Katherine M. ClarkFiling

Annual Report | Filed on 13 May 2015

This congressional financial disclosure from Katherine M. Clark (annual report) contains 290 stock trades. It was filed on 13 May 2015. Reported tickers include BGS, PFE, PSX, PKG, DOW, and 67 more. Under the STOCK Act, members of Congress must disclose securities transactions within 45 days.

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Politician Name

Katherine M. Clark

Filing Type

Annual Report

Filed Date

13 May 2015

View Original Filing (PDF)

Transactions

290 transactions


Packaging Corporation of ... PKG	P	18 Dec 2014	$1,001 - $15,000	-
ONEOK, Inc. (OKE) OKE	P	17 Dec 2014	$15,001 - $50,000	-
Occidental Petroleum Corp... OXY	P	17 Dec 2014	$15,001 - $50,000	-
SANDRIDGE ENERGY INCGTD S...	S	17 Dec 2014	$1,001 - $15,000	8.625%, 4/1/2015
Spectra Energy Corp (SE) SE	S	17 Dec 2014	$1,001 - $15,000	-
ConocoPhillips (COP) COP	S	17 Dec 2014	$15,001 - $50,000	-
Union Pacific Corporation... UNP	P	2 Dec 2014	$1,001 - $15,000	-
ConocoPhillips (COP) COP	P	2 Dec 2014	$1,001 - $15,000	-
United Parcel Service, In... UPS	P	2 Dec 2014	$1,001 - $15,000	-
LyondellBasell Industries... LYB	S (partial)	1 Dec 2014	$1,001 - $15,000	-
Norfolk Southern Corporat... NSC	S (partial)	1 Dec 2014	$1,001 - $15,000	-
Spectra Energy Corp (SE) SE	S	1 Dec 2014	$1,001 - $15,000	-
Exelon Corporation (EXC) EXC	P	1 Dec 2014	$1,001 - $15,000	-
Helmerich & Payne, Inc. (... HP	S	1 Dec 2014	$1,001 - $15,000	-
Verizon Communications In... VZ	S (partial)	24 Nov 2014	$1,001 - $15,000	-
Intel Corporation (INTC) INTC	P	24 Nov 2014	$1,001 - $15,000	-
HUNTINGTON INGALLS INDS I...	S	18 Nov 2014	$1,001 - $15,000	6.875% 03/15/18
AbbVie Inc. (ABBV) ABBV	P	13 Nov 2014	$1,001 - $15,000	-
Cisco Systems, Inc. (CSCO... CSCO	P	13 Nov 2014	$1,001 - $15,000	-
Halyard Health, Inc. (HYH... HYH	S	13 Nov 2014	$1,001 - $15,000	-
Altria Group, Inc. (MO) MO	P	13 Nov 2014	$1,001 - $15,000	-
Spectra Energy Corp (SE) SE	S (partial)	13 Nov 2014	$1,001 - $15,000	-
QUALCOMM Incorporated (QC... QCOM	S	10 Nov 2014	$1,001 - $15,000	-
Church & Dwight Company, ... CHD	P	7 Nov 2014	$1,001 - $15,000	-
DOLLAR GEN CORP NEW SR FX...	P	4 Nov 2014	$1,001 - $15,000	3.250% 04/15/23
AQR Funds Diversified Arb...	S	30 Oct 2014	$1,001 - $15,000	-
Intel Corporation (INTC) INTC	P	28 Oct 2014	$1,001 - $15,000	-
Merck & Company, Inc. Com... MRK	S (partial)	28 Oct 2014	$1,001 - $15,000	-
Verizon Communications In... VZ	P	28 Oct 2014	$1,001 - $15,000	-
