EFTA01452697.pdf

M essa9es Although a money market mutual fund seeks to preserve the value of your investment at Si per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your investment professional for additional information. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC) For disclosure of rates for DWS money market funds, please visit the DWS Investments website at htlps:/Ainviv.dws-investmentsconVEN/products/money-market-funds-yields jsp Please rote that all money market funds listed on the website may not be offered through us. Important Reminder for Pershing's 2013 IRS Forms 1099 (B, DIV, INT, 010 and MISC): As a reminder, by February 18, you will receive either your 1099 form on special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 17, 2014. Activity Summary (All amounts shown are in base currency) Credits This Pence Year. to- Data Debits This Period Year- to- Date Securities Securities Securities Bought 0.00 0.00 Secunties Bought .6 688 454 11 •6.688.454.11 Securities Sold 10 204 174 33 10.204.174.33 Securities Sold 0.00 0.00 Total Securities $10,204,174.33 $10,204,174.33 Total Securities 46,688,454.11 46,688,454.11 Dividends and Interest $38,807.19 $38,807.19 Dividends and Interest $0.00 $0.00 Distributions $85,729.09 $85,729.09 Distributions $0.00 $0.00 Fees $0.00 $0.00 Fees -$18.00 -$18.00 Cash Cash Withdrawals 0.00 0.00 Withdrawals .109 995 00 •109,995,00 Total Cash $0.00 $0.00 Total Cash -$109,995.00 -$109,995.00 FDIC Insured Bank Deposits $3,794,694.32 $3,794,694.32 FDIC Insured Bank Deposits 47,541,135.01 .47,541,135.01 Total Credits $14,123,404.93 $14,123,404.93 Total Debits -$14,339,602.12 -514,339,602.12 Transactions by Type of Activity Process Trade Settlement Transaction Date Date Activity Type ()nation Quantity Prise Awned !Meal Ann Omen Securities Bought and Sold 01113114 01110114 SOLD IIORGAN VALUE ADVANTAGE FUND INSTITUTIONAL -81.563.173 27.1700 2.216,071 41 US0 IVAIX CLASS UN SOLICITED ORDER 01115114 01110114 SOLD BOMBARDIER INC CLASS 8 AVERAGE UNIT PRICE -20,000.000 4.0828 80.848 57 USD BDRBF TRANSACTION YOUR BROKER ACTED AS AGENT 01115114 01/10114 CORRECTED SELL GENERAL ELEC CAP CORP PERPFC0 SER C FIXED TO FLTG -1.400.000.000 94.0625 6.12500 1.322.994 00 Li SD 389622511 5.250% 06103163 BIE DTD 06103113 CLB VARIABLE RATE CORRECTED CONFIRM Page 16 of 23 Account Number: N4G-023804 Ral*JUN.ENE 4:1•••••• *Wyk •••••••• la- • Weft. atm/ •••••••••• Go ixiperless ...von ••• k••••• communicAnord Nap T.t Ss. t: NaiPanaaimmais , ailit Masa •• -tor .1,1 • 9,. •r W. SO TI- ERN FINANCIAL LLC Ala A 00V• CAN% Pa NY DALISAR DATED EXCELLENCE CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0109881 CONFIDENTIAL SDNY_GM_00256065 EFTA01452697