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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 13-Nov-14 10:00 PM View:  | BlackRock Municipal 2020 Te... (BKK) | 12-Nov-14 | Disposition (other) | 37 | -- | -- | (3%) 1.11K to 1.08K | |
| 13-Nov-14 10:00 PM View: | BlackRock Florida Municipal... (BFO) | 11-Nov-14 | Disposition (other) | 14 | -- | -- | (100%) 14 to 0 | |
| 12-Nov-14 3:09 PM View: | BlackRock Municipal 2020 Te... (BKK) | 10-Nov-14 | Disposition (other) | 35 | -- | -- | (3%) 1.15K to 1.11K | |
| 10-Nov-14 9:56 AM View: | BlackRock Municipal 2020 Te... (BKK) | 06-Nov-14 | Disposition (other) | 47 | -- | -- | (4%) 1.2K to 1.15K | |
| 27-Oct-14 12:51 PM View: | Nicholas-Applegate Converti... (NCZ) | 24-Oct-14 | Acquisition (other) | 2 | -- | -- | < 1% 5.63K to 5.64K | |
| 11-Jun-14 2:22 PM View: | BlackRock Municipal 2020 Te... (BKK) | 10-Jun-14 | Disposition (other) | 51 | -- | -- | (4%) 1.25K to 1.2K | |
| 10-Jun-14 2:37 PM View: | BlackRock Municipal 2020 Te... (BKK) | 09-Jun-14 | Disposition (other) | 48 | -- | -- | (4%) 1.3K to 1.25K | |
| 10-Jun-14 2:34 PM View: | BlackRock Florida Municipal... (BFO) | 09-Jun-14 | Disposition (other) | 38 | -- | -- | (73%) 52 to 14 | |
| 06-Jun-14 5:34 PM View: | BlackRock Municipal 2020 Te... (BKK) | 05-Jun-14 | Disposition (other) | 67 | -- | -- | (5%) 1.36K to 1.3K | |
| 13-May-14 2:06 PM View: | American Municipal Income P... (XAA) | 12-May-14 | Disposition (other) | 176 | -- | -- | (100%) 0.18K to 0 | |
| 12-May-14 4:01 PM View: | Minnesota Municipal Income ... (MXA) | 09-May-14 | Disposition (other) | 141 | -- | -- | (100%) 0.14K to 0 | |
| 09-May-14 12:31 PM View: | American Municipal Income P... (XAA) | 08-May-14 | Disposition (other) | 113 | -- | -- | (39%) 0.29K to 0.18K | |
| 08-May-14 3:20 PM View: | Minnesota Municipal Income ... (MXA) | 07-May-14 | Disposition (other) | 138 | -- | -- | (49%) 0.28K to 0.14K | |
| 07-May-14 10:01 AM View: | First American Minnesota Mu... (MXN) | 05-May-14 | Disposition (other) | 513 | -- | -- | (100%) 0.51K to 0 | |
| 29-Apr-14 5:59 PM View: | BlackRock Florida Municipal... (BFO) | 28-Apr-14 | Disposition (other) | 16 | -- | -- | (24%) 67 to 51 | |
| 03-Apr-14 3:50 PM View: | Eaton Vance Senior Floating... (EFR) | 02-Apr-14 | Purchase | 2 | -- | -- | < 1% 2.83K to 2.83K | |
| 19-Mar-14 11:50 AM View: | Pioneer High Income Trust (PHT) | 18-Mar-14 | Disposition (other) | 256 | -- | -- | (100%) 0.26K to 0 | |
| 17-Mar-14 4:44 PM View: | Pioneer High Income Trust (PHT) | 14-Mar-14 | Disposition (other) | 121 | -- | -- | (32%) 0.38K to 0.26K | |
| 17-Mar-14 4:41 PM View: | Franklin Templeton Ltd. Dur... (FTF) | 14-Mar-14 | Sale | 1 | -- | -- | (< 1%) 0.59K to 0.59K | |
| 17-Mar-14 4:44 PM View: | Pioneer High Income Trust (PHT) | 13-Mar-14 | Disposition (other) | 391 | -- | -- | (51%) 0.77K to 0.38K | |
| 04-Mar-14 2:58 PM View: | BlackRock Municipal 2020 Te... (BKK) | 03-Mar-14 | Disposition (other) | 183 | -- | -- | (12%) 1.55K to 1.36K | |
| 28-Feb-14 3:06 PM View: | BlackRock Municipal 2020 Te... (BKK) | 27-Feb-14 | Disposition (other) | 126 | -- | -- | (8%) 1.67K to 1.55K | |
| 26-Feb-14 9:20 PM View: | PIMCO Floating Rate Strateg... (PFN) | 25-Feb-14 | Purchase | 1 | -- | -- | < 1% 1.42K to 1.42K | |
| 26-Feb-14 9:21 PM View: | Eaton Vance Senior Income T... (EVF) | 25-Feb-14 | Purchase | 1 | -- | -- | < 1% 1.89K to 1.89K | |
| 26-Feb-14 9:21 PM View: | PIMCO Corporate Opportunity... (PTY) | 25-Feb-14 | Purchase | 1 | -- | -- | < 1% 3.24K to 3.24K | |
