EFTA00604413.pdf

EQUITY POSITIONS Trade Date Asset Description Quantity 1 Day Ch 1 Day Chng `ITO Return Total Cost Current Value Earnings Cost/share Last Price Gain./(Loss) 9115117 ADVANCED MICRO DEVICE 20.000 401 0.19% .5% 260.000 $216,400 1/30/2018 13.00 10.82 $43,600 9129117 BROADCOM LTD 2.000 (3355) -0.69% 48% 485.729 $515.000 12/7/2017 242.86 257.50 $29,271 10/1a/17 BROADCOM LTD 2.000 (3.555) -0.69% 48% 499.891 $515.000 12/7/2017 249.95 257.50 $15,109 2/5/14 GILEAD SCIENCES INC 5.000 (3.345) -0.90% 6% 396.407 $370.800 2/6/2018 79.28 74.16 425.607 3/7/14 GILEAD SCIENCES INC 3.100 (2.074) -0.90% 6% 246.797 $229.896 2/612018 79.61 74.16 -$16,901 10/24/17 GILEAD SCIENCES INC 4.400 (2.943) -0.90% 6% 352.214 $326.304 2/612018 80.05 74.16 -$25,910 9114/17 OUALCOMM INC 5.000 8.186 2.97% -13% 255.380 $275.250 1124/2018 51.08 55.05 $19,870 9120/17 OUALCOMM INC 5.000 8,186 2.97% -13% 259.600 $275.250 1124/2018 51.92 55.05 $15,650 9121/17 VOLKSWAGEN AG-SPONS 24.000 (6,198) -0.67% 37% 819.535 $930.000 212312018 34.15 38.75 $110,465 Total Southern Financial LLC - Equities (DB) $3,653,900 $78,348 Trade Date Asset Description Quantity 1 Day Ch 1 Day Chng YTD Return Total Cost Current Value Earnings Cost Last Price Gainl(Loss) 9118/17 BRUNSWICK CORP 5.000 (3,355) -1.32% -6% 268.638 $253.900 1/2512018 53.73 50.78 $14,738 9/21/17 BRUNSWICK CORP 10.000 (6,710) -1.32% -6% 545.928 $507,800 1/2512018 54.5928 50.78 $38,128 10/27/17 BRUNSWICK CORP 5.000 (3.355) -1.32% -6% $ 250.000 $253.900 1/2512018 50.0000 50.78 $3,900 9129/17 CAVCO INDUSTRIES INC 3.300 (3.279) -0.64% 56% $ 491.700 $514,305 11/6/2017 149.00 155.85 $22,605 10/20117 GENERAL ELECTRIC CO 25.000 (2.406) -0.48% -35% $ 576.880 $498.083 1/19/2018 23.08 19.92 -$78,797 10/21/17 GENERAL ELECTRIC CO 25.000 (2.406) -0.48% -35% $ 551.000 $498.083 1/19/2018 22.04 19.92 -$52,917 10/31/17 GENERAL ELECTRIC CO 25.000 (2,406) -0.48% -35% $ 503.450 $498.083 1/19/2018 20.14 19.92 -$5,368 Total Southern Financial LLC Equities (TO) $3,024,153 -$163,443 Trade Date Asset Description Quantity 1 Day Ch 1 Day Chng YTD Return Total Cost Current Value Earnings Cost Last Price Gain (Loss) 8111/17 ADVANCED MICRO DEVICE 12.0001 $ 240 0.19% -5% 144.486 $129.840 12.04 10.82 .$14,646 7/11/17 NETEASE INC-ADR 2.000 $ (5.465) -1.00% 28% 617.135 $546.420 308.57 273.21 -$70.715 Total Southern Trust Co. - Equities (MS) $676,260 -$85,361 Trade Date Asset Description Quantity 1 Day Ch 1 Day Chng YTD Return Total Cost Current Value Earnings Cost Last Price GaIni(Loss) 7/20,17 TERADYNE INC 20,000 (2,890) -0.34% 68% 704.832 $847.900 112412018 35.24 42.40 $143,068 6/20117 FINANCIAL SELECT SECTC 20,000 1,404 0.26% 16% 487.600 $534,200 OVA N/A 24.38 26.71 $46,600 8/2/17 FINANCIAL SELECT SECTC 80,000 5.615 0.26% 16% $ 2.023.688 $2.136.800 ANNA NIA 25.30 26.71 $113,112 8/23/17 INC-ADR 10.000 (599) -0.16% 49% $ 419.639 $378,000 11/13/2017 41.96 37.80 -$41,639 9/29,17 INC-ADR 20.000 (1,198) -0.16% 49% $ 759.182 $756.000 11/13/2017 37.96 37.80 -$3,182 6/8/17 ON SEMICONDUCTOR COF 12.000 (2.789) -1.11% 64% $ 200.038 $251,220 11/6/2017 16.67 20.94 $51,182 4/4/17 ING GROEP .1.