1 2020-09-15 INTC Scottrade Intel Corporation Sale Self $1,001 - $15,000 20017513 { } 2 2020-09-15 MSFT Scottrade Microsoft Corporation Sale Self $1,001 - $15,000 20017513 { } 3 2020-09-15 ROKU Scottrade Roku, Inc. - Class A Sale Self $1,001 - $15,000 20017513 { } 4 2020-09-15 SNE Scottrade Filing ID #20017513 Sony Corporation Sale Self $1,001 - $15,000 20017513 { } 5 2020-09-04 ROKU Scottrade Roku, Inc. - Class A Purchase Self $1,001 - $15,000 20017513 { } 6 2020-09-03 MSFT Scottrade Microsoft Corporation Purchase Self $1,001 - $15,000 20017513 { } 7 2020-09-02 INTC Intel Corporation Purchase Self $1,001 - $15,000 20017513 { } 8 2020-08-31 SNE Scottrade Sony Corporation Purchase Self $1,001 - $15,000 20017513 { } 9 2020-08-31 SNE Scottrade Sony Corporation Purchase Self $1,001 - $15,000 20017513 { } 10 2020-06-09 BABA Alibaba group Holding Limited American Depositary Shares each representing eight Ordinary share Sale Self $1,001 - $15,000 20016871 { } 11 2020-05-19 ROKU Scottrade Roku, Inc. - Class a Purchase Self $1,001 - $15,000 20016692 { } 12 2020-05-12 AMD Scottrade advanced Micro Devices, Inc. Sale Self $1,001 - $15,000 20016692 { } 13 2020-05-12 — Scottrade alibaba group Holding Limited american Depositary Shares each representing eight Ordinary share (baba) Sale (partial) Self $1,001 - $15,000 20016692 { } 14 2020-05-07 GILD Scottrade gilead Sciences, Inc. Purchase Self $1,001 - $15,000 20016692 { } 15 2020-05-07 YETI Scottrade YETI Holdings, Inc. Sale Self $1,001 - $15,000 20016692 { } 16 2020-05-05 GILD Scottrade gilead Sciences, Inc. Purchase Self $1,001 - $15,000 20016692 { } 17 2020-05-05 DIS Scottrade Walt Disney Company Purchase Self $1,001 - $15,000 20016692 { } 18 2020-05-04 AMD advanced Micro Devices, Inc. Purchase Self $1,001 - $15,000 20016692 { } 19 2020-05-04 — Scottrade alibaba group Holding Limited american Depositary Shares each representing eight Ordinary share (baba) Purchase Self $1,001 - $15,000 20016692 { } 20 2020-05-04 GILD Scottrade gilead Sciences, Inc. Purchase Self $1,001 - $15,000 20016692 { } 21 2020-05-04 YETI Scottrade YETI Holdings, Inc. Purchase Self $1,001 - $15,000 20016692 { } 22 2019-12-12 — YETI Holdings, Inc. (YETI) [sT] Sale Self $1,001 - $15,000 20013879 { } 23 2019-12-06 — apple Inc. (aaPl) [sT] Sale Self $1,001 - $15,000 20013879 { } 24 2019-12-06 — apple Inc. (aaPl) [sT] Sale Self $1,001 - $15,000 20013879 { } 25 2019-12-05 — alibaba group Holding limited american Depositary shares each representing eight Ordinary share (BABA) [sT] Sale Self $1,001 - $15,000 20013879 { } 26 2019-12-03 — alibaba group Holding limited american Depositary shares each representing eight Ordinary share (BABA) [sT] Purchase Self $1,001 - $15,000 20013879 { } 27 2019-12-03 — apple Inc. (aaPl) [sT] Purchase Self $1,001 - $15,000 20013879 { } 28 2019-12-02 — apple Inc. (aaPl) [sT] Purchase Self $1,001 - $15,000 20013879 { } 29 2019-11-27 — amazon.com, Inc. (AMZN) [sT] Sale Self $1,001 - $15,000 20012700 { } 30 2019-11-15 — amazon.com, Inc. (AMZN) [sT] Purchase Self $1,001 - $15,000 20012700 { } 31 2019-11-15 — Micron Technology, Inc. (Mu) [sT] Sale Self $1,001 - $15,000 