| 04-Feb-14 4:45 PM View: | PIMCO Floating Rate Strateg... (PFN) | 03-Feb-14 | Purchase | 1 | -- | -- | < 1% 1.42K to 1.42K | |
| 22-Jan-14 5:52 PM View: | BlackRock Municipal 2020 Te... (BKK) | 21-Jan-14 | Disposition (other) | 101 | -- | -- | (6%) 1.77K to 1.67K | |
| 17-Jan-14 4:48 PM View: | BlackRock Municipal 2020 Te... (BKK) | 16-Jan-14 | Disposition (other) | 69 | -- | -- | (4%) 1.84K to 1.77K | |
| 08-Jan-14 1:04 PM View: | Dreyfus Strategic Municipal... (LEO) | 06-Jan-14 | Disposition (other) | 82 | -- | -- | (3%) 2.41K to 2.32K | |
| 08-Jan-14 12:59 PM View: | BlackRock Municipal 2020 Te... (BKK) | 06-Jan-14 | Disposition (other) | 47 | -- | -- | (2%) 1.89K to 1.84K | |
| 08-Jan-14 1:09 PM View: | BlackRock Florida Municipal... (BFO) | 06-Jan-14 | Disposition (other) | 35 | -- | -- | (34%) 0.1K to 67 | |
| 07-Jan-14 11:57 AM View: | Dreyfus Municipal Income Inc. (DMF) | 03-Jan-14 | Disposition (other) | 97 | -- | -- | (11%) 0.92K to 0.82K | |
| 07-Jan-14 12:06 PM View: | Dreyfus Strategic Municipal... (LEO) | 03-Jan-14 | Disposition (other) | 114 | -- | -- | (5%) 2.52K to 2.41K | |
| 07-Jan-14 9:53 AM View: | Dreyfus Strategic Municipal... (DSM) | 02-Jan-14 | Disposition (other) | 123 | -- | -- | (8%) 1.61K to 1.49K | |
| 06-Jan-14 3:19 PM View: | Dreyfus Strategic Municipal... (LEO) | 02-Jan-14 | Disposition (other) | 291 | -- | -- | (10%) 2.81K to 2.52K | |
| 06-Jan-14 3:22 PM View: | Dreyfus Municipal Income Inc. (DMF) | 02-Jan-14 | Disposition (other) | 140 | -- | -- | (13%) 1.06K to 0.92K | |
| 06-Jan-14 3:16 PM View: | BlackRock Municipal 2020 Te... (BKK) | 02-Jan-14 | Disposition (other) | 67 | -- | -- | (3%) 1.96K to 1.89K | |
| 03-Jan-14 12:53 PM View: | Dreyfus Strategic Municipal... (DSM) | 31-Dec-13 | Disposition (other) | 284 | -- | -- | (15%) 1.9K to 1.61K | |
| 03-Jan-14 12:47 PM View: | Dreyfus Strategic Municipal... (LEO) | 31-Dec-13 | Disposition (other) | 170 | -- | -- | (6%) 2.98K to 2.81K | |
| 03-Jan-14 12:42 PM View: | BlackRock Municipal 2020 Te... (BKK) | 31-Dec-13 | Disposition (other) | 51 | -- | -- | (3%) 2.01K to 1.96K | |
| 09-Dec-13 3:22 PM View: | Pioneer Floating Rate Trust (PHD) | 06-Dec-13 | Disposition (other) | 397 | -- | -- | (100%) 0.4K to 0 | |
| 09-Dec-13 3:22 PM View: | Pioneer Floating Rate Trust (PHD) | 05-Dec-13 | Disposition (other) | 739 | -- | -- | (65%) 1.14K to 0.4K | |
| 04-Dec-13 4:02 PM View: | BlackRock Municipal 2020 Te... (BKK) | 03-Dec-13 | Disposition (other) | 61 | -- | -- | (3%) 2.07K to 2.01K | |
| 04-Dec-13 4:13 PM View: | Pioneer Floating Rate Trust (PHD) | 03-Dec-13 | Disposition (other) | 458 | -- | -- | (29%) 1.59K to 1.14K | |
| 03-Dec-13 6:38 PM View: | BlackRock Municipal 2020 Te... (BKK) | 02-Dec-13 | Disposition (other) | 57 | -- | -- | (3%) 2.13K to 2.07K | |
| 03-Dec-13 6:36 PM View: | BlackRock Florida Municipal... (BFO) | 02-Dec-13 | Disposition (other) | 60 | -- | -- | (37%) 0.16K to 0.1K | |
| 03-Dec-13 6:38 PM View: | BlackRock Municipal 2020 Te... (BKK) | 29-Nov-13 | Disposition (other) | 81 | -- | -- | (4%) 2.21K to 2.13K | |
| 13-Nov-13 2:51 PM View: | Eaton Vance Senior Floating... (EFR) | 12-Nov-13 | Purchase | 1 | -- | -- | < 1% 2.83K to 2.83K | |
| 12-Nov-13 2:11 PM View: | Alliance California Municip... (AKP) | 08-Nov-13 | Purchase | 1 | -- | -- | < 1% 0.35K to 0.35K | |
| 29-Oct-13 2:42 PM View: | BlackRock Florida Municipal... (BFO) | 28-Oct-13 | Disposition (other) | 207 | -- | -- | (56%) 0.37K to 0.16K |