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Annual Report for Calendar 2020

The Honorable Thomas R Carper (Carper, Thomas R.)
 Filed 05/17/2021 @ 2:55 PM

 Print Report

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 Pension State of Delaware $34,496.16

Dover, Delaware

2 Spouse Pension E. I. Dupont Nemours and Co. > $1,000

Wilmington, Delaware

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

Asset Asset Type Owner Value Income Type Income

1 Morgan Stanley Bank Deposit Self $15,001 - Interest, None

Bank NA $50,000 (or less
(Kansas City, than
Missouri) $201)
Type: Checking,

2 DUK  - Duke Corporate Securities Self $15,001 - Dividends, $201 -

Energy Corporation Stock $50,000 $1,000
(NYSE)

3 LNC  - Lincoln Corporate Securities Self $100,001 - Dividends, $5,001

National Stock $250,000 -
Corporation (NYSE) $15,000

4 ENB-Enbridge Inc. Corporate Securities Self $15,001 - Dividends, $1,001

Stock $50,000 -
$2,500

5 SPDR S&P 500 ETF Mutual Funds Self $50,001 - Dividends, $201 -
Trust Exchange Traded $100,000 $1,000
Fund/Note

6 MDY-SPDR S&P Mutual Funds Self $50,001 - Dividends, $201 -

MidCap 400 Exchange Traded $100,000 $1,000
Fund/Note
 Fund/Note
Asset Asset Type Owner Value Income Type Income
7 Invesco Pacific Mutual Funds Self $15,001 - Dividends, None
Growth Fund Mutual Fund $50,000 Capital Gains, (or less
than
$201)

8 DOW  - Dow Inc. Corporate Securities Self $15,001 - Dividends, $1,001

Filer comment: Stock $50,000 -
DowDupont split into $2,500
three differently
publicly traded
companies (DOW
Inc, Corteva Inc and
Dupont) on June 3,
2019

9 CTVA  - Corteva, Corporate Securities Self $15,001 - Dividends, $201 -

Inc. Stock $50,000 $1,000
Filer comment:
DowDupont split into
three differently
publicly traded
companies (DOW
Inc, Corteva Inc and
Dupont) on June 3,
2019

10 DD  - DuPont de Corporate Securities Self $15,001 - Dividends, $201 -

Nemours, Inc. Stock $50,000 $1,000
Filer comment:
DowDupont split into
three differently
publicly traded
companies (DOW
Inc, Corteva Inc and
Dupont) on June 3,
2019

11 CC-The Chemours Corporate Securities Self $1,001 - Dividends, None

Company Stock $15,000 (or less
than
$201)

12 Spouse IRA 617 Retirement Plans Spouse

IRA
 IRA
Asset Asset Type Owner Value Income Type Income

12.1 Morgan Stanley Bank Deposit Spouse $50,001 - Interest, None

Private Bank NA $100,000 (or less
(Kansas City, than
Missouri) $201)
Type: Checking,

12.2 AAPL-Apple Inc. Corporate Securities Spouse $250,001 - Dividends, $1,001

(NASDAQ) Stock $500,000 -
$2,500

12.3 CVX  - Chevron Corporate Securities Spouse $1,001 - Dividends, $201 -

Corporation (NYSE) Stock $15,000 $1,000

12.4 MS CPI and SPX Corporate Securities Spouse $15,001 - Interest, $1,001
Floating Rate Corporate Bond $50,000 -
Principal $2,500
Protection Note
Rate/Coupon:
5.983%
Matures: 05/18/2025

12.5 Allstate Corp Corporate Securities Spouse $1,001 - Dividends, $201 -

Stock $15,000 $1,000

12.6 Bank of America Corporate Securities Spouse $1,001 - Dividends, None

Stock $15,000 (or less
than
$201)

12.7 General Electric Corporate Securities Spouse $1,001 - Dividends, None

Stock $15,000 (or less
than
$201)

12.8 GOOG  - Alphabet Corporate Securities Spouse $50,001 - Dividends, None

Inc. Stock $100,000 (or less
than
$201)

12.9 Verizon Corporate Securities Spouse $1,001 - Dividends, $201 -

Communications Stock $15,000 $1,000
12.10 EEM  - iShares Mutual Funds Spouse $1,001 - Dividends, None
Asset Asset Type Owner Value Income Type Income
MSCI Emerging Exchange Traded $15,000 Capital Gains, (or less
Markets Fund/Note than
$201)

12.11 FIASX  - Fidelity Mutual Funds Spouse $15,001 - Dividends, None

Advisor Intl Small Mutual Fund $50,000 Capital Gains, (or less
Cap A than
$201)

12.12 MS 8.35% Corporate Securities Spouse $1,001 - Interest, None

Contingent Corporate Bond $15,000 (or less
Autocall Boeing than
Rate/Coupon: 8.35% $201)
Matures: 04/01/2022

12.13 Vulcan Materials Corporate Securities Spouse $15,001 - Interest, None

.85% due Corporate Bond $50,000 (or less
03/01/2021 than
Rate/Coupon: .85% $201)
Matures: 03/1/2021
Filer comment: Bond
has floating coupon
rate

12.14 UBS 8.1% Corporate Securities Spouse $15,001 - Interest, None

Contingent Corporate Bond $50,000 (or less
Autocall Bank of than
America $201)
Rate/Coupon: 8.1%
Matures: 12/30/2022

12.15 JP Morgan Chase Corporate Securities Spouse $15,001 - Interest, $201 -

2.5% due Corporate Bond $50,000 $1,000
09/23/2029
Rate/Coupon: 2.5%
Matures: 09/23/2029

12.16 BCS 10.15% Corporate Securities Spouse $15,001 - Interest, $1,001

Contingent Corporate Bond $50,000 -
Autocall Intel $2,500
Rate/Coupon:
10.15%
Matures: 06/22/2023
 Asset Asset Type Owner Value Income Type Income
12.17 HSBC 8.75% Corporate Securities Spouse $15,001 - Interest, $1,001
Contingent Corporate Bond $50,000 -
Autocall Bristol $2,500
Myers
Rate/Coupon: 8.75%
Matures: 02/24/2023

12.18 HQL  - Tekla Life Corporate Securities Spouse $1,001 - Dividends, $201 -
Sciences Investors Stock $15,000 $1,000

12.19 XCAPX  - ACAP Mutual Funds Spouse $50,001 - Dividends, None

Strategic Fund Mutual Fund $100,000 Interest, (or less
Capital Gains, than
$201)

13 Rental Property Real Estate Joint $500,001 - Rent/Royalties, $15,001

Description: Rental Residential $1,000,000 -
Property $50,000
(Washington, DC)

14 Unimproved Land Real Estate Joint $500,001 - None, None

Description: Unimproved Land $1,000,000 (or less
Undeveloped farm than
land with farm house $201)
and barn (Zionville,
NC)

15 Unimproved land Real Estate Joint $250,001 - None, None

Description: Unimproved Land $500,000 (or less
Unimproved lot than
(Bethany Beach, $201)
DE)

16 TIAA-CREF Annuity Spouse $15,001 - Interest, None

Provider: TIAA Fixed $50,000 (or less
than
$201)

17 TIAA-CREF Annuity Spouse

Provider: CREF Variable Annuity

17.1 VITVX  - Vanguard Mutual Funds Spouse $100,001 - Dividends, $2,501

Institutional Target Mutual Fund $250,000 Capital Gains, -
Retirement 2015 $5,000
 Retirement 2015 $5,000
Asset
Fund Asset Type Owner Value Income Type Income

17.2 VTTWX  - Mutual Funds Spouse $100,001 - Dividends, $5,001

Vanguard Mutual Fund $250,000 Capital Gains, -
Institutional Target $15,000
Retirement 2030
Fund

17.3 VILVX  - Vanguard Mutual Funds Spouse $100,001 - Dividends, $2,501

Institutional Target Mutual Fund $250,000 Capital Gains, -
Retirement 2060 $5,000
Fund

17.4 VEMIX  - Mutual Funds Spouse $1,001 - Dividends, None

Vanguard Mutual Fund $15,000 Capital Gains, (or less
Emerging Markets than
Stock Index Fund $201)
Institu

17.5 VIEIX  - Vanguard Mutual Funds Spouse $15,001 - Dividends, None

Extended Market Mutual Fund $50,000 Capital Gains, (or less
Index Fund than
Institutional $201)

17.6 VTMNX  - Mutual Funds Spouse $1,001 - Dividends, None

Vanguard Mutual Fund $15,000 Capital Gains, (or less
Developed Markets than
Index Fund $201)
Institutiona

18 Citizens Bank Bank Deposit Joint $100,001 - Interest, None

(Wilmington, $250,000 (or less
Delaware) than
Type: Checking, $201)

19 M & T Bank Bank Deposit Joint $15,001 - Interest, None

(Wilmington, $50,000 (or less
Delaware) than
Type: Checking, $201)

20 Capital One Bank Deposit Spouse $15,001 - Interest, None

(St. Cloud, MN) $50,000 (or less
Type: Money Market than
Account, $201)
 Account, $201)
Asset Asset Type Owner Value Income Type Income

21 Spouse IRA 618 Brokerage/Managed Spouse

Account

21.1 Morgan Stanley Bank Deposit Spouse $50,001 - Interest, None

Bank NA $100,000 (or less
(Kansas City, MO) than
Type: Brokerage $201)
Sweep Account,

21.2 ABBV  - AbbVie Corporate Securities Spouse $15,001 - Dividends, $1,001

Inc. Stock $50,000 -
$2,500

21.3 AQN  - Algonquin Corporate Securities Spouse $1,001 - Dividends, $201 -

Power & Utilities Stock $15,000 $1,000
Corp.