20012700 { } 32 2019-11-11 — Micron Technology, Inc. (Mu) [sT] Purchase Self $1,001 - $15,000 20012700 { } 33 2019-11-06 — YETI Holdings, Inc. (YETI) [sT] Purchase Self $1,001 - $15,000 20013879 { } 34 2019-11-06 — Celestica, Inc. (Cls) [sT] Sale Self $1,001 - $15,000 20012700 { } 35 2019-10-31 — Netflix, Inc. (NFLX) [sT] Sale Self $1,001 - $15,000 20012700 { } 36 2019-10-28 — Celestica, Inc. (Cls) [sT] Purchase Self $1,001 - $15,000 20012700 { } 37 2019-10-28 — Netflix, Inc. (NFLX) [sT] Purchase Self $1,001 - $15,000 20012700 { } 38 2019-03-21 — NVIDIA Corporation (NVDA) [sT] Sale Self $1,001 - $15,000 20011448 { } 39 2018-11-07 — Tesla, Inc. (Tsla) [sT] Sale Self $1,001 - $15,000 20010793 { } 40 2018-11-05 — Tesla, Inc. (Tsla) [sT] Purchase Self $1,001 - $15,000 20010793 { } 41 2018-10-10 — alibaba group Holding limited american Depositary shares each representing one ordinary share (BABA) [sT] Sale Self $1,001 - $15,000 20010595 { } 42 2018-10-01 — Ionics Life Sciences Purchase Self $100,001 - $250,000 20011828 { } 43 2018-09-05 — alibaba group Holding limited american Depositary shares each representing one ordinary share (BABA) [sT] Sale Self $1,001 - $15,000 20010380 { } 44 2018-08-27 — alibaba group Holding limited american Depositary shares each representing one ordinary share (BABA) [sT] Purchase Self $1,001 - $15,000 20010380 { } 45 2018-08-27 — Microsoft Corporation (MSFT) [sT] Sale Self $15,001 - $50,000 20010229 { } 46 2018-08-22 — Microsoft Corporation (MSFT) [sT] Purchase Self $1,001 - $15,000 20010229 { } 47 2018-08-21 — apple Inc. (aaPl) [sT] Sale Self $1,001 - $15,000 20010229 { } 48 2018-08-07 — apple Inc. (aaPl) [sT] Purchase Self $1,001 - $15,000 20010229 { } 49 2018-08-07 — Microsoft Corporation (MSFT) [sT] Purchase Self $1,001 - $15,000 20010229 { } 50 2018-08-07 — amazon.com, Inc. (AMZN) [sT] Sale Self $1,001 - $15,000 20010074 { } 51 2018-08-07 — Tesla, Inc. (Tsla) [sT] Sale Self $1,001 - $15,000 20010074 { } 52 2018-08-03 — amazon.com, Inc. (AMZN) [sT] Purchase Self $1,001 - $15,000 20010074 { } 53 2018-08-03 — Tesla, Inc. (Tsla) [sT] s (partial) Self $1,001 - $15,000 20010074 { } 54 2018-07-24 — NVIDIA Corporation (NVDA) [sT] Sale Self $1,001 - $15,000 20010074 { } 55 2018-07-24 — Tesla, Inc. (Tsla) [sT] Purchase Self $1,001 - $15,000 20010074 { } 56 2018-03-14 — Yield10 Bioscience, Inc. (YTEN) [sT] Sale Self $1,001 - $15,000 20010026 { } 57 2017-11-07 — NVIDIA Corporation (NVDA) [sT] Purchase Self $1,001 - $15,000 20010074 { } 58 2017-11-07 — Tesla, Inc. (Tsla) [sT] Purchase Self $1,001 - $15,000 20010074 { } 59 2017-10-30 — advanced Micro Devices, Inc. (AMD) [sT] Sale Self $1,001 - $15,000 20010026 { } 60 2017-10-30 — Pareteum Corporation (TEUM) [sT] Sale Self $1,001 - $15,000 20010026 { } 61 2017-10-27 — advanced Micro Devices, Inc. (AMD) [sT] Purchase Self $1,001 - $15,000 20010026 { } 62 2017-10-25 — atossa genetics Inc. (ATOS) [sT] Purchase Self $1,001 - $15,000 20010026 { } 63 2017-10-25 — The Bon-Ton stores, Inc. (BONT) [sT] Sale Self $1,001 - $15,000 20010026 { } 64 2017-10-23 — Dextera surgical Inc. (DXTR) [sT] Sale Self $1,001 - $15,000 20010026 { } 65 