PO Bat 1776. II:Armee MD 21233

PO Bat 1776. II:Armee MD 21233 Pulse xlheti hoer Wwlei Nsurnror, Manes (aerate Geve Deovne lank Woo we Ma vett Ca. 345Pek /WOW. 20h NOV It,. Yeric t ICVA 001154.1214. OSS)71$ 403S Valuation at a Glance Account Number: Statement Period: 08/01/2014 - 08/31/2014 This Pedod Year-lOste SOUTHERN FINANCIAL LW Beginning Account Value $103,635,665.44 $90,573,050.28 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals -273,000.00 9,837,54215 ST THOMAS VI 00802 Adjusted Previous Account Value 103,362665.44 100,410,592.43 Dividends. Interest and Other Income 439.623.39 2,417,791.02 Net Other Activity 0.00 -54.00 Net Chan e in Portfolio 417.409.86 1.391.369.24 Ending Account Value 5104,219,698.69 $104,219,698.6 Your Client Advisor. TAZIA SMITH Estimated Annual Income $3,646,365.03 Asset Allocation Prior Year-EM Last Period This Paled % Allocation USD Cash, Money Funds, and Bank Deposits 18,295,949.71 30,329,970.74 34,850,094.30 33.44% USD Fixed Income 27,736,972.38 23,923,01.06 19,591,460.64 18.80% Non-USD Fixed Income 10227,309.46 7,759,787.00 7,722,321.25 7.41% USD Equities 30,410,519.65 41,232,354.98 38,644,087.25 37.08% I Non-USD Equities 3,137,192.74 0.00 3,027,344.00 2.90% Non-USD Cash, Money Funds, and Bank Deposits 402,106.34 390,461.66 384,391.25 027% Other 363 000.00 0.00 0.00 0.00% Account Total (Pte Chart) $90,573,050.26 $103,635,665.44 $104,219,698.69 100.00% See the Asset Alocalion Disclosure and Footnotes section for important information regarding your Asset Alocalion. Please review your allocation. Assets of less than 1% of holdings era not &splay on this pie man. Page 1 of 20 COMES.R011 8009 72S2CSP300 15 Go 4 it s, RMY0 EvulleM p.aperless Every Voor Uwe 2007 DAMAO RATED COMMUNICATIONS AV MOOT C.00IPMY EXCELLENCE cowry oreveurewoo u0. • Wee Ina wiry/Woe ef The Gra MMus Yogi Maim Cora. Sara eons. U.C. MIS/ maw titSt PK EFTA01190526 Asset Allocation Disclosure and Footnotes Certain values have been defaulted into the Other Asset Class due to incomplete categorizing data All values are displayed in U.S. dollars based on interbank exchange rates as of 08131/2014. Exchange rates can vary. Equities contains Equity Mutual Funds. Summary of Gains and Losses Realized This Period Year-to-Date Unrealized Short-Term Gain/Loss Lone-Term GairVLoss Net Gain/Loss This summary excludes transactions where cost basis information is not available. 1580.38 18,212.90 2,733,326.04 -2.611.813.65 -7.029.061.12 2.717.691.59 -2,609,833.27 -7,010,848.22 5,451,017.63 Exchange Rate Table Global Cash Currency Closing Amount in Currency USD Equivalent per USD Currency Balance Base Currency USD EURO 1.3171 0.7592 EURO 291,846.67 384,39125 Exchange rates are based on interbank exchange rates as of 08/31/2014. Exchange rates can vary. Total Global Cash Balance $384,391.25 Money Market Fund Detail Date Activity Type Description Amount Balance Sweep Money Market Fund DWS GOVERNMENT CASH INSTL Amount Number: 0000001490 Current Yield: 0.03% Activity Encing: 08/29/14 08/01/14 Opening Balance 30,324,16934 30,324,169.54 08101/14 Deposit MONEY FUND PURCHASE 5,801.20 30329.970.74 08/05/14 Deposit MONEY FUND PURCHASE 2,098750.00 32,423,720.74 08/06/14 Deposit MONEY FUND PURCHASE 261,889.92 32.685.610.66 08/08/14 Withdrawal MONEY FUND REDEMPTION -534,873.02 32,150,737.64 08/12/14 Deposit MONEY FUND PURCHASE 82,091.18 32,232,828.82 08/14/14 Withdrawal MONEY FUND REDEMPTION -266,420.00 31,966,408.82 08/18/14 Deposit MONEY FUND PURCHASE 165,48129 32,131,890.11 08/19/14 Deposit MONEY FUND PURCHASE 82,431.92 32,214,32203 08/22/14 Deposit MONEY FUND PURCHASE 83.418.63 32,297,740.66 08/26/14 Deposit MONEY FUND PURCHASE 30,618.92 32,328,359.58 08/29/14 Deposit MONEY FUND PURCHASE 86,404.83 32,414,764.41 08/29/14 Deposit INCOME REINVEST 815.62 32.415.580.03 08/29/14 Closing Balance $32,415,580.03 Total All Money Market Funds $32,415,580.03 Page 2 of 20 110097252CSF30015 011A6iR011 Account Number: SOUTHERN FINANCIAL LLC Rated EL cc Kent Go paperless (very Veer Since 2007 DALIN., RATED COMMUNICATiONS Ali MOUT 14X4IVIRY EXCELLENCE Ow.. Ms.. Owe.. WI nOtOly and estelel el Tie Ora el lime Von. leikeen Corns, IOW NS) Poesy ti.C. mimeo/ masa MIK SVC EFTA01190527 PO Box 1776. Bat IrICe0 MO21233 duher En, ',wile WWI MN minnow MVatt (aerate Groo onion. sank stare' into Noe Yee MOM 345Patb Mettin. Nth Ma Ilinefeet, MT 10114 4544801. MSS) 211L4C9S Income and Expense Summary Current Period Statement Period: 08/01/2014 - 08/31/2014 Year-to-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Equities 116,33625 aoo 468,457.23 0.00 Money Market 815.62 0.00 3,587.45 0.00 Other Dividends 93,750.00 0.00 499,005.20 0.00 Interest Income Bond Interest 67,04426 0.00 695,861.21 0.00 FDIC Insured Bank Deposits 0.00 0.00 1691.15 0.00 Other Interest 40,625.04 0.00 121,875.12 0.00 Total Dividends, Interest, Income and Expenses $318,571.17 $0.00 $1,791,477.36 $0.00 Distributions Alternative Investments 0.00 121,05122 0.00 626,313.66 Other Distributions 0.00 21,174.66 0.00 488,230.19 Total Distributions $0.00 $142,226.88 $0.00 $1,114,543.85 Portfolio Holdings U.S. DOLLARS Account Opening Date Quantity Number Activity