A T & T CORP (NEW) T 1,000 ABBOTT LABORATORIES ABT 1,000 ABBVIE INC ABBV 1,000 AG MORTGAGE INVESTMENT TRUST INC 8.00% SER MITTPRB 4,000

Transcription

1 214 ACTIVITY # shares as of 12/31/13 1/14 1/15 1/22 2/18 2/19 2/24 2/25 3/1 3/19 3/24 4/3 4/15 4/3 A T & T CORP (NEW) T 1, ABBOTT LABORATORIES ABT 1, ABBVIE INC ABBV 1, AG MORTGAGE INVESTMENT TRUST INC 8.% SER MITTPRB 4, ALIBABA GROUP HOLDING LTD BABA ALPS ETF TR ALERIAN MLP AMLP 1, ALTRIA GROUP INC MO 7, AMAZON.COM INC AMZN 1, AMERICAN INTERNATIONAL GROUP INC AIG 5, ANNALY CAPITAL MANAGEMENT INC 7.5% SER D NYLPRD 4, ANNALY CAPITAL MANAGEMENT INC 7.625% SERIE NLYPRC 4, APPLE INC AAPL 5 BAIDU INC SPONSORED ADR REPSTG ORD SHS BIDU 5 BANK OF AMERICAN CORP BAC 2,

2 214 ACTIVITY # shares as of 12/31/13 1/14 1/15 1/22 2/18 2/19 2/24 2/25 3/1 3/19 3/24 4/3 4/15 4/3 BLACKROCK CORPORATE HIGH YIELD FUND INC HYT 2,21 BLACKROCK CREDIT ALLOCATION INCOME TRUST BTZ 23,456 BLACKROCK DEFINED OPPORTUNITY CREDIT TRUST BHL 16,5 BLACKROCK ENHANCED EQUITY DIVIDEND TRUST BDJ 12,784 BLACKROCK FLOATING RATE INCOME STRATEGIES FRA 7,242 BLACKROCK INC BLK 6 BOEING CO BA 2, BRISTOL MYERS SQUIBB CO BMY 3, CANADIAN NATIONAL RAILWAY CO CNI 4, CELGENE CORP CELG 5 (5) CENTERPOINT ENERGY INC CNP 2, CHEVRON CORPORATION CVX 5 CHINA MOBILE LIMITED SPONSORED ADR CHL COCA COLA COMPANY (THE) KO 1,

3 214 ACTIVITY # shares as of 12/31/13 1/14 1/15 1/22 2/18 2/19 2/24 2/25 3/1 3/19 3/24 4/3 4/15 4/3 COGNIZANT TECHNOLOGY SOLUTIONS CORP-CL A CTSH 1, 1, SPLIT COLGATE PALMOLIVE COMPANY CL 2, 1, CONOCOPHILLIPS COP 4, CORTS GOLDMAN SACHS SER II 6% PFD DUE 2/15 HYL CSX CORP CSX 3, DISCOVER FINANCIAL SERVICES DFS 3, DOMINION RESOURCES INC VA NEW D 1, DUKE ENERGY CORPORATION HOLDING COMPANY DUK 2, EBAY INC EBAY 3, E I DU PONT DE NEMOURS & CO DD EL PASO PIPELINE PARTNERS L P COM UNIT LTD EPB 2, EMERSON ELECTRIC CO EMR 3, EXPRESS SCRIPTS HOLDING COMPANY ESRX 2, EXXON MOBIL CORP XOM 4,5

4 214 ACTIVITY # shares as of 12/31/13 1/14 1/15 1/22 2/18 2/19 2/24 2/25 3/1 3/19 3/24 4/3 4/15 4/3 FACEBOOK INC CL A FB 1, FORD MOTOR CO F 5, GENERAL ELECTRIC CO GE 3, GOLDMAN SACHS GROUP GS 6.3% GOLDMAN SACHS CAP I JBO 11, (2,651) GLOBALSTAR INC GSAT 1, GMAC CAP TR I GTD TR PFD SECS SER 2 FIXED ALLYPRA 14, GOLDMAN SACHS GROUP INC 6.2% SER B DEP SH GSPRB 3,5 GOOGLE GOOG 35 GOOGLE INC CLASS A GOOGL 35 SPINOFF GT ADVANCED TECHNOLOGIES INC GTAT 1, HARLEY DAVIDSON INC HOG 1, HATTERAS FINANCIAL CORP 7.625% SERIES A CU HTSPRA 4, HERSHEY COMPANY (THE) HSY 5

