Schedule of Realized Gains and Losses Current Period (continued) This Schedule may not reflect all cost basis adjustments necessary for tax reporting p.rposes. especially for noncovered securities. Adjustments to cost basis may have been mane 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 beieve 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, 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 is adjusted for amortization. accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these alUbutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances. including those invoking continuously callable bonds, foreign bonds, variable rates, bonds in default. index4inked bonds. bonds sold shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your accounts selected tax lot method wit 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. Messages Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporatien.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at httpstArrow.dws-investments.corNEN/productshnoney-market-funds-Welds.jsp. Please note that all money market funds tested on the website may not be offered through us. 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. Activity Sum mary ma amounts shown are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Dividends and Interest $379,049.57 $394,378.34 Dividends and Interest $0.00 $0.00 Distributions $1,139,875.80 $1,162,502.13 Distributions 80.00 $0.00 Fees 10.00 10.00 Fees 80.00 -$18.00 Cash Cash Withdrawals 000 0.00 Withdrawals -99,984.00 -958.888.73 Deposits 791 221.24 791.12121 Deposits 000 0.00 Total Cash $791,221.24 $791,221.24 Total Cash 499,984.00 4956,888.73 Money Market Funds $0.00 8858,92233 Money Market Funds -81,983,847.59 -$2,076,177.69 Total Credits $2,310,146.61 13,207,024.14 Total Debits -$2,083,83139 43,035,081.12 Page 12 of 18 Account Nun ber 1,,:091730CSF31 mint, Roil Go paperless SOLTHERA tri LLC. F I DAENT1A L. N CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Rated tacollordi tvery Year 57,07 2007 DAL OAR RATED COMMUMULTIONS rxestirtraer Zit Le.72....'- '17==.'... -6 SDNY_GM_00046000 DB-SDNY-0008824 EFTA_00156609 EFTA01288972

potaIscho n.A ,cnr It PO no. 1776, SailITCPIt ND 212(3 Transactions by Type of Activity Process/ Settlement Date Adiv Dividends and Interest 02/05/15 CASH DIVIDEND RECEIVED 842400FL2 02/12/15 02113115 02117115 02117115 02/17/15 02/17/15 02/25115 02/25/15 02/27/15 CASH DIVIDEND RECEIVED AAFL CAS. DIVIDEND RECEIVED 8K CASH DIVIDEND RECEIVED ALLY PRB 80ND INTEREST RECEIVED ALLY PRA 130AD INTEREST RECEIVED 81760NAN9 BOND INTEREST RECEIVED 81760NAN9 BOND INTEREST RECEIVED 12669DYS1 BOND INTEREST RECEIVED 939336520 MONEY MARKET FUND INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR IIKONIt Y111 SOUTHERN CH LLC. ON FIDAEMIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) (Misr< Rana Prma. wean. lAptagenan Weals Codrage Gnat) MAUMML Stare “c Mee yen Onto HI Pon Ammo. 160. I be, Statement Period: 0210112015 • 02/28/2015 Desolation Clean Price Awed Interest Amount Curren SOUTHERN CALIF EDISON CO PREF SER E 6 250% 01/11/62 93350 00 LSO DTD 01117/12 CLB RD 01/04 PO 02/01/15 DIV ON OTT 3000000 142800 SI-FtS APPLE INC COM RD 02109 PD 02112/15 67.116.00 LSO 250000 SF RS BANK OF NEW YORK MELLON CORP COM RD 42,500 00 LSD 02103 FD 02/13/15 126600 SF RS ALLY PAL INC FIX TO FLT DIV-830% 67,256.25 LSD FREO.OTRLY CALLABLE 0 25.00 ON A QTRLY BASIS AFTER 0511512016 RD 02101 PO 02/17/15 80000 SF RS GM AC CAP TR I G TO TR PFD SECS SER 2 CPN• 40.61514 LSD 8.125% FRED ORTLY MATY•02/15/2040 CALL ANYTIME 0 25 W130 DAYS BEGINS 02/15/16 RD 02/13 PO 02/15/15 1440000 SERVICEM ASTER CO SR NT • CUSP FULLY 57.600.00 LSO EXCHANGED FROM OLD CUSP 81760NAL3 8.000% 02/15120 B1E DTD 02113/12 CLB RO 02/01 FO 02/15/15 SERVICEM ASTER CO SR NT • CUSP FULLY EXCHANGED 372.44 LSD FROM OLD CUSP 81760NAL3 8000% 02115120 8/E DTD 02/13/12 CLB ACCRUED INTEREST 1500000 COUNTRYWIDE HOME LOANS SER 03-1 CL DI 455985 LSD 1.090% 03125133 B/E DTD 01130103 RD 01130 PO 02/25/15 1290000 WASHINGTON SILT MTG SECS CORP 2004-RA2 4.242.51 LSO MTG PA.SSTFR6 CTF CL C•B•1 VAR RATE 6.983% 07125/33 DIE DTD 06101/04 RD 01130 PD 02125/15 DWSGOVT CASH INSTL 1.027.48 LSO 0.00 379,049.57 Account Num ber. Go paperless Rated eacellera L very Year Sim* 2007 DAL OAR RATED COMMUNCATIONS 7X0IlL7Net Page 13 of 18 a-a-vac -- SDNY GM 00046001 DB-SDNY-0008825 EFTA_00 156610 EFTA01288973

Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Desa Qum Price Accrued littered Amont CUrrill Distributions 02117115 SECU RITY REDEEMED SERVICEM ASTER CO SR NT - CUSP FULLY EXCF ANGED -838.000.000 888.280 00 USO 81760NAN9 FROM OLD CUSP 81760NAL3 8 000% 02/15120 WE OTD 02113/12 CLB CALLED BY LOTTERY 02/25/15 RETURN OF PRINCIPAL 4500000 COUNTRYWIDE HOME LOANS SER 041 CL 131 24402.01 LSO RECEIVED 1.090% 03125133 B/E DID 01130103 RD 01130 PD 02125115 126690Y51 02/25/15 RETURN OF PRINCIPAL 1290000 WASHINGTON ML T MTG SECS CORP 2001•12A2 618.77 LSO RECEIVED MTG PASSTHRL CTF CL C-B-1 VAR RATE 6.983% 07125/33 939336S20 WE DTD 06/01/01 RD 01130 PD 02/25/15 02/27/15 PARTNERSHIP DISTRIBUTION 263157 SFRS APOLLO GLOBAL MGM T LLC CL A SHS RD 226.315 02 LSD APO 02/17 FO 02/27/15 Total Distributions • UNITED STATES DOLLAR 0.00 1039,875.80 Cash Withdrawals and Deposits 02/03/15 RECEIVE FED WIRE WF RECD NO 02/02115 DEUTSCHE BANK 728,278 28 LSD U S0999997 F251502027318800 02/01/15 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST .99.981.00 LSO USD999997 02106/15 FEDERAL FUNDS RECEIVED FSBC BANK USA, NA 35803 62,912.96 LSO US0999997 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 691,231.24 Money Market Funds 0210/115 MONEY FUND PURCHASE DWSGOVT CASE INSTL •628.29428 LSO USD999997 02106/15 MONEY FUND PURCHASE DWSGOVT CASF INSTL -93,750.00 LSD USD999997 02/09/15 MONEY FUND PURCHASE DWSGOVT CASF INSTL -62,942.96 LSO USD999997 02/13/15 MONEY FUND PURCHASE DWSGOVT CASh INSTL 47,116.00 LSO USD999997 02/17/15 MONEY FUND PURCHASE DWSGOVT CASE INSTL •930.78000 LSD USD999997 02/18/15 MONEY FUND PURCHASE DWSGOVT CASF INSTL -165,853.73 LSD USD999997 02/26/15 MONEY FUND PURCHASE DWSGOVT CASF INSTL -31,083.11 LSD USD999997 02/27/15 MONEY MARKET FUND DWSGOVT CASE INSTL INCOME REINVESTED .1.027.48 LSO REINVESTMENT 233993682 Total Money Market Funds • UNITED STATESDOLLAR 0.00 4,983,847.59 Page 14 of 18 litint, ROLL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)LTHERnO N H FIDESITIAL Account Number Go paperless Itatod taceibrie Ivory Year Late 2007 DAL BAR RATED COMMUNICATIONS rxarturrier SDNY_GM_00046002 DB-SDNY-0008826 EFTA_00 15661I EFTA01288974

Deutsche Asset & Wealth Management P.O. Bat 1770, Ba!ammo. MD 21203 Transactions by Type of Activity (continued) Process' Settlement Date Activity Type Description Ontsoe Seta Prmaw *man LYwrmm minim tonna Gwo Devlache •se. Wooten at. New *4 01110 HS PH Meta. nth I bet 10114 Quantity Statement Period: 0210112015 • 02/28/2015 Price Awued Interest Amount Currency Total Value of Transactions The price and quantity displayed may have been rounded. Cash Not Yet Received 0.00 226,315.02 USD Stonily Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment Dividends GENERAL ELECTRIC CO COLI 02123115 04121115 23.000.000 0.230000 Cash 5.290 00 Total Cash Not Yet Received 55,290.00 Bond Maturity Schedule Bond Maturity Market Value %of Boad Market Valle 7 to 12 months 2,281,250 00 9% • Percentages of bond market values are 1 to 5 years 2,702,865.00 11% • rounded to the nearest whole percentage. 8 to 10 years 2,037,375.00 8% Over 10 years 17,899,715.72 72% • Total 24,921,206.72 100% Bond Quality Bond Quality Markel Value of Bad Market Valle BAA 5,715,000.00 23% Percentages of bond market values are 8AlLower 18,434,341.75 74% rounder, to the nearest wt ole percentage hot Rated 711,863.97 3% Total 21,921,205.12 100% Account Number WIA8 ROI Go paperless soLTHERA F L LLC. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) N F I DranAL Page 15018 Rated [malign' (very Vs Since 2007 DAL BAR RAT CD COMMUNICATIONS 'xi:owner SDNY_GM_00046003 DB-SDNY-0008827 EFTA_00156612 EFTA01288975

Client Service Information Your Client Advisor: Dtki, DANIEL SABRA 345 PARK MEN UE, 26TH FLOOR NEW YORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Treat al interest as original issue discount ( OID): No Amortize pram ium on taxable bonds based on Constant Yield Method: Yes Acme' market discount method for all other bond types: Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account con m unications for electronic delivery. To register and turn off paper coin m unications. log in to your account or contact your Oient Advisor for more inform alma Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, 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. THE AS OF PRICE DATE ONLY APPEARS VillEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT 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 wwerpershing.contbusiness_continuity.hh-ni for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed 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 mitten request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing km. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not hilly 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. Faye 16 of 16 ()R...61 ROLL Account Number Go paperless CNO DAENTEAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN n F I Raid excellent (very Year Since 2007 DAUM. RATED COMMUNICATIONS rxcournaer SDNY_GM_00046004 OB-SDNY-0008828 EFTA_OOI 56613 EFTA01288976

Deutsche Asset & Wealth Management PO Boa 1778. Balismore. MD 21203 Important Information and Disclosures (continued) Draftee Illma POIFIleVNI400Alirwad Marais Conran Comp otautv sank smote' 4%. Na. TM Cato Hf Pal Asia lith ber Now** NY 101M Statement Period: 0210112115 • 0212812015 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 MI 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. Ratings This statement may contain credit rating information obtained from Standard & Pools. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Pools does not guarantee the accuracy, completeness, timeliness or avaitability of any information. Standard & Pooes is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties includng warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Cash Not Yet Received Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Poets ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a cleating agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (I) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where appbcable, the rendering of investment advice. if any, to you and in eneral 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 . 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 (SIPC6). 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: vnwr.pershing.ccrnistrength_stability.html. • 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-confrmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. Page 17 of 18 Account Num ber Ravi. twaller4 Drina von paperless 5a^C• 2007 SO to rxesur TEA C LLC. F I riEN taer (15 N I: DAMAN RATED COM...UN/CATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) THERA N SDNY_GM_00046005 OB-SDNY-0008828 EFTA_00156614 EFTA01288977

Important Information and Disclosures (continued) The Role of Pershing (continued) • Your !martial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other n 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 expiated 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; Pap IS of IS Account Number MOI Go paperless SC L THERA CNO LLC. F I DAEKTIAL N CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) Rabid Capone Si since 2.007 DAL BAR RATED COMMUNICATIONS rxarturnser =ni SDNY_GM_00046006 OB-SDNY-0008830 EFrA_00 I 56615 EFTA01288978