21.4 CSCO  - Cisco Corporate Securities Spouse $1,001 - Dividends, $201 -

Systems, Inc. Stock $15,000 $1,000

21.5 HON  - Honeywell Corporate Securities Spouse $15,001 - Dividends, $201 -

International Inc. Stock $50,000 $1,000

21.6 JNJ  - Johnson & Corporate Securities Spouse $15,001 - Dividends, $201 -
Johnson Stock $50,000 $1,000

21.7 JPM  - JPMorgan Corporate Securities Spouse $15,001 - Dividends, $201 -

Chase & Co. Stock $50,000 $1,000

21.8 NKE  - NIKE, Inc. Corporate Securities Spouse $15,001 - Dividends, $201 -
Stock $50,000 $1,000

21.9 RDS-B  - Royal Corporate Securities Spouse $1,001 - Dividends, $201 -

Dutch Shell plc Stock $15,000 $1,000

21.10 UAA  - Under Corporate Securities Spouse $1,001 - None, None

Armour, Inc. Stock $15,000 (or less
than
$201)

21.11 UA  - Under Corporate Securities Spouse $1,001 - None, None

Armour, Inc. Stock $15,000 (or less
 Armour, Inc. Stock $15,000 (or less
Asset Asset Type Owner Value Income Type than
Income
$201)

21.12 VFC  - V.F. Corporate Securities Spouse $1,001 - Dividends, None

Corporation Stock $15,000 (or less
than
$201)

21.13 VZ  - Verizon Corporate Securities Spouse $1,001 - Dividends, $201 -

Communications Stock $15,000 $1,000
Inc.

21.14 Goldman Sachs Corporate Securities Spouse $1,001 - Dividends, $201 -

Group Inc Floating Stock $15,000 $1,000
Rt A

21.15 FIF  - First Trust Corporate Securities Spouse $1,001 - Dividends, $201 -
Energy Stock $15,000 $1,000
Infrastructure Fund

21.16 NML  - Neuberger Corporate Securities Spouse $1,001 - Dividends, None

Berman MLP Stock $15,000 (or less
Income Fund Inc. than
$201)

21.17 PNQI  - Invesco Mutual Funds Spouse $15,001 - Dividends, None

NASDAQ Internet Exchange Traded $50,000 (or less
ETF Fund/Note than
$201)

21.18 SPY-SPDR S&P Mutual Funds Spouse $100,001 - Dividends, $1,001

500 ETF Exchange Traded $250,000 -
Fund/Note $2,500

21.19 VHT  - Vanguard Mutual Funds Spouse $15,001 - Dividends, $201 -

Health Care ETF Exchange Traded $50,000 $1,000
Fund/Note

21.20 Energen Corp Corporate Securities Spouse $15,001 - Interest, $201 -

Rate/Coupon: Corporate Bond $50,000 $1,000
4.625%
Matures: 09/01/2021

21.21 CEF  - Sprott Corporate Securities Spouse $15,001 - None, None

21.21 CEF  - Sprott Corporate Securities Spouse $15,001 - None, None
Asset
Physical Gold and Asset
Stock Type Owner Value
$50,000 Income Type Income
(or less
Silver Trust than
$201)

21.22 AMZN  - Corporate Securities Spouse $15,001 - None, None

Amazon.com, Inc. Stock $50,000 (or less
than
$201)

21.23 CVS  - CVS Corporate Securities Spouse $1,001 - Dividends, None

Health Corporation Stock $15,000 (or less
than
$201)

21.24 PYPL  - PayPal Corporate Securities Spouse $1,001 - None, None

Holdings, Inc. Stock $15,000 (or less
than
$201)

21.25 SWKS  - Corporate Securities Spouse $1,001 - Dividends, None

Skyworks Stock $15,000 (or less
Solutions, Inc. than
$201)

21.26 TSLA  - Tesla, Corporate Securities Spouse $1,001 - None, None

Inc. Stock $15,000 (or less
than
$201)

21.27 DIS  - The Walt Corporate Securities Spouse $1,001 - Dividends, None
Disney Company Stock $15,000 (or less
than
$201)

21.28 LDP  - Cohen & Corporate Securities Spouse $1,001 - Dividends, $201 -
Steers Limited Stock $15,000 $1,000
Duration Preferred
and Inco

21.29 WIW  - Western Corporate Securities Spouse $1,001 - Dividends, None

Asset Inflation- Stock $15,000 (or less
Linked than
Opportunities & Inc $201)
 Asset Asset Type Owner Value Income Type Income
22 Spouse IRA 643 Brokerage/Managed Spouse
Account

22.1 Morgan Stanley Bank Deposit Spouse $15,001 - Dividends, None

Bank N.A. $50,000 (or less
(Kansas City, MO) than
Type: Brokerage $201)
Sweep Account,

22.2 ABT  - Abbott Corporate Securities Spouse $1,001 - Dividends, None

Laboratories Stock $15,000 (or less
than
$201)

22.3 ARE  - Alexandria Corporate Securities Spouse $1,001 - Dividends, None

Real Estate Stock $15,000 (or less
Equities, Inc. than
$201)

22.4 AAPL  - Apple Corporate Securities Spouse $1,001 - Dividends, None

Inc. Stock $15,000 (or less
than
$201)

22.5 BMY  - Bristol- Corporate Securities Spouse $1,001 - Dividends, None

Myers Squibb Stock $15,000 (or less
Company than
$201)

22.6 CSCO  - Cisco Corporate Securities Spouse $1,001 - Dividends, None

Systems, Inc. Stock $15,000 (or less
than
$201)

22.7 GLW  - Corning Corporate Securities Spouse $1,001 - Dividends, None

Incorporated Stock $15,000 (or less
than
$201)

22.8 CONE  - Corporate Securities Spouse $1,001 - Dividends, None

CyrusOne Inc. Stock $15,000 (or less
than
$201)
 Asset Asset Type Owner Value Income Type Income
22.9 DEO  - Diageo plc Corporate Securities Spouse $1,001 - Dividends, None
Stock $15,000 (or less
than
$201)

22.10 HASI  - Hannon Corporate Securities Spouse $1,001 - Dividends, None

Armstrong Stock $15,000 (or less
Sustainable than
Infrastructure $201)
Capita

22.11 LHX  - L3Harris Corporate Securities Spouse $1,001 - Dividends, None

Technologies, Inc. Stock $15,000 (or less
than
$201)

22.12 HON  - Honeywell Corporate Securities Spouse $1,001 - Dividends, None

International Inc. Stock $15,000 (or less
than
$201)

22.13 INTC  - Intel Corporate Securities Spouse $1,001 - Dividends, None

Corporation Stock $15,000 (or less
than
$201)

22.14 IRM  - Iron Corporate Securities Spouse $1,001 - Dividends, $201 -

Mountain Stock $15,000 $1,000
Incorporated

22.15 JNJ  - Johnson & Corporate Securities Spouse $1,001 - Dividends, None
Johnson Stock $15,000 (or less
than
$201)

22.16 MET  - MetLife, Corporate Securities Spouse $1,001 - Dividends, $201 -

Inc. Stock $15,000 $1,000

22.17 MSFT  - Microsoft Corporate Securities Spouse $1,001 - Dividends, None

Corporation Stock $15,000 (or less
than
$201)
22.18 NVDA
Asset  - NVIDIA Corporate
Asset TypeSecurities Spouse
Owner $1,001
Value - Dividends,
Income Type None
Income
Corporation Stock $15,000 (or less
than
$201)

22.19 PBA  - Pembina Corporate Securities Spouse $1,001 - Dividends, None

Pipeline Stock $15,000 (or less
Corporation than
$201)

22.20 PG  - The Procter Corporate Securities Spouse $1,001 - Dividends, None

& Gamble Stock $15,000 (or less
Company than
$201)

22.21 QCOM  - Corporate Securities Spouse $1,001 - Dividends, None

QUALCOMM Stock $15,000 (or less
Incorporated than
$201)

22.22 RMD  - ResMed Corporate Securities Spouse $1,001 - Dividends, None

Inc. Stock $15,000 (or less
than
$201)

22.23 TMO  - Thermo Corporate Securities Spouse $1,001 - Dividends, None

Fisher Scientific Stock $15,000 (or less
Inc. than
$201)

22.24 TOT  - TOTAL Corporate Securities Spouse $1,001 - Dividends, None

S.A. Stock $15,000 (or less
than
$201)

22.25 VZ  - Verizon Corporate Securities Spouse $1,001 - Dividends, None

Communications Stock $15,000 (or less
Inc. than
$201)

22.26 V  - Visa Inc. Corporate Securities Spouse $1,001 - Dividends, None

Stock $15,000 (or less
than
$201)
 $201)
Asset Asset Type Owner Value Income Type Income
22.27 ARCC  - Ares Corporate Securities Spouse $1,001 - Dividends, $201 -
Capital Corporation Stock $15,000 $1,000

22.28 CEF  - Sprott Corporate Securities Spouse $1,001 - Dividends, None

Physical Gold and Stock $15,000 (or less
Silver Trust than
$201)

22.29 GLAD  - Corporate Securities Spouse $1,001 - Dividends, $201 -

Gladstone Capital Stock $15,000 $1,000
Corporation

22.30 FXI  - iShares Mutual Funds Spouse $1,001 - Dividends, $201 -

China Large-Cap Exchange Traded $15,000 $1,000
ETF Fund/Note

22.31 EEM  - iShares Mutual Funds Spouse $1,001 - Dividends, None

MSCI Emerging Exchange Traded $15,000 (or less
Markets ETF Fund/Note than
$201)

22.32 IWD  - iShares Mutual Funds Spouse $1,001 - Dividends, $201 -

Russell 1000 Value Exchange Traded $15,000 $1,000
ETF Fund/Note

22.33 IWN  - iShares Mutual Funds Spouse $1,001 - Dividends, None

Russell 2000 Value Exchange Traded $15,000 (or less
ETF Fund/Note than
$201)

22.34 PTMC  - Pacer Mutual Funds Spouse $1,001 - Dividends, None

Trendpilot US Mid Exchange Traded $15,000 (or less
Cap ETF Fund/Note than
$201)

22.35 PTLC-Pacer Mutual Funds Spouse $1,001 - Dividends, None

Trendpilot US Exchange Traded $15,000 (or less
Large Cap ETF Fund/Note than
$201)

22.36 GLD  - SPDR Mutual Funds Spouse $1,001 - None, None

Gold Shares Exchange Traded $15,000 Dividends, (or less
Fund/Note than
 Fund/Note than
Asset Asset Type Owner Value Income Type Income
$201)

