04.b. CIO,.

04.b. CIO,. Global Investment Opportunities Group Account Position and MTM Summary (Open Positions) Preparml foe Southern Financial LLC as of October 31. 2013 JP. Morgan Securitim U.C. Curetnt EX • CormikodIty rates WOMEN USIXARS MOO 110231 1.9)13 0.9001 KAY/S0 USDKAW triDCAD 1323,15 1060.13 IOU? GIPUSO EURUSO VSOSaY I 6037 liSCUPV 350) 1 596 USD1101 VSMIOK 90350 21306 5911 hi tie Illoueber Dade Pete Snaked %herds Company Corneas industry Oiodend sold Colt thni. (Si flakes Value IS) Letry Niaa (Lout) <wrens Prior 0.ocre) NUM 31.40) AC ASCO Actors EUR Cansumu.CyJical 230% (1162.2316) 0077)8 20.0 3302 04.313 ir.sma.,3 AC 050 Amor So EW COMuratf.GYOU7 230% ($167.100) 5197.938 29.53 )302 521409 44..13 ADEN 2.4)0 (WeccoSa449 045 2numer. flowsmIlo 249% ($124.1561 5177.102 M.5) 16.95 59.02$ 124,4.13 ADM ZSCO Mews States 011 >mows. lectstmlio 260% ($171.1261) SUI4.564 604 669S SI7502 31.00 AM. 10500 4 /10(00194) Eta COrnuratf.GWIte 000% 1$75.171) $90.012 5.22 6.62 5218.11 124..411 ACE. 10600 Autospill Spa (UR Cansumor.Gydical 000% 1175011) 194.411 5.37 642 519331 11.0.11 1106 10.900 World Pty Ow Spa (UR Cansumor.Gydical 000% 6914291 $120.60 6,44 Si' 52460 12.4.40 (0F 10500 V.4)00 3542 Sfs) CIA Comumtc. 40)144 000% 391.701 SIIRP9 6.56 056 1)lμ 32.0(1.11 BAVi 151,400 Musa Sanpaola (UR guar el 000% (13116104) 1356.102 I.B. 11.0.11 alit ZSCO Ere Paribas (UR euncel 2.7S% 0190740 1105.104 4167 5454 124930 ir.sma-1) fup 2300 Bap Pylon EM aunt 41 27S% 016F,μ) 5105.206 50 10 5454 534220 11.0.11 CA 5500 °negate St (UR >Marna% lectecoliG 2.15% 0167.3310 $.201.656 1324 2690 534220 irsma-1) CA 9000 Quebec 54 EM ures flon5015. 2.15% 51547321 "03.23$ 2343 16.90 $2003 944943 CCsi 5.650 CotteCole NM 4.2014 GBP 'emotes flon5015. 110% 5167.60S) 5163.270 19.12 1002 327) 114.4.11 CO( 5650 Go( Kola NM A.s.Cch On >mums. lectecoliG 00% (1163.670) 116).275 1671 1902 (1392) 5.'47243 PM 2300 Promo 4.2 franthel Moon EM tvIwIrtal 2.19% 5162.9270 1193.728 69.14 PDS 130.743 124.u.).11 FM ZSCO EnWol 49 haMfort Pilsen (UR trefukuvl 2.19% 0164.7110 1103.725 4947 S7M 524010 5.4.40 kt07 143507 Myth Bank+, Group Mr GBP Cesar vl 000% 0174.911) 11114.0) 0.77 0.75 11,721 5.4943 CLOY LSO Wirth Brew, Wows PR GBP 5200101 000% (51.722) SIMS 0.75 6143 114.4.11 kt07 14000 Myth Bank+, Group Mr GBP Cesar vl 000% 0166.001) 1175.312 0.76 015 19231 11.0.11 IWO 2.007 Maa.ft S. EUE Gensumfr.Gulical 2.67% (1115211) 1175.248 Sr).29 (451 520,037 12.4.40 MIO 1000 knatIt EM COrnurattGYO 7 267% .5159.729) 1175.20 59 96 64 51 $15519 11.0.11 500 3500 Gompfoni•fm Sant4oban (UR indukuvl 320% OIS1.611) 114.196 34AS IS 71 124514 12.4.40 500 3250 Compegnie De Sont.Goton CIA tvIwIr 01 320% ($157.20M 1171.039 36.33 )075 51;3- 31.00 VOW) /CO Volkwara refew4 COMumtf.GWIte ISO% w6,μ) 1177.992 1)969 10720 0202) 114,4.13 VOW) 7C0 Wit Caraumor, Cyclical MO% x11$51 1)71.02 ISS46 1(0 20 7..m Yolkmoven Woof Structured Mates • Mao Pt vie morn ol Trade Date Maturity Face Amount lOn9 nest•Tplinn Cost Bath (SI Market Valise IS) Inlinnt ours Prue IS) Received 2 "5013 .Aujl4 w1) WEN SYSF 60wEKObnlrerduon.irLC.Plnloal(ael'21M.29 (57.0:0':0:( 52)237.03 50 00003 Awe,. 2.0)00t0 SO Market MA WOCrude, 7575% 44(4410•CPN. NKμped 0.2.0:040:( $1.90.000 SO swoco 245.411 17.0350 1.00020 PM allIS)OP. SS% Cent belly. 0, GPM 2S•Cep, marl owl 106 )7 (170:0502( 11.00003 SO Waco Curren) Prve WI PROT0 Account Position and MTM Summary (Open Positions) Prepared for Southern Financial LLC as of October 31. 