EFTA Document EFTA01383941

Begin forwarded message: From: Stewart Oldfield ‹ > Subject: SF OTC trade on the books Date: February 6, 2019 at 12:10:25 PM EST To: Richard Kahn <II > Rich, Please see below. You have one outstanding OTC position on, which should be straightforward to unwind. Note that it is hedging a bond you own. Thanks From: Davide-A Sferrazza Sent: Wednesday, February 06, 2019 12:05 PM To: Stewart Oldfield Subject: Southern Financial OTC trade on the books Stew, Southern Financial LLC (account 08/06/19: ) holds EUR 2.5mm face of COFP 4.407 TRADE DATE QUANTITY DESCRIPTION CUSIP MARKET PRICE (POSITION CCY) POSITION VALUE (POSITION CCY) FX RATE (TO USDE) POSITION VALUE (USDE) TYPE 2,500,000.0000 CASINO, GUICHARD-PERRACHON SA ISIN#FR0011301480 4.407% 08/06/19 REG DTD 08/03/12 N/C F1413LCN4 99.6200 ., 400,500 00 1.14070 .',1`.10.9 I =15 CORPORATE We executed a EURUSD forward (v/d 06 Aug 19) that is still on the books. MtM is $87k in favor of client, per latest valuation statement: <irnage004.jpg> Southern Financial LLC (account ) holds 100k shares of AAPL and some cash from dividends as collateral for OTC trades: TRADE DATE QUANTITY SYMBOL DESCRIPTION CUSIP MARKET PRICE (POSITION CCY) POSITION VALUE (POSITION CCY) FX RATE (TO USDE) POSITION VALUE (USDE) TYF 100,000.0000 73,091.3300 AAPL DMA APPLE INC COM INSURED 037833100 PER980411 175.4600 1.0000 ! ; 5.46,000.00 73,091.33 1.00000 1.00000 17,540000.00 73.091.33 EQI. MO CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL SDNY_GM_00230053 DB-SDNY-0083869 EFTA01383941