# Profoundd archive — Epstein Files
# Bates number: EFTA00599823
# Title:        C I 0 Global l runs meat onuornmair Global Investment Opportunities Group
# Dataset:      9
# Pages:        13
# Images:       13 detected
# Tags:         epstein, doj, dataset-9, image-described
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#----------------------------------------------------------------------

=== SUMMARY ===
C I 0 Global l runs meat onuornmair Global Investment Opportunities Group Account Position and MTM Summary (Open Positions) Prepared for Southern Financial LLC as of April 23, 2013 J.P. Morgan Securitin LLC, Current EX & Commodity rates USDPIDOI USDARS USOCHF 122945 5.1693 0.9431 XAUUSEI USDKRW USDCAD 1412.61 1120.93 1.0258 GBPUSD EURUSD USDTRT 1.5265 1.3008 1.804 USDIPT USDBRL USONOIL 99.260 2.0218 5.9132 • Intrad via Illoornbe trade Date Symbol Shares Company Currency Industry Dividend 'held C


=== EXTRACTED TEXT ===
C I 0 Global l runs meat onuornmair Global Investment Opportunities Group 
Account Position and MTM Summary (Open Positions) 
Prepared for Southern Financial LLC as of April 23, 2013 J.P. Morgan Securitin LLC, 
Current EX & Commodity rates USDPIDOI 
USDARS 
USOCHF 122945 
5.1693 
0.9431 XAUUSEI 
USDKRW 
USDCAD 1412.61 
1120.93 
1.0258 GBPUSD 
EURUSD 
USDTRT 1.5265 
1.3008 
1.804 USDIPT 
USDBRL 
USONOIL 99.260 
2.0218 
5.9132 
• Intrad via Illoornbe 
trade Date Symbol Shares Company Currency Industry Dividend 
'held Cost Basis (S) Market Value (S) Entry Price Current Price 
(Local) (Local) Mt M 
11.0ct.11 TEF (1.500) Telefonica Se-Span Adr Communications 0.00% $34080 ($21,255) 20.05 14.17 $8.825 
15-Jun.12 TEF (39) Telefonica Sa-Span Mr USD Communications 0.00% $488 ($553) 12.52 14.17 ($65) 24-lan.13 ARIA 9,000 Ariad Pharmaceuticals Inc USD mourner, Non.cydx 0.00% (5176.4001 $167,940 19.60 18.66 (8.460) 14.Feb-12 ARIA 7,535 Ariad Pharmaceuticals Inc USD mourner, Non.cyclk 0.00% (5114.6001 $140,603 15.21 18.66 $26,003 24-Oct-12 Df 25,000 Dean Foods Co USD mourner, Non.cydir 0.00% (5470.4501 $477,250 18.82 19 09 Woo 12-Jul-ID DAG 50,000 Nash% Db Agi Double Long USD Funds 0.00% (5352.5501 $467,000 7.05 9.34 $114,450 17-May-12 FB 17,500 Facebook Inc-A USD Communications 0.00% (5665.000) $457,975 38.00 26.17 (5207,025) 14.Feb-12 BIIB 2,095 Biogen Idec Inc USD mourner, Non.cydk 0.00% (5250.455) $449,734 119.55 214.67 5199.278 
tructured Note 
Trade Date Maturity Face Amount • Manual Prici via /PMor an InvestmeM Bank as of da 
Loner Description 
Nov-12 1, .000 Gs Note 11/22/13 Lnkd To Man Vs Usd 85%Barner. 5% Atrn Cpn-22.9%Martrn 
9-Jan-13 24-lan-14 1,000,000 lisbc Ben Inked To Cnh Vs Usd SYJev. 500%Mantrn 01/09/13 Initial Strate/6.1995 
14Feb-13 20-Aug-l4 1,000,000 MS Market Plus MAX 0840/1480% EKO Barrier 15% CFI{ Uncapped Initial Level - 2, 
5-Apr-12 16-Apr-15 1,500,000 Mentor CLN 6203% CPN 04/16/2015 Dtd 04/16/2012 
r Cost Basis (5) Market Value (s) Interest 
Received 
(51,000,000) $1,116,960 SO 
($1,000,000) $1,006,500 SO 
($1,000,000) $1,121,350 SO 
($1,500,000) $1,561,950 569,888 Entry price () Current Price () 
$100.00 
$100.00 
$100.00 
$100.00 L70 
$100.65 
$112.14 
$104.13 MTM 
$116,960 
$6,500 
$121,350 
$131,838 
S. Fixed Income • Intrad via Bkaombe 
22-Feb-12 154:m.2018 1,000,020 Nrg Energy Inc 88- 
22-Oct-12 01-Apr-2019 1,000,000 Headwaters Inc B. 
22-Oct-12 15.May.2019 400,000 Earthlmk Inc 8 
23-Oct-12 15.May.2019 600,000 Earthlmk Inc 8 
1.Oct-12 01-Jun-2019 1,000,000 Kindred Healthcare Inc 8 
8-Nov-12 01-Jun-2019 1,000000 Kindred Healthcare Inc 8 
24-lan.13 15-Feb-2020 1,500000 Servicemaster Company 
25.Feb-13 15-Feb-2020 1,000000 Servicemaster Company 
3-Apr-13 10-Apr-2023 300,000 Barclays Bank Plc BBB- 
1S-Jun.11 Perpetual 2,500,000 Jpmorgan Osase I Co BBB 
1S-Jun.11 Perpetual 2,500,000 kamorgan Ouse 8 Co BBB 
10-lan.11 Perpetual 2,000,000 Bank Of America Corp 88. 
30-lan.12 Perpetual 3,000.000 Southern Cal Edison 888 
27-Jun.12 Perpetual 2,000,049 General Floc Cap Corp AA N/A 7.625% 
4/112015 7.625% 
5/1512015 8.875% 
siiiscou 8.875% 
6/1/2014 8250% 
6/1/2014 8250% 
2/15/2015 8.000% 
2/15/2015 8.000% 
4110/2018 7.750% 
4/30/2018 7.900% 
4/30/2018 7.900% 
5/15/2018 8.125% 
2/1/2022 6250% 
6/15/2022 7.125% (51,001,500) 
($1,035,003) 
($414,000) 
($619,500) 
($996,250) 
($970,000) 
($1,595,625) 
($1,070,000) 
($300,000) 
($2,702,425) 
($2,702,425) 
($2,081,180) 
($2,999.970) 
(52,122.920) $1,146,250 
$1,082,500 
$408,000 
$612,000 
$1,037,500 
$1,037,500 
$1,598,445 
$1,065,630 
$303,075 
$2,906,500 
$2,906,500 
$2,2/35,000 
$3,375,420 
52,313,000 $89,170 
$38,337 
$17,849 
$26,625 
$46,292 
$37,813 
$29,667 
$12,889 
$1,292 
$366,472 
$366,472 
$371,493 
$230,729 
$117.167 4.18% $100.15 $114.63 
4.99% $103.50 $10825 
828% $103.50 S102.00 
828% $103.25 5102.00 
7.17% $99.63 5103.7$ 
7.17% $97.00 $103.75 
6.39% $106.38 $106.56 
6.39% $107.00 $106.56 
7.50% $100.00 $101.03 
426% $108.10 $11626 
426% $108.10 $11626 
4.91% $104.06 $11425 
4.50% $100.00 $112.51 
4.97% $106.15 $115.65 $233,920 
$85,837 
$11,849 
$19,125 
$87,542 
$105,313 
$32,487 
58.519 
$4,367 
$570,547 
$570,547 
$575,313 
$606,179 
$307,247 
U.S. Fixed Income MTM (520.610.195) 522.077,320 $1,752,265 53.218./90 
EFTA00599823
C I 0 Caobalinvostmeall/unarlwefthm 
Current FIE & Commodity rates 
nternationd Fixed Income 
Trade Date Maturity Sate Amount 
11.Oct-12 
10.May-12 
26-Jan-12 
13-Oct-10 cot 
02-Nov-2017 
16.Dec-2021 
15.Dec-2035 
15.Dec-2035 • 
1,000,000 
1,500,000 
7,500,000 
10,000,000 Global Investment Opportunities Group 
Account Position and MTM Summary (Open Positions) 
Prepared for Southern Financial EEC as of April 23. 2013 
USOMXN 
UNBARS 
USOCHF 12.2945 
5.1693 
0.9431 XAUUSEI 
USDKRW 
USDCAD 1412.61 
1120.93 
1.0258 GBPUSD 
EURUSD 
USDTRY 1.5265 
1.3008 
1.804 USOWY 
USOORL 
USONOIC 99160 
2.0218 
S-9132 
• Intradrry Pricing via Bloomberg 
Issue S&P Rating Currency Coupon Principal Cost (5) Market value 15) Total Int-
Accrued 15) Yield to Wont Entry Price 
(Local) Current Price 
(Local) MTM 
Pevoleos De Venezuela at USD 8.500% ($440,250) 1487,500 $72,903 9.19% 8805 97.50 570,153 
Petroleos De Venezuela B• USD 8.500% ($897.500) $975,000 145,333 9.19% 89.75 97.50 5122,833 
Lloyds Tsb Bank Plc BBB- USD 9.875% (51,627,5C0) $1,815,000 $141,130 3.60% 108.50 121.00 5328.630 
Republic Of Argentina WA USD 0.000% (51,038.750) $410,250 5469.920 1285 5.40 (5158.580) 
Republic Of Argentina WA ARS 0.000% (5318.000) 515,500 $326.746 12.56 0.80 523,746 I.P. Morgan SeCueltleS LIX, 
Mortgage and Asset Backed • Manual Pricing via IF•Morgan Investment Bank 
