EFTA01291467.pdf

Deutsche Asset & Wealth Management Dralsre eano Prmale wean Mamtentivi Wrests CoreateG,C,P CeIrttOw I Settork C. Now Ibrt P.O. Box 1776, Baltimore, MD 21203 345 FM Mme, l•thitoct lieslat. PM 10114 4A4114. MSS) 211409S Account Numbed Statement Period: 12/01/2015 - 12/31/2015 Portfolio at a Glance This Period Yeauto-Date JEFFREY EPSTEIN Beginning Account Value $ 65707.61 $667,116.34 6100 RED HOOK QTRS STE B- 3 Adjusted Previous Account Value 667,177.51 667,116.34 ST THOMAS VI 00802- 1348 Dividends. Interest an: Other Income 5 47 55 5 - ncl ing Account Value $667,183.01 $667,183.01 Estim ated Annual Income 566 67 Your Client Advisor: DANIEL SAHA Asset Allocation Prior Year-)id Lad Period This Period % Allocation I,S0 Cash. Money Funds. and Bank Baptists' 667.116.34 647.177.51 667.183.01 100 00% Please review your allocation penodically win your Client AoYsor Account Total $667,116.34 3617,177.54 3117,113.01 100.00% yotakeowe is 100% invested in USD Cash. Money Fins. arid Ban' Deposits. I The Bank Deposes in your account are FDIC insured bank deposes. FDIC insured bank deposits are not seconbes and are not covered by the Semites Investor Protection Corporation (SIPC). These bank deposts are covered by the Federal Depose Insurance Corporation (FOICI. up to allaaatie lints Page lot? Riled xcellat A0097182CSF30024 paperless L" OALVar n c D. C2ONI °°7114 / 4NICATONS ;ran otwettabil:•OrseZion NS Wile* CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDENTIAL "n"' SDNV_GM_00049214 DB-SDNY-0012038 EF1'A_00159823 EFTA01291467  FDIC Insured Bank Deposits Date Activity Type Description Anoint Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: N4G024968 Activity Ending: 12131115 12101115 Opening Balance 687,177.54 667,177.54 12/15115 Deposit INTEREST CREWED 5.47 661,183.01 APY 001% 12(16115 Citibank N.A. 667,183.01 NO 12116 $237500.00 Deutsche Bank Trsl Co NO 12116 $237500.00 NY Com m unify Bank NO 12116 $192183.01 12131/15 Closing Balance $667,183.01 Total FDIC Insured Bank Deposits 1667,183.01 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 $250,000 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 5.47 0.00 66.67 0.00 Total Dividends, Interest, Income and Expenses 15.17 $0.00 86.67 $0.00 Portfolio Holdings Opening Posing Accrued Income 30-Day Description Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits 100.00% or Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 667,163.010 667,177.61 667,183.01 3.18 66.67 NIA Total FDIC Insured Bank Deposits 6667,177.61 $07,183.01 63.18 $66.67 Total Cash, Money Funds, and Bank Deposits $667,177.54 $887,183.01 $3.48 MA? Page2 of I Account Number Rated EncoMent ()PA0 Go paperless Ivory vas Since 2007 0140AR RATED COMMUNICATIONS M a t etwa *VS, %La lrant as"."" Orseetsn . ••••••\ wee =se MON, )0:1111INCIF CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 61: EY usCONFIDENTIAL: SDNY_GA4_00049215 DB-SDNY-0012039 EFTA_00159824 EFTA01291468  Deutsche Asset & Wealth Management 0...hos Sant inule Wall" Maatenmi Mann Cinfatfe CoMP mous Is Sectanci NageStOrloo PO. Box 1776, Salem:No, MD 21203 M Par% Mem. llith I ter liestit PM 10114 PO/ 454461ILIOSS17.64091. Statement Period:1210112015 • 12/31/2115 Portfolio Holdings (continued) Accrued Estimated Market Value Interest Annual Income Total Portfolio Holdings $667,153.01 $0.00 160.07 Messages Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securkies Investor Protection Corporation(SIPC). For disclosure of rates for DVVS money market funds, please visit the DWS Investments website at httpsiNwsw.dws-investments.conVEN/products/money-market-fundslields.jsp Please note that an 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 St 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. Pease note the following information Sr Pershing's 2015 IRS Forms 1099 (8, DIV, INT, OID and MISC ): Your form 1099 MI be delivered as early as possible, beginning January 31, 2016. By February 16, you will be naked either your 1099 form ore 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 wil provide the anticipated mad date of your 1099 form. Your 1099 wil be mailed no later than March 17, 2016. Activity Sum m a ry (All amounts shovm 803 in base cunency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Dividends and Interest $5.47 $0.00 $5.4? $66.67 10.00 $66.67 FDIC Insured Bank Deposits $0.00 -65A7 -15.47 $0.00 -$88.67 -$68.67 Totals 15.41 -$5.47 $0.00 $66.67 466.6? 10.00 Transactions by Type of Activity Process/ Settlement Date Activity Type Detaiptioe Quantity Price Accrued Interest Amount Currency Dividends and Interest 12;15115 FDIC INSURED BANK INSLRED DEPOSITS INTEREST CREDITED 5.47 USE/ DEPOSITS INTEREST RECEIVED 456997996 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 6.47 Page) of? Account Number Rated Excellent rt . Dann ROL Go paperless Unrf yea. SMO. 2007 FIAl xerRit RATED COMMUNICATIONS ,EFFREY EPSIFJN CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) cONFIDE1SITIAL " SDNY_GM_00049216 DB-SDNY-0012040 EFTA 00159525 EFTA01291469  Transactions by Type of Activity (continued) Process' Settlement Date Activity Type Desuiption Qeantity Price Acaued Interest Amami Canino FDIC Insured Bank Deposits 12115115 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED •5.47 LSO DEPOSITS IN TEREST REINVESTED 458997996 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 .5.47 Total Value of Transactions 0.00 0.00 USD The pike and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENUE 26T1‘ FLOOR NEW YORK NY 10154.0003 Your Account Information Investment Objective Investment Objective: GROV/Th Investment Objective: INCOME Risk Exposure: NONE SPECIFIED 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 Plan: FIRST IN FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortization Elections: Am orbze 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 carom unications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Client Advisor for m ore information. 