22.37 XAR  - SPDR S&P Mutual Funds Spouse $1,001 - Dividends, None
Aerospace & Exchange Traded $15,000 (or less
Defense ETF Fund/Note than
$201)

22.38 WIW  - Western Corporate Securities Spouse $15,001 - Dividends, $201 -

Asset/Claymore Stock $50,000 $1,000
Inflation-Linked
Opportunit

22.39 Office Properties Corporate Securities Spouse $15,001 - Interest, $201 -

Income Trust Corporate Bond $50,000 $1,000
Rate/Coupon: 4.0%
Matures: 07/15/2022

22.40 Williams Corporate Securities Spouse $15,001 - Interest, $201 -

Companies Corporate Bond $50,000 $1,000
Rate/Coupon: 3.35%
Matures: 08/15/2022

22.41 FIMKX  - Fidelity Mutual Funds Spouse $15,001 - Dividends, None

Advisor Emerging Mutual Fund $50,000 Capital Gains, (or less
Markets I than
$201)

22.42 ETN  - Eaton Corporate Securities Spouse $1,001 - Dividends, None

Corporation plc Stock $15,000 (or less
than
$201)

22.43 ABBV  - AbbVie Corporate Securities Spouse $1,001 - Dividends, $201 -

Inc. Stock $15,000 $1,000

22.44 CVS  - CVS Corporate Securities Spouse $1,001 - Dividends, $201 -

Health Corporation Stock $15,000 $1,000

22.45 RTN  - Raytheon Corporate Securities Spouse $1,001 - Dividends, $201 -

Company Stock $15,000 $1,000

22.46 TU  - TELUS Corporate Securities Spouse $1,001 - Dividends, $201 -

Corporation Stock $15,000 $1,000
 Asset Asset Type Owner Value Income Type Income
22.47 PTNQ  - Pacer Mutual Funds Spouse $1,001 - Dividends, None
Trendpilot 100 ETF Exchange Traded $15,000 (or less
Fund/Note than
$201)

22.48 RODM  - Hartford Mutual Funds Spouse $1,001 - Dividends, $201 -

Multifactor Exchange Traded $15,000 $1,000
Developed Markets Fund/Note
(ex-US) ETF

22.49 GBIL  - Goldman Mutual Funds Spouse $15,001 - Dividends, None

Sachs Access Exchange Traded $50,000 (or less
Treasury 0-1 Year Fund/Note than
ETF $201)

22.50 DGX  - Quest Corporate Securities Spouse $1,001 - Dividends, None

Diagnostics Stock $15,000 (or less
Incorporated than
$201)

22.51 SWKS  - Corporate Securities Spouse $1,001 - Dividends, None

Skyworks Stock $15,000 (or less
Solutions, Inc. than
$201)

22.52 CAG  - Conagra Corporate Securities Spouse $1,001 - Dividends, None

Brands, Inc. Stock $15,000 (or less
than
$201)

22.53 TSM  - Taiwan Corporate Securities Spouse $1,001 - Dividends, None

Semiconductor Stock $15,000 (or less
Manufacturing than
Company Limited $201)

22.54 MCD  - Corporate Securities Spouse $1,001 - Dividends, None

McDonald's Stock $15,000 (or less
Corporation than
$201)

22.55 APO  - Apollo Corporate Securities Spouse $1,001 - Dividends, $201 -

Global Stock $15,000 $1,000
Management, Inc.
 Management, Inc.

Asset Asset Type Owner Value Income Type Income

22.56 AY  - Atlantica Corporate Securities Spouse $1,001 - Dividends, $201 -
Sustainable Stock $15,000 $1,000
Infrastructure plc

22.57 AXS  - AXIS Corporate Securities Spouse $1,001 - Dividends, None

Capital Holdings Stock $15,000 (or less
Limited than
$201)

22.58 LMRK  - Corporate Securities Spouse $1,001 - Dividends, $201 -

Landmark Stock $15,000 $1,000
Infrastructure
Partners LP

22.59 LMT  - Lockheed Corporate Securities Spouse $1,001 - Dividends, None

Martin Corporation Stock $15,000 (or less
than
$201)

22.60 MANT  - ManTech Corporate Securities Spouse $1,001 - Dividends, None

International Stock $15,000 (or less
Corporation than
$201)

22.61 NVO  - Novo Corporate Securities Spouse $1,001 - Dividends, None

Nordisk A/S Stock $15,000 (or less
than
$201)

22.62 PEP  - PepsiCo, Corporate Securities Spouse $1,001 - Dividends, None

Inc. Stock $15,000 (or less
than
$201)

22.63 PFE  - Pfizer Inc. Corporate Securities Spouse $1,001 - Dividends, None
Stock $15,000 (or less
than
$201)

22.64 RIO  - Rio Tinto Corporate Securities Spouse $1,001 - Dividends, None
Group Stock $15,000 (or less
than
$201)
 $201)
Asset Asset Type Owner Value Income Type Income
22.65 LDP  - Cohen & Corporate Securities Spouse $1,001 - Dividends, $201 -
Steers Limited Stock $15,000 $1,000
Duration Preferred
and Inco

22.66 SRVR  - Pacer Mutual Funds Spouse $1,001 - Dividends, None

Benchmark Data & Exchange Traded $15,000 (or less
Infrastructure Real Fund/Note than
Estate $201)

22.67 RTH  - VanEck Mutual Funds Spouse $1,001 - Dividends, None

Vectors Retail ETF Exchange Traded $15,000 (or less
Fund/Note than
$201)

22.68 GSMYX  - Mutual Funds Spouse $1,001 - Dividends, $1,001

Goldman Sachs Mutual Fund $15,000 Capital Gains, -
Small/Mid Cap $2,500
Growth Fund
Institutio

22.69 C  - Citigroup Inc. Corporate Securities Spouse $1,001 - Dividends, None

Stock $15,000 (or less
than
$201)

22.70 SBUX  - Corporate Securities Spouse $1,001 - Dividends, None

Starbucks Stock $15,000 (or less
Corporation than
$201)

23 Spouse IRA 615 Brokerage/Managed Spouse

Account

23.1 Morgan Stanley Bank Deposit Spouse $15,001 - Interest, None

Bank N.A. $50,000 (or less
(Kansas City, MO) than
Type: Brokerage $201)
Sweep Account,

23.2 SBIO  - ALPS Mutual Funds Spouse $1,001 - Dividends, None

Medical Exchange Traded $15,000 (or less
Breakthroughs ETF Fund/Note than
 Breakthroughs ETF Fund/Note than
Asset Asset Type Owner Value Income Type $201)
Income

23.3 FDN  - First Trust Mutual Funds Spouse $1,001 - None, None
Dow Jones Internet Exchange Traded $15,000 Dividends, (or less
ETF Fund/Note than
$201)

23.4 KBA  - Mutual Funds Spouse $1,001 - Dividends, None

KraneShares Exchange Traded $15,000 (or less
Bosera MSCI China Fund/Note than
A ETF $201)

23.5 LGI  - Lazard Corporate Securities Spouse $1,001 - Dividends, $201 -

Global Total Return Stock $15,000 $1,000
and Income Fund,
Inc.

23.6 IVV  - iShares Mutual Funds Spouse $15,001 - Dividends, $201 -

Core S&P 500 ETF Exchange Traded $50,000 $1,000
Fund/Note

23.7 GLD  - SPDR Mutual Funds Spouse $1,001 - None, None

Gold Shares Exchange Traded $15,000 (or less
Fund/Note than
$201)

23.8 XAR  - SPDR S&P Mutual Funds Spouse $1,001 - Dividends, None
Aerospace & Exchange Traded $15,000 (or less
Defense ETF Fund/Note than
$201)

23.9 GDXJ  - VanEck Mutual Funds Spouse $1,001 - Dividends, None

Vectors Junior Exchange Traded $15,000 (or less
Gold Miners ETF Fund/Note than
$201)

23.10 IVOO  - Vanguard Mutual Funds Spouse $1,001 - Dividends, None

S&P Mid-Cap 400 Exchange Traded $15,000 (or less
ETF Fund/Note than
$201)

23.11 WIW  - Western Corporate Securities Spouse $1,001 - Dividends, $201 -

Asset/Claymore Stock $15,000 $1,000
Inflation-Linked
 Inflation-Linked
Opportunit
Asset Asset Type Owner Value Income Type Income

23.12 FIMKX  - Fidelity Mutual Funds Spouse $1,001 - Dividends, None

Advisor Emerging Mutual Fund $15,000 Capital Gains, (or less
Markets I than
$201)

23.13 FCPIX  - Fidelity Mutual Funds Spouse $1,001 - Dividends, None

Advisor Intl Capital Mutual Fund $15,000 Capital Gains, (or less
App I than
$201)

23.14 FEMS  - First Mutual Funds Spouse $1,001 - Dividends, None

Trust Emerg Mkts Exchange Traded $15,000 (or less
SC AlphaDEX ETF Fund/Note than
$201)

23.15 CIBR  - First Trust Mutual Funds Spouse $1,001 - Dividends, None
NASDAQ Exchange Traded $15,000 (or less
Cybersecurity ETF Fund/Note than
$201)

23.16 FINX  - Global X Mutual Funds Spouse $1,001 - None, None

FinTech ETF Exchange Traded $15,000 (or less
Fund/Note than
$201)

23.17 IJS  - iShares S&P Mutual Funds Spouse $1,001 - Dividends, None
Small-Cap 600 Exchange Traded $15,000 (or less
Value ETF Fund/Note than
$201)

23.18 CFA  - Mutual Funds Spouse $15,001 - Dividends, $201 -

VictoryShares US Exchange Traded $50,000 $1,000
500 Volatility Wtd Fund/Note
ETF

23.19 LUBFX  - Lord Mutual Funds Spouse $15,001 - Dividends, None

Abbett Ultra Short Mutual Fund $50,000 (or less
Bond Fund Class F than
$201)

23.20 GBIL  - Goldman Mutual Funds Spouse $1,001 - Dividends, None

Sachs Access Exchange Traded $15,000 (or less
 Sachs Access Exchange Traded $15,000 (or less
Asset
Treasury 0-1 Year Asset Type
Fund/Note Owner Value Income Type Income
than
ETF $201)

