| 1 | 2014-10-30 | EMC | EMC Corporation | Sale | Self | $1,001 - $15,000 | 20002038 | |
| 2 | 2014-10-02 | JPM | JP Morgan Chase & Co. | Purchase | Self | $1,001 - $15,000 | 20002038 | |
| 3 | 2014-10-02 | MTW | Manitowoc Company, Inc. | Sale | Self | $1,001 - $15,000 | 20002038 | |
| 4 | 2014-09-10 | INF | Brookfield Global listed Infrastructure Income Fund Closed End Fund | Sale | Self | $1,001 - $15,000 | 20001827 | |
| 5 | 2014-09-10 | GLW | Corning Incorporated | Purchase | Self | $1,001 - $15,000 | 20001827 | |
| 6 | 2014-09-10 | INTC | Intel Corporation | Sale | Self | $1,001 - $15,000 | 20001827 | |
| 7 | 2014-09-10 | PEP | Pepsico, Inc. | Sale | Self | $1,001 - $15,000 | 20001827 | |
| 8 | 2014-08-21 | BTO | John Hancock Financial Opportunities Fund | Purchase | Self | $1,001 - $15,000 | 20001621 | |
| 9 | 2014-08-21 | — | Mastercard Incorporated (Ma) | Purchase | Self | $1,001 - $15,000 | 20001621 | |
| 10 | 2014-08-21 | MBLY | Mobileye N.V. Ordinary shares | Purchase | Self | $1,001 - $15,000 | 20001621 | |
| 11 | 2014-07-30 | BPAQF | BP PLC Ordinary shares | Sale | Self | $1,001 - $15,000 | 20001483 | |
| 12 | 2014-07-30 | CMLP | Crestwood Midstream Partners lP | Sale | Self | $1,001 - $15,000 | 20001483 | |
| 13 | 2014-07-30 | DD | E.I. du Pont de Nemours and Company | Sale | Self | $1,001 - $15,000 | 20001483 | |
| 14 | 2014-07-30 | EMC | EMC Corporation | Purchase | Self | $1,001 - $15,000 | 20001483 | |
| 15 | 2014-07-30 | HR | Healthcare Realty Trust Incorporated | Purchase | Self | $1,001 - $15,000 | 20001483 | |
| 16 | 2014-07-30 | MYL | Mylan Inc. | Purchase | Self | $1,001 - $15,000 | 20001483 | |
| 17 | 2014-07-30 | NKE | Nike, Inc. | Purchase | Self | $1,001 - $15,000 | 20001483 | |
| 18 | 2014-07-30 | QCOM | QualCOMM Incorporated | Purchase | Self | $1,001 - $15,000 | 20001483 | |
| 19 | 2014-07-30 | — | seadrill limited Ordinary shares | Sale | Self | $1,001 - $15,000 | 20001483 | |
| 20 | 2014-07-30 | TEX | Terex Corporation | Sale | Self | $1,001 - $15,000 | 20001483 | |
| 21 | 2014-07-30 | UTX | united Technologies Corporation | Purchase | Self | $1,001 - $15,000 | 20001483 | |
| 22 | 2014-07-30 | V | Visa Inc. | Purchase | Self | $1,001 - $15,000 | 20001483 | |
| 23 | 2014-07-30 | WMB | Williams Companies, Inc. | Sale | Self | $1,001 - $15,000 | 20001483 | |
| 24 | 2014-06-27 | AXP | american Express Company | Sale | Self | $1,001 - $15,000 | 20001267 | |
| 25 | 2014-06-27 | AXP | american Express Company | Sale | Self | $1,001 - $15,000 | 20001267 | |
| 26 | 2014-06-27 | DE | Deere & Company | Sale | Self | $1,001 - $15,000 | 20001267 | |
| 27 | 2014-06-27 | DE | Deere & Company | Sale | Self | $1,001 - $15,000 | 20001267 | |
| 28 | 2014-06-27 | PETM | Petsmart, Inc | Purchase | Self | $1,001 - $15,000 | 20001267 | |
| 29 | 2014-06-27 | PETM | Petsmart, Inc | Purchase | Self | $1,001 - $15,000 | 20001267 | |
| 30 | 2014-06-16 | MMM | 3M Company | Sale | Self | $1,001 - $15,000 | 20001267 | |
| 31 | 2014-06-16 | AMGN | amgen Inc. | Purchase | Self | $1,001 - $15,000 | 20001267 | |
| 32 | 2014-06-16 | — | apple Inc. (aaPl) | Sale | Self | $1,001 - $15,000 | 20001267 | |
