DS9 Document EFTA01121660

9444 CI 0 oinionnotni. Global Investment Opportunities Group Account Position and NIThil Summary (Open Positions) Pieparod 14 Soothe% Financial LLC as of Steptombot 30. 2013 P. Morgan 14441110$ ;LC COMM FA • COTMOdIty rat« 13 034) 4.41510 OP II 914130 i 4183 1.05D1PY 913210 40915 «IS 560414 5014 It 0.5 550 1323 USOML 2117 uSOCia 0 5)4 0503-AD 1 0314 LIOTtni 1 014 11SCION 62010 /94491449 si*/114,49, t954 Oa« Symbol Patin company Cwroncy Indinloy Dividisind Yield Cost Onis (51 Mai.« Vaal. CI) Entry nriat (Local) Current Ark* 0~0 «TM 334.1.13 AC 5500 At.« S• EUR Coownwei.Cyclistil e 7.2 41 5581.037 2240 3024 515791 129413 AC 4.250 «cot 1/ EVE Conssinst. cycocr 24114 03612401 5171444 25.53 30 74 PIN 99433 ADEN 1400 4444 S399 011 4%94 lion55•14 2.85% 111651561 5170712 6.57 640 $2555 129.413 P1M4 ;5C0 ~co> Sa bg Olf Amnon. lionasslic 2.80% (1.11.0621 501.815 6114 6440 55162 319133 10300 AknOrliSW EUR Coassantit. C3Gitel 0.00% (11654291 5191.44 1.12 12 99 527.059 12.9413 La 4500 Autowill Sp.. EGA Coma. Crifital 0.4% 15165434 5184.461 1310 1219 515030 24443 444 5000 Apsd Pla•maAkah Inc LAO 4;44 194< lic 0,00% 6144001 5165660 1160 «AO IS•213:0) i444.12 AkA 7.535 Anticl inist4asePicob Ins 4%44 Nency:bc. 0.0" 6115441 5134.44 1521 18 40 525014 144432 Ito ;on 11444indot Inc U10 sinunr. Nor5plic 0.01% 6250.4551 1504.312 11955 14076 1153.90 3149.13 810 ;54 Rap EUR fituntisl 3.05% 11155279 556/.050 4.62 5100 0.776 12.9431 SNP 230 1949telbs Cult finantol 3.0" 61%13441 1169.050 50.10 5000 52201 3149.13 CA ;540 Céneleut S. EUR Ananor.194<plic 2.29% 61623133 518574 2314 2538 42146 12.9431 CA 5.040 Cinetaa 53 EUR NonG215 2.29% 6150.73/3 1171.586 2313 25 38 512.1354 14413 CO1 5250 CounCoPi/OcAgiCtli GP 4sinitc. 6167.4951 $169374 19.12 18 50 SI.509 124413 CCH 5350 Cp.{4an42.g.fdi OOP Ananor. liornplk 1.56% 61656501 541174 1311 1150 5;501 12.9130 049 50.030 mnharnIon 6444.049 LISD Finds 0.00% 63523501 145540 2.05 1317 145150 3149.13 OEC 1010 Dana S. EGA Coewounkaines 162% 6158304 5184.018 24.12 2722 01518 124413 OEC 1010 Dana S. EGA Coirenunitaines 162% 616511:0 5184.018 P26 2722 112211 i7449•11 18 17300 Fastboot NKJI Connion;itioss 0.4% 6365.0401 5479.025 3100 50 23 194.025 5.04413 f *A ;540 3994.40 9.411,4/94r1 EGA 4144 2.41% 616;1181 1175171 4.14 5384 11;343 12.9413 f *A ;540 39944)39411unAnnsirl EGA 4144 2.41% 6164214 517;271 442 5384 410553 239413 GE 23.030 GentPlEltRix Co VSO an) 318% 0455394 5549.470 21 53 23 89 554240 5.04413 603 14105 Uoids 84464 Group Ili GOP IkunNl 020% 11115919 517614 07 0,74 51.934 5.