23.21 GEM  - Goldman Mutual Funds Spouse $1,001 - Dividends, None

Sachs ActiveBeta Exchange Traded $15,000 (or less
Emerging Markets Fund/Note than
Equity E $201)

23.22 LDP  - Cohen & Corporate Securities Spouse $1,001 - Dividends, $201 -
Steers Limited Stock $15,000 $1,000
Duration Preferred
and Inco

23.23 NXTG  - First Mutual Funds Spouse $1,001 - Dividends, None

Trust IndXX NextG Exchange Traded $15,000 (or less
ETF Fund/Note than
$201)

23.24 QTEC  - First Mutual Funds Spouse $1,001 - Dividends, None

Trust NASDAQ- Exchange Traded $15,000 (or less
100-Technology Fund/Note than
Sector Index Fun $201)

23.25 CEF  - Sprott Corporate Securities Spouse $1,001 - None, None

Physical Gold and Stock $15,000 (or less
Silver Trust than
$201)

23.26 RTH  - VanEck Mutual Funds Spouse $1,001 - Dividends, None

Vectors Retail ETF Exchange Traded $15,000 (or less
Fund/Note than
$201)

23.27 GSMYX  - Mutual Funds Spouse $1,001 - Dividends, $201 -

Goldman Sachs Mutual Fund $15,000 Capital Gains, $1,000
Small/Mid Cap
Growth Fund
Institutio

24 Spouse TR Brokerage/Managed Spouse

Account

24.1 Morgan Stanley Bank Deposit Spouse $50,001 - Dividends, None

Private Bank NA $100,000 (or less
 Private Bank NA $100,000 (or less
Asset
(Kansas City, MO) Asset Type Owner Value Income Type Income
than
Type: Brokerage $201)
Sweep Account,

24.2 BA  - The Boeing Corporate Securities Spouse $1,001 - Dividends, None

Company Stock $15,000 (or less
than
$201)

24.3 CC  - The Corporate Securities Spouse $15,001 - Dividends, $201 -

Chemours Stock $50,000 $1,000
Company

24.4 CSCO  - Cisco Corporate Securities Spouse $1,001 - Dividends, $201 -

Systems, Inc. Stock $15,000 $1,000

24.5 DOW  - Dow Inc. Corporate Securities Spouse $50,001 - Dividends, $2,501
Filer comment: Stock $100,000 -
DowDupont split into $5,000
three differently
publicly traded
companies (DOW
Inc, Corteva Inc and
Dupont) on June 3,
2019

24.6 JNJ  - Johnson & Corporate Securities Spouse $15,001 - Dividends, $201 -
Johnson Stock $50,000 $1,000

24.7 LNC  - Lincoln Corporate Securities Spouse $15,001 - Dividends, $1,001

National Stock $50,000 -
Corporation $2,500

24.8 MET  - MetLife, Corporate Securities Spouse $15,001 - Dividends, $1,001

Inc. Stock $50,000 -
$2,500

24.9 PFE  - Pfizer Inc. Corporate Securities Spouse $1,001 - Dividends, $201 -
Stock $15,000 $1,000

24.10 PG  - The Procter Corporate Securities Spouse $1,001 - Dividends, $201 -

& Gamble Stock $15,000 $1,000
Company
 Asset Asset Type Owner Value Income Type Income
24.11 TRSWF  - Corporate Securities Spouse $1,001 - Dividends, $201 -
TransAlta Stock $15,000 $1,000
Renewables Inc.

24.12 DIS  - The Walt Corporate Securities Spouse $15,001 - Dividends, None
Disney Company Stock $50,000 (or less
than
$201)

24.13 HCN  - Welltower Corporate Securities Spouse $1,001 - Dividends, $201 -

Inc. Stock $15,000 $1,000

24.14 CEM  - Corporate Securities Spouse $1,001 - Dividends, None

ClearBridge Energy Stock $15,000 (or less
MLP Fund Inc. than
$201)

24.15 NID  - Nuveen Corporate Securities Spouse $15,001 - Dividends, $1,001

Intermediate Stock $50,000 -
Duration Mu $2,500

24.16 FDN  - First Trust Mutual Funds Spouse $15,001 - None, None
Dow Jones Internet Exchange Traded $50,000 Dividends, (or less
ETF Fund/Note than
$201)

24.17 UBS 8.1% Corporate Securities Spouse $15,001 - Interest, None

Contingent Corporate Bond $50,000 (or less
Autocall BAC than
Rate/Coupon: 8.1% $201)
Matures: 12/30/2022

24.18 JP Morgan Chase Corporate Securities Spouse $15,001 - Interest, $201 -

2.5% Stepup due Corporate Bond $50,000 $1,000
09/23/2029
Rate/Coupon: 2.5%
Matures: 09/23/2029

24.19 CTVA  - Corteva, Corporate Securities Spouse $50,001 - Dividends, $201 -

Inc. Stock $100,000 $1,000
Filer comment:
DowDupont split into
three differently
 publicly traded
Asset Asset Type Owner Value Income Type Income
companies (DOW
Inc, Corteva Inc and
Dupont) on June 3,
2019

24.20 DD  - DuPont de Corporate Securities Spouse $50,001 - Dividends, $1,001

Nemours, Inc. Stock $100,000 -
Filer comment: $2,500
DowDupont split into
three differently
publicly traded
companies (DOW
Inc, Corteva Inc and
Dupont) on June 3,
2019

24.21 MS Contingent Corporate Securities Spouse $1,001 - Interest, None

8.35% Autocall Corporate Bond $15,000 (or less
Boeing than
Rate/Coupon: 8.35% $201)
Matures: 04/01/2022

24.22 BMY  - Bristol- Corporate Securities Spouse $1,001 - Dividends, $201 -

Myers Squibb Stock $15,000 $1,000
Company

24.23 NTAP  - NetApp, Corporate Securities Spouse $1,001 - Dividends, $201 -

Inc. Stock $15,000 $1,000

24.24 SBIO  - ALPS Mutual Funds Spouse $1,001 - Dividends, None

Medical Exchange Traded $15,000 Capital Gains, (or less
Breakthroughs ETF Fund/Note than
$201)

24.25 HQL  - Tekla Life Corporate Securities Spouse $1,001 - Dividends, $201 -
Sciences Investors Stock $15,000 Capital Gains, $1,000

24.26 ATOAX  - Mutual Funds Spouse $50,001 - Interest, $201 -

Aberdeen Ultra Mutual Fund $100,000 $1,000
Short Municipal
Income Fund Class
A
24.27 BCS 10.15% Corporate Securities Spouse $15,001 - Interest, $1,001
Asset Asset Type Owner Value Income Type Income
Autocall Intel Corporate Bond $50,000 -
Rate/Coupon: $2,500
10.15%
Matures: 06/22/2023

24.28 BCS 8.3% Corporate Securities Spouse $15,001 - Interest, $1,001

Contingent Corporate Bond $50,000 -
Autocall Cisco $2,500
Rate/Coupon: 8.3%
Matures: 01/27/2023

24.29 HSBC 8.75% Corporate Securities Spouse $15,001 - Interest, $1,001

Contingent Corporate Bond $50,000 -
Autocall Bristol $2,500
Myers
Rate/Coupon: 8.75%
Matures: 02/24/2023

25 Spouse IRA 846 Brokerage/Managed Spouse

Account

25.1 ABBV  - AbbVie Corporate Securities Spouse $1,001 - Dividends, None

Inc. Stock $15,000 (or less
than
$201)

25.2 ACIW  - ACI Corporate Securities Spouse $1,001 - None, None

Worldwide, Inc. Stock $15,000 (or less
than
$201)

25.3 ATVI  - Activision Corporate Securities Spouse $1,001 - Dividends, None

Blizzard, Inc. Stock $15,000 (or less
than
$201)

25.4 AJRD  - Aerojet Corporate Securities Spouse $1,001 - None, None

Rocketdyne Stock $15,000 Dividends, (or less
Holdings, Inc. than
$201)

25.5 BABA  - Alibaba Corporate Securities Spouse $1,001 - Dividends, None

Group Holding Stock $15,000 (or less
 Limited than
Asset Asset Type Owner Value Income Type Income
$201)

25.6 AAPL  - Apple Corporate Securities Spouse $1,001 - Dividends, None

Inc. Stock $15,000 (or less
than
$201)

25.7 ARNA  - Arena Corporate Securities Spouse $1,001 - None, None

Pharmaceuticals, Stock $15,000 (or less
Inc. than
$201)

25.8 GOLD  - Barrick Corporate Securities Spouse $1,001 - Dividends, None

Gold Corporation Stock $15,000 (or less
than
$201)

25.9 BAH  - Booz Allen Corporate Securities Spouse $1,001 - Dividends, None
Hamilton Holding Stock $15,000 (or less
Corporation than
$201)

25.10 BRKR  - Bruker Corporate Securities Spouse $1,001 - Dividends, None

Corporation Stock $15,000 (or less
than
$201)

25.11 GLW  - Corning Corporate Securities Spouse $1,001 - Dividends, None

Incorporated Stock $15,000 (or less
than
$201)

25.12 CRWD  - Corporate Securities Spouse $1,001 - Dividends, None

CrowdStrike Stock $15,000 (or less
Holdings, Inc. than
$201)

25.13 CONE  - Corporate Securities Spouse $1,001 - Dividends, None

CyrusOne Inc. Stock $15,000 (or less
than
$201)

25.14 DDOG  - Datadog, Corporate Securities Spouse $1,001 - None, None

25.14 DDOG  - Datadog, Corporate Securities Spouse $1,001 - None, None
Inc. Stock $15,000 (or less
Asset Asset Type Owner Value Income Type Income
than
$201)

25.15 ERIC  - Corporate Securities Spouse $1,001 - Dividends, None

Telefonaktiebolaget Stock $15,000 (or less
LM Ericsson (publ) than
$201)

25.16 EVOP  - EVO Corporate Securities Spouse $1,001 - None, None

Payments, Inc. Stock $15,000 (or less
than
$201)

25.17 FEYE  - FireEye, Corporate Securities Spouse $1,001 - None, None

Inc. Stock $15,000 (or less
than
$201)

25.18 FTNT  - Fortinet, Corporate Securities Spouse $1,001 - None, None

Inc. Stock $15,000 (or less
than
$201)