Deutsche Asset & Wealth Management P.O. Ow 1778, Bahimore. MD 21203 ()PASO( Sint Pr If Ile WON n manapnerd Mantis Conran Comp otautv sat Mar' 1a ,c. Mn tint Mao MS Pia Asa. nth IM Valuation at a Glance Account Num ber: Statement Period: 01/0112015 -11131!2116 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value $126,714,293.02 61 26,714,293.02 6100 RED HOOK QUARTER B3 hel Cash Deposits and Withdrawals 458,90413 -858,904.73 ST THOMAS VI 00802 het Securities InlOut of Account -2,483,792.00 -2,483,792.00 Adjusted Previous Account Value 123,371,596.29 123,371,696.29 Dividends, Interest and Other Income 15.328 77 15,328.77 Net Other Adivity -1800 -18.00 Net Chan,. in Portfolio 1 481 999 32 1 481 999 32 Your Client Advisor: nding Account Value 3124.868.906.38 5124,868,906.36 DANIEL SABBA Eshm aced Annual Income 53 803 814 84 Asset Allocation Prior Year-Fad Last Period This Period %Allocation LSD Cash. Money Funds. and Bank Deposits 44,273,984.33 44,273,984.33 13,153,016.70 34.80% LSD Axed Income 18,177,455.58 18,177,455.58 18,161,692.34 14.55% h on4. SD Axed Income 7,150,052.50 7,150,052.50 7,393,617 50 5.92% LSD Equities 54,126,544.61 54,126,544 61 52,872,867.81 42.34% hon•DSD Equities 2.986.256.00 2.988.258.00 2,984,712.00 2.39% Account Total (Pte Chart) 8126,714,293.02 8126,714,293.02 $124,866,906.36 100.00% See the Asset baeon Disclosure end Footnotes secton io important inkonatisn reap:ling your Asset Mouton. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) B0118615CSP 30017 paperless CONFIDMTIAL I P ease renew yo'. 00.2'. 0" Page 1 of 18 Pisa Cace000 [very sane. 2007 DAL BAR RAT CD COMMUNICATIONS rxesarmer ratront=r2.4rhorrat." ••••••••.4....••••••••onnic SDNY_GM_00046007 OB-SDNY-0008831 EFTA_00156616 EFTA01288979

Asset Allocation Disclosure and Footnotes Al values are displayed in U.S. dollars based on interbank exchange rates as of 0113112015. Exchange rates can vary. Equities contains Equity Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gain/Loss 0.00 0 00 3.527.176 07 Lon •Term Gain/Loss 2.197 27 2.197 27 3.951.427.22 Net GaIn/Loss 2,197.27 2,197.27 7,176,693.29 This summary excludes transactions where cost basis information is not available. For Your Information Cr June 5. 2014, the European Central Bank (the -ECB') introduced 'negative interest rates'. This negative interest rate applied to all deposits held at the ECG and other credit institutions. Effective February 1, 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and will reflect on your account statement as 'Free Credit Balance Interest Charge'. The interest will be reported on your Forms 1099 andfor 1042-S for tax year 2015. 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 Cate Adivity Type Description Amount Balance Sweep Money Market Fund OWS GOVERN M ENT CASH !NM Account Num bet 0000001490 Gwent Yield: 0.03% Activity Ending: 01/30(15 01101115 Opening Balance 44,219,609.33 44.219.609.33 01102115 Deposit MONEY RAO RIRCFASE 00 54.3-789 00 44,273,984.33 01/05/15 Withdrawal 01114/15 Withdrawal MONEY FUND REDEMPTION MONEY FUND REDEMPTION 1 -366,963.73 1073,966.33 43.907.002 60 01116115 Withdrawal MONEY FUND REDEMPTION 491.94100 - 13.415.061.60 01127115 Deposit MONEY FUND PURChASE 5,290.00 43,420,351.60 01128115 Deposit MONEY FUND PURCFASE 31,518.73 43,451,900.33 01130(15 Deposd INCOME REINVEST 1,116.37 49453,016 70 01130(15 Closing Balance $43,453,016.70 Total All Money Market Funds 143,453,016.70 Page 2 of 18 URA', von CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN CH F I DENTIAL Account Num tier. Go paperless Rated Lac...bra (Vert Voile Santa 2007 DALBAR RATED COMMUNCATIONS rxesurnser SDNY_GM_00046008 DB-SDNY-0008832 EFTA_00 156617 EFTA01288980

Deutsche Asset & Wealth Management PO Dm 1778, Ballimore, MO 21203 Income and Expense Summary Dividend Income Equities Money Market Interest income Bond Interest Total Dividends, Interest, Income and Expenses Distributions Other Distributions Total Distributions Portfolio Holdings Account Opening Date Quantity Number Cash, Money Funds, and Bank Deposits 3 5.0 Cash Balance Money Market DWSGOVERNM ENT CASH INSTL 01101/15 13,153,016.700 0000001/90 Total Money Market FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 01/01/15 N160231301 Total FDIC Insured Bank Deposits Total Cash, Money Funds, and Bank Deposits Oralsre Rana PnwalemanNAmenan Pdaeat$ Cedragee,o‘P MANN ML Samna LA mr. Tut OSA, Hann Any_ Ita Met War Int nr 1011.4 Current Period Statement Period: 0110112015 • Year•to•Dale 01/3112015 Taxable Non Taxable Taxable Non Taxable 5,290.00 0.00 5,290.00 0.00 1,116.37 0.00 1,116.37 0.00 8.922.10 0.00 8.922.40 0.00 $15,320.77 $0.00 $15,321.77 $0.00 0.00 22,626.33 0.00 22.626.33 $0.00 $22,521.33 $0.00 $22,521.33 Activity Ending Opening Balance Closing Salaam Accrued Income laces. ibis Year 30.Day Yield Genet Yield 0% of Portfolio 51,375.00 0.00 01130115 11,219,609.33 13,153,016.70 35.72 1,116.37 0.03% 0.03% $44,210,109.33 $43,453,016.70 $36.12 $1,111.37 01102/15 0.00 0.00 0.00 0.00 NIA NIA $0.00 30.00 $0.00 $0.00 $44,273,014.33 $43,453,016.70 $35.72 $1,116.37 Account Number 011Akl ROLL Go paperless SOLTHERA CNO LLC. F I DrwriA L N CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 3 4018 Rated tocellordi Every YearSince 2'007 CALMAR RA TED COMMUNICATIONS rxesurner SDNY_GM_00046009 DB-SDNY-0008833 EFTA_00I56618 EFTA01288981