LyondellBasell Industries... LYB	S (partial)	27 Oct 2014	$1,001 - $15,000	-
AbbVie Inc. (ABBV) ABBV	P	27 Oct 2014	$1,001 - $15,000	-
United Parcel Service, In... UPS	P	27 Oct 2014	$1,001 - $15,000	-
ASHLAND INC NEW GTD FIXED...	S (partial)	21 Oct 2014	$1,001 - $15,000	3.875% 04/15/18
ASHLAND INC NEW GTD FIXED...	S	21 Oct 2014	$1,001 - $15,000	3.875% 04/15/18
Spectra Energy Corp (SE) SE	P	16 Oct 2014	$1,001 - $15,000	-
Helmerich & Payne, Inc. (... HP	P	16 Oct 2014	$1,001 - $15,000	-
ConocoPhillips (COP) COP	S (partial)	16 Oct 2014	$1,001 - $15,000	-
Texas Instruments Incorpo... TXN	P	16 Oct 2014	$1,001 - $15,000	-
CHESAPEAKE ENERGY CORP SR...	S	16 Oct 2014	$15,001 - $50,000	5.375% 06/15/21
Union Pacific Corporation... UNP	P	16 Oct 2014	$1,001 - $15,000	-
Dow Chemical Company (DOW... DOW	S (partial)	15 Oct 2014	$1,001 - $15,000	-
AbbVie Inc. (ABBV) ABBV	S (partial)	15 Oct 2014	$1,001 - $15,000	-
Home Depot, Inc. (HD) HD	S (partial)	15 Oct 2014	$1,001 - $15,000	-
Hewlett-Packard Company (... HPQ	P	15 Oct 2014	$1,001 - $15,000	-
Altria Group, Inc. (MO) MO	P	15 Oct 2014	$1,001 - $15,000	-
PowerShares QQQ Trust, Se... QQQ	S	15 Oct 2014	$15,001 - $50,000	-
Simon Property Group, Inc... SPG	P	15 Oct 2014	$1,001 - $15,000	-
Intel Corporation (INTC) INTC	S (partial)	15 Oct 2014	$1,001 - $15,000	-
Alerian MLP ETF (AMLP) AMLP	S (partial)	15 Oct 2014	$1,001 - $15,000	-
Kimberly-Clark Corporatio... KMB	P	15 Oct 2014	$1,001 - $15,000	-
SANDRIDGE ENERGY INCGTD S...	P	12 Oct 2014	$1,001 - $15,000	7.500% 03/15/21
Texas Instruments Incorpo... TXN	S (partial)	10 Oct 2014	$1,001 - $15,000	-
WILLIAMS COS INC SR NT	S (partial)	10 Oct 2014	$1,001 - $15,000	3.700% 01/15/23
KLA-Tencor Corporation (K... KLAC	S (partial)	10 Oct 2014	$1,001 - $15,000	-
ConocoPhillips (COP) COP	S (partial)	9 Oct 2014	$1,001 - $15,000	-
Simon Property Group, Inc... SPG	P	9 Oct 2014	$1,001 - $15,000	-
Altria Group, Inc. (MO) MO	P	9 Oct 2014	$1,001 - $15,000	-
Discover Financial Servic... DFS	P	3 Oct 2014	$1,001 - $15,000	-
Ventas, Inc. (VTR) VTR	P	2 Oct 2014	$1,001 - $15,000	-
Chevron Corporation (CVX) CVX	S	2 Oct 2014	$1,001 - $15,000	-
Home Depot, Inc. (HD) HD	P	26 Sept 2014	$1,001 - $15,000	-
Norfolk Southern Corporat... NSC	P	26 Sept 2014	$1,001 - $15,000	-
Altria Group, Inc. (MO) MO	P	26 Sept 2014	$15,001 - $50,000	-
Philip Morris Internation... PM	S	26 Sept 2014	$1,001 - $15,000	-
PPG Industries, Inc. (PPG... PPG	S	26 Sept 2014	$1,001 - $15,000	-
Dow Chemical Company (DOW... DOW	P	26 Sept 2014	$1,001 - $15,000	-
