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10/18/2018 eFD: Annual Report for 2018 - Scott, Rick

United States Senate


Financial Disclosures
Candidate Report
The Honorable Rick Scott
State of Candidacy: FL | Candidacy Commenced: 03/26/2018
 Filed 07/27/2018 @ 4 16 PM

The following statements were checked before filing:


I certify that the statements I have made on this form are true, complete and correct to the best of my knowledge and belief.
I understand that reports cannot be edited once filed. To make corrections, I will submit an electronic amendment to this report.
I omitted assets because they meet the three‑part test for exemption.

Part 1. Honoraria Payments or Payments to Charity in Lieu of Honoraria


Did any individual or organization pay you or your spouse more than $200 or donate any amount to a charity on your behalf, for an article,
speech, or appearance? No

Part 2. Earned and Non‑Investment Income


Did you or your spouse have reportable earned income or non‑investment income? Yes
# Who Was Paid Type Who Paid Amount Paid
1 Self Salary State of Florida $0.18
Tallahassee, Florida

Part 3. Assets
Did you, your spouse, or dependent child own any asset worth more than $1000, have a deposit account with a balance over $5,000, or
receive income of more than $200 from an asset? Yes
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Income 1/121
Income
10/18/2018 eFD: Annual Report for 2018 - Scott, Rick

Asset Asset Type Owner Value Type


Income Income
1 Asset Residence ‑ Naples
Personal AssetEstate
Real Type Owner $5,000,001
Joint Value ‑ Type
None, Income(or less than $201)
None
Description: Florida Parcel: Residential $25,000,000
09380240002 (Naples,
FL) Filer comment: Included for
purposes of completeness.
2 Boathouse ‑ Naples Real Estate Joint $100,001 ‑ None, None (or less than $201)
Description: Florida Parcel: Residential $250,000
13420001922 (Naples, FL) Filer
comment: Included for
purposes of completeness.
3 Personal Residence ‑ Real Estate Joint $1,000,001 ‑ None, None (or less than $201)
Montana Residential $5,000,000
Description: Geo Code: 4498‑
34‑2‑01‑05‑0000 (Troy,
MT) Filer comment: Included
for purposes of completeness.
4 Refundable Club Deposit 1 Accounts Self $1,001 ‑ None, None (or less than $201)
Company: Royal Poinciana Receivable $15,000
(Naples, FL) Filer comment: From a Business
Included for purposes of
completeness.
5 Refundable Club Deposit 2 Accounts Self $50,001 ‑ None, None (or less than $201)
Company: Red Sky (Wolcott, Receivable $100,000
CO) Filer comment: Included From a Business
for purposes of completeness.
6 Richard L. Scott Blind Trust Trust Self
2014 (Qualified under the General Trust
laws of the State of Florida)
6.1 Alaska ST International Government Self $1,000,001 ‑ Interest, $5,001 ‑ $15,000
Airports Revenue Bond Securities $5,000,000
Rate/Coupon: 0.73% ‑ Variable Municipal
Matures: 10/01/2030 Security
6.2 BNY Mellon Bank Deposit Self $1,001 ‑ Interest, $201 ‑ $1,000
(New York, NY) $15,000
Type: Brokerage Sweep
Account,

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6.3 Morgan Stanley Bank Deposit Self $250,001 ‑ None,
Income None (or less than $201)
(Los
AssetAngeles, CA) Asset Type Owner $500,000
Value Type Income
Type: Brokerage Sweep
Account,
6.4 Morgan Stanley Bank Deposit Self $250,001 ‑ Interest, $5,001 ‑ $15,000
(Los Angeles, CA) $500,000
Type: Money Market Account,
6.5 San Antonio Texas Electric & Government Self $1,000,001 ‑ Interest, $50,001 ‑ $100,000
Gas Revenue Bond Securities $5,000,000
Rate/Coupon: 4.75% Municipal
Matures: 02/01/2028 Security
6.6 Lower Colorado River Auth Government Self $250,001 ‑ Interest, $15,001 ‑ $50,000
Texas Rev Bond Securities $500,000
Rate/Coupon: 4.0% Municipal
Matures: 05/15/2019 Security
6.7 Metropolitan Transportation Government Self $500,001 ‑ Interest, $2,501 ‑ $5,000
Authority of New York Securities $1,000,000
Revenue Bond Municipal
Rate/Coupon: 4.0% Security
Matures: 08/15/2019
6.8 California St Variable Purpose Government Self $500,001 ‑ Interest, $15,001 ‑ $50,000
G.O. Bond Securities $1,000,000
Rate/Coupon: 5.0% Municipal
Matures: 09/01/2019 Security
6.9 Metropolitan Washington DC Government Self $1,000,001 ‑ Interest, $50,001 ‑ $100,000
Airports Auth Revenue Bond Securities $5,000,000
Rate/Coupon: 5.0% Municipal
Matures: 10/01/2019 Security
6.10 Massachusetts Variable Government Self $500,001 ‑ Interest, $15,001 ‑ $50,000
Monthly Consolidated Loan Securities $1,000,000
Bond Municipal
Rate/Coupon: 3.284% Floating Security
Matures: 11/01/2019
6.11 Chicago Illinois O'Hare Intl Government Self $1,000,001 ‑ Interest, $50,001 ‑ $100,000
Airport Revenue Bond Securities $5,000,000
Rate/Coupon: 5.0% Municipal
Matures: 01/01/2022 Security

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6.12 Texas A&M University Perm Government Self $250,001 ‑ Interest,
Income $15,001 ‑ $50,000
Univ
AssetFd Bond 5.0% Securities
Asset Type Owner $500,000
Value Type Income
Rate/Coupon: Municipal
Matures: 07/01/2025 Security
6.13 Milwaukee Wisconsin Metro Government Self $1,000,001 ‑ Interest, $50,001 ‑ $100,000
Sewer District Bond Securities $5,000,000
Rate/Coupon: 5.25% Municipal
Matures: 10/01/2021 Security
6.14 California St Public Works Government Self $1,000,001 ‑ Interest, $100,001 ‑ $1,000,000
Revenue ‑ Cal St Univ Bond Securities $5,000,000
Rate/Coupon: 5.0% Municipal
Matures: 12/01/2028 Security
6.15 Triborough Bridge & Tunnel Government Self $1,000,001 ‑ Interest, $100,001 ‑ $1,000,000
Auth New York Revenue Bond Securities $5,000,000
Rate/Coupon: 5.0% Municipal
Matures: 01/01/2025 Security
6.16 Massaschusetts Water Res Government Self $100,001 ‑ Interest, $5,001 ‑ $15,000
Auth Revenue Bond Securities $250,000
Rate/Coupon: 5.0% Municipal
Matures: 08/01/2028 Security
6.17 California State G.O. Bond Government Self $500,001 ‑ Interest, $15,001 ‑ $50,000
Rate/Coupon: 5.25% Securities $1,000,000
Matures: 09/01/2022 Municipal
Security
6.18 New York City NY Transition Government Self $250,001 ‑ Interest, $15,001 ‑ $50,000
Fin Auth Bldg Revenue Bond Securities $500,000
Rate/Coupon: 5.0% Municipal
Matures: 07/15/2023 Security
6.19 York County South Carolina Government Self $1,000,001 ‑ Interest, $100,001 ‑ $1,000,000
Water & Sewer Revenue Bond Securities $5,000,000
Rate/Coupon: 5.0% Municipal
Matures: 12/01/2024 Security
6.20 Canadian River Texas Muni Government Self $1,000,001 ‑ Interest, $50,001 ‑ $100,000
Water Auth Revenue Bond Securities $5,000,000
Rate/Coupon: 5.0% Municipal
Matures: 02/15/2025 Security

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6.21 Grand Prairie Texas Government Self $500,001 ‑ Interest,
Income $15,001 ‑ $50,000
Independent
Asset School District Securities
Asset Type Owner $1,000,000
Value Type Income
Bond Municipal
Rate/Coupon: 5.0% Security
Matures: 02/15/2025
6.22 Massachusetts State Dev Fin Government Self $100,001 ‑ Interest, $15,001 ‑ $50,000
Agency Revenue Bond Securities $250,000
Rate/Coupon: 5.0% Municipal
Matures: 07/01/2026 Security
6.23 Port of Seattle Washington Government Self $500,001 ‑ Interest, $15,001 ‑ $50,000
Revenue Bond Securities $1,000,000
Rate/Coupon: 5.0% Municipal
Matures: 08/01/2026 Security
6.24 New York State Urban Dev Government Self $500,001 ‑ Interest, $15,001 ‑ $50,000
Corp Revenue Bond Securities $1,000,000
Rate/Coupon: 5.0% Municipal
Matures: 03/15/2027 Security
6.25 Las Vegas Valley Nevada Government Self $1,000,001 ‑ Interest, $50,001 ‑ $100,000
Water District Bond Securities $5,000,000
Rate/Coupon: 5.0% Municipal
Matures: 06/01/2027 Security
6.26 Washington State Motor Government Self $100,001 ‑ Interest, $5,001 ‑ $15,000
Vehicle Fuel Tax G.O. Bond Securities $250,000
Rate/Coupon: 5.25% Municipal
Matures: 06/01/2027 Security
6.27 Lower Alabama Gas Project Government Self $500,001 ‑ Interest, $15,001 ‑ $50,000
Revenue Bond Securities $1,000,000
Rate/Coupon: 5.0% Municipal
Matures: 09/01/2028 Security
6.28 Salt River Proj Agric Power Government Self $1,000,001 ‑ Interest, $100,001 ‑ $1,000,000
District Ariz Elec System Securities $5,000,000
Revenue Bond Municipal
Rate/Coupon: 5.0% Security
Matures: 12/01/2029

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6.29 North Texas Tollway Authority Government Self $500,001 ‑ Interest,
Income $50,001 ‑ $100,000
Revenue
Asset Bond5.0% Securities
Asset Type Owner $1,000,000
Value Type Income
Rate/Coupon: Municipal
Matures: 01/01/2030 Security
6.30 Connecticut State Spec Tax Government Self $500,001 ‑ Interest, $15,001 ‑ $50,000
Revenue Bond Securities $1,000,000
Rate/Coupon: 5.0% Municipal
Matures: 09/01/2030 Security
6.31 Chicago Illinois Met Water Government Self $1,000,001 ‑ Interest, $100,001 ‑ $1,000,000
Reclamation District Bond Securities $5,000,000
Rate/Coupon: 5.0% Municipal
Matures: 12/01/2030 Security
6.32 Indiana Municipal Power Government Self $250,001 ‑ Interest, $5,001 ‑ $15,000
Agency Power Supply System Securities $500,000
Revenue Bond Municipal
Rate/Coupon: 5.0% Security
Matures: 01/01/2031
6.33 New Mexico Mun Egy Government Self $500,001 ‑ Interest, $15,001 ‑ $50,000
Acquisition Auth Gas Supply Securities $1,000,000
Revenue Bond Municipal
Rate/Coupon: 2.078% ‑ Security
Floating
Matures: 11/01/2039
6.34 Black Belt Energy Gas Dist Ala Government Self $1,000,001 ‑ Interest, $100,001 ‑ $1,000,000
Gas Supply Revenue Bond Securities $5,000,000
Rate/Coupon: 4.0% ‑ Floating Municipal
Matures: 07/01/2046 Security
6.35 California State G.O. Bond Government Self $500,001 ‑ Interest, $15,001 ‑ $50,000
Rate/Coupon: 5.25% Securities $1,000,000
Matures: 09/01/2022 Municipal
Security
6.36 Neuberger Berman Bank Deposit Self $15,001 ‑ Interest, $201 ‑ $1,000
(New York, NY) $50,000
Type: Brokerage Sweep
Account,
6.37 ARLP ‑ Alliance Resource Corporate Self $50,001 ‑ Dividends, $5,001 ‑ $15,000
Partners, L.P. Securities $100,000
Stock

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6.38 AM ‑ Antero Midstream Corporate Self $50,001 ‑ Dividends,
Income $2,501 ‑ $5,000
Partners
Asset LP Securities
Asset Type Owner $100,000
Value Type Income
Stock
6.39 FUN‑Cedar Fair, L.P. Corporate Self $100,001 ‑ Dividends, $100,001 ‑ $1,000,000
Securities $250,000 Capital
Stock Gains,
6.40 DM ‑ Dominion Energy Corporate Self $15,001 ‑ Dividends, $2,501 ‑ $5,000
Midstream Partners, LP Securities $50,000
Stock
6.41 ETE ‑ Energy Transfer Equity, Corporate Self $100,001 ‑ Dividends, $15,001 ‑ $50,000
L.P. Securities $250,000
Stock
6.42 EPD ‑ Enterprise Products Corporate Self $100,001 ‑ Dividends, $5,001 ‑ $15,000
Partners L.P. Securities $250,000
Stock
6.43 EQGP ‑ EQT GP Holdings, LP Corporate Self $50,001 ‑ Dividends, $2,501 ‑ $5,000
Securities $100,000
Stock
6.44 EQM ‑ EQT Midstream Corporate Self $50,001 ‑ Dividends, $5,001 ‑ $15,000
Partners, LP Securities $100,000
Stock
6.45 NEP ‑ NextEra Energy Corporate Self $100,001 ‑ Dividends, $5,001 ‑ $15,000
Partners, LP Securities $250,000
Stock
6.46 NYLD ‑ NRG Yield, Inc. Corporate Self $50,001 ‑ Dividends, $5,001 ‑ $15,000
Securities $100,000
Stock
6.47 OKE ‑ ONEOK, Inc. Corporate Self $100,001 ‑ Dividends, $5,001 ‑ $15,000
Securities $250,000
Stock
6.48 SRE ‑ Sempra Energy Corporate Self $50,001 ‑ Dividends, $1,001 ‑ $2,500
Securities $100,000
Stock
6.49 TRGP ‑ Targa Resources Corp. Corporate Self $50,001 ‑ Dividends, $5,001 ‑ $15,000
Securities $100,000
Stock

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6.50 WGP ‑ Western Gas Equity Corporate Self $100,001 ‑ Dividends,
Income $15,001 ‑ $50,000
Partners,
Asset LP Securities
Asset Type Owner $250,000
Value Type Income
Stock
6.51 WMB ‑ The Williams Corporate Self $50,001 ‑ Dividends, $1,001 ‑ $2,500
Companies, Inc. Securities $100,000
Stock
6.52 WTT ‑ Wireless Telecom Corporate Self $1,000,001 ‑ None, None (or less than $201)
Group, Inc. Securities $5,000,000
Stock
6.53 Pershing Advisor Solutions ‑ Bank Deposit Self $1,001 ‑ None, None (or less than $201)
BNY Mellon $15,000
(New York, NY)
Type: Brokerage Sweep
Account,
6.54 Promissory Note Accounts Self $100,001 ‑ None, None (or less than $201)
Company: Pharmaca Receivable $250,000
Investments, LLC (Rowayton, From a Business
Connecticut) 
6.55 AG Energy Partners II, L.P. Investment Fund Self $1,000,001 ‑ Excepted $100,001 ‑ $1,000,000
Description: Private Investment Private Equity $5,000,000 Investment
Partnership (New York, NY)  Fund Fund,
6.56 AG Super Fund, L.P. Investment Fund Self $1,000,001 ‑ Excepted $50,001 ‑ $100,000
Description: Private Investment Private Equity $5,000,000 Investment
Partnership (New York, NY)  Fund Fund,
6.57 AJ I Gainline LLC Investment Fund Self $1,000,001 ‑ None, None (or less than $201)
Description: Private Investment Private Equity $5,000,000
Partnership (New York, New Fund
York) 
6.58 AJ 2 Elliott LLC Investment Fund Self
Description: Private Investment Private Equity
Vehicle (New York, New York)  Fund
6.58.1 Ancora Catalyst SPV I L.P. Investment Fund Self $500,001 ‑ Dividends, $100,001 ‑ $1,000,000
Description: Private Investment Private Equity $1,000,000
Partnership (Cleveland, OH)  Fund

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6.59 CAI Partners and Company IV Investment Fund Self $500,001 ‑ Excepted
Income $50,001 ‑ $100,000
L.P.
Asset Private Equity
Asset Type Owner $1,000,000
Value Investment
Type Income
Description: Private Investment Fund Fund,
Partnership (New York, NY) 
6.60 Canyon Laurel Fund L.P. Investment Fund Self $500,001 ‑ Excepted $15,001 ‑ $50,000
Description: Private Investment Private Equity $1,000,000 Investment
Partnership (Los Angeles, CA)  Fund Fund,
6.61 Fortress Secured Lending Investment Fund Self $500,001 ‑ Excepted $15,001 ‑ $50,000
Fund I (A) LP Private Equity $1,000,000 Investment
Description: Private Investment Fund Fund,
Partnership (New York, NY) 
6.62 G. Scott Capital Partners Investment Fund Self $1,000,001 ‑ Dividends, $1,000,001 ‑ $5,000,000
Description: Private Investment Private Equity $5,000,000 Interest,
Vehicle (Rowayton, Fund
Connecticut) 
6.63 OVO Fund II, LLC Investment Fund Self $100,001 ‑ None, None (or less than $201)
Description: Private Investment Private Equity $250,000
Partnership (Los Altos, CA)  Fund
6.64 Pharmaca Investments, LLC Investment Fund Self $250,001 ‑ None, None (or less than $201)
Description: Private Investment Private Equity $500,000
Vehicle (Rowayton, Fund
Connecticut) 
6.65 RLSI‑CSP Capital Partners, Investment Fund Self $1,000,001 ‑ Dividends, Over $5,000,000
LLC Private Equity $5,000,000 Capital
Description: Private Investment Fund Gains,
Vehicle (Rowayton,
Connecticut) 
6.66 RLSI‑EMIDA Capital Partners, Investment Fund Self $15,001 ‑ None, None (or less than $201)
LLC Private Equity $50,000
Description: Private Investment Fund
Vehicle (Rowayton,
Connecticut) 
6.67 S&S Debt Partners I, LLC Investment Fund Self None (or less Interest, $100,001 ‑ $1,000,000
Description: Private Investment Private Equity than $1,001)
Vehicle (Rowayton, Fund
Connecticut) 

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6.68 S&S Equity Partners I LLC Investment Fund Self $500,001 ‑ Dividends,
Income $100,001 ‑ $1,000,000
Description:
Asset Private Investment Private Equity
Asset Type Owner $1,000,000
Value Interest,
Type Income
Vehicle (Rowayton, Fund
Connecticut) 
6.69 S&S Sports, LLC Investment Fund Self $1,000,001 ‑ Dividends, Over $1,000,000 and held indepen‑
Description: Private Investment Private Equity $5,000,000 Interest, dently by spouse or dependent child
Vehicle (Rowayton, Fund
Connecticut) 
6.70 Vestar Executive V, LP / Investment Fund Self $50,001 ‑ Excepted $201 ‑ $1,000
Vestar Executives IV, LP / Private Equity $100,000 Investment
Vestar ‑ AIV Holdings B, LP Fund Fund,
Description: Private Investment
Partnership (New York, NY) 
6.71 VSS Structured Capital III, Investment Fund Self $250,001 ‑ Excepted $15,001 ‑ $50,000
L.P. Private Equity $500,000 Investment
Description: Private Investment Fund Fund,
Partnership (New York, NY) 
6.72 Columbia Collier Corporate Self $500,001 ‑ None, None (or less than $201)
Management, LLC Securities $1,000,000
Company: Columbia Collier Non‑Public
Management, LLC (Naples, Stock
Florida) Description: Company
set up for purpose of ownership
of airplane 
6.73 Account Receivable from Accounts Self $1,000,001 ‑ Interest, $15,001 ‑ $50,000
Seabass Properties LLC Receivable $5,000,000
Company: Seabass Properties From a Business
LLC (Austin, TX) 
6.74 Account Receivable from AJ I Accounts Self None (or less None, None (or less than $201)
Gainline LLC Receivable than $1,001)
Company: AJ I Gainline LLC From a Business
(New York, New York) 
6.75 California Pollution Control Government Self None (or less Interest, $1,001 ‑ $2,500
Authority Bond Securities than $1,001)
Rate/Coupon: 0.84% ‑ Variable Municipal
Matures: 11/01/2026 Security
Filer comment: No longer held

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6.76 Clackamas County Oregon Government Self None (or less Interest,
Income $2,501 ‑ $5,000
School
Asset District5.0%
Bond Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: Municipal
Matures: 06/15/2017 Security
Filer comment: No longer held
6.77 Colorado State Educational Government Self None (or less Interest, $5,001 ‑ $15,000
Loan Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 06/29/2017 Security
Filer comment: No longer held
6.78 Dallas Texas Performing Arts Government Self None (or less Interest, $5,001 ‑ $15,000
Muni Bond Securities than $1,001)
Rate/Coupon: 0.43% ‑ Variable Municipal
Matures: 09/01/2041 Security
Filer comment: No longer held
6.79 Derry Township Pennsylvania Government Self None (or less Interest, $5,001 ‑ $15,000
Indl & Commercial Dev Securities than $1,001)
Revenue Bond Municipal
Rate/Coupon: See note Security
Matures: 11/01/2030
Filer comment: Combines
multiple bonds with rates from
1.1%‑1.4% (variable); no longer
held
6.80 Douglas County Nebraska Government Self None (or less Interest, $1,001 ‑ $2,500
Hospital Bond Securities than $1,001)
Rate/Coupon: 0.08% ‑ Variable Municipal
Matures: 08/15/2032 Security
Filer comment: No longer held
6.81 Dutchess County New York Government Self None (or less Interest, $5,001 ‑ $15,000
Indl Dev Agency Revenue Securities than $1,001)
Bond Municipal
Rate/Coupon: 0.24% ‑ Variable Security
Matures: 07/01/2038
Filer comment: No longer held

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6.82 Forsyth Montana Pollution Government Self None (or less Interest,
Income $5,001 ‑ $15,000
Control
Asset Revenue Bond Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: 0.77% ‑ Variable Municipal
Matures: 01/01/2018 Security
Filer comment: No longer held
6.83 Hamilton County Ohio Sewer Government Self None (or less Interest, $15,001 ‑ $50,000
System Revenue Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 12/01/2017 Security
Filer comment: No longer held
6.84 Houston Texas Utility Sys Government Self None (or less Interest, $5,001 ‑ $15,000
Revenue Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: See note Security
Filer comment: Combines
multiple bonds each at 5%
interest; maturity dates from
11/15/2018‑11/15/2033; no
longer held
6.85 Illinois State Financial Auth Government Self None (or less Interest, $5,001 ‑ $15,000
Revenue Bond Securities than $1,001)
Rate/Coupon: See note Municipal
Matures: See note Security
Filer comment: Combines
multiple bonds with maturity
dates from 10/01/2030‑
08/01/2044; variable interest
rates from 0.75%‑1.12%; no
longer held
6.86 Illinois State Financial Auth Government Self None (or less Interest, $5,001 ‑ $15,000
Revenue Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 07/01/2017 Security
Filer comment: No longer held
6.87 Indiana ST Fin Auth Bond Government Self None (or less Interest, $5,001 ‑ $15,000
Rate/Coupon: 0.2% ‑ Variable Securities than $1,001)
Matures: 10/01/2040 Municipal
Filer comment: No longer held Security

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6.88 Iowa Higher Ed LN Auth Government Self None (or less Interest,
Income $2,501 ‑ $5,000
Revenue
Asset Bond0.33% ‑ Variable Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: Municipal
Matures: 10/01/2024 Security
Filer comment: No longer held
6.89 Iowa Fin Auth Health Muni Government Self None (or less Interest, $1,001 ‑ $2,500
Bond Securities than $1,001)
Rate/Coupon: 2.4% Municipal
Matures: 06/01/2027 Security
Filer comment: No longer held
6.90 Irvine California Impt Bd Act Government Self None (or less Interest, $2,501 ‑ $5,000
1915 Loc Muni Bond Securities than $1,001)
Rate/Coupon: 0.93% Municipal
Matures: 09/02/2023 Security
Filer comment: No longer held
6.91 Kansas St Dev Fin Auth Muni Government Self None (or less Interest, $2,501 ‑ $5,000
Bond Securities than $1,001)
Rate/Coupon: 0.05% ‑ Variable Municipal
Matures: 03/01/2041 Security
Filer comment: No longer held
6.92 King County Washington Hsg Government Self None (or less Interest, $5,001 ‑ $15,000
Auth Var‑Ref‑Pooled Bond Securities than $1,001)
Rate/Coupon: 0.75% ‑ Variable Municipal
Matures: 07/01/2035 Security
Filer comment: No longer held
6.93 Manteca California Rede Bond Government Self None (or less Interest, $201 ‑ $1,000
Rate/Coupon: 0.27% ‑ Variable Securities than $1,001)
Matures: 10/01/2042 Municipal
Filer comment: No longer held Security
6.94 Maryland State Hlth & Higher Government Self None (or less Interest, $5,001 ‑ $15,000
Educational Facilities Revenue Securities than $1,001)
Bond Municipal
Rate/Coupon: 0.64% ‑ Variable Security
Matures: 07/01/2041
Filer comment: No longer held

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6.95 Massachusetts State G.O. Government Self None (or less Interest,
Income $2,501 ‑ $5,000
Bond
Asset Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: 4.0% Municipal
Matures: 07/01/2017 Security
Filer comment: No longer held
6.96 Massachusetts State G.O. Government Self None (or less Interest, $2,501 ‑ $5,000
Bond Securities than $1,001)
Rate/Coupon: 0.22% ‑ Variable Municipal
Matures: 07/01/2026 Security
Filer comment: No longer held
6.97 Massachusetts State Health Government Self None (or less Interest, $201 ‑ $1,000
Muni Bond Securities than $1,001)
Rate/Coupon: 5.5% Municipal
Matures: 08/15/2040 Security
Filer comment: No longer held
6.98 Massachusetts State Health & Government Self None (or less Interest, $201 ‑ $1,000
Educational Facilities Revenue Securities than $1,001)
Bond Municipal
Rate/Coupon: 1.07% Security
Matures: 12/01/2037
Filer comment: No longer held
6.99 Milford Connecticut BANS Government Self None (or less Interest, $15,001 ‑ $50,000
Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 11/06/2017 Security
Filer comment: No longer held
6.100 Milwaukee Wisconsin Area Government Self None (or less Interest, $5,001 ‑ $15,000
Technical College Promissory Securities than $1,001)
Notes Bond Municipal
Rate/Coupon: 2.0% Security
Matures: 12/01/2017
Filer comment: No longer held

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6.101 Mississippi State Business Government Self None (or less Interest,
Income $15,001 ‑ $50,000
Finance
Asset CorpZoneGulf Securities
Asset Type Owner than
Value$1,001) Type Income
Opportunity Bond Municipal
Rate/Coupon: See note Security
Matures: See note
Filer comment: Combines
multiple bonds with maturity
dates from 12/01/2030‑
11/10/2035; all at variable
interest from 0.07%‑0.24%.
None are currently held.
6.102 Missouri State Health & Government Self None (or less Interest, $50,001 ‑ $100,000
Educational Facilities Revenue Securities than $1,001)
Bond Municipal
Rate/Coupon: See note Security
Matures: See note
Filer comment: Combines
multiple bonds with rates from
0.97% (variable) to 5.375%
(fixed) with maturity dates of
11/01/2031‑03/15/2039; no
longer held.
6.103 Missouri State Development Government Self None (or less Interest, $1,001 ‑ $2,500
Finance Muni Bond Securities than $1,001)
Rate/Coupon: 0.16% ‑ Variable Municipal
Matures: 12/01/2020 Security
Filer comment: No longer held
6.104 Montgomery County Government Self None (or less Interest, $15,001 ‑ $50,000
Tennessee Public Bldg Auth Securities than $1,001)
Revenue Bond Municipal
Rate/Coupon: See note Security
Matures: See note
Filer comment: Combines
multiple bonds with maturity
dates from 04/01/2032‑
02/01/2036; variable interest
rates from 1.1%‑1.75%; no
longer held

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6.105 Nantucket Massachusetts Government Self None (or less Interest,
Income $15,001 ‑ $50,000
BANS
Asset Bond 2.0% Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: Municipal
Matures: 11/30/2017 Security
Filer comment: No longer held
6.106 Needham Massachusetts Government Self None (or less Interest, $5,001 ‑ $15,000
BANS Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 11/01/2017 Security
Filer comment: No longer held
6.107 New York City NY Muni Bond Government Self None (or less Interest, $15,001 ‑ $50,000
Rate/Coupon: See note Securities than $1,001)
Matures: See note Municipal
Filer comment: Combines Security
multiple bonds with maturity
dates from 08/01/2031‑
04/01/2042; all at variable
interest from 0.51%‑0.87%.
None are currently held.
6.108 New York City NY Hsg Dev Government Self None (or less Interest, $15,001 ‑ $50,000
Corp Multifamily Rent Securities than $1,001)
Revenue Bond Municipal
Rate/Coupon: 2.25% Security
Matures: 03/15/2036
Filer comment: No longer held
6.109 New York City NY Transition Government Self None (or less Interest, $5,001 ‑ $15,000
Fin Auth Bldg Revenue Bond Securities than $1,001)
Rate/Coupon: See note Municipal
Matures: See note Security
Filer comment: Combines
multiple bonds with maturity
dates from 11/01/2036‑
02/01/2045; all at variable
interest at 1.12%. None are
currently held.

