Global Investment Opportunities Group LP. Morgan Securithrt. L1C.
GIO Account Position and MTM Surnmary (Open Positions)
Prepared for Southern Financial LIC as of November 29. 2013
Curriont it tb Coonnoodllty rate USOMX11 111133 MAUVS0 125244 GINNSO 16362 175CUnr 192,130
U1DARS 6141 USIXRYi fOrrt1 tl*NSO 1.3583 USDNI 13314
USIX>IF 090(4 USDCAD 10515 USOTRY 2021 USDed n. 61334
Structured Note • Manual Plena sta PLIoNanIntestentot tant te ol plet Ost
intnest
rr ade Date Orteurtry Faut Amtman ion9 brittuben Cert Rant Or Ill Lem, Pta Is) ~ont Pokern MTM
ti Vak.' Rensed
2•444•13 &nupit 2.030.070 Nbc GEN 5.701• 00% IKOIxerleulton•171K4p1NOLOLeter271429 $1132207 $0 510? (0 410161 $131200
25•1413 5,409•14 2104070 SG Maskot PlutiNTICruck, 74t7S%banier.1014544. Untapped 57.0:0.401 $1.971403 $0 4103(0 $9492 521(401
2415.13 1101144 1.009003 »11 CIINSX7P. IM% Pant turrior.04. ON. 2SMCap. Inhol reol 56.77 510:0.00:4 11.000.003 50 SE» CO $10.90 19400
Stunturel Note ram 51.111.44,0 Se 5111000
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Pink Ost* Naturtry rate amount Knot 5.5 Rating Curtency Coupon Ainopor Curt III Planet Volut IS) m is) York to Nara (anat Inka Rean MIM
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2144.0 .13 Nepentl 3.400550 59 Captal No I TU 114 USO 4030% 5124? SON $ 3.1114303 1135,333 632% 10625 106.1$ 462333
1155.13 2.052015 2.5040:0 hakor De VeNnært lon VW 5.000% 131250.01») $1021000 $25.347 1727% 5000 44 00 *2046571
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Trade Date Meurity Otiginal rate Tita Rating ned om Orte coopoo Principal Con (SI LINAN Vala IS) "."<.int Cvaent Raste Itdealt MIM
10811
14.54e43 254.4••2033 4.504070 04494003.11.1 12125/013 1710% ($1,418.!0» f1.134676 $352059 9550 9300 440.132
10a413 2S.Ape.203S 19030.000 gem20014 INI CC 11092013 4551% 51.042.8244 $1.067 539 $71,42? 6075 14 446.136
160143 25.49, 1032 4251070 Cent 2046 A112 N 152511014 5.250% 0192514N $2.092913 $120.137 9200 9398 167.441
19.140v43 25%1.2033 1.294070 ~mr 20044442 401 D imam 4972% 5447.1521 5494.4131 $2.475 22U0 t290 $41004
Melgage and Taget Radie] MUA Te Ila ett., 55.744.14. 0,0» on ¶771,11a
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2.449-13 141.5.14 Sold USD tut 291000 9330 UNIT114109t Call 65 Si 0 1131 $161100 543.k.:9 1154013
Option hett mO.231) 6312.2311
ep LO 10 NN- $479.989 TRA445.4115 SIONnert 9.45 e tu tumOvar Nom nos pava
1.11Y $571.521 $1.404Att 34477.130 2012 tOY Open /ANA 51477.175
10 $0 ro Current °pen 0411141 $114.2119
51 10 $0 lo
Debatt, 03142.234 51245711 ($412.0271 rlDclwgek.OgnMIM (52.4103310
Mornate. 10 50 ro bY13 Cl000d PA. 54.154.821
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EFTA01121617
Global Investment Opportunities Group Srmallles 1SC
GIO~ Account Position and MTM Summary (2013 Closed Positions)
Drrp+'M lo/ Sou0w4 Una./ 144 4. of 3444 tr 15. 2915
Tr4/14444 44•• Compory cpo4up app./ on.
