Transactions

F IlINg S TaTuS : New JT great lakes Wtr auth Mich 5.00% Due 07/01/28

/2016 $1,001 - $15,000 F IlINg s TaTus : New Mastercard Incorporated (Ma) s 10/21/2016 11/7/2016 $1,001 - $15,000 F IlINg s TaTus : New McDonald's Corporation (MC D)s 10/11/2016 11/7/2016 $1,001 - $15,000 F IlINg s TaTus : New McDonald's Corporation (MC D)s 10/21/2016 11/7/2016 $1,001 - $15,000 F IlINg s TaTus : New Pepsico, Inc. (PEP) s 10/4/2016 11/7/2016 $1,001 - $15,000 F IlINg s TaTus : New Pepsico, Inc. (PEP) s 10/11/2016 11/7/2016 $1,001 - $15,000 F IlINg s TaTus : New Pepsico, Inc. (PEP) s 10/21/2016 11/7/2016 $1,001 - $15,000 F IlINg s TaTus : New Philip Morris Interna tional Inc (PM)s 10/21/2016 11/7/2016 $1,001 - $15,000 F IlINg s TaTus : New TJX Companies, Inc. (TJX) s 10/4/2016 11/7/2016 $1,001 - $15,000 F IlINg s TaTus : New ID Owner Asset Transaction Type Notification Date Amount TJX Companies, Inc. (TJX) s 10/11/2016 11/7/2016 $1,001 - $15,000 F IlINg s TaTus : New TJX Companies, Inc. (TJX) s 10/21/2016 11/7/2016 $1,001 - $15,000 F IlINg s TaTus : New TPH Partners II lP

F IlINg s TaTus : New D EsCRIPTIoN : Private Equity Fund Capital Call for Channel Energ y investmentTPH Partners lP

rANSAcTIONS ID Owner Asset Transaction Type Notification Date Amount SP Celgene Corporation ( CELg)

F ILINg S TATuS : New S uBHOLdINg O F : Neuberger Berman - Traditional IRA SP Celgene Corporation ( CELg)

F ILINg S TATuS : New S uBHOLdINg O F : Neuberger Berman - Traditional IRA SP dENTSPLY SIRONA Inc. (XRAY)

F ILINg S TATuS : New S uBHOLdINg O F : Neuberger Berman - Traditional IRA SP Leidos Holdings, Inc. (LdOS) S 09/30/2016 10/7/2016 $1,001 - $15,000 F ILINg S TATuS : New S uBHOLdINg O F : Neuberger Berman - Traditional IRA SP Verisk Analytics, Inc. (VRSK)

Corporate bond JT CoNTINENTAL RESoURCES 05.000% 091522 S 10/6/2016 11/1/2016 $1,001 - $15,000 F ILINg S TATUS : New S UBHoLDINg o F : Thomas C MacArthur and Deborah A MacArthur ID Owner Asset Transaction Type Notification Date Amount D ESCRIPTIoN : Corporate bond JT CoNTINENTAL RESoURCES 05.000% 091522 S 10/12/2016 11/1/2016 $1,001 - $15,000 F ILINg S TATUS : New S UBHoLDINg o F : Thomas C MacArthur and Deborah A MacArthur D ESCRIPTIoN : Corporate bond JT CSC HLDgS INC NTS 06.750% 111521 P 09/21/2016 10/1/2016 $1,001 - $15,000 F ILINg S TATUS : New S UBHoLDINg o F : Thomas C MacArthur and Deborah A MacArthur D ESCRIPTIoN : Corporate bond JT CVS Health Corporation ( CVS)P 10/14/2016 11/1/2016 $100,001 - $250,000 F ILINg S TATUS : New S UBHoLDINg o F : Thomas C MacArthur and Deborah A MacArthur DC CVS Health Corporation ( CVS)P 10/14/2016 11/1/2016 $1,001 - $15,000 F ILINg S TATUS : New S UBHoLDINg o F : MacArthur Family 2008 Irr Tr FBo Isabella MacArthur DC CVS Health Corporation ( CVS)

ranSactionS iD owner asset transaction type notification Date amount Indian land Ventures, llC, 33% Interest

rANSAcTIONS ID Owner Asset Transaction Type Notification Date Amount AdvanSix Inc. (ASIX) E 10/7/2016 11/25/2016 $1,001 - $15,000 F ILINg S TATUS : New S UbHoLDINg o F : Investment Account D ESCRIPTIoN : Stock Dividend from HoN Split. Allergan plc ordinary Shares ( AgN)

