EFTA01449583

SOUTHERN FINANCIAL LLC ACCT. For the Period 8/1/13 to 8/31/13 Trade Date Type Settle Date Selection Method Description Per Unit Realized Quantity Amount Proceeds Cost Gain Loss Settled Sales/Maturities/Redemptions 5/23 Sale IMPAC CMB TRUST SER 2005-2 CL IM1 VAR RT 8/8 High Cost 04/25/2035 DTD 03/03/2035 et 78.126S MORGAN SECURITIES LLC (BIDL) FACE VALUE 10,000,000.00 (ID: 45254N-NB-9) (1,580,099.390) 78.125 1,234,452.68 (1,1(0,069.20) 128.383.46 S. 8/7 Sale ALLISON TRANSMISSION HOLDING 0 22.50 45,000.00 (2,000.000) 22.46 44,919.21 (44,000.00) 919.21 S 8/12 High Cost BROKERAGE 80.00 TAX SJOR SEC .79 J.P. MORGAN SECURITIES LLC (ID: 01973R-10-1) 8/8 Sale ADVENT SOFTWARE INC e 28.10 28,100.00 BROKERAGE (1.000 000) 28.06 28,059.51 (27,000.00) 8/13 High Cost 40.00 TAX 8/OR SEC .49 J.P. MORGAN SECURITIES LLC (ID. 007974-10-8) St Sale DCT INDUSTRIAL TRUST INC (4 7.27 29.08000 (4.000 000) 7 23 28,919.49 (28,800.00) 8/13 High Cost BROKERAGE 160.00 TAX 8/OR SEC .51 J.P. MORGAN SECURITIES LLC (ID: 233153-10-5) 8/8 Sate MR AUCTION SERVICES INC@ 25.8605 25.860.50 (1,000.000) 25.82 25,820 05 (25,000 00) 8/13 High Cost BROKERAGE 40.00 TAX 8/OR SEC .45 J.P. MORGAN SECURITIES LLC (ID: 48238T-10-9) 8/8 Sale DCP MIDSTREAM PARTNERS LP • 50.040107 (3,000.000) 49.999 149,997.70 (150,120.00) 8/14 High Cost 150,120.32 BROKERAGE 120.00 TAX 8/OR SEC 2.62 J.P. MORGAN SECURITIES LLC (ID: 23311P-10-0) 1,059.51 S 119.49 S 820.05 S (122.30) S 8/8 Sale INTREXON CORP 0 22.00 27,500.00 BROKERAGE 15.00 (1,250.000) 21.988 27,484.52 (20,000.00) 7,484.52 S 8/14 High Cost TAX 8JOR SEC .48 J.P. MORGAN SECURITIES LLC (ID: 46122T-10-2) 8/9 Sale NORWEGIAN CRUISE LINE HOLDIN 0 30.443 30,443.00 (1,000.000) 33.402 30,402.47 (29,750.00) 652.47 S 8/14 High Cost BROKERAGE 40 00 TAX &OR SEC .53 J.P. MORGAN SECURITIES LLC (ID. G66721.10.4) 8/9 Sale CIEP MIDSTREAM PARTNERS LP • 22.70 113,500.00 (5,000.000) 22.66 113 298 02 (105.000 00) 8,298.02 S 8/14 High Cost BROKERAGE 200.00 TAX 8/OR SEC 1.98 J.P. MORGAN SECURITIES LLC (ID: 74735R-11-5) J. P. M organ Account Page 26 of 48 Consolidated Statement Page 29 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0105035 CONFIDENTIAL SDNY_GM_00251219 EFTA01449583