Periodic Transaction Report
| Asset | Ticker | Category | Type | Transaction Date | Amount |
|---|---|---|---|---|---|
| Microsoft (stock) NASDAQ/OTC | MSFT | STOCK | Sale | $15,001 - $50,000 | |
| IBM Corp. (stock) NYSE | IBM | STOCK | Purchase | $1,001 - $15,000 | |
| Argan inc | AGX | STOCK | Sale | Oct. 25, 2013 | Over $1,000,000*** |
| Leggett & Platt | LEG | STOCK | Sale | Oct. 25, 2013 | $1,000,001 - $5,000,000 |
| JP Morgan Autocall Potash | STRUCTURED PRODUCT | Sale | Oct. 18, 2013 | $250,001 - $500,000 | |
| JP Morgan Autocall Potash | STRUCTURED PRODUCT | Sale | Oct. 18, 2013 | $500,001 - $1,000,000 | |
| Delaware SI Health Facilities Bond | BOND | Sale | June 11, 2013 | $100,001 - $250,000 |