EFTA01547263.pdf
dataset_10 PDF 2.7 MB • Feb 4, 2026 • 84 pages
SOUTHERN FINANCIAL, LLC
6100 RED HOOK QUARTER B3
ST THOMAS 00802
VIRGIN ISLANDS (U.S.)
EFTA01547263
EFTA01547264
For the Period 11/1/13 to 11/30/13
Account Summary
Account
Number
Investment Account(s)
SOUTHERN FINANCIAL, LLC
SOUTHERN FINANCIAL LLC
SOUTHERN FINANCIAL, LLC
SOUTHERN FINANCIAL, LLC
1
2
Total Value
Beginning Net
Market Value
34,463,099.80
0.00
8,331.02
0.00
$34,471,430.82
Ending Net
Market Value
28,401,769.61
0.00
0.00
0.00
$28,401,769.61
This account summary is provided for informational purposes and includes
assets at different entities.
(1) Assets held at JPMorgan Chase Bank, N.A., member Federal Deposit
Insurance Corporation ("FDIC"), except for exchangelisted
options, which are held at 3PMorgan Clearing Corporation ("JPMCC"). The
Asset Account Statement reflects brokerage
transactions executed through J.P. Morgan Securities LLC ("JPMS"), see
"Portfolio Activity Detail". Equity securities, fixed income
securities, and listed options transactions are generally cleared through
JPMCC, a wholly owned subsidiary of 3PMS. Please see
"Additional Information About Your Accounts" at the end of the Asset Account
Statement.
(2) Assets held in Margin Account at JPMCC, member Financial Regulatory
Authority ("FINRA") and Securities Insurance Protection
Corporation ("SIPC"). The Margin Account Statement reflects brokerage
transactions executed by JPMS, see "Portfolio Activity
Detail". Such transactions are cleared and carried through JPMCC.
Please see disclosures located at the end of this statement package for
important information relating to each 3.P.Morgan account(s).
Change
EFTA01547265
In Value
(6,061,330.19)
0.00
(8,331.02)
0.00
($6,069,661.21)
Start on
Page
4
32
33
38
Client News
Please see the enclosed brochure for important
information regarding the tax treatment of debt
securities beginning on January 1, 2014.
Within your asset account, your current amortization
election applies to tax-exempt bonds purchased at a
premium. Changes in legislation for debt securities may
affect this election for securities acquired on or after
January 1, 2014.
0000004501.15.0.15.00001.SOUTHAH.20131203
Consolidated Statement Page 1
EFTA01547266
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01547267
For the Period 11/1/13 to 11/30/13
Consolidated Summary
INVESTMENT ACCOUNTS
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
7,597,418.19
1,648,916.88
24,978,933.42
$34,225,268.49
246,162.33
$34,471,430.82
Ending
Market Value
3,146,500.00
1,585,056.38
23,389,909.70
$28,121,466.08
280,303.53
$28,401,769.61
Change
In Value
(4,450,918.19)
(63,860.50)
(1,589,023.72)
($6,103,802.41)
34,141.20
($6,069,661.21)
Estimated
Current
Annual Income Allocation
11%
6%
820,460.53
$820,460.53
83%
100%
Equity
Cash &
Fixed Income
Alternative
Assets
Asset Allocation
Current
Portfolio Activity
EFTA01547268
Beginning Market Value
Net Contributions/Withdrawals
Income & Distributions
Change in Investment Value
Ending Market Value
Accruals
Market Value with Accruals
Period Value
34,225,268.49
(6,000,745.77)
42,944.07
(146,000.71)
$28,121,466.08
280,303.53
$28,401,769.61
Year-to-Date
Value
0.00
20,992,080.03
3,160,348.63
3,969,037.42
$28,121,466.08
280,303.53
$28,401,769.61
This Consolidated Summary shows all of your investments at J.P. Morgan other
than investments we hold in trust for you. These investments may be held in
custody or investment
management account at JPMorgan Chase Bank, N.A. (the "Bank") or in a
brokerage or margin account at J.P. Morgan Clearing Corp. ("JPMCC").
Brokerage and margin accounts are
non-discretionary and all investment decisions are made by the client. J.P.
Morgan Securities LLC ("JPMS") does not provide advice on asset allocation
or investment management
services, nor do its personnel take discretion over any client accounts.
Such advice and services are provided exclusively by the Bank.
Consolidated Statement Page 2
EFTA01547269
For the Period 11/1/13 to 11/30/13
Consolidated Summary
INVESTMENT ACCOUNT(S) YEAR-TO-DATE
Portfolio Activity
SOUTHERN FINANCIAL, LLC
SOUTHERN FINANCIAL, LLC
Total Value
Income Summary
SOUTHERN FINANCIAL, LLC
SOUTHERN FINANCIAL, LLC
Total Value
Account
Number
Beginning
Market Value
0.00
0.00
$0.00
Account
Number
Net Contributions/
Withdrawals
23,713,957.52
(2,721,877.49)
$20,992,080.03
Income
2,583,872.31
79,109.59
$2,662,981.90
'Unrealized Gain/Loss represents data from the time of account inception to
the current statement period.
Income
Other Income
& Receipts
497,366.73
$497,366.73
Income &
Distributions
2,583,872.31
576,476.32
$3,160,348.63
Change in
Investment Value
1,823,636.25
2,145,401.17
$3,969,037.42
Realized Gain/Loss
EFTA01547270
Short-term
1,267,779.10
1,902.00
$1,269,681.10
Long-term
(163,538.86)
($163,538.86)
Ending Market Value
with Accruals
28,401,769.61
0.00
$28,401,769.61
Unrealized
Gain/Loss,
(256,112.31)
($256,112.31)
CONTINUED
Consolidated Statement Page 3
EFTA01547271
JPMorgan Chase Bank, N.A.
270 Park Avenue, New York, NY 10017-2014
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Asset Account
J.P. Morgan Team
William Sheridan
Justin Nelson
Paul Barrett
Janet Young
Gina Magliocco
Jason Grosse
Online access
Banker
Banker
Investment Specialist
Client Service Team
Client Service Team
Client Service Team
www.jpmorganonline.com
Please see disclosures located at the end of this statement package for
important information relating to each J.P.Morgan account(s).
