EFTA01499744.pdf

SOUTHERN FINANCIAL LLC ACCT. For the Period 10/1/13 to 10/31/13 Trade Date Type Per Unit Rutted Sett* Date Selection Method Description Quantity Amount Proceeds Cost Gain/Loss Settled Sales/Maturities/Redemptions 9/27 Sale ENDURO ROYALTY TRUST G 13.00 65.000.00 (5.000.000) 12.96 64,796.86 (69,250.00) (4,451.14) Se 10/3 Hugh Cost BROKERAGE 200.00 TAX 8/OR SEC 1.14 J.P. MORGAN SECURITIES (SC (ID: 29269K-10-0) 9/27 Sale RINGCENTRAL INC-CLASS A 0 17.50 8,750.00 (500.000) 17.46 8,729.84 (8,500.00) 2,229.84 S* 10/3 High Cost BROKERAGE 20.00 TAX 8./OR SEC .18 J.P. MORGAN SECURITIES LLC (10: 76680R-20-6) 9/27 Sale UIL HOLDINGS CORP Q 36.9992,475.00 BROKERAGE (2,500.000) 38.949 92,373.39 (93,125.00) (751.61) S' 10/3 High Cost 100.00 TAX SJOR SEC 1.61 J.P. MORGAN SECURITIES LLC (ID: 90274840.2) 9/27 Sale VIOLIN MEMORY INC 0 7.50 3,750.00 BROKERAGE (500.000) 7.46 3,729.93 (4,500.00) (770.07) S* 10/3 High Cost 20.00 TAX tWOR SEC .07 J.P. MORGAN SECURITIES LLC (ID: 92763A-10-1) 10/4 Principal Payment CHASE MORTGAGE FINANCE CORPORATION REMIC (33,380.430) 100.00 33,380.44 (29.541.80 3,838.76 S 10/4 Pro Rata 2007-A1 CL 2A4 2.99199% 02/25/2037 DTD 02/01/2007 PAYMENT NC PRINCIPAL AS OF 09/25113 (ID: 161830-AK-4) 10/21 Principal Payment SEQUOIA MORTGAGE TRUST 11 CL B1 VAR RT (4,262.130) 100.00 4,282.13 (3,143.32) 1,118.81 S 10/21 Pro Rata 12/20/2032 UM 10/3042002 PAYMENT NC PRINCIPAL (ID: 81744A-AB-4) 10/16 Sale SEQUOIA MORTGAGE TRUST 2004-7 CL B1 VAR RT (2,931,416.407) 70.00 2,051,991.49 (1,964,049.00) 87,942.49 S 10/21 High Cost 08/20/2034 DTD 07/29/2004 0 70.00 JP MORGAN SECURITIES LLC (BIDL) FACE VALUE 8,900,000.00 (ID: 81744F-DB-0) 10/17 Sale KINDRED HEALTHCARE INC 8 1/4% JUN 01 2019 DTD (2,000.000.000) 107.40 2,148,000.00 (1,966,250.00) 77,750.00 L 10/22 High Cost 06/01/2011 0 107.40 JP MORGAN SECURITIES LLC 99,697.92 S (BIDL) (ID: 494580-AB-9) 4,302.08 0 10/25 Principal Payment COUNTRYWIDE HOME LOANS 2CO3-1 CL B1 5.750% (8.321.510) 100.00 8,321.51 (7.947.04) 374.47 S 10/25 Pro Rata 03052033 DTD 01/01/2003 PAYMENT NC PRINCIPAL (ID' 126890-YS-1) JP Morgan Account Page 20 of 30 Consolidated Statement Page 23 Confidential Treatment Requested by JPMorgan JPM-SDNY-00023545 Chase CONFIDENTIAL SDNY_GM_00292743 EFTA01499744