EFTA01422040.pdf

Summary YTD Brokerage Revs 2018 SFLLC SFLLC!I154=37803.15 HAZE Haze!134=3141.2818710460733 STC STC 1 I15=1250 JEVIF JEVIF!123=114 USD-Equivalent Total SUM(C3:C6)=42308.43187104607 &"arial unicode ms,Regular"Confidential EFTA01422040 SFLLC Account # N4G023804 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) TODAY 0 C4276150 103.85 CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08/15/88 B /E DTD 08/12/15 CLB US172967JZ57 0 0 0 0 89250 USD 2/20/2018 2/20/2018 CASH DIVIDEND RECEIVED N/A N/A 89250 TODAY -2 EWY 02162018 C 79 0.02 CALL 100 ISHARES INC MSCI SOUTH KOREA ETF EXP 02-16- 18879.000 OPTION ROOT= EWY 0 0 0 0 0 USD 2/20/2018 2/20 /2018 YOUR OPTION EXPIRED N/A N/A 0 TODAY 125 GILD 02162018 P 75 0.02 PUT 100 GILEAD SCIENCES INC EXP 02-16-18975.000 OPTI ON ROOT= GILD 0 0 0 0 0 USD 2/20/2018 2/20/2018 YOUR OPTION EXPIRED N/A N/A 0 TODAY 125 GILD 02162018 C 82.5 0.01 CALL 100 GILEAD SCIENCES INC EXP [email protected] OPT ION ROOT= GILD 0 0 0 0 0 USD 2/20/2018 2/20/2018 YOUR OPTION EXPIRED N/A N/A 0 TODAY 0 0 U.S.DOLLARS CURRENCY 0 0 0 0 1044951.85 USD 2/20/2018 2/20/2018 MONEY FUND REDEMPTION N/A N/A 1044951.85 TODAY 0 0 U.S.DOLLARS CURRENCY 0 0 0 0 -28371.32 USD 2/20/2018 2/20/2018 MARK TO MARKET N/A N/A -28371.32 TODAY 0 0 U.S.DOLLARS CURRENCY 0 0 0 0 28371.32 USD 2/20/2018 2/20/2018 MARK TO MARKET N/A N/A 28371.32 2/16/2018 SELL -125 GILD 03162018 P 77.5 0.94944 PUT 100 GILEAD SCIENCES INC EXP 03-16-18977.500 OPTION ROOT= GILD 11868 125 0 6.28 11736.72 USD 2/16/2018 2/20/2018 Sell -125.00000 Ps of GILD 03162018 P 77.5 at 0.949440000 N/A N/A 11736.72 2/16/2018 SELL -125 GILD 03162018 C 82.5 1.36128 CALL 100 GILEAD SCIENCES INC EXP 03-16-18982.500 OPTION ROOT= GILD 17016 375 0 6.40 16634.60 USD 2/16/2018 2/20/2018 sell -125.00000 Cs of GILD 03162018 C 82.5 at 1.361280000 N/A N/A 16634.60 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 UNIT 1 COM 1/3 WTSEXP 2023 U523291E2081 -48000 0 576 0 -48000 USD 2/16/2018 2/21/2018 Buy 4800.00000 share(s) of DFBHU at 10.000000000 N/A N/A -48000 2/16/2018 SELL -4800 DFBHU 10.01 DFB HEALTHCARE ACQUISITIONS CORP UNIT 1 COM 1/3 WTSEXP 2023 U523291E2081 48048 192 0 7.11 47848.89 USD 2/16 /2018 2/21/2018 Sell -4800.00000 share(s) of DFBHU at 10.010000000 N/A N/A 4784 8.89 2/16/2018 BUY 3 BRK A 1 BERKSHIRE HATHAWAY INC DEL CL A US0846701086 -920980 100 0 6 -921086 USD 2/16/2018 2/21/2018 Buy 3.00000 share(s) of BRK A at 1.000000000 N/A N/A -921086 2/16/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 0 76000 USD 2/16/2018 2/16/2018 FEDERAL FUNDS RECEIVED N/A N/A 76000 2/15/2018 0 ALLY PRA 0 GMAC CAP TR I GTD TRPFD SECS SER 2 CPN- 8.125% FREQ QRTLY MATY-02/15/2040 CALLANYTIME @25 W/30 DAYS BEGINS 02/15/16 U53618602086 0 0 0 0 36804.40 USD N/A 2/15/2018 BOND INTEREST RECEIVED N/A N/A 36804.40 2/15/2018 0 AAPL 0 APPLE INC COM US0378331005 0 0 0 0 134820 USD N/A 2/15/2018 CASH DIVIDEND RECEIVED N/A N/A 134820 2/14/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 0 -110059.42 USD N/A 2/14/2018 MARK TO MARKET N/A N/A -110059.42 2/14/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 0 110059.42 USD N/A 2/14/2018 MARK TO MARKET N/A N/A 110059.42 2/14/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 0 24000 USD 2/14/2018 2/14/2018 FEDERAL FUNDS RECEIVED N/A