EFTA01453720.pdf

11: iv- 2:'4 Paw 2 Of 3 Deutsche Bank AG SOUTHERN FINANCIAL, LLC 8X • Options Settlement Not. Ccy Not Ccy Trade ID Counterparty Trade Type Trade Date Maturity Date Date NotAmt 1 1 Not.Amt 2 2 Long/ Short Option Style Put/ Call Strike Price MTM(USO) 36636443$, SCYJTHERN F)£uroCcil 21-Nor-2013 204Io/.2014 2541oir.2014 (1.000.000 001 USN 101,000,000 JPY SHORT EUROPEAN CALL 101.0000 :2 422, C7i 710423459 FINANCIAL. LLC 366364436I SOUTHERN EXOneBerOneT 2144w-2013 20-Nov-2014 25-Nov-2014 (21.00300) USD 0 JPY LONG ELFtCPEAN 0.00W 14 283 27 710423461 FINANCIAL, LLC ouchCpl 366364436/ SOUTHERN FXOneBarOna 21-No4013 20-Nov-2014 25-Nov-2014 (21,000 001 USD 0 JPY LONG EIRCF£AN 0.0000 1196842 710423463 FINANCIAL, LC outhOpt 366364436! SOUTHERN EXOneBanOneT 21-Nor-2013 20-Nov-2014 25-Nov-2014 421.000 001 USD 0 JPY LONG EURCPEAN 0.0030 992406 710423465 FINANCIAL. LLC cerhOpt 381388504/ SOUTHERN F*uroOpt 31-Jen-2014 0I-May-2014 07-May-2014 (10,000.000.00) USD 1,025,000.000 FY SHORT EUROPEAN CALL 102.5000 (31.222f..2. 745730011 FINANCIAL, LLC 390850729i SOUTHERN FXDitalalCpt 13-M3r-2014 14-Apr-2014 15-Apr-2014 (1.000.0:0 001 USD SHORT EURCPEAN CALL 375860 ;.17 t . • 767041028 FINANCIAL. LLC Subtotal: Commodities -Derivatives 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 Stake Price MTM(USO) 390%2915r SOUTHERN FINANCIAL. Commodity 131idar•2014 15-May-2014 22-May•2014 10110 EUROPEAN WTI 100.COD 00 USD 00000 - .,141. I'n 211e. .. , 767318425 LW Derivatbe Subtotal Commodities • Base Metal Derivatives Long! NotCcy 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) 395494367/ SOUTHERN Canmodity0pEu 03-Apr.2014 05•Dec•2014 05-Dec-2014 SHORT EUROPEAN CALL XCU (1: 7:t) 1,C, 3.:, USC •5;:,7 V725 0 7 000 OM CI:, 7 .1' .1 111 778125355 FINANCIAL. LLC ro BaseMetal Statement ID: 182298_20140410_20140411 1 The valuation informatron set forth in thrs 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-0111507 CONFIDENTIAL SDNY_GM_00257691 EFTA01453720