EFTA Document EFTA01418230

TRADE DATE STLMNT DATE BUY/SELL QUANTITY Regular Way trading / Pershing 9/14/2017 9/15/2017 9/21/2017 9/21/2017 9/21/2017 9/21/2017 9/21/2017 9/21/2017 9/21/2017 9/27/2017 9/27/2017 9/29/2017 9/29/2017 9/29/2017 9/29/2017 10/3/2017 10/11/2017 10/13/2017 10/13/2017 10/13/2017 10/13/2017 10/17/2017 10/17/2017 10/18/2017 10/19/2017 10/20/2017 10/24/2017 10/24/2017 10/24/2017 10/24/2017 10/24/2017 10/24/2017 10/25/2017 10/31/2017 10/31/2017 11/2/2017 11/3/2017 11/3/2017 11/3/2017 11/3/2017 11/14/2017 11/17/2017 9/18/2017 BUY 9/19/2017 BUY 9/25/2017 SELL 9/25/2017 SELL 9/25/2017 SELL 9/25/2017 SELL 9/25/2017 SELL 9/25/2017 BUY 9/25/2017 SELL 9/28/2017 BUY 9/28/2017 BUY 10/3/2017 BUY 10/3/2017 BUY 10/2/2017 SELL 10/2/2017 SELL 10/5/2017 BUY 10/13/2017 BUY 10/17/2017 BUY EFTA01418230 10/16/2017 SELL 10/16/2017 SELL 10/16/2017 BUY 10/18/2017 BUY 10/18/2017 BUY 10/20/2017 BUY 10/23/2017 BUY 10/24/2017 BUY 10/26/2017 BUY 10/26/2017 BUY 10/25/2017 SELL 10/25/2017 SELL 10/25/2017 SELL 10/25/2017 SELL 10/26/2017 SELL 11/2/2017 BUY 11/2/2017 BUY 11/3/2017 BUY 11/7/2017 BUY 11/7/2017 BUY 11/6/2017 SELL 11/7/2017 BUY 11/15/2017 SELL 11/21/2017 SELL SYMBOL PRICE PRINCIPAL COMM. FEES TRANS. CCY SALES CREDIT 5,000.0000 QCOM 20,000.0000 AMD -10,000.0000 ADVM -5,000.0000 AZSEY -1,047.0000 BIVV -5,000.0000 DISH -5,000.0000 GSK 24,000.0000 VLKAY -15,000.0000 WETF 500.0000 SPY 12152017 C 254 620.0000 SPY 12152017 C 255 1,876,000.0000 TAZT4051016 2,000.0000 AVGO -20.0000 AVGO 12152017 C 250 -20.0000 AVGO 12152017 P 240 1,000,000.0000 FTR3670829 1,000,000.0000 FTR3684517 2,000.0000 AVGO -20.0000 AVGO 12152017 C 260 -20.0000 AVGO 12152017 P 240 10.0000 TWX 01192018 C 100 2,593.0000 FXE 01192018 P 112 7.0000 FXE 01192018 P 112 1,000,000.0000 SVM.GD 350,000.0000 SVM.GD 80,000.0000 SVM.GD 2,000,000.0000 EXLI4514119 4,400.0000 GILD -65.0000 GILD 12152017 C 82.5 -60.0000 GILD 12152017 C 85 -60.0000 GILD 12152017 P 75 -65.0000 GILD 12152017 P 75 EFTA01418231 -300.0000 AMD 12152017 P 13 2,000,000.0000 JESAY4113909 70,000.0000 SVM.GD 100.0000 QCOM 11172017 P 50 26,000.0000 EWT 13,000.0000 EWY -2,600.0000 FXE 01192018 P 112 21,000.0000 FXI -620.0000 SPY 12152017 C 255 -5,000.0000 QCOM 51.07599400 13.00000000 3.29905000 22.14665000 56.65411000 53.22907000 40.39960000 34.14737500 9.06213000 2.61800000 2.16150000 104.00000000 242.86439000 10.38250000 11.92100000 100.10000000 98.75000000 249.94534000 7.94750000 7.85750000 4.50000000 