EFTA01365925.pdf

Trades Not Settled Settlement Trade Activity Arzrued Settlement Date Date Type Description Quantity Price Interest Amount 07101115 06/26115 Buy XACTLY CORP COM 600 000 8 0000 0.00 .4 800 00 PROSPECTUS UNDER SEPARATE COVER 07106115 06130115 Sell TRANSUNION COM -300.000 25.2603 0.00 7 521 96 COM UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 07/06/15 06130/15 Sell XACTLY CORP COM 400.000 8.5886 0.00 5 097 10 UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT Total Amount of Trades Not Settled $7,819.06 Client Service Information Your Client Advisor: DAN DAMS. SABBA 345 PARK AVENUE 26TH FLOOR NEW YORK NY 10154 Your Account Information 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: Treat all interest as original issue discount (OID): No Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Ratable 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 inform ation. Important Information and Disclosures Pricing This section includes the net market value of the secunties 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 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 "Wand are omitted from the Total. 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 rehable; 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 Page 18 0121 wasE•cani Go paperless rDvlav ALOAR RATWne• .."0117 SO t•ThERA FINANCIAL LLC 04K A.00t.0" on.raity xatiCNC? ED COMMUNICATIOMS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0057348 CONFIDENTIAL SDNY_GM_00203532 EFTA01365925