DS9 Document EFTA00807456

a I C A li.. PA HA G TR ° AU FL). P I Report Consolidated Reporting Analysis as of: 11/1:2017 Entity Account Value as of: 30-Sep-17 Transfers Ini(Out) of Account Adjusted Account Value as of: 30•Sep•17 Account Value as of: 1-Noy-17 Change in Account Value Haze Trust Jeepers Inc. J Epstein VI Foundation Southern Trust Company Southern Financial LLC Gratitude America - Andrew./Paula $ 18,214.501 S 3.186.774 $ 573.611 $ 72.563.054 $ 112,907.197 S 8,731.904 $ $ $ $ $ $ $ 18,214,501 $ 3.186.774 $ 573.611 $ 72.563.054 $ 112.907,197 $ 8.731,904 S 18.352.364 S 3.227.083 S 566.787 $ 73.722.954 $ 121.253.715 S 9.177.459 $ 137.863 $ 40.309 $ (6,824) S 1.159.900 S 8.346.518 $ 445.555 Pending Cash S (2.455.013) Total Apple Position Adjusted Account Value ex Apple $ 216,177,041 $ 48,393.680 $ 167,783,361 $ $ 216.177,041 $ 167.783.361 S 223,845,349 $ 52.139.700 S 171,705,649 Asset Allocation Change USD $ 3.922,288 Change % 2.338% Entity Fixed Income Equities Mutual Funds Cash Other Total Haze Trust Jeepers Inc. J Epstein VI Foundation Southern Trust Company Southern Financial LLC Gratitude America - Andrew/Paula $10.462.340 $34.891847 $29.097.243 $3.336.720 $558.300 $16,871.891 $80,50$202 $2,255.646 $2.279.655 $1.707/07 $3.016.063 S 5.610,369 $1,519,376 $8,487 $21,957,216 $8.631,207 S 3.585,092 $18.352,364 $3,227,083 $566.787 $73.722,954 $121,253,715 $9.177,459 Total $77,790,151 $100,195,040 $7,003,425 S 41,311,747 SO $226,300,362 Allocation 34% 44% 3% 18% 0% Allocation ex Apple 44% 29% 4% 23% 0% 31.Oct-17 Counterparty Exposure Report Entity Fixed Income Equities Mutual Funds Cash Other Total Deutsche Bank Merrill Lynch Morgan Stanley TD Ameritrade $42.441.881 $7.821.029 $27.527.240 SO $75,892.242 $13,657.881 $5,46$656 $5,149.499 $7.003.425 $0 $0 $0 S 15.628,643 $20.746,054 $4.065,050 5872,000 $140.966,192 $42,224,965 $37.061,947 $6.021,499 Total $77,790,151 $100,169,280 $7,003,425 $41,311,747 SO $226.274,602 EFTA00807456 Trade Date Asset Description 6/10/15 ALIBABA GROUP HOMING 9/15/17 ADVANCED MICRO DEVICE 9/29/17 BROADCOM LTD 10(13/17 BROADCOM LTD 9/5/14 APPLE INC 1(11/16 APPLE INC 3/31/11 APOLLO GLOBAL MANAGEI 4(13/15 BASF SE-SPON ADR 2(14/12 BIOGEN INC 9/8/14 CENTENE CORP 5(17/12 FACEBOOK INC-A 2/5/14 GILEAD SCIENCES INC 3/7/14 GILEAD SCIENCES INC 10/24/17 GILEAD SCIENCES INC 9(14/17 QUALCOMM INC 9/20/17 QUALCOMM INC 12(16/13 WISDOMTREE JAPAN HEDI 4(13/15 VOLKSWAGEN AG-SPONS 9/21/17 VOLKSWAGEN AG-SPONS Quantity 5,000 20,000 2,000 2,000 64,000 250,000 263,157 20,000 2,095 15,550 17,500 5,000 3,100 4,400 5,000 5,000 60,000 5,000 24,000 Total Southern Financial LLC - Equities (DB) EQUITY POSITIONS 1 Day Ch 1 Day Chng YTD Return Total Cost Current Value Earnings Cost share Last Price Gain (Loss) (3,439) -0.37% 110% 444,749 $920,999 11/2/2017 88.95 184.20 $476.250 (3,927) -1.82% -5% 260,000 $215,700 1/30/2018 13.00 10.79 -$44,300 (7,821) -150% 49% 485,729 $519,880 12/7/2017 242.86 259.94 $34.151 (7,821) -150% 49% 499,891 $519,880 12/7/2017 249.95 259.94 $19,989 (187,975) -1.77% 45% 6,332,800 $10,627,200 11/2/2017 98.95 166.05 $4,294,400 (734,278) -1.77% 45% 24,750,006 $41,512,500 11/2/2017 99.00 166.05 $16,762,494 50,301 0.60% 74% 4,999,983 $8,360,498 11(1/2017 19.00 31.77 $3,360,515 7,500 1.35% 25% 505,150 $557,400 2/27/2018 25.26 27.87 $52,250 11,769 1.77% 21% 250,455 $664,492 1/25/2018 119.55 317.18 $414,037 41,963 2.80% 70% 986,497 $1,497,387 2/6/2018 63.44 96.30 $510,890 11,416 0.36% 57% 665,000 $3,162,425 11(1/2017 38.00 180.71 $2,497,425 551 0.15% 7% 396,407 $375,350 2/6/2018 79.28 75.07 