N/A 24000 2/14/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 0 128000 USD 2/14/2018 2/14/2018 FEDERAL FUNDS RECEIVED N/A N/A 128000 2/13/2018 SELL -100 SPY 04202018 P 240 2.617 PUT 100 SPDR S&P 500ETF TR TR UNIT EXP 04-20-189240.000OPTION ROOT= SPY 26170 300 0 6.61 25863.39 USD 2/13/2018 2/14/2018 Sell -100.00000 Ps of SPY 04202018 P 240 at 2.617000000 N/A N/A 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 EFTA01422041  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 1.6191 PUT 100 SPDR S&P 500ETF TR TR UNIT EXP [email protected] ROOT= SPY 16191 300 0 6.38 15884.62 USD 2/13/2018 2/14/2018 Sell -100.00000 Ps of SPY 03162018 P 245 at 1.619100000 N/A N/A 15884.62 2/13/2018 BUY 100 SPY 04202018 C 276 2.6547 CALL 100 SPDR S&P 500 ETF TR TR UN IT EXP [email protected] ROOT= SPY -26547 300 0 6 -26853 USD 2/13 /2018 2/14/2018 Buy 100.00000 Cs of SPY 04202018 C 276 at 2.654700000 N/A N/A -268 53 2/13/2018 BUY 100 SPY 03162018 C 274 1.8187 CALL 100 SPDR S&P 500 ETF TR TR UN IT EXP [email protected] ROOT= SPY -18187 300 0 6 -18493 USD 2/13 /2018 2/14/2018 Buy 100.00000 Cs of SPY 03162018 C 274 at 1.818700000 N/A N/A -184 93 2/13/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 O -2417.77 USD 2/13/2018 2/13/2018 ACTIVITY WITHIN YOUR ACCT N/A N/A -2417.77 2/13/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 O 2417.77 USD 2/13/2018 2/13/2018 ACTIVITY WITHIN YOUR ACCT N/A N/A 2417.77 2/13/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 O -1541.40 USD 2/13/2018 2/13/2018 MONEY FUND PURCHASE N/A N/A -1541.40 2/9/2018 BUY 3000 MGEN 5.50 MIRAGEN THERAPEUTICSINC COM U560463E1038 -165 00 0 594 0 -16500 USD 2/9/2018 2/13/2018 Buy 3000.00000 share (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 U.S.DOLLARS CURRENCY 0 0 O 0 51580.27 USD 2/8/2018 2/8/2018 MONEY FUND REDEMPTION N/A N/A 51580.27 2/7/2018 0 0 U.S.DOLLARS CURRENCY 0 0 O 0 1397601.73 USD 2/7/2018 2/7/2018 MONEY FUND REDEMPTION N/A N/A 1397601.73 2/6/2018 0 0 U.S.DOLLARS CURRENCY 0 0 O 0 -31651.80 USD 2/6/2018 2/6/2018 MONEY FUND PURCHASE N/A N/A -31651.80 2/5/2018 BUY 10000 NTDOY 51.75 NINTENDO LTD ADR U56544453037 -517500 400 O 6 -517906 USD 2/5/2018 2/7/2018 Buy 10000.00000 share(s) of NTDOY at 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 U.S.DOLLARS CURRENCY 0 0 0 0 -135630.39 USD 2/5/2018 2/5/2018 MONEY FUND PURCHASE 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 EIX.AA 0 SOUTHERN CALIF EDISON CO PREF SER E 6.2504 01/17/62 B/E DTD 01/17/12 CLB CLB 02/01/22 @100.000 US842400FU26 0 0 0 0 93750 USD N/A 2/2/2018 CASH DIVIDEND RECEIVED N/A N/A 93750 2/2/2018 0 O U.S.DOLLARS CURRENCY 0 0 0 0 -51556.27 USD 2/2/2018 2/2/2018 MONEY FUND PURCHASE N/A N/A -51556.27 2/1/2018 0 O U.S.DOLLARS CURRENCY 0 0 0 0 -65038.48 USD 2/1/2018 2/1/2018 ACTIVITY WITHIN YOUR ACCT N/A N/A -65038.48 2/1/2018 BUY 4000 VICI 20 VICI PPTYS INC COM U59256521090 -80000 0 2640 0 -80000 USD 2/1/2018 2/5/2018 Buy 4000.00000 share(s) of VICI at 2 0.000000000 N/A N/A -80000 2/1/2018 SELL -4000 VICI 20.85 VICI PPTYS INC COM U59256521090 83400 160 O 7.93 83232.07 USD 2/1/2018 2/5/2018 Sell -4000.00000 share(s) of VICI at 20.850000000 N/A N/A 83232.07 2/1/2018 0 ZHUZF 0 ZHUZHOU CRRC TIMES ELECTRIC CO LTD SHS ISIN#CNE1000004X4 CNE1000004X4 0 0 0 0 -2 USD N/A 2/1/ 2018 FOREIGN