EFTA01121660

Global Investment Opportunities Group P. Morgan 14441110$ ;LC Account Position and NIThil Summary (Open Positions) CI 0 9444 oinionnotni. Pieparod 14 Soothe% Financial LLC as of Steptombot 30. 2013 COMM FA • COTMOdIty rat« 13 034) 4.41510 OP II 914130 i 4183 1.05D1PY 913210 40915 «IS 560414 5014 It 0.5 550 1323 USOML 2117 uSOCia 0 5)4 0503-AD 1 0314 LIOTtni 1 014 11SCION 62010 /94491449 si*/114,49, Dividisind Entry nriat Current Ark* t954 Oa« Symbol Patin company Cwroncy Indinloy Cost Onis (51 Mai.« Vaal. CI) «TM Yield (Local) 0~0 334.1.13 AC 5500 At.« S• EUR Coownwei.Cyclistil e 7.241 5581.037 2240 3024 515791 129413 AC 4.250 «cot 1/ EVE Conssinst. cycocr 24114 03612401 5171444 25.53 30 74 PIN 99433 ADEN 1400 4444 S399 011 4%94 lion55•14 2.85% 111651561 5170712 6.57 640 $2555 129.413 P1M4 ;5C0 ~co> Sa bg Olf Amnon. lionasslic 2.80% (1.11.0621 501.815 6114 6440 55162 319133 10300 AknOrliSW EUR Coassantit. C3Gitel 0.00% (11654291 5191.44 1.12 12 99 527.059 12.9413 La 4500 Autowill Sp.. EGA Coma. Crifital 0.4% 15165434 5184.461 1310 1219 515030 24443 444 5000 Apsd Pla•maAkah Inc LAO 4;44 194< lic 0,00% 6144001 5165660 1160 «AO IS•213:0) i444.12 AkA 7.535 Anticl inist4asePicob Ins 4%44 Nency:bc. 0.0" 6115441 5134.44 1521 18 40 525014 144432 Ito ;on 11444indot Inc U10 sinunr. Nor5plic 0.01% 6250.4551 1504.312 11955 14076 1153.90 3149.13 810 ;54 Rap EUR fituntisl 3.05% 11155279 556/.050 4.62 5100 0.776 12.9431 SNP 230 1949telbs Cult finantol 3.0" 61%13441 1169.050 50.10 5000 52201 3149.13 CA ;540 Céneleut S. EUR Ananor.194<plic 2.29% 61623133 518574 2314 2538 42146 12.9431 CA 5.040 Cinetaa 53 EUR NonG215 2.29% 6150.73/3 1171.586 2313 25 38 512.1354 14413 CO1 5250 CounCoPi/OcAgiCtli GP 4sinitc. 6167.4951 $169374 19.12 18 50 SI.509 124413 CCH 5350 Cp.{4an42.g.fdi OOP Ananor. liornplk 1.56% 61656501 541174 1311 1150 5;501 12.9130 049 50.030 mnharnIon 6444.049 LISD Finds 0.00% 63523501 145540 2.05 1317 145150 3149.13 OEC 1010 Dana S. EGA Coewounkaines 162% 6158304 5184.018 24.12 2722 01518 124413 OEC 1010 Dana S. 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Cydital 2.05% 61646441 5164.950 0921 0415 Ills 12.4413 VOWS 100 Vdkitwa34 94.1344 EUR Compote. Cydital 2.05% (1133169) 5164.050 0536 12425 681101 SInectund Noon • Manual Etk IPM iiinesimentlIsrA id el nor do Inter.« tr.«. Date Melu.ny Fan, Anto,. long Otimetion COO R.nls I mark« Vnlu.15) FM« Price «) Commit Prit. I 1/TM an(innad 20~11 2990934 2.0)4000 154 GENPP -80% MO bankneActinl 7%09 initAILPM 216423 61000,(00 52.065.201 SO 510000 5103.26 565.24 25.M.13 144.14 2.04005 SG149km 114 MI Crud*. 