EFTA00807456.pdf

Consolidated Reporting Analysis a IC A li..A P HA GR T ° AUFL). P I Report as of: 11/1:2017 Transfers Ini(Out) of Adjusted Account Account Value as Change in Account Entity Account Value as of: Account Value as of: of: Value 30-Sep-17 30•Sep•17 1-Noy-17 Haze Trust $ 18,214.501 $ $ 18,214,501 S 18.352.364 $ 137.863 Jeepers Inc. S 3.186.774 $ $ 3.186.774 S 3.227.083 $ 40.309 J Epstein VI Foundation $ 573.611 $ $ 573.611 S 566.787 $ (6,824) Southern Trust Company $ 72.563.054 $ $ 72.563.054 $ 73.722.954 S 1.159.900 Southern Financial LLC $ 112,907.197 $ $ 112.907,197 $ 121.253.715 S 8.346.518 Gratitude America - Andrew./Paula S 8,731.904 $ $ 8.731,904 S 9.177.459 $ 445.555 Pending Cash S (2.455.013) Total $ 216,177,041 $ $ 216.177,041 S 223,845,349 Apple Position $ 48,393.680 $ 52.139.700 Adjusted Account Value ex Apple $ 167,783,361 $ 167.783.361 S 171,705,649 Change USD $ 3.922,288 Change % 2.338% Asset Allocation Entity Fixed Income Equities Mutual Funds Cash Other Total Haze Trust $10.462.340 $2.279.655 S 5.610,369 $18.352,364 Jeepers Inc. $1.707/07 $1,519,376 $3,227,083 J Epstein VI Foundation $558.300 $8,487 $566.787 Southern Trust Company $34.891847 $16,871.891 $21,957,216 $73.722,954 Southern Financial LLC $29.097.243 $80,50$202 $3.016.063 $8.631,207 $121,253,715 Gratitude America - Andrew/Paula $3.336.720 $2,255.646 S 3.585,092 $9.177,459 Total $77,790,151 $100,195,040 $7,003,425 S 41,311,747 SO $226,300,362 Allocation 34% 44% 3% 18% 0% Allocation ex Apple 44% 29% 4% 23% 0% 31.Oct-17 Counterparty Exposure Report Entity Fixed Income Equities Mutual Funds Cash Other Total Deutsche Bank $42.441.881 $75,892.242 $7.003.425 S 15.628,643 $140.966,192 Merrill Lynch $7.821.029 $13,657.881 $0 $20.746,054 $42,224,965 Morgan Stanley $27.527.240 $5,46$656 $0 $4.065,050 $37.061,947 TD Ameritrade SO $5,149.499 $0 5872,000 $6.021,499 Total $77,790,151 $100,169,280 $7,003,425 $41,311,747 SO $226.274,602 EFTA00807456  EQUITY POSITIONS Trade Date Asset Description Quantity 1 Day Ch 1 Day Chng YTD Return Total Cost Current Value Earnings Cost share Last Price Gain (Loss) 6/10/15 ALIBABA GROUP HOMING 5,000 (3,439) -0.37% 110% 444,749 $920,999 11/2/2017 88.95 184.20 $476.250 9/15/17 ADVANCED MICRO DEVICE 20,000 (3,927) -1.82% -5% 260,000 $215,700 1/30/2018 13.00 10.79 -$44,300 9/29/17 BROADCOM LTD 2,000 (7,821) -150% 49% 485,729 $519,880 12/7/2017 242.86 259.94 $34.151 10(13/17 BROADCOM LTD 2,000 (7,821) -150% 49% 499,891 $519,880 12/7/2017 249.95 259.94 $19,989 9/5/14 APPLE INC 64,000 (187,975) -1.77% 45% 6,332,800 $10,627,200 11/2/2017 98.95 166.05 $4,294,400 1(11/16 APPLE INC 250,000 (734,278) -1.77% 45% 24,750,006 $41,512,500 11/2/2017 99.00 166.05 $16,762,494 3/31/11 APOLLO GLOBAL MANAGEI 263,157 50,301 0.60% 74% 4,999,983 $8,360,498 11(1/2017 19.00 