5 214 ACTIVITY # shares as of 12/31/13 1/14 1/15 1/22 2/18 2/19 2/24 2/25 3/1 3/19 3/24 4/3 4/15 4/3 HESS CORPORATION HES HOME LOAN SERVICING SOLUTIONS LTD HLSS 4, IAC / INTERACTIVECORP IACI 1, INTERNATIONAL BUSINESS MACHINES CORP IBM 3, ISHARES NASDAQ BIOTECHNOLOGY INDEX FD IBB 5 ISHARES U S HOME CONSTRUCTION ETF ITB 1, 1, JOHNSON & JOHNSON JNJ 9, JPMORGAN CHASE & CO JPM 2, KINDER MORGAN INC KMI LORILLARD INC LO 1, MARKET VECTORS AGRIBUSINESS ETF MOO 5, MARKET VECTORS ETF UNCONVENTIONAL OIL & GAS FRAK MASTERCARD INCORPORATED MA 2 1,8 SPLIT MCKESSON CORP MCK

6 214 ACTIVITY # shares as of 12/31/13 1/14 1/15 1/22 2/18 2/19 2/24 2/25 3/1 3/19 3/24 4/3 4/15 4/3 MERCK & CO MRK MICROSOFT CORP MSFT 2, MORGAN STANLEY MS NESTLE SA-SPONSORED ADR REPSTG REGD ORD (S NSRGY NOVARTIS AG AMERICAN DEPOSITARY SHARES NVS 2, OAKTREE CAP GROUP LLC UNIT CL A OAK 3, PEPSICO INC PEP 1, PHILLIPS 66 COM PSX 3, PNC FINANCIAL SVCS GROUP INC PNC 2, POWERSHARES QQQ TRUST SERIES 1 QQQ 1, POWERSHARES WATER RESOURCES PORTFOLIO EXCH PHO 1, 1, PPLUS TR SER GSG-2 TR 5.75% PFD CTF CL A PYB PROCTER & GAMBLE CO PG 4, PROSHARES TR PROSHARES ULTRASHORT TR TREAS TBT 4, (4,)

7 214 ACTIVITY # shares as of 12/31/13 1/14 1/15 1/22 2/18 2/19 2/24 2/25 3/1 3/19 3/24 4/3 4/15 4/3 PROTO LABS INC COM PRLB 1, PUBLIC STORAGE DEPOSITARY SH REPSTG 1/1 PSAPRR 1,477 PUT TBT 6/21/14 75 PROSHS ULTRSHT TBT (2) REAVES UTIL INCOME FD COM SH BEN INT UTG 11, SCHLUMBERGER LTD SLB SELECT SECTOR SPDR TRUST SHS BEN INT ENERG XLE 2,6 SELECT SECTOR SPDR TRUST THE FINANCIAL SEL XLF 4, 4, SMUCKER J M COMPANY SJM 2, (5) SPECTRA ENERGY CORP SE 7, STARBUCKS CORP SBUX 1, TRANSOCEAN LTD US LISTED RIG 2, TRIUMPH GROUP INC TGI 1, UNITED PARCEL SVC INC CL B UPS 2, UNITED TECHNOLOGIES CORP UTX 2,

8 214 ACTIVITY # shares as of 12/31/13 1/14 1/15 1/22 2/18 2/19 2/24 2/25 3/1 3/19 3/24 4/3 4/15 4/3 VERIZON COMMUNICATIONS VZ 2, VISA INC CL A COMMON STOCK V 275 WALT DISNEY CO DIS 1, WEATHERFORD INTERNATIONAL PLC WFT 3, WELLS FARGO & COMPANY DEP SH 1/4TH INT 8% WFCPRJ 6, WESTLAKE CHEMICAL CORP WLK WHITING PETROLEUM CORPORATION WLL XYLEM INC. XYL 2,5 1, YAHOO INC YHOO CATERPILLAR FINL SVCS CORP NOTES 14912L4F5 2, (2,) 6.125% Due SBC COMMUNICATIONS INC GLOBAL NT T5114 2, 5.1% Due MORGAN STANLEY n3 25, 4.% Due ANADARKO PETE CORP SR NT PCAX5 2, 5.95% Due