7525%1544.10110% Untaased Gijxoccor) 1;0445 SO 510000 1100.33 via 24.5413 15,9314 12404 PM CNN 5/75115% Conl Owlet 0•409. 211400 1nOlal WM: 11177 51.005205 SO 510000 410000 se 11.5. Fixed Moran • 994 tbNd.MobMerg trod. D.O. M. Hy fx. Amount an« cap Rating Next Call Date Coupon ninopal Cob ~act Value YOM tO Wont intry Pine Current PO« 1/5í.t 151.448 214312 01942019 20)4000 mniOw4ton 91146 635% 0 1.0».0004 51.060200 531.590 59% 510350 510105 196.510 32.0n.12 644200 400005 Eanhle. Ca. 1150015 1105% ($41ACCO) 503.500 S33.331 940% 510350 49605 15•31 33.0n.12 644200 603200 Eanhlek Fa LEG 1150015 1105% 6615504 1110.250 54.66 940% 510315 59605 511318 1.001.12 4%4249 1.005000 Kr.%) 14104re Int (AIX« 1250% 6994.2501 51.057.190 42.271 617% 55963 510532 1143.211 89431 014442019 120040 Aretpd 1.41544 409 61)2014 5250% (4100101 $1.00.190 573.792 647% 4200 $105.72 $160132 244413 6491020 150040 Sennornmis Conipant CCC. 11150015 5010% 61,595.6251 $1.49/503 182.050 3.10% 11064 59950 (1213253 251433 15141020 11440 Sentionnaion Compant CCC4 11150015 5000% 61.030.455 111524 I10.778 3.10% $10700 $9910 {52024 345433 19A42023 300000 89clon Otrik Pk 441011013 7250% (13040031 1301.010 511.01 6.16% 110060 110120 520431 15.341 Peopliol 2.40.003 lan 04$4 I Co CPI 970070I8 7.900% 11210142» szne.no 1452.401 5.70% $10010 not" 1165929 159.411 AnnrInsl 2.54020 14449.1045. S Co 814 4400018 7.94% 6.5102.415) $1714150 4451.604 5.70% wale 410125 $461929 104411 Antartisl 2.000020 84101Anntica Corp 5F1512013 5125% 111081.18% 5;19540 4442.361 54% 11406 410175 15511131 3.7432 Pecrx140 1.03400) Soulhem CM Mon Na. 1012022 5250% 02999.9700 51303.095 1312.500 5.72% $10000 5103.« 51565 319412 Antartusl 2.000020 GitintA DA Cap COP 41150022 7.125% 62.122,125) 1;140:0 5179.313 5,10% 11415 5109.50 5136293 2944933 Per5244), 20020) Gem.. ve< Co Corp 4nsaon 5250% “I.414205) 51.2%3.505 524.704 616% 110000 59275 131•«41 221433 Attrotoil 751001 0%)$[ I Co BIB ant:023 6000% (1750.0:0) $700.910 58300 693% 110000 534 11-15N0) EFTA01121660 Globe! Investment Opportunitles Group Morgan Sijmukitio, Account Position and MTM Summary (Open Positions) G' 0 omme mem Omeroctor eet Preporod lor Southen Fmancial 1.1.0 ar of September 30.2013 Osmanen 6 Conokodity ottee U51)11324 1.0947 44U1150 1)29 11 362.1.10 16185 1/50110 9029) uSOARS 3.7315 USORRY/ 1074 64 (1.13350 352.4 U50414 2117 uSOCtn O9714 USDCAD 1.50111* 2 019 USDNOK 40003 International Reed Moorse • som Put ..0111 P"‹. C.arenl Porm Trad.. bate MalutIty Faut Pmetunit 5111P Rating Cwreroy <nopen Prcorboll rost 01 Monkel Vake. PS) ...roti" lat. Meld to Went fltrY )kous 13/ (1.0(M/ 0.0011 191 na . . 