Brokerage Account Analysis

Brokerage Account Analysis As of July 31, 201 7 Account Name Fixed Income Equities Total Cash Value Deutsche Bank Haze Trust 12,915,744 1 01 5,238,241 18,153,985 Jeepers Inc. 1,707,874 0 1,475,398 3,183,072 J Epstein VI Foundation - 559,325 86,512 645,837 Southern Trust Company 2,779,086 0 730,398 3,509,484 Southem Financial LLC 21,604,2941 67.678.722, 17,438,124 106.721 .140 Total Deutsche Bank 39,006,7981 68,238,047 24,968,673 132,213,518 30% 52% 19% 100% Total Deutsche Bank without apple" 39,006,7981 21,536,827 24,968,673 85,512,298 46% 25% 29% 100% Menill Lynch Southern Trust Company 7.354.451 1.841.250 31.067.864 40.263.565 Total Merrill Lynch 7,354,451 1,841,250 31,067,864 40,263,565 18% j 5% 77% 100% Morgan Stanley Southern Trust Company 25,236,414 3,282,990 1,478,106 29,997,510 Gratitude America - Andrew 2,244,167 2,233,044 232,624 4,709,835 Gratitude America - Paula - 1.251.059 1 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 i 60,476,328 211,163,548 35% 36% 29% 100% TOTALS - without apple'" 73,841,830 1 30,145,170i 60,475,328 164,462,328 45% 18% 37% 100% i NOTES I a) Morgan Stanley STC account must be transferred by September 18, 2017 131 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 I I "Apple 314,000 shares with 98.99 cost basis EFTA00811549 Purchase Quantity 6/30/17 7/31/17 Unrealized Asset Description Date Cost Value Value Gain (Loss) Hare Trust - Fixed Income (DB) JP Morgan Chase 7.9% Pfd 4/30/2049 05/10/11 3,000000 3,337,958 3,158,000 3,112,500 -225,458 JPM Tr Flt Rate Income Fund 01/22/13 240,974 2,413.469 2.261,257 2,279,614 -133.858 Cibbank Preferred Ser C 5.8% 10/28/14 49033 1180,739 1,276,819 1,264,071 83,332 Citibank Preferred Ser C 5.8% 10/29/14 150,967 3070,430 3131,161 3,891.929 221,499 Citibank Preferred Ser K 6.875% 2/3114 79,000 1199.416 L3,37.619 2.367.630 368.211. 313,728 Total Haze Trust - Fixed Income (DB) 12,602,016 12164067 12,915,744 Jeepers - Fixed Income (DB) JPM Trust FLT RT Income fund 02(13/13 180,515.211 1804 981 1100223 1 707-674 aleVZ -97,307 Total Jeepers - Fixed Income (DB) 1,804,961 1,693,923 1,707,674 Gratitude America - Fixed Income (Morgan Stanley) Western Digital Corp 7.375% Matures 4-1-2023 06/09/16 2,000,000 2.066_006 2 233165 2244 167 158181, Total Gratitude America - Fixed income (Morgan Stanley) 2,086,006 2,233,965 2,244,167 158,161 Southern Trust Ca - Axed Income (DB) Nationwide Society 6.875% GBP callable 6/20/2019 4115/14 2,000,000 lialia 2,06,112 2 779 ON -660107 Total Southern Trust Co. - Axed Income (DB) 3,S =39, S 2,668,513 2,779,086 -660,107 Southern Trust Co. - Fixed Income (Merrill) Allergen mandatory convertible coffered 5.5% 3/1/2018 08115/16 1,000,000 881,500 867.410 894010, 12,510 LSCCOM 8.75% 10115/2023 01/13/17 26,250,000 2.789.125 2014.889 2,850,774 61,649 Kindred Healthcare 7.25%1/15/2020 STC ML 10113/18 3000000 3,060 528 3,260.667 3,025,667 -34,862 Teva mandatory convertible prellered 7.0% 12/15/2018 08/15/16 1000,000 601'750 594.500 564.006 -317 750 Total Southern Trust Co. - Fixed Income (Merrill) 7,632,903 7,537,466 7,354,451 -278,452 Southern Trust Co. - Fixed Income (Morgan Stanley) Charles Sthweb 6.0% Preferred 525par 7/27/15 40000 1,000,000 1,086,400 1,108000 106 000 Ann* Cap Management 7/25/17 40100 1.000,000 - 994.000 4.000 NM Energy Partners 9% 525 per 