-SPONSOF 25.000 (3.720) -0.81% 36% $ 373.500 $459,250 11/2/2017 14.94 18.37 $85,750 10+3+17 NETEASE INC-ADR 2.000 (5.465) -1.00% 28% $ 542.688 $546,420 11/1512017 271.34 273.21 $3,732 10/4/17 CAESARS ENTERTAINMEN 20,000 5.617 2.12% 56% $ 269.000 $264,500 2/13/2018 13.45 13.23 -$4500 10/13/17 CAESARS ENTERTAINMEN 10,000 2.808 2.12% 56% $ 120.985 $132,250 2/13/2018 12.0985 13.23 $11,265 10/10/17 C.M. ROBINSON WORLDWI 10,000 (200) -0.03% 10% $ 780.265 $793,100 1/30/2018 78.03 79.31 $12,835 10/24/17 FIRST REPUBLIC BANK/CA 1,000 (2.766) -2.94% 3% $ 97.300 $94,010 1/12/2018 97.30 94.01 -$3,290 11/1/17 BRINKER INTERNATIONAL 10,000 (9.555) -2.99% -34% $ 329.145 $319,150 1/30/2018 32.91 31.92 -$9,995 9122/17 Eurostoxx Market Plus Note 2.500,000 73.5% barrier/Mar22nd '19 2300.000 $2.600.249 #N/A N/A 3.541.42 3.683.43 $100,249 10124/17 SX7E Market Plus Note (18 n 3.000,000 72% barrier/Apr24 '19 fix 3.000.000 $2.986.322 Field Not Appli 135.98 135.36 -$13,678 EFTA00604413  i Total Southern Trust Co. - Equities (Merrill) I $13,099,371 $491,509 Trade• • . •uantlty 1 ray Ch 1 •ay Chn• VTr •eturn Total Cast . . - • 1023+17 GENERAL ELECTRIC CO 22,000 $ (2,117) -0.48% -35% $ 490.182 $438.313 1/19/2018 22.28 19.92 451,869 Total Gratitude America. LTD - Equities (MS) $438,313 -$51,869 Traderate Asset r , scri.ti•n •uantlty 1 ray Ch 1 •ay Chn• VTr •eturn Total Cast . • - • Total J Epstein VI Foundation - Equities (DB) $0 $0 TOTAL EQUITIES -$49,893 $20,891,996 $269,184 OPTION POSITIONS Trade Date Asset Description Contracts Strike Expiry Initial Prem Last Price Value Notional GainiLoss 9114117 November 17 Puts on OCOM (50) 50.00 11/17/2017 $1.5442 $0.0800 -$400 S (250.000) $7,321 9/14/17 November 17 Calls on OCON (50) 52.50 11/17/2017 $1.5168 $2.8400 $14,200 S (262.500) 46,616 9120/17 November 17 Puts on ()COM (50) 50.00 11/17,2017 $1.1554 $0.0800 -$400 S (250.000) $5,377 9120/17 November 17 Calls on OCON (50) 55.00 11/17/2017 $0.8824 $1.0950 $5,475 S (275.000) $1,063 912917 December 17 Puts on AVGO (20) 240.00 12/15/2017 $11.9210 $5.1500 $10,300 S (480.000) $13,542 9/29117 December 17 Calls on AVGO (20) 250.00 12/15,2017 $10.3825 $16.8500 433,700 S (500.000) $12,935 10/13/17 December 17 Puts on AVGO (20) 240.00 12/15,2017 $7.8575 $5.1500 $10,300 S (480.000) $5,415 10/1317 December 17 Calls on AVGO (20) 260.00 