Transactions

ranSactionS iD owner asset transaction type notification Date amount JT Stonegate Bank (SGBK)

ranSactionS iD owner asset transaction type notification Date amount 2000032485 JT Stonegate Bank (SGBK)

F ILINg S TATUS : New S UbHOLDINg O F : SP M81 (Merrill Lynch) SP bank Nova Scotia Halifax Pfd 3 Ordinary Shares (bNS)

F ILINg S TATUS : New S UbHOLDINg O F : SP M40 (Merrill Lynch) L OCATION : US D ESCRIPTION : R2000 ARN ISSUER SEK CAP 14.28% SV 1,217.325 DUE 09/29/17 Redemption SP R2000 STEPUP ISSUER bARC STEP 35.00% SV 1,488.786 DUE 09/30/ 22P 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 : R2000 STEPUP ISSUER bARC STEP 35.00% SV 1,488.786 DUE 09/30/22 SP Royal Dutch Shell PLC Royal Du tchShell PLC American Depos itary Shares(RDS.b)

rANSAcTIONS ID Owner Asset Transaction Type Notification Date Amount SP Bristol-Myers Squibb Company (BMY)

F ILINg S TATuS : New S uBHOLdINg O F : Neuberger Berman - Traditional IRA SP Siemens Ag American depos itary Shares(SIEgY) P 10/4/2017 10/10/2017 $15,001 - $50,000 F ILINg S TATuS : New S uBHOLdINg O F : Neuberger Berman - Traditional IRA SP SLM CORP

F ILINg S TATuS : New S uBHOLdINg O F : Neuberger Berman - Traditional IRA d ESCRIPTION : maturation date 9/27/17 at 4.625% SP T-Mobile uS, Inc. (TMuS)

ranSactionS iD owner asset transaction type notification Date amount abercrombie & Fitch Company (aNF)

g fedcF ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley - Selec t UMa account # 3JT Linde ag Sponsored adR ( LNEGY)

g fedcF ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley - Selec t UMa account # 2JT L'air Liquide ord american depositary Shares (aIQUY)

F ILINg S TATUS : New S UbHOLDINg O F : SP M81 (Merrill Lynch) SP bank Nova Scotia Halifax Pfd 3 Ordinary Shares (bNS)

F ILINg S TATUS : New S UbHOLDINg O F : SP M81 (Merrill Lynch) SP DOWDUPONT INC COM PAY DATE 09/01/2017 E 09/1/2017 09/1/2017 $15,001 - $50,000 F ILINg S TATUS : New S UbHOLDINg O F : SP M81 (Merrill Lynch) L OCATION : US D ESCRIPTION : DOWDUPONT INC COM PAY DATE 09/01/2017 SP DU PONT E I DE NEMOURS PAY DATE 09/01/2017 E 09/1/2017 09/1/2017 $15,001 - $50,000 F ILINg S TATUS : New S UbHOLDINg O F : SP M81 (Merrill Lynch) L OCATION : US D ESCRIPTION : DU PONT E I DE NEMOURS PAY DATE 09/01/2017 Filing ID #20008172 SP Exxon Mobil Corporation (XOM)

F ILINg S TATUS : New S UbHOLDINg O F : SP M81 (Merrill Lynch) SP MetLife, Inc. (MET)

F ILINg S TATUS : New S UbHOLDINg O F : SP M81 (Merrill Lynch) SP Occidental Petroleum Corporat ion(OXY)

F ILINg S TATUS : New S UbHOLDINg O F : SP M81 (Merrill Lynch) SP Royal Dutch Shell PLC Royal Du tchShell PLC American Depos itary Shares(RDS.b)

F ILINg S TATUS : New S UbHOLDINg O F : SP M40 (Merrill Lynch) L OCATION : US D ESCRIPTION : SX5E STEPUP ISSUER HSbC STEP 30.00% SV 3,221.14 DUE 09/28/18 Redemption SP U.S. bancorp (USb)

F IlINg s TaTus : New JT BP p.l.c. (BP)

