Transactions

F ILING S TaTuS : New S uBHoLDING o F : GRRTS LTD D ESCRIPTIoN : Bond call, Full redemption JT New Jersey St Transntr Fd au th 5.25%12/15/2019

rANSAcTIONS ID Owner Asset Transaction Type Notification Date Amount blDRS Emerging Markets 50 aDRIndex Fund (aDRE)

F IlINg S TaTUS : New S UbHOlDINg O F : PROEQUITIES First Trust Chindia ETF (FNI)

F IlINg S TaTUS : New S UbHOlDINg O F : PROEQUITIES Huntington Ingalls Industries, Inc. (HII)

F IlINg S TaTUS : New S UbHOlDINg O F : PROEQUITIES Kinder Morgan, Inc. (KMI)

F IlINg S TaTUS : New S UbHOlDINg O F : PROEQUITIES ONEOK, Inc. (OKE)

F IlINg S TaTUS : New S UbHOlDINg O F : PROEQUITIES Targa Resources Partners lP 9 .00%Series a Fixed-to-Floating Rate Cumulative Redeem able PerpetualPreferred Units representing preferredequity interests ( NglS$a)

F IlINg S TaTUS : New S UbHOlDINg O F : PROEQUITIES Filing ID #20008321 Transdigm group Incorporated Transdigm group Inc. (TDg)

F IlINg S TaTUS : New S UbHOlDINg O F : PROEQUITIES Transdigm group Incorporated Transdigm group Inc. (TDg)

F IlINg s TaTus : New Filing ID #20008350 JT Pembina Pipeline Corp. Ordinary shares(PBa)

F ILING S TATUS : New D ESCRIPTION : NEW YORK NY CITY MUN WTR FIN AUTH WTR & SWR SYS REV SER DD B/E OID, COUPON 4.50%, DUE 06-15-2038, CUSIP 64972FUD6 NEW YORK NY FISCAL SER B SUB B-1 G/O UNLTD B/E

ranSactionS iD owner asset transaction type notification Date amount East Carolina university Revenue Bonds

Accela, Inc. Company: Accela, Inc.  (San Ramon, CA) Description: Software Company

Accela, Inc. Company: Accela, Inc.  (San Ramon, CA) Description: Software Company

Spirus Medical, Inc. Company: Spirus Medical, Inc.  (Bridgewater, MA) Description: Medical Devices

Spirus Medical, Inc. Company: Spirus Medical, Inc.  (Bridgewater, MA) Description: Medical Devices

F ILINg S TATuS : New S ubHOLDINg O F : SP M81 (Merrill Lynch) SP PNC Financial Serv ices group, Inc.(PNC) P 10/4/2017 10/6/2017 $15,001 - $50,000 F ILINg S TATuS : New S ubHOLDINg O F : SP M81 (Merrill Lynch) JT POWERSHARES QQQ TRuST SE 1

F ILINg S TATuS : New Filing ID #20008329 S ubHOLDINg O F : Trust M69 (Merrill Lynch) L OCATION : uS D ESCRIPTION : SP500 CLIRN ISSuER bAC CAP 14.04% SV 2,089.41 DuE 10/27/17 Redemption JT SPDR DOW JONES INDuST AV ETF TRuST

F ILINg S TATuS : New S ubHOLDINg O F : SP M81 (Merrill Lynch) JT VANguARD 500 INDEX FuND SHS ETF

F ILINg S TATuS : New S ubHOLDINg O F : SP M92 (Merrill Lynch) L OCATION : uS D ESCRIPTION : VANguARD 500 INDEX FuND SHS ETF JT VANguARD FTSE DEVELOPED MARKETS ETF

F IlINg s TaTus : New JT NRg Yield, Inc. Class a (NYlD.a)

F ILINg S TATuS : New S uBHOLDINg O F : Neuberger Berman - Traditional IRA SP DowDuPont Inc. (DWDP)

F IlINg s TaTus : New sP Kroger Company (KR)

ALREADY INCLUDED IN THE SCHEDULE A VALUES AND iD owner asset transaction type notification Date amount THEREFoRE SHoULD NoT BE ADDED To THE oVERALL ToTAL. > Trott Family Investment Company LLC D ESCRIPTIoN : Received in exchange for PLYMoUTH-CANToN MICH CMNTY SCH go 5.0000% 05/01/22-CA MN RFDg- SCH BLDg & SITE UT FSA BEo resulting from a pr erefunded event. As a result, Trott Family Investment Co LLC's ownership in PLYMTH-CNTN MCH CMNTY SCH DST go 5.0000% 05/01/22-CA MN UNREFUNDED BALANCE-RFDg- SCH BLDg & SITE UT INS BEo SR LN - MUNI BoND is in the $100,001 - $250,000 range. PUT/XSP @ 247 EXP 12/15/2017 - CBoE MINI SPX INDEX S 10/6/2017 10/7/2017 $1,001 - $15,000 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. PUT/XSP @ 249 EXP 12/01/2017 - CBoE MINI SPX INDEX

