EFTA01465326.pdf

JE Positions Account Short Name: HAZE Account # • N4G024943 Symbol CUSIP Sec. Description Quantity Position Val. Sec. Type Position Held Close Price DBDA MMFDBDA INSURED DEPOSITS PROGRAM 6666012.77 6666012.77 MONEY FUND 1 JPM.KPC 46625HHA1 JPMORGAN CHASE & CO DEP SHS REPSTG 1/10TH PFD SER 1 FIXED TO FLTG RATE 7.900% 12/01/99 B/E DTD 04/23/08 CLB CLB 04/30/18 @100.000 3000000 3330000 CORPORATE BOND USD 111 0605050T8 BANK AMER CORP PERP NON COMULATIVE DEP SHS FIXED TO FLOAT 8.125% 04/30/58 B/E DTD 04/30/08 CLB CLB 05/15/18 @100.000 3000000 3330000 CORPORATE BOND USD 111 OHYFX 4812C0803 JP MORGAN HIGH YIELD FUND SELECT CLASS 328409.897 2696245.25 MUTUAL FUND USD 8.21 JPHSX 48121L510 JP MORGAN FLOATING RATE INCOME FUND SELECT SHARES 204650.163 2064920.15 MUTUAL FUND USD 10.09 BTU.GF 704549AE4 PEABODY ENERGY CORP SR NT 7.375% 11/01/16 B/E DTD 10/12/06 N/C 1200000 1347000 CORPORATE BOND USD 112.25 KND.AC 494580AB9 KINDRED HEALTHCARE INC 8.250% 06/01/19 B/E DTD 06/01/11 CLB CLB 06/01/14 @106.188 1000000 1076250 CORPORATE BOND USD 107.625 IPMT.AA 46262EAE5 IPAYMENT INC GTD SR NT 10.250% 05/15/18 B/E DTD 11/15/11 CLB CLB 05/15/15 @105.125 500000 377500 CORPORATE BOND USD 75.50 Total Brokerage SUM(E4:E11)=2.0887928169999998E7 Checking Account 42953256 Money Market 44129543 Account Short Name: JEEPERS Account # N4G024935 Symbol CUSIP Sec. Description Quantity Position Val. Sec. Type Position Held Last Price3 DBDA MMFDBDA INSURED DEPOSITS PROGRAM 3.687323828E7 3.687323828E7 MONEY FUND 1 JPHSX 48121L510 JP MORGAN FLOATING RATE INCOME FUND SELECT SHARES 153304.813 1545312.52 MUTUAL FUND USD 10.08 Total SUM(E19:E20)=3.8418550800000004E7 Checking Account 42953002 Money Market 44129455 Account Short Name: STC Account # N4G023812 Symbol CUSIP Sec. Description Quantity Position Val. Sec. Type Position Held Last Price3 Estimated Value DBDA MMFDBDA INSURED DEPOSITS PROGRAM 1665418.15 1665418.15 MONEY FUND 1 ALLY PRB 02005N308 ALLY FINL INC PERP PFD FIXED/FLTG RATE SER A CALLABLE 57000 1535010 PREFERRED STOCK USD 26.93 HBC3981011 40432)(032 HSBC USA INC MEDIUM TERM NTS BRAZILIAN REAL RELATIVE TO USD 0.000% 03/27/14 B/E DTD 03/20/13 N/C 1000000 1000000 CORPORATE BOND USD 0 813900 HBC3990776 40432XE56 HSBC USA INC MEDIUM TERM NTS BRAZILIAN REAL EFTA01465326 RELATIVE TO USD 0.000% 04/21/14 B/E DTD 04/12/13 N/C 1000000 1000000 CORPORATE BOND USD 0 838900 Total Brokerage SUM(E28:E31)=5200428.15 Checking Account 42952763 72921.98 Money Market 44129244 2.72550485E7 Total STC SUM(E32:E34)=3.2528398630000003E7 