Trade Date Maturity Original Face Issue S&P Rating Next Call Date Coupon Principal Cost (5) Marital Value (5) Total Princ*Int 
(5) Entry Price Current Price 
(Local) (Local) MTM 
24-Jan-13 
6.Feb-13 
5.Nov-12 
23-Aug-12 
14-Nov12 
2B-Nov.12 
16.4pr-13 25-Aug-2029 
20.Dec-2032 
25-Nov-2032 
25-Aug-2033 
25-Apr-2035 
25-Feb-2037 
25-Mar-2033 9,551,000 
5,701,000 
1,750,000 
3,325,000 
10,000,000 
eciellocio 4300,000 Nmbt 2004-1 OM 
Senn 11 B1 
Gmsl 2004-A 83 
Cwhl 2003-26 (11 
Inn 2005.2 1M1 
Chase 2007-A1 2A4 
Cwhl 2003-1 61 CCC 
CCC 
CCC 
CCC 
CCC 4/25/2013 
5/20/2013 
N/A 
4/25/2013 
4/25/2013 
8/25/2024 
4/25.0013 1.100% 
1.654% 
5250% 
5.336% 
0.845% 
2.988% 
5.750% ($562,273) 
(/781.919) 
(1583.601) 
(51231,222) 
(51,165,893) 
(52.042,809) 
(51,448,803) $560,616 
$798,259 
5538,811 
$1,068,003 
$1,144,948 
$1,880,598 
$1,448,803 $4,657 
$11,261 
$64,815 
$180,960 
$57,855 
$172,027 
($4,362) 5625 
73.75 
80.50 
7700 
7000 
88.50 
95.50 56.25 
76.30 
80.21 
73.20 
71.00 
88.00 
95.50 $ , 
$27,601 
$20,025 
$17,740 
$36,913 
$9,816 
(54.362) 
Listed Preferred 
Trade Date Maturity Shares Company S&P Rating Par Amount Coupon Principal coat (9) Market Value IS) Dividends Yield to Wont Entry Price Current Price Received (5) (Local) (Local) 
18-Nov.10 12/1/2013 8.000 General Motors Co WA $50.00 4.75% (5400.000) $362,320 145,494 23.36% 5000 45.29 57,814 
9-Dec-10 12/1/2013 63,000 General Motors Co WA $50.00 4.75% (53,185373) $2,853,270 $349,541 23.36% 5057 45.29 $16,838 
15.Feb-13 2/1/2016 6,000 Cliffs Natural Resources WA $25.00 7.00% (1150.000) $109,260 $1,021 19.99% 2SX* 18.21 ($39.719) 
22.Feb-12 2115/2040 80,000 Gmac Capital Trust I CCC, $25.00 8.13% (51,682.800) $2,168,000 $166,111 5.45% 2354 27.10 $451,311 
15-lan.13 1/15/2073 25,000 Nextera Energy Capital 88B $25.00 5.00% (1625.000) $619,500 $5,122 5.05% 2SX* 24.78 ($378) 
3-Feb-12 Perpetual 46,600 Aly Financial Inc CCC, $25.00 8.50% (51,002.226) $1,248,414 $117,730 6.52% 2151 26.79 $363,918 
9.Feb-12 Perpetual 80,000 Aly Financial Inc CCC. $25.00 8.50% ($1,780,000) $2,143,200 $199,278 632% 2225 26.79 $562,478 
17-Jan-13 Perpetual 27,000 Vomado Realty Trust BBB- $25.00 5.40% ($675.000) 5672,570 $3,443 5.46% 2500 24.91 $1,013 
24-Oct-12 Perpetual 40,000 Royal Bk Scotksd Grp Ptc 88 $25.00 7.25% (1951.600) $991,600 $24,569 7.38% 23.79 24.79 $64569 
7-Jan-13 Perpetual 40,000 Royal Bk Scotksd Grp Ptc 88 $25.00 7.25% (1977.600) $991,600 $9,868 7.38% 2444 24.79 f23,868 
14-Jan.13 Perpetual 40,000 Royal Bk Scotlnd Grp Ptc 88 $25.00 7.25% (1995.200) $991,600 $8458 7.38% 24.98 24.79 $4,858 
2-Apr-13 Perpetual 35,000 Digital Realty Trust Inc 8B. $25.00 5.88% ($875.000) 5872.900 $0 5.90% 2500 24.94 (52.1001 
16.Ape-13 Perpetual 12,000 First Republic Bank/5f WA $25.00 5.50% (1303000) $297,960 $0 2500 24.83 (52.0401 
EFTA00599824
GI 0 Global latuntraisat OnuoriunItles 
Current FX & Commodity rates 
Forward Contracts 
Trade Date Value Date Bought 
1.Feb.13 6-May-13 CHF 
14Mar-13 18-Jun-13 USD 
2I3Mar-13 1-Mar13 JPY 
Forward Contracts MTM Global Investment Opportunities Group 
Account Position and MTM Summary (Open Positions) 
Prepared for Southern Financial LLC as of April 23, 2013 LP. Morgan ~sin u.c. 
USIBMXN 
USDARS 
LISDOir 12.2985 
5.1693 
0.9431 )(AU») 
USDKRW 
USDCAD 1412.61 
1120.93 
1.0258 GBPUSD 
EURLISD 
USDTRY 1.5265 
1.3008 
1.804 LISCUPY 
USUAL 
LISONOR 99.260 
2.0218 
5.9132 
• Rates emoted intraday from Bloomberg 
Notional Sold Notional Fix Date Contract Spot Contract Forward Current Spot 
Rate Current Albin 
Forward MTM 
6,190500 
5,000,000 
925,220,000 EUR 
1(4W 
CAD 5,000,000 
5,581,750,000 
10003,0004-May-13 
16-hm-13 
=Ma 1.2391 
1116.35 
92.63 1.2381 
1116.35 
92.522 1.22693 
1120.19000 
96.75200 1.22690 
1,122.80250 
96.73640 $59,377 
$28,734 
($424,390) 
($336.279) 
FX Options • MTM Modelled via Bloomberg 
Trade Date Expiration Direction Currency 1 Type Currency 2 
Notional Strike Currency 2 Type Barrier Type Original Current Premium 
Premium (5) (5) MINI 
8-Aug.12 OB-Oct-13 
8-Aug.12 08.Oct-13 Bought 
Sold IPY 
JPY Put 
Call 10,000,000 
10,000,000 80.90 
76.90 CAD 
CAD Call 
Put Exp KI 0 69.65 (5347.809) 
$347,809 $1.592,358 
$0 $1,244,549 
$347,809 
FX Options MIM 50 $1,592.358 $1,592,3541 
Commodity Options • MTM Modelled via Bloomberg 
Trade Date Expiration Direction Commodity Type Notional (or) Strike Currency Notional Type Original Current Premium 
Premium ($) MIM 
19.Apr-13 11-Jul-13 
19-Apr-13 11-Jul-13 Bought 
Sold COM3 
COM3 Call 
Put 100,000 
100,000 111 
87.5 11,100,000 
8,750,000 Put 
Call 11.1u1.13 
11-Jull 3 DX) 
586,000 568528 
5Y, 
Commodity Options MTM s0 ($19.518)a 
Total Return Sw 
Trade Date Effective 
Date Maturity 
Date Underlying Shares Rate Spread (bps) Notional Accrued Interest 
Paid Entry Price 
(Local) ff Dividends 
Earned Conant Price 
(Local) MIM 
31-Jan.13 3-Feb-13 
18-Mar-13 18-Mar-13 5-Feb-14 
20-Mar14 Apple Inc 
Komi Transport Equipmt 4A30 
888,972 3mL 
3mL 1.00% 
0.70% 52,017,023.30 
11,999,999.37 (55,646) 
(51,951) $455.31 
2504.92 SO 
SO 405.41 
2,18380 ($226,703) 
($270,052) 
Total Return Swaps MTM 54,017,023 (57,597) so _J (5496, n5) 
E01 LO 
fl/SP 5139,807 
$5,545,382 5207,764 
$1,063,396 $347,571 
$6,608,778 2012 LOY Open Milil 55.585,131 
Repo $0 $0 $0 Current Open MTM 56.424.995 
MF /ST $0 $0 $0 
Derivative $739,806 (51,499,110) ($759.304) YID Change in Open MTM $739,8541 
Alternative $0 SO $0 2013 Closed PA- ($227.950) 
Other I Miscellaneous $0 SO $0 
otals 56A24,995 (5227.950) $6.197A45 [2013 Net Performance 5511,908 
<O 20131Psbrpen Gust & Co 
EFTA00599825
G I 0 Glob•I ni )toir... tunic in Global Investment Opportunities Group 
Account Position and MTM Summary (2013 Closed Positions) 
Prepared for southern Financial LLC as of April 23, 2013 J.P. Morgan SecurItie 
Equity 
Trade Date Symbol Shares Company Currency Industry Dividend 
Yield Cost Basis (5) Market Value (5) Closing Date Entry Price 
(Local) Closing Price 
(Local) Pit 
8-Jan-13 CLMT 4,400 Calumet Specialty Products USD Energy 7.27% (5139.964) $137.452 8-Jan-13 31.81 31.24 (52.512) 
8-Jan-13 SLRC 4,400 Solar Capital Ltd USD Financial 10.25% (5107.360) $105.688 8-Jan-13 24.40 24.02 (51.672) 
8-Jan-13 Tap 3,200 Tesoro Logistics Lp USD Energy 3.63% ($133.440) $134909 9-Jan-13 41.70 42.16 51,469 
15-Jan-13 USAC 6,000 Usa Compression Partners Lp USD Industrial 0.00% ($108.000) 5106.260 15..lan.13 18.00 17.71 (51.740) 
16-Ian.13 ALNY 2,400 Alnylam Pharmaceuticals Inc USD snstoner. Nowt-cyclic 0.00% ($48,312) $50,040 16..lan.13 20.13 20.85 $1,728 
16-Ian.13 ITMN 6,600 Intermune Inc USD snstoner. Nowt-cyclic 0.00% ($65,340) $66,125 16..lan.13 9.90 10.02 $785 