«.9.13 LLOY 1300 Uos% llockle9 Pap /1c GIP 19344I 0.00% 01.721) 51796 015 0.74 144 129411 LLOY 511200 UoPillorkIn9 GA9p /1c GIP linantol 0.00% 61%080 5162916 076 0.74 SI1335 3351.13 104 ;010 RmdILS EUR Coma s CyOital 2.92% 61551111 5%51314 5929 5893 14183 129411 RI90 1000 «AAA 54 PER Co49.445 CORA 2.92% 61517191 5159.314 596 5893 ($133) 284440 56/.10 5040 Sinsomo 894~ Inc USD sinunin. llontsslk 020% 04201141 512.560 SAO 1049 $104236 335133 LGO 1540 Compagni• Dir Sant.Gabain EUR 49464 3.11% 6159291 5173.166 3425 3641 sixsis 129411 540 3250 Consisarie De Sont-Goban Cult an) 3.39% 6157.2591 WAIN 16.33 3661 53.42 3344.13 stOW3 703 Vdkitwao4 94.1344 EUR Compote. Cydital 2.05% 61646441 5164.950 0921 0415 Ills 12.4413 VOWS 100 Vdkitwa34 94.1344 EUR Compote. Cydital 2.05% (1133169) 5164.050 0536 12425 681101 SInectund Noon • Manual Etk IPM iiinesimentlIsrA id el nor do tr.«. Date Melu.ny Fan, Anto,. long Otimetion COO R.nls I mark« Vnlu.15) Inter.« an(innad FM« Price «) Commit Prit. I 1/TM 20~11 25.M.13 24.5413 2990934 144.14 15,9314 2.0)4000 2.04005 12404 154 GEN PP -80% MO bankneActinl 7%09 initAILPM 216423 SG149km 114 MI Crud*. 7525%1544.10110% Untaased PM CNN 5/75115% Conl Owlet 0•409. 211400 1nOlal WM: 11177 61000,(00 Gijxoccor) 52.065.201 1;0445 51.005205 SO [repeated 3 times] 510000 [repeated 3 times] 5103.26 1100.33 410000 565.24 via se 11.5. Fixed Moran • 994 tbNd.MobMerg trod. D.O. M. Hy fx. Amount an« cap Rating Next Call Date Coupon ninopal Cob ~act Value 151.448 YOM tO Wont intry Pine Current PO« 1/5í.t 214312 01942019 20)4000 mniOw4ton 91146 635% 0 1.0».0004 51.060200 531.590 59% 510350 510105 196.510 32.0n.12 644200 400005 Eanhle. Ca. 1150015 1105% ($41ACCO) 503.500 S33.331 940% 510350 49605 15•31 33.0n.12 644200 603200 Eanhlek Fa LEG 1150015 1105% 6615504 1110.250 54.66 940% 510315 59605 511318 1.001.12 4%4249 1.005000 Kr.%) 14104re Int (AIX« 1250% 6994.2501 51.057.190 42.271 617% 55963 510532 1143.211 89431 014442019 120040 Aretpd 1.41544 409 61)2014 5250% (4100101 $1.00.190 573.792 647% 4200 $105.72 $160132 244413 6491020 150040 Sennornmis Conipant CCC. 11150015 5010% 61,595.6251 $1.49/503 182.050 3.10% 11064 59950 (1213253 251433 15141020 11440 Sentionnaion Compant CCC4 11150015 5000% 61.030.455 111524 I10.778 3.10% $10700 $9910 {52024 345433 19A42023 300000 89clon Otrik Pk 441011013 7250% (13040031 1301.010 511.01 6.16% 110060 110120 520431 15.341 Peopliol 2.40.003 lan 04$4 I Co CPI 970070I8 7.900% 11210142» szne.no 1452.401 5.70% $10010 not" 1165929 159.411 AnnrInsl 2.54020 14449.1045. S Co 814 4400018 7.94% 6.5102.415) $1714150 4451.604 5.70% wale 410125 $461929 104411 Antartisl 2.000020 841 01 Anntica Corp 5F1512013 5125% 111081.18% 5;19540 4442.361 54% 11406 410175 15511131 3.7432 Pecrx140 1.03400) Soulhem CM Mon Na. 1012022 5250% 02999.9700 51303.095 1312.500 5.72% $10000 5103.