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6.110 New York City NY Muni Water Government Self None (or less Interest,
Income $2,501 ‑ $5,000
Fin
AssetAuth Wtr & Sewer Securities
Asset Type Owner than
Value$1,001) Type Income
Revenue Bond Municipal
Rate/Coupon: 0.3% ‑ Variable Security
Matures: 06/15/2048
Filer comment: No longer held
6.111 New York State Dorm Auth Government Self None (or less Interest, $100,001 ‑ $1,000,000
Revenue Bond Securities than $1,001)
Rate/Coupon: See note Municipal
Matures: See note Security
Filer comment: Combines
multiple bonds with maturity
dates from 03/15/2020‑
07/01/2031; all at variable
interest (0.74%) or fixed interest
(5.0%). None are currently held.
6.112 New York State Hsg Fin Agy Government Self None (or less Interest, $5,001 ‑ $15,000
Revenue Bond Securities than $1,001)
Rate/Coupon: See note Municipal
Matures: See note Security
Filer comment: Combines
multiple bonds with maturity
dates from 05/01/2042‑
11/01/2046; all at variable
interest from 0.04%‑2.792%.
None are currently held.
6.113 New York NY Municipal Bond Government Self None (or less Interest, $2,501 ‑ $5,000
Bank Agy Apl Sch Purp Securities than $1,001)
Revenue Bond Municipal
Rate/Coupon: 4.0% Security
Matures: 12/01/2017
Filer comment: No longer held
6.114 Nodaway County Missouri Government Self None (or less Interest, $5,001 ‑ $15,000
Indl Dev Auth Revenue Bond Securities than $1,001)
Rate/Coupon: 0.2% ‑ Variable Municipal
Matures: 11/01/2028 Security
Filer comment: No longer held

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6.115 North Carolina Med CA Muni Government Self None (or less Interest,
Income $1,001 ‑ $2,500
Bond
Asset Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: 0.75% ‑ Variable Municipal
Matures: 08/15/2034 Security
Filer comment: No longer held
6.116 Pennsylvania State High Government Self None (or less Interest, $5,001 ‑ $15,000
Educational Facility Revenue Securities than $1,001)
Bond Municipal
Rate/Coupon: 5.0% Security
Matures: 12/01/2017
Filer comment: No longer held
6.117 Snohomish County Government Self None (or less Interest, $1,001 ‑ $2,500
Washington School District Securities than $1,001)
Bond Municipal
Rate/Coupon: 4.0% Security
Matures: 12/01/2017
Filer comment: No longer held
6.118 Pennsylvania State Public Government Self None (or less Interest, $5,001 ‑ $15,000
School Building Muni Bond Securities than $1,001)
Rate/Coupon: 0.65% ‑ Variable Municipal
Matures: 08/01/2030 Security
Filer comment: No longer held
6.119 Topeka Kansas ‑ Temp Nts‑ Government Self None (or less Interest, $5,001 ‑ $15,000
Gen Impts‑Ser A Securities than $1,001)
Rate/Coupon: 3.0% Municipal
Matures: 10/01/2017 Security
Filer comment: No longer held
6.120 Valdez Alaska Marine Government Self None (or less Interest, $2,501 ‑ $5,000
Terminal Refinancing Bond Securities than $1,001)
Rate/Coupon: 0.88% ‑ Variable Municipal
Matures: 12/01/2029 Security
Filer comment: No longer held
6.121 Washington State Hsg Fin Government Self None (or less Interest, $2,501 ‑ $5,000
Comm Nonprofit Revenue Securities than $1,001)
Bond Municipal
Rate/Coupon: 3.85% Security
Matures: 06/01/2032
Filer comment: No longer held

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6.122 West Windsor‑Plainsboro Government Self None (or less Interest,
Income $1,001 ‑ $2,500
New
AssetJersey Regional Sch Dist Securities
Asset Type Owner than
Value$1,001) Type Income
Bond Municipal
Rate/Coupon: 4.0% Security
Matures: 12/01/2017
Filer comment: No longer held
6.123 Beacon NY BANS Bond Government Self None (or less Interest, $15,001 ‑ $50,000
Rate/Coupon: 2.0% Securities than $1,001)
Matures: 05/25/2018 Municipal
Filer comment: No longer held Security
6.124 Charleston County South Government Self None (or less Interest, $50,001 ‑ $100,000
Carolina School District Muni Securities than $1,001)
Bond Municipal
Rate/Coupon: See note Security
Matures: See note
Filer comment: Combines
multiple bonds with rates from
2.0%‑5.0%; maturity dates from
11/16/2017‑03/30/2018; no
longer held
6.125 Framingham Massachusetts Government Self None (or less Interest, $15,001 ‑ $50,000
Muni Bond Securities than $1,001)
Rate/Coupon: 1.75% Municipal
Matures: 12/08/2017 Security
Filer comment: No longer held
6.126 Fulton County Georgia Government Self None (or less Interest, $15,001 ‑ $50,000
General Fund ‑ Tax Antic Nts Securities than $1,001)
Bond Municipal
Rate/Coupon: 2.0% Security
Matures: 12/29/2017
Filer comment: No longer held
6.127 Hingham Massachusetts Government Self None (or less Interest, $15,001 ‑ $50,000
BANS Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 05/17/2018 Security
Filer comment: No longer held

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6.128 Los Angeles California G.O. Government Self None (or less Interest,
Income $5,001 ‑ $15,000
Bond
Asset Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: 3.0% Municipal
Matures: 06/29/2017 Security
Filer comment: No longer held
6.129 Salt Lake County Utah Tax & Government Self None (or less Interest, $15,001 ‑ $50,000
Rev Antic Nts Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 08/11/2017 Security
Filer comment: No longer held
6.130 Westborough Massachusetts Government Self None (or less Interest, $5,001 ‑ $15,000
BANS Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 08/11/2017 Security
Filer comment: No longer held
6.131 Arizona ST Health Facilities Government Self None (or less Interest, $50,001 ‑ $100,000
Auth Revenue Bond Securities than $1,001)
Rate/Coupon: See note Municipal
Matures: See note Security
Filer comment: Combines
multiple bonds with a rate of
1.1%‑5.375%; maturity dates
ranging from 01/01/2032‑
01/01/2046; no longer held.
6.132 El Dorado California Irrigation Government Self None (or less Interest, $5,001 ‑ $15,000
District Revenue Bond Securities than $1,001)
Rate/Coupon: 4.25% Municipal
Matures: 03/01/2018 Security
Filer comment: No longer held
6.133 Ohio ST G.O. Bond Government Self None (or less Interest, $15,001 ‑ $50,000
Rate/Coupon: 5.0% Securities than $1,001)
Matures: 09/01/2020 Municipal
Filer comment: No longer held Security

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6.134 Delaware Valley PA Regional Government Self None (or less Interest,
Income $5,001 ‑ $15,000
Financial
Asset Revenue Bond Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: See note Municipal
Matures: 06/01/2042 Security
Filer comment: Combines
multiple bonds with variable
interest from 1.09%‑1.75%; no
longer held
6.135 Richland County South Government Self None (or less Interest, $15,001 ‑ $50,000
Carolina School Dist #1 Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 03/01/2018 Security
Filer comment: No longer held
6.136 Clarksville Tennessee Public Government Self None (or less Interest, $2,501 ‑ $5,000
Building Authority Municipal Securities than $1,001)
Bond Municipal
Rate/Coupon: See note Security
Matures: 01/01/2033
Filer comment: Combines
multiple bonds between
1.1%‑1.75% variable; same
maturity dates; no longer held
6.137 Gallatin Tennessee Water & Government Self None (or less Interest, $15,001 ‑ $50,000
Sewer Revenue Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 01/01/2033 Security
Filer comment: No longer held
6.138 Houston Texas Independent Government Self None (or less Interest, $15,001 ‑ $50,000
School District Ltd Tax‑ Securities than $1,001)
Schoolhouse Bond Municipal
Rate/Coupon: 2.25% Security
Matures: 02/15/2018
Filer comment: No longer held
6.139 Wisconsin ST Environmental Government Self None (or less Interest, $50,001 ‑ $100,000
Impact Fund Revenue Bond Securities than $1,001)
Rate/Coupon: 3.0% Municipal
Matures: 06/01/2018 Security
Filer comment: No longer held

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6.140 Government National Government Self None (or less Interest,
Income $201 ‑ $1,000
Mortgage
Asset AssnNone
Pool Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: US
Matures: None Treasury/Agency
Filer comment: No longer held Security
6.141 Ramsey New Jersey School Government Self None (or less Interest, $15,001 ‑ $50,000
Dist Ref Bond Securities than $1,001)
Rate/Coupon: 3% Municipal
Matures: 01/15/2018 Security
Filer comment: No longer held
6.142 Collin County Texas G.O. Bond Government Self None (or less Interest, $15,001 ‑ $50,000
Rate/Coupon: 5% Securities than $1,001)
Matures: 02/15/2018 Municipal
Filer comment: No longer held Security
6.143 El Paso Texas Independent Government Self None (or less Interest, $5,001 ‑ $15,000
School District Utility Tax Securities than $1,001)
Bond Municipal
Rate/Coupon: 4.125% Security
Matures: 02/15/2018
Filer comment: No longer held
6.144 Richardson Texas Government Self None (or less Interest, $50,001 ‑ $100,000
Independent School District Securities than $1,001)
Building Bond Municipal
Rate/Coupon: 3.0% Security
Matures: 02/15/2018
Filer comment: No longer held
6.145 Lexington Massachusetts Government Self None (or less Interest, $15,001 ‑ $50,000
BANS Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 02/16/2018 Security
Filer comment: No longer held
6.146 Beaufort County South Government Self None (or less Interest, $15,001 ‑ $50,000
Carolina School District Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 03/01/2018 Security
Filer comment: No longer held

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6.147 Lexington County South Government Self None (or less Interest,
Income $15,001 ‑ $50,000
Carolina
Asset School District No. 1 Securities
Asset Type Owner than
Value$1,001) Type Income
Bond Municipal
Rate/Coupon: 5.0% Security
Matures: 03/01/2018
Filer comment: No longer held
6.148 Massachusetts State G.O. Government Self None (or less Interest, $50,001 ‑ $100,000
Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: See note Security
Filer comment: Combines
multiple bonds with maturity
dates between 03/01/2018‑
04/01/2018; no longer held.
6.149 Seattle Washington Muni Government Self None (or less Interest, $15,001 ‑ $50,000
Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 03/01/2018 Security
Filer comment: No longer held
6.150 Union County New Jersey Government Self None (or less Interest, $15,001 ‑ $50,000
Muni Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 03/01/2018 Security
Filer comment: No longer held
6.151 California St G.O. Bond Government Self None (or less Interest, $50,001 ‑ $100,000
Rate/Coupon: 5.0% Securities than $1,001)
Matures: 04/01/2018 Municipal
Filer comment: No longer held Security
6.152 San Antonio Texas Electric & Government Self None (or less Interest, $5,001 ‑ $15,000
Gas Revenue Bond Securities than $1,001)
Rate/Coupon: See note Municipal
Matures: 02/01/2018 Security
Filer comment: Combines
bonds with rates of 4‑5%; no
longer held.

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6.153 Park City Utah Sales Tax Government Self None (or less Interest,
Income $15,001 ‑ $50,000
Revenue
Asset Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: 5.0% Municipal
Matures: 06/15/2018 Security
Filer comment: No longer held
6.154 Alpine Utah School District Government Self None (or less Interest, $15,001 ‑ $50,000
Building Bond Securities than $1,001)
Rate/Coupon: 4.25% Municipal
Matures: 03/15/2019 Security
Filer comment: No longer held
6.155 Cleveland Ohio Waterworks Government Self None (or less Interest, $15,001 ‑ $50,000
Revenue Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 01/01/2022 Security
Filer comment: No longer held
6.156 Texas State Transportation ‑ Government Self None (or less Interest, $5,001 ‑ $15,000
Commn Muni Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 04/01/2022 Security
Filer comment: No longer held
6.157 Grand Rapids Michigan Sanitn Government Self None (or less Interest, $5,001 ‑ $15,000
Sewer System Bond Securities than $1,001)
Rate/Coupon: 4.8% Municipal
Matures: 01/01/2026 Security
Filer comment: No longer held
6.158 Metropolitan Government of Government Self None (or less Interest, $15,001 ‑ $50,000
Nashville & Davidson Muni Securities than $1,001)
Bond Municipal
Rate/Coupon: 5.0% Security
Matures: 01/01/2028
Filer comment: No longer held
6.159 Pennsylvania State Univ Bond Government Self None (or less Interest, $50,001 ‑ $100,000
Rate/Coupon: 5.0% Securities than $1,001)
Matures: 08/15/2028 Municipal
Filer comment: No longer held Security

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6.160 Ohio State Higher Educational Government Self None (or less Interest,
Income $100,001 ‑ $1,000,000
Facilities
Asset Bond Commission Securities
Asset Type Owner than
Value$1,001) Type Income
Revenue Municipal
Rate/Coupon: 5.25% Security
Matures: 01/01/2033
Filer comment: No longer held
6.161 Louisville & Jefferson County Government Self None (or less Interest, $15,001 ‑ $50,000
Kentucky Met Govt Health Securities than $1,001)
Facilities Revenue Bond Municipal
Rate/Coupon: 6.125% Security
Matures: 02/01/2037
Filer comment: No longer held
6.162 Massachusetts State Water Government Self None (or less Interest, $5,001 ‑ $15,000
Pollution Abatement Bond Securities than $1,001)
Rate/Coupon: 5.25% Municipal
Matures: 02/01/2018 Security
Filer comment: No longer held
6.163 Clark‑Shawnee Ohio Local Government Self None (or less Interest, $15,001 ‑ $50,000
Sch District BANS Bond Securities than $1,001)
Rate/Coupon: 1.75% Municipal
Matures: 02/13/2018 Security
Filer comment: No longer held
6.164 Ithaca City New York Muni Government Self None (or less Interest, $5,001 ‑ $15,000
Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 02/16/2018 Security
Filer comment: No longer held
6.165 Minnesota Public Facilities Government Self None (or less Interest, $50,001 ‑ $100,000
Auth Clean Water Muni Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 03/01/2018 Security
Filer comment: No longer held
6.166 S C Association of Govt Government Self None (or less Interest, $15,001 ‑ $50,000
Organization Cops Bond Securities than $1,001)
Rate/Coupon: 3.0% Municipal
Matures: 03/01/2018 Security
Filer comment: No longer held

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6.167 Windsor Locks Connecticut Government Self None (or less Interest,
Income $5,001 ‑ $15,000
BANS
Asset Bond 2.0% Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: Municipal
Matures: 03/22/2018 Security
Filer comment: No longer held
6.168 New York St Local Govt Government Self None (or less Interest, $15,001 ‑ $50,000
Assistance Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 04/01/2018 Security
Filer comment: No longer held
6.169 New York Sr Tollway Auth Svc Government Self None (or less Interest, $5,001 ‑ $15,000
Contract Muni Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 04/01/2018 Security
Filer comment: No longer held
6.170 Albany County NY BANS Bond Government Self None (or less Interest, $50,001 ‑ $100,000
Rate/Coupon: 4.0% Securities than $1,001)
Matures: 05/24/2018 Municipal
Filer comment: No longer held Security
6.171 Somerville Massachusetts Government Self None (or less Interest, $15,001 ‑ $50,000
BANS Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 06/08/2018 Security
Filer comment: No longer held
6.172 Williamsville New York Government Self None (or less Interest, $15,001 ‑ $50,000
Central School District BANS Securities than $1,001)
Bond Municipal
Rate/Coupon: 2.25% Security
Matures: 06/13/2018
Filer comment: No longer held
6.173 Georgetown County South Government Self None (or less Interest, $5,001 ‑ $15,000
Carolina School District Muni Securities than $1,001)
Bond Municipal
Rate/Coupon: 3.0% Security
Matures: 06/21/2018
Filer comment: No longer held

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6.174 Rochester NY BANS Bond Government Self None (or less Interest,
Income $5,001 ‑ $15,000
Rate/Coupon: 2.5%
Asset 08/02/2018 Securities
Asset Type Owner than
Value$1,001) Type Income
Matures: Municipal
Filer comment: No longer held Security
6.175 Westborough Massachusetts Government Self None (or less Interest, $5,001 ‑ $15,000
BANS Bond Securities than $1,001)
Rate/Coupon: 2.5% Municipal
Matures: 08/10/2018 Security
Filer comment: No longer held
6.176 Union Township Ohio BANS Government Self None (or less Interest, $5,001 ‑ $15,000
Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 09/06/2018 Security
Filer comment: No longer held
6.177 City of Quincy Massachusetts Government Self None (or less Interest, $15,001 ‑ $50,000
BANS Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 09/28/2018 Security
Filer comment: No longer held
6.178 Spartanburg County School Government Self None (or less Interest, $5,001 ‑ $15,000
District No. 7T BANS Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 11/15/2018 Security
Filer comment: No longer held
6.179 District of Columbia Hospital Government Self None (or less Interest, $2,501 ‑ $5,000
Revenue Bond ‑ Childrens Securities than $1,001)
Hosp Municipal
Rate/Coupon: See note Security
Matures: 08/15/2038
Filer comment: Combines
multiple bonds with rates from
0.96%‑1.73% (variable); no
longer held

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6.180 E Baton Rouge Parish Government Self None (or less Interest,
Income $2,501 ‑ $5,000
Louisiana
Asset MuniSee Bond Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: note Municipal
Matures: See note Security
Filer comment: Combines
multiple bonds with maturity
dates from 08/01/2035‑
12/01/2040; variable interest
rates from 0.98%‑1.11%; no
longer held
6.181 Lancaster County PA Ho Muni Government Self None (or less Interest, $5,001 ‑ $15,000
Bond Securities than $1,001)
Rate/Coupon: 1.13% ‑ Variable Municipal
Matures: 07/01/2034 Security
Filer comment: No longer held
6.182 Briarwood Capital Partners LP Investment Fund Self $1,000,001 ‑ Excepted $100,001 ‑ $1,000,000
Description: Private Investment Hedge Fund $5,000,000 Investment
Vehicle (New York, New York)  Fund,
6.183 Canyon Balanced Fund, L.P. Investment Fund Self $5,000,001 ‑ Excepted $100,001 ‑ $1,000,000
Description: Private Investment Hedge Fund $25,000,000 Investment
Partnership (Los Angeles, Fund,
California) 
6.184 Oregon St Health & Science Government Self None (or less Interest, $1,001 ‑ $2,500
Muni Bond Securities than $1,001)
Rate/Coupon: 1.1% ‑ Variable Municipal
Matures: 07/01/2042 Security
Filer comment: No longer held
6.185 University of Michigan Univ Government Self None (or less Interest, $5,001 ‑ $15,000
Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 04/01/2018 Security
Filer comment: No longer held
6.186 Elliott Associates, L.P. Investment Fund Self $5,000,001 ‑ Excepted $50,001 ‑ $100,000
Description: Private Investment Hedge Fund $25,000,000 Investment
Vehicle (New York, New York)  Fund,
6.187 Engine Capital, LP Investment Fund Self $1,000,001 ‑ Dividends, $100,001 ‑ $1,000,000
Description: Private Investment Hedge Fund $5,000,000 Capital
Vehicle (New York, New York)  Gains,

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6.188 Highline Capital Partners QP, Investment Fund Self $1,000,001 ‑ Excepted
Income $15,001 ‑ $50,000
LP
Asset Hedge Fund Owner $5,000,000 Investment
Description: Private Investment Asset Type Value Type
Fund, Income
Vehicle (New York, New York) 
6.189 Mendon Capital QP LP Investment Fund Self $1,000,001 ‑ Excepted $100,001 ‑ $1,000,000
Description: Private Investment Hedge Fund $5,000,000 Investment
Partnership (Chicago, Illinois)  Fund,
6.190 Moab Partners, L.P. Investment Fund Self $1,000,001 ‑ None, None (or less than $201)
Description: Private Investment Hedge Fund $5,000,000
Partnership (New York, New
York) 
6.191 Nokomis Capital Partners, Investment Fund Self $1,000,001 ‑ Excepted $15,001 ‑ $50,000
L.P. Hedge Fund $5,000,000 Investment
Description: Private Investment Fund,
Vehicle (Dallas, Texas) 
6.192 Overlook 3G Investments, L.P. Investment Fund Self $250,001 ‑ Excepted $15,001 ‑ $50,000
Description: Private Investment Hedge Fund $500,000 Investment
Vehicle (Hong Kong, N/A)  Fund,
6.193 Overlook Partners Fund, L.P. Investment Fund Self $1,000,001 ‑ Excepted $100,001 ‑ $1,000,000
Description: Private Investment Hedge Fund $5,000,000 Investment
Vehicle (Hong Kong, N/A)  Fund,
6.194 ASYS ‑ Amtech Systems, Inc. Corporate Self None (or less Capital $100,001 ‑ $1,000,000
Filer comment: No longer held Securities than $1,001) Gains,
Stock
6.195 CB ‑ Chubb Limited Corporate Self None (or less Dividends, $1,001 ‑ $2,500
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
6.196 CABO‑Cable One, Inc. Corporate Self None (or less Capital $15,001 ‑ $50,000
Filer comment: No longer held Securities than $1,001) Gains,
Stock
6.197 GS ‑ The Goldman Sachs Corporate Self None (or less Dividends, $15,001 ‑ $50,000
Group, Inc. Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
6.198 MMC ‑ Marsh & McLennan Corporate Self None (or less Dividends, $1,001 ‑ $2,500
Companies, Inc. Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,