421,057 342 0.15% 7% 246,797 $232,717 2/6/2018 79.61 75.07 -$14,080 485 0.t5% 7% 352,214 $330,308 2/6/2018 80.05 75.07 -$21,906 7,568 2.88% -17% 255,380 $262,406 11(1/2017 51.08 52.48 $7,026 7,568 2.88% -17% 259,600 $262,406 11(1/2017 51.92 52.48 $2,806 27,209 0.77% 20% 2,966,099 $3,511,200 MN/A WA 49.43 58.52 $545,101 7,800 4.00% 38% 254,306 $194,950 2/23/2018 50.86 38.99 -$59,356 37.440 4.00% 38% 819,535 $935.760 2/23/2018 34.15 38.99 $116,225 574.663.458 $28,932,860 Trade Date Asset Description Quantity 1 Day Ch 1 Day Chng YTD Return Total Cost Current Value Earnings Cost Last Price Gain(Loss) 1/16/01 ASCENA RETAIL GROUP IN 928/13 SANGAMO THERAPEUTICS 1(16/14 FOUNDATION MEDICINE IN 9/18/17 BRUNSWICK CORP 9/21/17 BRUNSWICK CORP 10/27/17 BRUNSWICK CORP 9/29/17 CAVCO INDUSTRIES INC 10/20/17 GENERAL ELECTRIC CO 10/21/17 GENERAL ELECTRIC CO 10/31/17 GENERAL ELECTRIC CO 50.500 40,000 37,290 5,000 10.000 5.000 3.300 25.000 25.000 25.000 Total Southern Financial LLC Equities (TD) (3.407) -3.61% -70% 1.074.468 $94,435 11/30/2017 21.28 1.87 -$980.033 (28,582) -6.14% 282% 337,771 $465,548 11/9/2017 8.44 11.64 $127,777 (107,687) -6.89% 137% 946,683 $1,562,391 11(1/2017 25.39 41.90 $615,708 4,476 1.74% -5% 268,638 $257,650 1/25/2018 53.73 51.53 -$10,988 8,953 1.74% -5% 545,928 $515,300 1/25/2018 54.5928 51.53 -$30,628 4,476 1.74% -5% 250,000 $257,650 1/25/2018 50.0000 51.53 $7,650 (3,116) -0.61% 56% 491,700 $514,635 11/6/2017 149.00 155.95 $22,935 (1,446) -0.29% -35% 576,880 $502,550 1(19/2018 23.08 20.10 .$74,330 (1,446) 0.29% -35% $502,550 1(19/2018 22.04 20.10 -$48,450 551,000 (1.446) 0.29% -35% 503,450 $502,550 1(19/2018 20.14 20.10 -$900 $5 175 259 4371 258 Trade Date Asset Description Quantity 1 Day Ch 1 Day Chng YTD Return Total Cost Current Value Earnings Cost Last Price Gain (Loss) 7/18/16 BARCLAYS PLC-SPONS AD 8(11/17 ADVANCED MICRO DEVICE 7/11/17 NETEASE INC-ADR 7/18/16 CREDIT SUISSE GROUP-SF I 100,000 12,000 2,000 100,000 Total Southern Trust Co. Equities (MS) $ (12.828) -1.32% 1t% $ 805,096 $971,000 2/22/2018 8.05 9.71 $165.904 $ (2,356) -1.82% -5% $ 144,486 $129,420 1/30,2018 12.04 10.79 -515.066 $ (11,026) -2.00% 30% $ 617,135 $552,590 11/15/2017 308.57 276.30 464545 $ (10,923) -0.70% 19% $ 1.137,626 $1,561,000 11/2/2017 11.38 15.61 $423.374 $3 214 010 $509,667 Trade Date Asset Description Quantity 1 Day Ch 1 Day Chng YTD Return Total Cost Current Value Earnings Cost Last Price Gain/(Loss) EFTA00807457 7/20,17 6/201 7 8'2117 8/23,17 9/29,17 6/81 7 4/4/17 1 aim 7 1014/17 10/13117 10/10/17 10124/17 11/1/17 9122/17 10/24/17 TEFtADYNE INC FINANCIAL SELECT SECTC FINANCIAL SELECT SECTC INC-ADR INC-ADR ON SEMICONDUCTOR COF ING GROEP .-SPONSOF NETEASE INC.ADR CAESARS ENTERTAINMEN CAESARS ENTERTAINMEN C.M. ROBINSON WORLDWI FIRST REPUBLIC BANKICA BRINKER INTERNATIONAL 20,000 20,000 80,000 10.000 20.000 12.000 25.000 2.000 20,000 10,000 10,000 1,000 10,000 2.500,000 3.000,000 $ (16,471) $ 500 $ 2.002 $ 4.400 $ 8.801 $ (4.941) $ 1.253 $ (11.026) $ 501 $ 250 $ 2.005 $ (656) $ 23.347 -1.96% 67% 0.09% 16% 0.09% 16% 1.16% 49% 1.16% 49% -1.97% 64% 0.27% 38% -2.00% 30% 0.19% 53% 0.19% 53% 0.25% 9% -0.68% 6% 7.10% -32% 73.5% barrier/Mar22ncl '191 72% barrier/Apr24 '19 fix $ 704.832 $ 487.600 $ 2.023.688 $ 419.639 $ 759.182 $ 200.038 $ 373.500 $ 542.688 $ 269.000 $ 120.985 $ 780.265 $ 97.300 $ 329.145 2300.000 3.000.000 $841.000 $532300 $2.130.000 $379350 $759.100 $250.800 $464.250 $552.590 $259300 $129.750 $787.300 $96.740 $329.000 $2.610.111 $2.992.940 1/24/2018 #NIA N/A #NIA NIA 11113/2017 11113/2017 11/6/2017 11/212017 