« 51565 319412 Antartusl 2.000020 GitintA DA Cap COP 41150022 7.125% 62.122,125) 1;140:0 5179.313 5,10% 11415 5109.50 5136293 2944933 Per5244), 20020) Gem.. ve< Co Corp 4nsaon 5250% “I.414205) 51.2%3.505 524.704 616% 110000 59275 131•«41 221433 Attrotoil 751001 0%)$[ I Co BIB ant:023 6000% (1750.0:0) $700.910 58300 693% 110000 534 11-15N0) EFTA01121660 G' 0 omme mem Omeroctor eet Globe! Investment Opportunitles Group Account Position and MTM Summary (Open Positions) Preporod lor Southen Fmancial 1.1.0 ar of September 30.2013 Morgan Sijmukitio, Osmanen 6 Conokodity ottee International Reed Moorse U51)11324 1.0947 44U1150 1)29 11 362.1.10 16185 1/50110 uSOARS 3.7315 USORRY/ 1074 64 (1.13350 352.4 U50414 uSOCtn O9714 USDCAD 1.50111* 2 019 USDNOK • som Put ..0111 Trad.. bate MalutIty Faut Pmetunit 2140300 Popritual weest» zeoneols 3.02400) 2.590.003 191 na 169 Capii41110 1 tb Pettokos Oe bommel* 9029) 2117 40003 5111P Rating Cwreroy <nopen Prcorboll rost 01 Monkel Vake. PS) ...roti" lat. Meld to Went fltrY P"‹. C.arenl Porm )kous 13/ (1.0(M/ 0.0011 3070% Onts. 0324350Z 29).COZ . . 53.097.300 52390.290 S85.0.10 $4041 7371 ti 78% 401125 turo 405)5 8745 (5641700 1303391 • and Maat MMS • Wout/ Pelt as Mot n ovenment lonk Trad. Dale Ma Witilly Odgon) Pup Inren lan Rating /In • Prinolipel Ceel 0/ Motet Velo. IS) "'PIM PnnotInt (3) triCry hooft turcont Prior Oom» (Ogen MTM 6.24.0.13 20.0402032 5.701.000 Somt 11 II CCC 615% 001.919) $03.249 549.215 73.75 510 540449 23.Msg-12 25.0443-)033 3424040 Colli240316(11 10~013 3332% 01.2312.72) 1442.313 $3434114 7700 6331 04014111 lesePol3 25.31".2033 430(1002 MM200Y101 10~013 3.750% 01.401403) 51.193.327 5310163 9530 9443 329387 »Poon 25.41M.3033 2.726.002 5.33( xoleoez CCC 107,2013 030% 01.0747113) Sit74.399 5173.900 10000 9493 14284241 1021.13 25-Apt.2035 10.004400 hee 21:05.2160 CC 102522013 0.914% 0309300 51164.133 545.161 0).35 4.193 1116.564 Mongppo and A„n maalra • IS) Mi 033 $24.