12/15/2017 $7.9475 $11.1500 -$22,300 S (520.000) -$6,405 9/27/17 December 17 Calls on SPY L 500 254.00 12/15/2017 $2.6180 $5.1750 $258,750 S 12.700.000 $127,850 9/27/17 December 17 Calls on SPY L 620 255.00 12/15/2017 $2.0900 $4.4250 $274,350 S 15.810.000 $144,770 10/24/17 December 17 Puts on GILD 1 (60) 75.00 12/15/2017 $1.1898 $3.1500 $18,900 S (450.000) -$11,761 10/24/17 December 17 Calls on GILD I (60) 85.00 12/15/2017 $1.3445 $0.2350 41,410 S (510.000) $6,657 10/24/17 December 17 Puts on GILD 1 (65) 75.00 12/1512017 $1.1812 $11500 $20,475 S (487.500) -$12,797 10/24/17 December 17 Calls on GILD I (65) 82.50 12/15/2017 $2.0992 $0.3900 42,535 S (536.250) $11,110 10/13/17 January 18 Calls on TWX US 10 100.00 1/19112018 $4.5000 $1.0750 $1,075 $ 100.000 $3,425 10/17/17 January 18 Puts on FXE US 2,600 112.00 1/1912018 $0.9000 $0.9750 $253,500 S 29.120.000 $19,500 10,25,17 December 17 Puts on AMD L (300) 13.00 12/15/2017 $0.8200 $2.3100 469,300 S (390.000) -$44,700 Total Southern Financial LLC - Equity Options (DB) $577,980 $241,840 Trade Date Asset Description Contracts Strike Expiry Initial Prem Last Price Value Notional GairvLoss 10,2,17 December 17 Puts on FXE U 3,300 111.00 12/152017 $0.6000 $0.4000 $132,000 S 36 630.000 -$66,000 1012/17 November 17 Calls on F US 5,000 13.00 11/17/2017 $0.1100 $0.0150 $7,500 447,500 10/13/17 January 18 Calls on TWX US 500 100.00 1/19.12018 $4.8500 $1.0750 $53,750 $ 5.000.000 -$188,750 10/13/17 EEM (46.66) Outperoms IWM (149.39) ATM 29-Dec-17 1.32% 1.45% $290,000 S 20.000.000 $26,000 0.312 0.313 0.116%1 Total Southern Trust - Equity Options (Merrill) $483,250 4276,250 Trade Date Asset Description Contracts Strike Expiry Initial Prem Last Price Value Notional Gain/Loss EFTA00604414  10/1617 January 18 Puts on JD US (280) 37.00 1/19/2018 S1.4600 $1.9350 $54,180 S (1.036.000) $13,300 10/16/17 January 18 Calls on JD US 280 40.00 1/19/2018 S2.6768 $1.6300 $45,640 $ 1.120.000 $29,310 10/16/17 January 18 Calls on JD US (280) 44.00 1/19/2018 S1.3185 $0.7000 $19,600 S (1.232.000) $17,318 Total Southern Financial - Equity Options (TD) 428,140 -$25,292 TOTAL OPTIONS $1,033,090 459,702 MUTUAL FUND POSITIONS Trade Date Asset Description Quantity Dividend YTD Return Current Value Cost Last Price GaInf(Loss) 9;29117 JPMORGAN FLOAT RATE It 319,837 3.87% 3% $3,016,063 9.41 9.43 $6,397 Southern Financial • Fl Fund - DB $3,016,063 $6,397 Trade Date Asset Description Quantity Dividend YTD Return Current Value Cost Last Price Gainl(Loss) Haze Trust - FlFund - DB $0 $0 Tra•e gate • • •uantlty I • eturn • . Gain.