EFTA Document EFTA01422040

Summary YTD Brokerage Revs 2018 SFLLC SFLLC!I1547803.15 HAZE Haze!134141.2818710460733 STC STC 1 I1550 JEVIF JEVIF!1234 USD-Equivalent Total SUM(C3:C6)B308.43187104607 &"arial unicode ms,Regular"Confidential PROT0 SFLLC Account # Account Short Name: Base CCY: USD Transaction Type : DATE BUY/SELL COMM. SALES CREDIT (BASE CCY) TRANS. RATE LOCAL PRICE NET AMT. (TRANS. CCY) TODAY 0 C4276150 103.85 /E DTD 08/12/15 CLB US172967JZ57 2/20/2018 CASH DIVIDEND RECEIVED TODAY -2 EWY 02162018 C 79 18879.000 OPTION ROOT= EWY 0 /2018 YOUR OPTION EXPIRED N/A TODAY 125 GILD 02162018 P 75 ON ROOT= GILD 0 [repeated 3 times] OPTION EXPIRED TODAY 125 ION ROOT= GILD OPTION EXPIRED TODAY 0 2/20/2018 TODAY 0 2/20/2018 TODAY 0 2/20/2018 2/20/2018 TO MARKET 2/16/2018 SELL -125 03162018 P EXP 03-16-18977.500 OPTION GILD 2/16/2018 2/20/2018 -125.00000 N/A 11736.72 2/16/2018 SELL -125 03162018 C EXP 03-16-18982.500 OPTION GILD 2/16/2018 2/20/2018 -125.00000 N/A 16634.60 N4G023804 EPSTEIN All Transactions QUANTITY SYMBOL FEES NET AMT. CCY TRADE DATE N/A N/A 0 GILD 02162018 C 82.5 0 N/A N/A 0 0 U.S.DOLLARS CURRENCY 0 2/20/2018 MONEY FUND REDEMPTION 0 0 2/20/2018 MARK TO MARKET N/A 0 0 Duration : Year To Date PRICE SEC. DESCRIPTION ISIN PRINCIPAL STLMNT DATE ACTIVITY FX CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08/15/88 B 0 [repeated 4 times] 89250 USD 2/20/2018 N/A N/A 89250 0.02 CALL 100 ISHARES INC MSCI SOUTH KOREA ETF EXP 02-16- 0 USD 2/20/2018 2/20 N/A 0 0.02 PUT 100 GILEAD SCIENCES INC EXP 02-16-18975.000 OPTI 0 0 USD 2/20/2018 2/20/2018 YOUR 0.01 CALL 100 GILEAD SCIENCES INC EXP [email protected] OPT 0 MARK GILD ROOT= Sell GILD ROOT= sell 0 USD 2/20/2018 2/20/2018 YOUR 0 N/A 0 N/A 0 1044951.85 N/A 1044951.85 0 0 -28371.32 -28371.32 0 0 28371.32 N/A N/A 28371.32 77.5 0.94944 PUT 100 GILEAD SCIENCES 11868 125 0 6.28 11736.72 Ps of GILD 03162018 P 77.5 at 0.949440000 82.5 1.36128 CALL 100 GILEAD SCIENCES 17016 375 0 6.40 16634.60 Cs of GILD 03162018 C 82.5 at 1.361280000 USD INC USD N/A INC USD N/A 2/16/2018 BUY 6600 DM 25.55 DOMINION ENERGY MIDSTREAM PRTNRS LP COM UNIT REP STG LTD PARTNERSHIP INT 052574541080 -168630 0 660 0 -168630 USD 2/16/2018 2/21/2018 Buy 6600.00000 share(s) of DM at 25.550000000 N/A N/A -168630 2/16/2018 SELL -6600 DM 26.01522 DOMINION ENERGY MIDSTREAM PRTNRS LP COM UNIT REPSTG LTD PARTNERSHIP INT 052574541080 171700.45 264 0 9.97 171426.48 USD 2/16/2018 2/21/2018 Sell -6600.00000 share(s) of DM at 26.015220000 N/A N/A 171426.48 2/16/2018 BUY 4800 DFBHU 10 DFB HEALTHCARE ACQUISITIONS CORP 1/3 WTSEXP 2023 U523291E2081 -48000 0 576 0 -48000 USD 2/21/2018 Buy 4800.00000 share(s) of DFBHU at 10.000000000 N/A N/A 2/16/2018 SELL -4800 DFBHU 10.01 DFB HEALTHCARE ACQUISITIONS CORP 1/3 WTSEXP 2023 U523291E2081 48048 192 0 7.11 47848.89 /2018 2/21/2018 Sell -4800.00000 share(s) of DFBHU at 10.010000000 N/A 8.89 2/16/2018 BUY 3 -920980 100 0 6 of BRK A at 1.000000000 2/16/2018 0 0 2/16/2018 2/16/2018 2/15/2018 0 ALLY PRA 0 QRTLY MATY-02/15/2040 CALLANYTIME @25 W/30 0 0 36804.40 USD N/A 36804.40 2/15/2018 0 134820 2/14/2018 USD N/A 2/14/2018 USD N/A 2/14/2018 0 0 2/14/2018 2/14/2018 2/13/2018 SELL -100 EXP 04-20-189240.000OPTION 2/13/2018 2/14/2018 25863.39 2/13/2018 SELL -40 AVGO 03162018 P 230 5.24125 PUT 100 BROADCOM LTDSHS ISIN#5G9999014823 EXP [email protected] ROOT= AVGO 20965 120 0 6.49 2083 8.51 USD 2/13/2018 2/14/2018 Sell -40.00000 Ps of AVGO 03162018 P 230 at 5.241250 000 N/A N/A 20838.51 2/13/2018 SELL -40 AVGO 03162018 C 240 11.90 CALL 100 BROADCOM LTD SHS BRK A 1 BERKSHIRE HATHAWAY INC DEL CL -921086 