9 214 ACTIVITY # shares as of 12/31/13 1/14 1/15 1/22 2/18 2/19 2/24 2/25 3/1 3/19 3/24 4/3 4/15 4/3 US STEEL CORP SR NT AG 1, 7.% Due ICAHN ENTERPRISES LP/CORP SR NT 4.875% BB % Due ARCELORMITTAL SR UNSECURED 3938LAX2 2, 6.75% Due TIG CAP TRUST I CAP SECS 144A 88676AA8 1, 8.597% Due EVEREST REINS HLDGS INC LONG TERM SUB NT 29988ae5 2, 6.6% Due FAIRFAX FINL HLDGS LTD 3391AE26 5, 7.75% Due GENERAL ELEC CAP CORP SUBORDINATED sn6 1, 7.125% Due UNION BANK NA C/D FDIC Ins. LMTS LINED TO S&P 9521AMD76.% Due

10 214 ACTIVITY A T & T CORP (NEW) T 5/1 5/6 5/14 6/5 6/9 6/1 7/1 7/24 7/25 7/3 7/31 8/4 8/6 8/11 8/19 ABBOTT LABORATORIES ABT ABBVIE INC ABBV AG MORTGAGE INVESTMENT TRUST INC 8.% SER MITTPRB ALIBABA GROUP HOLDING LTD BABA ALPS ETF TR ALERIAN MLP AMLP ALTRIA GROUP INC MO AMAZON.COM INC AMERICAN INTERNATIONAL GROUP INC AMZN AIG (1,) ANNALY CAPITAL MANAGEMENT INC 7.5% SER D NYLPRD ANNALY CAPITAL MANAGEMENT INC 7.625% SERIE NLYPRC APPLE INC BAIDU INC SPONSORED ADR REPSTG ORD SHS AAPL BIDU 3, split BANK OF AMERICAN CORP BAC (2,) 14.86

11 214 ACTIVITY BLACKROCK CORPORATE HIGH YIELD FUND INC HYT 5/1 5/6 5/14 6/5 6/9 6/1 7/1 7/24 7/25 7/3 7/31 8/4 8/6 8/11 8/19 BLACKROCK CREDIT ALLOCATION INCOME TRUST BTZ BLACKROCK DEFINED OPPORTUNITY CREDIT TRUST BHL BLACKROCK ENHANCED EQUITY DIVIDEND TRUST BDJ BLACKROCK FLOATING RATE INCOME STRATEGIES FRA BLACKROCK INC BLK BOEING CO BA BRISTOL MYERS SQUIBB CO CANADIAN NATIONAL RAILWAY CO CELGENE CORP BMY CNI CELG (3,) CENTERPOINT ENERGY INC CHEVRON CORPORATION CNP CVX 1, 25.2 CHINA MOBILE LIMITED SPONSORED ADR COCA COLA COMPANY (THE) CHL KO 1,

12 214 ACTIVITY COGNIZANT TECHNOLOGY SOLUTIONS CORP-CL A CTSH 5/1 5/6 5/14 6/5 6/9 6/1 7/1 7/24 7/25 7/3 7/31 8/4 8/6 8/11 8/19 COLGATE PALMOLIVE COMPANY CONOCOPHILLIPS CORTS GOLDMAN SACHS SER II 6% PFD DUE 2/15 CSX CORP CL COP HYL CSX ,561 1, 2, 365 2, DISCOVER FINANCIAL SERVICES DFS DOMINION RESOURCES INC VA NEW DUKE ENERGY CORPORATION HOLDING COMPANY EBAY INC E I DU PONT DE NEMOURS & CO EL PASO PIPELINE PARTNERS L P COM UNIT LTD D DUK EBAY DD EPB (3,) , , EMERSON ELECTRIC CO EXPRESS SCRIPTS HOLDING COMPANY EXXON MOBIL CORP EMR ESRX XOM 1, ,