Ending Opening Balsa Closing biro Accrued bcome Income This Year 30-Day Yield Current Yield Cash, Money Funds, and Bank Deposits Cash Balance 5,80120 2,434,51427 Money Market DWS GOVERNMENT CASH INSTL 08/01/14 32,415,580.030 0000001490 08/29/14 30,324,169.54 32,415,580.03 26.65 3,587.45 0.03% 0.03% Total Money Market $30,324,169.54 $32,415,580.03 $26.65 $3,587.45 FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 08/01/14 N4G023804 08/29/14 0.00 0.00 0.00 2.691.15 N/A N/A Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $2,691.15 Total Cash, Money Funds, and Bank Deposits $30,329,970.74 $34,850,094.30 $26.65 $6,278.60 Page 3 of 20 800972S2C3P3001 5 OBAB.ROLL Account Number: SOUTHERN FINANCIAL LLC Riled Emallent Go paperless Every Year Since 2007 Aga AlquIr 'Canny OAL XXX RATED COMMUNICATIONS EXCELLENCE army sore u.C. • tame, and ••••••••••i M In •• New". 'Aron Cents. Sore Pea. ti.0 arta+ m.o.. utsc VC EFTA01190528 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date •.wired Cuantit Unit Cost Adjusted Cost Basis Market Price Market Value Unrealized Gain/Loss Accrued Estimated Estlmaled Interest Annual Income Yield Fixed Income (In Maturity Date Sequence) 6Asset Backed Securities COUNTRYWIDE HOME LOANS SEA 03-1 CL B14.090%03/25/33 B/E DTD 01/30/03 Factor:023181744 Effective Date:08101/14 Current Face Value: 1,043,178.480 12/13/13 .,3.12 4.500.000.000 933760 WASHINGTON MUT MTG SECS CORP 2004-RA2 MTG PASSTHRU CTF CL C-B-1 VAR RATE 6.972%07/25/33 B/E DTD 06/01/04 S & P Rating Factor: 0.57776879 Effective Date:08/01/14 Current Face Value: 745,321.739 12/13/13 ',3,12 1,290,000.000 765190 Security Identifier: 12669DYS1 974.082.95 86.1950 Original Cost Basis: $1.111.573.07 Security Identifier: 939336S20 570,309.83 87.0420 Original Cost Basis: $638,906.71 $1,544,392.78 Total Asset Backed Securities 5,790,000.000 Total Current Face Value: 1,788,500.219 Corporate Bonds JPMORGAN CHASE & CO MEDIUM TERM NTS CAPPED CONTINGENT BUFFERED EQUITY NTS 0.000% 10/16/14 B/E DTD 09/27/13 12/05/13 .,3,12 1,000,000.000 100.0000 PETROLEOS DE VENEZUELA NOTES SENIOR ISINAS0460546525 5.000%10/28/15 REG DTD 10/28/09 S & P Rating B+ 12/04/13',3,12 2.500.000.000 93.6050 HEADWATERS INC GTD SR NT 7.625%04/01/19 B/E DTD 03/11/11 CALLABLE 04/01/15 @ 103.813 Moody Rating B2 S & P Rating B+ 10/22/12 ',I2,13 1.000.000.000 102.1670 EARTHLINK INC GTD SR NT FULLY EXCHANGED CUSIP FROM 270321/68 8.875% 05/15/19 EVE DTD 05/17/11 CALLABLE 05/15/15 S & P Rating CCC+ 10/22/12 .,3;12 400,000.000 102.6890 Security Identifier: 48126NVE4 1.000.000.00 105.0400 Original Cosl Basis: $1.000.000.00 Security Identifier: P7807HAF2 2,340,116.28 93.0000 Original Cost Basis: $2,250,000.00 Security identifier: 422109E/5 1.021.666.69 105.5000 Original Cosl Basis: $1.035.000.00 Security Identifier: 2703214C6 410,756.48 102.2500 899,167.69 648,742.95 -74,915.26 78,433.12 3,555.50 4,330.58 $1,547,910.64 $3,517.86 67,886.08 $0.00 1.050.400.00 50.400.00 0.00 2.325.000.00 15.116.28 42.361.11 125.000.00 537% 1,055,000.00 33,33331 31,770.83 76.250.00 7.22% 409,000.00 -1,756.48 10,452.78 35.500.00 8.67% Page 4 of 20 110097252CSF30015 OBA6.ROLL Account Number: SOUTHERN FINANCIAL LLC Go paperless Rated E.aeINM Every Year Since 2007 0Atfiali RATED COMMUNICATIONS EXCELLENCE camas. einey• /emirate Lan nee, en et Tee •••• ee Nes Yen lassen Ceelereece Oen ••••••..., PoiliSigt“ Feu mak MSC SOY EFTA01190529 PC Boc 1776. Elan Nov *d1) 21233 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date abed Quantil Unit Cost Fixed Income (continued) Corporate Bonds (continued) EARTHLINK INC GTD SR NT FULLY EXCHANGED (continued) 10123112 600.000.000 102.4990 Total Noncovered 1,000,000.000 Total 1,000,000.000 SERVICEMASTER CO SR NT - CUSIP FULLY EXCHANGED FROM OLD CUSIP 81760NAL3 8.000%02/15/20 B/E DTD 02/13/12 Moody Rating CAA1 S & P Rating B- 01/24/13 440,000.000 104.5910 02/25/13 .,I2,13 1,000,000.000 105.1020 Total Noncovered 1,440,000.000 Total 1,440,000.000 LLOYDS TSB BK PLC EURO ISSUE MEDIUM TERM NOTES ISINNS0717735822 9.875%12/16/21 REG DTD 12/16/11 Moody Rating Bat S & P Rating BBB 12/04/13 .,3,12 1,500,000.000 107.9440 °MIX X Min. Venn. Wnkh Mane mai Mann I orerae. 6,0.0 oNtww EW few sec M,. Vert at. 145,Paf I /MOW. 26th ItW It.. Vert t IC .4 12121154.1811. OSS) 4035 Adjusted Cost Basis Market Price Market Value Statement Period: 08/01/2014 - 08/31/2014 Unrealized Gain/Loss Accrued Estimated Estimated Interest Annual Income Yield Original Cost Basis: $414,000.00 614,992.62 102.2500 Original Cost Basis: $619,500.00 1,025,749.10 $1,025,749.10 Security Identifier: 81760NAN9 460,19663 107.2500 Original Cost Basis: $468,050.00 1,051,018.62 107.2500 Original Cost Basis: $1,070,000.00 1,511,218.25 $1,511,218.25 Security Identifier: 64615PP48 613,500.00 1,022,500.00 $1,022,500.00 471.9C0.01 1.072.499.99 1,544,400.00 -1.492.62 15,679.16 53,250.00 8.67% -3,249.10 26,131.94 88,750.00 -$3,249.10 $26,131.94 $88,750.00 11,700.38 21,481.37 33,181.75 1,564.44 3,555.56 5,120.00 35,200.00 7.45% 80,000.00 7.45% 115,200.00 SOUTHERN CALIF EDISON CO PREF SER E 6.250%02/01/22 B/E DTD 01/17/12 CALLABLE 02/01/22 Moody Rating BAA1 S & P Rating BBB- 01/30/12 .,3,12 3,000,000.000 99.8020 1,619,166.62 117.0000 Original Cost Basis: $1,627,500.00 Security Identifier: 842400F112 2,994,061.72 108.7500 Original Cost Basis: $2,992,564.97 $1,544,400.00 1,755,000.00 3,262,500.00 $33,181.75 ;5,120.00 $115,200.00 135,833.38 104,510.42 268,43828 15,625.00 148,125.00 8.44% 187,500.00 5.74% Page 5 of 20 2009'1252CSF30015 DBAB.ROLL. Account Number: SOUTHERN FINANCIAL LLC ILI400 Go paperless Every vow since 2007 A•OuTtelLVERY 0.410AR RATED COMMUNICATIONS EXCELLENCE °Maly 0,04•40. 