EFTA01291543.pdf

15I Deutsche Bank Orals , e San, Ponle wee.n Maatenmil Weett CO•44.14,4,1,P Chnthe Sank Shang, P.O. Box 1776, Baltimore, MD 21203 Mrs bet OR,* .115 Pot Ant Halter Mew etet. PIT IOVA Account Statement Period: 12/01/2016 - 12/31/2016 Portfolio at a Glance This Period Year-to-Dale JEFFREY EPSTEIN Beginning Account Value $667,241.16 1667,163.01 6100 RED HOOK QTRS STE B- 3 Adjusted Previous Account Value 667,214.46 667,183.01 ST THOMAS VI 00802- 1348 Dividends. interes: and Other Income 5 49 66 94 netng Account Value 5667.249 95 5667.249 95 Estimated Annual Income 566 94 Your Client Advisor: 43SHUA StI0SNAN Asset Summary Prior Yearad Last Period This Period %Allocation Cash, Money Funds, and Bank Deposits' 667.163.01 667.244.46 667.249.95 100% Please review your allocation penothcally wet your Client Achisor. Account Total $667,113.01 3657,244.46 8657,249.95 100% You Accoise is l00% invested in Cash. Abney Finds, and Bark Deposes. I The Bank Deposes In your account are FDIC insured bank deposes. FDIC insured bank deposits are not secunt es and are not covered by the Securities Investor Protection Corporation (SIPC). These bank defrosts are covered by the Federal Depose Insurance Cceporaton (FDIC). up to alma* limits. Pagel oil Rated [...Hoot A00990 I1CSF10024 :Taw et sr•taist rseelaull•e MS* P C1P er leSS 0Al t" I Y/rRA . rED. C201•4 007MUNICATIONS •••••••••aa ••••••••••••• IWO ?Mal IINOr CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) CONFIDENTIAL SDNV_GM_00049290 DB-SDNY-0012114 EFTA_00159899 EFTA01291543  For Your Information The European Central Bank (the 'ECI3') and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/or 1042 S. 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. FDIC Insured Bank Deposits Date Activity Type Desaiption Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Activity Ending: 12/30116 12101116 Opening &dance 887,244.46 667,244.46 12115116 Deposit IN TEREST CREDITED 5.49 667,249.95 APY 0.01% 12116116 Citibank N.A. 667,249.95 NO 12116 $237500.00 RBS Citizens Bank NO 12116 5237500.00 Texas Capital Bank NO 12116 $192249.95 12130116 Closing Balance $667,249.95 Total FDIC Insured Bank Deposits $667,249.95 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 6250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Current Period Year•to-Date Taxable Non Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 549 0.00 66.94 0.00 Total Dividends, Interest, Income and Expenses $5.49 $0.00 $66.94 $0.00 Page2of7 I .. Account paperless Rated [...Mat 1,eloy Yam, Unto 2007 Mtn° ROL I OASMA RAT(D COMMUNICATIOhtS SONY_GM_00O49291 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: FREYEPSCONFID AENTIAL "a" iNa DB-SDNY-0012115 EFTA_00159900 EFTA01291544  Deutsche Bank Draisre Banc Finnic Wog" Magatentm Pewees CoreweComP ChtsO4 Sank Settanti P.O. Box 1776, Baltimore, MD 212O3 Mrs bet Once .115 nell AIIPMP. 20th I ter Mrs vett. 10. 10114 Statement Period: 12/0112016 -1213112016 Portfolio Holdings Opening Closing Accrued Income 30 -Day Description Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 657,249.950 667,244.46 661,249.95 3.30 66.94 NIA Total FDIC Insured Bank Deposits 6667,214.46 6667,249.95 $3.30 $66.94 Total Cash, Money Funds, and Bank Deposits 6667,214.46 $667,249.95 $3.30 $66.91 Accrued Estimated Market Vain Interest Annual Income Total Portfolio Holdings $667,249.95 $0.00 $66.94 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. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases Into money market mutual funds processed on the sweep platform. Federal Deposit Insurance Corporation (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporafion(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:livmyr.divs-investments.corNEN/productsimoneynarket-fundslields.jsp Please note that an money market funds listed on the website may not be offered through us. The U.S. *II adopt a shortened settlement timeframe beginning with trade date September 5, 2017. for equkies, corporate and municipal bonds, and unit investment trusts. Moving from a 1+3 to a1+2 settlement cycle will provide faster access to sale proceeds, but it also means that funds will be due on purchase transactions earlier. This may be a good time to consider e-delvery of your account documents-including trade confirmations. account statements and more. Ask your advisor about how you can set up e-delivery. Activity Sum m a ry (All amounts shown am in base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Dividends and Interest $5.49 $0.00 66.49 $66.91 $0.00 $66.94 FDIC Insured Bank Deposits $0.00 -$5.49 -$5.49 $0.00 -$66.94 -$66.94 Totals $5.49 -$5.49 $0.00 $66.94 -666.94 $0.00 Page 3 of? Account Rated exeillent Go paperless Every Y•a• Unto 2007 ettediestroatt:. 