25.19 GMAB  - Genmab Corporate Securities Spouse $1,001 - None, None

A/S Stock $15,000 (or less
than
$201)

25.20 NTLA  - Intellia Corporate Securities Spouse $1,001 - None, None

Therapeutics, Inc. Stock $15,000 (or less
than
$201)

25.21 KEYS  - Keysight Corporate Securities Spouse $1,001 - None, None

Technologies, Inc. Stock $15,000 Dividends, (or less
than
$201)

25.22 MANT  - ManTech Corporate Securities Spouse None (or Dividends, None
International Stock less than (or less
Corporation $1,001) than
$201)
25.23 MRVL
Asset  - Marvell Corporate
Asset TypeSecurities Spouse
Owner $1,001
Value - Dividends,
Income Type None
Income
Technology Group Stock $15,000 (or less
Ltd. than
$201)

25.24 MAXR  - Maxar Corporate Securities Spouse $1,001 - Dividends, None

Technologies Inc. Stock $15,000 (or less
than
$201)

25.25 NUAN  - Nuance Corporate Securities Spouse $1,001 - None, None

Communications, Stock $15,000 (or less
Inc. than
$201)

25.26 PAGS  - Corporate Securities Spouse $1,001 - None, None

PagSeguro Digital Stock $15,000 (or less
Ltd. than
$201)

25.27 PAAS  - Pan Corporate Securities Spouse $1,001 - Dividends, None

American Silver Stock $15,000 (or less
Corp. than
$201)

25.28 QCOM  - Corporate Securities Spouse $1,001 - Dividends, None

QUALCOMM Stock $15,000 (or less
Incorporated than
$201)

25.29 SWKS  - Corporate Securities Spouse $1,001 - Dividends, None

Skyworks Stock $15,000 (or less
Solutions, Inc. than
$201)

25.30 SNPS  - Corporate Securities Spouse $1,001 - None, None

Synopsys, Inc. Stock $15,000 (or less
than
$201)

25.31 TMO  - Thermo Corporate Securities Spouse $1,001 - Dividends, None

Fisher Scientific Stock $15,000 (or less
Inc. than
$201)
 $201)
Asset Asset Type Owner Value Income Type Income
25.32 VIAV  - Viavi Corporate Securities Spouse $1,001 - None, None
Solutions Inc. Stock $15,000 (or less
than
$201)

25.33 V  - Visa Inc. Corporate Securities Spouse $1,001 - Dividends, None

Stock $15,000 (or less
than
$201)

25.34 SBIO  - ALPS Corporate Securities Spouse $1,001 - Dividends, None

Medical Stock $15,000 Capital Gains, (or less
Breakthroughs ETF than
$201)

25.35 LDP  - Cohen & Corporate Securities Spouse $1,001 - Dividends, $201 -
Steers Limited Stock $15,000 $1,000
Duration Preferred
and Inco

25.36 FDN  - First Trust Mutual Funds Spouse $1,001 - Dividends, None
Dow Jones Internet Exchange Traded $15,000 (or less
Index Fund Fund/Note than
$201)

25.37 GBIL  - Goldman Mutual Funds Spouse $1,001 - Dividends, None

Sachs Access Exchange Traded $15,000 Interest, (or less
Treasury 0-1 Year Fund/Note than
ETF $201)

25.38 RODM  - Hartford Mutual Funds Spouse $1,001 - Dividends, None

Multifactor Exchange Traded $15,000 (or less
Developed Markets Fund/Note than
(ex-US) ETF $201)

25.39 LGI  - Lazard Corporate Securities Spouse $1,001 - Dividends, $201 -

Global Total Return Stock $15,000 $1,000
and Income Fund,
Inc.

25.40 SRVR  - Pacer Mutual Funds Spouse $1,001 - Dividends, None

Benchmark Data & Exchange Traded $15,000 (or less
Infrastructure Real Fund/Note than
 Infrastructure Real Fund/Note than
Estate
Asset Asset Type Owner Value Income Type $201)
Income

25.41 PTLC  - Pacer Mutual Funds Spouse $1,001 - Dividends, None

Trendpilot US Exchange Traded $15,000 (or less
Large Cap ETF Fund/Note than
$201)

25.42 PTMC  - Pacer Mutual Funds Spouse $1,001 - Dividends, None

Trendpilot US Mid Exchange Traded $15,000 (or less
Cap ETF Fund/Note than
$201)

25.43 PTNQ  - Pacer Mutual Funds Spouse $1,001 - Dividends, None

Trendpilot 100 ETF Exchange Traded $15,000 (or less
Fund/Note than
$201)

25.44 GLD  - SPDR Mutual Funds Spouse $1,001 - None, None

Gold Shares Exchange Traded $15,000 (or less
Fund/Note than
$201)

25.45 XAR  - SPDR S&P Mutual Funds Spouse $1,001 - Dividends, None
Aerospace & Exchange Traded $15,000 (or less
Defense ETF Fund/Note than
$201)

25.46 CEF  - Sprott Corporate Securities Spouse $1,001 - None, None

Physical Gold and Stock $15,000 (or less
Silver Trust than
$201)

25.47 RTH  - VanEck Mutual Funds Spouse $1,001 - Dividends, None

Vectors Retail ETF Exchange Traded $15,000 (or less
Fund/Note than
$201)

25.48 WIW  - Western Corporate Securities Spouse $1,001 - Dividends, None

Asset Inflation- Stock $15,000 Interest, (or less
Linked than
Opportunities & Inc $201)

25.49 DGRS  - Mutual Funds Spouse $1,001 - Dividends, None

WisdomTree U.S. Exchange Traded $15,000 (or less
 WisdomTree U.S. Exchange Traded $15,000 (or less
SmallCap Quality
Asset Fund/Note
Asset Type Owner Value Income Type than
Income
Dividend Growth F $201)

25.50 ABYIX  - Abbey Mutual Funds Spouse $1,001 - Dividends, None

Capital Futures Mutual Fund $15,000 Interest, (or less
Strategy Fund Capital Gains, than
Class I $201)

25.51 LUBFX  - Lord Mutual Funds Spouse $1,001 - Dividends, None

Abbett Ultra Short Mutual Fund $15,000 Interest, (or less
Bond Fund Class F than
$201)

25.52 Morgan Stanley Bank Deposit Spouse $15,001 - Dividends, None

Private Bank, N.A. $50,000 (or less
(Kansas City, MO) than
Type: Brokerage $201)
Sweep Account,

25.53 SI  - Silvergate Corporate Securities Spouse $1,001 - None, None

Capital Corporation Stock $15,000 (or less
than
$201)

Part 4a. Periodic Transaction Report Summary

In this section, electronically filed periodic transaction report (PTR) transactions are
displayed for you. Have you filed any paper-based PTRs in this period? No

Transaction
# Date Owner Ticker Asset Name Type Amount Comment

1 01/02/2020 Spouse -- CS Contingent Sale $15,001 --

Autocall MSFT (Full) -
Rate/Coupon: $50,000
8.25%
Matures:
09/30/2022

2 01/02/2020 Spouse -- CS Contingent Sale $15,001 --

Autocall MSFT (Full) -
 Autocall MSFT (Full) -
Transaction Rate/Coupon: $50,000
# Date Owner Ticker 8.25%Name
Asset Type Amount Comment
Matures:
09/30/2022

3 01/24/2020 Spouse -- BCS Contingent Purchase $15,001 --

Autocall CSCO -
Rate/Coupon: 8.3% $50,000
Matures:
01/27/2023

4 02/13/2020 Spouse -- BCS Contingent Sale $15,001 --

Autocall BMY (Full) -
Rate/Coupon: 9.0% $50,000
Matures:
11/14/2022

5 02/13/2020 Spouse -- BCS Contingent Sale $15,001 --

Autocall BMY (Full) -
Rate/Coupon: 9.0% $50,000
Matures:
11/14/2022

6 02/21/2020 Spouse -- HSBC Contingent Purchase $15,001 --

Autocall BMY -
Rate/Coupon: $50,000
8.75%
Matures:
02/24/2023

7 02/21/2020 Spouse -- HSBC Contingent Purchase $15,001 --

Autocall BMY -
Rate/Coupon: $50,000
8.75%
Matures:
02/24/2023

8 02/22/2020 Spouse HQL Tekla Life Sciences Purchase $1,001 - --

Investors $15,000

9 02/22/2020 Spouse BSTZ BlackRock Science Sale $1,001 - --

and Technology (Full) $15,000
Trust II
10 02/22/2020
Transaction Spouse BSTZ BlackRock Science Sale $1,001 - --
# Date Owner Ticker and Technology
Asset Name (Full)
Type $15,000
Amount Comment
Trust II

11 02/22/2020 Spouse HQL Tekla Life Sciences Purchase $1,001 - --

Investors $15,000

12 03/23/2020 Spouse SPY SPDR S&P 500 Purchase $1,001 - --

ETF Trust $15,000

13 03/23/2020 Spouse CEF Sprott Physical Purchase $1,001 - --

Gold and Silver $15,000
Trust

14 03/24/2020 Spouse -- AQR Long-Short Sale $1,001 - --

Equity (Full) $15,000

15 03/24/2020 Spouse VOD Vodafone Group Sale $1,001 - --

Plc (Full) $15,000

16 03/24/2020 Spouse MPC Marathon Sale $1,001 - --

Petroleum (Full) $15,000
Corporation

17 03/24/2020 Spouse WFC Wells Fargo & Sale $1,001 - --

Company (Full) $15,000

18 03/24/2020 Spouse CSCO Cisco Systems, Inc. Purchase $1,001 - --

$15,000

19 03/24/2020 Spouse JPM JPMorgan Chase & Purchase $1,001 - --

Co. $15,000

20 03/24/2020 Spouse ABBV AbbVie Inc. Purchase $1,001 - --

$15,000

21 03/24/2020 Spouse VZ Verizon Purchase $1,001 - --

Communications $15,000
Inc.