USD 2/16/2018 2/21/2018 N/A N/A -921086 0 FEDERAL FUNDS RECEIVED N/A 0 AAPL USD N/A 0 0 2/14/2018 0 0 2/14/2018 0 0 2/14/2018 UNIT 1 COM 2/16/2018 -48000 UNIT 1 COM USD 2/16 N/A 4784 A US0846701086 Buy 3.00000 share(s) 0 76000 USD N/A 76000 GMAC CAP TR I GTD TRPFD SECS SER 2 CPN- 8.125% FREQ DAYS BEGINS 02/15/16 U53618602086 0 0 2/15/2018 BOND INTEREST RECEIVED N/A N/A 0 APPLE INC COM US0378331005 0 2/15/2018 CASH DIVIDEND RECEIVED N/A N/A 134820 0 -110059.42 N/A -110059.42 0 110059.42 N/A 110059.42 0 24000 USD FEDERAL FUNDS RECEIVED N/A N/A 24000 0 128000 USD FEDERAL FUNDS RECEIVED N/A N/A 128000 SPY 04202018 P 240 2.617 PUT 100 SPDR S&P 500ETF TR TR UNIT ROOT= SPY 26170 300 0 6.61 25863.39 USD Sell -100.00000 Ps of SPY 04202018 P 240 at 2.617000000 N/A N/A PROT1 ISIN#SG9999014823 EXP [email protected] ROOT= AVGO 47600 120 0 7.10 4747 2.90 USD 2/13/2018 2/14/2018 Sell -40.00000 Cs of AVGO 03162018 C 240 at 11.90000 0000 N/A N/A 47472.90 2/13/2018 SELL -100 SPY 03162018 P 245 EXP [email protected] ROOT= SPY 16191 2/13/2018 2/14/2018 Sell -100.00000 Ps of 15884.62 2/13/2018 BUY 100 SPY 04202018 C 276 2.6547 CALL 100 SPDR S&P 500 IT EXP [email protected] ROOT= SPY -26547 300 0 6 -26853 /2018 2/14/2018 Buy 100.00000 Cs of SPY 04202018 C 276 at 2.654700000 N/A 53 2/13/2018 BUY 100 SPY 03162018 C 274 1.8187 CALL 100 SPDR S&P 500 IT EXP [email protected] ROOT= SPY -18187 300 0 6 -18493 /2018 2/14/2018 Buy 100.00000 Cs of SPY 03162018 C 274 at 1.818700000 N/A 93 2/13/2018 0 0 0 USD 2/13/2018 2/13/2018 ACTIVITY WITHIN YOUR ACCT N/A 2/13/2018 0 0 0 2/13/2018 2/13/2018 N/A N/A 2/13/2018 0 0 0 USD 2/13/2018 2/13/2018 MONEY FUND PURCHASE N/A N/A 2/9/2018 BUY 3000 MGEN 5.50 MIRAGEN THERAPEUTICSINC COM 00 0 594 0 -16500 USD 2/9/2018 2/13/2018 (5) Of MGEN at 5.500000000 N/A N/A -16500 2/9/2018 SELL -3000 MGEN 5.25 MIRAGEN THERAPEUTICSINC COM U560463E1038 1575 O 120 0 6.37 15623.63 USD 2/9/2018 2/13/2018 Sell -3000.0 0000 share(s) of MGEN at 5.250000000 N/A N/A 15623.63 2/8/2018 0 0 0 0 USD 2/8/2018 2/8/2018 N/A 2/7/2018 0 0 0 0 USD 2/7/2018 2/7/2018 N/A 2/6/2018 0 0 0 0 USD 2/6/2018 2/6/2018 N/A 2/5/2018 BUY 10000 NTDOY 51.75 NINTENDO LTD ADR O 6 -517906 USD 2/5/2018 2/7/2018 Buy 51.750000000 N/A N/A -517906 2/5/2018 BUY 3 BRK A 1 BERKSHIRE HATHAWAY INC DEL CL A US0846701086 -931170 100 0 6 -931276 USD 2/5/2018 2/7/2018 Buy 3.00000 share(s) of BRK A at 1.000000000 N/A N/A -931276 2/5/2018 0 0 0 -135630.39 USD 2/5/2018 2/5/2018 N/A N/A -135630.39 2/2/2018 SELL -525 XLI 06152018 C 80 2.3517 CALL 100 SELECT SECTOR SPDR TR I NDL EXP [email protected] OPTION ROOT= XLI 123464.25 1575 0 8.86 121880.39 USD 2/2/2018 2/5/2018 Sell -525.00000 Cs of XLI 06152018 C 80 at 2.351700000 N/A N/A 121880.39 2/2/2018 0 E 6.2504 01/17/62 B/E DTD 01/17/12 CLB 0 93750 USD 1.6191 PUT 100 SPDR S&P 500ETF TR TR UNIT 300 0 6.38 15884.62 USD SPY 03162018 P 245 at 1.619100000 N/A N/A O 0 51580.27 N/A 51580.27 O 0 1397601.73 N/A 1397601.73 O 0 -31651.80 N/A -31651.80 U56544453037 -517500 400 10000.00000 share(s) of NTDOY at EIX.AA 0 SOUTHERN CALIF EDISON CO PREF SER CLB 02/01/22 @100.000 US842400FU26 0 N/A 2/2/2018 2/2/2018 0 USD 2/2/2018 2/1/2018 0 USD 2/1/2018 2/1/2018 BUY 2640 0 -80000 0.000000000 N/A N/A -80000 2/1/2018 SELL -4000 VICI O 7.93 83232.07 USD VICI at 20.850000000 N/A N/A 2/1/2018 0 ZHUZF 0 ISIN#CNE1000004X4 CNE1000004X4 2018 FOREIGN CUSTODY FEE N/A 2/1/2018 0 WEICF 0 CNE1000004L9 0 ODY FEE N/A N/A 2/1/2018 0 ISIN#CNE100000304 2018 FOREIGN CUSTODY 2/1/2018 0 ISIN#CNE1000002F5 2018 2/1/2018 0 CNE100000125 0 ODY FEE N/A N/A 2/1/2018 0 CNE1000001W2 0 ODY FEE N/A N/A 