Irsr S•UTHERNFINAN - . - ' 777n.1:... .7,1.2..1..T.J..INTRIFI 1-"7"-. IIIIr Ana ,... 13 Mr 2014 Page 2 Of 2 DsuSchs Bank AG SOUTHERN FINANCIAL, LLC W;SpiketSettlement Not.Ccy Not.Ccy Trade ID Counterparty Trade Type Trade Date Maturity Date Date NotAmt 1 1 Not.Amt 2 2 Long/ Short Option Style Put/ Call Strike Price MTM(USO) 3663644W SOUTHERN ExEuroCial 21-Noo.2013 20.11ov.2014 25-Nov-2014 (I .030 CO3 00; USE) 101.030.000 JPY SHORT EUROPEAN CALL 1010000 ;37378^.•-h 710423459 3663644' 710423461 3663644W 710423463 366364436/ 710423465 FINANCIAL. LLC SOUTHERN FINANCIAL. LLC SOUTHERN FINANCLAL. LC SOUTHERN FINANCIAL. LC FXOneBatOneT otchOpt FXOnef3arOneT ouchOpt EXOnef3anDneT ouchOpt 21-Nov-2013 21-Nov-2013 21-Nov-2013 20-Nov-2014 20.11ov.2014 20-Nov.2014 25.11ov.2014 25-Nov-2014 25.Nov.2014 (21.000.(0) (21ff 00) (21.000 eel USD USD USD 0 0 0 JPY JPY JPY LONG LONG LONG EUICPEAN EUROPEAN EtPCPEAN 0.0000 0.0000 0.0000 13.82656 11,81170 10.000.58 377817895/ SOUTHERN FkuroOpl 17-Jan-2014 17.A4x.2014 21-A4x-2014 (10.0000(0 0g USD 11,003,000.00 CAD SHORT ELRCPEAN CALL 1.1000 (118.782%) 737154817 FINANCIAL. LLC 3778178W SOUTHERN EXOneBarEuro 17-Jan-2014 17-Apr-2014 2144x-2014 (10,000.0(000; USD 11,300,00000 CAD SHDRT ELRCPEAN CALL 1.1310 8.836 44 737154818 FINANCIAL, LLC Cpl 381388504! SOUTHERN Fx€uraapl 31-Jan-2014 01-May-2014 07-May-2014 (10.0:0.320.0:1) USD 1.025.(00,000 PY SHORT ELRCPEAN CALL 1025000 M.810191 745230311 FINANCIAL, LLC 31n15615/ SOUTHERN F)Eurc0p1 064hr-2014 17.44.2014 21-44.2014 10,000000 00 USD ii1000.0k 33) CAD LONG ELRCPEAN CALL 1.1000 118.78235 762758526 FINANCIAL, U.0 388835515/ SOUTHERN EXOneBarEum C6-Mer.2014 17-Apr-2014 21-Apr-2014 (10,0 0001 USD 11,300,003 00 CAD SHORT Et.RCPEAN CALL 1.1300 fa .836 441 762758631 FINANCIAL. LLC OP1 Subtotal: (10;5432°; Bat (100,548.29) Statement ID : The valuation information set forth in this statement is provided subject to the terms and conditions set forth in the notes on the cover sheet CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0110697 SDNY_GM_00256881 EFTA01453205