Portfolio Holdings (continued) Adjusted Oate Aoleired Quantity DAN Cod Cost Basis Fixed Income 21.00% of Portfolio (In Maiurity Dee Sequence) 'Asset Backed Securities COUNTRYWIDE NOM E LOANS SER 03.1 CL 814.090% 03125/33 B/E DTD 01130103 Fador: 0.21147138 Effective Date:01102115 Current Face Value: 951.621 210 12113/13'.3.12 4,500,000.000 93.3180 Market Price Markel Value Unrealized Gain/ Loss Accrued Interest Estimated Estimated Annual Income Yield WASHINGTON MUT 11 TG SECS CORP 2004-RA2 M TG PASSTHRU CTF CL C-11.1 VAR RATE 6.983% 07125133 WE DID 0610110/ S 6 P Rating D Fodor: 0.56508126 Effective Date.01102/15 Current Face Value: 728.951 826 12113113 '.3.12 1,290,000.000 76.5190 Total Asset Backed Securities 6,790,000.000 Total Current Face Value : 1,680,576.035 Corporate Bonds PETROLEO S DE VENEZUELA NOTES SENIOR 15150850160546525 5.000% 10/28/15 REG DTD 10/28/09 S 6 P Rating 9 4 12104113'.3.12 2,500,000.000 95.8080 HEADWATERS INC GTD SR NT 7.625% 01/01/19 BlE DID 03/11/11 CALLABLE04101115Q 103813 Moody Rating 81 S8 P Rating BB- 10122/12 %it" 1,000,000.000 101.8120 EARTHUNK INC GTD SR NT FULLY EXCHANGED CUSP FROM 210321AB8 8.875% 05/15/19 WE DTD 05117/11 CALLABLE 05115115 $ 8 P Rating CCC* 10122/12 '.3.13 400,000.000 102 4900 10/23/12 %lull 600.000 000 102 3140 Total Noncomed 1,000,000.000 Total 1,000,000.000 Security Identifier: 126690Y51 888,590.01 83.2470 Original Cosl Basis. 51.111.513.07 Security Identifier: 939336520 557,786.10 81.1940 Original Coal Basis: $638.906.71 11,416,376.11 Security Identifier: P7007HAF2 2,395,197.97 85.7500 Original Cod Basis: $2,250.000.00 Security Identifier: 42210PAQ5 1,018.124.51 101 0000 Original Cod Basis. $1.035.000.00 Security Identifier: 270321AC6 409.958.52 100.5000 Onginal Coal Basis: 5414,000.00 613,881.60 100.5000 Original Coal Basis: $619,500.00 1 023 840.12 11,023,140.12 792,196.11 613,736 23 $1,405,932.34 2,143.750 00 1,040,000.00 402,000 00 8,03,000 00 1,005,000.00 $1,005,000.00 -96,393.90 55.950.13 3,243.44 4,241.93 -110,443.77 0,116.31 -251,447 97 21,57516 -7.958.52 -10.881.60 -18,810.12 31,944 44 25,416.67 7,191.41 11,241.67 18,736.11 $0.00 125.000 00 5.83% 76,250.00 7.33% 35,500.00 8.83% 53,250.00 8.83% 88,750.00 E,118648CSF30:': ' 8ALI ROLL Account Number: Go paperless CAL. F I EIENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN co N -116,840.12 511,731.11 $81,750.00 Page 4 of 18 toceINM Every VAN Sims 2007 DAL OAR RATEDCOMMUNICATIONS rxestmser GDNY_GM_00046010 DB-SDNY-0008834 EFTA_00 156619 EFTA01288982

Deutsche Asset & Wealth Management P.O. Boa 1776, Babimoro, MD21203 Portfolio Holdings (continued) Dale Acquired Quality Unit Cost Fixed Income (continued) Corporate Bonds (continued) SERVICEM ASTER CO SR NT • CUSIP FULLY EXCFANGED FROM OLD COP 81760kAL3 8.000% 02/15/20 8/E DTD 02113112 Moody Rating CAA1 S 8 P Rating B- 01124/13 . .3.12 440.000.000 104.8630 Adjusted Cost Basis Dralsro Rota PnwaleWeakniaragenmt NY161 wrap Gro.p Des-bor4 Settongs %lc Mee Ion Oat* HI Part Annus. 160. I be, War Vert ItY 10114 Market Pea Market Value Statement Period: 01/01/2015 • 01/3112015 Unrealized Gain/ Loss Acaued Estimated Estimated Interest Annual Income Yield 02125113'.3.12 1,000,000.000 105 3810 Total Noncovered 1,410,000.000 Total 1,410,000.000 LLOYDS TSB 8K PLC EURO ISSUE MEDIUM TERM NOTES IMO XS0717735822 9.875% 12/16/21 RIG DTD 12116)11 Moody Rating Bat SS P Rating BBB- 12104/13'.3.12 1,500,000.000 107 6100 BARCLAYS 8K PLC CONTINGENT CAP NT ISINS1.936739FF K03 7.750% 01/ 10123 B/E DTD 04110113 CALLABLE 04/10118 SB P Rating 884 04103/13 %an 300.000.000 100 0000 P11 ORGAN CHASE & CO DEP SHS REPSTG 1/10TF PFD S2 1 FIXED TO FLTG RI 80 7.900% 04/29/19 81E DTO 04/23/08 Moody Rating BA1 P Rating 8B8• 06/15/11 '.3.12 2.500.000.000 107 5000 06115/11 '.3,12 2.500.000 000 107 0000 Total Noncovered 5,000,000.000 Total 5,000,000.000 IIHAe .01, SOL THERA LLC. ON FIDEPRITIAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Security Identifier: 81760NAN9 461.397.41 105.7500 Original Cosi Basis $468,05000 1.053.809.67 105.7500 Original Cosl Basis: $1,070,000.00 1,515,207.11 $1,515,207.11 Security Identifier: GIS15PP48 1,614,143.46 114.0000 Original Cosi Basis: 51.627.500.00 Security Identifier: 66739FHKO 300.00010 109.3500 Original Cosl Basic 5300,000.00 Searlty Identifier: 48826HHA1 2.687.500.00 107.4690 Original Cosl Basic 52,687,590.00 2.675.000.00 107.4690 Original Cosi Basic $2,675,0(10.00 5,382,500.00 $5,382,600.00 465,300.01 1,057,499.99 1,511,800.00 $1,522,800.00 1,710,000 00 328.050 00 2.686.725.00 2.686.725 00 5,373,150.00 15,373,150.00 Account Num ber. Go paperless 3.902.57 16.231 11 35,200.00 7.56% 3.690.32 36.888 89 80,000.00 7.56% 7,50219 53,120.00 115,200.00 $7,592.89 $53,120.00 $115,200.00 95,856.54 18,104 17 148,125.00 8.66% 28.050 00 7.168 75 23.250.00 7.08% .77510 49.375 00 197.500.00 7.35% 11.725.00 49,375 00 197.500.00 7.35% 10,950.00 98,750.00 395,000.00 $10,950.00 598,750.00 $395,000.00 Pages of 18 tacellone Every Year Idea 2007 DAL BAR RATED COMMUNCATONS f %ORONO —.........n.— SDNY_GM_00046011 DB-SDNY-0008835 EFTA_00 156620 EFTA01288983

