EFTA00811546.pdf

Brokerage Account Analysis As of July 31, 2017 Fixed Total Account Name Income Equities Cash Value Deutsche Bank Haze Trust 12,915,744 i 0 5,238,241 18,153,985 Jeepers Inc. 1,707,674 0. 1,475,398 3,183,072 J Epstein VI Foundation - 559,3251 86,512 645.837 Southern Trust Company 2,779,086 ' 0I 730,398 3.509,484 Southern Financial LLC 21.604.294 67.678.7Z2 I 17.438.124 106.721.140 Total Deutsche Bank 39,006,798 68,238,047 24,968,673 132,213,518 30% 52% 19% 100% Total Deutsche Bank without apple ** 39,006,798 21,536,827 24,968,673 85,512,298 25% i 29% 100% Merrill Lynch Southern Trust Company 7.354.461. ' 1.841.250 31.067.864 40.263.565 Total Merrill Lynch 7 354 451 1 841 50 i 31 067 864 40 63 565 18% 5% ; 77% 100% Morgan Stanley Southern Trust Company 25,236,414 3,282,990 l 1,478,106 29,997,510 Gratitude America - Andrew 2,244,167 2,233,044 l 232,624 4,709,835 Gratitude America - Paula - 1.251.059 2.728.062 3.979.120 Total Morgan Stanley 27,480,581 6,767,093 4,438,791 38,686,465 TOTALS 73,841,830 76,846,390 60,475,328 211,163,548 35% I 38% 29% 100% 1 TOTALS - without apple ** 73,841,830 30,145,170 • 60,475,328 164,462,328 45% 18% 37% 100% NOTES t, a) Morgan Stanley STC account must be transferred by September 18, 2017 b) TD Ameritrade has 50,000 in cash and can be used to trade c) Interactive brokers being setup to serve as Prime Broker for STC and subsidiaries "Apple 314,000 shares with 98.99 cost basis I • EFTA00811546  Purchase Quantity 6/30117 7131117 Unrealized Asset Description Date Cost Value Value Gain (Loss) .. — Haze Trust - Fixed income (DA)3,, -- JP MorganChase 7.9% Pfd 4/30/2049 05/10/11 3.000,000 3337.958 3158000 3,112,500 -225,458 -1 JPM Tr Fit Rate Income Fund 01/22/13 240.973.957 2.413,469 2261,257 2.279,614 -133,85t Citibank Preferred Ser C 5.8% 10/28/14 49 033.00 1.180.739 1 276,619 . 1,264,071 83„3-3-214 Citibank Preferred Ser C 5.8% 10/29/14 150,967.00 3.670,430 3,931,181 3.891.929 221,499 Citibank Preferred Set K 6.875% 2/3/14 79 000 00 1.999 419 _..2,337.610 2,367 630 an 211 Total Haze Trust - Fixed McCune (08) 12,602,016 12,964,867 12,915,744 313,728 -Peepers - FixedIncome (DB) JPM Trust FLT RT Income fund 02/13/13 180,515.211 1.804.981 1.691923 1,707.674 -97.307' Total Ampere - FixedIncome (DB) 1,804,981 1,693.923 1,707,674 47,307 Gratitude America - Fixed income (Morgan Stanley.) 1 Western Digital Corp 7.375% Matures 4-1-2023 06/09/16 2,000,000 ZaDo6,_ _2.233.965 2 244 167 158.1011 Total Gratitude America- Fixed Income (Morgan Stanley) 2,086,006 2,233,965 2,244,167 150,141 Southern Trust Co. - Fixed Income (DM Nationwide Society 6.875% GBP calable 8/202019 4/15/14 2,000.000 3.439.193 LOW= 2.779.086 &Vat Total Southern Trust Co. - FixedIncome (DB) 3,439,193 2,668,613 2,779,086 -660,107 Southern DIMCo. - Fixed Income (Merrill) Morgan mandatory convertible proffered 5.5% 3/1/2018 08/15/16' 1,000,000 881,500 867,410 894,010 12,510' LSGCOM 8.75% 10/15/2023 01/13/17 26,250,000 2,789,125 2,814.889 2,850,774 61.649; Kindred Healthcare 7.25% I/15/2020 STC ML 10/13/16 3,000,000 3 080 528 3 260 667 3,025,667 34,862 Teva mandatory convertible preffered 7.0% 12/15/2018 08/15/16 1.000.000 901,750 ,, wa gt4 SW -317.75Co Total SopthInt Mpg Co. - Fixed Income (Merrill) 7,632,903 7 637 466 -___7,_354,151 278.2452i Southern Trust Co. - Fixed income (Morgan Stanley) Charles Schwab 8.0% Preferred $25 par 727/15 40,000 1,000,000 1,086,400 1.106.000 106.000; Annaly Cap Management 7/25/17 40,000 1,000,000 - 