0••••••• LW. • tibia, <awl •••••••••• Ile Ora et Mos Vrii Con•••••.• 10~0 Weal*. tLC sea. maw MSC SPC EFTA01190530 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit Cost Fixed Income (continued) Corporate Bonds (continued) BARCLAYS BK PLC CONTINGENT CAP NT ISIN#US06739FHK03 7.750% 04/10/23 WE DTD 04/10/13 CALLABLE 04/10/18 S & P Rating BB+ 04/03/13 ',12,13 300,000.000 100.0000 Adjusted Cost Basis Market Price Market Value Unrealized Gain/loss Accrued Estimated Estimated Interest Annual Income Yield JPMORGAN CHASE 8 CO DEP SHS REPSTG 1/10TH PFD SER 1 FIXED TO FLTG RT BD 7.900%04/29/49 B/E DTD 04/23/08 Moody Rang BA1 S & P Rating BBB 06/15/11 *Al2 2,500,000.000 107.5000 06/15/11 e,3,12 2,500,000.000 107.0000 Total Noncovered 5,000,000.000 Total 5,000,000.000 BANK AMER CORP PERP NON COMULATIVE DEP SHS FIXED TO FLOAT 8.125% 04/30/58 8/E DTD 04/30/08 CALLABLE 05/15/18 Moody Rating BA3 S & P Rating BB+ 01/10/11 e,3,12 2,000,000.000 102.7500 GENERAL ELEC CAP CORP NON CUM PFD SER A 7.125%06/12/62 B/E DTD 06/12/12 CALLABLE 06/15/22 Moody Rating BAA1 S P Rating AA- 06/27/12 ',I2,13 2,000,000.000 105.5300 LBG CAPITAL N01 PLC 144A ISINMS0473106283 8.000%09/15/88 REG DTD 12/15/09 CALLABLE 06/15/20 S & P Rating BB 12/04/13 '•3,12 1,200,000.000 108.2500 LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1 SECS ISIN#US539439AG42 7.500%09/27/88 B/E DTD 04/07/14 S & P Rating BB- Please Provide • 1,903,000.000 N/A Security Identifier: 06739FHK0 300.000.00 111.2500 Original Cost Basis: 5300.000.00 Security Identifier: 46625HHA1 2,687,500.00 110.6250 Original Cost Basis: $2,687,500.00 2,675,000.00 110.6250 Original Cost Basis: $2,675,000.00 5,362,500 00 $5,362,500.00 Security Identifier: 060505DT8 2.055.000.00 111.0000 Original Cost Basis: $2.055.000.00 Security identif ler: 3696223N6 2,110,605.12 117.8750 Original Cost Basis: $2,122.916.67 Security Identifier: G5433BBG8 1,299,000.00 109.4000 Original Cost Basis: $1.299.000.00 Security identifier: 539439AG4 Please Provide 104.8750 333.750.00 2,765,625.00 2,765,625.00 5,531,250.00 $5,531,250.00 $168,750.00 5131.666.67 5395.000.00 2,220,000.00 165,000.00 47,847.22 162,500.00 7.31% 33,750.00 78,12&00 90,62&00 168,750.00 9.10625 65.833.34 65,833.33 131,666.67 23,250.00 6.96% 197,500.00 7.14% 197.500.00 7.14% 395.000.00 2,357,500.00 246,894.88 30,083.33 142,500.00 6.04% 1,312,800.00 13,800.00 0.00 96.000.00 7.31% 1.995.771 25 N/A 24.976.88 142,725.00 7.15% Page 6 of 20 110097252CSF30015 DBAS.ROll Account Number: SOUTHERN FINANCIAL LC Rated ExaMenk Go paperless et ) I—vv.-Svc* 2007 AMC MOOT E.Or t 'yoe DAL BAR RATED COMMUNICATIONS EXCELLENCE Orly -•••••••• WM • So, end ....doh One M el lawyer% MISR IIISY Oron) - Lit. asset MS. Wit IOC EFTA01190531 PC en 1776. CIA two MD 21233 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit Cost Fixed Income (continued) Corporate Bonds (continued) LLOYDS BANKING GROUP PLC FXD RATE RESET (continued) Original Cost Basis: Please Provide Total Corporate Bonds $22,639,083.78 23 843 000.000 Total Fixed Income Multi Lon. Fmk, Wealth Mann Co,.'a. GINO Deutmke NM Seca 7r. sec Mat NAME, 345770 *Nom 26th 100. It,. Yak, rer 1704 212104.1814. (*SS) fi t 409$ Adjusted Cost Basis Market Price Market Value Statement Period: 08/01/2014 - 08/31/2014 Unrealized Gain/Loss Accrued Estimated Estimated Interest Annual Income Yield $25,765,871.25 $1,131,016.22 $469,199.65 $1,702,800.00 29,633,000.000 Date ired 0uantit Unit Cost Equities Common Stocks MOBILEYE NV AMSTELVEEN ORD SHS ISIN#NL0010831061 Dividend Option: Cash 08/01/14 600 .000 25.0000 APOLLO GLOBAL MGMT LLC CL A SHS Dividend Option: Cash 03/29/11 263,157.000 19.0000 APPLE INC COM Dividend Option: Cash 10/28/13 14,000.000 785800 ARIAD PHARMACEUTICALS INC Dividend Option: Cash 02/14/12 •,I3 7,535.000 152090 01/24/13 9,000.000 19.6000 Total Noncovered 16,535.000 Total 16,535.000 ASCENA RETAIL GROUP INC COM Dividend Option: Cash 01/16/01 70,500.000 212770 $24,183,476.56 Cost Basis Market Price $27,313,781.89 Market Value $1,134,534.08 $477,085.73 $1,702,800.00 Unrealized Gain/Loss Estimated Estimated Annual Income Yield Security Identifier: MBLY CUSIP: N51488117 20,000.00 43.1800 Security Identifier: APO CUSIP: 037612306 4,999,983.00 24.4000 Security Identifier: AAPL CUSP: 037833100 1,058,120.50 102.5000 Security Identifier: ARIA CUSIP: 04033A100 114,597.40 6.2200 176,400.00 6.2200 290,997.40 $290,997.40 Security Identifier: ASNA CUSIP: 043516101 1,500,000.00 17.3900 34,544.00 6,421,030.80 1,435,000.00 46.867.70 55880.00 102,847.70 14,544.00 1,421,04710 376,87850 -67,729.70 -120,420.00 -188,14930 892,102.23 13.89% 26,320.00 1.83% $102,847.70 1225,995.00 $188,149.70 -274,005.00 $0.00 Page 7 of 20 800972S2C3P30015 DBA60042 Account Number: SOUTHERN FINANCIAL LLC It000 EmatHent Go paperless (t)E..ry V**. Since 2007 Ala Align I.Ottivnty [ALBAN RATED COMMUNICATIONS EXCELLENCE Oros one vens*N Lin •NNiN and suesideor ok mg ems go Na. venom ca.