DS9 Document EFTA01121682

C I CO lawstmes• 0••••••1••=.10.., Global Investment Opportunities Group Account Position and MTM Summary (Open Positions) Incense 441 for Southern Trust as of September 30. 2013 u. Morgan %%saki*, LAC Current Ft 11Coarreoekty rites USDNED 7205 USINC(14 130947 4/411110 USDMS SIOIS LDOZAR 1/11:014 05048 USDCAD 132111 MOW I 0314 4191/111) (IRV10 USIDltv 19165 1,3524 2 019 USDIPY USDab. USDNDK 9.20 3.211 0011 Unreel • 0 Pc Blincriber Trade Date Symbol Contracts tApirabon hre Dole Strike ITM'OTM Cost Kits IS) lAnket Value IS) Underlying Silt Prue srniel Premium Current Premium MIN 2410.13 WADS 2)&03 VIX 10 1116201.1 91 DM CAI /011(42013 IS IDA $10470 31% 159 uni 4.750 Sr*8 116 SIO l7 SA% 59.50 1135 5920 m tasted Option. 10 14 59.514 SSA ISO) $1.104 St.- Mow thio teMor nil el ior Tiede Clat• Motooll Tar. wmwnt inn" Description Cost tun IS) Market Value (SI interest Rinerved Entry Price (SI </wren' Peke IS) NUM ISAnee•13 37•11a.14 5410.0 3 21•Apell 1.000,000 1. 000 USK Pk Skit 1.10•*Sh Boner • $to Cpn • 213% Mettrn.linlior Dint 19619 INK BM. Ski UP • DS% PM. • $% Cpn • 11514 Metre. inniai hat 20035 5643503 $870.9(0 50 $0 SID) 00 SNOOD 50 85 14109 I:1151.9:01 01201001 11 71040 00 41 al Witco MTM (52.00400) 54 SO 5204440 IMOSIP60•111. Reed Meese • nue% f•16 via (Womb* Liddy Clat• *Wray Paco Amp,. SW Rata.; Cytrierl•Y COUP.. Ineicipal Coot litultut value (S) Total Int. Am (S) Ykld to Wont 6.0" Peke Current Once (Loran (Local) hone 24-Frib•13 0244.2017 04•11013 02140010/7 9024030 1.030.030 Morons p Vonnuera 5 PenoreOf De Venttu4aj 8 B USD 1.1/0 8,500% 8.500% )119040:Cr 11•1511110:1 $917.5(0 $9123(0 50.583 $57,094 11(6% 11 (01 1(000 01.15 1449) 9115 iS)29,2) ti$11/.042 (11.705.050) 191139.4•10 SWAN (514.102.32) Lined Pnifseede track. Ontet PAntuctO %Awn Canape.. y S&P Rarl•ng Par Amount Coupern Princicul Cost IS) /Arnie, value IS) Olvidench Received CSI Thin to Worst entry Price Cumera ihk• 111.0W0 (Lotell 114v 13 4t4Delyol $7.(00 Ally eenn001Int ((Corr $2503 850% .51 439•11i $1,521 00 $12,113 5 KV 2114 15 /8 Sta $93 Irenvied Centrals • (WWI canoed irdie44/ horn Oineerniecl Trade Dote Value Date Rough, notional Sold Nolionel by Dole Contract Spot Contract Fernand Current Spot Currant Alin Rate kinerant MIM 27404.13 40003 3004613 400013 304003 130003 3004613 4 ODA) 31119613 ODA) AUD PICO Ilm GOP GOP 1.0544530 2.020.0% 4444000 2%0000 2.000.0% uSI) USD USD USD USD 1.843.750 1.141.150 1650.150 712:10 13 Oct•11 00(1.13 $-CKI•53 5•00146 0.93230 043240 0.42“0 141960 141490 0931875 0632075 0925075 1 6195214 61%214 297240 8290 082975 %PASO 141850 053214 0.2141 011114/ IPISAl IPISAl 5520 1.5,810 152123i 52.227 FX Options • UNA Modell% vla Plcconlitio Torso Dade ritaratinn Direction (moon," I *we Cunene) Capon() TIP^ true: Original Premium (Si Current Premium (10 2010913 26%143 Nutan.I4 294.613 2920314 6 AKA 3 064044 04.4.13 C4.FirtuM 13.4.4.13 )44.n.14 90lIAC.13 114044 34,341 064etint 104013 NANIA4 I Iltp13 042044 134%43 064%44 234%,13 044414 2%0043 064%44 Sold 5410 Sold 5410 Sold Sold Sold Sold Sold Sold Sold 5410 5410 1350 1.50 PY 1.50 USO USD CAD uSD 1.50 'V USD USD USO Put Put Cal Put Put Cal WI Put CMI Put Put Put WI 10.000000 14000000 5400000 2.000000 340004) 450004) 4.500.010 3. 