Account Short Name: SF Account # • N4G023804 Symbol CUSIP Sec. Description Quantity Position Val. Sec. Type Position Held Last Price3 DBDA MMFDBDA INSURED DEPOSITS PROGRAM 1.483122224E7 1.483122224E7 MONEY FUND 1 APO 037612306 APOLLO GLOBAL MGMT LLC CL A SHS 263157 8655233.73 COMMON STOCK USD 32.89 JPM.KPC 46625HHA1 JPMORGAN CHASE & CO DEP SHS REPSTG 1/10TH PFD SER 1 FIXED TO FLTG RATE 7.900% 12/01/99 B/E DTD 04/23/08 CLB CLB 04/30/18 @100.000 5000000 5512500 CORPORATE BOND USD 110.25 GM PRB 37045V209 GENERAL MTRS CO JR PFD CONV SER B 4 75% 71000 3584790 PREFERRED STOCK USD 50.49 ALLY PRB 02005N308 ALLY FINL INC PERP PFD FIXED/FLTG RATE SER A CALLABLE 126600 3409338 PREFERRED STOCK USD 26.93 EIX.AA 842400FU2 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 02/01/22 B/E DTD 01/17/12 CLB CLB 02/01/22 @100.000 3000000 3090000 CORPORATE BOND USD 103 RBS PRT 780097713 ROYAL BANK SCOTLAND GROUP PLC 7.25% SPON ADR REPSTG SER T PFD SHS CALLABLE ON OR AFTER 12/31/2012 @ 25 120000 2841600 PREFERRED STOCK USD 23.68 SVM3861776 81760NAN9 SERVICEMASTER CO SR NT - CUSIP FULLY EXCHANGED FROM OLD CUSIP 81760NAL3 8.000% 02/15/20 B/E DTD 02/13/12 CLB CLB 02/15/15 @106.000 2500000 2503125 CORPORATE BOND USD 100.125 060505DT8 BANK AMER CORP PERP NON COMULATIVE DEP SHS FIXED TO FLOAT 8.125% 04/30/58 B/E DTD 04/30/08 CLB CLB 05/15/18 @100.000 2000000 2230000 CORPORATE BOND USD 111.50 GE3864337 369622SN6 GENERAL ELEC CAP CORP NON CUM PFD SER A 7.125% 06/12/62 B/E DTD 06/12/12 CLB CLB 06/15/22 @100.000 2000000 2195000 CORPORATE BOND USD 109.75 ALLY PRA 361860208 GMAC CAP TR I GTD TR PFD SECS SER 2 8 125% FIXED RATE / FLTG 80000 2149600 PREFERRED STOCK USD 26.87 ASNA 04351G101 ASCENA RETAIL GROUP INC COM 70500 1374045 COMMON STOCK USD 19.49 369622ST3 GENERAL ELEC CAP CORP PERP PFD SER C FIXED TO FLTG 5.250% 06/03/63 B/E DTD 06/03/13 CLB CLB 06/15/23 @100.000 1400000 1319500 CORPORATE BOND USD 94.25 JPM 46625H100 JP MORGAN CHASE & CO COM ISIN#U546625H1005 21753 1179230.13 COMMON STOCK USD 54.21 HW3692321 42210PAQ5 HEADWATERS INC GTD SR NT 7.625% 04/01/19 B/- E DTD 03/11/11 CLB CLB 04/01/15 @103.813 1000000 1060000 CORPORATE BOND USD 106 ELNK.AA 270321AC6 EARTHLINK INC GTD SR NT FULLY EXCHANGED CUSIP FROM 270321AB8 8.875% 05/15/19 B/E DTD 05/17/11 CLB CLB 05/15/15 @104.438 1000000 972500 CORPORATE BOND USD 97.25 EFTA01465327 FB 30303M102 FACEBOOK INC CL A 17500 913675 COMMON STOCK USD 52.21 JPM4031737 48126HAA8 JPMORGAN CHASE & CO 6.000% 09/01/88 B/E DTD 07/29/13 N/C 750000 716250 CORPORATE