Case LSS Doc 1509 Filed 10/31/18 Page 1 of 5

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1 Case LSS Doc 1509 Filed 10/31/18 Page 1 of 5 Debtor's Name: Bank: Texas Capital Bank Bankruptcy Number: , et al. Account Number: XXXXXX2774 Account Type: Operating Beginning Cash Balance: $ 2,427, Internal transfer of funds from PTL Trust account: $ Total of cash available: $ 2,427, professionals: $ (100,604.18) Loss from Litigation (settlement or otherwise): $ All other disbursements made in the ordinary course: $ (316,210.92) Total Disbursements $ (416,815.10) Ending Cash Balance $ 2,010, , et al.

2 Case LSS Doc 1509 Filed 10/31/18 Page 2 of 5 Debtor's Name: Bank: Texas Capital Bank Bankruptcy Number: , et al. Account Number: XXXXXX2766 Account Type: Distribution Beginning Cash Balance: $ Internal transfer from PTL Oper TCB bank account: $ Total of cash available: $ professionals: $ All other disbursements made in the ordinary course: $ Total Disbursements $ Ending Cash Balance $ , et al.

3 Case LSS Doc 1509 Filed 10/31/18 Page 3 of 5 Debtor's Name: Penson Liquidating Trust Bank: Texas Capital Bank Bankruptcy Number: , et al. Account Number: XXXXXX2782 Account Type: Distribution Beginning Cash Balance: $ 7,665, Interest earned on PTL Trust account: $ 6, Total of cash available: $ 7,672, professionals: $ Internal transfer of funds to PTL Operating account: $ All other disbursements made in the ordinary course: $ Total Disbursements $ Ending Cash Balance $ 7,672, Penson Liquidating Trust , et al.

4 Case LSS Doc 1509 Filed 10/31/18 Page 4 of 5 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE In Re: Chapter 11 Penson Worldwide, Inc. Case No (PJW) Debtors Appendix A Debtors Listing and Fees Due PostConfirmation Quarterly Disbursements (1) Company Legal Name Case No. 7/1/18 9/30/18 Fee Due Penson Worldwide, Inc (PJW) $ (80,816.32) $ SAI Holdings, Inc (PJW) $ (206,357.06) $ 1, Penson Financial Services, Inc (PJW) $ (128,991.72) $ UST Quarterly Fee Schedule $ (416,165.10) $ 3, As of January 1, 2018 Disbursement Range Quarterly From To Fee $ $ 14, $ Total Enclosed $ 3, , , , , , , , Disbursements by Account 225, , , Account Number: XXXXXX2774 $ (416,815.10) 300, , , Account Number: XXXXXX2766 $ 1,000, or more 1% or $250K max Account Number: XXXXXX2782 $ Account Number: XXXXXX6053 $ Account Number: XXXXXX6061 $ $ (416,815.10) (1) (1) The quarterly disbursements shown above are based on disbursements directly on behalf of each Debtor, regardless of the actual account from which the disbursements were made. Certain amounts disbursed by in the report period were made on account of other debtorentities whose chapter 11 cases were closed prior to the report period. As a result, total disbursement in the report period are higher than the disbursements on which US Trustee Fees are calculated for the report period.

5 Case LSS Doc 1509 Filed 10/31/18 Page 5 of 5 Consolidated Balance Sheet (Cash Basis) As of September 30, 2018 Consolidated Assets Cash (Unrestricted) 9,001, Cash (Restricted; Funds held in PTL Reserve) 681, Cash (in Escrow for Distribution) Accounts Receivable (Net) Inventory Other Assets 6,435, Total Current Assets 16,118, Property, Plant & Equipment Real Property & Improvements Machinery & Equipment Furniture, fixtures & Office Equipment 102, Vehicles Leasehold Improvements Less: Accumulated Depreciation/Depletion Total Property, Plant & Equipment Due from Affiliates & Insiders Other (Attach List) Total Assets 16,220, Liabilities Not Subject to Compromise (Postpetition Liabilities) Accounts Payable Taxes Payable Notes Payable Professional Fees Secured Debt Due to Affiliates & Insiders Other (Attach List) Total Postpetition Liabilities Liabilities Subject to Compromise (Prepetition Liabilities) Secured Debt Per Plan Priority Debt Per Plan Unsecured Debt Per Plan 242,663, Other (Attach List) Per Plan Total Prepetition Liabilities Total Liabilities 242,663, Equity Contributed Capital (218,516,913.65) Retained Earnings (13,452,051.73) Net Income 5,525, Total Equity (Deficit) (226,443,489.23) Total Liabilities & Owners' Equity 16,220,144.81