04000 5,02.00 5,01.030 5400.050 3001.0/0 3400000 042 094 9500 040 IS? 0.6) 103 002 019 10100 045 1.40 I.5. 420 44/0 uS0 NZD GAP ADD USD ADD ADO USD ADO GOP GIP Call Call Call Call R. Call Put Call Call Cell NA Kt ••45•40 0.193 KI1396•40044 21944K05101 K00.77 KNOW(' NI • ASPS d KO • 153 WNW% MO 5.106unul 99.13 KNOCK 41.933 teal 911343 105.14 K1 51M KI • 116• KO 0901 KI 0 1 6454 KO AI 1 525 10•163 4(00155 3112.0)0 194350 S71.250 SIAM 1%939 543.655 S53.500 511.040 551.100 $93.500 551.742 154351 1345111 (3125.124 ‘444310 (594,7011 (5124.19/1 10 )$34302) kfTS.014) $85379) 4374191 4315235 ($93.4%) 413.535) 5, 120.23-i ‘161471. 0144.256. $434% 521.598 0449745 14321 145461 521.44 1354042) 1.10.361 KILO $1.364 50015 52.489 Pi/SP (5184)30( (51.1031 (5201 11)) 101.1 !Or ()fru,. 14114 PO Repo SO SO SO %went Open •WM If451.114) WI ST SO SO 50 Derivative 1520491) 034%01 3384 2931 YID tarnuar in On•A MTM If451.114) Alternative SO SO SO 1013 (kited nt IS40.113) Otherl MISteNNWOU1 SO SO SO %Ws (u54.1581 040313) (5593,431) KU Nit Perftwiniester 0593.471) K/2013 Onbron Chest 4 Co EFTA01121682 C I 0 Global loverninent Clonorteralitee Global Investment Opportunities Group Account Position and MTM Summary (2013 Closed Positions) Prepared for Southern Trust az of September 30. 2013 LP. Morgan Securities LLC. Trade Date Symbol Shares Company Currency Industry Dividend Yield Cost Basis (5) Market Value (5) Closing Date Entry Price Closing Prke (Local) (Loco» 19.Mar.13 HIP 4,000 Hey Energy Partners Lp U50 Energy 527% ($163.200) 5160.101 19.Mar.13 40.80 40.03 (53.0991 20Mar.13 MOON 900 Model H Inc 1)50 Technology 0.00% ($13.9501 $18234 20.Mar.13 15.50 20.26 M)84 20Mar.13 HE 4,000 Hawaiian Electric Inds 1)50 Utilities 4.94% (6107.000) $107,398 20.Mar.13 26.75 2625 3398 21.10ar.13 ENTA 400 Enema Pharmaceuticals Inc U51) ansumer, tion.cydic 0.00% (55.600) $6,324 21.Mar-13 14.00 15.81 $724 22.Mar.13 GPK 3,000 GrapNc Packaging Holding Co 1)50 Industrial 0.00% (521.0001 $21)10 22.Mar.13 7.00 7.07 5210 26-Mar-13 O.MT 3,000 Calumet Specialty Products IND Energy 10.04% (6112.500) $111.178 26Mar.13 37.50 37.06 ($1.322) 28-14.9.13 NMI 2.000 Trani Holdings Inc USD smumer. HOn-cydk 000% (542.2001 541,899 28-Mar-13 21.10 20.95 (5301) 3.Apr.13 MCC 3.500 Ares Capital Corp USD Financial 8.79% (561.635) $61,214 3-Apr-13 17.61 17.49 (54211 Equity PA 5471 Equity Syndicate Pit 5471 Listed Options Trade Date Symbol Contracts Type Expiration Date 1118/2014 90 IIM 5991 (5926) $97.88 1/1812014 91 IIM $9.423 158.874) 597.88 coat Basis (S) Market Value. (5) Closing Date Initial Premium Closing Premium 24-Jul.13 GU- US (II Put 24-10.13 GLL 1/5 (91 Put 5991 $1047 Listed Options Pit 59.26 59.86 Listed Preferred. Trade Date Maturity Shares Company 56P Rating Par Amount Coupon Principal Cost IS) Market Value (S) Dividends Received (5) Closing Date Entry Price Closing Price Recall (Local) 15 Mar-13 Perpetual 45.000 Wells Fargo & Company 8884 $25.00 525% (51.125.000) 51.111.825 28.Mar.13 25.00 24.93 (53.175) 19 Mar-13 Perpetual 40.000 Citigroup Inc 88 525.00 520% (51.000.0:0) $996.1/8 3.Apr.13 25.00 24.92 (53.222) Listed P eeeeee Pit (56.398) listed P eeeee reds Syndicate Pal (56.398) Forward Contracts Trade Date Value Date Bought 23-M-13 25-NI-13 24-M-13 25-NI-13 