EFTA00604413.pdf

EQUITY POSITIONS Trade Date Asset Description Quantity 9115117 ADVANCED MICRO DEVICE 9129117 BROADCOM LTD 10/1a/17 BROADCOM LTD 2/5/14 GILEAD SCIENCES INC 3/7/14 GILEAD SCIENCES INC 10/24/17 GILEAD SCIENCES INC 9114/17 OUALCOMM INC 9120/17 OUALCOMM INC 9121/17 VOLKSWAGEN AG-SPONS 20.000 2.000 2.000 5.000 3.100 4.400 5.000 5.000 24.000 1 Day Ch 1 Day Chng `ITO Return Total Cost Current Value 401 (3355) (3.555) (3.345) (2.074) (2.943) 8.186 8,186 (6,198) 0.19% -0.69% -0.69% -0.90% -0.90% -0.90% 2.97% 2.97% -0.67% .5% 48% 48% 6% 6% 6% -13% -13% 37% 260.000 485.729 499.891 396.407 246.797 352.214 255.380 259.600 819.535 $216,400 $515.000 $515.000 $370.800 $229.896 $326.304 $275.250 $275.250 $930.000 Total Southern Financial LLC - Equities (DB) $3,653,900 Earnings Cost/share Last Price Gain./(Loss) 1/30/2018 13.00 10.82 $43,600 12/7/2017 242.86 257.50 $29,271 12/7/2017 249.95 257.50 $15,109 2/6/2018 79.28 74.16 425.607 2/612018 79.61 74.16 -$16,901 2/612018 80.05 74.16 -$25,910 1124/2018 51.08 55.05 $19,870 1124/2018 51.92 55.05 $15,650 212312018 34.15 38.75 $110,465 $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 9/21/17 BRUNSWICK CORP 10/27/17 BRUNSWICK CORP 9129/17 CAVCO INDUSTRIES INC 10/20117 GENERAL ELECTRIC CO 10/21/17 GENERAL ELECTRIC CO 10/31/17 GENERAL ELECTRIC CO 5.000 10.000 5.000 3.300 25.000 25.000 25.000 (3,355) (6,710) (3.355) (3.279) (2.406) (2.406) (2,406) -1.32% -1.32% -1.32% -0.64% -0.48% -0.48% -0.48% -6% -6% -6% 56% -35% -35% -35% 268.638 545.928 $ 250.000 $ 491.700 $ 576.880 $ 551.000 $ 503.450 $253.900 $507,800 $253.900 $514,305 $498.083 $498.083 $498.083 1/2512018 1/2512018 1/2512018 11/6/2017 1/19/2018 1/19/2018 1/19/2018 Total Southern Financial LLC Equities (TO) $3,024,153 Trade Date Asset Description Quantity 1 Day Ch 1 Day Chng YTD Return Total Cost Current Value 8111/17 ADVANCED MICRO DEVICE 7/11/17 NETEASE INC-ADR 12.0001 $ 240 2.000 $ (5.465) 0.19% -1.00% -5% 144.486 28% 617.135 $129.840 $546.420 Total Southern Trust Co. - Equities (MS) $676,260 Trade Date Asset Description Quantity 1 Day Ch 1 Day Chng YTD Return Total Cost Current Value 7/20,17 TERADYNE INC 20,000 (2,890) -0.34% 68% 704.832 $847.900 6/20117 FINANCIAL SELECT SECTC 20,000 1,404 0.26% 16% 487.600 $534,200 8/2/17 FINANCIAL SELECT SECTC 80,000 5.615 0.26% 16% $ 2.023.688 $2.136.800 8/23/17 INC-ADR 10.000 (599) -0.16% 49% $ 419.639 $378,000 9/29,17 INC-ADR 20.000 (1,198) -0.16% 49% $ 759.182 $756.000 6/8/17 ON SEMICONDUCTOR COF 12.000 (2.789) -1.11% 64% $ 200.038 $251,220 4/4/17 ING GROEP .1.-SPONSOF 25.000 (3.720) -0.81% 36% $ 373.500 $459,250 10+3+17 NETEASE INC-ADR 2.000 (5.465) -1.00% 28% $ 542.688 $546,420 10/4/17 CAESARS ENTERTAINMEN 20,000 5.617 2.12% 56% $ 269.000 $264,500 10/13/17 CAESARS ENTERTAINMEN 10,000 2.808 2.12% 56% $ 120.985 $132,250 10/10/17 C.M. ROBINSON WORLDWI 10,000 (200) -0.03% 10% $ 780.265 $793,100 10/24/17 FIRST REPUBLIC BANK/CA 1,000 (2.766) -2.94% 3% $ 97.300 $94,010 11/1/17 BRINKER INTERNATIONAL 10,000 (9.555) -2.99% -34% $ 329.145 $319,150 9122/17 Eurostoxx Market Plus Note 2.500,000 73.5% barrier/Mar22nd '19 2300.000 $2.600.249 10124/17 SX7E Market Plus Note (18 n 3.000,000 72% barrier/Apr24 '19 fix 3.000.000 $2.986.322 Earnings Earnings 112412018 OVA N/A ANNA NIA 11/13/2017 11/13/2017 11/6/2017 11/2/2017 11/1512017 2/13/2018 2/13/2018 1/30/2018 1/12/2018 1/30/2018 #N/A N/A Field Not Appli 53.73 50.78 $14,738 54.5928 50.78 $38,128 50.0000 50.78 $3,900 149.00 155.85 $22,605 23.08 19.92 -$78,797 22.04 19.92 -$52,917 20.14 19.92 -$5,368 -$163,443 Cost 12.04 308.57 Last Price Gain (Loss) 10.82 273.21 .$14,646 -$70.715 Cost -$85,361 Last Price GaIni(Loss) 35.24 42.40 $143,068 24.38 26.71 $46,600 25.30 26.71 $113,112 41.96 37.80 -$41,639 37.96 37.80 -$3,182 16.67 20.94 $51,182 14.94 18.37 $85,750 271.34 273.21 $3,732 13.45 13.23 -$4500 12.0985 13.23 $11,265 78.03 79.31 $12,835 97.30 94.01 -$3,290 32.91 31.92 -$9,995 3.541.42 3.683.43 $100,249 135.98 135.36 -$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) Traderate Asset r , scri.ti•n •uantlty 1 ray Ch 1 •ay Chn• VTr •eturn Total Cast . $438,313 • - -$51,869 • 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) 9/14/17 November 17 Calls on OCON (50) 50.00 52.50 11/17/2017 11/17/2017 $1.5442 $0.0800 $1.5168 $2.8400 -$400 $14,200 S (250.000) S (262.500) $7,321 46,616 9120/17 November 17 Puts on ()COM (50) 9120/17 November 17 Calls on OCON (50) 50.00 55.00 11/17,2017 11/17/2017 $1.1554 $0.0800 $0.8824 $1.0950 -$400 $5,475 S (250.000) S (275.000) $5,377 $1,063 91291 7 December 17 Puts on AVGO (20) 9/29117 December 17 Calls on AVGO (20) 240.00 250.00 12/15/2017 12/15,2017 $11.9210 $5.1500 $10.3825 $16.8500 $10,300 433,700 S (480.000) S (500.000) $13,542 $12,935 10/13/17 December 17 Puts on AVGO (20) 10/131 7 December 17 Calls on AVGO (20) 240.00 260.00 12/15,2017 12/15/2017 $7.8575 $5.1500 $7.9475 $11.1500 $10,300 -$22,300 S (480.000) S (520.000) $5,415 -$6,405 9/27/17 December 17 Calls on SPY L 500 9/27/17 December 17 Calls on SPY L 620 254.00 255.00 12/15/2017 12/15/2017 $2.6180 $5.1750 $2.0900 $4.4250 $258,750 $274,350 S 12.700.000 S 15.810.000 $127,850 $144,770 10/24/17 December 17 Puts on GILD 1 (60) 10/24/17 December 17 Calls on GILD I (60) 75.00 85.00 12/15/2017 12/15/2017 $1.1898 $3.1500 $1.3445 $0.2350 $18,900 41,410 S (450.000) S (510.000) -$11,761 $6,657 10/24/17 December 17 Puts on GILD 1 (65) 10/24/17 December 17 Calls on GILD I (65) 75.00 82.50 12/1512017 12/15/2017 $1.1812 $11500 $2.0992 $0.3900 $20,475 42,535 S (487.500) S (536.250) -$12,797 $11,110 10/13/17 January 18 Calls on TWX US 10 100.00 1/1912018 $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) Trade Date Asset Description Contracts 10,2,17 December 17 Puts on FXE U 3,300 Strike 111.00 Expiry 12/152017 Initial Prem Last Price $0.6000 $0.4000 $577,980 $241,840 Value Notional GairvLoss $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 10/16/17 January 18 Calls on JD US 10/16/17 January 18 Calls on JD US (280) 37.00 280 40.00 (280) 44.00 1/19/2018 1/19/2018 1/19/2018 S1.4600 $1.9350 S2.6768 $1.6300 S1.3185 $0.7000 $54,180 $45,640 $19,600 S (1.036.000) $ 1.120.000 S (1.232.000) $13,300 $29,310 $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 - Fl Fund - 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 Date Quantity Issuer Coupon Maturity Next Call Date Yield to Worst Cost Mid Price Total Int Earned Market Value Clean Gaini(Loss) Total Return Total Haze Trust - $1000 Ptds(DB) Trade Date Quantity Issuer Coupon Maturity Next Call Date Yield to Worst Cost Mid Price Total Int Earned Market Value Clean Galni(Loss) Total Return Total Haze Trust - $25 Ptds (DB) - Trade Date Quantity Issuer Coupon Maturity Next Call Date Yield to Worst Cost Mid Price Total Int Earned Market Value Clean Galni(Loss) Total Return 10,2117 1,000.000 FRONTIER C 7.125% 9,14/17 200.000 GENERAL M( 5.750% 9,16/17 1.250.000 GENERAL M( 5.750% 10/4/17 250.000 PLAINS ALL, 6.13% 10/5/17 250.000 PLAINS ALL r 6.13% V15/2019 Flak( Not Appl Field Not Appl Field Not Appl Field Not Appl Field Not Appl 9/30/2027 9/30/2027 11/15/2022 11/15/2022 6.18% 5.15% 5.15% 5.61% 5.61% $99.75 $100.00 $103.50 $100.00 $100.55 100.305 105 105 102.375 102.375 $6,051 $1,544 $9,452 $1,217 $1,175 $1,013,144 $211.469 $1.321,684 $257.043 $257.043 $5.550 $10.000 $18.750 $5.938 $4.563 $11.601 $11.544 $28.202 $7.154 $5.737 Total Gratitude America - Fixed Income MS Trade Date Quantity Issuer Coupon 10,19,17 10.000 TEEKAY LNG 8.50% Maturity Field Not Appl Next Call Date 10/1512027 Yield to Worst 8.59% Cost $25.00 Mid Price 24.92 Total Int Earned $815 $3,060,384 $44,800 $64,239 Market Value $249.150 Clean Gain,(Loss) ($850) Total Return ($35) TotalGratitude America - S25 Ptds (MS) $ 249,150 $ (850) $ (35) Trade Date Quantity Issuer Coupon Maturity Next Call Date Yield to Worst Cost Mid Price Total Int Earned Market Value Clean Gains(Loss) Total Return Total Southern Trust Co. - DB GBP 1.309 - - • Trade Date Quantity Issuer Coupon Maturity Next Call Date Yield to Worst Cost Mid Pr ce Total int Earned Market Value Clean Gains(Loss) Total 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 Date Quantity Issuer Coupon Maturity Next Call Date Yield to Worst Cost Mid Price Total int Earned Market Value Clean Gaint(Loss) Total Return EFTA00604416 Total Southern Trust Co. - Mandatory Converts Merrill Trade Date Quantity Issuer Coupon Maturity Next Call Date Yield to Worst Cost Mid Price Total Int Market Clean Earned Value Gain (Loss) Total Return Total Southern Trust Co. - $25 Pfds MS - - $ - Trade Date Quantity Issuer Coupon Maturity Next Call Date Yield to Worst Cost Mid Price Total Int Market Clean Earned Value Gain (Loss) Total Return Total Southern Trust Co. - $1000 Pfds MS Trade Date Quantity Issuer Coupon Maturity Next Call Date Yield to Worst Cost Mid Price Total Int Earned Market Value Clean Gaini(Loss) Total Return 193/17 1.000.000 FRONTIER C 7.125% 10/11/17 1,000,000 FRONTIER C 8.500% 10(18117 1,000,000 SERVICEMAI. 7.250% 10(19(17 350,000 SERVICEMAI. 