31.77 $3,360,515 4(13/15 BASF SE-SPON ADR 20,000 7,500 1.35% 25% 505,150 $557,400 2/27/2018 25.26 27.87 $52,250 2(14/12 BIOGEN INC 2,095 11,769 1.77% 21% 250,455 $664,492 1/25/2018 119.55 317.18 $414,037 9/8/14 CENTENE CORP 15,550 41,963 2.80% 70% 986,497 $1,497,387 2/6/2018 63.44 96.30 $510,890 5(17/12 FACEBOOK INC-A 17,500 11,416 0.36% 57% 665,000 $3,162,425 11(1/2017 38.00 180.71 $2,497,425 2/5/14 GILEAD SCIENCES INC 5,000 551 0.15% 7% 396,407 $375,350 2/6/2018 79.28 75.07 421,057 3/7/14 GILEAD SCIENCES INC 3,100 342 0.15% 7% 246,797 $232,717 2/6/2018 79.61 75.07 -$14,080 10/24/17 GILEAD SCIENCES INC 4,400 485 0.t5% 7% 352,214 $330,308 2/6/2018 80.05 75.07 -$21,906 9(14/17 QUALCOMM INC 5,000 7,568 2.88% -17% 255,380 $262,406 11(1/2017 51.08 52.48 $7,026 9/20/17 QUALCOMM INC 5,000 7,568 2.88% -17% 259,600 $262,406 11(1/2017 51.92 52.48 $2,806 12(16/13 WISDOMTREE JAPAN HEDI 60,000 27,209 0.77% 20% 2,966,099 $3,511,200 MN/A WA 49.43 58.52 $545,101 4(13/15 VOLKSWAGEN AG-SPONS 5,000 7,800 4.00% 38% 254,306 $194,950 2/23/2018 50.86 38.99 -$59,356 9/21/17 VOLKSWAGEN AG-SPONS 24,000 37.440 4.00% 38% 819,535 $935.760 2/23/2018 34.15 38.99 $116,225 Total Southern Financial LLC - Equities (DB) 574.663.458 $28,932,860 Trade Date Asset Description Quantity 1 Day Ch 1 Day Chng YTD Return Total Cost Current Value Earnings Cost Last Price Gain(Loss) 1/16/01 ASCENA RETAIL GROUP IN 50.500 (3.407) -3.61% -70% 1.074.468 $94,435 11/30/2017 21.28 1.87 -$980.033 928/13 SANGAMO THERAPEUTICS 40,000 (28,582) -6.14% 282% 337,771 $465,548 11/9/2017 8.44 11.64 $127,777 1(16/14 FOUNDATION MEDICINE IN 37,290 (107,687) -6.89% 137% 946,683 $1,562,391 11(1/2017 25.39 41.90 $615,708 9/18/17 BRUNSWICK CORP 5,000 4,476 1.74% -5% 268,638 $257,650 1/25/2018 53.73 51.53 -$10,988 9/21/17 BRUNSWICK CORP 10.000 8,953 1.74% -5% 545,928 $515,300 1/25/2018 54.5928 51.53 -$30,628 10/27/17 BRUNSWICK CORP 5.000 4,476 1.74% -5% 250,000 $257,650 1/25/2018 50.0000 51.53 $7,650 9/29/17 CAVCO INDUSTRIES INC 3.300 (3,116) -0.61% 56% 491,700 $514,635 11/6/2017 149.00 155.95 $22,935 10/20/17 GENERAL ELECTRIC CO 25.000 (1,446) -0.29% -35% 576,880 $502,550 1(19/2018 23.08 20.10 .$74,330 10/21/17 GENERAL ELECTRIC CO 25.000 (1,446) 0.29% -35% 551,000 $502,550 1(19/2018 22.04 20.10 -$48,450 10/31/17 GENERAL ELECTRIC CO 25.000 (1.446) 0.29% -35% 503,450 $502,550 1(19/2018 20.14 20.10 -$900 Total Southern Financial LLC Equities (TD) $5 175 259 4371 258 Trade Date Asset Description Quantity 1 Day Ch 1 Day Chng YTD Return Total Cost Current Value Earnings Cost Last Price Gain (Loss) 7/18/16 BARCLAYS PLC-SPONS AD 100,000 I $ (12.828) -1.32% 1t% $ 805,096 $971,000 2/22/2018 8.05 9.71 $165.904 8(11/17 ADVANCED MICRO DEVICE 12,000 $ (2,356) -1.82% -5% $ 144,486 $129,420 1/30,2018 12.04 10.79 -515.066 7/11/17 NETEASE INC-ADR 