Transactions

ranSactionS iD owner asset transaction type notification Date amount cap. gains > groupon, Inc. (gRPN) [sT]

F ILING S TATUS : New D ESCRIPTION : NEW YORK ST DORM AUTH REVS NON ST SUPPORTED DEBT RFDG NY UNIV SER A , COUPON 4.00%, DUE 07/01/2039, CUSIP 64990CEJ6 NEW YORK ST DORM AUTH ST PERS INCOME TAX REV RFDG GEN PURP SER A B/E

F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : CaLL S&P 500 DEC 29 2625 CaLL

F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : CaLL S&P 500 NoV 29 2465 PUT P 11/7/2017 11/7/2017 $15,001 - $50,000 F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : PUT Filing ID #20008543 S&P 500 NoV 30 2575 CaLL

F ILINg S TATUS : New S UbHOLDINg O F : SP M40 (Merrill Lynch) L OCATION : US D ESCRIPTION : R2000 ARN ISSUER SEK CAP 13.83% Redemption SP Raytheon Company (RTN) P 11/3/2017 11/7/2017 $1,001 - $15,000 F ILINg S TATUS : New S UbHOLDINg O F : SP M81 (Merrill Lynch) SP SP500 CLIRN ISSUER bAC CAP 16.60% SV 2,036.71 DUE 03/28/18

F ILINg S TATUS : New S UbHOLDINg O F : SP M36 (Merrill Lynch) L OCATION : US D ESCRIPTION : SX5E ARN ISSUER bOFA CAP 19.23% SV 3,579.32 DUE 01/25/19 SP SX5E CLIRN ISSUER bOFA CAP 25.90% SV 3,333.96 DUE 0 2/22/19

rANSAcTIONS ID Owner Asset Transaction Type Notification Date Amount 3M Company (MMM)

F ILING s TATus : New s ubHoLDING o F : Morgan stanley IRA - X141 Ingersoll-Rand plc (IR) P 12/6/2017 12/6/2017 $1,001 - $15,000 F ILING s TATus : New s ubHoLDING o F : Morgan stanley IRA - X141 Filing ID #20008579 Ingersoll-Rand plc (IR)

ranSactionS iD owner asset transaction type notification Date amount Apple Inc. (AAPL)

Schlumberger Limited

ConocoPhillips

F ILING S TATUS : New D ESCRIPTION : REDEMPTION-METROPOLITAN TRANSN AUTH NY SER B REV B/E, COUPON 5.00%, DUE 11/15/2037, CUSIP 59259R4Q4 NEW YORK NY FISCAL 2009 SUBSER A 1 G/O UNLTD B/E OID

rANSAcTIONS ID Owner Asset Transaction Type Notification Date Amount Bay area Toll RV Toll Tr an

F IlINg S TaTuS : New SP Orange Ca WTR CO WTR COPS P 12/28/2017 12/31/2017 Spouse/DC Over $1,000,000 F IlINg S TaTuS : New Orange Ca WTR CO WTR COPS

F IlINg s TaTus : New JT Tenn Valley auth

ranSactionS iD owner asset transaction type notification Date amount JT Fl HuRRICaNE Ca 2.995% Due 07/01/2020 P 11/9/2017 11/9/2017 $250,001 - $500,000 F IlINg S TaTuS : New JT N EaST ISD TX 5.00% Due 08/01/2023

F IlINg S TaTuS : New JT uNITED STaTES TREaS NTS 1.875% Due 08/31/2024

F IlINg S TaTuS : New JT VERIZON COMM 5.15% Due 09/15/2023 S 11/9/2017 11/9/2017 $100,001 - $250,000 F IlINg S TaTuS : New JT WSTRN Wa uNIV 3% Due 10/ 01/2019

F IlINg S TaTuS : New SP Microsoft Corporation (MSFT)

ranSactionS iD owner asset transaction type notification Date amount amerisourceBergen Corporation (aB C)

Pharma Partners, LLC Company: Pharma Partners, LLC  (Englewood, CO) Description: The LLC funds research and clinical trials on a new class of drugs, metalloporphyrins. The lead drugs are BMX-010 and BMX-001.