17-Ian.13 AVEO 2,400 Aveo Plizamaceuticah Inc USD snstoner. Nowt-cyclic 0.00% ($18,000) 517,899 17-Jan.13 7.50 7.46 ($101) 
17-Ian.13 CUM 1,800 Cyr Refining (p USD Energy 0.00% (545.000) 545,871 17-Jan.13 25.00 25.48 $871 
18-Ian.13 MCP 6,000 Molycorp Inc USD Basic Materials 0.00% (S114.000) $111,358 18..lan.13 19.00 18.56 (52.643) 
18-Jan-13 NCLH 1,600 Norwegian Cruise Line Holdin USD Consumer, Cyclical 0.00% ($30,400) $39,328 18..lan.13 19.00 24.58 $8.928 
18-Jan-13 NTI 5,200 Northern Tier Energy Lp USD Energy 19.02% (5127,192) $126,149 18..lan.13 24.46 24.26 (51.043) 
14-Feb-13 ARIA 9,000 Ariad Pharmaceuticals Inc USD 'name,. Nowt-cyclic 0.00% (S136.878) 5174,408 24..lan.13 15.21 19.38 $37,530 
24-Jan-13 89L 4,000 Buckeye Partners Lp USD Energy 6.70% (S210.160) $208323 24..lan.13 52.54 52.13 (51.637) 
25-Jan-13 BFAM 500 Bright Horizons Family Solut USD snstoner. Nowt-cyclic 0.00% ($11,000) $13,758 25..lan.13 22.00 27.52 52.758 
25-Jan-13 MCP 2,500 Molycorp Inc USD Basic Materials 0.00% ($15,000) $17A00 25..lan.13 6.00 6.96 52.400 
29-Jan-13 PNY 6,500 Piedmont Natural Gas Co USD Utilities 3.56% (5208.000) 5207.410 30..lan.13 32.00 31.91 ($590) 
31-Jan-13 KR% 1,500 Keryx Biopharmaceuticals USD snstoner. Nowt-cyclic 0.00% ($12,735) $14,190 31-Jan.13 8.49 9.46 $1,455 
3I-Ian.13 VNR 3,500 Vanguard Natural Resources USD Energy 8.41% ($97,475) $96,983 31-Jan.13 27.85 27.71 (5492) 
3I-Ian.13 27S 25,000 2oees Inc USD 'num.,. Nowt-cyclic 0.61% (5650.000) $786,482 1.Feb-13 26.00 31.46 5136,482 
1-Feb-13 CUSP 1,500 Chesapeake Lodging Trust USD Financial 4.15% ($31.125) $31,559 1.Feb-13 20.75 21.04 $434 
1-Feb-13 NMM 3,500 Navios Maritime Partners Lp USD Industrial 12.04% ($49,525) $48.859 1.Feb-13 14.15 13.96 ($666) 
5-Feb-13 EPD 4,000 Enterprise Products Partners USD Energy 4.35% (5218.240) $218,072 5-Feb-13 54.56 54.52 (5169) 
5-Feb-13 BCC 1,000 Eloise Cascade Co USD Industrial 0.00% ($21,000) $25,269 6-Feb-13 21.00 25.27 $4,269 
7-Feb-13 BCC 3,500 Eloise Cascade Co USD Industrial 0.00% ($69,510) $69,263 7-Feb-13 19.86 19.79 ($247) 
14-Feb-13 MR 29,000 Armour Residential Reit Inc USD Financial 13.08% (S198.360) $193.141 14.Feb-13 6.84 6.66 ($5.219) 
IS-Feb-13 CLF 3,000 Cliffs Natural Resources Inc USD Basic Materials 3.30% ($87,000) 589,148 15-Feb-13 29.00 29.72 52.148 
15-Feb-13 NLSN 8,000 Nielsen Holdings Nv USD Communications 1.86% (S260.400) $260.654 15-Feb-13 32.55 32.58 $254 
15-Feb-13 1,000 Pioneer Natural Resources Co USD Energy 0.07% (S128.000) 5130,328 15-Feb-13 128.00 130.33 52.328 
21-Feb-13 KORS 20,000 Michael Kon Holdings Ltd USD Consumer, Cyclical 0.00% (51230,000) 51,201.181 21-Feb-13 61.50 60.06 328.819) 
21-Feb-13 KMP 3,000 Kinder Morgan Energy Prtnn USD Energy 5.67% ($259.050) $259,377 2I.Feb-13 86.35 86.46 $327 
27-Feb-13 AGNC 15,000 American Capital Agency Corp USD Financial 15.32% (5474.450) $473,839 27.Feb-13 31.63 31.59 ($611) 
27-Feb-13 MPW 1,250 Medical Properties Trust Inc USD Financial 5.01% ($17,813) $17,887 27.Feb-13 14.25 14.31 $75 
28-Feb-13 DCP 3,500 °pomp International Inc-A USD Nat.cyclic 0.00% (S14Z205) $143,357 I.Mar.13 40.63 40.96 $1,152 
5-Mar-13 WP2 2,750 Williams Partners Lp USD Energy 6.31% (S135.135) $134362 5-Mar-13 49.14 48.86 3773) 
6-Mar-13 ARI 4,000 Apollo Commercial Real Estat USD Financial 9.38% ($68.200) 568.238 6-Mar-13 17.05 17.06 $38 
6-Mar-13 MHO 500 MA Homes Inc USD Consumer, Cyclical 0.00% ($11,750) $12,210 6-Mar-13 23.50 24.42 5460 
6-Mar-13 O 2,000 Realty Income Corp USD Financial 4.40% ($91,800) 591,078 6-Mar-13 45.90 45.54 3722) 
7-Mar-13 LUSO( 1,500 Discovery Communications -C USD Communications 0.00% ($97,125) 5100.438 7-Mar-13 64.75 66.96 $3.313 
7-Mar-13 KM 1,500 Kar Auction Services Inc USD snsLener. Nowt-cyclic 3.59% (528.875) 529,234 7-Mar-13 1925 19.49 $359 
7-Mar-13 BKU 500 8ankunited Inc USD Financial 3.42% ($12,625) $12255 8-Mar-13 25.25 25.51 $130 
8-Mar-13 PCYC 2,500 Pharmacyclics Inc USD snsLener. Nat.cyclic 0.00% (5235.000) $235,330 8-Mar-13 94.00 94.13 $330 
12-Mar-13 1.%P 2,000 Lexington Realty Trust USD Financial 4.85% ($23,400) $23,339 12-Mar-13 11.70 11.67 (5611 
13-Mar-13 BNNY 1,250 Annie's Inc USD snstoner. Nowt-cyclic 0.00% ($50,000) 549,949 13-Mar-13 40.00 39.96 (551) 
13-Mar-13 HTWR 600 Heartware International Inc USD snstoner. Nowt-cyclic 0.00% ($51,870) $52,055 13-Mar-13 86.45 86.76 5185 
14-Mar-13 VIPS 1,000 Vipshop Holdings Ltd Ads USD Communications 0.00% ($24,000) $24,609 14-Mar-13 24.00 24.61 $609 
IS-Mar-13 TRLA 1,000 Trulia Inc USD Communications 0.00% ($29,750) $31,009 15-Mar-13 29.75 31.01 $1,259 
3-Apr-13 ARCC 3,500 Ares Capital Corp USD Financial 8.68% ($61,635) 561,344 3-Apr-13 17.61 17.53 ($291) 
9-Apr-13 CU2 4,000 Cousins Properties Inc USD Financial 1.68% ($41,800) 542,359 9-Apr-13 10.45 10.59 5559 
10-Apr-13 TMHC 1,500 Taylor Morrison Home Corp-A USD Consumer, Cyclical 0.00% ($33,000) 534,754 10-Apr-13 22.00 23.17 $1,754 
11-Apr-13 RLGY 9,000 Realogy Holdings Corp USD Financial 0.00% (5396.000) $401,119 11-Apr-13 44.00 44.57 $5,119 
11-Apr-13 INFI 7,500 Infinity Pharmaceuticals Inc USD snstoner. Nowt-cyclic 0.00% (5300.000) 5308.768 11-Apr-13 40.00 41.17 $8.768 
12-Apr-13 EV7C 4,000 Evertor Inc USD snsLener. Nowt-cyclic 0.00% ($80,000) $85,430 12-Apr-13 20.00 21.36 55,430 
12-Apr-13 CSTE 1,500 Caesarstone Sdot-Yam Ltd USD Industrial 0.00% ($34,875) S35,639 12-Apr-13 23.25 23.76 $764 
18-Apr-13 APL 21,000 Atlas Pipeline Partners Lp USD Energy 6.52% (5714.000) $721644 18-Apr-13 34.00 34.46 59,644 
18-Apr-13 2,000 Intelsat Sa USD Communications 0.00% ($36.000) 533,919 18-Apr-13 18.00 16.96 (52.081) 
18-Apr-13 ROSE 1,000 Rosetta Resources Inc USD Energy 0.00% ($42,500) 542,459 18-Apr-13 42.50 42.46 (541) 
18-Apr-13 TAM LOCO Taminco Corp USD Basic Materials 0.00% ($15,000) $14,080 18-Apr-13 15.00 14.08 3920) 
11.Oct-11 TEF (,500) Telefonica Sa-Spon Adr USD Communications 0.00% $30,080 (520.700) 18-Apr-13 20.05 13.80 59,380 
15-lun-12 TEF (39) Telefonica Sa-Spon Adr USD Communications 0.00% $488 ($538) 18-Apr-13 12.52 13.80 ($50) 
15-lun-12 SEAS 2,000 Seaworld Entertainment Inc USD Consumer, Cyclical 0.00% (554.000) 561,419 19-Apr-13 27.00 30.71 57,419 
EFTA00599826
CIO Olobel Investment Ormortuntrles 
U.S. Fixed Income 
Trade Date Maturity Face Amount 
24.0ct-11 
8.Mar-11 
17-Apr-13 15-Feb-2016 1,500,000 
01-Mar-2017 2,500,000 
Perpetual 3,000,000 
U.S. Fixed Income PIL 
International Fixed Income 
Trade Date Maturity Face Amount 
23-lan.13 05.Dec.2022 12,00%003 Global Investment Opportunities Group 
Account Position and MTM Summary (2013 Closed Positions) 
Prepared for Southern Financial LLC as of April 23. 2013 J.P. Morgan Securities 11C. 
