Transactions

F ILINg S TaTUS : New S UBHoLdINg o F : UBS Brokerage account SP Intercontinental Exchange Inc. (ICE)

F ILINg S TaTUS : New S UBHoLdINg o F : UBS Brokerage account SP Invesco Ltd (IVZ)

F ILINg S TaTUS : New S UBHoLdINg o F : UBS Brokerage account SP iShares Core S&P Mid-Cap E TF (IJH)

F ILINg S TaTUS : New S UBHoLdINg o F : UBS Brokerage account SP iShares Core S&P Small-Cap ETF (IJR)

F ILINg S TaTUS : New S UBHoLdINg o F : UBS Brokerage account SP iShares Russell 1000 growth ETF (IWF)

F ILINg S TaTUS : New S UBHoLdINg o F : UBS Brokerage account ID Owner Asset Transaction Type Notification Date Amount SP Lowe's Companies, Inc. (LoW)

F ILINg S TaTUS : New S UBHoLdINg o F : UBS Brokerage account SP Medtronic plc. ordinary Shares (M dT)

F ILINg S TaTUS : New S UBHoLdINg o F : UBS Brokerage account SP o'Reilly automotive, Inc. (oRLY)

F ILINg S TaTUS : New S UBHoLdINg o F : UBS Brokerage account SP Red Hat, Inc. (RHT)

F ILINg S TaTUS : New S UBHoLdINg o F : UBS Brokerage account SP Rockwell automation, Inc. (RoK)

F ILINg S TaTUS : New S UBHoLdINg o F : UBS Brokerage account SP Rockwell Collins, Inc. (CoL)

F ILINg S TaTUS : New S UBHoLdINg o F : UBS Brokerage account SP SPdR dow Jones Industrial averageETF (dIa)

F ILINg S TaTUS : New S UBHoLdINg o F : UBS Brokerage account SP Thermo Fisher Scientific Inc (TMo)

F ILINg S TaTUS : New S UBHoLdINg o F : UBS Brokerage account SP Tix Corporation (TIXC)

F ILINg S TaTUS : New S UBHoLdINg o F : UBS Brokerage account SP United Technologi es Corporation (UTX)

F ILINg S TaTUS : New S UBHoLdINg o F : UBS Brokerage account SP Visa Inc. (V)

F ILINg S TaTUS : New ID Owner Asset Transaction Type Notification Date Amount S UBHoLdINg o F : UBS Brokerage account SP Walt disney Company (dIS)

F ILING S TATUS : New D ESCRIPTION : RIVERHEAD NY PUB IMPT G/O UNLTD B/E, COUPON 3.00%, DUE 11-15-2022, CUSIIP 768738WJ1 TRIBOROUGH BRDG & TUNL AUTH NY REVS UNREFUNDED GEN SER C B/E

CC - The Chemours Company

g fedcF ILING S TATUS : New S UbHoLDING o F : TD Ameritrade Ann IRA SP S&P Global Inc. (SPGI)

g fedcID Owner Asset Transaction Type Notification Date Amount Cap. Gains > F IlINg s TaTus : New DC Otonomy, Inc. (OTIC) [sT]

g fedcF IlINg s TaTus : New DC lululemon athletica inc. (lulu)[sT]

The J. M. Smucker Company

g fedcF ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley - Selec t UMa account # 1JT boeing Company (ba)

g fedcF ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley - Consulting & Evaluation ServicesJT WPP plc american deposit aryShares (WPP)

g fedcID Owner Asset Transaction Type Notification Date Amount Cap. Gains > F IlINg S TATuS : New S uBHolDINg o F : National Financial Services/Fidelity - Premiere S elect IRA Int'lDMlRY - Daimler Ag uNSP ADR [oT]

g fedcF IlINg s TaTus : New C OMMENTs : asset purchased 6/9/2017, purchas e did not meet reporting threshold.DC Dextera surgical Inc. ( DXTR) [sT]

F ILINg S TATUS : New S UbHOLDINg O F : SP M81 (Merrill Lynch) SP R2000 ARN ISSUER SEK CAP 14.28% SV 1,217.325 DUE 09/29/17