~ StY 114.0 P.n.. LIG. ovaeet 'S MSC La EFTA01190532 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date ired Quantity Unit Cost Equities (continued) Common Stocks (continued) BANK OF NEW YORK MELLON CORP COM Dividend Option: Cash 06/25/14 250,000.000 BIOGEN IDEC INC COM Dividend Option: Cash 02/14/12 2,095.000 FACEBOOK INC CL A Dividend Option: Cash 05/17/12 %a 17.500.000 FOUNDATION MEDICINE INC COM Dividend Option: Cash 01/13/14 25,000.000 08/05/14 24.830.000 Total Covered 49,830.000 Total 49,830.000 GENERAL ELECTRIC CO COM Dividend Option: Cash 04/23/13',13 23,000.000 GENERAL MIAS CO COM Dividend Option: Cash 11/18/10 • 12/09/10 Total Noncovered Total GILEAD SCIENCES INC Dividend Option: Cash 02/05/14 03/07/14 Total Covered Total 8,100.000 P MORGAN CHASE & CO COM ISIN#US46625H1005 Dividend Option: Cash 07/14/05 4.353.000 SANGAMO BIOSCIENCES INC COM Dividend Option: Cash 10.988200 86.536 800 97,525.000 97,525.000 5.000.000 3.100.000 8,100.000 362060 119.5490 38.0000 27.5070 23.2530 21.5700 36.4010 36.8160 79 2810 79.6120 Cost Basis Market Price Market Value Unrealized Gain/Loss Estimated Estimated Annual Income Yield Security Identifier: BK CUSIP: 064058100 9,076,406.00 39.1800 Security Identifier: BIIB CUSIP: 09062%103 250,45495 343.0400 Security Identifier: FB CUSIP: 30303M102 665,000.00 74.8200 Security Identifier: FMI CUSIP: 350465100 687,663.50 232700 577.373.02 232700 1,265,036.52 $1,265.036.52 Security Identifier: GE CUSIP: 369604103 496,109.08 25.9800 Security Identifier: GM CUSIP: 37045V100 399,978.16 348000 3,185.969.22 348000 3,585,947.38 $3,585,947.38 Security Identifier: GILD CUSIP: 375558103 396,407.00 107.5600 246,797.00 107.5600 643,204.00 $643,204.00 Security Identifier: JPM CUSIP:4662SH100 488.4840 2,126,372.76 59.4500 Security Identifier: SGMO CUSIP: 800677106 9,795,000.00 718,668.80 1,309,350.00 581750.00 577,794.10 1,159,544.10 51,159,544.10 597,540.00 382,389.37 3,011,480.63 3,393,870.00 $3,393,870.00 537,800.00 333,43800 871,236.00 $871,236.00 258.785.85 718,594.00 468,21325 644,350.00 -105,913.50 421.08 -105,492.42 170,000.00 1.73% 4105,492.42 101,430.92 -17,588.79 -174,488.59 -192,077.38 4192,077.38 141,393.00 86,639.00 228,032.00 $228,032.00 -1,867,586.91 $0.00 20,240.00 3.38% 13,185.84 3.44% 103.844 16 3.44% 117.030.00 811 7.030.00 $0.00 6,964.80 2.69% Page 8 of 20 BOOS/2522Si 30015 DOA0.004.1. Account Number: SOUTHERN FINANCIAL LLG Go paperiess ASOul t.or toe r ir as 4 6 MW ENO•Ileal arse Irene Y«. Since 2007 , line Ienstng Li.O. noe, en d .07wes0 et s talk •01••• verniame e••••••77...0 Wawa OALIKAR RATED COAVAUNICATIONS 77. 77000 ......na Nag, VC EXCELLENCE EFTA01190533 PC eta 1776. 801 two MD 21233 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Ired r Unit Cost Equities (continued) Common Stocks (continued) SANGAMO BIOSCIENCES INC COM (continued) 05/28/13 •,I3 50.000.000 8.4440 SANTANDER CONSUMER USA HLDGS INC COM Dividend Option: Cash 01/23/14 TWITTER INC COM Dividend Option: Cash 11/07/13 Total Common Stocks Preferred Stocks (Listed by expiration date) ALLY FINL INC PERP PFD FIXED/FLTG RATE SER A CALLABLE COUPON 8.5% PERPETUAL MATURITY CALL@25 05/15/16 Dividend Option: Cash 02/03/12 46.600.000 19.3820 02/09/12 80.000.000 20.1250 Total Noncovered 126,600.000 Total 126,600.000 GMAC CAP TR I GTD TR PFD SECS SER 2 8 125% FIXED RATE / FLTG Dividend Option: Cash 02/22/12 80.000.000 23.5350 ROYAL BANK SCOTLAND GROUP PLC SPON ADR REPSTG SER T PDF SHS COUPON 7.25% PERPETUAL MATURITY CAILi@r25 05/14/14 Dividend Option: Cash 10/24/12 •,I3 40.000.000 01/07/13 40.000.000 01/14/13 .03 40.000.000 1,000.000 24.0000 1.500.000 26.0000 23.7900 24.4400 24.8800 0.1•1 X Lin. Denstv Wealth Nincenrett Mears COoterage G Deutsche Ilec. %nue an leg Noe vett CM:. 145, PMI NOON. 26th NOV It... ND. Mr lelhe 1}121151.1811. OW NS 4C•35 Cost Basis 1bricet Price Market Value Statement Period: 08/01/2014 - 08/31/2014 Unrealized Gain/Loss Estimated Estimated Annual Income Yield 422,214.00 14.3000 Security Identifier: SC CUSIP: 80283M101 24,000.00 18.6200 Security Identifier: TWTR CUSIP: 90188.102 39,000.00 49.7500 $26,462,845.59 Security Identifier: ALLY PRB CUSIP: 020091308 903,217.51 1,619000.00 2,5132217.51 272700 272700 $2,513,217.51 Security identifier: ALLY PRA CUSP: 361860208 1,882,773.60 26.8999 Security Identifier: RBS PRT CUSIP: 780097713 951800.00 977800.00 995.200.00 25.6800 256800 25.6800 715800.00 18,620.00 74,625.00 $28,131,657.25 1,270,782.01 2,181,599.99 3,452,382.00 $3,452,382.00 2,151,992.00 1,027,199.99 1,027,199.99 1,027,200.02 292.786.00 -5,380.00 35.625.00 $1,668,811.66 367,564.50 571,599.99 939,164.49 $939,164.49 269,218.40 75,599.99 49,599.99 32,000.02 600.00 3.22% 81,233,057.03 99,025.00 7.79% 170,000.00 7.79% 269,025.00 $269,025.00 162,500.00 7.55% 72.500.00 7.05% 72.500.00 7.05% 72.500.00 7.05% Page 9 of 20 B00S7252CSF30015 DISAB.ROtt Account Number: SOUTHERN FINANCIAL LLC Go paperless r.,"•:- --tt. 2007 AMC ABOUT tirtalVIRY CiApPAR RATED COMMUNICATIONS EXCELLENCE Oisivq.