$48 1 619 Be 10.473 UstodIrreferreek Trad. Dato Malutlt y tanarm COmpany lno (mono Po. ~urn COMptrn Prinopel rost (S) Merkel Video 15) arioved m 11•114 to Want Consent Pirke ra"Oom» <ISW) MTM MOM° 124122013 $.030 4..04010403 Co 301 $5000 4.75% ‘14040:10 1401100 $144471) 5013% 5000 50 IS 549.050 904010 inwon 63000 Gentoi Molm Co 30s $5000 4.75% 01185.973) 53391450 3372416 50% 50.37 50.13 3344293 12440-12 žesreseo 40400 Ceptal bot 1 COC. (rk 32500 8.13% 0/8614009 12.10)400 4231363 44)% 2334 26.75 30003 3.10032 Pecortml 04100 Aai 11tran<U1 H •CCC• r. $2500 01.002.2242 51.217.941 5144131 54e% 21.31 261e 3389.955 'MMO Popetrul 90400 All, láttancittl k-a <CC. 314. $2500 8.50% 01,780.400 12.142a $244,611 1.10% 2215 2638 560).00 244041.11 Ibrprimi 40400 Pg2316k5w11M4.pPk BB 52500 7.25% 0151.6:01 $433.602 160000 7.74% 23.79 2349 $44014 )dool) Perm400 03400 krol ik Scollnd0rpor BB $2500 7.x00 0977.600) $939600 549313 7.74% 2414 2349 57.312 1.1.2an.13 Por reitml 40.000 brol lkStalled4rpPk BB $2500 7.25% 0333200 S939.602 141.903 7.74% 2444 2349 35114911 Maal Stads and») Mark« Tra...Dato 5~1 Unit, Company Comonoy Inna Cost IS) Mark e1 Vale IS) Reintand 111 4ntea 114V Rom» 4ormt NAV (torall 1117,2 23404.13 3.133 43%4.93 Ontgon Lan emenurSd UW 6 ,.KUM0Cm 99033 50 202000 1423 1 351 90013 NAM 74709.17 licenetgon Valse Adonumcoo UW 670:0,00290 54017.31 50 234140 2543 317116 trol land ti RIO gut t 1.0 9.910.781 0 rond ~traas nad. pata Palmt 0.1. 1 100401 Sought BI Notiana) 4P8650.000 IPY sold 0 5.0 Notional 070 Pl. Date rOct•II Contract Spot 9348 Contract toto ad 937 <uitrent Spot tata 9525150 Cvrenttltn orrwd 93.22930 tiot 19632 maf bom Smoor? 04041.13 44093 2 030033 2.4.4933 141,61-1 2440 3 1 14346.14 Boor* 57(0 Boor* 57(0 • 1.1114 Mooleilml Pa Phatambor 01, USO USO ti l hl Cal Cal 10,000070 10.00(1070 250003 230.003 9310 76.50 ,000 93.30 64.0 000 beciT eAteet 11411 CAMEL Cal Put Put Cal lap!' 0 4905 F.400915 034720n 5347.909 056.350)1 53423071 53453.685 50 $534829 0179.003, 11.114876 3347.509 0233.671) 35349 1.30plion, WIM so 11.412.464 11.412.444 3014 t, U44412414 rnja" :" slatutily Data Undatlyinp kat. Spiead (bpr) Atumul Intoomt .Pid Cntry PIP! Rom° Oividends Breed Current Pirke (~1) 0111 18./.1m13 18.4.N.13 20./.14, 14 Korp. Transport 3.0411111 10.13.172 3M. 0.7011 11.939.993.37 111313321 2504 N 14$30 1301.026 EFTA01121661 Gtalral mew.. Dare t..« Global Investment Opportunities Group Account Position and MTM Summary (Open Positions) Prepared foe SOuthen Financial "C ar of September 30.2013 1. Morgen SocurIt1oS LOC. Cumnt FM S Commodity fate. V$01,1104 I3 0947 XPLIV9) IIII it CO Pb,.0 10155 05D/Pa MO" SMIS USURY/ 1M4 fa IVIP.10 I 3524 USUAL USCKPF 0n3µ USDCAD 1 0318 M.Dterr 2019 050101 9l360 2217 RCM 10 ILO 1925255 5240.134 $1.16O3S8 I1P So.907.77$ S2.527330 WAIS,t09 2012 GOY Open 11"1 $1.0.5.137 $0 se SO Current Open MTM 57.310.5•4 WISS 117O2101 se OSV1SS Deiwarove 51.637.170 'Komi« 0300,6191 YID CM.