Eta. I) 0.14 AlCO (.44 50/1410 4440s. 00 1441 991% (101940 5/ PAN 11.13 WI Mil (1251/1
M-11 141 Alto Say C4.4 SM 4443 ntoxial 491% 41441, $146/4 4 lon.13 N. 244 61,031
4M11) SUP 1210 74.4 / 0 1.4 09 On* a8% 110144 5134309 f 14n 113 41/0 4114 11.49
Mann ULM %MO U. armor.% Prins 10 USD indmal 2.10% 01014021 410%240 151.11 114 17.71 (11.30
141091; 444/1 240) 41.1(m Otx.n.am1K4b use Canna. 1110(0. 00% 4413121 5949 *Hs 0 MO 2015 OM
Mann TAM 440 Mamoval% USD mar, llentsllo 00% MAW/ /ACM iosmin too 1002 1113
121190 449 240) ant ...any...CONIN 1250 901(40/1.x40904 00% 4400 MUM 113.13 714 ). 01411
11.4.13 COM MM an; to IAD Dion Sri 045.041 541,471 174.11 210 254 01
181.91; MCP 690 lbltaovt Ilse 0.144(041$ 040% 11.1111))11 5111350 1911.6 194 1456 (12601
Mann Hammon Oulu, M Nelda IAD anouner. WWI 00% 4940 Win 114.11 130 249 14921
181.91; 1111 5.20) Norttern re. fie* L. Ilse 009 403% 111221913 SIMI. 181.0 24•6 MM ($1,664
14141.13 MLA /COD A/1•011vers.mml. 1m IAD anus, Na..4414 00% 111940 514401 241.11 1121 104 10110
$41.91; MO) 1440. a/44 4.19 Ilse 0414 432% 109.161) 124.93 201.1) 5254 520 41.634
214m13 IONA 94 Mt..., n n5attk Sofa IAD maw, 11344thea 00% (111.0141 $1119 254.11 220 0.0 1219
251.91; MCP 254 VON 4414 IAA Oak Mat.. 00% 05944 SIM0) 251.13 6.* 4..% MAO
Mann net QUO 14100 44M Cal 9 IAD 01511.1 274% 11.444021 107410 04.11 120 31.91 1110
Plena 404 134 1401110•04/0.001 USD ~or Oita 54,4 0(0% $117)53 514.193 918.13 14 /46 SIAS
21.5,13 VP/ MD/ VaMmillathrallYmnm ISO It. 172% 491.00 /41.913 114.11 210 0.4 114421
30090 25024 294514 119 44.4 1140 304 043% 11000)21 5706.40 144.0 NCO 314 MUM
I8011 1540 044.44 9440 h. ISO 114.01 44% (111.111.1 50110 14411 30.35 2104 1414
14*13 NY 197) 1444,11.4.444 491141.1.0 1.110 10401 1054% 445251 5039) $44.0 140 096 14441
4•4041 ISO ACM Crowirtr hoax.% rwma ISO ore 4ana 491241 4211011 14442 144 545.2 1110
14143 KC 1.40 roof Crmlt Co IAA 1,44449 00% 0100 1≥520 444.0 214 Mt/ 1424
1440.11 IOC 390 Com Couto Co ISO 140.4054 OW% 04041 54903 74•15. 1046 1919 11101
452 13 AIR 2944 4..00 emdcoli4, 14411% 1.150 1 35% 1104390 519101 141401, Csil 646 (142191
19141.13 390 Cm% 10/414./.441% IAD Oak Ifamith 47% 047.0011 141,1111 91443 2310 2213 $2.14
1:40.12 NAM 0:40 104.4444411. IAD Conimaullors 14% 1(20,4321 420;04 91443 2.251 7251. 1254
ISIS 13 190 1.40 144.4 14%4 040444 CO USD 044 04 10.11001 11902* 151.013 12410 193) UM
21.141.13 3.045 20433 44114•144. tioklma IAD 44444. C44.4 CO% 01.20000 51/21.111 114/13 4150 014 02M10
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3441413 AGM 11.093 Amnon QOM Aonn Cap IAD 111.40,141 /0% 114/44121 9119 )7.1443 214 11.19 19111
if kb 13 0/14 1.250 IAN1019,0101•%14‘41I% USD 4440 34% (92101 SOW 2144013 146 1031 95
4141413 DO 390 ihrcorpirmmnalallevA IAD anon, limesho CO% 11142.291) 414;111 CM 4294 /LIM
547 MI 2750 wllno Pntrif le IAA (M, 04% 1105.135) 513414 ilAw-13 454 0186 On),
144/11 MI VD/ 444 Cosmos/ AM teat IAD Mans/ 4% 4404 141.24 I. YipI) EIS 1704 10
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144/11 0 2.023 Roth, Mono CAM IAD 0.44 73% (191.1001 5114111 41144.13 4190 4114 117121
MY 0130 134 (A
ONOTIrre.mcf•a(160%< IAD 04•404.400.4 CO% 07451 5144495 1114-13 444 64.56 $1313
KM 5.. SongI4 4D maw, 11.404 4% 441141 0921 7.541.0 Ali ISO 119
Mv 13 891 14444414 USD 4Y611 40% 612051 PLUS 144-13 25 25 2551 509
•Ildral 290 1441%4444 IAD maw, 14.441. 0% 115109 124,10 144.13 440 9412 1110
1141 .12 US 20) 1.08.44 Vats DM nwmatiali Or, dflool 52138 1214.0 1110 1161 6611
1144.12 Nett 49 Amon in IAD anus, Ilmodka CO% 4140044 /WO 1244.11 410 09 651)
OM/ 11PA* 40 /4444.41444/11.41 IAA .0440 11. pyr CO% 45%041 $5204 134.1) 064 663 5115
W444.13 WI Vote 4414010 • 444 IAD Cermounsant CO% WOW 1240) 14444.11 340 3.461 5401