2/1/2018 0 O 0 0 -2 ETF TR TR UN USD 2/13 N/A -268 ETF TR TR UN USD 2/13 N/A -184 O -2417.77 N/A -2417.77 O 2417.77 USD 2417.77 O -1541.40 -1541.40 U560463E1038 -165 Buy 3000.00000 share N/A 93750 O 0 2/2/2018 N/A N/A -51556. O 0 2/1/2018 N/A N/A 4000 VICI 20 VICI PPTYS INC COM U59256521090 USD 2/1/2018 2/5/2018 Buy 4000.00000 share(s) -2 DNGFF 0 CNE100000304 FEE N/A CCCGF 0 CNE1000002F5 FEE N/A BACHF 0 O 0 -2 AHCHF 0 O 0 -2 ZTCOF 0 -2 USD 20.85 VICI 2/1/2018 83232.07 ZHUZHOU CRRC 0 0 N/A -2 WEICHAI POWER CO 0 -2 USD DONGFANG ELECTRIC 0 N/A -2 CHINA COMMUNICATIONSCONSTRUCTION COMPANYLTD SHS H 0 -2 USD N/A 2/1/ N/A -2 BANK OF CHINA LTD 0 -2 USD -51556.27 27 -65038.48 -65038.48 -80000 0 of VICI at 2 PPTYS INC COM U59256521090 83400 160 2/5/2018 Sell -4000.00000 share(s) of TIMES ELECTRIC CO LTD SHS 0 0 -2 USD N/A 2/1/ LTD SHS H ISINICNE1000004L9 N/A 2/1/2018 FOREIGN CUST CORPORATION LTD SHS H 0 -2 USD N/A 2/1/ BEIJING SHS H ISINICNE1000001Z5 N/A 2/1/2018 FOREIGN CUST ANHUI CONCH CEMENT CO LTD SHS H ISINICNE1000001W2 0 -2 USD N/A 2/1/2018 FOREIGN CUST ZTE CORP SHS H ISIN#CNE1000004Y2 CNE1000004Y2 0 N/A 2/1/2018 FOREIGN CUSTODY FEE N/A N/A PROT2 2/1/2018 0 USD 2/1/2018 2/1/2018 0 USD 2/1/2018 2/1/2018 0 ZAE000015889 0 ODY FEE N/A N/A 2/1/2018 0 3P3651210001 0 ODY FEE N/A N/A 2/1/2018 0 BMG653181005 0 0 ODY FEE N/A N/A -2 2/1/2018 0 LONKF 0 KYG5636C1078 0 ODY FEE N/A N/A -2 2/1/2018 0 HBCYF 0 GB0005405286 0 ODY FEE N/A -2 N/A 0 -1156.25 O 0 0 2/1/2018 O 0 0 2/1/2018 N/A NAPRF 0 NASPERS LIMITED LTD O 0 0 -2 USD N/A -2 NCTKF 0 NABTESCO CORP TOKYO SHS LTD 0 0 -2 USD N/A 0 -2 NDGPF 0 0 O 0 NINE DRAGONS PAPER HOLDINGS 0 -2 USD N/A LONKING HOLDINGS LTDSHS 0 -2 USD N/A HSBC HOLDINGS PLC ORD SHS 0 -2 USD N/A O 0 65038.48 N/A N/A 65038.48 O 0 -1367401.33 N/A -1367401.33 ISINIZAE000015889 2/1/2018 FOREIGN CUST ISIN#JP3651210001 2/1/2018 FOREIGN CUST LTD SHS ISINIBMG653181005 2/1/2018 FOREIGN CUST ISINIKYG5636C1078 2/1/2018 FOREIGN CUST ISINIGB0005405286 2/1/2018 FOREIGN CUST 1/31/2018 0 0 0 USD 1/31/2018 1/31/2018 N/A 1/31/2018 SELL -900 SPY 03162018 C 270 14.5011 CALL IT EXP 03-16-18#270.000OPTION ROOT= SPY 1305099 2700 0 1/31/2018 2/1/2018 Sell -900.00000 Cs of SPY 03162018 C N/A 1302362.85 1/31/2018 0 0 DEUTSCHE GOVERNMENT CASH INSTITUTIONAL 0 -1087.53 USD 1/31/2018 1/31/2018 MONEY MARKET FUND N/A -1087.53 1/31/2018 0 0 1087.53 USD 1/31/2018 1/31/2018 N/A 1087.53 1/30/2018 0 USD 1/30/2018 1/30/2018 1130.4 121L5104 0 VEST CASH INCOME 1/30/2018 0 ED N/A N/A 1/30/2018 0 USD 1/30/2018 1/30/2018 0 USD 1/30/2018 1/29/2018 0 N/A 1/29/2018 1/29/2018 0 N/A 1/29/2018 1/29/2018 0 USD 1/29/2018 1/29/2018 0 USD 1/29/2018 1/29/2018 0 USD 1/29/2018 1/29/2018 0 N/A 1/29/2018 1/26/2018 SELL 1839063 1200 0 00000 share(s) of DXJ at 61.302100000 N/A N/A 1837814.51 1/26/2018 BUY 3100 AGS 16 PLAYAGS INC COM 0572814N1046 -49600 0 1785.60 0 -49600 USD 1/26/2018 1/30/2018 Buy 3100.00000 share(s) of AGS at 16 .000000000 N/A N/A -49600 1/26/2018 SELL -3100 AGS 17.60032 PLAYAGS INC COM U572814N1046 5456 0.99 124 0 7.27 54429.72 USD 1/26/2018 1/30/2018 Sell -3100.0 0000 share(s) of AGS at 17.600320000 N/A N/A 54429.72 1/26/2018 0 0 0 485065.08 USD 1/26/2018 1/26/2018 N/A N/A 485065.08 1/26/2018 0 0 0 -261492.70 USD N/A 1/26/2018 FEDERAL FUNDS SENT N/A N/A -261492.70 1/26/2018 BUY -5900 PAGS 21.50 PAGSEGURO DIGITAL LTD REGISTERED SHS -A- ISIN#KYG687071012 KYG687071012 126850 0 -2663.85 0 126850 USD 1/24/2018 1/26/2018 Cancel Buy -5900.00000 share(s) of PAGS at 21.500000000 N/A N/A 126850 1/26/2018 0 2689:HK 0 NINE DRAGONS PAPER HOLDINGS LTD SHS ISINIBMG653181005 BMG653181005 