EFTA01499688

SOUTHERN FINANCIAL LLC ACCT For the Period 9/1/1310 9/30/13 Trade Date Type Quantity Per Unit Amount Proceeds Coat Realized Gain/Loss Est. Settle Date Selection Method Description Pending Sales, Maturities, Redemptions 9/27 Sale VIOLIN MEMORY INC (ID: 92763A-10-1) 10/2 (500.000) 7.50 3,729.93 (4,500.00) (770.07) S Total Pending Sales, Maturities, Redemptions $231,870.83 ($235076.00) 03,1304.071 S Trade Date Chantey Per Unit Amount Market Cost Est. Settle Date Type Description Pending Securities Purchased 9/24 Purchase JPM CONT BUFF ED SX7P 10/18/14 85% CONTIN 9/27 BARRIER- 0%CPN 25% CAP INITIAL LEVEL-09/24/13 SX7P:188.77 (ID: 48126N-VE-4) 1.000.000.000 100.00 (1,000,000.00) 9/27 Purchase ENDURO ROYALTY TRUST (ID: 29289K-10-0) 10/2 5,000.000 13.85 (69,250.00) 9/27 Purchase VIOLIN MEMORY INC (ID: 92763A-10-1) 10/2 500.000 9.00 (4,500.00) 9/27 Purchase UIL HOLDINGS CORP (ID: 902748-10-2) 10/2 2,500.000 37.25 (93,125.00) 9/27 Purchase RINGCENTRAL INC-CLASS A (ID: 78880R-204) 10/2 500.0D0 13.00 (6.5C0 00) Total Pending Securities Purchased ($1.173.375.00) J.P.Morgan A000a'age 2; of 34 Consolidated Statement Page 30 Confidential Treatment Requested by JPMorgan Chase CONFIDENTIAL JPM-SDNY-00023482 SDNY_GM_00292680 EFTA01499688