Transactions

F ILING S TATUS : New D ESCRIPTION : NEW YORK ST DORM AUTH ST PERS INCOME TAX REV RFDG GEN PURP SER A B/E, COUPON 5.00%. DUE 12/15/2028, CUSIP 54990ECK1 TRIBOROUGH BRDG & TUNL AUTH NY REVS UNREFUNDED BAL GEN SER A B/E

rANSAcTIONS ID Owner Asset Transaction Type Notification Date Amount S&P 500 DEC 15 2590 CaLL

F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : CaLL S&P 500 DEC 6 2450 PUT S 11/7/2017 11/7/2017 $1,001 - $15,000 F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : PUT S&P 500 NoV 17 2565 CaLL

F ILINg S TATuS : New S uBHOLDINg O F : Neuberger Berman - Traditional IRA SP Kansas City South ern (KSu)S 11/9/2017 11/15/2017 $1,001 - $15,000 F ILINg S TATuS : New S uBHOLDINg O F : Neuberger Berman - Traditional IRA SP Martin Marietta Materials, Inc. (MLM)

F ILINg S TATUS : New MANSFIELD INDPT SCHooL DIST go 5.0000% 02/15/19 FA RFDg UT BNK QUAL BEo - MUNI BoND

F ILINg S TATUS : New S UBHoLDINg o F : Appendix A - NoTE: THESE ASSETS ARE ALREADY INCLUDED IN THE SCHEDULE A VALUES AND THEREFoRE SHoULD NoT BE ADDED To THE oVERALL ToTAL. > Toucan Family LLC L oCATIoN : US D ESCRIPTIoN : Not part of a compensation plan; not held in an ESoP. THE BANK oF NoVA SCoTIA LINKED To BASKET oF INDICES UPSIDE LEVERED CAPPED W BUFFER 0% STRUCTURED NoTE DUE 03/20/2020

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

F ILING s TATus : New s ubHoLDING o F : Morgan stanley IRA - X142 Archer-Daniels-Midland Company (ADM) P 11/1/2017 11/1/2017 $1,001 - $15,000 F ILING s TATus : New s ubHoLDING o F : Morgan stanley IRA - X141 Caseys General stores, Inc. ( CAsY)

Mattel, Inc.

Ares Capital Corporation

g fedcF IlINg S TATuS : New S uBHolDINg o F : National Financial Services/Fidelity - Premiere S elect IRA DomesticAir Products and Chem icals, Inc.(APD)

g fedcF IlINg S TATuS : New S uBHolDINg o F : National Financial Services/Fidelity - Premiere S elect IRA DomesticAir Products and Chem icals, Inc.(APD)

g fedcF IlINg S TATuS : New S uBHolDINg o F : National Financial Services/Fidelity - Premiere S elect IRA DomesticID Owner Asset Transaction Type Notification Date Amount Cap. Gains > Ford Motor Company (F)

g fedcF IlINg S TATuS : New S uBHolDINg o F : National Financial Services/Fidelity - Premiere S elect IRA Domesticgeneral Electric Company (gE)

g fedcF IlINg S TATuS : New S uBHolDINg o F : National Financial Services/Fidelity - Premiere S elect IRA DomesticXerox Corporation (XRX)

F ILING s TATus : New s ubHoLDING o F : Morgan stanley IRA - X141 Johnson & Johnson (JNJ) P 11/8/2017 11/8/2017 $1,001 - $15,000 F ILING s TATus : New s ubHoLDING o F : Morgan stanley IRA - X141 PbF Energy Inc. Class A (PbF)

rANSAcTIONS ID Owner Asset Transaction Type Notification Date Amount SP Expedia, Inc. (EXPE) S 11/9/2017 11/15/2017 $1,001 - $15,000 F ILINg S TATuS : New S uBHOLDINg O F : Neuberger Berman - Traditional IRA SP Expedia, Inc. (EXPE)

ranSactionS iD owner asset transaction type notification Date amount First Trust DJ Interne t Index Fund(FDN)

F IlINg S TATuS : New S ubHOlDINg O F : D.A. Davidson global X Robotics & Artificial Intelligence ETF (bOTZ)

Novartis AG

ranSactionS iD owner asset transaction type notification Date amount cap. gains > 2000033891 DowDuPont Inc. (DWDP) [sT]

Schlumberger Limited

QUALCOMM Incorporated

Exxon Mobil Corporation

T-Mobile US, Inc.

g fedcF ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley > UMa active assets acco untJT Intuitive Surgical , Inc. (ISRG)

g fedcbF IlINg s TaTus : New D EsCRIPTIoN : DC#2 DC NVIDIa Corporation (NVDa) [sT]

g fedcF IlINg s TaTus : New D EsCRIPTIoN : DC#2 DC Tesla, Inc. (Tsla) [sT]

Halozyme Therapeutics, Inc.

rANSACTIONS ID Owner Asset Transaction Type Notification Date Amount Cap. Gains > SP AbbVie Inc. (AbbV)

g fedcF ILING S TATUS : New S UbHoLDING o F : TD Ameritrade Gary IRA SP Ameriprise Financial, Inc. (AMP)

g fedcF ILING S TATUS : New S UbHoLDING o F : TD Ameritrade Ann IRA SP Apple Inc. (AAPL)

g fedcbF ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley - Selec t UMa account # 1JT Comcast Corporation - Cl ass a(CMCSa)

g fedcF ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley > UMa active assets acco untJT PayPal Holdings, Inc. (PYPL)

SP GENERAL ELECTRIC 5.55% DUE 02/15/22 (36966R5P7)

Level 3 Communications, Inc. (Exchanged) CenturyLink, Inc. (Received)

South32 Limited

T-Mobile US, Inc.

ranSactionS iD owner asset transaction type notification Date amount 3M Company (MMM) s 11/8/2017 11/8/2017 $1,001 - $15,000 F ILING s TATus : New s ubHoLDING o F : Morgan stanley IRA - X141 Alleghany Corporation (Y)

ranSactionS iD owner asset transaction type notification Date amount Boeing Company (BA)

F ILING S TATUS : New S UBHoLDING o F : MERRILL LYNCH - IRA United States Steel Corporation (X)

F ILINg S TATuS : New S ubHOLDINg O F : John Marshall Collins Rollover IRA SP Pacific gas & Electric Co. (P Cg)

ANDERSON CNTY S C SCH DIST NO 005 RFDG-SER B SOUTH CAROLINA EDUCATION Rate/Coupon: 3.00% Matures: 03/01/2027

g fedcF ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley - Selec t UMa account # 3Calatlantic Group, Inc. ( Caa)

g fedcF ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley - Selec t UMa account # 1Impax Laboratories, Inc. (IPXL)

g fedcF ILING S TaTUS : New S UBHoLDING o F : 27 - MSSB BRoKERaGE aCCoUNT (ED-T) Medical Related Investments, LLC [oL]

g fedcF IlINg s TaTus : New DC Pareteum Corporation (TEuM) [sT]

rANSACTIONS ID Owner Asset Transaction Type Notification Date Amount Cap. Gains > DC advanced Micro Devices, Inc. (aMD) [sT]

F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : CaLL S&P 500 NoV 30 2575 CaLL

F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : CaLL S&P 500 oCT 20 2550 CaLL S 10/5/2017 10/5/2017 $1,001 - $15,000 F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : CaLL S&P 500 oCT 31 2550 CaLL