CUSTODY FEE N/A N/A -2 2/1/2018 0 WEICF 0 WEICHAI POWER CO LTD SHS H ISINICNE1000004L9 CNE1000004L9 0 0 0 0 -2 USD N/A 2/1/2018 FOREIGN CUST ODY FEE N/A N/A -2 2/1/2018 0 DNGFF 0 DONGFANG ELECTRIC CORPORATION LTD SHS H ISIN#CNE100000304 CNE100000304 0 0 0 0 -2 USD N/A 2/1/ 2018 FOREIGN CUSTODY FEE N/A N/A -2 2/1/2018 0 CCCGF 0 CHINA COMMUNICATIONSCONSTRUCTION COMPANYLTD SHS H ISIN#CNE1000002F5 CNE1000002F5 0 0 0 0 -2 USD N/A 2/1/ 2018 FOREIGN CUSTODY FEE N/A N/A -2 2/1/2018 0 BACHF 0 BANK OF CHINA LTD BEIJING SHS H ISINICNE1000001Z5 CNE100000125 0 O 0 0 -2 USD N/A 2/1/2018 FOREIGN CUST ODY FEE N/A N/A -2 2/1/2018 0 AHCHF 0 ANHUI CONCH CEMENT CO LTD SHS H ISINICNE1000001W2 CNE1000001W2 0 O 0 0 -2 USD N/A 2/1/2018 FOREIGN CUST ODY FEE N/A N/A -2 2/1/2018 0 ZTCOF 0 ZTE CORP SHS H ISIN#CNE1000004Y2 CNE1000004Y2 0 O 0 0 -2 USD N/A 2/1/2018 FOREIGN CUSTODY FEE N/A N/A -2 EFTA01422042 2/1/2018 0 O U.S.DOLLARS CURRENCY 0 0 O 0 65038.48 USD 2/1/2018 2/1/2018 ACTIVITY WITHIN YOUR ACCT N/A N/A 65038.48 2/1/2018 0 O U.S.DOLLARS CURRENCY 0 0 O 0 -1367401.33 USD 2/1/2018 2/1/2018 MONEY FUND PURCHASE N/A N/A -1367401.33 2/1/2018 0 NAPRF 0 NASPERS LIMITED LTD ISINIZAE000015889 ZAE000015889 0 O 0 0 -2 USD N/A 2/1/2018 FOREIGN CUST ODY FEE N/A N/A -2 2/1/2018 0 NCTKF 0 NABTESCO CORP TOKYO SHS LTD ISIN#JP3651210001 3P3651210001 0 0 0 0 -2 USD N/A 2/1/2018 FOREIGN CUST ODY FEE N/A N/A -2 2/1/2018 0 NDGPF 0 NINE DRAGONS PAPER HOLDINGS LTD SHS ISINIBMG653181005 BMG653181005 0 0 0 0 -2 USD N/A 2/1/2018 FOREIGN CUST ODY FEE N/A N/A -2 2/1/2018 0 LONKF 0 LONKING HOLDINGS LTDSHS ISINIKYG5636C1078 KYG5636C1078 0 0 0 0 -2 USD N/A 2/1/2018 FOREIGN CUST ODY FEE N/A N/A -2 2/1/2018 0 HBCYF 0 HSBC HOLDINGS PLC ORD SHS ISINIGB0005405286 GB0005405286 0 O 0 0 -2 USD N/A 2/1/2018 FOREIGN CUST ODY FEE N/A N/A -2 1/31/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 0 -1156.25 USD 1/31/2018 1/31/2018 MONEY FUND PURCHASE N/A N/A -1156.25 1/31/2018 SELL -900 SPY 03162018 C 270 14.5011 CALL 100 SPDR S&P 500 ETF TR TR UN IT EXP 03-16-18#270.000OPTION ROOT= SPY 1305099 2700 0 36.15 1302362.85 USD 1/31/2018 2/1/2018 Sell -900.00000 Cs of SPY 03162018 C 270 at 14.501100000 N/A N/A 1302362.85 1/31/2018 0 0 DEUTSCHE GOVERNMENT CASH INSTITUTIONAL 0 O 0 -1087.53 USD 1/31/2018 1/31/2018 MONEY MARKET FUND REINVESTMENT N/A N/A -1087.53 1/31/2018 0 0 DEUTSCHE GOVERNMENT CASH INSTITUTIONAL 0 O 0 0 1087.53 USD 1/31/2018 1/31/2018 MONEY MARKET FUND INCOME RECEIVED N/A N/A 1087.53 1/30/2018 0 O U.S.DOLLARS CURRENCY 0 0 0 O -1754210.71 USD 1/30/2018 1/30/2018 ACTIVITY WITHIN YOUR ACCT N/A N/A -1754210.71 1/30/2018 1130.453 JPHSX 0 JPMORGAN FLOATING RATE INCOME FUND CLASS I US48 121L5104 0 O 0 0 -10682.78 USD N/A 1/30/2018 REIN VEST CASH INCOME N/A N/A -10682.78 1/30/2018 0 JPHSX 0 JPMORGAN FLOATING RATE INCOME FUND CLASS I US48121L5104 0 0 0 O 10682.78 USD N/A 1/30/2018 CASH DIVIDEND RECEIV ED N/A N/A 10682.78 1/30/2018 0 O U.S.DOLLARS CURRENCY 0 0 0 0 1754210.71 USD 1/30/2018 1/30/2018 ACTIVITY WITHIN YOUR ACCT N/A N/A 1754210.71 1/30/2018 0 O U.S.DOLLARS CURRENCY 0 0 0 0 -1789041.70 USD 1/30/2018 1/30/2018 MONEY FUND PURCHASE N/A N/A -1789041.70 1/29/2018 0 O U.S.DOLLARS CURRENCY 0 0 0 0 19602 USD N/A 1/29/2018 MARK TO MARKET N/A N/A 19602 1/29/2018 0 O U.S.DOLLARS CURRENCY 0 0 0 0 -19602 USD N/A 1/29/2018 MARK TO MARKET N/A N/A -19602 1/29/2018 0 O U.S.DOLLARS CURRENCY 0 0 0 0 -1786642.85 USD 1/29/2018 1/29/2018 ACTIVITY WITHIN YOUR ACCT N/A N/A -1786642.85 1/29/2018 0 O U.S.DOLLARS CURRENCY 0 0 0 0 1786642.85 USD 1/29/2018 1/29/2018 ACTIVITY WITHIN YOUR ACCT N/A N/A 1786642.85 1/29/2018 0 O U.S.DOLLARS CURRENCY 0 0 0 0 -2936251.75 USD 1/29/2018 1/29/2018 MONEY FUND PURCHASE N/A N/A -2936251.75 1/29/2018 0 O U.S.DOLLARS CURRENCY 0 0 0 0 -100000 USD N/A 1/29/2018 FEDERAL FUNDS SENT N/A N/A -100000 1/26/2018 SELL - 30000 DXJ 61.3021 WISDOMTREE TR JAPAN HEDGED EQUITY FD US97717W8516 1839063 1200 0 48.49 1837814.51 USD 1/26/2018 1/30/2018 Sell -30000. 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 U.S.DOLLARS CURRENCY 0 0 0 0 485065.08 USD 1/26/2018 1/26/2018 MONEY FUND REDEMPTION N/A N/A 485065.08 1/26/2018 0 0 U.S.DOLLARS CURRENCY 0 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 EFTA01422043 1/25/2018 BUY 20 AVGO 02162018 C 260 3.06 CALL 100 BROADCOM LTD SHS ISIN#SG9999014823 EXP [email protected] ROOT= AVGO -6120 60 0 6 -618 6 USD 1/25/2018 1/26/2018 Buy 20.00000 Cs of AVGO 02162018 C 260 at 3.06000000 O N/A N/A —6186 1/25/2018 BUY 20 AVGO 02162018 C 250 6.675 CALL 100 BROADCOM LTD SHS ISIN#SG9999014823 EXP [email protected] ROOT= AVGO -13350 60 0 6 -134 16 USD 1/25/2018 1/26/2018 Buy 20.00000 Cs of AVGO 02162018 C 250 at 6.67500000 O N/A N/A —13416 1/25/2018 SELL —30000 DXJ 61.38882 WISDOMTREE TR JAPAN HEDGED EQUITY FD US07 717W8516 1841664.60 1200 0 48.55 1840416.05 USD 1/25/2018 1/29 /2018 Sell -30000.00000 share(s) of DXJ at 61.388820000 N/A N/A 1840416.05 1/25/2018 0 WAMU3515294 0 WASHINGTON MUT MTG SECS CORP 2004-RA2 MTG PASSTHRU C TF CL C-B-1 VAR RATE 6.999t 07/25/33 B/E DTD 06/01/04 N/C US939336S201 0 0 0 O 27129.33 USD N/A 1/25/2018 RETURN OF PRINCIPAL RECEIVED 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 0 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 COM US04685N1037 -35075 0 1262.70 0 -35075 USD 1/25/2018 1/29/2018 Buy 2300.00000 share(s) of ATNX at 1 5.250000000 N/A N/A -35075 1/25/2018 SELL -2300 ATNX 14.90 ATHENEX INC COM US04685N1037 34270 92 O 6.80 34171.2 USD 1/25/2018 1/29/2018 Sell -2300.00000 share(s) of ATNX at 14.900000000 N/A N/A 34171.2 1/25/2018 BUY 5900 PAGS 21.50 PAGSEGURO DIGITAL LTD REGISTERED SHS ISINIKYG687071012 KYG687071012 - 126850 0 2663.85 0 -126850 USD 1/24 /2018 1/26/2018 Buy 5900.00000 share(s) of PAGS at 21.500000000 N/A N/A -126850 1/25/2018 BUY 5900 PAGS 21.50 PAGSEGURO DIGITAL LTD REGISTERED SHS ISIN#KYG687071012 KYG687071012 -126850 0 2663.85 0 -126850 USD 1/24 /2018 1/26/2018 Buy 5900.00000 share(s) of PAGS at 21.500000000 N/A N/A -126850 1/25/2018 BUY 1600 GTES 19 GATES INDUSTRIAL CORPORATION PLC REGISTERED S HS ISIN#GBOOBD9G2S12 GBOOBD9G2S12 -30400 0 912 0 -30400 USD 1/25 /2018 1/29/2018 Buy 1600.00000 share(s) of GTES at 19.000000000 N/A N/A -30400 1/24/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 O -228380.80 USD 1/24/2018 1/24/2018 MONEY FUND PURCHASE N/A N/A -228380.80 1/24/2018 SELL -5900 PAGS 28.50492 PAGSEGURO DIGITAL LTD REGISTERED SHS -A- 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 U.S.DOLLARS CURRENCY 0 0 0 0 -14740.33 USD 1/23/2018 1/23/2018 ACTIVITY WITHIN YOUR ACCT 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 