22 03/27/2020 Spouse SWKS Skyworks Purchase $1,001 - --

Solutions, Inc. $15,000
23 03/27/2020
Transaction Spouse PYPL PayPal Holdings, Purchase $1,001 - --
# Date Owner Ticker Inc.
Asset Name Type $15,000
Amount Comment

24 03/27/2020 Spouse CVS CVS Health Purchase $1,001 - --

Corporation $15,000

25 03/27/2020 Spouse DIS The Walt Disney Purchase $1,001 - --

Company $15,000

26 04/02/2020 Spouse SBUX Starbucks Purchase $1,001 - --

Corporation $15,000

27 04/02/2020 Spouse ARCC Ares Capital Purchase $1,001 - --

Corporation $15,000

28 04/02/2020 Spouse CVS CVS Health Purchase $1,001 - --

Corporation $15,000

29 04/02/2020 Spouse DGX Quest Diagnostics Purchase $1,001 - --

Incorporated $15,000

30 04/02/2020 Spouse IWD iShares Russell Purchase $1,001 - --

1000 Value ETF $15,000

31 04/02/2020 Spouse ARE Alexandria Real Purchase $1,001 - --

Estate Equities, $15,000
Inc.

32 04/02/2020 Spouse LGI Lazard Global Total Sale $1,001 - --

Return and Income (Full) $15,000
Fund, Inc.

33 04/02/2020 Spouse PKG Packaging Sale $1,001 - --

Corporation of (Full) $15,000
America

34 04/02/2020 Spouse TSN Tyson Foods, Inc. Purchase $1,001 - --

$15,000

35 04/02/2020 Spouse PEP PepsiCo, Inc. Purchase $1,001 - --

$15,000

36 04/02/2020 Spouse NVO Novo Nordisk A/S Purchase $1,001 - --

36 04/02/2020 Spouse NVO Novo Nordisk A/S Purchase $1,001 - --
Transaction $15,000
# Date Owner Ticker Asset Name Type Amount Comment
37 04/02/2020 Spouse MSFT Microsoft Sale $1,001 - --
Corporation (Partial) $15,000

38 04/02/2020 Spouse FITB Fifth Third Bancorp Sale $1,001 - --

(Full) $15,000

39 04/02/2020 Spouse GLW Corning Purchase $1,001 - --

Incorporated $15,000

40 04/02/2020 Spouse CAG Conagra Brands, Sale $1,001 - --

Inc. (Partial) $15,000

41 04/02/2020 Spouse APO Apollo Global Purchase $1,001 - --

Management, Inc. $15,000

42 04/02/2020 Spouse LHX L3Harris Purchase $1,001 - --

Technologies, Inc. $15,000

43 04/02/2020 Spouse -- HPE - HP Inc. Sale $1,001 - --

(Full) $15,000

44 04/02/2020 Spouse IRM Iron Mountain Sale $1,001 - --

Incorporated (Partial) $15,000

45 04/02/2020 Spouse GBIL Goldman Sachs Sale $1,001 - --

Access Treasury 0- (Partial) $15,000
1 Year ETF

46 04/02/2020 Spouse CB Chubb Limited Sale $1,001 - --

(Full) $15,000

47 04/02/2020 Spouse KNX Knight-Swift Sale $1,001 - --

Transportation (Full) $15,000
Holdings Inc.

48 04/02/2020 Spouse PTNQ Pacer Trendpilot Purchase $1,001 - --

100 ETF $15,000

49 04/02/2020 Spouse RODM Hartford Multifactor Purchase $1,001 - --

Developed Markets $15,000
(ex-US) ETF
 (ex-US) ETF
Transaction
50
# 04/02/2020
Date Spouse
Owner QLEIX
Ticker AQR
AssetLong-Short
Name Sale
Type $1,001
Amount- --
Comment
Equity Fund Class I (Full) $15,000

51 04/02/2020 Spouse MPC Marathon Sale $1,001 - --

Petroleum (Full) $15,000
Corporation

52 04/02/2020 Spouse TCEHY Tencent Holdings Sale $1,001 - --

Limited (Partial) $15,000

53 04/02/2020 Spouse CFG Citizens Financial Sale $1,001 - --

Group, Inc. (Full) $15,000

54 04/02/2020 Spouse MBXIX Catalyst/Millburn Sale $1,001 - --

Hedge Strategy (Partial) $15,000
Fund Class I

55 04/02/2020 Spouse GLD SPDR Gold Shares Sale $1,001 - --

(Partial) $15,000

56 04/02/2020 Spouse CEF Sprott Physical Purchase $1,001 - --

Gold and Silver $15,000
Trust

57 04/02/2020 Spouse SWKS Skyworks Purchase $1,001 - --

Solutions, Inc. $15,000

58 04/02/2020 Spouse GLAD Gladstone Capital Purchase $1,001 - --

Corporation $15,000

59 04/02/2020 Spouse RTN Raytheon Purchase $1,001 - --

Company $15,000

60 04/02/2020 Spouse MET MetLife, Inc. Purchase $1,001 - --

$15,000

61 04/02/2020 Spouse EEM iShares MSCI Purchase $1,001 - --

Emerging Markets $15,000
ETF

62 04/02/2020 Spouse GEM Goldman Sachs Purchase $1,001 - --

ActiveBeta $15,000
 ActiveBeta $15,000
Emerging Markets
Transaction
Equity E
# Date Owner Ticker Asset Name Type Amount Comment

63 04/02/2020 Spouse SBIO ALPS Medical Sale $1,001 - --

Breakthroughs ETF (Partial) $15,000

64 04/02/2020 Spouse IVV iShares Core S&P Sale $1,001 - --

500 ETF (Partial) $15,000

65 04/02/2020 Spouse KWEB KraneShares CSI Purchase $1,001 - --

China Internet ETF $15,000

66 04/02/2020 Spouse CFA VictoryShares US Purchase $1,001 - --

500 Volatility Wtd $15,000
ETF

67 04/02/2020 Spouse SRVR Pacer Benchmark Purchase $1,001 - --

Data & $15,000
Infrastructure Real
Estate

68 04/02/2020 Spouse CEF Sprott Physical Purchase $1,001 - --

Gold and Silver $15,000
Trust

69 04/02/2020 Spouse GLD SPDR Gold Shares Purchase $1,001 - --

$15,000

70 04/02/2020 Spouse CIBR First Trust Purchase $1,001 - --

NASDAQ $15,000
Cybersecurity ETF

71 04/02/2020 Spouse MBXIX Catalyst/Millburn Sale $1,001 - --

Hedge Strategy (Partial) $15,000
Fund Class I

72 04/02/2020 Spouse QTEC First Trust Purchase $1,001 - --

NASDAQ-100- $15,000
Technology Sector
Index Fun

73 04/02/2020 Spouse IAT iShares U.S. Sale $1,001 - --

Regional Banks (Full) $15,000
ETF
 ETF
Transaction
#
74 Date
04/02/2020 Owner
Spouse Ticker
FDN Asset Name
First Trust Dow Type
Purchase Amount
$1,001 - Comment
--
Jones Internet $15,000
Index Fund

75 04/02/2020 Spouse LUBFX Lord Abbett Ultra Sale $1,001 - --

Short Bond Fund (Partial) $15,000
Class F

76 04/02/2020 Spouse QLEIX AQR Long-Short Sale $1,001 - --

Equity Fund Class I (Full) $15,000

77 04/02/2020 Spouse OAYIX Oakmark Sale $1,001 - --

International Fund (Full) $15,000
Class Advisor

78 04/02/2020 Spouse FPL First Trust New Sale $1,001 - --

Opportunities MLP (Full) $15,000
& Energy Fund

79 04/02/2020 Spouse GBIL Goldman Sachs Sale $1,001 - --

Access Treasury 0- (Partial) $15,000
1 Year ETF

80 04/02/2020 Spouse BOTZ Global X Robotics Sale $1,001 - --

& Artificial (Full) $15,000
Intelligence ETF

81 04/02/2020 Spouse FINX Global X FinTech Purchase $1,001 - --

ETF $15,000

82 04/02/2020 Spouse IWN iShares Russell Purchase $1,001 - --

2000 Value ETF $15,000

83 04/02/2020 Spouse DRI Darden Sale $1,001 - --

Restaurants, Inc. (Full) $15,000

84 04/02/2020 Spouse QCOM QUALCOMM Purchase $1,001 - --

Incorporated $15,000

85 04/02/2020 Spouse RMD ResMed Inc. Sale $1,001 - --

(Partial) $15,000
86 Transaction
04/14/2020 Spouse DIS The Walt Disney Purchase $1,001 - --
# Date Owner Ticker Company
Asset Name Type $15,000
Amount Comment

87 04/14/2020 Spouse CEF Sprott Physical Purchase $1,001 - --

Gold and Silver $15,000
Trust

88 04/14/2020 Spouse PNQI Invesco NASDAQ Purchase $1,001 - --

Internet ETF $15,000

89 04/14/2020 Spouse SWKS Skyworks Purchase $1,001 - --

Solutions, Inc. $15,000

90 04/14/2020 Spouse CVS CVS Health Purchase $1,001 - --

Corporation $15,000

91 04/14/2020 Spouse PYPL PayPal Holdings, Purchase $1,001 - --

Inc. $15,000

92 04/23/2020 Spouse -- UBS Contingent Sale $1,001 - --

Autocall on SLB (Full) $15,000
Rate/Coupon: 9%
Matures:
04/23/2020

93 04/23/2020 Spouse -- UBS Contingent Sale $1,001 - --

Autocall on SLB (Full) $15,000
Rate/Coupon: 9%
Matures:
04/23/2020

94 05/21/2020 Spouse PRJAX PGIM Jennison Sale $15,001 --

Global (Full) -
Opportunities $50,000
Fund-Class A

95 05/28/2020 Spouse XCAPX ACAP Strategic Purchase $15,001 --

Fund -
$50,000

96 06/11/2020 Spouse -- MS Contingent Sale $15,001 --

Autocall INTC (Full) -
Rate/Coupon: 8.2% $50,000
Matures: 12/9/22
 Matures: 12/9/22
Transaction
# Date Owner Ticker Asset Name Type Amount Comment
97 06/11/2020 Spouse -- MS Contingent Sale $15,001 --
Autocall INTC (Full) -
Rate/Coupon: 8.2% $50,000
Matures: 12/9/22