13 214 ACTIVITY FACEBOOK INC CL A FB 5/1 5/6 5/14 6/5 6/9 6/1 7/1 7/24 7/25 7/3 7/31 8/4 8/6 8/11 8/19 FORD MOTOR CO F GENERAL ELECTRIC CO GE GOLDMAN SACHS GROUP GS % GOLDMAN SACHS CAP I JBO 239 (8,788) GLOBALSTAR INC GMAC CAP TR I GTD TR PFD SECS SER 2 FIXED GSAT ALLYPRA (25,) (1,) GOLDMAN SACHS GROUP INC 6.2% SER B DEP SH GSPRB GOOGLE GOOG GOOGLE INC CLASS A GOOGL GT ADVANCED TECHNOLOGIES INC GTAT HARLEY DAVIDSON INC HATTERAS FINANCIAL CORP 7.625% SERIES A CU HOG HTSPRA HERSHEY COMPANY (THE) HSY

14 214 ACTIVITY HESS CORPORATION HOME LOAN SERVICING SOLUTIONS LTD HES HLSS 5/1 5/6 5/14 6/5 6/9 6/1 7/1 7/24 7/25 7/3 7/31 8/4 8/6 8/11 8/19 1, IAC / INTERACTIVECORP IACI INTERNATIONAL BUSINESS MACHINES CORP ISHARES NASDAQ BIOTECHNOLOGY INDEX FD ISHARES U S HOME CONSTRUCTION ETF JOHNSON & JOHNSON IBM IBB ITB JNJ (2,) (1,) JPMORGAN CHASE & CO KINDER MORGAN INC JPM KMI (1,) LORILLARD INC LO MARKET VECTORS AGRIBUSINESS ETF MOO MARKET VECTORS ETF UNCONVENTIONAL OIL & GAS MASTERCARD INCORPORATED FRAK MA 3, (3,) MCKESSON CORP MCK

15 214 ACTIVITY MERCK & CO MRK 5/1 5/6 5/14 6/5 6/9 6/1 7/1 7/24 7/25 7/3 7/31 8/4 8/6 8/11 8/19 MICROSOFT CORP MSFT MORGAN STANLEY NESTLE SA-SPONSORED ADR REPSTG REGD ORD (S MS NSRGY 2, NOVARTIS AG AMERICAN DEPOSITARY SHARES NVS OAKTREE CAP GROUP LLC UNIT CL A PEPSICO INC OAK PEP (3,) PHILLIPS 66 COM PSX PNC FINANCIAL SVCS GROUP INC PNC POWERSHARES QQQ TRUST SERIES 1 QQQ POWERSHARES WATER RESOURCES PORTFOLIO EXCH PHO PPLUS TR SER GSG-2 TR 5.75% PFD CTF CL A PROCTER & GAMBLE CO PYB PG 1 1, PROSHARES TR PROSHARES ULTRASHORT TR TREAS TBT

16 214 ACTIVITY PROTO LABS INC COM PRLB 5/1 5/6 5/14 6/5 6/9 6/1 7/1 7/24 7/25 7/3 7/31 8/4 8/6 8/11 8/19 PUBLIC STORAGE DEPOSITARY SH REPSTG 1/1 PSAPRR PUT TBT 6/21/14 75 PROSHS ULTRSHT TBT REAVES UTIL INCOME FD COM SH BEN INT UTG SCHLUMBERGER LTD SELECT SECTOR SPDR TRUST SHS BEN INT ENERG SLB XLE 1, SELECT SECTOR SPDR TRUST THE FINANCIAL SEL XLF SMUCKER J M COMPANY SJM SPECTRA ENERGY CORP SE STARBUCKS CORP SBUX TRANSOCEAN LTD US LISTED RIG (2,) TRIUMPH GROUP INC UNITED PARCEL SVC INC CL B TGI UPS (1,5) UNITED TECHNOLOGIES CORP UTX

17 214 ACTIVITY VERIZON COMMUNICATIONS VISA INC CL A COMMON STOCK VZ V 5/1 5/6 5/14 6/5 6/9 6/1 7/1 7/24 7/25 7/3 7/31 8/4 8/6 8/11 8/19 1, WALT DISNEY CO DIS WEATHERFORD INTERNATIONAL PLC WFT WELLS FARGO & COMPANY DEP SH 1/4TH INT 8% WFCPRJ WESTLAKE CHEMICAL CORP WHITING PETROLEUM CORPORATION XYLEM INC. WLK WLL XYL 1, , YAHOO INC CATERPILLAR FINL SVCS CORP NOTES 6.125% Due YHOO 14912L4F5 2, SBC COMMUNICATIONS INC GLOBAL NT 5.1% Due T5114 MORGAN STANLEY 4.% Due n3 ANADARKO PETE CORP SR NT 5.95% Due PCAX5 (2,)