Discover Financial Servic... DFS	P	19 Sept 2014	$1,001 - $15,000	-
KLA-Tencor Corporation (K... KLAC	S (partial)	18 Sept 2014	$1,001 - $15,000	-
Annaly Capital Management... NLY	S	18 Sept 2014	$1,001 - $15,000	-
JP Morgan Chase & Co. (JP... JPM	P	18 Sept 2014	$1,001 - $15,000	-
Apple Inc. (AAPL) AAPL	S (partial)	18 Sept 2014	$1,001 - $15,000	-
Ameriprise Financial, Inc... AMP	P	18 Sept 2014	$1,001 - $15,000	-
Simon Property Group, Inc... SPG	S (partial)	18 Sept 2014	$1,001 - $15,000	-
Discover Financial Servic... DFS	P	18 Sept 2014	$1,001 - $15,000	-
CenturyLink, Inc. (CTL) CTL	P	18 Sept 2014	$1,001 - $15,000	-
Philip Morris Internation... PM	S (partial)	18 Sept 2014	$1,001 - $15,000	-
SPECTRUM BRANDS INC SR NT	P	17 Sept 2014	$1,001 - $15,000	6.750% 03/15/20
Accenture plc. Class A Or... ACN	S	17 Sept 2014	$1,001 - $15,000	-
Eli Lilly and Company (LL... LLY	P	17 Sept 2014	$1,001 - $15,000	-
Cisco Systems, Inc. (CSCO... CSCO	P	17 Sept 2014	$1,001 - $15,000	-
Norfolk Southern Corporat... NSC	P	17 Sept 2014	$1,001 - $15,000	-
PNC Financial Services Gr... PNC	P	17 Sept 2014	$1,001 - $15,000	-
Dow Chemical Company (DOW... DOW	P	17 Sept 2014	$1,001 - $15,000	-
ARAMARK CORP GTD SR NT	P	16 Sept 2014	$1,001 - $15,000	5.750% 03/15/20
ALLY FINL INC MEDIUMTERM ...	S	12 Sept 2014	$1,001 - $15,000	2.350% 04/15/15
WELLCARE GROUP INC FXD RT...	P	12 Sept 2014	$1,001 - $15,000	5.750% 11/15/20
HUNTINGTON INGALLS INDS I...	P	10 Sept 2014	$1,001 - $15,000	6.875% 03/15/18
ATWOOD OCEANICS INC GTD F...	P	9 Sept 2014	$1,001 - $15,000	6.500% 02/01/20
Walt Disney Company (DIS) DIS	P	5 Sept 2014	$1,001 - $15,000	-
Walt Disney Company (DIS) DIS	S (partial)	5 Sept 2014	$1,001 - $15,000	-
BP p.l.c. (BP) BP	S	4 Sept 2014	$1,001 - $15,000	-
BANK AMER CORP FXD RT SUB...	P	3 Sept 2014	$1,001 - $15,000	4.200% 08/26/24
Eli Lilly and Company (LL... LLY	P	26 Aug 2014	$1,001 - $15,000	-
Home Depot, Inc. (HD) HD	P	26 Aug 2014	$1,001 - $15,000	-
Macy's Inc (M) M	P	26 Aug 2014	$1,001 - $15,000	-
Merck & Company, Inc. Com... MRK	P	26 Aug 2014	$1,001 - $15,000	-
Verizon Communications In... VZ	S (partial)	25 Aug 2014	$1,001 - $15,000	-
QUALCOMM Incorporated (QC... QCOM	S (partial)	25 Aug 2014	$1,001 - $15,000	-
Eli Lilly and Company (LL... LLY	P	25 Aug 2014	$1,001 - $15,000	-
Merck & Company, Inc. Com... MRK	P	14 Aug 2014	$1,001 - $15,000	-
WellPoint, Inc. (WLP) WLP	P	14 Aug 2014	$1,001 - $15,000	*now Anthem
Kraft Foods Group, Inc. (... KRFT	S (partial)	14 Aug 2014	$1,001 - $15,000	-