98 06/19/2020 Spouse -- BCS Contingent Purchase $15,001 --

Autocall INTC -
Rate/Coupon: $50,000
10.15%
Matures: 06/22/23

99 06/19/2020 Spouse -- BCS Contingent Purchase $15,001 --

Autocall INTC -
Rate/Coupon: $50,000
10.15%
Matures: 6/22/23

100 07/01/2020 Spouse -- Dominion Energy Sale $1,001 - --

Rate/Coupon: (Full) $15,000
2.579%
Matures:
07/01/2020

101 07/07/2020 Spouse FDN First Trust Dow Sale $1,001 - --

Jones Internet (Partial) $15,000
Index Fund

102 07/07/2020 Spouse DLS WisdomTree Sale $1,001 - --

International (Full) $15,000
SmallCap Dividend
Fund

103 07/07/2020 Spouse FCPIX Fidelity Advisor Purchase $1,001 - --

International $15,000
Capital Appreciatio

104 07/07/2020 Spouse FIMKX Fidelity Advisor Purchase $1,001 - --

Emerging Markets $15,000
Fund I Class

105 07/07/2020 Spouse NXTG First Trust IndXX Purchase $1,001 - --

NextG ETF $15,000
 Transaction
106
# 07/07/2020
Date Spouse
Owner GBIL
Ticker Goldman Sachs
Asset Name Purchase
Type $1,001
Amount- --
Comment
Access Treasury 0- $15,000
1 Year ETF

107 07/07/2020 Spouse SIL Global X Silver Purchase $1,001 - --

Miners ETF $15,000

108 07/07/2020 Spouse LUBFX Lord Abbett Ultra Purchase $1,001 - --

Short Bond Fund $15,000
Class F

109 07/07/2020 Spouse RTH VanEck Vectors Purchase $1,001 - --

Retail ETF $15,000

110 07/07/2020 Spouse GDXJ VanEck Vectors Sale $1,001 - --

Junior Gold Miners (Partial) $15,000
ETF

111 07/07/2020 Spouse FEMS First Trust Sale $1,001 - --

Emerging Markets (Partial) $15,000
Small Cap
AlphaDEX Fu

112 07/07/2020 Spouse FXI iShares Trust - Sale $1,001 - --

iShares China (Full) $15,000
Large-Cap ETF

113 07/07/2020 Spouse MBXIX Catalyst/Millburn Sale $1,001 - --

Hedge Strategy (Full) $15,000
Fund Class I

114 07/07/2020 Spouse WIW Western Asset Purchase $1,001 - --

Inflation-Linked $15,000
Opportunities & Inc

115 07/08/2020 Spouse TCEHY Tencent Holdings Sale $1,001 - --

Limited (Partial) $15,000

116 07/09/2020 Spouse PTMC Pacer Trendpilot Purchase $1,001 - --

US Mid Cap ETF $15,000

117 07/09/2020 Spouse C Citigroup Inc. Purchase $1,001 - --

$15,000
 $15,000
Transaction
# Date Owner Ticker Asset Name Type Amount Comment
118 07/09/2020 Spouse QCOM QUALCOMM Sale $1,001 - --
Incorporated (Partial) $15,000

119 07/09/2020 Spouse RMD ResMed Inc. Sale $1,001 - --

(Partial) $15,000

120 07/09/2020 Spouse OHI Omega Healthcare Sale $1,001 - --

Investors, Inc. (Full) $15,000

121 07/09/2020 Spouse ARCC Ares Capital Sale $1,001 - --

Corporation (Partial) $15,000

122 07/09/2020 Spouse LMT Lockheed Martin Purchase $1,001 - --

Corporation $15,000

123 07/09/2020 Spouse WIW Western Asset Purchase $1,001 - --

Inflation-Linked $15,000
Opportunities & Inc

124 07/09/2020 Spouse FXI iShares Trust - Sale $1,001 - --

iShares China (Partial) $15,000
Large-Cap ETF

125 07/09/2020 Spouse NVDA NVIDIA Sale $1,001 - --

Corporation (Partial) $15,000

126 07/09/2020 Spouse AXS AXIS Capital Purchase $1,001 - --

Holdings Limited $15,000

127 07/09/2020 Spouse MPW Medical Properties Sale $1,001 - --

Trust, Inc. (Full) $15,000

128 07/09/2020 Spouse GLAD Gladstone Capital Sale $1,001 - --

Corporation (Partial) $15,000

129 07/09/2020 Spouse MANT ManTech Purchase $1,001 - --

International $15,000
Corporation

130 07/09/2020 Spouse SWKS Skyworks Sale $1,001 - --

Solutions, Inc. (Partial) $15,000
131 Transaction
07/09/2020 Spouse HASI Hannon Armstrong Sale $1,001 - --
# Date Owner Ticker Asset Name
Sustainable Type
(Partial) Amount
$15,000 Comment
Infrastructure
Capita

132 07/09/2020 Spouse SRVR Pacer Benchmark Purchase $1,001 - --

Data & $15,000
Infrastructure Real
Estate

133 07/09/2020 Spouse MBXIX Catalyst/Millburn Sale $1,001 - --

Hedge Strategy (Full) $15,000
Fund Class I

134 07/09/2020 Spouse ABBV AbbVie Inc. Sale $1,001 - --

(Partial) $15,000

135 07/09/2020 Spouse FEMS First Trust Sale $1,001 - --

Emerging Markets (Full) $15,000
Small Cap
AlphaDEX Fu

136 07/09/2020 Spouse RTH VanEck Vectors Purchase $1,001 - --

Retail ETF $15,000

137 07/09/2020 Spouse LHX L3Harris Purchase $1,001 - --

Technologies, Inc. $15,000

138 07/09/2020 Spouse IRM Iron Mountain Purchase $1,001 - --

Incorporated $15,000

139 07/09/2020 Spouse GBIL Goldman Sachs Purchase $1,001 - --

Access Treasury 0- $15,000
1 Year ETF

140 07/09/2020 Spouse AY Atlantica Purchase $1,001 - --

Sustainable $15,000
Infrastructure plc

141 07/09/2020 Spouse LMRK Landmark Purchase $1,001 - --

Infrastructure $15,000
Partners LP
142 07/09/2020
Transaction Spouse PTLC Pacer Trendpilot Purchase $1,001 - --
# Date Owner Ticker US Large
Asset Cap ETF
Name Type $15,000
Amount Comment

143 07/09/2020 Spouse TSN Tyson Foods, Inc. Sale $1,001 - --

(Full) $15,000

144 07/09/2020 Spouse PFE Pfizer Inc. Purchase $1,001 - --

$15,000

145 07/09/2020 Spouse AAPL Apple Inc. Sale $1,001 - --

(Partial) $15,000

146 07/09/2020 Spouse APO Apollo Global Sale $1,001 - --

Management, Inc. (Partial) $15,000

147 07/28/2020 Spouse SIL Global X Silver Sale $1,001 - --

Miners ETF (Full) $15,000

148 08/06/2020 Spouse GBIL Goldman Sachs Sale $1,001 - --

Access Treasury 0- (Partial) $15,000
1 Year ETF

149 08/06/2020 Spouse LUBFX Lord Abbett Ultra Sale $1,001 - --

Short Bond Fund (Partial) $15,000
Class F

150 08/06/2020 Spouse LDP Cohen & Steers Purchase $1,001 - --

Limited Duration $15,000
Preferred and Inco

151 08/07/2020 Spouse KWEB KraneShares CSI Sale $1,001 - --

China Internet ETF (Full) $15,000

152 08/13/2020 Spouse GLD SPDR Gold Shares Sale $1,001 - --

(Partial) $15,000

153 08/21/2020 Spouse CONE CyrusOne Inc. Sale $1,001 - --

(Partial) $15,000

154 08/21/2020 Spouse LDP Cohen & Steers Purchase $1,001 - --

Limited Duration $15,000
Preferred and Inco
155 08/21/2020
Transaction Spouse GBIL Goldman Sachs Sale $1,001 - --
# Date Owner Ticker Access Treasury 0-
Asset Name (Partial)
Type $15,000
Amount Comment
1 Year ETF

156 08/21/2020 Spouse TCEHY Tencent Holdings Sale $1,001 - --

Limited (Full) $15,000

157 08/21/2020 Spouse ARE Alexandria Real Sale $1,001 - --

Estate Equities, (Partial) $15,000
Inc.

158 08/27/2020 Spouse -- Citigroup Fixed to Sale $15,001 --

Floater (Full) -
Rate/Coupon: $50,000
3.6113%
Matures:
08/27/2020

159 09/22/2020 Spouse ATOAX Aberdeen Ultra Purchase $15,001 --

Short Municipal -
Income Fund Class $50,000
A

160 09/22/2020 Spouse WIW Western Asset Purchase $1,001 - --

Inflation-Linked $15,000
Opportunities & Inc

161 09/22/2020 Spouse LDP Cohen & Steers Purchase $1,001 - --

Limited Duration $15,000
Preferred and Inco

162 09/24/2020 Spouse LDP Cohen & Steers Purchase $1,001 - --

Limited Duration $15,000
Preferred and Inco

163 10/30/2020 Spouse -- GSMYX - Purchase $1,001 - --

GOLDMAN $15,000
SACHS SM MD
CAP GROWTH I

164 10/30/2020 Spouse -- GSMYX - Purchase $1,001 - --

GOLDMAN $15,000
SACHS SM MD
CAP GROWTH I
 CAP GROWTH I
Transaction
#
165 Date
10/30/2020 Owner
Spouse Ticker
IJR Asset Name
iShares Core S&P Type
Sale Amount
$1,001 - Comment
--
Small-Cap ETF (Full) $15,000

166 11/16/2020 Spouse RIO Rio Tinto Group Purchase $1,001 - --

$15,000

167 11/20/2020 Spouse V Visa Inc. Purchase $1,001 - --

$15,000

168 11/20/2020 Spouse BRKR Bruker Corporation Purchase $1,001 - --

$15,000

169 11/20/2020 Spouse MRVL Marvell Technology Purchase $1,001 - --

Group Ltd. $15,000

170 11/20/2020 Spouse ABYIX Abbey Capital Purchase $1,001 - --

Futures Strategy $15,000
Fund Class I

171 11/20/2020 Spouse LGI Lazard Global Total Purchase $1,001 - --

Return and Income $15,000
Fund, Inc.

