EFTA01361602.pdf

Holdings Summary by Currency Wrens" Cash Total by Currency BINTIgi POUND 0 0 GBP U.S. DOLLARS 1.837593 1,837,593 LSO Total USD Equivalent 1,837,693 1,837,593 USD % of Allocation 100.00% 100.00% Messages Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds. please visit the DWS Investments website at https://vAvw.cvs-investments.com/EN/products/money-markettunds-yields.jsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at S1 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. Please note the foltoaong infonnation for Pershing's 2014 /RS Forms 1099 (8, DIV, INT, ()ID and MISC): Your form 1099 will be delivered as early as possible, beginning January 31, 2015. By February 17, you will receive either your 1099 form ora 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 16, 2015. Pershing's Impartial Lottery Process: Partial Calls Information about Pershing's impartial lottery process can be found on pershing.com/business_continuity. You may also request a printed copy of this information by calling (888)367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer initiates a partial cab of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerised lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (ncludig Pershing). Because DTC's lottery is random and impartial, participants may or may not receive an allocation of securities selected for redemption. When Pershing is notified that it received an allocation of called securities. Pershing conducts a similar, computer-generated random lottery. The lottery determines the accounts that will be selected and the number of securities in the account that will be redeemed. Allocations are based on the number of trading units held in the account. The probability of any trading unit held by an account being selected as called in a partial call is proportional to the total number of trading units held through Pershing. Once the lottery is complete. Pershing notifies introducing broker-dealers whose introduced accounts have received an allocation. Securities registered in the client's name, either in transit or held in custody, are excluded from the Pershing lottery process. Pershing initiates the lottery process by identifying the accounts holding the called security, the total par value of the called securities held, and the trading unit of the security. Example (unit of trade = $25,000): Client Account Par Value Number of Trading Units ABC-123234 5100.000 4 DEF-325465 $75,000 3 Page it of I0 Account Num be Rot 4 E Went P••••Ar..• •!. • oarnme • ..4•0•••• Go paperless f VC" , Yaw toner .},001 DALOAR RATED COMMONICATK,I6 J EPSTEIN VIRGIN ISLANOS 041{ •tOV' E °CU.:City rxcntn.cr CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0050809 CONFIDENTIAL SDNY_GM_00196993 EFTA01361602