EFTA01499687

SOUTHERN FINANCIAL LLC For the Period ACCT. W91850003 9/1/13 to 9/30/13 Trade Date Per Unit Settle Date Type DeeenptIon Quantity Amount Market Cost Settled Securities Purchased 9/13 Purchase EVERTEC INC (0 22.50 J.P. MORGAN SECURITIES LLC 3,000.000 22.50 (67,500.00) 9/18 (ID: 30040P-10-3) 9/16 Purchase PETROLEOS DE VENEZUELA S 5% OCT 28 2015 DID 2.500.000.000 90.00 (2,250.000.00) 9119 10/28/2009 HELD BY EUROCLEAR ISIN XS0460546525 SEDOL 65BOGP8 (ID: 71668A-9B-9) 9/12 Purchase CMGROUP INC PFD 7.125% @ 25.00 J.P. MORGAN 65,000.000 25.00 (1,625,000.00) 9/19 SECURITIES LLC (ID: 172967-35-8) 9/20 Purchase NAVIOS MARITIME PARTNERS LP 14.26 J.P. MORGAN 2,500.000 14.26 (35,650.00) 9/25 SECURITIES LLC (ID: Y62287-10-2) 9/25 Purchase VVESTAR ENERGY INC @ 31.15 J.P. MORGAN 2,000.000 31.15 (62,300.00) 9/30 SECURITIES LLC (ID: 95709T-104) Total Settled Securities Purchased ($4,996,200.00) Trade Date Type Per Unit Realized Est. Settle Date Selection Method Description Quantity Amount Proceeds Cost Gaintoss Pending Sales. Maturities, Redemptions 9/25 Sale VVESTAR ENERGY INC (ID: 95709T-10-0) (2,000.000) 31.16 62,238.91 (62.300.00) (61 09) S 9/30 9/27 Sale ENDURO ROYALTY TRUST (ID: 29269K-10-0) (5,000.000) 13.00 84,796.86 (69,250.00) (4,451 14) S 10/2 9/27 Sale RINGCENTRAL INC-CLASS A (ID: 76680R-20-6) (500.000) 17.50 8,729.84 (6,500.00) 2,229.84 S 10/2 9/27 Sale UIL HOLDINGS CORP (ID: 902748-10-2) (2,500.000) 36.99 92,373.39 (93,125.00) (751.61) S 10/2 J.P Morgan Account W91850003 Page 26 of 34 Consolidated Statement Page 29 Confidential Treatment Requested by JPMorgan Chase CONFIDENTIAL JPM-SDNY-00023481 SDNY_GM_00292679 EFTA01499687