2013 1.11 Morgan Seturftiell/C. Colliart FP s commodity nits USOMali RADIOS USDO4f 130231 59113 05000 )01)150 uSOKIOf VSDCAD 132151 10(4.21 1 NV MINA) 1LMJSO U50'T 10037 1 3513 1 596 U5D1PY uS011111. uSO/OIC 90.150 22398 1951 Intoenational Mood Income oPriremi.4111orliorq 1/ ado Date Maturity face Amount lotus SAP Rating Cunoncy Coupon Principal Cool 0) II.rki Y.W. 15) T°I.1 In Yield to Wont Enby Prim Conant chive moral' NUM Accrued IS) (Loud) (0-/m.)•)2 ifOns10.0 Ouch Oink /lc 1311. USD 1.675% 01.621500 $1.216.210 5218184 3.12% 10892 1197S 5181214 21.1x4)•1) Putputual 3.0.10,0:0 tbg Cmstatfle.1 Nc ea- USD 1000% 012415055 51221000 5106461 CM% We Is 107 SO 114.162 115tp-11 180(1-2015 15010:0 PutroVos De Yenta/Mt S 050 1000% 021$0.09:0 SLIM 700 $15.625 1250% ¶000 $219 /1546751 Mocmaspe and Asset Sacked • fAsnual Pci a «foal 190% Dade OM MaturRY Ori9"02 rat* KIM SAM Rohn In pot Call Otte Coupon Onn0022 COCO 0/ Mahal value IS) L' UllitinC•Int csurot Prun ttocsb (SI 61t4113 10.02032 $.201020 seim °nolo, 1.601k, 07111,2,21 071973 554412 )3.75 2829 141926 2340442 2541402033 3.321000 001200126.1 naslon 1335% 0.,231.220 5452.223 5311192 7700 6503 155.107) 111-Apt.13 )5.14..7033 4300tM0 &Al 2009181 tas000 5.750% 014441031 51.161191 512%561 15.50 14.16 $31960 30.41023 21apc2031 2.7261C0 Sam 2001002 ccc 12/259013 6100% (51.071313) $843.625 5210319 10100 94/5 a It 3sel 119.42) 21/912035 10.030100 Min 200921412 cc 1 unnou 0905% 01.0911244 51.212716 Sn191 6175 0291 sztsmu 16.00.11 211ca.20.12 4251003 Goa 20014.112 10292014 5.200% 02.92106) 51966.585 551.540 1200 9165 1811/19 Worn aid Conlon's MOM So tie e Trad• Palo floatation OatOron Coin my I lyw Cvnutcy 2 Notional Straut Corronty 2 OM. flarriee Type Oricpoal erommu (3) Currant Premium (2/ //man 11(.094 11. 1 5 1110.14 1110 1 SVO USD USD CYI NI 291000 211001 11000 9110 MIT BAWL IMIT WWI NI Call tip 010835 02624031 1562501 $14.92/1 03236941 0•57.572) 1231.1/16 $X Option,' RAMP (12?/.2661 ($2217cm PROT1 Account Position and MTM Summary (Open Positions) Prepared for Southern Financial LLC as of October 31. 2013 LIS Morgan Wanner WC. Current FP • Commodity rotes MIM Snapshot MN 1.0 Alf, Moe MI 1ST DDIVIAWO AITTITATIVO What ď Miscellaneous USOMX11 120231 uSINAS 5.9113 WOOM COON %n1/050 LOOneti V1DCe D 1321/02 "Pus° 1 2A33 VSD1tY 90350 4060.13 0.021S0 13583 uSterkt 22)% 10427 USOTRY 1 WS uSDnOIC 5911 (Awn Minl TOVITIADA PI Opor MIM • 2013 Oared IN Perlonname Smoak°, 1443.331 S311•971 Ma 302 TRAMOTROCO StOTAMAT HAW WAN RAMOVTD MOM TMI DATA $910.•66 52939.103 SIONSTO 2912100 OPM1MTM 52.477.17S SO W 39 Current Open MM $1.122.031 SO W ORONO 02210191 WIDOW VT° ChODDO Oinn Ram OtS911.144) SO W SO 1013 PA. 53.0a.SW SO W SO ADAMS WANTAA Own Ate PROT2 GIO Global Investment Opportunities Group Account Position and NIM Summary (2013 Closed Positions) Prepninal for 5oarthern FlinarM0 0C e5 010.044~. 71. 700 murret 52~2242 t/C. Tude 04. 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MS 0000% 5111000) 517.591 5225.345 10.5.9.11 ISSO IDO $21019 PROT5 GIO Account Position and MM Summary (2011 Closed Positions) Prrpred Southminn IFIniertUY IL< al Ocliaber ) .1.1O12 mammas Twin Li& immpationli•lied Yxorti• PA. PROT6 GIO Global lnvestment Opportunities Group Account Position and MiM Summary (2013 Closed Positions) pl0pnıtO lee feullNen rınanlw llC as ol oaoOD« )). 2013 91. Mar4n felunOM LIC. Moe1Mn and AMYtiW ııaM Mnıurlry Or✓3`nM D•M lııue SMpe[ıy Nen CMID,Ie Coupon nlnMpMCo,11f1 MonelVWe151 00I4' Il kwNnl CbaM60eM nIş flLx•1e (lo,ino Şike 0.olı0 IIÇIpI) 25MryN3'ı NIM9f0 54w1) 21-iş, IDI> 1,2.100[0 14fNuı2 25AV.20>5 ı0o(00% 24Nw•ı2 84.0200 t2949 4-Mn 4) 25-A32"29 9.554A10 205-13 20-A.)2'54 6991010 Mm20)521MI 4nVI(06A6f Im.lW1J IM1 CNu80FA1MM MnM410111945 lnıa144701 W. 