EFTA01383941.pdf

Begin forwarded message: From: Stewart Oldfield ‹ > Subject: SF OTC trade on the books Date: February 6, 2019 at 12:10:25 PM EST To: Richard Kahn <II > Rich, Please see below. You have one outstanding OTC position on, which should be straightforward to unwind. Note that it is hedging a bond you own. Thanks From: Davide-A Sferrazza Sent: Wednesday, February 06, 2019 12:05 PM To: Stewart Oldfield Subject: Southern Financial OTC trade on the books Stew, Southern Financial LLC (account ) holds EUR 2.5mm face of COFP 4.407 08/06/19: MARKET POSITION FX PRICE VALUE RATE POSITION TRADE DATE (POSITION (POSITION (TO VALUE QUANTITY DESCRIPTION CUSIP CCY) CCY) USDE) (USDE) TYPE CASINO, GUICHARD-PERRACHON SA ISIN#FR0011301480 4.407% 2,500,000.0000 08/06/19 REG DTD 08/03/12 N/C F1413LCN4 99.6200 ., 400,500 00 1.14070 .',1`.10.9 I =15 CORPORATE We executed a EURUSD forward (v/d 06 Aug 19) that is still on the books. MtM is $87k in favor of client, per latest valuation statement: <irnage004.jpg> Southern Financial LLC (account ) holds 100k shares of AAPL and some cash from dividends as collateral for OTC trades: MARKET POSITION TRADE PRICE VALUE POSITION DATE (POSITION (POSITION FX RATE VALUE QUANTITY SYMBOL DESCRIPTION CUSIP CCY) CCY) (TO USDE) (USDE) TYF APPLE INC 100,000.0000 AAPL COM 037833100 175.4600 ! ; 5. 46,000.00 1.00000 17,540000.00 EQI. 73,091.3300 DMA INSURED PER980411 1.0000 73,091.33 1.00000 73.091.33 MO CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0083869 CONFIDENTIAL SDNY_GM_00230053 EFTA01383941