, 54/14 MLA 1.40 4n4 14 IAA 0444,4006 CO% 447541 1.31/09 151.4.13 MA 91.01 11150
lam.lf AMC 3.00 Al4 4044 Cep IAD 14444 27% (141.110 MIMI 39441 170 179 10111
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1.< IAA (44/44 60% 44944 142359 94.13 Ilirt• 1059 5554
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11 4/0 MO 9.00 AMON 1.014•01(0 No 55.1174511 0% 11)5100 1401.119 11.40.13 440) 4451 15.119
11210.0 M 100 Marc Ilium...On% hl IAD alurror, Nme9c110 CO% 11440021, IMMO 11.0443 40 41.17 4745
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15/.12 TEF 1t41ny545.n46 USD C4aufiC41016 NV Ma 6941 • AP-13 QS) OP) 450
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254.0 90 0431 hN. IAA 94145/ 95% 1104001 4624136 2544-13 4160 4161 51)4
394.4.11 RA ACM bethetia Corp IAD 44% 44.044 RUA 1624, 13 11.31 1916 min
394.4.11 Inc 401 1403444. Cotp IAD /lumps 14.4.24 0% 41041 ma 324, 13 114 MA MO
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2 14/11 5019 loco tra IAA 144/44 011% 4400 511.44 2444.0 950 922 1541
/WO 0491 2.114 0044 100944 IAA 449/40104 04% 01944 534.139 3444.0 1110 17.07 519
)M4 0 WY 0.031 44M 64/044.140414 • 140 Corso:coos 00* d)OLSO DUO 3444.0 2/5 24 529
4414 I) 101 400 440 14 4c41,014 IAA Miketa 110A rY 0(0% 49390 101434 2414.0 24/5 249 44421
444.11 VNIV 390 n , D4 USD anumer,14.4.24 0 CO% 411.40 WW1 •41.4.12 2171 2174 I1
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EFTA01121618
Global Investrnent Opportunities Group 540.1144 ILC
CIO Account Position and MTM Summary (2013 Closed Posltlons)
P./49.44 ø. 404121.0. 4L6 el novsenba 47.2013
5/24, 13 HOI kfW ~th Gr* lol irt LIID teandal 1 ,4% 4714«, 173.14 94440.13 7330 711 ss
7 114. I) 06 4.00 114 Phaorva.0./Inds. b( so siceici Non 741 00% 4%111 MAM 33.0* I) 400 1101 01221
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}More NO 20, ree"nv; 3.4...c4150,40 A WO 000!1 ION» 143 smn 0 1910 1021 142
101.13 .490 Axtb0.4114anneererert • • USO ~ui I )114 111.40240 107.10 1000 II 210 3491 023011
10~13 010 1.5t0 Te,.na h.. 00 40.906 Na Ok N% 010351 $20309 10~0 615 1452 5514
1~3 MS 310 4.1.3II•441, 14.441.611 NO riainall 33% 1514.1013 5144117 1344.13 7350 7404 12.917
I 3142t 13 14531 34.0» INW. W01.40 99 00 ferwir000414 05% 1104.20 560452 13000 350 3441 (14944
13434.13 5111 310 Litnotmn 0.0•10 P...Lp NO 0~97 0% 11114•43 5114.307 134444.13 MIG 614 03.01
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11144/3 .1"
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4430 071111 1493 1.3.107
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11144/43 OM 540 Gat« 0* NO Ird.4141 .43% 031011 123A4 11114.13 tin as 1140
11~13 10 1003 1(lµMp10 WO teel. 61% 037.100 15.243 1174003 005 4463 5/.540
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231.13 MAO 2.30 Inn..0.4.444mk.7% NI> roomt 111.47410 01 01150:1 1314 3244.13 1320 1141 M.104
2~3 WAM 200 4.00, 11060 int NO <04.10. C01611 N% 00.4:44 10019 23~0 b 50 21.51 519
23.41.13 OOM 310 Itadoe.• 14.34.144.0 A NI> risincli 10% 1141.350 1.41775 224~13 2193 131 µ,0n
2~3 000 6.0:0 099910.00 (Isi .4 NO 0144 ~413 N% (MOM 193.03 231400 HO) 13% (0201
234.14/43 LG 5.0:0 1.1.714.44.1.011w NI> N.. 12% 0323102 uit" 224~13 4450 OOG 021*
33~13 OM( 0.0:0 0•11•414344416.0.0 Ot WO ***0.11 30% 451140 02.999 231400 5l% 52% 11546
14.14/43 KMA 210 74. Gon 0:411144 *c NI> Ir.04141 0% 0420:1 /4019 17~13 210 noil $3.919
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4/. I) KM ISW Ko 4.04 $4,90 fril WO .1~ 1ron ul 62% 451051 0350 f lui t) 205 210 5412
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4.13 .04 20) 17001~0 Ge 00 09000 92% 4553444 06.00 14040 e15 NO) 5591
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3144413 404 5.03 Ma 4.4.04 Mal SIM* 050 0•040 62% 40540 WAN 214013 e93 1293 02620
