Sheldon WhitehouseFiling

Annual Report | Filed on 10 Aug 2021

This congressional financial disclosure from Sheldon Whitehouse (annual report) contains 118 stock trades. It was filed on 10 August 2021. Reported tickers include RWX, CARR, DEVIX, PHYQX, STSCX, and 77 more. Under the STOCK Act, members of Congress must disclose securities transactions within 45 days.

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Politician Name

Sheldon Whitehouse

Filing Type

Annual Report

Filed Date

10 Aug 2021

View Original Filing

Transactions

118 transactions


XEROX CORP Rate/Coupon: 4...	Sale (Full)	30 Dec 2020	$1,001 - $15,000	Redemption of Called Bond
iShares MSCI EAFE Min Vol... EFAV	Sale (Full)	29 Dec 2020	$1,001 - $15,000	n/a
FTSE All-World Ex-US ETF ... VEU	Purchase	29 Dec 2020	$1,001 - $15,000	n/a
First Trust Nasdaq Cybers... CIBR	Purchase	4 Dec 2020	$1,001 - $15,000	n/a
Ark Innovation ETF ARKK	Purchase	4 Dec 2020	$15,001 - $50,000	n/a
Baron Small Cap Fund Inst... BSFIX	Purchase	4 Dec 2020	$1,001 - $15,000	n/a
Baron Small Cap Fund Inst... BSFIX	Purchase	20 Nov 2020	$1,001 - $15,000	n/a
Vanguard FTSE Developed M... VEA	Purchase	20 Nov 2020	$1,001 - $15,000	n/a
Columbia Dividend Income ... GSFTX	Purchase	30 Oct 2020	$1,001 - $15,000	n/a
American Mutual Fund Clas... AMRFX	Purchase	30 Oct 2020	$1,001 - $15,000	n/a
Invesco Diversified Divid... LCEYX	Sale (Full)	30 Oct 2020	$1,001 - $15,000	n/a
iShares MSCI EAFE ETF EFA	Sale (Full)	29 Oct 2020	$15,001 - $50,000	n/a
Vanguard All-World ex-US ... VEU	Purchase	29 Oct 2020	$15,001 - $50,000	n/a
Blackrock Eq Dividend I MADVX	Sale (Full)	26 Oct 2020	$1,001 - $15,000	n/a
Columbia Dividend Income ... GSFTX	Purchase	26 Oct 2020	$1,001 - $15,000	n/a
Delaware Small Cap Value ... DEVIX	Sale (Full)	23 Oct 2020	$1,001 - $15,000	n/a
Virtus Kar Small-Cap Valu... PXQSX	Purchase	23 Oct 2020	$1,001 - $15,000	n/a
Vanguard Mid-Cap ETF VO	Purchase	20 Oct 2020	$1,001 - $15,000	n/a
Invesco Oppenheimer Devel... ODVIX	Sale (Partial)	19 Oct 2020	$1,001 - $15,000	n/a
iShares Russell 2000 ETF IWM	Purchase	19 Oct 2020	$1,001 - $15,000	n/a
XEROX CORP Rate/Coupon: 4...	Sale (Partial)	13 Oct 2020	$1,001 - $15,000	Called bond
Fortive Corporation (Exch... FTV VNT	Exchange	9 Oct 2020	$1,001 - $15,000	--
Columbia Overseas Value F... COSZX	Sale (Full)	30 Sept 2020	$1,001 - $15,000	n/a
iShares Core MSCI Emergin... IEMG	Purchase	30 Sept 2020	$1,001 - $15,000	n/a
Vanguard FTSE Developed M... VEA	Purchase	30 Sept 2020	$1,001 - $15,000	n/a
Trane Technologies plc TT	Sale (Full)	30 Sept 2020	$15,001 - $50,000	--