Dow Chemical Company (DOW... DOW	P	30 Jul 2014	$1,001 - $15,000	-
Ameriprise Financial, Inc... AMP	P	30 Jul 2014	$1,001 - $15,000	-
Williams Companies, Inc. ... WMB	S (partial)	30 Jul 2014	$1,001 - $15,000	-
QUALCOMM Incorporated (QC... QCOM	S (partial)	30 Jul 2014	$1,001 - $15,000	-
Lockheed Martin Corporati... LMT	P	30 Jul 2014	$1,001 - $15,000	-
BP p.l.c. (BP) BP	S (partial)	30 Jul 2014	$1,001 - $15,000	-
Eaton Corporation, PLC Or... ETN	S	30 Jul 2014	$1,001 - $15,000	-
ROYAL BK SCOTLAND GROUP P...	P	29 Jul 2014	$1,001 - $15,000	6.000% 12/19/23
POPULAR INC SR NT ISIN#US...	P	23 Jul 2014	$1,001 - $15,000	7.000% 07/01/19
Kimberly-Clark Corporatio... KMB	S (partial)	22 Jul 2014	$1,001 - $15,000	-
NEWFIELD EXPL CO FIXED RT...	P	22 Jul 2014	$1,001 - $15,000	6.875% 02/01/20
Verizon Communications In... VZ	P	22 Jul 2014	$1,001 - $15,000	-
SYNOVUS FINL CORP SUB NT	P	15 Jul 2014	$1,001 - $15,000	5.125% 06/15/17
BALL CORP GTD FIXED RT SR...	P	9 Jul 2014	$1,001 - $15,000	5.750% 05/15/21
Phillips 66 (PSX) PSX	S	8 Jul 2014	$1,001 - $15,000	-
Packaging Corporation of ... PKG	P	2 Jul 2014	$1,001 - $15,000	-
Phillips 66 (PSX) PSX	S (partial)	2 Jul 2014	$1,001 - $15,000	-
Texas Instruments Incorpo... TXN	P	2 Jul 2014	$1,001 - $15,000	-
MICROSOFT CORP FIXEDRT NT	P	25 Jun 2014	$1,001 - $15,000	3.000% 10/01/20
Boeing Company (BA) BA	S	25 Jun 2014	$1,001 - $15,000	-
ZIONS BANCORPORATIONSUB N...	P	24 Jun 2014	$1,001 - $15,000	5.650% 11/15/23
NETAPP INC SR NT	P	16 Jun 2014	$1,001 - $15,000	3.250% 12/15/22
Philip Morris Internation... PM	P	12 Jun 2014	$1,001 - $15,000	-
Wisconsin Energy Corporat... WEC	S (partial)	12 Jun 2014	$1,001 - $15,000	-
WellPoint, Inc. (WLP) WLP	P	12 Jun 2014	$1,001 - $15,000	*now Anthem
Apple Inc. (AAPL) AAPL	P	12 Jun 2014	$1,001 - $15,000	-
NextEra Energy, Inc. (NEE... NEE	S (partial)	12 Jun 2014	$1,001 - $15,000	-
Ventas, Inc. (VTR) VTR	S (partial)	12 Jun 2014	$1,001 - $15,000	-
Invesco Equally Weighted ...	P	11 Jun 2014	$1,001 - $15,000	-
John Hancock Income	S	11 Jun 2014	$1,001 - $15,000	-
MFS Utilities	P	11 Jun 2014	$1,001 - $15,000	-
Janus Triton	S	11 Jun 2014	$1,001 - $15,000	-
Invesco Equally Weighted ...	P	11 Jun 2014	$1,001 - $15,000	-
Columbia Dividend Income	S	11 Jun 2014	$1,001 - $15,000	-
Ishares JP Morgan USD Eme...	P	11 Jun 2014	$1,001 - $15,000	-
Columbia Dividend Income	S	11 Jun 2014	$1,001 - $15,000	-
Las Vegas Sands Corp. (LV... LVS	S	9 Jun 2014	$1,001 - $15,000	-
KLA-Tencor Corporation (K... KLAC	P	9 Jun 2014	$1,001 - $15,000	-