Cisco Systems, Inc.

g fedcF ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley - Selec t UMa account # 3JT Ulta beauty, Inc. (ULTa)

g fedcF ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley - Selec t UMa account # 2JT Pioneer Natural Resources Company (PXd)

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

Abbott Laboratories

ranSactionS iD owner asset transaction type notification Date amount gLD NoV 3 123 PUT

F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : PUT gLD oCT 20 123.5 PUT S 10/4/2017 10/4/2017 $1,001 - $15,000 F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : PUT gLD oCT 20 123.5 PUT

F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : PUT Filing ID #20008372 S&P 500 NoV 17 2565 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 2535 CaLL P 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 20 2550 CaLL

ranSactionS iD owner asset transaction type notification Date amount SP general Electric Company (gE)

F ILINg S TaTUS : New S UBHoLDINg o F : Morgan Stanley Smith Barney Brokera ge accountSP Newell Brands Inc. (NWL)

F ILING s TATus : New s ubHoLDING o F : Morgan stanley IRA - X141 Eaton Corporation, PLC ordinary shares (ETN) P 11/8/2017 11/8/2017 $1,001 - $15,000 F ILING s TATus : New s ubHoLDING o F : Morgan stanley IRA - X141 General Mills, Inc. (GIs)

F ILINg S TATuS : New S uBHOLDINg O F : Neuberger Berman - Traditional IRA SP DowDuPont Inc. (DWDP)

rANSAcTIONS ID Owner Asset Transaction Type Notification Date Amount NEW YORK NY CITY MUN WTR FIN AUTH WTR&SWR SYS REV SER DD B/E OID P 10/5/2017 11/30/2017 $15,001 - $50,000 F ILING S TATUS : New D ESCRIPTION : NEW YORK NY CITY MUN WTR FIN AUTH WTR&SWR SYS REV SER DD B/E OID, COUPON 4.50%, DUE 06-15-2038, CUSIP 64972FUD6 NEW YORK NY CITY MUN WTR FIN AUTH WTR&SWR SYS REV SER DD B/E OID

Intrexon Corporation

ZIOPHARM Oncology, Inc.

Target Corporation

g fedcF IlINg s TaTus : New DC TransEnterix, Inc. (TRXC) [sT]

g fedcF IlINg s TaTus : New C OMMENTs : asset purchased 10/01/2017, purch ase did not meet reporting .DC TransEnterix, Inc. (TRXC) [sT]

g fedcF IlINg s TaTus : New DC Neothetics, Inc. (NEOT) [sT]

g fedcF IlINg s TaTus : New DC Neothetics, Inc. (NEOT) [sT]

Johnson & Johnson

ranSactionS iD owner asset transaction type notification Date amount SP American Express Company (AXP)

F ILINg S TATuS : New S ubHOLDINg O F : SP M81 (Merrill Lynch) SP JP Morgan Chase & Co. (JPM)

F ILINg S TATuS : New S ubHOLDINg O F : SP M92 (Merrill Lynch) L OCATION : uS D ESCRIPTION : SPDR DOW JONES INDuST AV ETF TRuST SP SX5E ARN ISSuER bOFA CAP 17.70% SV 3,637.20 DuE 12/21/18 P 10/26/2017 11/2/2017 $15,001 - $50,000 F ILINg S TATuS : New S ubHOLDINg O F : Trust M69 (Merrill Lynch) L OCATION : uS D ESCRIPTION : SX5E ARN ISSuER bOFA CAP 17.70% SV 3,637.20 DuE 12/21/18 SP u.S. bancorp (uSb) S 10/2/2017 10/4/2017 $1,001 - $15,000 F ILINg S TATuS : New S ubHOLDINg O F : SP M81 (Merrill Lynch) SP unitedHealth group Incorporated Common Stock (uNH)

F IlINg s TaTus : New JT NRg Yield, Inc. Class a (NYlD.a)P 10/9/2017 10/9/2017 $1,001 - $15,000 F IlINg s TaTus : New JT NRg Yield, Inc. Class a (NYlD.a)