0.90000000 0.90000000 104.00000000 104.00000000 104.00000000 97.02500000 80.04857000 2.09923100 1.34450000 1.18983300 1.18123100 0.82000000 99.06500000 104.00000000 0.07000000 37.92921000 75.80546000 1.13695400 46.32864000 4.67000000 55.00000000 -255,379.97 -260,000.00 32,990.50 110,733.25 59,316.85 266,145.35 201,998.00 -819,537.00 135,931.95 -130,900.00 -134,013.00 EFTA01418232 -643,843.20 -485,728.78 20,765.00 23,842.00 -1,001,000.00 -987,500.00 -499,890.68 15,895.00 15,715.00 -4,500.00 -233,370.00 -630.00 -1,040,000.00 -364,000.00 -83,200.00 -1,940,500.00 -352,213.71 13,645.00 8,067.00 7,139.00 7,678.00 24,600.00 -1,981,300.00 -72,800.00 -700.00 -986,159.46 -985,470.98 295,608.04 -972,901.44 289,540.00 275,000.00 200.00 800.00 400.00 200.00 50.00 200.00 200.00 960.00 600.00 1,500.00 1,860.00 0.00 80.00 60.00 60.00 0.00 0.00 80.00 60.00 60.00 30.00 2,593 00 7.00 0.00 0.00 0.00 0.00 176.00 195.00 180.00 180.00 195.00 EFTA01418233 300.00 0.00 0.00 20.00 1,040.00 520.00 7,800.00 840.00 1,860.00 200.00 6.00 USD 6.00 USD 6.77 USD 8.56 USD 7.38 USD 12.15 USD 10.67 USD 6.00 USD 9.15 USD 6.00 USD 6.00 USD 0.00 USD 6.00 USD 6.48 USD 6.56 USD 6.00 USD 6.00 USD 6.00 USD 6.37 USD 6.37 USD 6.00 USD 6.00 USD 0.00 USD 6.00 USD 6.00 USD 6.00 USD 6.00 USD 6.00 USD 6.32 USD 6.19 USD 0.17 USD 6.18 USD 6.57 USD 0.00 USD 6.00 USD 6.00 USD 6.00 USD 6.00 USD 12.83 USD 6.00 USD 12.69 USD 6.36 USD 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 EFTA01418234 1,009.10 0.00 0.00 0.00 1,000.00 2,500.00 0.00 0.00 0.00 0.00 0.00 0.00 1,250.00 437.50 100.00 2,500.00 0.00 0.00 0.00 0.00 0.00 0.00 2,500.00 87.50 0.00 0.00 0.00 0.00 0.00 0.00 0.00 Confidential EFTA01418235 11/17/2017 11/17/2017 12/4/2017 12/4/2017 12/4/2017 12/4/2017 12/4/2017 12/4/2017 12/4/2017 12/4/2017 12/4/2017 12/4/2017 12/4/2017 12/5/2017 12/7/2017 12/7/2017 12/11/2017 12/12/2017 12/15/2017 12/15/2017 12/15/2017 12/15/2017 12/15/2017 12/15/2017 1/9/2018 1/9/2018 1/9/2018 1/9/2018 1/17/2018 1/19/2018 1/19/2018 1/19/2018 1/19/2018 1/23/2018 1/25/2018 1/25/2018 1/25/2018 1/25/2018 1/26/2018 1/31/2018 2/2/2018 2/5/2018 2/5/2018 2/13/2018 2/13/2018 2/13/2018 11/21/2017 SELL 11/20/2017 SELL 12/6/2017 BUY 12/6/2017 BUY 12/6/2017 BUY 12/6/2017 BUY 12/6/2017 BUY 12/6/2017 BUY 12/6/2017 BUY 12/7/2017 BUY 12/6/2017 BUY 12/6/2017 BUY 12/6/2017 BUY 12/6/2017 SELL 12/11/2017 SELL 12/11/2017 BUY 12/12/2017 BUY EFTA01418236 12/15/2017 BUY 12/19/2017 BUY 12/18/2017 SELL 12/18/2017 