F ILINg S TATUS : New S UbHoLDINg o F : RHIRA Alnylam Pharmaceutic als, Inc. (ALNY)

F ILINg S TATUS : New S UbHoLDINg o F : RHIRA boeing Company (bA)

F ILINg S TATUS : New S UbHoLDINg o F : RHIRA Colgate-Palmolive Company (CL)

F ILINg S TATUS : New S UbHoLDINg o F : RHIRA Express Scripts Holding Company (ESRX)

F ILINg S TATUS : New S UbHoLDINg o F : RHIRA QUALCoMM Incorporated (QCoM)

F ILINg S TATUS : New Filing ID #20006260 S UbHoLDINg o F : RHIRA Scripps Networks Interactive, I nc - ClassA (SNI)

F ILINg S TATUS : New S UbHoLDINg o F : RHIRA T. Rowe Price group, Inc. (TRoW)

F ILINg S TATUS : New S UbHoLDINg o F : RHIRA USg Corporation (USg)

F IlINg s TaTus : New l OCaTION : us D EsCRIPTION : Real Estate Investment Trust shares Magellan Midstream Partners l.P. limited Partnership (MMP) P 11/2/2016 11/7/2016 $1,001 - $15,000 F IlINg s TaTus : New Thermo Fisher scientific Inc (TMO)

F IlINg S TATuS : New S ubHOlDINg O F : Patrick Rooney Sr 2015 Delaware Trust Apollo Investment Corporat ion - ClosedEnd Fund (AINV)

F IlINg S TATuS : New ID Owner Asset Transaction Type Notification Date Amount S ubHOlDINg O F : Patrick Rooney Sr 2015 Delaware Trust Ares Capital Corporat ion - Closed EndFund (ARCC)

F IlINg S TATuS : New S ubHOlDINg O F : Patrick Rooney Sr 2015 Delaware Trust Ares Capital Corporat ion - Closed EndFund (ARCC) P 06/1/2016 07/1/2016 $50,001 - $100,000 F IlINg S TATuS : New S ubHOlDINg O F : Patrick Rooney Sr 2015 Delaware Trust Ares Commercial Real Est ateCorporation (ACRE)

F IlINg S TATuS : New S ubHOlDINg O F : Patrick Rooney Sr 2015 Delaware Trust blackRock Capital Investment Corporation (bKCC)

F IlINg S TATuS : New S ubHOlDINg O F : Patrick Rooney Sr 2015 Delaware Trust ID Owner Asset Transaction Type Notification Date Amount Fortress Transportation and Infrastructure Investors llC CommonShares (FTAI)

F IlINg S TATuS : New ID Owner Asset Transaction Type Notification Date Amount S ubHOlDINg O F : Patrick Rooney Sr 2015 Delaware Trust New Residential Investment Corp. (NRZ)

F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : PUT SPDR goLD TR gLD oCT 28 122.5 PUT

F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : PUT SPDR goLD TR goLD oCT 14 123 PUT

rANSAcTIONS ID Owner Asset Transaction Type Notification Date Amount Coty Inc. Class A (CoTY)

F ILING S TATuS : New S ubHoLDING o F : Morgan Stanley IRA - X141 Franklin Resources, Inc. (bEN)

F ILING S TATuS : New S ubHoLDING o F : Morgan Stanley IRA - X142 General Mills, Inc. (GIS)