2017-10-23 — Pareteum Corporation (TEUM) [sT] Purchase Self $1,001 - $15,000 20010026 { } 66 2017-10-17 — Neothetics, Inc. (NEOT) [sT] Purchase Self $1,001 - $15,000 20010026 { } 67 2017-10-17 — Neothetics, Inc. (NEOT) [sT] Sale Self $1,001 - $15,000 20010026 { } 68 2017-10-17 — COMMENTS: asset purchased 10/01/2017, purchase did not meet reporting . TransEnterix, Inc. (TRXC) [sT] Purchase Self $1,001 - $15,000 20010026 { } 69 2017-10-17 — TransEnterix, Inc. (TRXC) [sT] Sale Self $1,001 - $15,000 20010026 { } 70 2017-10-16 — Chipotle Mexican grill, Inc. (CMG) [sT] Sale Self $1,001 - $15,000 20010026 { } 71 2017-10-16 — Recon Technology, ltd. - Ordinary shares (RCON) [sT] Purchase Self $1,001 - $15,000 20010026 { } 72 2017-10-16 — Recon Technology, ltd. - Ordinary shares (RCON) [sT] Sale Self $1,001 - $15,000 20010026 { } 73 2017-10-13 — COMMENTS: Entire asset sold 5/2/2017, sale did not meet reporting threshold & there were no reportable capitol gains. leading Brands Inc - Common shares (LBIX) [sT] Sale Self $1,001 - $15,000 20010026 { } 74 2017-10-13 — Net Element, Inc. (NETE) [sT] Sale Self $1,001 - $15,000 20010026 { } 75 2017-10-12 — Infinity Pharmaceuticals, Inc. (INFI) [sT] Purchase Self $1,001 - $15,000 20010026 { } 76 2017-10-12 — Rosetta genomics ltd. - ordinary Purchase Self $1,001 - $15,000 20010026 { } 77 2017-10-09 — lululemon athletica inc. (lulu) [sT] Sale Self $1,001 - $15,000 20010026 { } 78 2017-10-09 — Otonomy, Inc. (OTIC) [sT] Sale Self $1,001 - $15,000 20010026 { } 79 2017-10-01 — COMMENTS: asset purchased 6/9/2017, purchase did not meet reporting threshold. Dextera surgical Inc. (DXTR) [sT] Purchase Self $1,001 - $15,000 20010026 { } 80 2017-09-28 — Roku, Inc. - Class a (ROKU) [sT] Purchase Self $1,001 - $15,000 20010026 { } 81 2017-09-28 — Roku, Inc. - Class a (ROKU) [sT] Sale Self $1,001 - $15,000 20010026 { } 82 2017-09-13 — COMMENTS: Entire asset sold 10/16/2017, sale did not meet reporting threshold & there were no reportable capitol gains. Inotek Pharmaceuticals Corporation (ITEK) [sT] Purchase Self $1,001 - $15,000 20010026 { } 83 2017-09-13 — Inotek Pharmaceuticals Corporation (ITEK) [sT] Sale Self $1,001 - $15,000 20010026 { } 84 2017-09-05 — lululemon athletica inc. (lulu) [sT] Purchase Self $1,001 - $15,000 20010026 { } 85 2017-09-05 — united states steel Corporation (X) [sT] Sale Self $1,001 - $15,000 20010026 { } 86 2017-08-28 — Chipotle Mexican grill, Inc. (CMG) [sT] Purchase Self $1,001 - $15,000 20010026 { } 87 2017-08-25 — Twitter, Inc. (TWTR) [sT] Sale Self $1,001 - $15,000 20010074 { } 88 2017-08-25 — root9B Holdings, Inc. (RTNB) [sT] Sale Self $1,001 - $15,000 20010026 { } 89 2017-08-24 — root9B Holdings, Inc. (RTNB) [sT] Purchase Self $1,001 - $15,000 20010026 { } 90 2017-08-22 — Netflix, Inc. (NFLX) [sT] Purchase Self $1,001 - $15,000 20010074 { } 91 2017-08-22 — Netflix, Inc. (NFLX) [sT] Sale Self $1,001 - $15,000 20010074 { } 92 2017-08-22 — snap Inc. Class a (SNAP) [sT] Sale Self $1,001 - $15,000 20010074 { } 93 2017-08-21 — appliance Recycling Centers of america, Inc. (ARCI) [sT] Purchase Self $1,001 - $15,000 20010026 { } 94 2017-08-21 — appliance