SELL 12/18/2017 BUY 12/18/2017 BUY 12/18/2017 SELL 1/10/2018 BUY 1/10/2018 SELL 1/10/2018 SELL 1/10/2018 BUY 1/18/2018 BUY 1/22/2018 BUY 1/22/2018 SELL 1/22/2018 BUY 1/22/2018 SELL 1/24/2018 BUY 1/29/2018 SELL 1/26/2018 BUY 1/26/2018 BUY 1/29/2018 SELL 1/30/2018 SELL 2/1/2018 SELL 2/5/2018 SELL 2/7/2018 BUY 2/7/2018 BUY 2/14/2018 SELL 2/14/2018 SELL 2/14/2018 BUY -5,000.0000 QCOM -500.0000 SPY 12152017 C 254 150,200.0000 1072:HK 224,000.0000 1800:HK 228,000.0000 2338:HK 144,000.0000 2689:HK 710,000.0000 3339:HK 43,400.0000 3898:HK 512,000.0000 3988:HK 6,300.0000 6268:JP 70,600.0000 763:HK 52,500.0000 914:HK 24,800.0000 HSBA:GB -250.0000 GE 01192018 P 18 -214,000.0000 AAPL 214,000.0000 AAPL 900.0000 SPY 03162018 C 270 2,000.0000 NAPRF 30,000.0000 AND -20.0000 AVGO 01192018 C 260 -20.0000 AVGO 02162018 C 250 20.0000 AVGO 12152017 C 250 20.0000 AVGO 12152017 C 260 -125.0000 GILD 01192018 P 75 125.0000 GILD 01192018 P 75 -125.0000 GILD 02162018 C 82.5 -125.0000 GILD 02162018 P 75 525.0000 XLI 06152018 C 80 2,400.0000 EEM 06152018 C 55 20.0000 AVGO 01192018 C 260 -20.0000 AVGO 02162018 C 260 250.0000 GE 01192018 P 18 -250.0000 GE 03162018 P 18 2.0000 EWY 02162018 C 79 EFTA01418237 -1,000,000.0000 FTR3684517 20.0000 AVGO 02162018 C 250 20.0000 AVGO 02162018 C 260 -30,000.0000 DXJ -30,000.0000 DXJ -900.0000 SPY 03162018 C 270 -525.0000 XLI 06152018 C 80 3.0000 BRK A 10,000.0000 NTDOY -40.0000 AVGO 03162018 C 240 -40.0000 AVGO 03162018 P 230 100.0000 SPY 03162018 C 274 52.50000000 5.57000000 6.61120000 8.67740000 8.45260000 13.46000000 2.79230000 45.73150000 3.80000000 4,419.12700000 27.65420000 37.07480000 77.55000000 0.87000000 169.54690000 169.79410000 2.89000000 3,527.83990000 13.00000000 10.59650000 18.43500000 12.11000000 5.36500000 1.71000000 0.36136000 1.24776000 1.58488000 1.89881900 0.43000000 8.37500000 12.77500000 1.54856000 1.85200000 0.62000000 96.15800000 6.67500000 3.06000000 61.38882000 61.30210000 14.50110000 2.35170000 1.00000000 51.75000000 11.90000000 5.24125000 1.81870000 262,500.00 278,500.00 -993,002.24 -1,943,737.60 -1,927,192.80 EFTA01418238 -1,938,240.00 -1,982,533.00 -1,984,747.10 -1,945,600.00 -27,840,500.00 -1,952,386.52 -1,946,427.00 -1,923,240.00 21,750.00 36,283,036.60 -36,335,937.40 -260,100.00 -7,055,679.80 -390,000.00 21,193.00 36,870.00 -24,220.00 -10,730.00 21,375.00 -4,517.00 15,597.00 19,811.00 -99,688.00 -103,200.00 -16,750.00 25,550.00 -38,714.00 46,300.00 -124.00 961,580.00 -13,350.00 -6,120.00 1,841,664.60 1,839,063.00 1,305,099.00 123,464.25 -931,170.00 -517,500.00 47,600.00 20,965.00 -18,187.00 200.00 1,500.00 190.52 372.92 369.75 370.57 379.03 379.46 371.97 371.51 373.27 372.13 367.70 250.00 4,280.00 4,280.00 2,700.00 1,200.00 60.00 60.00 60.00 60.00 EFTA01418239 12.07 USD 12.44 USD 1,070.46 USDE - HKD 1489.5 2,093.67 USDE - HKD 2915.6 2,076.39 USDE - HKD 2890.78 2,088.24 USDE - HKD 2907.36 2,135.66 USDE - HKD 2973.79 2,137.83 USDE - HKD 2977.12 2,095.81 USDE - HKD 2918.4 0.00 USDE - JPY 41761 2,103.33 USDE - HKD 2928.57 2,096.87 USDE - HKD 2919.64 2,072.09 USDE - HKD 2884.86 6.51 USD 844.14 USD 6.00 USD 6.00 USD 375.00 125.00 250.00 250.00 1,575.00 2,400.00 60.00 60.00 750.00 750.00 2.00 0.00 60.00 60.00 1,200.00 1,200.00 2,700.00 1,575.00 100.00 400.00 120.00 120.00 300.00 99.81 17,711.18 USDE - ZAR 6.00 USD 6.49 USD 6.86 USD 6.00 USD 6.00 USD 6.50 USD 6.00 USD 6.37 USD 6.46 USD 6.00 USD 6.00 USD 6.00 USD 6.60 USD 6.00 USD 7.07 USD 6.00 USD 6.00 USD 6.00 USD 6.00 USD 48.55 USD 48.49 USD 36.15 USD 1365 EFTA01418240 8.86 USD 6.00 USD 6.00 USD 7.10 USD 6.49 USD 6.00 USD 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 1,250.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 Confidential EFTA01418241 2/13/2018 2/13/2018 2/13/2018 2/16/2018 2/16/2018 2/16/2018 2/22/2018 2/22/2018 2/22/2018 2/22/2018 2/23/2018 2/26/2018 2/28/2018 2/28/2018 3/5/2018 3/7/2018 3/7/2018 3/12/2018 3/12/2018 3/16/2018 3/16/2018 3/16/2018 3/16/2018 3/19/2018 3/19/2018 3/19/2018 3/20/2018 ECM BUYS 9/28/2017 9/29/2017 10/13/2017 10/19/2017 10/26/2017 10/26/2017 11/1/2017 11/1/2017 11/3/2017 11/7/2017 11/9/2017 11/16/2017 11/16/2017 11/17/2017 11/20/2017 11/30/2017 11/30/2017 2/14/2018 SELL 2/14/2018 BUY 2/14/2018 SELL 2/21/2018 BUY 2/20/2018 SELL 2/20/2018 SELL 2/23/2018 SELL 2/23/2018 BUY 2/23/2018 SELL 2/23/2018 BUY 2/27/2018 BUY 2/28/2018 BUY 3/2/2018 BUY 3/2/2018 SELL 3/7/2018 BUY 3/9/2018 BUY 3/8/2018 SELL 3/14/2018 SELL EFTA01418242 3/14/2018 BUY 3/20/2018 SELL 3/20/2018 BUY 3/19/2018 SELL 3/19/2018 SELL 3/21/2018 BUY 3/20/2018 BUY 3/20/2018 SELL 3/22/2018 SELL -100.0000 SPY 03162018 P 245 100.0000 SPY 04202018 C 276 -100.0000 SPY 04202018 P 240 3.0000 BRK A -125.0000 GILD 03162018 C 82.5 -125.0000 GILD 03162018 P 77.5 -100.0000 SPY 03162018 C 274 100.0000 SPY 03162018 P 245 -100.0000 SPY 04202018 C 276 100.0000 SPY 04202018 P 240 2,500.0000 GE 2,500.0000 GE 1,400.0000 ECYT -1,400.0000 ECYT 800.0000 GE 