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CM.•,oR.2• 40.x12 04m -Il ry t1;00Ro9 C36 00009 04m 15 00.431 825 4ymil 490 Ib852N 10M.of 2lawM 5o0)1 1;909o USO 1,01181 271ıaf 1,721 12.7422 8.Mp1 121 312.38 Sıdııl o.Ir.B MV1 1;902 USO 1.41.41 214.3.15 120073 12.6:4o 2I' 1 1214 5U>a 2N0ı.12 419013 04 6025944 RN 50919 41@13 1207 42054 301M13 2371 5179,014 244012 61[013 00 6025940 [U1 501103 41.6ı3 1207 42054 44M03 1 2)910 510.3912 4Dn1 4-9.613 YV 40.406000 C30 900).0(0 3-9.61 411 101 74M03 93912 5474431 7.1.6.11 I2.M.no l9 010,044.400 CID 0000,030 7p.4I 9140 o914o 1M4I1 9148 1230,90 EM.-1 LI4.If l9 o18949 CID 0000,00 41An1 9141 11 73.14.141 93.6120 0107771 21M,"12 126'11 19 921o449 CID 0000.00 1%4~.li 9ü5 1,112 21~41 05.10042 54117111 49.6!) iμrı3 04 631330 (VI 5000.10) bμ~!3 2.239! 42111 23141 122140 55910 23A013 2óMırl3 YV 91.94300 CAO 900).0(0 23'μ~o3 9474 1634 23414~II 9902000 52250071 ı4μp13 114'11 USO 6000300 (4%' 5314.80.09 144911 112635 114.35 1411p.1) 4,42120000 552517 6.NY~lo My.oo 91 41139 oIR 1400,19 6A44'15 1.224 12173 212~42 12111 X107o. oYW4o SAdp4o 21Y 411400 CAO 1.9019 oAdool 194 1071 o.MqM 1110 121358 o2~o9 81u012 IY 244771300 CAO ;100.100 21.34m012 o9m 1025 242..22 4' 4 $4015 23'40013 100013 AV 41656300 CAO 50900) lCN153 9310 93» 6099.13 809009 600.13 400a.13 ıry 464530.407 CAO 50»1) 4N443 9)99 9399 60ıt1) 8090010 aı.024nn CannMOlry 0}005 O.0 4pD.,bn D•Nlmn Conr,o4iry lype Mo4M.uılw) 35,53. CuneMlNa,ıneı 4)p. Cb,byO.M DıoınM CW:ry..eruınıSI Inmlum Ifl ıP4142 104511 I4A~A5 30-f0.13 0.1015 1..4311 »U 4034' 4034' Co", CON, CO1I PC' <sí <sí 04010 1020:0 1030:0 29 111.3 73020:0 52471992 CM1 PM P,1 1120)01) <02,3-II u I $327.19 I $0 10 óı0ın,. 10 3o71040 1187 410 X0400301 PROT7 QIO Account Position and MTM Summary (2013 Closed Positions) Ptepered let Seethe." Flinandel ltC nt el OcteNtt 31. 2013 I.P.Merypen SetutItIn 112.4.0.13 11.413 fell CCCII NI 10)0:0 μt1 414030 CM 11.kiltll 5.030 10qua-13 10540.1) SoU my (SI 5.0/0.t0) 9325 VS0 Nt Do y09435 10 Sep 13 MAO 10.14.13 10.540.13 SOU PY PI 4,41.505 105A9 LSO 011 10 54013 06300 10,14 1) le Ste•13 eOveet PY NI S.0/0.00) 10300 LSO 011 1054013 Ill21.5011 latap12. 00.6011 Nu*. WY NI e090 GAD Cal Itecel 1 It MUM &Ng 17 Oteel 11 NU WY Ceti */00,003 14111. GAD NI Lion SODAS 1.01e11 342.101 Cornme.dity Corea. Pt so Ilsoleaco 50 MAP) 50 536.544) 517.433 CSICACK11 11,314.010 50211 10 54205 11.311.41, hic• 001.0 $531.00 693671 405.47 577.570 431 1583 11914591 1/1115 13/40.0 1a51 μ54 Synge Under my Dew 116r h 311443 3 Ftt.12 Sete 13 .00k IM 1502 lei. I al% 54.014.412/10 1$45.9570 1454.441 311441.13 $46.9511 314&41) ) feb-13 Sfeb 14 44,01e1sc 4.438 NYC 1 001 51017.2330 64.1421 145531 1240.13 511•95 311&41) ) tels13 Sfeb 14 ASO* Is( 4.08 3..1. ISO% 51.017.7330 01.4.147, 545531 164403 S1&495 77&.μ4.H I Salm., l leμ,1.4 tap nempon tweet &Hell lel. CO% 11.9/1102211 011,5310 2104.51 11412.11 I titi tett et 41.044.314 PROT8 G I Q Account Position and MTM Summary (2012 Closed Positions) Prepare0 ter Seuthren Fleaeciti ll.0 et CI Otteber 31. 2013 1P 14040140.13lesUC. 00, ome Sepete Compter. fermer7 Inepte. 1:M;"44.4 ., :i Ceci tes, 01 ver% et «hue 01 Ore'« 0 e 4 ente" Pi« Met« Ocern0 Pet« 111.0.12 MS 1)500> Al He« «ring Cc«. 00 prti: Metre-es 030% 660).0o) 1.019.645 1S No• 12 400 36) «Men ALS.9 1403 Nhon Tneerepen«...« 010 con.66.6 offlud 1.97% 0.124200) 51,17510 110012 2103 !MI 1340313 e13 y 404 AP,...mernene«,Kabte 010 «tee« Neneyds. 