214.13 0000 210 093 In NI> Ommanciniers 0% 0115041 µ1p 21.23413 170 1194 OM«
311.13 4µ 10:0 110-fie IA. 50.410 501,110 n 00 314041.10 74% CS*0071 144419 1 ,1413 2303 3241 (51.1011
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26 149 1) 1•514 6.0:0 .100699 teNri~ N 00 *110411 Ma mliC. (0% (160304 0064 3609.1) 40 946 (113201
3.1..13 1111) 2.92) neme nets 30•cont *c UlD Irdu4.41 014 6l13,5µ) 5313.106 27.1413 050 155 144
014912 06 1404 90 5.10010.94 0 00 <09.046 44441 N% 1052209 5251.4% 2,429.1) 40 0% 15%41
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16)013 PM 4.0:0 10000/0014041.0 WO 3141/411 /30% 456001 555439 1á4413 1420 13% 0%0
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104113 W4444 OM) 01.1442.4104 CO . 04 00 .1..440 N* 30,4 03% 404.5011 5111.516 194413 1795 1159 55.016
101.13 WI MMO SS.4.uIb.nY(µ0 UlD 1nm~ 15% 0104 lei MUM 174113 3.01P 320 $5.00
17 141. 13 DM 71 Q4n:1d4n0µO4µgpq 00 <04.10.401411 (0% (112101 511293 194413 1400 1413 WI
22 1.143 0520 50> 900904 seinen Lp UlD amor 5014 011.1011 114470 2~13 2100 2401 13.070
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25.1•143 KG 2.104 to. Gunan Ge UID Irdaval 0% 054011 Nµ19 254403 270 10 02111
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25 Min WOG 754i Ge.....n.lx UlD Geneut*C7*. <04. 0110(4 $1032 211113 1100 110 112
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2 4.4) 0 0140 150 14..13 ^ms» 71/44 00 ~I 50% 10710011 5269.05 20.013 %0 35% 133151
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7 •gµ MIN 2.10) Abu. trenuillaenield* NO aneuNr. ~al 054% 1122,0201 $44.919 3094213 n0 2216 1010
11.0 AM 10:0 47/4a StOtrawe OR 00 te0o019), (0% 421.01 124050 4A.913 200 28% 11060
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EFTA01121619
Global Investment Opportunities Group .1.4.14453wei 50enloa U.C.
,Q10 Account Position and MTM Summary (2013 Closed Positions)
enni I. , Southern L 45 0 nov4910. If. 3013
440.13 CC» ACCO <SP W.Clara•el lathwa tp 140 0466/4 9% 01:4 09 111110 ~13 3103 2244 1.11344
9 410 0 OLlY 540 001.99903990 64 00 109059 (0% 116»L 14445 96913 844 033 1165
11-4.1) 1.11 ADO Le» 4•90.0191140 13 1.00 Inn CO% t1.91 045 1312123 134.0414 21.11 XL 01.13:1
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EFTA01121620
Global Investment Opportunities Group lEennIMS
GIO Account Position and MTM Summary (2013 Closed Positions)
Or apaend kisAllsosm bruna:4 LC of 'tonni+, n. SO»
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13.3c.I0 150n »n nossoco ItspstslciSe MS OCCe% 11311.030) (.035 $314,44 li4gll In4 la
EFTA01121621
Global Investment Opportunities Group SrouvItle ILLC
GIO Account Position and MTM Summary (2013 Closed Positions)
04•055040 104 ~them bruwai 44C of NOwerine It 20 40
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24545.13 MIA 21:07 11.1444103 On. X07.41144 CCC 112,»22 171115 02.04344/41 51,4tkUS 540.111 9450011 050 93/0 80 W0
21Moll /5 6.0 203 4.58.0) -µ X0411101 CCC 181400 1.480 5%2189 557069 1115421 956541) M* 600 558934
20.141 2054.5300 1000~ 50.5 X04711 120312013 OM% 01./004% 53.411301 4µA1% 1040013 4703 WW t491µ4
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EFTA01121622
Global Investment Opportunities Group blew Soon
G I0 Account Position and MTM Summary (2013 Closed Positions)
Propa!rodIt» SouIhioni Iinarcia LIG in al Nov...*., a, IOU
Comantuata Cloriaaes
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EFTA01121623
Global Investment Opportunities Group
GIO Account Position and MTM Summary (2012 Closed Positions)
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144/45 Company. funny. Indust). Cosi 9rvs 6I 6444.41 Wu. III 04,10 Dale man P4.