212/464-1321
203/629-3124
212/622-2770
800/634-1318
Table of Contents
Account Summary
Holdings
Equity
Alternative Assets
Cash & Fixed Income
Portfolio Activity
Page
2
4
6
8
12
Account Page 1 of 28
Consolidated Statement Page 4
EFTA01547272
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Account Summary
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
7,597,418.19
1,648,916.88
24,970,604.58
$34,216,939.65
246,160.15
$34,463,099.80
Ending
Market Value
3,146,500.00
1,585,056.38
23,389,909.70
$28,121,466.08
280,303.53
$28,401,769.61
Current
Portfolio Activity
Beginning Market Value
Contributions
Withdrawals & Fees
Securities Transferred In
Securities Transferred Out
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
($5,992,414.75)
42,941.89
(146,000.71)
$28,121,466.08
280,303.53
$28,401,769.61
(5,992,414.75)
Period Value
34,216,939.65
Change
In Value
(4,450,918.19)
EFTA01547273
(63,860.50)
(1,580,694.88)
($6,095,473.57)
34,143.38
($6,061,330.19)
Year-to-Date
Value
0.00
15,877,678.00
(6,429,424.88)
53,240,793.69
(38,975,089.29)
$23,713,957.52
2,583,872.31
1,823,636.25
$28,121,466.08
280,303.53
$28,401,769.61
Equity
Cash &
Fixed Income
Estimated
Current
Annual Income Allocation
11%
6%
820,460.53
$820,460.53
83%
100%
Alternative
Assets
Asset Allocation
Account Page 2 of 28
Consolidated Statement Page 5
EFTA01547274
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Account Summary
Income Summary
Domestic Dividends/Distributions
Foreign Dividends
Currency Gain/Loss
Interest Income
Ordinary Income
Accrued Interest Current Year
Income
45,997.40
(3,055.51)
$42,941.89
CONTINUED
Current
Period Value
Year-to-Date
Value
672,065.00
108,750.00
881,608.23
1,067,375.92
38,542.06
(184,468.90)
$2,583,872.31
Unrealized Gain/Loss
To-Date Value
($256,112.31)
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
380,969.50
39,312.82
$420,282.32
Year-to-Date
Value
1,267,779.10
(163,538.86)
$1,104,240.24
Cost Summary
Equity
Cash & Fixed Income
Total
23,377,578.39
Cost
3,000,000.00
$26,377,578.39
Account Page 3 of 28
EFTA01547275
Consolidated Statement Page 6
EFTA01547276
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Equity Summary
Asset Categories
Non-US Equity
European Large Cap Equity
Preferred Stocks
Total Value
Market Value/Cost
Market Value
Cost
Unrealized Gain/Loss
Beginning
Market Value
4,103,852.74
3,138,600.00
354,965.45
$7,597,418.19
Ending
Market Value
0.00
3,146,500.00
0.00
$3,146,500.00
Current
Period Value
3,146,500.00
3,000,000.00
146,500.00
Change
In Value
(4,103,852.74)
7,900.00
(354,965.45)
($4,450,918.19 )
1196
Current
Allocation
1196
Account Page 4 of 28
Consolidated Statement Page 7
EFTA01547277
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Equity Detail
Price
European Large Cap Equity
HSBC CONT BUFF EQ SX5E 08/29/14
80% EKO BARRIER- 4%CPN
17% CAP
INITIAL LEVEL-05/24/13 SX5E:2764.29
40432X-FP-1
3PM CONT BUFF EQ SX7P 10/16/14
85% CONTIN BARRIER- 0%CPN
25% CAP
INITIAL LEVEL-09/24/13 SX7P:186.77
48126N-VE-4
Total European Large Cap Equity
$3,146,500.00
$3,000,000.00
$146,500.00
$0.00
0.00%
101.25
1,000,000.000
1,012,500.00
1,000,000.00
12,500.00
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
106.70
2,000,000.000
2,134,000.00
2,000,000.00
134,000.00
Account Page 5 of 28
Consolidated Statement Page 8
EFTA01547278
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Alternative Assets Summary
Beginning
Asset Categories
Hard Assets
Estimated Value
1,648,916.88
Alternative Assets Detail
Price
Hard Assets
SG MARKET PLUS WTI CRUDE 08/05/14
LNKD TO CL1
78.75% BARRIER- 10%CPN ,UNCAPPED
INITIAL LEVEL-07/25/13 CL1:105.68
78423E-HS-6
WTI CALL OPTION
USD PUT OPTION
STRIKE 110.00
EXPIRING 02/14/2014
250,000 BARRELS
OTCBDC-PH-K
1.00
250.000
27,187.97
562,500.00
98.50
2,000,000.000
1,970,000.00
2,000,000.00
Quantity
Estimated
Value
Cost
Est. Annual Income
Accrued Income
Ending
Estimated Value
1,585,056.38
Change
In Value
(63,860.50)
Current
Allocation
6%
Account Page 6 of 28
Consolidated Statement Page 9
EFTA01547279
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Price
Hard Assets
WTI PUT OPTION
USD CALL OPTION
STRIKE 93.50, KI @ EXP 83.50
EXPIRING 02/14/2014
250,000 BARRELS
OTCBDP-KG-F
Total Hard Assets
$1,585,056.38
$2,000,000.00
Quantity
Estimated
Value
Cost
Est. Annual Income
Accrued Income
1.00
(250.000)
(412,131.59)
(562,500.00)
Account Page 7 of 28
Consolidated Statement Page 10
EFTA01547280
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
Non-USD Cash
US Fixed Income
Non-US Fixed Income
Total Value
Market Value/Cost
Market Value
Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
Market Value
9,584,277.22
396,765.26
12,827,062.10
2,162,500.00
$24,970,604.58
Ending
Market Value
10,163,551.01
397,363.54
10,808,995.15
2,020,000.00
$23,389,909.70
Current
Period Value
23,389,909.70
23,377,578.39
12,331.31
820,460.53
280,303.53
4.47%
Cash
Change
In Value
579,273.79
598.28
(2,018,066.95)
(142,500.00)
($1,580,694.88 )
Current
Allocation
36%
1%
39%
EFTA01547281
7%
83%
US Fixed Income
Non-US Fixed Income
Non-USD Cash
Asset Categories
Cash & Fixed Income as a percentage of your portfolio - 83 %
Account Page 8 of 28
Consolidated Statement Page 11
EFTA01547282
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
1-5 years'
5-10 years'
10+ years'
Total Value
1
SUMMARY BY TYPE
Market
Value
10,560,914.55
2,020,000.00
1,786,875.00
9,022,120.15
$23,389,909.70
% of Bond
Portfolio
48%
8%
7%
37%
100%
The years indicate the number of years until the bond is scheduled to mature
based on the statement end date. Some bonds may be called, or paid in full,
before their stated maturity.
Note:
P indicates position adjusted for Pending Trade Activity.
1
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
COST OF PENDING PURCHASES
Total Cash
1.00
1.00
10,808,597.59
(645,046.58)
10,808,597.59
(645,046.58)
$10,163,551.01
10,808,597.59
(645,046.58)
$10,163,551.01
$0.00
$1,080.85
$103.27
EFTA01547283
0.01%
1,080.85
103.27
0.01% 1
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
This is the Annual Percentage Yield (APY) which is the rate earned if
balances remain on deposit for a full year with compounding, there is no
change in the interest rate and all interest
is left in the account.