11/1512017 11/1/2017 11;1/2017 1/30/2018 1/12/2018 11;1/2017 #N/A N/A Field Not Appl 35.24 24.38 25.30 41.96 37.96 16.67 14.94 271.34 13.45 12.0985 78.03 97.30 32.91 3.541.42 135.98 42.05 26.63 26.63 37.96 37.96 20.90 18.57 276.30 12.98 12.98 78.73 96.74 32.90 1697.40 135.66 $136,168 $44.900 $106.312 -$40.089 -$82 $50.762 $90.750 $9,902 -$9,500 $8,765 $7.035 -$560 -$145 $110,111 -$7.060 Eurostoxx Market Plus Note ( SX7E Market Plus Note (18 n Total Southern Trust Co. - Equities (Merrill) $13,115,131 $507,270 . I • a • • • . • • . . . . . . 9'26,16 COLONY NORTHSTAR INC- 9123,16 SEQUENTIAL BRANDS GRC 312116 BANK OF AMERICA CORP 7/18116 TENCENT HOLDINGS LTD.I 10123/17 GENERAL ELECTRIC CO 73,315 50.000 7.500 12.500 22.000 $ 6,275 $ (4,808) $ 188 $ 13.431 $ (1.272) 0.69% -3.85% 0.09% 2.33% -0.29% -5% -47% 25% 91% -35% $ 928.837 $ 402.134 $ 100.825 $ 298.878 $ 490.182 $906340 $125.000 $205.613 $576.250 $442,244 11/8/2017 1119/2017 1/17/2018 11/15/2017 1/19/2018 12.67 8.04 13.44 23.91 22.28 12.37 2.50 27.42 46.10 20.10 $22.297 -$277.134 $104.787 $277.372 -$47,938 Total Gratitude America. LTD - Equities (MS) $2,255,646 $34,790 • IP • • • • 0 a • • • • • 10,30,15 BRISTOL-MYERS SQUIBB C 10,30,15 WALT DISNEY CO/THE 5,000 2.500 $ 1,912 $ 3,627 0.62% 1.46% 9% -4% $ 334.712 $ 285.025 $310,200 $248.100 1; 1 0,2018 11/912017 66.94 114.01 62.04 99.24 424,512 $36,925 Total J Epstein VI Foundation • Equities (DB) $558.300 -$61,437 TOTAL EQUITIES -$870,387 $98,981,805 $29,551,892 -0.88% OPTION POSITIONS Trade Date Asset Description Contracts Strike Expiry Initial Prem Last Price Value Notional GailyLoss 9/14/17 November 17 Puts on OCOM 9/14/17 November 17 Calls on OCOA. (50) 50.00 (50) 52.50 11:1712017 11/17/2017 $1.5442 $0.8250 -$4,125 $1.5168 $1.8050 49,025 S (250.000) S (262.500) $3,596 41,441 9/201 7 November 17 Puts on OCOM 9/201 7 November 17 Calls on OCON (50) 50.00 (50) 55.00 11/17/2017 11/17/2017 $1.1554 $0.8250 44,125 $0.8824 $0.8300 44,150 $ (250.000) S (275.000) $1,652 $262 9/2917 December 17 Puts on AVGO 9/2917 December 17 Calls on AVGO (20) 240.00 (20) 250.00 1205:2017 12115,2017 $11.9210 $4.4000 -$8,800 $10.3825 $173500 435.100 S (480.000) S (500.000) $15,042 -$14,335 10/131 7 December 17 Puts on AVGO 10/131 7 December 17 Calls on AVGO (20) 240.00 (20) 260.00 12115,2017 12115,2017 57.8575 $4.4000 48,800 57.9475 $12.1000 -$24,200 S (480.000) S (520.000) $6,915 -$8,305 EFTA00807458 9)27/17 December 17 Calls on SPY L 500 9/27/17 December 17 Calls on SPY L 620 254.00 255.00 12115,2017 12115,2017 $2.6180 $5.5650 $2.0900 $4.7800 $278,250 $296,360 S 12.700.000 S 15.810.000 $147,350 $166,780 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 51.1898 $2.6600 $1.3445 $0.2850 $15,960 $1,710 S (450.000) S (510.000) $8,821 $6,357 10/24/17 December 17 Puts on GILD 1 (65) 10/24/17 December 17 Calls on GILD I (65) 75.00 82.50 12/15,2017 12/15,2017 $1.1812 $2.6600 $2.0992 $05000 $17,290 $3,250 S (487.500) S (536.250) $9,612 $10,395 10/13/17 January 18 Calls on TWX US 10 100.00 1/1912018 $4.5000 $1.8600 $1,860 $ 100.000 $2,640 10/17/17 January 18 Puts on FXE US 2,600 112.00 1/1912018 $0.9000 $1.1550 $300,300 S 29.120.000 $66,300 10/2517 December 17 Puts on AMD L (300) 13.00 12/15,2017 $0.8200 $2.3250 $69,750 S (390.000) $45,150 Total Southern Financial LLC • Equity Options (DB) $670,485 $334,345 Trade Date Asset Description Contracts Strike Expiry Initial Prem Last Price Value Notional GailyLoss 10/2/7 December 17 Puts on FXE U. 3,300 111.00 12/512017 $0.6000 $0.5250 $173,250 S 36.630.000 $24,750 1012/17 November 17 Calls on F