Portfolio Holdings (continued) Dale Acquired Quality Unit Cosi Fixed Income (continued) Corporate Bonds (continued) BANK AM ER CORP PERP NON CON ULATIVE DEP SF S FIXED TO FLOAT 8.125% 04130/58 WE DTD 04130108 CALLABLE 05/15118 Moody Rating BA3 S& P Rating BB Security Identifier: 080506078 01110/11 '.3.12 2,000,000.000 102.7500 2.055.000 00 101.4380 2,148,760.00 0 nginal Cosl Basic 52,055,000.00 SOUTNEFOI CALIF EOISON CO PREF SER E Security Identifier: 842400FU2 6.250% 01117162 WE DM 01/17/12 CALLABLE 02/01122 0 100100 Moody Rating RAM S & P Rating BBB- 01130/12'.3.12 3.000.000.000 99 8110 2,994,327.17 111.3750 3.341.250 00 Original Cosi Basic 52.992.564 97 GENERAL ELEC CAP CORP NON CUM PFD SER Security Wenner: 3698225/18 A 7.125% 06/12/62 WE DID 06112/12 CALLABLE 06115/22 Moody Raling SAM S & P Rating A+ 06127/12 '.12.13 2,000,000.000 104.9020 2,098.03116 116.3750 2,321,500.00 ()num' Cosi Basis 52,122,916.67 LOG CAPITAL NO 1 PLC 144A Security Identifier: 054330008 ladX.60473106283 1000% 09/15/88 PEG DTD 12115/09 CALLABLE 06115/20 St P Rating BB 12/04/13 ..3.I2 1.200.000.000 108 2500 1.299.000.00 105.5000 1 266 000 00 Original Cosi Basis 51.299.000.00 5LLOYDS BANKING GROUP PLC FXD RATE RESET Security identifier 539439A04 ADDL TIER 1 SECS ISMS US539439A042 7.500% 09127/88 WE DID 04/07/14 S & P Rating B+ Please Provide' 1,903,000.000 N/A Please Provide 1022500 1.945.817.50 Original Cosi Mit Pease Provide Total Corporate Bonds 521,875,519.13 $24,152,377.60 22,843,000.000 Total Fixed Income $23,122,056.24 525,558,309.84 28,633,000.000 Adjusted Cod Basis Markel Price Markel Valve Unrealized Gain/ Loss Accrued Interest Estimated Estimated Annual Income Yield VRAWRCHt Account Nun bur Go paperless SO Di ERA CIO N LLC. F I DAEN11A L CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 93,760.00 34,305.56 162500.00 7.56% 346.922 83 93.750 00 187.500 00 5.61% 229,46124 16,208.33 142.500.00 6.12% .33,000.00 12,000.00 96 000 00 7.58% N/A 13,083.13 142.725,00 7.33% 5630,880.81 5424,687.18 61,702,800.00 $490,437.10 1432,072.53 11,102,800.00 Page 6 of 18 RaNdencolloM LveryVw since 2007 OCATq+6 rxciurmer SDNY_GM_00046012 DB-SDNY-0008836 EFTA_00156621 EFTA01288984

Deutsche Asset & Wealth Management P.O. Boa 1778, 8shimore. M021203 Portfolio Holdings (continued) DIVISre gam Pon., Vona 'thump-win rents Congn,o‘P otautv Sat Mui4+M. Ilre MA din Maria MM." nth I bet 30134 Date Acquired Quantity Unit Cost Cod Basis Market Price Equities 42.00% of Portfolio Common Stocks M OBILEYE NV AM STELVEEN ORD SHS IA140010831061 Dividend Option: Cash Security Identifier: ki BLY CL SIP A51488117 08101114 800.000 25 0000 20,000.00 39 3900 APOLLO GLOBAL MGM T LLC CL A SUS Dividend Option: Cash Security Identifier: APO CUSP: 037612306 03129111'.13 263,157.000 19 0000 4,999,983.00 248700 APPLE INC COY Dividend Option: Cash Security Identifier: AAPL CUSP. 037833100 09105114 142,800.000 98 9500 14,130,065.71 117.1600 MAD PHARM ACEUTICALS INC Dividend Option: Cash Security Identifier: ARIA CUSP 04033A100 02!14112'.13 7.535.000 15 2090 114,597.40 6.4500 01124113 '.13 9,000.000 198000 176,400.00 6.4500 Total Noncomed 16,535.000 Total 16,535.000 ASCINA RETAIL GROUP INC COY Dividend Option: Cash 290 997.40 5290,997.40 Security Identifier: ASNA CUSP. 04351G101 01116101 '.3 70,500.000 212770 1,500,000.00 11.5600 BANK OF NEW YORK MELLON CORP CON Dividend Option: Cash Security Identifies: BK CUSP: 064058100 06125114 250,000.000 36.3060 9,076,40610 36.0000 BIOGDI IDEC INC CON Dividend Option: Cash Security Identifier: BUB CUSP: 09062%103 02114112 '.13 2.095.000 119 5490 250,454.95 389.1600 FACEBOOK INC CL A Dividend Option: Cash Security Identifier: FB CUSP: 30303M102 05117112 A 17,500 000 38 0000 665,000.00 75.9100 E. :leelecsn. : ORAN Well Market Value Statement Period: 0110112015 - 01/31/2015 Unrealised Gain! Loss Estimated Estimated Annual Income Yield 31,512.00 11,512 00 8,544,714.59 1,544,731 59 818,418.27 12.50% 16,730,448.00 2,600,38229 268,464.00 1.60% 48,600.75 -65.996.65 58,050.00 ,118,350.00 116,650.75 ,114,341.15 3106,650.75 .1181,341.65 10.00 814,980.00 .685,020 00 9,000,000.00 76,406.00 170,000.00 1.88% 815,290.20 564.83525 1,328,425.00 663.425 00 Account Nun Der Go paperless CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) F I DAENTIAL SOL THERA CT, Pap 7018 Rated taceissr• Envy 'rem vote 2007 DAL BAR RATED COMMUNICATIONS rxarturner /abr. ISO =maw Ms.. ram. SDNY_GM_00046013 OB-SDNY-0008837 U1:4_00156622 EFTA01288985

