EFTA01118275.pdf

Valuation Report 10/31/2015 EFTA01118275  SUMMARY OF ASSETS - OCTOBER 31, 2015 9/30/15 10/31/15 $ Asset Value Value Change Cash 160,923,083 176,705,130 15,782,047 Fixed Income 70,197,926 66,169,593 (4,028,333) Equities 44,889,217 48,766,255 3,877,038 Equity ETF's 2,919,600 3,197,400 277,800 FX - Options & Derivatives 514,684 940,579 425,895 Hedge Funds 59,590,821 63,809,984 4,219,163 Investments 35,112,996 36,362,996 1,250,000 Aviation, Automobiles & Boats 15,600,000 15,600,000 - Loans Receivable 3,832,446 3,888,446 56,000 Fine Arts, Antiques & Jewelry 9 900 000 9 900 000 0 Total Assets 403,480,773 425,340,383 21,859,610 Cash Activity - Items over 50,000 Leon to STC 10,000,000 Leon to Gratitude America 10,000,000 Redemption of Petroles De Venezuela 5% - SFL 2,500,000 Redemption of Petroles De Venezuela 5% - STC 2,000,000 TVVTR settlement - Oct 30 2015 606,081 Dividends, Interest Income & Other Distributions - per SFL stmt 414,018 Dividends, Interest Income & Other Distributions - per Haze Trust stmt 201,060 Mark Lloyd loan repayment 60,000 Paul Morris retainer (50,000) Purchase of 2016 Chevrolet Suburban (74,104) Miscellaneous (75,008) Nina Loan (100,000) Monthly Spending (1,200,000) Jawbone additional investment (1,250,000) Kellerhals Escrow - Great St James Deposit (3,000,000) Boothbay Absolute Strategies Fund LP (4,250,000) Total Cash Activity - Items over 50,000 15,782,047 EFTA01118276  Deutsche First Wells Morgan TD Asset Description Bank Bank BNP Paribas Fargo Stanley Amerande aro ls Cash Southern Trust Company Inc. 82,382.271 164,706 679 82,547,656 Haze Trust 47,373.333 47,373,333 Southern Financial LLC 29,251.848 51,584 29,303,232 Gratitude America, Ltd. 10,002,988 346 10,003,334 JEE 2,045,356 568,658 2.614,014 Enhanced Education 1,694.489 36,081 1.730,570 LSJELLC 90.118 382.788 199,985 672.891 Financial Strategy Group LLC 485,846 485,848 NES LLC 410,647 410,647 Jeepers Inc. 297,786 222 298,008 Zorro Development Corp 174.781 92,134 266,915 Laurel Inc. 171,789 171,789 Hyperion Air LLC 164.790 164,790 Neptune LLC 159.270 159,270 JEGE LLC 122,201 122,201 JEGE Inc. 99,120 99,120 Cypress Inc. 90,169 90,169 FT Real Estate 61,797 61,797 Nautilus Inc. 40,347 40,347 JEE - Paris (US $) 39,580 39,580 Thomas World Air LLC 26,925 26,925 Freedom Air Petroleum 23,442 23,442 Ma le Inc. 19,486 19,486 Michelks Transportation Co LLC 14,410 14.410 Plan 0 LLC 10,100 10,100 LSJ LLC 5,150 5,150 IGO Company LLC 990 990 FSF LLC 493 493 The JEE Life Ins Trust #3 206 206 Mort Inn 3 3 Butterfly Trust 0 0 Total Cash 174,279,107 Z093,644 39,580 292,119 679 51,584 176,705,130 EFTA01118277  Purchase Quantity 9/30115 10431(15 Unrealized Asset Description Dab Cost Value Value Gain (Loss) Haze Trust - FixedIncome Bank of America 8.125% Pfd 12/29/2049 05/10/11 3.000000 3.389.821 3 226 406 3 236,416 -153,205 JP Morgan CFINTOT.§5115kriara:049 05/10/11 3,00000 — 3. 