Trane Technologies plc TT	Sale (Full)	30 Sept 2020	$15,001 - $50,000	--
Vanguard High Dividend Yi... VYM	Purchase	28 Sept 2020	$1,001 - $15,000	n/a
Vanguard Real Estate ETF VNQ	Sale (Full)	28 Sept 2020	$1,001 - $15,000	n/a
First Trust Nasdaq Cybers... CIBR	Purchase	28 Sept 2020	$1,001 - $15,000	n/a
Chubb Limited CB	Sale (Full)	9 Sept 2020	$15,001 - $50,000	--
Goldman Sachs Absolute Re... GJRTX	Sale (Partial)	3 Sept 2020	$1,001 - $15,000	n/a
Blackrock Eq Dividend I MADVX	Sale (Partial)	3 Sept 2020	$1,001 - $15,000	n/a
Vanguard Total Bond Marke... BND	Purchase	3 Sept 2020	$15,001 - $50,000	n/a
ProShares S&P 500 Dividen... NOBL	Purchase	3 Sept 2020	$1,001 - $15,000	n/a
Invesco Premier US Govern... IUGXX	Purchase	3 Sept 2020	$15,001 - $50,000	n/a
Ark Innovation ETF ARKK	Purchase	3 Sept 2020	$1,001 - $15,000	n/a
SSGA Ultra Short Term Bon... ULST	Purchase	3 Sept 2020	$1,001 - $15,000	n/a
FTSE Developed Markets Va... VEA	Purchase	3 Sept 2020	$1,001 - $15,000	n/a
Janus Henderson Balanced ... JBALX	Purchase	3 Sept 2020	$1,001 - $15,000	n/a
Ark Next Generation Inter... ARKW	Purchase	3 Sept 2020	$1,001 - $15,000	n/a
S&P Biotech SPDR XBI	Purchase	3 Sept 2020	$1,001 - $15,000	n/a
Real Estate Vanguard ETF VNQ	Sale (Full)	3 Sept 2020	$1,001 - $15,000	n/a
Vanguard High Dividend Yi... VYM	Purchase	28 Aug 2020	$1,001 - $15,000	n/a
First Trust NASDAQ Cybers... CIBR	Purchase	17 Aug 2020	$1,001 - $15,000	n/a
Ark Innovation ETF ARKK	Purchase	23 Jul 2020	$1,001 - $15,000	n/a
Global X Cloud Computing ... CLOU	Purchase	23 Jul 2020	$1,001 - $15,000	n/a
John Hancock Financial Op... BTO	Sale (Full)	21 Jul 2020	$1,001 - $15,000	n/a
Capital Income Builder Cl... CAIFX	Purchase	21 Jul 2020	$1,001 - $15,000	n/a
Cohen & Steers Real Estat... CSDIX	Sale (Full)	21 Jul 2020	$1,001 - $15,000	n/a
Vanguard Financials ETF VFH	Purchase	21 Jul 2020	$1,001 - $15,000	n/a
Oakmark Fund Investor Cla... OAKMX	Sale (Full)	8 Jul 2020	$1,001 - $15,000	n/a
Invesco Oppenheimer Devel... ODVIX	Sale (Partial)	15 Jun 2020	$1,001 - $15,000	n/a
Pimco Income Fund Class I... PONPX	Purchase	14 May 2020	$15,001 - $50,000	n/a
Pimco Low Duration Income... PFTPX	Purchase	14 May 2020	$1,001 - $15,000	n/a
New Perspective Fund Clas... ANWFX	Purchase	14 May 2020	$1,001 - $15,000	n/a
Diamond Hill Long-Short F... DHLSX	Sale (Full)	14 May 2020	$15,001 - $50,000	n/a
Touchstone Sands Capital ... TSEGX	Purchase	8 May 2020	$1,001 - $15,000	n/a
Sterling Capital Stratton... STSCX	Sale (Full)	7 May 2020	$1,001 - $15,000	n/a
iShares MSCI USA Quality ... QUAL	Purchase	7 May 2020	$1,001 - $15,000	n/a
American Century Small Ca... ANONX	Sale (Full)	7 May 2020	$1,001 - $15,000	n/a