5473.06 0 0 0 5473.06 HKD 12/21/2017 1/26/2018 FORE IGN SECURITY DIVIDEND RECEIVED N/A N/A 42782.40 1/26/2018 SELL -1600 GTES 18.79498 GATES INDUSTRIAL CORPORATION PLC REGI STERED SHS ISIN#GBOOBD9G2S12 GBOOBD9G2S12 30071.97 64 0 6.70 3000 1.27 USD 1/26/2018 1/30/2018 Sell -1600.00000 share(s) of GTES at 18.794980000 N/A N/A 30001.27 N/A -1156.25 100 SPDR S&P 500 ETF TR TR UN 36.15 1302362.85 USD 270 at 14.501100000 N/A O 0 REINVESTMENT N/A O 0 INCOME RECEIVED O 0 1/30/2018 N/A 53 JPHSX 0 JPMORGAN FLOATING RATE INCOME O 0 0 -10682.78 USD N/A -10682.78 JPHSX 0 JPMORGAN FLOATING RATE INCOME FUND O 10682.78 USD N/A 1/30/2018 10682.78 O 0 1754210.71 1/30/2018 N/A N/A 1754210.71 O 0 -1789041.70 1/30/2018 N/A N/A -1789041.70 O 0 19602 USD N/A 19602 O 0 -19602 USD N/A -19602 O 0 -1786642.85 1/29/2018 N/A N/A -1786642.85 O 0 1786642.85 1/29/2018 N/A N/A 1786642.85 O 0 -2936251.75 1/29/2018 N/A N/A -2936251.75 O 0 -100000 USD FEDERAL FUNDS SENT N/A N/A -100000 -30000 DXJ 61.3021 WISDOMTREE TR JAPAN HEDGED EQUITY FD US97717W8516 48.49 1837814.51 USD 1/26/2018 1/30/2018 Sell -30000. 0 N/A O -1754210.71 N/A -1754210.71 FUND CLASS I US48 1/30/2018 REIN CLASS I US48121L5104 CASH DIVIDEND RECEIV PROT3 1/25/2018 BUY 20 AVGO 02162018 C 260 3.06 EXP [email protected] ROOT= AVGO 6 USD 1/25/2018 1/26/2018 Buy 20.00000 Cs O N/A N/A - 6186 1/25/2018 BUY 20 AVGO 02162018 C 250 6.675 EXP [email protected] ROOT= AVGO 16 USD 1/25/2018 1/26/2018 Buy 20.00000 Cs O N/A N/A - 13416 1/25/2018 SELL - 30000 DXJ 717W8516 1841664.60 1200 /2018 Sell -30000.00000 share(s) of 1/25/2018 0 WAMU3515294 TF CL C-B-1 VAR RATE 6.999t 07/25/33 O 27129.33 USD N/A N/A 27129.33 1/25/2018 0 WAMU3515294 0 WASHINGTON MUT MTG SECS CORP 2004-RA2 MTG PASSTHRU C TF CL C-B-1 VAR RATE 6.999% 07/25/33 B/E DTD 06/01/04 N/C US939336S201 0 O 2998.29 USD N/A 1/25/2018 BOND INTEREST RECEIVED N/A N/A 2998.29 1/25/2018 SELL -1000000 FTR3684517 96.158 FRONTIER COMMUNICATIONS CORP SR NT F ULLY EXCHANGED FROM CUSIP 8.500% 04/15/20 B/E DTD 04/12/10 N/C US35906AAH14 961580 0 1250 6 986129.56 USD 1/25/2018 1/29/2018 Sell -1000000.00000 parValue of FTR3 684517 at 96.158000000 N/A N/A 986129.56 1/25/2018 BUY 2300 ATNX 15.25 ATHENEX INC 1262.70 0 -35075 USD 1/25/2018 1/29/2018 -35075 ATNX 14.90 ATHENEX INC COM US04685N1037 34270 92 1/25/2018 34171.2 PAGS 21.50 LTD SHS -6120 60 0 6 -618 of AVGO 02162018 C 260 at 3.06000000 LTD SHS -13350 60 0 6 -134 of AVGO 02162018 C 250 at 6.67500000 61.38882 WISDOMTREE TR JAPAN HEDGED EQUITY FD US07 0 48.55 1840416.05 USD 1/25/2018 1/29 DXJ at 61.388820000 N/A N/A 1840416.05 0 WASHINGTON MUT MTG SECS CORP 2004-RA2 MTG PASSTHRU C B/E DTD 06/01/04 N/C US939336S201 0 1/25/2018 RETURN OF PRINCIPAL RECEIVED N/A 5.250000000 1/25/2018 O 6.80 14.900000000 1/25/2018 ISINIKYG687071012 KYG687071012 /2018 1/26/2018 Buy 5900.00000 share(s) 1/25/2018 BUY 5900 PAGS 21.50 ISIN#KYG687071012 KYG687071012 /2018 1/26/2018 Buy 5900.00000 share(s) 1/25/2018 BUY 1600 GTES 19 HS ISIN#GBOOBD9G2S12 GBOOBD9G2S12 /2018 1/29/2018 Buy 1600.00000 share(s) 1/24/2018 0 0 0 USD 1/24/2018 1/24/2018 N/A N/A 1/24/2018 SELL -5900 PAGS 28.50492 PAGSEGURO DIGITAL LTD ISIN#KYG687071012 KYG687071012 168179.03 236 0 9.89 1679 33.14 USD 1/24/2018 1/26/2018 Sell -5900.00000 share(s) of PAGS at 28.504920000 N/A N/A 167933.14 1/23/2018 0 0 0 -14740.33 USD 1/23/2018 1/23/2018 N/A N/A -14740.33 1/23/2018 BUY 2 EWY 02162018 C 79 0.62 CALL 100 ISHARES INCMSCI SOUTH KOREA ETFEXP 02-16-18879.000 OPTION ROOT= EWY -124 2 0 6 -132 USD 1/23 /2018 1/24/2018 Buy 2.00000 Cs of EWY 02162018 C 79 at 0.620000000 N/A N/A -132 1/23/2018 0 0 0 