2140300 Popritual 3.02400) 169 Capii41110 1 tb 3070% 0324350Z 53.097.300 S85.0.10 7371 401125 405)5 (5641700 weest» zeoneols 2.590.003 Pettokos Oe bommel* Onts. 29).COZ 52390.290 $4041 ti 78% tu ro 8745 1303391 • and Maat MMS • Wout/ Pelt as Mot n ovenment lonk "'PIM PnnotInt triCry hooft turcont Prior Trad. Dale Ma Witilly Odgon) Pup Inren lan Rating /In • Prinolipel Ceel 0/ Motet Velo. IS) MTM (3) Oom» (Ogen 6.24.0.13 20.0402032 5.701.000 Somt 11 II CCC 615% 001.919) $03.249 549.215 73.75 510 540449 23.Msg-12 25.0443-)033 3424040 Colli240316(11 10~013 3332% 01.2312.72) 1442.313 $3434114 7700 6331 04014111 25.31".2033 430(1002 MM200Y101 10~013 3.750% 01.401403) 51.193.327 5310163 9530 9443 329387 lesePol3 »Poon 25.41M.3033 2.726.002 5.33( xoleoez CCC 107,2013 030% 01.0747113) Sit74.399 5173.900 10000 94 93 14284241 1021.13 25-Apt.2035 10.004400 hee 21:05.2160 CC 102522013 0.914% 0309300 51164.133 545.161 0).35 4.193 1116.564 Mongppo and A„n maalra • IS) Mi 033 $24.$48 1 619 Be 10.473 UstodIrreferreek Consent Pirke Trad. Dato Malutlt y tanarm COmpany lno (mono Po. ~urn COMptrn Prinopel rost (S) Merkel Video 15) ar ioved m 11•114 to Want MTM ra"Oom» <ISW) MOM° 124122013 $.030 4..04010403 Co 301 $5000 4.75% ‘14040:10 1401100 $144471) 5013% 5000 50 IS 549.050 904010 inwon 63000 Gentoi Molm Co 30s $5000 4.75% 01185.973) 53391450 3372416 50% 50.37 50.13 3344293 12440-12 žesreseo 40400 Ceptal bot 1 COC. (rk 32500 8.13% 0/8614009 12.10)400 4231363 44)% 2334 26.75 30003 3.10032 Pecortml 04100 Aai 11tran<U1 H •CCC• r. $2500 01.002.2242 51.217.941 5144131 54e% 21.31 261e 3389.955 'MMO Popetrul 90400 All, láttancittl k-a <CC. 31 4. $2500 8.50% 01,780.400 12.142a $244,611 1.10% 2215 2638 560).00 244041.11 Ibrprimi 40400 Pg2316k5w11M4.pPk BB 52500 7.25% 0151.6:01 $433.602 160000 7.74% 23.79 2349 $44014 )dool) Perm400 03400 krol ik Scollnd0rpor BB $2500 7.x00 0977.600) $939600 549313 7.74% 2414 2349 57.312 1.1.2an.13 Por reitml 40.000 brol lkStalled4rpPk BB $2500 7.25% 0333200 S939.602 141.903 7.74% 2444 2349 35114911 Maal Stads and») Mark« 4ntea 114V 4ormt NAV Tra...Dato 5~1 Unit, Company Comonoy Inna Cost IS) Mark e1 Vale IS) 1117,2 Reintand 111 Rom» (torall 23404.13 3.133 43%4.93 Ontgon Lan emenurSd UW 6 ,.KUM0Cm 99033 50 202000 1423 1 351 90013 NAM 74709.17 licenetgon Valse Adonumcoo UW 670:0,00290 54017.31 50 234140 2543 317116 trol land ti RIO gut t 1.0 9.910.781 0 rond ~traas BI <uitrent Spot Cvrenttltn nad. pata Palmt 0.1. Sought Notiana) sold Notional Pl. Date Contract Spot Contract toto ad tiot tata orrwd 1 100401 IPY 4P8650.000 0 5.0 070 rOct•II 9348 937 9525150 93.22930 19632 maf bom • 1.1114 Mooleilml Pa Phatambor Smoor? 