S&P 500 Financials Sector... XLF	Purchase	27 Apr 2020	$1,001 - $15,000	n/a
iShares Gold Trust Shares... IAU	Purchase	27 Apr 2020	$1,001 - $15,000	n/a
T. Rowe Price Blue Chip G... TRBCX	Purchase	27 Apr 2020	$1,001 - $15,000	n/a
Blackrock Enhanced Equity... BDJ	Purchase	27 Apr 2020	$1,001 - $15,000	n/a
Fundamental Investors Cla... FINFX	Sale (Partial)	21 Apr 2020	$1,001 - $15,000	n/a
T. Rowe Price Blue Chip G... TRBCX	Purchase	21 Apr 2020	$1,001 - $15,000	n/a
Blackrock Eq Dividend I MADVX	Sale (Partial)	21 Apr 2020	$1,001 - $15,000	n/a
Goldman Sachs Absolute Re... GJRTX	Sale (Partial)	21 Apr 2020	$1,001 - $15,000	n/a
Carrier Global Corporatio... CARR	Sale (Full)	7 Apr 2020	$1,001 - $15,000	Rec'd in spinoff from United Technologies & Raytheon Technologies merger //...
Raytheon Technologies Cor... UTX OTIS	Exchange	7 Apr 2020	$1,001 - $15,000	Due to standing separation agreement with financial advisor, Senator first ...
Raytheon Technologies Cor... UTX CARR	Exchange	7 Apr 2020	$1,001 - $15,000	Due to standing separation agreement with financial advisor, Senator first ...
Otis Worldwide Corporatio... OTIS	Sale (Full)	7 Apr 2020	$1,001 - $15,000	Rec'd in spinoff from United Technologies & Raytheon Technologies merger //...
Carrier Global Corporatio... CARR	Sale (Full)	7 Apr 2020	$1,001 - $15,000	Rec'd in spinoff from United Technologies & Raytheon Technologies merger// ...
Otis Worldwide Corporatio... OTIS	Sale (Full)	7 Apr 2020	$1,001 - $15,000	Rec'd in spinoff from United Technologies & Raytheon Technologies merger //...
Raytheon Technologies Cor... UTX CARR	Exchange	7 Apr 2020	$1,001 - $15,000	Due to standing separation agreement with financial advisor, Senator first ...
Raytheon Technologies Cor... UTX OTIS	Exchange	7 Apr 2020	$1,001 - $15,000	Due to standing separation agreement with financial advisor, Senator first ...
SPDR Select Sector Fund -... XLI	Purchase	7 Apr 2020	$1,001 - $15,000	n/a
SPDR Select Sector Fund -... XLI	Purchase	7 Apr 2020	$1,001 - $15,000	n/a
Raytheon Company (Exchang... RTN UTX	Exchange	3 Apr 2020	$15,001 - $50,000	Post merger UTX changed it's name from United Technologies Corporation to R...
UTX - United Technologies... -- RTX	Exchange	3 Apr 2020	$15,001 - $50,000	Due to standing separation agreement with financial advisor, Senator first ...
PGIM High Yield Fund Clas... PHYQX	Purchase	26 Mar 2020	$1,001 - $15,000	n/a
Invesco Optimum Yield Div... PDBC	Purchase	26 Mar 2020	$1,001 - $15,000	n/a
Vanguard Financials ETF VFH	Purchase	20 Mar 2020	$1,001 - $15,000	n/a
Invesco QQQ Trust, Series... QQQ	Purchase	20 Mar 2020	$1,001 - $15,000	n/a