6/8/17 40,000 1.000.000 1,151074 996,800 -3,200 Seaspan 7.875% Preferred 525 par 08/04/18 8,000 200.000 168.320 174080 -25,920 Welts Fargo 5.7% Preferred 525 par 1/19/16 120,000 3000,000 3,108,000 3,115,200 115,200 Ebay 6% Preferred 525 par matures 2-1-2056 2/22/16 80,000 2.000.000 2,189,600 2,166,400 166,400 Etrade Financial 5.875% fixed to 9-15-2026 then Boats 8/16/16 500,000 500.000 530.000 548,300 48,300 Etrade Financial 5.875% fixed to 9-15-2026 then floats 10/11/16 2,500,000 2.623,122 2,650,000 2.730.083 106,961 Royal Bank Scotland 7.64% Rod b 9442017 then 3M Loo/ +232bp 11/10/15 5,000,000 5.298,817 4,895,000 4,931,082 467,735 Gcadman Sachs 5 375% Fixed to 5.10.2020 then 392.2 over 3 mo ter 6/4/15 5,000,000 5,034.346 5,291,326 5285,469 251,122 Capital One 5.55% Ftced to 9.1.2020 then 380 over 3 mo asor 5/14/15 3,000,000 3139.819 3 163 413 3.189 000 179.18% Total Southern Trust Co.- Fixed Income (Morgan Stanley) 24,666,104 24,231,933 25,236,4141 570,310 Southern Financial LLC - Fixed Income (DB) Bank of America 8.125% Pfd Dec 29 2049 1/10/11 2,000,000 2 055,600 2,100013 2123626 , 68.628 Barclays Bank PLC 7.75% 4/10/2023 4/3/13 300,000 300,000 317,167 swim 9 16,919 Citigroup Inc - Series O 5.95% 8/8/15 3 000,000 3,000,006 3,223,598 3,238,968 238,962 General Electric Co GTD Foxed to Float 4.0% Dec 15 2065 12/3/15 2469000 2.175,018 2.485,460 2,456,929 281.913 JP Morgan Chase 8 Co Pfd 7.9% April 30 2049 6/15/11 2,500,000 2,687,500 2,631,667 2,643,125 44,375 JP Morgan Chase & Co Pfd 7.9% April 30 2049 6115111 2600,000 2,675,000 2.631.667 2,643.125 -31.875 LBG Capital 7.5% 12/29/49 5/21/13 1,903,000 1.948,500 2,100,446 2,130,567 182,067 Southern Cal Edison 6.25% Dec 31 2049 1/30/12 3.000,000 2,996,074 3,400.104 3,438,750 442,676 GMAC Cap TR I GTD PSI Sec Ser 2 8 2/22/12 80,000 1 882 774 2196000 2.124108 241 2gli Total Southern Financial LLC - Fixed Income (DB) 19,719,870 20,986,120 21,116,009 i 1,396,139 Southern Financial LLC - Fixed Income (DB) lasamalim Washington Mutual Mtg 2004-RA2 CI CB1 var 7/25/2033 11/19/13 562,781 430.840_ 489 729 . 480285 07-a0, Total Southern Financial LLC - Fixed income (DB) 430,640 489,729 488,285 57,646 TOTAL FIXED INCOME 72,381,714 72,806,515 73,841,829 1,460,116 Ore - Accrued Interest has been included In month end fixed income values EFTA00811550 Purchase Quantity 6/30/17 7131117 Unrealized Asset Description Date Cost Value Value Gain (Loss) Southern Financial LLC - Equities (DB) Akom Inc. 8/10/15 5,000 167,700 - 0 Alibaba Group 6110115 5,000 444.749 704,500 774,750 330.001 AIDanz SE ADR 4/13/15 5,000 90,058 98.875 108,750 16,694 Apple Inc 9/5114 64,000 6,332,800 9,217,280 9,518,720 3,185.920 Apple Inc 1/11116 250,000 24,750,006 38,005,000 37,182,500 12.432.494 Apollo Global Management 3131111 263 157 4,999,983 6,960,503 7,394,712 2,394.729 Ascena Retail Group Inc. (Formerly Dress Barn 1.3.11) 1/16101 70.500 1,500,000 151,575 164,970 -1.335.030 Avalanche Blotechnologies now called Adverum Blotechnologles 4/20/15 10,000 398,606 25 030 25500 -373.106 BASF ADR 4/13/15 5,000 508,056 466,450 476.350 -31,708 Bank of New York Mellon 6/25/14 250,000 12,755,000 0 Biogen Idec Inc 2114/12 2,095 250,455 568,499 606.691 356,236 Bioverativ Inc 2/1/17 1,047 20,254 62,998 64,883 44,629 Centene Corp 9/8114 15,550 986,497 1242.134 1.234,981 248,484 Dish Network Corp 