18 214 ACTIVITY 5/1 5/6 5/14 6/5 6/9 6/1 7/1 7/24 7/25 7/3 7/31 8/4 8/6 8/11 8/19 US STEEL CORP SR NT 7.% Due AG ICAHN ENTERPRISES LP/CORP SR NT 4.875% % Due BB2 ARCELORMITTAL SR UNSECURED 6.75% Due LAX2 TIG CAP TRUST I CAP SECS 144A 8.597% Due AA8 EVEREST REINS HLDGS INC LONG TERM SUB NT 6.6% Due ae5 FAIRFAX FINL HLDGS LTD 7.75% Due AE26 GENERAL ELEC CAP CORP SUBORDINATED 7.125% Due sn6 UNION BANK NA C/D FDIC Ins. LMTS LINED TO S&P.% Due AMD76

19 214 ACTIVITY A T & T CORP (NEW) ABBOTT LABORATORIES ABBVIE INC T ABT ABBV 8/28 9/12 9/15 9/19 9/3 1/1 1/2 1/8 1/15 1/16 11/19 11/24 12/2 12/9 12/11 (1,) , AG MORTGAGE INVESTMENT TRUST INC 8.% SER MITTPRB ALIBABA GROUP HOLDING LTD ALPS ETF TR ALERIAN MLP BABA AMLP 1, 1, ALTRIA GROUP INC MO AMAZON.COM INC AMZN AMERICAN INTERNATIONAL GROUP INC AIG ANNALY CAPITAL MANAGEMENT INC 7.5% SER D NYLPRD ANNALY CAPITAL MANAGEMENT INC 7.625% SERIE NLYPRC APPLE INC AAPL BAIDU INC SPONSORED ADR REPSTG ORD SHS BIDU BANK OF AMERICAN CORP BAC

20 214 ACTIVITY BLACKROCK CORPORATE HIGH YIELD FUND INC HYT 8/28 9/12 9/15 9/19 9/3 1/1 1/2 1/8 1/15 1/16 11/19 11/24 12/2 12/9 12/11 BLACKROCK CREDIT ALLOCATION INCOME TRUST BTZ BLACKROCK DEFINED OPPORTUNITY CREDIT TRUST BHL BLACKROCK ENHANCED EQUITY DIVIDEND TRUST BDJ BLACKROCK FLOATING RATE INCOME STRATEGIES FRA BLACKROCK INC BOEING CO BLK BA BRISTOL MYERS SQUIBB CO BMY CANADIAN NATIONAL RAILWAY CO CNI CELGENE CORP CELG CENTERPOINT ENERGY INC CNP CHEVRON CORPORATION CHINA MOBILE LIMITED SPONSORED ADR CVX CHL COCA COLA COMPANY (THE) KO (1,) 44.7

21 214 ACTIVITY COGNIZANT TECHNOLOGY SOLUTIONS CORP-CL A CTSH 8/28 9/12 9/15 9/19 9/3 1/1 1/2 1/8 1/15 1/16 11/19 11/24 12/2 12/9 12/11 COLGATE PALMOLIVE COMPANY CL CONOCOPHILLIPS COP CORTS GOLDMAN SACHS SER II 6% PFD DUE 2/15 CSX CORP HYL CSX DISCOVER FINANCIAL SERVICES DFS DOMINION RESOURCES INC VA NEW D DUKE ENERGY CORPORATION HOLDING COMPANY DUK EBAY INC EBAY E I DU PONT DE NEMOURS & CO DD EL PASO PIPELINE PARTNERS L P COM UNIT LTD EMERSON ELECTRIC CO EXPRESS SCRIPTS HOLDING COMPANY EXXON MOBIL CORP EPB EMR ESRX XOM (2,) (2,) TENDER

22 214 ACTIVITY FACEBOOK INC CL A FORD MOTOR CO GENERAL ELECTRIC CO FB F GE 8/28 9/12 9/15 9/19 9/3 1/1 1/2 1/8 1/15 1/16 11/19 11/24 12/2 12/9 12/11 2, GOLDMAN SACHS GROUP GS % GOLDMAN SACHS CAP I JBO GLOBALSTAR INC GSAT GMAC CAP TR I GTD TR PFD SECS SER 2 FIXED ALLYPRA GOLDMAN SACHS GROUP INC 6.2% SER B DEP SH GSPRB GOOGLE GOOG GOOGLE INC CLASS A GOOGL GT ADVANCED TECHNOLOGIES INC HARLEY DAVIDSON INC GTAT HOG (1,) 1.55 HATTERAS FINANCIAL CORP 7.625% SERIES A CU HTSPRA HERSHEY COMPANY (THE) HSY (5) 92.35