000% 1141.08 1.44351 150813 ion 1041 $114 21.00.12 ACC. 7400 rem« Cent«, Connue et U10 lea«...1 4.17% *mute) sans» 040 ,12 4 111 4407 0119 Il 10-12 ACC SACO nerein <en pn onmenue 050 1:63,(b1 457% 0221.210) $221.095 0 ,10-12 44/5 4422 (1155) 1404-12 014C 94(0 «pet« 04,0 rte«, COn WC, 11%.641 14,74% axoscoi 1307.710 18 M-12 3410 34.19 500 74.1.142 AGIC 15300 «Net« 040 , .67047 Con 050 Masai 14,74% 0445055) $415493 44A4P12 29.35 29.38 5444 110012 An 74210 franco, F. naca, Geous 1110 Mme, 079% 01641.191 5047.791 110043 3230 1440 09.470 I14«..12 An 11.000 %nones, h. frubce, Grog 1110 Mme, 079% (114200) 5091,010 1144941 3230 3211 14.133 1.499,12 An 4103 Vninain ht• vers, Geous 1110 Mme, 079% (3192101 5199.10 446012 3030 310 $7.491 7 140.12 dn 5003 001.241,..«.00«, Gex" 1150 114,10441 079% (11525(0) 1152.60 7440,12 3050 3053 5145 IS 14012 UV 2500 Nnteles Peleer, v, 1150 C04.00«../30011 7.45% (1103.1231 1101.374 1414012 41/5 4055 51.7431 24 14012 81116( 500 Meie1tr. 050 psetati.N01.001 000% mis» 115.656 244012 19.0) 31.81 14.154 1.0013 MI 4.103 Opole Cerner«, II« Pen 010 %rare& 010% 11746101 $74419 3.00.1.1 14.90 1012 0211) 124012 man )14 Apalle Peneires, 034,9•4• 090 wons, 1041% 00001 14601 1244011 1471 17.94 (14440 8100.12 ARG 14000 eee00, Resreal Inc 090 Inom 400% (MM) 120440 304«e13 3093 304 oh 25401 170012 MCC 2000 Cli6133 CO% 050 Flonbl 05% 0954301 150.400 17.4012 1481 1680 If» 210012 ACRE 3.130 som Coniuuse 4661 01343 050 13340401 404% 11512751 154543 2444012 1850 1795 51.73)1 814012 40 )30 .666366631066416%stret 1)50 00095 ($1785(0) WU» 3410e12 S200 51.12 Imbue raumer.INffletzb 044400 MIN 11000 may sopterna LOO 40% 1142.11.0 MS» 9414012 3/11 330 (Kea) 40042 MI. 4,14,11polne Painenlp WC, Cram 443% 0105170) S07337 100.12 310 .0.44 01141 »MeV MM JACO 4.sciara %Mon Lp WC, Cm«, 041% 113131 516007 214.011 213 2247 0230 131•33, 12 API 1.250 maous Conn%nneOnc WC, 11«.011 3.42% 0162001 1,44153 21110..12 13000 min 53453 1.012 AVG 1.10) 469 Tter01.10le 050 140,0000 01)(0. 016.301 521918 249012 1603 1331 04.4121 1 Ft012 0) 1.310 entonne. sits000nse 050 11,40(111 20% (1814401 $11.707 I fit, 12 4403 4052 1707 1.0.9.13 11.1.01 ISCO Illeomnt 44.4131n. 1110 Cemume000.1 000% (111.8401 131,471 10.012 11.0 nia ft571 40.417 IIWP 2.103 teretlwet 1101e. Patin«, 1110 Cengt 7.11% 004111 $14075 21691 2471 01001 7404.12 IIWP 2.103 teeitliva. R0-1.9. Pognon 01, Cnergr 7.11% 10131:01 04.1114 2710 2731 01441) 200.12 IMP 1250 10rtMet PnigieKvirtes 1150 4.407 7.11% 034.031 531899 24446.12 2755 27.12 (1.511) 1311012 IMP 1440 13.0.60440 Re3314661 hW% USO COleve«.4:01441 040% 0202061 52(.216 if 14%52 1449 1449 SO 2244012 CM 4.750 Oes4rtire 540164,13 USO 1114UWee 040% (1742501 174.376 221%612 1140 11.02 4128 &Marli con 2400 (aune 540606.164061$ 150 V460 en% (1550401 $46.494 040402 2550 2425 (52.501) 344,12 CO SAN 40,10140004 IAD %%al LOI% ($110.030) $109.101 343012 220 210 0911 3•44012 VAST 8400 Ceuta Mme lys«, PeA IAD Indant P00% 04/4071 MM 414,3443 400 424 $1,101 3,144,12 CPAC 77,000 'a mi« etermeto 14.3 -At IAD Inenimil 1.13% 0110300 $211,731 140412 11.93 106 11114.76.), 44012 615 2.475 Ger01:07 01 150 es3ente.Non-cycl. 060% 1149.50)1 $49.978 414612 240) 2119 1478 2440.12 Of 3640 0636t 6.6.636566 Ine6)3 150 00097 C300% 010001 5107.0) 2440.12 2803 29.89 14.10) 1,04012 0 1/10 26000 Con, . (6666 OC 11613 VS0 0091 572% (042001 5635560 1406.12 3213 31.0 (57.007 134042 0910 31300 Copia.".91110Jrala 1110 Item 072% (1414601 Wou 1344011 .1403 300 01921 20.11 CIOC 31300 Comptes 01fice «open». 