SPDR SER TR

Ticker: CWB CUSIP: 78464A359 Class: BBG CONV SEC ETF

Brick & Kyle, Associates's Holding History (CIK: 0001632253)

Note: Option positions (PUT/CALL) are excluded.

Q1 2017

Shares 1,775 Value ($000) $85 Avg Close — Range —

Q4 2016

Shares 1,775 Value ($000) $81 Avg Close — Range —

Q3 2016

Shares 1,775 Value ($000) $82 Avg Close — Range —

Period	Shares	Value ($000)	Average Close	Price Range
Q1 2017	1,775	$85	—	—
Q4 2016	1,775	$81	—	—
Q3 2016	1,775	$82	—	—