F IlINg s TaTus : New JT Pattern Energy group Inc. - Cl ass a(PEgI)

ranSactionS iD owner asset transaction type notification Date amount SP Delphi Automotive plc Ordinary Shares(DlPH)

F IlING S TATUS : New S UBHOlDING O F : 18 - MSSB BROKERAGE ACCOUNT - IRA (AD/P) SP Texas Instruments Incorporated (TXN)

F IlING S TATUS : New S UBHOlDING O F : 16 - MSSB BROKERAGE ACCOUNT - IRA (CD/P) SP Texas Instruments Incorporated (TXN)

F IlING S TATUS : New S UBHOlDING O F : 18 - MSSB BROKERAGE ACCOUNT - IRA (AD/P) SP United Continental Holdings (UAl)

F IlING S TATUS : New S UBHOlDING O F : 18 - MSSB BROKERAGE ACCOUNT - IRA (AD/P) SP United Continental Holdings (UAl)

F IlINg S TaTuS : New SP Starbucks Corporation (SBuX)

g fedcF ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley - Selec t UMa account # 3JT Sherwin-Williams Compa ny (SHW)

g fedcbF ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley - Selec t UMa account # 3iD owner asset transaction type notification Date amount cap. gains > JT Linde ag Sponsored adR ( LNEGY)

g fedcF ILING S TaTUS : New S UbHoLdING o F : Morgan Stanley - Selec t UMa account # 3JT L'air Liquide ord american depositary Shares (aIQUY)

rANSAcTIONS ID Owner Asset Transaction Type Notification Date Amount gLD oCT 6 122.5 CaLL

F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : CaLL gLD oCT 6 124 PUT

F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : CaLL gLD SEP 1 125 CaLL P 09/1/2017 09/1/2017 $1,001 - $15,000 F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : CaLL gLD SEP 15 126.5 call S 09/1/2017 09/1/2017 $1,001 - $15,000 F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : CaLL gLD SEP 22 122 CaLL S 09/6/2017 09/6/2017 $1,001 - $15,000 F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : CaLL Filing ID #20008205 gLD SEP 22 122 CaLL

F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : CaLL gLD SEP 22 125 PUT

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 2,388.77 DUE 06/29/18 iD owner asset transaction type notification Date amount SP SP500 ARN ISSUER bOFA CAP 10.00% SV 2,415.07 DUE 07/27/18

ranSactionS iD owner asset transaction type notification Date amount SP Equifax, Inc. (EFX)

ranSactionS iD owner asset transaction type notification Date amount PUT/XSP @ 245 EXP 11/03/2017 - CBoE MINI SPX INDEX

National Grid plc

QUALCOMM Incorporated

International Business Machines Corporation

Gilead Sciences, Inc.

g fedcbF IlINg s TATus : Amended C oMMENTs : Didn't account for merger, and mistakenly reported as E I Dupont instead of DowDupont.2000032384 McDonald's Corporation (MCD) [sT]

ranSactionS iD owner asset transaction type notification Date amount JT altria group, Inc. (MO)

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

F IlINg s TaTus : New JT The Hershey Company ( HsY)

F ILING s TATus : New s ubHoLDING o F : Morgan stanley IRA - X141 EoG Resources, Inc. (EoG)

F ILING s TATus : New s ubHoLDING o F : Morgan stanley IRA - X141 Equifax, Inc. (EFX)

F ILING s TATus : New s ubHoLDING o F : Morgan stanley IRA - X142 schlumberger N.V. (sLb)

F ILING s TATus : New s ubHoLDING o F : Morgan stanley IRA - X141 Texas Instruments Incorporated (TXN)

ranSactionS iD owner asset transaction type notification Date amount annaly Capital Management Inc (NLY)

F IlINg s TATus : New CME group Inc. - Class A (CME)

F IlINg s TATus : New Filing ID #20008258 McDonalds Company ltd Tokyo Ordinary shares (MDNDF)

QUALCOMM Incorporated