EFTA01499686

at Await SOUTHERN FINANCIAL LLC ACCT For the Period 9/1/13 to 9/30/13 Trade Date Type Settle Date Selection Method Description Per Unit Realized 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) 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 104.50 1,045,000.00 (1,000,000.00) 45,000.00 S 312.434.002.46 (312,396.107.70) Trade Date Type Description Quantity Per Unit Amount Market Cost Settle Date 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 ($326.016.97) L 3312,231.79 S $17,438.96 C 334.239.98 0 Account Page 25 of 34 Consolidated Statement Page 28 Confidential Treatment Requested by JPMorgan Chase CONFIDENTIAL JPM-SDNY-00023480 SDNY_GM_00292678 EFTA01499686