EFTA01453726.pdf

13Ape 2014 Page 2 Of 3 Deubdie BaricA0 SOUTHERN FINANCIAL, LLC FX • Options Settlement Not.Ccy Not.Ccy Trade ID Counterparty Trade Type Trade Date Maturity Date Date NotArnt 1 1 Not.Amt 2 2 Long/ Short Opbon Style Put/ Call Strike Price MTM(USD) SOJTHERN Fi£uroCcol 21-Nov-2013 20-Nov.2014 25-Nov.2014 (1.00000900) USD 101.030.000 ?Y SHORT ELRCPEAN CALL 101 0000 :hr.-Er 70i FINANCIAL, LLC SOUTHERN EXOneBarOneT 2144e,e2013 20-Nov-2014 25-Nov-2014 91.00300) USD 0 PY LOW ELRCPEAN 0.0000 14.01724 MANUAL, LLC ou:hCp1 SOUTHERN EXOneBarOneT 21•NN-2013 20-Nov•2014 25-Nov.2014 (21,0C(1 001 USD 0 JPY LONG ELRCPEAN 0.0000 11.746 45 FINANCIAL, LLC outhOpl SOUTHERN EXOneRstOneT 21-No/-2013 20-Nov•2014 25 -Nov-2014 421.000 00) USD 0 JPY LOW ELRCPEAN 0.0030 9.74174 FINANCIAL. LLC oudhOpt SOUTHERN FtEuroOpt 31•Jen-2014 01-May-2014 07-May-2014 OOP:0.000.03J USD 1.025900.000 FY SHORT ELRCPEAN CALL 102.5000 (34,56263) FINANCIAL, LLC SCUTHERN FXDI tatCpt 13-IA3r-2014 14-Apr-2014 15-Apr-2014 (1.030.CCO 00) USD SHORT ELRCPEAN CALL 375060 0.00 FNANCIAL. LLC Subtotal. :7:: 375 40: Commodttlee • Dedvatives Long/ Not.Ccy Trade ID Counterparty Trade Type Trade Date Maturity Date Settlement Date Short Option Style Put/ Call Ref. Entity Not.Amt 1 1 Stnke Price MTM(USD) SOUTHERN FINANCIAL. Commodity 13-Mar.2014 15-tilay-2014 22 May 2014 LONG EUROPEAN WTI 100.00D 00 USD 00000 ;*?•&?.:: 47! LLC Dermative Subtotal Commodejes - Base Metal Derivatives 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) SOUP-ERN Ccomodly0pEu 03lic•21:14 Co-Dec-A)14 LE,Dec-NI4 SH • EUROPEAN CALL CU 0 7 coa COOD FINANCIAL. LLC ro BaseMelal Statement ID: 182298_20140411_201404141 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-0111514 CONFIDENTIAL SDNY_GM_00257698 EFTA01453726