04041.13 Boor* 01, hl 10,000070 9310 64.0 Cal 034720n 53453.685 11.114876 44093 2 030033 57(0 Cal 10.00(1070 76.50 000 Put lap!' 0 4905 5347.909 50 3347.509 2.4.4933 141,61-1 Boor* USO Cal 250003 ,000 beciT eAteet Put 056.350)1 $534829 0233.671) 2 440 3 1 14346.14 57(0 USO ti l 230.003 93.30 11411 CAMEL Cal F.400915 53423071 0179.003, 35349 1.30plion, WIM so 11.412.464 11.412.444 3014 t, Atumul Intoomt Cntry PIP! Oividends Current Pirke U44412414 rnja" :" slatutily Data Undatlyinp kat. Spiead (bpr) 0111 .Pid Rom° Breed (~1) 18./.1m13 18.4.N.13 20./.14, 14 Korp. Transport 3.0411111 10.13.172 3M. 0.7011 11.939.993.37 111313321 2504 N 14$30 1301.026 EFTA01121661 Global Investment Opportunities Group 1. Morgen SocurIt1oS LOC. Account Position and MTM Summary (Open Positions) Gtalral mew.. Dare t..« Prepared foe SOuthen Financial "C ar of September 30.2013 Cumnt FM S Commodity fate. V$01,1104 I3 0947 XPLIV9) IIII it CO Pb,.0 10155 05D/Pa 9l360 MO" SMIS USURY/ 1M4 fa IVIP.10 I 3524 USUAL 2217 USCKPF 0n3µ USDCAD 1 0318 M.Dterr 2019 050101 RCM 10 ILO 1925255 5240.134 $1.16O3S8 I1P So.907.77$ S2.527330 WAIS,t09 2012 GOY Open 11"1 $1.0.5.137 $0 se SO Current Open MTM 57.310.5•4 WISS 117O2101 se OSV1SS Deiwarove 51.637.170 'Komi« 0300,6191 YID CM.** Yl OP« ram $1.705.047 4111M." $0 se SO 2013 amide. ttn.SIS Offie 11IMw11Y1pM 10 so SO leta 57.39 1•4 2 20.1.39 X.13 Net SLAM« 1°2011kliMetiml O,••• • Co EFTA01121662 Global Investment Opportunities Group I.P. 54.5497414C40044 MC. GIO Account Position and MTM Summary (2013 Closed Positions) Papage4 ler Southern Stnanoml WC 47 of September 30.201) TH4e DIM14.41 ffi Om. Sharts Company Gemmy mOmIng HAM Cost 544.4. IS) Malin V/M• 151 '1°4'5 on. 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GID Account Position and MTM Summary (2012 Closed Positions) 144.3444.41 144 34445441 41444091 lLC 4$ 01 5491444644 30 2013 g§€€§§§888§§g§ 1~411 VitY~ 4.000 Web<0443.4 inc C404444/442% 000% 111413101 141104 1144041 110 1107 6~ 294012 *MC 3.500 Vt4Innintnitin)nmn <4,4 114~01 21.55% ($7130/1 5/12012 205042 2220 2229 5312 0~442 044C 2250 Ventm144.11041:444Capi 11441441 2233% 114510/1 541.765 10~42 2103 11256 102351 500012 04f 5.175 V431140441421201« 1144«01 9.40% (571.6251 571.734 500412 15.03 13K (55.0.)3 11143012 WIA4V 3.500 W94•4424 40404Co• CIA O040 414154414 000% (14/.1031 143.170 1•4042 110 1127 4•70 2144012 W111 2210 W-444 U,4 reale, C4~ 1102% (141/4001 $49.414 00442 200 2201 54.94 130011 %MB 3040 VIlla Co44, 044.4 1131/4001 211.344 11434142 31.0 3133 049 14~42 4492 110 v41144,94142440 Enell1 3214 4.50.4))1 55470 *0012 51.0 5077 (14111 4'411'12 %IR 100 v41144,94142440 1001 152% 1151.5601 554349 409412 5456 5415 (1411) 25 14412 ~2 3000 v41144,94142440 2101111 1 • (IMAM 507301 251012 4281 1253 (049) 1243012 WDAY 900 19040443044 1101444494. 