Recycling Centers of america, Inc. (ARCI) [sT] Sale Self $1,001 - $15,000 20010026 { } 95 2017-07-31 — CytRx Corporation (CYTR) [sT] Purchase Self $1,001 - $15,000 20010026 { } 96 2017-07-27 CAPR COMMENTS: Entire asset sold 10/30/2017, sale did not meet reporting threshold & there were no reportable capitol gains. Capricor Therapeutics, Inc. Purchase Self $1,001 - $15,000 20010026 { } 97 2017-07-27 — Capricor Therapeutics, Inc. (CAPR) [sT] Sale Self $1,001 - $15,000 20010026 { } 98 2017-07-21 — Tearlab Corporation (TEAR) [sT] Purchase Self $1,001 - $15,000 20010026 { } 99 2017-07-21 — Tearlab Corporation (TEAR) [sT] Sale Self $1,001 - $15,000 20010026 { } 100 2017-07-20 — aEterna Zentaris Inc. (AEZS) [sT] Sale Self $1,001 - $15,000 20010026 { } 101 2017-07-19 — aEterna Zentaris Inc. (AEZS) [sT] Purchase Self $1,001 - $15,000 20010026 { } 102 2017-07-19 — CymaBay Therapeutics Inc. (CBAY) [sT] Purchase Self $1,001 - $15,000 20010026 { } 103 2017-07-19 — CymaBay Therapeutics Inc. (CBAY) [sT] Sale Self $1,001 - $15,000 20010026 { } 104 2017-07-18 — Zion Oil & gas Inc (ZN) [sT] Sale Self $1,001 - $15,000 20010026 { } 105 2017-07-13 — COMMENTS: asset purchased 3/14/2018, purchase did not meet reporting threshold. Zion Oil & gas Inc (ZN) [sT] Purchase Self $1,001 - $15,000 20010026 { } 106 2017-06-16 — Celsion Corporation (CLSN) [sT] Purchase Self $1,001 - $15,000 20010026 { } 107 2017-06-16 — Celsion Corporation (CLSN) [sT] Sale Self $1,001 - $15,000 20010026 { } 108 2017-06-09 — COMMENTS: Entire asset sold 8/4/2017, sale did not meet reporting threshold & there were no reportable capitol gains. Delcath systems, Inc. (DCTH) [sT] Sale Self $1,001 - $15,000 20010026 { } 109 2017-06-05 — Celsion Corporation (CLSN) [sT] Purchase Self $1,001 - $15,000 20010026 { } 110 2017-06-05 — Celsion Corporation (CLSN) [sT] Sale Self $1,001 - $15,000 20010026 { } 111 2017-05-30 — Vince Holding Corp. (VNCE) [sT] Sale Self $1,001 - $15,000 20010026 { } 112 2017-05-25 — Vince Holding Corp. (VNCE) [sT] Purchase Self $1,001 - $15,000 20010026 { } 113 2017-05-22 — Hertz global Holdings, Inc (HTZ) [sT] Purchase Self $1,001 - $15,000 20010026 { } 114 2017-05-22 — Hertz global Holdings, Inc (HTZ) [sT] Sale Self $1,001 - $15,000 20010026 { } 115 2017-05-05 — Direxion Daily Junior gold Miners Index Bull 3X shares (JNUG) [sT] Purchase Self $1,001 - $15,000 20010026 { } 116 2017-05-05 — Direxion Daily Junior gold Miners Index Bull 3X shares (JNUG) [sT] Sale Self $1,001 - $15,000 20010026 { } 117 2017-05-04 — First NBC Bank Holding Company (FNBC) [sT] Purchase Self $1,001 - $15,000 20010026 { } 118 2017-05-04 — First NBC Bank Holding Company (FNBC) [sT] Sale Self $1,001 - $15,000 20010026 { } 119 2017-05-04 — Ocwen Financial Corporation NEW (OCN) [sT] Sale Self $1,001 - $15,000 20010026 { } 120 2017-05-04 — snap Inc. Class a (SNAP) [sT] Sale Self $1,001 - $15,000 20010026 { } 121 2017-05-01 — Direxion Daily Junior gold Miners Index Bull 3X shares (JNUG) [sT] Purchase Self $1,001 - $15,000 20010026 { } 122 2017-05-01 — Direxion Daily Junior gold Miners Index Bull 3X shares (JNUG) [sT] Sale Self $1,001 - $15,000 20010026 { } 123 