EFTA Document EFTA01455359

Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Unrealized Gain/ Loss Estimated Estimated Annual Income Yield Equities (continued) Preferred Stocks (continued) ROYAL BANK SCOTLAND GROUP PLC SPON ADR (continued) Total Noncovered 120,000.000 2,924,400.00 3,081,600.00 157,200.00 217,500.00 Total 120 000.000 $2 924 400.00 $3 081 600.00 $151,200.00 $217.500.00 Total Preferred Stocks $7,320,391.11 $8,685,974.00 $1,365,582.89 $649,025.00 Options CALL 100 AMERICAN AIRLS GROUP INC COM Option Identifier: EXP 01-17-150 20.000 OPTION ROOT: AAL Underlying Security Identifier: ML 1,000.00 of these contracts are in your margin account Underlying Security Price: $38.88 12/11113' 1,000.000 8.0330 803,314.50 18.6400 1,864,000.00 1.060,685 50 PUT 100 AMERICAN AIRLS GROUP INC COM Option Identifier: 01-17-15@ 20.000 OPTION ROOT: ML Underlying Security Identifier: ML -1,000.00 of these contracts are a short positron Underlying Security Price: 538.88 12/11113' 1,000.000 1.9770 -197,702.00 0 0300 -3.000.00 194,702.00 Total Options $605,612.50 $1,861,000.00 $1,255,387.50 $0.00 Total Equities $34,388,849.20 $38,678,631.25 $4,289,782.05 $1,882,282.03 Unrealized Estimated Estimated Date Acquired Quantity Unit Cost COI Basis Market Price Market Value Gain/ Loss An n u al Income Yield Exchange-Traded Products WISDOM TREE TR JAPAN HEDGED EQUITY FD Dividend Option: Cash: Capital Gains Option: Cash 60,000.00 of these shares are in your margin account 12/11/13 60.000.000 49.4350 Total Exchange-Traded Products Security Identifier DXJ CU SIP: 2.966.098.50 49.8800 2,992,800.00 26.70150 55,004.40 1.83% $2,966,098.50 Cost Basis $2,992,800.00 Market Value $26,701.50 Unrealized Gain/ Loss Awued Interest $55,004.40 Estimated Annual Income Total U.S. DOLLARS EURO Description $96,388,518.56 Quantity Opening Balance $103,835,307.44 Closing Balance Currency $5,451,017.63 $477,085.73 $3,646,365.03 Accrued Income Cash, Money Funds, and Bank Deposits Global Cash Balance 291,846.67 291,846.67 EUR 384.391 25 LSD Total Cash, Money Funds, and Bank Deposits 291,846.67 291,84617 EUR 0.00 384,391.25 LSD 0.00 Account Number: 50671-ERN FINANCIAL LLC Go paperless ASK *WU, C =Unity 30-Day Yield 13& Rated E•C•ent f vary Vase tone,' .},001 [NAGAR RATED COLWIONICATIONS eXallENC? Page10 of 20 away are. nit: a.twota C. • ostea arta++ a an. at.. tan. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL SDNY_GM_00260264 DB-SDNY-0114080 EFTA01455359