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6.199 NVGS ‑ Navigator Holdings Corporate Self None (or less Capital
Income $15,001 ‑ $50,000
Ltd.
Assetcomment: No longer held Securities
Asset Type Owner than
Value$1,001) Gains,
Type Income
Filer Stock
6.200 GOOGL ‑ Alphabet Inc. Corporate Self None (or less Capital $100,001 ‑ $1,000,000
Filer comment: No longer held Securities than $1,001) Gains,
Stock
6.201 AAPL ‑ Apple Inc. Corporate Self None (or less Dividends, $100,001 ‑ $1,000,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
6.202 GILD ‑ Gilead Sciences, Inc. Corporate Self None (or less Dividends, $100,001 ‑ $1,000,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
6.203 MSFT ‑ Microsoft Corporation Corporate Self None (or less Dividends, $100,001 ‑ $1,000,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
6.204 PFE ‑ Pfizer Inc. Corporate Self None (or less Dividends, $100,001 ‑ $1,000,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
6.205 UTG ‑ Reaves Utility Income Mutual Funds Self None (or less Capital $5,001 ‑ $15,000
Fund Exchange than $1,001) Gains,
Filer comment: No longer held Traded Excepted
Fund/Note Investment
Fund,
6.206 FUN ‑ Cedar Fair, L.P. Corporate Self None (or less Dividends, $50,001 ‑ $100,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
6.207 ABT ‑ Abbott Laboratories Corporate Self None (or less Dividends, $15,001 ‑ $50,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
6.208 BAC ‑ Bank of America Corporate Self None (or less Dividends, $50,001 ‑ $100,000
Corporation Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
6.209 C ‑ Citigroup Inc. Corporate Self None (or less Dividends, $5,001 ‑ $15,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,

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6.210 CCI ‑ Crown Castle Corporate Self None (or less Dividends,
Income $15,001 ‑ $50,000
International
Assetcomment:Corp. (REIT) Securities
Asset Type Owner than
Value$1,001) Capital
Type Income
Filer No longer held Stock Gains,
6.211 GSPKX ‑ Goldman Sachs US Mutual Funds Self None (or less Capital $15,001 ‑ $50,000
Eq Div and Prem Instl Mutual Fund than $1,001) Gains,
Filer comment: No longer held Excepted
Investment
Fund,
6.212 HASI ‑ Hannon Armstrong Corporate Self None (or less Dividends, $1,001 ‑ $2,500
Sustainable Infrastructure Securities than $1,001) Capital
Capita Stock Gains,
Filer comment: No longer held
6.213 DVY‑iShares Select Dividend Corporate Self None (or less Excepted $15,001 ‑ $50,000
ETF Securities than $1,001) Investment
Filer comment: No longer held Stock Fund,
6.214 EWJ‑iShares MSCI Japan ETF Mutual Funds Self None (or less Excepted $5,001 ‑ $15,000
Filer comment: No longer held Exchange than $1,001) Investment
Traded Fund,
Fund/Note
6.215 JNJ ‑ Johnson & Johnson Corporate Self None (or less Dividends, $50,001 ‑ $100,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
6.216 KEY ‑ KeyCorp Corporate Self None (or less Dividends, $5,001 ‑ $15,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
6.217 LMT ‑ Lockheed Martin Corporate Self None (or less Dividends, $5,001 ‑ $15,000
Corporation Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
6.218 LLDYX ‑ Lord Abbett Short Mutual Funds Self None (or less Excepted $5,001 ‑ $15,000
Duration Income I Mutual Fund than $1,001) Investment
Filer comment: No longer held Fund,
6.219 PNC ‑ The PNC Financial Corporate Self None (or less Dividends, $15,001 ‑ $50,000
Services Group, Inc. Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
6.220 RTN ‑ Raytheon Company Corporate Self None (or less Dividends, $15,001 ‑ $50,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,

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6.221 PPA ‑ Invesco Aerospace & Mutual Funds Self None (or less Capital
Income $15,001 ‑ $50,000
Defense ETF
Assetcomment: Exchange
Asset Type Owner than
Value$1,001) Gains,
Type Income
Filer No longer held Traded Excepted
Fund/Note Investment
Fund,
6.222 KBWB ‑ Invesco KBW Bank Mutual Funds Self None (or less Capital $50,001 ‑ $100,000
ETF Exchange than $1,001) Gains,
Filer comment: No longer held Traded Excepted
Fund/Note Investment
Fund,
6.223 BX ‑ The Blackstone Group Corporate Self None (or less Dividends, $1,001 ‑ $2,500
L.P. Securities than $1,001)
Filer comment: No longer held Stock
6.224 ETP ‑ Energy Transfer Corporate Self None (or less Dividends, $5,001 ‑ $15,000
Partners, L.P. Securities than $1,001)
Filer comment: No longer held Stock
6.225 EPD ‑ Enterprise Products Corporate Self None (or less Dividends, $50,001 ‑ $100,000
Partners L.P. Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
6.226 OAK‑Oaktree Capital Group, Corporate Self None (or less Dividends, $2,501 ‑ $5,000
LLC Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
6.227 WGP ‑ Western Gas Equity Corporate Self None (or less Dividends, $5,001 ‑ $15,000
Partners, LP Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
6.228 COMM ‑ CommScope Holding Corporate Self None (or less Capital $15,001 ‑ $50,000
Company, Inc. Securities than $1,001) Gains,
Filer comment: No longer held Stock
6.229 AMAT ‑ Applied Materials, Corporate Self None (or less Capital $1,001 ‑ $2,500
Inc. Securities than $1,001) Gains,
Filer comment: No longer held Stock
6.230 Mitsubishi UFJ Financial American Self None (or less Dividends, $5,001 ‑ $15,000
Group Inc. ‑ MTU Depository than $1,001) Capital
Filer comment: No longer held Receipt Gains,

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6.231 GLD ‑ SPDR Gold Shares Mutual Funds Self None (or less Capital
Income $201 ‑ $1,000
Filer
Assetcomment: No longer held Exchange
Asset Type Owner than
Value$1,001) Gains,
Type Income
Traded
Fund/Note
6.232 Taiwan Semiconductor Mfg American Self None (or less Capital $1,001 ‑ $2,500
Co. ‑ TSM Depository than $1,001) Gains,
Filer comment: No longer held Receipt
6.233 ENB ‑ Enbridge Inc. Corporate Self None (or less Capital $15,001 ‑ $50,000
Filer comment: No longer held Securities than $1,001) Gains,
Stock
6.234 SEP ‑ Spectra Energy Corporate Self None (or less Dividends, $2,501 ‑ $5,000
Partners, LP Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
6.235 Rimrock High Income Plus Investment Fund Self $1,000,001 ‑ Excepted $100,001 ‑ $1,000,000
(QP) Fund, L.P. Hedge Fund $5,000,000 Investment
Description: Private Investment Fund,
Vehicle (Irvine, California) 
6.236 GQETX ‑ GMO Quality III Mutual Funds Self None (or less Excepted $100,001 ‑ $1,000,000
Filer comment: No longer held Mutual Fund than $1,001) Investment
Fund,
6.237 Account Receivable from S&S Accounts Self None (or less Interest, $15,001 ‑ $50,000
Family Entertainment, LLC Receivable than $1,001)
Company: S&S Family From a Business
Entertainment, LLC (Rowayton,
CT) Filer comment: No longer
held
6.238 JMB Capital Partners, L.P. Investment Fund Self None (or less Excepted $50,001 ‑ $100,000
Description: Private Investment Hedge Fund than $1,001) Investment
Vehicle (Los Angeles, CA) Filer Fund,
comment: No longer held
6.239 Oscar S. Shafer & Partners II Investment Fund Self None (or less Excepted $5,001 ‑ $15,000
LP Hedge Fund than $1,001) Investment
Description: Private Investment Fund,
Vehicle (New York, NY) Filer
comment: No longer held

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6.240 Pershing Advisor Solutions ‑ Bank Deposit Self $25,000,001 ‑ Interest,
Income $50,001 ‑ $100,000
BNY
AssetMellon Asset Type Owner $50,000,000
Value Type Income
(New York, NY)
Type: Money Market Account,
6.241 Dreyfus ‑ BNY Mellon Bank Deposit Self $15,001 ‑ Interest, $1,001 ‑ $2,500
(New York, NY) $50,000
Type: Money Market Account,
6.242 Fulton Chain Acquisition LLC Investment Fund Self $1,001 ‑ None, None (or less than $201)
Description: Private Investment Private Equity $15,000
Partnership (Rowayton, CT)  Fund
7 F. Annette Scott 2015 GRAT Trust Spouse
Trust General Trust
7.1 Alaska ST International Government Spouse Over Interest, $15,001 ‑ $50,000
Airports Revenue Bond Securities $1,000,000
Rate/Coupon: 1.5% ‑ Variable Municipal and held
Matures: 10/01/2030 Security independently
by spouse or
dependent
child
7.2 Athens‑Clarke County Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Georgia Unif University Securities $1,000,000
Georgia Athletic Revenue Municipal
Bond Security
Rate/Coupon: 1.5% ‑ Variable
Matures: 07/01/2035
7.3 Delaware Valley PA Regional Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Financial Revenue Bond Securities $1,000,000
Rate/Coupon: 1.5% ‑ Variable Municipal
Matures: 06/01/2042 Security
7.4 Fairfax County VA Econ Dev Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Auth Revenue Bond Securities $1,000,000
Rate/Coupon: 1.5% ‑ Variable Municipal
Matures: 12/01/2033 Security

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7.5 Illinois State Financial Auth Government Spouse Over Interest,
Income $50,001 ‑ $100,000
Revenue
Asset Med Bond ‑ University of Securities
Asset Type Owner $1,000,000
Valueheld Type Income
Chicago Municipal and
Rate/Coupon: 1.5% ‑ Variable Security independently
Matures: 08/01/2043 by spouse or
dependent
child
7.6 Illinois ST Health Facs Auth Government Spouse Over Interest, $15,001 ‑ $50,000
Revenue Bond Securities $1,000,000
Rate/Coupon: 1.6% ‑ Variable Municipal and held
Matures: 10/01/2022 Security independently
by spouse or
dependent
child
7.7 Indiana ST Fin Auth Government Spouse Over Interest, $15,001 ‑ $50,000
Environmental Bond Securities $1,000,000
Rate/Coupon: 1.5% ‑ Variable Municipal and held
Matures: 12/01/2039 Security independently
by spouse or
dependent
child
7.8 Jackson County Mississippi Government Spouse Over Interest, $50,001 ‑ $100,000
Pollution Control Revenue Securities $1,000,000
Bond Municipal and held
Rate/Coupon: 1.6% ‑ Variable Security independently
Matures: 06/01/2023 by spouse or
dependent
child
7.9 Montgomery County Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Tennessee Public Bldg Auth Securities $1,000,000
Revenue Bond Municipal
Rate/Coupon: 1.6% ‑ Variable Security
Matures: 04/01/2032
7.10 Montgomery County Government Spouse Over Interest, $15,001 ‑ $50,000
Tennessee Public Bldg Auth Securities $1,000,000
Revenue Bond Municipal and held
Rate/Coupon: 1.6% ‑ Variable Security independently
Matures: 02/01/2036 by spouse or
dependent
child

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7.11 New York City NY Hsg Dev Government Spouse Over Interest,
Income $15,001 ‑ $50,000
Corp
Asset Revenue1.5%
Bond Securities
Asset Type Owner $1,000,000
Valueheld Type Income
Rate/Coupon: ‑ Variable Municipal and
Matures: 03/15/2036 Security independently
by spouse or
dependent
child
7.12 New York ST Hsg Fin Agy Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Revenue Bond Securities $1,000,000
Rate/Coupon: 1.6% ‑ Variable Municipal
Matures: 05/01/2042 Security
7.13 Triborough NY Bridge & Government Spouse Over Interest, $15,001 ‑ $50,000
Tunnel Auth Revenue Bond Securities $1,000,000
Rate/Coupon: 1.5% ‑ Variable Municipal and held
Matures: 11/01/2035 Security independently
by spouse or
dependent
child
7.14 Triborough NY Bridge & Government Spouse Over Interest, $15,001 ‑ $50,000
Tunnel Auth Revenue Bond Securities $1,000,000
Rate/Coupon: 1.6% ‑ Variable Municipal and held
Matures: 01/01/2033 Security independently
by spouse or
dependent
child
7.15 Wisconsin ST Health & Government Spouse $500,001 ‑ Interest, $5,001 ‑ $15,000
Educational Facilities Revenue Securities $1,000,000
Bond Municipal
Rate/Coupon: 1.6% ‑ Variable Security
Matures: 07/15/2028
7.16 BNY Mellon Bank Deposit Spouse $15,001 ‑ Interest, $201 ‑ $1,000
(New York, NY) $50,000
Type: Brokerage Sweep
Account,
7.17 Massachusetts State G.O. Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Bond Securities $1,000,000
Rate/Coupon: 5.25% Municipal
Matures: 08/01/2018 Security

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7.18 Guilford Connecticut BANS Government Spouse Over Interest,
Income $50,001 ‑ $100,000
Bond
Asset Securities
Asset Type Owner $1,000,000
Valueheld Type Income
Rate/Coupon: 2.0% Municipal and
Matures: 08/08/2018 Security independently
by spouse or
dependent
child
7.19 Central Islip NY Union Free Government Spouse Over Interest, $15,001 ‑ $50,000
School District BANS Bond Securities $1,000,000
Rate/Coupon: 2.0% Municipal and held
Matures: 08/16/2018 Security independently
by spouse or
dependent
child
7.20 Kent Ohio BANS Bond Government Spouse Over Interest, $15,001 ‑ $50,000
Rate/Coupon: 2.0% Securities $1,000,000
Matures: 08/23/2018 Municipal and held
Security independently
by spouse or
dependent
child
7.21 East Hampton Town New York Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
BANS Bond Securities $1,000,000
Rate/Coupon: 2.0% Municipal
Matures: 08/24/2018 Security
7.22 County of Loudoun Virginia Government Spouse Over Interest, $50,001 ‑ $100,000
Public Impact Revenue Bond Securities $1,000,000
Rate/Coupon: 5.0% Municipal and held
Matures: 12/01/2018 Security independently
by spouse or
dependent
child
7.23 Framingham Massachusetts Government Spouse Over Interest, $15,001 ‑ $50,000
BANS Bond Securities $1,000,000
Rate/Coupon: 2.5% Municipal and held
Matures: 12/07/2018 Security independently
by spouse or
dependent
child

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7.24 Lexington Massachusetts Government Spouse Over Interest,
Income $50,001 ‑ $100,000
BANS
Asset Bond 3.0% Securities
Asset Type Owner $1,000,000
Valueheld Type Income
Rate/Coupon: Municipal and
Matures: 02/15/2019 Security independently
by spouse or
dependent
child
7.25 Cleveland‑Cuyahoga County Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Ohio ‑ Cleveland Museum Art Securities $1,000,000
Project Bond Municipal
Rate/Coupon: 5.0% Security
Matures: 10/01/2018
7.26 Massachusetts Bay MA Government Spouse $250,001 ‑ Interest, $15,001 ‑ $50,000
Transportation Bond Securities $500,000
Rate/Coupon: 5.0% Municipal
Matures: 07/01/2018 Security
7.27 Campbell CA Union High Government Spouse $500,001 ‑ Interest, $5,001 ‑ $15,000
School District Bond Securities $1,000,000
Rate/Coupon: 2.0% Municipal
Matures: 08/01/2018 Security
7.28 University of Utah Revenue Government Spouse Over Interest, $50,001 ‑ $100,000
Bond Securities $1,000,000
Rate/Coupon: 5.0% Municipal and held
Matures: 08/01/2018 Security independently
by spouse or
dependent
child
7.29 Rochester New York G.O. Government Spouse Over Interest, $15,001 ‑ $50,000
Bond Securities $1,000,000
Rate/Coupon: 2.5% Municipal and held
Matures: 08/02/2018 Security independently
by spouse or
dependent
child

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7.30 Westborough Massachusetts Government Spouse Over Interest,
Income $50,001 ‑ $100,000
BANS
Asset Bond 2.5% Securities
Asset Type Owner $1,000,000
Valueheld Type Income
Rate/Coupon: Municipal and
Matures: 08/10/2018 Security independently
by spouse or
dependent
child
7.31 Texas State Bond Government Spouse Over Interest, $100,001 ‑ $1,000,000
Rate/Coupon: 4.0% Securities $1,000,000
Matures: 08/30/2018 Municipal and held
Security independently
by spouse or
dependent
child
7.32 Union Township Ohio Tax & Government Spouse Over Interest, $15,001 ‑ $50,000
Rev Antic Nts Bond Securities $1,000,000
Rate/Coupon: 2.0% Municipal and held
Matures: 09/06/2018 Security independently
by spouse or
dependent
child
7.33 Essex County New Jersey Government Spouse Over Interest, $50,001 ‑ $100,000
BANS Bond Securities $1,000,000
Rate/Coupon: 2.5% Municipal and held
Matures: 09/12/2018 Security independently
by spouse or
dependent
child
7.34 Arizona State Ctfs Partn Cops Government Spouse $250,001 ‑ Interest, $15,001 ‑ $50,000
Bond Securities $500,000
Rate/Coupon: 4.0% Municipal
Matures: 10/01/2018 Security
7.35 Arizona State Cops ‑ Government Spouse Over Interest, $15,001 ‑ $50,000
Department of Administration Securities $1,000,000
Rate/Coupon: 3.0% Municipal and held
Matures: 10/01/2018 Security independently
by spouse or
dependent
child

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7.36 Maryland ST ‑ State and Local Government Spouse Over Interest,
Income $50,001 ‑ $100,000
Facilities
Asset LN Bond Securities
Asset Type Owner $1,000,000
Valueheld Type Income
Rate/Coupon: 5.0% Municipal and
Matures: 11/01/2018 Security independently
by spouse or
dependent
child
7.37 Milford Connecticut BANS Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Bond Securities $1,000,000
Rate/Coupon: 2.25% Municipal
Matures: 11/05/2018 Security
7.38 Brookfield Connecticut BANS Government Spouse Over Interest, $15,001 ‑ $50,000
Bond Securities $1,000,000
Rate/Coupon: 2.25% Municipal and held
Matures: 11/15/2018 Security independently
by spouse or
dependent
child
7.39 Michigan State Trunk Line Government Spouse Over Interest, $100,001 ‑ $1,000,000
Bond Securities $1,000,000
Rate/Coupon: 5.0% Municipal and held
Matures: 11/15/2018 Security independently
by spouse or
dependent
child
7.40 Spartanburg County School Government Spouse Over Interest, $100,001 ‑ $1,000,000
District No. 7T BANS Bond Securities $1,000,000
Rate/Coupon: 5.0% Municipal and held
Matures: 11/15/2018 Security independently
by spouse or
dependent
child
7.41 Akron Ohio Income Tax Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Revenue Bond Securities $1,000,000
Rate/Coupon: 3.0% Municipal
Matures: 12/12/2018 Security

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7.42 New York ST Dorm Auth Bond Government Spouse Over Interest,
Income $50,001 ‑ $100,000
Rate/Coupon: 5.0%
Asset 12/15/2018 Securities
Asset Type Owner $1,000,000
Valueheld Type Income
Matures: Municipal and
Security independently
by spouse or
dependent
child
7.43 City of Worcester Government Spouse Over Interest, $100,001 ‑ $1,000,000
Massachusetts BANS Bond Securities $1,000,000
Rate/Coupon: 4.0% Municipal and held
Matures: 01/31/2019 Security independently
by spouse or
dependent
child
7.44 Virginia ST Clg Bldg Auth ‑ Government Spouse Over Interest, $100,001 ‑ $1,000,000
21st Century Clg & Equip Securities $1,000,000
Program Bond Municipal and held
Rate/Coupon: 5.0% Security independently
Matures: 02/01/2019 by spouse or
dependent
child
7.45 North Middlesex Government Spouse Over Interest, $15,001 ‑ $50,000
Massachusetts Regional Securities $1,000,000
School District BANS Bond Municipal and held
Rate/Coupon: 2.5% Security independently
Matures: 02/05/2019 by spouse or
dependent
child
7.46 Richland County South Government Spouse Over Interest, $50,001 ‑ $100,000
Carolina BANS Bond Securities $1,000,000
Rate/Coupon: 3.0% Municipal and held
Matures: 02/27/2019 Security independently
by spouse or
dependent
child
7.47 Baltimore County Maryland Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
BANS Bond Securities $1,000,000
Rate/Coupon: 4.0% Municipal
Matures: 03/18/2019 Security

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7.48 New Bedford Massachusetts Government Spouse Over Interest,
Income $50,001 ‑ $100,000
BANS
Asset Bond 2.75% Securities
Asset Type Owner $1,000,000
Valueheld Type Income
Rate/Coupon: Municipal and
Matures: 05/03/2019 Security independently
by spouse or
dependent
child
7.49 County of Middlesex New Government Spouse Over Interest, $50,001 ‑ $100,000
Jersey Securities $1,000,000
Rate/Coupon: 3.0% Municipal and held
Matures: 06/11/2019 Security independently
by spouse or
dependent
child
7.50 Williamsville New York Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Central School District BANS Securities $1,000,000
Bond Municipal
Rate/Coupon: 3.0% Security
Matures: 06/12/2019
7.51 Kenmore‑Tonawanda Union Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Free School District BANS Securities $1,000,000
Bond Municipal
Rate/Coupon: 3.0% Security
Matures: 06/13/2019
7.52 Mesa Arizona G.O. Bond Government Spouse Over Interest, $50,001 ‑ $100,000
Rate/Coupon: 3.0% Securities $1,000,000
Matures: 07/01/2019 Municipal and held
Security independently
by spouse or
dependent
child
7.53 Washington State Variable Government Spouse Over Interest, $50,001 ‑ $100,000
Purpose Bond Securities $1,000,000
Rate/Coupon: 5.0% Municipal and held
Matures: 07/01/2020 Security independently
by spouse or
dependent
child

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7.54 Harris County Texas Revenue Government Spouse $500,001 ‑ Interest,
Income $15,001 ‑ $50,000
Bond
Asset Securities
Asset Type Owner $1,000,000
Value Type Income
Rate/Coupon: 5.75% Municipal
Matures: 10/01/2020 Security
7.55 Western Boone In Multi‑Sch Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Bldg Bond Securities $1,000,000
Rate/Coupon: 4.0% Municipal
Matures: 07/10/2021 Security
7.56 Long Island Power Authority Government Spouse Over Interest, $50,001 ‑ $100,000
NY Elec Sys G.O. Bond Securities $1,000,000
Rate/Coupon: 5.5% Municipal and held
Matures: 05/01/2033 Security independently
by spouse or
dependent
child
7.57 University of Houston Texas Government Spouse Over Interest, $100,001 ‑ $1,000,000
University Revenue Bond Securities $1,000,000
Rate/Coupon: 4.9% ‑ Variable Municipal and held
Matures: 02/15/2034 Security independently
by spouse or
dependent
child
7.58 Crowley Texas Independent Government Spouse Over Interest, $50,001 ‑ $100,000
School District Bldg Bond Securities $1,000,000
Rate/Coupon: 5.0% Municipal and held
Matures: 08/01/2036 Security independently
by spouse or
dependent
child
7.59 Montana ST Board of Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Investment Securities $1,000,000
Rate/Coupon: 1.7% ‑ Variable Municipal
Matures: 03/01/2042 Security
7.60 Chippewa Falls Area Un Bond Government Spouse $500,001 ‑ None, None (or less than $201)
Rate/Coupon: 3.0% Securities $1,000,000
Matures: 1/10/2019 Municipal
Security

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7.61 WTT ‑ Wireless Telecom Corporate Spouse Over None,
Income None (or less than $201)
Group,
Asset Inc. Securities
Asset Type Owner $1,000,000
Valueheld Type Income
Stock and
independently
by spouse or
dependent
child
7.62 BNY Mellon Bank Deposit Spouse None (or less None, None (or less than $201)
(New York, NY) than $1,001)
Type: Brokerage Sweep
Account,
7.63 Pershing Advisor Solutions ‑ Bank Deposit Spouse $15,001 ‑ None, None (or less than $201)
BNY Mellon $50,000
(New York, NY)
Type: Brokerage Sweep
Account,
7.64 Pershing Advisor Solutions ‑ Bank Deposit Spouse $1,001 ‑ None, None (or less than $201)
BNY Mellon $15,000
(New York, NY)
Type: Brokerage Sweep
Account,
7.65 AMAT‑Applied Materials, Inc. Corporate Spouse $50,001 ‑ None, None (or less than $201)
Securities $100,000
Stock
7.66 AAPL‑Apple Inc. Corporate Spouse $100,001 ‑ Dividends, $100,001 ‑ $1,000,000
Securities $250,000 Capital
Stock Gains,
7.67 ABT‑Abbott Laboratories Corporate Spouse $50,001 ‑ Dividends, $50,001 ‑ $100,000
Securities $100,000 Capital
Stock Gains,
7.68 BAC‑Bank of America Corporate Spouse $100,001 ‑ Dividends, $100,001 ‑ $1,000,000
Corporation Securities $250,000 Capital
Stock Gains,
7.69 C‑Citigroup Inc. Corporate Spouse $100,001 ‑ Dividends, $15,001 ‑ $50,000
Securities $250,000 Capital
Stock Gains,

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7.70 CAT ‑ Caterpillar Inc. Corporate Spouse $15,001 ‑ Dividends,
Income None (or less than $201)
Asset Securities
Asset Type Owner $50,000
Value Type Income
Stock
7.71 CCI‑Crown Castle Corporate Spouse $50,001 ‑ Dividends, $15,001 ‑ $50,000
International Corp. (REIT) Securities $100,000 Capital
Stock Gains,
7.72 CDEV ‑ Centennial Resource Corporate Spouse $1,001 ‑ Dividends, None (or less than $201)
Development, Inc. Securities $15,000
Stock
7.73 COMM‑CommScope Holding Corporate Spouse $15,001 ‑ Capital $15,001 ‑ $50,000
Company, Inc. Securities $50,000 Gains,
Stock
7.74 CVX ‑ Chevron Corporation Corporate Spouse $1,001 ‑ Dividends, None (or less than $201)
Securities $15,000
Stock
7.75 EGN‑Energen Corporation Corporate Spouse $15,001 ‑ None, None (or less than $201)
Securities $50,000
Stock
7.76 DVY‑iShares Select Dividend Mutual Funds Spouse $50,001 ‑ Excepted $15,001 ‑ $50,000
ETF Exchange $100,000 Investment
Traded Fund,
Fund/Note
7.77 EMR ‑ Emerson Electric Co. Corporate Spouse $1,001 ‑ Dividends, None (or less than $201)
Securities $15,000
Stock
7.78 EOG ‑ EOG Resources, Inc. Corporate Spouse $15,001 ‑ Dividends, None (or less than $201)
Securities $50,000
Stock
7.79 EPD‑Enterprise Products Corporate Spouse $100,001 ‑ Dividends, $50,001 ‑ $100,000
Partners L.P. Securities $250,000 Capital
Stock Gains,
7.80 FUN‑Cedar Fair, L.P. Corporate Spouse $100,001 ‑ Dividends, $100,001 ‑ $1,000,000
Securities $250,000 Capital
Stock Gains,