14740.33 USD 1/23/2018 1/23/2018 N/A N/A 14740.33 1/23/2018 0 0 0 248147.07 USD 1/23/2018 1/23/2018 N/A N/A 248147.07 1/22/2018 0 0 0 -14740.33 1/22/2018 N/A -14740.33 0 0 0 1/22/2018 N/A 14740.33 -10 TWX 01192018 C 100 0 CALL 100 TIME WARNERINC 0000PTION ROOT= TWX 0 [repeated 5 times] N/A N/A SELL -2300 34171.2 USD N/A N/A BUY 5900 COM US04685N1037 -35075 0 Buy 2300.00000 share(s) of ATNX at 1 1/29/2018 Sell -2300.00000 share(s) of ATNX at PAGSEGURO DIGITAL LTD REGISTERED SHS -126850 0 2663.85 0 -126850 of PAGS at 21.500000000 N/A N/A PAGSEGURO DIGITAL LTD REGISTERED SHS -126850 0 2663.85 0 -126850 of PAGS at 21.500000000 N/A N/A GATES INDUSTRIAL CORPORATION PLC -30400 0 912 0 -30400 of GTES at 19.000000000 N/A N/A USD 1/24 -126850 USD 1/24 -126850 REGISTERED S USD 1/25 -30400 O -228380.80 -228380.80 REGISTERED SHS -A- USD N/A 1/22/2018 USD N/A 1/22/2018 01-19-188100. /2018 YOUR OPTION EXPIRED N/A 1/22/2018 SELL -10000 ADT 24.10 400 0 2.65 113921. 00000 sharels) of ADT at 11.432410000 1/22/2018 SELL -10000 ADT O 8.65 114591.35 USD O ADT at 11.500000000 N/A N/A 114591.35 1/19/2018 SELL -20 AVGO 02162018 C 260 12.775 EXP 02-16-188260.000OPTION ROOT= AVGO 3.40 USD 1/19/2018 1/22/2018 Sell -20.00000 0000 N/A N/A 25483.40 1/19/2018 SELL -250 GE 03162018 P 18 1.852 EXP [email protected] OPTION ROOT= GE 46300 750 0 /2018 1/22/2018 Sell -250.00000 Ps of GE 03162018 P 18 2.93 1/19/2018 BUY 20 AVGO 01192018 C 260 8.375 EXP [email protected] ROOT= AVGO 16 USD 1/19/2018 1/22/2018 Buy 20.00000 Cs N/A 0 11.43241 45 USD N/A N/A 11.50 ADT 1/22/2018 ADT INC DEL 1/22/2018 113921.45 INC DEL 1/24/2018 O 14740.33 NEW COM NEW EXP USD N/A 1/22 COM U500090Q1031 1143 1/24/2018 Sell -10000. COM US00090Q1031 115000 400 sell -10000.00000 share(s) o LTD SHS 25550 60 0 6.60 2548 Cs of AVGO 02162018 C 260 at 12.77500 PUT 100 GENERAL 7.07 45542.93 at 1.852000000 N/A ELECTRIC CO COM USD 1/19 N/A 4554 LTD SHS -16750 60 0 6 -168 of AVGO 01192018 C 260 at 8.37500000 O N/A N/A -16816 1/19/2018 BUY 250 EXP [email protected] OPTION GE 01192018 P 18 1.54856 PUT 100 GENERAL ELECTRIC CO COM ROOT= GE -38714 750 0 6 -39470 USD 1/19/2018 PROT4 1/22/2018 Buy 250. 1/19/2018 SELL O 6.40 17112.60 BBG at 5.075000000 1/19/2018 BUY 6300 0 -280000 4.000000000 N/A 1/18/2018 0 USD 1/18/2018 1/18/2018 0 USD 1/18/2018 1/18/2018 0 N/A 1/18/2018 1/18/2018 0 USD 1/18/2018 1/17/2018 BUY TS ETF EXP [email protected] OPTION ROOT= EEM -103200 2400 0 6 -105 606 USD 1/17/2018 1/18/2018 Buy 2400.00000 Cs of EEM 06152018 C 55 at 0.43000000 O N/A N/A -105606 1/17/2018 0 0 0 -49666.67 USD 1/17/2018 1/17/2018 N/A N/A -49666.67 1/16/2018 0 EXL14514119 0 EXELA INTER LLC / EXELA FIN INC GTD FIRST PRIORITY S R SECD NT 144A 10.000% 07/15/23 B/E DTD 07/12/17 CLB CLB 07/15/20 @105.000 U530162RAA95 0 O 0 0 101666.67 USD N/A 1/16/2018 BOND INTEREST RECEIVED N/A N/A 101666.67 1/16/2018 0 0 0 -49090.86 USD 1/16/2018 1/16/2018 N/A N/A -49090.86 BUY 5200 EAGLU 10 PLATINUM EAGLE ACQUISITION CORP UNIT 1 CL A NT EXP 2025 ISIN#KYG7126L1260 KYG7126L1260 -52000 0 520 0 -520 1/12/2018 1/17/2018 Buy 5200.00000 share(s) of EAGLU at 10.000000000 -52000 0 0 0 49000 USD 1/12/2018 N/A N/A 49000 SELL -5200 EAGLU 10.05 PLATINUM EAGLE ACQUISITION CORP UNIT 1 CL A NT EXP 2025 ISIN#KYG7126L1260 KYG7126L1260 52260 208 0 7.21 5204 1/12/2018 1/17/2018 Sell -5200.00000 share(s) of EAGLU at 10.050000000 52044.79 00000 Ps of GE 01192018 P 18 at 1.548560000 -3400 BBG 5.075 BARRETT BILL CORP USD 1/19/2018 1/23/2018 N/A N/A 17112.60 20000 ADT 14 ADT INC DEL USD 1/19/2018 1/23/2018 Buy N/A -280000 O 0 0 1/18/2018 O 0 0 1/18/2018 N/A O 0 0 FEDERAL