Cash & Fixed Income
Cash
NON USD Cash
International Bonds
Mortgage and Asset Backed Bonds
Total Value
Market
Value
10,163,551.01
397,363.54
7,027,195.00
5,801,800.15
$23,389,909.70
% of Bond
Portfolio
46%
1%
29%
24%
100%
Account Page 9 of 28
Consolidated Statement Page 12
EFTA01547284
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Price
Non-USD Cash
EURO PRINCIPAL CURRENCY
US Fixed Income
LLOYDS BANK PLC
MTN 9 7/8% DEC 16 2021
DTD 12/16/2011
HELD BY EUROCLEAR
ISIN XS0717735822 SEDOL B7FQXT1
G4715J-9D-3 BBB /BA1
GLOBAL MORTGAGE SECURITIZATION
2005-A CL B2 5.250% 04/25/2032
DTD 04/28/2005
378961-AV-8 B- /CAA
COUNTRYWIDE HOME LOANS
2003-1 CL B1 5.750% 03/25/2033
DTD 01/01/2003
12669D-YS-1
P WASHINGTON MUTUAL MSC MORTGAGE
2004-RA2 CL CB1 VAR RATE 07/25/2033
DTD 06/01/2004
939336-S2-0 D /
IMPAC CMB TRUST
2005-2 CL 1M2 VAR RT 04/25/2035
DTD 03/03/2005
45254N-NC-7 CC /CA
FREDDIEMAC STRIP 303 CL C34
4.500% 12/15/2040 DTD 02/27/2013
31325U-EY-8
20.75
60,181.02
12,488.77
12,638.01
(149.24)
2,708.14
225.68
5.98%
71.00
1,500,553.84
1,065,423.24
1,046,636.31
18,786.93
13,925.13
34.51
4.69%
82.87
837,722.83
694,229.28
645,046.58
EFTA01547285
49,182.70
58,333.40
(3,407.12)
6.71%
93.80
1,211,860.04
1,136,664.12
1,157,326.33
(20,662.21)
69,681.95
5,806.02
5.97%
93.98
3,078,210.68
2,892,994.74
2,831,953.82
61,040.92
161,606.06
13,467.17
6.04%
1.36
291,846.67
397,363.54
395,426.33
1,937.21
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
119.13
1,500,000.00
1,786,875.00
1,627,500.00
159,375.00
148,125.00
141,952.50
6.72%
Account Page 10 of 28
Consolidated Statement Page 13
EFTA01547286
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Price
US Fixed Income
LBG CAPITAL NO.1 PLC
144A VAR RT 12/29/2049
DTD 12/15/2009 HELD BY EUROCLEAR
ISIN XS0473106283 SEDOL B51C139
50178R-9A-1 BB- /NA
Total US Fixed Income
$10,808,995.15
$10,568,601.05
$240,394.10
$694,379.68
$268,742.76
Non-US Fixed Income
PETROLEOS DE VENEZUELA S
5% OCT 28 2015
DTD 10/28/2009
HELD BY EUROCLEAR
ISIN XS0460546525 SEDOL BSBQGP8
71668A-9B-9
6.46%
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
107.34
3,000,000.00
3,220,320.00
3,247,500.00
(27,180.00)
240,000.00
110,664.00
7.41%
80.80
2,500,000.00
2,020,000.00
2,250,000.00
(230,000.00)
125,000.00
11,457.50
17.20%
Account Page 11 of 28
Consolidated Statement Page 14
EFTA01547287
EFTA01547288
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
Current
Transactions
INFLOWS
Income
Contributions
Foreign Exchange - Inflows
Total Inflows
OUTFLOWS **
Withdrawals
Foreign Exchange - Outflows
Total Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
3,821,510.37
(1,026,650.44)
$2,794,859.93
$10,808,597.59
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets
from your position
52,025,483.44
(54,423,915.80)
($2,398,432.36)
-4,378,933.30
$4,421,875.19
(5,992,414.75)
($5,992,414.75)
Period
Value
9,584,277.22
42,941.89
Year-To-Date
Value*
-1,639,273.91
14,742,310.24
12,231,616.03
$28,613,200.18
(6,429,424.86)
(8,976,745.37)
($15,406,170.23)
Current
Securities
Transferred In/Out
EFTA01547289
Securities Transferred In
Securities Transferred Out
Period Value
Year-To-Date
Value*
52,196,971.85
(38,975,089.29)
Current
Cost Adjustments
Cost Adjustments
Total Cost Adjustments
Period Value
$0.00
Year-To-Date
Value*
6,129,741.97
$6,129,741.97
Account Page 12 of 28
Consolidated Statement Page 15
EFTA01547290
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
Income
11/1
11/6
Interest Income
Accrued Int Paid
Description
DEPOSIT SWEEP INTEREST FOR 10/01/13 - 10/31/13
@ .01% RATE ON AVG COLLECTED BALANCE OF
$8,448,036.23 AS OF 11/01/13
FREDDIEMAC STRIP 303 CL C34 4.500% 12/15/2040
DTD 02/27/2013 @ 21.00 JP MORGAN SECURITIES LLC
(BIDL) TRADE DATE 11/01/13 FACE VALUE
6,000,000.00 (ID: 31325U-EY-8)
11/6
11/20
11/25
11/25
11/25
11/25
11/25
Accrued Int Recd
Corporate Interest
Corporate Interest
Accrued Int Recd
Accrued Int Recd
Corporate Interest
Corporate Interest
COUNTRYWIDE HOME LOANS 2003-26 CL B1 5.33684%
08/25/2033 DTD 06/01/2003 (ID: 12669E-RR-9)
SEQUOIA MORTGAGE TRUST 11 CL B1 VAR RT
12/20/2032 DTD 10/30/2002 (ID: 81744A-AB-4)
IMPAC CMB TRUST 2005-2 CL 1M2 VAR RT 04/25/2035
DTD 03/03/2005 (ID: 45254N-NC-7)
ENTRY REVERSED ON 12/03/2013 FREDDIEMAC STRIP
303 CL C34 4.500% 12/15/2040 DTD 02/27/2013
(ID: 31325U-EY-8)
STRUCTURED ASSET SECURITIES CO 2003-10 CL B2
6.000% 04/25/2033 DTD 03/28/2003
(ID: 86359A-QW-6)
COUNTRYWIDE HOME LOANS 2003-1 CL B1 5.750%
03/25/2033 DTD 01/01/2003 (ID: 12669D-YS-1)
STRUCTURED ASSET SECURITIES CO 2003-10 CL B2
6.000% 04/25/2033 DTD 03/28/2003
(ID: 86359A-QW-6)
Account Page 13 of 28
EFTA01547291
Consolidated Statement Page 16
1,234,236.350
893,188.440
0.005
0.005
5,914.05
4,465.94
860,087.190
0.004
3,440.35
1,310,426.807
1,017,216.177
1,511,007.910
4,828,630.620
0.001
0.001
0.001
0.003
970.97
1,379.60
1,177.80
14,485.89
4,888,811.640
0.00
0.001
(3,055.51)
Quantity
Cost
Per Unit
Amount
Amount
70.76
EFTA01547292
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Type
Settle Date Selection Method
