15 400.000 14.5550 5,821.84 4.8000 TWITTER INC COM Dividend Oplion: Cash Security Identifier: MIR CUSIR 9084192 11/07/13 1.500.000 26.0000 39,000.00 145500 Market Value 339.600.00 210.562.00 650,162.00 5550.152.00 210,800.00 19.600.00 26,530.00 3.266.00 260,000.00 13.320.00 3.456.00 1,920.00 2242500 Unrealized Cainfloss Estimated Whaled Annual Income Yield -56.807 00 10.400.00 3.06% 46.245 00 6.448.00 3.06% -93,052.00 16,848.00 493,052 00 616,848 00 -4.206 00 9523 14 4 70% 400.00 12530 00 866 00 .162,214 00 •10.680.00 1.656 00 3,901.84 -16,575.00 440.00 22.91% Page 8 of '9 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Rated [wiliest beet Year Seem 2001 DALIN, PATO) COMMUNICATORS DICIILDICI Cleating through Pershing LUC, Sway owned stinicliary a**Barka New Yak MOW Corporation0NY Mellon) Petshinell.C.mtnin FiNRA.VAPtilkeM-00046423 DB-SDNY-0009247 EFTA 00157032 EFTA01289395

Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) M arch 1,2017 - M arch 31,2017 SOUTHERN FINANCIAL LW Unrealized Estimated Blunted Date At:At:red Nudity Una Col Cost Basis Market Price Market Value Gain' Los Annual Income Yield EQUITIES (continued) Common Stocks (continued) VIACOM INC NEW CL B Security Identifier: VIAB Dividend Oplion: Cash CUSP: 92553P201 06110115 5,000.000 67.7490 338,745.00 46.6200 233 100 00 -105,645.00 4 000 00 171% VOLK9MAGDI A GADR (PONS) Securily Identifier: VLKAY Dividend Oplion: Cash CUSP: 928662303 04113/15 5.000900 50.8610 254,306.00 29.9900 149,950.00 -104,356.00 1.637.68 1.09% WISDOM TREE INV76 INC 0011 Security 'deltaic WETF Dividend Option: Cash CUSP: 97717P134 03131/15 15,000.000 21.6110 324,157.50 9.0800 138200.00 -187,957.50 4,800.00 3.52% Total Common Stocks $58,276,720.91 $76,654,116.26 $18,577,395.35 $1,502,688.85 Preferred Stocks (Listed by expiration date) GRAD CAP TR I GTO TR PFD SECS 02 DPW Security Identities: ALLY PRA 8.25% FRED DRILY MATY-02/1512040 CALL CUSIP. 36160208 ANYTIM E425 WI30 DAYS BEIRNS02/6113 Dividend Option: Cash 01/22/12 ..13 80,000.000 23.5350 1,882,773.60 25.4300 2,034,400.00 151,828.40 136,786.88 6.72% Total Preferred Stocks 51,882,773.60 $2,034,400.00 $151,626.40 $136,786.88 TOTAL EQUITIES $60,159,494.51 $78,888,516.26 $18,729,021.75 $1,639,475.73 Unrealized Metaled Estimated Date Acquired Ouentlty Unit Col Cost Baas Market Price Market Value Gokillose Maudbiome Yield EXCHANGE-TRADED PRODUCTS 3.00% of Portfolio WISDOM TREE TR SWAN HEDGED EQUITY FD Security Identifier CXJ Dividend Option: Cash: Capes' Gains Option: Cash CUSIP 9779W851 60.000.00 of these shares are in you margin account 12/11/13 80,000.000 49.4350 2,966,098.50 50.6209 3,037,200.00 71,101.50 58,834.20 193% TOTAL EXCHANGE-TRADED PRODUCTS 62,986,098.50 $3,037,200.00 $71,101.50 $58,834.20 Unedited Acaued Estimated Cost Beal Market Value Union Intetell Annual Income TOTAL PORTFOLIO HOLDINGS 895,711,889 88 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) $117.147.267.63 $19,422.784.95 $324.863.92 $2.906.828.88 Page 9 of 19 CONFIDWFAL4 Rated tscellent ben Yew Since ICO CALOR RAM COWAUNICATTONS DICIILDICI Gloating through MOM. LUC a okay owned mirsicliwy of It Barra New Yee Meta corporation (MY NNW) Paging memdx. Yftelt00046424 DB-SDNY-0009248 EFTA_00157033 EFTA01289396

Portfolio Holdings (continued) Noncovered under the cost basis rules as defined be/ow. Securities acquired before 2011or in retirement accounts 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 non-retirement, UStaxpayers 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 will be reported to the IRS on form 1099-B for the applicabletax 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 t 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1,2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014 Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided fo us by you or your introdudng firm and Pershing makes no representation as fo the accuracy of this information. 5 Unrealized gains and losses are not reported for securities for which cost basis or market value isnot available. o 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. t2 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. /3 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. Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer. and may differ from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total. THEAS OF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political. and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.com/ business_continuity.htm I for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions. Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may Page 10 of '9 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO' Rated boalent bay Yee/ Since 2001 DAUM RA TED COMUNICAT10t6 mama Cloning throush haft1Mo Sbany owned sticliary a tin Barka New Yak Mellon Corporation (MY PASO Pershing mtnis MRA.VAPteteM_ 00046425 DB-SDNY-0009249 EFTA_00157034 EFTA01289397

PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) M arch 1,2017 - March 31,2017 SOUTHERN FINANCIAL LLC Reinvestment {continued) have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you A summary of this information is available to you promptly upon your written request directed to your introducing firm In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts. please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing 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 will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may culler from rates in effect on the date you executed a transaction, incurred a charge. or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Ratings This statement may contain credit rating information obtained from Standard & Poor's Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's Standard & Poor's does not guarantee the accuracy. completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions. regardless of the cause. or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase. hold or sell securities. and do not address suitability for investment purpose Credit ratings should not be relied upon as investment advice. Page " of '9 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated (scallent fray Year Since 2001 DALIAR RATED COMUNICADONS actunia Cloning throush haft LUC, Sway owned sticliary of **Bark of New Yak Mellon Corporation (IINY meson) Pershing lit...sends FRIRA.WAffilkeM_00046426 DB-SDNY-0009250 EFTA_00157035 EFTA01289398

Schedule of Realized Gains and Losses Current Period Desiatim Date tlimmea Nit Acquits Onteethe Diaposition Swam i Tremolo Quantfly Plumes SIM Beds Realized Geist ton Long Term EARTHUNK INC GTD SR 03129117 10/23/12 Maneuverer' Firsl In Rift OW I REDEMPTION 351,000.000 358,788.69 362,407.50 .3,618.81 EXCHANGED CUSP FROM 270321/63 8475% OW VI WE DTD 0511 Security Identifier. 270321105 Original Coil Basis: 362,407.50 WASHINGTON M UT M TG S 03124117 12/13/13 Noncovered'1 REPYM T OF PRIM 1,290,000.000 15,097.51 11,552.41 3,545.10 004-RA2 MTG PASSIHR0 CTFCL C. 8-1VAR RATE 8297%07/25/33 Security Manlier. 939336520 Original Cost Basis 1155241 Total Long Term 373,886.20 373,959.91 -73.71 Total Short and Long Term 373,886.20 373,959.91 -73.71 ' Noncovered under the cost basis rules es defined below. Securities acquired before 2011or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRO') (incorporating amendments enacted by P.L.110-34 3, 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 non-retirement, UStaxpayers 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 will 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 • M utual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-B or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, t here may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R.1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Page 12 of 19 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDWAL-4 Rated (salient Can Year Sect 2C0/ DALBAR RATED CONMUNICA11016 actituta Cleating through Perstan LLC. rthelkownal stinicliary of the Bark a Nom York Atelkit Corporation (NY NNW Ptrshine 11C . FINRA.fiCatiifyGM-00046427 CS-SDNY-0009251 EFrA_00157036 EFTA01289399

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) M arch 1,2017 - M arch 31,2017 cni ITIarPid rIMA mr let l lr Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal payd owns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes. obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less t han one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account If you do not select a method, your account will be defaulted to First In, First Out (FIFO) Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal. and this may be reported on the IRSForm 1099-B. M essages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share. it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10( b)( 11 confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. The U.S. will adopt a shortened settlement timeframe beginning with trade date September 5, 2017, for equities, corporate and municipal bonds, and unit investment trusts. M oving from a T*3 to a 1-42 settlement cycle will provide faster access to sale proceeds, but it also means that funds will be due on purchase transactions earlier. This may be a good time to consider e-delivery of your account documents-including trade confirmations, account statements and more. Ask your advisor or financial insititut ion about how you can set up e-delivery. ACtiViLy Summary (mi. amounts sr,ov,^ vein base curreuci) CreditsTN:Period Debits ThisPeikid Net ThisPeriod °edits Yes-to-We DebileYear4o-Dete Net Year-to-Dele Securities Securities Sold 9.00 0.00 0.00 390.735.38 0.00 390.735.38 SecuritiesWithdrawn 9.00 -14,366.000.00 -1066,000.00 0.00 -14.366.000.00 -14.366.000.00 Total Securities $0.00 -$14,366.000.00 414.366.000.00 $390.735.38 414.366.000.00 413,975,264.62 Dividends and Interest $114,111.94 $0.00 5114,111.94 $731,996.00 489,250.00 5642,746.00 Distributions $358,788.69 $0.00 $358,788 69 $477,209.34 $0.00 $477,209.34 Fees $0.00 $0.00 $0 00 $0.00 425.00 425.00 Page 13 of 19 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated [inked tan Year Sect 2C0/ DALBAR RATED COMMUNICATIONS actutria Clearing through Pars/ars LLC. a Many owned adosidiary of tinier. New Yak Meta Contention CONY Mellon) M_00046428 Ptrshinellf.rnenix. FINRA.AW SIELA DB-SDNY-0009252 EFTA_00 157037 EFTA01289400