US 5,000 13.00 11/17,2017 50 .1100 $0.0250 $12,500 $42,500 10/13/17 January 18 Calls on TWX US 500 100.00 1/1912018 $4.8500 $1.8600 593,0001 $ 5.000.000 1 -5149,500 10/13/17 EEM (46.66) Outperoms IWM (149.39) ATM 29 Dec-17 1.32% 1.32% $264,000 S 20.000.000 $0 I 0.312 0.316 1.021%j Total Southern Trust - Equity Options (Merrill) $542,750 4216,750 Trade Date Asset Description Contracts Strike Expiry Initial Prem Last Price Value Notional Gaiw Loss Ion 8/17 January 18 Puts on JD US (280) 10/16/17 January 18 Calls on JD US 280 10/16/17 January 18 Calls on JD US (280) 37.00 40.00 44.00 1/19/2018 1/19/2018 1/19/2018 $1 .4600 $1.8500 $2.6768 $1.6700 $1.3185 $07400 451.800 $46/60 -$20.720 $ (1.036.000) $ 1.120.000 $ (1.232.000) $10,920 $28,190 $16,198 Total Southern Financial - Equity Options (ID) 425,760 •$22,912 TOTAL OPTIONS $1,187,475 $94,683 MUTUAL FUND POSITIONS Trade Date Asset Description Quantity Dividend YTD Return Current Value Cost Last Price Gain.,(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 Gain.,(Loss) 1)2213 JPMORGAN FLOAT RATE It 241,745 3.87% 3% S2,279,655 10.01 9.43 -$140,212 Haze Trust - Ft Fund - DB $2,279,655 4140,212 Trade Date Asset Description Quantity Dividend YTD Return Current Value Cost Last Price Gain.,(Loss) 2'13,13 JPMORGAN FLOAT RATE it 181,093 3.87% 3% $1,707,707 10.00 9.43 -$1 03,223 EFTA00807459 Jeepers - Fl Fund - DB $1,707,707 -$103,223 TOTAL FUNDS $7.003.425 -$237,038 Open MTM as of 31st October 2017 ex Apple $7,840,612 Realized Gains $ (643,547) Open MTM ex Apple $8,352,643 Change from October 31st $ 528,374 EFTA00807460 FIXED INCOME POSITIONS Trade Date Quantity Issuer Coupon Next Call Maturity Date Yield to Worst Cost Mid Price Total Int Earned Market Value Clean Gaine(Loss) Total Return 5I0II 3,000.000 JPMORGAN < 7.90% Field Not Appl 4130/2018 2.44% $111.27 102.65 $1.536.929 $3.081,475 ($258.458) $1.278.471 Total Haze Trust - $1000 Plds(DB) $3,081,475 ($258,458) $1.278.471 Trade Date Quantity Issuer Coupon Next Call Maturity Date Yield to Worst Cost Mid Price Total Int Earned Market Value Clean Gaini(Loss) Total Return 10128114 10129/14 213114 49.033 CITIGROUP I 150.967 CITIGROUP I 79.000 CITIGROUP I 5.80% 5.80% 6.88% Field Not Appl 4/22/2018 Field Not Appl 4/22/2018 Field Not Appl 11/1512023 2.28% 2.28% 4.17% $24.08 $24.31 $25.31 25.48 25.48 28.94 $214,267 $659,105 $508,529 $1,249,116 $3.845.884 $2,285,865 $68.377 $175.454 $286.446 $282.644 $834.559 $794.975 Total Haze Trust - $25 Plds (DB) $ 7,380,865 $ 530,277 $ 1,912,178 Trade Date Quantity Issuer Coupon Next Call Maturity Date Yield to Worst Cost Mid Price Total Int Earned Market Value Clean Gain:(Loss) Total Return 1012/17 9/14/17 9/15/17 10/4/17 1015/17 1.000.000 FRONTIER C 200.000 GENERAL M( 1.250.000 GENERAL M( 250.000 PLAINS ALL/ 250.000 PLAINS ALL/ 7.125% 5.750% 5.750% 6.13% 6.13% 3/1512019 Field Not Appl Field Not Appl 9/30/2027 Field Not Appl 9/30/2027 Field Not Appl 11/1512022 Field Not Appl 11/1512022 6.53% 5.15% 5.15% 5.60% 5.60% $99.75 $100.00 $103.50 $100.00 $100.55 101.053 106.8 106.8 101.375 101.375 $5,856 $1,512 $9.255 $1,175 $1.133 $1.020,030 $214.974 $1.343.585 $254.416 $254.416 $11030 $13.600 $41.250 $3.438 $2.063 $18.886 $15.112 $50.505 $4.612 $3.195 Total Gratitude America - Fixed Income MS $3,087,420 $73.380 $92.311 Trade Date Quantity Issuer Coupon Next Call Maturity Date Yield to Worst Cost Mid Price Total Int Earned Market Value Clean Gain/(Loss) Total Return 10/19/17 10.000 TEEKAY LNG 8.50% Field Not Appl 10/1512027 8.58% $25.00 24.93 $757 $249.300 ($700) $57 TotalGratitude America - $25 Plds (MS) $ 249,300 $ (700) $ 57 Trade Date Quantity Issuer Coupon Next Call Maturity Date Yield to Worst Cost Mid Price Total Int Earned Market Value Clean Gain/(Loss) Total Return 4:1514 2,000.000 NATIONWIDE 6.875% Field Not Appl 612012019 3.16% $102.00 106.0965 $488,219 $2.882,298 $81.930 $570.149 Total Southern Trust Co. - DB GBP 1.3264 $ 2.882,298 $ 81.930 $ 570.149 Trade Date Quantity Issuer Coupon Next Call Maturity Date Yield to Worst Cost Mid Price Total Int Earned Market Value Clean Gain/(Loss) Total Return ti13117 10:1316 10+4:17 2,650.000 LSC COMMU 3,000.000 KINDRED HE 1,000.000 PLAINS ALL, ) 8.75% 8.00% 6.13% 1'115,2023 10115,2019 1/1512020 Field Not Awl Field Not Appl 11/1512022 7.85% 7.32% 5.60% $105.25 $102.02 $100.00 103.625 100.56 101.375 $185,500 $252,493 $4,699 $2.757,656 $3.088,800 $1,017,663 ($43.063) ($43.728) $13.750 $142.438 $208.765 $18.449 EFTA00807461 Total Southern Trust Co. - Fixed Income Merrill 56,864 119 ($73.041) $369.651 Trade Date Quantity Issuer Next Call Coupon Maturity Date Yield to Worst Cost Mid Price Total Int Market Clean Total Earned Value Gain,(Loss) Return 8/15/16 1.000.000 ALLERGAN P 5.50% 3/1/2018 Field Not Appl 178.73% $881.50 670.16 $66.753 $670.160 ($211.340) ($144.587) 8/15/16 1.000.000 TEVA PHARk 7.00% 12/15/2018 Field Not Appl 152.49% $901.75 286.75 $84.959 $286.750 ($615.000) ($530.041) Total Southern Trust Co. • Mandatory Converts Merrill 5956.910 ($826,340) ($674,628) 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 7127115 40.000 CHARLES SC 6.00% Field Not Appl 12/1/2017 .0.25% $27.65 25.37 $ 136.110 $ 1,014,600 $ (91.400) $ 44.710 6/6/17 40.000 NGL ENERG' 9.00% Field Not Appl 7/1/2022 9.621% 25 24.43 $ 36,493 $ 977,200 (22,800) $ 13.693 8/4/16 8.000 SEASPAN CC 7.88% Field Not Appl 8/11/2021 8.272% 25 24.32 $ 19,590 $ 194,560 (5,440) $ 14.150 1(19116 120.000 WELLS FARC 5.70% Field Not Appl 3/15/2021 4.934% 25 25.78 $ 305,458 $ 3,093,600 93,600 $ 399.058 2/22/16 80.000 EBAY INC 6.00% 21,2056 3/1/2021 3.334% 25 27.005 $ 203.178 $ 2.160.400 160.400 $ 363.578 Total Southern Trust Co. - S25 Ptds MS $ 7.440.360 5 134.360 $ 835,189 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 8,1616 500.000 ETRADE FIN 5.88% Field Not Appl 9/15/2026 4.93% $100.00 106.75 $35.572 $537,667 $33,750 $69,322 10/11/16 2.500.000 E'TRADE FIN 5.88% Field Not Appl 9/15/2026 4.93% $104.925 106.75 $155,325 $2,688,333 $45,628 $200,953 11(10(15 5.000.000 ROYAL BK St 3.66% Field Not Appl 9/30/2027 3.81% $105.976 97 $361,495 $4,867,260 ($448,817) ($87,322) 42159 5.000.000 GOLDMAN S. 0.05375 4N/A Field No #VALUE! 3.76% $100.687 105.927 $648,682 $5.425,500 $262,004 $910,686 5/14/15 3.000.000 CAPITAL ONI 5.55% Field Not Appl 6/1/2020 3.36% $100.327 105.37 $411,460 $3,231,400 $151.281 $562,741 Total Southern Trust Co. - $1000 Weis MS $16.750.160 $43,846 $1,656,380 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 1 101 1 2,000,000 BANK OF AM 8.13% Field Not Appl 5/15/2018 1.74% $102.75 103.25 $1,107,226 $2.140.833 $10.000 $1.117.226 4;3113 300,000 BARCLAYS B 7.75% 4/10/2023 4/10/2018 2.27% $100.00 101 5106.568 $304,485 $3.000 $109,568 8(6/15 3,000,000 CITIGROUP I 5.95% Field Not Appl 8/15/2020 3.70% $100.00 105.524 5400.036 $3.204.395 $165.714 $565.750 12/3/15 2,469,000 GENERAL EL 4.00% Field Not Appl 6/15/2022 4.19% $88.09 100 $189,132 12.506.858 $293.984 $483.116 6(15/11 2,500,000 JPMORGAN 7.90% Field Not Appl 4/30/2018 2.44% $107.50 102.65 $1.261295 12.567.896 ($121.250) $1,140,045 6/15(11 2,500,000 JPMORGAN 7.90% Field Not Appl 4/30/2018 2.44% $107.00 102.65 $1,261,295 $2,567,896 ($108.750) $1,152,545 5/21/13 1,903,000 LLOYDS BAN 7.50% Field Not Appl 6/27/2024 4.79% $102.39 115.35 $635,420 $2,209,383 $246.611 $882,030 1/30(12 3,000,000 SOUTHERN 6.25% Field Not Appl 2/1/2022 3.26% $99.87 111.806 $1,079,795 $3.402,097 5358.043 $1.437.838 10/3(17 1,000,000 FRONTIER C 7.125% 3/15/2019 Fiekl Not Appl 6.53% $100.10 101.053 $5,661 11.020,030 59.530 $15.191 10111/17 1,000,000 FRONTIER C 8.500% 4/15/2020 Field Not Appl 9.18% $98.75 99.04 $4,890 $994,650 52.900 $7.790 10/18/17 1,000,000 SERVICEWV. 