Portfolio Holdings (continued) Date Med Equities (continued) Common Stull' (continued) FOUNDATION MEDICINE INC COM Dividend Option: Cash 01113114 08105114 Total Covered Total 19,630.000 GENERAL ELECTRIC CO COM Dividend Option: Cash 04123113'.13 GENERAL MTRS CO COM Dividend Option: Cash 11118/10 ' 12109110 ' Total Noncovered Total GILEAD SCIENCES INC Dividend Option: Cash 02105114 03107114 Total Covered Total 8,100.000 HEALTH NET INC CON Dividend Option: Cash 09108114 25,000.000 SAXONY° BIOSCIENCES INC CON Dividend Option: Cash 05128113 '. 13 50.000.000 SANTANDER CONSUMER USA HLDGS INC COM Dividend Option: Cash 01123114 1,000.000 TWITTER INC CON Dividend Option: Cash 11101113 1.500.000 Total Common Stocks Quiet UeIt Cost Cost Basis Market Price Markel Value Unrealized GalelLoss Estimated Estimated Annual Income Yield 25,000.000 21,830.000 19,830.000 Security Identifier: FM Min 350465100 27.5070 687,883.50 47 6600 232530 577,373.02 47.6600 1,205,031.52 $1,206,03012 23 000.000 21.5700 10.988 200 86.536 800 97,525.000 97,525.000 5,000.000 3,100.000 8,100.000 36 4010 36 8160 Security Identifier: GE CUSP: 36960/103 496,109.08 23.8900 Seaulty Identifier: GM CUSP: 370151/100 399 978 16 32.6200 3.185.969.22 32.6200 3,616,917.36 13,686,917.36 Sandty Identifier: GILD CUSP: 375558103 792810 396,407.00 101.8300 796120 216.797.00 104.8300 613,201.00 46 9800 8.4440 24 0000 26 0000 6613,201.00 Security Identifier: HNT CUSP: 42222G108 1,174,506.00 54.1700 Seairity Identifier: SGM 0 CUSP. 800677106 422,211.00 12.7900 Security Identifier: SC CUSP: 8028311101 24,000.00 17.8500 Security Identifier: MIR CUSP: 901811102 39,000.00 37.5300 1,191,500.00 1,183,397.80 2,371,697.10 $2,374,697.60 549.47000 358 435 09 2 822 830 41 3,101,265.50 $3,181,265.50 521,150.00 324.973.00 019,123.00 6849,123.00 1,354,250.00 639.500.00 17,850.00 56,295.00 503,836.50 606,024.78 1,109,661.26 51,109161.26 53,360.92 .41,513.07 -363.138.81 -101,161.66 -$101,661.86 127,713 00 78,176 00 205,919.00 8205,919.00 179,744.00 217.286 00 -6,150.00 17,295.00 $0.00 21,160.00 3.85% 13,185.81 3.67% 103.811.16 3.67% 117,030.00 0117,030.00 $0.00 01:11e4ISCM:: : 138182,924.01 mine you $14,391171.81 16,611,717.10 11,395,072.27 Page 8 of 18 Account Number: Go paperless L ERN CIO N LI.C. F I DranAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) TM Rated tsallerill (very Vs.. Siva 2'007 DALBAR RATED COMMUNCATIONS oar. 2=a...rt.= . — "ao= tom to•A Plat SDNY_GM_00048014 OB-SDNY-0008838 EFTA_00156623 EFTA01288986

Deutsche Asset & Wealth Management P.O. Om 1778, larnore. MD 21203 Portfolio Holdings (continued) Date Acquired Equities (continued) Preferred Stocks (Listed by expiration date) ALLY FINL INC FIX TO FLT DIV-8 50% FREQ-QTRLY CALLABLE Q 25.00 OK A QTRLY BASIS AFTER 05/15/2016 Dividend Option: Cash 02103112'.13 44600.000 02109112 '.13 80400 000 Total Noncovered 126,600.000 Total 126,800.000 GM AC CAP TR I GTD TR PFD SECS SER 2 CPN- 8.125% FREQ DRILY MATY.02115/2040 CALL ANYTIME 025 W/30 DAYS BEGINS 02115116 Dividend Option: Cash 02/22112 '.13 80.000.000 23 5350 ROYAL BK SCOTLAND GP PLC WON AOR REPSTG SER T PFD CPA-7.25% FREQ QRTLY FERP N TY CALLA 25 ANY W130 D NOTICE AFTR 12131112 Dividend Option: Cash 10124112'.13 40,000.000 231900 01107113'•13 40.000.000 24.4400 01114113'.13 40,000.000 24.8600 Total Noncovered 120,000.000 Total Total Preferred Stocks Total Equities Quaellty Unit Cost 191820 20 1250 120.000.000 08AN 11011 Dar Own Wealth Maaarnsel wows C00000047 Oftualw sem sesses Now Teri Ma HS Per% MY. MOWS, Pliereint NY INM Cost Basis Market Price Security Identifier: ALLY PRB CL SIP 02005K308 Market Value Statement Period: 0110112015 • 01/3112015 Unrealized Gala/ Loss Estimated Estimated Annual Income Yield 903.21751 26 3800 1,229 308.01 326.090.50 98.792 00 8.03% 1,610,000.00 26 3800 2 110 399.99 500,399.99 169.600 00 8.03% 2,513,217.51 3,339,709.00 826,490.49 268,392.00 92,513,217.51 $3,339,708.00 5826,490.49 $268,392.00 Security Identifier: ALLY PRA CUSP: 361860208 1.882.773.60 26.3000 2.104.000.00 221.226 40 162.500.00 7.72% Security Identifier: RBS PRT CUSP. 780097713 951,600.00 25.5500 1,021,999.99 10,399.99 72,500 00 7.09% 977.600.00 25.5500 1.021.999.99 44.399 99 72,500 00 7.09% 995,200.00 25.5500 1,022,000 02 26.60042 72,500.00 7.09% 2,924,400.00 3,066,000.00 141,600.00 217,600.00 $2,924.400.00 $3,086.000.00 5141,600.00 $217.500.00 $7,320,391.11 58,509,709.00 51,189,316.89 $648,392.00 $45,903,316.15 $52,904,379.84 $7,001,064.69 $2,043,464.27 ris CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I D criAL Account Number Go paperless SOL THERA CIO ri Page 9of 18 Itsted [malign' Every Year sine. 2007 Om BAR RATED COmmumCaTiOnS exalurmer GDNY_GM_00046014 DB-SDNY-0008839 EFTA_DO 156624 EFTA01288987

Portfolio Holdings (continued) Oate Aozeired Quantity Unit Cost Exchange-Traded Products 2.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DXJ Dividend Option: Cash; Capital Gains Option: Cash MIR 97717W851 80000.00 of these shares are in your margin account 12/11113 80.000.000 49 4350 2,988,098.50 49.2200 2,953.200 00 -12.898.50 58.434.20 1.91% Total Exchange-Traded Products $2,988,098.50 Cost Bads 92,953,200.00 Market Value -812,898.50 UarealMed Gals/ Loss Actrued Mitered $68,434.20 Estimated Maul Income Total Portfolio Holdings 5115,444,485.59 $124,868,906.38 97,471,803.29 9432,072.53 53,903,814.84 Unrealized Cod Basis Market Price Markel Value Gainf Lou Estimated Estimated Annual Income Yield Footnotes Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Econontic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked Of denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'apphcable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wia be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period. as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed. there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax retums. 7 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. Unrealized gains and losses are not reported for securities for which cost basis or market value is not evadable. The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous dent brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering fan or transferring agent and Pershing makes no representation as to the accuracy of this information. Account Number OBALI Roll GO paperiess L very Vs.. Woo. 2007 DAUM. RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67e)L THEM% DAENTIA rxarturnaer Page 10 018 SONY GM_00046016 DB-SDNY-OOO884O EFTA_OO 156625 EFTA01288988