••••••• ay Lail NS,/ entnetalel M The On of IS Yet seen copse w, MIN WS) PM*9 tit seer maw Nat WC EFTA01190534 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit Cost Cost Bash Rad Pike Market Value Unrealized Gain/Loss Estimated Estimated Annual Income Yield Equities (continued) Preferred Stocks (continued) ROYAL BANK SCOTLAND GROUP PLC SPON ADR Total Noncovered 120,000.000 Total 120,000.000 (continued) 2,924,400.00 $2,924,400.00 3,081,600.00 $3,081,600.00 157,200.00 $157,200.00 217,500.00 $217,500.00 Total Preferred Stocks Options $7,320,391.11 $8,685,974.00 $1,365,582.89 $649,025.00 CALL 100 AMERICAN AIRLS GROUP INC COM Option Identifier: 990ADTZJI DIP [email protected] OPTION ROOT= AAL Underlying Security Identifier: AAL 1,000.00 of these contracts we in your margin account Underlying Security Price: $38.88 12/11/13 • 1,000.000 8.0330 803,314.50 18.6400 1,864,000.00 1.060,68580 PUT 100 AMERICAN AIRLS GROUP INC COM Option Identifier: 99OADTZOO IXP [email protected] OPTION ROOT= AAL Underlying Security Identifier: AAL -1,000.00 of these contracts we a short position Underlying Security Price: $38.88 12/11/13 • -1.000.000 1.9770 -197.702.00 0.0300 -3.000.00 194.702.00 Total Option $605,612.50 861 000.00 $1 255 387.50 .00 Total Equities $34,388,849.20 $38,678,631.25 $4,289,782.05 $1,882,282.03 Unrealized Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/Loss Annual Income Yield Exchange-Traded Products WISDOMTREE TR JAPAN HEDGED EQUITY FD Dividend Option: Cash: Capital Gams Option: Cash 60,000.00 of these shares are in your margin account 12/11/13 60.000.000 49.4350 Total Exchange-Traded Products Security Identifier: DXJ CUSIP: 97717W851 2,966,098.50 49.8800 $2,966,098.50 Cost Basis 2,992,800.00 $2,992,800.00 Market Value 26,701.50 $26,701.50 Unrealized Gain/Loss Accrued Interest 55,004.40 1.83% $55,004.40 Estimated Annual Income Total U.S. DOLLARS EURO Description Cash, Money Funds, and Bank Deposits Global Cash Balance $96,388.518.56 Quantity Opening Balance 291,846.67 5103,835,307.44 Closing Balance Currency 291,846.67 EUR 384,391 25 USD $5,451,017.63 $477,085.73 $3,646,365.03 Accrued Income 30-Day Yield Total Cash, Money Funds, and Bank Deposits 291,846.67 291,846.67 EUR 384,391 25 USD 0.00 0.00 Page 10 of 20 110097252CSF30015 ',SA ROLL Account Number: SOUTHERN FINANCIAL LC Rated EpoNdlopol Go paperless Year Snot 2007 AMC ABOUT talIVIRY GALENARATED CONIMUNCAT iONS EXCELLENCE Colony erne •••••••• LOA • Slav and wita.S1 Ile Sae ei Corislian IOW Slosco0 Ran. U.C. None Mao. Wilt VC EFTA01190535 PO &a 1778. 11•11encee MD 21233 Portfolio Holdings (continued) EURO (continued) Ondre Enr hen.. wok), um mien.. Mats Caen*. Otto oe.owst OM Start Itx Noe Vert Clear 345 Pan OiNfivt. Nth EX/ leneVert, Per 10.14 IMI4542801.055)21SACIS Market Value Currency 291,846.67 EUR 384.391.25 USD Statement Period: 08/01/2014 - 08/31/2014 Accrued Interest Total EURO 0.00 0.00 Unrealized Accrued Estimated Cost Bash Market Value Gain/Loss Interest Annual Income Total Portfolio Holdings - U.S. DOLLARS $96,388,518.56 $104,219,698.69 S5,451,017.63 $477,085.73 $3,646,365.03 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered • noncovered, under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are 'covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the aclusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities. principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization. accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes. obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances. inducing those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. s Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. 6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 16 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Page 11 of 20 200972S2C3P30015 OBAD.ROLL Account Number: SOUTHERN FINANCIAL LC Rated EmatlIen1 Go paperless t ivory vest Since 2007 ANC MOUT Eetuv0tv °MAAR RATED COMMUNICATIONS EXCELLENCE cosy owe /*tray LLO. • mows, dares outate• rim Omni Num Veil. NOsn Comeran WOWS P•••••• ale mins. maw Malt VC EFTA01190536 Holdings Summary by Currency Exchange-Traded Currency Cash Fixed Income Equities Funds Total by Currency U.S. DOLLARS 34.850.094 27,313,781 38,678,631 2,992.800 103.835,307 USD EURO 291.846 0 0 0 291.846 EUR Total USD Equivalent 35,234.485 27,313,781 38,678,631 2,992,800 104,219,698 USD % of Allocation 33.81% 26.21% 37.11% 2.87% 100.00% Schedule of Realized Gains and Losses Current Period Disposition Acquisition Disposition Realized Gain/Loss/ Date Date Transaction Description Quantity Cost Basis Proceeds Disallowance Short Term 08/21/14 12/13/13' FPP WASHINGTON MUT MTG S 004-RA2 MTG PASSTHRU CTF CL 1,290,000.000 1,927.61 2.5' 9.' 