MANITOWOC INC GTD SRNT	P	9 Jun 2014	$1,001 - $15,000	5.875% 10/15/22
Cisco Systems, Inc. (CSCO... CSCO	P	9 Jun 2014	$1,001 - $15,000	-
Pfizer, Inc. (PFE) PFE	S	9 Jun 2014	$1,001 - $15,000	-
Washington Prime Group In... WPG	S	5 Jun 2014	$1,001 - $15,000	-
Wells Fargo Advtg Divers ...	S (partial)	3 Jun 2014	$1,001 - $15,000	-
Phillips 66 (PSX) PSX	P	29 May 2014	$1,001 - $15,000	-
International Business Ma... IBM	S	29 May 2014	$1,001 - $15,000	-
General Electric Company ... GE	S	29 May 2014	$1,001 - $15,000	-
Apple Inc. (AAPL) AAPL	P	29 May 2014	$1,001 - $15,000	-
Macy's Inc (M) M	P	29 May 2014	$1,001 - $15,000	-
Chevron Corporation (CVX) CVX	S (partial)	29 May 2014	$1,001 - $15,000	-
Pfizer, Inc. (PFE) PFE	S (partial)	23 May 2014	$1,001 - $15,000	-
Simon Property Group, Inc... SPG	P	23 May 2014	$1,001 - $15,000	-
International Business Ma... IBM	S (partial)	23 May 2014	$1,001 - $15,000	-
JP Morgan Chase & Co. (JP... JPM	S (partial)	23 May 2014	$1,001 - $15,000	-
Spectra Energy Corp (SE) SE	P	23 May 2014	$1,001 - $15,000	-
TENNECO INC SR NT	P	21 May 2014	$1,001 - $15,000	6.875% 12/15/20
HAWK ACQUISITION SUBINC G...	P	19 May 2014	$1,001 - $15,000	4.250% 10/15/20
CHESAPEAKE ENERGY CORP GT...	S	16 May 2014	$1,001 - $15,000	6.125% 02/15/21
MICROSOFT CORP FXD RT	S	15 May 2014	$1,001 - $15,000	2.375% 05/01/23
RADIAN GROUP INC SR NT	P	15 May 2014	$1,001 - $15,000	5.500% 06/01/19
Boeing Company (BA) BA	P	13 May 2014	$1,001 - $15,000	-
KLA-Tencor Corporation (K... KLAC	S (partial)	13 May 2014	$1,001 - $15,000	-
Texas Instruments Incorpo... TXN	P	12 May 2014	$1,001 - $15,000	-
Wisconsin Energy Corporat... WEC	S (partial)	9 May 2014	$1,001 - $15,000	-
NEUSTAR INC GTD FXD RT	P	7 May 2014	$1,001 - $15,000	4.500% 01/15/23
ALLEGHENY TECHNOLOGIES IN...	S	7 May 2014	$1,001 - $15,000	5.875% 08/15/23
HEALTHSOUTH CORP SR NT	P	6 May 2014	$1,001 - $15,000	5.750% 11/01/24
ConocoPhillips (COP) COP	P	6 May 2014	$1,001 - $15,000	-
LyondellBasell Industries... LYB	P	6 May 2014	$1,001 - $15,000	-
Pfizer, Inc. (PFE) PFE	S (partial)	5 May 2014	$1,001 - $15,000	-
Johnson Controls, Inc. (J... JCI	S	5 May 2014	$1,001 - $15,000	-
BP p.l.c. (BP) BP	P	5 May 2014	$1,001 - $15,000	-
U.S. Bancorp (USB) USB	S	5 May 2014	$15,001 - $50,000	-
Annaly Capital Management... NLY	P	5 May 2014	$1,001 - $15,000	-
WellPoint, Inc. (WLP) WLP	P	5 May 2014	$1,001 - $15,000	*now Anthem
ConocoPhillips (COP) COP	P	5 May 2014	$1,001 - $15,000	-
CHS / CMNTY HEALTH SYS IN...	P	1 May 2014	$1,001 - $15,000	5.125% 08/15/18