** Yl OP« ram $1.705.047 4111M." $0 se SO 2013 amide. ttn.SIS Offie 11IMw11Y1pM 10 so SO leta 57.39 2 1•4 20.1.39 X.13 Net SLAM« 1°2011 kliMetiml O,••• • Co EFTA01121662 GIO Global Investment Opportunities Group Account Position and MTM Summary (2013 Closed Positions) Papage4 ler Southern Stnanoml WC 47 of September 30.201) I.P. 54.5497414C40044 MC. TH4e Om. Sharts Company Gem my mOmIng DIM14.41 HAM Cost 544.4. 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COO CAD CAD =1; Lin 13.703 124169 12051 12051 KID1 90041 9093 92522 12361 5474 I11435 I223 5171 1.71 1508842 1740443 344042 3440e12 44013 7.10.13 1144443 241W 13 8180 13 231p 13 4.087.11 3740113 23 wee 13 8-mn 11 33.44nal 22-0.13 494013 494013 114613 1241.4.13 140.13 19403 44403 2840.02.13 18.09.13 2110943 38.0,11 34400'4 usoecce umexo 4.025300 4425300 11/1,400403 93984003 93010003 925.224.034 4490300 94109400 %Mon 4.1‘400 419042303 246,775.4(0 10.03300 1.011.831 1.022.438 5.0)40(4 5900403 10.0:0000 leaf= 108:4944 '0400080 401090) 82100080 1181.750.003 403.4040 4020400 2.5002X4 ti-mn 11 .234en.13 224413 45093 45093 5.10.13 1144-.11 344,48 3a513 3 Mly 13 2544y.13 144mll 4%903 2510911 2108p13 82414 12 704 125429 1247 1247 55.17 81) 91.038 9243 12331 9474 111615 12314 TOM 9,44 4,149.13 1744.13 2311,13 3011,8 144513 7.09.11 044.13 21140e.11 234.0-0 2391913 238444-1) 14149.13 fl awed, 7399911 10 13 8117 17 UP 1293 1 2379) 1 23910 91.1012 91/3311 93.012/0 8etisoo 122840 9902080 1.1383030) 131151 110 x61 071.11780 Si,.,' 645521 C1179.044) G187.30» 047444S) 421044e Mann (3435.719) $51.778 (1224(4» 312417 81127.974) 1244409 MAN ome ',aphelia, Pete Cron CaommailY Type Noton91 Cod 5050 [...gamy Notional Type ()myna Clean, Pram Premk99 151 151 10.54110 10.3,113 nnef 11 112.44•41 10.18413 1014413 10 Ita.13 ce No I 0..011 114011.1 11.01.13 1048.13 1043413 10 5to 13 5011 O0990 lough 091 997 tee CPO CCell C001 C001 Pv PY .PV CPI 04030 1:00:0 1:00:0 103C00 ‘0».00) 47791305 1400.00) 71 1111 03 9725 10510 11010 7.9(00» 11.850103 11.18.07 8.714480 1.60 14▪ 0 CNI 2,4 4.4 cal 110 Cal Cal 08 he 0 0104011 11.0.13 11.0113 e0815%45 10488813 1048413 1058413 1327410 4¢00 est. to% we») 145.010 136300 61235101 Coermodny Option) 91. 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ND Comew 494101 0011% 11112161 531,371 5440.13 11.0 11.15 $1.575 40013 81/41. 2303 5044100 0040•1•00 ND 500. 7.02% 1141401 $449/1 4.0011 200 2079 PICO) 2.04042 81/41. 2303 504410010.40•7000 ND 500. 