2-Aug-13 26-Aug-13 21-Aug-13 26-Aug-13 21-Aug-13 26-Aug-13 28.Aug.13 30.40943 28.Aug.13 30aug.13 28.Aug.13 3-Sep-13 22.Aug.13 3-Sep-13 Z2.Aug.13 34e9.13 21.Aug.13 235.9.13 22-Aug-13 3-Sep-13 29-Aug-13 9-Sel>13 29-Aug-13 11-Sep-13 10-549-13 27-Sep-13 29-Aug-13 23-Sep-13 10-5e9-13 27-Sep-13 18-5'9-13 25-Sep-13 18449.13 25-Sep-13 1854943 2S.Sep.13 1854943 27-Sep-13 1954943 23-Sep.13 19.549.13 23-Sep.13 1954943 23-Sep.13 19.5M-13 23-Sep-13 20.5e9-13 25-Sep-13 201/9-13 23-Sep-13 20.5e9-13 25-Sep-13 20.5e9-13 25-Sep-13 Forward Contracts Pa äägä䧧§g%55§§§§§§%§§§§§ääää§ Notional Sold Notional Tie Date Contr., Spot Contract Forward Closing Date Closing Rate Rl 1,518,670 NOD 1.900.000 24-NI-I3 0.7993 0.7993 24404) 010015 ($1.615) 1,521.900 NW 1.900.000 24-NI-I3 0.801 0.801 2ß-M.13 010015 51,615 395.850 NW 500.000 25-Aug-13 0.793 0.7917 22-Aug-13 0.7834500 54,125 1,573.186 NW 2.000.000 25-Aug-13 0.786593 0.786593 22-Aug-13 0.7834500 56.286 1,799.236 AIM 2.000,000 25-Aug-13 0.899618 0199618 22-Aug-13 09815008 (53.7641 1,554,600 N20 2.000,000 28.409.13 0.7773 0.7773 28-Aug-13 0.7772000 3200 894,300 AUO 1,000,000 28.409.13 0.8943 0.8943 28-Aug-13 0.8942000 3100 Pion N20 1,000,000 31.409.13 0.7773 0.777095 28-Aug-13 0.77809 ($995) 1,802,000 AUO 2.000,000 31.409.13 0.901 0.901 29.Aug-13 0.8943700 513.260 1,559,213 GBP 1,000,000 31.409.13 1.5595 1359213 29-Aug-13 1.5492800 $9,933 1.000,003 11513 1,563,633 20Sep.13 1.564 1363633 29-Aug-13 1.5490000 ($15.2901 1,957.503 NW 2.500.000 31-Aug-13 0.783 0.783 29-Aug-13 07780900 $12,275 1,788.003 AIM 2.000000 6-Sep-13 0.89437 0194 4-Sep-13 09171400 ($46.280) 1,834.003 AUD 2.000.000 8-Sep-13 0.91714 0.917 10-Sep-13 09310250 ($28,050) 930.000 AUD 1.000.000 24-Selli-13 0.931025 0.93 9.5e0-13 0 9219000 58.100 2.719.503 NW 3.500.000 20-Sep -13 0.77809 0.777 18-5M-13 0 8308500 ($188.475) 930.000 AUD 1.000.000 24-Sep -13 0.931025 0.93 18-5M-13 09442900 C514.2901 500.000 USD 415.373 22-Sep-13 0.830746 0130746 I9-Sep-I3 0 8395000 54.326 500,000 U511 418,398 22.5ep.13 02136796 0.836796 IS -Sep-I3 08395030 31,336 2.000,000 11511 3.210,280 22.5ep.13 1.60514 1.60514 IS -Sep-I3 1.6071000 $3,948 1,000,000 11511 944,290 24 -Sep-13 0.94429 0.94429 IS -Sep-I3 0.9492000 $41323 839,0® N20 1,000,000 20.5(9.13 0.839 0.839 IS -Sep-I3 0.8376000 $1,400 839,0® N20 1,000,000 20.5(9.13 0209 0.839 19.5.9.13 0.8378000 $1,200 835,500 N20 1,004000 20.5(9.13 0.8355 0.8355 20.5.9.13 0.8366000 ($1.10m 3.206.000 GBP 2.000.000 20 -Sep-13 1.603 1.603 20-5®-I3 1.6006000 54.800 3.200.803 GBP 2.003,000 ZO-SeP-13 moor 1.6004 23-Sep-13 1.6059000 (W.«) 13300.003 USD 941.300 20 -Sep-13 0.9413 0.9413 23-519-13 0.9430000 $1,700 941.000 AUD 1.003.000 ZO-Sep-13 0.9413 0.941 23.5e13-13 0.9431300 ($2.130) 836.300 NW 1.001000 20-Sep-13 0.8363 0.8363 25.5eP-I3 1.0000« 56,424 519.717 EFTA01121683 GIO GlobalRRR masse Chanoriumilln .P. Morgen Securities LLC Account Position and MTM Summary (201 3 Closed Positions) Prepared for Southern Trust as of September 30. 