23 214 ACTIVITY HESS CORPORATION HOME LOAN SERVICING SOLUTIONS LTD HES HLSS 8/28 9/12 9/15 9/19 9/3 1/1 1/2 1/8 1/15 1/16 11/19 11/24 12/2 12/9 12/11 (1,) 82.3 IAC / INTERACTIVECORP IACI INTERNATIONAL BUSINESS MACHINES CORP ISHARES NASDAQ BIOTECHNOLOGY INDEX FD IBM IBB (1,) ISHARES U S HOME CONSTRUCTION ETF ITB JOHNSON & JOHNSON JNJ JPMORGAN CHASE & CO JPM KINDER MORGAN INC LORILLARD INC KMI LO 2, 2, REC'D MARKET VECTORS AGRIBUSINESS ETF MARKET VECTORS ETF UNCONVENTIONAL OIL & GAS MOO FRAK (5,) MASTERCARD INCORPORATED MA MCKESSON CORP MCK

24 214 ACTIVITY MERCK & CO MICROSOFT CORP MRK MSFT 8/28 9/12 9/15 9/19 9/3 1/1 1/2 1/8 1/15 1/16 11/19 11/24 12/2 12/9 12/11 1, MORGAN STANLEY MS NESTLE SA-SPONSORED ADR REPSTG REGD ORD (S NOVARTIS AG AMERICAN DEPOSITARY SHARES OAKTREE CAP GROUP LLC UNIT CL A NSRGY NVS OAK PEPSICO INC PEP PHILLIPS 66 COM PSX PNC FINANCIAL SVCS GROUP INC PNC POWERSHARES QQQ TRUST SERIES 1 QQQ POWERSHARES WATER RESOURCES PORTFOLIO EXCH PHO PPLUS TR SER GSG-2 TR 5.75% PFD CTF CL A PROCTER & GAMBLE CO PYB PG (9) (3) PROSHARES TR PROSHARES ULTRASHORT TR TREAS TBT

25 214 ACTIVITY PROTO LABS INC COM PRLB 8/28 9/12 9/15 9/19 9/3 1/1 1/2 1/8 1/15 1/16 11/19 11/24 12/2 12/9 12/11 PUBLIC STORAGE DEPOSITARY SH REPSTG 1/1 PSAPRR PUT TBT 6/21/14 75 PROSHS ULTRSHT TBT REAVES UTIL INCOME FD COM SH BEN INT UTG SCHLUMBERGER LTD SLB (1,) SELECT SECTOR SPDR TRUST SHS BEN INT ENERG SELECT SECTOR SPDR TRUST THE FINANCIAL SEL XLE XLF SMUCKER J M COMPANY SPECTRA ENERGY CORP SJM SE (5) STARBUCKS CORP TRANSOCEAN LTD US LISTED SBUX RIG (1,) TRIUMPH GROUP INC TGI UNITED PARCEL SVC INC CL B UPS UNITED TECHNOLOGIES CORP UTX (1,) (1,)

26 214 ACTIVITY VERIZON COMMUNICATIONS VISA INC CL A COMMON STOCK VZ V 8/28 9/12 9/15 9/19 9/3 1/1 1/2 1/8 1/15 1/16 11/19 11/24 12/2 12/9 12/ WALT DISNEY CO DIS WEATHERFORD INTERNATIONAL PLC WELLS FARGO & COMPANY DEP SH 1/4TH INT 8% WFT WFCPRJ (3,) WESTLAKE CHEMICAL CORP WHITING PETROLEUM CORPORATION WLK WLL (1,) 6.5 XYLEM INC. XYL YAHOO INC CATERPILLAR FINL SVCS CORP NOTES 6.125% Due YHOO 14912L4F5 (2,) SBC COMMUNICATIONS INC GLOBAL NT 5.1% Due T5114 REDEEM MORGAN STANLEY 4.% Due n3 ANADARKO PETE CORP SR NT 5.95% Due PCAX5