15.000 3,111,000 -120,M (payment Inc 1025% 5/15/2018 10/02/12 500,000 libillil 9.312 494,219 517,382 48,076 JPM Tr Flt Rate-IncomeFir( 01/22/13 223,443.678 2.250, 6 JoortFC2100,371 -150,197 Citibank Preferred Ser C 5.8% 10/28/14 49,033.00 1,180.739 1,221,412 1,230,233 49,494 Citibank Preferred Ser C 5.8% 10119/14 156,967.00 3,670:435 3,780,588 3,767)47 917,317 Citibank Preferred Sat K 6.875% S12224) 2/3 0.00 1.999A19 2.106.930 3.3Z21§2 il tall Total Haze Trust- Fixed Income 16,298,048 16,121371 16,164,801 -133,239 Southern Trust Co. - FixedIncome fray Financlal 8.6% Pfd Ser A 6/11/13 57.000 1 429,418 1 478 010 1 464 900 35,483 Nationwide Society 6.875% GBP callable 6/20/2019 4/15/14 2 000 000 3,439,193 3,034,330 3,190,573 -248,620 Petioles De Venezuela 5% 10/28/15 9/17/13 2.000,000 _2=222 - 9 Total Southern Trust Co. -MadIncome 4,868.611 6,53%582 4,655,473 -213,1341 Southern Trust Co. - FixedIncome Morgan Stanley) cremes Schwa 6.0% Prelatical $25 par 7/27/15 40,000 1,000.000 toorn,4o6 Goldman Sachs 5.376% Fixed to 5-10-2020 then 392.2 over 3 mo lbo 6/4/15 5,000,000 5,034,346 5,001,605 5 174693 140,347 Capital One 5.5.5%Fled to 9-1-2020 then 380 over 3 mo Ilbor 5/14/15 3.000,000 1009.81.9 3.0 5 400 3.08 056 77 Total Southern Trust Co. - FixedIncome gingen Stanley) 9,044,165 9,033,805 9,298,119 253,9115 Jewers - Fixed income JPM Trust FIT RT Income ca 02/13/13 107,383.160 1.682.951 1,573,735 1,573,402 -109,549 Total Jeepers - FixedIncome 102,951 1,573,735 1,573,402 -109,549 i'ilhern Financial LLC - Fixed income Bank of America 8.125% Pfd Dec 29 2049 1/10/11 2,000.000 2,055,000 2,150,938 2,082,680 27,680 Barclays Bank PLC 7.75% 4/10/2023 413/13 300.000 300.000 332,354 327,231 27,231 Citigroup Inc - ncariN eri 8/6/15 3,000.000 3,000,006 2,982,550 3,031201 33,285 Earthlink Inc 8.875WINFIg 2019 10/22/12 148,000 149.924 155,239 158,720 6798 Earthlink Inc 8.875% May 15 2019 10/23/12 600.000 615,580 637,969 644,054 28,474 Frontier Communkalions 8.5% 4/15/2020 74/15 3,000.000 3.101-.600 3,034.375 3,101,333 -60,287 General Electric Cap Corp 7.125% Dec 15 2049 6/27/12 2.000 000 2090 012 2,351,563 2,403 833 313,821 JP Morgan Chase 6 Co FM 7.9% April 30 2049 6/15/11 2, ,00 270700 2,679.167 2.597n JP Morgan Chase & Co PE.9% AO 30 2049 6/15/11 2,_500.000 2,675,000 2,679,167 2,597,500 -n 500 LBG Capital 12/29/49 5/21113 3 Offboo 3,237,600 3,524,362 3,421,684 174,184 Lloyds Bank 9.875% 12/16/2021 5/10/12 1.500,000 1,604,647 1,749,529 1,757,808 153 160 Petroles De Venezuela 5% 10/26/2015 9/16/13 2.500,000 2,53T.-628 - 0 Southern Cal Edison 6.25% Dee 31 2049 1/30/12 3,000.000 2,994623 3,368,229 3,384,375 369,552 My Financial Pf —T -Caiiiiile 2/3/12 46,600 90318 1,208.338 1,197,620 294,40 Ally Financial Pfd Set A Callable 2/9/12 W 000 1,610,000 2,074,400 2,056,000 446,000 GMAC Cap TR I GTD Pfd Sec Ser 2 8 2/22/12 80.000 1,882,774 2,042.400 2,066,400 183626 Royal Bank Scotland Group PLC 7.25% Ser T 10/24/12 40,000 951600 1,009,200 1,0197200 67,800 Royal Bank Scotland Group PLC 7.25% Ser I- 1/7/13 40.000 995,200 1,009,200 1,019,200 24,000 Royal Bank Scotland Group PLC 7.25% Seri 1/14/13 40,000 977.5 1 009 200 1 019 20Q 41.600 Total Southern Financial LLC- FixedIncome 31,901,964 36,332,207 33,885,821 1,963,848 Southern Pinang's! LLC - Fixed Moor; (asset backed securities) ("snoops Mungtoriritual as Mtg 2 el CBI var 7/25/2033 11/19/13 695.959 e AnMja347 _ 592.131 51606 Wut Ti ln-emfiThinneome (asset backed-securities) 532,523 593,247 592,131 59,608 TOTAL FIXED INCOME 64,328,281 70,197,926 66,169,583 1,841,312 Note: a) Accrued interest has been Included in month end fixed Income values 6) All assets are held at DB with exception of trc account at Morgan Staniar EFTA01118278  Purchase Quantity 9130/15 10/31M6 Unrealized Asset Description Date Cost Value Value Gain (Loss) Southern FinancialLLC - Equities Morn Inc. 6/10/15 5.000 142,525 133,700 -1W516 Alibaba Gros 6/10/16 6,000 444 749 294.850 419,150 -25 599 Allianz SE ADR 5.0430 9 7&73 88,015 -2,041 Apple Inc 14,000 1,058.121 1,544,200 1,973,000 614,880 Apple Inc 21,200 shares were moved to mar in accoun 9/ 150,000 14.842.506 16,545,00}) 17,925,000 3,082,494 &bolo Global na nt 3/31/11 283,157 4,999,983 4,521037 4,807,878 -192,105 Mad Pharmaceu Inc 2/14/12 7,535 114,597 if4r) 4' 51,539 -63.058 Mad Pharmaceuticals Inc 1/24/13 9,000 176,400 52,560 61,560 -114,840 Ascena Retail Group Inc. (Formerly Dress Bam 1.3.11) 1/16/01 70.500 1,500,000 980,655 939,060 -560,940 Avalanche Biolechnologres 4120116 10.000 398.60d 82,400 84.300 -314.306 BASF ADR 4113/15 5 000 508.056 381.310 411,650 -96 406 Bank of New York Mellon 8/25114' 250.000 9.070.406 9,87,500 10,412,600 1,336,094 Slogan Ides Inc 2/14/12 2.095 250,455 611,342 608,618 35561163 Dish Network Coop 8110115 5;530 364.978 291,700 314,860 -so.128 Facebook Inc 5/17/12 17,500 665.000 1,573.250 1,784,475 1,119,476. Foundation MedicineTac 1/16/14 49,830 1,265.037 919.364 1.117,189 -141,648 General Motors Co 12/9/10 97,525 3,585,947 2,927 701 3,404,598 -181 350 General Electric Co 4/.13/13 23.000 496.109 maw 665,160 iso.vsi Gilead Sciences Inc 2/5/14 5000 396,407 490,950 540,650 144,243 Gilead Scenes Inc Trill MOO 246,791 304.389 335,203 88.406 Glaxo Smith Kline PLC 6/10/15 5 000 215,006 192 250 215,300 294 Global Partner AcquisiTh r eintorp 7n6 20.000 1480 20,160 160 GoDaddy Inc. 4/1/15 700 14.000 17,647 19,238 5,238 Health Net Inc 9/8/14 25,000 1,174.506 1,505,500 1,606.500 431,994 Mol:ii i W Amstelveen OM Share* 8/1/14 800 20,000 36.384 36,416 16 416 Regan* Inc (Morgan Stanley) 9/16/15 2.000 44.060 - 0 Sangarno Biosciences Inc 5/28/13 50.000 422,214 282.000 352,500 -69,714 Santander Consumer USA 1/26114 1.000 24.000 20,420 18,010 -5,990 Terrafonn Global 7/31/15 400 6.000 2.684 3,052 -2,948 Twitter Inc 11/7/13 1,500 39,000 40410 42,690 3,690 Viacom Inc 8/10/15 5,000 338,745 215.76b 246,550 -92,195 Volkswagen AG 4/13/15 5 000 254,306 117 150 139,295 -115,011 Wisdomtree Investments Inc 3/n30/ 41 45 7_09 Total Southern Financial LLC - Equities 43,586,350 44,889,217 48,766,255 5,199,905 Southern Financial LLC - Equity ElF's Wisdomtree Japan Hedged Equity 12/16/13 60,000 2,966,099 2,919,600 3,197,400 231,301 Total Southern FinancialLW - Equity ETPS 2,966,099 2,919,600 3,197,400 231 M1 unrealized Southern Financial LLC - FX Options & DanVatIves gain / W2t3b Bra r eip