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7.81 GDX ‑ VanEck Vectors Gold Mutual Funds Spouse $15,001 ‑ Dividends,
Income None (or less than $201)
Miners
Asset ETF Exchange
Asset Type Owner $50,000
Value Type Income
Traded
Fund/Note
7.82 GILD‑Gilead Sciences, Inc. Corporate Spouse $50,001 ‑ Dividends, $100,001 ‑ $1,000,000
Securities $100,000 Capital
Stock Gains,
7.83 GLD ‑ SPDR Gold Shares Mutual Funds Spouse $50,001 ‑ None, None (or less than $201)
Exchange $100,000
Traded
Fund/Note
7.84 GOOGL‑Alphabet Inc. Corporate Spouse $50,001 ‑ Capital $100,001 ‑ $1,000,000
Securities $100,000 Gains,
Stock
7.85 GSPKX‑Goldman Sachs US Eq Mutual Funds Spouse $50,001 ‑ Excepted $15,001 ‑ $50,000
Div and Prem Instl Mutual Fund $100,000 Investment
Fund,
7.86 LLDYX‑Lord Abbett Short Mutual Funds Spouse $100,001 ‑ Excepted $15,001 ‑ $50,000
Duration Income I Mutual Fund $250,000 Investment
Fund,
7.87 HASI‑Hannon Armstrong Corporate Spouse $15,001 ‑ Dividends, $2,501 ‑ $5,000
Sustainable Infrastructure Securities $50,000
Capita Stock
7.88 JNJ‑Johnson & Johnson Corporate Spouse $50,001 ‑ Dividends, $100,001 ‑ $1,000,000
Securities $100,000 Capital
Stock Gains,
7.89 KBWB‑Invesco KBW Bank ETF Mutual Funds Spouse $100,001 ‑ Capital $100,001 ‑ $1,000,000
Exchange $250,000 Gains,
Traded Excepted
Fund/Note Investment
Fund,
7.90 KEM‑KEMET Corporation Corporate Spouse $15,001 ‑ None, None (or less than $201)
Securities $50,000
Stock
7.91 KEY‑KeyCorp Corporate Spouse $15,001 ‑ Dividends, $5,001 ‑ $15,000
Securities $50,000 Capital
Stock Gains,

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7.92 LMT‑Lockheed Martin Corporate Spouse $15,001 ‑ Dividends,
Income $15,001 ‑ $50,000
Corporation
Asset Securities
Asset Type Owner $50,000
Value Capital
Type Income
Stock Gains,
7.93 MMP ‑ Magellan Midstream Corporate Spouse $50,001 ‑ Dividends, None (or less than $201)
Partners, L.P. Securities $100,000
Stock
7.94 MSFT‑Microsoft Corporation Corporate Spouse $50,001 ‑ Dividends, $100,001 ‑ $1,000,000
Securities $100,000 Capital
Stock Gains,
7.95 PNC‑The PNC Financial Corporate Spouse $15,001 ‑ Dividends, $50,001 ‑ $100,000
Services Group, Inc. Securities $50,000 Capital
Stock Gains,
7.96 PPA‑Invesco Aerospace & Mutual Funds Spouse $50,001 ‑ Capital $50,001 ‑ $100,000
Defense ETF Exchange $100,000 Gains,
Traded Excepted
Fund/Note Investment
Fund,
7.97 RTN‑Raytheon Company Corporate Spouse $15,001 ‑ Dividends, $15,001 ‑ $50,000
Securities $50,000 Capital
Stock Gains,
7.98 SLV ‑ iShares Silver Trust Mutual Funds Spouse $15,001 ‑ None, None (or less than $201)
Exchange $50,000
Traded
Fund/Note
7.99 VICI‑VICI Properties Inc. Corporate Spouse $100,001 ‑ Dividends, $201 ‑ $1,000
Securities $250,000
Stock
7.100 Taiwan Semiconductor Mfg American Spouse $50,001 ‑ Dividends, None (or less than $201)
Co. ‑ TSM Depository
Receipt
$100,000
7.101 UTG‑Reaves Utility Income Mutual Funds Spouse $15,001 ‑ Capital $15,001 ‑ $50,000
Fund Exchange $50,000 Gains,
Traded Excepted
Fund/Note Investment
Fund,
7.102 WGP‑Western Gas Equity Corporate Spouse $50,001 ‑ Dividends, $5,001 ‑ $15,000
Partners, LP Securities $100,000
Stock

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7.103 XOM ‑ Exxon Mobil Corporate Spouse $15,001 ‑ Dividends,
Income None (or less than $201)
Corporation
Asset Securities
Asset Type Owner $50,000
Value Type Income
Stock
7.104 ZBH ‑ Zimmer Biomet Corporate Spouse $1,001 ‑ Dividends, None (or less than $201)
Holdings, Inc. Securities $15,000
Stock
7.105 EWJ‑iShares MSCI Japan ETF Mutual Funds Spouse None (or less Excepted $15,001 ‑ $50,000
Filer comment: No longer held Exchange than $1,001) Investment
Traded Fund,
Fund/Note
7.106 Mitsubishi UFJ Financial American Spouse None (or less Capital $5,001 ‑ $15,000
Group Inc. Depository than $1,001) Gains,
Filer comment: No longer held Receipt
7.107 WMB ‑ The Williams Corporate Spouse None (or less Dividends, None (or less than $201)
Companies, Inc. Securities than $1,001)
Filer comment: No longer held Stock
7.108 AG Energy Partners II, L.P. Investment Fund Spouse Over Excepted $100,001 ‑ $1,000,000
Description: Private Investment Private Equity $1,000,000 Investment
Partnership (New York, NY)  Fund and held Fund,
independently
by spouse or
dependent
child
7.109 AG Super Fund, L.P. Investment Fund Spouse Over Excepted $100,001 ‑ $1,000,000
Description: Private Investment Private Equity $1,000,000 Investment
Partnership (New York, NY)  Fund and held Fund,
independently
by spouse or
dependent
child
7.110 AJ I Gainline LLC Investment Fund Spouse Over None, None (or less than $201)
Description: Private Investment Private Equity $1,000,000
Partnership (New York, New Fund and held
York)  independently
by spouse or
dependent
child

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7.111 AJ 2 Elliott LLC Investment Fund Spouse Income
Description:
Asset Private Investment Private Equity
Asset Type Owner Value Type Income
Vehicle (New York, NY)  Fund
7.111.1 Ancora Catalyst SPV I L.P. Investment Fund Spouse Over Dividends, $100,001 ‑ $1,000,000
Description: Private Investment Private Equity $1,000,000
Partnership (Cleveland, OH)  Fund and held
independently
by spouse or
dependent
child
7.112 Canyon Laurel Fund L.P. Investment Fund Spouse Over Excepted $15,001 ‑ $50,000
Description: Private Investment Private Equity $1,000,000 Investment
Partnership (Los Angeles, CA)  Fund and held
independently
Fund,
by spouse or
dependent
child
7.113 Fortress Secured Lending Investment Fund Spouse Over Excepted $50,001 ‑ $100,000
Fund I (A) LP Private Equity $1,000,000 Investment
Description: Private Investment Fund and held Fund,
Partnership (New York, NY)  independently
by spouse or
dependent
child
7.114 OVO Fund II, LLC Investment Fund Spouse $100,001 ‑ None, None (or less than $201)
Description: Private Investment Private Equity $250,000
Partnership (Los Altos, CA)  Fund
7.115 RLSI‑CSP Capital Partners, Investment Fund Spouse Over Dividends, Over $1,000,000 and held indepen‑
LLC Private Equity $1,000,000 Capital dently by spouse or dependent child
Description: Private Investment Fund and held Gains,
Vehicle (Rowayton, independently
Connecticut)  by spouse or
dependent
child

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7.116 VSS Structured Capital III, Investment Fund Spouse Over Excepted
Income $50,001 ‑ $100,000
L.P.
Asset Private Equity
Asset Type Owner $1,000,000
Valueheld Investment
Type Income
Description: Private Investment Fund and Fund,
Partnership (New York, NY)  independently
by spouse or
dependent
child
7.117 New York St Hsg Fin Auth Government Spouse None (or less Interest, $5,001 ‑ $15,000
Revenue Bond Securities than $1,001)
Rate/Coupon: 2.792% Municipal
Matures: 05/01/2042 Security
Filer comment: No longer held
7.118 Valdez Alaska Marine Government Spouse None (or less Interest, $1,001 ‑ $2,500
Terminal Refinancing Bond Securities than $1,001)
Rate/Coupon: 0.88% ‑ Variable Municipal
Matures: 12/01/2029 Security
7.119 Arizona ST Health Facilities Government Spouse None (or less Interest, $15,001 ‑ $50,000
Auth Revenue Bond Securities than $1,001)
Rate/Coupon: 5.375 Municipal
Matures: 01/01/2032 Security
7.120 California Pollution Control Government Spouse None (or less Interest, $1,001 ‑ $2,500
Authority Bond Securities than $1,001)
Rate/Coupon: 0.84% ‑ Variable Municipal
Matures: 11/01/2026 Security
Filer comment: No longer held
7.121 Irvine California Impt Bd Act Government Spouse None (or less Interest, $2,501 ‑ $5,000
Bond Securities than $1,001)
Rate/Coupon: 0.75% ‑ Variable Municipal
Matures: 09/02/2023 Security
Filer comment: No longer held
7.122 Los Angeles California G.O. Government Spouse None (or less Interest, $5,001 ‑ $15,000
Bond Securities than $1,001)
Rate/Coupon: 3.0% Municipal
Matures: 06/29/2017 Security
Filer comment: No longer held

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7.123 Manteca California Rede Bond Government Spouse None (or less Interest,
Income $201 ‑ $1,000
Rate/Coupon:
Asset 10/01/20420.27% ‑ Variable Securities
Asset Type Owner than
Value$1,001) Type Income
Matures: Municipal
Filer comment: No longer held Security
7.124 Colorado State Educational Government Spouse None (or less Interest, $2,501 ‑ $5,000
Loan Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 06/29/2017 Security
Filer comment: No longer held
7.125 Milford Connecticut G.O. Government Spouse None (or less Interest, $15,001 ‑ $50,000
Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 11/06/2017 Security
Filer comment: No longer held
7.126 Fulton County Georgia BANS Government Spouse None (or less Interest, $15,001 ‑ $50,000
Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 12/29/2017 Security
7.127 Illinois State Health Facs Auth Government Spouse None (or less Interest, $1,001 ‑ $2,500
Revenue Bond Securities than $1,001)
Rate/Coupon: 0.56% ‑ Variable Municipal
Matures: 10/01/2022 Security
7.128 Illinois State Financial Government Spouse None (or less Interest, $15,001 ‑ $50,000
Authority Revenue Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 07/01/2017 Security
Filer comment: No longer held
7.129 Iowa Financial Auth Health Government Spouse None (or less Interest, $1,001 ‑ $2,500
Facs Bond Securities than $1,001)
Rate/Coupon: 2.4% Municipal
Matures: 06/01/2027 Security
Filer comment: No longer held
7.130 Louisville & Jefferson County Government Spouse None (or less Interest, $1,001 ‑ $2,500
Kentucky Bond Securities than $1,001)
Rate/Coupon: 0.11% ‑ Variable Municipal
Matures: 07/01/2041 Security
Filer comment: No longer held

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7.131 Illinois State Financial Government Spouse None (or less Interest,
Income $2,501 ‑ $5,000
Authority
Asset Bond0.75% ‑ Variable Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: Municipal
Matures: 10/01/2030 Security
Filer comment: No longer held
7.132 Jackson County Mississippi Government Spouse None (or less Interest, $201 ‑ $1,000
Pollution Control Revenue Securities than $1,001)
Bond Municipal
Rate/Coupon: 1.6% ‑ Variable Security
Matures: 06/01/2023
Filer comment: No longer held
7.133 Maryland ST Health & Hg Government Spouse None (or less Interest, $201 ‑ $1,000
Bond Securities than $1,001)
Rate/Coupon: 0.45% Municipal
Matures: 07/01/2041 Security
Filer comment: No longer held
7.134 Maryland ST Health & Hg Government Spouse None (or less Interest, $2,501 ‑ $5,000
Bond Securities than $1,001)
Rate/Coupon: 0.64% ‑ Variable Municipal
Matures: 07/01/2041 Security
Filer comment: No longer held
7.135 Framingham Massachusetts Government Spouse None (or less Interest, $15,001 ‑ $50,000
Muni Bond Securities than $1,001)
Rate/Coupon: 1.75% Municipal
Matures: 12/08/2017 Security
Filer comment: No longer held
7.136 Massachusetts ST Muni Bond Government Spouse None (or less Interest, $5,001 ‑ $15,000
Rate/Coupon: See note Securities than $1,001)
Matures: See note Municipal
Filer comment: Combines Security
multiple bonds with rates from
2.0%‑4.0%; maturity dates from
07/01/2017‑04/23/2018; no
longer held
7.137 Massachusetts ST Health Government Spouse None (or less Interest, $2,501 ‑ $5,000
Muni Bond Securities than $1,001)
Rate/Coupon: 0.22% ‑ Variable Municipal
Matures: 07/01/2026 Security
Filer comment: No longer held

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7.138 Massachusetts ST Health Government Spouse None (or less Interest,
Income $201 ‑ $1,000
Muni
Asset Bond 5.5% Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: Municipal
Matures: 08/15/2040 Security
Filer comment: No longer held
7.139 Massachusetts ST Health Government Spouse None (or less Interest, $1,001 ‑ $2,500
Muni Bond Securities than $1,001)
Rate/Coupon: 0.26% ‑ Variable Municipal
Matures: 10/01/2049 Security
Filer comment: No longer held
7.140 Massachusetts ST Water Res Government Spouse None (or less Interest, $2,501 ‑ $5,000
Auth Muni Bond Securities than $1,001)
Rate/Coupon: 0.74% ‑ Variable Municipal
Matures: 08/01/2020 Security
Filer comment: No longer held
7.141 Mississippi Business Fin Corp Government Spouse None (or less Interest, $5,001 ‑ $15,000
Muni Bond Securities than $1,001)
Rate/Coupon: See note Municipal
Matures: See note Security
Filer comment: Combines
multiple bonds with rates from
0.75%‑1.7% (variable); maturity
dates from 12/01/2030‑
11/01/2035; no longer held
7.142 Missouri ST Health & Government Spouse None (or less Interest, $15,001 ‑ $50,000
Educational Facs Auth Bond Securities than $1,001)
Rate/Coupon: 5.375% Municipal
Matures: 03/15/2039 Security
Filer comment: No longer held
7.143 Nodaway County Missouri Government Spouse None (or less Interest, $2,501 ‑ $5,000
Indl Muni Bond Securities than $1,001)
Rate/Coupon: 0.2% Municipal
Matures: 11/01/2028 Security
Filer comment: No longer held
7.144 Forsyth Montana Pollution Government Spouse None (or less Interest, $2,501 ‑ $5,000
Control Revenue Bond Securities than $1,001)
Rate/Coupon: 0.77% ‑ Variable Municipal
Matures: 01/01/2018 Security
Filer comment: No longer held

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7.145 New Hampshire ST Business Government Spouse None (or less Interest,
Income $2,501 ‑ $5,000
Muni
Asset Bond 0.06% ‑ Variable Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: Municipal
Matures: 10/01/2042 Security
Filer comment: No longer held
7.146 Nantucket Massachusetts Government Spouse None (or less Interest, $15,001 ‑ $50,000
BANS Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 11/30/2017 Security
Filer comment: No longer held
7.147 Westborough Massachusetts Government Spouse None (or less Interest, $5,001 ‑ $15,000
BANS Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 08/11/2017 Security
Filer comment: No longer held
7.148 Charleston County South Government Spouse None (or less Interest, $15,001 ‑ $50,000
Carolina School District Muni Securities than $1,001)
Bond Municipal
Rate/Coupon: See note Security
Matures: See note
Filer comment: Combines
multiple bonds with rates from
2.0%‑5.0%; maturity dates from
11/16/2017‑03/30/2018; no
longer held
7.149 New York NY Variable Muni Government Spouse None (or less Interest, $1,001 ‑ $2,500
Bond Securities than $1,001)
Rate/Coupon: 0.75% ‑ Variable Municipal
Matures: 08/01/2031 Security
Filer comment: No longer held
7.150 New York NY Variable Muni Government Spouse None (or less Interest, $1,001 ‑ $2,500
Bond Securities than $1,001)
Rate/Coupon: 0.51% ‑ Variable Municipal
Matures: 04/01/2042 Security
Filer comment: No longer held

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7.151 New York NY Variable Muni Government Spouse None (or less Interest,
Income $2,501 ‑ $5,000
Bond
Asset Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: 0.87% ‑ Variable Municipal
Matures: 08/01/2036 Security
Filer comment: No longer held
7.152 New York NY Variable Muni Government Spouse None (or less Interest, $201 ‑ $1,000
Bond Securities than $1,001)
Rate/Coupon: 0.5% ‑ Variable Municipal
Matures: 10/01/2038 Security
Filer comment: No longer held
7.153 New York City Hsg Fin Agy Government Spouse None (or less Interest, $5,001 ‑ $15,000
Revenue Bond Securities than $1,001)
Rate/Coupon: 2.25% Municipal
Matures: 03/15/2036 Security
Filer comment: No longer held
7.154 New York City NY Transition Government Spouse None (or less Interest, $1,001 ‑ $2,500
Fin Auth Bldg Revenue Bond Securities than $1,001)
Rate/Coupon: See note Municipal
Matures: See note Security
Filer comment: Combines
multiple bonds with rates
ranging from 0.87%‑1.72%
(variable); maturity dates from
08/01/2039‑02/01/2045; no
longer held
7.155 New York City Muni Bond Government Spouse None (or less Interest, $1,001 ‑ $2,500
Rate/Coupon: 3.56% Securities than $1,001)
Matures: 05/01/2033 Municipal
Filer comment: No longer held Security
7.156 New York City NY Transition Government Spouse None (or less Interest, $2,501 ‑ $5,000
Fin Auth Bldg Revenue Bond Securities than $1,001)
Rate/Coupon: 0.3% ‑ Variable Municipal
Matures: 02/01/45 Security
Filer comment: No longer held
7.157 New York City NY Muni Water Government Spouse None (or less Interest, $2,501 ‑ $5,000
FinAuth Bond Securities than $1,001)
Rate/Coupon: 0.01% ‑ Variable Municipal
Matures: 06/15/2045 Security
Filer comment: No longer held

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7.158 New York City NY Muni Water Government Spouse None (or less Interest,
Income $2,501 ‑ $5,000
FinAuth
Asset Bond 0.3% ‑ Variable Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: Municipal
Matures: 06/15/2048 Security
Filer comment: No longer held
7.159 New York ST Dorm Auth Bond Government Spouse None (or less Interest, $5,001 ‑ $15,000
Rate/Coupon: 0.74% ‑ Variable Securities than $1,001)
Matures: 07/01/2031 Municipal
Security
7.160 New York St Hsg Fin Auth Government Spouse None (or less Interest, $5,001 ‑ $15,000
Revenue Bond Securities than $1,001)
Rate/Coupon: 0.03% ‑ Variable Municipal
Matures: 11/01/2046 Security
Filer comment: No longer held
7.161 Triborough Bridge & Tunnel Government Spouse None (or less Interest, $201 ‑ $1,000
Auth New York Revenue Bond Securities than $1,001)
Rate/Coupon: 0.34% ‑ Variable Municipal
Matures: 01/01/2033 Security
Filer comment: No longer held
7.162 Ohio ST G.O. Bond Government Spouse None (or less Interest, $5,001 ‑ $15,000
Rate/Coupon: 5.0% Securities than $1,001)
Matures: 09/01/2020 Municipal
Filer comment: No longer held Security
7.163 Clackamas County Oregon Government Spouse None (or less Interest, $2,501 ‑ $5,000
School District Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 06/15/2017 Security
Filer comment: No longer held
7.164 Delaware Valley Pennsylvania Government Spouse None (or less Interest, $5,001 ‑ $15,000
Regional Financial Revenue Securities than $1,001)
Bond Municipal
Rate/Coupon: 0.76% ‑ Variable Security
Matures: 06/01/2042
Filer comment: No longer held

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7.165 Derry Twp Pennsylvania Indl Government Spouse None (or less Interest,
Income $5,001 ‑ $15,000
Muni
Asset Bond 0.63% ‑ Variable Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: Municipal
Matures: 11/01/2030 Security
Filer comment: No longer held
7.166 Dutchess County New York Government Spouse None (or less Interest, $201 ‑ $1,000
Muni Bond Securities than $1,001)
Rate/Coupon: 0.24% ‑ Variable Municipal
Matures: 07/01/2038 Security
Filer comment: No longer held
7.167 East Baton Rouge Parish Muni Government Spouse None (or less Interest, $1,001 ‑ $2,500
Bond Securities than $1,001)
Rate/Coupon: 0.002% ‑ Municipal
Variable Security
Matures: 12/01/2040
Filer comment: No longer held
7.168 East Baton Rouge Parish Muni Government Spouse None (or less Interest, $201 ‑ $1,000
Bond Securities than $1,001)
Rate/Coupon: 0.32% ‑ Variable Municipal
Matures: 12/01/2051 Security
Filer comment: No longer held
7.169 Metropolitan Transportation Government Spouse None (or less Interest, $1,001 ‑ $2,500
Authority of New York Securities than $1,001)
Revenue Bond Municipal
Rate/Coupon: 0.24% ‑ Variable Security
Matures: 11/15/2045
Filer comment: No longer held
7.170 Metropolitan Transportation Government Spouse None (or less Interest, $1,001 ‑ $2,500
Authority of New York Securities than $1,001)
Revenue Bond Municipal
Rate/Coupon: 0.47% Security
Matures: 11/01/2035
Filer comment: No longer held

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7.171 Metropolitan Transportation Government Spouse None (or less Interest,
Income $5,001 ‑ $15,000
Authority
Asset Bond of New York Securities
Asset Type Owner than
Value$1,001) Type Income
Revenue Municipal
Rate/Coupon: 2.0% Security
Matures: 08/01/2017
Filer comment: No longer held
7.172 Salt Lake County Utah Muni Government Spouse None (or less Interest, $15,001 ‑ $50,000
Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 12/28/2017 Security
Filer comment: No longer held
7.173 Washington State Hsg Fin Government Spouse None (or less Interest, $201 ‑ $1,000
Auth Bond Securities than $1,001)
Rate/Coupon: 3.85% Municipal
Matures: 06/01/2032 Security
7.174 Gallatin Tennessee Water & Government Spouse None (or less Interest, $5,001 ‑ $15,000
Sewer Revenue Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 01/01/2033 Security
Filer comment: No longer held
7.175 Houston Texas Independent Government Spouse None (or less Interest, $5,001 ‑ $15,000
School District BANS Bond Securities than $1,001)
Rate/Coupon: 2.25% Municipal
Matures: 02/15/2018 Security
Filer comment: No longer held
7.176 King County Washington Hsg Government Spouse None (or less Interest, $5,001 ‑ $15,000
Auth Var‑Ref‑Pooled Bond Securities than $1,001)
Rate/Coupon: 0.75% ‑ Variable Municipal
Matures: 07/01/2035 Security
Filer comment: No longer held
7.177 WIsconsin State Government Spouse None (or less Interest, $15,001 ‑ $50,000
Environmental Impact Fund Securities than $1,001)
Revenue Bond Municipal
Rate/Coupon: 3.0% Security
Matures: 06/01/2018
Filer comment: No longer held

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7.178 Wisconsin State Health Muni Government Spouse None (or less Interest,
Income $201 ‑ $1,000
Bond
Asset Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: 0.88% ‑ Variable Municipal
Matures: 07/15/2028 Security
Filer comment: No longer held
7.179 ASYS ‑ Amtech Systems, Inc. Corporate Spouse None (or less Capital $100,001 ‑ $1,000,000
Filer comment: No longer held Securities than $1,001) Gains,
Stock
7.180 CB ‑ Chubb Limited Corporate Spouse None (or less Dividends, $2,501 ‑ $5,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
7.181 GS ‑ The Goldman Sachs Corporate Spouse None (or less Dividends, $15,001 ‑ $50,000
Group, Inc. Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
7.182 MMC ‑ Marsh & McLennan Corporate Spouse None (or less Dividends, $2,501 ‑ $5,000
Companies, Inc. Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
7.183 PFE ‑ Pfizer Inc. Corporate Spouse None (or less Dividends, $100,001 ‑ $1,000,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
7.184 CABO ‑ Cable One, Inc. Corporate Spouse None (or less Capital $15,001 ‑ $50,000
Filer comment: No longer held Securities than $1,001) Gains,
Stock
7.185 NVGS ‑ Navigator Holdings Corporate Spouse None (or less Capital $50,001 ‑ $100,000
Ltd. Securities than $1,001) Gains,
Filer comment: No longer held Stock
7.186 Briarwood Capital Partners LP Investment Fund Spouse Over Excepted $100,001 ‑ $1,000,000
Description: Private Investment Hedge Fund $1,000,000 Investment
Vehicle (New York, New York)  and held
independently
Fund,
by spouse or
dependent
child

