EFTA01361619.pdf

Portfolio Holdings (continued) Unrealized Accrued Estimated Cost Bads Market Value Gain/loss Interest Annual Income Total Portfolio Holdings $26,289,403.66 $26,233,218.47 ,556,185.09 $0.00 $76,527.05 Footnotes 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 ("IRV) (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. 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 theirapplicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wiN be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requkements 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. 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. M essa es Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DVVS money market funds, please visit the DWS Investments website at httpsiAvww.dves-investments.corVEN/products/money-market-funds-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 51 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. Reese note the followng information for Pershing's 2014 IRS Forms 1099 (8, DIV, INT, OO 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. ft 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 PershMg's impartial lottery process can be found on pershing.conVbusiness_continuity. You may also request a printed copy of this information by calhng (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 caN of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation. or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including 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 clients name, either in transit or held in custody, are Page Et of I Account Number: N46-024935 n ... DEtEry.on.arn ....Want!. • whol, • . 4•4$.6..• I , XAi1 it4_%tz Cio paperless "u >O: CAL BAR EtE.7 ED CODD,r4icAy LEPERS the ‘eCt ..." ....S.0 yrrt rNcr CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0050829 CONFIDENTIAL SDNY_GM_00197013 EFTA01361619