U.S.DOLLARS CURRENCY 0 0 0 0 14740.33 USD 1/23/2018 1/23/2018 ACTIVITY WITHIN YOUR ACCT N/A N/A 14740.33 1/23/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 0 248147.07 USD 1/23/2018 1/23/2018 MONEY FUND REDEMPTION N/A N/A 248147.07 1/22/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 0 -14740.33 USD N/A 1/22/2018 MARK TO MARKET N/A N/A -14740.33 1/22/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 O 14740.33 USD N/A 1/22/2018 MARK TO MARKET N/A N/A 14740.33 1/22/2018 -10 TWX 01192018 C 100 0 CALL 100 TIME WARNERINC NEW COM NEW EXP 01-19-188100.0000PTION ROOT= TWX 0 0 0 0 0 USD N/A 1/22 /2018 YOUR OPTION EXPIRED N/A N/A 0 1/22/2018 SELL -10000 ADT 11.43241 ADT INC DEL COM U500090Q1031 1143 24.10 400 0 2.65 113921.45 USD 1/22/2018 1/24/2018 Sell -10000. 00000 sharels) of ADT at 11.432410000 N/A N/A 113921.45 1/22/2018 SELL -10000 ADT 11.50 ADT INC DEL COM US00090Q1031 115000 400 O 8.65 114591.35 USD 1/22/2018 1/24/2018 sell -10000.00000 share(s) o O ADT at 11.500000000 N/A N/A 114591.35 1/19/2018 SELL -20 AVGO 02162018 C 260 12.775 CALL 100 BROADCOM LTD SHS ISIN#SG9999014823 EXP 02-16-188260.000OPTION ROOT= AVGO 25550 60 0 6.60 2548 3.40 USD 1/19/2018 1/22/2018 Sell -20.00000 Cs of AVGO 02162018 C 260 at 12.77500 0000 N/A N/A 25483.40 1/19/2018 SELL -250 GE 03162018 P 18 1.852 PUT 100 GENERAL ELECTRIC CO COM EXP [email protected] OPTION ROOT= GE 46300 750 0 7.07 45542.93 USD 1/19 /2018 1/22/2018 Sell -250.00000 Ps of GE 03162018 P 18 at 1.852000000 N/A N/A 4554 2.93 1/19/2018 BUY 20 AVGO 01192018 C 260 8.375 CALL 100 BROADCOM LTD SHS ISIN#SG9999014823 EXP [email protected] ROOT= AVGO -16750 60 0 6 -168 16 USD 1/19/2018 1/22/2018 Buy 20.00000 Cs of AVGO 01192018 C 260 at 8.37500000 O N/A N/A -16816 1/19/2018 BUY 250 GE 01192018 P 18 1.54856 PUT 100 GENERAL ELECTRIC CO COM EXP [email protected] OPTION ROOT= GE -38714 750 0 6 -39470 USD 1/19/2018 EFTA01422044 1/22/2018 Buy 250.00000 Ps of GE 01192018 P 18 at 1.548560000 N/A N/A -39470 1/19/2018 SELL - 3400 BBG 5.075 BARRETT BILL CORP COM US06846N1046 17255 136 O 6.40 17112.60 USD 1/19/2018 1/23/2018 Sell -3400.00000 share(s) of BBG at 5.075000000 N/A N/A 17112.60 1/19/2018 BUY 20000 ADT 14 ADT INC DEL COM US00090Q1031 -280000 0 6300 0 -280000 USD 1/19/2018 1/23/2018 Buy 20000.00000 share(s) of ADT at 1 4.000000000 N/A N/A -280000 1/18/2018 0 O U.S.DOLLARS CURRENCY 0 0 O 0 -53561.21 USD 1/18/2018 1/18/2018 ACTIVITY WITHIN YOUR ACCT N/A N/A -53561.21 1/18/2018 0 O U.S.DOLLARS CURRENCY 0 0 O 0 94561.21 USD 1/18/2018 1/18/2018 MONEY FUND REDEMPTION N/A N/A 94561.21 1/18/2018 0 O U.S.DOLLARS CURRENCY 0 0 O 0 -41000 USD N/A 1/18/2018 FEDERAL FUNDS SENT N/A N/A -41000 1/18/2018 0 O U.S.DOLLARS CURRENCY 0 0 0 0 53561.21 USD 1/18/2018 1/18/2018 ACTIVITY WITHIN YOUR ACCT N/A N/A 53561.21 1/17/2018 BUY 2400 EEM 06152018 C 55 0.43 CALL 100 ISHARES TR MSCI EMERGING MK 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 U.S.DOLLARS CURRENCY 0 0 0 0 -49666.67 USD 1/17/2018 1/17/2018 MONEY FUND PURCHASE 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 U.S.DOLLARS CURRENCY 0 0 0 0 -49090.86 USD 1/16/2018 1/16/2018 MONEY FUND PURCHASE N/A N/A -49090.86 1/16/2018 BUY 5200 EAGLU 10 PLATINUM EAGLE ACQUISITION CORP UNIT 1 CL A & 1/3 RED NT EXP 2025 ISIN#KYG7126L1260 