7.250% 3/1/2038 Field Not Appl 7.06% $104.00 104 $2,781 11.052,486 $0 $2.781 10119/17 350,000 SERVICEWV. 7.250% 3/1/2038 Field Not Appl 7.06% $104.00 104 $904 $368,370 $0 $904 EFTA00807462 10/20/17 10/31/17 10/24/17 10/31/17 80,000 SERVICEMA5. 70,000 SERVICEM/V. 2,000.000 EXELA INTEF 2,000,000 JBS INVESTA 7.250% 7.250% 10.000% 7.250% 3/112038 3/112038 7/15)2023 4/3/2024 Field Not Appl Field Not Appl 7/15/2020 4/3/2019 7.06% 7.06% 10.91% 7.42% $104.00 $104.00 $97.025 $99.065 104 104 96.313 99.03 $191 $14 $4,384 $397 $84.199 $73.674 $1.987,927 $1.992,683 $0 $0 ($14.240) ($700) $191 $14 ($9.856) ($303) Total Southern Financial LLC • $1000 Plds DB $26.477,862 $844.842 $6.904.828 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 222/12 80,000 GMAC CAPIT 7.10% Vt5,2040 12'112017 6.79% $23.53 26.255 $808,816 $2.100,400 $217.626 $1.028442 Total Southern Financial LLC $25 Ptds DB $2.100,400 $217.626 $1.026.442 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 11/19/13 562.781 Washington Mutual Mtg 20i 484.974 $518.981 Total Southern Financial LLC - Mortgages (DB) $518981 $0 SO TOTAL FIXED INCOME S77,790.151 $767,722 $13,971.028 Clean Galni(Loss) Total Return Open MTM as of 31st October 2017 $777,683 $13,967,684 Realized Gains $ 102,772 $ 313,753 Open MTM $767,722 $13,971,028 Change from October 31st -$9,961 $3,974 EFTA00807463 CLOSED EQUITY POSITIONS Trade Date Asset Description Quantity Syndicate Closing Date Total Cost Closing Value Cost Closing Px Gaini(Loss) 4+13/5 ALLIANZ SE-SPON ADR 5,000 N 21-Sep-17 $ 90.056 $110.733 18.01 22.15 $20.677 4/20115 ADVERUM BIOTECHNOLOGIES INC 10,000 N 21-Sep-17 $ 398,606 $32,990 39.86 3.30 -$365,616 2/1(17 BIOVERATIV INC 1,047 N 21-Sep-17 $ 20,254 359,317 19.34 56.65 $39.063 6/10(15 DISH NETWORK CORP-A 5,000 N 21-Sep-17 $ 364,978 $286,145 73.00 53.23 -$98.833 6/10(15 GLAXOSMITHKLINE PLC-SPON ADR 5,000 N 21-Sep-17 $ 215,006 $201,998 43.00 40.40 -$13,008 3131(15 WISDOMTREE INVESTMENTS INC 15,000 N 21-Sep-17 $ 324,158 $135,932 21.61 9.06 -$188,226 9/28(17 CLOUDERA INC 1,300 Y 28-Sep-17 $ 21,385 $22,685 16.45 17.45 51.300 9/28/17 PO GROUP HOLDINGS INC 6,400 Y 5-Oct-17 $ 112,000 $112,256 17.50 17.54 $256 10/13(17 REV GROUP INC 2,700 Y 1343ct-17 $ 73,575 $73,575 27.25 27.25 $0 10/19/17 MOSAIC ACQUISITION CORP 6,000 Y 18Oc1-17 $ 60,000 $60,900 10.00 10.15 $900 10/26/17 HUTCHISON CHINA MEDITECH•ADR 700 Y 26.Oct•17 $ 18,550 å2O.048 26.50 28.64 51.498 10/26/17 BP MIDSTREAM PARTNERS LP 4,300 Y 28Oc1•17 $ 77,400 $74,372 18.00 17.30 43.028 11(1/17 CONSTELLIUM NV• CLASS A 8,500 Y 1-Nov•17 $ 93,500 $96,560 11.00 11.36 $3.060 1111117 ALTAIR ENGINEERING INC • A 3,200 Y 1-Nov•17 $ 41,600 $54.884 13.00 17.15 $13,284 Total Southern Financial LLC - Equities (DB) $1 322 394 -$588,674 Trade Date Asset Description Quantity Syndicate Closing Date Total Cost Closing Value Cost Closing Px Gain (Loss) 10,6, 17 SWITCH INC - A 5.000 N 9-Oct-17 $ 119,291 598.688 23.86 19.74 -$20.602 1/16/14 FOUNDATION MEDICINE INC 12.540 N 11.Oct-17 $ 318,354 $565.231 25.39 45.07 $246,878 1/16/01 ASCENA