2013 FX Ion Tra* Date Expiratnan Chimilion CurrenCy 1 Type Cuirrinry 2 Not tonal Strikt. Curremy 2 TYP" Closinq Date Original Cloking Preimium Premium IS) IS) Pit 2S-1u113 240a.13 Sold USO Call 2,000.000 0.10 Put K00.94 821/2013 5248130 (555.4401 ($26.560) 26.1u1.13 26, Amg.13 sought USD Put 2.000,010 0.78 USD Call 812/2013 1112.246) $1),160 *914 24.1u1.13 24.3an.14 Sold CAD Call 10,000,000 USD Put KI 01.005 KO 01.055 sarrou $91.000 ($49,C00) $42,000 26.8013 26, Amg.13 sought UW Put 3,000,000 038 USD Call 8/23/2013 IS10 149) $10,413 ($7.956) 6.Aug.13 06.Feb.14 Sold 1PY Call 3,000.000 95.00 USD Put K0099.35 9/2/2013 928200 $0 $24.200 2S-Ad.13 24.0a.13 Sold UW Call 3.000,010 0.93 Put K00.04 9/912013 843.320 (536,600) 1.6.720 10-5ep-13 23.1an-14 5014 UW Call 5.000.000 0.79 Put KI • .75 9/19/2013 578144 (545.0301 $33.114 3-503-13 cerreiii 5014 UW Pul 2.000.000 0.92 AUD Call WADOW KI 0.923 anti 903/13 9/23/2013 57.360 (567.4091 (560.1:119) 7-Aug.13 cerrb-14 5014 UW Pul 2.030,000 1.57 GBP Call KNOCKEDIA 0 „US & KO 0 1.53 9126/2013 519.939 (594.3851 (174.446) 23-5ep-13 0644b-14 80.2911t UW Pul 2.000,000 1.57 GBP Call 9126/2013 nta.766) $98.716 (549) FX OP00^ Pjt 2) Total 2013 Pik (S4 o.213) (Cl 2013 0/..torten Osme /I Ce. EFTA01121684 GIO Oka*. tenevans Oneeneelvin Global Investment Opportunities Group Account Position and NI_ Summary (Disclaimer) Prepared for Southern Trust as of September 30, 2013 1.P. Morgan SeeteritlaS IMPORTANT INFORMATION nib 1.110.111f (SU L.4004100.1.1'.1.0191all14110 6 COO 10411111.11QS 00 not prance t a0v10). 0/010:10,/y. any casoasion of U.S. tax matterscontainedheroin (includig any attachments) is not intended or written to bo wed, and cannot to used, in connection with the promotion, marketing or recommendation by anyone unaff &nod with Lei/wean01mo &Co. of any of thematters addressed boron or for the purpose of awaiding U.S. taxmlated Penalties. 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Wan:vs.or trenssebare made in your =oral and is burg prowled el yaw reducel Please refer lo your rrenley amyl statement for de oils:sal reoe'd 0 Moamar mown, scenes For coeshon.Nease oilyaw1 P. Mogan reotimo&Mte Tee follow, is berg percled lee nformalcaal pommy oWy ender nreepsee to your repeal Memnon coroated inns message end Off/ 0:01010310100000.01011101011. noteirg but me Smiledto any research. wake, velunons. ;Werner,. contents/tons. oalculakons otestimales. is below/ a be reliable tut we Osnol*If10111 M 00001101011001 or accuracy. Opoicm andosimaxe coon/slit cur juOjerani era are satioct le changev/1,W naloo. Past peeformance is not 00001/10 Wean reoulai. The matelot is 1101 Mended as a+ Wier or solcitalion 101 Me pathos,' or sale 01 any scandal instnenem. Teo broke/deafen ware( ther afelales and cerialcryoes may hoot a merlon a act as maraca maker in no Anemia, katomorvs of any issue( discussed haps+ or ad as indomMer. IMICOTOM agent a20201 or lender lo such issuer Veation, recnitk0 reflect pnce 'Mina*, on Pe tisk<s)spovied Alleagh irformalcn in these doonents has terra °bland Iron NORM beloved lo be Wage. JPIAxpoi Chase & Co and is eallotes do not guarantee es acorn or competenew erd accept no lobby for any erect or corompential 110106 wing fern as use. Trisinlomunon b lot thosob used the parson sa whom it b ad&rot and may be 004/000.11 and cortdonual. Any use, cesteibteon. otckplicalen by anyone oboe than no aCklrossto as pentad. II yea woke the n rum. please folly tiro Lender ierntodalely erd room by free (C) NM )Mogen Chine 6 Co EFTA01121685