2,000 $ (11,026) -2.00% 30% $ 617,135 $552,590 11/15/2017 308.57 276.30 464545 7/18/16 CREDIT SUISSE GROUP-SF 100,000 $ (10,923) -0.70% 19% $ 1.137,626 $1,561,000 11/2/2017 11.38 15.61 $423.374 Total Southern Trust Co. Equities (MS) $3 214 010 $509,667 Trade Date Asset Description Quantity 1 Day Ch 1 Day Chng YTD Return Total Cost Current Value Earnings Cost Last Price Gain/(Loss) EFTA00807457  7/20,17 TEFtADYNE INC 20,000 $ (16,471) -1.96% 67% $ 704.832 $841.000 1/24/2018 35.24 42.05 $136,168 6/2017 FINANCIAL SELECT SECTC 20,000 $ 500 0.09% 16% $ 487.600 $532300 #NIA N/A 24.38 26.63 $44.900 8'2117 FINANCIAL SELECT SECTC 80,000 $ 2.002 0.09% 16% $ 2.023.688 $2.130.000 #NIA NIA 25.30 26.63 $106.312 8/23,17 INC-ADR 10.000 $ 4.400 1.16% 49% $ 419.639 $379350 11113/2017 41.96 37.96 -$40.089 9/29,17 INC-ADR 20.000 $ 8.801 1.16% 49% $ 759.182 $759.100 11113/2017 37.96 37.96 -$82 6/817 ON SEMICONDUCTOR COF 12.000 $ (4.941) -1.97% 64% $ 200.038 $250.800 11/6/2017 16.67 20.90 $50.762 4/4/17 ING GROEP .-SPONSOF 25.000 $ 1.253 0.27% 38% $ 373.500 $464.250 11/212017 14.94 18.57 $90.750 1aim 7 NETEASE INC.ADR 2.000 $ (11.026) -2.00% 30% $ 542.688 $552.590 11/1512017 271.34 276.30 $9,902 1014/17 CAESARS ENTERTAINMEN 20,000 $ 501 0.19% 53% $ 269.000 $259300 11/1/2017 13.45 12.98 -$9,500 10/13117 CAESARS ENTERTAINMEN 10,000 $ 250 0.19% 53% $ 120.985 $129.750 11;1/2017 12.0985 12.98 $8,765 10/10/17 C.M. ROBINSON WORLDWI 10,000 $ 2.005 0.25% 9% $ 780.265 $787.300 1/30/2018 78.03 78.73 $7.035 10124/17 FIRST REPUBLIC BANKICA 1,000 $ (656) -0.68% 6% $ 97.300 $96.740 1/12/2018 97.30 96.74 -$560 11/1/17 BRINKER INTERNATIONAL 10,000 $ 23.347 7.10% -32% $ 329.145 $329.000 11;1/2017 32.91 32.90 -$145 9122/17 Eurostoxx Market Plus Note ( 2.500,000 73.5% barrier/Mar22ncl '191 2300.000 $2.610.111 #N/A N/A 3.541.42 1697.40 $110,111 10/24/17 SX7E Market Plus Note (18 n 3.000,000 72% barrier/Apr24 '19 fix 3.000.000 $2.992.940 Field Not Appl 135.98 135.66 -$7.060 Total Southern Trust Co. - Equities (Merrill) $13,115,131 $507,270 . I • a • • • . • • . . . . . . 9'26,16 COLONY NORTHSTAR INC- 73,315 $ 6,275 0.69% -5% $ 928.837 $906340 11/8/2017 12.67 12.37 $22.297 9123,16 SEQUENTIAL BRANDS GRC 50.000 $ (4,808) -3.85% -47% $ 402.134 $125.000 1119/2017 8.04 2.50 -$277.134 312116 BANK OF AMERICA CORP 7.500 $ 188 0.09% 25% $ 100.825 $205.613 1/17/2018 13.44 27.42 $104.787 7/18116 TENCENT HOLDINGS LTD.I 12.500 $ 13.431 2.33% 91% $ 298.878 $576.250 11/15/2017 23.91 46.10 $277.372 10123/17 GENERAL ELECTRIC CO 22.000 $ (1.272) -0.29% -35% $ 490.182 $442,244 1/19/2018 22.28 20.10 -$47,938 Total Gratitude America. LTD - Equities (MS) $2,255,646 $34,790 • IP • • • • 0 • • a • • • 10,30,15 BRISTOL-MYERS SQUIBB C 5,000 $ 1,912 0.62% 9% $ 334.712 $310,200 1; 10,2018 66.94 62.04 424,512 10,30,15 WALT DISNEY