27 214 ACTIVITY 8/28 9/12 9/15 9/19 9/3 1/1 1/2 1/8 1/15 1/16 11/19 11/24 12/2 12/9 12/11 US STEEL CORP SR NT 7.% Due AG ICAHN ENTERPRISES LP/CORP SR NT 4.875% % Due BB2 25, 1. ARCELORMITTAL SR UNSECURED 6.75% Due LAX2 TIG CAP TRUST I CAP SECS 144A 8.597% Due AA8 EVEREST REINS HLDGS INC LONG TERM SUB NT 6.6% Due ae5 FAIRFAX FINL HLDGS LTD 7.75% Due AE26 GENERAL ELEC CAP CORP SUBORDINATED 7.125% Due sn6 UNION BANK NA C/D FDIC Ins. LMTS LINED TO S&P.% Due AMD76 225, 12.5

28 214 ACTIVITY A T & T CORP (NEW) T 12/24 # shares ABBOTT LABORATORIES ABT 2, ABBVIE INC ABBV 1, AG MORTGAGE INVESTMENT TRUST INC 8.% SER MITTPRB 4, ALIBABA GROUP HOLDING LTD BABA 2, ALPS ETF TR ALERIAN MLP AMLP 1, ALTRIA GROUP INC MO 7, AMAZON.COM INC AMZN AMERICAN INTERNATIONAL GROUP INC AIG 5, ANNALY CAPITAL MANAGEMENT INC 7.5% SER D NYLPRD 4, ANNALY CAPITAL MANAGEMENT INC 7.625% SERIE NLYPRC 4, APPLE INC AAPL 3,5 BAIDU INC SPONSORED ADR REPSTG ORD SHS BIDU 5 BANK OF AMERICAN CORP BAC

29 214 ACTIVITY BLACKROCK CORPORATE HIGH YIELD FUND INC HYT 12/24 # shares 2,21 BLACKROCK CREDIT ALLOCATION INCOME TRUST BTZ 23,456 BLACKROCK DEFINED OPPORTUNITY CREDIT TRUST BHL 16,5 BLACKROCK ENHANCED EQUITY DIVIDEND TRUST BDJ 12,784 BLACKROCK FLOATING RATE INCOME STRATEGIES FRA 7,242 BLACKROCK INC BLK 1, BOEING CO BA 2, BRISTOL MYERS SQUIBB CO BMY CANADIAN NATIONAL RAILWAY CO CNI 4,5 CELGENE CORP CELG CENTERPOINT ENERGY INC CNP 3, CHEVRON CORPORATION CVX 1,5 CHINA MOBILE LIMITED SPONSORED ADR CHL 1,5 COCA COLA COMPANY (THE) KO

30 214 ACTIVITY COGNIZANT TECHNOLOGY SOLUTIONS CORP-CL A CTSH 12/24 # shares 2, COLGATE PALMOLIVE COMPANY CL 3,5 CONOCOPHILLIPS COP 4,5 CORTS GOLDMAN SACHS SER II 6% PFD DUE 2/15 HYL 11, CSX CORP CSX 3, DISCOVER FINANCIAL SERVICES DFS 3, DOMINION RESOURCES INC VA NEW D 2, DUKE ENERGY CORPORATION HOLDING COMPANY DUK 2,5 EBAY INC EBAY E I DU PONT DE NEMOURS & CO DD 1, EL PASO PIPELINE PARTNERS L P COM UNIT LTD EPB EMERSON ELECTRIC CO EMR 2, EXPRESS SCRIPTS HOLDING COMPANY ESRX 3,5 EXXON MOBIL CORP XOM 4,5

31 214 ACTIVITY FACEBOOK INC CL A FORD MOTOR CO FB F 12/24 # shares 5 2, , GENERAL ELECTRIC CO GE 3, GOLDMAN SACHS GROUP GS 1, 6.3% GOLDMAN SACHS CAP I JBO GLOBALSTAR INC GSAT 65, GMAC CAP TR I GTD TR PFD SECS SER 2 FIXED ALLYPRA 14, GOLDMAN SACHS GROUP INC 6.2% SER B DEP SH GSPRB 3,5 GOOGLE GOOG 35 GOOGLE INC CLASS A GOOGL 35 GT ADVANCED TECHNOLOGIES INC GTAT HARLEY DAVIDSON INC HOG 2, HATTERAS FINANCIAL CORP 7.625% SERIES A CU HTSPRA 4, HERSHEY COMPANY (THE) HSY

