| 1 | 2019-06-03 | — | goldman sachs Note - s&P 500 (40056FN84) [Cs] | Purchase | JT | $1,001 - $15,000 | 20012043 | |
| 2 | 2019-06-03 | — | goldman sachs Note - s&P 500 (40056FN84) [Cs] | Purchase | Self | $1,001 - $15,000 | 20012043 | |
| 3 | 2019-05-23 | — | goldman sachs Note - s&P 500 (40055aY43) [Cs] | Sale | Self | $1,001 - $15,000 | 20012043 | |
| 4 | 2018-12-21 | — | Morgan stanley Note Due 1/29/18 [Cs] | Sale | JT | $1,001 - $15,000 | 20012043 | |
| 5 | 2018-12-21 | — | Morgan Stanley Fin llC note zero cpn 0.0, 02/25/20 0.000% | Purchase | Self | $1,001 - $15,000 | 20011114 | |
| 6 | 2018-12-21 | — | Morgan Stanley Fin llC note zero cpn 0.0, 02/25/20 0.000% | Purchase | JT | $1,001 - $15,000 | 20011114 | |
| 7 | 2018-12-20 | — | investment fund. Morgan Stanley note - Emerging Markets, 03/07/19 0.000% | Sale | Self | $1,001 - $15,000 | 20011114 | |
| 8 | 2018-12-20 | — | Morgan Stanley note - Emerging Markets, 03/07/19 0.000% | Sale | JT | $1,001 - $15,000 | 20011114 | |
| 9 | 2018-02-02 | — | Morgan stanley Note Due 1/29/18 [Cs] | Purchase | JT | $1,001 - $15,000 | 20012043 | |
| 10 | 2018-02-02 | — | Morgan Stanley note - Emerging Markets, 03/07/19 0.000% | Purchase | JT | $1,001 - $15,000 | 20011114 | |
| 11 | 2018-02-02 | — | investment fund. Morgan Stanley note - Emerging Markets, 03/07/19 0.000% | Purchase | Self | $1,001 - $15,000 | 20011114 | |
| 12 | 2018-01-29 | — | JP Morgan Chase structured Note [Cs] | Sale | JT | $1,001 - $15,000 | 20012043 | |