Wisdom Tree Small Cap	S	28 Apr 2014	$1,001 - $15,000	-
Church & Dwight Company, ... CHD	P	28 Apr 2014	$1,001 - $15,000	-
KLA-Tencor Corporation (K... KLAC	S (partial)	28 Apr 2014	$1,001 - $15,000	-
Ameriprise Financial, Inc... AMP	S (partial)	28 Apr 2014	$1,001 - $15,000	-
Hewlett-Packard Company (... HPQ	P	28 Apr 2014	$1,001 - $15,000	-
Ventas, Inc. (VTR) VTR	P	28 Apr 2014	$1,001 - $15,000	-
Johnson Controls, Inc. (J... JCI	S (partial)	28 Apr 2014	$1,001 - $15,000	-
Kraft Foods Group, Inc. (... KRFT	P	28 Apr 2014	$1,001 - $15,000	-
Columbia Acorn Select	P	24 Apr 2014	$1,001 - $15,000	-
Ventas, Inc. (VTR) VTR	P	15 Apr 2014	$1,001 - $15,000	-
Las Vegas Sands Corp. (LV... LVS	S (partial)	15 Apr 2014	$1,001 - $15,000	-
Simon Property Group, Inc... SPG	P	15 Apr 2014	$1,001 - $15,000	-
STATE STR CORP SR SUB NT	P	15 Apr 2014	$1,001 - $15,000	3.100% 05/15/23
Ameriprise Financial, Inc... AMP	S (partial)	15 Apr 2014	$1,001 - $15,000	-
Church & Dwight Company, ... CHD	P	15 Apr 2014	$1,001 - $15,000	-
Gannett Co., Inc. (GCI) GCI	S	15 Apr 2014	$1,001 - $15,000	-
Lockheed Martin Corporati... LMT	S (partial)	9 Apr 2014	$1,001 - $15,000	-
3M Company (MMM) MMM	S (partial)	9 Apr 2014	$1,001 - $15,000	-
Time Warner Cable Inc (TW... TWC	S (partial)	9 Apr 2014	$15,001 - $50,000	-
Intel Corporation (INTC) INTC	P	3 Apr 2014	$15,001 - $50,000	-
Accenture plc. Class A Or... ACN	S (partial)	3 Apr 2014	$1,001 - $15,000	-
Kraft Foods Group, Inc. (... KRFT	P	3 Apr 2014	$1,001 - $15,000	-
Las Vegas Sands Corp. (LV... LVS	S (partial)	26 Mar 2014	$1,001 - $15,000	-
Hewlett-Packard Company (... HPQ	P	26 Mar 2014	$1,001 - $15,000	-
United Parcel Service, In... UPS	S (partial)	26 Mar 2014	$1,001 - $15,000	-
BARRICK NORTH AMER FIN LL...	P	20 Mar 2014	$1,001 - $15,000	4.400% 05/30/21
Annaly Capital Management... NLY	P	18 Mar 2014	$1,001 - $15,000	-
Alerian MLP ETF (AMLP) AMLP	S (partial)	18 Mar 2014	$1,001 - $15,000	-
Boeing Company (BA) BA	S (partial)	18 Mar 2014	$1,001 - $15,000	-
Hewlett-Packard Company (... HPQ	P	18 Mar 2014	$1,001 - $15,000	-
B&G Foods, Inc. B&G Foods... BGS	S	13 Mar 2014	$1,001 - $15,000	-
LyondellBasell Industries... LYB	P	13 Mar 2014	$1,001 - $15,000	-
CME Group Inc. - Class A ... CME	S	13 Mar 2014	$1,001 - $15,000	-
The Travelers Companies, ... TRV	S	13 Mar 2014	$1,001 - $15,000	-
Kimberly-Clark Corporatio... KMB	P	13 Mar 2014	$1,001 - $15,000	-
Johnson Controls, Inc. (J... JCI	S (partial)	13 Mar 2014	$1,001 - $15,000	-
QUALCOMM Incorporated (QC... QCOM	P	13 Mar 2014	$1,001 - $15,000	-