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110142 ANC SACO 1.4.00.01 111.674, 0 C04 u50 0*N%, 1500% 6306.9(0) $307310 191042 3410 3419 silo
7410.12 AGNC 11310 tnmunCIII.11.624, 0 111 u50 09%bl 15.104 04410151 5491.491 HA*12 29.35 29.39 5444
110042 An 0210 famgmhtematnew Gram 00 ~MI OM% 01(1,125) 500295 1104142 1250 1440 $34490
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14.49.12 An 4900 Unma% 191.4.0.04, Croul 00 1044141 P00% ($102,150) 1199,147/ 400.12 2050 110 rAn
7142212 MG 5.000 14101:141•144,Thosv Crow u50 Mental 000% 61523(0) 1152.445 741424.12 300 3053 $45
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1.44942 IMP 2.540 150440a. npon• Pannen IAD Cnirgi 000% 1441.1401 544015 4.10.11 27.0 2721 0.1.441)
2224612 IMP 1.250 4001011 pth, e P0405 USO EOM/ 109% 1014331 531691 204.70.12 2755 2712 6439)
1160,12 ORP 1.400 60201100 RAMAN.Ihme USO Cormow.60.21 000% 11201631 521296 2S-110.12 140 14.49 SO
22144P12 CSTE 4.750 OtimweStloiNim ME USO logWOW 000% 1474)501 574370 2240.12 110) 1102 4129
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14042 CPAC 27,000 .0014004•1054214.4 .44 ND 10000 10% 01103001 120721 144012 11.50 106 014.7691
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EFTA01121624
Global Investment Opportunities Group Morrel SocurtIns PAC
IGI0 Account Position and MTM Summary (2012 Closed Positions)
Prepared to, Southern 40.0014 ULC of HOvernber 29. 2013
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400.12 IPA 1.103 KM MannLniun tnc marner.N00.14 02% 00001 505» 00012 1250 I.R Silo
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1243012 MO 1203 Inn Co 0 540o K0% (012401 545.111) 120512 3493 i.n MATO
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01~12 1160 1250 599)47.9.073,39001.0 0001 5.74% 11414151 $14.011 144012 319) 141 5136
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EFTA01121625
Global Investment Opportunities Group 14.1140•94.8 fecurWell.C.
CIO Account Position and Miµ Summary (2012 Closed Positions)
Prepared So, Seuthern nemeud tLC 44 Cl Ilevernber 29. 2013
g5€€§§§888§§§5
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1343..12 NW 100 55111•9% Co. i7c energi 1$31/3401 111.341 134:144.12 31.03 31.35 1.140
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25992 NW LOCO W1laem Ain, 4771P 67079I IN% (98943501 5147.581 2564412 4281 4253 0449)
114:10.12 .41341 900 157,704y 174-0774 A 114:1744140/ 000% 11212401 $41419 1243.247 2003 41541 114.144
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Z77417" 10 02410 77010 1344000 oteoup 14A 1130% 111.7213051 51.12300 911894 1744012 50.50 510303 1250,141
77740"10 02410. 2010 3.81411175 oteoup 14A 1130% 112.7273051 12.1452173 $478.214 5449.12 04.50 510303 1444413
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121µr10 02444y7017 329549 0649994 14* (.00% nilmon 9296249 51929 5'1 42 uns 51003 519.79
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91912 0919200 3,400100 066494354.969914( 14* 030% 1$3.030.1031 13.16290 24440.12 510010 510540 5161.000
tso/to merzso 149/300 113011)14 415 14* 030% 151.030.1031 51997300 94.12 510010 5109.75 $97.503
1044012 17444$013 590/300 10011)14 415 IS 030% 1$‘0».1031 5531590 245941 510010 51930 5315.030
21.110 3404711313 3.30000 43703•4•7 <hm 104 14A 010% 112.513.1.01 $4,469210 74992 510340 519.73 51,054,710
?Deale 11410,11112 3003130 Wag«.Itanbre HA 030% 113.00.0301 9054970 1044.12 5103670 519543 1.1.171.970
1.14.741 10.174.11312 3003120 latiegribtanbre NOK 000% 112.000031 5141390 MWulla 5103670 59744 ($1142201
¶4.110e12 15.1442043 60020) eecleire frem4 64192023 4.25% (5599.914) setso 4294 0.912 109.99 510325 51599
7 44412 08140295 1403.900 41,771577 Som370 orp 77c PrA 050% (596690) 51443.900 556.051 249012 9640 110300 510951
344411 074402013 244090 SO Prvonslecauct. 14* (430% sszo>tioa 52211.600 2340412 510300 51109 1211400
14µn.11 /141.41312 5734331330 10 siruchnd NS.% 1.1.0. 030% 113.093.1.031 543217.930 Heilen 5140670 519533 529930
304447.12 .497•4401 3002000 Son0noraC41044.0n NRW 250% 111.911.1201 1.9959.0 SIAM 191%1712 SOLI? 510:25 101.743
11.00.0 04.994.1 39433 Son0noraC41044.0n NRW 230'• 151244041 $120•21 5851 19.140-12 os. 93793 12.472
9•44.9969. 494E Imme
04:0410•Pnc•
140 Out." Cyer•nty <S.p.% Inntee: CO.< 101 ISU.k.t
4<.uN 490 Inctr RANC•1)
99012 041910101 33903 196.93.969.4124 889 USD 7375% *3.KP 'Ar 0)1.9) 534, 6 ix .00 )8 I I@ le 53.641
Nu* 0447de Man Tuable
17704 .00, 4 Knexy Glosing %Met
741.11.77.4, 14en Cale Dale (4.040.