3 591 52 C- B-1 VAR RATE 6.972%07/25/33 Security Identifier: 939336320 Original Cosi Basis: 1,927.61 08/25/14 12/13/13' RPP COUNTRYWIDE HOME LOA 1 CL B1 4.090%03/25/33 B/E D 4,500,000.000 19,579.74 20,966.60 1,388.86 M 01/30/03 Security Identifier: 12689DYS1 Original Cosi Basis: 19.579.74 Total Short Tenn $21,507.35 $23,487.73 $1,980.38 Long Term 08/01/14 07/14/05' SELL P MORGAN CHASE 8 CO US46E25H1005 1.450.000 708.30244 81,889.92 -626,412.52 First In First Out Security Identifier: PM 08/05/14 07/25/13' RDMG InG STRUCTURED PRODS IT/ LXD MKT PLUS PROTECTED 2.000.000.000 2.000.000.00 2,200,000.00 200,000.00 First In First Out NOT ES 0.000% 08/05/14 B/E DTD 07 Security Identifier: 78423EHS6 Original Cost Basis: 2,000,000.00 08/07/14 07/14/05' SELL P MORGAN CHASE 8 CO US46E25H1005 1.450.000 708,302.44 82,001.18 -626,211.26 First In First Out Security Identifier: PM 08114/14 07/14/05' SELL P MORGAN CHASE 8 CO US46825H1005 1.450.000 708,302.43 82,431.92 -625,870.51 First In First Out Security Identifier: PM 08/19/14 07/14/05' SELL P MORGAN CHASE 8 CO US46825H1005 1.450.000 708,302.44 83,418.63 -624,883.81 First In First Out Security Identifier: PM 08/26/14 07/14/05' SELL P MORGAN CHASE 8 CO US46825H1005 1.450.000 708,302.43 86,404.83 -621,897.60 First In First Out Security Identifier: PM 08/29/14 05/24/13' RDMG 13HSBC USA INC MEDIUM UFFERED NOTES LKD TO EURO 2.000.000.000 2,000,000.00 2,313,462.05 313,462.05 First In First Out STOX X 50 0.000%08/29/14 B/E DTD Security Identifier: 40432XFP1 Original Cost Basis: 2 000 000.00 Total Long Term $7,541,512.18 $4,929,698.53 -$2,611,813.65 Page 12 of 20 11009725204230015 DOAIL 0042 Account Number: SOUTHERN FINANCIAL LLC R.400 EmarlIenk Go paperless Every vat UN* 2007 AMC OOT 40.11VEXY OALEIAR RATED COMMUNICATIONS EXCELLENCE Olasilas anus% Oniing ISO. • 00.61. Cal ouly./~1 Ot Tie •••••• mums veal NO. Comers, 10~a Peal*7 ac. mover/ maw ins sec EFTA01190537 PO am 1776. Ultra* WO 21233 dud_..,. Myer Wealth IlAtfuencal Mareeti Caralt 0.0 oe.dicne Bank Molt Inc. mar OPRo• Ms Panoterra.260 f ixr Mew am*. la lent 454/812. 055)218409S Schedule of Realized Gains and Losses Current Period (continued) Disposition Acquisition Disposition Date Date Transaction Description Total Short Term and Long Term Statement Period: 08/01/2014 - 08/31/2014 Realized Gain/Loss/ Quantity Cost Basis Proceeds Disallowance $7.563,019.53 $4,953,186.26 -$2.609,833.27 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ORM (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered,' under the new cost basis reporting rules. and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-B or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities is adjusted for amortization. accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes. obtained from sources believed to be reliable. In the event, one or more of these attributes is changed. there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances. inducing those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general gude and you should consult your tax advisor in the preparation of your tax returns. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your accounts selected tax lot method will be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-B. Page t3 of 20 800972S2C3P30015 DBALR04.1. Account Number: SOUTHERN FINANCIAL LLC Go paperless tt, ( PaledI • Cellent no' sk" 2007 ASS ABOUT tetuvIRY DAM.. RATED COMMUNICATIONS EXCELUNCE Odds. tea.. Owe.. WI . tame, end rietagel •• Tow Ora •• len Veit COP•O•Soi Wore te* ,IC mambo/ Ma.. MSC $SC EFTA01190538 Messages Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For cisclosure of rates for DWS money market funds. please visit the DWS Investments website at https:riiiwnv.dws-investments.comIEN/productsImonermarket-funds-yields.isp. Please note that all money market funds listed on the website may not be offered through us. Afthough a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset & Wealth Management brand and future communications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC. The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding. Activity Summary (Ali amounts shown are in base currency) Credits This Period Year-to-Date Debits This Petiod Year-to-Date Securities Securities Securities Bought 0.00 0.00 Securities Bought -597,373.02 '9 812 2,38 ' Securities Sold 416,236.48 17,854,455.34 Securities Sold 0.00 C Total Securities $416,236.48 $17,854,455.34 Total Securities -5591,373.02 -$19,812.268.11 Dividends and interest $318,571.17 $1,885,284.87 Dividends and Interest $0.00 -$93,807.51 Distributions $4,655,688.93 $6,772,805.90 Distributions $0.00 $0.00 Fees $0.00 $0.00 Fees $0.00 -$54.00 Cash Cash Withdrawals 0.00 0.00 Withdrawals -273,000.00 -1,331.245.00 Deposits 0.00 11,168,787.15 Deposits 0.00 0.00 Total Cash $0.00 $11,168,787.15 Total Cash -$273,000.00 -$1,331,245.00 FDIC Insured Bank Deposits $0.00 $37,486,437.18 FDIC Insured Bank Deposits $0.00 -$19,304,764.85 Money Market Funds $801,293.02 $9,928,870.15 Money Market Funds $2,892,703.51 -$42,344,450.18 Total Credits $6,191,789.60 $85,096,640.59 Total Debits -$3,763,076.53 -$82,886,589.65 Page 14 of 20 110097252CSF30015 DBA6000. Account Number: SOUTHERN FINANCIAL U_C 04070 Emaillenk Go paperless Year Since 2007 A AS talIVESY OALEIAR RATED COMMUNICATIONS EXCELLENCE away One Pereng a • shay amid eutiale• Tie Genii M NS, Verb liSn Queries, own Sloore Rani. U.0 molar MIRA. nn. *PC EFTA01190539 PO. Sc, lilt. Banton RA 21203 