CO/THE 2.500 $ 3,627 1.46% -4% $ 285.025 $248.100 11/912017 114.01 99.24 $36,925 Total J Epstein VI Foundation • Equities (DB) $558.300 -$61,437 TOTAL EQUITIES -$870,387 $98,981,805 $29,551,892 -0.88% OPTION POSITIONS Trade Date Asset Description Contracts Strike Expiry Initial Prem Last Price Value Notional GailyLoss 9/14/17 November 17 Puts on OCOM (50) 50.00 11:1712017 $1.5442 $0.8250 -$4,125 S (250.000) $3,596 9/14/17 November 17 Calls on OCOA. (50) 52.50 11/17/2017 $1.5168 $1.8050 49,025 S (262.500) 41,441 9/2017 November 17 Puts on OCOM (50) 50.00 11/17/2017 $1.1554 $0.8250 44,125 $ (250.000) $1,652 9/2017 November 17 Calls on OCON (50) 55.00 11/17/2017 $0.8824 $0.8300 44,150 S (275.000) $262 9/2917 December 17 Puts on AVGO (20) 240.00 1205:2017 $11.9210 $4.4000 -$8,800 S (480.000) $15,042 9/2917 December 17 Calls on AVGO (20) 250.00 12115,2017 $10.3825 $173500 435.100 S (500.000) -$14,335 10/1317 December 17 Puts on AVGO (20) 240.00 12115,2017 57.8575 $4.4000 48,800 S (480.000) $6,915 10/1317 December 17 Calls on AVGO (20) 260.00 12115,2017 57.9475 $12.1000 -$24,200 S (520.000) -$8,305 EFTA00807458  9)27/17 December 17 Calls on SPY L 500 254.00 12115,2017 $2.6180 $5.5650 $278,250 S 12.700.000 $147,350 9/27/17 December 17 Calls on SPY L 620 255.00 12115,2017 $2.0900 $4.7800 $296,360 S 15.810.000 $166,780 10/24/17 December 17 Puts on GILD 1 (60) 75.00 12/15:2017 51.1898 $2.6600 $15,960 S (450.000) $8,821 10/24/17 December 17 Calls on GILD I (60) 85.00 12/15,2017 $1.3445 $0.2850 $1,710 S (510.000) $6,357 10/24/17 December 17 Puts on GILD 1 (65) 75.00 12/15,2017 $1.1812 $2.6600 $17,290 S (487.500) $9,612 10/24/17 December 17 Calls on GILD I (65) 82.50 12/15,2017 $2.0992 $05000 $3,250 S (536.250) $10,395 10/13/17 January 18 Calls on TWX US 10 100.00 1/1912018 $4.5000 $1.8600 $1,860 $ 100.000 $2,640 10/17/17 January 18 Puts on FXE US 2,600 112.00 1/1912018 $0.9000 $1.1550 $300,300 S 29.120.000 $66,300 10/2517 December 17 Puts on AMD L (300) 13.00 12/15,2017 $0.8200 $2.3250 $69,750 S (390.000) $45,150 Total Southern Financial LLC • Equity Options (DB) $670,485 $334,345 Trade Date Asset Description Contracts Strike Expiry Initial Prem Last Price Value Notional GailyLoss 10/2/7 December 17 Puts on FXE U. 3,300 111.00 12/512017 $0.6000 $0.5250 $173,250 S 36.630.000 $24,750 1012/17 November 17 Calls on F US 5,000 13.00 11/17,2017 50.1100 $0.0250 $12,500 $42,500 10/13/17 January 18 Calls on TWX US 500 100.00 1/1912018 $4.8500 $1.8600 593,0001 $ 5.000.000 1 -5149,500 10/13/17 EEM (46.66) Outperoms IWM (149.39) ATM 29 Dec-17 1.32% 1.32% $264,000 S 20.000.000 $0 I 0.312 0.316 1.021%j Total Southern Trust - Equity Options (Merrill) $542,750 4216,750 Trade Date Asset Description Contracts Strike Expiry Initial Prem Last Price Value Notional Gaiw Loss Ion 8/17 January 18 