EFTA01376272.pdf

From: Davide-A Sferrazza Sent: 2/6/201912:04: To: Stewart Oldfiel CC: Martin Zeman fl iam Osullivan Alan Brody Subject: Southern Financial OTC trade on the books [C) Attachments: 240776_20190205_20190206_1.pdf Classification: Confidential Stew, Southern Financial LLC (account N4G023804) holds EUR 2.5mm face of COFP 4.407 08/06/19: MARKET POSITION FX PRICE VALUE RATE POSITION TRADE DATE (POSITION (POSITION (TO VALUE QUANTITY DESCRIPTION CUSIP CCY) CCY) USDE) (USDE) TYPE CASINO, GUICHARD-PERRACHON SA ISIN OFR0011301480 4407% 2,500,000.0000 08/06/19 REG DTD 08/03/12 N/C F1413LCN4 99.6200 2..19.:).Y.o.yx , 1.14070 / 840.9 I 3. :S CORPORATE DEBT We executed a EURUSD forward (v/d 06 Aug 19) that is still on the books. MtM is $87k in favor of client, per latest valuation statement: OE i•••••• 'En• .SOuni Southern Financial LLC (account N46026161) holds 100k shares of AAPL and some cash from dividends as collateral for OTC trades: MARKET POSITION PRICE VALUE FX RATE POSITION TRADE DATE (POSITION (POSITION (TO VALUE QUANTITY SYMBOL DESCRIPTION CUSIP CCY) CCY) USDE) (USDE) TYPE 100,000.0000 AAPL APPLE INC COM 037833100 175.46® 17,546,000.00 1.00000 I /.'.46.000 00 EQUITY INSURED DEPOSITS MONEY 73,091.3300 DBDA PROGRAM PER980411 1.0000 73,091_32 1.00000 73,0-91 13 FUND Client would need to unwind the FX hedge, at which point we could consolidate the Southern Financial LLC assets (i.e. move assets from the collateral account to the main trading account). Regards. Davidc CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0072261 CONFIDENTIAL SDNY_GM_00218445 EFTA01376272