EFTA01376272

From: Davide-A Sferrazza Sent: 2/6/201912:04: To: Stewart Oldfiel CC: Martin Zeman fl iam Osullivan Subject: Southern Financial OTC trade on the books [C) Attachments: 240776_20190205_20190206_1.pdf Classification: Confidential Stew, Alan Brody Southern Financial LLC (account N4G023804) holds EUR 2.5mm face of COFP 4.407 08/06/19: TRADE DATE QUANTITY DESCRIPTION CUSIP MARKET PRICE (POSITION CCY) POSITION VALUE (POSITION CCY) FX RATE (TO USDE) POSITION VALUE (USDE) TYPE 2,500,000.0000 CASINO, GUICHARD-PERRACHON SA ISIN OFR0011301480 4407% 08/06/19 REG DTD 08/03/12 N/C F1413LCN4 99.6200 2..19.:).Y.o.yx, 1.14070 / 840.9 I 3. :S CORPORATE DEBT We executed a EURUSD forward (v/d 06 Aug 19) that is still on the books. MtM is $87k in favor of client, per latest valuation statement: OE i•••••• 'En• .SOuni Southern Financial LLC (account N46026161) holds 100k shares of AAPL and some cash from dividends as collateral for OTC trades: TRADE DATE QUANTITY SYMBOL DESCRIPTION CUSIP MARKET PRICE (POSITION CCY) POSITION VALUE (POSITION CCY) FX RATE (TO USDE) POSITION VALUE (USDE) TYPE 100,000.0000 73,091.3300 AAPL DBDA APPLE INC COM INSURED DEPOSITS PROGRAM 037833100 PER980411 175.46® 1.0000 17,546,000.00 73,091_32 1.00000 1.00000 I /.'.46.000 00 73,0-91 13 EQUITY MONEY FUND Client would need to unwind the FX hedge, at which point we could consolidate the Southern Financial LLC assets (i.e. move assets from the collateral account to the main trading account). Regards. Davidc CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0072261 CONFIDENTIAL SDNY_GM_00218445 EFTA01376272