5,000.0000 GE -100.0000 QCOM 04202018 P 60 -21,000.0000 FXI 2,500.0000 GE -4,000.0000 AVGO 11,700.0000 GE -125.0000 GILD 04202018 C 82.5 -125.0000 GILD 04202018 P 77.5 3.0000 BRK A 200.0000 SPY 04202018 C 277.5 -200.0000 SPY 04202018 P 255 -500,000.0000 SVM.GD 1.61910000 2.65470000 2.61700000 1.00000000 1.36128000 0.94944000 2.44100000 0.63820000 3.53150000 1.41560000 18.00000000 18.00000000 4.20000000 5.33790000 18.00000000 18.00000000 1.90000000 49.08500000 18.00000000 240.00000000 18.00000000 1.03000000 1.06000000 1.00000000 1.51000000 1.41000000 100.47500000 EFTA01418243 16,191.00 -26,547.00 26,170.00 -920,980.00 17,016.00 11,868.00 24,410.00 -6,382.00 35,315.00 -14,156.00 -45,000.00 -45,000.00 -5,880.00 7,473.06 -14,400.00 -90,000.00 19,000.00 1,030,785.00 -45,000.00 960,000.00 -210,600.00 12,875.00 13,250.00 -915,300.00 -30,200.00 28,200.00 502,375.00 300.00 300.00 300.00 100.00 375.00 125.00 300.00 100.00 300.00 300.00 100.00 100.00 0.00 56.00 32.00 200.00 300.00 840.00 100.00 160.00 468.00 375.00 375.00 100.00 600.00 600.00 0.00 6.38 USD 6.00 USD 6.61 USD 6.00 USD 6.40 USD 6.28 USD 6.57 USD 6.00 USD 6.82 USD EFTA01418244 6.00 USD 6.00 USD 6.00 USD 0.00 USD 6.18 USD 6.00 USD 6.00 USD 6.44 USD 29.82 USD 6.00 USD 28.18 USD 6.00 USD 6.30 USD 6.31 USD 6.00 USD 6.00 USD 6.66 USD 6.00 USD 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 211.68 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 625.00 10/2/2017 BUY 10/3/2017 BUY 10/17/2017 BUY 10/23/2017 BUY 10/30/2017 BUY 10/30/2017 BUY 11/3/2017 BUY 11/3/2017 BUY 11/7/2017 BUY 11/10/2017 BUY 11/13/2017 BUY 11/20/2017 BUY 11/20/2017 BUY 11/21/2017 BUY 11/24/2017 BUY 12/4/2017 BUY 12/4/2017 BUY 1,300.0000 CLDR EFTA01418245 6,400.0000 PQG 2,700.0000 REVG 6,000.0000 MOSC U 4,300.0000 BPMP 700.0000 HCM 3,200.0000 ALTR 8,500.0000 CSTM 2,400.0000 AQ 8,200.0000 AXL 700.0000 SRCI 800.0000 GDI 700.0000 JELD 800.0000 PSDO 2,000.0000 PCTY 4,600.0000 GTN 1,800.0000 SGH 16.45000000 17.50000000 27.25000000 10.00000000 18.00000000 26.50000000 13.00000000 11.00000000 9.00000000 17.55000000 8.00000000 27.25000000 33.75000000 14.25000000 47.25000000 14.50000000 33.50000000 -21,385.00 -112,000.00 -73,575.00 -60,000.00 -77,400.00 -18,550.00 -41,600.00 -93,500.00 -21,600.00 -143,910.00 -5,600.00 -21,800.00 -23,625.00 -11,400.00 -94,500.00 -66,700.00 -60,300.