Puts on JD US (280) 37.00 1/19/2018 $1.4600 $1.8500 451.800 $ (1.036.000) $10,920 10/16/17 January 18 Calls on JD US 280 40.00 1/19/2018 $2.6768 $1.6700 $46/60 $ 1.120.000 $28,190 10/16/17 January 18 Calls on JD US (280) 44.00 1/19/2018 $1.3185 $07400 -$20.720 $ (1.232.000) $16,198 Total Southern Financial - Equity Options (ID) 425,760 •$22,912 TOTAL OPTIONS $1,187,475 $94,683 MUTUAL FUND POSITIONS Trade Date Asset Description Quantity Dividend YTD Return Current Value Cost Last Price Gain.,(Loss) 9/29117 JPMORGAN FLOAT RATE It 319,837 3.87% 3% $3.016,063 9.41 9.43 $6,397 Southern Financial - Fl Fund - DB $3,016,063 $6,397 Trade Date Asset Description Quantity Dividend YTD Return Current Value Cost Last Price Gain.,(Loss) 1)2213 JPMORGAN FLOAT RATE It 241,745 3.87% 3% S2,279,655 10.01 9.43 -$140,212 Haze Trust - Ft Fund - DB $2,279,655 4140,212 Trade Date Asset Description Quantity Dividend YTD Return Current Value Cost Last Price Gain.,(Loss) 2'13,13 JPMORGAN FLOAT RATE it 181,093 3.87% 3% $1,707,707 10.00 9.43 -$103,223 EFTA00807459 Jeepers - Fl Fund - DB $1,707,707 -$103,223 TOTAL FUNDS $7.003.425 -$237,038 Open MTM as of 31st October 2017 ex Apple $7,840,612 Realized Gains $ (643,547) Open MTM ex Apple $8,352,643 Change from October 31st $ 528,374 EFTA00807460  FIXED INCOME POSITIONS Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gaine(Loss) Return 5I0II 3,000.000 JPMORGAN < 7.90% Field Not Appl 4130/2018 2.44% $111.27 102.65 $1.536.929 $3.081,475 ($258.458) $1.278.471 Total Haze Trust - $1000 Plds(DB) $3,081,475 ($258,458) $1.278.471 Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gaini(Loss) Return 10128114 49.033 CITIGROUP I 5.80% Field Not Appl 4/22/2018 2.28% $24.08 25.48 $214,267 $1,249,116 $68.377 $282.644 10129/14 150.967 CITIGROUP I 5.80% Field Not Appl 4/22/2018 2.28% $24.31 25.48 $659,105 $3.845.884 $175.454 $834.559 213114 79.000 CITIGROUP I 6.88% Field Not Appl 11/1512023 4.17% $25.31 28.94 $508,529 $2,285,865 $286.446 $794.975 Total Haze Trust - $25 Plds (DB) $ 7,380,865 $ 530,277 $ 1,912,178 Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gain:(Loss) Return 1012/17 1.000.000 FRONTIER C 7.125% 3/1512019 Field Not Appl 6.53% $99.75 101.053 $5,856 $1.020,030 $11030 $18.886 9/14/17 200.000 GENERAL M( 5.750% Field Not Appl 9/30/2027 5.15% $100.00 106.8 $1,512 $214.974 $13.600 $15.112 9/15/17 1.250.000 GENERAL M( 5.750% Field Not Appl 9/30/2027 5.15% $103.50 106.8 $9.255 $1.343.585 $41.250 $50.505 10/4/17 250.000 PLAINS ALL/ 6.13% Field Not Appl 11/1512022 5.60% $100.00 101.375 $1,175 $254.416 $3.438 $4.612 1015/17 250.000 PLAINS ALL/ 6.13% Field Not Appl 11/1512022 5.60% $100.55 101.375 $1.133 $254.416 $2.063 $3.195 Total Gratitude America - Fixed Income MS $3,087,420 $73.380 $92.311 Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gain/(Loss) Return 