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 dose of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services. which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price Is not available are marked "MK and are omitted from the Total. Page 4 of 7 ',MAW ROL Cio paperless ifCrg illimIttir rD Rated Excellent l'n•Y sine. ZOO, COMMUNICATIONS IFFREY EPSC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFIDEstanAL SDNY_GM_00049217 DB-SDNY-0012041 EFTA_00159826 EFTA01291470  Deutsche Asset & Wealth Management 0rals° e San, PootieWneh kla.zgenmil minim Coon', ,o.P. Chische Sank We Mire bet Once PO. Boa 1776, Baltimore, MD 21203 HI Pot O.n.o. )an I low' Mew ion PIT I0VA (M)CA.21.14. MSS, 2114(91. Statement Period: 12/0112015 - 12/31/2015 Important Information and Disclosures (continued) Pricing (convnue0) THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. 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. and may be affected by current and future economic. political, 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 retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to anwr.pershing.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 reflect a smaller number of shares entitled to vote than the number 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) will be billed at the rates such agents use. The Rote of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept horn your financial institution without inquiry or investigation 0) orders for the purchase and sale of securities and other property and Iii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or Rs 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 to funds and securities you may deposit with it drectly or through your financial institution or that it receives as the result of securities transactions it processes. • 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, its 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 general, for the ongoing relationship that it has with you. • Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. 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 fist page of this statement. • For a desorption 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 it you would like additional copies of the Disclosure Statement, please contact your financial Mstitution. • Pershing is a member of the Securities Investor Protection Corporation ($IPCL). 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: wenv.pershing.com/about/strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including 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-confirmed in writing to tinter protect your tights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Page 5 of? Account Number Kited [...Mat talAti ROIL Go paperless 10fMtl11,NCJ .77e.t.",7c7c200:1 iCt.TION6 :ran et weret4=Ortnin " ••••••••u4 awes. fl aw Ma —c MEV CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67toNFIDEITIIAL SDNY_GM_00049218 DS-SDNY-0012042 EFTA_00159827 EFTA01291471  Important Information and Disclosures (continued) The Role of Pershing (continued) Jersey City, New Jersey 07399; (201) 413-3330. Errors and Cmissions excepted. Important Arbitration Disclosures • All parties to this agreement are ping up the right to sue each other in court, including the nght to a trial by pry. except as provided by the rules of the arbitration forum in which a claim is Ned. • Arbitration awards are general/ foal and balding; a partys abity 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 panel of arbitrators will typically inckide a minority of arbitrators who were or ale 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 until, (I)the class 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 07399; (201) 4134330. Page 6 of? Account Number Rated Excellent Go paperless tray Year Since 2007 01.10AR RATCD COMMUNICATIO16 C4) IMtlll/NCl SDNY_GM_00049219 HEREUPS C ONF I Dri S ITIA CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DEt-SDNY-0012043 EFTA_00159828 EFTA01291472  TERMS AND CONDITIONS TRANSACTORS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER. • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SMALL BE BLOCK POSIT IONER. 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 IF 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 PERSHING 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 IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH 00 NOT APPEAR ON YOUR VIEW IT ONLINE AT WWW.PERSHING.COM. STATEMENT. IF SO. THE TRANSACTIONS WLL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWVA.PERSHING COINDISCLOSURES 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 NTS- FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S RULE 607(A)(1)4211 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: bNTEREST 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 TME 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 PREVOLSLY 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. PERSHING 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 CF A PER OPTION CONTRACT CASH PAYMENT. RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR BEST ESECIMON: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER INSPECTION 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 SIZE. AND TO EXECUTE THEM AT OR BETTER THAN • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE PATERNAL 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 NFORMATON STATEMENT TO YOU: USE THAT CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX 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 ABILITY 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 CR 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 AF-CnrIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE NDEBTED TO PERSHING LLC ('PERSHING') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FCR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. VVITHOUT 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 IN SUCH ACCOUNTS; ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEBTED TO PERSHNG FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ME 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 /MOP THE ABOVE TERNS AND CCHOITIONSAFtE UNACCEPTABLE TO YOU. PLEASE MOTET PERSTIM ILINEMATELY N WHIMS BY CERTIFIEDME TO ONE PERSHING PULA JERSEY CITY.NJ Ora AMP LEGAL DEPT Page 7 of 7 Account Mum bed Riled [...ingot • 97 44:C 4 MAO ROIL Go paperless tray Year UM, TOOT ettetwerrittreetnet " IOW MANTAS RATED COANAANGATIONS f4444TH MOT SDNY_GM_00049220 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67e)r EPSC ONF DE ANTIAL DB-SDNY-0012044 EFTA_00159829