EFTA01291620.pdf

1>PutWhe Font PrIsair *Walk M.I.nOttalro4 Market Cenral< 0.08 Ontiar Oar* Se.eities esc December 1,2016 - December 31, 2018 Account Number: JEFFREY EPSTEIN 6100 RED HOOK OTRS STE B-3 ST THOM ASVI 00802-1348 Portfolio at a Glance thisPerbd Yew-to-09e Your Investment Speciakst BEGINNING ACCOUNT VALUE $669,541.06 067,317.10 ART IN ZEM AN Adjusted Previous Account Value 669,547.06 661,317.10 Dividends Interest sodality Income 255 90 2,485.86 869,802.96. Estimated Anneal Income 52.485 86 The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC) These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to allowable limits. Asset Summary Percent Asset Type Prior Year•End In Period ThisPeriod 100% Cash, Money Funds, and Bank Deposits 667.317.10 669,547.06 669.802.96 100% Account Total $667.317.10 6669,647.06 $669,02.96 Please review your allocation periodically with your Investment Specialist. Your Account is100% invested in Cash, Money Funds, and Bank Deposits. For Your Information The European Central Bank (the' ECB' ) 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 1399 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. Page 1 of 7 Rated taceilent cow tinge. holing Ilt. a Sally weed Every Vex Site 2007 subsidiary albs Bonita New York Melba DAIJAR WED COMMUNCATIM Cannatim (MY Mellott) MtnMt Penne. ux.nurte, ntitatikkaGM_00049446 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012270 EFTA_00160055 EFTA01291620  FDIC Insured Bank Deposits Date Activity Type etiolation Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Activity Ending: 2/ 31/ 76 12/01/18 Opening Balance 669547 06 669,547.06 12114/18 Deposit INTEREST CREDITED 255.90 669,802.96 APY 0.45% 12/17/18 BEAT 669.802.96 A/ 0 12/ 17 $176802.96 Citibank NA. A/0 12/ 17 $246500.00 Deutsche Bank Trst Co A/0 12/ 17 $246500.00 1213218 Closing Balance $669,802.96 Total FDIC Insured Bank Deposits $689,802.96 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (S1PC). 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 Omen Penoci Yeer4o.Dde Taxable Non Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 255 90 0.00 2,485.86 0.00 Total Dividends, Interest, Income and Expenses $255.90 $0.00 $2,485.86 $0.00 Portfolio Holdings Opening doing Accrued Income 30.0ay Desaipoon Wetly Bounce Una Income This Tem Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 100.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 669,802.960 668,547.06 669,802.96 132.12 2,485.86 NM Total FDIC Insured Bank Deposits $669,547.06 $669,802.96 $132.12 $2,485.86 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $669,547.06 $669,802.96 $132.12 $2,485.86 Page 2 of 7 Account Number Rated brae. Owing tiwonsh ',entity PC. orb* owned Every Way Slece 2007 subsidiary SIM brat axe New York Mallon DAIJARItAlED COMMUNCATIONS CA•Pwatim (MY Meta) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EXCULD4C( Penton u.c.immsentaktikrter-at 00049447 DB-SDNY-0012271 EFTA_00160056 EFTA01291621  151 Deutsche Bank December 1, 2018 - Decem ber 31, 2018 JEFFREY EPSTEIN Portfolio Holdings (continued) Acaued Whaled Mabel Value Inleresl Amid Income TOTALPORTFOLIO HOLDINGS $669,802.96 S0.00 $2.185.86 Portfolio Holdings 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. w hich 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 w hich a price is not available are marked "N/ A" and are omitted from the Total. THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY( 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 return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.coml disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically 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 w ill 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 t%, 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. 