1)10 IrerMI 4.47% 1141.131 311,100 I140.12 2411 243 1113 20011 0.14 1P40 ihdranse, 100 Inerto 393% 1147,4701 144m 30042 47.42 4443 61111 540.12 GT GAO) e1pMN2ern11e 1)50 11.44.071 341% (155001 554700 554012 620 34 2714012 Cll 1210 Geai lu% 7.tost 050 n'anse osso: M1913131 100.050 27.10.12 7225 7260 5538 43p12 OG 4150 DOlte Canal crep 050 <immoler. Clmlesl 000% 0231613) 1235.303 4.4012 479 4754 52491 0140.12 00 4.1CC 400 Comtal Cap 1/10 Comunte. Celui CM% ($70117,) 5206121 244•41.12 4071 4019 SM 044.0.11 1:01011 7203 Dante( 44.0 Croupe« 1/10 Comun0. Psi«, 150% 002400) 5211,PM 30.1•41.12 2093 22.42 0410 90012 MAX 1100 Crue« iten-41.40 Cap 1)10 rerenet.Nee.cyche 40% 1104.131 $71.910 940042 431 400 065931 11601E 618 ZAO 011414 rteeleeP«0«, LO 050 fret.» 110% 1161.4101 364474 1154%12 34.34 3424 CINO 2 40 ,12 0.00 275O EPpro tr. 050 lechno30% 060% 112).401 525.976 264412 11.% 1259 52m 2,110-12 efl &eue T nesf ei ea1.41,1-0 050 E.091 103% 15442551 314.05 3416612 4457 4333 01.10/ .1140.12 VO .1403 Inrryaa4pyp?alma 100 Cntgr. 4.,0% enosie 5141,00 04002 1107 Ion SIAM/ 31.7.012 6014 JACO MdenunPelmn 100 Cmtgr. 1.2.% 1114/001 $4494.264 274042 21.0 313 53734 28414e12 COR JACO Igue,/ No tedonstdi 1)10 Free& 1.00% 010300) 1.11'131 240.42 140 4421 11.714 10410-12 CHI 1.401 E• Ene0 he, eM110 050 EtC.0 4341 01323101 $121783 101%612 4795 4421 1473 124012 ET 200 (Tempe 06 050 Cennu, Gelltn, 0(0% 1145.4(01 $44.444 1254.4.12 2250 2322 1504 22 141e12 52 750 ExenbeeT 050 C06.6.66.666.3 040% 11142501 117.276 22603.12 1950 23.4 15024 1/1444.13 LXV 221.0 01.reen Prima lp 1)10 tn•tql 08011' (154.1131 $13.144 lerell>12 240 200 Ou% 1743,013 17,300 l'imbue inca 100 Crill.,4%.0.94 400M ($0336:0) $4163 1.04.12 140 1597 011511» 1144,12 nt 7400 IsIth IlentIntece Coq, 100 tra.4.41 1127% 11171.1331 34m wiers, IC09 11,14 ($2221 29440.12 GRC 3.315 soitritossionn2co 050 ritett0 PM% ($101250) $101.675 298042 3001 3113 1425 1269442 UT 1.513 643.6 (tope lecnnoboo 050 free*, P00% 11202601 121230 'HOM? 2003 21)4 11.960 38494.12 PAN 1.50 4.40%.303641661,3600 050 Coawnn. (61(41 040% 11464(01 162.183 18444.12 27 60 2112 1785 214042 MN 130 Itenortmlic40,43 Cc« 1)10 T6e6.6.., Cydul Dam 1117lAtel 112345 214042 200 23.10 1.113 300012 GLOG 1.400 0.4091.10 1)10 tneetniel /PM 1171.4031 11411173 3000.12 140 1271 f$1.7211 1444,12 11,201 JACO Gnou 4VInwnIM Ine0 A 100 Ineetniel 1<O% (02,570) 1117.102 1444943 44n 4601 $2447 11/0-12 06.10 900 40001 renom* oc 050 en.ene,. ré:.<00 00013 11364(01 137.431 21.1.4.12 420 421 193 804012 4NC 400 Gr% 4310.393 660 050 Cfflunn. Cethal 102% 02112(0) $211.284 4.4103-12 3520 3521 184 14 14012 4NC SA01 Gr% 4310.393 660 050 Cfflunn. Cethal 1.02% (11130.9(0) suessi3 1.03.12 33% 3313 (3)831 130..13 DAC 1400 1.01.41,01.40«,1000 0 010 tneetniel 400% 1010" Isooss3 0.10 0.10 40 24.4.42 GWAY 1400 ertamyreeelal Technerest 010 Tochnotow 400% 11114001 111.621 244412 1100 1204 $1,471 3040.12 0103 4400 Gn.«. lin100n004.b. 010 lerna 1.MM IM.IOI 00.440 wiers, 1219 1211 31,701 1940.12 oses 1.50) otiesoss Soie...roux 050 10,e0.00 040% 110.3151 144071 194012 2815 29.38 0.70 2S /4.312 OMM 125 0.100.16 53436.61nc 050 101,(0.01,7 040% 11,44251 118,741 2501.12 4340 1616 sen PROT9 1.P. Mp.« 011:177103 I1C GIO Account Position and MIM Summary (2012 Closed Positions) Preparod ler Seuthern 4104040111C 44 el 000« 31, 19Lμ52 7 40942 220%12 259nμ12 110012 14012 LMrμl2 .14.4 140 HOI MR 110 NOV HM 1.03 2.750 4950 4440 LON 24110 1500 Pl• Mb C ro ~lex /400 Cdtt Pal KR 144Wth Can 11.41.9 .101,040 ROR. 7.1.511% Mena US& Moklegan 1.10.4.0.744merpteda• klona 0.74.00041%. 130012 Ila 1440 1.141).41)000. 130100 409.12 da 2250 1.000199 0.~1011.91 10hμ12 10.40 10) ~0 PhanaKtonk.» 0 903013 8411 1.103 Km Aucum1.0041.