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7.187 Canyon Balanced Fund, L.P. Investment Fund Spouse Over Excepted
Income $100,001 ‑ $1,000,000
Description:
Asset Private Investment Hedge Fund
Asset Type Owner $1,000,000
Valueheld Investment
Type Income
Vehicle (Los Angeles, and Fund,
California)  independently
by spouse or
dependent
child
7.188 Engine Capital, LP Investment Fund Spouse Over Dividends, $100,001 ‑ $1,000,000
Description: Private Investment Hedge Fund $1,000,000 Capital
Vehicle (New York, New York)  and held
independently
Gains,
by spouse or
dependent
child
7.189 Highline Capital Partners QP, Investment Fund Spouse Over Excepted $15,001 ‑ $50,000
LP Hedge Fund $1,000,000 Investment
Description: Private Investment and held Fund,
Vehicle (New York, New York)  independently
by spouse or
dependent
child
7.190 Mendon Capital QP LP Investment Fund Spouse Over Excepted $100,001 ‑ $1,000,000
Description: Private Investment Hedge Fund $1,000,000 Investment
Vehicle (Chicago, Illinois)  and held
independently
Fund,
by spouse or
dependent
child
7.191 Moab Partners, L.P. Investment Fund Spouse Over None, None (or less than $201)
Description: Private Investment Hedge Fund $1,000,000
Partnership (New York, New and held
York)  independently
by spouse or
dependent
child

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7.192 Nokomis Capital Partners, Investment Fund Spouse Over Excepted
Income $50,001 ‑ $100,000
L.P.
Asset Hedge Fund $1,000,000 Investment
Description: Private Investment Asset Type Owner Valueheld
and Type
Fund, Income
Vehicle (Dallas, Texas)  independently
by spouse or
dependent
child
7.193 Overlook Partners Fund, L.P. Investment Fund Spouse Over Excepted $100,001 ‑ $1,000,000
Description: Private Investment Hedge Fund $1,000,000 Investment
Vehicle (Hong Kong, N/A)  and held
independently
Fund,
by spouse or
dependent
child
7.194 Rimrock High Income Plus Investment Fund Spouse Over Excepted $100,001 ‑ $1,000,000
(QP) Fund, L.P. Hedge Fund $1,000,000 Investment
Description: Private Investment and held Fund,
Vehicle (Irvine, California)  independently
by spouse or
dependent
child
7.195 Iowa Higher Ed LN Auth Government Spouse None (or less Interest, $5,001 ‑ $15,000
Revenue Bond Securities than $1,001)
Rate/Coupon: 1.7% ‑ Variable Municipal
Matures: 10/01/2033 Security
Filer comment: No longer held
7.196 Richardson Texas Government Spouse None (or less Interest, $15,001 ‑ $50,000
Independent School District Securities than $1,001)
Building Bond Municipal
Rate/Coupon: 3.0% Security
Matures: 02/15/2018
Filer comment: No longer held
7.197 Lexington Massachusetts Government Spouse None (or less Interest, $15,001 ‑ $50,000
BANS Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 02/16/2018 Security
Filer comment: No longer held

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7.198 Portsmouth New Hampshire Government Spouse None (or less Interest,
Income $15,001 ‑ $50,000
Muni
Asset Bond 3.0% Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: Municipal
Matures: 06/22/2018 Security
Filer comment: No longer held
7.199 Hingham Massachusetts Government Spouse None (or less Interest, $15,001 ‑ $50,000
BANS Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 05/17/2018 Security
Filer comment: No longer held
7.200 Albany County NY BANS Bond Government Spouse None (or less Interest, $15,001 ‑ $50,000
Rate/Coupon: 4.0% Securities than $1,001)
Matures: 05/24/2018 Municipal
Filer comment: No longer held Security
7.201 Beacon NY BANS Bond Government Spouse None (or less Interest, $15,001 ‑ $50,000
Rate/Coupon: 2.0% Securities than $1,001)
Matures: 05/25/2018 Municipal
Filer comment: No longer held Security
7.202 Bristol CT Bans Bond Government Spouse None (or less Interest, $5,001 ‑ $15,000
Rate/Coupon: 2.25% Securities than $1,001)
Matures: 05/29/2018 Municipal
Filer comment: No longer held Security
7.203 Somerville Massachusetts Government Spouse None (or less Interest, $15,001 ‑ $50,000
BANS Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 06/08/2018 Security
Filer comment: No longer held
7.204 Williamsville New York Government Spouse None (or less Interest, $15,001 ‑ $50,000
Central School District BANS Securities than $1,001)
Bond Municipal
Rate/Coupon: 2.25% Security
Matures: 06/13/2018
Filer comment: No longer held
7.205 Plymouth Massachusetts Government Spouse None (or less Interest, $15,001 ‑ $50,000
Muni Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 06/15/2018 Security
Filer comment: No longer held

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7.206 City of Quincy Massachusetts Government Spouse None (or less Interest,
Income $15,001 ‑ $50,000
BANS
Asset Bond 2.0% Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: Municipal
Matures: 06/15/2018 Security
Filer comment: No longer held
7.207 Colorado State General Fund Government Spouse None (or less Interest, $15,001 ‑ $50,000
Revenue TANS Bond Securities than $1,001)
Rate/Coupon: 4.0% Municipal
Matures: 06/27/2018 Security
Filer comment: No longer held
7.208 Middle Country NY Central Government Spouse None (or less Interest, $5,001 ‑ $15,000
School District Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 06/27/2018 Security
Filer comment: No longer held
7.209 RILY ‑ B. Riley Financial, Inc. Corporate Spouse $50,001 ‑ Dividends, $201 ‑ $1,000
Securities $100,000
Stock
7.210 KMT ‑ Kennametal Inc. Corporate Spouse $1,001 ‑ Dividends, None (or less than $201)
Securities $15,000
Stock
7.211 BX ‑ The Blackstone Group Corporate Spouse None (or less Dividends, $2,501 ‑ $5,000
L.P. Securities than $1,001)
Filer comment: No longer held Stock
7.212 GQETX ‑ GMO Quality III Mutual Funds Spouse Over Excepted $100,001 ‑ $1,000,000
Mutual Fund $1,000,000 Investment
and held Fund,
independently
by spouse or
dependent
child
7.213 Pershing Advisor Solutions ‑ Bank Deposit Spouse $500,001 ‑ Interest, $100,001 ‑ $1,000,000
BNY Mellon $1,000,000
(New York, NY)
Type: Money Market Account,

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7.214 Pershing Advisor Solutions ‑ Bank Deposit Spouse Over Interest,
Income $50,001 ‑ $100,000
BNY
AssetMellon Asset Type Owner $1,000,000
Value Type Income
(New York, NY) and held
Type: Money Market Account, independently
by spouse or
dependent
child
8 Richard L. Scott GRAT Trust Spouse
Continuing Trust General Trust
8.1 Clarksville Tennessee Public Government Spouse $250,001 ‑ Interest, $5,001 ‑ $15,000
Building Authority Municipal Securities $500,000
Bond Municipal
Rate/Coupon: 1.6% ‑ Variable Security
Matures: 01/01/2033
8.2 Clarksville Tennessee Public Government Spouse $50,001 ‑ Interest, $1,001 ‑ $2,500
Building Authority Municipal Securities $100,000
Bond Municipal
Rate/Coupon: 1.6% ‑ Variable Security
Matures: 02/01/2038
8.3 E Baton Rouge Parish Government Spouse Over Interest, $15,001 ‑ $50,000
Louisiana Dev Brd Inc. Securities $1,000,000
Revenue Bond Municipal and held
Rate/Coupon: 1.6% ‑ Variable Security independently
Matures: 08/01/2035 by spouse or
dependent
child
8.4 Maryland State Hlth & Higher Government Spouse Over Interest, $15,001 ‑ $50,000
Educational Facilities Revenue Securities $1,000,000
Bond ‑ Univ MD Med Sys Municipal and held
Rate/Coupon: 1.5% ‑ Variable Security independently
Matures: 07/01/2041 by spouse or
dependent
child

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8.5 Montgomery County Government Spouse Over Interest,
Income $15,001 ‑ $50,000
Tennessee
Asset Bond Public Bldg Auth Securities
Asset Type Owner $1,000,000
Valueheld Type Income
Revenue Municipal and
Rate/Coupon: 1.6% ‑ Variable Security independently
Matures: 02/01/2036 by spouse or
dependent
child
8.6 Montgomery County Government Spouse Over Interest, $15,001 ‑ $50,000
Tennessee Public Bldg Auth Securities $1,000,000
Revenue Bond Municipal and held
Rate/Coupon: 1.6% ‑ Variable Security independently
Matures: 04/01/2032 by spouse or
dependent
child
8.7 New York City NY Muni Water Government Spouse $50,001 ‑ Interest, $1,001 ‑ $2,500
Fin Auth Wtr & Sewer Securities $100,000
Revenue Bond Municipal
Rate/Coupon: 1.5% ‑ Variable Security
Matures: 06/15/2035
8.8 New York City NY Muni Water Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Fin Auth Wtr & Sewer Securities $1,000,000
Revenue Bond Municipal
Rate/Coupon: 1.5% ‑ Variable Security
Matures: 06/15/2045
8.9 New York City NY Muni Water Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Fin Auth Wtr & Sewer Securities $1,000,000
Revenue Bond Municipal
Rate/Coupon: 1.6% ‑ Variable Security
Matures: 06/15/2048
8.10 New York ST Dorm Auth Government Spouse $250,001 ‑ Interest, $5,001 ‑ $15,000
Revenue Bond Securities $500,000
Rate/Coupon: 1.6% ‑ Variable Municipal
Matures: 07/01/2033 Security
8.11 Wisconsin ST Health & Government Spouse $50,001 ‑ Interest, $1,001 ‑ $2,500
Educational Facilities Revenue Securities $100,000
Bond Municipal
Rate/Coupon: 1.6% ‑ Variable Security
Matures: 07/15/2028

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8.12 BNY Mellon Bank Deposit Spouse $1,001 ‑ Interest,
Income None (or less than $201)
(New
Asset York, NY) Asset Type Owner $15,000
Value Type Income
Type: Brokerage Sweep
Account,
8.13 Guilford Connecticut BANS Government Spouse Over Interest, $15,001 ‑ $50,000
Bond Securities $1,000,000
Rate/Coupon: 2.0% Municipal and held
Matures: 08/08/2018 Security independently
by spouse or
dependent
child
8.14 Katy Independent School Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
District Bond Securities $1,000,000
Rate/Coupon: 3.0% Municipal
Matures: 02/15/2019 Security
8.15 Rochester Minnesota Health Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Care Facilities Bond Securities $1,000,000
Rate/Coupon: 4.0% Municipal
Matures: 11/15/2030 Security
8.16 District of Columbia Hospital Government Spouse Over Interest, $50,001 ‑ $100,000
Revenue Bond ‑ Childrens Securities $1,000,000
Hosp Municipal and held
Rate/Coupon: 5.25% Security independently
Matures: 07/15/2045 by spouse or
dependent
child
8.17 Georgia State G.O. Bond Government Spouse Over Interest, $100,001 ‑ $1,000,000
Rate/Coupon: 5.0% Securities $1,000,000
Matures: 07/01/2018 Municipal and held
Security independently
by spouse or
dependent
child
8.18 Gilbert Arizona Public Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Facilities Muni Property Bond Securities $1,000,000
Rate/Coupon: 3.0% Municipal
Matures: 07/01/2018 Security

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8.19 Massachusetts Bay MA Government Spouse $250,001 ‑ Interest,
Income $15,001 ‑ $50,000
Transportation
Asset Bond Securities
Asset Type Owner $500,000
Value Type Income
Rate/Coupon: 5.0% Municipal
Matures: 07/01/2018 Security
8.20 Massachusetts State G.O. Government Spouse Over Interest, $50,001 ‑ $100,000
Bond Securities $1,000,000
Rate/Coupon: 5.5% Municipal and held
Matures: 08/01/2018 Security independently
by spouse or
dependent
child
8.21 Rochester NY BANS Bond Government Spouse Over Interest, $15,001 ‑ $50,000
Rate/Coupon: 2.5% Securities $1,000,000
Matures: 08/02/2018 Municipal and held
Security independently
by spouse or
dependent
child
8.22 Westborough Massachusetts Government Spouse Over Interest, $15,001 ‑ $50,000
BANS Bond Securities $1,000,000
Rate/Coupon: 2.5% Municipal and held
Matures: 08/10/2018 Security independently
by spouse or
dependent
child
8.23 Texas State G.O. Bond Government Spouse Over Interest, $100,001 ‑ $1,000,000
Rate/Coupon: 4.0% Securities $1,000,000
Matures: 08/30/2018 Municipal and held
Security independently
by spouse or
dependent
child
8.24 North Texas ST Muni Water Government Spouse Over Interest, $50,001 ‑ $100,000
Dist Bond Securities $1,000,000
Rate/Coupon: 5.0% Municipal and held
Matures: 09/01/2018 Security independently
by spouse or
dependent
child

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8.25 Essex County New Jersey Government Spouse Over Interest,
Income $15,001 ‑ $50,000
BANS
Asset Bond 2.5% Securities
Asset Type Owner $1,000,000
Valueheld Type Income
Rate/Coupon: Municipal and
Matures: 09/12/2018 Security independently
by spouse or
dependent
child
8.26 City of Quincy Massachusetts Government Spouse Over Interest, $15,001 ‑ $50,000
BANS Bond Securities $1,000,000
Rate/Coupon: 2.0% Municipal and held
Matures: 09/28/2018 Security independently
by spouse or
dependent
child
8.27 Arizona State Ctfs Partn Cops Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Bond Securities $1,000,000
Rate/Coupon: 4.0% Municipal
Matures: 10/01/2018 Security
8.28 Wichita Kansas Temp Nts Government Spouse Over Interest, $15,001 ‑ $50,000
Bond Securities $1,000,000
Rate/Coupon: 1.1% Municipal and held
Matures: 10/13/2018 Security independently
by spouse or
dependent
child
8.29 Pittsfield Massachusetts G.O. Government Spouse Over Interest, $15,001 ‑ $50,000
Bond Securities $1,000,000
Rate/Coupon: 2.0% Municipal and held
Matures: 10/26/2018 Security independently
by spouse or
dependent
child
8.30 Milford Connecticut BANS Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Bond Securities $1,000,000
Rate/Coupon: 2.25% Municipal
Matures: 11/05/2018 Security

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8.31 Louisville & Jefferson County Government Spouse Over Interest,
Income $50,001 ‑ $100,000
Kentucky
Asset Sys Met Swr Dist Swr & Securities
Asset Type Owner $1,000,000
Valueheld Type Income
Drain BANS Bond Municipal and
Rate/Coupon: 5.0% Security independently
Matures: 11/12/2018 by spouse or
dependent
child
8.32 Cohasset Massachusetts Mun Government Spouse $250,001 ‑ Interest, $15,001 ‑ $50,000
Purp LN Bond Securities $500,000
Rate/Coupon: 4.0% Municipal
Matures: 11/15/2018 Security
8.33 Houston Texas Utility Sys Government Spouse Over Interest, $100,001 ‑ $1,000,000
Revenue Bond Securities $1,000,000
Rate/Coupon: 5.0% Municipal and held
Matures: 11/15/2018 Security independently
by spouse or
dependent
child
8.34 Spartanburg County School Government Spouse Over Interest, $100,001 ‑ $1,000,000
District No. 7T BANS Bond Securities $1,000,000
Rate/Coupon: 5.0% Municipal and held
Matures: 11/15/2018 Security independently
by spouse or
dependent
child
8.35 Minneapolis Minnesota G.O. Government Spouse $500,001 ‑ Interest, $50,001 ‑ $100,000
Bond Securities $1,000,000
Rate/Coupon: 5.0% Municipal
Matures: 12/01/2018 Security
8.36 Akron Ohio Income Tax Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Revenue Bond Securities $1,000,000
Rate/Coupon: 3 Municipal
Matures: 12/12/2018 Security

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8.37 New York ST Dorm Auth Government Spouse Over Interest,
Income $50,001 ‑ $100,000
General
Asset Purpose Bond Securities
Asset Type Owner $1,000,000
Valueheld Type Income
Rate/Coupon: 5.0% Municipal and
Matures: 12/15/2018 Security independently
by spouse or
dependent
child
8.38 Oregon Education Districts Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Short Term Cops Bond Securities $1,000,000
Rate/Coupon: 2.5% Municipal
Matures: 12/31/2018 Security
8.39 Gwinnett County Georgia Government Spouse Over Interest, $15,001 ‑ $50,000
School District Sales Tax Securities $1,000,000
Bond Municipal and held
Rate/Coupon: 3.0% Security independently
Matures: 02/01/2019 by spouse or
dependent
child
8.40 Richland County South Government Spouse Over Interest, $50,001 ‑ $100,000
Carolina BANS Bond Securities $1,000,000
Rate/Coupon: 3.0% Municipal and held
Matures: 02/27/2019 Security independently
by spouse or
dependent
child
8.41 Baltimore County Maryland Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
BANS Bond Securities $1,000,000
Rate/Coupon: 4.0% Municipal
Matures: 03/18/2019 Security
8.42 Virginia ST Public Sch Auth Government Spouse Over Interest, $50,001 ‑ $100,000
Bond Securities $1,000,000
Rate/Coupon: 5.0% Municipal and held
Matures: 04/15/2019 Security independently
by spouse or
dependent
child

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8.43 Hamilton Twp New Jersey Government Spouse Over Interest,
Income $15,001 ‑ $50,000
Mercer
Asset County3.0%
BANS Bond Securities
Asset Type Owner $1,000,000
Valueheld Type Income
Rate/Coupon: Municipal and
Matures: 05/21/2019 Security independently
by spouse or
dependent
child
8.44 Town of Dover New Jersey Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
BANS Bond Securities $1,000,000
Rate/Coupon: 3.0% Municipal
Matures: 05/31/2019 Security
8.45 County of Middlesex New Government Spouse Over Interest, $15,001 ‑ $50,000
Jersey Bond Securities $1,000,000
Rate/Coupon: 3.0% Municipal and held
Matures: 06/11/2019 Security independently
by spouse or
dependent
child
8.46 Williamsville New York Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Central School District BANS Securities $1,000,000
Bond Municipal
Rate/Coupon: 3.0% Security
Matures: 06/12/2019
8.47 Marlborough Massachusetts Government Spouse $250,001 ‑ Interest, $15,001 ‑ $50,000
BANS Bond Securities $500,000
Rate/Coupon: 2.75% Municipal
Matures: 06/14/2019 Security
8.48 Town of Plymouth Government Spouse $250,001 ‑ Interest, $5,001 ‑ $15,000
Massachusetts BANS Bond Securities $500,000
Rate/Coupon: 3.0% Municipal
Matures: 06/14/2019 Security
8.49 Town of Boxford Government Spouse $500,001 ‑ Interest, $5,001 ‑ $15,000
Massachusetts BANS Bond Securities $1,000,000
Rate/Coupon: 2.25% Municipal
Matures: 06/21/2019 Security

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8.50 Massachusetts ST Dev Fin Government Spouse $250,001 ‑ Interest,
Income $15,001 ‑ $50,000
Agyre
Asset Bond 5.25% Securities
Asset Type Owner $500,000
Value Type Income
Rate/Coupon: Municipal
Matures: 11/15/2019 Security
8.51 Intermountain Pwr Agy Utah Government Spouse Over Interest, $100,001 ‑ $1,000,000
Power Sys Bond Securities $1,000,000
Rate/Coupon: 5.0% Municipal and held
Matures: 07/01/2020 Security independently
by spouse or
dependent
child
8.52 Long Island Power Authority Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
NY Elec Sys G.O. Bond Securities $1,000,000
Rate/Coupon: 5.5% Municipal
Matures: 05/01/2033 Security
8.53 University of Houston Texas Government Spouse Over Interest, $100,001 ‑ $1,000,000
University Revenue Bond Securities $1,000,000
Rate/Coupon: 4.9% ‑ Variable Municipal and held
Matures: 02/15/2034 Security independently
by spouse or
dependent
child
8.54 Massachusetts ST Hlth & Government Spouse $250,001 ‑ Interest, $15,001 ‑ $50,000
Education ‑ Massachusetts Securities $500,000
Institute Technology Bond Municipal
Rate/Coupon: 5.5% Security
Matures: 07/01/2036
8.55 Southern Columbia Government Spouse $250,001 ‑ Interest, $15,001 ‑ $50,000
Pennsylvania Area School Securities $500,000
District Bond Municipal
Rate/Coupon: 5.15% Security
Matures: 04/01/2040
8.56 Montana ST Board of Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Investment Bond Securities $1,000,000
Rate/Coupon: 1.7% ‑ Variable Municipal
Matures: 03/01/2042 Security

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8.57 Pershing Advisor Solutions ‑ Bank Deposit Spouse $15,001 ‑ None,
Income None (or less than $201)
BNY
AssetMellon Asset Type Owner $50,000
Value Type Income
(New York, NY)
Type: Brokerage Sweep
Account,
8.58 AG Energy Partners II, L.P. Investment Fund Spouse Over Excepted $100,001 ‑ $1,000,000
Description: Private Investment Private Equity $1,000,000 Investment
Partnership (New York, NY)  Fund and held Fund,
independently
by spouse or
dependent
child
8.59 AG Super Fund, L.P. Investment Fund Spouse Over Excepted $15,001 ‑ $50,000
Description: Private Investment Private Equity $1,000,000 Investment
Partnership (New York, NY)  Fund and held Fund,
independently
by spouse or
dependent
child
8.60 AJ I Gainline LLC Investment Fund Spouse Over None, None (or less than $201)
Description: Private Investment Private Equity $1,000,000
Vehicle (New York, New York)  Fund and held
independently
by spouse or
dependent
child
8.61 AJ 2 Elliott LLC Investment Fund Spouse
Description: Private Investment Private Equity
Vehicle (New York, NY)  Fund
8.61.1 Ancora Catalyst SPV I L.P. Investment Fund Spouse Over Dividends, $100,001 ‑ $1,000,000
Description: Private Investment Private Equity $1,000,000
Partnership (Cleveland, OH)  Fund and held
independently
by spouse or
dependent
child

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8.62 Canyon Laurel Fund L.P. Investment Fund Spouse Over Excepted
Income $15,001 ‑ $50,000
Description:
Asset Private Investment Private Equity
Asset Type Owner $1,000,000
Valueheld Investment
Type Income
Partnership (Los Angeles, CA)  Fund and Fund,
independently
by spouse or
dependent
child
8.63 Fortress Secured Lending Investment Fund Spouse Over Excepted $50,001 ‑ $100,000
Fund I (A) LP Private Equity $1,000,000 Investment
Description: Private Investment Fund and held Fund,
Partnership (New York, NY)  independently
by spouse or
dependent
child
8.64 Mendon Capital QP, LP Investment Fund Spouse Over Excepted $100,001 ‑ $1,000,000
Description: Private Investment Private Equity $1,000,000 Investment
Partnership (Chicago, IL)  Fund and held Fund,
independently
by spouse or
dependent
child
8.65 OVO Fund II, LLC Investment Fund Spouse $100,001 ‑ None, None (or less than $201)
Description: Private Investment Private Equity $250,000
Partnership (Los Altos, CA)  Fund
8.66 Richard L. and F. Annette Investment Fund Spouse Over Dividends, Over $1,000,000 and held indepen‑
Scott Family Partnership Private Equity $1,000,000 Capital dently by spouse or dependent child
Description: Private Investment Fund and held Gains,
Partnership (Naples, FL) Filer independently
comment: Assets disclosed by spouse or
elsewhere in this report dependent
child
8.67 VSS Structured Capital III, Investment Fund Spouse $500,001 ‑ Excepted $50,001 ‑ $100,000
L.P. Private Equity $1,000,000 Investment
Description: Private Investment Fund Fund,
Partnership (New York, NY) 

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8.68 Briarwood Capital Partners LP Investment Fund Spouse Over Excepted
Income $100,001 ‑ $1,000,000
Description:
Asset Private Investment Hedge Fund $1,000,000 Investment
Vehicle (New York, New York)  Asset Type Owner Valueheld
and
independently
Type
Fund, Income
by spouse or
dependent
child
8.69 Canyon Balanced Fund, L.P. Investment Fund Spouse Over Excepted $100,001 ‑ $1,000,000
Description: Private Investment Hedge Fund $1,000,000 Investment
Vehicle (Los Angeles, and held Fund,
California)  independently
by spouse or
dependent
child
8.70 Engine Capital, LP Investment Fund Spouse Over Dividends, $100,001 ‑ $1,000,000
Description: Private Investment Hedge Fund $1,000,000 Capital
Vehicle (New York, New York)  and held
independently
Gains,
by spouse or
dependent
child
8.71 Highline Capital Partners QP, Investment Fund Spouse Over Excepted $15,001 ‑ $50,000
LP Hedge Fund $1,000,000 Investment
Description: Private Investment and held Fund,
Vehicle (New York, New York)  independently
by spouse or
dependent
child
8.72 Moab Partners, L.P. Investment Fund Spouse Over None, None (or less than $201)
Description: Private Investment Hedge Fund $1,000,000
Partnership (New York, New and held
York)  independently
by spouse or
dependent
child

