at Await
SOUTHERN FINANCIAL LLC ACCT
For the Period 9/1/13 to 9/30/13
Trade Date Type Per Unit Realized
Settle Date Selection Method Description Quantity Amount Proceeds Cost GeIn/Loss
Settled Sales/Maturities/Redemptions
9124 Sale GS MXN STEP UP NOTE 11/22/13 LNKD TO MXN VS USD (1,O00,003.000) 104.50 1,045,000.00 (1,000,000.00) 45,000.00 S
9/27 High Cost 85%BARRIER- 5% ATM CPN-22.9%MXRTRN 11/08/12,
INITIAL STRIKE. 13.11925 4 104.50 JP MORGAN
SECURITIES LLC (BIDL) (ID: 38141G-HY-3)
Total Settled Sales/Maturities/Redemptions 312.434.002.46 (312,396.107.70) ($326.016.97) L
3312,231.79 S
$17,438.96 C
334.239.98 0
Trade Date Per Unit
Settle Date Type Description Quantity Amount Market Cost
Settled Securities Purchased
9/4 Purchase MEDLEY CAPITAL CORPC 13.00 J.P. MORGAN 6003.000 13.00 (84,500.00)
9/9 SECURITIES LLC (ID: 58503E-10.6)
9/5 Purchase JARDEN CORP @ 47.00 J.P. MORGAN SECURITIES LLC 1,003.000 47.0D (47,000.00)
9/10 (ID: 471109-10-8)
9/5 Purchase LINKEDIN CORP - A @ 223.00 J.P. MORGAN 1,500.000 223.00 (334,500.00)
9/10 SECURITIES LLC (ID: 53578A-10-8)
9/10 Purchase ENBRIDGE ENERGY MANAGEMENT LLC O 29.00 J.P. 3,500.000 29.00 (101,500.00)
9/13 MORGAN SECURITIES LLC (ID: 29250X-10-3)
9/10 Purchase INERGY MIDSTREAM LP @ 22.50 J.P. MORGAN 2,500.000 22.50 (56.250 00)
9/13 SECURITIES LLC (ID: 45671U-10-6)
9/13 Purchase COMPANIA CERVECERIAS UNIDAS S A ADR 0 26.00 2,000.000 26.00 (52,000.00)
9/17 J.P. MORGAN SECURITIES LLC (ID: 204423-10-4)
9/13 Purchase STRATASYS LTD* 93.00 J.P. MORGAN SECURITIES 3,003.000 93.00 (279,000.00)
9/18 LLC (ID: M85548-10-1)
J.P.Morgan Account Page 25 of 34 Consolidated Statement Page 28
Confidential Treatment Requested by JPMorgan JPM-SDNY-00023480
Chase
CONFIDENTIAL SDNY_GM_00292678
EFTA01499686