BOND USD 95.50 SGMO 800677106 SANGAMO BIOSCIENCES INC COM 50000 588500 COMMON STOCK USD 11.77 GE 369604103 GENERAL ELECTRIC CO COM 23000 567640 COMMON STOCK USD 24.68 BIIB 09062X103 BIOGEN IDEC INC COM 2095 517676.595 COMMON STOCK USD 247.101 DAG 25154H558 DEUTSCHE BK AG LONDON BRH DB AGRIC DOUBLE LONG TRADED NT 50000 436500 COMMON STOCK USD 8.73 BCS3990764 06739FHK0 BARCLAYS BK PLC CONTINGENT CAP NT ISIN#US06739FHK03 7.750% 04/10/23 B/E DTD 04/10/13 CLB CLB 04/10/18 @100.000 300000 314625 CORPORATE BOND USD 104.875 BDRBF 097751200 BOMBARDIER INC CLASS B 20000 96582 COMMON STOCK USD 4.8291 ARIA 04033A100 ARIAD PHARMACEUTICALS INC 16535 74407.50 COMMON STOCK USD 4.50 Total Brokerage SUM(E40:E64)=6.1133540195E7 Checking Account 42952771 329920.88 Money Market 44129252 Total SF SUM(E65:E66)=6.1463461075E7 Account Short Name Personal Account # N4G024968 Checking Account 35266976 Total JE 2540324.34 Money Market 37992955 All Brokerage SUM(E65,E12,E21,E32)=1.25640447315E8 All Accounts 1.542114397E8 Yet to Come Over Account Number Account Name Description Ticker Cusip Trade Date Quantity Local Price Base Price Local Trade Date Cost Local Trade Date Market Value ISIN W92099006 SFLLC JPM VALUE ADVANTAGE FD - INSTL FUND 1400 JVAIX 4812A2587 78709.17 0 26.23 2000000 2064541.53 US4812A25875 W92099006 SFLLC JPM LATIN AMERICA FD - SEL FUND 3815 JLTSX 4812A3478 49504.95 0 19.06 1000000 943564.35 US4812A34786 Confidential EFTA01465328 Sheet1 SFLLC Fixed to Float SUM('JE Positions'!E42+'JE Positions'!E44+'JE Positions'!- E45+'JE Positions'!E48+ 1JE Positions'!E49+IJE Positions'!E50+ 1JE Positions'!- E52)+'JE Positions'!E57=20622188 B2/$B$12=0.33733017806952803 Cash 'JE Positions'!E40=1.483122224E7 B3/$B$12=0.24260368682546898 Core Equities SUM('JE Positions'!E41+ 1JE Positions'!E56+IJE Positions'!- E59)+'JE Positions'!E53+ 1JE Positions'!E51=1.268982386E7 B4/$565512=0.20757547852656302 Preferreds SUM('JE Positions'!E43+'JE Positions'!E46)=6426390 B5/$B$12=0.10512052761056365 High Yield Bonds 'JE Positions'!E47+'JE Positions'!E54+'JE Positions'!E55=4535625 B6/$B$12=0.07419208809979828 Biotech Equities SUM('JE Positions'!E64+ 1JE Positions'!E60+ 1JE Positions'!E58)=1180584.095 B7/$B$12=0.019311561071618716 DAG 'JE Positions'!E61=436500 B8/$B$12=0.0071401067009644655 BCS CoCo 'JE Positions'!E62=314625 B9/$B$12=0.005146520207997583 Other Equties (Bombardier) 'JE Positions'!E63=96582 B10/$B$12=0.001579852887497251 SUM(B2:611)=6.1133540195E7 B12/$B$12=1 JPM Funds Latam Equities JLTSX Value Fund EFTA01465329