7.250% 10120/17 80,000 SERVICEMAI. 7.250% 10131(17 70,000 SERVICEMAI. 7.250% 10/24/17 2,000.000 EXELA INTEF 10.000% 10131117 2,000.000 .113S INVEST?, 7.250% 3115)2019 4/192020 3(112038 3(112038 3(112038 3(112038 7(192023 41312024 Field Not Appl Field Not Awl Field Not Appl Field Not Appl Field Not Appl Field Not Appl 7/15/2020 4/3/2019 6.18% 8.96% 7.14% 7.14% 7.14% 7.14% 10.91% 7.45% $100.10 $98.75 $104.00 $104.00 $104.00 $104.00 $97.025 $99.065 100.305 98.376 101.206 101.206 101.206 101.206 96.125 99.445 $5,856 $5,123 $2,979 $973 $207 $28 $4,932 $795 $1,013,144 $988,718 $1,025,150 $358,803 $82,012 $71,761 $1,985,833 $2,002,192 $2.050 ($3.740) ($27.940) ($9.779) ($2.235) ($1,956) ($18,000) $7,600 $7.906 $1,383 ($24,961) ($8,806) ($2.029) ($1,928) ($13,068) $8,395 Total Southern Financial LLC - $1000 Pfds DB $7,527,613 ($54,000) ($33.107) Trade Date Quantity Issuer Coupon Maturity Next Call Date Yield to Worst Cost Mid Price Total Int Market Clean Earned Value Gain (Loss) Total Return Total Southern Financial LLC - $25 Pfds DB Trade Date Quantity Issuer Coupon Maturity Next Call Date Yield to Worst Cost Mid Price Total Int Market Clean Earned Value Gain: (Loss) Total 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 TECHNOLOGIES INC 10/27/17 FORESCOUT 10,27/17 NEXA RESOURCES SA 2,000 I 1,000 Y I V $ 44,000 I 27-Oct-17 I $ 16,000 27-Oct-17 6.0700 I 1.01 $1 $5 22. 16.00 25.50 16.70 $ $700 I 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 9:27/17 October 17 Calls on HEDJ US 9/27/17 October 17 Puts on HEDJ US 500 770 770 53.00 64.00 64.00 1012012017 $1.0600 10,20/2017 $0.6100 10,20,2017 $0.6900 $1.5600 $1.1500 $0.0000 S78.000 $88.550 $0 20-Sep-17 S25.000 9-Oct-17 $41,580 20-O01-17 -$53.130 10/10/17 November 17 Calls on TWX US 10/10/17 November 17 Calls on TWX US 1,000 (1,000) 100.00 105.00 11/17/2017 $4.8000 11/17/2017 $1.0900 $0.8100 $0.0300 $81,000 -$3a00 30-Oct-17 -$399.000 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 Maturity Date Date Cost Price Earned Value $250.590 Gaint(Loss) Return 916,17 10.000 SPIRIT REALTY CAPITAL IN 6.00% 10,11022 9191017 $25.00 25.05 $249.690 $5 $5 5.35% 11/1/2666 11/112022 30.O41.17 $25.00 24.96 $293 ($400) ($107 1015,17 10.000 AT&T INC 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 Trade Next Call Date Quantity Issuer Coupon Maturity Date 812117 100.000 1NNOVIVA INC Sell Date Cost 2.50% 8;1512025 Field Not Appt 27-Sep.17 $100.000 Closing Price 103.45 Total Int Earned $0 $0 $0 Market Value $384 $103.450 Total Southern Trust Co. - $1000 Folds MS Trade Next Call Date Quantity Issuer Coupon Maturity Date 9,29,17 1,876.000 TV AZTECA SA DE CV 7 63% 9,113,2020 #NIA Field No 27-Oc1.17 $104.00 Sell Date Cost Closing Price Total Int Earned 103.812 $13,325 $103,450 Clean Gaiit(Loss) $3.450 $3,450 Total Return $3.834 $3,834 Market Value Clean Total Gaint(Loss) Return $9.798 $642.682 ($3.527) 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) TOTAL FIXED INCOME SOLD $0 $0 $0 $13,530 EFTA00604421