EFTA01361644.pdf

M essages (continued) have any securities selected for redemption at all. • When a partial call is deemed favorable to the holders of the called security, Pershing will exclude certain accounts from the lottery. Excluded accounts will include Pershing's proprietary and employee accounts, as well as proprietary and employee accounts of introducing broker-dealers Of Pershing cables and clears those accounts). No allocation will be made to these proprietary and employee accounts until all other client positions at Pershing in such securities have been called. When a partial call is deemed unfavorable to holders of the called security, Pershing will not exclude any accounts from the lottery. • If the partial call is made at a price above the current market price as captured in Pershingg's price reporting system. Pershing will generally categorize the partial call as one that is favorable to the holders of such security. If the partial call is made at a price that is equal to or below the current market price of the security as captured in Pershing's price reporting system, Pershing will generally categorize that call as one that is unfavorable to holders of the security. Clients have the right to withdraw uncalled, fully paid securities from Pershing at any time prior to the cutoff date and tine established by the issuer, transfer agent and/or depository with respect to the partial call. CrClients also have the right to withdraw excess margin securities, provided that the client account is not subject to restriction under Regulation T or that such withdrawal with not cause an under-margined condition. u Activity Summary (All amounts shown are in base currency) Credits This Period Year.to.Date Debits This Period Year.to.Date Securities Securities Securities Bought 000 000 Securities Bought 0.00 .6.897.364 62 Total Securities $0.00 $0.00 Total Beatifies cu $0.00 .56,897,364.62 Dividends and Interest $107,529.86 $393,870.82 Dividends and Interest $0.00 $0.00 Distributions $0.00 $1,806,259.24 Distributions $0.00 $0.00 Fees $0.00 $0.00 Fees $00.0000 -$36.00 Cash Cash Deposts 0.00 911.807 66 Deposts 000 Total Cash $0.00 $911,807.66 Total Cash $0.00 FDIC Insured Bank Deposits $0.00 $3,444,150.98 FDIC Insured Bank Deposits $0.00 -$1,748,42$30..0060 Money Market Funds $0.00 $1,000,024.00 Money M arket Funds -$30.48 42,196,027.74 Total Credits $107,529.86 $7,556,112.70 Total Debits -$30.48 -$10,841,651.42 Page 8 of 13 Account Number SOLThERh TRI.,ST COMPANYINC Go paperless 4 V WM' at 'Ma iumilo e. • wniolrownre2 ••••• ao , .....f..,••••••estItaw••••,•.: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0050855 CONFIDENTIAL SDNY_GM_00197039 EFTA01361644