RETAIL GROUP INC 20.000 N 20.Oct-17 $ 425,532 $40.000 21.28 2.00 $385,532 5/28/13 SANGAMO THERAPEUTICS INC 10.000 N 23.Oct-17 $ 84,443 5139.006 8.44 13.90 $54.563 Total Southern Financial LLC • Equities (ID) $842,926 -$104,693 Trade Date Asset Description Quantity Syndicate Closing Date Total Cost Closing Value Cost Closing Px Gaitt(Loss) Is Total Southern Trust Co. • Equities (MS) $0 SO Trade Date Asset Description Quantity Syndicate Closing Date Total Cost Closing Value Cost Closing Px Gahm(Loss) 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 2140 2344 $1.181 10/26/17 ALLISON TRANSMISSION HOLDING 10,000 N 30-Oct-17 $ 408,814 $431.400 40.88 43.14 $22.586 10/26(17 ALLISON TRANSMISSION HOLDING 10,000 N 31.Op-17 $ 408,814 $431.682 40.88 43.17 522.868 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 Gala (Loss) 10/27/16 ZTO EXPRESS CAYMAN INC-ADR 1,150 N 21-Sep-17 $ 22,425 516.028 19.50 13.94 56.397 9/27117 CATALENT INC 1,000 Y 27Sep-17 $ 39,100 539.150 39.10 39.15 $50 9/27117 RYB EDUCATION INC-ADR 500 Y 27-Sep-17 $ 9,250 $13,089 18.50 26.18 $3,839 9/28(17 ROKU INC 1,000 Y 29-Sep 17 $ 14,000 $26,580 14.00 26.58 $12,580 EFTA00807464 9/28117 PO GROUP HOLDINGS INC 10/5/17 RHYTHM PHARMACEUTICALS INC 3/2116 EDITAS MEDICINE INC 10/13/17 REV GROUP INC 10/18/17 OUDIAN INC•SPON ADR 10/19/17 MONGODB INC 10/19/17 PATTERN ENERGY GROUP INC 10/20/17 SEA LTD•ADR 10/20/17 RISE EDUCATION CAYMAN - ADR 9/11117 BRUNSWICK CORP 10/26/17 HOULIHAN LOKEY INC 10/27/17 FORESCOUT TECHNOLOGIES INC 10/27/17 NEXA RESOURCES SA 6,400 1,000 3.200 1,000 5,000 1,000 5,000 500 500 5,000 5,000 2,000 1.000 Y Y N Y Y Y Y Y Y N Y Y Y 5-Oct-17 5-Oct•17 10.OG•17 13.Oc1•17 18.OG•17 19.OG•17 20.Oct.17 20.Oct•17 20.Oct•17 25.Oct•17 26.Oct•17 27.OG•17 27.OG•17 $ 112.000 $ 17.000 $ 102.208 $ 27.250 $ 120.000 $ 24.000 $ 117.000 $ 7.500 $ 7.250 $ 264.287 $ 210.000 $ 44.000 $ 16.000 $112,320 $27,077 $77.929 $27,300 $155,899 $31,158 $118,183 $7,842 $8,603 $285,000 $207,246 $51,008 $16700 17.50 17.00 31.94 27.25 24.00 24.00 23.40 15.00 14.50 52.86 42.00 22.00 16.00 17.55 27.08 24.35 27.30 31.18 31.16 23.64 15.68 17.21 57.00 41.45 25.50 16.70 $320 $10,077 -$24,279 $50 $35,899 $7.158 $1.183 $342 $1,353 $20,713 42,754 $7,008 $700 Total Gratitude America. LTD - Equities (MS) Traderate ° • • •uantity • CI•sina rate Total a $1,221,111 Cast Cl a • • x $67,841 • •Value Gain(L.ss) Total J Epstein VI Foundation • Equities (DB) $0 $0 TOTAL EQUITIES SOLD $4,985,299 -$544,918 CLOSED OPTION POSITIONS Trade•ate • . . C•ntracts Ex•iry -rem . . •x . . •ate GainR•ss 9,20f l 7 October 17 Puts on AMU US (200) 13.00 1012012017 $0.7500 $0.0000 $0 10,20 2017 $15.000 Total Southern Financial LLC - Equity Options (DB) $15,000 Trade•ate • • • C•ntracts Ex•iry •rem . . •x • . •ate Gain+L•ss 10/17/17 January 18 Puts on FXE US 191 112.00 1/19/2018 $0.8900 $1.2000 $22.920 30•Oct•17 $5.921 Total Southern Financial - Equity Options (TO) $22,920 55,921 Trade Date Asset Description Contracts Strike Expiry Initial Prem Closing Px Value Closing Date GaIntoss 9,27:17 October 17 Calls on KRE US 500 53.00 1020.2017 $1.0600 $1.5800 9,27117 October 17 Calls on HEW US 770 64.00 10/20/2017 $0.6100 $1.1500 9/27117 October 17 Puts on HEW US 770 64.00 10/20/2017 $0.6900 $0.0000 $78.000 $88.550 $0 20.Sep.1 7 9.Oct•17 20.06.17 $25.000 $41.580 453.130 10/10/17 November 17 Calls on TWX US 1,000 100.00 11/17/2017 $4.8000 $0.8100 10/10/17 November 17 Calls on TWX US (1,000) 105.00 11/17/2017 $1.0900 $0.0300 $81,000 43.000 30.06.17 30.Oct•17 4399.000 $106.000 9/19/17 RTY (1440.404) Outperoms SPX (2506.65) ATM 15•Dec-17 1.55% 3.15% $1,355 10.Oct•17 $160.000 I 0.575 0.578 0.569%I Total Southern Trust - Equity Options (Merril° $245,905 -$119,550 EFTA00807465 "I"O'IAL OVTIONS CLOSED S268.825 -S98.629 CLOSED MUTUAL FUND POSITIONS Trade Date Asset Description Quantity Dividend Tit Return irrent Value Cost Closing Px Gainf(Loss) Southern Financial - Fl Fund - DB SO Trade Date Asset Description Quantity Dividend viz Return Jrrent Value Closing Px Gainf(Loss) Haze Trust - A Fund - DB SO Trade Date Asset Description Quantity Dividend no Return irrent Value Closing Px Gainf(Loss) Jeepers Fl Fund • DB SO TOTAL FUNDS SOLD SO SO EFTA00807466 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 Gainaoss) 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 Gainaoss) Return Total Haze Trust - 325 Ptds (DB) $0 Trade Next Call Sell Closing Total Int Market Issuer Coupon Maturity Date Date Cost Price Earned Value Date Quantity 619/16 1,000.000 WESTERN DIGITAL CORP 7.375% 4/1/2023 6/9116 1.000.000 WESTERN DIGITAL CORP 7.375% 4/1/2023 Total Gratitude America .. Fixed Income MS 4/1/2019 9/19:2017 $104.30 109.50 $94,360 411/2019 10/2/2017 $104.30 109.425 $103,048 51.095.000 $1.094.250 $2,189,250 Clean Gaint(Loss) Total Return $51.997 $146.357 $51.247 $154.295 $103,244 $300,652 Date Cost Closing Value Total 24.96 $257 G a iCrila(La on s$s5) $5 Earned Market Sell Total Inc Trade Next Call Date Quantity Issuer Coupon Maturity Date Price Return 10,251 7 10.000 AT&T INC 5.35% I I:1,2066 111112022 30.Oa17 S25.00 $250.500 $249.600 ($400) ($143) 9,26,17 10.000 SPIRIT REALTY CAPITAL IN 6.00% 10/32022 9:29;2017 525.00 25.05 500,100 (395) (138) TolalGradtude America - S25 Ptds (MS) Trade Next Call Sell Closing Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Date Cost Price Earned Value Gain(Loss) Return Total Southern Trust Co. • 08 $0 $0 Trade Next Call Sell Closing Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Date Cost Price Earned Value Gal naoss) Return Total Southern Trust Co. • Fixed Income Merrill $0 SO Trade Next Call Sell Closing Total Int Market Clean Total Date Quantity Issuer Coupon Maturity Date Date Cost Price Earned Value Gaiw(Loss) Return EFTA00807467 Total Southern Trust Co. - Mandatory Converts Merrill $0 $0 Trade Date Quantity Issuer Coupon Maturity Next Call Date Sell Date Cost Closing Price Total Int Earned Market Value Clean Gaint(Loss) Total Return Total Southern Trust Co. - $25 Plds MS Trade Date Quantity Issuer 8,VI7 100.000 INNOVIVA INC Coupon 2.50% Maturity 8,15,2025 Next Call Date Field Not Appl Sell Date 27-Sop.17 Cost $100.000 Closing Price 103.45 Total Int Earned $384 $0 SO Market Value $103.450 Clean Gaint(Loss) $3.450 Total Return $3.834 Total Southern Trust Co. - $1000 Plds MS Trade Date Quantity Issuer 9,29/17 1,876.000 TV AZTECA SA DE CV Coupon 7.63% Maturity 9/18/2020 Next Call Date 11N!A Field No Sell Date 27-Oct.17 Cost $104.00 Closing Price 103.812 Total Int Earned $12,933 $103,450 $3.450 $3.834 Market Value $642.682 Clean Gairv(Loss) ($3.527) Total Return $9.406 Total Southern Financial LLC - $1000 Plds DB $642,682 ($3,527) $9,406 Trade Date Quantity Issuer Coupon Maturity Next Call Date Sell Date Cost Closing Price Total Int Earned Market Value Clean Gaint(Loss) Total Return Total Southern Financial LLC • $25 Plds DB $0 Trade Date Quantity Issuer Coupon Maturity Next Call Date Sell Date Cost Closing Price Total Int Earned Market Value Clean Gaint(Loss) Total Return Total Southern Financial LLC - Mortgages (DB) $0 SO SO TOTAL FIXED INCOME SOLD $3,435,482 $102,772 $313,753 EFTA00807468