Transactions by Type of Activity Process/ Trade/ Settlement Transaction Date Date Achy T e Securities Bought and Sold 08106/14 08/01/14 PURCHASED MBLY 08106/14 08/01/14 SOLD JPM 08108/14 08/05/14 PURCHASED FMI 08/12/14 08/07/14 SOLD JPM 08/19/14 08/14/14 SOLD JPM 08/22/14 08/19/14 SOLD JPM 08/29/14 08/26/14 SOLD JPM Muhl", 1.4 hews. WrilihNnotenns MVaitt Corer... Otto aquiline Ova twain, tic Ike Vert Cleo 315P el Immve.2(chf NneVerit, fa 10114 pM4S401101.055)21114CIS Desai,tion MOBILEYE NV AMSTELVEEN ORD SHS ISIN#NL0010831061 PROSPECTUS UNDER SEPARATE COVER JP MORGAN CHASE & CO COM ISINt/US46625H1005 UNSOLICITED ORDER FOUNDATION MEDICINE INC COM UNSOL AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT JP MORGAN CHASE & CO COM ISINt/US46625H1005 BKCM A PERSHING AFFILIATE MAKES A MKT IN THIS SECURITY & ACTED AS PRINCIPAL UNSOUCITED ORDER JP MORGAN CHASE & CO COM ISINt/US46625H1005 BKCM A PERSHING AFFILIATE MAKES A MKT IN THIS SECURITY & ACTED AS PRINCIPAL UNSOUCITED ORDER JP MORGAN CHASE & CO COM ISINt/US46625H1005 BKCM A PERSHING AFFILIATE MAKES A MKT IN THIS SECURITY & ACTED AS PRINCIPAL SOUCITED ORDER JP MORGAN CHASE & CO COM ISINt/US46625H1005 BKCM A PERSHING AFFILIATE MAKES A MKT IN THIS SECURITY & ACTED AS PRINCIPAL UNSOUCITED ORDER Ouanti 800.000 -1.450.000 24,830.000 -1.450.000 Statement Period: 08/01/2014 - 08/31/2014 Price Accrued Interest 25.0000 56.5412 23.1928 56.6800 -1.450.000 56.9150 -1.450.000 57.5955 -1.450.000 59.6550 Amount Cum -20.000.00 USD 81.889.92 USD -577,373.02 USD 22.091.18 USD 82.431.92 USD 81418.63 USD 86.404.83 USD Total Securities Bought and Sold - UNITED STATES DOLLAR Dividends and Interest 08/04/14 CASH DIVIDEND RECEIVED 842400FU2 08108/14 CASH DIVIDEND RECEIVED 08/14/14 08/15/14 08/15/14 Bit CASH DIVIDEND RECEIVED CASH DIVIDEND RECEIVED ALLY PRB BOND INTEREST RECEIVED ALLY PM SOUTHERN CALIF EDISON CO PREF SER E 6.250%02/01/22 B/E RD 07/05 PD 08/01/14 CASH PAYMENT 3000000 250000 SHRS BANK OF NEW YORK MELLON CORP COM RD 07/29 PD 08/08/14 14000 SHRS APPLE INC COM RD 08/11 PD 08/14/14 126600 SHRS ALLY FINL INC PERP PFD FIXED/FLTG RATE SER A CALLABLE COUPON 8.5% PERPETUAL MATURITY CALL@25 05/15116 RD 08/01 PD 08/15/14 80000 SHRS GMAC CAP TR I GTD TR PFD SECS SER 2 8125% FIXED RATE / FLTG RD 08/14 PD 08/15/14 0.00 -181,13634 93.750.00 USD 42.50000 USD 6.580.00 USD 67.256.25 USD 40.62104 USD Page 15 of 20 80097252C3P30015 DRAM WM I Account Number: SOUTHERN FINANCIAL LLC Go paperless ADOUT t•Lictiveltv ilib p ReleO Eocolloot Every Vest Since 2007 OALEAR RATED COMMUNICATIONS EXCELLENCE t so. to Pan, wen Mo.. Onmenw IOW /A.R. EFTA01190540 Transactions by Type of Activity (continued) Process/ Trade/ Settlement Transaction Date Date Act T pe 0uan Price Accrued Interest Amount Curt Dividends and Interest (continued) 08/15/14 BOND INTEREST RECEIVED 1440000 SERVICEMASTER CO SR NT - CUSIP FULLY 57.600.00 USD 81760NAN9 EXCHANGED FROM OLD CUSIP 81760NAL3 8.000% 02/15/20 WE DTD 02/13/12 CLB RD 07/31 PD 08/15/14 08/25/14 BOND INTEREST RECEIVED 4500000 COUNTRYWIDE HOME LOANS SER 03-1 CL B1 5.099.04 USD 12669DYS1 4.090%03/25/33 B/E DTD 01/30/03 RD 07/31 PD 08/25/14 08/25/14 BOND INTEREST RECEIVED 1290000 WASHINGTON MUT MTG SECS CORP 2004-RA2 4,34522 USD 939336820 MTG PASSTHRU CTF CL C-B-1 VAR RATE 6.972%07/25/33 B/E DTD 06/01/04 RD 07/31 PD 08/25/14 MONEY MARKET FUND 08/29/14 DWS GOVT CASH INSTL 815.62 USD INCOME RECEIVED 23399%82 Total Dividends and Interest - UNITED STATES DOLLAR 0.00 318,571.17 Distributions 08/05/14 SECURITY REDEEMED SG STRUCTURED PRODS INC COMMODITY LKD MKT PLUS -2,000,000.000 2,200,000.00 USD 784.74PHS6 PROTECTED NOTES 0.000% 08/05/14 EVE DTD 07/30/13 ACCOUNT REDEMPTION 08/25/14 RETURN OF PRINCIPAL 4500000 COUNTRYWIDE HOME LOANS SER 03-1 CL B1 20.96061 USD RECEIVED 4.090%03/25/33 B/E DTD 01/30/03 RD 07/31 PD 08/25/14 12669DYS1 0025/14 RETURN OF PRINCIPAL 1290000 WASHINGTON MUT MTG SECS CORP 2004•RA2 206.05 USD RECEIVED MTG PASSTHRU CTF CL C-B-1 VAR RATE 6.972%07/25/33 939336820 B/E DTD 06/01/04 RD 07/31 PD 08/25/14 0029114 PARTNERSHIP DISTRIBUTION 263157 SHRS APOLLO GLOBAL MGMT LLC CL A SI-IS RD 121,052.22 USD APO 08/22 PD 08/29/14 0029114 SECURITY REDEEMED EISBC USA INC MEDIUM TERM NTS BUFFERED NOTES LKD -2,000,000.000 2,313,462.05 USD 40432XFP1 TO EURO STOA 50 0.000%08/29/14 B/E DTD 05/30/13 ACCOUNT REDEMPTION Total Distributions - UNITED STATES DOLLAR 0.00 4,655,688.93 Cash Withdrawals and Deposits 08/14/14 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -273,000.00 USD USD999997 Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 -273,000.00 Money Market Funds 06101/14 MONEY FUND PURCHASE DWS GOVT CASH INSTL -5.801.20 USD USD999997 08/05/14 MONEY FUND PURCHASE DWS GOVT CASH INSTL -2,093,750.00 USD USD999997 Page 16 of 20 110097252CSF30015 OBAlf .R042 Amount Number: SOUTHERN FINANCIAL LC Paled Go paperless Since 2007 AS{ MOUT • en ivil RV CLALOAR RATED COMMUNICATIONS EXCELLENCE Oslo. driusinWars 1.1.0. • oboe, and ne-ar, M TIflon• 40 Nue %no Man Csallicoi Ohara OM'S. Iota /meow Mak MSC SP< EFTA01190541 PO BCP 1778. Etantrceo PAD 21233 Cleuta Bat 'mats *nit lisnopnal MVOCIC00000 4,00 Otal Mkt WY SecuMet Inc Is. Mal 30 