EFTA Document EFTA01383608

SOUTHERN FINANCIAL LLC (and subsidiary) Statement of Assets, Liabilities and Member's Equity Income Tax Basis as of November 30, 2014 ASSETS Current assets Cash and cash equivalents Due from brokers Managed investment accounts, at cost 13,504,156 46,455,220 72,211,896 Total current assets $ 132,171,271 Fixed Assets 266,023 266,023 Other assets Investment in partnerships, at cost 16,970,471 Investment in Haze Trust 88,541,097 Other receivables 4,033,417 Total other assets 109,544,985 TOTAL ASSETS 241,982,280 LIABILITIES AND MEMBER'S EQUITY Member's equity Member contributions 260,309,527 Net loss (18,327,247) Total member's equity 241,982,280 TOTAL LIABILITIES AND MEMBER'S EQUITY 241,982,280 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0083346 SDNY_GM_00229530 CONFIDENTIAL EFTA01383608