F ILINg S TATUS : New S UbHOLDINg O F : SP M40 (Merrill Lynch) L OCATION : US D ESCRIPTION : SP500 ARN ISSUER bOFA CAP 10.00% SV 2,415.07 DUE 07/27/18 SP SX5E STEPUP ISSUER bAC STEP 21.70% SV 3,019.34 DUE 09/ 29/17

F ILINg S TATUS : New S UbHOLDINg O F : SP M40 (Merrill Lynch) L OCATION : US D ESCRIPTION : SX5E STEPUP ISSUER bAC STEP 27.90% SV 3,044.33 DUE 11/26/18 SP SX5E STEPUP ISSUER bNS STEP 30.00% SV 3,563.64 DUE 09/24/20P 09/28/2017 10/5/2017 $50,001 - $100,000 F ILINg S TATUS : New S UbHOLDINg O F : SP M40 (Merrill Lynch) L OCATION : US D ESCRIPTION : SX5E STEPUP ISSUER bNS STEP 30.00% SV 3,563.64 DUE 09/24/20 SP SX5E STEPUP ISSUER bNS STEP 30.00% SV 3,563.64 DUE 09/24/20P 09/28/2017 10/6/2017 $15,001 - $50,000 F ILINg S TATUS : New S UbHOLDINg O F : Trust M69 (Merrill Lynch) L OCATION : US D ESCRIPTION : SX5E STEPUP ISSUER bNS STEP 30.00% SV 3,563.64 DUE 09/24/20 SP SX5E STEPUP ISSUER HSbC STEP 30.00% SV 3,221.14 DUE 09/28/18

ranSactionS iD owner asset transaction type notification Date amount SP Microsoft Corporation (MSFT) S 09/5/2017 09/5/2017 $250,001 - $500,000 F IlINg S TaTuS : New SP Microsoft Corporation (MSFT)

F ILING s TATus : New s ubHoLDING o F : Morgan stanley IRA - X141 Filing ID #20008271 sabra Healthcare REIT, Inc. (sbRA)P 10/2/2017 10/2/2017 $1,001 - $15,000 F ILING s TATus : New s ubHoLDING o F : Morgan stanley IRA - X142 sabra Healthcare REIT, Inc. (sbRA)

ranSactionS iD owner asset transaction type notification Date amount SP alphabet Inc. - Cl ass a (gOOgl)

g fedcF IlINg s TaTus : New DC Roku, Inc. - Class a (ROKu) [sT]

g fedcF IlINg s TaTus : New DC Roku, Inc. - Class a (ROKu) [sT]

g fedcbF ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley > UMa active assets acco untICF International, Inc. (ICFI)

F ILINg S TaTUS : New S UBHoLDINg o F : BNY Mellon 5000 Metropolitan Transi t 5.0% 11/15/24

g fedcF ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley - Selec t UMa account # 1Performance Food Group Company (PFGC)

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 General Mills, Inc. (GIs) P 10/4/2017 10/4/2017 $1,001 - $15,000 F ILING s TATus : New s ubHoLDING o F : Morgan stanley IRA - X141 General Mills, Inc. (GIs)

ranSactionS iD owner asset transaction type notification Date amount NEW ROCHELLE NY PUB IMPT G/O LTD B/E

F IlINg s TATus : New Coca-Cola Company (KO)

F IlINg s TATus : New CsX Corporation (CsX)

F IlINg s TATus : New FedEx Corporation (FDX)

Kellogg Company

g fedcF ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley - Selec t UMa account # 1JT Weibo Corporation - am ericandepositary Share (Wb)

ranSactionS iD owner asset transaction type notification Date amount SP bank Nova Scotia Halifax Pfd 3 Ordinary Shares (bNS)

ranSactionS iD owner asset transaction type notification Date amount Opko Health, Inc. (OPK)

F ILINg S TATuS : New S uBHOLdINg O F : Neuberger Berman - Traditional IRA SP Charter Communications, Inc. - Class A (CHTR)

F ILINg S TATuS : New S uBHOLdINg O F : Neuberger Berman - Traditional IRA SP T-Mobile uS, Inc. (TMuS)