| Trott Northwestern, LLC |
|
PRIVATE EQUITY |
Purchase
|
Dec. 31, 2017 |
$250,001 - $500,000 |
| Trott Northwestern, LLC |
|
PRIVATE EQUITY |
Purchase
|
Dec. 31, 2017 |
$250,001 - $500,000 |
| Antero Midstream gP LP Common Shares of Beneficial Interests (AMgP) |
AMGP |
STOCK |
Purchase
|
Dec. 21, 2017 |
$15,001 - $50,000 |
| CBoE MINI SPX INDEX (PUT/XSP @ 263 EXP 01/26/2018) |
XSP |
OPTION |
Sale
|
Dec. 20, 2017 |
$1,001 - $15,000 |
| oNEoK, Inc. (oKE) |
OKE |
STOCK |
Sale
|
Dec. 20, 2017 |
$15,001 - $50,000 |
| PUT/SPY @ 230 EXP 12/20/2019 - SPDR S&P 500 ETF TRUST |
SPY |
OPTION |
Sale
|
Dec. 12, 2017 |
$100,001 - $250,000 |
| PUT/SPY @ 200 EXP 12/20/2019 - SPDR S&P 500 ETF TRUST |
SPY |
OPTION |
Purchase
|
Dec. 12, 2017 |
$100,001 - $250,000 |
| THE goLDMAN SACHS gRoUP, INC. LINKED To FX BASKET 9% CoUPoN DUE 02/06/2020 STRUCTURED NoTE |
|
NOTE |
Sale
|
Dec. 12, 2017 |
$500,001 - $1,000,000 |
| CBoE MINI SPX INDEX (PUT/XSP @ 261 EXP 02/16/2018) |
XSP |
OPTION |
Sale
|
Dec. 12, 2017 |
$1,001 - $15,000 |
| TransCanada Corporation (TRP) |
TRP |
STOCK |
Purchase
|
Dec. 4, 2017 |
$15,001 - $50,000 |
| PUT/XSP @ 254 EXP 01/05/2018 - CBoE MINI SPX INDEX |
XSP |
OPTION |
Sale
|
Dec. 1, 2017 |
$1,001 - $15,000 |
| UBS Ag LINKED To S&P 500 INDEX BUFFERED CAPPED BETA 0% STRUCTURED NoTE DUE 02/06/2020 |
|
NOTE |
Purchase
|
Dec. 1, 2017 |
$100,001 - $250,000 |