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. Messages Please note the following information for Pershing's 2018 IRSForm 1099 (B DIV, INT, M ISC and OID): Your Form 1099 will be delivered as early as possible, beginning January 31, 2019 By February IS, you will be mailed either your Form 1099 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final Page 3 of 7 Amount Number PateassaM Owing dashMang 1.1.C, a ally armed at mammans Leery YON Since 1007 wbsdlayel the lack of New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO L DAIJAR WED COMMUMCATIM CICOAD.Ct Conmerthm MIT Man) Pen/v.4C. more-ter on) DB-SDNY-0012272 EFTA_00I 60057 EFTA01291622  Messages (continued) information from issuers and trustees of securities that you hold by the as of date of the February 15 1099 mailing. You will also be sent the notice if your information is still being reviewed and finalized. The notice will inform you of the securities that are pending final reporting and provides the anticipated mail date of your 199. Your 199 will be mailed no later than M arch 15.2019. Although a money market mutual fund seeks to preserve the value of your investment at Si 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 10 b-10( b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). For disclosure of rates for DW S money market funds, please visit the DW S Investments website at hftps://www.dws-investments.com/ EN! products/ money-m arket-funds-yields jsp Please note that all money market funds listed on the website may not be offered through us. Activity Summary (All amounts shown are ns base currency) Credits Mrs Perla Debits ThIsPerlod Net TIOsPerlorl aides Yea-to.Date Debits Year-total. Net Vear.to.Date Dividends and Interest $255 90 $0.00 $255.90 $2.485.86 $0.00 12.485 86 FDIC Insured Bank Deposits $0 .00 4255.90 -S255.90 $0.00 42.485.86 42.485 86 Totals $255.90 4255.90 $0.00 $2,485.86 42.485.86 $0.00 Transactions by Type of Activity Rouse Trade Settlement Teansaction Ode Dale Activily Type Desolation Quantity Price Acaued Stunt Amount Currency Dividends and Interest 12117118 12114118 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 255.90 USD DEPOSITSINTEREST RECBVED PER980411 Total Dividends and Interest - U.S. DOLLARS 0.00 255.90 FDIC Insured Bank Deposits 12/17118 12114118 FDIC INSURW BANK INSURED DEPOSITS IN TERM REINVESTED -255.90 USD DEPOSITSINTEREST REINVESTED PER980411 Total FDIC Insured Bank Deposits-U.S. DOLLARS 0.00 -255.90 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Page 4 of 7 Accout Number Raul(mint Owing engemholingPIC. °okay owned bay Yew Shwa 20C/7 subsidiary a The Unit of New York Melba OMAN/ RAM COMMJNICATIONS CoWatimi (MY Meta) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- UMW<C Penne. LIX. 'newt*, AliitagaGM_ 00049449 DB-SDNY-0012273 EFTA_00160058 EFTA01291623  Deutsche Bank December 1, 2018 - Decem ber 31, 2018 JEFFREY EPSTEIN Client Service Information Vow Investment Specialist ZEM toms information N N Telephone Number: Your Account Information INVESTMENT OBJECTIVE Investment Objective: GROW TH Investment Objective: INCOM E Please review your investment objective. If you wish to make a change or have any questions please contact your Investment Specialist. 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 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 corn munications for electronic delivery. To register and turn off paper corn munications, log in to your account or contact your Investment Specialist for more information. Important Information and Disclosures 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 (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its 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. • 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, Page 5 of 7 Account Number Rated Cacellent ClestingewochpenlingaCesballysioncil Every Yew Sect 1007 subsidiary el The Unit of New York Mellon DALIN,ItAlID COMMUNCATIONS CA•Pontim (MY Meta) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EXCLUD4C( POnhe. uE. IMMIX! FIlltallAtira°® DB-SDNY-0012274 4945° EFTA_00160059 EFTA01291624  Important Information and Disclosures (continued) The Role of Pershing (continued) if any, to you and in general, 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 =MM. 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 irst 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 (SIPCO). 