Brokerage Account Analysis

Brokerage Account Analysis As of July 31, 2017 Fixed Equities Cash Total Value Account Name Income Deutsche Bank Haze Trust 12,915,744 i 0 5,238,241 18,153,985 Jeepers Inc. 1,707,674 0. 1,475,398 3,183,072 J Epstein VI Foundation - 559,3251 86,512 645.837 Southern Trust Company 2,779,086 ' 0I 730,398 3.509,484 Southern Financial LLC 21.604.294 67.678.7Z2 I 17.438.124 106.721.140 132,213,518 Total Deutsche Bank 39,006,798 68,238,047 24,968,673 30% 52% 19% 100% Total Deutsche Bank without apple ** 39,006,798 21,536,827 24,968,673 85,512,298 100% 25% i 29% Merrill Lynch Southern Trust Company 7.354.461. ' 1.841.250 31.067.864 40.263.565 Total Merrill Lynch 7 354 451 1 841 50 i 31 067 864 40 63 565 18% 5% ; 77% 100% Morgan Stanley Southern Trust Company 25,236,414 3,282,990 l 1,478,106 29,997,510 Gratitude America - Andrew 2,244,167 2,233,044 l 232,624 4,709,835 Gratitude America - Paula - 1.251.059 2.728.062 3.979.120 Total Morgan Stanley 27,480,581 6,767,093 4,438,791 38,686,465 TOTALS 73,841,830 76,846,390 60,475,328 211,163,548 35% I 38% 29% 100% 1 TOTALS - without apple ** 73,841,830 30,145,170 • 60,475,328 164,462,328 45% 18% 37% 100% NOTES t, a) Morgan Stanley STC account must be transferred by September 18, 2017 b) TD Ameritrade has 50,000 in cash and can be used to trade c) Interactive brokers being setup to serve as Prime Broker for STC and subsidiaries "Apple 314,000 shares with 98.99 cost basis I • EFTA00811546 Purchase Quantity 6/30117 7131117 Unrealized Asset Description Date Cost Value Value Gain (Loss) . . — Haze Trust - Fixed income (DA)3,, -- JP Morgan Chase 7.9% Pfd 4/30/2049 JPM Tr Fit Rate Income Fund 05/10/11 01/22/13 3.000,000 240.973.957 3337.958 2.413,469 3158000 2261,257 3,112,500 2.279,614 -225,458-1 -133,85t Citibank Preferred Ser C 5.8% 10/28/14 10/29/14 49 033.00 150,967.00 1.180.739 3.670,430 1 276,619 . 3,931,181 1,264,071 3.891.929 83„3-3-214 221,499 Citibank Preferred Ser C 5.8% Citibank Preferred Set K 6.875% 2/3/14 79 000 00 1.999 419 _..2,337.610 2,367 630 an 211 Total Haze Trust - Fixed McCune (08) 12,602,016 12,964,867 12,915,744 313,728 -Peepers - Fixed Income (DB) JPM Trust FLT RT Income fund 02/13/13 180,515.211 1.804.981 1.691923 1,707.674 -97.307' Total Ampere Fixed Income 1,804,981 1,693.923 1,707,674 47,307 - (DB) Gratitude America - Fixed income (Morgan Stanley.) 1 Western Digital Corp 7.375% Matures 4-1-2023 06/09/16 2,000,000 ZaDo6,_ 2 244 167 158.1011 Total Gratitude America- Fixed Income (Morgan Stanley) 2,086,006 _2.233.965 2,233,965 2,244,167 150,141 Southern Trust Co. - Fixed Income (DM Nationwide Society 6.875% GBP calable 8/202019 4/15/14 2,000.000 3.439.193 LOW= 2,668,613 2.779.086 2,779,086 &Vat Total Southern Trust Co. - Fixed Income (DB) 3,439,193 -660,107 Southern DIM Co. - Fixed Income (Merrill) Morgan mandatory convertible proffered 5.5% 3/1/2018 08/15/16' 1,000,000 881,500 867,410 894,010 12,510' LSGCOM 8.75% 10/15/2023 01/13/17 26,250,000 2,789,125 2,814.889 2,850,774 61.649; Kindred Healthcare 7.25% I/15/2020 STC ML 10/13/16 3,000,000 3 080 528 3 260 667 3,025,667 34,862 Teva mandatory convertible preffered 7.0% 12/15/2018 08/15/16 1.000.000 901,750 ,, wa gt4 7 637 466 SW -___7,_354,151 -317.75Co 278.2452i Total SopthInt Mpg Co. - Fixed Income (Merrill) 7,632,903 Southern Trust Co. - Fixed income (Morgan Stanley) Charles Schwab 8.0% Preferred $25 par 727/15 40,000 1,000,000 1,086,400 1.106.000 106.000; Annaly Cap Management 7/25/17 40,000 1,000,000 - 994,000 -6,000 NGL Energy Partners 9% S25 par 6/8/17 40,000 1 000 OCO 1,151.874 996,800 3,200', Seaspan 7.875% Preferred $25 par 08/04/16 8,000 200000 166.320 174 080 -25,920. 