David A. Trott

CoNN ST go 5% 06/01/22 JD - MUNI BoND

Government security or agency debt · 5% coupon

Rep. David A. Trott disclosed that the filer sold · $250,001 – $500,000

KALAMAZoo MICH PUB SCHS go 5% 05/01/21 MN - MUNI BoND

Government security or agency debt · 5% coupon

Rep. David A. Trott disclosed that the filer partially sold · $250,001 – $500,000

gRAND RAPIDS MICH CMNTY go 5% 05/01/20 MN - MUNI BoND

Government security or agency debt · 5% coupon

Rep. David A. Trott disclosed that the filer partially sold · $100,001 – $250,000

CREDIT SUISSE Ag LINKED To S&P 500 INDEX CNTNgNT CPN W BUFFER 0% STRUCTURED NoTE DUE 11/20/2019

Corporate note · 0% coupon · Matures Nov 20, 2019

Rep. David A. Trott disclosed that the filer purchased · $50,001 – $100,000

PUT/XSP @ 260 EXP 01/18/2019 - CBoE MINI SPX INDEX

Rep. David A. Trott disclosed that the filer partially sold · $15,001 – $50,000

$VLPValero Energy Partners LP Common Units representing limited partner interests (VLP)

Rep. David A. Trott disclosed that the filer partially sold · $1,001 – $15,000

$EQMEQM Midstream Partners, LP Common Units representing Limited Partner Interests (EQM)

Rep. David A. Trott disclosed that the filer purchased · $1,001 – $15,000

PUT/XSP @ 283 EXP 10/26/2018 - CBoE MINI SPX INDEX

Rep. David A. Trott disclosed that the filer purchased · $15,001 – $50,000

PLYMoUTH-CANToN MICH CMNTY SCH go 5% 05/01/23 MN - MUNI BoND

Government security or agency debt · 5% coupon

Rep. David A. Trott disclosed that the filer purchased · $100,001 – $250,000

$ETPEnergy Transfer Partners, L.P. Common Units representing limited partner interests (ETP)

Rep. David A. Trott disclosed that the filer exchanged · $100,001 – $250,000

$ETEnergy Transfer LP Common Units (ET)

Rep. David A. Trott disclosed that the filer exchanged · $100,001 – $250,000

CANADIAN IMPERIAL BANK oF CoMM LINKED To S&P 500

Rep. David A. Trott disclosed that the filer purchased · $100,001 – $250,000

JPMoRgAN CHASE & Co. LINKED To S&P 500 INDEX CNTNgNT CPN W BUFFER 0% STRUCTURED NoTE DUE 11/20/2019

Corporate note · 0% coupon · Matures Nov 20, 2019

Rep. David A. Trott disclosed that the filer purchased · $100,001 – $250,000

THE BANK oF NoVA SCoTIA LINKED To S&P 500 INDEX CNTNgNT CPN W BUFFER 0% STRUCTURED NoTE DUE 10/21/2020

Corporate note · 0% coupon · Matures Oct 21, 2020

Rep. David A. Trott disclosed that the filer purchased · $100,001 – $250,000

BoFA FINANCE LLC LINKED To S&P 500 INDEX CNTNgNT CPN W BUFFER 0% STRUCTURED NoTE DUE 01/23/2020

Corporate note · 0% coupon · Matures Jan 23, 2020

Rep. David A. Trott disclosed that the filer purchased · $100,001 – $250,000

JACKSoNVILLE FLA SPL REV REV 5% 10/01/25 Ao - MUNI BoND

Government security or agency debt · 5% coupon

Rep. David A. Trott disclosed that the filer sold · $100,001 – $250,000

CREDIT SUISSE Ag LINKED To S&P 500 INDEX CNTNgNT CPN W BUFFER 0% STRUCTURED NoTE DUE 08/20/2020

Corporate note · 0% coupon · Matures Aug 20, 2020

Rep. David A. Trott disclosed that the filer purchased · $100,001 – $250,000

CITIgRoUP INC. LINKED To S&P 500 INDEX CNTNgNT CPN W BUFFER 0% STRUCTURED NoTE DUE 04/22/2020

Corporate note · 0% coupon · Matures Apr 22, 2020

Rep. David A. Trott disclosed that the filer purchased · $100,001 – $250,000

PUT/XSP @ 268 EXP 12/21/2018- CBoE MINI SPX INDEX

Rep. David A. Trott disclosed that the filer partially sold · $1,001 – $15,000

PUT/XSP @ 276 EXP 10/19/2018 - CBoE MINI SPX INDEX

Rep. David A. Trott disclosed that the filer purchased · $1,001 – $15,000

MATTAWAN MICH CoNS SCH DIST go 5% 05/01/25 MN - MUNI BoND

Government security or agency debt · 5% coupon

Rep. David A. Trott disclosed that the filer purchased · $50,001 – $100,000

ToRoNTo DoMINIoN BANK LINKED To S&P 500 INDEX BUFFERED CAPPED BETA, 2901.52 STRUCTURED NoTE DUE 06/03/2020

Corporate note · Matures Jun 3, 2020

Rep. David A. Trott disclosed that the filer partially sold · $250,001 – $500,000

CREDIT SUISSE Ag LINKED To S&P 500 INDEX BUFFERED CAPPED BETA 0% STRUCTURED NoTE DUE 03/13/2020

Corporate note · 0% coupon · Matures Mar 13, 2020

Rep. David A. Trott disclosed that the filer partially sold · $50,001 – $100,000

SoCIETE gENERALE LINKED To S&P 500 INDEX BUFFERED CAPPED BETA 0% STRUCTURED NoTE DUE 07/11/2019

Corporate note · 0% coupon · Matures Jul 11, 2019

Rep. David A. Trott disclosed that the filer partially sold · $100,001 – $250,000

CANADIAN IMPERIAL BANK oF CoMM LINKED To S&P 500 INDEX BUFFERED CAPPED BETA 0% STRUCTURED NoTE DUE 05/28/2020

Corporate note · 0% coupon · Matures May 28, 2020

Rep. David A. Trott disclosed that the filer sold · $250,001 – $500,000

UBS Ag LINKED To S&P 500 INDEX CNTNgNT CPN W BUFFER 0% STRUCTURED NoTE DUE 06/18/2020

Corporate note · 0% coupon · Matures Jun 18, 2020

Rep. David A. Trott disclosed that the filer purchased · $50,001 – $100,000

BNP PARIBAS LINKED To S&P 500 INDEX CNTNgNT CPN W BUFFER 0% STRUCTURED NoTE DUE 09/11/2020

Corporate note · 0% coupon · Matures Sep 11, 2020

Rep. David A. Trott disclosed that the filer purchased · $50,001 – $100,000

CREDIT SUISSE Ag LINKED To S&P 500 INDEX BUFFERED CAPPED BETA 0% STRUCTURED NoTE DUE 03/13/2020

Corporate note · 0% coupon · Matures Mar 13, 2020

Rep. David A. Trott disclosed that the filer purchased · $250,001 – $500,000

CANADIAN IMPERIAL BANK oF CoMM LINKED To S&P 500 INDEX CNTNgNT CPN W BUFFER, 0% STRUCTURED NoTE DUE 02/20/2020

Corporate note · 0% coupon · Matures Feb 20, 2020

Rep. David A. Trott disclosed that the filer purchased · $50,001 – $100,000

MADISoN WIS go 4% 10/01/25 Ao - MUNI BoND

Government security or agency debt · 4% coupon

Rep. David A. Trott disclosed that the filer purchased · $50,001 – $100,000