Deutsche Asset & Wealth Management P.O. Box 1778, Bahimore, MD 21203 Isre Rana Pnwair won lapmgenais r eals teem., 6 ,0“) Dettsch4 NM Smelt. %..c lire wart Oat* 341 Pan A . Ikh I ter War leek ItY 101E Schedule of Realized Gains and Losses Current Period Disposition Acquisition Disposition Date Date Transaction Description Quantity Statement Period: 0110112015 • 01/3112015 Realized Gain/ Loss/ Cost Basis Proceeds Disallowance Long Term 01122/15 12/13113' Fel) WASHINGTON MUT MTG S 004-RA2 M TG PASSTHRU CTF CL C- B-1 VAR RATE 6.983% 07125133 Security Identifier: 939336820 Original Cost Basis: 2.627.60 01126/15 12)13113' I'P COUNTRYWIDE HOM E LOA 1 CL 81 4.090% 03/25/33 WED TD 01130103 Security Identifier: 12369DYS1 Original Cost Basis: 19,609.04 1.290000.000 4.500.000.000 2.62760 19.609.04 3 433 93 20.999 98 806 33 1 390 94 Total Long Term 322,236.64 $24,433.91 32,197.27 Total Short Term and Long Term 322,236.64 324,433.91 32,197.27 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-34 3, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncoveredr under the new cost basis reporting rules. and marked or denoted as such. Al other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after they '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 1099.8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities. principally debt securities and options, acquired on or after January 1, 2014. or later, as determined by the Secretary of the Treasury. This Schedule may not reflect 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 dent brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not requted 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 rekance on the information provided herein for such reporting. Page 11 of 13 Account Number: e t :. Rated tacellene ll8A13 ROI I Go paperless (very Vs.. Since 2'007 DALBAR RATED COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERMI FI D AMSITIA rxenurraer stow.t.:7===== SDNY_GM_000460n DB-SDNY-0008841 EFrA_00 156626 EFTA01288989

Schedule of Realized Gains and Losses Current Period (continued) Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one a more of these attrbutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax retums. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method Mich 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 accounts selected tax lot method will be used to determine the cost basis for calculating gain andfor loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8. Messages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Conporation.(SIPC) For disclosure of rates for DWS money market funds, please visit the DWS Investments website at httpc/Armwdws-investments.conVEN/products/money-market-funds-yields.jsp. Please note that all money market funds listed on the website may not be offered through us. lmportarn Reminder for Pershing's 2014 IRS Forms 1099 (8, DN. 1NT, 010 and MISC): As a reminder, by February 17. you will receive either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It vrill inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 16, 2015. Activity Summary (Ad amounts shown are in base currency) Credits This Period Year-to-Date Dividends and Interest $15,328.77 $15,328.77 Distributions $22,626.33 $22,626.33 Fees 50.00 50.00 Cash Withdrawals 0.00 0.00 Total Cash $0.00 $0.00 Money Market Funds $158,922.73 $158.922.73 Total Credits $898,877.83 3896,877.83 Debits This Period Year-to-Date Dividends and Interest $0.00 $0.00 Distributions $0.00 $0.00 Fees -$18.00 -$18.00 Cash Withdrawals -858,90473 -858.90473 Total Cash -$855,904.73 -$558,904.73 Money Market Funds -$92,330.10 -$92,330.10 Total Debits -$961,252.83 -$961,252.83 Account Number. Go paperless Page 12 of 18 S0L MAL E1S CONFIDENTIAL - PURSUANT TO FED. R CRINI, P. 6(e) ix ERA FIDA Rated Imam@ Event Veer Since 2007 DAL BAR RATED COMMUNCATIONS rxarturnser SDNY_GM_00046018 OB-SDNY-0008842 EFTA_00 156627 EFTA01288990

Deutsche Asset & Wealth Management P.O. Bat 1778, Babimore, MD21203 Transactions by Type of Activity Process/ Settlement Date Activity Tvoe Description Draisev Ram Pon. Weahn PAragenalt Mats Coon., Gro.t) Dests0A lima %won Mc. lire bet M n Na Pot Anremeo. Halter Quan Statement Period: 0110112015 • 01/31/2015 Price Accrued Interest Amount Curren Securities Bought and Sold 01121/15 SECL RITY CALLED QTY 838.000 SERVICEM ASTER CO SR NT • CUSP FLLLY 81760kAN9 EXCHANGED FROM OLD CLSIP 81760NAL3 8.000% 02115120 WE DTO 02/13/12 CLB CALLED BY LOTTERY 0.00 LSD Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 0.00 Securities Withdrawals and Deposits 01130115 CUSTOMER AUTHORIZED APPLE INC COM TRANS TO k4G.026161 -21,200.000 0.00 LSD TRANSFER AAPL Total Sea/titles Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 0.00 Dividends and Interest 01/26/15 CASH DIWDEND RECEIVED 23000 SF RS GENERAL ELECTRIC CO COM RD 12/22 PO 5.290.00 LSO GE 01126115 01/27115 80AD INTEREST RECEIVED 4500000 COUNTRYWIDE HOME LOANS SER 03.1 CL B1 4,660.48 LSO 12669DYS1 4.090% 03125/33 B/E DID 01/30/03 RD 12/31 PD 01125/15 01/27/15 80ND INTEREST RECEIVED 1290000 WASFINGTON ML T MTG SECS CORP 2001.RA2 4,261.92 LSO 939336520 M TG PASSTF RI., CTF CL C.B-1 VAR RATE 6.983% 07125/33 WE DTD 08101104 RD 12/31 PD 01125/15 01/30/15 MONEY MARKET FUND DWSGOVT CASF INSTL 1,116.37 LSD INCOME RECEIVED 233993682 Total Dividends and Interest- UNITED STATES DOLLAR 0.00 15,326.77 Distributions 01/27/15 RETURN OF PRINCIPAL 4500000 COUNTRYWIDE HOME LOANS SER 03-1 CL 81 20.99918 LSO RECEIVED 4.010% 03125/33 B/E DTD 01130/03 RD 12131 PO 01/25/15 12669DYS1 01/27/15 RETURN OF PRINCIPAL 1290000 WASHINGTON IILT NTS SECS CORP 2004.RA2 1.626.35 LSO RECEIVED M TG PASSTFRL CTF CL C.B.1 VAR RATE 6.983% 07/25/33 939336520 WE DTD 06101104 RD 12/31 PD 01125/15 Total Distributions • UNITED STATES DOLLAR 0.00 22,628.33 ORM, VOI Account Number Go paperless SOL ENO NFIDEVTIAL O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) THERA Rated E. acelbrill L very Year Siva 2007 DAL BAR RATED COMMUNCATPONS r %Cali NCI Page 13 of 18 ea". — SDNY_GM_00046019 DB-SDNY-0008843 EFTA_00156628 EFTA01288991

