EFTA01372054.pdf

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 December 1, 2018 - December 31,2018 SOUTHERN FINANCIAL LLC Portfolio Holdings (continued) JAPANESE YEN Opening Closing Acauee 30•Day Description Quality Balance Balance Cortenq Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 49.00 49.00 JPY -0.45 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 49.00 49.00 JPY 0.00 -0.45 USO 000 Acaued Merkel Value Curteney Mitred TOTAL JAPA NESE YEN 49.00 JPY 0.00 -0.45 USD 0.00 Unrealized Acaue4 Estimated Cost Bads Markel Value Gam Loss Unlined Annual Income TOTAL PORTFOLIO HOLDINGS - U.S. 896,699,411.89 $94,404,553.11 -$5,218,168.80 8478,778.43 83,328,412.86 DOLLARS • Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as" noncovered". Securities marked as "covered', were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form '099-8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determinethetaxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. 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 to the accuracy of this information. 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. Page 9 of Ao-rounl litribt Rated Ewefiere MISR through Pin LILC.• wholly aimed b: ECifcgiDDSe Go paperiess Every Year Since 2007 subtle:run of The Bakal New York Mellon AigMOP t-ORIVOW 04BAR MITOCOMPAVNICA710.5 EXCELIDKE Comeration OM Mellen) PCISrat LLC. meat( AURA. NYSE. Sa,C CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0065653 CONFIDENTIAL SDNY_GM_00211837 EFTA01372054