EFTA01449584

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 Gaut Loss Settled Sales/Maturities/Redemptions as Sale QUALITY DISTRIBUTION INC § 8.97 4.485.00 (500.000) 8.93 4,464.92 (4.300.00) 164.92 S Si 4 High Cost BROKERAGE 20.00 TAX 8/OR SEC .08 J.P. MORGAN SECURITIES LLC (ID: 523 Sale TO REVERSE ENTRY OF 05/29/2013 ZIONS 1,500,000.000 100.875 (1,513,125.00) 1,500,000.00 (13,125.00) V ails High Cost BANCORPORATION VAR RT 1231/2049 DM 05(21/2013 e 100.875 JP MORGAN SECURITIES LLC (BIDL) AS OF 05/29/13 (ID: 5/23 Sale ZIONS BANCORPORATION VAR RT 12/31/2049 DM (1,500,000.000) 100.625 1,509,375.00 (1,500,000.00) 9,375.00 WI 8/15 High Cog 05121/2013 0 100.875 1,513,125.00 BROKERAGE 3,750.00 JP MORGAN SECURITIES LLC (BIDL) (ID: 8/12 Sale CLIFFS NATURAL RESOURCES CV PFD 7% e 22 033333 (6.000 000) 21.993 131,967.69 (150,000.00) (18.042.31) S 8/15 High Cost 132,200.00 BROKERAGE 240.00 TAX &'OR SEC 2.31 J.P. MORGAN SECURITIES LLC (ID: 8/13 Sale LAREDO PETROLEUM HOLDINGS IN 0 23.621028 (9.000 000) 23.581 212,225.55 (213,750.00) (1,524.45) S 8/19 High Cost 212,589.25 BROKERAGE 360.00 TAX 8/OR SEC 3.70 J.P. MORGAN SECURITIES LLC (ID: 8/14 Sale NORTHERN TIER ENERGY LP ft 22.30 89,200.00 (4,000.000) 22.26 89,038.44 (91,400.00) (2,361.56) S 8/19 High Cost BROKERAGE 160.00 TAX 8/OR SEC 1.56 J.P. MORGAN SECURITIES LLC (ID 8/14 Sale ZIONS BANCORPORATION VAR RT 09/29/2049 DTD (50,000.000) 100.05 50,025.00 (50,000.00) 25.00 S 8/19 High Cost 08/13/2013 0 100.10 50,050.00 BROKERAGE 25.00 JP MORGAN SECURITIES LLC (BIDL) (ID: 8/20 Ptincipal Payment SEQUOIA MORTGAGE TRUST 11 CL B1 VAR RT (4,763.530) 100.00 4,763.53 (3,513.10) 1,250.43 S 8/20 Pro Rata 12/20/2032 DTD 10/302032 PAYMENT NC PRINCIPAL (ID: J.P Morgan Account Page 27 of 48 Consolidated Statement Page 30 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0105036 CONFIDENTIAL SDNY_GM_00251220 EFTA01449584