7.02% 131101 14451110 1.54013 2250 201 01.441) 23/4812 9P 1.250 404,4•0110400 90.10 USO Ent•91 7.02% 5314931 531694 »0112 2755 27.12 0539) 151~12 80 1.400 00001410 94144012000 USO Coewstre3:001 000% (520201 50216 1510x12 1469 1449 50 22440.12 MTE 4750 <WMIOM 5001.00 10 050 140~44 00», (5742501 50374 22 Wr.12 11.0) 11.02 5129 *Marli 1:1417 22303 <00195001011000 uso Eme% 1804% 5514031 W40 0444012 2550 2425 152.501) 1~12 co 5413 MAM 04004 ND /rema 2,40% 01107100) 009.901 44.4.12 220 210 11911 .31140.42 0459 5/03 449.4.1940 rlln.l. 4904 ND 0011% 075101 /050. 21~12 400 424 1101 540.12 CMC 27,400 Coimo. tecsm•010 • Ai ND 1.47% 0110500) $298731 5444.13 11.50 1095 II" 40012 0.0 2.475 0 ,0%.)? 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Group sne uso Comum.. 04101 144% 024.414 1.010 1371 .74.4,4,43 2030 2043 444121 90012 OVAX 0 402» 1 Doetodea Corp uso vmenes50.041. 0011% 074.101 944.12 421 40 04396 1140.12 09 24(0 1111410 46414 P.oven LO 050 siem 597% 1164.0101 568474 111112 3434 3424 62021 449.12 MOO 24(0 0»...trx 050 R00401099 <00% 1123001 523971 2 409 12 50 125 52976 2/1 M.12 3140.12 140 2.50 2.03 toem, INflo 0.91.00-0 146.0.4 1.040. Penne% 050 uso 0910/ 1,4017 100% 4.44% 4642551 14159210) 50.995 514109? 26101.12 00943 4 57 10.7 4533 5370 51.101 SIAI? 11.1.012 10M 1.033 I4 º017 1.4 Amava. uso 1.0 1. 3.0% 102.0031 145744 37.1042 21.0 2210 $3.3151 2544012 14111 1.033 10201.49.10%.1 uso 190% (1122.110) 511..19 2,7144.12 1411 5513 11.70 1049812 EWA 1240 5. 54007 he1.O10 050 foce,' aze% (1122310) 5122.783 101012 4795 021 5473 120.12 ET 2.00 Ex40.404110 050 Ifmnt,..(49:01 000% 04540)) 546.444 1254,12 2250 2522 51.440 2214012 ET 750 EM/0r WS 050 <Cm ,....(40.:01 000% 614.250) 517.271 22 140.12 59.0) 2504 55024 3944113 01.4 2240 010.0 Nein n 1 p uso ron l 7.19% 451.5131 $13.144 394043 240 2313 0140 17~43 /I 12500 1.401.0% M044 uso Cornvusumr4 001111‘ 5344.40 144042 35.03 110/ 011514» 1144942 150 7- 504« rano Com uso 11.1.7•• (171,130) 574711 1140.43 1079 100 0,70 290812 FM 3.375 194100.414 004/C0 050 1.03% tt101210) 5101.675 2919042 3003 31113 $425 12454.12 /ET 1413 knen(yeguleit,noníns 050 000% (123.1601 IMMO 1240.42 2003 21M 51360 18451.12 FRAN 1300 , rsnonos Hebr. CP. 050 Comuna. 4001 0001: 1141.4001 142115 184042 27.60 2112 5745 2140.12 /MN 1.114 Mmem4104044090 Ufa Con.nnr. Cveltal 003% 11724.101 57201 324043 210 23.10 1115 308042 9103 5409 00109 Ltd uso 3.95% 11.75.401 5140/3 3044.412 140 120 0500 1440412 210412 15011 OSA< 1.00 /MO Geno“ 5.449049Inc.0 A 401M1D11018M244% ND USO 1tcluttel 0011% <100% "'"-'co) 4372021 110353 13709 144043 21.0.0.12 n 420 4003 421 1 5" /2882 V» 9.40-12 010 Griniddno In( O 4 USO 00.00 41. 