EFTA01499767.pdf

SOUTHERN FINANCIAL LLC ACCT. For the Period 10/1/13 to 10/31/13 Notes: • Transaction Market Value is representative of the pnor trading days market value This is for informational purposes only and is not to be used for any financial or tax purposes. The Transaction Market Value shown is in USD Type Quantity Transaction Settle Date Selection Method Description Cost Market Value • Securities Transferred Out 10/11 Free Delivery JP MORGAN CHASE & CO PERSHING & COMPANY TRADE (21,753.000) (1,142,467.56) DATE 10/11/13 CLIENT REF 105664157 0.00 (ID: 46625H-10-0) 10/11 Free Delrvery JPMORGAN CHASE & CO VAR RT PFD STK 04/30/2049 (5.000000.000) (5,481,000.00) DTD 04123/2008 PERSHING & COMPANY TRADE DATE 5.498,006.95 10/11/13 CLIENT REF 105664157 (ID: 4662511-H41) 10/11 Free Delivery JPMORGAN CHASE & CO VAR RT 07/24/2013 DTD (750,000.000) (704.947.50) 07/29/2013 PERSHING & COMPANY TRADE DATE 750.00000 10/11/13 CLIENT REF 105664157 (ID: 48126H-AA4) 10/11 Free Delivery ROYAL BANK SCOTLAND GROUP PLC ADR (120,000.000) (2,818,800.00) NON-CUMULATIVE PERSHING & COMPANY TRADE DATE 2,924,400.00 10/11/13 CLIENT REF 105664157 (ID: 780097-714) 10/11 Free Delivery SANGAMO BIOSCIENCES INC PERSHING & COMPANY (50,000.000) (561.500.00) TRADE DATE 10/11/13 CLIENT REF 105864157 422,214.00 (ID: 800677-10-6) 10/11 Free Delrvery SERVICEMASTER COMPANY 8% FEB 15 2020 DTD (2,500.000.000) (2,468,750.00) 02/13/2012 PERSHING & COMPANY TRADE DATE 2,665,625.00 10/11/13 CLIENT REF 105664157 (ID: 81760N-AN-9) 10/11 Free Delivery SOUTHERN CAL EDISON 6 1/4% DEC 31 2049 DTD (3.030000.000) (3,103.500.00) 01/17/2012 PERSHING & COMPANY TRADE DATE 3.016.649.17 10/11/13 CLIENT REF 105644157 (ID: 842400-FU-2) 10/18 Free Delivery JPM TR I VALUE ADVANTAGE FD • INSTL FUND 1400 (78.709.170) (2.083.431.73) PERSHING & COMPANY TRADE DATE 10/18/13 CLIENT 2.000.003.00 REF 105664157 (ID: 4812A2-58-7) JP Morgan Account Page 12 of 16 Consolidated Statement Page 46 Confidential Treatment Requested by JPMorgan JPM-SDNY-00023569 Chase CONFIDENTIAL SDNY_GM_00292767 EFTA01499767