EFTA01454092.pdf

30Apr 2014 Pape 2 Of 2 Muted* BSc AO SOUTHERN FINANCIAL, LLC FX • Oplions Settlement Not. Coy Not Coy Trade ID Counterparty Trade Type Trade Date Maturity Date Date NotAnit 1 1 Not.Amt 2 2 Long/ Short Option Style Put/ Call Strike Price MTM(USD) SOUTHERN ExEurcepl 21-Nov-2013 2040%42014 25-Nov-2014 (1.000 COD Tr)I USD 101.000.000 JPY SHORT EUROPEAN CALL 1010000 :•2• 10:3". ) FINANCIAL. LLC SOUTHERN FXOneBanDneT 21-Nov-2013 20-Nov-2014 25-Nov-2014 (21.00000) USD 0 JPY LONG EUROPEAN 0.0003 11.995 79 FINANCIAL. LLC otchOpt SOUTHERN FXOneBarOneT 21-No/-2013 2011ov.2014 25-Nov-2014 (21,M0 COI USD 0 JPY LONG EUROPEAN 0.000D 9,70633 FINANCIAL. LLC ouchOpt SOUTHERN EXOneganOneT 21-Nov-2013 20-Nov.2014 25.Nov.2014 (21.000 WI USD 0 JPY LONG EURCPEAN 0.0000 7,766 12 FINANCIAL. LLC ouchOpt SOUTHERN ExEuroOpl 31-Jan-2014 01-May-2014 07-May-2014 (10.CCO.CO3 COI USD 1.025.000.000 JPY SHORT EURCPEAN CALL 1025000 :.6.76441) FINANCIAL. LLC Subtotal: (1CO) 1:I Coaandlate • Base Neal Dadvalyas Long/ Not Ccy Price Per Trade ID Counterparty Trade Type Trade Date Maturity Date Settlement Date Short Option Style Put/ Call Ref. Entity Not Amt 1 1 Quantity Unit Unit Strike Price MTM(USD) SOUTHERN Commodly0p/Eu 03-Apr-2014 05-Dec-2014 05-Dec-2014 SHORT EURCPEAN CALL XCU (8 IDI, ..0i !AD (f..00C(M125 0 7,000 0003 (21517575! FINANCIAL, LLC ro BaseMetal Subtotal: '2 115 7':. : T4 li (222.175.87) Statement ID : The valuation information set forth in this statement is provided subject to the terms and conditions set forth in the notes on the cover sheet CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0112023 CONFIDENTIAL SDNY_GM_00258207 EFTA01454092