EFTA01452692

PC) By 1776. Baltimore MD 2120.3 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Ac aired Cost Quanta Unit Equities (continued) Preferred Soda (continued) ROYAL BANK SCOTLAND GROUP PLC 7.25% SPON ADR REPSTG SER T PFD SHIS CALLABLE ON OR AFTER 12131/2012 ($ 25 Dividend Option: GM 10124112'.13 40,000.000 23.7900 951,600.00 24.5400 981.599.99 29,999 99 72,500.00 7.38% 01/07113 40,000.000 24.4400 977,600.00 24.5400 981.599.99 3.999.99 72,500.00 7.38% 01114113'•' 3 40,000.000 24.8800 995.200 00 24.5400 981.600 02 -13.59998 72.500.00 7.38% Total Noncovered 720,000.000 2,924,400.00 2,944,800.00 20,400.00 277,500.00 Total 120,000.000 $2,924,400.00 $2,944,800.00 $20,400.00 5217,500.00 Total Preferred Stocks $7,387,647.36 $8,557,198.00 $1,169,550.64 $649,025.00 Options CALL 100 AMERICAN AIRLS GROUP INC COM Option Identifier: 99QADTZ.0 EXP 01.17.150 20.000 OPTION ROOT= AAL Underlying Security Identifier: ML 1.000.00 of these contracts are in your margin account Undedying Security Price: $33.55 12111113' 1,000.000 8.0330 803,314.50 13.9000 1 390 000 00 586,685 50 PUT 100 AMERICAN AIRLS GROUP INC COM Option Identifier: 99QADTZ(10 RP 01.17.150 20.000 OPTION ROOT: ML Undedying Security Identifier: AAL -1.000.00 of these contrails are a short position Undedying Security Prim 533.55 12/11/13 -1.000.000 1.9770 -197.702.00 0.6500 -65.000.00 132.70200 Total Options $605,612.50 $1,325,000.00 $719,387.50 $0.00 Total Equities $32,638,751.87 $29,756,390.18 -$2,862,361.49 $1,883,229.71 Mumbled Estimated Estimated Oat. Acquired bolds Unit Cost Cost Basis market Prim Markel Value Gairti Loss Mnual Income Yield Exchange-Traded Products DEUTSCHE BK AG LONDON BRH DB AGRIC DOUBLE LONG TRADED NT Dividend Option: Cash; Capital Gains Option. Cash 07112110'.13,73 31,134.000 7.0510 Deutwie Ran. 0,naer *tali 64/..e.,414 Ms•te% C00.4.0 CM( p oe.:scne Dana lewnes Int Cosi Baas Market Price Vadat Value Unrealized Gain Loss Statement Period: 01101/2014 01(31/2014 Estimated Estimated Mnual Income Yield Security Identifier: RBS PRT CUSIP. 780097713 Security Identifier: DAG CUSP. 2515411558 219,512.76 6.7500 210,154.50 -9,35826 Page 11 of 23 B0IC0242CSF3001F nntat.C11 Account Number. N40-023804 SOUTHERN FINANCIAL LLC Lficathwit Go rkiperless RatrA 'Int 'N''" Ave ASO ' 1ST t-DCLIVIIRY DALISAITt RATED COMMIJNICATOKS EXCELLEOCE twos. ate 'swam rte. Pc. sr we CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL SDNY_GM_00256060 DB-SDNY-0 109876 EFTA01452692