Issuer S&P Rating Next Call Date Coupon Principal Con Market Value Total Int. 
Accrued Closing Date Entry Price Closing Moe 
Hca Inc 
American Axle IS Mfg Inc 
lama/gen Chase a Co B. 
B 
BBB WA 
WA 
5/1/2023 6.500% 
7.875% 
5.150% (51.530,000) 
(52615.625) 
($3.000000) 51,650,000 
$2.575,000 
$3,015,000 1122.41, 
$289.8“ 
$289.844 24.lan.13 
1-Mar.13 
17-Apr-13 $102.00 
$10443 
$100.00 5110.00 
5103.00 
510).50 5242,417 
5249.219 
$304,844 
S 796.4)9 
Issue S&P Rating Currency Coupon Principal Cost (S) Market value (5) Total Int. 
Accrued (5) Closing Date Entry Price Closing Price 
(Local) (Local) 
America Monl Sala De C MXN 6.450% ($1,004,417) $1,041,054 $15,705 19-Apr .1 105.75 106325 552,343 
EFTA00599827
I CI Gillil•i lnvr.unenr (34,001rinfligin 
Mortgage and Asset Backed 
Trade Date Maturity Original Face Issue S&P Rating Next Call Date Coupon Principal Coat (5) Market Value (5) Total Int. Closing Date Entry Price Closing Price PIL Accrued (5) (Local) (Local) 
11-Sep-12 25-May-203$ 8.126,960 Mh12005-2 1..11 8/25/2015 0.640% ($1,456,134) $1,565,282 $104,747 2./20/2013 70.00 79.00 $213,895 
Listed Prefemeds 
Trade Date Maturity Share: Company S&P Rating Par Amount Coupon Principal Coat (5) Market Value (5) . Dividends 
Received (Si Closing Date Entry Price Closing Price 
(Local) (Local) PIL 
9-Jan-13 1/15/2073 15,200 Duke Energy Carp 8811. $2590 5.13% (5380,000) $383,192 $0 11-Jan-13 25 00 25.21 $3,192 
14-Jan-13 1/15/2073 10,803 Duke Energy Corp BBB. $2500 5.13% ($270,000) $279,282 $0 220an-13 25 00 2586 $9,282 
22-lan-13 1/29/2053 32.500 General Elec Cap Corp AA. $25.00 488% ($812,500) $811,832 $0 29-Jan-13 25 00 2498 ($668) 
290an-13 Perpetual 47,212 fem.:igen Chase 8 Co BBB $25.00 5.45% ($1,180,300) $1,173,664 SO 15-Mar-13 25 00 2486 (5036) 
14-Mar-13 Perpetual 25,003 Interstate Power 8 Light BBB $25.00 5.10% (1625,000) $624,486 SO 15-Mar-13 25 00 2498 ($S14) 
290an-13 Perpetual 12.788 Jprnoegan Chase 8 Co BBB $25.00 5.45% ($31%700) $318,237 SO 22.Mar-13 25 00 2489 (51,463) 
7-Feb-13 Perpetual &570 Armour Residential Reit NIA $25.00 7.88% ($214,250) $213,553 SO 22.Mar-13 25 00 2492 (5697) 
6-Feb-13 Perpetual 7.000 Gent Growth Properties Bu $25.00 6.38% (1175,000) $173,456 SO 22.Mar-13 25.00 24.78 (51,544) 
7-Feb-13 Perpetual 11,430 Armour Residential Reit NIA $25.00 7.88% ($285250) $284,862 SO 25-Mar-13 25 00 24.92 (5888) 
23-Jan-13 Perpetual 20,000 See Trust li BBB• $25.00 5.10% (150%000) $498,571 SO 3-444-13 25 00 24.93 (51,429) 
5-Mar-13 Perpetual 15,000 Public Storage BBB. $25.00 5.20% (1375,000) $375,142 SO 5-444-13 25 00 25.01 5142 
8-Apr-13 Perpetual 32.000 Mfa Financial Inc NIA $25.00 730% (5800,000) $801,902 SO 17-Apr- I) 25 00 25.06 $1,902 
Listed Preferred, PA 5679 
Listed Preferred, Syndicate 5679 
Forward Contracts 
Trade Date Value Date Bought Notional Sold Notional Fix Date Contract Spot Contract Forward Closing Date Closing Rate P/L 
4Dec-I2 8-Jan-13 JPY 822,800,000 CAD 10.000,000 8-Jan-13 82.416 82.28 4-Jan-13 8%17 (5783,578) 
18-Dec-12 22-Jan-13 M)(11 12,900,000 USD 1,011,828 22-lan-13 12.7324 12.7492 17-lan-13 12.59 113,6.97 
17-Jan-13 22-Feb-13 M)el 12,900,000 USD 1,022,438 22-Feb-13 12.5829 12.6169 23-lan-13 12.68 ($4,849) 
2-Noy-12 6-Feb-13 CHF 6,025,500 EUR 5,000,000 4-Feb-13 1207 12051 30-lan-13 1.23760 (1179.0441 
2-Nov-12 6-Feb-13 CHF 6,025,500 EUR 5,000,000 4-Feb-13 1207 12051 1-Feb-13 1.23910 (1187.3071 
4..lan-13 8-Feb-13 JPY 890,400,000 CAD 10.000,000 6-Feb-13 89.17 89.04 7-Feb-13 93.5012 ($478.0451 
7-Feb-13 12-Mar-13 JPY 933,849,000 CAD 10,000,000 10-Mar-13 93.49 933849 6-Mar-13 91.0278 1210500 
6-Mar-13 8-Apr-13 JPY 909.300,000 CAD 10.000,000 6-Apr-13 91.038 90.93 28-Mar-13 9161220 (5178.777) 
Commodity Options 
Trade Date Expiration Direction Commodity Type Notional (or) Strike Currency Notional Type Closing Date Original Closing Premium 
premium (5) (5) PIL 
10.Jul-12 08-Feb-13 Sold C0113 Put 100,000 79 7.900,000 Call 08-Feb-13 5327,000 SO 5321000.00 
10.10-12 08-Feb-13 Bought C0113 Call 100,000 118.5 11,850.000 Put 08-Feb-13 (5327,000) SO (5327.000.00) Global Investment Opportunities Group 
Account Position and IVITM Summary (2013 Closed Positions) 
Prepared for Southern Financial LLC as of April 23, 2013 J.P. Morgan Securities 1.1.C. 
Total Return Swaps 
Trade Date Effective 
Date Maturity 
Date Underlying Shares Rate Spread (bps) Notional Accrued Interest 
Paid Entry Price Closing Date Dividend% 
Earned Closing Price 
(Local) PS 
1-lan-12 3-Feb-12 5.Feb-13 Apple Inc 8.860 3471. L00% 14044,412.80 ($45,959) $456.48 31-Jan-13 $46,958 455.31 ($9,367) 
31-Jan-13 3-Feb-13 5-Feb-14 Apple Inc 4.430 3471. L00% $2,017,02330 ($5,646) $455.31 12.Feb-13 SO 469.58 557,591 
(02013 IPMorean Ouse 8 Co. 1 
EFTA00599828
e I (1) Globo ego wons reunopriniserp. I.P. Morgan Socuritios LLC Global Investment Opportunities Group 
Account Position and IV1TIV1Summary (2012 Closed Positions) 
Prepared for Soufflera Financial LLC as of April 23. 2013 
«qu'eu 
Trade Date Symbol Share. Company Currency industry DivideviPats Bas, (SI rNd marge value (5) Cto.king Date entry Price 
(local) <latins Price 
(Local) PIL 
15-Nov-12 41(5 135.0:0 Al Steel Holding Corp VS0 Omit Ideterieb 000% (55440031 1460.645 15-Nov-12 400 3M 1550.3551 
15.614r.I2 *LUI 5A00 Allnon Treraminion Holding VS0 Consumer. CPelke 2.12% (1124.2001 1122.510 15-Msr-12 2100 22.20 (SIAM) 
154W.12 ALNY 4,050 Alneam Pharmacouticalt Inc USD marre, Noncydit 0.00% (1438387 $44,352 15440.12 10.75 10.95 $314 
26.041-12 ACC 7,003 smorkan Campus Commun dle USD Financial 3.10% 03042501 1368469 26.044-12 43-75 44.07 72.219 
11-18-12 ACC 5.00) %motion Creus Ceernurnie VS0 firexiel 110% (1221.2501 1221.095 11.M.12 4425 4422 ($155) 
IBRLIl AGNC 9,00) Amorkan CaptalAgi/ou) Cor; USD Fearvial 15.32% 0306,9001 1307.710 18.10142 1410 34.19 $810 
7-Mar-I2 AGNC 15,30) Amorkan Captal Agenty Cet USD Fearvial 15.32% (8149,055) $449,499 S.M44-12 2535 2938 $444 
II-Dec-12 MG 20.(50 44 enen Intenetionel Group VS0 firunciel 000% (%58.1251 1487,795 II-044-12 3280 3446 $35{670 
MG 21.0:0 Amoroso hoMMOOM Groupe VS0 rirai& 000% (1032.5001 1691,089 164e9-12 3280 32 91 56939 
3.A40.12 MG 6,303 Antiefeet International Group USD Fearvial ODO% (1192,150) 1199,609 6.Aug-12 3150 31.68 $7,459 
7.May.12 MG 5,003 MM fan latOrnational Group USD remariai ODO% (1152,5001 1152,645 7-May-12 3150 30.53 110 
15.61er.12 Altl 2.50) Ameriges Portnenle VS0 Consume. Cella. 7.12% (11011251 1101,376 16.4.8-12 41.25 40.55 (51.718) 
21-Mar-I2 IINNY 500 Anne, Inc USD mima. Nangal ODO% (19.50) 115,656 22.4.812 19.00 3131 04156 
