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EFTA Document EFTA01456935EFTA Document EFTA01456937
Case File
sd-10-EFTA01456936Dept. of JusticeOther

EFTA Document EFTA01456936

71,7172 n :CI WIC-777111,,,rtr.:71:7137:71777' . .. . 06 Mar 2015 Pays 2 Of 3 Deutsche Banc Sank AG SOUTHERN FINANCIAL, LLC erode - Default Swap Trade ID Counterparty Trade Type Ref. Entity Trade Date Eft. Date Maturity Date BuySell NotAmt 1 Not.Ccy1 Not.Arnt 2 Not.Ccy2 Rate Spread MTM(USD) C7970754M SOUTHERN CREDIT BRASOV FINANCIAL, LLC DERNAT NE- DEFSWAP 13-Jan-2015 144an.2015 20Mar-K20 SELL 10 000 000 00 USD 10000 COD DO '.17,:.i I CCCC 253 Subtot

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Dept. of Justice
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sd-10-EFTA01456936
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71,7172 n :CI WIC-777111,,,rtr.:71:7137:71777' . .. . 06 Mar 2015 Pays 2 Of 3 Deutsche Banc Sank AG SOUTHERN FINANCIAL, LLC erode - Default Swap Trade ID Counterparty Trade Type Ref. Entity Trade Date Eft. Date Maturity Date BuySell NotAmt 1 Not.Ccy1 Not.Arnt 2 Not.Ccy2 Rate Spread MTM(USD) C7970754M SOUTHERN CREDIT BRASOV FINANCIAL, LLC DERNAT NE- DEFSWAP 13-Jan-2015 144an.2015 20Mar-K20 SELL 10 000 000 00 USD 10000 COD DO '.17,:.i I CCCC 253 Subtot

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71,7172 n :CI WIC-777111,,,rtr.:71:7137:71777' 06 Mar 2015 Pays 2 Of 3 Deutsche Banc Sank AG SOUTHERN FINANCIAL, LLC erode - Default Swap Trade ID Counterparty Trade Type Ref. Entity Trade Date Eft. Date Maturity Date BuySell NotAmt 1 Not.Ccy1 Not.Arnt 2 Not.Ccy2 Rate Spread MTM(USD) C7970754M SOUTHERN CREDIT BRASOV FINANCIAL, LLC DERNAT NE- DEFSWAP 13-Jan-2015 144an.2015 20Mar-K20 SELL 10 000 000 00 USD 10000 COD DO '.17,:.i I CCCC 253 Subtotal. ERLIRY • Option db Ticket Counterparty Ref. Entity Put/ Call Expiry Date Not.Amt Not.Ccy Quantity Strike Price Spot Pnce Implied Volatility Fair Price MTM(USD) UNI.618753 SOUTHERN 1)1_6187536u FINANCIAL LLC NY-618176 SOUTFERN FINANCIAL. LLC CALL CALL ll .•_:,c /3:L. :4.166.::0_!l•Q: 27-Jan-2016 389602000 USD (4.166,0(a ...I.SD 100 WO 1 C000 38 9662 47 3500 1.1 F. '1,; 12.282 1 228047 57 Subtotal: Fit- Options Trade ID Counterparty Trade Type Trade Date Maturity Date Settlement Not.Ccy Not.Ccy Date Not Amt 1 1 Not.Amt 2 2 Long/ Short Option Style Put/ Call Strike Price MTM(USD) 418822243/ SOUTHERN ritircOpt 12.Aug.2014 12-Aug2015 14-Aug-2015 75,000,CCO 00 USD (4621A-10.003 al) CNN SHORT ELRODFAN PUT 6.1600 0 472721 834462396 FINANCIAL LLC Equity-Swap Hybrid db Ticket Counterparty Ref Entity Put/ Call Expiry Date Not Amt Not Ccy Not.Amt 2 Not.Ccy2 Subtotal Stnke Price MTM(USD) 612676 SOUTHERN 'w-.'. FINANCIAL, LLC C,1) (1.,,2/. 'R I. sr 48 0800 73 246 46 Statement ID: 182298..20150305.20150306_1 Subtotal 73 246 46 The valuation information set forth In this statement Is provided subject to the terms and condibons set forth in the notes on the cover sheet r CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0116283 PROT1 PROT0

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