Transactions

g fedcF ILINg S TATuS : New D ESCRIPTION : Put option, $270; Exp. 4/03/20 SPDR Dow Jones Industrial Average ETF (DIA)

F S : New S O : R.W. Allen & Associates, Inc. > RWA&A - Securities SouthState Corporation (SSB)

g fedcF ILINg S TATUS : New S UBHoLDINg o F : Morgan Stanley Rollover IRA Account (1) Broadcom Inc. (AVgo)

g fedcF ILING S TaTUS : New S UbHoLdING o F : 150 Main Street Trust > U.S. Trust Holdings Novanta Inc. - Common Shares (NoVT)

g fedcF ILING S TaTUS : New iD owner asset transaction type notification Date amount cap. gains > S UbHoLdING o F : 150 Main Street Trust > U.S. Trust Holdings Virtusa Corporation - common stock (VRTU)

g fedcF ILING s TATus : New s ubHoLDING o F : Morgan stanley IRA - X142 bb&T Corporation (bbT) [sT]

g fedcF ILING s TATus : New s ubHoLDING o F : Morgan stanley IRA - X141 Goldman sachs Group, Inc. (Gs) [sT]

g fedcF ILINg S TaTUS : New S UBHoLDINg o F : DSL Living Trust > Bank of New York Brokerage account 340 JT Wellcare Health Pl ans, Inc. (WCg)

g fedcF ILINg S TATuS : New S uBHOLDINg O F : Neuberger Berman - Traditional IRA SP Weyerhaeuser Company (WY)

g fedcF IlINg S TaTuS : New SP Rand Capital Corporation - Common Stock (RaND)

g fedcbF IlINg s TaTus : New s uBHOlDINg O F : - Trust 1 stanley Black & Decker, Inc. (sWK)[sT]

g fedcF ILINg S TATuS : New S ubHOLdINg O F : Cindy Axne IRA SP Enstar group Limited - Ord inaryShares (ESgR)

g fedcID Owner Asset Transaction Type Notification Date Amount Cap. Gains > F ILINg S TATuS : New S ubHOLdINg O F : Creation Agents LLC 401K SP Enstar group Limited - Ord inaryShares (ESgR)

g fedciD owner asset transaction type notification Date amount cap. gains > F ILINg S TATUS : New S UBHoLDINg o F : Morgan Stanley Rollover IRA Account (1) Park 24 Co Ltd Sponsored ADR(PKCoY)

rANSACTIONS ID Owner Asset Transaction Type Notification Date Amount Cap. Gains > sP DFa us large Cap Value Port Instl[Cs]

g fedcF IlINg s TaTus : New sP PIMCo Intl Bond us [Cs]

g fedcF IlINg s TaTus : New D EsCRIPTIoN : Partial sale sP PIMCo Total Return [Cs]

g fedcF ILING S TaTUS : New S UbHoLdING o F : 150 Main Street Trust > U.S. Trust Holdings NVIdIa Corporation (NVda)

ranSactionS iD owner asset transaction type notification Date amount cap. gains > Union Pacific Corporatio n (UNP)

g fedcF ILINg S TATuS : New S uBHOLDINg O F : Neuberger Berman - Traditional IRA D ESCRIPTION : Interest rate is 2.6%, maturity date is 6/15/2022 SP Bank Amer Corp Mtn

g fedcF ILINg S TATUS : New S UBHoLdINg o F : Neuberger Berman - Individual d ESCRIPTIoN : Interest rate is 2.6%, maturity date is 6/15/2022 SP Ares Cap Corp

g fedcF ILINg S TATUS : New S UBHoLdINg o F : Neuberger Berman - Individual SP Weyerhaeuser Company (WY)

ranSactionS iD owner asset transaction type notification Date amount cap. gains > 2000051359 SP Weyerhaeuser Company (WY)

g fedcbF IlINg S TaTuS : New SP Rand Capital Corporation - Common Stock (RaND)

g fedcF IlINg s TaTus : New s uBHOlDINg O F : - Trust 1 Centurylink, Inc. (CTl) [sT]

g fedcbF IlINg s TaTus : New s uBHOlDINg O F : - Trust 1 stanley Black & Decker, Inc. (sWK)[sT]

WEX Inc.

g fedcF ILINg S TATuS : New S ubHOLdINg O F : Creation Agents LLC 401K Enstar group Limited - Ord inaryShares (ESgR)

g fedcF ILINg S TATUS : New S UBHoLDINg o F : Morgan Stanley Active Assets Account (3) Wells Fargo & Company (WFC)

g fedcF ILINg S TATUS : New S UBHoLDINg o F : Morgan Stanley Active Assets Account (2) The Bank of New York M ellonCorporation (BK)

g fedcF ILINg S TATUS : New S UBHoLDINg o F : Morgan Stanley Active Assets Account (3) occidental Petroleum Corporat ion(oXY)

g fedcF ILINg S TATUS : New S UBHoLDINg o F : Morgan Stanley Active Assets Account (3) Lowe's Companies, Inc. (LoW)

g fedcbF ILINg S TATUS : New S UBHoLDINg o F : Morgan Stanley Active Assets Account (2) Lockheed Martin Corporation (LMT)

g fedcF ILINg S TATUS : New S UBHoLDINg o F : Morgan Stanley Rollover IRA Account (1) JP Morgan Chase & Co. (JPM)

g fedcbF ILINg S TATUS : New S UBHoLDINg o F : Morgan Stanley Active Assets Account (3) Johnson & Johnson (JNJ)

g fedcF ILINg S TATUS : New S UBHoLDINg o F : Morgan Stanley Rollover IRA Account (1) HP Inc. (HPQ)

g fedcF ILINg S TATUS : New S UBHoLDINg o F : Morgan Stanley Active Assets Account (3) DowDuPont Inc. (DWDP)

g fedcF ILINg S TATUS : New S UBHoLDINg o F : Morgan Stanley Active Assets Account (2) Dow Inc. (DoW)

g fedcF ILINg S TATUS : New S UBHoLDINg o F : Morgan Stanley Rollover IRA Account (1) Digital Realty Trust, Inc. (DLR)

g fedcF ILINg S TATUS : New iD owner asset transaction type notification Date amount cap. gains > S UBHoLDINg o F : Morgan Stanley Active Assets Account (3) ConocoPhillips (CoP)

g fedcF ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley - Selec t UMa account # 2JT apple Inc. (aaPL)

g fedcF ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley - Portfolio Management d ESCRIPTIoN : Call options; Strike Price $120; Expires 6/21/2019 JT Microsoft Corporation (MSFT) [oP]

g fedcF ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley - Portfolio Management d ESCRIPTIoN : Call options; Strike Price $130; Expires 1/17/2020 JT Microsoft Corporation (MSFT) [oP]

g fedcF ILINg s TaTus : New D EsCRIPTION : Call Option, $180, Exp. 6/21/19 Invesco QQQ Trust, series 1 (QQQ)

g fedcbF ILINg S TaTUS : New S UBHoLDINg o F : DSL Living Trust > Bank of New York Brokerage account 340 JT T-Mobile US, Inc. (TMUS)

g fedcF IlINg S TaTuS : New SP Enterprise Ca Elem Sch Dist Rfdg- 2029 [gS]

g fedcF IlINg S TaTuS : New SP Enterprise Ca Elem Sch Dist Rfdg- 2030 [gS]

g fedcbF IlINg S TaTuS : New SP Rand Capital Corporation - Common Stock (RaND)

SP 3M Company (MMM)

The Gabelli Dividend & Income Trust