44101 1.10% (1211210) 5211.2191 1.410..42 3520 3521 594 14140.12 010 5.40 Griniddno In( O 4 USO <00....«.<5001 1.10% (15,0.9(0 $50.511 14,1412 3550 35.43 6310 1304013 151% 109 0904/44914 iloldm O ND Inanir& 0011% 10.405 010 110013 0.10 alo $0 244%13 0 1189 IMO («any *Sul Irochnera% 10:904499 0011% 111100 531.0/3 3444.13 100 1204 13471 30449.12 01.10 409 Grupo /01•000044. 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Mergan Sess9105 11C. 199942 74942 224912 259942 1141912 549.13 9942 130912 >watt 11431 1404 MCN MR Mn 119/ Mf Ila Ila 190 2.750 4950 4001 4,013 2490 15150 1.90 2250 4144/IN Me4 19 9 749999 11.4114 An» Can 1919 MCaP4TRO1gTNMM /44144 41•94.19399419 414946,94949994 45tne 4M414.96991,4 1414,9111.3.994401119 1614,993.99.130149 109042 1190 1.») 9•4•01144,49491675 9 40913 KM 1.554 Kas 4949199419 19942 194 2,000 907 69144 Corp 19942 191. 2,703 99 1994. 64.4999414 I 11.00.42 199 190 4•59, 4 89499.194.04410 124942 U71 2475 4900 99109 .1011110, I, 19942 1.100 29430 1.9904.199499419 124942 1193 1213 1,90319 124912 9 ,41 4.003 1416 9 94 U4~ 144912 IDA 3502 144 roanod HokIngs 9 1141.12 LUDI 195 1.611919650.5144 49042 4414) 490 All MOnC51M 109912 111493 2.125 1.43449444 110191960 A 334,942 FAIDX 2210 99.9491c9n9 9 14912 MPII 9500 19:144.199449 Tem 9 94942 114134 /OM Ummet 949994641,• 239492 KORS 190 449141105144090591 250912 14911 2.99 44999 714912 144 290 440904140149991909 344912 1,99 3.000 199419•994499919 3143912 »V /OM Nenna lentnno.1 Corp 204912 NISSI 950 19•19 No1,09/ 9. 249142 Ml 590 1971149044 (99713 21912 146 11.250 MpOjOU 64999 9 54912 16 47301 19.919167 L0 1149.12 09 III» 0499. 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(11.35-1 3411.471 30 1424.12 251:0 2470 /3.211 M Gn.atedty Cap 1. 13100 4000. (111.00.001 3741.010 30 10~12 251:0 2417 113941 19~ Cm& Motá% Co 510 13100 4000. 0103400) 154544 30 194•94.42 251:0 21.13 111.4191 ~00 184917441 881- 52540 50011 0250010) 5242214 50 241012 25-03 2473 82392 W4114414 4 C030431 8814 52540 5.200. 0'50310) 5249191 13.1.4-12 25-03 2493 (1210) C*Ot 90)01C*0 344. /01 43(0, 1 /12 510) 5772031 10 23529-12 25-03 2231 1115.4701 Cap 142. 114 1.111% 541 $7391 10 1718;42 252/3 2422 /3105) Centra« Notioefel 1434 1.441340 124 Dalo C44 3/41 4.441 [on!, ad 2349.350 1210 2.10,000 01.0.12 1.0.03 I 119: 27 $59.472 3.1.13.108 USD 2.5001(0 61e012 12731 2332 1330^2 125 551.755 0.11500> US0 2300000 641(0.13 12464 1.341 981012 125 152202/ X04000 1804616 283411 12914 11.951711 1{900403 60 919934 2144143 130299 19.7244 194/12 1334 524,459 1{900403 60 972.211 31343813 132257 131512 1734212 1111 144» 1{900403 68 47..251 n4/042 13.519 19.311. 