Income
11/25
11/29
Corporate Interest
Accrued Int Recd
Total Income
Type
Settle Date Selection Method
Foreign Exchange - Inflows
Spot FX
11/5
11/5
11/6
11/6
11/6
Spot FX
Spot FX
Spot FX
Spot FX
Description
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.347200000 DEAL 11/01/13
VALUE 11/05/13 (ID: OEURPR-CV-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.347200000 DEAL 11/01/13
VALUE 11/05/13 (ID: OEURPR-CV-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.347200000 DEAL 11/01/13
VALUE 11/06/13 (ID: OEURPR-CV-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
CHF EXCHANGE RATE .913796000 DEAL 11/01/13
VALUE 11/06/13 (ID: OCHFPR-CV-6)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.347200000 DEAL 11/01/13
VALUE 11/06/13 (ID: OEURPR-CV-1)
(137,445.220)
(185,166.20)
185,166.20
(324,916.410)
(355,567.77)
355,567.77
(271,498.050)
(365,762.17)
365,762.17
(283,736.220)
(382,249.44)
382,249.44
EFTA01547293
Quantity
Cost
(263,633.120)
(355,166.54)
Description
GLOBAL MORTGAGE SECURITIZATION 2005-A CL B2
5.250% 04/25/2032 DTD 04/28/2005
(ID: 378961-AV-8)
SEQUOIA MORTGAGE TRUST 11 CL B1 VAR RT
12/20/2032 DTD 10/30/2002 (ID: 81744A-AB-4)
1,012,818.787
410.95
$42,941.89
Quantity
Cost
3,127,105.920
Per Unit
Amount
0.004
Amount
13,681.09
Amount
355,166.54
Account Page 14 of 28
Consolidated Statement Page 17
EFTA01547294
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Type
Settle Date Selection Method
Foreign Exchange - Inflows
Spot FX
11/6
11/6
11/6
11/6
11/6
11/6
11/6
11/6
Spot FX
Spot FX
Spot FX
Spot FX
Spot FX
Spot FX
Spot FX
Total Foreign Exchange - Inflows
Description
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.347200000 DEAL 11/01/13
VALUE 11/06/13 (ID: OEURPR-CV-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.347200000 DEAL 11/01/13
VALUE 11/06/13 (ID: OEURPR-CV-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.347200000 DEAL 11/01/13
VALUE 11/06/13 (ID: OEURPR-CV-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
GBP EXCHANGE RATE 1.591089000 DEAL 11/01/13
VALUE 11/06/13 (ID: OGBPPR-CV-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.347200000 DEAL 11/01/13
VALUE 11/06/13 (ID: OEURPR-CV-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.347200000 DEAL 11/01/13
VALUE 11/06/13 (ID: OEURPR-CV-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.347200000 DEAL 11/01/13
VALUE 11/06/13 (ID: OEURPR-CV-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
GBP EXCHANGE RATE 1.591089000 DEAL 11/01/13
VALUE 11/06/13 (ID: OGBPPR-CV-1)
$4,378,933.30
(201,432.360)
(320,496.81)
320,496.81
EFTA01547295
(172,734.630)
(232,708.09)
232,708.09
(245,541.160)
(330,793.05)
330,793.05
(289,139.960)
(389,529.35)
389,529.35
(225,195.570)
(358,306.19)
358,306.19
(279,144.050)
(376,062.86)
376,062.86
(257,709.050)
(347,185.63)
347,185.63
Quantity
Cost
(282,021.380)
(379,939.20)
Amount
379,939.20
Account Page 15 of 28
Consolidated Statement Page 18
EFTA01547296
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Type
Settle Date Selection Method
Withdrawals
11/26
Description
Misc Disbursement TRANSFERRED BY WIRE TO PERSHING LLC FAO
SOUTHERN FINANCIAL LLC AS REQUESTED
Quantity
Cost
Amount
(5,992,414.75)
TRADE ACTIVITY
Note:
Trade Date
Settle Date
11/1
11/6
5/23
11/18
L indicates Long Term Realized Gain/Loss
S indicates Short Term Realized Gain/Loss
* Settled transaction was initiated in prior statement period and settled in
current statement period
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
Sale
High Cost
COUNTRYWIDE HOME LOANS 2003-26 CL B1 5.33684%
08/25/2033 DTD 06/01/2003 @ 80.00 JP MORGAN
SECURITIES LLC (BIDL) FACE VALUE 3,325,000.00
(ID: 12669E-RR-9)
TO REVERSE ENTRY OF 08/15/2013 ZIONS
BANCORPORATION VAR RT 12/31/2049 DTD 05/21/2013
@ 100.875 1,513,125.00 BROKERAGE 3,750.00 JP
MORGAN SECURITIES LLC (BIDL) AS OF 08/15/13
(ID: 989701-BD-8)
5/23
11/18
11/20
11/20
Sale
High Cost
ZIONS BANCORPORATION VAR RT 12/31/2049 DTD
05/21/2013 @ 101.125 1,516,875.00 BROKERAGE
3,750.00 JP MORGAN SECURITIES LLC (BIDL)
(ID: 989701-BD-8)
EFTA01547297
Principal Payment SEQUOIA MORTGAGE TRUST 11 CL B1 VAR RT
Pro Rata
(4,397.390)
12/20/2032 DTD 10/30/2002 PAYMENT A/C PRINCIPAL
(ID: 81744A-AB-4)
100.00
4,397.39
(3,243.08)
1,154.31 S
(1,500,000.000 )
100.875
1,513,125.00
(1,500,000.00)
13,125.00 S*
1,500,000.000
100.625
(1,509,375.00)
1,500,000.00
(9,375.00) S*
Quantity
(1,310,426 807 )
Per Unit
Amount
80.00
Proceeds
1,048,341.46
Cost
(1,009,028.64)
Realized
Gain/Loss
39,312.82 L
Account Page 16 of 28
Consolidated Statement Page 19
EFTA01547298
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Trade Date
Settle Date
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
11/25
11/25
11/20
11/25
11/20
11/25
11/25
11/25
11/25
11/25
11/25
11/25
11/26
11/29
Sale
High Cost
Sale
High Cost
Principal Payment IMPAC CMB TRUST 2005-2 CL 1M2 VAR RT 04/25/2035
Pro Rata
DTD 03/03/2005 PAYMENT A/C PRINCIPAL
(ID: 45254N-NC-7)
ENTRY REVERSED ON 12/03/2013 FREDDIEMAC STRIP
303 CL C34 4.500% 12/15/2040 DTD 02/27/2013 @