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8.73 Nokomis Capital Partners, Investment Fund Spouse Over Excepted
Income $15,001 ‑ $50,000
L.P.
Asset Hedge Fund $1,000,000 Investment
Description: Private Investment Asset Type Owner Valueheld
and Type
Fund, Income
Vehicle (Dallas, Texas)  independently
by spouse or
dependent
child
8.74 Overlook Partners Fund, L.P. Investment Fund Spouse Over Excepted $100,001 ‑ $1,000,000
Description: Private Investment Hedge Fund $1,000,000 Investment
Vehicle (Hong Kong, N/A)  and held
independently
Fund,
by spouse or
dependent
child
8.75 California Pollution Control Government Spouse None (or less Interest, $1,001 ‑ $2,500
Authority Bond Securities than $1,001)
Rate/Coupon: 0.84% Municipal
Matures: 11/01/2026 Security
Filer comment: No longer held
8.76 Clackamas County Oregon Government Spouse None (or less Interest, $1,001 ‑ $2,500
School District Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 06/15/2017 Security
Filer comment: No longer held
8.77 Colorado State Educational Government Spouse None (or less Interest, $2,501 ‑ $5,000
Loan Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 06/29/2017 Security
Filer comment: No longer held
8.78 Derry Township Pennsylvania Government Spouse None (or less Interest, $5,001 ‑ $15,000
Indl & Commercial Dev Securities than $1,001)
Revenue Bond Municipal
Rate/Coupon: 0.63% ‑ Variable Security
Matures: 11/01/2030
Filer comment: No longer held

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8.79 Dutchess County New York Government Spouse None (or less Interest,
Income $201 ‑ $1,000
Indl
AssetDev Agency Revenue Securities
Asset Type Owner than
Value$1,001) Type Income
Bond Municipal
Rate/Coupon: 0.24% ‑ Variable Security
Matures: 07/01/2038
Filer comment: No longer held
8.80 Forsyth Montana Pollution Government Spouse None (or less Interest, $2,501 ‑ $5,000
Control Revenue Bond Securities than $1,001)
Rate/Coupon: 0.77% ‑ Variable Municipal
Matures: 01/01/2018 Security
Filer comment: No longer held
8.81 Framingham Massachusetts Government Spouse None (or less Interest, $5,001 ‑ $15,000
BANS Bond Securities than $1,001)
Rate/Coupon: 1.75% Municipal
Matures: 12/08/2017 Security
Filer comment: No longer held
8.82 Illinois State Financial Auth Government Spouse None (or less Interest, $2,501 ‑ $5,000
Revenue Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 07/01/2017 Security
Filer comment: No longer held
8.83 Indiana ST Fin Auth Government Spouse None (or less Interest, $1,001 ‑ $2,500
Environmental Bond Securities than $1,001)
Rate/Coupon: 0.2% ‑ Variable Municipal
Matures: 10/01/2040 Security
Filer comment: No longer held
8.84 Irvine California Impt Bd Act Government Spouse None (or less Interest, $1,001 ‑ $2,500
1915 Loc Muni Bond Securities than $1,001)
Rate/Coupon: 0.93% Municipal
Matures: 09/02/2023 Security
Filer comment: No longer held
8.85 Jackson County Mississippi Government Spouse None (or less Interest, $2,501 ‑ $5,000
Port Fac Muni Bond Securities than $1,001)
Rate/Coupon: 0.96% ‑ Variable Municipal
Matures: 06/01/2023 Security
Filer comment: No longer held

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8.86 King County Washington Hsg Government Spouse None (or less Interest,
Income $2,501 ‑ $5,000
Auth
Asset Var‑Ref‑Pooled Bond Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: 0.75% ‑ Variable Municipal
Matures: 07/01/2035 Security
Filer comment: No longer held
8.87 Maryland State Hlth & Higher Government Spouse None (or less Interest, $5,001 ‑ $15,000
Educational Facilities Revenue Securities than $1,001)
Bond Municipal
Rate/Coupon: 0.45% ‑ Variable Security
Matures: 07/01/2041
Filer comment: No longer held
8.88 Massachusetts State Revenue Government Spouse None (or less Interest, $1,001 ‑ $2,500
Antic Nts Bond Securities than $1,001)
Rate/Coupon: 4.0% Municipal
Matures: 07/01/2017 Security
Filer comment: No longer held
8.89 Massachusetts State Health Government Spouse None (or less Interest, $1,001 ‑ $2,500
Muni Bond Securities than $1,001)
Rate/Coupon: See note Municipal
Matures: See note Security
Filer comment: Combines
bonds with rates ranging from
0.22% (variable) to 5.5% (fixed);
maturity dates ranging from
07/01/2026‑08/15/2040; no
longer held.
8.90 Massachusetts State Water Government Spouse None (or less Interest, $1,001 ‑ $2,500
Resource Auth Bond Securities than $1,001)
Rate/Coupon: 0.9% ‑ Variable Municipal
Matures: 08/01/2020 Security
Filer comment: No longer held

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8.91 Metropolitan Transportation Government Spouse None (or less Interest,
Income $5,001 ‑ $15,000
Authority
Asset Bond of New York Securities
Asset Type Owner than
Value$1,001) Type Income
Revenue Municipal
Rate/Coupon: See note Security
Matures: See note
Filer comment: Combines
bonds with rates from 0.24%
(variable) to 2.0% (fixed);
maturity dates ranging from
08/01/2017‑011/15/2045; no
longer held
8.92 Metropolitan Washington DC Government Spouse None (or less Interest, $5,001 ‑ $15,000
Airports Auth Revenue Bond Securities than $1,001)
Rate/Coupon: 0.94% ‑ Variable Municipal
Matures: 10/01/2039 Security
Filer comment: No longer held
8.93 Milford Connecticut BANS Government Spouse None (or less Interest, $5,001 ‑ $15,000
Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 11/06/2017 Security
Filer comment: No longer held
8.94 Minnesota ST Agriculture Government Spouse None (or less Interest, $2,501 ‑ $5,000
Muni Bond Securities than $1,001)
Rate/Coupon: 0.75% ‑ Variable Municipal
Matures: 09/01/2021 Security
Filer comment: No longer held
8.95 Mississippi State Business Government Spouse None (or less Interest, $5,001 ‑ $15,000
Finance Corp Gulf Securities than $1,001)
Opportunity Zone Bond Municipal
Rate/Coupon: 0.24% ‑ Variable Security
Matures: 12/01/2030
Filer comment: No longer held

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8.96 Missouri State Health & Government Spouse None (or less Interest,
Income $50,001 ‑ $100,000
Educational
Asset Facilities Revenue Securities
Asset Type Owner than
Value$1,001) Type Income
Bond Municipal
Rate/Coupon: See note Security
Matures: See note
Filer comment: Combines
multiple bonds with rates from
0.89% (variable)‑5.375%
(fixed); maturity dates ranging
from 10/01/2024‑03/15/2039;
no longer held
8.97 Montgomery County Government Spouse None (or less Interest, $1,001 ‑ $2,500
Tennessee Public Bldg Auth Securities than $1,001)
Revenue Bond Municipal
Rate/Coupon: 3.9% Security
Matures: 07/01/2034
Filer comment: No longer held
8.98 Nantucket Massachusetts Government Spouse None (or less Interest, $15,001 ‑ $50,000
BANS Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 11/30/2017 Security
Filer comment: No longer held
8.99 Needham Massachusetts Government Spouse None (or less Interest, $5,001 ‑ $15,000
BANS Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 11/01/2017 Security
Filer comment: No longer held
8.100 New York NY Muni Bond Government Spouse None (or less Interest, $5,001 ‑ $15,000
Rate/Coupon: See note Securities than $1,001)
Matures: See note Municipal
Filer comment: Combines Security
bonds with rates from 0.51%
(variable) to 0.87% (fixed);
maturity dates ranging from
08/01/2036‑04/01/2042; no
longer held

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8.101 New York City NY Transition Government Spouse None (or less Interest,
Income $15,001 ‑ $50,000
Fin
AssetAuth Bldg See
Revenue Bond Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: note Municipal
Matures: See note Security
Filer comment: Combines
multiple bonds with rates
between 0.3%‑0.72% (variable);
maturity dates of 08/01/2039‑
08/01/2043; no longer held
8.102 New York City NY Muni Water Government Spouse None (or less Interest, $2,501 ‑ $5,000
Fin Auth Wtr & Sewer Securities than $1,001)
Revenue Bond Municipal
Rate/Coupon: See note Security
Matures: See note
Filer comment: Combines
multiple bonds with rates
between 0.01‑0.3% (variable);
maturity dates of 06/15/2045‑
06/15/2050; no longer held
8.103 New York State Dorm Auth Government Spouse None (or less Interest, $5,001 ‑ $15,000
Revenue Bond Securities than $1,001)
Rate/Coupon: 0.74% ‑ Variable Municipal
Matures: 07/01/2031 Security
8.104 New York ST Hsg Fin Agy Government Spouse None (or less Interest, $15,001 ‑ $50,000
Revenue Bond Securities than $1,001)
Rate/Coupon: See note Municipal
Matures: See note Security
Filer comment: Combines
multiple bonds with rates
between 0.03%‑2.792%
(variable); maturity dates of
05/01/2042‑11/01/2046; no
longer held
8.105 Nodaway County Missouri Government Spouse None (or less Interest, $5,001 ‑ $15,000
Indl Dev Auth Revenue Bond Securities than $1,001)
Rate/Coupon: 0.2% ‑ Variable Municipal
Matures: 11/01/2028 Security
Filer comment: No longer held

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8.106 San Antonio Texas Government Spouse None (or less Interest,
Income $1,001 ‑ $2,500
Independent
Asset Sch Dist Bond Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: 2.0% Municipal
Matures: 08/01/2044 Security
Filer comment: No longer held
8.107 Triborough NY Bridge & Government Spouse None (or less Interest, $1,001 ‑ $2,500
Tunnel Auth Revenue Bond Securities than $1,001)
Rate/Coupon: 0.34% ‑ Variable Municipal
Matures: 01/01/2033 Security
Filer comment: No longer held
8.108 Valdez Alaska Marine Government Spouse None (or less Interest, $2,501 ‑ $5,000
Terminal Bond Securities than $1,001)
Rate/Coupon: 0.88% ‑ Variable Municipal
Matures: 12/01/2029 Security
Filer comment: No longer held
8.109 Wisconsin ST Health & Government Spouse None (or less Interest, $1,001 ‑ $2,500
Educational Facilities Revenue Securities than $1,001)
Bond Municipal
Rate/Coupon: 0.48% ‑ Variable Security
Matures: 07/15/2028
Filer comment: No longer held
8.110 Charleston County South Government Spouse None (or less Interest, $15,001 ‑ $50,000
Carolina School District Muni Securities than $1,001)
Bond Municipal
Rate/Coupon: 2.0% Security
Matures: 11/16/2017
Filer comment: No longer held
8.111 Fulton County Georgia Government Spouse None (or less Interest, $15,001 ‑ $50,000
General Fund ‑ Tax Antic Nts Securities than $1,001)
Bond Municipal
Rate/Coupon: 2.0% Security
Matures: 12/29/2017
Filer comment: No longer held
8.112 Los Angeles California G.O. Government Spouse None (or less Interest, $5,001 ‑ $15,000
Bond Securities than $1,001)
Rate/Coupon: 3.0% Municipal
Matures: 06/29/2017 Security
Filer comment: No longer held

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8.113 Salt Lake County Utah Tax & Government Spouse None (or less Interest,
Income $5,001 ‑ $15,000
Rev
AssetAntic Nts 2.0%
Bond Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: Municipal
Matures: 12/28/2017 Security
Filer comment: No longer held
8.114 Westborough Massachusetts Government Spouse None (or less Interest, $5,001 ‑ $15,000
BANS Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 08/11/2017 Security
Filer comment: No longer held
8.115 Rimrock High Income Plus Investment Fund Spouse Over None, None (or less than $201)
(QP) Fund, L.P. Hedge Fund $1,000,000
Description: Private Investment and held
Partnership (Irvine, California)  independently
by spouse or
dependent
child
8.116 Tuscaloosa County Alabama Government Spouse None (or less Interest, $2,501 ‑ $5,000
Muni Bond Securities than $1,001)
Rate/Coupon: 0.75% ‑ Variable Municipal
Matures: 04/01/2028 Security
Filer comment: No longer held
8.117 Alaska ST International Government Spouse None (or less Interest, $2,501 ‑ $5,000
Airports Revenue Bond Securities than $1,001)
Rate/Coupon: 0.73% ‑ Variable Municipal
Matures: 10/01/2030 Security
Filer comment: No longer held
8.118 Arizona ST Health Facilities Government Spouse None (or less Interest, $5,001 ‑ $15,000
Auth Revenue Bond Securities than $1,001)
Rate/Coupon: 5.375% Municipal
Matures: 01/01/2032 Security
Filer comment: No longer held
8.119 Ohio ST G.O. Bond Government Spouse None (or less Interest, $5,001 ‑ $15,000
Rate/Coupon: 5.0% Securities than $1,001)
Matures: 09/01/2020 Municipal
Filer comment: No longer held Security

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8.120 Delaware Valley PA Regional Government Spouse None (or less Interest,
Income $5,001 ‑ $15,000
Financial
Asset Revenue Bond Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: 1.6% ‑ Variable Municipal
Matures: 06/01/2042 Security
Filer comment: No longer held
8.121 Gallatin Tennessee Water & Government Spouse None (or less Interest, $5,001 ‑ $15,000
Sewer Revenue Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 01/01/2033 Security
Filer comment: No longer held
8.122 Houston Texas Independent Government Spouse None (or less Interest, $5,001 ‑ $15,000
School District Ltd Tax‑ Securities than $1,001)
Schoolhouse Bond Municipal
Rate/Coupon: 2.25% Security
Matures: 02/15/2018
Filer comment: No longer held
8.123 Wisconsin State Government Spouse None (or less Interest, $15,001 ‑ $50,000
Environmental Impact Fund Securities than $1,001)
Revenue Bond Municipal
Rate/Coupon: 3.0% Security
Matures: 06/01/2018
Filer comment: No longer held
8.124 Albany County NY BANS Bond Government Spouse None (or less Interest, $50,001 ‑ $100,000
Rate/Coupon: 4.0% Securities than $1,001)
Matures: 05/24/2018 Municipal
Filer comment: No longer held Security
8.125 Delaware Valley PA Regional Government Spouse None (or less Interest, $15,001 ‑ $50,000
Financial Revenue Bond Securities than $1,001)
Rate/Coupon: 1.6% ‑ Variable Municipal
Matures: 06/01/2042 Security
Filer comment: No longer held
8.126 Richardson Texas Government Spouse None (or less Interest, $15,001 ‑ $50,000
Independent School District Securities than $1,001)
Building Bond Municipal
Rate/Coupon: 3.0% Security
Matures: 02/15/2018
Filer comment: No longer held

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8.127 Lexington Massachusetts Government Spouse None (or less Interest,
Income $15,001 ‑ $50,000
BANS
Asset Bond 2.0% Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: Municipal
Matures: 02/16/2018 Security
Filer comment: No longer held
8.128 Granite Utah School District Government Spouse None (or less Interest, $5,001 ‑ $15,000
Salt Lake County Muni Bond Securities than $1,001)
Rate/Coupon: 4.0% Municipal
Matures: 06/01/2018 Security
Filer comment: No longer held
8.129 Portsmouth New Hampshire Government Spouse None (or less Interest, $15,001 ‑ $50,000
Muni Bond Securities than $1,001)
Rate/Coupon: 3.0% Municipal
Matures: 06/22/2018 Security
Filer comment: No longer held
8.130 Arizona ST Health Facilities Government Spouse None (or less Interest, $15,001 ‑ $50,000
Auth Revenue Bond Securities than $1,001)
Rate/Coupon: 5.375% Municipal
Matures: 01/01/2032 Security
Filer comment: No longer held
8.131 Minnesota Public Facilities Government Spouse None (or less Interest, $15,001 ‑ $50,000
Auth Clean Water Muni Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 03/01/2018 Security
Filer comment: No longer held
8.132 Massachusetts State G.O. Government Spouse None (or less Interest, $5,001 ‑ $15,000
Bond Securities than $1,001)
Rate/Coupon: See note Municipal
Matures: See note Security
Filer comment: Combines
multiple bonds ranging from
2.0%‑4.0%; maturity dates from
4/23/18‑6/01/2018; no longer
held
8.133 Hingham Massachusetts Government Spouse None (or less Interest, $15,001 ‑ $50,000
BANS Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 05/17/2018 Security
Filer comment: No longer held

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8.134 Beacon NY BANS Bond Government Spouse None (or less Interest,
Income $15,001 ‑ $50,000
Rate/Coupon: 2.0%
Asset 05/25/2018 Securities
Asset Type Owner than
Value$1,001) Type Income
Matures: Municipal
Filer comment: No longer held Security
8.135 Somerville Massachusetts Government Spouse None (or less Interest, $50,001 ‑ $100,000
BANS Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 06/08/2018 Security
Filer comment: No longer held
8.136 Williamsville New York Government Spouse None (or less Interest, $15,001 ‑ $50,000
Central School District BANS Securities than $1,001)
Bond Municipal
Rate/Coupon: 2.25% Security
Matures: 06/13/2018
Filer comment: No longer held
8.137 Plymouth Massachusetts Government Spouse None (or less Interest, $15,001 ‑ $50,000
Muni Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 06/15/2018 Security
Filer comment: No longer held
8.138 Colorado State General Fund Government Spouse None (or less Interest, $15,001 ‑ $50,000
Revenue TANS Bond Securities than $1,001)
Rate/Coupon: 4.0% Municipal
Matures: 06/27/2018 Security
Filer comment: No longer held
8.139 Middle Country NY Central Government Spouse None (or less Interest, $15,001 ‑ $50,000
School District Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 06/27/2018 Security
Filer comment: No longer held
8.140 Manhasset NY Union Free Tax Government Spouse None (or less Interest, $15,001 ‑ $50,000
Antic Nts Bond Securities than $1,001)
Rate/Coupon: 2.0% Municipal
Matures: 06/29/2018 Security
Filer comment: No longer held

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8.141 Colorado State Educational Government Spouse None (or less Interest,
Income $15,001 ‑ $50,000
Loan
Asset Bond 4.0% Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: Municipal
Matures: 06/27/2018 Security
Filer comment: No longer held
8.142 E Baton Rouge Parish Government Spouse None (or less Interest, $5,001 ‑ $15,000
Louisiana Muni Bond Securities than $1,001)
Rate/Coupon: 1.6% ‑ Variable Municipal
Matures: 12/01/2040 Security
Filer comment: No longer held
8.143 Guttenberg New Jersey Muni Government Spouse None (or less Interest, $2,501 ‑ $5,000
Bond Securities than $1,001)
Rate/Coupon: 2.5% Municipal
Matures: 06/18/2018 Security
Filer comment: No longer held
8.144 Illinois State Financial Auth Government Spouse None (or less Interest, $1,001 ‑ $2,500
Revenue Bond Securities than $1,001)
Rate/Coupon: See note Municipal
Matures: See note Security
Filer comment: Combines
multiple bonds with rates from
0.89%‑1.12% (variable);
maturity dates of 08/01/2043‑
08/01/2044; no longer held
8.145 Iowa Higher Ed LN Auth Government Spouse None (or less Interest, $201 ‑ $1,000
Revenue Bond Securities than $1,001)
Rate/Coupon: 1.6% ‑ Variable Municipal
Matures: 10/01/2024 Security
Filer comment: No longer held
8.146 Metropolitan Transportation Government Spouse None (or less Interest, $201 ‑ $1,000
Authority of New York Securities than $1,001)
Revenue Bond Municipal
Rate/Coupon: 1.16% ‑ Variable Security
Matures: 11/01/2035
Filer comment: No longer held

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8.147 Oregon St Health & Science Government Spouse None (or less Interest,
Income $201 ‑ $1,000
Muni
Asset Bond 1.1% ‑ Variable Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: Municipal
Matures: 07/01/2042 Security
Filer comment: No longer held
8.148 Willoughby Ohio Muni Bond Government Spouse None (or less Interest, $1,001 ‑ $2,500
Rate/Coupon: 2.25% Securities than $1,001)
Matures: 05/24/2018 Municipal
Filer comment: No longer held Security
8.149 Pershing Advisor Solutions ‑ Bank Deposit Spouse Over Interest, $50,001 ‑ $100,000
BNY Mellon $1,000,000
(New York, NY) and held
Type: Money Market Account, independently
by spouse or
dependent
child
9 F. Annette Scott Revocable Trust Spouse
Trust General Trust
9.1 Merrill Lynch (Bank of Bank Deposit Spouse $100,001 ‑ Interest, $15,001 ‑ $50,000
America) $250,000
(New York, NY)
Type: Brokerage Sweep
Account,
9.2 BIF Money Fund Mutual Funds Spouse Over Dividends, $15,001 ‑ $50,000
Stable Value $1,000,000
Fund and held
independently
by spouse or
dependent
child
9.3 Oregon State Tax Antic Nts Government Spouse Over Interest, $50,001 ‑ $100,000
G.O. Bond Securities $1,000,000
Rate/Coupon: 5.0% Municipal and held
Matures: 09/28/2018 Security independently
by spouse or
dependent
child

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9.4 Bay Area Toll at California Government Spouse Over Interest,
Income $15,001 ‑ $50,000
Bridge
Asset Revenue Bond Securities
Asset Type Owner $1,000,000
Valueheld Type Income
Rate/Coupon: 2.62% ‑ Variable Municipal and
Matures: 04/01/2036 Security independently
by spouse or
dependent
child
9.5 Bay Area Toll Auth California Government Spouse Over Interest, $15,001 ‑ $50,000
Revenue Bond Securities $1,000,000
Rate/Coupon: 2.36% ‑ Variable Municipal and held
Matures: 11/01/2022 Security independently
by spouse or
dependent
child
9.6 Los Angeles California Government Spouse None (or less Interest, $100,001 ‑ $1,000,000
Transportation Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 06/28/2018 Security
9.7 Morgan Stanley Bank Deposit Spouse $1,001 ‑ Interest, None (or less than $201)
(Los Angeles, CA) $15,000
Type: Brokerage Sweep
Account,
9.8 Government National Government Spouse None (or less Interest, None (or less than $201)
Mortgage Assn Pool Securities than $1,001)
Rate/Coupon: None US
Matures: None Treasury/Agency
Security
9.9 Government National Government Spouse $1,001 ‑ Interest, None (or less than $201)
Mortgage Assn Pool Securities $15,000
Rate/Coupon: None US
Matures: None Treasury/Agency
Security
9.10 FHLMC 30 Year Gold Government Spouse None (or less Interest, None (or less than $201)
Rate/Coupon: None Securities than $1,001)
Matures: None US
Treasury/Agency
Security

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9.11 Federal National Mortgage Government Spouse $15,001 ‑ Interest,
Income $201 ‑ $1,000
Assn
Asset Pool None Securities
Asset Type Owner $50,000
Value Type Income
Rate/Coupon: US
Matures: None Treasury/Agency
Security
9.12 Government National Government Spouse $15,001 ‑ Interest, None (or less than $201)
Mortgage Assn Pool Securities $50,000
Rate/Coupon: None US
Matures: None Treasury/Agency
Security
9.13 Government National Government Spouse $1,001 ‑ Interest, None (or less than $201)
Mortgage Assn Pool Securities $15,000
Rate/Coupon: None US
Matures: None Treasury/Agency
Security
9.14 Government National Government Spouse $1,001 ‑ Interest, None (or less than $201)
Mortgage Assn Pool Securities $15,000
Rate/Coupon: None US
Matures: None Treasury/Agency
Security
9.15 Government National Government Spouse $1,001 ‑ Interest, None (or less than $201)
Mortgage Assn Pool Securities $15,000
Rate/Coupon: None US
Matures: None Treasury/Agency
Security
9.16 Government National Government Spouse $1,001 ‑ Interest, None (or less than $201)
Mortgage Assn Pool Securities $15,000
Rate/Coupon: None US
Matures: None Treasury/Agency
Security
9.17 Government National Government Spouse $15,001 ‑ Interest, None (or less than $201)
Mortgage Assn Pool Securities $50,000
Rate/Coupon: None US
Matures: None Treasury/Agency
Security

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9.18 Government National Government Spouse $1,001 ‑ Interest,
Income None (or less than $201)
Mortgage
Asset AssnNone Pool Securities
Asset Type Owner $15,000
Value Type Income
Rate/Coupon: US
Matures: None Treasury/Agency
Security
9.19 Government National Government Spouse $15,001 ‑ Interest, None (or less than $201)
Mortgage Assn Pool Securities $50,000
Rate/Coupon: None US
Matures: None Treasury/Agency
Security
9.20 Government National Government Spouse $15,001 ‑ Interest, None (or less than $201)
Mortgage Assn Pool Securities $50,000
Rate/Coupon: None US
Matures: None Treasury/Agency
Security
9.21 Illinois Fin A Revenue Bond Government Spouse $500,001 ‑ Interest, $15,001 ‑ $50,000
Rate/Coupon: 5.375% Securities $1,000,000
Matures: 04/01/2044 Municipal
Security
9.22 Morgan Stanley Active Assets Mutual Funds Spouse $15,001 ‑ None, None (or less than $201)
Govt Trust Stable Value $50,000
Fund
9.23 Lower Colorado River Auth Government Spouse $1,001 ‑ Interest, $2,501 ‑ $5,000
Texas Revenue Bond Securities $15,000
Rate/Coupon: 4.0% Municipal
Matures: 05/15/2019 Security
9.24 California Muni Fin Auth Solid Government Spouse $250,001 ‑ Interest, $5,001 ‑ $15,000
Waste District Revenue Bond Securities $500,000
Rate/Coupon: 2.0% ‑ Floating Municipal
Matures: 12/01/2044 Security
9.25 Canadian River Texas Government Spouse $250,001 ‑ Interest, $15,001 ‑ $50,000
Municipal Water Auth Securities $500,000
Contract Revenue Bond Municipal
Rate/Coupon: 5.0% Security
Matures: 02/15/2025