2544313 1293 $21.438 1190040) 1.110 934.7611 NOCI42 1292916 1291191 23-0411 1214 51.972 1139010) CIA i 0.0(0.030 5.44412 121 1395 214311 2/ (1841121 1230010) USO 919039 261~12 129122 1297{1 21.19412 1304 113.699/ 12.900.0% 010 9.1.310 190n-12 130)82 13043194 180.313 '273 60.406 EFTA01121670 G IC! IP. MOrgan SerstrItleluc Account Position and MTM Summary (2012 Closed Positions) prepared ter Southern FInanCla1 PAC as el September 30. 2013 ri trade " rcort i 0.191nr1 Clyslot Prerntuitn Orb IlYptyytten Dyret Pon CunertCy TIPP* Sµ40 CwrentY 7 IYpn DM' Strontium 151 111 Jan 1E It Ain I) 110vrt Oat PA 19‘0)0.00) 4250 CYI 21002012 $125.731 50 116.734 30.04.17 723.itpta Sour :re rut 140)030 0300 0S0 CYI 1124 t0 40 020.10:11 70Arnt7 224.Y/,52 bb 0•1 140)030 ill OD VD NI 034100 14.kin.12 ',Panda lour 0•1 1403030 1257 1.01) NI 10.11030 (SIT.109) 30 1137.21101 If Myt.12 19,Nn 12 Sold 6004 PA 5.00).00) 1230 1/50 CPI 1931012 157.200 Mt) P351 1141.59.11 I POO 11 I) gu.40 lour tr. WI 100000.(03 8321 CAD CPI thug 52 640401 50 11.111653) a AU0 11 1),eu0 Solf p. Oa i00.0)0.0:0 7600 CAD to II fug. 52 1113.613 50 $413.613 Maenr 340 Ceamedl ens 0.191nri ClosP9 Presturn Potation Cpppedity Type Nellenal Sµ4e Curreary Mellor., Type CP4Ang Pyle n 0444 111 220)012 12 Nnp12 Sob USD MI 115403 105 . . 27.»,12 1.111ep12 305.00. CPI I3102 1205 15,13.100 13.N...12 ($75.093) 10 0410010N 10N111 1.111ep12 s055 USD Pat IC0.000 3.3 0.000000 Olt 13.Ner.12 1184,06. 10 1114.03000 10.1u1 11 12 Noun 1.5005 1.150 Ca 14000) 115, 5 11.950.00) 12 5181.50)) 10 ISI14.0)0001 MO 12. I) App SOB USD WI 250.00) Ice 2‘0)0.(0) 04i i2100. 12 $136.250 61 012.9)0 11.956250001 1.1101'12 I) iwo SOB 1.150 Fut 250.00) MOM*, CPI i2100. 12 $136.250 50 $530.25000 1.047.17 IIPa9.13 Sour 1150 Cal 214/00 la) 35.100.0:0 NI 12440,12 111000031 10 6200 wow) 10.0002 II 4).47 Sot! 1110 Ca 100.<02 795 2.00040 CPI 12440.12 1131,000 10 1133131000 lOyuYtt II 4).42 Pratt 1150 Cal 104020 119 12440.13 11733.00)1 10 112310300:01 I 900020 tat ••Co EFTA01121671 GIO cWrrIF cwt Omemsnmeim Global Investment Opportunities Group Account Position and P/L Summary (Disclaimer) Prepared for Southern Financial LLC as of September 30. 2013 J.P. Paulsen Securities LLC IMPORTANT INFORMATION IRS Circular 230 Disclaeurt ) P.Morgan Chase & Co. and its affiliatesdoffed provide tax adnce. 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