21.75 JP MORGAN SECURITIES LLC (BIDL) FACE
VALUE 6,000,000.00 (ID: 31325U-EY-8)
STRUCTURED ASSET SECURITIES CO 2003-10 CL B2
6.000% 04/25/2033 DTD 03/28/2003 @ 98.00 JP
MORGAN SECURITIES LLC (BIDL) FACE VALUE
2,726,000.00 (ID: 86359A-QW-6)
Principal Payment COUNTRYWIDE HOME LOANS 2003-1 CL B1 5.750%
Pro Rata
6.000% 04/25/2033 DTD 03/28/2003 PAYMENT A/C
PRINCIPAL (ID: 86359A-QW-6)
5.250% 04/25/2032 DTD 04/28/2005 PAYMENT A/C
PRINCIPAL (ID: 378961-AV-8)
SEQUOIA MORTGAGE TRUST 11 CL B1 VAR RT
High Cost
12/20/2032 DTD 10/30/2002 @ 74.75 JP MORGAN
SECURITIES LLC (BIDL) FACE VALUE 5,701,000.00
(ID: 81744A-AB-4)
Total Settled Sales/Maturities/Redemptions
$3,821,510.37
($3,740,071.16)
EFTA01547299
$39,312.82 L
$42,126.39 S
(22,376.310)
03/25/2033 DTD 01/01/2003 PAYMENT A/C PRINCIPAL
(ID: 12669D-YS-1)
Principal Payment STRUCTURED ASSET SECURITIES CO 2003-10 CL B2
Pro Rata
Principal Payment GLOBAL MORTGAGE SECURITIZATION 2005-A CL B2
Pro Rata
Sale
(33,101.250)
(48,895.240)
(1,012,818.787 )
100.00
100.00
74.75
33,101.25
48,895.24
757,082.05
(33,101.25)
(44,983.62)
(746,953.86)
3,911.62 S
10,128.19 S
100.00
22,376.31
(21,369.38)
1,006.93 S
(860,087.190)
98.00
842,885.44
(860,087.19)
(17,201.75) S
(4,828,630.620 )
21.75
1,050,227.16
(1,014,012.43)
36,214.73 S
Quantity
(10,454.070)
Per Unit
Amount
100.00
Proceeds
10,454.07
Cost
(7,291.71)
Realized
Gain/Loss
3,162.36 S
Account Page 17 of 28
EFTA01547300
Consolidated Statement Page 20
EFTA01547301
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Trade Date
Settle Date
Type
Settled Securities Purchased
11/1
Purchase
11/6
Description
FREDDIEMAC STRIP 303 CL C34 4.500% 12/15/2040
DTD 02/27/2013 @ 21.00 JP MORGAN SECURITIES LLC
(BIDL) FACE VALUE 6,000,000.00 (ID: 31325U-EY-8)
Quantity
4,888,811.640
Per Unit
Amount
21.00
Market Cost
(1,026,650.44)
Trade Date
Est. Settle Date Type
Pending Securities Purchased
11/19
Purchase
11/22
Description
WASHINGTON MUTUAL MSC MORTGAGE 2004-RA2 CL CB1
VAR RATE 07/25/2033 DTD 06/01/2004
(ID: 939336-S2-0)
Quantity
837,722.827
Per Unit
Amount
77.00
Market Cost
(645,046.58)
Account Page 18 of 28
Consolidated Statement Page 21
EFTA01547302
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Portfolio Activity Summary - Euro
Beginning Cash Balance
Current
Transactions
INFLOWS
Contributions
Foreign Exchange - Inflows
Total Inflows
OUTFLOWS **
Total Outflows
Foreign Exchange - Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
3,344,562.53
$3,344,562.53
-3,742,706.47
(3,349,728.59)
$392,977.88
-2,482,602.84
2,482,602.84
291,846.67
*
Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets
from your position
2,771,668.03
(2,506,889.10)
264,778.93
-$0.00
(3,344,562.53)
($3,344,562.53)
1,135,367.75
15,446,863.09
$16,582,230.84
(16,270,722.87)
($16,270,722.87)
837,388.58
0.00
(2,482,602.84)
(2,482,602.84)
11,672,282.00
12,509,670.58
(12,482,602.84)
(12,482,602.84)
Period
EFTA01547303
Value
-US
Dollar Value
Local Value
Year-To-Date
Value*
-Current
Period
Value
291,846.67
Year-To-Date
Value*
-Account
Page 19 of 28
Consolidated Statement Page 22
EFTA01547304
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Portfolio Activity Detail - Euro
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
Foreign Exchange - Outflows
Spot FX
11/5
11/5
11/6
11/6
11/6
11/6
11/6
11/6
Spot FX
Spot FX
Spot FX
Spot FX
Spot FX
Spot FX
Spot FX
Description
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.347200000 DEAL 11/01/13
VALUE 11/05/13 (ID: OEURPR-CV-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.347200000 DEAL 11/01/13
VALUE 11/05/13 (ID: OEURPR-CV-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.347200000 DEAL 11/01/13
VALUE 11/06/13 (ID: OEURPR-CV-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.347200000 DEAL 11/01/13
VALUE 11/06/13 (ID: OEURPR-CV-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.347200000 DEAL 11/01/13
VALUE 11/06/13 (ID: OEURPR-CV-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.347200000 DEAL 11/01/13
VALUE 11/06/13 (ID: OEURPR-CV-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.347200000 DEAL 11/01/13
VALUE 11/06/13 (ID: OEURPR-CV-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.347200000 DEAL 11/01/13
VALUE 11/06/13 (ID: OEURPR-CV-1)
389,529.350
(389,529.35)
(289,139.96)
EFTA01547305
376,062.860
(376,062.86)
(279,144.05)
347,185.630
(347,185.63)
(257,709.05)
379,939.200
(379,939.20)
(282,021.38)
185,166.200
(185,166.20)
(137,445.22)
365,762.170
(365,762.17)
(271,498.05)
382,249.440
(382,249.44)
(283,736.22)
Quantity
355,166.540
Amount USD
Local Value
(355,166.54)
(263,633.12)
Currency
Gain/Loss USD
Account Page 20 of 28
Consolidated Statement Page 23
EFTA01547306
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Type
Settle Date Selection Method
Foreign Exchange - Outflows
Spot FX
11/6
11/6
Spot FX
Description
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.347200000 DEAL 11/01/13
VALUE 11/06/13 (ID: OEURPR-CV-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.347200000 DEAL 11/01/13