Adv Inner Circle Fund II ...	S	13 Mar 2014	$1,001 - $15,000	-
Kraft Foods Group, Inc. (... KRFT	P	13 Mar 2014	$1,001 - $15,000	-
Boeing Company (BA) BA	S (partial)	13 Mar 2014	$1,001 - $15,000	-
Wisconsin Energy Corporat... WEC	P	13 Mar 2014	$1,001 - $15,000	-
NextEra Energy, Inc. (NEE... NEE	P	13 Mar 2014	$1,001 - $15,000	-
Emerson Electric Company ... EMR	S	13 Mar 2014	$1,001 - $15,000	-
TOLL BROS FIN CORP GTD FX...	S (partial)	13 Mar 2014	$1,001 - $15,000	4.000% 12/31/18
KLA-Tencor Corporation (K... KLAC	P	13 Mar 2014	$1,001 - $15,000	-
Amgen Inc. (AMGN) AMGN	P	13 Mar 2014	$1,001 - $15,000	-
U.S. Bancorp (USB) USB	P	13 Mar 2014	$1,001 - $15,000	-
Hartford MF Cap Appreciat...	S	12 Mar 2014	$1,001 - $15,000	-
Hotchkis Wiley High Yield...	P	12 Mar 2014	$1,001 - $15,000	-
Eaton Vance Muni National...	S (partial)	12 Mar 2014	$1,001 - $15,000	-
Dodge Cox Stock Fund	P	12 Mar 2014	$1,001 - $15,000	-
ALLY FINL INC GTD SRFXD R...	S	10 Mar 2014	$15,001 - $50,000	4.750% 09/10/18
ALLY FINL INC GTD SRFXD R...	S (partial)	6 Mar 2014	$1,001 - $15,000	4.750% 09/10/18
WILLIAMS COS INC SR NT	P	5 Mar 2014	$1,001 - $15,000	3.700% 01/15/23
Ventas, Inc. (VTR) VTR	P	27 Feb 2014	$1,001 - $15,000	-
Merck & Company, Inc. Com... MRK	P	27 Feb 2014	$1,001 - $15,000	-
Norfolk Southern Corporat... NSC	S (partial)	27 Feb 2014	$1,001 - $15,000	-
JP Morgan Chase & Co. (JP... JPM	S (partial)	27 Feb 2014	$1,001 - $15,000	-
WELLS FARGO & CO NEWMEDIU...	P	27 Feb 2014	$1,001 - $15,000	4.125% 08/15/23
JPMORGAN CHASE & CO SR NT...	P	27 Feb 2014	$1,001 - $15,000	3.250% 09/23/22
CME Group Inc. - Class A ... CME	S (partial)	27 Feb 2014	$1,001 - $15,000	-
TEVA PHARMACEUTICAL FIN I...	P	25 Feb 2014	$1,001 - $15,000	3.650% 11/10/21
Home Depot, Inc. (HD) HD	S (partial)	20 Feb 2014	$1,001 - $15,000	-
Coca-Cola Company (KO) KO	S	20 Feb 2014	$1,001 - $15,000	-
Wisconsin Energy Corporat... WEC	P	20 Feb 2014	$15,001 - $50,000	-
Amgen Inc. (AMGN) AMGN	P	20 Feb 2014	$1,001 - $15,000	-
RENT A CTR INC NEW GTD FI...	P	18 Feb 2014	$1,001 - $15,000	4.750% 05/01/21
Mirae Asset Global Emergi...	P	12 Feb 2014	$1,001 - $15,000	-
MFS Utilities	P	12 Feb 2014	$1,001 - $15,000	-
Mirae Asset Global Emergi...	P	12 Feb 2014	$1,001 - $15,000	-
MFS Bond Fund	S (partial)	11 Feb 2014	$1,001 - $15,000	-
Western Asset Core Plus B...	P	11 Feb 2014	$1,001 - $15,000	-
Oppenheimer International...	S	11 Feb 2014	$1,001 - $15,000	-
AllianceBernstein High In...	P	11 Feb 2014	$1,001 - $15,000	-