% 04uμ12 FAO 71000 kimonm10. Co0 0.4.41.12 KW 220 0.4 135.907400 410411 1104012 10114 100 30 10190 7).. 000451 120142 1.111 2.475 .00041~ 114.400. P 1404012 UPX 20.00 1.0.10•14•0440X0141« 1243013 1.14413 1.20 14,40.1. 12~12 1.0 4,04.3 Len 04071-1.0•0 144012 URA 4100 Lp( Inntil Modna .% 140.12 LO« 1425 lulb).0.1).9)0.44 440.12 51140 4440 MI 14040. NR 1.0912 IIIANU 2925 1.04M4001114110111 0 • 334.112 1.410% 200 1.14000.110Ing. Inc 144112 MON 22500 10.1011100.50 71/10111 200412 MAIX 2403 Vonnuct 1.1000050.10 2341012 10.115 1.00 1.101e130014101, 91410 250242 1.03 2340 14« 11. 740, 0 N5111 2400 44.004, 149111190 10.70 344012 1.1.414 .4000 1104000400.9.44114. 3143012 NAV 4003 Neaus abornmorAlCero 204042 NUM 7410 %Mon Modem /.... 2144112 NO 5.9» 10" <on Te. (t.0.9,4ø 2 1012 116 11.210 04.02011'0.4,014( 5 1012 16 4400 11•09140.97 LO 114012 00 100 0310ft (0411404 Ut 21.1.6.12 00 100 130.4 1%00 0 3.1.1012 ROTT 450» Nok Cpm 04 hud 314•412 114141 LOGO 94.40,044 ~mek Con 5~42 1611 4950 110014010.0144 &409.12 P941 14141 1049rtne540%94.44aotC4% 15~12 PETO 140 04 44443/ %C 544013 MA 1.040 Mor* NI Amt. 40404. lp ~.12 1.0 1.040 IvrPorison Lo. 2.0012 00 1,10 Cor tmolY LP 104012 00 2.70 Co (410470 41. 94444.12 .31.70 1250 Coo.0 06011.000 %C 294012 00 1.130) 7d.04 1741043 0.7 2.503 timm 40homcm.mpoota 1544112 Ir 3.150 4,40-4 herm Ina,001111 1143012 RIM 7.203 4.47mgy Molde, Cars. 1440142 RE 2500 (0.4.,ns 144440, COM 5 04.12 ROM 7.450 1.9.10.4010.013me • A 300.12 11161. 2440 04.40...m..14..400 1)4 144112 MOT 22,100 0.04.401.7.0 00013 SOAC 1.103 ba Connon00-• 0041. 140012 91) 1.103 Ilon am. Pad% Inni Corp 9~12 SPG 2250 $ mOo 770010004.9141 100042 5( 4.30 5004 02.9.01. 191012 SPLK 2400 504.04104 115~42 MK 9» 0.01)%4 0.40.12 911 203 aoarta Impan• hrinon 41 110012 MM 4,003 904. 00,04 Pannen Lp 144012 1161 1250 00410.10010.01.014) 551012 TGP 2400 01.01.01Print01.6 2094912 TRI. 000 To4441MC 044012 11.41 1903 Tun4104.0 09 1944012 TUM 1011 Tumme4dnaTr< 124012 TWO 0250 1.0 Ilarben irmosmoni 00 224012 TWO 400 P.01.10000..0.4(00 114~12 1140 13.725 P40145000,04.4100 10000 IATA 2.70 13145.0.»Cfnnetos • fon4 140012 Mrst 103 1.4.40004.00v Potirom Lp 144uμ7 M114 150 1400.4004.01)..emn Lp 1340012 V/111 l,Ø Wnguard Nowal 0000 7 DK.12 V110 5401 9440•00 • CIA 110942 VNTV 2.9» V01101« • Cl A 22'14'12 VNTV 4.9» 94.19•1« • CIA 144013 .441.5 7.203 Van he 740.12 VIMA 2250 ~ta conment00.4 %c 4444907 VIMA 110 Yo<er•Ccomownoecranc 8€€áág€88ááá888ááá888ááá888ááá8€€ááက€á€á€€€áááᧀ€ááá888ág€€€€~~€€€€áág€€§€€áæ fremsi 114001 11414461 1~01 Insurnor.N004.0 Comumw.Cyckal ramn. 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PA NN 90% 151.011.1011 91AWA20 63.01) UA»ıi 1101!0 SIWO) 152011 NN 9f0% 111.020.401 11.000.0» H66N 224u>12 110200 S>00) 1240 NW np9% 131.001,1011 51.123208 'istna 17Mp11 904,0 3>10W 5200141 NM LW% If1r».1WI 33.010221 104310 54012 $04.10 511000 Ulen> 14* 6»5.280 904212 $101.210 I1.4q1> »410 3>10W 3315,20 200% 609930 $959.777 5165721 514912 $925 1503M 6244394 NII 200% 111.140.1171 152X.549 $195.111 5.Mr12 "as S100W 62»704 NII MO% 620.1391 13X.6» 145215 3444p92 "as 1103» 16\00 140 MO\ 11.D%CWI »",W X 2Aup1l 5100 55.26 65021200 x41 CO" 111.045941 51)39»7 f»%fW 24441! 31025 311},1l 3310,4}9 NW 999% 6414151 1147.474 41»,107 244411 51025 »1},1l 5110}1 NW 000% 151,2702071 11309.000 5129X7 2ş72 112050 110920 1159207 10 00% 1f10M10N 13.162400 10 2554012 1103» 150540 15627/00 140 030% 11k.0M10N 1129}$00 10 9X.12 1103» 1109,75 $97.500 140 030% I150MW71 1531f200 10 2054012 11000 11%30 X15200 MA 000% 11;152.501 5,410110 110,511 15030 sın.n Susy» MA 000% 102400.001 5050,420 140552 5100 31352» 52010,570 N% 000% I02100.4091 5101.»0 354.212 5100 S».» 