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: www 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 statem ent. to your financial organization and Pershing. Please be advised that any oral communication should be reconfirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be • t page of this statement. Pershing's contact information is as follows: Pershing US, 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 filed. • Arbitration awards are generally final and binding; a party's ability 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 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 Isms of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City. New Jersey 07399: Page 6 of 7 Account Number. RalwAssant Omens Sough AmbitsLa.nil* owned A: C tl !CS (my Vex Since 2007 subsItliNy an. Unita New York NAN DAIJAR MUD CONVOCATIONS ONNatiN (MY MAN) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- CULDCI Penn.'s U.C.nwrte MillAttlAtea DB-SDNY-0012275 00049451 EFTA_00160060 EFTA01291625  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 SHALL 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. DECALS • 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 AVAILABLE 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 DO 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: WWVO.PERSHING COINDISCLOSURES TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN CONIPUTNG 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 IRE-GULATON MPS- FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S RULE 607W(1)-(l1 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 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 PREVIOLSLY FURNISHED TO YOU. PLEASE CONTACT YOUR SUBSEQUENT EXECUTION. THE DETAILS 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 OOMBNED STATEMENT OF TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHNG 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 EMOTION: 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 SIZE. AND TO EXECUTE THEM AT OR BETTER THAN • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE NTERNAL THE NATIONAL BEST BID OR OFFER INBBO). 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 NFORMATION 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 ABLITY TO PROVCE • 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-errIATEID 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 N ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. 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 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 ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED CR PLEDGED BY PERSHING, EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABILITIES TO PERSHNG. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. F /MOE 1NE ABOVE TERMS AND =MAIMS ARE UNACCEPTABLE TO YOU. PLEASE NOTIFY PERE:4140 MISSMATELY N WRI11/1G BY CERTIFIED PAUL TO ONE PERSNSIG MAD. JERSEY CITY. NJ 0729S. ATM LEGAL DEPT Page 7 of 7 Amount Number bledEacellent Clearing el•C•le.Pelbeg LLC, a wholly owned nemItSx:ts Every Yew Since 1007 subs:Weft or The Sant of New Tod; Mellon CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L DAILY)RATED COMMUNICATICOS EXCELLENCE Cerporatine Pe.*w. (MY Mellon) Ellift,AckklYLIS,Mi )0049452 DB-SDNY-0012276 EFTA_00160061 EFTA01291626  I5I Deutsche Bank Deut“he UM Private NeS4h Miangeneol Minn, tom.ge &out Oventhe Uri Setwitlan Mc new ran Pace MS het Awns/. nth Mar Now alb TON Ora OliNct Novem ber 1, 20 18 - N ovem ber 30, 2018 Account Number: JEFFREY EPSTBN 6100 RED HOOK QTRS STE 8-3 ST THOM ASVI 00802-1348 Portfolio at a Glance MisPertori Year-to-Dd. Your Investment Specialist: BEGINNING ACCOUNT VALUE $669,291.27 $667,317.10 M ARTI I II it Adjusted Previous Account Value 669,291.27 667,317.10 Dividends, littered and Other Income 255.79 2,229.96 Estimated Anneal Income 52,229.96 The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC) These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to allowable limits. Asset Summary Percent Add Type Prior Yearad Led Period This Period 100% Cash, Money Funds, and Bank Deposits 667.317.10 669.291.27 669.547.06 100% Account Total $667.317.10 $669,291.27 $669,547.06 Please review your allocation periodically with your Investment Specialist. Your Account is 100% invested in Cash, Money Funds, and Bank Deposits. For Your Information The European Central Bank (the' ECB' ) 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 1399 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. Page 1 of 6 Rated[Keirm Owing throne.PenhitgIlt. a wally craned EvereawSime2007 subsidiary of The Bonita New York Mellor. DAUNRWEDC0NNUNCATI0N5 Colnatkol (MY Meta) EXCUOKt Penne. ll.C.rnterter Filitkflikkeptt000ttsoss CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012277 EFTA_00160062