115,200. Wells Fargo 5.7% Preferred $25 par 1/19/16 120.000 3,000.000 3,108,0W 3,116,200 Ebay 6% Preferred $25 par matures 2-1-2056 2122/16 80,000 2,000,000 2,189.600 2,166,400 3400: Etrade Financial 5.875% fixed to 9-15-2026 then floats 8/16/16 500,000 500,000 530,000 548,300 41300; Made Financial 5.875% fixed to 9-15-2026 then floats 10/11/16 /500,000 2,623,122 2,650,000 2,730 083 106 961. Royal Bank Scotland 7.84% Flmd to 4294017 than VA Libor .2320p 11/1 0/15 5.06(1.000 --6,3wsi-7- 4395,000 4,931,082 467,73fi Gcednian Sachs 5.375% Fond b 5-104020 then 392.2 over 3 mo liar 6/4/15 5,000,000 5,C44346 1009.819 %291,326 5,285_,469 3.189 OQQ 251,121, Capital One 5.55% Fixed to 9-1-2020 Men 380 over 3 mo NW 5/14/15 3,000.000 3 163 413 1Z9JAZ : Total Southern Trust Co. - Fixed Income (Morgan Stenle 24,666,104 24,231,933 26 236 414 570,310: Southern Financial LLC - Fixed Income (DB) Bank of America 8.125% Pfd Dec 29 2049 1/10/11 2,000,000 2,055,000 2,100.013 2,123,626 68,626; Barclays Bank PLC 7.75% 4/10/2023 413113 300.000 300,000 317.167 316,919 16,919i Citigroup Inc - Series Q 5.95% General Electric Co GTO Fixed to Float 4.0% Dec 15 2065 JP Chase & Co Pfd 7.9% April 30 2049 JP Morgan Chase 8 Co Pfd 7.9% April 30 2049 LBG Ca_pitai 7.5% 12/29/49 Southern Cal Edison 6.25% Dec 31 2049 8/6/15 12/3/15 6/15/11 6/15/11 5/21/13 1/30/12 3.000.000 1000208 3,223.598 3.238 968 236 962 .i._,_., x___ 2.469,000 2.500.000 2.500.000 1.903.000 3.000,0004_ 1 175,016 2,485,460 2,631.667 2.456,929 2.643525 281 913' 44,375! 1887,500 2,675,000 1.948.500 2,996 074 2,631.667 2,100.44!3 Z130,567 3,400,104 2.643,125 3.438,750 -31,875 ' 182 0821 _ 442,676 WAG Cap TR I GTO Pfd Sec Ser 2 8 222/12 80,0001 1.882.774 Sit= SO 21,116,009 241.226' 1,396,139 Total Southern Financial LLC - Fixed Income (DB) 19,719,870 20,986,120 430,640 430,640 Southern FlnanclallIr Fixed Income (DB) lesugge_ -- Washington Mutual Mtg 2004-RA2 cl CBI var 7/252033 Total Southern Financial LLC - Fixed Income (DB) 11/19/13 542781 489229 489,729 481285 488 5 57,8451 ' TOTAL FIXED INCOME 72,381,714 72,806,515 73,841,829 isammisi Note- Availed interesthas been included In month en liked income MUMS _1 EFTA00811547 Purchase Quantity 6/30117 7/31/17 Unrealized Asset Description Date ' Coat Value Value Galn (Loss) Southern Financial LLC - WtMelPEI) _.. Alcorn Inc _....___... _..._....._ _...... Alibaba Group Alltanz SE ADR 6/10/154 6/1W_111_ 4filsis 7 5.000 5,000 Cat- W 206 .i 444.749 --9-6,Oto 167.700 704.500 98875 - 774,750 - -Wile -234.206 330,001 — 18:OOE Apple Inc 915/14 64,000 6.332,800 9,217,280 9,518 720 3185,92Q le Inc 1111/16 250,000 24.750.006 36,005,000 37,182,500 1432.494 Apollo Global Management 3131/11 263,157 4,999,983 6,960,503 7,394,712 2,394,729 Ascena Retail Group Inc. (Formerly Dress Sam 1.3.11) inivoi 70.800 1500.000 151.575 164,970 -1.335.030 Avalanche Biotechnoiegles now called Adverum Beledinolcoes 4120115 10000 398,606 25,000 25500 -373,108. BASF ADR 4/13/15 ‘000 508,056 466,450 476,350 -31,706 Bank of New York Mellon 6/25/14 250,000 9,076 406 12,755,000 - -9,076 408 Biogen Idec Inc 2/14/12 Z095 250,455 568,499 608.691 356,236 Bioverativ Inc 2/1/17 1,047 20.254 62,998 84.883 44,629 Centene Corp 918/14 15,550 986,497 1 242 134 1,234,981 248,484 Dish Network Corp 6110115 5,000 364,978 313,800 