610220 N5I1023 525% 11535.9141 1%1.5» $2403 607012 X%X 150324 13599 N0 050% 11f2h0W1 15»992» 1X.055 240012 $9110 150303 150»1 N0 030% 152070.100 62311.30 214,052 110300 S110X 1251.30 N0 000% f5.0e.ew1 S.2n}5 54.457 51100 51031 3377300 LIRo12 210\ 101,55.0201 54035»0 3540» 201.142 50417 5105.1 141,710 LIR012 25\ 6124251 524420 5_1 144012 X90 5110.10 41472 Cu...n<. Co.po-*1 nrnnp.<o.uıı wna..u.uı uo..g0.1. 4;WMM 0°'I^m<' 9[ı.uN(U Ixıb WA<ı0 USD 7375% 6)01!71 ł)1.ı1) 534}6 IOL4(12 IOOX 10).38 $31645 w.< Cal< Onu Coyan hln<Ip.ICo51 N) 14.14.1VW.151 rWIM' <Io1ryD.10 Imery nı<. ClounO l<'<. IocaD lo[aD 475e022 3 »% I93. 30> 5 ıw k> 9682 9645 11442% 0)2022 5125% 593650) 11 9*15 9*65 54%0 2NP1v2 3210% N52.20> b <91ee. } 17.47 477 f49W 4.145 3330004 5116)510 51%.747 5140449 3335r{ SWws PROT11 GI Global Investment Opportunities Group Account Position and MTM Summary (2012 Closed Positions) Prepared ter Southeen 06004 uC «ef October 31, 2013 00011nSeCtirftlef tic Liwtadereforred• ots Mal 11 Poral camper, 504 305.0 Par Arrawart Cayes PrinlIpal Cost hOrpt.1 Va&a. 111 D*Wa... 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Captar WI 12100 /.0% 6000) 5013100 5107.461 ISOLI] 2303 2(41 1/03.761 100.12 P.Intua 73000 OrMatronal Capi CISF 12100 0.1o% (630)00) 5417,100 SO 124)0{-12 2303 2427 002.7501 100.12 Pooroia 0030 06.61 490 $uo.) 6.516 15100406 000100 SO 250112 10000 10396 011103 /u112 44900 00/0 D* %v e. $2530 150% 15100406 $9$6.160 SO 104412 2500 2201 110.601 104412 44966a 25100 Oboi% 444941 5.0 00 $2530 150% 06000)1 50000 SO 260112 2500 2510 55.100 PO4.12 I.010051 23000 boe% monitionc 12100 434% (6620(0) 1421.503 SO 2041nr12 231:0 2406 01.4001 144tandl 7/171012 23200 neo% t orouto Lt 12100 1.13% 0512300) 5643021 SO 1644142 231:0 2300 524023 1740.42 Piapatual 33500 IwINpOIaOwMf 098 12100 MI% 0732.540) 5701671 SO 3140p12 231:0 2302 $671 20012 ionsaos) tuo 40.001(Pc COCCIO Y. $2500 400% 6204401 120.657 2.0612 2543 24% 06162 2'0052 ionsaos) 21021 CicebelOtt OP 00) 32500 400% 6053231 5543.561 250612 2500 2491 06360 i 0002 401540.12 320/0 RartOMfiMfrt41. $2500 7.40% 6%510)1 5975431 240412 2543 2637 550.60 30106 12 boottiva 40.030 »annoi est 60 ON 12540 530% 111.0340/1 59%030 74042 2500 2202 153.20/ 0%0 Prrantrar 43030 tioniegio chate sai 034 52Si» 330% 111,115.00:4 51,12100 SO 64042 2303 24 01.1501 .M...13 Nm.ar.l 14000 Premo Rea% W% 034. 52Si» 460% 111.2130031 51,20000 SO 2040442 2303 2436 (521.1501 14.5.512 Nlpq.l 3174 104.4 Me% Carla 034. 52Si» 3.30% 664,1101 Sasou SO 24041 2303 2450 01.760 1.10113 NOMI 6.426 MIMO P4.111 00.1> BW 12540 330% 61601501 5157320 10442 2500 24% 02120 3'41.12 054042 9105 1416111.3e0110% NA 12540 190% 6247.66) 1244.0t 27416412 2500 2405 1000 40.12 054042 11.095 141611P)I0111fP 104 52540 100% 6203/S) $275699 26440.13 2500 2487 01.11*/ 20400.12 3100/2 10030 Ilrel.taCP•025•93. 1 5800 1.111% 00001 S00.2112 So 1640.12 2303 2144 23240 14141.12 Peepatual 43000 oirtneumoa union 52500 434% 111.030.0031 5903103 So 4.00.12 2303 2401 01.3201 19.4.42 Purpotual 22000 ere rounosunion 5610 11.11% (1075/X01 5673151 So 9•43.12 231:0 2112 53151 21440 12 3154042 000) 445•PC00 10144 Ander041 S2540 190% 11921010 14.30r0» SO 14.11P12 2543 2Sb) 161.003 31144.12 P t *Mal 24030 RNbdM00MCVp eet 12540 10% 650001 54990) SO /313012 2500 24% 6601 14 ALI 12 PtIPttral 21.0)0 111910CVCOrtt00). $2540 610% 605001 S62(0) SO 0%042 2530 24% 01.103/ 2140.42 Peepatual 21000 Big ani / poemi Cala 52100 6.21% (19141:01 (04206 So 11431..12 231:0 2410 02.5211 PArrg.12 Piapatual 13030 11Cenr. Pdafty Col/ 11. 