| 33 | 2014-06-16 | BPAQF | BP PLC Ordinary shares | Purchase | Self | $1,001 - $15,000 | 20001267 | |
| 34 | 2014-06-16 | INF | Brookfield Global listed Infrastructure Income Fund Closed End Fund | Purchase | Self | $1,001 - $15,000 | 20001267 | |
| 35 | 2014-06-16 | MTW | Manitowoc Company, Inc. | Purchase | Self | $1,001 - $15,000 | 20001267 | |
| 36 | 2014-06-16 | OPY | Oppenheimer Holdings, Inc. Class a Common stock | Purchase | Self | $1,001 - $15,000 | 20001267 | |
| 37 | 2014-06-16 | PFE | Pfizer, Inc. | Sale | Self | $1,001 - $15,000 | 20001267 | |
| 38 | 2014-06-16 | SYK | stryker Corporation | Sale | Self | $1,001 - $15,000 | 20001267 | |
| 39 | 2014-06-16 | WMB | Williams Companies, Inc. | Sale | Self | $1,001 - $15,000 | 20001267 | |
| 40 | 2014-06-16 | INF | 2000002584 sP Brookfield Global listed Infrastructure Income Fund Closed End Fund | Purchase | Self | $1,001 - $15,000 | 20001268 | |
| 41 | 2014-06-16 | OPY | 2000002585 sP Oppenheimer Holdings, Inc. Class a Common stock | Purchase | Self | $1,001 - $15,000 | 20001268 | |
| 42 | 2014-06-16 | INF | Brookfield Global listed Infrastructure Income Fund Closed End Fund | Purchase | Self | $1,001 - $15,000 | 20001226 | |
| 43 | 2014-06-16 | OPY | Oppenheimer Holdings, Inc. Class a Common stock | Purchase | Self | $1,001 - $15,000 | 20001226 | |
| 44 | 2014-05-08 | — | alcoa Inc. (aa) | Sale | Self | $1,001 - $15,000 | 20001110 | |
| 45 | 2014-05-08 | BAC | Bank of america Corporation | Sale | Self | $1,001 - $15,000 | 20001110 | |
| 46 | 2014-05-08 | BPAQF | BP PLC Ordinary shares | Purchase | Self | $1,001 - $15,000 | 20001110 | |
| 47 | 2014-05-08 | CMLP | Crestwood Midstream Partners lP | Purchase | Self | $1,001 - $15,000 | 20001110 | |
| 48 | 2014-05-08 | DD | E.I. du Pont de Nemours and Company | Purchase | Self | $1,001 - $15,000 | 20001110 | |
| 49 | 2014-02-21 | SDRL | 2000000951 sP seadrill limited Ordinary shares | Purchase | Self | $1,001 - $15,000 | 20001484 | |
| 50 | 2014-02-21 | EEP | Enbridge Energy, l.P. Class a Common units | Sale | Self | $1,001 - $15,000 | 20000400 | |
| 51 | 2014-02-21 | HQL | H&Q life sciences Investors | Purchase | Self | $1,001 - $15,000 | 20000400 | |
| 52 | 2014-02-21 | SDLP | seadrill Partners llC Common units Representing limited liability Company Interests | Purchase | Self | $1,001 - $15,000 | 20000400 | |
| 53 | 2014-01-29 | — | apple Inc. (aaPl) | Purchase | Self | $1,001 - $15,000 | 20000236 | |
| 54 | 2014-01-29 | BAC | Bank of america Corporation | Purchase | Self | $1,001 - $15,000 | 20000236 | |
| 55 | 2014-01-29 | IBM | International Business Machines Corporation | Sale | Self | $1,001 - $15,000 | 20000236 | |
| 56 | 2014-01-29 | JDD | Nuveen Diversified Dividend and Income Fund shares of Beneficial Interest | Sale | Self | $1,001 - $15,000 | 20000236 | |
| 57 | 2014-01-15 | — | alcoa Inc. (aa) | Purchase | Self | $1,001 - $15,000 | 20000236 | |
| 58 | 2014-01-15 | INTC | Intel Corporation | Purchase | Self | $1,001 - $15,000 | 20000236 | |
| 59 | 2014-01-15 | CTY | Qwest Corporation 6.125% Notes due 2053 | Sale | Self | $1,001 - $15,000 | 20000236 | |