8041.12 MI 4,500 ApoitoCorreneeel Real Estat USD Mandai 9.38% (176,41) $75,699 3.0o.12 1686 16.82 (571» 
17-Apr-12 AMTG 2250 Apego Stevdent,al Morton, WO tirai& 1281% (441.0631 144365 17-Aor-12 1825 '7.94 06923 
20-546-12 MER 10.0:0 Approsch Renner«, Inc WO fnerilY 000% (005,4001 inemo 20-Sep-12 3050 29-24 15125601 
17-A443.12 ARCC 3,00) Mot Capital Cap USD Fearvial 86816 (15443) 1564400 iiinue 12 1681 16.8) (530) 
25844-12 ACRE 3,150 Ares Commercial Real Escale USD Mandai 539% (1562751 $54543 264.p-12 1880 17.95 (51.733) 
844w-12 Avse 3.50) Arrearong %Vedel Ventrée VS0 Industriel 000% (11788001 1178,910 8-Nov-12 5100 51.12 1410 
9-Nov-I2 AMY 11,0:0 Arroi IMphoono Inc VS0 verne. Non.cydir 000% (14415) 138822 9.Nov-12 3,65 3.50 ($142) 
4,D44,12 APL 3,500 Mas Apolno Partners LP USD Energy 652% (1104500) 1107,937 On-I2 31.00 30.84 ($564) 
»44o4-12 MP 3000 Allee Re,eurce Partners Lo VS0 fner9T 7.72% ($(4.03) 568007 21-Nov-I2 2301 22 67 ($1.023) 
294404-12 AV8 1250 Avelonbe Commuons, Inc VS0 Nnanciel 3.24% (1162.5001 1166,153 (9-No4-12 13000 13292 $3.463 
244812 AVG 1,800 Mg Trehnobgios USD Tethrsology cm% (1218001 $23858 244812 16,00 13.31 ($8842) 
TF•812 1,350 Etancedomea SA,Spons Adr USD Ftnare lai 2A8% ($851,0001 $81,7417 1.4812 6000 60.52 1707 
784.12 Mal 1.600 Oloorr•re Brand, Inc VS0 Consumer. (Yelliel 000% (119.8001 121.375 8806-12 114 les S1.575 
4-04612 LOUP 2.501 Bovet** Pipeline Peiner, VS0 (nergy 690% (167.4751 166975 4-Ckt-12 2699 26.79 ($540) 
2849.12 EIWP 2.500 eowonalk Pipeline Partneri USD Entra,/ 890% ($6A50) $68,018 2,Aug-12 27.80 2721 (11,483) 
man-12 EIWP 1250 Boechvalk Pipeline Partneri USD Energy 890% (134.43) $33,899 »Tan-12 27.55 27.12 ($539) 
15-Nov-12 BRO 1.700 Ortroll Reid Relaateniel Pope VS0 Consumer. Celse,000% (42428e 124286 15-Nov-12 1449 1449 50 
22-6144-12 CSM 6,750 Caearstone Sdoe•Yam Ltd USD Industriel 0.00% 074,25) $74.378 22-Mat-12 11.00 11.02 1123 
11.14w.I2 CLIAT 2,003 Calumet SpacianyPeccluas USD Energy 7.27% 051.001) 44168 0.4Ary-12 25.50 2425 (52.502) 
3-MP-12 CG 5,00) CorMeGroupfthe VS0 financiel 1025% 011400) 1109.905 3444y-12 2100 21.98 (195) 
2854012 CWST 6003 Capselle West., Systans Inca USD IndustrIal 0.00% 032.00) $33,904 issep.12 400 424 $1,904 
11440.12 CPAC 27,0:0 ZementosPacatmaio 5aa. Ad USD Industriel 1.23% 031645001 $295,731 8-Feb.12 11.50 10.95 016769/ 
4.4p-12 CLVS 2.475 Clovis Caccini. Inc VS0 Pourrie Non.cydii 000% (149.50) 149.978 4.Apr-12 2000 2019 1478 
244148-12 CB 3.60) Cobalt International (new VS0 ner9T 000% (110280) noz•ca 244 eb-12 2800 2989 $4600 
19.041.12 CPNO 260:0 Copano Energy UoUNu USD (Nagy 5.80% ($642,600) 1638578 1.0•1-12 32.13 31.78 ($7.040) 
13-148I2 CFNO 2.000 Logan Energy UpUnits USD Energy 5.80% ($440601 $67878 34.03 33.83 ($392) 
OK 2.0(0 Caporate 011ke Proper lies VS0 fiwrtiel 382% (149.50) 151.190 11.0n-12 2475 25.60 11.690 
2-Mar-I2 OPM 100) DeremIdstreamParlate USD Energy 5.74% (147.42) $46,899 2mata2 47.42 46.90 ($521) 
5.548.12 OCT 900) Del Industriel Trust Inc USD Financlal 3.69% (MUR $56,700 54epo 2 6.20 63) $960 
27-14n-12 DUI 1.250 Digrtel Reely Trustlat WO Nrenciel 423% (1943131 19:48$0 27.1un-12 7215 7268 1538 
6-1441-12 04 4.950 Dolle Generel Corp WO Consumer. <nad 000% (1231.4131 1235.303 6-Jun-12 4675 47.54 $3.891 
22M44-12 DG 4,50) Dollar Central Corn USD Consumer, geai 0.00% 02038251 $203,623 28.Mar-12 45,25 45.29 1198 
30M44-12 CORN 7,203 Magon' Brandi Group inc USD Consumer, geai 2.01% 0212,4001 1211,788 30-Mar-12 SASO 29,42 (012) 
9.Mey-12 WAX 18.0:0 Drea. Technolowee Cons USO weerra. Nocecycle 000% (176.50) 171.910 9404y-12 425 80) ($6590) 
11-54>12 ROI 2.00) (I Mo Potine Palmers LP USO nergy 5.67% (468.68) 168.478 11.5ep-12 3414 3424 ($202) 
2.Aug.12 ELOQ 2,040 Ebouà USD Tochnology ODO% (=OR $25,976 2,Aug-12 11.50 1281 88976 
28-14n-12 I.50) Energy neme. P4,8,0510 VS0 (nergy 735% (866.855) 164.995 M.Arn-12 4457 43.33 ($1.840) 
25-540-12 (PD 3.0(0 Emeronse Produit Parer.> VS0 fnergy 435% (1159.2101 1161.097 158e6-12 53,07 53.70 $1.817 
27-lun-12 
111Nov.12 EQM 
EOR 2,003 
2,000 Lit IdidstioarnPartners Lp 
Equity Recidevial USD 
USD (Nagy 
Arundel L00% 
2.77% ($42,0001 
(1105,50) $45,764 
1111,258 27-Am.12 
29-Nov-12 21.00 
54-75 2210 
55.63 83.784 
si-ns 
10.P<412 (VU, 1900 (s (nergy Partners lp VS0 Emin 6.41% (1122.3101 1122.783 104e6-12 67.95 6821 $473 
12-548-12 (T 2,000 f Pensive Pt VS0 Communütkes 000% (145.00) 146.446 12.5e812 2250 2322 11-446 
EFTA00599829
CIO cambm arneur Sara Drette deira Global Investment Opportunities Group 
Account Position and MTM Summary (2012 Closed Positions) 
Prepared for Southern Financial LK as of April 23. 2013 
2-Mar-12 ET 750 txontarget hi 
29.Fds.12 MLP 2,250 Enerran Fanners Lp 
17.1.40/32 Fl 17,5® Facetook Inc.4 
11.54,42 IS< 7.000 fifth Street linlue Corp 
29.Pelp12 MC 3.37$ lint Republic SantKa 
12,49612 in 1413 Forum Enogy Technologies in 
18-Apr-12 FRAN 1,507 Francesco). Ibldings Corp 
27-Jan-12 FRAN 3150 Iranians Ibldings Corp 
30.610612 CLOG MOD Gaslog Ltd 
14-54,9.12 GYR 2,000 Genesee 8,Wnseing Inc.0 A 
21-Jun-12 GHMK 9.000 Genmen Crognintio Inc 
84Iov-12 GNC 6.000 Gnc Holdings Inc-CI A 
M434612 GNC 5,400 Gnc Headings Inc-Cl A 
134)“.12 GPK 1,003 GrapNc Packaging »coding cc 
2409.12 GWAY IA® Lreenway Medical Technolog. 
26,5/9.12 BSMX 4,000 Grupo Fin Santancke.AcIr B 
19.49612 GWRE 1,50) Guklewire Software inc 
25-Jan-12 ONRE 1325 Guidewire Software inn 
19-58,12 HOI 5,007 Skuilds Care Rail Mn 
7.4,412 HOI 2,750 Hand+ Care Rail Inc 
22~42 HOI 4,950 Hoar, Care Rail Mc 
25.5e9-12 HR 4,00) Healthier, Realty Dust Inc 
11-Dec-12 HT2 6,000 Harts Global Holdings Inc 
549612 HOV 29,250 Honsanian Emorpnses4 
2.4,4).12 tOc Ism Wrist PharmaceuticalsInc 
13-Dec-12 INfi IS® infinity isharmoceutica Inc 
9.409.12 INFi 2,250 infinity Phansucauticals Inc 
10.Fe0.12 IRWO 1,900 Ironwood Marmacoutkakim 
6.Dec-12 KM 1.50) Kr Auction Services Inc 
8.Aug.12 ICE 2.000 Kilroy Reeky Corp 
8.Aug.12 KMR 2,70) 'rider Morgan Managamm L 
11.0‘612 KTTH 1,20) Kylhem Diophormaceinicals I 
12-041-12 IPI 2,475 Laredo Peeroleum Holdings in 
111.0<612 LXRX 20.0:0 Lemon Pharmaceuticals mc 
12.0a.12 LOCO 1,203 Unn Co 1k 
12-Jan-12 LINE 4.000 Linn Energy lk-Units 
I.may.12 LPIA 3,603 t91Fnanclal Holdings Inc 
1444(.12 LUFK 1,025 LOW, hclustries Inc 
6.5 -12 ttllO 4.00) MA Homes Inc 
10-Aug-/2 MANY 2.92$ Manchester UnitedPk-0 A 
23400.12 Mie( 2,250 Marl/4m~ Holdags Mc 
1.900.12 MPW 145C°909.601ProPerties Trust Mc 
29-Mar-12 MAO( 3.00) Merrimack Phormaceuticeb in 
23.610(.12 ICCRS 9,00) Michael Kors Headings Ltd 
25.0<612 MILK 2,50) Mph Lp 
74Aar-12 ISM 2FM Masons'« Mortgage HoltIng! 