10/19/17 10.000 TEEKAY LNG 8.50% Field Not Appl 10/1512027 8.58% $25.00 24.93 $757 $249.300 ($700) $57 TotalGratitude America - $25 Plds (MS) $ 249,300 $ (700) $ 57 Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gain/(Loss) Return 4:1514 2,000.000 NATIONWIDE 6.875% Field Not Appl 612012019 3.16% $102.00 106.0965 $488,219 $2.882,298 $81.930 $570.149 Total Southern Trust Co. - DB $ 2.882,298 $ 81.930 $ 570.149 GBP 1.3264 Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gain/(Loss) Return ti13117 2,650.000 LSC COMMU 8.75% 1'115,2023 10115,2019 7.85% $105.25 103.625 $185,500 $2.757,656 ($43.063) $142.438 10:1316 3,000.000 KINDRED HE 8.00% 1/1512020 Field Not Awl 7.32% $102.02 100.56 $252,493 $3.088,800 ($43.728) $208.765 10+4:17 1,000.000 PLAINS ALL,) 6.13% Field Not Appl 11/1512022 5.60% $100.00 101.375 $4,699 $1,017,663 $13.750 $18.449 EFTA00807461 Total Southern Trust Co. - Fixed Income Merrill 56,864 119 ($73.041) $369.651 Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gain,(Loss) Return 8/15/16 1.000.000 ALLERGAN P 5.50% 3/1/2018 Field Not Appl 178.73% $881.50 670.16 $66.753 $670.160 ($211.340) ($144.587) 8/15/16 1.000.000 TEVA PHARk 7.00% 12/15/2018 Field Not Appl 152.49% $901.75 286.75 $84.959 $286.750 ($615.000) ($530.041) Total Southern Trust Co. • Mandatory Converts Merrill 5956.910 ($826,340) ($674,628) Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gain,(Loss) Return 7127115 40.000 CHARLES SC 6.00% Field Not Appl 12/1/2017 .0.25% $27.65 25.37 $ 136.110 $ 1,014,600 $ (91.400) $ 44.710 6/6/17 40.000 NGL ENERG' 9.00% Field Not Appl 7/1/2022 9.621% 25 24.43 $ 36,493 $ 977,200 (22,800) $ 13.693 8/4/16 8.000 SEASPAN CC 7.88% Field Not Appl 8/11/2021 8.272% 25 24.32 $ 19,590 $ 194,560 (5,440) $ 14.150 1(19116 120.000 WELLS FARC 5.70% Field Not Appl 3/15/2021 4.934% 25 25.78 $ 305,458 $ 3,093,600 93,600 $ 399.058 2/22/16 80.000 EBAY INC 6.00% 21,2056 3/1/2021 3.334% 25 27.005 $ 203.178 $ 2.160.400 160.400 $ 363.578 Total Southern Trust Co. - S25 Ptds MS $ 7.440.360 5 134.360 $ 835,189 Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gain (Loss) Return 8,1616 500.000 ETRADE FIN 5.88% Field Not Appl 9/15/2026 4.93% $100.00 106.75 $35.572 $537,667 $33,750 $69,322 10/11/16 2.500.000 E'TRADE FIN 5.88% Field Not Appl 9/15/2026 4.93% $104.925 106.75 $155,325 $2,688,333 $45,628 $200,953 11(10(15 5.000.000 ROYAL BK St 3.66% Field Not Appl 9/30/2027 3.81% $105.976 97 $361,495 $4,867,260 ($448,817) ($87,322) 42159 5.000.000 GOLDMAN S. 0.05375 4N/A Field No #VALUE! 