~(L•ss) Jeepers - Fl Fund - DB $0 $0 TOTAL FUNDS $3.016.063 $6.397 EFTA00604415  FIXED INCOME POSITIONS Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gaini(Loss) Return Total Haze Trust - $1000 Ptds(DB) Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Galni(Loss) Return Total Haze Trust - $25 Ptds (DB) - Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Galni(Loss) Return 10,2117 1,000.000 FRONTIER C 7.125% V15/2019 Field Not Appl 6.18% $99.75 100.305 $6,051 $1,013,144 $5.550 $11.601 9,14/17 200.000 GENERAL M( 5.750% Flak( Not Appl 9/30/2027 5.15% $100.00 105 $1,544 $211.469 $10.000 $11.544 9,16/17 1.250.000 GENERAL M( 5.750% Field Not Appl 9/30/2027 5.15% $103.50 105 $9,452 $1.321,684 $18.750 $28.202 10/4/17 250.000 PLAINS ALL, 6.13% Field Not Appl 11/15/2022 5.61% $100.00 102.375 $1,217 $257.043 $5.938 $7.154 10/5/17 250.000 PLAINS ALL r 6.13% Field Not Appl 11/15/2022 5.61% $100.55 102.375 $1,175 $257.043 $4.563 $5.737 Total Gratitude America - Fixed Income MS $3,060,384 $44,800 $64,239 Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gain,(Loss) Return 10,19,17 10.000 TEEKAY LNG 8.50% Field Not Appl 10/1512027 8.59% $25.00 24.92 $815 $249.150 ($850) ($35) TotalGratitude America - S25 Ptds (MS) $ 249,150 $ (850) $ (35) Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gains(Loss) Return Total Southern Trust Co. - DB - - • GBP 1.309 Trade Next Call Yield to Mid Total int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Pr ce Earned Value Gains(Loss) Return 10,4,17 1,000.000 PLAINS ALL, 6.13% Field Not Appl 11,15,2022 5.61% $100.00 102.375 $4.866 $1,028,174 $23.750 $28.616 Total Southern Trust Co. - Fixed Income Merrill $1.028.174 $23,750 $28,616 Trade Next Call Yield to Mid Total int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gaint(Loss) Return EFTA00604416 Total Southern Trust Co. - Mandatory Converts Merrill Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gain (Loss) Return Total Southern Trust Co. - $25 Pfds MS - - $ - Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gain (Loss) Return Total Southern Trust Co. - $1000 Pfds MS Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gaini(Loss) Return 193/17 1.000.000 FRONTIER C 7.125% 3115)2019 Field Not Appl 6.18% $100.10 100.305 $5,856 $1,013,144 $2.050 $7.906 10/11/17 1,000,000 FRONTIER C 8.500% 4/192020 Field Not Awl 8.96% $98.75 98.376 $5,123 $988,718 ($3.740) $1,383 10(18117 1,000,000 SERVICEMAI. 7.250% 3(112038 Field Not Appl 7.14% $104.00 101.206 $2,979 $1,025,150 ($27.940) ($24,961) 10(19(17 350,000 SERVICEMAI. 7.250% 3(112038 Field Not Appl 7.14% $104.00 101.206 $973 $358,803 ($9.779) ($8,806) 10120/17 80,000 SERVICEMAI. 7.250% 3(112038 Field Not Appl 7.14% $104.00 101.206 $207 $82,012 ($2.235) ($2.029) 10131(17 70,000 SERVICEMAI. 