EFTA01449688

SOUTHERN FINANCIAL LLC For the Period ACCT. 8/1/13 to 8/31113 Trade Date Description Per Unit Quantity Amount Market Cost Settle Date Type Settled Securities Purchased 8.14 Purchase GENMARK DIAGNOSTICS INC @ 9.84 J.P. MORGAN 1.000 000 9.84 (9,840.00) 8/19 SECURITIES LLC (ID: 372309-104) 8/14 Purchase MEDICINES CO at 30.25 J.P. MORGAN SECURITIES LLC 1,000 000 30.25 (30,250.00) 8/19 (ID: 584888-10-5) 8/14 Purchase NORTHERN TIER ENERGY LP 42 22.85 J.P. MORGAN 4,000 000 22.85 (91,400.00) 8/19 SECURITIES LLC (ID: 885828.10-3) 8/14 Purchase PENNYMAC MORTGAGE INVESTMENT TRUST @ 22.34 J.P. 4.000 000 22.34 (89.360.00) 8/19 MORGAN SECURITIES LLC (ID: 70931T-10-3) 6115 Purchase THIRD POINT REINSURANCE LTD @ 12 50 J.P. MORGAN 6000.000 12.50 (75.003.00) 8.20 SECURITIES LLC (ID. G6827U-10-01 8/15 Purchase MEDICAL PROPERTIES TRUST INC @ 12 75 J P 5.000 000 12.75 (63.750.00) 8120 MORGAN SECURITIES LLC (ID: 58463)-30.4) Total Settled Securities Purchased (52,717.730.00) Trade Dale Type Per Unit Realized Eir.Sitlle Date Selection Method Description Quantity Amount Proceeds Cost Gain Loss Pending Sales, Maturities, Redemptions 6128 Sale ZIONS BANCORPORATION VAR RT 09/29/2049 DTD (250,000.000) 100.10 250,250.00 (250800.00) 250.00 S 9/3 08/13/2013 (ID: 989701-BF-3) J. P. M organ ACOOtInt Page 31 of 48 Consolidated Statement Page 34 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0105142 CONFIDENTIAL SDNY_GM_00251326 EFTA01449688