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Park Avenue, New York, NY 10017-2014 FINANCIAL TRUST COMPANY INC ACCT. W23560001 For the Period 3/1/13 to 3/31/13 Asset Account J.P. Morgan Team Justin Nelson Paul Barrett Janet Young Gina Magliocco Jason Grosse Online access Banker Investment Specialist Client Service Team Client Service Team Clien
S TSB BANK PLC MTN 9 7/8% DEC 16 2021 DTD 12/16/2011 HELD BY EUROCLEAR ISIN XS0717735822 SEDOL B7FQXT1 (ID: G47153-9D-3) ALLY FINANCIAL INC 8 1/2% PFD ASSET TRANSFER TO A/C W91850-0 SOUTHERN FINANCIAL, LLC CLIENT REF 104768082 (ID: 02005N-30-8) ARIAD PHARMACEUTICALS INC ASSET TRANSFER TO A/C W91850-0 SOUTHERN
Avenue, New York, NY 10017-2014 SOUTHERN FINANCIAL, LLC ACCT. For the Period 9/1/13 to 9/30/13 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 Tea
e Selection Method Securities Transferred Out 9/25 Free Delivery 9/25 9/25 Free Delivery Free Delivery Description ALLY FINANCIAL INC 8 1/2% PFD ASSET TRANSFER TO A/C W92099-0 SOUTHERN FINANCIAL, LLC AS OF 09/25/13 (ID: 02005N-30-8) ARIAD PHARMACEUTICALS INC ASSET TRANSFER TO A/C W92099-0 SOUTHERN FINANC
FINANCIAL, LLC 383 Madison Avenue, New York, NY 10179 ACCT. For the Period 9/1/13 to 9/30/13 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 Tea
Method Securities Transferred In 9/25 9/25 9/25 Receipt of Assets Receipt of Assets Receipt of Assets Description ALLY FINANCIAL INC 8 1/2% PFD ASSET TRANSFER FROM A/C W91850-0 SOUTHERN FINANCIAL, LLC AS OF 09/25/13 (ID: 02005N-30-8) ARIAD PHARMACEUTICALS INC ASSET TRANSFER FROM A/C W91850-0 SOUTHERN FI
Entities connected to both Justin Nelson and PFD ASSET TRANSFER

Justin Trudeau
PERSON
JPMorgan Chase
ORGANIZATION
Newark
LOCATION
Paul Barrett
PERSON
Nassau
LOCATIONSecurities Investor Protection Corporation
ORGANIZATION
the Internal Revenue Service
ORGANIZATIONJason Grosse
PERSON
FDIC
ORGANIZATIONWilliam Sheridan
PERSONNet Capital Requirements
ORGANIZATIONJ.P. Morgan Securities LLC's
ORGANIZATIONVAR RT
ORGANIZATION
Deutsche Bank
ORGANIZATION
Bank of America
ORGANIZATIONUNCAPPED
ORGANIZATIONSERVICEMASTER
ORGANIZATIONROYAL BANK SCOTLAND GROUP PLC ADR
ORGANIZATIONGENERAL MOTORS CO CV
ORGANIZATION
Barclays
ORGANIZATION