32 214 ACTIVITY HESS CORPORATION HES 12/24 # shares HOME LOAN SERVICING SOLUTIONS LTD HLSS 4, IAC / INTERACTIVECORP IACI 1, INTERNATIONAL BUSINESS MACHINES CORP IBM 1, ISHARES NASDAQ BIOTECHNOLOGY INDEX FD IBB 7 ISHARES U S HOME CONSTRUCTION ETF ITB JOHNSON & JOHNSON JNJ 9, JPMORGAN CHASE & CO JPM 1, KINDER MORGAN INC KMI 4,14 LORILLARD INC LO 1, MARKET VECTORS AGRIBUSINESS ETF MOO MARKET VECTORS ETF UNCONVENTIONAL OIL & GAS FRAK MASTERCARD INCORPORATED MA 2, MCKESSON CORP MCK 5

33 214 ACTIVITY MERCK & CO MRK 12/24 # shares 1, MICROSOFT CORP MSFT 2, MORGAN STANLEY MS 2, NESTLE SA-SPONSORED ADR REPSTG REGD ORD (S NSRGY 1, NOVARTIS AG AMERICAN DEPOSITARY SHARES NVS 2,5 OAKTREE CAP GROUP LLC UNIT CL A OAK PEPSICO INC PEP 1, PHILLIPS 66 COM PSX 3, PNC FINANCIAL SVCS GROUP INC PNC 2, POWERSHARES QQQ TRUST SERIES 1 QQQ 1,5 POWERSHARES WATER RESOURCES PORTFOLIO EXCH PHO 2, PPLUS TR SER GSG-2 TR 5.75% PFD CTF CL A PYB PROCTER & GAMBLE CO PG 4, PROSHARES TR PROSHARES ULTRASHORT TR TREAS TBT

34 214 ACTIVITY PROTO LABS INC COM PRLB 12/24 # shares 1, PUBLIC STORAGE DEPOSITARY SH REPSTG 1/1 PSAPRR 1,477 PUT TBT 6/21/14 75 PROSHS ULTRSHT TBT REAVES UTIL INCOME FD COM SH BEN INT UTG 11, SCHLUMBERGER LTD SLB SELECT SECTOR SPDR TRUST SHS BEN INT ENERG XLE 3, SELECT SECTOR SPDR TRUST THE FINANCIAL SEL XLF 8, SMUCKER J M COMPANY SJM 1, SPECTRA ENERGY CORP SE 7, STARBUCKS CORP SBUX TRANSOCEAN LTD US LISTED RIG TRIUMPH GROUP INC TGI UNITED PARCEL SVC INC CL B UPS 2, UNITED TECHNOLOGIES CORP UTX

35 214 ACTIVITY VERIZON COMMUNICATIONS VZ 12/24 # shares 3,5 VISA INC CL A COMMON STOCK V 275 WALT DISNEY CO DIS 1, WEATHERFORD INTERNATIONAL PLC WFT WELLS FARGO & COMPANY DEP SH 1/4TH INT 8% WFCPRJ 6,9 WESTLAKE CHEMICAL CORP WLK WHITING PETROLEUM CORPORATION WLL 1, XYLEM INC. XYL 3,5 YAHOO INC YHOO CATERPILLAR FINL SVCS CORP NOTES 6.125% Due L4F5 SBC COMMUNICATIONS INC GLOBAL NT 5.1% Due T5114 MORGAN STANLEY 4.% Due n3 25, ANADARKO PETE CORP SR NT 5.95% Due PCAX5

36 214 ACTIVITY 12/24 # shares US STEEL CORP SR NT 7.% Due AG 1, ICAHN ENTERPRISES LP/CORP SR NT 4.875% % Due BB2 25, ARCELORMITTAL SR UNSECURED 6.75% Due LAX2 2, TIG CAP TRUST I CAP SECS 144A 8.597% Due AA8 1, EVEREST REINS HLDGS INC LONG TERM SUB NT 6.6% Due ae5 2, FAIRFAX FINL HLDGS LTD 7.75% Due AE26 5, GENERAL ELEC CAP CORP SUBORDINATED 7.125% Due sn6 1, UNION BANK NA C/D FDIC Ins. LMTS LINED TO S&P.% Due AMD76 225,