1000,030.00 118025 0.34 a 1,140,250.00 340800 a 1,000,00000 140250.00 40% DO BARRIER. 3.55%CPN ,UNCAPPED INITIAL LEVEL. 0314/13 MRK:41.19 HEADWATERS INC 7.625 42210P.405 1000,000.00 10680 0.60 a 1066003.00 6,00000 a 1,038,00000 3000100 04/01Q010 DID 03/11/2011 OS WIN STEP UP NOTE 11/22/13 38141GHY

Delivery Free Delivery GENERAL MOTORS CO CV PFD B ASSET TRANSFER TO A/C W91850-0 SOUTHERN FINANCIAL, LLC CLIENT REF 104768082 (ID: 37045V-20-9) HEADWATERS INC 7.625 04/01/2019 DTD 03/11/2011 ASSET TRANSFER TO A/C W91850-0 SOUTHERN FINANCIAL, LLC CLIENT REF 104768082 (ID: 42210P-AQ-5) 3/29 Free Delivery JPMO

Free Delivery Free Delivery GENERAL MOTORS CO CV PFD B ASSET TRANSFER TO A/C W92099-0 SOUTHERN FINANCIAL, LLC AS OF 09/25/13 (ID: 37045V-20-9) HEADWATERS INC 7.625 04/01/2019 DTD 03/11/2011 ASSET TRANSFER TO A/C W92099-0 SOUTHERN FINANCIAL, LLC AS OF 09/25/13 (ID: 42210P-AQ-5) JPMORGAN CHASE & CO 7.9% PFD STK

of Assets Receipt of Assets GENERAL MOTORS CO CV PFD B ASSET TRANSFER FROM A/C W91850-0 SOUTHERN FINANCIAL, LLC AS OF 09/25/13 (ID: 37045V-20-9) HEADWATERS INC 7.625 04/01/2019 DTD 03/11/2011 ASSET TRANSFER FROM A/C W91850-0 SOUTHERN FINANCIAL, LLC AS OF 09/25/13 (ID: 42210P-AQ-5) JPMORGAN CHASE & CO 7.9% PFD S

(ID: 949779-AD-4) EARTHLINK INC 8 7/8% MAY 15 2019 DTD 05/17/2011 @ 103.50 JP MORGAN SECURITIES LLC (BIDL) TRADE DATE 10/22/12 (ID: 270321-AC-6) HEADWATERS INC 7.625 04/01/2019 DTD 03/11/2011 @ 103.50 JP MORGAN SECURITIES LLC (BIDL) TRADE DATE 10/22/12 (ID: 42210P-AQ-5) BANC OF AMERICA MORTGAGE SECURITIES SER 2

v Domest Total Income Description JPM TR I PRIME MM FD - INSTL FUND 829 FOR SEP @ VARIOUS RATES FROM 0.0000389% TO 0.0001011% (ID: 4812A2-60-3) HEADWATERS INC 7.625 04/01/2019 DTD 03/11/2011 (ID: 42210P-AQ-5) DEPOSIT SWEEP INTEREST FOR 09/01/13 - 09/30/13 @ .01% RATE ON AVG COLLECTED BALANCE OF $14,450,852.61