7.250% 3(112038 Field Not Appl 7.14% $104.00 101.206 $28 $71,761 ($1,956) ($1,928) 10/24/17 2,000.000 EXELA INTEF 10.000% 7(192023 7/15/2020 10.91% $97.025 96.125 $4,932 $1,985,833 ($18,000) ($13,068) 10131117 2,000.000 .113S INVEST?, 7.250% 41312024 4/3/2019 7.45% $99.065 99.445 $795 $2,002,192 $7,600 $8,395 Total Southern Financial LLC - $1000 Pfds DB $7,527,613 ($54,000) ($33.107) Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gain (Loss) Return Total Southern Financial LLC - $25 Pfds DB Trade Next Call Yield to Mid Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Worst Cost Price Earned Value Gain:(Loss) Return Total Southern Financial LLC - Mortgages (DB) $0 TOTAL FIXED INCOME 559.713 EFTA00604417  CLOSED EQUITY POSITIONS Trade Date Asset Description Quantity Syndicate Closing Date Total Cost Closing Value Cost Closing Px Galnaoss) 9/28;17 CLOUDERA INC 1,300 Y 28-Sep-17 $ 21,385 $22.685 16.45 17.45 $1.300 9/28117 PQ GROUP HOLDINGS INC 6,400 5.Oct-17 $ 112,000 $112.256 17.50 17.54 $256 10/13/17 REV GROUP INC 2,700 13-Oct-17 $ 73,575 $73.575 27.25 27.25 $0 10/19/17 MOSAIC ACQUISITION CORP 6,000 19-Oct-17 $ 60,000 $60.900 10.00 10.15 $900 10/26/17 HUTCHISON CHINA MEDITECH-ADR 700 26-Oct-17 $ 18,550 $20.048 26.50 28.64 $1.498 10/26/17 BP MIDSTREAM PARTNERS LP 4,300 26-Oct-17 $ 77,400 $74.372 18.00 17.30 -$3.028 11/1/17 CONSTELLIUM NV- CLASS A 8.500 1-Nov-17 $ 93.500 S96.560 11.00 11.36 $3.060 11(1(17 ALTAIR ENGINEERING INC A 3,200 1-Nov-17 $ 41,600 $54.884 13.00 17.15 $13,284 Total Southern Financial LLC - Equities (DB) $515,279 S17,269 Trade Date Asset Description Quantity Syndicate Closing Date Total Cost Closing Value Cost Closing Px Gainaoss) 1&6f I 7 SWITCH INC A 5.0001 I N 9-Oct-17 I$ 119,291 1 $98.688 23.86 19.74 -S20.602 Total Southern Financial LLC • Equities (TO) $98,688 -$20,602 Trade Date Asset Description Quantity Syndicate Closing Date Total Cost Closing Value Cost Closing Px Gaint(Loss) $0 Total Southern Trust Co. - Equities (MS) Trade Date Asset Description Quantity Syndicate Closing Date Total Cost Closing Value Cost Closing Px Gainaoss) 9/27(17 ASCENDIS PHARMA A/S ADR 1,000 Y 27-Sep-17 $ 35,500 $35.550 35.50 35.55 $50 9/21/17 BEST BUY CO INC 10,000 N 3.Oct-17 $ 537,882 $570.798 53.79 57.08 $32.916 10/4/17 NEWLINK GENETICS CORP 1,000 Y 5.Oct-17 $ 10.250 $11.258 10.25 11.26 $1.008 10/19/17 PATTERN ENERGY GROUP INC 5,000 Y 20-Oct-17 $ 117,000 $118.181 23.40 23.64 $1.181 10/26(17 ALLISON TRANSMISSION HOLDING 10,000 N 30-Oct-17 $ 408,814 S431.400 40.88 43.14 S22.586 10/26(17 ALLISON TRANSMISSION HOLDING 10,000 N 31.Oct-17 $ 408,814 S431.682 40.88 43.17 S22.868 Total Southern Trust Co. - Equities (Merrill) $1,598,869 $80,609 Trade Date Asset Description Quantity Syndicate Closing Date Total Cost Closing Value Cost Closing Px Gainaoss) 9,27:17 CATALENT INC 1,000 Y 