3.76% $100.687 105.927 $648,682 $5.425,500 $262,004 $910,686 5/14/15 3.000.000 CAPITAL ONI 5.55% Field Not Appl 6/1/2020 3.36% $100.327 105.37 $411,460 $3,231,400 $151.281 $562,741 Total Southern Trust Co. - $1000 Weis MS $16.750.160 $43,846 $1,656,380 Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gain,(Loss) Return 1 101 1 2,000,000 BANK OF AM 8.13% Field Not Appl 5/15/2018 1.74% $102.75 103.25 $1,107,226 $2.140.833 $10.000 $1.117.226 4;3113 300,000 BARCLAYS B 7.75% 4/10/2023 4/10/2018 2.27% $100.00 101 5106.568 $304,485 $3.000 $109,568 8(6/15 3,000,000 CITIGROUP I 5.95% Field Not Appl 8/15/2020 3.70% $100.00 105.524 5400.036 $3.204.395 $165.714 $565.750 12/3/15 2,469,000 GENERAL EL 4.00% Field Not Appl 6/15/2022 4.19% $88.09 100 $189,132 12.506.858 $293.984 $483.116 6(15/11 2,500,000 JPMORGAN 7.90% Field Not Appl 4/30/2018 2.44% $107.50 102.65 $1.261295 12.567.896 ($121.250) $1,140,045 6/15(11 2,500,000 JPMORGAN 7.90% Field Not Appl 4/30/2018 2.44% $107.00 102.65 $1,261,295 $2,567,896 ($108.750) $1,152,545 5/21/13 1,903,000 LLOYDS BAN 7.50% Field Not Appl 6/27/2024 4.79% $102.39 115.35 $635,420 $2,209,383 $246.611 $882,030 1/30(12 3,000,000 SOUTHERN 6.25% Field Not Appl 2/1/2022 3.26% $99.87 111.806 $1,079,795 $3.402,097 5358.043 $1.437.838 10/3(17 1,000,000 FRONTIER C 7.125% 3/15/2019 Fiekl Not Appl 6.53% $100.10 101.053 $5,661 11.020,030 59.530 $15.191 10111/17 1,000,000 FRONTIER C 8.500% 4/15/2020 Field Not Appl 9.18% $98.75 99.04 $4,890 $994,650 52.900 $7.790 10/18/17 1,000,000 SERVICEWV. 7.250% 3/1/2038 Field Not Appl 7.06% $104.00 104 $2,781 11.052,486 $0 $2.781 10119/17 350,000 SERVICEWV. 7.250% 3/1/2038 Field Not Appl 7.06% $104.00 104 $904 $368,370 $0 $904 EFTA00807462  10/20/17 80,000 SERVICEMA5. 7.250% 3/112038 Field Not Appl 7.06% $104.00 104 $191 $84.199 $0 $191 10/31/17 70,000 SERVICEM/V. 7.250% 3/112038 Field Not Appl 7.06% $104.00 104 $14 $73.674 $0 $14 10/24/17 2,000.000 EXELA INTEF 10.000% 7/15)2023 7/15/2020 10.91% $97.025 96.313 $4,384 $1.987,927 ($14.240) ($9.856) 10/31/17 2,000,000 JBS INVESTA 7.250% 4/3/2024 4/3/2019 7.42% $99.065 99.03 $397 $1.992,683 ($700) ($303) Total Southern Financial LLC • $1000 Plds DB $26.477,862 $844.842 $6.904.828 Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gaint(Loss) Return 222/12 80,000 GMAC CAPIT 7.10% Vt5,2040 12'112017 6.79% $23.53 26.255 $808,816 $2.100,400 $217.626 $1.028442 Total Southern Financial LLC $25 Ptds DB $2.100,400 $217.626 $1.026.442 Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gaint(Loss) Return 11/19/13 562.781 Washington Mutual Mtg 20i 484.974 $518.981 Total Southern Financial LLC - Mortgages (DB) $518981 $0 SO TOTAL FIXED INCOME S77,790.151 $767,722 $13,971.028 Clean Total Galni(Loss) Return Open MTM as of 31st October 2017 $777,683 $13,967,684 Realized Gains $ 102,772 $ 313,753 Open MTM $767,722 $13,971,028 Change from October 31st -$9,961 $3,974 EFTA00807463  CLOSED EQUITY POSITIONS Trade Date Asset Description Quantity Syndicate Closing Date Total Cost Closing Value Cost Closing Px Gaini(Loss) 4+13/5 ALLIANZ SE-SPON