SOUTHERN FINANCIAL LLC ACCT.
For the Period 9/1/13 to 9/30/13
TRADE ACTIVITY
Note: L indicates Long Term Realized Gain/Loss S indicates Short Term Realized Gain;Loss
C indicates Currency Gain/Loss 0 indicates Ordinary Income Realized Gain
* Settled transaction was initiated in prior statement penod and settled in current statement period
Trade Date Type Per Unit Realized
Settle Date Selection Method Description Quantity Amount Proceeds Cost Gainiloss
Settled Sales/Maturities/Redemptions
8/28 Sale ZIONS BANCORPORATION VAR RT 09/29/2049 DTD (250,000.000) 100.10 250250.00 (250,000.00) 250.00 5'
9/3 High Cost 08/13/2013 100.10 JP MORGAN SECURITIES LLC
(BIDL) (ID:
9/4 Sale MEDLEY CAPITAL CORP C 12.895385 83,820.00 (6,500.000) 12.855 83,558.54 (84,500.00) (941.46) S
9/9 High Cost BROKERAGE 280.00 TAX 8/OR SEC 1.46 J.P. MORGAN
SECURITIES LLC (ID:
9/10 Expired Option JPY CALL USD PUT FX EUROPEAN STYLE OPTION SEP 486,250,000.000 85,000.00 85,000.00 C
9/10 High Cost 10, 2013 97.25 AT EXP KI .75 EXPIRATION OF
WRITTEN FX OPTION (ID:
9/10 Expired Option JPY PUT USD CALL FX EUROPEAN STYLE OPTION SEP 500,000,000.000 36,500.00 36,500.00 C
9/10 High Cost 10, 2013 105. EXPIRATION OF WRITTEN FX OPTION
(ID:
9/5 Sale JARDEN CORP @ 46.95 46,950.00 BROKERAGE 40.00 (1,000.000) 46.909 46,909.18 (47.000.00) (90.84 S
9/11 High Cost TAX 8/OR SEC .82 J.P. MORGAN SECURITIES LLC
(ID:
9/5 Sale LINKEDIN CORP - A C 240.00 360,000.00 BROKERAGE (1,500.000) 239.956 359,933.73 (334.500.00) 25,433 73 S
9/11 High Cost 80.00 T 8/OR SEC 6.27 J.P. MORGAN SECURITIES
LLC (ID:
9/10 Sell Option JPY PUT USD CALL FX EUROPEAN STYLE OPTION SEP (500,000,000.000) 17,438.96 (121,500.00) (104,061.04) C
9)12 FIFO 10, 2013 100. RESALE OF PURCHASED FX OPTION
(ID:
9/9 Sale ZIONS BANCORPORATION VAR RT 09/29/2049 DTD (450,000.000) 100.05 450,225.00 (450.000.00) 225.00 S
9/12 High Cost 08/13/2013 C 100.10 450,450.00 BROKERAGE 225.00
JP MORGAN SECURITIES LLC (BIDL)
OD:
J.P Morgan Account Page 22 of 34 Consolidated Statement Page 25
Confidential Treatment Requested by JPMorgan JPM-SDNY-00023477
Chase
CONFIDENTIAL SDNY_GM_00292675
EFTA01499683