VALUE 11/06/13 (ID: OEURPR-CV-1)
Total Foreign Exchange - Outflows
TRADE ACTIVITY - Euro
Note:
Trade Date
Settle Date
11/1
11/5
11/1
11/5
11/1
11/6
11/1
11/6
11/1
11/6
11/1
11/6
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
VOLKSWAGEN AG PFD ISIN DE0007664039 SEDOL
5497168 (ID: 928662-92-3)
FRAPORT AG ISIN DE0005773303 SEDOL 7107551
EFTA01547307
(ID: D3856U-90-0)
BNP PARIBAS ISIN FR0000131104 SEDOL 7309681
(ID: F07875-90-3)
AUTOGRILL SA ISIN IT000113734 SEDOL 5256206
(ID: T8347V-91-5)
CARREFOUR SUPERMARCHE ISIN FR0000120172 SEDOL
5641567 (ID: F13923-90-3)
COMPAGNIE DE SAINT-GOBAIN ISIN FR0000125007
SEDOL 7380482 (ID: F80343-95-1)
Quantity
(1,400.000)
(5,000.000)
(5,000.000)
(21,400.000)
(10,500.000)
(6,750.000)
($3,344,562.53)
$0.00
232,708.090
(232,708.09)
(172,734.63)
Quantity
330,793.050
Amount USD
Local Value
(330,793.05)
(245,541.16)
Currency
Gain/Loss USD
S indicates Short Term Realized Gain/Loss
Per Unit
Amount USD
Local Value
253.69
188.876
76.45
56.918
73.152
54.463
8.653
6.442
36.185
26.94
51.435
38.294
Proceeds USD
Local Value
355,166.54
263,633.12
382,249.44
283,736.22
EFTA01547308
365,762.17
271,498.05
185,166.20
137,445.22
379,939.20
282,021.38
347,185.63
257,709.05
Account Page 21 of 28
Cost USD
Realized
Local Value Gain/Loss USD
(340,287.60)
(255,882.59)
(327,646.17)
(246,524.86)
(329,132.36)
(247,180.01)
(150,262.96)
(112,853.41)
(329,196.98)
(247,262.16)
(319,967.65)
(240,317.53)
14,878.94 S
54,603.27 S
36,629.81 S
34,903.24 S
50,742.22 S
27,217.98 S
Consolidated Statement Page 24
EFTA01547309
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Per Unit
Trade Date
Settle Date
11/1
11/6
11/1
11/6
11/1
11/6
11/1
11/6
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
INTESA SANPAOLO SPA ISIN IT0000072618 SEDOL
4076836 (ID: T1700N-90-1)
ACCOR SA ISIN FR0000120404 SEDOL 5852842
(ID: F00189-90-6)
RENAULT SA ISIN FR0000131906/SEDOL 4712798
(ID: 759994-90-8)
WORLD DUTY FREE SPA ISIN IT0004954662 SEDOL
BDSV5Z5 (ID: 45545W-91-6)
Total Settled Sales/Maturities/Redemptions (USD)
Quantity
(152,000.000)
(8,750.000)
(4,000.000)
(21,400.000)
Amount USD
Local Value
2.474
1.842
44.518
33.144
82.698
61.57
10.874
8.096
Proceeds USD
Local Value
376,062.86
EFTA01547310
279,144.05
389,529.35
289,139.96
330,793.05
245,541.16
232,708.09
172,734.63
$3,344,562 53
Cost USD
Realized
Local Value Gain/Loss USD
(386,204.45)
(280,396.74)
(337,612.87)
(253,565.27)
(317,870.23)
(238,727.90)
(183,560.52)
(137,861.18)
($3,021,741.79)
(10,141.59) S
51,916.48 S
12,922.82 S
49,147.57 S
$322,820.74 S
Account Page 22 of 28
Consolidated Statement Page 25
EFTA01547311
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Portfolio Activity Summary - Pound Sterling
Beginning Cash Balance
US Dollar Value
Current
Transactions
INFLOWS
Total Inflows
Foreign Exchange - Inflows
$0.00
OUTFLOWS **
Total Outflows
Foreign Exchange - Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
678,803.00
$678,803.00
-678,803.00
(675,378.16)
$3,424.84
-426,627.93
426,627.93
0.00
*
Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets
from your position
426,627.93
(436,852.04)
(10,224.11)
-(678,803.00)
($678,803.00)
Period
Value
-Year-To-Date
Value*
-675,378.16
$675,378.16
(678,803.00)
($678,803.00)
Local
Value
Current
Period Value
0.00
Year-To-Date
EFTA01547312
Value*
-0.00
(426,627.93)
(426,627.93)
436,852.04
436,852.04
(426,627.93)
(426,627.93)
Account
Page 23 of 28
Consolidated Statement Page 26
EFTA01547313
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Portfolio Activity Detail - Pound Sterling
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
Foreign Exchange - Outflows
Spot FX
11/6
11/6
Spot FX
Description
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
GBP EXCHANGE RATE 1.591089000 DEAL 11/01/13
VALUE 11/06/13 (ID: OGBPPR-CV-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
GBP EXCHANGE RATE 1.591089000 DEAL 11/01/13
VALUE 11/06/13 (ID: OGBPPR-CV-1)
Total Foreign Exchange - Outflows
TRADE ACTIVITY - Pound Sterling
S indicates Short Term Realized Gain/Loss
Note:
Per Unit
Trade Date
Settle Date
11/1
11/6
11/1
11/6
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
Sale
High Cost
LLOYDS BANKING GROUP PLC ISIN GB0008706128
SEDOL 0870612 (ID: G91101-10-8)
COCA-COLA HBC AG ISIN CH0198251305 SEDOL
B9895B7 (ID: 588874-91-7)
Total Settled Sales/Maturities/Redemptions (USD)
Quantity
(291,000.000)
(11,300.000)
Amount USD
Local Value
1.231
0.776
28.363
17.88
Proceeds USD
EFTA01547314
Local Value
358,306.19
225,195.57
320,496.81
201,432.36
$678,803.00
Cost USD
Realized
Local Value Gain/Loss USD
(343,600.28)
(222,817.26)
(331,777.88)
(214,034.78)
($675,378.16)
14,705.91 S
(11,281.07) S
$3,424.84 S
($678,803.00)
$0.00
320,496.810
(320,496.81)
(201,432.36)
Quantity
358,306.190
Amount USD
Local Value
(358,306.19)
(225,195.57)
Currency
Gain/Loss USD
Account Page 24 of 28
Consolidated Statement Page 27
EFTA01547315
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Portfolio Activity Summary - Swiss Franc
Beginning Cash Balance
US Dollar Value
