Rep. David A. Trott: reported purchase of THE BANK oF NoVA SCoTIA LINKED To BASKET oF INDICES UPSIDE LEVERED CAPPED W BUFFER 0% STRUCTURED NoTE DUE 03/20/2020 on Nov 14, 2017

PUT/XSP @ 249 EXP 02/16/2018 - CBoE MINI SPX INDEX

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

MASSACHUSETTS ST go 5% 11/01/24 MN CoMMoNWEALTH go REF BDS 2017 E LT BEo - MUNI BoND

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

gRAND LEDgE MICH PUB SCHS DIST go 5% 05/01/24 MN go REF BDS 2015 UT BEo SR LIEN - MUNI BoND

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

PUT/XSP @ 255 EXP 12/22/2017 - CBoE MINI SPX INDEX

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

BAY CITY MICH SCH DIST go 5% 11/01/23 MN RFDg UT BEo - MUNI BoND

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

WARREN WooDS MICH PUB SCHS go 5.0000% 05/01/24 MN RFDg UT BEo - MUNI BoND

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

MANSFIELD INDPT SCHooL DIST go 5.0000% 02/15/19 FA RFDg UT BNK QUAL BEo - MUNI BoND

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

NoRTH CARoLINA ST LTD oBLIg REV 5% 06/01/24 JD RFDg-SER B BEo - MUNI BoND

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

BRIgHToN MICH AREA SCH DIST go 5.0000% 05/01/20 MN - MUNI BoND

Government security or agency debt · 5% coupon

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

PUT/XSP @ 262 EXP 01/04/2019 - CBoE MINI SPX INDEX

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

PUT/XSP @ 235 EXP 02/22/2019 - CBoE MINI SPX INDEX

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

WooDHAVEN BRNSTN MI SCH DST go 4.0000% 05/01/19 MN -

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

NEW MEXICo ST go 5% 03/01/25 MS - MUNI BoND

Government security or agency debt · 5% coupon

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

CALEDoNIA MICH CMNTY SCHS go 5% 05/01/25 MN - MUNI BoND

Government security or agency debt · 5% coupon

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