2017-05-01 — Intra-Cellular Therapies Inc. (ITCI) [sT] Purchase Self $1,001 - $15,000 20010026 { } 124 2017-05-01 — Medical Transcription Billing, Corp. (MTBC) [sT] Purchase Self $1,001 - $15,000 20010026 { } 125 2017-05-01 — Medical Transcription Billing, Corp. (MTBC) [sT] Sale Self $1,001 - $15,000 20010026 { } 126 2017-05-01 — COMMENTS: asset purchased 10/13/2017, purchase did not meet reporting threshold. Ocwen Financial Corporation NEW (OCN) [sT] Purchase Self $1,001 - $15,000 20010026 { } 127 2017-05-01 — Otonomy, Inc. (OTIC) [sT] Purchase Self $1,001 - $15,000 20010026 { } 128 2017-04-27 — Medical Transcription Billing, Corp. (MTBC) [sT] Purchase Self $1,001 - $15,000 20010026 { } 129 2017-04-27 — Medical Transcription Billing, Corp. (MTBC) [sT] Sale Self $1,001 - $15,000 20010026 { } 130 2017-04-26 — united states steel Corporation (X) [sT] Purchase Self $1,001 - $15,000 20010026 { } 131 2017-04-17 — COMMENTS: asset purchased 10/13/2017, purchase did not meet reporting threshold. lululemon athletica inc. (lulu) [sT] Purchase Self $1,001 - $15,000 20010026 { } 132 2017-04-11 — Philip Morris International Inc (PM) [sT] Sale Self $1,001 - $15,000 20010026 { } 133 2017-03-29 — Great Bend Regional Hospital, LLC Sale Self $50,001 - $100,000 20007100 { } 134 2017-03-29 — Great Bend Surgical Properties, LLC Sale Self $250,001 - $500,000 20007100 { } 135 2017-03-21 — Caseys general stores, Inc. (CASY) [sT] Sale Self $1,001 - $15,000 20010026 { } 136 2017-03-21 — Philip Morris International Inc (PM) [sT] Purchase Self $1,001 - $15,000 20010026 { } 137 2017-03-17 — Caseys general stores, Inc. (CASY) [sT] Purchase Self $1,001 - $15,000 20010026 { } 138 2017-03-06 — snap Inc. Class a (SNAP) [sT] Purchase Self $1,001 - $15,000 20010074 { } 139 2017-03-03 — Chipotle Mexican grill, Inc. (CMG) [sT] Sale Self $1,001 - $15,000 20010026 { } 140 2017-03-03 — snap Inc. Class a (SNAP) [sT] Purchase Self $1,001 - $15,000 20010026 { } 141 2017-03-02 — Caseys general stores, Inc. (CASY) [sT] Sale Self $1,001 - $15,000 20010026 { } 142 2017-03-02 — COMMENTS: Entire asset sold 10/16/2017, sale did not meet reporting threshold & there were no reportable capitol gains. snap Inc. Class a (SNAP) [sT] Purchase Self $1,001 - $15,000 20010026 { } 143 2017-02-23 — Verizon Communications Inc. (VZ) [sT] Sale Self $1,001 - $15,000 20010074 { } 144 2017-02-10 — Netflix, Inc. (NFLX) [sT] Sale Self $1,001 - $15,000 20010074 { } 145 2017-02-10 — Twitter, Inc. (TWTR) [sT] s (partial) Self $1,001 - $15,000 20010074 { } 146 2017-02-10 — Verizon Communications Inc. (VZ) [sT] Purchase Self $1,001 - $15,000 20010074 { } 147 2017-02-07 — Chipotle Mexican grill, Inc. (CMG) [sT] Purchase Self $1,001 - $15,000 20010026 { } 148 2017-02-06 — Netflix, Inc. (NFLX) [sT] Purchase Self $1,001 - $15,000 20010074 { } 149 2017-02-03 — Twitter, Inc. (TWTR) [sT] Sale Self $15,001 - $50,000 20010074 { } 150 2017-02-03 — Twitter, Inc. (TWTR) [sT] Purchase Self $15,001 - $50,000 20010074 { } 151 2017-01-30 — Tesla, Inc. (Tsla) [sT] Sale Self $1,001 - $15,000 20010026 { } 152 2017-01-03 — Twitter, Inc. (TWTR) [sT] Purchase Self $15,001 - $50,000 20010074 { } 