EFTA01499766.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 DEUTSCHE BK AG LDN BRH DER LONG ETN38 PERSHING (50,000.000) (431,500.00) & COMPANY TRADE DATE 10/11/13 CLIENT REF 352,529.00 105664157 (ID: 25154H-55-8) 10(11 Free Delivery EARTHLINK INC 87/8% MAY 15 2019 DTD 05/17/2011 (1,000,000.000) (974,600.00) PERSHING & COMPANY TRADE DATE 10/11/13 CLIENT 1,033,500.00 REF 105664157 (ID: 270321-AC-6) 10/11 Free Delivery FACEBOOK INCA PERSHING & COMPANY TRADE DATE (17,500.000) (358,375.00) 10/11/13 CLIENT REF 105664157 (ID: 30303M-10-2) 665,000.00 10/11 Free Delivery GMAC CAPITAL TRUST I PFD STK 8 1/8% PERSHING & (80,000.000) (2,144,000.00) COMPANY TRADE DATE 10/11/13 CLIENT REF 1,882,773.60 105664157 (ID: 381860-20-8) 10111 Free Delivery GENERAL ELECTRIC CO PERSHING & COMPANY TRADE (23,006000) (557,750.00) DATE 10/11/13 CLIENT REF 105684157 496,109.08 (ID: 369504-10-3) 10/11 Free Delivery GENERAL ELEC CAP CORP 7.125% DEC 15 2049 DTD (2,003,000.000) (2,182,620.00) 08/12/2012 PERSHING & COMPANY TRADE DATE 2,122,916.67 10/11/13 CLIENT REF 105664157 (ID: 369622-SN-6) 10/11 Free Delray), GENERAL ELEC CAP CORP 5.250% 12/31/2049 DTD (1.400.000.000) (1,298.024.00) 05/29/2013 PERSHING & COMPANY TRADE DATE 1,400,000.00 10/11/13 CLIENT REF 105664157 (ID: 369622-ST-3) 10/11 Free Delivery GENERAL MOTORS CO CV PFD B PERSHING & COMPANY (71,000.000) (3,546.876.00) TRADE DATE 10/11/13 CLIENT REF 105664157 3,585,969.22 (ID: 37045V-20-9) 10/11 Free Delivery HEADWATERS INC 7.625 04/01/2019 DTD 03/11/2011 (1,000,000.000) (1,055,000.00) PERSHING & COMPANY TRADE DATE 10/11/13 CUENT 1,035,000.00 REF 105664157 (ID: 42210P-Ai3-5) J.P.Morgan Account age 11 of 16 Consolidated Statement Page 45 Confidential Treatment Requested by JPMorgan JPM-SDNY-00023568 Chase CONFIDENTIAL SDNY_GM_00292766 EFTA01499766