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 EFTA01418246 0.00 0.00 0.00 0.00 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 513.24 3,192.00 1,876.18 600.00 1,996.92 667.80 1,747.20 2,550.00 907.20 820.00 100.80 392.40 389.82 290.70 200.00 1,700.85 1,447.20 Confidential EFTA01418247 11/30/2017 12/6/2017 12/12/2017 12/21/2017 1/10/2018 1/12/2018 1/19/2018 1/24/2018 1/24/2018 1/24/2018 1/25/2018 1/25/2018 1/26/2018 2/1/2018 2/9/2018 2/16/2018 2/16/2018 2/28/2018 2/28/2018 ECM SELLS 9/28/2017 10/5/2017 10/13/2017 10/19/2017 10/26/2017 10/26/2017 11/1/2017 11/1/2017 11/3/2017 11/8/2017 11/9/2017 11/16/2017 11/16/2017 11/17/2017 11/21/2017 11/30/2017 11/30/2017 12/6/2017 12/13/2017 12/21/2017 1/11/2018 1/12/2018 1/19/2018 1/22/2018 1/22/2018 12/4/2017 BUY 12/8/2017 BUY 12/15/2017 BUY 12/26/2017 BUY 1/12/2018 BUY 1/17/2018 BUY 1/23/2018 BUY 1/26/2018 BUY 1/26/2018 BUY 1/26/2018 BUY 1/29/2018 BUY 1/29/2018 BUY 1/30/2018 BUY 2/5/2018 BUY 2/13/2018 BUY 2/21/2018 BUY 2/21/2018 BUY 3/2/2018 BUY EFTA01418248 3/2/2018 BUY 1,400.0000 VNTR 3,400.0000 BBG 1,700.0000 AXL 1,200.0000 LX 4,900.0000 NEBUU 5,200.0000 EAGLU 20,000.0000 ADT 5,900.0000 PAGS 5,900.0000 PAGS -5,900.0000 PAGS 2,300.0000 ATNX 1,600.0000 GTES 3,100.0000 AGS 4,000.0000 VICI 3,000.0000 MGEN 4,800.0000 DFBHU 6,600.0000 DM 7,900.0000 BEDU 1,400.0000 NMIH 22.50000000 5.00000000 17.00000000 9.00000000 10.00000000 10.00000000 14.00000000 21.50000000 21.50000000 21.50000000 15.25000000 19.00000000 16.00000000 20.00000000 5.50000000 10.00000000 25.55000000 19.00000000 19.75000000 -31,500.00 -17,000.00 -28,900.00 -10,800.00 -49,000.00 -52,000.00 -280,000.00 -126,850.00 -126,850.00 126,850.00 -35,075.00 -30,400.00 -49,600.00 -80,000.00 -16,500.00 -48,000.00 -168,630.00 -150,100.00 -27,650.00 0.00 0.00 0.00 0.00 0.00 EFTA01418249 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 614.25 433.50 85.00 453.60 490.00 520.00 6,300.00 2,663.85 2,663.85 -2,663.85 1,262.70 912.00 1,785.60 2,640.00 594.00 576.00 660.00 3,602.40 829.50 10/2/2017 SELL 10/10/2017 SELL 10/17/2017 SELL 10/23/2017 SELL 10/30/2017 SELL 10/30/2017 SELL 11/3/2017 SELL 11/3/2017 SELL 11/7/2017 SELL 11/10/2017 SELL 11/13/2017 SELL EFTA01418250 11/20/2017 SELL 11/20/2017 SELL 11/21/2017 SELL 11/24/2017 SELL 12/4/2017 SELL 12/4/2017 SELL 12/8/2017 SELL 12/15/2017 SELL 12/26/2017 SELL 1/16/2018 SELL 1/17/2018 SELL 1/23/2018 SELL 1/24/2018 SELL 1/24/2018 SELL -1,300.0000 CLDR -6,400.0000 PQG -2,700.0000 REVG -6,000.0000 MOSC U -4,300.0000 BPMP -700.0000 HCM -3,200.0000 ALTR -8,500.0000 CSTM -2,400.0000 AQ -8,200.0000 AXL -700.0000 SRCI -800.0000 GDI -700.0000 JELD -800.0000 PSDO -2,000.0000 PCTY -4,600.0000 GTN -1,400.0000 VNTR -1,800.0000 SGH -1,700.0000 AXL -1,200.0000 LX -4,900.0000 NEBUU -5,200.0000 EAGLU -3,400.0000 BBG -10,000.0000 ADT -10,000.0000 ADT 17.45000000 17.54000000 27.25000000 10.15000000 17.29570000 28.64000000 17.19119000 11.40000000 9.08480000 17.62652000 8.49010000 27.92316000 34.56000000 15.00010000 48.01460000 14.40870000 21.92071000 27.80380000 17.25000000 11.94833000 10.06000000 10.05000000 5.07500000 11.43241000 EFTA01418251 11.50000000 22,685.00 112,256.00 73,575.00 60,900.00 74,371.51 20,048.00 55,011.81 96,900.00 21,803.52 144,537.46 5,943.07 22,338.53 24,192.00 12,000.08 96,029.20 66,280.02 30,688.99 50,046.84 29,325.00 14,338.00 49,294.00 52,260.00 17,255.00 114,324.10 115,000.00 150.00 256.00 108.00 240.00 172.00 50.00 128.00 340.00 96.00 328.00 50.00 50.00 50.00 50.00 80.00 184.00 56.00 72.00 68.00 50.00 196.00 208.00 136.00 400.00 400.00 6.53 USD 8.60 USD 7.70 USD 7.41 USD 7.72 USD 6.47 USD 7.28 USD 8.24 USD 6.51 USD 9.34 USD 6.14 USD 6.52 USD EFTA01418252 6.56 USD 6.28 USD 8.22 USD 7.54 USD 6.71 USD 7.16 USD 6.68 USD 6.34 USD 7.14 USD 7.21 USD 6.40 USD 2.65 USD 8.65 USD 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 Confidential EFTA01418253 1/24/2018 1/25/2018 1/26/2018 1/26/2018 2/1/2018 2/9/2018 2/16/2018 2/16/2018 2/28/2018 2/28/2018 2/28/2018 3/1/2018 1/26/2018 SELL 1/29/2018 SELL 1/30/2018 SELL 1/30/2018 SELL 2/5/2018 SELL 2/13/2018 SELL 2/21/2018 SELL 2/21/2018 SELL 3/2/2018 SELL 3/2/2018 SELL 3/2/2018 SELL 3/5/2018 SELL -5,900.0000 PAGS -2,300.0000 ATNX -3,100.0000 AGS -1,600.0000 GTES -4,000.0000 VICI -3,000.0000 MGEN -4,800.0000 DFBHU -6,600.0000 DM -3,900.0000 BEDU -2,500.0000 BEDU -1,400.0000 NMIH -1,500.0000 BEDU 28.50492000 14.90000000 17.60032000 18.79498000 20.85000000 5.25000000 10.01000000 26.01522000 18.29800000 18.08200000 20.65000000 18.06775000 168,179.03 34,270.00 54,560.99 30,071.97 83,400.00 15,750.00 48,048.00 171,700.45 71,362.20 45,205.00 28,910.00 27,101.63 236.00 92.00 124.00 EFTA01418254 64.00 160.00 120.00 192.00 264.00 156.00 100.00 56.00 60.00 $ 69,054.64 9.89 USD 6.80 USD 7.27 USD 6.70 USD 7.93 USD 6.37 USD 7.11 USD 9.97 USD 7.65 USD 7.05 USD 6.67 USD 6.63 USD $ 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 57,285.49 Regular Way Trading / Pershing ECM Buys ECM Sells $ 126,340.13 $ 76,983.42 $ 43,814.71 $ 5,542.00 $ 126,340.13 Confidential EFTA01418255