EFTA01499681.pdf

SOUTHERN FINANCIAL LLC ACCT. For the Period 9/1113 to 9/30/13 Notes: • Transaction Market Value is representative of the prior trading day's 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 9/25 Free Delivery FACEBOOK INC-A ASSET TRANSFER TO A/C W92099-0 (17,500.000) (847,875.00) SOUTHERN FINANCIAL, LLC AS OF 09/25/13 665,000.00 (ID: 30303M-10-2) 9/25 Free Delivery GMAC CAPITAL TRUST I PFD 511C 8 1/8% ASSET (80,000.000) (2,144,000.00) TRANSFER TO A/C W920990 SOUTHERN FINANCIAL, 1,882,773.60 LLC AS OF 09/25/13 (ID: 361860-20-8) 9/25 Free Delivery GENERAL ELECTRIC CO ASSET TRANSFER TO NC (23,000.030) (559,360.00) W92099-0 SOUTHERN FINANCIAL LLC AS OF 09/25/13 496,109.08 (ID: 369604-10-3) 925 Free Delivery GENERAL ELEC CAP CORP 7.125% DEC 15 2049 DTD (2,000,000.000) (2,193,080.00) 06/12/2012 ASSET TRANSFER TO NC W92099-0 2,122,916.67 SOUTHERN FINANCIAL, LLC AS OF 09/25/13 (ID. 369622-SN-6) 9/25 Free Delivery GENERAL ELEC CAP CORP 5.250% 12/31/2049 DTD (1,400000.000) (1296,696.00) 05/29/2013 ASSET TRANSFER TO NC W92099-0 1,400,000.00 SOUTHERN FINANCIAL, LLC AS OF 09/25/13 (ID: 369622-ST-3) 9/25 Free Delivery GENERAL MOTORS CO CV PFD B ASSET TRANSFER TO (71,000.000) (3,591,180.00) NC W92099-0 SOUTHERN FINANCIAL LLC AS OF 3,585,969.22 09/25/13 (ID: 37045V-20-9) 9/25 Free Delivery HEADWATERS INC 7.625 04/01/2019 DTD 03/11)2011 (1,000,000.000) (1,055,000.00) ASSET TRANSFER TO NC W92099-0 SOUTHERN 1,035,000.00 FINANCIAL, LLC AS OF 09/25/13 (ID: 42210P-AD-5) 9/25 Free Delivery JPMORGAN CHASE & CO 7.9% PFD six APR 30 2049 (5,000,000.000) (5,519,050.00) DTD 04/23)2008 ASSET TRANSFER TO NC W92099-0 5,498,006.95 SOUTHERN FINANCIAL, LLC AS OF 09/25/13 (ID: 4662511-HA-1) J.P Morgan Accot - a. age 20 of 34 Consolidated Statement Page 23 Confidential Treatment Requested by JPMorgan JPM-SDNY-00023475 Chase CONFIDENTIAL SDNY_GM_00292673 EFTA01499681