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9.26 Texas A&M University Fd Government Spouse $500,001 ‑ Interest,
Income $50,001 ‑ $100,000
Bond
Asset Securities
Asset Type Owner $1,000,000
Value Type Income
Rate/Coupon: 5.0% Municipal
Matures: 07/01/2025 Security
9.27 Black Belt Energy Gas Dist Government Spouse $250,001 ‑ Interest, $15,001 ‑ $50,000
Algas Revenue Bond Securities $500,000
Rate/Coupon: 4.0% Municipal
Matures: 08/01/2047 Security
9.28 Massachusetts Water Res Government Spouse $500,001 ‑ Interest, $50,001 ‑ $100,000
Auth General Revenue Bond Securities $1,000,000
Rate/Coupon: 5.0% Municipal
Matures: 08/01/2028 Security
9.29 Municipal Electric Auth Government Spouse $250,001 ‑ Interest, $15,001 ‑ $50,000
Georgia Revenue Bond Securities $500,000
Rate/Coupon: 6.0% Municipal
Matures: 01/01/2023 Security
9.30 Seattle Washington Solid Government Spouse $100,001 ‑ Interest, $1,001 ‑ $2,500
Waste Revenue Bond Securities $250,000
Rate/Coupon: 4.0% Municipal
Matures: 06/01/2032 Security
9.31 Hudson Yds Infrastructure Government Spouse $250,001 ‑ Interest, $15,001 ‑ $50,000
Corp NY Revenue Bond Securities $500,000
Rate/Coupon: 5.0% Municipal
Matures: 02/15/2029 Security
9.32 California State Public Works Government Spouse $250,001 ‑ Interest, $5,001 ‑ $15,000
Revenue Bond Securities $500,000
Rate/Coupon: 5.0% Municipal
Matures: 10/01/2030 Security
9.33 ARLP ‑ Alliance Resource Corporate Spouse $100,001 ‑ Dividends, $15,001 ‑ $50,000
Partners, L.P. Securities $250,000
Stock
9.34 AM ‑ Antero Midstream Corporate Spouse $100,001 ‑ Dividends, $5,001 ‑ $15,000
Partners LP Securities $250,000
Stock
9.35 FUN ‑ Cedar Fair, L.P. Corporate Spouse $250,001 ‑ Dividends, $15,001 ‑ $50,000
Securities $500,000
Stock

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9.36 DM ‑ Dominion Energy Corporate Spouse $50,001 ‑ Dividends,
Income $5,001 ‑ $15,000
Midstream
Asset Partners, LP Securities
Asset Type Owner $100,000
Value Type Income
Stock
9.37 ETE ‑ Energy Transfer Equity, Corporate Spouse $500,001 ‑ Dividends, $50,001 ‑ $100,000
L.P. Securities $1,000,000
Stock
9.38 EPD ‑ Enterprise Products Corporate Spouse $250,001 ‑ Dividends, $15,001 ‑ $50,000
Partners L.P. Securities $500,000
Stock
9.39 EQGP ‑ EQT GP Holdings, LP Corporate Spouse $100,001 ‑ Dividends, $5,001 ‑ $15,000
Securities $250,000
Stock
9.40 EQM ‑ EQT Midstream Corporate Spouse $100,001 ‑ Dividends, $15,001 ‑ $50,000
Partners, LP Securities $250,000
Stock
9.41 NEP ‑ NextEra Energy Corporate Spouse $250,001 ‑ Dividends, $15,001 ‑ $50,000
Partners, LP Securities $500,000
Stock
9.42 NYLD ‑ NRG Yield, Inc. Corporate Spouse $100,001 ‑ Dividends, $2,501 ‑ $5,000
Securities $250,000
Stock
9.43 OKE ‑ ONEOK, Inc. Corporate Spouse $250,001 ‑ Dividends, $15,001 ‑ $50,000
Securities $500,000
Stock
9.44 SRE ‑ Sempra Energy Corporate Spouse $100,001 ‑ Dividends, $5,001 ‑ $15,000
Securities $250,000
Stock
9.45 TRGP ‑ Targa Resources Corp. Corporate Spouse $100,001 ‑ Dividends, $15,001 ‑ $50,000
Securities $250,000
Stock
9.46 WGP ‑ Western Gas Equity Corporate Spouse $250,001 ‑ Dividends, $15,001 ‑ $50,000
Partners, LP Securities $500,000
Stock
9.47 WMB ‑ The Williams Corporate Spouse $100,001 ‑ Dividends, $1,001 ‑ $2,500
Companies, Inc. Securities $250,000
Stock

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9.48 Pershing Advisor Solutions ‑ Bank Deposit Spouse $15,001 ‑ None,
Income None (or less than $201)
BNY
AssetMellon Asset Type Owner $50,000
Value Type Income
(New York, NY)
Type: Brokerage Sweep
Account,
9.49 Pershing Advisors ‑ F. Retirement Plans Spouse
Annette Scott IRA IRA
9.49.1 Pershing Treasury Account Mutual Funds Spouse $1,001 ‑ None, None (or less than $201)
Fund ‑ PTA Stable Value $15,000
Fund
9.49.2 OEF‑iShares S&P 100 ETF Mutual Funds Spouse $50,001 ‑ None, None (or less than $201)
Exchange $100,000
Traded
Fund/Note
9.50 Wells Fargo Bank, N.A. Bank Deposit Spouse $50,001 ‑ None, None (or less than $201)
(Tallahassee, FL) $100,000
Type: Checking,
9.51 Mutual of Omaha Bank Bank Deposit Spouse $100,001 ‑ None, None (or less than $201)
(Naples, FL) $250,000
Type: Checking,
9.52 Loan to Cathy Gellatly Accounts Spouse $100,001 ‑ Interest, $2,501 ‑ $5,000
Debtor: Cathy Gellatly  Receivable $250,000
From an
Individual
9.53 Account Receivable from Accounts Spouse $50,001 ‑ None, None (or less than $201)
Pharmaca Investments, LLC Receivable $100,000
Company: Pharmaca From a Business
Investments, LLC (Rowayton,
Connecticut) 
9.54 Account Receivable from S&S Accounts Spouse $15,001 ‑ None, None (or less than $201)
Equity Partners I LLC Receivable $50,000
Company: S&S Equity Partners I From a Business
LLC (Rowayton, Connecticut) 

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9.55 AG Energy Partners II, L.P. Investment Fund Spouse Over Excepted
Income $100,001 ‑ $1,000,000
Description:
Asset Private Investment Private Equity
Asset Type Owner $1,000,000
Valueheld Investment
Type Income
Partnership (New York, New Fund and Fund,
York)  independently
by spouse or
dependent
child
9.56 AG Super Fund, L.P. Investment Fund Spouse Over Excepted $100,001 ‑ $1,000,000
Description: Private Investment Private Equity $1,000,000 Investment
Partnership (New York, New Fund and held Fund,
York)  independently
by spouse or
dependent
child
9.57 AJ I Gainline LLC Investment Fund Spouse Over None, None (or less than $201)
Description: Private Investment Private Equity $1,000,000
Partnership (New York, New Fund and held
York)  independently
by spouse or
dependent
child
9.58 AJ 2 Elliott LLC Investment Fund Spouse
Description: Private Investment Private Equity
Vehicle (New York, NY)  Fund
9.58.1 Ancora Catalyst SPV I L.P. Investment Fund Spouse Over Dividends, $100,001 ‑ $1,000,000
Description: Private Investment Private Equity $1,000,000
Partnership (Cleveland, OH)  Fund and held
independently
by spouse or
dependent
child
9.59 CAI Partners and Company IV Investment Fund Spouse $500,001 ‑ Excepted $50,001 ‑ $100,000
L.P. Private Equity $1,000,000 Investment
Description: Private Investment Fund Fund,
Partnership (New York, New
York) 
9.60 Canyon Laurel Fund L.P. Investment Fund Spouse $500,001 ‑ Excepted $15,001 ‑ $50,000
Description: Private Investment Private Equity $1,000,000 Investment
Partnership (Los Angeles, CA)  Fund Fund,

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9.61 G. Scott Capital Partners Investment Fund Spouse Over Dividends,
Income Over $1,000,000 and held indepen‑
Description:
Asset Private Investment Private Equity
Asset Type Owner $1,000,000
Valueheld Interest,
Type dently
Incomeby spouse or dependent child
Vehicle (Rowayton, Fund and
Connecticut)  independently
by spouse or
dependent
child
9.62 OVO Fund II, LLC Investment Fund Spouse $100,001 ‑ None, None (or less than $201)
Description: Private Investment Private Equity $250,000
Partnership (Los Altos, CA)  Fund
9.63 Pharmaca Investments, LLC Investment Fund Spouse $500,001 ‑ None, None (or less than $201)
Description: Private Investment Private Equity $1,000,000
Vehicle (Rowayton, Fund
Connecticut) 
9.64 Richard L. and F. Annette Investment Fund Spouse $250,001 ‑ Dividends, $100,001 ‑ $1,000,000
Scott Family Partnership Private Equity $500,000 Capital
Description: Private Investment Fund Gains,
Partnership (Naples, FL) Filer
comment: Underlying assets
disclosed elsewhere in this
report
9.65 RLSI‑EMIDA Capital Partners, Investment Fund Spouse $50,001 ‑ None, None (or less than $201)
LLC Private Equity $100,000
Description: Private Investment Fund
Vehicle (Rowayton,
Connecticut) 
9.66 S&S Debt Partners I, LLC Investment Fund Spouse $1,001 ‑ Interest, $100,001 ‑ $1,000,000
Description: Private Investment Private Equity $15,000
Vehicle (Rowayton, Fund
Connecticut) 
9.67 S&S Equity Partners I LLC Investment Fund Spouse Over Dividends, Over $1,000,000 and held indepen‑
Description: Private Investment Private Equity $1,000,000 Interest, dently by spouse or dependent child
Vehicle (Rowayton, Fund and held
Connecticut)  independently
by spouse or
dependent
child

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9.68 S&S Sports, LLC Investment Fund Spouse Over Dividends,
Income Over $1,000,000 and held indepen‑
Description:
Asset Private Investment Private Equity
Asset Type Owner $1,000,000
Valueheld Interest,
Type dently
Incomeby spouse or dependent child
Vehicle (Rowayton, Fund and
Connecticut)  independently
by spouse or
dependent
child
9.69 VSS Structured Capital III, Investment Fund Spouse $500,001 ‑ Excepted $100,001 ‑ $1,000,000
L.P. Private Equity $1,000,000 Investment
Description: Private Investment Fund Fund,
Partnership (New York, NY) 
9.70 Columbia Collier Corporate Spouse Over None, None (or less than $201)
Management, LLC Securities $1,000,000
Company: Columbia Collier Non‑Public and held
Management, LLC (Naples, Stock independently
Florida) Description: Company by spouse or
set up for purpose of ownership dependent
of airplane  child
9.71 Mesa Arizona Excise Tax Government Spouse None (or less Interest, $5,001 ‑ $15,000
Revenue Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 07/01/2027 Security
Filer comment: No longer held
9.72 Washington State Health Care Government Spouse None (or less Interest, $5,001 ‑ $15,000
Facilities Auth Revenue Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 10/01/2017 Security
Filer comment: No longer held
9.73 North Carolina ST Grant Antic Government Spouse None (or less Interest, $15,001 ‑ $50,000
Revenue Bond Securities than $1,001)
Rate/Coupon: 2.0% ‑ Variable Municipal
Matures: 03/01/2023 Security
Filer comment: No longer held
9.74 Fremont California Unified Government Spouse None (or less Interest, $15,001 ‑ $50,000
School District Alameda Securities than $1,001)
County Municipal
Rate/Coupon: 3.25% Security
Matures: 08/01/2039
Filer comment: No longer held

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9.75 Seattle Washington Municipal Government Spouse None (or less Interest,
Income $50,001 ‑ $100,000
Light
Asset & Power5.25%
Revenue Bond Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: Municipal
Matures: 04/01/2020 Security
Filer comment: No longer held
9.76 San Diego California Unified Government Spouse None (or less Interest, $15,001 ‑ $50,000
School District Tax & Revenue Securities than $1,001)
Bond Municipal
Rate/Coupon: 2.0% Security
Matures: 06/30/2017
Filer comment: No longer held
9.77 Pennsylvania State Turnpike Government Spouse None (or less Interest, $2,501 ‑ $5,000
Commission Muni Bond Securities than $1,001)
Rate/Coupon: Variable Municipal
Matures: 12/01/2019 Security
Filer comment: No longer held
9.78 California State Public Works Government Spouse None (or less Interest, $50,001 ‑ $100,000
Revenue Bond Securities than $1,001)
Rate/Coupon: 5.25% Municipal
Matures: 11/01/2027 Security
Filer comment: No longer held
9.79 District of Columbia G.O. Government Spouse None (or less Interest, $15,001 ‑ $50,000
Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 06/01/2024 Security
Filer comment: No longer held
9.80 Bay Area Toll Auth California Government Spouse None (or less Interest, $15,001 ‑ $50,000
Toll Bridge Revenue Bond Securities than $1,001)
Rate/Coupon: Variable Municipal
Matures: 04/01/2045 Security
Filer comment: No longer held
9.81 Bay Area Toll Auth California Government Spouse None (or less Interest, $15,001 ‑ $50,000
Toll Bridge Revenue Bond Securities than $1,001)
Rate/Coupon: Variable Municipal
Matures: 04/01/2047 Security
Filer comment: No longer held

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9.82 Metropolitan Transportation Government Spouse None (or less Interest,
Income $15,001 ‑ $50,000
Authority
Asset Bondof New York Securities
Asset Type Owner than
Value$1,001) Type Income
Revenue Municipal
Rate/Coupon: 5.0% Security
Matures: 11/15/2023
Filer comment: No longer held
9.83 Denver Colorado City & Government Spouse None (or less Interest, $15,001 ‑ $50,000
County Airport Revenue Bond Securities than $1,001)
Rate/Coupon: 5.25% Municipal
Matures: 11/15/2026 Security
Filer comment: No longer held
9.84 Sales Tax Asset Receivable Government Spouse $15,001 ‑ Interest, $15,001 ‑ $50,000
New York Bond Securities $50,000
Rate/Coupon: 5.0% Municipal
Matures: 10/15/2025 Security
Filer comment: No longer held
9.85 Arizona State Transportation Government Spouse $15,001 ‑ Interest, $15,001 ‑ $50,000
Board Revenue Bond Securities $50,000
Rate/Coupon: 5.0% Municipal
Matures: 07/01/2022 Security
Filer comment: No longer held
9.86 Mesa Arizona Street & Government Spouse None (or less Interest, $15,001 ‑ $50,000
Highway Revenue Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 07/01/2021 Security
Filer comment: No longer held
9.87 Alvin Texas Independent BE Government Spouse None (or less Interest, $15,001 ‑ $50,000
Muni Bond Securities than $1,001)
Rate/Coupon: 3.0% Municipal
Matures: 02/15/2036 Security
Filer comment: No longer held
9.88 California State Variable Government Spouse None (or less Interest, $5,001 ‑ $15,000
Purpose Bond Securities than $1,001)
Rate/Coupon: 5.0 Municipal
Matures: 09/01/2019 Security
Filer comment: No longer held

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9.89 California St G.O. Bond Government Spouse None (or less Interest,
Income $5,001 ‑ $15,000
Rate/Coupon: 5.25%
Asset 09/01/2022 Securities
Asset Type Owner than
Value$1,001) Type Income
Matures: Municipal
Filer comment: No longer held Security
9.90 Chicago Airport BE Bond Government Spouse None (or less Interest, $2,501 ‑ $5,000
Rate/Coupon: 5.25% Securities than $1,001)
Matures: 01/01/2018 Municipal
Filer comment: No longer held Security
9.91 Chicago General BE Bond Government Spouse None (or less Interest, $2,501 ‑ $5,000
Rate/Coupon: 5.0% Securities than $1,001)
Matures: 01/01/2022 Municipal
Filer comment: No longer held Security
9.92 Grand Prairie Texas Government Spouse None (or less Interest, $1,001 ‑ $2,500
Independent School District Securities than $1,001)
Bond Municipal
Rate/Coupon: 5.0% Security
Matures: 02/15/2025
Filer comment: No longer held
9.93 Connecticut State Spec Tax Government Spouse None (or less Interest, $15,001 ‑ $50,000
Revenue Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 12/01/2020 Security
Filer comment: No longer held
9.94 Illinois ST Sales Tax & Government Spouse None (or less Interest, $50,001 ‑ $100,000
Revenue Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 06/15/2021 Security
Filer comment: No longer held
9.95 Lower Alabama Gas Project Government Spouse None (or less Interest, $5,001 ‑ $15,000
Revenue Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 09/01/2028 Security
Filer comment: No longer held
9.96 Massachusetts State BE Bond Government Spouse None (or less Interest, $2,501 ‑ $5,000
Rate/Coupon: 1.38% ‑ Variable Securities than $1,001)
Matures: 11/01/2019 Municipal
Filer comment: No longer held Security

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9.97 Massachusetts State BE Bond Government Spouse None (or less Interest,
Income $201 ‑ $1,000
Rate/Coupon: 5.0%
Asset 07/01/2026 Securities
Asset Type Owner than
Value$1,001) Type Income
Matures: Municipal
Filer comment: No longer held Security
9.98 Metropolitan Washington DC Government Spouse None (or less Interest, $5,001 ‑ $15,000
Airports Auth Revenue Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 10/01/2019 Security
Filer comment: No longer held
9.99 Metropolitan Transportation Government Spouse None (or less Interest, $15,001 ‑ $50,000
Authority of New York Securities than $1,001)
Revenue Bond Municipal
Rate/Coupon: 5.0% Security
Matures: 08/01/2017
Filer comment: No longer held
9.100 Michigan State Hospital Bond Government Spouse None (or less Interest, $201 ‑ $1,000
Rate/Coupon: 5.0% Securities than $1,001)
Matures: 11/01/2031 Municipal
Filer comment: No longer held Security
9.101 Milwaukee Wisconsin Metro Government Spouse None (or less Interest, $5,001 ‑ $15,000
Sewer District Bond Securities than $1,001)
Rate/Coupon: 5.25% Municipal
Matures: 10/01/2021 Security
Filer comment: No longer held
9.102 New Mexico Mun Egy Government Spouse None (or less Interest, $1,001 ‑ $2,500
Acquisition Auth Gas Supply Securities than $1,001)
Revenue Bond Municipal
Rate/Coupon: 1.27% ‑ Variable Security
Matures: 11/01/2039
Filer comment: No longer held
9.103 New York State Muni Bond Government Spouse None (or less Interest, $2,501 ‑ $5,000
Rate/Coupon: 5.0% Securities than $1,001)
Matures: 03/15/2027 Municipal
Security

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9.104 New York City NY Transition Government Spouse None (or less Interest,
Income $15,001 ‑ $50,000
Fin
AssetAuth Bldg 5.0%
Revenue Bond Securities
Asset Type Owner than
Value$1,001) Type Income
Rate/Coupon: Municipal
Matures: 07/15/2023 Security
Filer comment: No longer held
9.105 Port of Seattle Washington Government Spouse None (or less Interest, $1,001 ‑ $2,500
Revenue Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 08/01/2026 Security
Filer comment: No longer held
9.106 San Antonio Texas Electric & Government Spouse None (or less Interest, $5,001 ‑ $15,000
Gas Revenue Bond Securities than $1,001)
Rate/Coupon: 4.75% Municipal
Matures: 02/01/2028 Security
Filer comment: No longer held
9.107 Connecticut State Spec Tax Government Spouse None (or less Interest, $5,001 ‑ $15,000
Revenue Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 09/01/2030 Security
Filer comment: No longer held
9.108 Triborough Bridge & Tunnel Government Spouse None (or less Interest, $5,001 ‑ $15,000
Auth New York Revenue Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 01/01/2025 Security
Filer comment: No longer held
9.109 ENB‑Enbridge Inc. Corporate Spouse None (or less Dividends, $50,001 ‑ $100,000
Filer comment: No longer held. Securities than $1,001) Capital
A portion of the capital gains Stock Gains,
and all dividends were prior to
an exchange for common stock
of Spectra Energy Corp.
9.110 Massachusetts State G.O. Government Spouse None (or less Interest, $5,001 ‑ $15,000
Bond Securities than $1,001)
Rate/Coupon: 1.413% ‑ Variable Municipal
Matures: 05/21/2018 Security
Filer comment: No longer held

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9.111 Illinois Fin Auth Revenue Bond Government Spouse None (or less Interest,
Income $5,001 ‑ $15,000
Rate/Coupon:
Asset 11/01/20386.5% Securities
Asset Type Owner than
Value$1,001) Type Income
Matures: Municipal
Filer comment: No longer held Security
9.112 Illinois State Sales Tax Government Spouse None (or less Interest, $15,001 ‑ $50,000
Revenue Bond Securities than $1,001)
Rate/Coupon: 5.0% Municipal
Matures: 06/15/2021 Security
Filer comment: No longer held
9.113 AHGP ‑ Alliance Holdings GP, Corporate Spouse None (or less Dividends, $15,001 ‑ $50,000
L.P. Securities than $1,001)
Filer comment: No longer held Stock
9.114 MPLX ‑ MPLX LP Corporate Spouse None (or less Dividends, $5,001 ‑ $15,000
Filer comment: No longer held Securities than $1,001)
Stock
9.115 NSH ‑ NuStar GP Holdings, Corporate Spouse None (or less Dividends, $15,001 ‑ $50,000
LLC Securities than $1,001)
Filer comment: No longer held Stock
9.116 Briarwood Capital Partners LP Investment Fund Spouse Over Excepted $100,001 ‑ $1,000,000
Description: Private Investment Hedge Fund $1,000,000 Investment
Partnership (New York, New and held Fund,
York)  independently
by spouse or
dependent
child
9.117 Canyon Balanced Fund, L.P. Investment Fund Spouse Over Excepted Over $1,000,000 and held indepen‑
Description: Private Investment Hedge Fund $1,000,000 Investment dently by spouse or dependent child
Partnership (Los Angeles, and held Fund,
California)  independently
by spouse or
dependent
child
9.118 Elliott Associates, L.P. Investment Fund Spouse Over Excepted $100,001 ‑ $1,000,000
Description: Private Investment Hedge Fund $1,000,000 Investment
Partnership (New York, New and held Fund,
York)  independently
by spouse or
dependent
child

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9.119 Engine Capital, LP Investment Fund Spouse Over Dividends,
Income Over $1,000,000 and held indepen‑
Description:
Asset Private Investment Hedge Fund $1,000,000 Capital dently
Incomeby spouse or dependent child
Vehicle (New York, New York)  Asset Type Owner Valueheld
and
independently
Type
Gains,
by spouse or
dependent
child
9.120 Highline Capital Partners QP, Investment Fund Spouse Over Excepted $15,001 ‑ $50,000
LP Hedge Fund $1,000,000 Investment
Description: Private Investment and held Fund,
Partnership (New York, New independently
York)  by spouse or
dependent
child
9.121 Mendon Capital QP LP Investment Fund Spouse Over Excepted $100,001 ‑ $1,000,000
Description: Private Investment Hedge Fund $1,000,000 Investment
Partnership (Chicago, Illinois)  and held
independently
Fund,
by spouse or
dependent
child
9.122 Moab Partners, L.P. Investment Fund Spouse Over None, None (or less than $201)
Description: Private Investment Hedge Fund $1,000,000
Partnership (New York, New and held
York)  independently
by spouse or
dependent
child
9.123 Nokomis Capital Partners, Investment Fund Spouse Over Excepted $100,001 ‑ $1,000,000
L.P. Hedge Fund $1,000,000 Investment
Description: Private Investment and held Fund,
Partnership (Dallas, Texas)  independently
by spouse or
dependent
child

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9.124 Overlook 3G Investments, L.P. Investment Fund Spouse Over Excepted
Income $50,001 ‑ $100,000
Description:
Asset Private Investment Hedge Fund
Asset Type Owner $1,000,000
Valueheld Investment
Type Income
Vehicle (Hong Kong, N/A)  and
independently
Fund,
by spouse or
dependent
child
9.125 Overlook Partners Fund, L.P. Investment Fund Spouse Over Excepted $100,001 ‑ $1,000,000
Description: Private Investment Hedge Fund $1,000,000 Investment
Vehicle (Hong Kong, N/A)  and held
independently
Fund,
by spouse or
dependent
child
9.126 Fortress Secured Lending Investment Fund Spouse $500,001 ‑ Excepted $15,001 ‑ $50,000
Fund I (A) LP Private Equity $1,000,000 Investment
Description: Private Investment Fund Fund,
Partnership (New York, NY) 
9.127 JMB Capital Partners, L.P. Investment Fund Spouse None (or less Excepted $100,001 ‑ $1,000,000
Description: Private Investment Hedge Fund than $1,001) Investment
Vehicle (Los Angeles, CA) Filer Fund,
comment: No longer held
9.128 Pershing Advisor Solutions ‑ Bank Deposit Spouse Over Interest, $50,001 ‑ $100,000
BNY Mellon $1,000,000
(New York, NY) and held
Type: Money Market Account, independently
by spouse or
dependent
child
9.129 Dreyfus ‑ BNY Mellon Bank Deposit Spouse $50,001 ‑ None, None (or less than $201)
(New York, NY) $100,000
Type: Money Market Account,
9.130 G. Scott Holding, LLC Corporate Spouse $500,001 ‑ Dividends, $2,501 ‑ $5,000
Company: G. Scott Holding, Securities $1,000,000
LLC (Rowayton, Non‑Public
CT) Description: Investment Stock
Management 