. hiecipal Co., 11.1 Mutet Yiluer 151 Tot41 4107:74 0410
0.77' 1,44 C7) 0.770 0.7441)
17 I 1 eficormo ø6440W424.[17 AA* 44112022 390% so) 21,17.412 9882 1845 01.4798
844912 81449 .40)390 Preet å 864 792022 5125% $91kØ5 7117.7.11 9825 51165 54000
14441712 1141147.12 1.5400:0 Ir Aqaduct.444 Lea 04. minn 5250% $1•05 1443.703 1074012 174? 11121 17.949
14 • 4111> 1<<sblv
and hm« 44
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8401114 ri)
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11.4c47)
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0.4.0
1340712 1413•54051 32759:0 W1I70.204.2401 (CC 40Y-7011 3541% 11.42,1315 5219» /1. 12 4246 taw 7 141
12444.12 30040111 0.09020 teft 20104 24.5 (CC 1002014 0414% 111 0871511 11.7.1477 1.141.144 31.150411 4403 7140 1.197.344
18499 elm-2037 2.081569 Ikent 20071 2/12 (CC 02920)6 60)0% 151.145.(00 51.193332 $81.444 4012 5703 60(0 5.9010
15 9912 211492034 1090.030 8405200444111 CCC 120920)3 1.171% 151.05)3161 11.175393 »UH 9199 4720 5450 51(8.77
3149442 21µ020ö 3.344.030 G00Ø) 82 sastom 5417% 197.9.500 51478.898 1201337 899 2 4303 *750 96040
117/47013 35.165,2013 1.4123300 1401 A03.103 CC< 10050014 Sµ4% 111011.4741 51.154315 1114397 &Nenn 41.0 72133 1215.140
2.44712 20477-Z03J 4.1400:0 1..7•1 20321 01 4 11007011 1430% 1(10701511 51.21:4,376 554,143 10.44.12 400 4003 5144405
EFTA01121626
Global Investment Opportunities Group 1.0 Mwyl SeCti 114.511.C.
CIO
Li414511).41•04415
Account Position and M1M Summary (2012 Closed Positions)
Prepared ter feuthern FInan041IL<« 01110Vensber 29.2013
nap DwIdenes Matey Peke (1.07I Peke,
Om. 14wes Co0($053 S&P Italeng Par Ammon. Cerrpern PvIndpai Cost CO Mutt Vane III ... erns cy, dosIng 0414 ILwp 1Locol)
22 la, I 2 VISR0.1 210)0 °Ion Ph 801 00 1C0' 0 70012 0503 0495 31.10/1
11.0,12 Pirpolua 17.000 Nexardns R•ratinriol Is 14100 SAS% 03.11.13:01 4202.<00 10 21.10.0.12 1210 1421 1122.1401
11403.11 nerpitua /14103 Amman Grptal Agency IPA 42100 acass 0703/601 $709n• 10 6.704.12 2210 1203 41.114
7.74n.12 6,124011 111.311 Annex. /aro& Croup 11116. 42100 6.311% ($114/6:01 fano 10 11.13,712 2203 2203 SUS
Sep 1? 00.0014 290)0 Ann/17 Capiiiluani IPA 12500 7.100 06751()) $671.73) SO KIP/ 2 2903 2400 (5LZ67)
5.0.12 Per0tOoa 24030 Pi`n1:700,1/17Jani 4.14 12500 7.5016 0051()) 5621.22$ 10 40442 2903 2015 ($5,775)
9 5.0.) 52 Per3tOia 11.231 4^^0/00:171unni /46 12500 713% 028220) 12715170 42.650 0.042 2903 2473 6415)
1.1M7.12 Pirpotua 141.70 Anna. Capita ?Art 12100 7.41714 141,167.0N1 41.1133150 411,131 113%.11 2203 2410 01.1,01
tk1.7.12 Porpoba Mai, Corsa /444.1 12100 2,63% (4374410) Ow» 111.319 45111!12 2203 2467 01.1101
1.1:47.12 Porpotua ano Mn.0/C4071•114401 42100 1.13% ($07250) Mimi tau .1un.12 2203 2410 01.107)
414012 Noma 41.110 MN,/ °PhilMent Nu 42560 713% 10.027.750 0.016.609 S9.7% 12 2903 2473 (51.145)
130612 Peon0) 11000 40070 83340.6111:004 NM 42100 R00% 005.00% $379570 10 255to 12 2903 2101 1570
1341612 .0001 110)0 04, 01011000.6011.1014 NM 42100 400% 02500110 125011) 10 X5-2 2903 2101 4310
00)47 Pogroms s90:57 0031 011.14. York /110M 0164 421/30 210% 141.20%00:4 $1.203.013 10 254•02 2203 2472 1114.1371
114..11 Porn.. nrio grasp Bent Pk 1134- 42100 6.11% 14/4025631 41013.740 413%321 10.0e1.12 2154 2203 5191704