KYG7126L1260 -52000 0 520 0 -520 00 USD 1/12/2018 1/17/2018 Buy 5200.00000 share(s) of EAGLU at 10.000000000 N/A N/A -52000 1/12/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 0 49000 USD 1/12/2018 1/12/2018 MONEY FUND REDEMPTION N/A N/A 49000 1/12/2018 SELL -5200 EAGLU 10.05 PLATINUM EAGLE ACQUISITION CORP UNIT 1 CL A & 1/3 RED NT EXP 2025 ISIN#KYG7126L1260 KYG7126L1260 52260 208 0 7.21 5204 4.79 USD 1/12/2018 1/17/2018 Sell -5200.00000 share(s) of EAGLU at 10.050000000 N/A N/A 52044.79 1/11/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 0 -30247.17 USD 1/11/2018 1/11/2018 MONEY FUND PURCHASE 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 U.S.DOLLARS CURRENCY 0 0 0 0 -30247.17 USD N/A 1/10/2018 MARK TO MARKET N/A N/A -30247.17 1/10/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 0 30247.17 USD N/A 1/10/2018 MARK TO MARKET N/A 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 U.S.DOLLARS CURRENCY 0 0 0 0 101269 USD 1/10/2018 1/10/2018 MONEY FUND REDEMPTION 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 BUY 525 XLI 06152018 C 80 1.898819 CALL 100 SELECT SECTOR S PDR TR INDL EXP [email protected] OPTION ROOT= XLI -99688 1575 0 6 -101269 USD 1/9/2018 1/10/2018 Buy 525.00000 Cs of XLI 06152018 C 80 at 1.898819000 N/A N/A -101269 1/3/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 O 24 USD 1/3/2018 1/3/2018 MONEY FUND REDEMPTION N/A N/A 24 1/2/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 O -29539.80 USD 1/2/2018 1/2/2018 ACTIVITY WITHIN YOUR ACCT N/A N/A -29539.80 1/2/2018 ZHUZF 0 ZHUZHOU CRRC TIMES ELECTRIC CO LTD SHS -H- ISIN#CNE1000004X4 CNE1000004X4 0 0 0 0 -2 USD N/A 1/2/ 2018 FOREIGN CUSTODY FEE N/A N/A -2 1/2/2018 WEICF 0 WEICHAI POWER CO LTD SHS H ISINICNE1000004L9 CNE1000004L9 0 O 0 0 -2 USD N/A 1/2/2018 FOREIGN CUST ODY FEE N/A N/A -2 1/2/2018 DNGFF 0 DONGFANG ELECTRIC CORPORATION LTD SHS H ISIN#CNE100000304 CNE100000304 0 0 0 0 -2 USD N/A 1/2/ EFTA01422045 2018 FOREIGN CUSTODY FEE N/A N/A -2 1/2/2018 0 CCCGF 0 CHINA COMMUNICATIONSCONSTRUCTION COMPANYLTD SHS H ISIN#CNE1000002F5 CNE1000002F5 0 0 0 0 -2 USD N/A 1/2/ 2018 FOREIGN CUSTODY FEE N/A N/A -2 1/2/2018 0 BACHF 0 BANK OF CHINA LTD BEIJING SHS H ISINICNE1000001Z5 CNE100000125 0 O 0 0 -2 USD N/A 1/2/2018 FOREIGN CUST ODY FEE N/A N/A -2 1/2/2018 0 AHCHF 0 ANHUI CONCH CEMENT CO LTD SHS H ISINICNE1000001W2 CNE1000001W2 0 O 0 0 -2 USD N/A 1/2/2018 FOREIGN CUST ODY FEE N/A N/A -2 1/2/2018 0 ZTCOF 0 ZTE CORP SHE H ISINICNE1000004Y2 CNE1000004Y2 0 0 0 0 -2 USD N/A 1/2/2018 FOREIGN CUSTODY FEE N/A N/A -2 1/2/2018 0 O U.S.DOLLARS CURRENCY 0 0 0 0 29539.80 USD 1/2/2018 1/2/2018 ACTIVITY WITHIN YOUR ACCT N/A N/A 29539.80 1/2/2018 0 O U.S.DOLLARS CURRENCY 0 0 0 0 -36539.8 USD 1/2/2018 1/2/2018 MONEY FUND PURCHASE N/A N/A -36539.8 1/2/2018 0 NAPRF 0 NASPERS LIMITED LTD ISINIZAE000015889 ZAE000015889 0 0 O 0 -2 USD N/A 1/2/2018 FOREIGN CUST ODY FEE N/A N/A -2 1/2/2018 0 NCTKF O NABTESCO CORP TOKYO SHS LTD ISIN#JP3651210001 JP3651210001 0 0 O 0 -2 USD N/A 1/2/2018 FOREIGN CUST ODY FEE N/A N/A -2 1/2/2018 0 NDGPF 0 NINE DRAGONS PAPER HOLDINGS LTD SHS ISINIBMG653181005 BMG653181005 0 0 0 0 -2 USD N/A 1/2/2018 FOREIGN CUST ODY FEE N/A N/A -2 1/2/2018 0 LONKF 0 LONKING HOLDINGS LTDSHS ISINIKYG5636C1078 KYG5636C1078 0 0 0 0 -2 USD N/A 1/2/2018 