Current
Transactions
INFLOWS
Total Inflows
Foreign Exchange - Inflows
$0.00
OUTFLOWS **
Withdrawals
Foreign Exchange - Outflows
Total Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
355,567.77
$355,567.77
-355,567.77
(339,220.24)
$16,347.53
-324,916.41
324,916.41
0.00
*
Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets
from your position
324,916.41
(313,066.58)
11,849.83
-(355,567.77)
($355,567.77)
Period
Value
-Year-To-Date
Value*
-13,606,585.71
$13,606,585.71
(0.01)
(13,612,414.52)
($13,612,414.53)
(324,916.41)
(324,916.41)
Local
Value
EFTA01547316
Current
Period Value
0.00
Year-To-Date
Value*
-0.00
12,641,566.58
12,641,566.58
(0.01)
(12,653,416.40)
(12,653,416.41)
Account
Page 25 of 28
Consolidated Statement Page 28
EFTA01547317
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Portfolio Activity Detail - Swiss Franc
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
Foreign Exchange - Outflows
Spot FX
11/6
Description
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
CHF EXCHANGE RATE .913796000 DEAL 11/01/13
VALUE 11/06/13 (ID: OCHFPR-CV-6)
TRADE ACTIVITY - Swiss Franc
Note:
Trade Date
Settle Date
11/1
11/6
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
ADECCO SA-REG ISIN CH0012138605 SEDOL 7110720
(ID: H00392-92-0)
Quantity
(4,900.000)
Quantity
355,567.770
Amount USD
Local Value
(355,567.77)
(324,916.41)
Currency
Gain/Loss USD
S indicates Short Term Realized Gain/Loss
Per Unit
Amount USD
Local Value
72.565
66.509
Proceeds USD
Local Value
355,567.77
324,916.41
Cost USD
Realized
Local Value Gain/Loss USD
(339,220.24)
(313,066.58)
EFTA01547318
16,347.53 S
Account Page 26 of 28
Consolidated Statement Page 29
EFTA01547319
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Settled Foreign Exchange Contracts
Currency
Trade Date
Settle Date Counter Currency
Trade Related
EURO
U S DOLLAR
EURO
U S DOLLAR
EURO
U S DOLLAR
SWISS FRANC
U S DOLLAR
EURO
U S DOLLAR
EURO
U S DOLLAR
EURO
U S DOLLAR
EURO
U S DOLLAR
POUND STERLING
U S DOLLAR
EURO
U S DOLLAR
EURO
U S DOLLAR
EURO
U S DOLLAR
Nov. 1 13
Nov. 5 13
Nov. 1 13
Nov. 5 13
Nov. 1 13
Nov. 6 13
Nov. 1 13
Nov. 6 13
Nov. 1 13
Nov. 6 13
Nov. 1 13
Nov. 6 13
Nov. 1 13
Nov. 6 13
Nov. 1 13
Nov. 6 13
Nov. 1 13
Nov. 6 13
Nov. 1 13
Nov. 6 13
EFTA01547320
Nov. 1 13
Nov. 6 13
Nov. 1 13
Nov. 6 13
EUR
USD
EUR
USD
EUR
USD
CHF
USD
EUR
USD
EUR
USD
EUR
USD
EUR
USD
GBP
USD
EUR
USD
EUR
USD
EUR
USD
Amount
Counter Amount Contract Rate Revaluation Rate
(263,633.12)
355,166.54
(283,736.22)
382,249.44
(271,498.05)
365,762.17
(324,916.41)
355,567.77
(137,445.22)
185,166.20
(282,021.38)
379,939.20
(257,709.05)
347,185.63
(279,144.05)
376,062.86
(225,195.57)
358,306.19
(289,139.96)
389,529.35
(245,541.16)
EFTA01547321
330,793.05
(172,734.63)
232,708.09
1.347200
1.347200
1.347200
0.913796
1.347200
1.347200
1.347200
1.347200
1.591089
1.347200
1.347200
1.347200
1.347200
1.347200
1.347200
0.913796
1.347200
1.347200
1.347200
1.347200
1.591089
1.347200
1.347200
1.347200
Contracted Base
Amount USD
355,166.54
382,249.44
365,762.17
355,567.77
185,166.20
379,939.20
347,185.63
376,062.86
358,306.19
389,529.35
330,793.05
232,708.09
Revalued
Amount USD
(355,166.54)
(382,249.44)
(365,762.17)
(355,567.77)
(185,166.20)
(379,939.20)
(347,185.63)
(376,062.86)
EFTA01547322
(358,306.19)
(389,529.35)
(330,793.05)
(232,708.09)
Currency G/L
Account Page 27 of 28
Consolidated Statement Page 30
EFTA01547323
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Trade Date
Trade Related
POUND STERLING
U S DOLLAR
Nov. 1 13
Nov. 6 13
GBP
USD
(201,432.36)
320,496.81
1.591089
1.591089
320,496.81
(320,496.81)
Currency
Settle Date Counter Currency
Amount
Counter Amount Contract Rate Revaluation Rate
Contracted Base
Amount USD
Revalued
Amount USD
Currency G/L
Account Page 28 of 28
Consolidated Statement Page 31
EFTA01547324
JPMorgan Chase Bank, N.A.
270 Park Avenue, New York, NY 10017-2014
SOUTHERN FINANCIAL LLC ACCT.
For the Period 11/1/13 to 11/30/13
Derivatives Account
J.P. Morgan Team
William Sheridan
Justin Nelson
Janet Young
Gina Magliocco
Jason Grosse
Online access
Banker
Banker
Client Service Team
Client Service Team
Client Service Team
www.jpmorganonline.com
No market value or activity to report during this period
Please see disclosures located at the end of this statement package for
important information relating to each J.P.Morgan account(s).
212/464-1321
203/629-3124
800/634-1318
Account Page 1 of 1
Consolidated Statement Page 32
EFTA01547325
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01547326
JPMorgan Chase Bank, N.A.
270 Park Avenue, New York, NY 10017-2014
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Asset Account
J.P. Morgan Team
William Sheridan
Justin Nelson
Paul Barrett
Janet Young
Gina Magliocco
Jason Grosse
Online access
Banker
Banker
Investment Specialist
Client Service Team
Client Service Team
Client Service Team
www.jpmorganonline.com
Please see disclosures located at the end of this statement package for
important information relating to each J.P.Morgan account(s).