Transactions by Type of Activity (continued) Process/ Settlement Date Adivity Type Des aiolion Clean' Price Accrued Niters Mont Curren Fees 01/02/15 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 2014 CU SIR GISISP-P4.8 G4S15PP48 01/02/15 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 2014 CU SIP: 6513318G-8 G5433B13G8 01/02/15 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 2014 CU SIR. P7807h-AF-2 P7807EAF2 -6O0 •6.00 -6O0 USD LSD LSD Total Fees - UNITED STATES DOLLAR Cash Withdrawals and Deposits 01114115 CUSTOMER AUTHORIZED TRANS TO N46-026161 TRANSFER USD999997 01116/15 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST USD999997 0.00 411.00 -366.96373 •491.94100 LSD LSO Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR Money Market Funds 01/02115 MONEY FUND PURCHASE DWSGOVT CASE INSTL USD999997 01/05/15 MONEY FUND REDEMPTION DWSGOVT CASE 1NSTL USD999997 01/11/15 MONEY FUND REDEMPTION DWSGOVT CASE INSTL USD999997 01116/15 MONEY FUND REDEMPTION DWSGOVT CASE INSTL USD999997 01127/15 MONEY FUND PURCHASE DWSGOVT CASE INSTL USD999997 01/28/15 MONEY FUND PURCHASE DWSGOVT CASE INSTL USD999997 01/30/15 MONEY MARKET FUND DWSGOVT CASE INSTL INCOME REINVESTED REINVESTMENT 233993682 0.00 -$50,901.73 -54,375.00 18.00 366.963 73 191111 00 -5,29C00 -31.548.73 -1.116.37 LSD USD LSD USD USD USD USD Total Money Market Funds- UNITED STATES DOLLAR 0.00 766,592.63 Total Value of Transactions The price and quantity displayed may have been rounded. 0.00 -51,376.00 USD OBAB Roll Page 14 of 18 Account Number. Go paperless LLC. FIDE1SMAL ON CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN Rated tacelbra beery Year Siva 2007 DAL BAR RATED COMMUNCA TIONS r%CLLNCE SDNY_GM_00046020 DB-SDNY-0008844 EFTA_OO 156629 EFTA01288992

Deutsche Asset & Wealth Management P.O. Be* 1778, Bellmore. MO 2t 203 DraIsre Sam km,. Weep Paptagenan Maniel$ COMM, 6 ,0.p °num. sem seo.03e, Lac Mee in Mt* so Peet *AO. lta Met War Viet MI 1011.4 Cash Not Yet Received Security Record Date Payable Date Statement Period: 01/0112015 • 01/31/2015 Quantity Held Rate Dividend Option Amon of Payment Interest SERVICEMASTER CO SR NT - CUSP FULLY 02101115 02/15115 EXCHANGED FROM OLD Total Cur Not Yet Received Bond Maturity Schedule Bold Maturity 7 to 12 months 1 to 5 years 6 to 10 years Over 10 years Total Bond Quality Bond Quality BAA BAllower Not Rated Total Called Bonds 1 440.000 000 0 040000 Cash 57 600 00 557,600.00 Market Yale % of Bond Market Value 2,143,750.00 8% Percentages of bond market values are 2,045,000.00 8% • rounded to the nearest whole percentage. 3,560,850.00 14% 17,808,709.84 70% • 25,550,300.04 100% Market Vain %of Bud Market Valet 5.668.750 00 19,097,363.73 22% 75% M Percentages of bond market values are rounded to the nearest whole percentage. 792,196.11 3% 11 25,558,30914 100% Call Date Security Desaieion 02117/2015 SERVICEMAsTa CO SR NT • CUSP FULLY EXCHANGED FROM OLD CUSP 81760/413 8.000% 02115120 WE DID 02/13112 Publication Date: 0112012015 Eligible Called Call Type Redemption Quantity &entity Price of Call Proceeds 1,440,000 008 838,000.000 106.0000 Partial 888.280.00 Account Number paperless SOUTHERN CSNO L LC. F I I-JENTEAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Page 15 of 18 Rated [atelier. Every Va.. Since 2007 DAL BAR RAT ED COMMUNICATIONS rxentrwer SDNY_GM_00046021 DB-SDNY-0008845 EFTA_00 156630 EFTA01288993

Client Service information Your Client Advisor: DAN DANIEL SABBA 345 PARK MIEN LE 267F FLOOR NEW YORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Treat al interest as origins issue discount ( OID): No Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Ratable Method Include market discount in income annually. No Electronic Delivery You have not selected any account corn m unications for electronic delivery. To register and turn off paper tom m unications. log in to your account or contact your Client Advisor for more inform ation. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, 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. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT 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 vnwepershing.comfinsiness_continuity.htrnt for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed 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 nil 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 now. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you prornptty upon your written request directed to your introducing km. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in veiling of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance nth 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 smaler number of shares entitled to vote than the number of shares in your margin account. Page 16 of t6 Account Number: e t ) Rawl tacellenti OlitAE1 MOLL Go paperless (very YewSOSO. 2007 DAL BAR RA TCO COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CR[6,1. P. 6: THEIMCON F I DAnTrIA rxesarrier SDNY_GM_00046022 DB-SDNY-0008846 EFTA_00156631 EFTA01288994

Deutsche Asset & Wealth Management P.O. Box 1778, Bahimore, MD 21203 Important Information and Disclosures (continued) Dryly R•ni Wolin PAnair,tat 10.141s (Ingo 4•0.p De.cul. Bar St(r."41M. Mr. brit Mc* la 'tart Annw Icce ta-r. 1. nr 101:4 Statement Period:0110112115 • 01/31/2015 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. 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 & Pooes does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties inducing warranties of merchantability or fitness for a particular purpose. Standard & Pooes shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Cash Not Yet Received Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Pooes ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Callable Bonds Pershing LLC receives the called bond information from several information sources which Pershing believes are reliable. Pershing does not guarartee the accuracy of the information. For callable options that are available to you please contact your Client Advisor. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (I) any other instructions concerning your account. Pershing is not responsible or cable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where appicable, the rendering of investment advice, if any, to you and in eneral for the ongoing relationship that it has with you. • Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at . Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC*). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: vnwtpershing.coinfstrength_stability.html. Paget? of 18 Account Number: Go paperless e t ) Rated twallella 9O1.1. bray 'Ian LSO, 2'007 DALBAR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6:06THERk F I DENTIA exararmer ..... SDNY_GM_00046023 OB-SDNY-0006847 EFrA_00156632 EFTA01288995

Important Information and Disclosures (continued) The Role of Pershing (continued) • 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-confrrned in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; Emirs 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 arbdcators wil typically include a 'Snotty 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 piedispute 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 ercompassed 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 enlace 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 govem. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Pap IS of 18 Account Number Cso WIA0 ROLI paperless St3L THERA to nc. CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6(e) N F I DAENTIAL Rated tacolloria t very Year Slate 2007 OALIMIt RATED COMMUNICATIONS rxentrwer Iron. YQ ••••••••6000.. Fait ilflO SON Y_GM230046024 DB-SDNY-0008848 EFFA_00156633 EFTA01288996