0=S" IOW Idells. EtoNFIDAnTIAL I ninn noL vesottn novae. am* weir see ,EFFR OA1SAft RA VW COMMUNICATIONS [Mal IN C/ SDNY_GM_00049292 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6:7 u DB-SDNY-0012116 EFTA_00159901 EFTA01291545  Transactions by Type of Activity Nomad Settlement Date Activity Type Description Quantity Price Accrued Interest Amount Currency Dividends and Interest 12115(15 FDIC INSURED BANK IN suREO DEPOSITS INTEREST CREDITED 5.49 USD DEPOSITS IK TEREST RECEIVED 458997996 Total Dividends and interest • U.S. DOLLARS 0.00 5.49 FDIC Insured Bank Deposits 12115116 FDIC INSURED BANK IhStiFtED DEPOSITS INTEREST REINVESTED .5.49 USD DEPOSITS INTEREST REIN VESTED 458997996 Total FDIC Insured Bank Deposits - US DOLLARS 0.00 -5.49 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: E`..1 Contact Information JOSFLA ShOSI-M Telephone 280 PARK AVE • 3RD FL KEW YORK NY 10017 Your Account Information Investment Objective Investment Objective: GROV/TF Investment Objective: INCOME Please review your investment objective. If you wish to make a change or have any questions please contact your Client Advisor. Tax Lot Default Disposition Method Default Method for Mutual Funds FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Flan: FIRST lh FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortization Sections: Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No Electronic Delivery You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Client Advisor for more information. Page 4 of? Account Rated Excellent (JINN ROL Go paperless tt, L•••••Y %We 2007 DALORA RATED COMMUNICATIONS er aw etwerwahn it earattLa aircrew., war wn- ataft Mao SDNY_GM_00049293 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6:7 EPSC ONFI D AENTIAL rxer"na DB-SDNY-0012117 EFTA_00159902 EFTA01291546  Deutsche Bank Gnaw Ram Poetic WealPt Me•etenne Mines I envage G, .p Myna* kV* 141WICL Mt. P.O.Box 1776, Baltimore, MD 21203 Mee *A Once .115 Part /week Halter Mrs RA 1.1. 101W Statement Period: 12/0112016 - 12/3112016 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 (Sable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities fa which a price is not available are marked TVA" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessariy be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Where pricing sources are not readily available. estimated prices may be used. When the updated price is received from the mice provider, the updated price wit be used in the release of the current month's statement. Prior statements will not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts. Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing Viii be fisted. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset, the current price vii purge and N/A will be placed in the price field in the statement The pricing of listed options takes into account the last closing pnce. as well as the current rid and offer prices. 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, aid may be affected by current and future economic, poMical, 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 vrtm.pashing.comlbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Proxy Vote Securities not fully 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 relied a smakr of shares entitled to vote than the of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaly 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) vli6 be biked at the rates such agents use. 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 di) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or is 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. Page 5 of? Account Rated Excellent URA° ROIL Go paperless Ever, ' Yee' Sine. 2007 M a nn efliettallasla IhinhaiRLC nee.. FINNY Zaie ••C lieneen " MEV aldioat 6:7TONFIDAERTIA „ta r RATED COMMUNICATIONS SDNY_GM_00049294 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. DB-SDNY-0012118 EFTA_00159903 EFTA01291547  Important Information and Disclosures (continued) The Role of Pershing (continued) • 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, as 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 applicable; 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 All 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 (SIPCt). 