FUNDS SENT N/A N/A -41000 O 0 53561.21 1/18/2018 N/A N/A 53561.21 2400 EEM 06152018 C 55 0.43 CALL 100 ISHARES TR MSCI EMERGING MK N/A N/A -39470 COM US06846N1046 17255 136 Sell -3400.00000 share(s) of COM US00090Q1031 -280000 0 20000.00000 share(s) of ADT at 1 O 0 -53561.21 N/A N/A -53561.21 O 0 94561.21 N/A 94561.21 O 0 -41000 USD 1/16/2018 & 1/3 RED 00 USD N/A N/A 1/12/2018 & 1/3 RED 4.79 USD N/A N/A 1/11/2018 0 0 0 -30247.17 USD 1/11/2018 1/11/2018 N/A N/A -30247.17 1/11/2018 SELL -4900 NEBUU 10.06 NEBULA ACQUISITION CORP UNIT 1 CL A & 1/3 WT EXP 1 2/31/24 056290762094 49294 196 0 7.14 49090.86 USD 1/11/2018 1/16 /2018 Sell -4900.00000 share(s) of NEBUU at 10.060000000 N/A N/A 49090.86 1/10/2018 0 0 0 -30247.17 USD N/A 1/10/2018 N/A -30247.17 1/10/2018 0 0 0 30247.17 USD N/A 1/10/2018 N/A 30247.17 1/10/2018 BUY 4900 NEBUU 10 NEBULA ACQUISITION CORP UNIT 1 CL A & 1/3 WT EXP 1 2/31/24 US6290762094 -49000 0 490 0 -49000 USD 1/10/2018 1/12/2018 Buy 4900.00000 share(s) of NEBUU at 10.000000000 N/A N/A -49000 0 101269 USD 1/10/2018 1/10/2018 N/A N/A 101269 1/9/2018 SELL -125 GILD 02162018 C 82.5 1.24776 CALL 100 GILEAD SCIENCES INC EXP [email protected] OPTION ROOT= GILD 15597 250 0 6.37 15340.63 USD 1/9/2018 1/10/2018 Sell -125.00000 Cs of GILD 02162018 C 82.5 at 1.247760000 N/A N/A 15340.63 1/9/2018 SELL -125 GILD 02162018 P 75 1.58488 PUT 100 GILEAD SCIENCES INC EXP [email protected] OPTION ROOT= GILD 19811 250 0 6.46 19554.54 USD 1/9/2018 1/10/2018 Sell -125.00000 Ps of GILD 02162018 P 75 at 1.584880000 N/A N/A 19554.54 1/9/2018 BUY 125 GILD 01192018 P 75 0.36136 PUT 100 GILEAD SCIENCES INC EXP [email protected] OPTION ROOT= GILD -4517 125 0 6 -4648 USD 1/9/ 2018 1/10/2018 Buy 125.00000 Ps of GILD 01192018 P 75 at 0.361360000 N/A N/A -464 8 1/9/2018 PDR TR INDL 1/9/2018 -101269 1/3/2018 0 0 0 0 1/3/2018 1/3/2018 N/A N/A 1/2/2018 0 0 0 0 USD 1/2/2018 1/2/2018 1/2/2018 ISIN#CNE1000004X4 2018 1/2/2018 CNE1000004L9 0 ODY FEE N/A N/A 1/2/2018 ISIN#CNE100000304 BUY 525 EXP [email protected] 1/10/2018 XLI 06152018 C 80 1.898819 CALL 100 SELECT SECTOR S OPTION ROOT= XLI -99688 1575 0 6 -101269 USD Buy 525.00000 Cs of XLI 06152018 C 80 at 1.898819000 N/A N/A ZHUZF 0 CNE1000004X4 FEE N/A WEICF 0 O 0 -2 DNGFF 0 CNE100000304 ZHUZHOU CRRC TIMES ELECTRIC CO 0 N/A -2 WEICHAI POWER CO LTD SHS H 0 -2 USD N/A DONGFANG ELECTRIC 0 24 0 N/A LTD SHS -2 O 24 USD O -29539.80 N/A -29539.80 -H- USD N/A 1/2/ ISINICNE1000004L9 1/2/2018 FOREIGN CUST CORPORATION LTD SHS H 0 -2 USD N/A 1/2/ PROT5 2018 1/2/2018 0 ISIN#CNE1000002F5 2018 1/2/2018 0 CNE100000125 0 ODY FEE N/A N/A 1/2/2018 0 CNE1000001W2 0 ODY FEE N/A N/A 1/2/2018 0 -2 1/2/2018 0 USD 1/2/2018 1/2/2018 0 USD 1/2/2018 1/2/2018 0 ZAE000015889 0 ODY FEE N/A N/A 1/2/2018 0 JP3651210001 0 0 ODY FEE N/A N/A -2 1/2/2018 0 NDGPF 0 BMG653181005 0 ODY FEE N/A N/A -2 1/2/2018 0 LONKF 0 KYG5636C1078 0 ODY FEE N/A N/A -2 1/2/2018 0 HBCYF 0 GB0005405286 0 ODY FEE N/A N/A -2 USD SUBTOTAL(9,17:I152)149 Total Revenue SUM(I153:J153)7803.15 &"arial unicode ms,Regular"Confidential FEE N/A CCCGF 0 CNE1000002F5 FEE N/A BACHF 0 O 0 -2 AHCHF 0 O 0 -2 ZTCOF 0 ZTE CORP SHE H ISINICNE1000004Y2 CNE1000004Y2 0 -2 USD N/A 1/2/2018 FOREIGN CUSTODY FEE N/A -2 CHINA COMMUNICATIONSCONSTRUCTION COMPANYLTD SHS H 0 -2 USD N/A 1/2/ 0 N/A -2 BANK OF CHINA 0 -2 LTD BEIJING SHS USD N/A H ISINICNE1000001Z5 1/2/2018 FOREIGN CUST ANHUI CONCH CEMENT CO LTD SHS H ISINICNE1000001W2 0 -2 USD N/A 1/2/2018 FOREIGN CUST O 0 0 1/2/2018 O 0 0 1/2/2018 N/A NAPRF 0 NASPERS LIMITED LTD O 0 -2 USD N/A 0 -2 NCTKF O NABTESCO CORP TOKYO SHS LTD O 0 -2 USD N/A NINE