F ILING S TATuS : New S ubHoLDING o F : Morgan Stanley IRA - X142 SPDR Gold Trust (GLD) P 10/4/2016 10/4/2016 $1,001 - $15,000 F ILING S TATuS : New S ubHoLDING o F : Morgan Stanley IRA - X529 Target Corporation (TGT)

ranSactionS iD owner asset transaction type notification Date amount JT SolarCity Corporation (SCTY)

ranSactionS iD owner asset transaction type notification Date amount CITIGRoUP INC DEP SHS

F ILING S TATUS : New S UBHoLDING o F : Revocable Living Trusts > The David A. Trott Revocable Trust UTA DTD 6/11/93 (100% interest) > Goldman Sachs & Co. Brokerage Account EQT Midstream Partn ers, LP CommonUnits representing Limited Partner Interests (EQM) P 10/7/2016 10/8/2016 $15,001 - $50,000 F ILING S TATUS : New S UBHoLDING o F : Revocable Living Trusts > The David A. Trott Revocable Trust UTA DTD 6/11/93 (100% interest) > Goldman Sachs & Co. Brokerage Account D ESCRIPTIoN : Publicly Traded Master Limited Partnership Inter estPUT/XSP @ 202 EXP 12/16/2016 - CBoE MINI SPX INDEX

F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : PUT S&P 500 NoV 30 1825 PUT

F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : PUT S&P 500 NoV 30 1950 PUT

F ILINg S TaTUS : New S UbHoLDINg o F : TD ameritrade Investment account L oCaTIoN : US D ESCRIPTIoN : PUT Filing ID #20006174 S&P 500 NoV 30 2000 PUT

F ILINg S TATUS : New S UBHOLDINg O F : SP M81 (Merrill Lynch) SP R2000 CLIRN ISSUER CIBC CAP 18.04% P 09/29/2016 10/6/2016 $15,001 - $50,000 F ILINg S TATUS : New S UBHOLDINg O F : Trust M69 (Merrill Lynch) L OCATION : US D ESCRIPTION : R2000 CLIRN ISSUER CIBC CAP 18.04% SP SP500 CLIRN ISSUER BAC CAP 14.80% SV 2,075.81 DUE 04/27/18

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 : James McDermott Sr IRA D ESCRIPTIoN : REPSDTG 1/25th PFD SER o PERPETUAL FXD/VAR CPN 5.875% DTD 03/20/15 FC 09/27/15 CALL 03/27/20@100.00 FIFTH THIRD bANCoRP

rANSAcTIONS ID Owner Asset Transaction Type Notification Date Amount SP Amgen Inc. (AMgN)

F IlINg S TATuS : New S ubHOldINg O F : Ameriprise Traditional IRA SP Amgen Inc. (AMgN)

F IlINg S TATuS : New S ubHOldINg O F : Ameriprise SEP IRA SP Apple Inc. (AAPl)

F IlINg S TATuS : New S ubHOldINg O F : Ameriprise SEP IRA SP Apple Inc. (AAPl)

F IlINg S TATuS : New S ubHOldINg O F : Ameriprise Traditional IRA SP blackRock, Inc. (blK)

F IlINg S TATuS : New S ubHOldINg O F : Ameriprise Traditional IRA SP blackRock, Inc. (blK)

F IlINg S TATuS : New S ubHOldINg O F : Ameriprise SEP IRA SP blackRock, Inc. (blK) S 04/4/2017 05/22/2017 $1,001 - $15,000 F IlINg S TATuS : New S ubHOldINg O F : Ameriprise Traditional IRA Filing Id #20007336 SP blackRock, Inc. (blK) S 04/4/2017 05/22/2017 $1,001 - $15,000 F IlINg S TATuS : New S ubHOldINg O F : Ameriprise SEP IRA SP Check Point Software Tech nologies ltd.- Ordinary Shares (CHKP)

F IlINg S TATuS : New S ubHOldINg O F : Ameriprise SEP IRA SP Check Point Software Tech nologies ltd.- Ordinary Shares (CHKP)

F IlINg S TATuS : New S ubHOldINg O F : Ameriprise Traditional IRA SP China Mobile limited (CHl)

F IlINg S TATuS : New S ubHOldINg O F : Ameriprise Traditional IRA SP China Mobile limited (CHl)