JPMorgan Chase & Co.

General Electric Company

International Business Machines Corporation

Tesla, Inc.

Merck & Co., Inc.

Wal-Mart Stores, Inc.

g fedcF ILING S TATUS : New S UbHoLDING o F : TD Ameritrade Ann IRA SP baxter International Inc. (bAX)

g fedcF ILING S TATUS : New S UbHoLDING o F : TD Ameritrade Ann IRA SP Marathon Petroleum Corporat ion(MPC)

ranSactionS iD owner asset transaction type notification Date amount cap. gains > 2000033350 SP AmerisourceBergen Corporation (ABC)

rANSAcTIONS ID Owner Asset Transaction Type Notification Date Amount alcoa Corporation (aa)

F IlINg S TaTuS : New D ESCRIPTIoN : Sold 33 shares arconic Inc. (aRNC)

F IlINg S TaTuS : New D ESCRIPTIoN : Sold 100 shares Brighthouse Financial, Inc. (BHF)

F IlINg S TaTuS : New D ESCRIPTIoN : Sold 27 shares PayPal Holdings, Inc. (PYPl)

F IlINg S TaTuS : New D ESCRIPTIoN : Purchased 100 shares Salesforce.com Inc (CRM)

F IlINg S TaTuS : New D ESCRIPTIoN : Purchased 100 shares Texas Instruments Incorporated (TXN)

F IlINg S TaTuS : New D ESCRIPTIoN : Purchased 100 shares Tuesday Morning Corp. ( TuES)

F IlINg S TaTuS : New D ESCRIPTIoN : Sold 300 shares Filing ID #20008542 Windstream Holdings, Inc. (WIN)

F ILINg S TaTUS : New S UBHoLDINg o F : BNY Mellon 5000 New Jersey St Transp 5.0% 06/15/ 24

F ILINg S TATUS : New S UbHOLDINg O F : SP M40 (Merrill Lynch) L OCATION : US D ESCRIPTION : R2000 ARN ISSUER HSbC CAP 12.75% SV 1,518.89 DUE 01/24/19 SP R2000 ARN ISSUER SEK CAP 13.83%

F ILINg S TATUS : New S UbHOLDINg O F : SP M36 (Merrill Lynch) L OCATION : US D ESCRIPTION : R2000 ARN ISSUER SEK CAP 13.83% Redemption SP R2000 ARN ISSUER SEK CAP 13.83%

ranSactionS iD owner asset transaction type notification Date amount american Infrastructure MLP associatesFund LP s 11/8/2017 11/20/2017 $15,001 - $50,000 F ILINg s TaTus : New D EsCRIPTIoN : Not a sale--this is a distribution from a private equity fund reflecting pro-rata proceeds from the fund's sale ofInspire Communities american Infrastructure MLP associatesFund LP

ranSactionS iD owner asset transaction type notification Date amount SP DowDuPont Inc. (DWDP)

F IlINg S TaTuS : New SP iShares Russell 2000 Valu e ETF (IWN)

F IlINg S TaTuS : New SP TJX Companies, Inc. (TJX)

ranSactionS iD owner asset transaction type notification Date amount DC Aspen Aerogels, Inc. (ASPN)

F IlINg S TATuS : New D ESCRIPTIoN : Dependent Child B DC Richardson Electronics, ltd . (REll)

F IlINg S TATuS : New D ESCRIPTIoN : Dependent Child B DC Westell Technologies, Inc. - Class A (WSTl)

F IlINg S TATuS : New D ESCRIPTIoN : Dependent Child C DC Westell Technologies, Inc. - Class A (WSTl)

g fedciD owner asset transaction type notification Date amount cap. gains > F ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley - Selec t UMa account # 3Installed build ing Products, Inc.(IbP)