320.150 -44,828 Facebook Inc 5/17/12 17 500 665,000 2,642150 2,961 875 2.296,875' Foundation Medicine Inc 1/16/14 49.830 1.285,037 1,980,743 1,761,491 496,454 General Motors Co 12/9/10 97,525 3,585,947 3,406,548 - -3585 947; General Electric Co 4/23/13 23,000 496.109 621,230 -496.10M Gilead Sciences Inc Gilead Sciences Inc 2/5/14 5,000 396 407 353,900 380 450 -15 957 57)14 3,100 246,797 --- 1i9,418 235,879 -10,918! Glaxo Smith Kline PLC 6/10/15 5,000 215,006 215,600 202,600 -12,4061 Global Partner Acquisition Corp 7/30115 2.000 20,000 19,700 -20,000: GoDadgy Inc. 4/1/15 700 14 000 29,894 30,088 16,086 Match 11/19/15 200 2,400 3.476 - -2,400 Mobileye NV AmsteNeen OM Shares 811114 800 20,000 50,240 50,640 30640 Square 11119/15 200 1.800 3,476 - -1,800 Sangamo Biosciences Inc 5/28/13 50,000 422.214 440,000 430,000 7,788 Santander Consumer USA 1128/14 1,000 24,000 12,760 12,810 -11190 Terraform Global 7/31/151 400 6.000 2,020 -60001 Twitter Inc 11/7/13 1,500 39,000 26805, 24,135 -14,865/ Viacom Inc 6110115 5.000 338,745 187.850 174,600 -164,1451 Volkswagen AG 4/13/15 341/15 5.000. ... __._254,306 15000 155825 157,250 ___156.6Q3 •97,0561 7.1.0.7aW1 Wadomtree Investments Inc 3.24.158 _•,• • 152,9.5P Total Southern Financial LLC - Equities (DB) 58,293,977 79,243,099 64,449,372 6,155,395j Southern Trust Co. - Equities (Mogan Stanley) • Barclays PLC ADR 711.116 100,000 805,008 1.059.000 1,073,000 i 267,904! Mice 6/22117 7/11/171. M8/16 10/27/16, 5,000 2.005 103.000 3,500 617,135 1,137.626 0.250 161,500 - 1,460,000 4(860 - -622.Wi 1,§3.5,goo 52.4.30 Pi s4251 397 374 ALM' 654,883 Neteate.com Inc Credit Suisse Group 2:70 Express Total Southern Trust Co. - Equities (Morgan Stanley) 2,628,107 2,729,360 _ 1;182,990 Southern Trust Co. -Equities (Merrill) - i 41021 Teradyne Inc 7/20/17 20.000 704,832 891,800 Micron Technology 6120/17 8.000 487,600 238,880 493.400 501,800 0' 14,2001 XLF Finanadal Sector 6/20/17 20.000 ON Semiconductor 6/8/17 12.000 200.038 371,10g 168,480_ 50 179,400 .__ _2 46381 ING 4/4/17 25.000 Total Southern Trust Co. - Equities (Merrill) 1,765,970 „ I P 75,280 —._ . Gratitude iiiiiiiii: C. TD : 44iiiiiifiliiiiiirtinTe Colony Capital->Colony_Northslar Inc. Sequential Brands 270 Express Bank of America —. ..... ....-. 9/211/16 9/23/1C . 10/27/181 3/21161 .......— . 73.315 50.000 1.150 7,500 928,837 402,134 22425 ._ 100 825 1.033,60-6 199,500 18,054 181,950 1,073.332 160,500 ---- 17227 180,900 . 144.4951 -241,634i -51981 800, 731 Editas Medicine 312116, 3,200 10/199 53,696 54,144 -48,055 Tencent Holdings Total Gratitude America, LTD - Equities (Morgan Stanley) j Epstein VI Foundation - Equities (DB) &islet Myers Squibb 7/18/161 I . 50000 1,163,762 2,720,182 1,798,000 3,282,208 1.998,000 3,484,103 8342t 763a0 I 5.000 2.500 10/30/1- 334,7121 278,600 I. 284,500 • -50,212I Disney 10/30/18 285.0251 425.0420 274.825 _ nil Total J Epstein VI Foundation - Equities (DB) • •--_ -- 619,737 703,600 66,027,973 87,293,777. 559,325 73,617,040 -60,412 7,589,0671 TOTAL EQUITIES Southern Financial LLC • Equity—EY-Ps (DB) I Vesdomtree Japan Hedged Equity 12/16/131 60,000 2„866.089 3.120 000 2.113.402 1ZL991 Total Southern Financial LLC - Equity ETF'S (DB) 2,966,099 3,120,000 3,138,000 171,901r Southern Financial LLC - Options (DB) Long FXE 113 Calls - exp Sep 15 2017 7/19/17 450 36,006 0 98 550 62 544! Slott FXE 110 Puts - exp Sep 15 2017 7/19/17 (450) 4114.3 0 Iii2O 2;(0431 Total Southern Financial LLC - Options (DB) 4,963 0 91,350 86,387 EFTA00811548