DRAGONS PAPER HOLDINGS 0 -2 USD N/A LONKING HOLDINGS LTDSHS 0 -2 USD N/A HSBC HOLDINGS PLC ORD SHS 0 -2 USD N/A SUBTOTAL(9,J7:3152)654.15 0 0 29539.80 N/A N/A 29539.80 0 0 -36539.8 N/A -36539.8 ISINIZAE000015889 1/2/2018 FOREIGN CUST ISIN#JP3651210001 1/2/2018 FOREIGN CUST LTD SHS ISINIBMG653181005 1/2/2018 FOREIGN CUST ISINIKYG5636C1078 1/2/2018 FOREIGN CUST ISINIGB0005405286 1/2/2018 FOREIGN CUST PROT6 Haze Account # N4G024943 Account Short Name: Base CCY: USD Transaction Type : DATE BUY/SELL COMM. SALES CREDIT (BASE CCY) TRANS. RATE LOCAL PRICE NET AMT. (TRANS. CCY) 2/16/2018 0 0 0 USD 2/16/2018 2/16/2018 N/A N/A 2/15/2018 0 C PRK 0 CITIGROUP INC DEP SHS REPSTG 1/1000TH PERPETUAL MATT PERPETUAL CALL 11/15/[email protected] U51729673418 0 33945.35 USD N/A 2/15/2018 CASH DIVIDEND RECEIVED O 0 2/14/2018 O 0 2/13/2018 FEDERAL FUNDS RECEIVED O 0 EPSTEIN All Transactions QUANTITY SYMBOL PRICE SEC. DESCRIPTION FEES NET AMT. CCY TRADE DATE STLMNT DATE ACTIVITY Duration : Year To Date 2/14/2018 0 USD 2/14/2018 2/13/2018 0 USD 2/13/2018 2/7/2018 0 USD 2/7/2018 2/7/2018 N/A N/A 1106006.80 2/6/2018 0 0 0 1116166 USD 2/6/2018 2/6/2018 N/A N/A 1116166 2/5/2018 BUY 1000 GOOG 1105.9568 -1105956.80 50 0 0 -1106006.80 1000.00000 share(s) of GOOG at 1105.956800000 N/A 2/2/2018 BUY 1000 GOOG 1116.116 -1116116 50 0 0 -1116166 1000.00000 share(s) of GOOG at 2/2/2018 0 0 2/2/2018 2/2/2018 2/1/2018 0 PIAIF CNE1000003X6 0 0 ODY FEE N/A N/A -2 2/1/2018 0 ISIN#CNE1000009Q7 2018 2/1/2018 0 CNE1000002L3 0 ODY FEE N/A N/A 2/1/2018 0 ISIN#HK0000069689 2018 1/31/2018 0 -4395.80 USD N/A -4395.80 1/31/2018 0 0 4395.80 USD 1/31/2018 N/A 4395.80 1/30/2018 O 0 N/A N/A 1/30/2018 O 0 N/A 8124.30 1/25/2018 0 0 0 2034893.09 USD 1/25/2018 1/25/2018 N/A N/A 2034893.09 1/23/2018 BUY 40500 2318:HK 97.50 PING AN INSURANCE COLTD SHARES SHS H ISIN#CNE1000 003X6 CNE1000003X6 -3948750 5923.12 0 4253.06 -506379.58 HKD 1/23/2018 1/25/2018 Buy 40500.00000 of 2318:HK at 97.500000000 N/A N/A -3958926.18 1/23/2018 BUY 95400 2601:HK 41.8453 CHINA PAC INS GROUP CO LTD REGISTERED SHS H ISIN#CNE1000009Q7 CNE1000009Q7 -3992041.62 5988.06 0 4300.39 -511931.30 HKD 1/23/2018 1/25/2018 Buy 95400.00000 of 2601:HK at 41.845300000 N/A N/A -4002330.07 1/23/2018 BUY 151000 2628:HK 26.1974 CHINA LIFE INSURANCE CO H SHS ISIN#CNE1000 002L3 CNE1000002L3 -3955807.40 5933.71 0 4260.6 -507284.60 HKD 1/23/2018 1/25/2018 Buy 151000.00000 of 2628:HK at 26.197400000 N/A N/A -3966001.71 1/23/2018 BUY 59000 1299:HK 67.25 AIA GROUP LTD HONG KONG SHS ISIN#HK0000069689 HK0000069689 -3967750 5951.62 0 4273.52 -508816.10 HKD 1/23/2018 1/25/2018 Buy 59000.00000 of 1299:HK at 67.250000000 N/A N/A -3977975.14 1/23/2018 O 0 N/A N/A 1/22/2018 PERPETUAL MATT 0 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0 ISIN PRINCIPAL FX O -33945.35 -33945.35 PFD SER K DIV 6.875% O 0 0 N/A 33945.35 O -57387.52 -57387.52 O 57387.52 57387.52 O 1106006.80 859.714 JPHSX 0 0 -8124.30 0 JPHSX 0 0 ALPHABET INC CAP STKCL C US02079K1079 USD 2/5/2018 2/7/2018 Buy N/A -1106006.80 ALPHABET INC CAP STKCL C US02079K1079 USD 2/2/2018 2/6/2018 Buy 1116.116000000 N/A N/A -1116166 0 8 USD N/A N/A 8 O PING AN INSURANCE COLTD SHARES SHS H ISINICNE1000003X6 O 0 -2 USD N/A 2/1/2018 FOREIGN CUST CHPXF 0 CNE1000009Q7 FEE N/A CILJF 0 O 0 -2 AAIGF 0 AIA GROUP LTD HK0000069689 0 0 FEE N/A N/A -2 O 1/31/2018 1/31/2018 CHINA PAC INS GROUP CO LTD REGISTERED SHS H 0 -2 USD N/A 2/1/ N/A -2 CHINA LIFE INSURANCE CO H SHS ISINICNE1000002L3 0 -2 USD N/A 2/1/2018 FOREIGN CUST HONG KONG 0 0 -2 SHS USD N/A 2/1/ O 0 0 REINVESTMENT N/A 0 1/31/2018 INCOME RECEIVED N/A O