EFTA Document EFTA01454092

30Apr 2014 Pape 2 Of 2 Muted* BSc AO SOUTHERN FINANCIAL, LLC FX • Oplions Settlement Not. Coy Trade ID Counterparty Trade Type Trade Date Maturity Date Date NotAnit 1 1 Not Coy Not.Amt 2 2 Long/ Short Option Style Put/ Call Strike Price MTM(USD) SOUTHERN ExEurcepl 21-Nov-2013 2040%42014 25-Nov-2014 (1.000 COD Tr)I USD FINANCIAL. LLC SOUTHERN FXOneBanDneT 21-Nov-2013 20-Nov-2014 25-Nov-2014 (21.00000) USD FINANCIAL. LLC otchOpt SOUTHERN FXOneBarOneT 21-No/-2013 2011ov.2014 25-Nov-2014 (21,M0 COI USD FINANCIAL. LLC ouchOpt SOUTHERN EXOneganOneT 21-Nov-2013 20-Nov.2014 25.Nov.2014 (21.000 WI USD FINANCIAL. LLC ouchOpt SOUTHERN ExEuroOpl 31-Jan-2014 01-May-2014 07-May-2014 (10.CCO.CO3 COI USD FINANCIAL. LLC 101.000.000 0 0 0 1.025.000.000 JPY JPY JPY JPY JPY SHORT LONG LONG LONG SHORT EUROPEAN EUROPEAN EUROPEAN EURCPEAN EURCPEAN CALL CALL 1010000 0.0003 0.000D 0.0000 1025000 :•2• 10:3". ) 11.995 79 9,70633 7,766 12 :.6.76441) Subtotal: (1 CO) 1:I Coaandlate • Base Neal Dadvalyas Long/ Trade ID Counterparty Trade Type Trade Date Maturity Date Settlement Date Short Option Style Put/ Call Ref. Entity Not Amt 1 Not Ccy 1 Quantity Unit Price Per Unit Strike Price MTM(USD) SOUTHERN Commodly0p/Eu 03-Apr-2014 05-Dec-2014 05-Dec-2014 SHORT EURCPEAN CALL FINANCIAL, LLC ro BaseMetal XCU (8 IDI, ...0i !AD (f..00C(M125 0 7,000 0003 (21517575! Subtotal: '2 115 7'.:: Statement ID : T4 li (222.175.87) The valuation information set forth in this statement is provided subject to the terms and conditions set forth in the notes on the cover sheet CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0112023 SDNY_GM_00258207 EFTA01454092