Y2b20 1/13/15 10,000,000 491,941 1 393.791- 11217,646 725,105 Euro Sold call 1.1565 and bought put 1.05 exp1/4/2016 7/2115 25 000 000 0 -95,509 29,191 X191 Euro Sold call 1.114 ty7d ht put 1.04 exp 174/2016 7/2/15 —Ritt10 -6 0 -155.325 49,184 49,184 TWTR Call Sold at Initial Sinks 38.9982 Exp 1/27/2018 1/27/16 3.896,620 100,000 notonal -674,767 -389,983 -389,963 Bought 1200.03%0X JP.' Sold 11.540.400.000 IMO WM 112/2016 10/30/15 'CANNMNno 0 0 0 European Ca on Dsersion Grp 12/1612015 Mt% 11.15% Mar 2.4% 1/30/15 4,166,000 LOOS_ _46A99 - 35.142 44.656 Total Southern Financial LLC - FX Options & Derivatives 591,941 514,684 940,579 348,638 EFTA01118279  9/30115 10/31/15 MTD YTD Asset Description Value Value Return Return Notes Hedge Funds - Southern Financial(SFLLC) 60:154 ]mm 043 Boothbay Multi-Strategy Fund 32.010.621 36 356 653 0.30% 8.41% **kW 7mm 741 Total Hedge Funds - SF LLC 32.010,621 36,356,653 ,seed 7.5mm 141 •dSd 546ml/1140 Hedge Funds - Haze selde01.25mon 1041 King Street 27.580.200 27 453 331 -0.48% -1.97% Hedge Funds - Haze 27.580,200 27,453,331 Total Hedge Funds 59,590,821 63,809,984 SFL Mort Southern Asset Description Inc. JEE Trust IGO LLC Jeepers Investments SR. Kyara I (repaid 100 cost + 201k profit? 0 Kyara II (at cost) 250,000 Kyara III (at cost) -> 483,915 repaid 8/5/2015 16,085 Kyara IV (at cost) 250,000 Neoteny 3 1,000,000 Jawbone Investment (grat at cost) 11,250,000 AYH Marina (value per jee) 1,000.000 sic Adfin Solutions (at cost) 875,000 124 Parc Moceau - Palm Beach (at cost + 71,513 re taxes) 4,940,911 Coinbase sTC 3,001,000 Reporty via Ergo Ltd 1,000,000 Velar Global Fund II (at cost basis) 6,300.000 FIRE Park Partners LLC - 320 East 82nd Street 3,480,000 Paid Contract to Purchase 2 Kean Court Livingston, NJ 3,000,000 Totals 11,250,000 7,480,000 9,691,085 3,001,000 4,940,911 Total Investments 36,362,996 Hyperion JEGE JEGE Asset Description Air LLC LLC Inc Various Totals Aviation, Automobiles & Boats 2001 Bell 430 N331JE (ins value) 2,500,000 2,500,000 1988 Gulfstream G-IV N212JE (insurance value) 6,500,000 6,500,000 1968 Boeing 727 N908JE (Insurance value) 3,000,000 3,000,000 Deposit on BBJ Serial No. 29273 / YG008 2,000,000 2,000,000 Automobiles 900,000 900,000 Boats 700,000 700,000 Total Aviation, Automobile & 2,500,000 6,500,000 3,000,000 3,600,000 15,600,000 Boats EFTA01118280  Asset Description JEE SFL Totals Loans Receivable Larry Delson 100,000 100,000 Nina Keith 100,000 100,000 Mark Lloyd 116,000 116,000 Larry / Eileen Visoski 225,000 225,000 Johnny O'Sullivan 22,446 22,446 Harlequin Dane, LLC 2,000,000 2,000,000 Coatue Ente ri es LL 1,000,000 1,000,000 325,0QQ 325,000 Total Loans Receivable 888,446 3,000,000 3,888,446 Enhanced Asset Description Education JEE JEE Various Totals Fine Arts, Antiques 8 Jewelry Cello 175,000 175,000 Pagano Diamonds 500,000 500,000 32.73 Carrot Emerald Cut Diamond - Insurance value 5,400,000 5,400;000 Watches, Earring & Other 775,000 775,000 Fine Art Schedule 3,050,000 3,050,000 Total Fine Arts, Antiques & 175,000 5,900,000 775,000 3,050,000 9,900,000 Jewelry EFTA01118281