FOREIGN CUST ODY FEE N/A N/A -2 1/2/2018 0 HBCYF 0 HSBC HOLDINGS PLC ORD SHS ISINIGB0005405286 GB0005405286 0 0 0 0 -2 USD N/A 1/2/2018 FOREIGN CUST ODY FEE N/A N/A -2 USD SUBTOTAL(9,17:I152)=18149 SUBTOTAL(9,J7:3152)=19654.15 Total Revenue SUM(I153:J153)=37803.15 &"arial unicode ms,Regular"Confidential EFTA01422046 Haze Account # N4G024943 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) 2/16/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 O -33945.35 USD 2/16/2018 2/16/2018 MONEY FUND PURCHASE N/A N/A - 33945.35 2/15/2018 0 C PRK 0 CITIGROUP INC DEP SHS REPSTG 1/1000TH PFD SER K DIV 6.875% PERPETUAL MATT PERPETUAL CALL 11/15/[email protected] U51729673418 0 O 0 0 33945.35 USD N/A 2/15/2018 CASH DIVIDEND RECEIVED N/A N/A 33945.35 2/14/2018 0 O U.S.DOLLARS CURRENCY 0 0 0 O -57387.52 USD 2/14/2018 2/14/2018 MONEY FUND PURCHASE N/A N/A - 57387.52 2/13/2018 0 O U.S.DOLLARS CURRENCY 0 0 0 O 57387.52 USD 2/13/2018 2/13/2018 FEDERAL FUNDS RECEIVED N/A N/A 57387.52 2/7/2018 0 O U.S.DOLLARS CURRENCY 0 0 0 O 1106006.80 USD 2/7/2018 2/7/2018 MONEY FUND REDEMPTION N/A N/A 1106006.80 2/6/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 0 1116166 USD 2/6/2018 2/6/2018 MONEY FUND REDEMPTION N/A N/A 1116166 2/5/2018 BUY 1000 GOOG 1105.9568 ALPHABET INC CAP STKCL C US02079K1079 - 1105956.80 50 0 0 -1106006.80 USD 2/5/2018 2/7/2018 Buy 1000.00000 share(s) of GOOG at 1105.956800000 N/A N/A -1106006.80 2/2/2018 BUY 1000 GOOG 1116.116 ALPHABET INC CAP STKCL C US02079K1079 - 1116116 50 0 0 -1116166 USD 2/2/2018 2/6/2018 Buy 1000.00000 share(s) of GOOG at 1116.116000000 N/A N/A -1116166 2/2/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 0 8 USD 2/2/2018 2/2/2018 MONEY FUND REDEMPTION N/A N/A 8 2/1/2018 0 PIAIF O PING AN INSURANCE COLTD SHARES SHS H ISINICNE1000003X6 CNE1000003X6 0 0 O 0 -2 USD N/A 2/1/2018 FOREIGN CUST ODY FEE N/A N/A -2 2/1/2018 0 CHPXF 0 CHINA PAC INS GROUP CO LTD REGISTERED SHS H ISIN#CNE1000009Q7 CNE1000009Q7 0 0 0 0 -2 USD N/A 2/1/ 2018 FOREIGN CUSTODY FEE N/A N/A -2 2/1/2018 0 CILJF 0 CHINA LIFE INSURANCE CO H SHS ISINICNE1000002L3 CNE1000002L3 0 O 0 0 -2 USD N/A 2/1/2018 FOREIGN CUST ODY FEE N/A N/A -2 2/1/2018 0 AAIGF 0 AIA GROUP LTD HONG KONG SHS ISIN#HK0000069689 HK0000069689 0 0 0 0 -2 USD N/A 2/1/ 2018 FOREIGN CUSTODY FEE N/A N/A -2 1/31/2018 0 O DEUTSCHE GOVERNMENT CASH INSTITUTIONAL 0 O 0 0 - 4395.80 USD 1/31/2018 1/31/2018 MONEY MARKET FUND REINVESTMENT N/A N/A -4395.80 1/31/2018 0 0 DEUTSCHE GOVERNMENT CASH INSTITUTIONAL 0 0 0 0 4395.80 USD 1/31/2018 1/31/2018 MONEY MARKET FUND INCOME RECEIVED N/A N/A 4395.80 1/30/2018 859.714 JPHSX O JPMORGAN FLOATING RATE INCOME FUND CLASS I US48121L5104 O 0 0 0 -8124.30 USD N/A 1/30/2018 REINVEST CASH INCOME N/A N/A -8124.30 1/30/2018 0 JPHSX O JPMORGAN FLOATING RATE INCOME FUND CLASS I US48121L5104 O 0 0 0 8124.30 USD N/A 1/30/2018 CASH DIVIDEND RECEIVED N/A N/A 8124.30 1/25/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 0 2034893.09 USD 1/25/2018 1/25/2018 MONEY FUND REDEMPTION 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 0 0 U.S.DOLLARS CURRENCY 0 0 0 O -72500 USD 1/23/2018 1/23/2018 MONEY FUND PURCHASE N/A N/A -72500 1/23/2018 BUY 1.59052331E7 7.81625 HONG KONG DOLLAR CURRENCY -2034893.09 0 O 0 -2034893.09 USD 1/23/2018 1/25/2018 FOREIGN