52100 6.So% (SroAxol 5741.010 1044.12 231:0 2417 011931 0.31.0•12 1110On 4003 Thompren Cmk1.1.4•324 14% 52100 6.So% 660%01 154.124 104. • p LI 231:0 21.12 (tisana Il I: (vagoni. I0.0)0 vomie309.4% BW 52540 510% 6250.001 $241.214 SO 24%02 2543 2173 02.04) f349 42 14000261 13030 Wok rogo Co90404 13611• $250 .20% 6250.010 509.790 SO 13,660-12 2603 2499 62101 6349'12 P0P0461 31.700 ( 0 0I 20/0/ C00 NA 100 In% 62925101 571).0) SO 20.619-12 200 2051 015.4701 30.4.12 Porpetual 103 pp.,11.40, Carp NA so% 5.10% Ill ,•q% S.721, So 1744.12 231:0 2442 020% ferward atlf trad• Dare vate Date Beata I Notional ¶on1 Por rana 1. Dale Contrarci Sool contro« 120...11 31.0.12 540 2432,1 oso 2.150000 04•012 sscos IS»: 21./.0.12 127 559472 244401 1t1212 %D r2),l0) 2.50300 6 1042 11734 12732 2%0'12 125 047% 240,12 644012 540 51 15(0) 050 2.500100 6114.12 12464 1.246 9040'12 125 61.203) 1.110 256143 OpeC0mt13 20000 14,106111 29410, 0 120% 59951736 1344.12 21.41.12 1.001 LSD 913931 2144511 121020 11.7244 1944412 1124 $.13639 1044512 2.040.10 1.001 LSD 972211 004000 132167 102627 174.212 12.10 $6.434 744041 1149612 1.001 LSD 973351 214epr12 12.1116 11.2124 2042102 1292 $221.410 2454.12 240942 31743 12.503.0(0 050 9%66 nottu 129X% 1296705 230.11 1204 51.972 36100'12 544012 04. 11.593.00) (SO 10.002030 544012 1201 1.199 046 il 10421121 230012 200412 1.401 32.303.00) 010 9990)9 244002 129422 12.1767 21600 1304 6109) 210412 190642 1.031 12.100000 USO 922177 190012 13130 131004 16002 $225.036 PROT12 GIO Account Position and MTM Summary (2012 Closed Positions) Prepored let Southern CInondoll SSC 15 01 aflame 31, 300 awn s_I1nOn UC. IX Ions 1rmilt Or la 1Np/carton Cunemy I Tfl. tr .'s: SOU. Cwroncy TYR. Ck'''" DM° 0:314044 ClosInt "now.. (SI IS) pp, ZS too II 10 10. I 3 30,41($ μl 195.0)0,1C0 4250 PY Call 21010 1 i 9129.131 SO 9129134 304..ia naiwt.12 SOur WY Put 1103010 WOO LOD Ceti (12414.)) SO 1120.1401 20443r.12 n.tan.l: Sold WY 4•I 1140040 0100 MO Put Imp"; SO SMUG 14.1.1....13 Whirr! 3 Sour WM 4•I 1.403000 1351 MO rut 1111....13 ($11,700/ SO 011.2401 14 htst.12 0 10012 S013 LAM Po tA0)//t0 1290 1)50 Col 1μ12w12 517.200 ($03591) M141.1%1 . .,,,, 11 1) ru.49 12 000901 Of Pot 1040)P0:0 0325 CAD Cali Clust2 6113.6131 SO 04116131 I so, tt 0 Pap i2 SOB tOr CO1 0403020) 7600 CAD to 2410 22 5413(13 SO $413,413 0μ14n, Commedity Clptiens One FrpIrrlion rt.retiton Commodity Type Pouonoi Con Stetlre Correory Nollanal TYPO (Way 011e Ortgio• Chntno Pr...a:0' on Pramium (SI IS) 13,11o., 12 1613 'no Put IACOS 105 12.04/.10) CoIl X1..2 11 11,01/..1.40 SO 11.010.10300 21.4.1.1 13.1leroll liau(Sit USD 4•I 12%402 1201 μ01l.14 12.X0.22 07%40% 10 11 /1 OM WI 10.1.1.13 1210,.112 all USD Pa 144140) 1.3 OPC0.000 Olt 12 Xer.12 SIμ033 10 11μ0A4 1010412 124102-12 lootOt 1230 Cat 140101 115, S /1.950.002 11110.12 IS /84.00)1 SO 0114010 (0) • mg02 1204922 Solt 1230 Pot MO) 10) 25,0300) CIII II No. 12 $136.293 CS" 0 t4, Xl 4187'250 (0) 1.1Arre 1204922 Solt LISC, ttp 2t4(0) 'CO 2500020) Call 12 lioti2 5136.250 $13(.23010 Hoorn Promos lousttit 'no 4•1 2141COS 143 15030.401 1.341er.12 62001401 So tsicooxte0) 1044.1.13 11.0n.12 Sold 1210 Put 1441401 715 7:1X100 CYI 12111..12 52332.03 So 0366,44 100.1-12 11.01..12 Souttlit 1210 4•1 1441033 110 NI 1.341er.12 1121.0101 SO LIM OX0:0) Commodity Options Pt 0.21o1, Cge12013 Pt iliMayotetw• A Co PROT13 GIO Glob vrawwi Orinerintelex Account Position and P/L Summary (Disclaimer) Prepared for Southern Financial LLC as of October 31, 2013 LP. 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