JPMORGAN FLOATING RATE INCOME FUND CLASS I US48121L5104 -8124.30 USD N/A 1/30/2018 REINVEST CASH INCOME O JPMORGAN FLOATING RATE INCOME FUND 8124.30 USD N/A 1/30/2018 CASH CLASS I US48121L5104 DIVIDEND RECEIVED N/A 0 0 0 1/23/2018 N/A N/A -72500 BUY 1.59052331E7 7.81625 HONG KONG DOLLAR CURRENCY -2034893.09 0 -2034893.09 USD 1/23/2018 1/25/2018 FOREIGN CURRENCY EXCHANGE -2034893.09 0 C PRC 0 CITIGROUP INC DEP SHS REPSTG 1/1000 PFD SER C DIV 5.8% PERPETUAL CALL 04/22/18825.00 051729673665 0 O -72500 USD PROT7 72500 USD N/A 1/22/2018 N/A 72500 USD SUMIF($M$7:$M$31,"USD",$I$7:$I$31)0 SUMIF($M$7:$M$31,"USD",$J$7:$J$31)=0 HKD Equivalent SUMIF($M$7:$M$31,"HKD",$I$7:$I$31)/7.8245041.2818710460733 SUMIF($M$7:$M$31,"HK D",$J$7:$J$31)/7.8245=0 Total Revenue SUM(132:333)141.2818710460733 Oarial unicode ms,Regular"Confidential PROT8 STC Account @ N4G023812 Account Short Name: EPSTEIN Base CCY: USD Transaction Type : All Transactions Duration : Year To Date DATE BUY/SELL QUANTITY SYMBOL PRICE SEC. DESCRIPTION ISIN PRINCIPAL COMM. SALES CREDIT FEES NET AMT. (BASE CCY) TRANS. CCY TRADE DATE STLMNT DATE ACTIVITY FX RATE LOCAL PRICE NET AMT. (TRANS. CCY) 1/31/2018 0 0 0 -3649.44 USD 1/31/2018 1/31/2018 REINVESTMENT N/A N/A -3649.44 1/31/2018 0 0 0 3649.44 USD 1/31/2018 1/31/2018 INCOME RECEIVED N/A N/A 3649.44 1/29/2018 0 0 0 1019995.58 USD 1/29/2018 1/29/2018 N/A N/A 1019995.58 1/25/2018 BUY 1000000 BPL4588185 101.875 BUCKEYE PARTNERS L P FIXED TO FLTG RATE NT 6.375% 01/22/78 B/E DTD 01/22/18 CLB CLB 01/22/23 @100.000 US118230A500 -1018750 0 1250 6 -1019995.58 USD 1/25/2018 1/29/2018 Buy 1000000.00000 parValue o f BPL4588185 at 101.875000000 N/A N/A -1019995.58 1/2/2018 0 0 0 -47181.50 USD 1/2/2018 1/2/2018 N/A N/A -47181.50 USD SUM(17:I11)=0 SUM(J7:J11)50 Total Revenue SUM(I14:J14)50 Suarial unicode ms,Regular"Confidential PROT9 N4G024950 EPSTEIN All Transactions QUANTITY SYMBOL FEES NET AMT. TRANS. CCY TRADE DATE 0 0 2/2/2018 0 BMY 2000 USD 0 0 1/31/2018 0 0 1/31/2018 1/19/2018 0 N/A 1/19/2018 1/18/2018 SELL 90108.93 50 -815.00000 share(s) 1/18/2018 SELL -1600 BMY 61.7021 BRISTOL MYERS SQUIBBCO COM U51101221083 9872 3.36 64 0 8.29 98651.07 USD 1/18/2018 1/22/2018 Sell -1600.0 0000 share(s) of BMY at 61.702100000 N/A N/A 98651.07 1/12/2018 0 0 1/12/2018 1/12/2018 1/11/2018 0 DIS 0 DISNEY WALT O 0 2100 USD N/A 1/11/2018 USD SUM(17:121)4 SUM(J7:J21)=0 Total Revenue SUM(122:J22)4 Suarial unicode ms,Regular"Confidential JEVIF Account # Account Short Name: Base CCY: USD Transaction Type : DATE BUY/SELL COMM. SALES CREDIT (BASE CCY) RATE LOCAL PRICE NET AMT. (TRANS. CCY) 2/2/2018 2/2/2018 2/1/2018 O 0 1/31/2018 -55.76 USD -55.76 1/31/2018 55.76 USD N/A 55.76 1/30/2018 0 0 1/30/2018 0 0 N/A 1/30/2018 FEDERAL 1/29/2018 0 0 1/29/2018 0 0 N/A 1/29/2018 FEDERAL 1/22/2018 0 0 USD 1/22/2018 1/22/2018 N/A 1/19/2018 0 0 0 0 1/19/2018 1/19/2018 N/A N/A O FEDERAL FUNDS SENT N/A -815 DIS 110.5631 O 8.09 90050.84 of DIS at 110.563100000 N/A Duration : Year To Date PRICE SEC. DESCRIPTION ISIN PRINCIPAL STLMNT DATE ACTIVITY FX 0 N/A N/A -2000 0 BRISTOL MYERS SQUIBBCO COM 051101221083 N/A 2/1/2018 0 1/31/2018 REINVESTMENT -2000 USD 0 N/A 0 N/A 0 0 1/31/2018 FUNDS SENT N/A FUNDS SENT N/A INCOME RECEIVED 0 0 N/A 70000 0 0 -70000 0 0 N/A 115000 0 0 N/A 0 N/A 0 N/A 0 N/A 0 0 -115000 0 0 N/A 0 10000 O 0 0 N/A -10000 DISNEY WALT CO USD 1/18/2018 N/A 90050.84 O 70000 O -70000 O 115000 0 2000 0 N/A 0 N/A USD O -115000 USD O -188701.91 -188701.91 O 10000 USD O -10000 USD DISNEY COM US2546871060 1/22/2018 Sell O 0 -2100 USD N/A N/A -2100 CO DISNEY COM 052546871060 0 0 N/A 2100 PROT10