3-May-12 NMM 3.00) Hems Mer time Perin., to 
25.0c612 NAV 2,000 Navistar Intonational Corp 
20464r.12 HUH 2650 Ideen Holdngs Ny 
28-Jul-12 Hyl 5,50) Northern Tier Energy LP 
2400.12 NG 11.250 Horagolcl Pompton Inc 
Lsep.12 II5 4,000 fluster Energy Lp 
11419r-12 OM 1,00) Oektree Capital Group Lk 
213446.12 OM 1,350 Oneok Pannenlo 
3May12 ROTT IMO) Pack Coast Oil Trust 
2S.S4p.12 EMIT 3,00) Pennantoork inumment Carp 
5-Mar.12 *OM 4.950 Puy Holdings Inc 
840.12 1511 ISO) Peregrine Senskorductor Con 
15.May.12 PEED 1,000 104 Energy Inc 
6-Mar.12 PAA IMO Plains All Amer Peen, Lp 
94406-12 014% 5,00) an Partners 1.9 
7.Doc.12 ;IRE 2,50) Or Energy LP 
11,49612 ORE 2,70) Or Energy L9 
II-Mar.12 OLTY 1250 Ositgeytimiststion lix 
26549-12 0011.007 CMOs, Inc 
17.May.12 RFT 2,50) Rama-Cannons® Proponin 
15.Fds.12 MF 3,150 Raymond lames Financial PK 
11.0it.12 RLGY 720) Ruby/ Holdings Corp 
14Mar.12 RE 25,<C0 Regions f Inancul Corp 
5.494,12 RPM 7450 RenalProperties Of Arne - A 
§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§ Commonicahons 0.00% 014.2501 $17.276 
Energy 728% 054,113) $53.168 
CommunKahons 0.00% (1665,000) $349,405 
financial 1062% (5755301 $74.753 
6~41 1.28% ($101.2501 5101.675 
Energy 0.00% 024297) 522.220 
Consume. Cydial 0.00% (541.4001 $42,105 
Consume. Cydial 0.00% (572.4501 $72.765 
Industrial 3.67% 075.6001 564872 
Industrial 0.00% 0129.500) $132,192 
irsumer. Non-LIAR. 000% (537.13001 537.899 
Consume. <SWF 1.44% ($211.2001 $211.284 
Consumer, Cyclical 144% 0192900) 1180.517 
industrial 0.00% ($6.100) $4100 
Technology 0.00% ($110001 5.21.672 
Financial 0.00% 0447401 $54440 
Technology 0.00% 0423751 144.075 
Technology 0.00% 014,6251 $11744 
firuncial 4.17% 02020001 52%350 
Financial 437% 0161.5631 1162.269 
Friancial 4.17% 02646251 1244.701 
fin niel 4.06% ($91.4001 $92.852 
risunsr. Nce.,cydh 0.00% 094.8001 593.708 
Consumer, Cyclical 0.00% 0445001 $39,994 
revne, Non,Nlii 0.00% ($1240001 $125.465 
nun.. Non,Nlii 000% (526.3301 527.932 
nusnr, Non.cyclie 0.00% 0324251 $33525 
mum«, Noncyclie 000% (24671) $29,767 
Ø. Norennlii 359% 0242501 $21580 
Financial 256% 092.2001 $92.740 
Energy 000% 01944501 $197.702 
insunde. Noncyclii 000% 019.2001 $23,383 
Energy 000% ($921191 $52.421 
instance, Non cyclic 000% 045.0001 $44,000 
Energy 6.78% 0434001 $45,299 
Energy 7.45% ($143.8031 $143.220 
Financial 158% 0124.2001 6124,700 
Energy 056% 081.2311 582.104 
Consume. Cydkd 000% 07%5201 $73.116 
Consume. Cydkd 000% 0449501 54403 
Financial 130% 060.6251 $71,697 
Financial 5,01% 0219.3751 $220.275 
inure. Non-cyclir 000% ($221.0001 $18.600 
Consumer, Cyclical 0.00% 0423.0001 $422.991 
Energy 1.97% 055.0001 564,910 
firuncial 000% ($249301 5.27.040 
Industrial 1104% 047.0401 $44593 
Consumer, Cyclical 0.00% 037.500 $34903 
Communkabsns 1.116% 0231.4131 6233,976 
Energy 1902% 077.0001 $78377 
Bask Materials 020% (6106,875) $105,188 
Energy SØ 0195,7601 1194,832 
Finnitil 622% 043.0001 542.329 
Energy 508% 0*20151 $79.549 
Financial 9.72% ($9,20001 5896,290 
Financial 10.02% 032.4601 $332390 
Utililics 495% ($952881 $94023 
Technology 000% ($14,0001 $14.534 
Energy 000% 026500 $26.450 
Energy 403% (5840301 $79,091 
Energy 900% 0115,5501 $113.415 
Energy 1083% 0446001 $394650 
Energy 1083% 051.790 551,624 
inikntial 000% ($142501 $11650 
r cahnology 000% (512,0001 511.950 
Financial 407% 0342501 $29,750 
Financial 125% 0107.1001 $109.529 
fir-uncial 000% ($194.4001 $238.183 
Financial 149% (1147.500) $149,900 
Snancial 4.44% 061.2001 64190 J.P. Morgan Securities 1.1.0 
22.1.4w-12 19,00 23.04 53.026 
29-f00.12 2405 23.63 ($915) 
3-Aug.12 38.00 19.97 15315.595/ 
11-Sep-12 10.79 10.68 (5777) 
294e8.12 3000 30.13 5425 
12-Apr-12 20.00 21.94 $1,960 
IB-Ap-12 27.60 20.12 5715 
27-7441-12 2300 23.10 5315 
301.44612 14.00 12.75 (6.728) 
14-509.12 64.75 66.09 52682 
21.Pun.12 420 421 599 
lisHov-12 3520 3521 584 
14144612 33.50 3343 (5383) 
13.04<.12 6.10 6.10 $0 
24e6-12 *00 12.04 53.672 
26-509.12 12.19 12.61 51,700 
19.49/.12 2325 29.19 $1.700 
25-1/41.12 13.00 16.66 $4.119 
194e9-I2 5400 5727 54350 
7,4u9.12 5825 59.01 $707 
22.100.12 5150 5348 ($124) 
25-5e9.12 22.85 2321 $1.452 
II-Dm•12 1580 15.62 ($1,092) 
sapr-12 zoo 1.18 (5506) 
2.409-12 600 7.97 (5536) 
13-04<-12 2433 27.93 $1.602 
9.4u9-12 1450 14.90 *CO 
10400.12 15.09 15.67 $1.096 
6.0®12 17.50 17.72 5330 
84sieg-12 46.10 4637 $540 
Saug-12 73.50 7322 0740 
II-00-12 1600 1949 $4.183 
12-061-12 2.725 21.18 52302 
1110ct.12 225 2.20 ($l40ø 
12.0ct.12 36.50 37.75 $1,499 
13-3/41.12 3595 3511 ($572) 
2-May-12 34.50 3464 5500 
1.Mar.12 7925 60.10 5872 
6-Sep-12 17.63 1028 52596 
HI-Aug-12 1400 13.* (767) 
23f06.12 30.50 31.86 53.062 
2401612 975 9.79 1900 
291.44P12 100 620 02.400 
2.3.144p12 47.00 47.00 (59) 
26-09.12 22.00 26.00 51.968 
6-Mar-12 1400 13.52 (5960 
3.4169-12 156$ 15.53 MVP 
Ø•S2 1175 lg.* (56OO) 
21./.4at.12 3025 30.57 $2.463 
26-Jul-12 1400 1421 $1.177 
2.F40-12 ASO 9.35 *Lisa) 
5-509.12 4194 48.71 0920 
12-49r-12 4300 42.33 0671) 
184eb-12 59.27 50.93 0460 
3,May.12 20.00 19.96 ($1,710) 
25509.12 1082 10.73 <5270) 
6-1.4ar-12 19.25 19.01 5743 
baug-12 1400 14.53 5534 
144Anp12 2450 26.45 050) 
6-1.4ar-12 6003 7909 (59)9) 
9.Nov-12 23.11 22.03 (52.135) 
7.04°12 16.24 1186 0950) 
12,49/.121419 19.12 ($162) 
8-Mor-12 1300 13.32 5400
28-Sep-12 12.00 11.9$ 050 
17-May-12 12.10 11.9) 0503) 
15409.12 34.00 3477 52,429 
II-Ott-12 27.00 33.* 143.783 
14-Ma-12 6.90 519 52300 
5Ap•12 500 ass 54900 
EFTA00599830
CIO seew rower usumunnorte. Global Investment Opportunities Group 
Account Position and IVITIVI Summary (2012 Closed Positions) 
Prepared for Southern Financial LK as of Aped 23. 2013 .P. Morgan Securities U.C. 