ADR 5,000 N 21-Sep-17 $ 90.056 $110.733 18.01 22.15 $20.677 4/20115 ADVERUM BIOTECHNOLOGIES INC 10,000 N 21-Sep-17 $ 398,606 $32,990 39.86 3.30 -$365,616 2/1(17 BIOVERATIV INC 1,047 N 21-Sep-17 $ 20,254 359,317 19.34 56.65 $39.063 6/10(15 DISH NETWORK CORP-A 5,000 N 21-Sep-17 $ 364,978 $286,145 73.00 53.23 -$98.833 6/10(15 GLAXOSMITHKLINE PLC-SPON ADR 5,000 N 21-Sep-17 $ 215,006 $201,998 43.00 40.40 -$13,008 3131(15 WISDOMTREE INVESTMENTS INC 15,000 N 21-Sep-17 $ 324,158 $135,932 21.61 9.06 -$188,226 9/28(17 CLOUDERA INC 1,300 Y 28-Sep-17 $ 21,385 $22,685 16.45 17.45 51.300 9/28/17 PO GROUP HOLDINGS INC 6,400 Y 5-Oct-17 $ 112,000 $112,256 17.50 17.54 $256 10/13(17 REV GROUP INC 2,700 Y 1343ct-17 $ 73,575 $73,575 27.25 27.25 $0 10/19/17 MOSAIC ACQUISITION CORP 6,000 Y 18Oc1-17 $ 60,000 $60,900 10.00 10.15 $900 10/26/17 HUTCHISON CHINA MEDITECH•ADR 700 Y 26.Oct•17 $ 18,550 å2O.048 26.50 28.64 51.498 10/26/17 BP MIDSTREAM PARTNERS LP 4,300 Y 28Oc1•17 $ 77,400 $74,372 18.00 17.30 43.028 11(1/17 CONSTELLIUM NV• CLASS A 8,500 Y 1-Nov•17 $ 93,500 $96,560 11.00 11.36 $3.060 1111117 ALTAIR ENGINEERING INC • A 3,200 Y 1-Nov•17 $ 41,600 $54.884 13.00 17.15 $13,284 Total Southern Financial LLC - Equities (DB) $1 322 394 -$588,674 Trade Date Asset Description Quantity Syndicate Closing Date Total Cost Closing Value Cost Closing Px Gain (Loss) 10,6, 17 SWITCH INC - A 5.000 N 9-Oct-17 $ 119,291 598.688 23.86 19.74 -$20.602 1/16/14 FOUNDATION MEDICINE INC 12.540 N 11.Oct-17 $ 318,354 $565.231 25.39 45.07 $246,878 1/16/01 ASCENA RETAIL GROUP INC 20.000 N 20.Oct-17 $ 425,532 $40.000 21.28 2.00 $385,532 5/28/13 SANGAMO THERAPEUTICS INC 10.000 N 23.Oct-17 $ 84,443 5139.006 8.44 13.90 $54.563 Total Southern Financial LLC • Equities (ID) $842,926 -$104,693 Trade Date Asset Description Quantity Syndicate Closing Date Total Cost Closing Value Cost Closing Px Gaitt(Loss) Is Total Southern Trust Co. • Equities (MS) $0 SO Trade Date Asset Description Quantity Syndicate Closing Date Total Cost Closing Value Cost Closing Px Gahm(Loss) 9/27/17 ASCENDIS PHARMA A/S • ADR 1,000 Y 27-Sep-17 $ 35,500 $35,550 35.50 35.55 $50 9/21(17 BEST BUY CO INC 10,000 N 3-Oct-17 $ 537.882 $570,798 53.79 57.08 $32.916 10/4/17 NEWLINK GENETICS CORP 1,000 Y 5-Oct-17 $ 10.250 $11,258 10.25 11.26 $1.008 10/19/17 PATTERN ENERGY GROUP INC 5,000 Y 20-Oct-17 $ 117,000 $118,181 2140 2344 $1.181 10/26/17 ALLISON TRANSMISSION HOLDING 10,000 N 30-Oct-17 $ 408,814 $431.400 40.88 43.14 $22.586 10/26(17 ALLISON TRANSMISSION HOLDING 10,000 N 31.Op-17 $ 408,814 $431.682 40.88 43.17 522.868 Total Southern Trust Co. - Equities (Merrill) $1,598,869 $80,609 Trade Date Asset Description Quantity Syndicate Closing Date Total Cost Closing Value Cost Closing Px Gala (Loss) 10/27/16 ZTO EXPRESS CAYMAN INC-ADR 1,150 N 21-Sep-17 $ 22