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CO» Al, 52540 MS% 15455211 $54.1561 10 250212 25-03 2491 81.510 2 40312 4152042 37.030 Marilord 4315.6 41 $2540 1921010 597~ 10 2512412 25-03 243? $50.438 »aug.0 44.101 10.014 /0/34/9810/124 *Co 12540 5501• III-03030N 59911)9 10 7448-12 25-0) 2492 81208 13149.13 1587453 nota 134ffligin Clia“ {Co WN 531/0 5.50.4 111.1240341 54124310 111 04449 252/3 2492 01.1301 9147413 P•Ip«IIII 53130 Mm* 1994111. 1184 13140 600% 111.2140031 51,2341110 111 2942•312 251:0 2450 11211.1001 144.142 9,9“"• 4.174 Mine MU* 0.0. 1184 42140 53015 41154.110) $151.0•1 111 7~0.11 251:0 2450 111.247) ~512 P40909» 6.426 II*0 R.04 001/ 894 52540 1501 0.160.600) 1157129 10 414212 25-03 2456 01121) 334812 1154042 9.105 141.4 52540 1001 (1230.425) 1241139 10 2726412 25-03 2485 81391 340312 1154042 4.015 NIaCWM411M 141 52540 100% (5>»315) 5275.199 2~12 25-03 2487 151.574) 20.1•312 3447012 134» 11• 44.44-441 28 144 WN 13100 5.711.4 03400) $411.741 00 1544412 251:0 25.41 $‘340 1444942 1983454 41000 Prennanadienion WN 13100 5.3194 111.0300031 »mm» 00 4~13 251:0 2491 01.5201 1918512 1983454 321:00 15419/4841144443 11•• 13100 613% 0075400) 511331 9~12 251:0 35.13 9;192 29140-12 3154012 '70301 R.0•00.0.10#04»14.10.1 BM 52540 19011 114250.(0) 18.301130 50 i M0.12 25-03 2530 $51180 3141512 Pilot/3r4 21070 1242,13)04 CO1 52540 14311 0500.010) 5499103 50 840^2 25-03 249) (1410) 14 449.12 Peopt0/8 250)0 0011 0314-8004 884 52540 10011 00.35110) 5624303 23529-12 25-03 24% 8130» 251344,1 Peep~* 25430 Reg em 1424/8/153ep 13100 4.000. (11.35-1 3411.471 30 1424.12 251:0 2470 /3.211 749,12 PellpitlIál 14000 M Gn.atedty Cap 1. 13100 4000. (111.00.001 3741.010 30 10~12 251:0 2417 113941 44247.12 1.110015 4100 19~ Cm& Motá% Co 510 13100 4000. 0103400) 154544 30 194•94.42 251:0 21.13 111.4191 1118512 1444011 10100 ~00 184917441 881- 52540 50011 0250010) 5242214 50 241012 25-03 2473 82392 92491 2 3984044 110)0 W4114414 4 C030431 8814 52540 5.200. 0'50310) 5249191 13.1.4-12 25-03 2493 (1210) 6259^2 1/90114121 31740 C*Ot 90)01C*0 344. /01 43(0, 1 /12 510) 5772031 10 23529-12 25-03 2231 1115.4701 5449-12 N1.0.1 309 Cap 142. 