212/464-1321
203/629-3124
212/622-2770
800/634-1318
Table of Contents
Account Summary
Portfolio Activity
Page
2
4
Account Page 1 of 5
Consolidated Statement Page 33
EFTA01547327
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Account Summary
Asset Allocation
Cash & Fixed Income
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
8,328.84
$8,328.84
2.18
$8,331.02
Current
Portfolio Activity
Beginning Market Value
Contributions
Withdrawals & Fees
Securities Transferred In
Securities Transferred Out
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
($8,331.02)
2.18
$0.00
(8,331.02)
Period Value
8,328.84
Ending
Market Value
0.00
$0.00
0.00
$0.00
Change
In Value
(8,328.84)
($8,328.84)
(2.18)
($8,331.02)
Year-to-Date
Value
0.00
13,977,308.99
(14,754,723.93)
46,295,038.08
(48,239,500.63)
($2,721,877.49)
EFTA01547328
576,476.32
2,145,401.17
$0.00
Estimated
$0.00
Current
Annual Income Allocation
Account Page 2 of 5
Consolidated Statement Page 34
EFTA01547329
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Account Summary
Income Summary
Domestic Dividends/Distributions
Foreign Dividends
Currency Gain/Loss
Interest Income
Income
Partnership/Alt Asset Distributions
Other Income & Receipts
CONTINUED
Current
Period Value
2.18
Year-to-Date
Value
23,096.45
973.26
4,528.25
50,511.63
$2.18
$79,109.59
497,366.73
$497,366.73
ST Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
Year-to-Date
Value
1,902.00
$1,902.00
Account Page 3 of 5
Consolidated Statement Page 35
EFTA01547330
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
Current
Transactions
INFLOWS
Income
Contributions
Foreign Exchange - Inflows
Total Inflows
OUTFLOWS **
Withdrawals
Tax Payments
Total Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
$0.00
$0.00
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets
from your position
1,000,938.62
(800,000.00)
$200,938.62
-$2.18
(8,331.02)
($8,331.02)
Period
Value
8,328.84
2.18
Year-To-Date
Value*
-571,948.07
13,977,308.72
4,528.25
$14,553,785.04
(14,754,480.34)
(243.32)
($14,754,723.66)
Current
Cost
Adjustments
Cost Adjustments
Total Cost Adjustments
Period Value
EFTA01547331
$0.00
Year-To-Date
Value*
(201,768.75)
($201,768.75)
Current
Securities Transferred In/Out
Securities Transferred In
Securities Transferred Out
Period Value
Year-To-Date
Value*
46,295,038.08
(48,239,500.63)
Account Page 4 of 5
Consolidated Statement Page 36
EFTA01547332
SOUTHERN FINANCIAL, LLC ACCT.
For the Period 11/1/13 to 11/30/13
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
Income
11/1
Div Domest
Description
3PM PRIME MMKT FD - INSTL FUND 829 FOR OCT @
VARIOUS RATES FROM 0.0000282% TO 0.0000856%
(ID: 4812A2-60-3)
Quantity
Cost
199,036.620
Per Unit
Amount
Amount
2.18
Type
Settle Date Selection Method
Withdrawals
11/4
Description
Misc Disbursement TRANSFERRED BY WIRE TO THE BANK OF NEW YORK
MELLON FAO SOUTHERN FINANCIAL LLC AS REQUESTED
Quantity
Cost
Amount
(8,331.02)
Account Page 5 of 5
Consolidated Statement Page 37
EFTA01547333
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01547334
J.P. Morgan Securities LLC
SOUTHERN FINANCIAL, LLC
383 Madison Avenue, New York, NY 10179
ACCT.
For the Period 11/1/13 to 11/30/13
Margin Account
J.P. Morgan Team
William Sheridan
Justin Nelson
Paul Barrett
Janet Young
Gina Magliocco
Jason Grosse
Online access
Banker
Banker
Investment Specialist
Client Service Team
Client Service Team
Client Service Team
www.jpmorganonline.com
Transactions cleared and carried through J.P. Morgan Clearing Corp. Three
Chase Metrotech Center, Brooklyn, NY 11245-0001,
(347) 643-2578
Please see disclosures located at the end of this statement package for
important information relating to each J.P.Morgan account(s).
212/464-1321
203/629-3124
212/622-2770
800/634-1318
Table of Contents
Account Summary
Portfolio Activity
Page
2
3
Account Page 1 of 4
Consolidated Statement Page 38
EFTA01547335
SOUTHERN FINANCIAL, LLC
Account Summary
MARGIN
Cash
Asset Allocation
Cash & Fixed Income
Market Value
0.00
Margin
Market Value
0.00
Short
Market Value
0.00
Market Value Annual Income Allocation
0.00
Total
Estimated
Current
ACCT.
For the Period 11/1/13 to 11/30/13
Account Page 2 of 4
Consolidated Statement Page 39
EFTA01547336
SOUTHERN FINANCIAL, LLC
Portfolio Activity Summary
Beginning Cash Balance
Transactions
INFLOWS
Total Inflows
Contributions
OUTFLOWS **
Total Outflows
Withdrawals
Ending Cash Balance
ACCT.
For the Period 11/1/13 to 11/30/13
Current
Period Value
0.00
33.49
$33.49
(33.49)
($33.49)
$0.00
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a HIGH COST method for relieving
assets
from your position
Year-To-Date
Value*
-30,066.98
$30,066.98
(30,066.98)
($30,066.98)
-Account
Page 3 of 4
Consolidated Statement Page 40
EFTA01547337
SOUTHERN FINANCIAL, LLC
Portfolio Activity Detail
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
Contributions
11/18
Misc Receipt
Description
JOURNAL FROM TYPE 1 TO 2 SUB-ACCOUNT: MGN
Quantity
Cost
Amount
33.49
ACCT.
For the Period 11/1/13 to 11/30/13
Type
Settle Date Selection Method
Withdrawals
11/18
Description
Misc Disbursement JOURNAL FROM TYPE 1 TO 2 SUB-ACCOUNT: CSH
Quantity
Cost
Amount
(33.49)
Account Page 4 of 4
Consolidated Statement Page 41
EFTA01547338
For the Period 11/1/13 to 11/30/13
For your convenience we have combined statement(s) for activity you conduct
through J.P. Morgan in one package. Below are important disclosures relating
to these different accounts.
These statements may relate to various account types. Some of the
disclosures are applicable to all of your accounts. For ease of reference
the disclosures applicable to a particular type
of account have been grouped together by descriptive headers.
IMPORTANT GENERAL INFORMATION APPLICABLE TO ALL OF YOUR ACCOUNT(S)
Important Information about Pricing ,Valuations, Estimated Annual Income,
and Estimated Yield
Market value information (including without limitation, prices, exchange
rates, accrued income and bond ratings) furnished herein, some of which has
been provided by pricing sources that J.P. Morgan
believes to be reliable, is not guaranteed for accuracy but provided for
informational purposes and is furnished for the exclusive use of the client.
The current price is the value of the financial asset share, unit or
contract as priced at the close of the market on the last day
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- dataset_10/d3cf/EFTA01547263.pdf
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- d3cf916e78cd68d6ccb6cc9509fd5d24
- Created
- Feb 4, 2026