994,000 -6,000 NGL Energy Partners 9% S25 par 6/8/17 40,000 1 000 OCO 1,151.874 996,800 3,200', Seaspan 7.875% Preferred $25 par 08/04/16 8,000 200000 166.320 174 080 -25,920. Wells Fargo 5.7% Preferred $25 par 1/19/16 120.000 3,000.000 3,108,0W 3,116,200 115,200. Ebay 6% Preferred $25 par matures 2-1-2056 2122/16 80,000 2,000,000 2,189.600 2,166,400 3400: Etrade Financial 5.875% fixed to 9-15-2026 then floats 8/16/16 500,000 500,000 530,000 548,300 41300; Made Financial 5.875% fixed to 9-15-2026 then floats 10/11/16 /500,000 2,623,122 2,650,000 2,730 083 106 961. Royal Bank Scotland 7.84% Flmd to 4294017 than VA Libor .2320p 11/10/15 5.06(1.000 --6,3wsi-7- 4395,000 4,931,082 467,73fi Gcednian Sachs 5.375% Fond b 5-104020 then 392.2 over 3 mo liar 6/4/15 5,000,000 5,C44346 %291,326 5,285_,469 251,121, Capital One 5.55% Fixed to 9-1-2020 Men 380 over 3 mo NW 5/14/15 3,000.000 1009.819 3 163 413 3.189 OQQ 1Z9JAZ : Total Southern Trust Co. - FixedIncome (Morgan Stenle 24,666,104 24,231,933 26 236 414 570,310: Southern FinancialLLC - Fixed Income (DB) Bank of America 8.125% Pfd Dec 29 2049 1/10/11 2,000,000 2,055,000 2,100.013 2,123,626 68,626; Barclays Bank PLC 7.75% 4/10/2023 413113 300.000 300,000 317.167 316,919 16,919i Citigroup Inc - Series Q 5.95% 8/6/15 3.000.000 1000208 3,223.598 3.238 968 236.i._,_., 962 General Electric Co GTO Fixed to Float 4.0% Dec 15 2065 12/3/15 2.469,000 1 175,016 2,485,460 2.456,929 281x___ 913' JP Chase & Co Pfd 7.9% April 30 2049 6/15/11 2.500.000 1887,500 2,631.667 2.643525 44,375! JP Morgan Chase 8 Co Pfd 7.9% April 30 2049 6/15/11 2.500.000 2,675,000 2,631.667 2.643,125 -31,875 LBG Ca_pitai 7.5% 12/29/49 5/21/13 1.903.000 1.948.500 2,100.44!3 Z130,567 182'0821 Southern Cal Edison 6.25% Dec 31 2049 1/30/12 3.000,0004_ 2,996 074 3,400,104 3.438,750 _ 442,676 WAG Cap TR I GTO Pfd Sec Ser 2 8 222/12 80,0001 1.882.774 Sit= SO 241.226' Total Southern Financial LLC - Fixed Income (DB) 19,719,870 20,986,120 21,116,009 1,396,139 Southern FlnanclallIr FixedIncome (DB) lesugge_ -- Washington Mutual Mtg 2004-RA2 cl CBI var 7/252033 11/19/13 542781 430,640 489229 481285 Total Southern Financial LLC - Fixed Income (DB) 430,640 489,729 488 5 57,8451 ' TOTAL FIXED INCOME 72,381,714 72,806,515 73,841,829 isammisi Note- Availedinteresthas been includedIn month en liked income MUMS _1 EFTA00811547  Purchase Quantity 6/30117 7/31/17 Unrealized Asset Description Date ' Coat Value Value Galn (Loss) Southern Financial LLC - WtMelPEI) _.. 7 Alcorn Inc _....___... _.. ._....._ _...... 6/10/154 5.000 W .i206 167.700 - -234.206 Alibaba Group 6/1W_111_ 5,000 444.749 704.500 774,750 330,001 Alltanz SE ADR 4filsis Cat- --9-6,Oto 98875 - -Wile — 18:OOE Apple Inc 915/14 64,000 6.332,800 9,217,280 9,518 720 3185,92Q le Inc 1111/16 250,000 24.750.006 36,005,000 37,182,500 1432.494 Apollo Global Management 3131/11 263,157 4,999,983 6,960,503 7,394,712 2,394,729 Ascena Retail Group Inc. (Formerly Dress Sam 1.3.11) inivoi 70.800 1500.000 151.575 164,970 -1.335.030 Avalanche Biotechnoiegles now called Adverum Beledinolcoes 4120115 10000 398,606 25,000 25500 -373,108. BASF ADR 4/13/15 ‘000 508,056 466,450 476,350 -31,706 Bank of New York Mellon 6/25/14 250,000 9,076 406 12,755,000 - -9,076 408 Biogen Idec Inc 2/14/12 Z095 250,455 568,499 608.691 356,236 Bioverativ Inc 2/1/17 1,047 20.254 62,998 84.883 44,629 Centene Corp 918/14 15,550 986,497 1 242 134 1,234,981 248,484 Dish Network Corp 6110115 5,000 364,978 313,800 320.150 -44,828 Facebook Inc 5/17/12 17 500 665,000 2,642150 2,961 875 2.296,875' Foundation Medicine Inc 1/16/14 49.830 1.285,037 1,980,743 1,761,491 496,454 General Motors Co 12/9/10 97,525 3,585,947 3,406,548 - -3585 947; General Electric Co 4/23/13 23,000 496.109 621,230 -496.10M Gilead Sciences Inc 2/5/14 5,000 396 407 353,900 380 450 -15 957 Gilead Sciences Inc 57)14 3,100 246,797 --- 1i9,418 235,879 -10,918! Glaxo Smith Kline PLC 6/10/15 5,000 215,006 215,600 202,600 -12,4061 Global Partner Acquisition Corp 7/30115 2.000 20,000 19,700 -20,000: GoDadgy Inc. 4/1/15 700 14 000 29,894 30,088 16,086 Match 11/19/15 200 2,400 3.476 - -2,400 Mobileye NV AmsteNeen OM Shares 811114 800 20,000 50,240 50,640 30640 Square 11119/15 200 1.800 3,476 - -1,800 Sangamo Biosciences Inc 5/28/13 50,000 422.214 440,000 430,000 7,788 Santander Consumer USA 1128/14 1,000 24,000 12,760 12,810 -11190 Terraform Global 7/31/151 400 6.000 2,020 -60001 Twitter Inc 11/7/13 1,500 39,000 26805, 24,135 -14,865/ Viacom Inc 6110115 5.000 338,745 187.850 174,600 -164,1451 Volkswagen AG 4/13/15 5.000. ... __._254,306 155825 157,250 •97,0561 Wadomtree Investments Inc 341/15 15000 3.24.158 _•,• • 152, 9.5P ___156.6Q3 7.1.0.7aW1 Total Southern Financial LLC - Equities (DB) 58,293,977 79,243,099 64,449,372 6,155,395j Southern Trust Co. - Equities (Mogan Stanley) • Barclays PLC ADR 711.116 100,000 805,008 1.059.000 1,073,000 i 267,904! Mice 6/22117 5,000 161,500 - Pi Neteate.com Inc 7/11/171. 2.005 617,135 - -622.Wi s4251 Credit Suisse Group M8/16 103.000 1,137.626 1,460,000 1,§3.5,goo 397 374 2:70 Express 10/27/16, 3,500 0.250 4(860 _ 52.4.30 ALM' Total Southern Trust Co. - Equities (Morgan Stanley) 2,628,107 2,729,360 1;182,990 654,883 Southern Trust Co. -Equities (Merrill) i Teradyne Inc 7/20/17 20.000 704,832 - 891,800 41021 Micron Technology 6120/17 8.000 238,880 0' XLF Finanadal Sector 6/20/17 20.000 487,600 493.400 501,800 14,2001 ON Semiconductor 6/8/17 12.000 200.038 168,480_ 179,400 .__ 2 _ 46381 ING 4/4/17 25.000 371,10g 50 Total Southern Trust Co. - Equities (Merrill) —._ . —. ..... ....-. 1,765,970 „ I P 75,280 .......— . Gratitude iiiiiiiii: C.TD : 44iiiiiifiliiiiiirtinTe . Colony Capital->Colony_Northslar Inc. 9/211/16 73.315 928,837 1.033,60-6 1,073.332 144.4951 Sequential Brands 9/23/1C . 50.000 402,134 199,500 160,500 -241,634i 270 Express 10/27/181 1.150 22425 ._ 18,054 ---- 17227 -51981 Bank of America 3/21161 7,500 100 825 181,950 180,900 800, 731 Editas Medicine 312116, 3,200 10/199 53,696 54,144 -48,055 Tencent Holdings 7/18/161 . 50000 1,163,762 1,798,000 1.998,000 8342t Total Gratitude America, LTD - Equities (Morgan Stanley) I 2,720,182 3,282,208 3,484,103 763a0 j Epstein VI Foundation - Equities (DB) I &islet Myers Squibb 10/30/1- 5.000 334,7121 278,600 I. 284,500 • -50,212I Disney 10/30/18 2.500 285.0251 425.0420 _ 274.825 nil Total J Epstein VIFoundation - Equities (DB) 619,737 703,600 559,325 -60,412 • •--_ -- TOTAL EQUITIES 66,027,973 87,293,777. 73,617,040 7,589,0671 Southern Financial LLC • Equity— EY- Ps (DB) I Vesdomtree Japan Hedged Equity 12/16/131 60,000 2„866.089 3.120 000 2.113.402 1ZL991 Total Southern Financial LLC - Equity ETF'S (DB) 2,966,099 3,120,000 3,138,000 171,901r Southern Financial LLC - Options (DB) Long FXE 113 Calls - exp Sep 15 2017 7/19/17 450 36,006 0 98 550 62 544! Slott FXE 110 Puts - exp Sep 15 2017 7/19/17 (450) 4114.3 0 Iii2O 2;(0431 Total Southern Financial LLC - Options (DB) 4,963 0 91,350 86,387 EFTA00811548