CURRENCY EXCHANGE N/A N/A -2034893.09 1/22/2018 0 C PRC 0 CITIGROUP INC DEP SHS REPSTG 1/1000 PFD SER C DIV 5.8% PERPETUAL MATT PERPETUAL CALL 04/22/18825.00 051729673665 0 0 0 0 EFTA01422047 72500 USD N/A 1/22/2018 CASH DIVIDEND RECEIVED N/A N/A 72500 USD SUMIF($M$7:$M$31,"USD",$I$7:$I$31)=100 SUMIF($M$7:$M$31,"USD",$J$7:$J$31)=0 HKD Equivalent SUMIF($M$7:$M$31,"HKD",$I$7:$I$31)/7.8245=3041.2818710460733 SUMIF($M$7:$M$31,"HK D",$J$7:$J$31)/7.8245=0 Total Revenue SUM(132:333)=3141.2818710460733 Oarial unicode ms,Regular"Confidential EFTA01422048 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 DEUTSCHE GOVERNMENT CASH INSTITUTIONAL 0 0 0 0 -3649.44 USD 1/31/2018 1/31/2018 MONEY MARKET FUND REINVESTMENT N/A N/A -3649.44 1/31/2018 0 0 DEUTSCHE GOVERNMENT CASH INSTITUTIONAL 0 0 0 0 3649.44 USD 1/31/2018 1/31/2018 MONEY MARKET FUND INCOME RECEIVED N/A N/A 3649.44 1/29/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 0 1019995.58 USD 1/29/2018 1/29/2018 MONEY FUND REDEMPTION 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 U.S.DOLLARS CURRENCY 0 0 0 0 -47181.50 USD 1/2/2018 1/2/2018 MONEY FUND PURCHASE N/A N/A -47181.50 USD SUM(17:I11)=0 SUM(J7:J11)=1250 Total Revenue SUM(I14:J14)=1250 Suarial unicode ms,Regular"Confidential EFTA01422049 JEVIF Account # N4G024950 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) 2/2/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 0 -2000 USD 2/2/2018 2/2/2018 MONEY FUND PURCHASE N/A N/A -2000 2/1/2018 0 BMY 0 BRISTOL MYERS SQUIBBCO COM 051101221083 0 0 O 0 2000 USD N/A 2/1/2018 CASH DIVIDEND RECEIVED N/A N/A 2000 1/31/2018 0 0 DEUTSCHE GOVERNMENT CASH INSTITUTIONAL 0 0 0 0 - 55.76 USD 1/31/2018 1/31/2018 MONEY MARKET FUND REINVESTMENT N/A N/A - 55.76 1/31/2018 0 0 DEUTSCHE GOVERNMENT CASH INSTITUTIONAL 0 0 0 0 55.76 USD 1/31/2018 1/31/2018 MONEY MARKET FUND INCOME RECEIVED N/A N/A 55.76 1/30/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 O 70000 USD 1/30/2018 1/30/2018 MONEY FUND REDEMPTION N/A N/A 70000 1/30/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 O -70000 USD N/A 1/30/2018 FEDERAL FUNDS SENT N/A N/A -70000 1/29/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 O 115000 USD 1/29/2018 1/29/2018 MONEY FUND REDEMPTION N/A N/A 115000 1/29/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 O -115000 USD N/A 1/29/2018 FEDERAL FUNDS SENT N/A N/A -115000 1/22/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 O -188701.91 USD 1/22/2018 1/22/2018 MONEY FUND PURCHASE N/A N/A -188701.91 1/19/2018 0 0 U.S.DOLLARS CURRENCY 0 0 0 O 10000 USD 1/19/2018 1/19/2018 MONEY FUND REDEMPTION N/A N/A 10000 1/19/2018 0 O U.S.DOLLARS CURRENCY O 0 0 O -10000 USD N/A 1/19/2018 FEDERAL FUNDS SENT N/A N/A -10000 1/18/2018 SELL -815 DIS 110.5631 DISNEY WALT CO DISNEY COM US2546871060 90108.93 50 O 8.09 90050.84 USD 1/18/2018 1/22/2018 Sell -815.00000 share(s) of DIS at 110.563100000 N/A N/A 90050.84 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 U.S.DOLLARS CURRENCY O 0 0 0 -2100 USD 1/12/2018 1/12/2018 MONEY FUND PURCHASE N/A N/A -2100 1/11/2018 0 DIS 0 DISNEY WALT CO DISNEY COM 052546871060 0 0 O 0 2100 USD N/A 1/11/2018 CASH DIVIDEND RECEIVED N/A N/A 2100 USD SUM(17:121)=114 SUM(J7:J21)=0 Total Revenue SUM(122:J22)=114 Suarial unicode ms,Regular"Confidential EFTA01422050