1.14702.11 Pprprtua 441300 C4:“..10141.nar4u1Co OD: 42100 OW% 111000201 5959,720 10 140041 22110 2491
2944p42 00.03014 11050 CV ea.419107011) Mu 12100 041 (5115.000 $371635 10 450142 2903 25 11 51.05
10.1u111 74.00a 31833 C74n/pea0 100000 7007 Mu 12100 97545 (5420125) $921171 10 279.612 2903 2512 54.34;
10.1u112 0411/01ia 400 C74n/pea0 100000 7007 Mu 12100 913/5 (5153300 115470 10 2615612 2903 2121 0/65
W10112 2461096. 12021 0....peatt lodqvg Trail 421/30 7,21'. (411:04131 5304101 io 244u1.12 22110 2203 $24
10.530.10 1010120.10 10000 Cncpc7.0 Captal 63 421/30 29144 ISPAM:0) 111,10 5107.461 104:e1.12 2203 2141 1/03.751
5.714.12 1.4.pflua 10000 Ce/Nabonal imp ea- 421/30 3.50% (411:00101 3411.103 50 1341.12 2203 2437 1111.7101
14612 044404 110)0 00.54 kb 001.00 6.25% 151.034(031 0029600 % 250612 10000 10304 01(003
1$61)2 Noma 44030 Dot Cao 0. S21.00 150% 151.034(031 91115360 % 44.12 2903 2475 11)1.601
60612 Peo5ove Psowet 04044) 54 12500 640% (402510)) S631100 % 260612 2103 2520 51100
4.11.0.12 1010051 331:40 'mow Agana Inc P. 12100 4,10% (40.730(0) $021.1.03 50 20.034.12 22110 2406 01.4001
14:turn.12 MOMS 11.1:40 Inlergy toanue% Lt 12100 3.13% (40.730(0) 304%025 50 304.112 22110 2206 524025
1124.12 Peepinal 31500 1n134.4:14114nlalf ell 12100 •711% 5713171 50 314m-12 22110 2202 1671
205612 10454052 4179 404410t4 Coo Carp Ala 12100 400% 020000 1207167 10 260142 2103 2403 (1158)
20052 10n5/2052 21.821 0545510t4 Coo CVO AA. 42500 4005 61753211 043161 10 2501.12 2103 2491 01.544)
240112 4462012 390)0 WatfOr0 ANS.:SG" $2600 7.00% 6415.0()) 1979610 10 240612 2103 2637 VANS
2400.I2 P44.400 44030 00! 33,94. 'Co 020 12540 ISO% 1517:0010/1 MUM 10 740612 2903 24.92 159207)
24004: room) 4%000 *roman 09744 191 12100 3.50% 141,115.0031 $1.131.110 14 0440.13 22110 2403 01.1501
1141.4..11 Nine. 34000 One 34410.Corp 11130. 42100 4011% 15/.30001 $1,270,100 50 240042 22110 2450 1121.1/01
1640112 Porpetua 4.174 000 mow cap 12100 250% ($1143501 Salmi 50 30001 22110 2450 0.1.147)
14./...112 Nwtdal 4.424 10003 7.10ty 00117 801 52500 ISO% 0160150 5157.$11 10 404942 2903 2446 02.120
340152 4450012 51.905 Na ANIONIM NM 12100 100% 020.625) 120031 10 Thorn 2903 24.05 151.0111
3 00,42 41154042 0.015 Na ANIONIM 42500 100% 6277375) 1275199 10 26,44.12 2903 2487 151.4741
20441.12 3/117012 111.600 Ng%ra trap/ 1417441 1104 $2100 330% (44.10:01 SOUP. 10 16210.42 2203 2244 51749
1443012 Pupetual 441300 Pre Nuncio:I Mmon ea /30 fa% 11104.001 1014.403 10 4.00.12 22110 2401 01.5201
113.40, 12 Pupetual 17.000 1.4117.4n0715omon ea 3.7.1130 anis (11.750101 $471151 10 94040.13 2203 25.12 sun
294t1512 345002 170:101 Rarnan0170440.41100 OBI $2140 190% 1$7,250.01/0 54301170 % 4242412 2903 2130 161.603
390412 1.406,1 21040 401110, 100000, 0 80* S21.00 143% 6501001 509.607 % Bret. 12 2903 24% 6001
14 00 12 Popov). 240)0 ROjtssty C0.1010). 12500 66014 (5475.00)) S614.(07 % 29.41.10-12 2903 24% 01.107)
25431.12 Porpetual ncoo Resporn mancel Corp IS 42100 4.00% 00.14.010) $4617.471 10 1143“.12 2203 2410 011213
7.0.79.13 Porpetual 31000 .11Ceope.74dty Corp 1. 42100 130% (SPAM:0) 3741.010 10 111.403.12 2203 2477 091971
1.1347.12 1.0110013 4003 Thorn.. 04•41Aptali NM 42100 130% 01100031 (64.524 10 2203 21.13 11111.4161
114.112 P01103174 10.0)0 WM*/ 814177 7661 42500 5.7014 629900)) 5241.254 % 24 2.7.52 2903 2473 01.754/