3-Oct-12 NW. 2,030 Rigel Plunmeteetkoh mc 
ISRO.I2 RNDY 22.500 Roundyl Inc 
IlMar.12 SBAC 1,500 gu CommuncatIonsCorpC11 
14-044-12 SOY 130) Silver Boy Realty Ton“OrP 
9-Mer-I 2 SPG 2.29) Simon Progeny Group Inc 
114)04.12 SE 4,003 Spectra Energy Corp 
194u1-12 SOU( 2.00) Solunk Inc 
18-Apr-12 SOU( SOO Solunk Inc 
S.Aug.12 5PM 2,000 Suburban Propane Partners Lp 
15462v.12 NGLS 4,000 Targa Resources Partners Lp 
Ill-lan-12 NGLS 1250 Tinge Resources Pennenip 
5.5442.12 TGP 2.00) Tee5.49 Imo Panne, Lp 
20.5442.12 TRLA 800 Oulu ins 
94,1ov.12 Tull' 1,500 Tumi Holdings ox 
19-Apr-12 TUMI 700 Tume Holdags Inc 
13.1u112 TWO 11,250 Two Harbors invest/Rom Cap 
22.F40.12 TWO 9,000 Two Harbors smog/Rent Cap 
11.1en-12 TWO 13,725 Two Herbert invemmeM Cap 
10-544942 ULTA 2,70) Uke Solon Cosmetics 4 Tug,
10.442v.12 MWE 3,000 Madmen Erwgy Fanners Lp 
14,042912 MWE 1,100 Madmen Erwgy Partners Lp 
12-5,042 VHR 250) Vengverd Natural Resources 
7.13,24.12 WITV 5,000 Vanta Inc-CIA 
3./4412 WITV 2,503 Vann Inc-CIA 
22-Mar.12 VNTV 4,50) Vent*. Inc-CIA 
14.1ar.12 VVUS 720) Unman( 
7.5442.12 VCR 2,750 Voccoa Cornmunkatims Mc 
28Mar-12 VCR 750 Vain Cornmunkatimax 
114.44942 WMrbW 3.003 Web.Ccen Group Inc 
205ep-12 WMC 3503 Western Anet Monger CaPir 
10.May.12 WMC 2,250 Western Asset Mortgage Caps 
5.044-12 Wilt 5.125 Whitehorse Sinence Inc 
26-Oct-12 ~V 2503 White/awe foods Co- A 
23Mar-12 WIC 2,250 Whiting Ute That II 
134)4,4.12 VILIO 1,000 Wilkams Cos Inc 
8-Aug-12 WO2 TOW Welkarts Ruben Lp 
A.Ape.12 WPZ 1,000 Wiliam, Partners Lp 
25-lan-I2 WPZ 3,000 Wiliam, Partners Lp 
12.0d.12 WOAY 900 Workday IneCLess A 
2044n-12 210P 6.79) boobos, OncoUllym1 
28-Mar.12 ZNGA 3,600 Zynga Ine - a A 
22.1un.12 CHOW 7,500 Cerucrsucl sa.MonsonadAde 
§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§§ mourner. Non.cyclii 000% 019.0001 111936 3-0c1-12 950 9.47 (461) 
Consumer, C)<Ircal 7.07% 0191,2501 1196098 850 8.35 15.648 
Communkabons 0.00% 071,2501 $71,957 8~42 47.50 47.97 1707 
firaial 020% (127.7501 SAMS 1050 18.71 $315 
financial 261% (1))62$01 1103,023 94,60-12 137.00 136.90 (5227) 
Energy 3.99% 0107,0001 1101.756 12414442 7:6.75 27.19 11,756 
Communketnen 0.00% (136.5001 157.542 20-M-12 2025 28.77 51.042 
Communketnen 0.00% (18.5001 113,650 194111442 17.00 31.30 57.150 
Energy 7.25% 075,2201 $73.854 9Aug.12 37.61 3603 ($1.366) 
Energy 5,73% 0144.0001 1141,116 1606t42 36.00 3529 (4213414) 
Energy 573% (147,8753 /*OM 19-lan-12 3030 3841 1136 
Ind./Wild la% 076.0601 $73,796 5-Sep-12 36.43 37.90 ($1.062) 
Communkations 000% 0126001 111981 2~6.12 17.00 23.73 15381 
ensum, Non.cyclh 0.00% 031,6501 $31,596 9.Nov.12 21.10 21.06 GM) 
Browner. Non-cyclir 0.00% (112.6001 117.991 19-Apr-12 1600 25.70 16.391 
Financial 10.87% 0117,4501 1119,025 13.3421.12 10.04 10.58 11.575 
Fmancial 10.87% 089.1001 $89,460 2214812 9.90 904 1360 
financial 19037% 0120581 1125,721 11-54n.12 9.17 9.16 ($137) 
Consumer. Cyclical 0.00% 02268001 1231,725 104M9.12 MOO 8542 14925 
Energy 5,20% 0139,5001 1142,131 14-Nou.12 46.50 4725 12,631 
Energy 520% 055,7921 $55,629 IGAug.12 50.72 50.57 ($163) 
Energy 841% 0667751 $41498 12-Sep-12 27.51 27.44 02762 
muse. Nencyclie OM% 00365001 1104,360 7.04c.12 2010 20.87 13.860 
wane. Nencyclie OM% 054.7501 $55,033 3.Aug.12 21.90 22.01 1283 
nevne. Non.tythe 0.00% (170001 183.127 22-Mr-12 17.00 16.92 51627 
Browner. Non.cyclir 0.00% (1162.0001 $164.707 1.14r-12 22.50 2206 12707 
Technology 010% 079.0631 $84938 7.4.012 28.75 2943 11,876 
Technology 0.00% 012.0001 117,392 2.1.434.12 16.00 23.18 15,382 
Communications 000% 043,7501 143,204 I.Msy.12 15,25 ISO) 0546) 
financial 17.11% (177.7001 $70012 213-Sep-12 2220 2229 $312 
Rnanclal 17.11% 0450001 $41,765 IO.May.12 20.00 18.56 (93236) 
financial 909% 077.6251 171,736 15,00 13611 05.7500 
'rarer. Non-cyclir 000% 042.5031 $43,170 26.044-12 17.00 17.27 1670 
Energy 1938% 045,0001 $496518 23-Mar-12 2000 22.01 $4518 
Energy 337% 031.0001 131,349 13.61.4.12 31.00 31.35 1349 
(new 631% 031.4301 192769 8-Aug-12 51.43 50.77 (9661) 
Energy 631% 0545601 MAIM 4Apr.12 54.58 54.15 (411) 
Energy 631% 0188,4301 1187,581 25-lan.12 62.81 62.53 (1849) 
Technology 000% (3S.2001 $41.766 12-0«.12 2000 4641 114566 
mourner. Non.cyclii 000% 030.1001 134.452 204441.12 520 5.10 0616$ 
Communicatnns 000% 043,200) MA784 2940.12 12.00 12.44 11.584 
ensumr, Nan cycle 000% 0117,0961 1116,768 22.Am.12 15.61 15.57 <sum 
Eo ty (5172.079) 
U.S.lived Imam 
Trade Date Maturt v race Amount Issuer 580 Rating Next Call Date Coupon Pn.nripal Cost Ma:Yet Yalu* Total lot. 
Aterued 
$63,017 
$48.644 
$181766 
$478.226 
$161.269 
1165.722 
1191,171 
$45,231 
$0 
358599 
1127,655 
1129,967 
$0 
$0 
SO 
$0 
$0 
SO 
12.063 
136.051 
$0 
$0 
$10.01/4
1451 <101.ing Date Entry Pn,ce Closing Pri“ 
741oWIl 
12-14n-12 
23.Apr.10 
Ylapr.10 
23.Apr-10 
17.614e10 
174/lar.10 
174/lar.10 
15-101-11 
25.1on-10 
28.1un-I 
15.5442.10 
20.1on-12 
260C411 
14R42.12 
21-101-10 
9.040-10 
13.1an.11 
144,12v.12 
7-Feb-12 
3.Atag.11 
16Mar.11 
30-lon.12 
114en.I2 31~2013 
310w-2013 
9Q-May-2016 
024.1ay.2016 
02-M4y-2016 
02-M4y-2017 
02Alay.2017 
02Alay.2017 
07-M9-2012 
(11.0c1.2014 
01.0a.2014 
15,4pr-2015 
094u1-2013 
99,Nov2012 
17Alay.2013 
224u1.2013 
lb/on-2012 
26.101.2012 
15./un2043 
06.1m.2015 
07.64.2013 
20.1un-2012 
Perpetual 
Ps-roamed In 
In 
1.123.093 
2,886,675 
909,717 
959.777 
1.236.549 
303,674 
In 
1.547.333 
773,667 
1,2000:0 
3.000.0:0 
1,0000:0 
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2.500.0:0 
3.000.0:0 
2.0000:0 
600,0:0 
In 
2.0000:0 
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2.000.000 
025.0:0 AtTiOntaa Capital Ltd 
Amencon Capital Ltd 
Co Group Inc 
Cn Group Inc 
Co Group Inc 
Co Group Inc 
C4 Group Inc 
C4 Group Inc 
Omroche Sank Ag London 
Nan, Lodong to 
felta Loogeg Lp 
Ford Motor croo: Co LIc 
GoMman Seto Group Inc 
Hsbc Ute Inc 
Hsbc Ute 4x 
bowman (lase 6 Co 
Morgan Stanley 
Morgan Stanley 
Prudential FinanIL Inc 
Royel Bk Scalnd Grp Plc 
Sg Structured Products 
Sg Structured Mika, 
Southern Cal Edison 
Southern Cal Edson NR 
NR 
89. 
88. 
88. 
88. 
WA 
B. 