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: vmw.pershing.comfaboutistrength-and-stabiley. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includiog 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 • Your financial organization's contact information an be found on the first page of this statement. Pershing's contact information is as blows: 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 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 tied. • Arbitration awards are generally final and binding; a party's abifity 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 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 unlit (tithe 'lass 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 govem. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07199; Page 6 oft Account= Rated Cmollent pRA8 ROIL Go paperless Ls ,/ Yves lame 2007 DAISAR RATED COMMUNICA TIONS et a tiwilimetwoream ttrOse Zon MEV Slim iossouc amernIalt. win.. •00 SDNY_GM_00049295 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6:1VEPsCONFIDElTriAe "cm" DB-SDNY-0012119 EFTA_00159904 EFTA01291548  TERMS AND CONDITIONS TRANSACTIONS • PERSHING MAY TRADE FOR RS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST. ODD LOT DEALER, • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY, AT THE TIME OF ANY SUBJECT TO THE CONSTITUTION, RULES, REGULATIONS, CUSTOMS. USAGES, RULINGS AND TRANSACTION YOU MAY MAKE, PERSHING MAY HAVE A POSITION IN SUCH SECURITIES, WHICH INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, F ANY, WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR F APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS • TITLE TO SECURITIES SOLD TO YOU, WHERE PERSHING HAS ACTED AS PRINCIPAL, SHALL REMAIN AVAILABLE UPON REQUEST. WITH PERCHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT DATE, WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF R WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN • YOU MAY HAVE RECEIVED CONFRMATIONS FOR TRANSACTIONS WHICH CO NOT APPEAR ON YOUR VIEW IT ONLINE AT WWVY.PERSHING.COM. STATEMENT. F SO. THE TRANSACTIONS WEL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW PERSHING COM/DISCLOSURES TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. THIS IS ESPECIALLY TRUE F YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NHS- FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S RULE 007(A)(1)-(2)) BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR SUBSEQUENT EXECUTION. THE DETALS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT OF TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHWG ROUTES CERTAIN EQUITY AND OPTION YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER NSPECTION UPON REQUEST. FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- TAX INFORMATION COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY VP TO A SPECIFIED SCE, AND TO EXECUTE THEM AT OR BETTER THAN • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO STATEMENT TO PREPARE YOUR TM FLINGS. THE TM STATEMENT ALSO INCLUDES OTHER USEFUL WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR AMITY TO PROVIDE • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO DETERMINE THE APPROPRIATE TM TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC ('PERSNINCT) FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU N ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE AU- YOUR LIABILITIES TO PERSHNG. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. W ITHOUT TENDER, DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED N SUCH ACCOUNTS; ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAD BY YOU. • WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WLL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN, EQUAL TO OR GREATER THAN/ YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. F ANY Of THE ABOVE TERMS AND CCAIXDONS ARE UNACCEPTABLE TO YOU. PLEASE HOTFYPERS-ING HAMEDIATELY IN %Rini.° BY CERTIFED MAIL TO ONE PERSHING PLATA JERSEY CITY. NJ ann. AIM LEGAL OEM Page? at?