114 1.111% 541 $7391 10 1718;42 252/3 2422 /3105) ferward 4140241 1/ 444 Centra« 5.1.4. Dne 423273 Notioefel 1434 1.441340 124 Dalo C443/41 4.441 Dme [on!, ad 1204.11 44.to1 2349.350 1210 2.10,000 01.0.12 1.0.03 I 119: 27 $59.472 224443 83@13 %O 3.1.13.108 USD 2.5001(0 61e012 12731 2332 1330^2 125 551.755 25212 6.4»13 %O 0.11500> US0 2300000 641(0.13 12464 1.341 981012 125 152202/ 21 /3510 25-k1.11 044» Comai3 X04000 1804616 283411 12914 11.951711 19/45,42 2140142 1141 1{900403 60 919934 2144143 130299 19.7244 194/12 1334 524,459 11.4.14.1 22.441.1 14101 1{900403 60 972.211 31343813 132257 131512 1734212 1111 144» li...14U 21442.12 14101 1{900403 68 47..251 n4/042 13.519 19.311. 2544313 1293 $21.438 204to 12 241812 1001 1190040) 1.110 934.7611 NOCI42 1292916 1291191 23-0411 1214 51.972 31'44012 5140412 0* 1139010) CIA i 0.0(0.030 5.44412 121 1395 214311 2/ (1841121 231:312 2100412 1001 1230010) USO 919039 261~12 129122 1297{1 21.19412 1304 113.699/ 2111412 19~12 1.001 12.900.0% 010 9.1.310 190n-12 130)82 13043194 180.313 '273 60.406 EFTA01121670 IP. MOrgan SerstrItleluc ri G IC! Account Position and MTM Summary (2012 Closed Positions) prepared ter Southern FInanCla1 PAC as el September 30. 2013 trade 0.191nr1 Clyslot Prerntuitn IlYptyytten DyretPon CunertCy TIPP* " rcort i Sµ40 CwrentY 7 IYpn DM' Orb Strontium 151 111 Jan 1E It Ain I) 110vrt Oat PA 19‘0)0.00) 4250 CYI 21002012 $125.731 50 116.734 30.04.17 723.itpta Sour :re rut 140)030 0300 0S0 CYI 1124 t0 40 020.10:11 70Arnt7 224.Y/,52 bb 0•1 140)030 ill OD VD NI 034100 14.kin.12 ',Panda lour 0•1 1403030 1257 1.01) NI 10.11030 (SIT.109) 30 1137.21101 If Myt.12 19,Nn 12 Sold 6004 PA 5.00).00) 1230 1/50 CPI 1931012 157.200 Mt) P351 1141.59.11 I POO 11 I) gu.40 lour tr. WI 100000.(03 8321 CAD CPI thug 52 640401 50 11.111653) a AU0 11 1),eu0 Solf p. Oa i00.0)0.0:0 7600 CAD to II fug. 52 1113.613 50 $413.613 Maenr 340 Ceamedl ens 0.191nri ClosP9 Presturn Potation Cpppedity Type Nellenal Sµ4e Curreary Mellor., Type CP4Ang Pyle n 0444 111 220)012 12Nnp12 Sob USD MI 115403 105 . . 27.»,12 1.111ep12 305.00. CPI I3102 1205 15,13.100 13.N...12 ($75.093) 10 0410010N 10N111 1.111ep12 s055 USD Pat IC0.000 3.3 0.000000 Olt 13.Ner.12 1184,06. 10 1114.03000 10.1u1 11 12 Noun 1.5005 1.150 Ca 14000) 115, 5 11.950.00) 12 5181.50)) 10 ISI14.0)0001 MO 12. I) App SOB USD WI 250.00) Ice 2‘0)0.(0) 04i i2100. 12 $136.250 61012.9)0 11.956250001 1.1101'12 I) iwo SOB 1.150 Fut 250.00) MOM*, CPI i2100. 12 $136.250 50 $530.25000 1.047.17 IIPa9.13 Sour 1150 Cal 214/00 la) 35.100.0:0 NI 12440,12 111000031 10 6200 wow) 10.0002 II 4).47 Sot! 1110 Ca 100.<02 795 2.00040 CPI 12440.12 1131,000 10 1133131000 lOyuYtt II 4).42 Pratt 1150 Cal 104020 119 I 900020 12440.13 11733.00)1 10 112310300:01 tat ••Co EFTA01121671 Global Investment Opportunities Group J.P. 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