SOUTHERN FINANCIAL LLC ACCT. For the Period 9/1/13 to 9/30/13 TRADE ACTIVITY Note: L indicates Long Term Realized Gain/Loss S indicates Short Term Realized Gain;Loss C indicates Currency Gain/Loss 0 indicates Ordinary Income Realized Gain * Settled transaction was initiated in prior statement penod and settled in current statement period Trade Date Type Description Quantity Per Unit Amount Proceeds Cost Realized Settle Date Selection Method Gainiloss Settled Sales/Maturities/Redemptions 8/28 Sale ZIONS BANCORPORATION VAR RT 09/29/2049 DTD (250,000.000) 100.10 250250.00 (250,000.00) 250.00 5' 9/3 High Cost 08/13/2013 100.10 JP MORGAN SECURITIES LLC (BIDL) (ID: 9/4 Sale MEDLEY CAPITAL CORP C 12.895385 83,820.00 (6,500.000) 12.855 83,558.54 (84,500.00) (941.46) S 9/9 High Cost BROKERAGE 280.00 TAX 8/OR SEC 1.46 J.P. MORGAN SECURITIES LLC (ID: 9/10 Expired Option JPY CALL USD PUT FX EUROPEAN STYLE OPTION SEP 486,250,000.000 85,000.00 85,000.00 C 9/10 High Cost 10, 2013 97.25 AT EXP KI .75 EXPIRATION OF WRITTEN FX OPTION (ID: 9/10 Expired Option JPY PUT USD CALL FX EUROPEAN STYLE OPTION SEP 500,000,000.000 36,500.00 36,500.00 C 9/10 High Cost 10, 2013 105. EXPIRATION OF WRITTEN FX OPTION (ID: 9/5 Sale JARDEN CORP @ 46.95 46,950.00 BROKERAGE 40.00 (1,000.000) 46.909 46,909.18 (47.000.00) (90.84 S 9/11 High Cost TAX 8/OR SEC .82 J.P. MORGAN SECURITIES LLC (ID: 9/5 Sale LINKEDIN CORP - A C240.00 360,000.00 BROKERAGE (1,500.000) 239.956 359,933.73 (334.500.00) 25,433 73 S 9/11 High Cost 80.00 T 8/OR SEC 6.27 J.P. MORGAN SECURITIES LLC (ID: 9/10 Sell Option JPY PUT USD CALL FX EUROPEAN STYLE OPTION SEP (500,000,000.000) 17,438.96 (121,500.00) (104,061.04) C 9)12 FIFO 10, 2013 100. RESALE OF PURCHASED FX OPTION (ID: 9/9 Sale ZIONS BANCORPORATION VAR RT 09/29/2049 DTD (450,000.000) 100.05 450,225.00 (450.000.00) 225.00 S 9/12 High Cost 08/13/2013 C100.10 450,450.00 BROKERAGE 225.00 JP MORGAN SECURITIES LLC (BIDL) OD: J.P Morgan Account Page 22 of 34 Consolidated Statement Page 25 Confidential Treatment Requested by JPMorgan Chase CONFIDENTIAL JPM-SDNY-00023477 SDNY_GM_00292675 EFTA01499683