Columbia Marisco Flex Cap	S (partial)	11 Feb 2014	$1,001 - $15,000	-
Fidelity Advisor Floating...	P	11 Feb 2014	$1,001 - $15,000	-
Oppenheimer Developing Ma...	S	11 Feb 2014	$1,001 - $15,000	-
Ishares JP Morgan USD Eme...	P	11 Feb 2014	$1,001 - $15,000	-
Ameriprise Insured Money ...	P	11 Feb 2014	$1,001 - $15,000	-
Western Asset Core Plus B...	S (partial)	11 Feb 2014	$1,001 - $15,000	-
Fidelity Advisor Floating...	P	11 Feb 2014	$1,001 - $15,000	-
American Beacon Flex Bond...	P	11 Feb 2014	$1,001 - $15,000	-
AllianceBernstein High In...	P	11 Feb 2014	$1,001 - $15,000	-
Columbia Dividend Income	S	11 Feb 2014	$1,001 - $15,000	-
John Hancock Income	S	11 Feb 2014	$1,001 - $15,000	-
Putnam Capital Spectrum	P	11 Feb 2014	$1,001 - $15,000	-
Putnam Capital Spectrum	P	11 Feb 2014	$1,001 - $15,000	-
Ishares JP Morgan USD Eme...	P	11 Feb 2014	$1,001 - $15,000	-
MFS Utilities	S (partial)	11 Feb 2014	$1,001 - $15,000	-
Oppenheimer Developing Ma...	S	11 Feb 2014	$1,001 - $15,000	-
John Hancock Income	S	11 Feb 2014	$1,001 - $15,000	-
Kimberly-Clark Corporatio... KMB	P	5 Feb 2014	$1,001 - $15,000	-
Chevron Corporation (CVX) CVX	S (partial)	5 Feb 2014	$1,001 - $15,000	-
Eaton Corporation, PLC Or... ETN	S (partial)	5 Feb 2014	$1,001 - $15,000	-
KLA-Tencor Corporation (K... KLAC	P	5 Feb 2014	$1,001 - $15,000	-
Amgen Inc. (AMGN) AMGN	P	5 Feb 2014	$1,001 - $15,000	-
Emerson Electric Company ... EMR	S (partial)	5 Feb 2014	$1,001 - $15,000	-
POST HLDGS INC GTD SR NT	S	24 Jan 2014	$1,001 - $15,000	7.375% 02/15/22
ICAHN ENTERPRISES L P / I...	P	24 Jan 2014	$1,001 - $15,000	6.000% 08/01/20
ADVISORSHARES TR PERITUS ...	S	24 Jan 2014	$15,001 - $50,000	-
The Travelers Companies, ... TRV	S (partial)	23 Jan 2014	$1,001 - $15,000	-
United Parcel Service, In... UPS	S (partial)	23 Jan 2014	$1,001 - $15,000	-
Norfolk Southern Corporat... NSC	P	23 Jan 2014	$1,001 - $15,000	-
Merck & Company, Inc. Com... MRK	P	23 Jan 2014	$1,001 - $15,000	-
General Electric Company ... GE	S (partial)	23 Jan 2014	$1,001 - $15,000	-
Heinz HJ Co SR NT	P	15 Jan 2014	$1,001 - $15,000	4.25% 10/15/20 Purchase date is an estimate. Exact date unknown due to poor...
Johnson & Johnson (JNJ) JNJ	P	10 Jan 2014	$1,001 - $15,000	-
U.S. Bancorp (USB) USB	P	10 Jan 2014	$1,001 - $15,000	-
Mattel, Inc. (MAT) MAT	S	10 Jan 2014	$1,001 - $15,000	-
Philip Morris Internation... PM	S (partial)	10 Jan 2014	$1,001 - $15,000	-
AbbVie Inc. (ABBV) ABBV	S (partial)	10 Jan 2014	$1,001 - $15,000	-
KB HOME SR NT 7.500%	P	2 Jan 2014	$1,001 - $15,000	7.500% 09/15/22