154 
88, 
WA 
WA 
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888, 
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6,15i2023 
WA 
WA 
WA 
2/1/2022 
2/1/2022 7.960% 
7960% 
7000% 
7.600% 
MO% 
7000% 
7.600% 
7.600% 
0.000% 
10000% 
10.000% 
7.600% 
0.000% 
0000% 
0000% 
0.000% 
0.000% 
0000% 
5055% 
SOSO% 
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43.000% 
6250% 
6250% (11.011.030) 
<51.070.0:53 11 
(11061.039) 
($2,727.908) 
(19332031 
(1863,3941 
(11,140,717) 
($221:41391 
(11.0:0000) 
($1.621L568) 
(18142841 
($1,278,0001 
($3.0:0.00(0 
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($2.512.5003 
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($599,964) 
(19660901 
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($1.9113.3201 
($324.6041 51000.000 
$1.000.000 
$1.123.608 
$2.886,675 
1930717 
1939.777 
11.236,5*9 
5300,674 
1617.830 
11.734.947 
$867,474 
11.36%000 
13.162.000 
11.097500 
15.315.000 
14.469.250 
14.091.970 
11,019,780 
$601,500 
11.030.000 
12.211,600 
15.277,500 
/2035.000 
1326.625 22.4mg.12 
22-Aug-12 
17-Se0-12 
5.5ep.12 
21.Atio-12 
5.Sep-I2 
Gin-12 
3 May-12 
7.Aug-I2 
22-Feb-12 
22-Feb-12 
2 Apr.12 
24-Sep-12 
9-Nov.12 
241op.12 
213.1un-12 
18.704.12 
6-0.20.12 
24-044-12 
23,Aug.12 
14-4/0-12 
294eb-12 
194441.12 1101.10 
$1020) 
$94,50 
$94.50 
$94,50 
$9225 
$9225 
$9225 
$1000) 
11052$ 
5105E 
1106.50 
11000) 
1100.4:0 
1100.4:0 
1100.99 
11000) 
1100.4:0 
599.99 
196.60 
1100.00 
1100.00 
199.17 
199 MI 0:100 
1100.00 
1100.00 
1103.60 
1100.00 
1100.00 
1103.60 
1103.60 
161.78 
1112,13 
111L13 
1109.60 
110540 
110975 
110630 
1118 77 
113$ 
151199 
110325 
110300 
1110.58 
1105,55 
1101.75 
110950 $2.017 
$28.604 
$230.565 
$636,993 
$215.703 
$202104 
$287,704 
561765 
03821701 
1362.979 
119),M5 
1159,967 
1162.000 
$97,500 
$315,000 
$1.954750 
11051970 
153802201 
13.599 
1102051 
1211,600 
1277,500 
161.749 
$2,473 
EFTA00599831
G I 0 <war lassos mew tImoottaktea LP. Morgan Smithies LLC Global Investment Opportunities Group 
Account Position and MTM Summary (2012 Closed Positions) 
Prepared for Southern Financial LI.0 as of April 23. 2013 
ensenatIonal Fixed Moo 
Trade Date Maturity Face Amount Issue 58P Rating Currency Coupon Principal Cost (5) Market Value (5) Total int. 
mewed (51 Closing Data it ...try Price Closing Price
(local) (Local) PA. 
9. eb. 2 Perpetual 300.00 &astern Finance Ltd B88. VSO 5% (S:o3t,tI51 S32 t. 5).626 0058 )8 5S... 
Bonds Non Taxable 
Trade Date Maturity Face Amount Issue 58P Rating Next Call Date Coupon Principal Cost IS) Market Valuer (5) Total II"' Closing Date ntry Price Closing Price PA Accrued (9 Boca» (Loral) 
201...2-12 15-Ani.2034 1,000.0:0 Oh Mon Wty6sw.lf AM WIY2022 1750% 2$923.1701 5164.503 so 11.Am.12 98.82 98.15 (52670) 
BM/02 8-Mee-12 1.000,000 888. 7P1/2022 5125% (59625031 $995.111) so 21.2.m.12 98 25 9865 %COO 
16 Fat..12 8-Mat.12 1,0040:43 Pr Mmoducta St Lim tia• 250% (59742401 ssc2.7ao SD 16 teh 12 9742 9827 57,260 
Meelgage and Asset Backed 
T°IalEntry Rice Closing Price grade Date Maturity Original Fro IIN6 S&P Rating Next Call Date Coupon Principal Cost IS) Market Value. (5) Accrued (5) Closing Date Moral) 
13.90.12 2S-06C-2834 4275,000 Whits 2004 Ee B I CCC 025/2016 2750% (51.493.1271 51,629,095 528.900 Mhos-12 72.75 BOLO $164,168 
12.140612 20642036 6.000,CCO Bale 20064 245 CCC 72202020 0.479% (S1.647.559) $1,736477 5161,166 29-Nov.12 65.00 7300 $250,004 
16/erel 2 2546n-2037 2.001.519 Born 20021 2Al2 CCC 3/2522010 5.000% (9.165.000 $1,199,332 99.684 400.12 57.00 6000 $114010 
15.14402 25.Nov-Z034 10.000.00 Bub> 2C04.Ao$ MI CCC WA 0670% ($1.052.316) 51,175,593 584429 Shov-12 47.00 5450 $205.707 
31.May.I2 25-Feb.2035 3.3640:0 Cmu 2C05.1 B2 ensnom 6417% (11.719.980 51.678,198 $201,537 teNov.12 83.00 9750 $160,419 
13Aug.12 25.1urt.2033 3,02.0:0 Malt 20)34113 CCC 12R5/2014 5845% ($1.033A7 4) $1,153,365 $115,797 Bliov.12 61.00 1200 $235.688 
24m.12 ZO-Apr.2033 4000070 Semi 2033-1Si 8- 51202013 1.519% (51,074159 S1.204,376 550.10 13,829-12 6000 6900 $166.405 
Listed Prelims& 
Trade Date Maturity Shares Company SaP Rating Pa, Amount Coupon Principal Cost IS) Market Value 15) Dividends Closing Date I ntry Price Closing MCP ,,erved (s)<local) Rocs!) 
2 /an. 2/15/2042 20.0:0 Amen 988 525.00 800% ($502000) 5499.000 60 eb- 2 25.00 95 (s1,000 
BAIN-12 Perpetual 37,0:0 Alexandria Real Estate E 68 $25.00 6.45% ($925.0001 59)2,060 $0 29.1.4ar.12 25410 2438 15249401 
29.Ma612 Perpetual 240:0 Amencan Capital Agency WA $25.00 IMO% (57020001 5701,2118 50 16.Ap612 25410 25.05 51.288 
7.1un.I2 6/12/2042 10,02) American Financial COOJI3 Met $2500 638% (52540001 5250.880 SO itate-I2 25.00 2509 
6.5w.12 Perpetual 27.0:0 Ann* Capital Montt WA $2500 750% (5675.000) 5671,733 SO 18-SuP12 25.00 2136 ((3.267) 
6.5ep.12 Perpetual 25,0:0 Minty Capital Mont WA $25.00 750% (56240001 5621,225 SO ieseptz 25410 24.8S ((3.775) 
9-Mby.12 Perpetual 11,291 Annals Capital Mont WA $25.00 7.63% (5262,2751 5279,170 52.690 14-Arn.12 25410 7973 (ISIS) 
9.Mey-12 Perpetual 44712 Annty Capital Mann WA $2500 763% ($1.167.000) 51,153.03 $11,131 13.)un.12 25.00 24.70 (52.790) 
9,14.1".12 Perpetual 34,997 Ann* Capital Mont WA $25.00 7.63% (5876929 $863,376 58,139 12.Arn•12 25410 24.67 ((3.210) 
9-/Aay.12 Perpetual 35,890 Ann* Capital UAW WA $25.00 7.63% (5897.2501 $886,591 $8,552 11.Arn•12 25410 24.70 ($2.107) 
91Airy-12 Perpetual 0,110 Am$A. Capital MORO WA $2500 763% (51,027.750 51,016.609 59.796 7.1un.12 25.00 24.73 ((045) 
13.5ep-12 Perpetual 15.020 Apollo Residential Mtge WA $2500 600% (53750001 5375.570 SO 25-59P12 25.00 25.04 5570 
13.90.12 Perpetual 140:0 Apollo Residential Mtge WA $25.00 600% (52540001 5250,390 SO 25-septs 25410 25.04 $390 
12.5.212 Perpetual SLO:0 Bank 01 Paw. Yoh Mellon 888 $25.00 520% ($1,279,000) 51,260,173 SO 25-septs 25410 XR 1514127/ 
Perpetual 39250 Bodo, Bent Pk 080 52500 613% ($12222.569 51.013.749 $139.521 19.0u-12 25.56 258 5154701) 
13Aug.12 Perpetual 440:0 Capital One  Finanwl Co $25.00 6.00% (51,000.0003 5996,720 SO tesepts 25410 24.89 (91,280) 
28.562.12 Perpetual ISO:0 ml it &seesaws Prop WA $25.00 6.63% ($375.0001 2374635 SO 80a.12 25410 25.11 $1,635 
EFTA00599832
Global Investment Opportunities Group 
Account Position and MTM Summary (2012 Closed Positions) 
Prepared for Southern Financ



=== IMAGE DESCRIPTIONS ===
[Image 1] The image shows a printed document with a table of data. The table is titled "GIO Global Investment Opportunities 2015" and includes columns with various investment opportunities listed, such as "Company Name," "Ticker," "Price," "Change," and "YTD." Each row represents a different investment option, with some showing a positive change and others a negative change. The document appears to be a fin

[Image 2] The image appears to be a screenshot of a financial document or report, possibly a balance sheet or income statement. It contains a table with various columns, including dates, descriptions, and numerical figures. The document is structured with headers and footers, and there are visible logos or names at the top, which suggest it is from a company or organization. The text is too small to read in

[Image 3] The image appears to be a screenshot of a financial or stock market-related document. It features a table with various columns, including dates, names, and numerical figures. The document is titled "GIO," which could be an abbreviation for a company or organization. The visible text includes names such as "GIO," "GIO," "GIO," "GIO," "GIO," "GIO," "GIO," "GIO," "GIO," "GIO," "GIO," "GIO," "GIO," "G

[Image 4] The image appears to be a screenshot of a financial or stock market report. It shows a table with various columns, including dates, stock symbols, and numerical figures that likely represent financial data such as stock prices or market indices. The table is color-coded, with red indicating negative values and black or white indicating positive or neutral values. The top of the image includes a lo

[Image 5] The image shows a document with text, which appears to be a page from a report or a publication. The text is in English and includes headings, subheadings, and paragraphs. The document is titled "GIO" at the top, which could be an acronym for an organization or a title. The visible text includes phrases such as "Global Investment Opportunities Group," "2015," and "Investment Opportunities." There 

[Image 6] The image shows a financial document, specifically a balance sheet, with various columns of numbers and text. The document is titled "GIOI GROUP" and includes sections such as "ASSETS," "LIABILITIES," and "EQUITY." The numbers indicate financial figures such as cash, accounts receivable, inventory, and equity. The document is structured with headers and subheaders, and there are logos or emblems a