Vanguard Financials ETF VFH	Purchase	20 Mar 2020	$1,001 - $15,000	n/a
Fundamental Investors Cla... FINFX	Sale (Partial)	13 Mar 2020	$1,001 - $15,000	n/a
Vanguard Information Tech... VGT	Purchase	13 Mar 2020	$15,001 - $50,000	n/a
Virtus Kar Small-Cap Grow... PXSGX	Sale (Partial)	13 Mar 2020	$1,001 - $15,000	n/a
American Balanced Fund Cl... AMBFX	Sale (Partial)	13 Mar 2020	$1,001 - $15,000	n/a
T. Rowe Price Blue Chip G... TRBCX	Sale (Partial)	13 Mar 2020	$1,001 - $15,000	n/a
Parnassus Core Equity Fun... PRBLX	Sale (Partial)	13 Mar 2020	$1,001 - $15,000	n/a
Janus Henderson Enterpris... JMGRX	Sale (Partial)	13 Mar 2020	$1,001 - $15,000	n/a
iShares S&P SmallCap 600 ... IJS	Sale (Full)	13 Mar 2020	$15,001 - $50,000	n/a
New World Fund Inc. Class... NFFFX	Sale (Partial)	13 Mar 2020	$1,001 - $15,000	n/a
Washington Mutual Investo... WMFFX	Sale (Partial)	13 Mar 2020	$1,001 - $15,000	n/a
Europacific Growth Fund C... AEPFX	Sale (Full)	13 Mar 2020	$1,001 - $15,000	n/a
Jpmorgan Small Cap Blend ... JDSCX	Sale (Partial)	13 Mar 2020	$1,001 - $15,000	n/a
Siemens Aktiengesellschaf... SIEGY	Sale (Full)	11 Mar 2020	$15,001 - $50,000	--
iShares Core MSCI Emergin... IEMG	Sale (Full)	11 Mar 2020	$15,001 - $50,000	n/a
iShares International Sel... IDV	Sale (Full)	11 Mar 2020	$15,001 - $50,000	n/a
Cognex Corporation CGNX	Sale (Full)	11 Mar 2020	$15,001 - $50,000	--
Illumina, Inc. ILMN	Sale (Full)	11 Mar 2020	$1,001 - $15,000	--
Vanguard Information Tech... VGT	Sale (Partial)	5 Mar 2020	$1,001 - $15,000	n/a
INGERSOLL RAND PLC SHS (E...	Exchange	4 Mar 2020	$1,001 - $15,000	--
INGERSOLL RAND PLC SHARES...	Exchange	4 Mar 2020	$1,001 - $15,000	--
ProShares S&P 500 Dividen... NOBL	Purchase	3 Mar 2020	$1,001 - $15,000	n/a
SPDR DJ Wilshire Intl Rea... RWX	Sale (Full)	14 Feb 2020	$1,001 - $15,000	n/a
Touchstone Mid Cap Fd Ins... TMPIX	Purchase	13 Feb 2020	$1,001 - $15,000	n/a
Jpmorgan Mid Cap Value Fu... FLMVX	Sale (Full)	13 Feb 2020	$1,001 - $15,000	n/a
Digital Realty Trust, Inc... DLR	Purchase	13 Feb 2020	$15,001 - $50,000	--
T. Rowe Price Real Estate... TIRRX	Sale (Full)	13 Feb 2020	$1,001 - $15,000	n/a
Waste Management, Inc. WM	Sale (Full)	13 Feb 2020	$15,001 - $50,000	--
Columbia Dividend Income ... GSFTX	Purchase	11 Feb 2020	$1,001 - $15,000	n/a
SPDR Select Sector Fund -... XLI	Purchase	11 Feb 2020	$1,001 - $15,000	n/a
T. Rowe Price Blue Chip G... TRBCX	Purchase	11 Feb 2020	$1,001 - $15,000	n/a
Calvert Equity Fund Class... CEYIX	Purchase	11 Feb 2020	$1,001 - $15,000	n/a
The Communication Service... XLC	Purchase	11 Feb 2020	$1,001 - $15,000	n/a