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9.131 Fulton Chain Acquisition LLC Investment Fund Spouse $1,001 ‑ None,
Income None (or less than $201)
Description:
Asset Private Investment Private Equity
Asset Type Owner $15,000
Value Type Income
Partnership (Rowayton, CT)  Fund
10 Richard L. And F. Annette Business Entity Spouse
Scott Family Partnership, Ltd. Limited
Company: Richard L. And F. Partnership (LP)
Annette Scott Family
Partnership, Ltd. (Naples,
Florida) Description: Investment
Limited Partnership 
10.1 Morgan Stanley Bank Deposit Spouse $1,001 ‑ Interest, None (or less than $201)
(Los Angeles, CA) $15,000
Type: Brokerage Sweep
Account,
10.2 Government National Government Spouse None (or less Interest, None (or less than $201)
Mortgage Assn Pool Securities than $1,001)
Rate/Coupon: None US
Matures: None Treasury/Agency
Security
10.3 Government National Government Spouse None (or less Interest, None (or less than $201)
Mortgage Assn Pool Securities than $1,001)
Rate/Coupon: None US
Matures: None Treasury/Agency
Security
10.4 Government National Government Spouse None (or less None, None (or less than $201)
Mortgage Assn Pool Securities than $1,001)
Rate/Coupon: None US
Matures: None Treasury/Agency
Security
10.5 Government National Government Spouse $15,001 ‑ Interest, $1,001 ‑ $2,500
Mortgage Assn Pool Securities $50,000
Rate/Coupon: None US
Matures: None Treasury/Agency
Security
10.6 Neuberger Berman Bank Deposit Spouse None (or less None, None (or less than $201)
(New York, NY) than $1,001)
Type: Brokerage Sweep
Account,

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10.7 Pershing Advisor Solutions ‑ Bank Deposit Spouse $1,001 ‑ None,
Income None (or less than $201)
BNY
AssetMellon Asset Type Owner $15,000
Value Type Income
(New York, NY)
Type: Brokerage Sweep
Account,
10.8 WTT‑Wireless Telecom Corporate
Spouse Over None, None (or less than $201)
Group, Inc. Securities
$1,000,000
Stock and held
independently
by spouse or
dependent
child
10.9 Account Receivable from Accounts Spouse Over None, None (or less than $201)
Nokomis Capital Partners, Receivable $1,000,000
L.P. From a Business and held
Company: Nokomis Capital independently
Partners, L.P. (Dallas, Texas)  by spouse or
dependent
child
10.10 AG Super Fund, L.P. Investment Fund Spouse Over Excepted $50,001 ‑ $100,000
Description: Private Investment Private Equity $1,000,000 Investment
Partnership (New York, NY)  Fund and held Fund,
independently
by spouse or
dependent
child
10.11 G. Scott Capital Partners Investment Fund Spouse Over Dividends, Over $1,000,000 and held indepen‑
Description: Private Investment Private Equity $1,000,000 Interest, dently by spouse or dependent child
Vehicle (Rowayton, Fund and held
Connecticut)  independently
by spouse or
dependent
child
10.12 Pharmaca Investments, LLC Investment Fund Spouse $250,001 ‑ None, None (or less than $201)
Description: Private Investment Private Equity $500,000
Vehicle (Rowayton, Fund
Connecticut) 

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10.13 RLSI‑CSP Capital Partners, Investment Fund Spouse Over Capital
Income Over $1,000,000 and held indepen‑
LLC
Asset Private Equity
Asset Type Owner $1,000,000
Valueheld Gains,
Type dently
Incomeby spouse or dependent child
Description: Private Investment Fund and
Vehicle (Rowayton, CT)  independently
by spouse or
dependent
child
10.14 RLSI‑EMIDA Capital Partners, Investment Fund Spouse $15,001 ‑ None, None (or less than $201)
LLC Private Equity $50,000
Description: Private Investment Fund
Vehicle (Rowayton,
Connecticut) 
10.15 S&S Equity Partners I LLC Investment Fund Spouse Over Dividends, Over $1,000,000 and held indepen‑
Description: Private Investment Private Equity $1,000,000 Interest, dently by spouse or dependent child
Vehicle (Rowayton, Fund and held
Connecticut)  independently
by spouse or
dependent
child
10.16 S&S Sports, LLC Investment Fund Spouse Over Dividends, Over $1,000,000 and held indepen‑
Description: Private Investment Private Equity $1,000,000 Interest, dently by spouse or dependent child
Vehicle (Rowayton, Fund and held
Connecticut)  independently
by spouse or
dependent
child
10.17 ENB ‑ Enbridge Inc. Corporate Spouse None (or less Dividends, $15,001 ‑ $50,000
Filer comment: No longer held. Securities than $1,001) Capital
A portion of the capital gains Stock Gains,
and all dividends were prior to
an exchange for common stock
of Spectra Energy Corp.
10.18 OKE ‑ ONEOK, Inc. Corporate Spouse None (or less Dividends, $50,001 ‑ $100,000
Filer comment: No longer held Securities than $1,001)
Stock
10.19 AHGP ‑ Alliance Holdings GP, Corporate Spouse None (or less Dividends, $2,501 ‑ $5,000
L.P. Securities than $1,001)
Filer comment: No longer held Stock

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10.20 AM ‑ Antero Midstream Corporate Spouse None (or less Dividends,
Income $2,501 ‑ $5,000
Partners LP
Assetcomment: Securities
Asset Type Owner than
Value$1,001) Capital
Type Income
Filer No longer held Stock Gains,
10.21 DM ‑ Dominion Energy Corporate Spouse None (or less Dividends, $1,001 ‑ $2,500
Midstream Partners, LP Securities than $1,001)
Filer comment: No longer held Stock
10.22 ETE ‑ Energy Transfer Equity, Corporate Spouse None (or less Dividends, $50,001 ‑ $100,000
L.P. Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
10.23 EPD‑Enterprise Products Corporate Spouse None (or less Dividends, $15,001 ‑ $50,000
Partners L.P. Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
10.24 EQGP ‑ EQT GP Holdings, LP Corporate Spouse None (or less Dividends, $1,001 ‑ $2,500
Filer comment: No longer held Securities than $1,001)
Stock
10.25 EQM ‑ EQT Midstream Corporate Spouse None (or less Dividends, $1,001 ‑ $2,500
Partners, LP Securities than $1,001)
Filer comment: No longer held Stock
10.26 MPLX ‑ MPLX LP Corporate Spouse None (or less Dividends, $2,501 ‑ $5,000
Filer comment: No longer held Securities than $1,001)
Stock
10.27 NEP ‑ NextEra Energy Corporate Spouse None (or less Dividends, $50,001 ‑ $100,000
Partners, LP Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
10.28 SRE ‑ Sempra Energy Corporate Spouse None (or less Dividends, $2,501 ‑ $5,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
10.29 TRGP ‑ Targa Resources Corp. Corporate Spouse None (or less Dividends, $2,501 ‑ $5,000
Filer comment: No longer held Securities than $1,001)
Stock
10.30 WGP ‑ Western Gas Equity Corporate Spouse None (or less Dividends, $5,001 ‑ $15,000
Partners, LP Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
10.31 WMB ‑ The Williams Corporate Spouse None (or less Dividends, $201 ‑ $1,000
Companies, Inc. Securities than $1,001)
Filer comment: No longer held Stock

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10.32 ASYS ‑ Amtech Systems, Inc. Corporate Spouse None (or less Capital
Income $100,001 ‑ $1,000,000
Filer
Assetcomment: No longer held Securities
Asset Type Owner than
Value$1,001) Gains,
Type Income
Stock
10.33 NSH ‑ NuStar GP Holdings, Corporate Spouse None (or less Capital $5,001 ‑ $15,000
LLC Securities than $1,001) Gains,
Filer comment: No longer held Stock
10.34 ABT ‑ Abbott Laboratories Corporate Spouse None (or less Dividends, $15,001 ‑ $50,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
10.35 GOOGL ‑ Alphabet Inc. Corporate Spouse None (or less Capital $50,001 ‑ $100,000
Securities than $1,001) Gains,
Stock
10.36 AAPL ‑ Apple Inc. Corporate Spouse None (or less Dividends, $100,001 ‑ $1,000,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
10.37 BAC ‑ Bank of America Corporate Spouse None (or less Dividends, $50,001 ‑ $100,000
Corporation Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
10.38 FUN ‑ Cedar Fair, L.P. Corporate Spouse None (or less Dividends, $100,001 ‑ $1,000,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
10.39 CCI ‑ Crown Castle Corporate Spouse None (or less Dividends, $5,001 ‑ $15,000
International Corp. (REIT) Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
10.40 COMM ‑ CommScope Holding Corporate Spouse None (or less Dividends, $15,001 ‑ $50,000
Company, Inc. Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
10.41 DVY‑iShares Select Dividend Mutual Funds Spouse None (or less Excepted $15,001 ‑ $50,000
ETF Exchange than $1,001) Investment
Filer comment: No longer held Traded Fund,
Fund/Note
10.42 GILD ‑ Gilead Sciences, Inc. Corporate Spouse None (or less Dividends, $50,001 ‑ $100,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,

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10.43 GSPKX ‑ Goldman Sachs US Mutual Funds Spouse None (or less Capital
Income $15,001 ‑ $50,000
Eq Div and Prem Instl
Asset Mutual Fund
Asset Type Owner than
Value$1,001) Gains,
Type Income
Filer comment: No longer held Excepted
Investment
Fund,
10.44 HASI ‑ Hannon Armstrong Corporate Spouse None (or less Dividends, $2,501 ‑ $5,000
Sustainable Infrastructure Securities than $1,001)
Capita Stock
Filer comment: No longer held
10.45 JNJ ‑ Johnson & Johnson Corporate Spouse None (or less Dividends, $50,001 ‑ $100,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
10.46 MSFT ‑ Microsoft Corporation Corporate Spouse None (or less Dividends, $100,001 ‑ $1,000,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
10.47 PNC ‑ The PNC Financial Corporate Spouse None (or less Dividends, $15,001 ‑ $50,000
Services Group, Inc. Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
10.48 KBWB ‑ Invesco KBW Bank Mutual Funds Spouse None (or less Capital $50,001 ‑ $100,000
ETF Exchange than $1,001) Gains,
Filer comment: No longer held Traded Excepted
Fund/Note Investment
Fund,
10.49 LLDYX ‑ Lord Abbett Short Mutual Funds Spouse None (or less Excepted $5,001 ‑ $15,000
Duration Income I Mutual Fund than $1,001) Investment
Filer comment: No longer held Fund,
10.50 PPA ‑ Invesco Aerospace & Mutual Funds Spouse None (or less Capital $15,001 ‑ $50,000
Defense ETF Exchange than $1,001) Gains,
Filer comment: No longer held Traded Excepted
Fund/Note Investment
Fund,
10.51 C ‑ Citigroup Inc. Corporate Spouse None (or less Dividends, $2,501 ‑ $5,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
10.52 UTG ‑ Reaves Utility Income Mutual Funds Spouse None (or less Excepted $5,001 ‑ $15,000
Fund Exchange than $1,001) Investment
Filer comment: No longer held Traded Fund,
Fund/Note

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10.53 CAT ‑ Caterpillar Inc. Corporate Spouse None (or less Dividends,
Income $2,501 ‑ $5,000
Filer
Assetcomment: No longer held Securities
Asset Type Owner than
Value$1,001) Capital
Type Income
Stock Gains,
10.54 EMR ‑ Emerson Electric Co. Corporate Spouse None (or less Dividends, $1,001 ‑ $2,500
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
10.55 EOG ‑ EOG Resources, Inc. Corporate Spouse None (or less Dividends, $201 ‑ $1,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
10.56 EWJ‑iShares MSCI Japan ETF Mutual Funds Spouse None (or less Excepted $2,501 ‑ $5,000
Filer comment: No longer held Exchange than $1,001) Investment
Traded Fund,
Fund/Note
10.57 KEM ‑ KEMET Corporation Corporate Spouse None (or less Capital $2,501 ‑ $5,000
Filer comment: No longer held Securities than $1,001) Gains,
Stock
10.58 KEY ‑ KeyCorp Corporate Spouse None (or less Dividends, $2,501 ‑ $5,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
10.59 LMT ‑ Lockheed Martin Corporate Spouse None (or less Dividends, $5,001 ‑ $15,000
Corporation Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
10.60 MMP ‑ Magellan Midstream Corporate Spouse None (or less Dividends, $5,001 ‑ $15,000
Partners, L.P. Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
10.61 Mitsubishi UFJ Financial American Spouse None (or less Dividends, $2,501 ‑ $5,000
Group Inc. ‑ MTU Depository than $1,001) Capital
Filer comment: No longer held Receipt Gains,
10.62 RILY ‑ B. Riley Financial, Inc. Corporate Spouse None (or less Dividends, $2,501 ‑ $5,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
10.63 RTN ‑ Raytheon Company Corporate Spouse None (or less Dividends, $15,001 ‑ $50,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
10.64 VICI ‑ VICI Properties Inc. Corporate Spouse None (or less Dividends, $201 ‑ $1,000
Filer comment: No longer held Securities than $1,001)
Stock

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10.65 WMB ‑ The Williams Corporate Spouse None (or less Dividends,
Income $201 ‑ $1,000
Companies,
Assetcomment:Inc. Securities
Asset Type Owner than
Value$1,001) Type Income
Filer No longer held Stock
10.66 CB ‑ Chubb Limited Corporate Spouse None (or less Capital $201 ‑ $1,000
Filer comment: No longer held Securities than $1,001) Gains,
Stock
10.67 CABO ‑ Cable One, Inc. Corporate Spouse None (or less Dividends, $5,001 ‑ $15,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
10.68 GS ‑ The Goldman Sachs Corporate Spouse None (or less Dividends, $15,001 ‑ $50,000
Group, Inc. Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
10.69 MMC ‑ Marsh & McLennan Corporate Spouse None (or less Dividends, $1,001 ‑ $2,500
Companies, Inc. Securities than $1,001) Capital
Filer comment: No longer held Stock Gains,
10.70 NVGS‑Navigator Holdings Corporate Spouse None (or less Capital $15,001 ‑ $50,000
Ltd. Securities than $1,001) Gains,
Filer comment: No longer held Stock
10.71 PFE ‑ Pfizer Inc. Corporate Spouse None (or less Dividends, $50,001 ‑ $100,000
Filer comment: No longer held Securities than $1,001) Capital
Stock Gains,
10.72 Canyon Balanced Fund, L.P. Investment Fund Spouse Over Excepted $100,001 ‑ $1,000,000
Description: Private Investment Hedge Fund $1,000,000 Investment
Vehicle (Los Angeles, and held Fund,
California)  independently
by spouse or
dependent
child
10.73 Engine Capital, LP Investment Fund Spouse Over Dividends, $100,001 ‑ $1,000,000
Description: Private Investment Hedge Fund $1,000,000 Capital
Vehicle (New York, New York)  and held
independently
Gains,
by spouse or
dependent
child

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10.74 Nokomis Capital Partners, Investment Fund Spouse $50,001 ‑ Excepted
Income $50,001 ‑ $100,000
L.P.
Asset Hedge Fund
Asset Type Owner $100,000
Value Investment
Type Income
Description: Private Investment Fund,
Vehicle (Dallas, Texas) 
10.75 Overlook 3G Investments, L.P. Investment Fund Spouse $250,001 ‑ Excepted $15,001 ‑ $50,000
Description: Private Investment Hedge Fund $500,000 Investment
Vehicle (Hong Kong, N/A)  Fund,
10.76 Overlook Partners Fund, L.P. Investment Fund Spouse Over Excepted $100,001 ‑ $1,000,000
Description: Private Investment Hedge Fund $1,000,000 Investment
Vehicle (Hong Kong, N/A)  and held
independently
Fund,
by spouse or
dependent
child
10.77 Rimrock High Income Plus Investment Fund Spouse Over Excepted $100,001 ‑ $1,000,000
(QP) Fund, L.P. Hedge Fund $1,000,000 Investment
Description: Private Investment and held Fund,
Vehicle (Irvine, California)  independently
by spouse or
dependent
child
10.78 Account Receivable from S&S Accounts Spouse None (or less Interest, $100,001 ‑ $1,000,000
Equity Partners I, LLC Receivable than $1,001)
Company: S&S Equity Partners From a Business
I, LLC (Naples, FL) 
10.79 GQETX ‑ GMO Quality III Mutual Funds Spouse None (or less Excepted $100,001 ‑ $1,000,000
Filer comment: No longer held Mutual Fund than $1,001) Investment
Fund,
10.80 JMB Capital Partners, L.P. Investment Fund Spouse None (or less Excepted $15,001 ‑ $50,000
Description: Private Investment Hedge Fund than $1,001) Investment
Vehicle (Los Angeles, CA) Filer Fund,
comment: No longer held
10.81 S&S Debt Partners I, LLC Investment Fund Spouse None (or less Interest, $100,001 ‑ $1,000,000
Description: Private Investment Private Equity than $1,001)
Vehicle (Rowayton, CT)  Fund

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10.82 Pershing Advisor Solutions ‑ Bank Deposit Spouse Over Interest,
Income $5,001 ‑ $15,000
BNY
AssetMellon Asset Type Owner $1,000,000
Valueheld Type Income
(New York, NY) and
Type: Money Market Account, independently
by spouse or
dependent
child
10.83 Dreyfus ‑ BNY Mellon Bank Deposit Spouse None (or less None, None (or less than $201)
(New York, NY) than $1,001)
Type: Money Market Account,
11 Wells Fargo Bank, N.A. Bank Deposit Self $15,001 ‑ None, None (or less than $201)
(Tallahassee, FL) $50,000
Type: Checking,
12 Mutual of Omaha Bank Bank Deposit Self $50,001 ‑ None, None (or less than $201)
(Naples, FL) $100,000
Type: Checking,
13 Pershing Advisor Solutions Retirement Plans Self
LLC IRA IRA
13.1 Pershing Advisor Solutions ‑ Bank Deposit Self $100,001 ‑ None, None (or less than $201)
BNY Mellon $250,000
(New York, NY)
Type: Brokerage Sweep
Account,
13.2 AAPL‑Apple Inc. Corporate Self $15,001 ‑ None, None (or less than $201)
Securities $50,000
Stock
13.3 ABT‑Abbott Laboratories Corporate Self $1,001 ‑ None, None (or less than $201)
Securities $15,000
Stock
13.4 AMAT‑Applied Materials, Inc. Corporate Self $1,001 ‑ None, None (or less than $201)
Securities $15,000
Stock
13.5 BAC‑Bank of America Corporate Self $15,001 ‑ None, None (or less than $201)
Corporation Securities $50,000
Stock

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13.6 C‑Citigroup Inc. Corporate Self $15,001 ‑ None,
Income None (or less than $201)
Asset Securities
Asset Type Owner $50,000
Value Type Income
Stock
13.7 CAT‑Caterpillar Inc. Corporate Self $1,001 ‑ None, None (or less than $201)
Securities $15,000
Stock
13.8 CCI‑Crown Castle Corporate Self $1,001 ‑ None, None (or less than $201)
International Corp. (REIT) Securities $15,000
Stock
13.9 CDEV‑Centennial Resource Corporate Self $1,001 ‑ None, None (or less than $201)
Development, Inc. Securities $15,000
Stock
13.10 COMM‑CommScope Holding Corporate Self $1,001 ‑ None, None (or less than $201)
Company, Inc. Securities $15,000
Stock
13.11 CVX‑Chevron Corporation Corporate Self $1,001 ‑ None, None (or less than $201)
Securities $15,000
Stock
13.12 EGN‑Energen Corporation Corporate Self $1,001 ‑ None, None (or less than $201)
Securities $15,000
Stock
13.13 DVY‑iShares Select Dividend Mutual Funds Self $1,001 ‑ None, None (or less than $201)
ETF Exchange $15,000
Traded
Fund/Note
13.14 EMR‑Emerson Electric Co. Corporate Self $1,001 ‑ None, None (or less than $201)
Securities $15,000
Stock
13.15 EOG‑EOG Resources, Inc. Corporate Self $1,001 ‑ None, None (or less than $201)
Securities $15,000
Stock
13.16 FUN‑Cedar Fair, L.P. Corporate Self $15,001 ‑ None, None (or less than $201)
Securities $50,000
Stock

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13.17 GDX‑VanEck Vectors Gold Mutual Funds Self $1,001 ‑ None,
Income None (or less than $201)
Miners
Asset ETF Exchange
Asset Type Owner $15,000
Value Type Income
Traded
Fund/Note
13.18 GILD‑Gilead Sciences, Inc. Corporate Self $15,001 ‑ None, None (or less than $201)
Securities $50,000
Stock
13.19 HASI‑Hannon Armstrong Corporate Self $1,001 ‑ None, None (or less than $201)
Sustainable Infrastructure Securities $15,000
Capita Stock
13.20 GLD ‑ SPDR Gold Shares Mutual Funds Self $1,001 ‑ None, None (or less than $201)
Exchange $15,000
Traded
Fund/Note
13.21 GOOGL‑Alphabet Inc. Corporate Self $15,001 ‑ None, None (or less than $201)
Securities $50,000
Stock
13.22 GSPKX‑Goldman Sachs US Eq Mutual Funds Self $15,001 ‑ None, None (or less than $201)
Div and Prem Instl Mutual Fund $50,000
13.23 JNJ‑Johnson & Johnson Corporate Self $15,001 ‑ None, None (or less than $201)
Securities $50,000
Stock
13.24 KEM‑KEMET Corporation Corporate Self $1,001 ‑ None, None (or less than $201)
Securities $15,000
Stock
13.25 KEY‑KeyCorp Corporate Self $1,001 ‑ None, None (or less than $201)
Securities $15,000
Stock
13.26 KMT‑Kennametal Inc. Corporate Self $1,001 ‑ None, None (or less than $201)
Securities $15,000
Stock
13.27 LLDYX‑Lord Abbett Short Mutual Funds Self $15,001 ‑ None, None (or less than $201)
Duration Income I Mutual Fund $50,000
13.28 LMT‑Lockheed Martin Corporate Self $1,001 ‑ None, None (or less than $201)
Corporation Securities $15,000
Stock

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13.29 MMP‑Magellan Midstream Corporate Self $15,001 ‑ None,
Income None (or less than $201)
Partners,
Asset L.P. Securities
Asset Type Owner $50,000
Value Type Income
Stock
13.30 MSFT‑Microsoft Corporation Corporate Self $15,001 ‑ None, None (or less than $201)
Securities $50,000
Stock
13.31 PNC‑The PNC Financial Corporate Self $1,001 ‑ None, None (or less than $201)
Services Group, Inc. Securities $15,000
Stock
13.32 PPA‑Invesco Aerospace & Mutual Funds Self $15,001 ‑ None, None (or less than $201)
Defense ETF Exchange $50,000
Traded
Fund/Note
13.33 Pershing Treasury Account ‑ Mutual Funds Self $100,001 ‑ None, None (or less than $201)
PTA Stable Value $250,000
Fund
13.34 RTN‑Raytheon Company Corporate Self $1,001 ‑ None, None (or less than $201)
Securities $15,000
Stock
13.35 SLV ‑ iShares Silver Trust Mutual Funds Self $1,001 ‑ None, None (or less than $201)
Exchange $15,000
Traded
Fund/Note
13.36 Taiwan Semiconductor Mfg American Self $1,001 ‑ None, None (or less than $201)
Co. ‑ TSM Depository
Receipt
$15,000
13.37 UTG‑Reaves Utility Income Mutual Funds Self $1,001 ‑ None, None (or less than $201)
Fund Exchange $15,000
Traded
Fund/Note
13.38 VICI‑VICI Properties Inc. Corporate Self $15,001 ‑ None, None (or less than $201)
Securities $50,000
Stock
13.39 WGP‑Western Gas Equity Corporate Self $1,001 ‑ None, None (or less than $201)
Partners, LP Securities $15,000
Stock

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13.40 XOM‑Exxon Mobil Corporate Self $1,001 ‑ None,
Income None (or less than $201)
Corporation
Asset Securities
Asset Type Owner $15,000
Value Type Income
Stock
13.41 ZBH‑Zimmer Biomet Corporate Self $1,001 ‑ None, None (or less than $201)
Holdings, Inc. Securities $15,000
Stock
13.42 RILY ‑ B. Riley Financial, Inc. Corporate Self $1,001 ‑ None, None (or less than $201)
Securities $15,000
Stock
13.43 Mitsubishi UFJ Financial American Self None (or less None, None (or less than $201)
Group Inc. ‑ MTU Depository than $1,001)
Filer comment: No longer held Receipt
13.44 SLV ‑ iShares Silver Trust Mutual Funds Self $1,001 ‑ None, None (or less than $201)
Exchange $15,000
Traded
Fund/Note
13.45 GS ‑ The Goldman Sachs Corporate Self None (or less None, None (or less than $201)
Group, Inc. Securities than $1,001)
Filer comment: No longer held Stock
13.46 MMC ‑ Marsh & McLennan Corporate Self None (or less None, None (or less than $201)
Companies, Inc. Securities than $1,001)
Filer comment: No longer held Stock
13.47 PFE ‑ Pfizer Inc. Corporate Self None (or less None, None (or less than $201)
Filer comment: No longer held Securities than $1,001)
Stock
13.48 EWJ ‑ iShares MSCI Japan Mutual Funds Self None (or less None, None (or less than $201)
ETF Exchange than $1,001)
Filer comment: No longer held Traded
Fund/Note
13.49 NVGS ‑ Navigator Holdings Corporate Self None (or less None, None (or less than $201)
Ltd. Securities than $1,001)
Filer comment: No longer held Stock
13.50 KBWB ‑ Invesco KBW Bank Mutual Funds Self $15,001 ‑ None, None (or less than $201)
ETF Exchange $50,000
Traded
Fund/Note

Part 4a. Periodic Transaction Report Summary


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Not required

Part 4b. Transactions


Not required

Part 5. Gifts
Not required

Part 6. Travel
Not required

Part 7. Liabilities
Did you, your spouse, or dependent child have a liability worth more than $10,000 at any time? No

Part 8. Positions
Did you hold any outside positions during the reporting period? No

Part 9. Agreements
Did you have any reportable agreement or arrangement with an outside entity? No

Part 10. Compensation


If this is your first report, or you are a candidate did you receive compensation of more than $5,000 from a single source in the two prior
years? No

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