9039 '12 N0040 11030 W413 Fogo COn0447 On% 12500 5.2015 (1199050) SN9.79) % 2310912 2903 24% 42101
445412 Peow601 31,00 (DO 0C.ry Corp 1001 6310 4/77 550) 47210)) 10 2060012 2903 2455 1115.4101
4.00.14 ropr000 30, (04711.4177 Corp 40.4 sow 4.10% IV t0:1 Susi to 17.4..12 2203 2432 02051
knanl Corsao
val.* Dale Con'03..911
Boat! Notloinal 5o1/41 Nol000145340.1 1:m Da% 14.0.1 5pal
onrsr1
120%.11 443%12 SG0 0245 7,1 010 2.110000 444%12 Loos 12197 21./w.12 121 15%472
2110..-11 I Fel0i2 547 3.14/.100 1.60 2.503603 61462 12734 2732 24042 151755
214012 600012 $47 511%100 610 2.503100 6144612 1204 1.205 900042 07.2021
214.110 25.A.713 0107 Comb) 2501030 160061s 273110.1/ 12014 1190710
4175012 214411 4.40 11.0:0.000 IAD 03%934 210113 131000 11.7344 1907112 1324 1.14.410
Mull! 211119.11 RUN 11.033:010 IAD 072.211 31.47.0.11 132367 11.33147 171.4.12 1119 54424
1340.11 31.540.13 Mxx 100%010 IAD 071753 21440.12 131310 11.1124 204.p'12 1293 Uwe
200612 240612 1.001 /1302601 USO 934144 2401.12 i2.12916 1291795 23 Oct 11 11N 55172
310912 Soov.12 04 1090403 07.0 10.0(1000 Stios-12 1205 1.190 2410311 I 21 (17071121
230612 200612 9034 12300403 1950 919034 2..0612 12.9122 12.9%7 21110 12 1301 041891
2110.12 190062 1.001 12.503001 010 931177 1904612 13132 130050 10000011 )».3 125.116
EFTA01121627
GIO Account Position and MTM Summary (2012 Closed Positions)
Piepnreif t0t Seuthein FInaneel lLC et 01Nevene« 29. 200
1.9. Aleffla SeCtirltlef LLC
rs lem
Inde C.n."(). l suek e Type 0491r93 Omis" esenimm
Fxplearron >etdien tuntee 4304 Crerency C110.5:” Oale ereramm 1Si
kellons.1 131
24 Abe 1) 1104e1 84t wt '3M»2.(4. 4250 lv Cill 21.4012 $125..,34 SO $125.734
30AL...13 22 kee2, 2 lotet :SV tut $000000 6100 Of° <e11 (12A:0» to lutrøl
3040, T2 n.13•3.0 1913 :SV ol 1.0(.0000 3100 lM 1N1 124300 So 126.503
lt 11.9.12 1399.8.13 teue1 NAN 1.9.23000 1337 ula NI 1419.12 ($17.2001 SO ($172001
, 411.44.12 1949412 SON WX/i 1.002.0t0 1290 13164.12 917.300 ($$8.394) (1.41.1NI
Jdk, 1) 099 ' 2 90.4.1 sPe 100LCOOL09) 8325 CAD L410'ti 11•13.6131 SO (1411603
ar9nl 1) 099 ' 2 S010 Wr <41 100.020.40) 1690 CAD >ul Aug 1Z 1613.613 SO 1.413.613
enmoe ey ON101n
tredie 0.191må Pressan
Nolion•I (oel Siegle Cbmest" NoUoisal Type Closisp Oale
One Petenourn 151 131
7349.1.1 soiä ti e 125,C0) 103 izow.to3 12 he. lt 11.41.100 10 11.017.1:000
2149113 aua 610 (•1 IlM03 1201 ($313.100 he.•12 (5710x; 10 11(100003
1049113 Mtl 610 ti e lIQCO) 8.094000 (411 13 )1.42 Sul4.402 10 1154.03090
104012 906e1 050 Cal IsiCl(0) 1193 11.950.(0) 12 Kp 12 151114.(01i SO , F40/0 (0)
1Mlir so» 4150 Pul 2,4(0) 103 25.0)0.(0) 11 Ne 12 5136.250 012,9%( M76.250(0
1.M412 so» 4150 Nt 2S4(0) 103 25.0)0.(0) 124104-12 5136.250 SO $13e25003
wand: gar LUD (94 21040> 11019,003 12.11e9.12 15200=1 to 11200 020 CO)
104.1.12 Mb LUD Put 03cø 793 7393010 (411 12.13.842 5335303 to 01103000
104903 aua LUD (94 texcoo 119 11,920,CO3 12.1.9•42 15231.0:01 So 101l020ø)
EFTA01121628
Global Investment Opportunities Group J.P. Morgan Securities LLC
GIO
Clebo33333ormeot 0000IIMMIMIM
Account Position and P/L Summary (Disclaimer)
Prepared for Southern Financial LLC as of November 29, 2013
IMPORTANT INFORMATION
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EFTA01121629