27-Sep-17 $ 39,100 $39.150 39.10 39.15 $50 9/27(17 RYB EDUCATION INC-ADR 500 Y 27-Sep-17 $ 9,250 S13.089 18.50 26.18 S3.839 9/28(17 ROKU INC 1,000 Y 29-Sep-17 $ 14,000 $26.580 14.00 26.58 $12.580 9/28/17 PQ GROUP HOLDINGS INC 6,400 Y 5-Oct-17 $ 112,000 $112.320 17.50 17.55 $320 1015/17 RHYTHM PHARMACEUTICALS INC 1,000 Y 5-Oct-17 $ 17,000 $27.077 17.00 27.08 $10.077 10/13/17 REV GROUP INC 1,000 Y 13-Oct-17 $ 27.250 $27.300 27.25 27.30 $50 10/18/17 QUDIAN INC-SPON ADR 5,000 Y 18-Oct-17 $ 120,000 $155.899 24.00 31.18 $35.899 10/19/17 MONGODB INC 1,000 Y 19-Oct-17 $ 24,000 $31,158 24.00 31.16 $7.158 10/19/17 PATTERN ENERGY GROUP INC 5,000 Y 20-Oct-17 $ 117,000 $118.183 23.40 23.64 $1.183 10/20/17 SEA LTD-ADR 500 Y 20-Oct-17 $ 7,500 $7.842 15.00 15.68 $342 10/20/17 RISE EDUCATION CAYMAN - ADR 500 Y 20-Oct-17 $ 7.250 $8.603 14.50 17.21 $1.353 9/11/17 BRUNSWICK CORP 5,000 N 25-Oct-17 $ 264.287 $285.000 52.86 57.00 $20.713 10/26/17 HOULIHAN LOKEY INC 5,000 Y 26-Oct-17 $ 210,000 $207.246 42.00 41.45 -$2.754 EFTA00604418  10/27/17 FORESCOUT TECHNOLOGIES INC 2,000 I I Y I 27-Oct-17 I $ 44,000 I 1.01 22. 25.50 I 10,27/17 NEXA RESOURCES SA 1,000 V 27-Oct-17 $ 16,000 $1 $56.0700 16.00 16.70 $ $700 Total Gratitude America. LTD - Equities (MS) $1,127,154 $98,517 Traderate Asset . • • 0 Syn•icate • • rate Total a • •Value Cast a • • Gaint(L•ss) Total J Epstein VI Foundation - Equities (DB) $0 $0 TOTAL EQUITIES SOLD $175.793 CLOSED OPTION POSITIONS Trade•ate Asset rescri•ti•n Cantracts • • rem Cl a • • x Value Cl a • rate • 9,20,17 October 17 Puts on AMD US (200) 13.00 1012012017 $0.7500 $0.0000 $0 10202017 S15.000 Total Southern Financial LW - Equity Options (DB) $0 $15,000 Trade• • . 6n C•ntracts Strike Expiry • . . • . . •ate Gainilass 10117 17 January 18 Puts on FXE US 191 112.00 1/1912018 $0.8900 $1.2000 $22.920 30-Oct 17 $5,921 Total Southern Financial - Equity Options (TO) $22,920 $5,921 Trade Date Asset Description Contracts Strike Expiry Initial Prem Closing Px Value Closing Date Gaintoss 9,27117 October 17 Calls on KRE US 500 53.00 1012012017 $1.0600 $1.5600 S78.000 20-Sep-17 S25.000 9:27/17 October 17 Calls on HEDJ US 770 64.00 10,20/2017 $0.6100 $1.1500 $88.550 9-Oct-17 $41,580 9/27/17 October 17 Puts on HEDJ US 770 64.00 10,20,2017 $0.6900 $0.0000 $0 20-O01-17 -$53.130 10/10/17 November 17 Calls on TWX US 1,000 100.00 11/17/2017 $4.8000 $0.8100 $81,000 30-Oct-17 -$399.000 10/10/17 November 17 Calls on TWX US (1,000) 105.00 11/17/2017 $1.0900 $0.0300 -$3a00 30-Oct-17 $106.000 9/19/17 RTV (1440.404) Outperoms SPX (2506.65) ATM 15-Dec-17 1.55% 3.15% $1,355 10-Oct 17 $160.000 0.575 0.580 0.964%I Total Southern Trust - Equity Options (Merrill) $245,905 -$119,550 TOTAL OPTIONS CLOSED $268.825 -$98.629 EFTA00604419  CLOSED FIXED INCOME POSITIONS Trade Next Call Sell Closing Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Date Cost Price Earned Value Gaint(Loss) Return Total Haze Trust - $1000 Ptds(DB) $0 $0 Trade Next Call Sell Closing Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Date Cost Price Earned Value Gaint(Loss) Return Total Haze Trust - S25 Ptds (DB) $0 $0 Trade Next Call Sell Closing Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Date Cost Price Earned Value Gaint(Loss) Return Total Gratitude America - Fixed Income MS $0 $0 Trade Next Call Sell Closing Total Int Market Clean Total Date Quantity Issuer Coupon Cost Price Earned Value Gaint(Loss) Return Maturity Date Date 916,17 10.000 SPIRIT REALTY CAPITAL IN 6.00% 10,11022 9191017 $25.00 25.05 $250.590 $5 $5 1015,17 10.000 AT&T INC 5.35% 11/1/2666 11/112022 30.O41.17 $25.00 24.96 $293 $249.690 ($400) ($107 TotalGratitude America - S25 Ptds (MS) 500,100 (395) (102 Trade Next Call Sell Closing Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Date Cost Price Earned Value Gaint(Loss) Return Total Southern Trust Co. - DB $0 $0 Trade Next Call Sell Closing Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Date Cost Price Earned Value Gaint(Loss) Return Total Southern Trust Co. - Fixed income Merrill $0 $0 Trade Next Call Sell Closing Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Date Cost Price Earned Value Gaint(Loss) Return Total Southern Trust Co. • Mandatory Converts Merrill $0 $0 EFTA00604420  Trade Next Call Sell Closing Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Date Cost Price Earned Value Gaint(Loss) Return Total Southern Trust Co. - $25 Ms MS $0 $0 $0 Trade Next Call Sell Closing Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Date Cost Price Earned Value Gaiit(Loss) Return 812117 100.000 1NNOVIVA INC 2.50% 8;1512025 Field Not Appt 27-Sep.17 $100.000 103.45 $384 $103.450 $3.450 $3.834 Total Southern Trust Co. - $1000 Folds MS $103,450 $3,450 $3,834 Trade Next Call Sell Closing Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Date Cost Price Earned Value Gaint(Loss) Return 9,29,17 1,876.000 TV AZTECA SA DE CV 7 63% 9,113,2020 #NIA Field No 27-Oc1.17 $104.00 103.812 $13,325 $642.682 ($3.527) $9.798 Total Southern Financial LLC $1000 Ptds DB 8642,682 ($3,527) $9,798 Trade Next Call Sell Closing Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Date Cost Price Earned Value Gaint(Loss) Return Total Southern Financial LLC $25 Ms DB $0 $0 $0 Trade Next Call Sell Closing Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Date Cost Price Earned Value Gaint(Loss) Return Total Southern Financial LLC - Mortgages (DB) $0 $0 $0 TOTAL FIXED INCOME SOLD $13,530 EFTA00604421