P•II. Mewl, Ha MO, Pin Yak. M 1.0114 inn 45.4.1tItOSS))184095 Transactions by Type of Activity (continued) Process/ Trade/ Settlement Transaction Date Date Activ T e Desal Son Doan Prix Statement Period: 08/01/2014 • 08/31/2014 Aesrued Interest Amount Curt Money Market Funds (continued) 08106/14 MONEY FUND PURCHASE DWS GOVT CASH INSTL -261.889.92 USD USD999997 08/08/14 MONEY FUND REDEMPTION DWS GOVT CASH INSTL 534.873.02 USD USD999997 08/12/14 MONEY FUND PURCHASE DWS GOVT CASH INSTL -82,091.18 USD USD999997 08/14/14 MONEY FUND REDEMPTION DWS GOVT CASH INSTL 266.420.00 USD USD999997 08/18/14 MONEY FUND PURCHASE DWS GOVT CASH INSTL -165.48129 USD USD999997 08/19/14 MONEY FUND PURCHASE DWS GOVT CASH INSTL -82,431.92 USD USD999997 08/22/14 MONEY FUND PURCHASE DWS GOVT CASH INSTL -83,418.63 USD USD999997 08/26/14 MONEY FUND PURCHASE DWS GOVT CASH INSTL -30,618.92 USD USD999997 08/29/14 MONEY FUND PURCHASE DWS GOVT CASH INSTL -86,404.83 USD USD999997 08/29/14 MONEY MARKET FUND DWS GOVT CASH INSTL INCOME REINVESTED -815.62 USD REINVESTMENT 233993682 Total Money Market Funds - UNITED STATES DOLLAR 0.00 -2,091,410.49 Total Value of Transactions 0.00 2,428,713.07 USD The price and quantity displayed may have been rounded. Page 17 of 20 800972S2C3P30015 DBAD.R01.1, Account Number: SOUTHERN FINANCIAL tic PaledI E. cellent Go Apaperless tney SSW* 2007 POUT It•OrtIVERY 0Attialt RATED COMMUNICATIONS EXCELLENCE Cosine any. MS. 1.1.0. • mOtolly sad saistSary M Mogen...1am res. akin Cowan IOW 10••••0 Pea. isC etwate• IS mit Set EFTA01190542 Bond Maturity Schedule Bond Maturity Market Yak* % of Bond Market Value 1 to 6 months 1,050,400.00 4% 1 to 5 years 4,402,500.00 16% 6 to 10 years 6,895,650.00 25% I I Over 10 years 14.965.231.89 55% Total 27,313,781.89 100% Bond Quality Bond OvaMa Market Valet %of Bond Metket Value BM 5,620,000.00 21% BA/Lower Not Rated 19,744,214.20 1,949,567.69 72% 7% • Total 27,313,781.89 100% Client Service Information Percentages of bond market values are rounded to the nearest whole percentage. Percentages of bond market values are rounded to the nearest whole percentage. Your Client Advisor: TDS TAZIA SMITH 345 PARK AVENUE 14TH FLOOR NEW YORK NY 10154 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account communications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for more information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis. including short positions, at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price: Securities for which a price is not available are marked '"WA'" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. Page 18 of 20 110097252CSF30015 OBAB.ROll Account Number SOUTHERN FINANCIAL LLC Go l Rated Excellent paperless t—yn-Snte 2007 Ali MOUT l4XIIVOIV GALENA RATED COMMUNKATIONS EXCELLENCE OlosOlp. Ova.. On...re Lit. • ••••••••Sored *ado.. M The Oen% of lam V Yemen Ciesiewi Yswt 0••••••• SAC /met*/ mak MSC Se< EFTA01190543 PO BC( 1778.mac 5/O 21279 Important Information and Disclosures (continued) ONIWIll Myer Noah Nlanarnsal Meta Commit 0 .0 Deutscne sank stOilitlfIC Na•Ilta COOP 345 PVIP knee" 260 COM lin lick WI LOH. 1201454-21112. OS5)1184095 Statement Period: 08/01/2014 - 08/31/2014 Estimated Annual Rgures (continued) These fig.nes are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading. or tax decisions. These figures assume that the position quantities. interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to mviv.pershing.comfbusiness_confinuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request ['ceded to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Camay Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior !mitten authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts: are not recommendations to purchase, hold or sell securities: and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Bond Malay Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moodys or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Page 19 of 20 200972S2C3P30015 DBAD.ROLL Account Number: SOUTHERN FINANCIAL LLC E acellont AV m VIKV Yost Since 2007 mn paPecc,r„vlet.s IE vs 1lb, 0ALBAlt RATED COMMUNICATIONS EXCELLENCE OS. ISISII• Onlung lag • •4•01•1 a.red esisery Th• son• NW/W. Illefte -0~0 OMNI*. U.C. MIS/ nman wow mat EFTA01190544 Important Information and Disclosures (continued) The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitabiity of those transactions. where applicable: the rendering of investment advice, if any. to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: wwiv.pershing.comistrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights. including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413.3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affilated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto. shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330. Page 20 of 20 110097252CS230015 OBAS.R011 Account Number: SOUTHERN FINANCIAL LLC Rated ENcellent Go paperless every vat Uwe 2007 Ali ASCOT 40.11VEXY OALLIAR RATED COMMUNCATiONS EXCELLENCE Cisme - Owing 1.1.0. • untolryeaved omaimeor of The of N., Yer% Now coo•wan IMY 1•••••0 - U.C. nweir• n raft 110C EFTA01190545