EFTA Document EFTA01373303

TRADE DATE STLMNT DATE BUY/SELL QUANTITY SYMIOI PRICE PRINCIPAL COMM. FEES TRANS. CCY SALES CREDIT Regular Way trading / Pershing 944/2017 9.48/2012 BUY 5.0000100 QCOM 51 07599400 -255379.97 20003 600 USD 0.00 945/2017 949/2017 BUY Nampo% AMD 13.06000000 .260.00000 800.00 600 USD 000 941/2017 9(21/2017 SELL 10.000.0100 ADVM 3.29905000 129.2\50 400.00 6.77 USD 0.00 941/20/7 9/25/2017 SELL -5.000.0097 AZSEY 2214665000 110.23,21 200.00 8.56 USD 000 9/21/2017 9/25/2017 SELL .1.0470010 &W 5165411000 1/2 .5169S 50.00 7.13 USD 000 9/21/2017 941/2017 SELL -5000.0000 ctrkl 53.22907000 '14.141 LS 20000 12.15 USD 0.00 9/21/2017 9.45/2017 SELL .5.000.0000 GSK 4039960000 41.99800 200.00 10.67 USD 0.00 9/21/2017 945/2017 WY 24,000.0000 VLKAY 34,14737500 .819337.00 960.00 600 USD 0.00 9/21/2017 9125/2017 SELL -15.000.0000 WEN 9.06213000 11193191 600.00 9.15 USD 0.00 9/27/2017 9.014017 BUY 500.0000 SPY 121520170251 26/800000 .130.90000 1.500,00 6.00 USD 0.00 9/27/2017 948/2017 BUY 6200000 SPY 12152017C 255 216150000 -114.01380 1236000 600 USD 0.00 9/29/2017 10/34017 BUY 1176,000.0000 TA2T4051016 101,00000000 643.84320 000 000 USD 1,009.10 9/29/2017 10/3/2017 WY 2.000.0000 AVGO 242864390/0 -4817N3.78 80.00 600 USD 0.00 9494017 104/2017 SELL 200000 AVGO 12152017C 250 10.38250000 .2`.765/, 60.00 648 USD 0.00 9/29/2017 10/2/2017 SELL -200000 AVG0 12152017 P240 1192100000 :6.312.00 60.00 6.56 USD 000 10/3/2017 10/5/2017 BUY 1000,000.0000 FTR3670629 100.10000000 100100000 0.00 603 USD 1,000.00 1041/2017 1043/2017 BUY 1000.000.0000 F1R3684517 98.75000000 93730000 0.00 6.03 USD zs0000 1043/2017 1047/2017 WY 2000.0000 AVGO 249.94514000 -49969068 80.00 600 USD 0.00 10/13/2017 10/16/2017 SELL .20.000) AVGO 12152017C 260 7.94790000 11831)0 60.0) 6.37 USD 0.00 1043/2017 10/1812017 SELL '20.0000 AVGO 12152017 P 240 7.85750000 13.21c W 6000 6.37 USD 0.00 1043/2017 10/16/2017 WY 100000 1WX 01192018 C 100 4.50000000 -4500.03 10.00 600 USD 0.00 1047/20/7 1018/2017 BUY 2.593.0000 3XE01192018P 112 0.960:0000 .233.370 00 2,593.00 600 USD 0.00 1017/2017 10/18/2017 WY 7.0000 FXE 01192018P 112 0.90000000 -630.00 7.00 000 USD 0.00 10/114)17 104012017 BUY 1000.000.0000 SACCO 101.00000000 1.063.05002 0.00 600 USD 1,25000 1049/2017 10/21/2017 BUY 350,000.00:0 SVM.GD 10400000000 364.00000 0.00 6.00 USD 437.50 10/20/2017 10/24/2017 BUY 00,000.0000 59/1.40 10400000000 83.20000 0.00 603 USD 100.00 10/24/2017 10/2612017 BUY 2000.000.0000 D334514119 97.02500000 1980.500.00 0.00 6.03 USD 2.500.00 10/244317 10126/2017 BUY 4A00,0000 GILD 80.0457003 -35221371 17600 600 USD 0.00 10/244317 10414017 SELL -65.0007 GILD 12152017 C 825 209923100 1/.0190 19500 632 USD 0.00 1044/2017 10,25/2017 SELL '60.0000 GM 12152117085 1.34450000 $012 /./3 180.00 6.19 USD 0.00 10/24/2017 10/21/2017 SELL 60.0000 GIL0 12152017P 75 1.18933100 7. OP.02 130.03 0.17 USD 000 1044/20/7 1025/2017 SELL -65.0000 GLD 12152017 P 75 1.18123100 7678/0 195.00 6.18 USD 0.93 10/25/2017 10/26/2017 SELL 300.0000 MAD 12152017 P 13 0.82000000 2400.00 100.00 6.57 USD 000 10/31/2017 11/2/2017 BUY 2000.000.0000 1BSAY4111909 99.06500000 1.98110000 000 000 USD 2300.00 10/31/2017 11/2/2017 BUY 70,0000010 SVM.GD 104.00000000 -7280000 000 603 USD 87.50 11/2/2017 11/3/2017 BUY 1000000 QCOM 11172017 P 50 0.07003000 70000 20.00 600 USD 0.00 11/3/2017 11/7/2017 BUY 26.000.0000 EWT 37.92921000 39315946 1.040.00 6.00 USD 0.00 11/34317 11/7/2017 BUY 13.000.0000 EWY 75109600) .98147098 520.00 600 USD 0.00 11/3/2017 11/6/2017 SELL 2.600.0000 EKE 01192018P 112 1.13695400 2950804 7,80000 1223 USD 0.00 11/3/2017 11/7/2017 WY 21000.0060 EC 46.32864000 .97290/44 840.00 600 USD 0.03 1144/20/7 1145/2017 SELL 6200000 SPY 12152017 C 255 4.67000000 23.9.14900 1.860.03 1269 USD 0.00 11/174317 11/21/2017 SELL .5.000.0000 QCOM 55.00000000 279.0"19.9:, 200.00 636 USD 0.00 Confidential CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067409 CONFIDENTIAL SDNY_GM_002 13593 EFTA01373303