6110115 5,000 364,978 313,800 320,150 I -44,828 Facebook Inc 5/17/12 17,500 665,000 2.642.150 2,961.875 2,296.875 Foundation Medicine Inc 1/16114 49,830 1.265,037 1,980,743 1.761.491 496,454 General Motors Co 12/9110 97 525 3.406.548 - 0 General Electric Co 4123113 23:540 621.230 - 0 Gilead Sciences Inc 2/5/14 5,000 396,407 353,900 380,450 -15957 -1O18 Gilead Sciences Inc 3/7/14 3,100 246,797 219.418 235579 Glaxo Smith Kline PLC 6/10/15 5,000 215,008 215.600 202,600 -12,406 Global Partner Acquisition Corp 7/30/15 2,000 19,700 - 0 GoDaddy Inc. 4/1/15 700 14,000 29,694 30,086 16,086 Match 11/19/15 200 3.476 - 0 Motaeye NVArnsteNeen Ord Shares 8/1114 800 20,000 50,240 50,640 30,640 Square 11/1Q/15 200 3.476 - 0 Sangamo Biosciences Inc 5/28/13 50,000 422,214 440,000 430.000 7.786 Santander Consumer USA 1/28/14 1,000 24,000 12.760 12.810 -11,190 Terratorm Global 7/31/15 400 2,020 - 0 Twitter Inc 11/7/13 1,500 39,000 26,805 24.135 -14565 Viacom Inc 6/10/15 5,000 338.745 167.850 174,600 -164,145 Volkswagen AG 4113/15 5,000 254.306 155,625 157.250 -97,056 Wisdomtree Investments Inc 3/31/15 15000 324 158 152.55Q 156899 -187558 Total Southern Financial LLC- Equities (08) 44,871,109 79,243,099 64,449,372 19,578,263 Southern Trust Co. - Equities (Morgan Stanley) Barclays PLC ADR 7/18/18 100,000 805,096 1,059,000 1.073.000 267.904 Altice 6/22117 5,000 161,500 - 0 Netease.com Inc 7/11/17 2,000 617,135 - 622.560 5,425 Credit Suisse Group 7/18/16 100000 1,137.626 1460.000 1.535.000 397,374 ZTO Express 10/ ,,.. . 52430 JAM OO 68 250 48.860 - 654,883 Total Southern Trust Co. - Equities (Morgan Stanley) 2,628,107 2,729,360 3,282,990 Southern Trust Co. - Equities (Merrill) Teradyne Inc 7/20/17 20,000 704,832 - 691.800 -13.032 Micron Technology 6/20/17 8,000 238,880 - 0 XLF Financial Sector 6/20/17 20,000 487,800 493,400 501.800 14,200 ON Semiconductor 6/8/17 12000 200,038 168,480 179,400 -20,638 ING 4/4/17 25,000 ,73.500 434.750 488250 9475Q Total Southern Trust Co. - Equities (Merril° 1,765,970 1,335,510 1,841,250 75,280 Gratitude America, LTD - Equities (Morgan nl Colony Caphal-'Colony Northstar Inc. 9/26/16 73,315 928,837 1,033,006 1.073.332 144.495 Sequential Brands 9/23/16 50,000 402,134 199 500 160,500 -241,634 ZTO Ex ss 10/27116 22.425 1.150 16'554 17.227 .5,198 Bank of America 3/2/16 7 500 100825 181,950 180,900 80.075 Editas Medicine 3/2116 200 102:199 53,696 54,144 -48.055 Tencent Holdings 7/18/16 50.000 1.163/62 1.798.000 1.8913100 834238 Total Gratitude America, LTD-Equities (Morgan Stanley) 2,720,182 3,282,208 3,484,103 763,920 J Epstein VI Foundation - Equities (DB) Bristol Myers Squit 10/30/15 5,000 334,712 278,600 284,500 -50,212 Disney 10/30/15 2.500 285 Az-5 425.000 I 274.825 -1020Q Total J Epstein Vi Foundation - Equities (DB) 619,737 703,600 559,325 -60,412 TOTAL EQUITIES 52,605,105 87,293,777 73,617,040 21,011,935 Southern Financial LLC - Equity ETPs (DB) YVisdomtree Japan Hedged Equity 12/16/13 60,000 2.966.099 3.120.000 3.138_000 171901, 171,901 Total Southern Financial LLC - Equity ETF'S (DB) 2,966,099 3,120,000 3,138,000 Southern Financial LLC - Options (DB) Long FXE 113 Calls - exp Sep 15 2017 7/19/17 450 36.006 0 96,550 62.544 Short FXE 110 Puts - exp Sep 152017 7/19/17 (450) -31.043 9 1.200 23 843 Total Southern Financial LLC - Options am 4,963 0 91,3501 86,387 EFTA00811551