172 11/20/2020 Spouse ARE Alexandria Real Purchase $1,001 - --

Estate Equities, $15,000
Inc.

173 11/20/2020 Spouse SBIO ALPS Medical Purchase $1,001 - --

Breakthroughs ETF $15,000

174 11/20/2020 Spouse ERIC Telefonaktiebolaget Purchase $1,001 - --

LM Ericsson (publ) $15,000

175 11/20/2020 Spouse WIW Western Asset Purchase $1,001 - --

Inflation-Linked $15,000
Opportunities & Inc

176 11/20/2020 Spouse OHI Omega Healthcare Sale $1,001 - --

Investors, Inc. (Full) $15,000

177 11/20/2020 Spouse GOLD Barrick Gold Purchase $1,001 - --

Corporation $15,000
 Corporation $15,000
Transaction
178
# 11/20/2020
Date Spouse
Owner SNPS
Ticker Synopsys,
Asset NameInc. Purchase
Type $1,001 -
Amount --
Comment
$15,000

179 11/20/2020 Spouse QCOM QUALCOMM Purchase $1,001 - --

Incorporated $15,000

180 11/20/2020 Spouse LUBFX Lord Abbett Ultra Purchase $1,001 - --

Short Bond Fund $15,000
Class F

181 11/20/2020 Spouse TMO Thermo Fisher Purchase $1,001 - --

Scientific Inc. $15,000

182 11/20/2020 Spouse PAAS Pan American Purchase $1,001 - --

Silver Corp. $15,000

183 11/20/2020 Spouse HAL Halliburton Sale $1,001 - --

Company (Full) $15,000

184 11/20/2020 Spouse GLW Corning Purchase $1,001 - --

Incorporated $15,000

185 11/20/2020 Spouse AAPL Apple Inc. Sale $50,001 --

(Partial) -
$100,000

186 11/20/2020 Spouse EVOP EVO Payments, Purchase $1,001 - --

Inc. $15,000

187 11/20/2020 Spouse DDOG Datadog, Inc. Purchase $1,001 - --

$15,000

188 11/20/2020 Spouse DOW Dow Inc. Sale $1,001 - --

(Full) $15,000

189 11/20/2020 Spouse DD DuPont de Sale $1,001 - --

Nemours, Inc. (Full) $15,000

190 11/20/2020 Spouse CRWD CrowdStrike Purchase $1,001 - --

Holdings, Inc. $15,000

191 11/20/2020 Spouse SI Silvergate Capital Purchase $1,001 - --

191 11/20/2020 Spouse SI Silvergate Capital Purchase $1,001 - --
Transaction Corporation $15,000
# Date Owner Ticker Asset Name Type Amount Comment
192 11/20/2020 Spouse VIAV Viavi Solutions Inc. Purchase $1,001 - --
$15,000

193 11/20/2020 Spouse CTVA Corteva, Inc. Sale $1,001 - --

(Full) $15,000

194 11/20/2020 Spouse PAGS PagSeguro Digital Purchase $1,001 - --

Ltd. $15,000

195 11/20/2020 Spouse KEYS Keysight Purchase $1,001 - --

Technologies, Inc. $15,000

196 11/20/2020 Spouse GBIL Goldman Sachs Purchase $1,001 - --

Access Treasury 0- $15,000
1 Year ETF

197 11/20/2020 Spouse ARNA Arena Purchase $1,001 - --

Pharmaceuticals, $15,000
Inc.

198 11/20/2020 Spouse MAXR Maxar Purchase $1,001 - --

Technologies Inc. $15,000

199 11/20/2020 Spouse DGRS WisdomTree U.S. Purchase $1,001 - --

SmallCap Quality $15,000
Dividend Growth F

200 11/20/2020 Spouse PTMC Pacer Trendpilot Purchase $1,001 - --

US Mid Cap ETF $15,000

201 11/20/2020 Spouse PTNQ Pacer Trendpilot Purchase $1,001 - --

100 ETF $15,000

202 11/20/2020 Spouse PTLC Pacer Trendpilot Purchase $1,001 - --

US Large Cap ETF $15,000

203 11/20/2020 Spouse RODM Hartford Multifactor Purchase $1,001 - --

Developed Markets $15,000
(ex-US) ETF

204 11/20/2020 Spouse NTLA Intellia Purchase $1,001 - --

204 11/20/2020 Spouse NTLA Intellia Purchase $1,001 - --
Transaction Therapeutics, Inc. $15,000
# Date Owner Ticker Asset Name Type Amount Comment
205 11/20/2020 Spouse RTH VanEck Vectors Purchase $1,001 - --
Retail ETF $15,000

206 11/20/2020 Spouse FTNT Fortinet, Inc. Purchase $1,001 - --

$15,000

207 11/20/2020 Spouse ATVI Activision Blizzard, Purchase $1,001 - --

Inc. $15,000

208 11/20/2020 Spouse HBI Hanesbrands Inc. Sale $1,001 - --

(Full) $15,000

209 11/20/2020 Spouse FDN First Trust Dow Purchase $1,001 - --

Jones Internet $15,000
Index Fund

210 11/20/2020 Spouse ABBV AbbVie Inc. Purchase $1,001 - --

$15,000

211 11/20/2020 Spouse LDP Cohen & Steers Purchase $1,001 - --

Limited Duration $15,000
Preferred and Inco

212 11/20/2020 Spouse BAH Booz Allen Purchase $1,001 - --

Hamilton Holding $15,000
Corporation

213 11/20/2020 Spouse GMAB Genmab A/S Purchase $1,001 - --

$15,000

214 11/20/2020 Spouse GLD SPDR Gold Shares Purchase $1,001 - --

$15,000

215 11/20/2020 Spouse XAR SPDR S&P Purchase $1,001 - --

Aerospace & $15,000
Defense ETF

216 11/20/2020 Spouse WW WW International, Sale $1,001 - --

Inc. (Full) $15,000

217 11/20/2020 Spouse CEF Sprott Physical Purchase $1,001 - --

217 11/20/2020 Spouse CEF Sprott Physical Purchase $1,001 - --
Gold and Silver $15,000
Transaction
Trust
# Date Owner Ticker Asset Name Type Amount Comment

218 11/20/2020 Spouse CONE CyrusOne Inc. Purchase $1,001 - --

$15,000

219 11/20/2020 Spouse SRVR Pacer Benchmark Purchase $1,001 - --

Data & $15,000
Infrastructure Real
Estate

220 11/20/2020 Spouse AJRD Aerojet Rocketdyne Purchase $1,001 - --

Holdings, Inc. $15,000

221 11/20/2020 Spouse NUAN Nuance Purchase $1,001 - --

Communications, $15,000
Inc.

222 11/20/2020 Spouse SWKS Skyworks Purchase $1,001 - --

Solutions, Inc. $15,000

223 11/20/2020 Spouse ACIW ACI Worldwide, Inc. Purchase $1,001 - --

$15,000

224 11/20/2020 Spouse MANT ManTech Purchase $1,001 - --

International $15,000
Corporation

225 11/30/2020 Spouse XCAPX ACAP Strategic Purchase $1,001 - --

Fund $15,000

226 11/30/2020 Spouse -- OWENS & MINOR Sale $15,001 --

Rate/Coupon: (Full) -
3.875% $50,000
Matures:
09/15/2021

227 11/30/2020 Spouse -- OWENS & MINOR Sale $15,001 --

Rate/Coupon: (Full) -
3.875% $50,000
Matures:
09/15/2021

228 12/15/2020 Spouse GSMYX Goldman Sachs Purchase $1,001 - --

 228 12/15/2020 Spouse GSMYX Goldman Sachs Purchase $1,001 - --
Transaction Small/Mid Cap $15,000
# Date Owner Ticker Asset
GrowthName
Fund Type Amount Comment
Institutio

229 12/30/2020 Spouse VTRS Viatris Inc. Sale $1,001 - --

(Full) $15,000

230 12/30/2020 Spouse NTAP NetApp, Inc. Purchase $1,001 - --

$15,000

231 12/30/2020 Spouse DOW Dow Inc. Sale $1,001 - --

(Partial) $15,000

232 12/30/2020 Spouse BMY Bristol-Myers Purchase $1,001 - --

Squibb Company $15,000

233 12/30/2020 Spouse SBIO ALPS Medical Purchase $1,001 - --

Breakthroughs ETF $15,000

234 12/30/2020 Spouse DD DuPont de Sale $1,001 - --

Nemours, Inc. (Partial) $15,000

235 12/30/2020 Spouse PBA Pembina Pipeline Sale $1,001 - --

Corporation (Full) $15,000

236 12/30/2020 Spouse TSLA Tesla, Inc. Purchase $1,001 - --

$15,000

Part 4b. Transactions

Did you, your spouse, or dependent child buy, sell, or exchange an asset that exceeded
$1,000? Yes
 Transaction Transaction
# Owner Ticker Asset Name Type Date Amount Comment

1 Spouse VTTWX  Vanguard Purchase 12/30/2020 $1,001 --

Institutional -
Target $15,000
Retirement
2030 Fund

2 Spouse VILVX  Vanguard Purchase 12/30/2020 $1,001 --

Institutional -
Target $15,000
Retirement
2060 Fund

3 Spouse VITVX  Vanguard Purchase 12/30/2020 $1,001 --

Institutional -
Target $15,000
Retirement
2015 Fund

Part 5. Gifts
Did you, your spouse, or dependent child receive any reportable gift during the reporting
period? No

Part 6. Travel
Did you, your spouse, or dependent child receive any reportable travel? No

Part 7. Liabilities
Did you, your spouse, or dependent child have a reportable 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? Yes

Parties
# Date Involved Type Status and Terms

1 Nov State of Other Continued participation in State of Delaware defined benefit

1976 Delaware (Defined plan. Income related to this agreement is reported in Part 2.
Dover, benefit
Delaware plan)

Part 10. Compensation

If this is your first report, or you are a candidatedid you receive compensation of more
than $5,000 from a single source in the two prior years? This is not my first report.

Attachments & Comments

No attachments added.
No comments added.